Author: Yiming Yang

Comprehensive Reflections to Aid in Governance

By Sima Guang

Translated By Yiming Yang  

Annals of Han Book 10 Scroll 18 (continued)

The 1st year of Emperor Wu’s Yuan’shuo Era (128 B.C. continued)

Zhufu Yan, Yan An of Linzi, and Xu Le of Wuzhong each submitted memorials to the court.

In his early years, Zhufu Yan journeyed through the principalities of Qi, Yan, and Zhao, seeking patronage, yet was met with disdain by the local scholars and found no means of livelihood. Thus he traveled west to the capital and presented a memorial at the palace gates. The memorial set forth nine proposals; of these, eight were later enacted as law. The remaining point, concerning the campaign against the Xiongnu, read as follows:

“The Methods of the Sima(Rangju) states: ‘A state obsessed with warfare, however vast, shall surely perish; a realm at peace, if unmindful of arms, shall fall into peril.’ Fervor stands in opposition to virtue; war is a weapon of destruction; contention is not essential to good governance. Those who pursue nothing but military triumph and are consumed by warfare shall, in the end, rue their endeavors.

“In the past, the First Emperor of Qin annexed the feudal states and strove endlessly for military conquest. He intended to attack the Xiongnu. Yet Li Si remonstrated with him, saying: ‘This must not be done. The Xiongnu possess no settled cities, no granaries or storehouses. They dwell in constant movement, like migratory birds. To conquer them is no easy task. Should Your Majesty send troops deep into their territory, the supply lines will break. If the soldiers carry their provisions, the weight of the rations will far exceed the gains of the expedition. Their land is of little use to us; their people cannot be governed. To defeat them would necessitate their extermination—this is not the way of a ruler who acts as the parent of his people. The campaign will impoverish the Central States and bring satisfaction only to the Xiongnu. This is no strategy for the long term.’

“The First Emperor heeded him not, but instead dispatched Meng Tian with a great army against the Xiongnu. The borders were extended by over a thousand li, and the Yellow River was set as the frontier. Yet the new territory was mired in swamps and salt marshes, unfit for the cultivation of the Five Grains. Troops were garrisoned north of the Yellow River for over a decade, exposed to the elements and suffering grievous losses. They could not press further, not for want of men or arms, but because the terrain was ill-suited to their aims. The empire was compelled to transport grain from the eastern coasts of Langya and the heartlands near Bohai Sea. One picul of grain came at the cost of thirty zhong [480 bushel]. Men toiled in the fields without rest, yet it did not suffice to feed the army. Women spun thread without ceasing, yet could not meet the demand for tents. The campaign beggared the realm. The old, the widowed, the orphaned, the frail—all were left to fend for themselves. The roads lay strewn with corpses. It was then that rebellion swept across the land, and the Qin fell.”

“When Emperor Gaozu of Han rose and unified the realm, he too sought to expand the frontiers. Learning that the Xiongnu had gathered beyond Dai Valley, he resolved to strike them. The Imperial Censor Cheng Jin submitted counsel: ‘This must not be done. The Xiongnu are like wild beasts—when they gather, they disperse again. To contend with them is like grasping at shadows. Your Majesty, though you possess great virtue, would be ill-served by confronting them in open war. I beg you to reconsider.’

“But Emperor Gaozu did not accept the remonstrance, and marched north to Dai Valley, where he was eventually besieged at Pingcheng. He repented too late. Thereafter, Liu Jing was dispatched to make peace with the Xiongnu, and only then was tranquility restored to the realm.

“The Xiongnu are not a people to be subdued in one generation. Their customs, rooted in pillage and foray, are innate and enduring. From the time of Yu the Great through dynasties of Xia, Shang, and Zhou, none have ever taxed them or ruled over them. We have regarded them as beasts, not subjects. If now, Your Majesty does not follow the example of the sages of antiquity, but instead repeats the missteps of the recent past, I fear this will be the root of great sorrow for the people.”

Yan An submitted a memorandum, stating:

“Today, the people of the realm revel in extravagance. They vie to outdo one another in adorning carriages and steeds, in donning furs and silks, in the construction of opulent mansions. They attune the five musical tones to perfect harmony, blend the five colors to dazzle the eye, and obsess over the five flavors laid upon their tables. Such displays are now held as the ideal throughout the land. When the people behold what is beautiful, they aspire to it; thus, without intent, the state instructs the people in excess.

“But unchecked luxury is unsustainable. When people abandon their roots in pursuit of the superficial, their foundations are lost. The fleeting adornments of wealth corrupt the heart. Thus, those clad in official robes resort to fraud without shame, and those who bear arms speak proudly of killing, that they might plunder the property of others. The realm grows envious of wrongdoers who escape justice; and so, lawbreakers multiply.

“I humbly propose the establishment of a systematic order to restrain such tendencies—to prevent indulgence, to temper the ostentatious swaggers by the wealthy, to bring repose to the people’s minds. When the heart is at peace, theft and robbery decline, punishment diminishes, harmony prevails, and all things flourish.

“In former times, the First Emperor of Qin harbored vast ambitions. Wishing to awe distant lands, he dispatched Meng Tian north to contend with the Xiongnu, and sent  Commandant Tu Sui to lead the navy ships to strike the Yue through the waterway. Thus Qin found itself imperiled on two fronts—north by the Xiongnu, south by the Yue. The armies were stationed in barren lands, compelled to advance without hope of retreat. For more than ten years, men were conscripted without rest, and women were driven to labor in transport, enduring boundless hardship. The roads were lined with the bodies of the hanged; corpses littered every path. Upon the death of the First Emperor, rebellion swept the empire, and the Qin perished—brought low by its own excess of militarism.

“The Zhou House fell for its weakness; the Qin, for its excess of force. Both succumbed to the same ailment: the failure to adapt.

“Now, as we pursue the Western Barbarians, lure Yelang to show fealty, subdue the Qiang and Bo tribes, press into Yemaek, raise colonial cities, and march deep into  the Xiongnu and torch its capital, there are those who celebrate such exploits. Yet these are not the strategies of enduring rule, but rather the ambitions of those who serve within the court.”

Xu Le submitted a memorandum, stating:

“Your servant has heard it said: the peril of a state lies not in the collapse of its roof, but in the crumbling of its foundations. This principle has held true from ancient times to the present day.

“What is meant by the crumbling of foundations? Consider the fall of the Qin. Chen Sheng, though neither a lord commanding ten thousand chariots, nor master of a fief, held no noble title, bore no illustrious lineage. He was not famed like Confucius, Zengzi, or Mozi, nor wealthy like Mr. Taozhu[Fan Li] and Yi Dun. Yet, from lowly station, he rose—gathering the impoverished, giving voice to their anguish, and winning the hearts of the people. How did this happen? It was because the plight of the people went unheard by the rulers, the grievances of the lowly went unseen, and the decay of morals went uncorrected. These three ills became Chen Sheng’s strength and Qin’s undoing. Thus it is said: the peril of a nation lies in the collapse of its foundations.

“And what is meant by the disintegration of the roof? This refers to the insurrection of the principalities of Wu, Chu, Qi, and Zhao. The seven princes rose in concerted rebellion, each a sovereign in his own right, commanding ten thousand chariots and myriad troops, possessing fortified cities, ample wealth, and strong soldiers. Yet none could advance westward; all were crushed in the heartland. Why? Not because their power was less than Chen Sheng’s, nor their military forces were weaker. Rather, the virtue of the reigning emperor had not yet decayed, and the common people remained accustomed to the order he preserved. Thus the monarchs found no support among the people. This is what is called the disintegration of the roof. Therefore, it is said: the peril of a nation lies not in disintegration.

“These two cases mark the distinction between safety and peril. It is the duty of the enlightened ruler to grasp their essence with clarity and foresight.

“Now, in recent years, the eastern provinces have suffered poor harvests. The people struggle under growing hardship. Add to this the strain of border campaigns, and by all signs and measures, their burdens grow ever heavier. Where hardship accumulates, unrest follows. Where unrest festers, the foundations begin to crack. This, too, is a sign of the foundation collapsing.

“Therefore, a wise sovereign must perceive the hidden stirrings of change before they become manifest, discern the fragile threshold between order and disorder, and rectify the upper echelons of governance so as to avert the faintest sign of foundational crumbling.”

Upon reading their memorials, the Emperor summoned the three men to court. He sighed deeply and said, “Where have you been until now? It is a sorrow that we have not met earlier.” He thereupon appointed them as Gentlemen-in-waiting.

Of the three, Zhufu Yan soon gained great favor. Within a single year, he was promoted four times and rose to become Grandee of the Palace. Bold in speech and sharp in counsel, he struck fear into the hearts of other ministers. Many, seeking to shield themselves from his censure, sent him bribes worth thousands in gold.

When someone accused him of audacity and overreach, Zhufu Yan replied, “If I cannot feast on delicacies served from five tripod cauldrons in the rites of state, then I would rather be boiled alive in those same five cauldrons!”

The 2nd year of Emperor Wu’s Yuan’shuo Era (127 B.C.)

In the winter season, the Emperor conferred upon the Prince of Huainan a cane and a tea table, and granted him exemption from court attendance.

Zhufu Yan memorialized the throne, saying:

“In high antiquity, the feudal lords governed domains no greater than one hundred li in breadth, their power restrained, their authority easily checked. Now, the princes command multiple cities across distances spanning thousands of li. When treated with leniency, they grow haughty and indulgent, giving rise to disorder. Yet when swift and severe action is taken, they may form an alliance in rebellion, threatening the capital itself.

“To reduce their strength by law invites peril, as was the case with Chao Cuo, who met his end through such means. At present, many of the lords have a dozen sons or more. Yet only the heir-apparent(the eldest legitimate son) receives the fief, while the rest—though of the same blood—are left without land or title. Thus, filial affection and fraternal harmony do not extend far and apparent.

“I respectfully request that Your Majesty allow the feudal lords to bestow favor around and assign land to their other legatees, granting them titles and territories. This will bring great joy to each individual as they satisfy their desires. By spreading the grace and dividing the land justly, the central authority will be strengthened without taking away from the monarchs, the principalities will be gradually weakened without the appearance of diminution.”

The Emperor approved this counsel.

In January of spring, an edict(Spread of Grace) was proclaimed: “Those among the princes who wish to bestow lands upon their non-heir sons shall submit petitions for imperial review. We shall personally confer their titles and determine their ranks.”

Henceforth began the division of fiefs within the vassal domains, and the younger sons received marquisates by inheritance.

The Xiongnu invaded Shanggu and Yuyang, killing and capturing more than one thousand officials and commoners. In response, the Sovereign dispatched Generals Wei Qing and Li Xi, who set out from Yunzhong westward to Longxi, and thereupon launched an assault against the Xiongnu chieftains, the King of Loufan and the King of Baiyang, south of the Yellow River. They captured several thousand Xiongnu people, seized over a million head of cattle and sheep, and, driving away the Kings of Loufan and Baiyang, occupied the lands south of the Yellow River.

For this, the Emperor conferred upon Wei Qing the title of Marquis of Changping. His subordinates, Colonels Su Jian and Zhang Cigong, also rendered distinguished service. Su Jian was ennobled as Marquis of Pingling, and Zhang Cigong as Marquis of Antou.

Zhufu Yan memorialized the Emperor: “The land south of the Yellow River is fertile and well shielded by the river’s natural barrier. If cities are built there to repel the Xiongnu, and the transport of provisions is maintained steadily within, the Middle Kingdom will expand, and the strongholds of the Xiongnu shall be annihilated.”

When deliberated upon in court, most officials opposed the measure. Yet the Emperor ultimately accepted Zhufu Yan’s proposal and established Shuofang Commandery. Su Jian was ordered to lead over one hundred thousand men to construct the city of Shuofang, repairing and expanding the old fortifications built by Meng Tian in the Qin era, and reinforcing them along the Yellow River.

The undertaking strained the realm’s resources. The people to the east of the Xiao Mountains bore the brunt of the burden, and the labor and transport depleted the granaries. The expenses ran into tens and hundreds of millions, draining the imperial treasury. Moreover, the distant and exposed Zaoyang County in Shanggu, protruding into the wilderness like a pan-handle, was relinquished and left to the Xiongnu.

On March 30, there was an eclipse.

In the summer, the court relocated one hundred thousand settlers to Shuofang.

Zhufu Yan again offered counsel: “Now that the mausoleum of Maoling has been established, let the influential households, as well as the unruly and the defiant from all regions, be relocated there. In this way, the capital will be fortified in strength, while disruptive elements are removed without the shedding of blood.”

The Emperor approved. Those tycoons whose net worth surpassed three million coins from various commanderies and principalities were thereafter resettled in Maoling.