Yiming Yang’s Blog

Comprehensive Reflections to Aid in Governance

By Sima Guang

Translated By Yiming Yang 

Annals of Han Book 3 Scroll 11(continued)

The 7th year of the Emperor Gaozu (200 B.C.)

In October, during the winter, the Changle Palace was completed, and the monarchs and ministers gathered to pay their respects. Early in the morning, the internuncios arranged the ceremony and led the guests into the palace in proper order, standing in rows facing east or west. Guards stood with halberds in hand on the steps or in the courtyard, while flags and banners were raised. When the alert was announced, the Emperor’s carriage emerged from the chamber. The princes followed, down to the officials with a salary of 600 picul, all coming to congratulate the Emperor, trembling in awe and respect.

After the ceremony, a banquet was held. The attendants sat in the palace hall, all prostrating in salute and bowing their heads in reverence, and toasts were raised according to rank. After nine rounds, the internuncios announced, “The wine is being served,” and the officials in charge of discipline escorted out anyone who did not follow the proper etiquette. The banquet lasted all day, and no one behaved improperly. The Emperor then said, “Today, I truly understand the esteem of being an emperor!” He appointed Shusun Tong as the Minister of Ceremony and rewarded him with five hundred pounds of gold.

In earlier times, the empire of Qin ruled the realm and incorporated the ceremonial practices of the six states it had conquered, selecting and preserving those that emphasized respect for the ruler and the subordination of officials. When Shusun Tong re-established the imperial ritual system, some additions and omissions were made, but it largely followed the Qin model. The system retained the imperial titles, as well as the names of officials and palace buildings, with few modifications. Written records of the system were later compiled with the legal code and stored in the archives of the judicial officials. However, the judicial officials did not transmit the ritual system to people outside the court, and no commoners or administrators spoke of it.

Sima Guang’s commentary: The importance of rituals is enormous! When applied to oneself, they regulate one’s actions and behavior, ensuring all is done properly; when applied to the family, they establish distinctions between internal and external relations, fostering harmony among the nine kinship groups; when applied to the village, they create proper relationships between elders and youth, cultivating refined and graceful customs; when applied to the state, they ensure proper order between the ruler and ministers, leading to successful governance; when applied to the world, they bring submission from the monarchs and uphold justice. How can rituals be confined to seating arrangements in gathering or household management for the neighborhood order? Even with the wisdom of Emperor Gaozu, he praised Lu Jia’s words about ‘not governing on horseback despite winning the realm on horseback,’ and he admired Shusun Tong’s etiquette with great appreciation. Yet, the reason Gaozu couldn’t compare with the kings of the Three Dynasties was his failure in learning.

Had he sought the assistance of great scholars and governed the world through rituals, his achievements would have surpassed what we now see. It is a pity that Shusun Tong’s capacity was so limited! He merely took the scraps and remnants of ancient rituals, following popular customs, catering to public taste, and seeking favor for himself, allowing the rituals of the former kings to decline into obscurity. Isn’t that a painful loss? This is why Yang Xiong ridiculed him, saying: ‘In ancient times, there were great scholars in Lu, but their names were lost. Someone asked: “Why were they great?” The answer was: “Shusun Tong wanted to regulate etiquette between ruler and ministers and called for scholars from Lu, but two great scholars refused to comply.” Someone asked: “Did Confucius not travel among the monarchs and serve them?” The answer was: “Confucius paved the way for his own ideals. Had he compromised his principle to fit others, wouldn’t he have implemented his own rules and standards?”

What an excellent remark from Yang Xiong! How could a great scholar demolish his principles and abandon rules and standards, for the sake of temporary honor and reward?”

The Emperor personally led the campaign against King of Hán, Xin, defeating his army at Tongdi and beheading General Wang Xi. Xin fled and sought refuge with the Xiongnu. Wanqiu Chen and Wang Huang, from Baitu county, enthroned Zhao Li, a descendant of the Zhao clan, as king. They gathered the remnants of Xin‘s scattered forces and planned a joint attack on the Han Dynasty with Xin and the Xiongnu. The Xiongnu dispatched the Left and Right Tuqi Kings, leading over ten thousand cavalry, who stationed themselves south of Guangwu county and reached Jinyang city. The Han army attacked, defeating the Xiongnu, who fled and then regrouped, the Han army pursued them, riding on their recent victories. However, a severe cold spell with rain and snow caused two or three out of every ten soldiers to lose fingers to frostbite.

While the Emperor was in Jinyang, he received news that Modu Chanyu had stationed troops at Daigu and was preparing to attack. He sent scouts to assess the Xiongnu. Modu Chanyu had concealed his strongest warriors and horses, leaving only the old, weak, and thin livestock visible. Ten messengers were sent, all reporting that the Xiongnu were vulnerable. The Emperor then dispatched Liu Jing as an envoy to Xiongnu, but before his return, the Han army advanced north with 320,000 soldiers, crossing Gouzhu Pass. When Liu Jing returned, he reported, “When two countries go to war, they exaggerate their strengths and hide their weaknesses. However, I saw only the weak, thin, and old, suggesting they intentionally suggesting they intentionally showed their weakness to lure us into an ambush. In my opinion, the Xiongnu cannot be attacked at this moment.”

By this point, the Han army was already on the move, and the Emperor, angered by Liu Jing‘s report, cursed him, “You, a mere prisoner from Qi, gained your position through eloquence, and now you spout nonsense to lower our army’s morale!” Liu Jing was then arrested and shackled in Guangwu.

The Emperor arrived at Pingcheng, but not all his troops had assembled. Modu Chanyu mobilized 400,000 elite cavalry and besieged the Emperor at Baideng Terrace for seven days. The Han forces were unable to provide mutual aid or receive supplies. The Emperor used Chen Ping‘s secret strategy, sending a messenger to bribe Yanzhi, the Xiongnu queen, with a generous reward. Yanzhi advised Modu Chanyu, “The two rulers should not pounce on each other like this. Even if you seize Han territory, you cannot hold it permanently. Moreover, the Han ruler is also protected by divine spirits. The Chanyu should be very cautious.”

Modu Chanyu had arranged to meet Wang Huang and Zhao Li, but their troops never arrived, making him suspect they had conspired with the Han. As a result, he released part of the siege. A thick fog shrouded the area, allowing Han messengers to move back and forth unnoticed by the Xiongnu. Chen Ping advised loading strong crossbows with two arrows each, and sending them out with arrows pointing to enemies, from the side where the siege had been lifted. The Emperor escaped the siege but wanted to move forward quickly. However, Grand Coachman–Duke of Teng, Xiahou Ying, insisted on proceeding slowly. Upon reaching Pingcheng, the rest of the Han army had arrived, and the Xiongnu cavalry retreated. The Han forces then withdrew, assigning Fan Kuai to stabilize the Dai commandery.

The Emperor arrived at Guangwu and pardoned Liu Jing, saying, “I failed to heed your advice, which led to the siege at Pingcheng. I have already executed the previous ten envoys who misinformed me.” He then granted Liu Jing the title of Marquis of Jianxin, along with two thousand households. Continuing south to Quni county, the Emperor remarked, “What a magnificent county! I have traveled throughout the empire, but only Luoyang and this place impress me.” He granted Chen Ping the title of Marquis of Quni and bestowed the entire county as his fiefdom. Chen Ping had accompanied the Emperor on campaigns and devised six original strategies, each of which led to an expansion of his fief.

In December, the Emperor returned and passed through the kingdom of Zhao. The King of Zhao, Zhang Ao, who was the Emperor’s son-in-law, humbled himself and treated the Emperor with utmost esteem, while the Emperor sat with his legs wide open, openly insulting Zhang Ao. This enraged the prime minister of Zhao, Guan Gao, along with Zhao Wu and others, who said, “Our king is a coward!” They approached Zhang Ao with fury, “The empire is up for grabs. Only those with courage seize power. Your Excellency humbles before the Emperor deferentially, but he shows you no respect. We want to kill him on your behalf!”

Zhang Ao bit his finger until it bled and replied, “You are wrong! Our ancestors lost their kingdom, but it was through the Emperor’s help that we regained it. His virtue has benefited our descendants, and all we have is thanks to his power. I hope you never speak like that again!”

Guan Gao, Zhao Wu, and the others conferred among themselves, “We should not have spoken to the king that way. Our king is a man of integrity and will not betray his loyalty. Even if we wish to kill the Emperor for insulting our king, why should we implicate the king? If we succeed, the credit will go to him; if we fail, we alone will face the consequences!”

The Xiongnu attacked the kingdom Dai, and the King of Dai, Liu Xi (the Emperor’s older brother), abandoned his kingdom without a fight. He returned to the capital, was pardoned, and demoted to the Marquis of He’yang. On January 17, the Emperor’s son, Prince Liu Ruyi, was installed as the new King of Dai.

In February, the Emperor arrived at Chang’an. Xiao He oversaw the construction of the Weiyang Palace, which greatly impressed the Emperor. However, the Emperor was furious, saying to Xiao He, “The world is in chaos, and we have been at war for years with the outcome still uncertain. Why are you focused on building such an extravagant palace?”

Xiao He responded, “Precisely because the world is still unstable, we should seize this opportunity to build. Moreover, the Emperor considers the four seas as his home, and without grandeur, he cannot command respect. It is also important to leave a legacy that future generations cannot surpass.” The Emperor was pleased with this explanation.

Sima Guang‘s commentary: A king should make benevolence and righteousness his grandeur, and moral integrity his source of awe. I have never heard that filling the world with palaces and halls is a way to demonstrate dominance. When the world is unsettled, one must practice restraint and fiscal responsibility to meet the needs of the people. To prioritize palaces and halls—how can this reflect an understanding of what is truly important? In the past, Emperor Yǔ lived in humbled palace, while Xia Jíe built extravagant ones and lost his empire. A founding lord should practice frugality and set an example for his descendants. Even the last ruler of a dynasty, despite the example of frugality, eventually succumbed to exorbitance—how much more will they be corrupted by being shown the example of indulgence? Moreover, to say “do not let future generations surpass it”—is this not a grave mistake? Emperor Wu, after all, ultimately ruined the country by overspending on palaces and halls, a trend perhaps initiated by Marquis Zan.

The Emperor moved the capital from Yueyang to Chang’an. The Ministry of the Imperial Clan was first established to rank the genealogical records of the imperial family. In April, during the summer, the Emperor traveled to Luoyang.