Comprehensive Reflections to Aid in Governance
By Sima Guang
Translated By Yiming Yang
Annals of Han Book 26 Scroll 34 (continued)

The 4th Year of Emperor Ai’s Jianping Era (3 B.C. continued)
Xiongnu Chanyu submitted a letter expressing his desire to visit the Han court once every five years. At that time, the Emperor was ill, and some argued: “The Xiongnu come from the upper reaches and bring ill fortune. In the Huanglong(49 B.C.) and Jingning(33 B.C.) eras, when the Chanyu came to the Middle Kingdom, great misfortunes followed.” For this reason, the Emperor hesitated and consulted the ministers, who likewise believed that facilitating the Chanyu’s visit at such a time would only burden the state treasury. Accordingly, the Chanyu’s envoy made preparations to depart. Before he left, however, Yang Xiong, Attendant at the Yellow Gate, submitted a memorial advising against this decision:
“I have heard that the governance taught in the Six Classics values preventing disorder before it arises, and that the art of war values securing victory before battle is joined. These principles may appear subtle and ineffable, yet they are the foundation of great affairs and cannot be neglected. Now the Chanyu has written to request an audience, but the state has refused him and turned his envoy away. In my foolishness, I believe that from this moment a breach will open between Han and Xiongnu. The Xiongnu were a people whom the Five Emperors(Yellow Emperor, Emperor Zhuanxu, Emperor Ku, Emperor Yao, and Emperor Shun) could not make their subjects, nor could the Three Sovereigns(Yu, the Great, King Tang of Shang, King Wu of Zhou) bring them fully under control. That they have now been brought to submission is therefore most manifest.
“I dare not range too far into remote antiquity, but shall instead take examples from the Qin onward to make the matter clear. Despite the might of the First Emperor of Qin and the power of General Meng Tian, they still did not dare press beyond the Western River, and so they built the Great Wall to mark the boundary. Then, when the Han dynasty first rose, despite the majesty and martial authority of Emperor Gaozu, an army of three hundred thousand men was besieged at Pingcheng. At that time, though there were many able strategists and wise ministers, the means by which they escaped remain unknown to this day. Later, during the reign of Empress Lü, the Xiongnu behaved with arrogance and insolence, and were appeased only through secret letters sent by powerful ministers.
“During the reign of Emperor Wen, the Xiongnu invaded and plundered the northern frontier, and their scouts reached Yong and Ganquan. The capital was thrown into alarm, and three generals were dispatched to garrison Xiliu, Jimen, and Bashang as a precaution, remaining there for several months before being withdrawn. When Emperor Wu ascended the throne, he attempted to entice the Xiongnu into the trap at Mayi, but the effort ended in vain, wasting resources and exhausting the troops without even catching sight of a single Xiongnu, much less the Chanyu himself. Only after he had deeply considered the strategy necessary for the survival of the state and laid plans for generations to come did he mobilize several hundred thousand troops and send Wei Qing and Huo Qubing to command them. Over the course of more than ten years, they crossed the western reaches of the Yellow River, traversed the Gobi Desert, broke through Mount Tianyan, struck the Chanyu’s royal court, reached the furthest limits of Xiongnu territory, pursued the fleeing enemy, and offered sacrifice to Heaven on the Khentii Mountains and to Earth at Mount Guyan. They reached Lake Baikal and captured hundreds of Xiongnu nobles. From that time onward, the Xiongnu were filled with fear and sought peace through marriage alliances, yet even then they did not submit as vassals.
“Did our predecessors willingly bear such immense expense and mobilize innocent people merely to satisfy ambitions to explore the northern wilderness? Certainly not. They understood that without a single great exertion, there could be no long-lasting peace, and that without temporary expense, there could be no enduring tranquility. Therefore they were willing to endure the mobilization of hundreds of thousands of troops in order to crush the jaws of those ravenous tigers, and to pour out the resources of the state treasury until they filled the ravines of Mount Lu(Mount Dianyan), without regret. At the beginning of the Benshi era(73 B.C.), the Xiongnu, harboring malicious intent, sought to seize Wusun and harassed the princess there. In response, we dispatched five generals leading one hundred and fifty thousand cavalry to attack them, yet gained little. The campaign served only to display our military might like thunder and wind. Although they returned empty-handed, two generals were nevertheless punished, which shows that the northern barbarians had not yet been subdued and that the Middle Kingdom still could not rest securely.
“By the Yuankang(65 B.C.-) through Shenjue(61 B.C.) eras, however, great virtue and divine enlightenment had spread abroad, and the Xiongnu fell into internal strife, with five Chanyus contending for supremacy. The Rizhu King and Huhanye Chanyu came over to us and bowed in submission as vassals. Yet even then we held them only loosely and did not exercise full control as if over a maid. Since that time, we have not refused those who wished to come for an audience, nor have we compelled those who did not wish to come. Why is this so? Foreign peoples are by nature fierce and belligerent, formidable in appearance and strong in body. They rely upon strength and courage; they are difficult to transform through benevolence, yet easy to provoke through hostility. Their power is hard to subdue, and their goodwill hard to preserve. Therefore, before they have submitted, we labor our armies in distant campaigns, exhaust the resources of the state, heap up corpses, and shed blood in order to break their strength and overcome them, and even then it is achieved only with difficulty. But once they have submitted, we must appease and comfort them, maintain relations through gifts and ceremony, and observe bows and salutations with meticulous care, with every detail prepared and attended to.
“In former times we sacked the cities of Dayuan, trampled the stockades of the Wuhuan, breached the walls of Guzeng, swept through the lands of Dangzi of the Western Qiang, cut down the banners of Joseon, and seized the standards of the Two Yues, Nanyue and Minyue. In nearby campaigns, no more than ten days or a month were required; in distant ones, the toil did not exceed that of two seasons. Thus we ploughed up their courts, swept clean their hamlets, turned them into commanderies and counties, and set officials over them. Like clouds dispersed and mats rolled up, they left behind no lingering calamity. Only the northern Xiongnu were not so easily dealt with. They are truly the great enemy of the Middle Kingdom. In this they far surpass those of the other frontiers. For this reason, the men of former ages esteemed the threat they posed all the more and never dared to take them lightly.
“Now the Chanyu seeks with a sincere heart to return to allegiance, wishing to leave his court and present himself before Your Majesty. This accords with an ancient strategy long anticipated by the divine spirits. Even if it should entail expense to the state, it is an expense that must be borne. How can we refuse him on the grounds that he brings ill fortune from upstream of the Yellow River, keep him at a distance with vague promises of some uncertain future date, erase past favor, and open the way to future estrangement? Once we arouse suspicion and distance them, causing them to harbor resentment in their hearts, then if they repudiate their former pledges, seize upon past words, and lay their grievances upon Han, thereby cutting themselves off, in the end they will have no intention to face northward in submission. They will be beyond intimidation and beyond persuasion. How could this not become a great cause for anxiety?
“A wise ruler perceives what has not yet taken form; a keen listener hears what has not yet made a sound. If we truly act before matters arise, there will be no need for arms and no cause for worries. Otherwise, once a breach has opened, then no matter how wise the advisers within or how eloquent the envoys without, it will still be inferior to preventing it beforehand. Moreover, our former efforts to control the Western Regions and establish commanderies, garrisons, and protectorates over the thirty-six states cost millions each year. Was this because we feared Kangju or Wusun might cross Bailongdui and invade our western frontier? No—it was done in order to control the Xiongnu. To labor for a hundred years and lose it in a single day, to spend ten in order to save one—this is what I find troubling for the state. I hope Your Majesty will consider how to prevent disorder and war before they arise, and thereby avert disaster on the frontier.”
Upon reading the memorial, the Emperor was brought to his senses. He recalled the Xiongnu envoy and sent another letter to the Chanyu granting his request. Yang Xiong was rewarded with fifty bolts of silk and ten cattie of gold. The Chanyu, however, fell ill and sent another envoy to request permission to visit in the following year, and this too was granted by the Emperor.
As Dong Xian’s intimacy with the Emperor grew ever more excessive, the Ding and Fu clans began to feel threatened by his influence. Meanwhile, Fu Yan, Marquis of Kongxiang, and Xifu Gong schemed to obtain positions of power from which they might direct the government. At this time, the Chanyu, because of illness, still had not come to court. Seizing upon the opportunity, Xifu Gong submitted a proposal, suggesting:
“The Chanyu was supposed to cross the frontier in November, but later excused himself on grounds of illness and did not come, which raises suspicion that some other scheme is afoot. The two Kunmis of Wusun are weak, whereas Beiyuanzhi is strong and has allied himself with the Chanyu, even sending his son to attend at his side. There is reason to fear that they may join forces and overwhelm Wusun. If Wusun falls, the Xiongnu will grow stronger, and the Western Regions will be endangered. We may make use of a defector from the barbarians, have him impersonate an envoy of Beiyuanzhi, and send a letter to the Emperor petitioning that, by imperial authority, the Chanyu be ordered to return Beiyuanzhi’s hostage sons. This message can then be passed along so that the Xiongnu envoys will also hear of it. This is what is meant by the saying: ‘The highest form of warfare is to thwart the enemy’s strategy; next to that is to break his alliances.’”
After the memorial was presented, the Emperor summoned Xifu Gong and convened the ministers and generals for discussion. Gongsun Lu, General of the Left, argued:
“The Central Empire has always pacified the barbarians through authority and trust. Xifu Gong’s plan, which relies on deception and advances a strategy rooted in mistrust, is unacceptable. Moreover, the Xiongnu have long depended upon the virtue of the former emperors, guarding the frontier and maintaining their status as vassals. Now the Chanyu, because of illness, is unable to come to court to pay tribute, but he has sent an envoy to explain the matter and has not failed in his duty as a vassal. I, Gongsun Lu, believe that in my lifetime I shall never see the Xiongnu bring trouble to our borders.”
Xifu Gong pulled at Gongsun Lu from behind and said, “I am making plans for the state, hoping to anticipate future developments and prepare for matters before they take shape, considering what may arise over generations to come. But Gongsun Lu would make his plans according to his old age and short span of life, looking only at what lies immediately before him. My views are not on the same plane as Gongsun Lu’s; we cannot even speak of them on the same day.”
The Emperor said, “Well spoken!” He then dismissed the ministers and continued the discussion privately with Xifu Gong.
Taking this opportunity, Xifu Gong further proposed: “Disasters and anomalies have been appearing with increasing frequency. I fear that some extraordinary event must be brewing. We should send the Grand General to inspect the frontier troops, strengthen our defenses, and execute a prefect in order to establish authority and overawe the barbarians on every side. In this way we would respond to these strange portents and anomalies.
“Those who deliberate on government are troubled by men who are fawning, obsequious, and treacherous; who are glib and cunning in argument; and who are harsh and severe. In the past, Duke Mu of Qin did not follow the advice of Baili Xi and Jian Shu, and thus brought ruin upon his army. He afterward repented and blamed himself, loathed the ministers who had led him astray, and longed for the counsel of gray-haired elders; thus his name was passed down to later ages. I wish that Your Majesty would examine the warnings of antiquity, turning them over again and again for comparison, and not let the first words that enter your ears become fixed preconceptions.”
The Emperor, however, did not listen.





