Comprehensive Reflections to Aid in Governance
By Sima Guang
Translated By Yiming Yang
Annals of Han Book 23 Scroll 31 (continued)
The 3rd year of Emperor Cheng’s Yongshi Era (14 B.C.)
In spring, on January 31, a solar eclipse occurred.
Earlier, the Emperor had followed the advice of Kuang Heng and abolished the Taiyi(North Star) Altar at Ganquan. On that very day, a violent wind struck the Bamboo Palace at Ganquan, breaking and uprooting more than a hundred trees—each with a circumference of ten men’s embraces or more—within the precincts of the Taiyi Altar. The Emperor found this extraordinary and asked Liu Xiang for his view. Liu Xiang replied:
“Even a single household does not wish to sever its ancestral rites—how much less should the state abandon its ancient altars dedicated to the deities. Moreover, when the altars at Ganquan, Fenyin, and the Five-Deity Altar at Yong were first established, each was preceded by divine signs and miraculous responses; they were not founded lightly. In the reigns of Emperor Wu and Emperor Xuan, these three gods were worshiped with full ritual and reverence, and their numinous power was especially manifest. The sacred sites established by our ancestors are truly not easy to alter. Previously, in accepting Gong Yu’s proposal, Your predecessor abolished these altars, and later administrations followed suit, though the basis for doing so was shaky. The Great Commentary to the Book of Changes says, ‘To deceive the spirits brings calamity upon three generations.’ I am afraid that the blame will not end with Gong Yu and his ilk.”
The Emperor thereafter harbored resentment toward Gong Yu. As he had long been without an heir, in winter, on October 5, he reported to the Empress Dowager and ordered the officials to restore the Taiyi Altar at Ganquan, the Earth Altar at Fenyin, the Five-Deity Altar at Yong, the Treasure Ancestral Temple[for a meteorite] at Chencang, as well as the renowned altars in Chang’an and the celebrated temples in the various princedoms, all to their former state.
At that time, the Emperor, still without an heir, had become deeply interested in spirits and supernatural practices. Many people submitted writings on rituals and occult arts, and crowds sought audiences to discuss such matters. The expenses for sacrifices and ceremonies grew exceedingly heavy. Gu Yong advised the Emperor, saying:
“I have heard that those who understand the nature of Heaven and Earth cannot be deceived by supernatural phenomena, and those who comprehend the nature of all things cannot be misled by the falsehoods of occultists. Those who abandon the upright path of benevolence and righteousness, who do not follow the teachings of the Five Classics, but instead exalt esoteric spirits and portents, expand sacrifices to futile shrines in search of blessings, claim that immortals walk among men, take elixirs said to prolong life without end, and practice alchemy promising levitation and miraculous transformations—these are all charlatans who delude the multitude. They harbor hidden designs and falsehoods to deceive the rulers of the world. To listen to them is to have one’s ears filled with things that seem attainable, yet to pursue them is like trying to seize the wind or grasp a shadow—utterly impossible. Therefore, wise kings keep their distance from such practices and do not heed them, and sages avoid speaking of them altogether.
“In former times, when the First Emperor of Qin sent Xu Fu with men and women across the seas to seek immortals and elixirs, they fled and never returned, sowing resentment throughout the realm. After the rise of the Han, figures such as Xin Yuanping, Li Shaoweng of Qi, Gongsun Qing, and Luan Da all gained notoriety through deceitful arts and were ultimately executed for their frauds. Only if Your Majesty keeps such practices at a distance can you prevent swindlers from gaining access to the court.”
The Emperor approved what Gu Yong said.
In November, thirteen men of Weishi county, including Fan Bing, plotted rebellion. They killed the Prefect of Chenliu, plundered officials and commoners, and proclaimed themselves generals. Corvée laborers Li Tan, Cheng Zhong, Zhong Zu, and Zi Shun joined together to kill Fan Bing and were lauded in the court; all were enfeoffed as marquises.
In December, two hundred and twenty-eight corvée laborers under the Iron Production Office of Shanyang, led by Su Ling, rose in revolt. They attacked and killed the chief officials, seized weapons from the armory, and styled themselves generals. Passing through nineteen commanderies and principalities, they killed the Prefect of Dongjun and the Commandant of Runan. Yan Xin, Prefect of Runan, captured and beheaded Su Ling and his cohorts. Yan Xin was promoted to Grand Minister of Agriculture.
Mei Fu of Jiujiang, formerly Commandant of Nanchang, submitted a memorial:
“In the past Emperor Gaozu of Han accepted worthy counsel as though he could never take in fast enough of it and followed remonstrance as smoothly as a wheel turns. In hearing men’s words, he did not inquire into their credentials; in advancing men for merit, he did not scrutinize their previous status or past deeds. Chen Ping rose from the condition of a fugitive to become chief counselor; Han Xin was lifted from the ranks and established as Supreme General. Therefore, the gentlemen of all under Heaven gathered like clouds and attached to Han, competing to present what was rare and extraordinary: the wise exhausted their stratagems, the dull poured out their thoughts, the brave exerted the utmost of their integrity, and even the timid strove to the point of death. By uniting the wisdom of the world and combining the might of the world, he lifted Qin as though it were a swan’s feather and took Chu as though picking up what had been cast aside. This is why Emperor Gaozu stood without equal in All-under-Heaven.
“Emperor Wu admired loyal counsel and cherished wise words, bestowing titles without waiting for local recommendation and granting rewards without requiring conspicuous merit. As a result, commoners from across the realm sharpened their ambitions and devoted their efforts to the court, with countless men presenting their talents. Thus, the Han dynasty flourished in its ability to attract worthy individuals. Yet had Emperor Wu fully heeded their plans, a reign of peace might have been achieved. Instead, bodies were heaped and bones lay exposed, merely to satisfy his desire of conquering the nomads and the Yue peoples, leading to the rebellion of Prince of Huainan, Liu An. The reason Liu An’s plots were uncovered and his schemes leaked was that so many virtuous men had gathered at the imperial court that the ministers of Prince of Huainan hesitated and dared not conspire.
“Nowadays, commoners, peering into the state’s weaknesses and seizing opportunities to rebel—like those in Shu Commandery and the runaway Su Ling’s band in Shanyang, who invaded major cities and commanderies seeking allies and followers—show that they fear no officials. The state’s authority is light, so even ordinary men dare to contend with the Emperor. Talented individuals are the nation’s vital assets: to gain them is to grow strong, to lose them is to display weakness. The Book of Songs says, ‘A multitude of worthy men brought peace under King Wen of Zhou.’
“The deliberations of the imperial court are not meant to be spoken of by those in the fields or in straw huts. I am afraid that my body may become fodder for wild grass and my corpse lie among the fallen soldiers; thus I have repeatedly sought an audience, only to be dismissed. I have heard that in the time of Duke Huan of Qi, there were those who presented even a multiplication table, and Duke Huan did not reject them, seeking thereby to draw in greatness. What I now submit is far more than a multiplication table, yet Your Majesty has dismissed me three times. This is why the talents of the world do not come forward.
“In former days, when King Wu of Qin admired strength, he allowed Ren Bi to knock at the gates to recommend himself. Duke Mu of Qin achieved preeminence when You Yu returned from the Western Rong and aligned with him. If Your Majesty wishes to attract the talents of the world, then whenever someone petitions for an audience, refer him at once to the State Secretariat. If his words are worthy of adoption, reward him with a modest stipend and a bolt of silk. This will encourage scholars throughout the realm to speak their true minds and offer wise strategies day by day. Then the world will be set in order, and the state, within and without, will be clear and transparent.
“Considering the vastness of the Four Seas and the multitude of scholars and commoners, many are able to speak with insight. Yet those who can eloquently articulate policies, present well-formed arguments, test their ideas against the sages of antiquity, and apply them aptly to present affairs are few. Thus, titles and bolts of silk are the whetstones of the world—this is how Emperor Gaozu honed and sharpened the blades of his age. Confucius said, ‘A craftsman who wishes to perfect his work must first sharpen his tools.’ The Qin dynasty, however, failed to follow this principle: it cast nets of slander that drove talent to Han, turning its own blade against itself and handing the hilt to Chu. By not losing the handle, even amid disorder in the realm, no one would dare challenge its edge. In this way Emperor Wu expanded the frontiers, established great achievements, and became the revered progenitor of the Han.
“Now, Your Majesty, not only do you refuse to receive the words of the people, you slew them for speaking out. When hawks and magpies are harmed, the phoenix flies away; when the foolish are punished, the wise retreat even farther. Recently, many unlearned commoners have submitted petitions, often violating minor statutes, and many have been handed over to the Minister of Justice and executed. Since the Yangshuo era, people throughout the empire have regarded speaking out as a taboo, especially at court. The ministers all conform to Your Majesty’s wishes, and none hold fast to what is right. How, then, can the truth be heard? Take those petitions from the people that Your Majesty approves and refer them to the Minister of Justice; he will surely reply, ‘This is not fit to be discussed; it is gravely disrespectful.’ Try this, and it will not fail.
“The former Intendant of Jingzhao, Wang Zhang, was by nature loyal and plain-spoken. He dared to argue directly at court, and Emperor Yuan promoted him to rouse the ministers and correct the court’s faults. Yet in Your Majesty’s reign he and his family were put to death. When one punishes evil, the penalty should fall on the person alone. Wang Zhang did not commit treason, yet his entire household was destroyed—breaking the spirit of upright officials and silencing those who would remonstrate. All the ministers knew this was wrong, yet none dared to speak. The greatest peril to a state is when the public is afraid to speak their minds. I beg Your Majesty to follow the path of Emperor Gaozu, avoid the errors of fallen Qin, abolish trivial statutes, and issue an edict encouraging free expression. Then Your Majesty will hear widely, seek counsel even from the humble, and ensure that deep thinkers are not concealed and distant voices not cut off. This is what is called ‘opening the four gates and clearing four views.’
“The past cannot be undone, but the future can still be set right. At present, ministers violate imperial decrees, the Emperor’s authority is diminished, and the power of affinal relatives grows by the day. If Your Majesty does not see their actions, then at least perceive their effects. Since the Jianshi era, solar eclipses and earthquakes have occurred at triple the frequency recorded in earlier times in the Spring and Autumn Annals, and floods have been innumerable and without precedent. Yin forces flourish while Yang declines; molten metal and iron fly like stars. What do such signs foretell?
“Since the founding of the Han dynasty, there have been three great crises to the state: the Lü clan, the Huo clan, and the Shangguan clan—all families of empresses. The proper way to treat kin is to support them with worthy teachers and good mentors, instructing them in loyalty and filial piety. Yet instead they are honored and indulged, given high office, and allowed to grow arrogant and unruly, bringing about their own destruction. This is a profound failure in the governance of kinship.
“Even one as virtuous as Huo Guang could not secure the future of his descendants, showing that when the power of great ministers changes hands, danger inevitably follows. The Book of Documents says, ‘Do not be like fire, which begins with a single spark.’ When a minister’s power overshadows the ruler and his authority rises above that of the sovereign, it is already too late to avert calamity.”
The Emperor did not accept this counsel.
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