Tag: Emperor Wu of Han

Comprehensive Reflections to Aid in Governance

By Sima Guang

Translated By Yiming Yang  

Annals of Han Book 9 Scroll 17 (continued)

The 1st year of the Emperor Wu’s Jianyuan Era (140 B.C. continued)

Zhuang Zhu of Kuaiji commandery also participated in the exam, he was appointed as a Grandee of the Palace. However, Chancellor Wei Wan reported that some of the officials recommended as talents were actually promoting ideas that were disruptive to the state’s governance, such as those from the schools of Shen Buhai, Han Fei, Su Qin, and Zhang Yi. He requested that they all be removed from their positions. This request was approved by the Emperor.

Dong Zhongshu had studied the “Spring and Autumn Annals” from a young age and served as an Erudite during the reign of Emperor Jing. He was known for his modesty, proper conduct, and adherence to ritual, and scholars held him in high regard. When he became the Prime Minister of Jiangdu, he had to serve Prince Yi(Liu Fei), who was the Emperor’s older brother. Prince Yi had a reputation for being insolent and fond of showing off his martial force and bravery. However, under the guidance of Dong Zhongshu, he began to show more respect for ritual and propriety.

In February of spring, there was a general amnesty.

In March, coins weighing three zhu(1/24 of a tael) were put into circulation.

In June of the summer, the Chancellor Wei Wan was dismissed from his position. On June 7, the Marquis of Weiqi, Dou Ying, was appointed as the Chancellor, and the Marquis of Wu’an, Tian Fen, was appointed as the Grand Commandant. The Emperor had a predilection in Confucianism, and both Dou Ying and Tian Fen were apostles of Confucianism. They strongly recommended Zhao Wan of Dai as the Grand Master of Censorate, Wang Zang of Lanling as the Chamberlain. Zhao Wan suggested the construction of a Hall of Mingtang(Bright Hall) for receiving foreign envoys and recommended his mentor, Mr. Shen(Shen Pei), to the Emperor.

In the autumn, the Emperor dispatched envoys bearing silk, jade, and carriages with secure seats drawn by four horses to summon Mr. Shen. Upon his arrival, Mr. Shen was granted audience. The Emperor, inquiring into the methods of suppressing disorder, received this reply from Mr. Shen, then over eighty years of age: “For one entrusted with governance, excessive speech is dispensable; it is essential to devote oneself to effective action.” The Emperor, then favoring literary pursuits, listened in silence. Nevertheless, in honor of Mr. Shen’s journey to the capital, he appointed him as Grand Master of the Palace.

Mr. Shen was quartered in the official residence of the Principality of Lu and thereafter charged with the establishment of the Hall of Mingtang(Bright Hall), the conduct of imperial inspections and excursions, the reform of the calendar, and the regulation of the color and style of official robes.

In that year, the Minister of the Interior, Ning Cheng, was convicted of a crime and punished by being shaved off his hair and shackled.

The 2nd year of the Emperor Wu’s Jianyuan Era (139 B.C.)

In October of winter, the Prince of Huainan, Liu An, came to the capital for an audience. The Emperor greatly esteemed Prince Liu An, due to his high stature as being his uncle and his exceptional intelligence. They would engage in conversation during banquets, and these discussions would often continue until late in the evening before they parted ways.

Prince Liu An also had a close relationship with the Marquis of Wu’an, Tian Fen, who went to welcome him at Bashang. The Marquis of Wu’an said, “Our Emperor has no crown prince yet, and Sire, as a grandson of Emperor Gaozu, is renowned for your benevolence and righteousness. When the Emperor’s chariot stops running[passing away] one day, who else but Sire should rightfully stand in his place?” Prince Liu An was overjoyed and generously rewarded the Marquis of Wu’an with gold, money, and other valuables.

At this time, Grand Empress Dowager Dou was a champion for the teachings of the Huangdi–Laozi school and disfavored Confucianists. Zhao Wan, fearing her wrath, advised against presenting state affairs to the Eastern Palace where the Grand Empress Dowager resided. Grand Empress Dowager Dou was furious and exclaimed, “Is he attempting to replicate the case of Xinyuan Ping?” She secretly collected evidence of illicit conduct involving Zhao Wan and Wang Zang, which she later used to accuse them before the Emperor. Consequently, Emperor Wu halted the Mingtang(Bright Hall) project and all other initiatives that had been set in motion. Zhao Wan and Wang Zang were arrested, and both took their own lives. Chancellor Dou Ying, Grand Commandant Tian Fen were dismissed.  Even Mr. Shen retired on excuse of illness.

Initially, during the reign of Emperor Jing, Shi fen, the Grand Tutor of the crown prince, and his four sons were all ranked officials with 2000 picul salary, collectively known as the “Lord of Ten Thousand picul”.  While the Lord of Ten-Thousand-picul lacked literary talent, he was renowned for his humility and prudence. Whenever his descendants, who had become minor officials, came to pay their respects, the Lord would receive them dressed in court attire, addressing them with their official title in lieu of their names. If any of his descendants made a mistake, he would not publicly rebuke them but walked into the side rooms, refusing to eat while sitting at the table. His sons would begin self-censure, inviting the elders to plead on their behalf, bare their backs and begged for forgiveness. Only after amending their behavior would the Lord pardon them. When his adult children or grandchildren were by his side, even at home in leasure, Shi Fen always wore his caps. During funerals that he presided over, he displayed profound grief and solemnity. The Shi Fen‘s descendants strictly adhered to his teachings, and their filial piety and respect were renowned throughout commanderies and principalities.

Therefore, when Zhao Wan and Wang Zang were punished for their literary braggadocio, Grand Empress Dowager Dou believed that Confucian scholars were glib talkers but lacked substance. She observed that the Lord of Ten Thousand picul‘s family lived by their principles without excessive verbosity. Consequently, she appointed Shi Fen’s eldest son, Shi Jian, as the Chamberlain and his younger son, Shi Qing, as the Minister of Interior. Shi Jian sat by the Emperor’s side and was known for his straightforwardness. Behind the scene, he spoke his mind soberly with no reservation.  During court sessions, he appeared as if he couldn’t speak. The Emperor highly favored him for this reason.

Shi Qing had previously served as the Grand Coachman, responsible for driving the imperial carriage. Once, when the Emperor asked how many horses were in the carriage, Shi Qing counted them all with his riding crop. Then he raised his hand, “Six horses,” indicating the count with his fingers. Among all the children of Shi Fen, Shi Qing was the most carefree and yet remained respectful.

Comprehensive Reflections to Aid in Governance

By Sima Guang

Translated By Yiming Yang  

Annals of Han Book 9 Scroll 17

Duration of 7 years

The 1st year of the Emperor Wu’s Jianyuan Era (140 B.C.)

In October of Winter, an edict was issued to select virtuous and upright individuals who fearlessly offered candid and sincere remonstrations. The Emperor personally engaged them in discussions, inquiring about the principles of governance throughout history and the present. More than a hundred individuals responded.

Dong Zhongshu of Guangchuan was one of those answered the call, who wrote:

“The Way (Dao) refers to the path that leads to effective governance. Benevolence, righteousness, propriety, and music are all essential components of this path. Therefore, even after a wise ruler has passed away, their descendants can maintain long-lasting peace and stability for hundreds of years. This is achieved through the influence of rituals, music, and moral education. Among rulers, no one doesn’t desire to maintain security and stability, yet numerous states stumble to ruin each day. This is because they fail to appoint the right individuals and adhere to the proper Way (Dao).

“The decline of the Zhou dynasty’s government during the times of King You and King Li of Zhou was not due to expiry of the Way, but rather because those rulers did not follow the correct path. It wasn’t until King Xuan of Zhou‘s reign that the legacy of the virtuous earlier kings was appreciated, old practices were revitalized and current deficiency were remedied, and the accomplishments of Kings Wen and King Wu of Zhou were illuminated. Through diligent efforts and constant pursuit of virtuous deeds, the Way of Zhou was rekindled, indicating the unwavering commitment to practicing goodness day and night.

“Confucius said, ‘It’s men that can promote the Way. Not the Way that promotes men.’ Therefore, the rise and fall of order and chaos depend on one’s own actions. If not by divine intervention, the ruler won’t lose its mandate. Only the misguided actions one takes result in the loss of control. Those who rule must rectify their hearts to rectify the court, rectify the court to rectify the officials, rectify the officials to rectify the people, and rectify the people to rectify the four corners of the realm. When the four corners are in harmony, none will dare to deviate from rectitude, and there will be no room for sinister forces to disrupt. This balance between Yin and Yang will bring harmony to the seasons, and the winds and rains will come in their proper time. All living beings will thrive in unison, and the blessings of life will flourish. Everything auspicious will come to fruition, and the path of benevolent rule will reach its fulfillment.

“Confucius said, ‘When the phoenix does not come, and the Yellow River does not yield a map carried by a dragon horse; I am finished.’ He lamented his inability to bring about these auspicious signs despite his aspirations, given his lowly status. Now, Your Majesty is honored as the Son of Heaven, possessing the wealth of the Four Seas. You occupy the position to bring about such auguries, with the power and wherewithal to make it happen. Your character is noble, your benevolence is profound, you are bright and good-hearted, and you care for the people and respect for scholars. You can be called a wise ruler. However, why haven’t the signs of beauty and blessings from heaven and earth manifested? It is because education and moral cultivation have not been established, and hence the people have not been on the right Way.

“The behavior of the people follows profit like water flowing downwards. Without the dams of education and levies of moral cultivation, it cannot be guided. The ancient kings understood this well. Therefore, they faced south and governed the world, all prioritizing education and moral cultivation. They established grand academies to educate the nation and set up local schools to refine their communities. They gradually nurtured the people’s benevolence, fostered harmony among them, and regulated their conduct through rituals. As a result, their punishments were light, and transgressions were rare because education and moral cultivation prevailed, and customs were refined.

“In times of turmoil, the wise rulers eradicated the remnants of chaos, restored education and moral cultivation, and elevated it to a higher level. Once education was established and customs were formed, the succeeding generations followed, and this virtuous cycle could last for five to six hundred years before decline sets in. Qin extinguished the path of the ancient sages, governing with expedience, and its regime lasted for only fourteen years before collapsing. Its lingering negative influence remains to this day.  The prevalent customs are shallow and immoral, people are obstinate and vehemently resist education, leading to a decadent state where governance is beyond repair.

“Allow me to use an analogy, if a musical instrument is out of tune, sometimes the strings must be replaced before it can be played. Similarly, if governance is not effective, changes must be made before it can be managed effectively. Since the Han Dynasty came to power, the desire to govern well has persisted, yet good governance remains elusive. This is due to the failure to implement necessary reforms when changes are necessary.

“I’ve heard that the governance of a virtuous ruler encompasses nurturing education in the youth and developing capability on the job in adulthood. They grant titles and rewards to cultivate their virtues and impose punishments to deter their vices. This way, the people become familiar with propriety and righteousness and refrain from offending their superiors.

“King Wu of Zhou undertook great endeavors to pacify turmoil and the Duke of Zhou established rituals and music to garnish the governance. As a result, during the heights of King Cheng of Zhou and King Kang of Zhou, the state prisons remained empty for over forty years. This demonstrates the gradual influence of education and the propagation of benevolence and righteousness. It’s not merely superficial cosmetics.

“However, during the Qin Dynasty, it was different. They followed the harsh laws of Shen Buhai and Shang Yang, endorsed the philosophy of Han Fei, despised the ways of previous emperors, and allowed wolf-like avarice and cruelty to become the norm. They prosecuted people based on their reputation rather than considering their deeds. Those striving for good were not necessarily spared of mistakes, and those bent for evil were not necessarily punished. This led to officials disguising their true intentions, outwardly respecting the emperor while harboring hidden agendas. Deception and shamelessness became common, leading to numerous criminal prosecutions and death sentences all over the place, but treacherous behavior persisted due to the deterioration of traditions and morality.

“Now that Your Majesty possesses the entire realm, and all submit to your rule, if the benefits are not felt by the common people, it seems that Your Majesty has yet to pay enough attention to this aspect. As the book of Zengzi(Master Zeng) said, ‘Respecting what one has learned leads to wisdom and clarity; acting upon what one knows brings greatness and radiance. Wisdom and greatness do not lie in anything else, but in the intention and effort one applies.’  I implore Your Majesty to take what you’ve heard and sincerely implement it within the court and practise it in your actions. Then, how different would you be from the Three Sage Kings(Yu the Great, King Tang of Shang, King Wen and King Wu of Zhou)?

“Indeed, if one does not cultivate scholars but seeks out the talented, it’s like desiring jewelry without cutting and polishing gems. The grandest form of nurturing scholars is none other than establishing a Grand Academy. The Grand Academy is the key to nurturing talents, the foundation of education and cultivation. Nowadays when soliciting the worthy from a commandery or a principality, the fact that no one meets the standard signifies that the Way of sage kings has often been fading into extinction.

“I implore Your Majesty to establish a Grand Academy, appoint distinguished teachers, and nurture scholars from all corners of the realm. Through rigorous assessments, then talents can be fully utilized and demonstrated. This would be a means to identify and recruit the outstanding and the capable. Today’s commandery prefect and county magistrates are leaders and teachers of the people. They carry out your instructions and propagate the principles of education and cultivation. If these leaders are not virtuous, then the noble virtues won’t be spread, and your benevolence and favor won’t be extended.

“At present, some officials have failed in teaching and instruction to the lower strata, and they may not even follow the laws and policies from above. They oppress the commoners, engage in corrupt practices with tricksters to make personal gain, and the poor, helpless, and mistreated suffer grievously due to officials’ neglect of duty. This situation doesn’t align with Your Majesty’s intentions. Hence, imbalances in Yin and Yang occur, disturbances in the natural order are abundant, the want and wellbeing of the multitude is not being taken care of. All of these stem from the unqualified local officials to understand their responsibilities, which has led to this sad state of affairs.

“Many high-ranking officials are often chosen from the sons and relatives of officials holding high positions like court guards, palace gentlemen and provincial officials whose stipends are above 2000 picul of grain.  Those officers in charge of selection are swayed by the candidates’ wealth rather than their qualifications. 

“In ancient times, ‘merit’ was defined by the ability to perform one’s official duties effectively, not by the duration of their service. Individuals with limited abilities would remain in his low positions, whereas a talent could become capable assistants of the court even with limited time on the job. Therefore, all the officials worked hard to strive for accomplishments. However, today’s situation is different. Officials stay over time to acquire seniority, accumulate years of service to get promotion. Consequently, ethical standards are eroded, and individuals of varying competence are thrust into a pool of appointees, it is difficult to test the genuine qualifications, distinguishing the worthy from the worthless.

“I humbly suggest that the various marquesses, commandery prefects, and officials of 2000 picul salary each select two talented individuals from among their subjects every year to serve as palace attendants. This practice will allow the court to observe the abilities of these individuals and reward those sponsors who contribute excellent candidates, while those who recommend the unworthy may be punished.

“By implementing such a system, all officials of high ranking will be motivated to seek out and promote talented individuals, ensuring that the best and brightest of the realm are appointed to government positions. If we can identify and employ talented individuals from across the nation, our empire will thrive, and we can aspire to achieve the glory of the Three Sovereigns (the legendary emperors of the ancient), reaching the fame of Emperor Yao and Shun (two virtuous ancient emperors). We should not promote individuals based solely on the time occupying a position but genuinely evaluate their competence. By assessing their abilities, measuring their qualifications, and considering their virtues, the career paths would differ for the upright and the tarnished, differentiating the worthy from the unbecoming.

“I have heard that many small actions accumulate into something great, and that from the obscure, greatness can emerge. Therefore, wise individuals always strive to transition from obscurity to prominence, from the insignificant to the noteworthy. This is why Emperor Yao emerged from among the many feudal lords, and Emperor Shun rose from the depths of the mountains. Their greatness did not happen overnight; rather, it was achieved gradually.

“Words spoken cannot be silenced, and actions taken cannot be concealed. The words and deeds of a leader are of utmost importance and have the power to move heaven and earth. Therefore, by performing well in small tasks, the great cause can be achieved, and by being meticulous about the subtle details, one can become distinguished.  Accumulating goodness within oneself is like the growth of body length, where increments are made daily without others noticing. Conversely, accumulating evil within oneself is like the gradual consumption of oil by fire, which may not be visible at first but leads to extinction. This is why the names of Emperor Yao and Shun are commemorated with awe, while Xia Jie and King Zhou of Shang are causes for remorse and trepidation.

“The practice which brings joy without causing disorder, and repeats the good deed without negligence, is known as the Way. The Way endures for all generations, while its loss results in decadence. The Way of the ancient sage-kings had invariably been carried out erroneously and required rectification. Therefore, in governance, there might be shortcomings that needed correction to restore the Way. The Way of the Three Sage-Kings had different foundations, not opposing each other but rather in need of rectifying excesses and bolstering weaknesses in the face of changing circumstances.

“Confucius, therefore, said, ‘Those who govern well by doing less, is it not Emperor Shun?’ Emperor Shun, for instance, merely changed the calendar and adjusted clothing colors to align with the mandate of Heaven. As for the rest, he adhered faithfully to the Way of Emperor Yao. Why should there be further changes? Thus, the term “changing institutions” for a king signifies adaptation, not altering the fundamental Way. Xia dynasty esteemed loyalty, Yin(Shang) dynasty valued respect, and Zhou dynasty revered rituals. These are the new emphases to address what needs correction.

“Confucius said, ‘The Yin(Shang) took over the rites of Xia; with discernment, their modifications may be traced. The Zhou inherited the rites of Yin(Shang); with discernment, their refinements may be traced. As for those who came after Zhou, their course may be known even after a hundred generations.’ Thus is revealed: the practices of all the kings are rooted in the three dynasties—Xia, Yin(Shang), and Zhou.

“Xia inherited from Yu(Emperor Yao), and though the records speak not of its alterations and embellishments, its Way was one and the same. The great origin of the Way lies in Heaven. Since Heaven is unchanging, the Way is likewise immutable. Therefore, when Yu (the Great) succeeded Shun, and Shun succeeded Yao, these three sages handed down the mandate, preserving a single and constant Way.

“This was governance without error, and so Confucius spoke not of reforms or innovations. Hence it may be seen: in times of good governance, successors hold fast to the Way; in times of misrule, they must depart from it and alter their course.

“Now, after the great chaos, it would be appropriate for the Han dynasty to slightly diminish Zhou‘s emphasis on rites and highlight Xia‘s loyalty. The world of ancient times is the same as the present world; it’s all one world. By using the ancient as a reference for the present, how could there be such a vast difference? Is there something missing from the ways of the ancients, or is there something contrary to the principles of heaven?

“Indeed, there are things that heaven has allotted for us: for those who have horns, it takes away their hooves; for those who have wings, it doubles their feet. This means that what is given in abundance cannot be used for trivial things. Similarly, in ancient times, those who received high positions and salary would no longer earn their living by labor, nor did they partake in superficial trades. This aligns with the heavenly principle that those who receive great blessings should not seek smaller gains.

“Those who have already received great blessings, yet continue to pursue petty gain—neither Heaven nor man can satisfy their greed. This is the root of the people’s resentment. They bask in imperial favor, hold lofty office, their households secure, their stipends generous. Yet with wealth and power in hand, they descend to compete with the common folk for profit. Who among the people could contend with them? Thus the people are driven from poverty into destitution. When the rich grow extravagant, the poor fall into ruin. When the multitude despair and see no path to livelihood, how can crimes not arise?

“Hence punishments multiply, yet wickedness is not curbed.

“Those who serve near the Son of Heaven are the example for the realm. The near observe their conduct, the far emulate their customs. How can they dwell in noble stations and act like commoners? To chase wealth with fear of want is the way of the vulgar; to strive for virtue with fear of failing the people is the heart of the Grandee. As the Book of Changes says: “He who carries a baggage yet rides in a carriage—this draws forth the bandit.” To ride in a carriage is the rank of the noble; to carry a baggage is the toil of the lowly. The meaning is plain: to dwell in a noble post and act as a commoner invites calamity.

“He who holds high office must uphold dignity, cleave to the rites, and abstain from petty trades. There was no better way than what the Prime Minister of Lu, Gongyi Xiu did, who forbade his kin to weave or till for profit because they lived on state salary.

“The Spring and Autumn Annals speak of a Great Principle, enduring as Heaven and Earth, constant from antiquity to the present. But now, a hundred schools contend, myriad teachings diverge, their interpretations scattered. The Great Principle is lost; laws shift with time; the people are confused and know not what to follow.

“In my humble judgment, teachings not rooted in the Six Classics or the methods of the Sage should be proscribed. Let them not multiply and endure alongside the orthodox Way. Then may heterodoxy wither, and true learning stand alone. Only thus can the laws be clarified, and the people come to know the path they must walk.”

The Emperor appreciated the wise counsel of Dong Zhongshu and appointed him as the Prime Minister of the Jiangdu Principality.