Comprehensive Reflections to Aid in Governance
By Sima Guang
Translated By Yiming Yang
Annals of Han Book 13 Scroll 21 (continued)
The 3rd year of Emperor Wu’s Taichu Era (102 B.C.)
In January of spring, the Prefect of Jiaodong, Yan’guang, was appointed as the Grand Master of Censorate.
The Emperor went on an eastern tour by the sea but found no signs of immortals or deities. He ordered the officials to conduct rituals at Mount Tai. During April of summer, upon returning, the Emperor carried out ceremonies at Mount Tai and presented sacrificial offerings at Mount Shi’lǘ[drelling of immortals].
Xiongnu Er Chanyu passed away, leaving a young son behind. The Xiongnu then enthroned his paternal uncle, the Right Tuqi King, Goulihu, as the new Chanyu.
The Emperor dispatched Chamberlain, Xu Ziwei, to venture out from Wuyuan Pass several hundred li, extending even further to over a thousand li, to build forts, barriers, and pavilions. This extension covered the northwest area to Luxu. He stationed the General of Guerrilla Warfare, Han Yue, and the Marquis of Changping, Wei Kang, nearby. Additionally, the Crossbow Commander, Lu Bode, was tasked with constructing facilities near the Juyan Lake.
In autumn, the Xiongnu conducted a major incursion into Dingxiang and Yunzhong, resulting in the killing and abduction of several thousand people. They defeated several officials of the 2000-picul rank and departed, damaging the forts, pavilions, and barriers constructed by Xu Ziwei. Moreover, the Right Tuqi King raided Jiuquan and Zhangye, taking away several thousand individuals. The military Supervisor Ren Wen came to intervene, the Xiongnu lost what they gained and then withdrew.
In this year, the Marquis of Suiyang, Zhang Chang, was found guilty of negligence in performing sacrificial rites as the Grand Minister of Ceremonies, leading to the abolition of his title and fiefdom.
Emperor Gaozu ennobled 143 meritorious individuals as marquis in the aftermath of a great turmoil. At the time numerous people fled from major cities and renowned metropolises, resulting in a population count reduced to twenty or thirty percent of what was before the war. The largest marquisate(march) had no more than ten thousand households, while the smallest had five to six hundred households. The Emperor Gaozu made an oath: “Even if the Yellow River became a girdle, and Mount Tai reduced to a cairn, this polity will perpetuate and extend to the descendants.” The pledge was recorded as a cinnabar-inked letter and was sworn by a sacrifice of a white horse.
During the era of Empress Gao(Empress Lü) , the ranking of marquis titles was clearly documented, and the documents were kept in the ancestral temples, with backup copies stored in the government offices.
By the time of Emperor Wen and Emperor Jing, four or five generations later, the refugees had returned, and the population had increased, leading to major marquisate households amounting to three to four hundred thousand households. Small territories had doubled in size, accumulating wealth and prosperity. However, the descendants became presumptuous and extravagant, frequently disregarding laws and regulations, leading to their downfall and annulment of their enfeoffment. Only four marquis titles among the original merit-based ennoblements remained. Yet the laws were more meticulously enforced.
After the defeat of the Han forces in the incident with the Marquis of Zhuoye, ministers wished to withdraw their troops from Dayuan and focus entirely on combating the Xiongnu. The Emperor thought he had already sent an army to attack Dayuan, and if Dayuan, a small state, could not be defeated, then the more powerful polities such as Daxia would gradually diminish Han‘s prestige. Moreover, if the excellent horses of Dayuan were not brought to the Han, and the Wusun and Luntai tribes would have grown increasingly hostile to the Han envoys, the diplomats of the Han would become a subject of ridicule for foreign nations. The Emperor punished the officials, including Deng Guang and others, who raised concerns about the impracticality of launching a campaign against Dayuan.
The Emperor granted amnesty to prisoners, conscripted delinquent youths and border riders, and within a year, around sixty thousand individuals were mustered to march from Dunhuang. There were extra private servants or porters who had gone with the army. Additionally, there were a hundred thousand heads of cattle, thirty thousand horses, and ten thousand donkeys and camels. A substantial supply of provisions, arms, and crossbows was prepared. The instability was evident throughout the empire, with over fifty colonels mobilized to attack Dayuan.
The city of Dayuan had no wells within its walls, drawing water from outside streams. To take advantage of this, the Han sent engineers to redirect these external water sources, intending to use the waterway as conduit to dig underneath the city wall. Furthermore, there were an additional one hundred eighty thousand troops stationed at Jiuquan and Zhangye in the north, establishing garrisons in Juyan and Xiutu to protect Jiuquan. The Han government also conscripted seven different categories of individuals: criminals, fugitives, matrilocal son-in-laws, merchants, former merchants, and individuals with parents or grandparents who had been merchants. These men were all compelled to serve in the army. They provided supplies for the Ershi General’s troops, transporting goods and forming long lines of carts. Two men skilled in horse-riding were appointed as Horse Training Colonel and Horse Driving Colonel, tasked with selecting and training the best horses after the Dayuan campaign.
Then Ershi General’s troops resumed their march, and as it was formidable, every small kingdom it reached welcomed it and provided provisions for the soldiers. When they arrived at Luntai, the city refused to surrender. After a few days of siege, it was captured and sacked. Continuing westward, they reached Dayuan‘s city with a force of thirty thousand soldiers. The forces of Dayuan met the Han troops in battle, but the Han forces routed them, causing the Dayuan troops to retreat into their city for protection.
Ershi General planned to attack the city of Yucheng, but as he was concerned that delaying the march would allow Dayuan to devise more deceptive tactics. Therefore, they first arrived at Dayuan, diverted its water source, causing the city to be in a dire situation. They then besieged the city and attacked it for over forty days. Within Dayuan, the nobles deliberated: “King Mauakes hoarded the excellent horses secretly and killed the Han emissaries. Now, if we kill our king and present his head, the Han troops might retreat. If they don’t, we’ll fight valiantly and die—there’s still time for that.” The nobles unanimously agreed on this plan and killed their king Mauakes. The outer walls were breached, and a noble general of Dayuan Jianmi was captured.
Filled with terror, the remaining people of Dayuan retreated inside the city, holding the head of their former king Mauakes. They sent envoys to Ershi General, negotiating: “If the Han forces refrain from attacking us, we will give you all the excellent horses and provide food for your soldiers. If you refuse, we’ll slaughter all the great horses, and when Kangju reinforcements arrive, we’ll fight the Han forces together. Which option will you choose?”
At that moment, the Kangju scouts observed that the Han forces were still numerous and did not dare to advance. Ershi General learned that the people inside Dayuan had the Han captives taught them how to dig wells, and still possessed a significant amount of food. Assessing the situation, he concluded, “We came to punish the criminal Mauakes, now Mauakes’ head has already been in our hands. If we do not grant their request, they will steadfastly defend their city. The Kangju waited for the Han troops to be fatigued, then helping Dayuan, will certainly beat the Han army.” Therefore, Ershi General approved the request of Dayuan.
Dayuan released its horses, allowing the Han forces to select the ones they liked, and provided ample food for them. The Han troops took several dozen of the best horses and more than three thousand mares and stallions. Ershi General appointed a local man named Mocai, who was known to have been friendly to the Han previously, as the new ruler of Dayuan, made a peace agreement, and then withdrew his troops.
At first, Ershi General set out from Dunhuang heading west, dividing into several units taking both the northern and southern routes. Colonel Wang Shen’sheng led a group of over a thousand soldiers, separately arriving at Yucheng. However, the King of Yucheng attacked and annihilated Wang Shen’sheng’s forces, causing a few individuals to escape and flee to Ershi General’s camp.
Upon hearing this, Ershi General ordered the Commandant of Grain Supply, Shangguan Jie, to attack Yucheng. The King of Yucheng fled and sought refuge in Kangju. Shangguan Jie pursued and reached Kangju. Upon learning that the Han had already defeated Dayuan, Kangju released the King of Yucheng to Shangguan Jie. Shangguan Jie ordered four of his riders to bind and deliver the king to Ershi General. A knight from Shanggui named Zhao Di feared the King of Yucheng might escape, drew his sword, and struck, beheading the king of Yucheng, then catched up with the main troops of Ershi General.
The 4th year of Emperor Wu’s Taichu Era (101 B.C.)
In spring, Ershi General arrived at the capital. As he passed through smaller kingdoms and tribes, upon hearing about the destruction of Dayuan, they sent their children to offer tribute and see the Emperor, some even stayed as hostages. When the army returned, they brought back more than a thousand horses. Although the army did not lack food and casualties in battles were not excessive, the generals and officials were greedy, showing no regard for the soldiers, taking advantage and abusing them. Due to these incidents resulting in deaths, many fell victim.
The Emperor thought leading a campaign of thousands of miles was a great achievement, he did not investigate these wrongdoings. Instead, he issued a decree to confer Li Guangli as the Marquis of Haixi, Zhao Di as the Marquis of Xinshi, promoting Shangguan Jie to the position of Privy Treasurer, three military officers were promoted to among Nine Ministers. Additionally, there were more than a hundred officers who were promoted to ministers of feudal lords, prefects of commanderies, and high officials with 2000-picul rank. More than one thousand officers were promoted to mid-level officials of over a thousand picul of grain. Those who volunteered to join the expedition had been rewarded exceeding their expectation; those convicts were forced to join as a punishment for their misconduct, all their previous sentencing were dismissed, and the soldiers were given a reward equivalent of forty thousand coins each.
The Xiongnu heard of Ershi General‘s expedition against Dayuan and intended to intercept it. However, seeing the strength of Ershi General‘s forces, they did not dare to confront them directly. Instead, they dispatched riders to intercept the Han envoys passing through Loulan, aiming to cut off communication. At that time, Military Judge Ren Wen, leading the troops stationed at the Yumen Pass, captured some living captives and reported the situation. The Emperor decreed that Ren Wen led his troops to capture the King of Loulan and brought him to the court for questioning.
The King of Loulan responded, saying, “Being a small state amidst larger ones, without dual allegiance, there is no way to ensure our safety. I am willing to relocate my kingdom to live within the territories of the Han.” The Emperor accepted his argument, allowed him to return to his country, and also asked him to observe the Xiongnu. From then on, the Xiongnu were not very trusting or friendly toward Loulan.
After the fall of Dayuan, the Western Regions were filled with fear, and the status of Han envoys entering the Western Regions elevated. Consequently, from Dunhuang westward to the Salt Marsh, numerous stations were set up, and there were several hundred soldiers stationed in places like Luntai and Quli. Officials and Colonels were appointed to oversee and protect these regions, providing assistance to diplomats.
A year or so later, influential figures from Dayuan accused Mocai of being excessively subservient to Han and resulting in harm to their country, slaughter to their people. They conspired to kill Mocai and established the younger brother of King Mauakes, Chanfeng, as the King of Dayuan. They also sent Mauakes‘ son to serve in attendance at the Han court. The Han government used gifts and bribes to pacify and maintain stability in the region. Chanfeng made an agreement with the Han to annually offer two heavenly horses as tribute.
In autumn, the Mingguang Palace was constructed.
During winter, the Emperor undertook a tour to Huizhong.
The Chanyu of Xiongnu, Xulihu, passed away. Xiongnu then appointed his younger brother, Left Grand Commandant Qiedihou, as the new Chanyu. The Emperor desired to take advantage of the momentum from the campaign against Dayuan to further pressurize the Xiongnu. Therefore, he issued a decree stating, “The Emperor Gaozu passed down the thorny grief of the Pingcheng; then during the reign of Empress Dowager Gao(Express Lü), the Chanyu wrote the blasphemous letter, cutting off communication. As in the past when Duke Xiang of Qi avenged a nine-generation vendetta, the Spring and Autumn Annals thought his act was righteous.”
The newly installed Chanyu, fearing an attack from the Han, declared, “How could I as a son-in-law dare to compare to the Han Emperor? The Han Emperor is my father-in-law’s lineage.” He sent back the Han envoys who had been detained yet not submitted to Xiongnu, such as Lu Chongguo, and also sent diplomats to the Han court with gifts.
Reflection by Rio Grande 
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