Comprehensive Reflections to Aid in Governance
By Sima Guang
Translated By Yiming Yang
Annals of Han Book 6 Scroll 14 (continued)
The 6th year of the Emperor Wen’s Early Era (174 B.C. continued)
Grand Tutor of the Principality of Liang, Jia Yi, wrote a memorandum to the court:
“I believe that, in the current state of affairs, there is one thing that should cause one to weep in sorrow, two things that bring tears to the eyes, and six things that evoke deep sighs. Other examples of wrongdoing are too numerous to list in a single memorial. There are those who say that ‘the world is already at peace and well-governed.’ I do not believe we have reached that point. Those who claim peace and order are either foolish or insincere and do not truly understand the nature of order and chaos. For one who sleeps atop a heap of kindling while holding an ember, it is not considered safe merely because the ember has not yet ignited the kindling. The present situation is no different! Your Majesty, why not allow me to provide a detailed analysis of the situation and present strategies for promoting peace and stability in the state, so that Your Majesty may examine them thoroughly and make a selection?
“If a strategy for governance requires great intelligence, care, and physical effort, depriving the ruler of the enjoyment of music from bells and drums, one should likely not adopt such a plan. With the same joys and pleasures as today, plus the added harmony of lords following proper etiquette, without the need for warfare, the Xiongnu tribe submitting to the Han, and the people living purely and simply, one could become an illustrious, wise Emperor in life and a revered deity in death. Such a reputation would last for eternity. The temple of Gucheng(for Emperor Wen) could be named Taizong and placed alongside Gaozu, enduring through the end of the Han dynasty. By establishing fair and lasting written laws, this legacy would be passed down and followed for generations. Even if future successors are foolish or unqualified, they would still inherit a stable and secure rule. With Your Majesty’s intelligence and insight, it would not be difficult to reach this level, with the appointment of someone with little knowledge of governance to assist with these tasks.
“The establishment of powerful principalities tends to create suspicions and misgivings between the ruler and their subjects. The vassal kings repeatedly stir trouble, while the Emperor is constantly plagued by anxiety. This is not a way to ensure the safety of those above while protecting those below. Recently, your younger brother had plotted to become the Emperor of the East, while your nephew attacked the capital in the West. Moreover, reports of the Prince of Wu‘s dubious activities have surfaced. The Emperor’s reign is at its prime, and he has committed no injustice, bestowing blessings upon the people. Yet, even with such benevolence and virtue, the situation remains uncertain. How much more so for the strongest princes, whose power is tenfold greater than the ones aforementioned?
“Why, then, is there still peace in the world? The princes of the great principalities are still young and not yet fully matured, so Han has appointed tutors and advisors to manage their affairs. In a few years, many of the princes of the vassal states will come of age, with youthful vigor coursing through their veins. At that time, Han‘s tutors and advisors will claim illness and retire, and their roles will be taken over by the prince’s own people—ministers and commandants. How is this different from what happened in the principalities of Huainan (Liu Chang) and Jibei (Liu Xingju)? Even a ruler like Emperor Yao or Emperor Shun would be powerless to establish lasting peace under such conditions.
“The Yellow Emperor(Huangdi) said, ‘Tanning must be done when it is at noon time, and butchering must be done when the knife is sharp.’ Establishing peace and order is simple if we act now, but if we delay, we will find ourselves forced to slaughter our own kin when they revolt. Is this any different from the downfall of the Qin Dynasty? The Han Dynasty was fortunate to quell the princes of different surnames who wielded power and dared to challenge the throne, yet the root cause was never addressed. Now the princes of the same surname are following in their predecessors’ footsteps, and signs of unrest are emerging. The trend is the same as before. The calamities and disasters may come; how they will develop is uncertain. Even a wise emperor cannot ensure lasting peace—how, then, will future generations cope?
“I humbly reflect on past events and observe that, generally, the stronger princedoms tend to rebel first. The Kingdom of Changsha has only 25,000 households; its achievements are few, yet its territory remains the most intact, and its relationship with Your Majesty, though distant, is the most loyal. This is not only due to the unique character of its ruler, Wu Rui, but also to the circumstances in which they find themselves. In the past, had lords like Fan Kuai, Li Shang, the Marquis of Jiang, and Guan Ying controlled dozens of cities and reigned as kings, they might have met with destruction. If lords like Han Xin and Peng Yue had been made Marquises and stayed home, they might have still been alive today. Therefore, the grand strategy for the empire is clear: if Your Majesty desires loyalty and obedience from all kings, none is a better model to follow than the Prince of Changsha. If Your Majesty wishes for your subjects to avoid being chopped to pieces and preserved in a jar, they should follow the example of lords like Fan Kuai and Li Shang. And if Your Majesty seeks peace and stability in the empire, it is best to establish numerous vassal states while limiting their power. When power is constrained, it is easy to control them with righteousness. When the state is small, the temptation toward evil diminishes. The operation of the empire should be like a body wielding its arms, and the arms lifting its fingers—everything controlled and directed by the emperor. The lords of vassal states would not dare harbor dissenting ideas and would unite centripetally in their allegiance to the throne.
“Divide the land and establish fixed territories, allowing Qi, Zhao, and Chu to each become several states. Let the descendants of Prince Daohui of Qi, Prince You of Zhao, and Prince Yuan of Chu inherit their ancestral lands in order, and cease the awarding of new vassalage once all the land is apportioned. For those with large territories but few descendants, create new states and leave the lordship vacant until their descendants are born and can assume the position. Not a single inch of land or person should be taken away by the emperor, it is really for the benefit of governance. If this is done, even if the emperor were a baby in a crib, the empire would be without worry. Even if Your Majesty passed the throne to an unborn child, so long as your minever robe is present on the court, the world would not fall into chaos. You would achieve great governance in your lifetime, and future generations would hail you as a sage. Your Majesty, whom do you fear, that you have delayed this for so long?
“The state of the world is like a severe swelling illness, where the leg feels as thick as the torso and the toes feel as large as a thigh. In such a condition, one cannot move or stretch, and even a small spasm in the toes causes intense pain, rendering the entire body dysfunctional. If this is not treated now, it will become a chronic ailment that even the best doctor, like Bian Que, cannot cure. The illness is not merely swelling—it is painful clubfoot.
“The sons of Prince Yuan of Chu are Your Majesty’s cousins, while the current Prince of Chu is the son of your cousin. The sons of Prince Hui are your nephews, and the current Prince of Qi is the son of your nephew. Some close relatives have not been awarded land to maintain peace in the empire, yet distant relatives have already gained significant power and may pose a threat to the throne. This is not just an illness—it is the burning pain of a clubfoot, a disease that deserves tears of sorrow.
“The world is currently hung upside down. The emperor, being at the highest echelon, is the head of the realm, while the barbarians, being underdeveloped, are its feet. Yet the Xiongnu, showing no respect, invade and plunder, and still, the Han Dynasty sends them gifts of gold, cotton, silk, and other treasures. This is like placing the feet above the head—an incomprehensible reversal, with no solution in sight. Can a country truly be said to have wise leadership if it remains in such a state? It is enough to bring one to tears.
“Today, instead of hunting fierce predators, Your Majesty hunts wild pigs; instead of capturing rebellious bandits, you chase after domestic rabbits. Your Majesty indulges in trivial pleasures and neglects preparations for major disasters. The Emperor’s virtues are worthy of spreading across distant lands, yet the court authority does not extend even a few hundred miles. This, too, is a situation that can bring one to tears.
“Nowadays, commoners adorn their homes with materials meant for imperial attire, and lowly entertainers and prostitutes wear the Empress’s headgear and ornaments. The Emperor himself wears simple, coarse black silk, while wealthy citizens decorate their walls with embroidery. The Empress uses embroidery to embellish her collar, and commoners’ concubines do the same for their shoes. This is what I call a deviation. If a hundred people working together cannot clothe one person, how can we expect to rid the world of cold? If one farmer cultivates while ten others gather to eat, how can we expect to rid the world of hunger? The pains of hunger and cold penetrate the skin of the people—it is impossible to expect them not to turn to wickedness. This is what I call a situation worthy of long sighs.
“Shang Yang advocated abandoning benevolence and righteousness, focusing solely on personal ambition. After two years of implementing his policies, the moral fabric of society began to deteriorate. Sons of wealthy families demanded to become the head of the household and divide the family when they came of age, while poor families married off their sons to the bride’s family to receive money. Grown children would look down on their fathers when loaning them farm tools, and they would yell at their mothers if she used their dustpans or brooms. Women would sit around with their fathers-in-law, even while breastfeeding their infants. Daughters-in-law would talk back to their mothers-in-law during conflicts. The people of Qin cared only for their children and personal gain, their morals no different from wild animals. These customs persist to this day, and the abandonment of propriety and the selling of integrity have worsened. The situation deteriorates monthly and declines yearly. People no longer consider whether their actions are right or wrong—only whether they are profitable—leading even to patricide or fratricide. Yet officials are so absorbed in bookkeeping and meeting deadlines that they either fail to see the dangers of these societal changes and moral decay, or they view them indifferently, believing them to be natural occurrences.
“Only by reforming the customs and values of the people can we truly restore peace to the kingdom. Officials are too focused on trivial matters, neglecting the bigger picture. I feel ashamed that Your Majesty has not been concerned about this! Why don’t we establish clear laws and regulations from this day forward, allowing everyone to fulfill their proper roles in society—let a lord be a lord, a minister be a minister, distinguishing between the upper and lower ranks? Let fathers, sons, and all family members know their place within the household. Once this order is established, peace and stability will endure for generations, providing a firm foundation for the future. Without clear direction, we will be like a boat adrift in a river without ropes or oars, likely to capsize in a storm. This is truly a matter worthy of a long sigh!
“During the Xia, Yin, and Zhou dynasties, emperors ruled for dozens of generations, while the Qin dynasty fell after only two. Human nature is not so different across time, so why did the Qin, which lacked the virtues of the rulers of the three long-lasting dynasties, collapse so quickly? The reason is clear. In ancient times, when a crown prince was born, he was immediately raised with proper etiquette. Officials would dress formally and respectfully to conduct a ceremony at the altar in the southern suburb. The crown prince would dismount from his carriage when passing the palace or quicken his steps when passing temples. He was nurtured in good habits from infancy.
“As he grew, the crown prince was taught virtuous principles such as propriety, loyalty, righteousness, and benevolence by the three grand teachers (the Grand Preceptor, Grand Tutor, and Grand Guardian) and the three junior teachers (the Junior Preceptor, Junior Tutor, and Junior Guardian). He was kept away from bad influences and surrounded only by talented, knowledgeable, and experienced administrators, as well as virtuous individuals who served as his protectors and assistants. Thus, the crown prince was raised with an understanding of proper conduct, speech, and behavior, immersed in a positive environment. Just as living among people who behave properly fosters proper behavior—like living in Qi and acquiring its dialect—living among people who behave improperly results in improper behavior, much like growing up in Chu and inevitably speaking with a Chu accent.
“Confucius said, ‘At a young age, one’s habits become their natural disposition, and what they learn and experience becomes part of their nature.’ The study of propriety goes hand-in-hand with intellectual development; discourse and debate bring no regrettable consequences. Education accompanies the growth of moral character, and unbiased principles become rooted in a person’s nature.”
“The reason the three preceding dynasties lasted so long was that they trained their princes using this system. In contrast, during the Qin dynasty, Zhao Gao tutored and instructed Emperor Huhai to hand out severe punishments such as beheadings, mutilating prisoners’ noses, and even annihilating entire clans. The Second Emperor shot a man with a bow the day after ascending the throne, and anyone who offered good advice was accused of slander. Those with far-reaching ideas were deemed heretics misleading the people. He killed indiscriminately, as if mowing grass. Was Huhai born with an evil nature? No, he was brought up and taught in the wrong way. As the saying goes, ‘The fall of the front cart serves as a warning to the cart behind.’ The tracks of Qin‘s mistakes are clear—if we do not learn from them and avoid the pitfalls, we, like the cart behind, will suffer the same fall.
“The destiny of the world is tied to the crown prince. The key to success lies in selecting the right people to serve and guide him and educating him from an early age. Education is most effective when a child is innocent, and its power lies in teaching the right principles. It is the attendants’ responsibility to ensure that these principles are practiced regularly until they become second nature.
“People from different regions, such as the Hu people in the north and the barbarians in the southern Yue, are born with the same vocal cords and similar desires. Yet, as they grow and develop their own customs, even after numerous attempts at translation, they cannot communicate and would rather die than live together. This shows how crucial teaching and practice are in shaping behavior. That is why I say selecting good teachers and educating the crown prince early is the most urgent matter. If a prince is taught good principles and surrounded by virtuous people, he will become a virtuous ruler, and the world will be at peace. As the Book of Documents says, ‘When one person is blessed, millions of people can rely on him.’ This is the most important task at hand.
“The wisdom of ordinary people is limited to what is already happening; they cannot foresee what is yet to come. Rituals or Propriety are designed to prevent future problems, while laws are meant to punish what has already occurred. Therefore, the effects of laws are easy to observe, while the benefits of rituals are harder to discern. The ancient kings used rewards to encourage good behavior and punishments to deter wrongdoing. They were unwavering in their governance—steadfast as gold and stone—and their laws were as reliable as the changing of the seasons. Their decisions were based on justice and fairness, as impartial as the heavens and the earth. Why not leverage rewards and punishments more effectively?
“The true strength of rituals and propriety, however, lies in preventing problems before they arise, teaching people to gradually improve and avoid wrongdoing without even realizing it. As Confucius said, ‘When I preside over a case, I am like everyone else. But I strive to prevent cases from ever coming to me.’
“To provide counsel to a ruler, it is best to begin with whether to accept or reject an idea. The principles for making such choices are established internally, but their impact on state security and their consequences manifest externally. The First Emperor of Qin sought to honor his ancestors and secure the future of his dynasty, just as King Tang of Yin and King Wu of Zhou did. However, while King Tang of Yin and King Wu of Zhou were known for their moral virtues, leading their dynasties to last six or seven hundred years, the Qin dynasty suffered a crushing defeat after barely a decade. The reason for this difference is simple: King Tang of Yin and King Wu of Zhou made careful, virtuous choices, while the First Emperor of Qin did not.
“The realm is a great vessel, and managing it is like handling a delicate object. The success or failure of the realm depends on where the Son of Heaven places it. If placed in a secure location, the realm will be safe; if placed in a precarious position, the realm will face danger. King Tang of Yin and King Wu of Zhou anchored their realm in benevolence, righteousness, rituals, and music, and their legacies endured for many generations. The First Emperor of Qin, by contrast, placed his realm on laws, punishments, and regulations, and his dynasty suffered a catastrophic collapse, with his descendants killed or exiled. The outcomes of these two approaches are clear and indisputable, witnessed by all the people of the realm.
“As the saying goes, ‘To understand the meaning of words, one must observe the actions behind them, so that no one can speak recklessly.’ Therefore, when someone claims that rituals and customs are inferior to laws and regulations, or that education and moral influence are less effective than punishments, why does the ruler not reflect on the examples of the Yin, Zhou, and Qin dynasties?”
Reflection by Rio Grande 
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