Chronicles of the Three Kingdoms (Organized)

[Jordan]

In order to organize what has been written so far, I'm making a new thread. First off, some important things.

1.) What is this thread about?
1a.) This thread contains Achilles Fang's translation of certain chapters of Sima Guang's extensive Zizhi Tongjian. Achilles Fang focused on translating the chapters of Sima Guang's work that dealt with years AD 220-AD 265. This roughly is the period of the Three Kingdoms era beginning with Cao Cao's death and ending with the Fall of Shu-Han and then the Fall of Wei. It does not deal with the civil wars of the Late-Han which led to the establishment of the Three Kingdoms. This can be found in Dr. Rafe de Crespigny's excellent translation To Establish Peace. It does not deal with the final wars between Jin and Wu either.

I do not take credit for anything written in this thread as it is all the intellectual work of Achilles Fang and Sima Guang.

2.) What's the point of having this thread?
2a.) Achilles Fang's Chronicles of the Three Kingdoms is not the rarest book in the world, but it is pretty hard to find outside of university libraries. It's expensive and saw limited publishing, but since it's an incredibly useful resource, it's worth having here for people. Sima Guang's Zizhi Tongjian chapters on the Three Kingdoms drew mainly from the Sanguozhi, but also from the Jin Shu, Huayang Guozhi, Jiang biao zhuan, Hou Han Shu and numerous other relevant sources.

3.) Credits: First and foremost Achilles Fang. This is his translation and his notes.

English translations of ranks are from this site. Achilles Fang gives the Wade-Giles of ranks but doesn't usually translate them unless they are quite common (see common terms section for details).

The following people helped out with typing up chapters=Gabriel/Liang Shuo (originator of this project), silver.nick, plunged, Zhang Liao17 (original contributor for Section 2 of Chronicles of the Three Kingdoms), SlickSlicer

There were other people who probably helped out in various ways and I will create a more extensive credits list when I get the chance.

4.) What's up with some of the names?
4a.) The common method for Romanizing Chinese nowadays is Pinyin. Prior to Pinyin, Chinese was Romanized with Wade-Giles and thus certain names looked a lot differently. For example, Cao Cao is Pinyin, but in Wade-Giles his name is rendered as Ts'ao Ts'ao (which is also closer to how it is pronounced either way).

I don't like Wade-Giles, but I'm not going to have enough time to change the Wade-Giles to Pinyin yet. I'll deal with that when I have more time. Eventually this note will become irrelevant once I get the names changed to Pinyin.

5.) Can I post in this thread?
5a.) Preferably post in the other two Chronicles of the Three Kingdoms threads that are currently up. I want to reserve this thread for posting, in order, what has been written up so far.

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common terms:

zi=style name
SGZ=Sanguozhi written by Chen Shou
ZZTJ: The Zizhi Tongjian, which is the subject of these notes and translation
Chen Shou: See above
Pei Songzhi: Another great historian and the most famous commentator on the Sanguozhi. His comments added a large amount of content to Chen Shou's work.
Sun Sheng: Another significant commentator
Huayang Guozhi: Records of the States (Land?) South of Mt. Hua. This was written by Chang Qu who was contemporary with the Cheng-Han dynasty of the Ba-Cong and the Eastern Jin dynasty. It describes Sichuan in great detail and will thus come up a lot when the state of Shu-Han is mentioned.
Jiangbiao zhuan: Written by Yu Pu, this is largely relevant to the South of China.
Wei lue: A common source for events dealing with the Kingdom of Wei.
Jin Shu: Book of Jin. Another important history.
Hou Han Shu: Book of Later Han. Occasionally relevant.
Sima Guang: The person who compiled the Zizhi Tongjian, with help from assistants.
Chronicles of the Three Kingdoms: Part of the Zizhi Tongjian, corresponding to the years 220-265. By 265 the kingdoms of Shu and Wei were gone.
Achilles Fang: The translator of Chronicles of the Three Kingdoms.
chengxiang: Prime Minister or the equivalent. Translated by Achilles Fang as Premier.
jiangjun: General or the Equivalent
da jiangjun: Extremely high (highest?) military rank
mu: Governor
taishou: Prefect

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Notes about Notes (haha) by Achilles Fang: These notes are chiefly concerned with indicating the source or sources from which the compilers of the Zizhi Tongjian copied or assembled each passage, together with the omissions, adaptations, and occasional comments which the editor-in-chief Sima Guang made in further condensing and epitomizing the work of his assistants.

Numbers correspond to the section of the translated text. Additional textual or explanatory notes on specific terms or passages within such a section follow the general note for that section [by a decimal point], and are designated by the section number and a sub-number [the aforementioned decimal point]. Thus Note 17.2 refers to the passage superscribed in Section 17 of the Text, [and note 2 of that particular section].

In some cases a passage from the Sanguozhi or some other source, differing hardly at all from the related passage in the Zizhi Tongjian, appears in the notes in a translation worded somewhat differently from the English of the foregoing pages. The translation of the main text has been revised in the interests of clairty and smoothness; yet additional light may sometimes be shed on the Chinese text by retaining, in the notes, either a more literal or a more amplified version, or one following more closely the Chinese word order. The notes relative to each year immediately follow the text for that year.

Notes about these Notes from SlickSlicer: I am going to reduce a lot of these notes. When Achilles Fang mentions reference materials or specific sections/chapters of the Sanguozhi, I may not mention them. I admit that this is a disservice to the original work, but unfortunately I can only type so much and it would be a lot of work to type up everything. Achilles Fang also copies the Chinese of quoted sections into his notes which I am not going to do either. In some cases I may skip notes depending on how relevant they are. Achilles Fang often quotes passages from different sources (Mainly Sanguozhi) that are similar to what's listed in the Zizhi Tongjian. If they are REALLY similar, to the point where they're redundant, I'm not going to bother listing them. For professional purposes, it makes sense that Achilles Fang would have included them in order to demonstrate exactly where Sima Guang drew his material from. For educational purposes though it won't teach anybody anything about the Three Kingdoms to read a Zizhi Tongjian section that says one thing and a SGZ version that says almost identically the same thing.

When Achilles Fang cites where Sima Guang drew his material from, I'll probably just simplify it by typing something like "From SGZ" or "From Weilue" rather than listing out exactly what parts of those sources Sima Guang got his material. It will save more time for me that way and hopefully I'll be able to get more done. Again, for professional purposes, it is logical that Achilles Fang cited his sources with scrutiny. For educational purposes for those that don't know Chinese (like myself), I think it suffices enough to just know that a certain passage was drawn mainly from Sanguozhi, rather than needing to know the exact section of it. I don't have these books long and I have other commitments so I have to make use of what limited time I have. If these reductions seem excessive, it is because I am only human.

[Jordan]

Chapter 1
First Year of Huang Chu (220 A.D.)

1. Spring, first month (Feb. 22 - Mar. 21). King Wu (i.e. Cao Cao) arrived in Luo Yang, where he died on the day Mar. 15.

2. The late King knew men well, and was a good judge of them. It was difficult to dazzle him by false display. He recognized men of talent and promoted them, irrespective of humble origin; employing them according to their abilities, in each case he made the best use of them. [2] In the face of enemy ranks he remained calm and unperturbed, as if he had no thought of battle; but seizing his opportunity, he would strike for victory in exuberant spirits. In acknowledging and rewarding service he was not one to begrudge a thousand gold pieces, but to those without merit who sought to profit from his largesse he would not give a single cash. In enforcement of laws he was strict and unrelenting, always putting the transgressors to death; sometimes he shed tears as he looked at them, but he would never grant a pardon. By nature he was temperate and frugal, not giving to pomp and adornment. For all these reasons he was able to bring low the numerous powerful men of his time, and to conquer well-nigh the whole empire.

3. At this time the Crown Prince of Wei (Cao Pi) was at Ye [1]. The army was in a state of unrest, and Cao Cao's officials wanted to keep his death a secret and not hold funeral rites. However, the Admonisher Jia Kui considered that the secrecy in the matter was out of the question, so mourning was begun.

4. Some one said that the chief administrators of cities should all be dismissed and replaced entirely by the natives of Jiao and Pei [1]. The Prefect of Weijun, Xu Xuan of Guangling, said in a loud voice [2], "At present far and near are united, every one cherishing loyalty. Why should the natives of Jiao and Pei exclusively be employed, thereby disheartening those who have served the royal house for so long?" The proposal was then rejected. [5]

5. The troops of Qingzhou deserted their barracks, beating battle-drums. [1] Numerous officials maintained that they ought to be restrained, and suppressed by force of arms if they proved recalcitrant. Jia Kui disapproved. [2] Eventually circular letters, or passports, were issued to the troops authorizing them to obtain provisions wherever they might be.

6. The Lord of Yanling, Cao Zhang, came to Luo Yang from Chang'an [1]. He asked Jia Kui where the state seal of the late King was. Jia Kui said stiffly, "The kingdom has an heir apparent. The seal of the late King is not a thing your Lordship should inquire about."

7. When news of the King's death reached Ye, the Crown Prince lamented him unceasingly. [1] The Grand Chamberlain to the Crown Price, Sima Fu, remonstrated with him: "With the death of the King, the whole empire depends on your Highness. You ought to think of your ancestors above and the myriad states below. Must you emulate the filial piety of a mere commoner?" Finally the Crown Prince desisted, saying, "You are right in your advice."

8. At this time, the officials of the Wei court had just heard of the King's death. Gathered in groups, they all lamented and did not keep to the court procession. Sima Fu reprimanded them: "Now the King is dead, we ought to pay our respects to his successor as early as possible, for the stabilization of the myriad states. Must we indulge in weeping only?" He then dismissed all of the officials from court, appointed palace guards, and attended to the business of the funeral. [4] Sima Fu was a younger brother of Sima Yi. [5]

9. The myriad officials held the opinion that before the Crown Prince acceded to the royal throne of Wei, there must be an edict from the Han Emperor. The State Secretary, Chen Jiao said, " The King having died away from his domain, the whole empire has fallen into panic. It behooves the Crown Prince to moderate his mourning and ascend the throne, so that far and near may be calmed. Furthermore, the late King's favorite son is beside his corpse at Luo Yang; if anything untoward occurs, the foundation of the state itself will be endangered." Thereupon the officials were appointed and ceremonials provided for the enthronement, all being completed in a single day. On the following day, the Crown Prince, by command of the Queen Dowager, ascended the royal throne and issued general amnesty.

10. Soon thereafter, the Han Emperor sent the Supervisor of Works, Hua Xin, with an edict empowering him to confer on the Crown Prince the seal of Premier of Han and seal of King of Wei, and to appoint him Governor of Jizhou.

11. The Queen of Wei was then given the title Queen Dowager.

12. The reign title of the Han was altered to Yankang.

13. Second month. On the day Feb. 22, the sun was eclipsed.

14. On the day Apr. 6, the Monitor Jia Xu was appointed to be Grand Marshal; the Supervisor of Works Hua Xin to be Premier/Prime Minster; and the Attorney General Wang Lang to be Supervisor of Works.

15. On the day Apr. 11, King Wu was buried in the mausoleum of Gaoling.

16. The King's younger brothers, the Lord of Yanling Cao Zhang and others, all proceeded to their own territories.

17. The Overseer of a Feudal Domain to Lord of Linzi, Guan Jun (灌均), with the intention of pleasing the throne, memorialized that the Lord of Linzi Cao Zhi, in a drunken state, had acted irreverently and contemptuously towards the throne, threatening to lay hands on the King's emissary. [1] The King degraded Cao Zhi to be lord of Anxiang. [2] He put to death the Anti-Espionage Officer of the Right Ding Yi, a native of Pei-Guo, and his younger brother the Assistant Chamberlain Ding Yi, and all male members of their families; both were partisans of Cao Zhi. [3]

18. Yu Huan comments:
" There is a saying, 'A poor man is thrifty without being taught; a lowly man is respectful without being taught.' This does not mean that their natures are different from those of others; they become what they are through circumstance. Such indeed is the force of necessity, never to be contradicted. Had Cao Cao in his time curbed the ambition of (his son) Cao Zhi, could the latter, worthy man that he was, have become presumptuous and arrogant? Even Cao Zhang, with all his resentment, did not come to anything. How, then, could a man like Cao Zhi ever cause any trouble? What a pity that Yang Xiu was put to death because of his association with him, and Ding Yi got himself and his family exterminated through partisanship toward him. Whenever I read Cao Zhi's elegant and beautiful writings, they seem to me divinely inspired. I can understand well why Cao Cao favored him."

19. The King for the first time appointed Chamberlains and Junior Chamberlains, four of each. He also decreed that no eunuch should ever be appointed to offices higher then Director of the various palace bureaus; this regulation was inscribed on a metal tablet and placed for safe keeping in the Stone Chamber. [2]

20. At this time the Grand Chamberlain and Chamberlains were to be selected. [1] The King's retinue and his attendants from former days insinuated to the official in charge that he should select from among their number and not from other officials. Sima Fu said, "Even Yao and Shun had to have able ministers such as Ji and Qi. Since the new King has but lent talents and worthy character in the empire at large; in spite of our efforts, they perhaps may not be drawn to offer their service. Why take this opportunity of transition to recommend each? If those who are given official appointments cannot fulfill their duties, there is no glory for them in being appointed." In the end the officials in question were elected from various circles.

21. The State Secretary Chen Qun, alleging that the Celestial Court (i.e., the court of the Han), in its selection of officials failed to recruit men of talents, instituted the Regulation for Rating all Officials into Nine Grades. [1] In each province and each prefecture, an Equitable Rectifier was to be appointed to take charge of selection of officials; the post was to be filled by a man of ability and insight in the province or prefecture in question. He was to assess the qualifications of men and grade them into nine ranks. [2]

22. Summer, fifth month. On the day June 21, the Han Emperor conferred the posthumous appellation of August King on the King's grandfather the Grand Marshal and that of August Queen on his consort Ding.

23. The King appointed the Prefect of An Ding Zou Qi (鄒岐) to be Provincial Governor of Liangzhou. [1] In the prefecture of Xi Ping a certain Chü Yen {Ju Yan???}, in league with neighboring prefectures, rebelled and refused to accept Zou Qi. [2] In the prefecture of Zhangye Zhang Jin seized the Prefect Du Tong (杜通) and refused to accept the Prefect Xin Ji (辛機), both rebels proclaiming themselves Prefects; thus they acted in concert with Ju Yan. [3] In the prefecture of Wuwei, Three Tribes of the Hu Barbarians again revolted. [4] The Prefect of Wuwei, Wuqiu Xing (毋丘興) appealed for help to the Prefect of Jincheng and Commissioner for the protection of the Qiang tribe, Su Ze, a native of Fufeng. Su Ze was about to send him reinforcements; but the people of the prefecture were all of the opinion that, as the rebels were very powerful at that moment, heavier forces than his would be needed. [6] At that time the generals Hao Zhao and Wei Ping had been garrisoning Jincheng for some time, but the King had commanded them not to cross the Yellow River to the west.

Su Ze then called an assembly of higher functionaries of the prefecture as well as Hao Zhao, etc...., and the chiefs of the Qiang tribe. He addressed them thus: " Powerful as they are at this moment, the rebels have joined hands but recently; possibly some of them have rallied through the coercion and not out of sympathy or conviction. If we take advantage of this heterogeneity and strike at them, the good will separate from the bad, and once segregated, will come back to us, increasing our forces and decreasing theirs. By taking this course we not only will have more troops but also will redouble our spirits; when we launch an attack, we shall be certain to destroy the enemy at one stroke. On the other hand, if we wait for the arrival of larger forces, much time will be wasted; meanwhile the good, unable to come back to us, will gradually coalesce with the bad; once the good and the bad are united, it will be difficult for us to separate them. To be sure, there is the King's order to be taken into consideration. But we may disobey it to cope with the present emergency. Let us take the responsibility on our shoulders."

Hao Zhao and the others agreed with him. [10] He sent troops to reinforce the garrison at Wuwei, so that the Three Tribes of the Hu barbarians were made to surrender. He then joined forces with Wuqiu Xing to attack Zhang Jin at Zhangye. Hearing of this, Ju Yan with three thousand foot and horse came to see Su Ze; he gave forth that he had come to reinforce the latter's army, but his real intention was to attack him in his own camp. Su Ze inveigled him into his camp and killed him [13], after which he proclaimed the event throughout the army. The followers of the rebel took flight in all directions.

In the end Su Ze joined forces with various troops in laying siege to the city of Zhangye, and succeeded in capturing it. He killed Zhang Jin; Huang Hua took fright and surrendered. [14] Thus the region west of the Yellow River was pacified.

24. Some time ago, when the Prefect of Dunhuang Ma Ai died in his post, the people of the prefecture elected the Provincial Secretary for Personnel Zhang Gong to act as Prefectural Chancellor. [1] Zhang Gong then sent his son Zhang Jiu to court to convey his request for prompt appointment of a new Prefect. [2] Meanwhile Huang Hua and Zhang Jin rebelled and wanted the garrison at Dunhuang to join forces with them. [3] They seized Zhang Jiu and threatened him with drawn sword, [4] but Zhang Jiu would not go back to Dunhuang. He sent a letter secretly to his father Zhang Gong: "You, sir, have been persevering in your duty at Duhuang and are well known for your loyalty. Why should you become a turncoat because of the adversity in which I happen to find myself? Formerly Yo Yang had to eat his own son and Li Tong brought his family to extermination. Can an official devoted to the weal of the land ever think of his wife and children? Large reinforcements will come soon. All you have to do is hearten your troops and continue to resist. I beg you not to let your paternal affection for me become cause for my grief in the netherworld."

Upon receiving this, Zhang Gong led his troops forth to attack Jiuquan. [6]He also had two hundred of his crack cavalry and the officials of the prefecture proceed eastward by way of the northern pass of Jiuquan to welcome the newly appointed Prefect Yin Feng. [7] Huang Hua wished to come to Zhang Jin's help, but he had to keep an eye on Zhang Gong's troops, who might attack his rear; for this reason he was not in a position to do so and in the end surrendered. [8] Zhang Jiu did not suffer any harm, and Yin Feng was enabled to take his post in the prefecture. [10] The King conferred the titular rank of Guannei Lord on Zhang Gong. [11]

25. Sixth month. One the day Aug. 12, the King with his army started on a tour of inspection in the south.

26. Autumn, seventh month (Aug. 17 - Sept. 14). Sun Quan sent an envoy to offer tribute to the Wei court.

27. Meng Da, a general of Shu, had been garrisoning Shangyong. But discord arose between him and the Commandant of the Auxiliary Corps Liu Feng, who encroached on his right. [1] At the head of more then four thousand soldiers under his command Meng Da came and surrendered to Wei. [2]

Meng Da had an imposing appearance and a fine mind; the King made very much of him, sharing his carriage with him. [3] He conferred on Meng Da the title of Chamberlain and the military rank of General for Establishing Prowess, and enfeoffed him Village Lord of Pingyang. Having merged the three prefectures of Fangling, Shangyong and Xicheng into a single prefecture, Xincheng, he appointed Meng Da to be its prefect, thereby entrusting him with the management of the southwestern region of the kingdom. [4]

28. The Chancellor on the March Liu Ye said on this occasion: "Meng Da is an adventurer at heart; he is proud of his talent and fond of scheming. He certainly is not one to feel grateful and cherish loyalty. Xincheng is so situated, adjacent to the domains of Sun Quan and Liu Bei, that should he cause any trouble, our state will suffer." The King paid no heed to him.

29. The King ordered the General of the Forces for Southern Expedition Xiahou Shang and the General of the Right Corps Xu Huang to cooperate with Meng Da in a campaign against Liu Feng. The Prefect of Shangyong, Shen Dan rose against Liu Feng and gave himself over to Wei. Liu Feng suffered defeat and returned to Cheng Du, capital of Shu. [2]

Now, Liu Feng was originally a son of a certain Kou of Luohou. The King of Hanzhong Liu Bei, when he first came to Jingzhou, had no heir, and so had adopted him as his son. Zhuge Liang feared that Liu Feng, a man of strong will and character, might not remain tractable after the death of his adoptive father, so he now advised the King of Hanzhong to do away with him. Thereupon Liu Feng was ordered to commit suicide.

30. Yang Pu, King of the Di barbarians in Wudu, together with his tribesmen, pledged allegiance to the King of Wei.

31. On the day Sept. 9 the King and his army halted at Qiao. In the eastern part of the town he invited his army as well as the elders of Qiao to a grand feast, at which musical and sundry other entertainments were given, and officials and the common people toasted the King. The feast lasted till sunset. [2]

32. Sun Sheng comments as follows:
"'The three years' mourning for parent is binding on all, from the Son of Heaven to the masses of the people [1]. ...Therefore, even at the end of the Three Dynasties and during the decline of the Seven Hegemons [2] there never was one who laid aside his unhemmed mourning clothes of sackcloth for even ten days or a month, or who desisted from wearing hempen band on his head, or from carrying the bamboo mourning staff on the day when he returned from the grave to wail over his deceased parents. It was only under the reign of Han Wen Di that the ancient custom was altered, the norms of human conduct being dismissed once and for all... This move was not only an act of irreverence in its days but also set a bad example for a hundred generations to come... Adopting as he did all the practices and institutions of the Han court, the King of Wei brought about a change in one of it's principal ceremonials; confronted with the greatest of all sorrows, he gave a banquet. Being the first, and transmitting canons and rules to his posterity [6], he demolished the very foundation of kingly influence. When he eventually received the throne from the hand of the Han Emperor, he openly accepted the two daughters of the Han Emperor as his concubines.... From all these {misdeeds} we can see why the King was not permitted to enjoy a long life and why the dynasty he founded could not continue more then a short span of time."

33. The King appointed Jia Kui, the Senior Recorder attached to the Han Premier, to be Provincial Governor of Yuzhou. [1] At this time the empire had been brought to order only recently, so that most of the provincial governors were not in a position to exercise their power over the prefectures under their jurisdiction. [2] Jia Kui said: "In the beginning governors of provinces examined the conduct of prefects and officials of lower rank in accordance with the edict comprising Six Items. [3] For this reason they were always described as majestic and severe, competent in supervision; they were never spoken of as mild and lenient, as possessing the virtue of affability. These days, senior officials pay no heed to the enforcement of laws and regulations, so that robbers are running amok. If provincial governors, acquainted as they are with this evil situation, leave it uncorrected, how shall we ever hope to put the empire in order?"

The Provincial Secretary of Military Affairs, who had obtained a leave of absence from the former Provincial Governor, returned to his duty several months after Jia Kui had taken his post of governor. Jia Kui censured him. He impeached all the erjianshi (i.e. prefects) and officials of lower ranks in his province who had been friendly and lax towards law-breakers, and had them dismissed. He attended to the defense of the province and saw to the well-being of the people; he reclaimed lands by building embankments, dredged canals to make them navigable. Both officials and people praised him. [7] The King said [8], " Jia Kui is really a worthy provincial governor. The whole empire shall be told to take as a model the provincial governor of Yuzhou." He conferred the titular rank of Guannei Lord on Jia Kui.

34. The Commandant of the Left Guard Li Fu and the Assistant Court Astrologer Xu Zhi memorialized the King that they had discovered ample evidence in prognostic records in favor of the Wei's replacing the Han. [1] Thereupon the officials sent up a memorial to him, advising the King to comply with the wishes of Heaven and men. [2] But the King withheld the assent. [3]

35. Winter, tenth month. On the day Nov. 25, the Han Emperor reported to the temple of his ancestors and had the Acting Supervisor of Works, Zhang Yin (張音), carrying the Ordinary Plenipotentiary Tally, bring to the King the imperial seal and a rescript announcing his voluntary abdication of the imperial throne in favor of the King of Wei. [1] The King sent three letter to the Emperor, in which he declined the honor out of modesty. [2] He had an altar for the abdication ceremony built at Fan-yang.

36. On the day Dec. 11 the King mounted the altar, received the imperial seal, and was proclaimed Emperor. He presented a burnt offering and sacrificed to Heaven, Earth, the fire mountains and the four rivers. He altered the reign-title from Yankang to Huangchu and issued general amnesty.

37. Eleventh month. On the day Dec. 13 the new Emperor conferred on the abdicated Han Emperor the title Duke of Shanyang, with the privileges of keeping the Han calender and of using ceremonials and music due an Emperor. The Duke's four sons were enfeoffed as feudal lords. The August King (i.e. Cao Song) was canonized as August Emperor; the Martial King (i.e. Cao Cao) was canonized as Martial Emperor with the temple designation of August Ancestor; and the Queen Dowager was canonized as Empress Dowager. The Emperor conferred the title Virtue-Revering Lords on the feudal princes of the blood of Han, and the titular rank of Gongzhong Lords on the Han feudal lords. He also advanced the ranks and posts of his own officials. He had the official title "Premier" restyled "Inspector of Instruction" and that of "Supervisor of Works" renamed "Inspector of Works".

38. The Duke of Shanyang offered his two daughters to be wives of the Wei Emperor.

39. The Emperor wished to alter the calender. The Grand Chamberlain Xin Pi said: "As heir to the line of Shun of Yu and Yu of Xia, the Wei have obeyed the command of Heaven and complied with the wishes of the people. T'ang of Yin and King Wu of Chou conquered the empire by means of battles, hence they altered the calender. Confucius said, 'Follow the season of Xia.' Zuo's Commentary says, 'The numbers of Xia are the more correct deductions from the heavens.' [4] Why then must you make a point of acting contrarily?" The Emperor approved and accepted the advice.

40. At this time the court officials all lauded the virtue of the Wei and many disparaged the previous dynasty. The Chamberlain Wei Zhen stood alone in that he, having a clear conception of what voluntary abdication of the imperial throne signified, praised the excellence of the Han. The Emperor often followed Wei Zhen with a glance and said, "The rarities of the empire I will share with the Duke of Shanyang."

41. The Emperor wished to enfeoff posthumously the parents of the empress Dowager. The State Secretary (shangshu) Chen Qun memorialized: “With sagelike virtue, Your Majesty has responded to the time and received the mandate; in founding a dynasty and instituting regulations you must decree norms for ages to come. As far as I know from the ancient writings, there never was an instance of women's enfeoffment. The Canon of Rites says that women follow the ranks of their husbands [2]. The Qin acted contrary to the ancient usage, the Han following their example; but it is not in conformity with excellent institutions of the early Kings.”

The Emperor said, “This opinion is correct; the thing shall not be put into practice.” Furthermore he had this recorded as an immutable decree, which he ordered to be preserved in the archives of the Department of the State.

42. Twelfth month (January 11- February 9, 221 AD). The Imperial Palace was being built in Luoyang. On the day wu-wu (January 27), the Emperor went to Luoyang.

43. The Emperor said to the Grand Chamberlain (shizhong) Su Ze: “Some time ago, after Jiuquan and Zhangye were conquered, the Western Regions sent envoys to Dunhuang to offer me a large pearl, one inch in diameter. Do you think I can get some more of them through purchase?”

Su Ze replied: “If your Majesty's benign influence pervades China and your virtue overflows to the desert, they will come to you without your ever seeking for them. There is no glory in obtaining them through seeking after them.” The Emperor did not answer a word.

44. The Emperor summoned the Commandant of the Eastern Guard (dong zhong lang jiang) Jiang Ji to the capital and appointed him Chamberlain. [1] At that time he had addressed to the General of the Forces for Southern Expedition (zheng nan jiangjun) Xiahou Shang an edict which read: “Because you are my trusted and esteemed general, I empower you with special privileges. [3] Your benevolent heart is ample for my service, your affection for me is worth my cherishing [4]. You may display terrors or confer favors [5], you may kill or let live.” Xiahou Shang showed the edict to Jiang Ji.

When Jiang Ji came, the Emperor asked what he had recently heard and seen. He replied, “Nothing good, certainly. On the contrary, I have heard words that could bring doom to the dynasty.”

The Emperor colored and grew angry, demanding an explanation. Jiang Ji told him the details and went on to expostulate, “The Shu expressly warns against displaying terrors and conferring favors. The ancients saw to it that 'a son of Heaven does not speak playfully.' I beg your Majesty to reflect upon this.” Thereupon the Emperor sent a messenger to retrieve the edict in question.

45. The Emperor wished to move a hundred-thousand households of soldiers from the province of Jizhou to the prefecture of Henan [in the Metropolitan province of Sizhou]. At this time, due to drought and a plague of locusts, the people were suffering from famine. Various officials of the Court disapproved of this measure, but the Emperor's mind was set on it. The Grand Chamberlain (shizhong) Xin Pi, together with other court officials, requested an audience with the Emperor. Knowing well that they intended to remonstrate with him on this score, the Emperor wore a vexed expression when he received them. No one else dared to speak; Xin Pi, however, said, “Your Majesty intends to move the households of the soldiers. What is your aim?”

The Emperor asked him, “Do you mean to say that you disapprove of me moving them.” Xin Pi affirmed, “I definitely disapprove.” The Emperor said, “I am not going to discuss the matter with you.”

To this Xin Pi said, “Your Majesty, not considering me unworthy, has made me one of your attendants and appointed me one of your counselors. How can you now be unwilling to discuss the matter with me? It is not of private nature, but concerns the dynasty itself. Why should you be vexed at me?”

Without answering, the Emperor rose from his seat and went inside. Xin Pi followed him, pulling him back by the lapel of his coat; the Emperor shook himself loose and said, “Zuozhi [Xin Pi's style name], you are harassing me!”

Xin Pi said, “Should you move these households, you will lose their affection; and besides, you cannot feed them. That is why I could not help braving your vexation and contending as hard as I could.

In the end, the Emperor moved half the original number.

On one occasion, when the Emperor went out of his palace to shoot pheasants, he turned to his attendants and exclaimed, “How delightful this pheasant shooting is!” Xin Pi replied, “Delightful indeed to your Majesty, but very burdensome to all your subjects.” The Emperor did not utter a word, but thereafter did not go out so frequently, because of him. {Xin Pi and his remonstrances dissuaded Cao Pi from going out to hunt}.

===================================================

Chapter 1 Notes
First Year of Huangchu (220 AD)

{a and b are general rather than relating to specific portions of the text}

a.) Shizu is the temple designation (miaohao), and Wendi the canonization (shi), of Cao Pi, first Emperor of the Wei dynasty.

b.) The Chinese year here designated, for convenience, as 220 AD, is the period from February 22, 220 to February 9, 221. A similar overlap of course applies to succeeding years, which however will continue to be referred to in general by the Gregorian calendar year in which most of each Chinese year falls. As for the “year-period” or “reign-title” Huangchu, under which the events of this year are chronicled with respect to the Wei dynasty, actually it was not adopted until December 11, 220, when Cao Pi was proclaimed Emperor. During most of the year, the reign title in use throughout the Empire was that of the tottering Later Han court: the year began as the 25th of Jian'an period (famous for its literary activity), but the reign-title was shortly changed to Yankang.


1. From Sanguozhi, Chronicle of Wudi: “In the spring, first month, he reached Luoyang. Sun Quan had assaulted and beheaded Guan Yu, whose head he now sent to the capital. On the day gengzi the King died at Luoyang at the age of sixty-six.” Hence Cao Cao lived 155-220 AD. The Han Emperor had made him King of Wei in 216. Sanguozhi records that Cao Cao “was canonized as Wuwang (Martial King)”. After his son became Emperor, this canonization was changed to Wu Huangdi and he received the temple designation Taizu.

2. Sources: Weishu and Cao Man Zhuan.

Wei Shu reads: “Taizu (i.e. Cao Cao), since he governed the whole Empire, mowed down the numerous scoundrels. In his military operations, he followed in the main the tactics laid down in the Sunzi and Wuzi. In accordance with different situations, he took extraordinary strategems; by deceiving the enemy, he won victory; he varied his tactics in demonic fashion. He himself wrote a book on war, consisting of a hundred thousand and several tens of thousands of characters, and when his generals undertook any campaign they all followed this new book. Furthermore, on each occasion he gave them personal directions; those who obeyed them won victory, and those who did not were defeated. In the face of the enemy on the battlefield, he remained unperturbed, as if he had no intention whatever of fighting; but seizing his opportunity, he would strike for victory in the highest spirits.

This is why he always won victory whenever he fought, not a single instance of his successes being attributed to mere good luck. He knew men well and was adept in judging them; it was difficult to dazzle him by false display. He picked Yu Jin and Yue Jin out among the rank and file, and Zhang Liao and Xu Huang from among the surrendered forces; all of them became his supporters and achieved merit, becoming famous generals. Furthermore, the number of those whom he picked up from mean and insignificant positions, and who eventually rose to be governors of provinces and prefects, cannot be counted. It was thus that he laid the foundations of his great work.

He cultivated both the art of peace and the art of war: during the thirty-odd years when he commanded troops, books never left his hand. During the day he attended to military matters, during the night he applied his mind to the Classics and their commentaries. When he climbed a height, he would always compose verses [this is an allusion to a sentence in Han Shu]. When he made new poems, he would set them to pipe and string, and they all turned out to be excellent songs. His talents and strength were unsurpassed; with his own hands he could shoot down flying birds and capture ferocious beasts alive. Once he shot down sixty three pheasants in a single day at Nanpi. When palaces were constructed and machines repaired, he always laid down rules which proved to work to the utmost satisfaction.

By nature he was temperate and frugal, not given to pomp and adornment. Ladies of his harem did not wear any embroidered garments, his attendants did not have two pairs of footgear. When his colored curtains and wind screens were damaged, he had them patched; he had his bedding only for keeping warm, devoid of border ornament. All things of beauty and elegance which he obtained as booty from captured cities and towns, he would distribute among those who had shown merit. In acknowledging and rewarding service, he was not one to consider a thousand gold pieces too much; but to those without merit who sought to profit from his largesse, he would not give a single cash. Gifts presented to him from the four quarters, he shared with his subordinates. He was of the opinion that the funeral service of the time was too extravagant and useless, the vulgar carrying it to excess; he therefore made a stipulation as to his own funeral, that no more than four basketfuls of clothing were to be buried with him.”

IN the Cao Man Zhuan, or Life of Cao Man (“Man” being an abbreviation of A-Man {which is another name for Cao Cao}) we read: “But in the maintenance of laws he was harsh and exacting. If any of his subordinate generals had better counsels of war than his, he would find an opportunity to put him to death under the pretext of some law; and none of his former associates and friends who had earned his grudge were spared alive. When he put a man to death, he used to look at him, weeping and lamenting over him, but he would never grant a pardon.”

2.2: This is Sima Guang's own sentence.

3. From the Weilue (quoted in Sanguozhi, Biography of Jia Kui): “Taizu approved his measures and appointed him Grandee Remonstrant and Consultant (jianyi dafu), in which capacity he and Xiahou Shang served as quartermasters. When Taizu died at Luoyang, Jia Kui took charge of his funeral.” The passage in Weilue reads: “At this time the Crown Prince was at Ye and the Lord of Yanling (Cao Zhang) had not arrived. Soldiers and people were suffering from much corvee and there was also an epidemic; the army was in a state of unrest. The myriad officials were afraid revolution might break out in the Empire and did not want to hold the mourning rites. Jia Kui maintained that the matter could not be kept secret; and so the mourning was held. Everyone, whether of the palace or of the government, was ordered to enter the palace and mourn. After the mourning, they were to return to their posts and not move off.”

3.1 Cao Pi, the eldest son of Cao Cao, was thirty-four years old at this time. He died in 226 AD at the age of forty, and so must have been born in 187.

4. From Sanguozhi, Biography of Xu Xuan, where the following passage precedes: “He went out of the capital as taishou of Weijun. When Taizu died in Luoyang, all the officials entered the palace to mourn him.

4.1: Sanguozhi, Chronicle of Wudi: “Taizu, Wu Huangdi, was a man of Qiao in the State of Pei. His surname was Cao, his hui (i.e. ming, or given name) was Cao. His zi (sobriquet) being Mengde; he was a descendent of a xiangguo (Prime Minister) Cao Can.” On this, Pei Songzhi says in his commentary: “Taizu had Jili as another ming; his child name being A-Man.” Afraid of mutiny and rebellion, “some one” wanted to employ countrymen of Cao Cao exclusively.

4.2: Sanguozhi: Xu Xuan, zi Baojian, was a man of Haixi in Guangling.

4.5 This is Sima Guang's own sentence. Sanguozhi has: “Hearing of this, Wendi (Cao Pi) said, 'He is one who can be called a minister for the dynasty.'”

5. This is from the Weilue.

5.1 Weilue has {different characters to represent the phrase for “Troops of Qingzhou”}. These troops were the remnants of the Yellow Turbans (huangjin) at Qingzhou who had surrendered to Cao Cao in the third year of Chuping (180 AD).

5.2 Weilue has: “Jia Kui held that as the King was now dead and his remains still unburied, while his heir had not succeeded to the royal throne, they ought to be soothed.”

6. This is from Sanguozhi, Biography of Jia Kui.
6.1 Sanguozhi has: “At that time, the Lord of Yanling, Cao Zhang, who was acting as yueji jiangjun, came from Chang'an.”

7. From Jin Shu, Biography of Prince Xian of Anping, Sima Fu. The following passage precedes: “He was promoted to be zhongshu zi to the Crown Prince.”

7.1 Jin Shu has: “When Wudi of Wei died, the Crown Prince lamented to excess.

8. From Jin Shu.

8.4 Jin Shu has: “Sima Fu and the shangshu He Xia dismissed all of the officials from the Court, appointed palace guards, attended to the business of the funeral, and enthroned the Crown Prince, who later became Wendi of Wei.”

8.5 This is Sima Guang's own sentence. Jin Shu states: “Prince Xian of Anping, Sima Fu, zi Shuda, was the next younger brother of Xuandi (i.e. Sima Yi).”

9. From Sanguozhi, Biography of Chen Jiao, where the following passage precedes: “He followed Taizu in his campaign to Hanzhong. Returning from it, he was appointed Imperial Secretariat (shangshu). Advancing, Taizu had not reached Ye, when he died at Luoyang.”

10. From the Hou Han Ji of Yuan Hong. This edict is also quoted by Pei Songzhi in his commentary in the Chronicle of Wendi of Sanguozhi. His version has some variations, which are here noted: “I herewith send the Imperial Cleark Grandee (yushi dafu) Hua Xin, with the Tally, to confer on Cao Pi the seal of chengxiang and the seal of King of Wei, and to appoint him mu {governor} of Jizhou.”

11. From Sanguozhi, Chronicle of Wendi, where it reads: “After the death of Taizu, Wendi succeeded to his rank as chengxiang {Prime Minister} of Han and King of Wei. The Queen of Wei was given the title of Queen Dowager.”

12. Sanguozhi states: “The 25th year of Jian'an was altered to be the 1st year of Yankang.” The context here implies that the change of reign-title was made in the first month. On the other hand, Hou Han Shu states: “In the third month (April 21-May 20), the reign title was altered to Yankang.” The Hou Han Ji does not mention this change of reign title at all.

13. From the Hou Han Shu.

14. From the SGZ, Chronicle of Wendi.

15. From SGZ, Chronicle of Wudi: “In the second month, on the day dingmao, he was buried in the mausoleum of Gaoling.”

16. From Sanguozhi, Biography of Cao Zhang. “After Taizu died and Wendi acceded to the royal throne, Cao Zhang and other feudal princes of the blood proceeded to their own States.”

17. From SGZ, Biography of Cao Zhi. The following passage precedes: “having acceded to the throne, Wendi put to death Ding Yi and Ding Yi {YES those are two separate people} together with all the male members of their families. Cao Zhi and other feudal princes of the blood proceeded to their own states.”

17.1 There is no doubt that Guan Jun's impeachment and Cao Zhi's demotion occurred in 221 AD. It is not known why Sima Guang chronicles this section here. Ding Yi and his younger brother were probably put to death in this year.

The alleged misdeed of Cao Zhi might refer to the following incident recorded in Sanguozhi: “In the 24th year of Jian'an, Cao Ren was besieged by Guan Yu. Taizu appointed Cao Zhi to be General of the Gentleman of the Households of the South (nan zhonglangjun) and acting General Who Conquers Insurgents (zhenglu jiangjun), in which capacity he was intended to go reinforce Cao Ren. He summoned him to his presence to give him some instructions, but Cao Zhi was so drunk that he could not receive his instructions. So he regretted the plan and gave it up.” The Wei shi chunqiu (given in the commentary to this passage) reads: “When Cao Zhi was about to go, the Crown Prince invited him to drink, and got him intoxicated. When the King summoned Cao Zhi to his presence, Cao Zhi could not receive the King's instructions. Hence the King was angry.”


17.2 SGZ: “Officials in charge asked that he be punished. Wendi, in consideration of the Empress Dowager, only lowered him in rank to Lord of Anxiang. In the same year he was reenfeoffed as Lord of Guancheng.”

17.3 This is Sima Guang's sentence. The Weilue states: Ding Yi zi Zhengli was a native of Peijun. The Crown Prince, after acceding to the throne, wanted to punish Ding Yi, and hence transferred him to be you zijianyuan.” Pei Songzhi in his commentary {of SGZ} states: “Ding Yi zi Jingli was a younger brother of Ding Yi.” The Wenshi zhuan states that Ding Yi became Gentleman in Attendance of the Yellow Gates (huangmen shilang) during the Jian'an period.” Cao Zhi's biography in Sanguozhi states, “Ding Yi, Ding Yi, Yang Xiu, etc. served as his partisans.”

18. From Pei Songzhi's Commentary.

19. From SGZ, Chronicle of Wendi.

19.2 The Cihai gives five different meanings for {insert characters shishi, which roughly mean stone room. In the text Fang has it as “stone chamber”} Perhaps the first meaning is intended, namely, “a room in the Ancestral Temple where the spirit-tablets are preserved.”

20. From the Jin Shu.

20.1: Jin Shu: “At this time, Palace Attendant (shizhong), sanji zhangshi and other officials were to be selected.

21. Sima Guang must have derived most of this section from sources other than Sanguozhi.

21.1 Biography of Chen Qun has: “Having ascended the royal throne, Wendi enfeoffed Chen Qun as Lord of Changwu Ting and transferred him to the office of Imperial Secretariat (shangshu). The Regulation for Rating Officials into Nine Grades {Jiupin} was instituted by Chen Qun.”
21.2: In Ji Mao's biography in the Weilue, quoted in the biography of Chang Lin from SGZ, occurs the following passage: “Some time ago, the Ninefold Gradation was instituted in the state. For each prefecture there was appointed a zhongzheng, who was to rate the achievements, talents, conduct and abilities of officials, from ducal and other ministers down to the lower officials.”

22. From SGZ, Chronicle of Wendi, “In the fifth month, on the day wuyin, the Son of Heaven ordered the King to confer the posthumous title of taiwang on his grandfather the taiyu, and that of taiwanghou on his consort Ding.”

23. Except the first sentence, this section is from SGZ, biography of Su Ze, where the following passage precedes: “When Taizu died, Ju Yan took fright and asked permission to surrender. Because of Su Ze's achievement, Wendi bestowed upon him the additional title of huqiang jiaoyu (Commissioner for Protection of the Qiang Tribe) and made him a Guannei Lord.” A few lines before this, it is mentioned that Su Ze had been appointed taishou (prefect) of Xincheng.

The Chronicle of Wendi in SGZ, under the fifth mont (June 19-July 17) states: “Huang Hua in Qiuchuan and Zhang Jin in Changye, and others, each seized his taishou and rebelled. The taishou of Xincheng, Su Ze, attacked Zhang Jin and killed him. Huang Hua surrendered.”

23.1: From SGZ, Biography of Zhang Ji, where it reads: “After Wendi acceeded to the royal throne of Wei, Liangzhou was constituted for the first time, the taishou of Anding, Zou Qi, being appointed to be its Inspector (cishi). In Zhangye, Zhang Jin seized the prefect and mobilized the troops to resist Zou Qi. Huang Hua and Ju Yan both drove away their taishou and mobilized their troops against him. Zhang Ji advanced his troops to reinforce the huqiang jiaoyu Su Ze, hence Su Ze was enabled to accomplish what he did. Zhang Ji's enfeoffment was raised to that of Lord of Du Xiang.”

23.2: Su Ze's SGZ biography has: “Afterwards, Ju Yan again rebelled in concert with the neighboring prefectures.”

23.3: SGZ has “Zhang Jin and Huang Hua both assumed the title of taishou and allied themselves with him.”

23.4: SGZ has “Furthermore, in Wuwei, the Sanzhong Hu barbarians were plundering and communications were cut off.”

23.6: SGZ has, “At that time, all the powerful men of Yongzhou and Liangzhou took with them the Qiang and Hu barbarians and followed Zhang Jin and his men. The men of the prefecture all said that Zhang Jin was too powerful for Su Ze to encounter.

23.10: SGZ has, “Upon this, Hao Zhao and others followed him.”

23.13: SGZ: “Su Ze inveigled him into a meeting and there killed him.”

23.14: SGZ: “He killed Zhang Jin and his partisans; the multitudes in Zhangye surrendered. Ju Yan's army being defeated, Huang Hua was afraid; he released those he had seized, and surrendered.”

24. From SGZ Biography of Yan Wen, where the following passage precedes: “Before this, the region to the right of the He fell into disturbance, and so it was cut off from the capital, no communication being maintained.”

24.1 SGZ has “The taishou of Dunhuang, Ma Ai, died in his post, and there was no Civil Assistant (cheng) in the prefecture. The Officer in the Department of Merit (Gongcao) Zhang Gong being a man of learning and upright conduct, the people of the prefecture elected him to act as Chief Clerk (changshi); he earned much affection and trust.”

24.2: SGZ has: “He then sent his son Zhang Qiu east to Taizu to request a taishou for the prefecture.

24.3: SGZ has: “At that time, Huang Hua in Jiuquan, Zhang Jin in Zhangye, each seized his prefecture, wishing to unite with Zhang Gong and Ma Ai.”

24.4: SGZ has: “Zhang Qiu came to Jiuquan, where he was seized by Huang Hua, who threatened him with drawn sword.”

24.6: SGZ has: “Zhang Gong then sent his younger cousin Zhang Hua to attack the two xian of Shatou and Qianqi in Jiuquan; soon thereafter, Zhang Gong himself with his troops followed to reinforce Zhang Hua.”

24.7 SGZ has “He also sent two hundred of his crack cavalry along with officials for welcoming the new taishou. They went eastwards along the Northern Pass of Jiuquan and came straight to Bohe in Zhangye, where they met the new taishou Yin Feng and welcomed him.”

24.8 SGZ has: “Now Zhang Jin was in need of Huang Hua's help. But Huang Hua, though he wished to reinforce Zhang Jin, had to take into consideration Zhang Gong's troops in the West, for he was afraid they might launch a surprise attack on him from the rear. In the end, he went to the taishou of Jincheng Su Ze and surrendered.” This story is already narrated in section 23.

24.10 SGZ has: “Yin Feng was enabled to proceed to his post.”

24.11 SGZ has: “In the second year of Huangchu (221 AD), the Emperor in an edict praised Zhang Gong and conferred on him the rank of a Guannei Lord and appointed him wuji jiaoyu of Xiyu (the Western regions).”

25. From SGZ, Chronicle of Wendi: “In the sixth month on the day xinhai (July 24), a manoeuvre was held at the eastern suburb; on the day gengwu (August 12), the King of Wei started on his southern expedition.”

26. From SGZ, Chronicle of Wendi.

27. From SGZ, Biography of Liu Feng.

27.1 SGZ reads, “Then again, Liu Feng and Meng Da fell out; soon thereafter, Liu Feng deprived Meng Da of his band of trumpeters. Meng Da in the first place was uneasy because of his culpability in not having come to the help of Guan Yu the previous year, and besides he was vexed at Liu Feng.

Here Sima Guang is slightly in error. SGZ states: “After Yizhou was conquered by the First Sovereign, Liu Feng was appointed fujun zhonglangjiang.” After the surrender of Shen Dan and his younger brother Shen Yi, SGZ states, “Liu Feng was promoted to be fujun jiangjun.” As the Shen brothers surrendered in 249 AD, Liu Feng must have been made fujun jiangjun by this time.

As for Meng Da, it is not stated what title he had in Shu. He and Liu Feng had stayed in Shangyong since their occupation of it in the preceding year.

27.2 SGZ has “So he sent a memorial to the First Sovereign bidding him farewell, and with his subordinates he surrendered to the Wei.”

SGZ, Chronicle of Wendi, states, “The Shu general Meng Da and his troops surrendered.” The context of this sentence shows that Meng Da must have surrendered in the seventh month. The Weilue states: “In the first year of Yankang, Meng Da, with more than four thousand soldier households, came over to the Wei.” Evidently the Zizhi Tongjian sentence is derived from this one.

27.3 SGZ has “Wendi of Wei liked Meng Da for his fine features and excellent appearance.” The first half of the Zizhi Tongjian sentence is from the passage given in Note 27. The second half is rewritten from the following passage in the Weilue: “Then again, when the King went out on a progress to a nearby place, riding in a small carriage, he held Meng Da's hands and patted him on the back, saying playfully, 'Are you not an assassin sent by Liu Bei?' He then rode in the same carriage with him.”

27.4 The concluding part of the Zizhi Tongjian sentence is from the Weilue, where it reads, “He also conferred on him the additional title of sanji zhangshi and appointed him taishou of Xincheng, thereby entrusting him with southern affairs.”

28. From SGZ, Biography of Liu Ye, where the following passage precedes: “Returning from Hanzhong, Liu Ye was appointed xingjun changshi and concurrently a linjun. In the first year of Yankang, the Shu general Meng Da together with his subordinates surrendered. Meng Da had an imposing appearance and excellent talents; Wendi valued him and was very fond of him. He appointed him Grand Administrator (taishou) of Xincheng and conferred on him the additional title of sanji changshi.” The “Chancellor of the March” was attached to the Premier of Han, who in this case was also King of Wei.

29. From SGZ, Biography of Liu Feng.

29.2: SGZ has “Shen Yi revolted against Liu Feng. Liu Feng was defeated and returned to Chengdu. Shen Dan surrendered to the Wei.” After this, the narrative continues, “The Wei gave Shen Dan the title of huaiji jiangjun and moved him to Nanyang. They appointed Shen Yi to be Grand Administrator ( taishou ) of Weixing and enfeoffed him as Lord of Chen Xiang, stationing him at Xunkou. When Liu Feng came to Chengdu, the First Sovereign reproved him for oppressing Meng Da and for not giving help to Guan Yu.”

30. From SGZ, Chronicle of Wendi, where the following sentence concludes the passage: “They were made to live in the prefecture of Hanyang.”

31. The first two sentences are from SGZ. The last sentence is from the Weishu.

31.2 Wei shu has: “Musical and a wealth of (literally, a 'hundred' rather than 'a wealth of', but 'hundred' can be taken loosely here) other entertainments were given. The King ordered, 'Former Kings all took pleasure in the places of their nativity. It is in accordance with the rules of propriety that one does not forget one's provenience. Qiao is a land of hegemons and princes, a birthplace of sovereigns. Herewith I order that Qiao be exempted from land taxes for two years.' The Three Elders, officials and men of the people drank to the King's health, the banquet lasting until dusk. On the day bingshen (September 11), he himself offered sacrifices at the mausoleum of Qiao.” Obviously a not unimportant cause for the toast was the two-year tax exemption.

32. From commentary to the SGZ by Sun Sheng.

32.1 From the Li Ji. The translation is Legge's from his “The Li Ji” Mencius adops this sentence, with skillful interpolation and amplification in Mengzi: “But I have heard these points: - that the three years' mourning, the garment of coarse cloth with its lower edge even, and the eating of congee, were equally prescribed by the Three Dynasties, and binding on all, from the Sovereign to the mass of people.”

32.2 The Three Dynasties are Xia, Yin and Zhou. The Seven Hegemons are Qin, Zhao, Han, Wei, Qi, Chu and Yan during the Period of Warring States (zhanguo).

32.6 The allusion is to the Shujing. Translation of this passage follows by Legge:

Brightly intelligent was our ancestor,
Sovereign of the myriad States!
He had canons, he had rules,
Which he transmitted to his posterity.

33. From SGZ, Biography of Jia Kui, where the following passage precedes, “In the end he brought Cao Cao's coffin back to Ye. Having acceded to the royal throne, Wendi, because lawlessness reigned in the xian of Ye, containing several tens of thousand households and located in the metropolitan area, appointed Jia Kui to be Magistrate (ling) of Ye (the metropolis). After a little more than a month, he promoted him to be Prefect (taishou) of Weijun. When the army under the King went out on an expedition, he became Senior Recorder (zhubu jijiu) to the Prime Minister (chengxiang).

Once, Jia Kui was involved in the crime of another person, and was to be punished. The King said, 'Shu Xiang's posterity was to be pardoned for ten generations (Zuozhuan). Now Jia Kui is a living embodiment of his achievements; how much more should the precedent be applied to him!' In the King's company he came to Liyangjin, where some soldiers forded the river in a disorderly manner. Jia Kui put them to death, under which order was restored. Arriving at Qiao, the King appointed him Provincial Governor (cishi) of Yuzhou.”

It is because of this “arrived at Qiao” that Sima Guang puts the present section here, immediately (except for Sun Sheng's comments) after Section 31, where the banquet of Qiao is narrated.

33.1 This sentence is Sima Guang's. We must read “Senior Recorder” (zhubu jijiu) instead of simply “Senior” (jijiu),” which is a mistake. SGZ gives Jia Kui's title as Senior Recorder attached to the Han Prime Minister. Besides, jijiu is a title belonging to two other posts attached to the Han Prime Minister-Senior Staff Officer and Senior Military Counsellor.

33.2 SGZ: “At this time the Empire had been only recently reduced to order, so that most of the zhou (provinces) and jun (prefectures) were not under full control.”

33.3 SGZ has: “The Governors [zhou] were originally Clerks (yushi) who went out from the capital to superintend the various jun; by authority of the Edict in Six Items, they examined into the conduct of higher officials, from erjianshi down.”

With regard to “yushi” here, Pan Mei (in his Sanguozhi gaocheng) asserts that it must be a copyist's error for “cishi.” He says that the Jin had jianyushi who superinteded the various jun, these (jian-)yushi of the Jin being identical with the Han cishi; and that since Jia Kui had the Han system in mind when he mentioned the Edict in Six Items, he must have meant the Han title cishi, not the Jin yushi. Pan Mei must have understood the question as follows: “In the zhou there were originally Inspectors (cishi) who went out to superintend...” This interpretation does not seem felicitous.

For the identification of erjianshi with Prefects, see Hou Han Shu, commentary by Li Xian.

The Edict in Six Items seems to have been issued in 106 BC, when Han Wudi divided his Empire into thirteen zhou and appointed a cishi for each of them. The text of the Six Items is given in the Hanguan dianzhiyi, quoted by the commentator Yan Shigu in Han shu.

33.7: In SGZ the passage from which this sentence in ZZTJ is written is placed after the passage given in note 33.8. The SGZ passage reads: “On the south, Yuzhou bordered on the Kingdom of Wu. Jia Kui set in order matters relating to reconnaissance and watch-towers, repaired armor and weapons, and thus prepared for defense and for war, so that the rebels of Wu did not dare to violate the territory. Externally, he attended to military matters. Internally he regulated the affairs of the people. He built dikes along the Yan and the Ju, thus constructing the Xinbo (New Embankment). He also cut through the mountain and diverted the water of the Changqi into a reservoir, constructing the Xiao Yiyang Bo (Minor Embankment of Yiyang). He again dredged and made navigable the transport canals, for more than two hundred li; this system is the so-called Jiahou qu (Canal of Lord Jia).

33.8 This is found in SGZ before the passage given in 33.7.

34. Composed by Sima Guang. Pei Songzhi's commentary in SGZ reproduces practically all the documents relating to the farce called the “shandai” (Handing over the Throne) as given in the Xiandi zhuan; see SGZ, Chronicle of Wendi. From the modern point of view, they possess no historical value whatsoever. Sima Guang was probably of the same opinion; his three sentences given here do ample justice to the verbose account.

34.1. Xiandi zhuan states: “The General of the Gentlemen of the Household on the Left (zuo zhonglangjiang) Li Fu memorialized to the King of Wei...” Then follows the long, fatuous verbiage of the memorial trying to marshal all the esoteric documents that would compel the Han to give over their throne to the Wei. Xiandi zhuan further states, “On the day xinhai (of the tenth month, November 21), the Grand Master Civil Assistant (taishi cheng) Xu Zhi sent a memorial to the King of Wei concerning details of evidences found in aprocryphal records that Wei was to replace Han...” It would be a waste of time to translate the text of the memorial.

34.2 Xiandi zhuan after the memorial of Xu Zhi gives the text of the memorial sent up by Xin Pi and others. In the memorial occurs the following sentence. “The reason why the wise Kings of ancient times received the heavenly mandate and did not refuse it was that they held it pressing to obey August Heaven's command and satisfy the expectation of the myriad people; they could not help it.”

34.3 Xiandi zhuan gives the text of the King's answer to the memorial mentioned in Note 34.2. In this he made a pretense of refusing the great honor out of modesty. Needless to say, he manipulated the whole thing.

35. Adapted from SGZ as follows.

35.1 SGZ, Chronicle of Wendi states under the tenth month (the text has eleventh month, which is a mistake and to be corrected): “On the day bingwu, the King of Wei reached Quli. The Han Emperor, since the general opinion was in favor of Wei, summoned all the officials of his Court, reported to the Ancestral Temple, and had the Grand Master of Ceremonies (taichang) Zhang Yin, who was concurrently invested as Imperial Cleark Grandee (yushi dafu), carry the Tally, bring the Imperial Seal and announce his abdication. The text of the edict read...”

Here Sima Guang does not follow the SGZ date, but that of the Hou Han Ji of Yuan Hong, which states, “Winter, tenth month: On the day yimao, the Emperor issued an edict, 'I shall now follow the precedent given in the Yaodian of the Shujing and abdicate the throne in favor of the King of Wei.' He then reported to the ancestral temple and had the yushi dafu Zhang Yi take the Imperial Seal to the King of Wei, thus announcing his abdication. The text of his edict read...”

The Xiandi zhuan also gives the text of the Imperial edict issued on the day yi mao, “In the first year of Yankang, in the tenth month, on the day yimao, I, the Emperor, spoke as follows: '...I send down my two daughters to be wives in the House of Wei. I send the acting Imperial Cleark Grandee (yushi dafu), the Grand Master of Ceremonies (taichang) Zhang Yin, carrying the Tally, to bring the Imperial Seal to your Highness...'” It is from this passage that the Zizhi Tongjian sentence derives the title “acting yushi dafu”.

The date November 25 (yimao of the tenth month) is also given in the Hou Han Shu.

35.2 Xiandi zhuan gives the text of an edict issued by the Han Emperor dated gengwu (tenth month, December 10), in which occurs: “But your Highness has declined modestly three or four times.”

36. SGZ has: “On the day gengwu (December 10), the King mounted the altar and was enthroned, the myriad officials attending on him. This affair completed, he came down from the altar and attended to the beacon fire. After the ceremony, he returned to his palace. He altered the reign title from Yankang to Huangchu, and issued a general amnesty.”

The Xiandi zhuan (quoted in commentary to this passage) reads: “On the day xinwei, the King of Wei mounted the altar to receive the throne; Ducal and other ministers, feudal lords, generals, the shanyu of the Xiongnu, and barbarians of the Four Quarters who had come to pay homage, in all several tens of thousand men attended the ceremony. A beacon fire was lighted and homage was paid to Heaven and Earth, the five mountains and the four waters.”

In the Hou Han Ji, the date is the same as in the SGZ, “On the day gengwu, the King of Wu ascended the Imperial throne; he altered the reign title to Huangchu.”

Sima Guang rejects the date gengwu as erroneous and accepts xinwei as in the Xiandi zhuan. He gives two reasons for this. One is the famous “stele [commemorating] Wendi's receiving the throne”, which also gives the date xinwei. The other is the Xiandi Ji, where the twenty-ninth day of the tenth month is mentioned as the day of enthronement. As for the second evidence, the Xiandi zhuan, states: “Thereupon, the shangshu ling Huan Jie and others memorialized, '….I ordered the taishiling to choose an auspicious day; he reported the twenty-ninth day of this month as the day for you to mount the altar and receive the mandate. I request you to order the Three Ducal Ministers and various other ministers to memorialize you about the details of the ceremony.' The King of Wei gave his approval.” This twenty-ninth day is identical with the day xinwei. The two titles, Xiandi Qi and Xiandi Zhuan refer to one and the same book by Shen Jiaben.

37. From SGZ, Chronicle of Wendi. {In the main text, for reasons that completely elude me, Achilles Fang did not add numbers to indicate subnotes. If the sub-notes for this section are confusing, that's why}


37.1 SGZ has: “In the first year of Huangchu, in the eleventh month, on the day guiyu, ten thousand households of Shanyang in Henei were allotted to the former Han Emperor, who now received the title of Duke of Shanyang. He was authorized to use the Han calendar, to offer Suburban Sacrifices with the ceremony of a Son of Heaven, to refrain from calling himself 'Your Subject' in his letters to the throne, and to receive sacrificial wine and meat offered to the Ancestral Temple in the capital.

37.3 SGZ has “He conferred the posthumous title of Taihuangdi {Great Emperor?} on his grandfather the Taiwang, that of Wuhuangdi {Martial Emperor?} on his father Wuwang, and the title of Huangtaihou on the Wangtaihou.” The temple designation Taizu was given to Cao Cao only in 237 AD.

After the passage given above, SGZ has another, omitted in Zizhi Tongjian, “He granted one grade of rank to all males of the population; and two grades to those who were their fathers' heirs, those who were filial and brotherly, and those who were assiduous in husbandry.”

37.4 SGZ has “Fanyang Ting in Yingyin was renamed Fanchang xian. Enfeoffments were made and ranks were advanced in accordance with the individual merits of the officials.”

37.5 After this, SGZ continues, “The office of fengchang was renamed Grand Master of Ceremonies (taichang), Prefect of the Gentlemen of the Palace ( lang zhongling ) changed to Superintendent of the Imperial Household (guangluxun), dali to tingyu {Communal Inspector?} and danong to dasinong {both of these roughly have to do with "Ministers of Agriculture"}.

38. SGZ, Biography of the Empress Zhao, consort of Wendi: “In the first year of Huangchu, in the tenth month, Wendi acceded to the Imperial throne. After the accession, the Duke of Shanyang offered his daughters to be wives of the Emperor of Wei.” The Former Emperor of Han had already announced the offer of his two daughters to Cao Pi on the day yimao of the tenth month.

The whole farce derives its excuse from the Shu jing: “On this he gave orders, and sent down his two daughters to the North of the Gui, to be wives in the family of Yu.” That is, Yao married his two daughters to Shun, on whom he was about to bestow his throne. The Han Emperor was emulating this precedent, but there was one difference—Shun had no wife at the time, nor is it recorded that he ever had any besides these two daughters of Yao, whereas the size of Cao Pi's harem was notorious.

39. From SGZ, Biography of Xin Pi, where the following passage precedes, “When Wendi ascended the Imperial throne, Xin Pi was promoted to shizhong and enfeoffed as Guannei Lord.”

39.4 In the Zuozhuan, the sentence reads, “The numbers of Xia are the more correct deductions from the heavens.” This translation of Legge can equally be taken for the sentence as quoted by Xin Pi.

40. From SGZ, Biography of Wei Chen, where the following passage precedes, “When Wendi acceded the royal throne, Wei Chen became a sanji changshi. When he became an Emperor, he was enfeoffed as Lord of Anguoting.”

41. From SGZ, Biography of Empress Xuan.

42. From SGZ, Chronicle of Wendi.

43. From SGZ, biography of Su Ze

44. From SGZ, bio of Jiang Ji

44.1 This is Sima Guang's own sentence, from the following passage, “When the future Wendi acceded to the royal throne, Jiang Ji was transferred to be Chief Clerk (changshi) to the Chancellor (xiangguo). When Wendi became Emperor, Jiang Ji was sent out of the capital as General of the Gentlemen of the Households of the East (dong zhonglangjiang). He returned to the capital as anji changshi.”

44.5 Shu jing: “There should be no such thing as a minister conferring favors, displaying the terrors of justice, or receiving the revenues of the country.”

45. From SGZ, biography of Xin Pi.

[Jordan]

Chapter 2
Second Year of Huang Chu (221 AD)
Shu: First Year of Chang-wu

1. Spring, first month (Feb. 10 - Mar. 10). The Gentleman Consultant (yilang) Kong Xian (孔羨) was appointed Lord Worshiper of the Sage, in which capacity he was to offer sacrifices to his ancestor Confucius.

2. Third month (Apr. 10 - May 9.). The Grand Administrator (taishou) of Liaodong Gongsun Gong, was given the title of General of Chariots and Cavalry (juji jiangjun).

3. The wu-shu coins were again put into circulation.

4. In Shu, it was rumored that the Han Emperor had been murdered, so the King of Hanzhong declared mourning for him and prescribed the mourning clothes, canonizing him as Xiao Min Huang-Di.

5. The Shu courtiers were all busily talking of the prophesies and auspicious signs, and advised the King of Hanzhong to assume the title of Emperor [1]. The jian fu si ma Fei Shi memorialized [2]: "It is because Cao Cao and his sons have coerced their sovereign and usurped his throne that Your Highness is wandering in this land ten thousand li distant from the capital, with soldiers around you, your intention being to punish the rebels. Now the arch-enemy is not yet put down, and you would first proclaim yourself Emperor. I am afraid that the people will become suspicious of you. Formerly, the Emperor Gaozu made an agreement with Chu (i.e. with Xiang Yu) that he who should be the first to destroy the Qin would be crowned as King. When he butchered Xianyang and seized Zi Ying, he still thought of declining the throne out of modesty. Now, Your Highness has not issued out of the narrow limits of your domain; yet you would proclaim yourself Emperor! This is not what I, stupid though I am, should recommend you to do."

The King was displeased and demoted Fei Shi to be Attendant Clerk (congshi) of Yongchang in his jurisdiction (i.e. Yizhou).

6. Summer, fourth month. On the day May 15, the King of Hanzhong assumed the imperial throne at the south of the mountain Wudan in Cheng Du. [1] He gave general amnesty, altered the reign-title to Changwu, and appointed Zhuge Liang to be Prime Minister (chengxiang) and Xu Jing to be Minister over the Masses (situ). [2]
 
 7. Your Servant Sima Guang observes: - -
Heaven gave birth to the multitude of the people [1], but it was not in the nature of things that they could govern themselves; they were obliged to have a sovereign above them as their ruler. Any one who is able to suppress the unruly and eliminate the harmful, thus preserving the people's lives, and to reward the good and punish the wicked, thus restraining them from causing disorder, may be called a sovereign. To illustrate the point, the number of feudal lords during the time before the Three dynasties [Xia, Yin, Zhou] was not exhausted by the "ten thousand states." All those who ruled over the people and possessed an Altar of Earth and Agriculture passed as "sovereigns." But the one who united these ten thousand states under his single rule, giving laws and issuing commands, against which no one in the empire raised his voice, was called "King". The kingly influence having declined, the sovereigns of powerful states who were able to command the feudal lords, and who paid respect to the Son of Heaven, were "hegemons". Since ancient times, there have been instances when the empire fell into disorder and feudal lords contended against each other, so that for many generations there was no King at all.

After the Qin had burned its books and buried alive Confucian scholars, there arose Han, whose scholars began to propound the theory of mutual engendering and mutual destruction of the Five Elements. [2] Arguing that Qin had occupied an intercalated position between the elements of Wood [Zhou] and of Fire [Han], they considered it as the dynasty of a hegemon, and would not accredit it as that of a King. In this manner arose the theory of the orthodox and the intercalated positions in the succession of dynasties.

After the house of Han was overthrown, the Three Kingdoms (Wei, Shu, and Wu) stood like three legs of a tripod. When the Jin lost control of the empire, the Five Barbarian Tribes overran it. From Song and [Hou-]Wei {Northern Wei} on, South and North were divided politically. Each had its own dynastic history, in which it reviled the other- -the South calling the north "Suo-lu" ("slaves with hair bound") and the North calling the South "Daoyi" ("insular barbarians"). After Zhu [Quan Zhong] [of Hou-Liang] succeeded to the Tang, the four quarters of the empire were rent to pieces. The Juye [3] clan, when they entered Bian, compared the Hou-Liang dynasty with the Qiong of Prince Yi and with the Xin of Wang Mang. The Hou-Liang Emperor threw overboard the succession and chronology of the late dynasty. His phraseology, calculated to further his personal interests, was not one embodying enlightenment and supreme equity.

Your servant Sima Guang, being stupid, cannot claim to know anything about the orthodox and intercalated positions of the foregoing dynasties. He would presume to observe, however, that even though the name "Son of Heaven" was held by some who were unable to unify the Nine Provinces [i.e., the empire] under their sole rule, all these lacked the reality to substantiate it. There were, to be sure, occasional distinctions- -some were of Chinese stock, others from barbarian tribes; some were benevolent and others cruel, some great and others small, some powerful and others weak. But essentially they were not different from the various feudal states of antiquity. How can we honor one of these states as being in the orthodox line, and call the others usurpers and pretenders?

If we call orthodox those dynasties which received the throne from their immediate predecessors, then questions arise. On whom did the Chen confer the throne? From whom did the Tuoba [i.e., the Hou-Wei of Northern Wei] receive the throne? We might then call orthodox those dynasties which had their seats of government in China proper. But the Liu, the Shi, the Murong, the Fu, the Yao, and the Hou-Liang all had within their territories the former capital of the Five Emperors and the Three Kings.

Shall we, finally, call orthodox those that were virtuous and beneficent? Even the tiniest state must have had one sovereign of good name; could there not have been, during the last days of the Three Dynasties [I.e., Xia, Shang, and Zhou] an excellent King who ruled some out-of-the-way domain?

Hence, from antiquity to the present, the theory of orthodox and intercalated position is never sufficiently convincing to compel us to adhere to it.

In the present book, Your Servant has limited himself to setting forth the rise and decline of different states, recording man's ups and downs and leaving it to the readers themselves to draw lessons as to which is good and which bad, which wise and which in error, and to draw encouragement or warning therefrom. His intention is quite unlike that of the Chunqiu {Spring and autumn Annals}, which set up for the norm for praise and blame with the object of rectifying a disorderly age.

Your Servant does not presume to know anything about the orthodox and intercalated positions. But to judge from their actual individual accomplishments, the Zhou, Qin, Han, Jin, Sui, and Tang each in their time unified the Nine Provinces under their rule and transmitted the throne to their posterity. Their descendants eventually grew weak and had to wander from their original seats of government; nevertheless they took up the task of their ancestors and could hope for restoration. Those in the four quarters who contended with them for power and supremacy were all their former subjects. Therefore they are here accorded the full consideration due the Son of Heaven.

As for the rest- -those more or less equal to each other in territory and virtue, hence unable to unify the others under one rule; who, having similar appellations, did not originally stand in the relationship of sovereign and subjects- -these are here given the treatment proper to feudal states. All the different parties are treated equally and fairly, as to avoid misrepresenting the facts and attain ultimate justice.

Nevertheless, we cannot do without some framework of chronology for recording the sequence of events during those times of disunion and turbulence in the empire. The Han transmitted the throne to the Wei, from whom the Jin in turn received it. The Jin transmitted it to the Song, and so down to the Chen, from whom the Sui eventually took it. The Tang transmitted to the [Hou-]Liang, and so down to the [Hou-]Zhou, to whom the Great Song succeeded. So we have no choice but to adopt the reign-titles of Wei, Jin, Qi, Liang, Chen, Hou-Liang, Hou-Tang, Hou-Jin, Hou-Han, and Hou-Zhou, in order to chronicle the events that took place in various states. In doing so we are not hording one and treating another with contempt, nor making the distinction of the orthodox and intecalary postions.

As for the relation between Liu Bei and the Han, it is of course asserted that he was descended from Prince Jing of Zhongshan, but they were so far apart in time that the number of generations between them could not be reckoned, let alone the names of all the intermediate progenitors. The claim is like that of the Emperor Gaozu of [the Liu-] Song that he was a descendant of Prince Yuan of Qu [of the imperial Liu clan of the Han]; or like that of the Emperor Liezi of Nan-Tang (Southern Tang) that he was a descendant of Li Ke [of the Tang imperial house], Prince of Wu. The truth in these matters cannot be ascertained. Therefore we dare not equate Liu Bei's case with those of the Han Emperor Guangwu and [Jin] Yuandi, and make him the rightful successor to the Han line.


8. Sun Quan moved his capital from Gong-an to 'A. He renamed 'A, calling it Wuchang.

9. Fifth month. On the day June 19, the Sovereign of the Han enthroned the furen Wu as his Empress. The Empress was a younger sister of the Lieutenant General Wu Yi and wife of the late Liu Mao, elder brother of Liu Zhang. [1] He appointed his son Liu Shan as Crown Prince, and married him to a daughter of the General of the War Chariots, Zhang Fei; she thus became the Crown Prince's consort. [2]

10. When Cao Cao entered Ye in 204 AD, the Emperor, who then was General of the Gentlemen of the Household for All Purposes (wuguan zhonglangjiang), saw Yuan Xi's Lady Zhen of Zhongshan and took delight in her beauty. [1] Cao Cao married her to him, and she gave birth to Cao Rui. [2] After Cao Pi ascended the throne, the guipin Guo of An'ping stood in his favor. [3] Lady Zhen stayed at Ye and could not see the Emperor; she became despondent and murmured words of resentment. [4] The guipin Guo slandered her to him. [5] The Emperor was greatly angered and in the sixth month, on the day Aug. 4, sent a messenger to order her suicide. [6]

11. The Ancestral Temple being in Ye, the Emperor offered sacrifices to Cao Cao in the hall of Jianshitian in Luo Yang, using rituals proper to worshiping a member of a private family [not to an Emperor].

12. On the day Aug. 5, last day of the month, the sun was eclipsed. The officials in charge memorialized that the taiyu be dismissed from office. The Emperor declared in a edict, "Calamities such as solar eclipses are meant to rebuke the sovereign of a state; to ascribe fault to his ministers, is this in the spirit of Yu and T'ang, who took themselves to task? May my officials reverently execute their duties. In future, the Three Ducal Ministers shall not be impeached for any celestial or terrestrial calamities which may occur."

13. The Sovereign of Han eneoffed his sons: Liu Yong as Prince of Lu and Liu Li as Prince of Liang.
 
14. Shamed by Guan Yu's ignominious end, the Sovereign of Han was about to attack Sun Quan. [1] The yijun jiangjun Zhao Yun said, "Cao Cao was the enemy of the state, not Sun Quan. If we first destroy Wei, Sun Quan will of himself submit to us. Now, Cao Cao is indeed dead, but his son Cao Pi has usurped the throne. We ought to comply with the wishes of the multitudes and plan against Guanzhong at this early time; if we occupy the upper courses of the He (Yellow River) and the Wei and launch our attack on the iniquitous rebels, men of loyal heart in Guandong [east of the Hangu pass] will be certain to join our royalist army, bringing their own provisions and urging their horses. We ought not to leave Wei alone in order to fight with the Wu first. Once we cross arms with them, it will not be in our power to disengage ourselves. This is not the best of plans."

A large number of the officials remonstrated, but the Sovereign of Han listened to none of them. [7]

15. Qin Mi, a private citizen of Guanghan, discoursed on the "opportunities of time vouchsafed by Heaven" and asserted that there would not be any profit in the proposed campaign; he was sent to prison, but was eventually pardoned and released.

16. The General of Chariots and Cavalry (juji jiangjun) Zhang Fei was brave and martial, second only to Guan Yu. The counseling ministers of Wei, such as Cheng Yu, all said that Guan Yu and Zhang Fei were each the match of ten thousand men. Guan Yu treated his rank and file well but was arrogant towards the gentry; Zhang Fei loved and respected superior men but was harsh towards his troops. The Sovereign of Han always admonished Zhang Fei, "You are extraordinarily severe in sentencing your men to death; furthermore, you daily whip and beat soldiers and order these very men to wait upon you. This is simply courting disaster." Still Zhang Fei did not mend his conduct. When the Sovereign of Han was about to attack Sun Quan, Zhang Fei was to lead ten thousand men from Langzhong and join him at Jiangzhou. On the eve of his setting out, Zhang Da and Fan Jiang (范彊), who were his subordinate generals, killed Zhang Fei; carrying his severed head, they sailed down the river and fled to Sun Quan. Hearing that Zhang Fei's yingdudu {Chief Controller} had sent a memorial to him, the Sovereign of Han said, "Alas, Zhang Fei is dead."

17. Chen Shou in his commentary says:
"Guan Yu and Zhang Fei, each of them known as the match of ten thousand men, served their Sovereign as bravely as tigers. Guan Yu repaid Duke Cao Cao for the favors he received and Zhang Fei magnanimously gave back freedom to Yan Yan; in these they showed that they were first gentlemen of the land. But Guan Yu was uncompromising and obdurate, overly proud of himself; Zhang Fei was unbridled in his temper, never making others attached to him. Because of these defects, they met their sad ends; theirs was a lot that could not be prevented."

18. Autumn, seventh month (Aug. 6 - Sept.. 4). The Sovereign of Han in person led his various troops forth to attack Sun Quan; Sun Quan sent an envoy to seek peace with the Han.

19. The Prefect of Nanjun in Wu, Zhuge Jin, sent a letter to the Sovereign of Han: "I am informed of your sudden arrival at Beidi with your troops. I fear that your advising ministers might tell you to reject our peace proposal on the grounds that the King of Wu has seized this prefecture (i.e. Jingzhou) and killed Guan Yu, by which action he has incurred your greatest and profoundest hatred. Such a view, however, shows that they are attending to petty matters, not thinking of more important considerations. Permit me to weigh the situation for Your Majesty. If Your Majesty can hold back your prowess, suppress your anger, and reflect on my words, you will come to a decision immediately and will not consult your myriad Lords. As for your relationship with Guan Yu, does Your Majesty hold it more intimate than that with the late Emperor of Han? Do you consider Jingzhou more important than the whole empire? If there are two enemies, which one must you deal with first? If you reflect from this point of view, it will be as easy as turning the palm for you to accept our peace proposal." The Sovereign of Han did not listen to this.

20. It was at this time that some one said Zhuge Jin had sent an emissary to the Sovereign of Han on his behalf. Sun Quan said, "I and Ziyu [i.e., Zhuge Jin] swore an oath of mutual loyalty through life and death. As little as I would betray Ziyu, so little will Ziyu betray me."

21. Nevertheless, slanderous rumors about him spread though the land. [1] Lu Xun sent a letter to Sun Quan in which he maintained that Zhuge Jin could not have done such a thing and that something ought to be done to put his mind at ease. Sun Quan replied to him, "I have been acquainted with Ziyu for years; we are as intimate with one another as if we were relatives of the blood, and understand one another clearly and profoundly. His sort of man would not act contrary to the correct principle, nor would he speak what is not righteous. Formerly when Xuande sent Kongming as his envoy, I said to Ziyu, 'You and Kongming are brothers from the same parents and such brothers should not live separately; furthermore, a younger brother ought to follow his elder brother. This is only meet and just. Why do you not detain Kongming? Should Kongming be willing to follow you, I, of course, shall send a letter to Xuande to explain the matter. There is nothing that should deter him from joining the service of any one he pleases.' Ziyu replied to this proposal of mine, 'My younger brother Zhuge Liang has already pledged his honor to another person, to whom he has committed his loyalty; it is impossible in the nature of things that he should change his allegiance. My younger brother will as little stay here as I would go to his sovereign.' His words can move even the spirits. Now, can he do such a thing as the rumor would have it? All the written communications with such wanton rumor that came to me I sealed up and sent to Ziyu; at the same time I sent a letter in my own hand. I then received his reply, in which he discoursed on the constant principle of the great relationship of sovereign and subject in the empire. My friendship with Ziyu can be called spiritual; we are not to be estranged through what others may say. Convinced of your best intention, I have sealed up your letter and sent it to Ziyu, so he may be acquainted with your intention."
 
22. The Sovereign of Han sent the Generals (jiangjun) Wu Ban and Feng Xi to attack Sun Quan's generals Li Yi and Liu A, etc.; they defeated them at Wu and the army advanced to Zigui. [1] The number of troops employed amounted to more than forty thousand. [2] The Man barbarians of Wuling all sent envoys to request him to send troops to them.

23. Sun Quan appointed the General Who Guards the South (zhenxi jiangjun) Lu Xun to be Commander-in-chief, with the Tally; in this capacity he was to command the Generals Zhu Ran, Pan Zhang, Song Qian, Han Dang, Xu Sheng, Xianyu Dan, Sun Huan, etc.; with fifty thousand troops, in resistance to the Sovereign of Han Liu Bei.

24. The Emperor's younger brothers, Lord of Yanling Cao Zhang, Lord of Wan Cao Ju, Lord of Luyang Cao Yu, Lord of Qiao Cao Lin, Lord of Can Cao Gan, Lord of Shouchun Cao Biao, Lord of Licheng Cao Hui, Lord of Pingyu Cao Mao were all advanced in their rank to be Dukes. [1] The Lord of Anxiang Cao Zhi was reeneoffed as Lord of Juancheng.

25. The terrace Lingyuntai was constructed.

26. Some time ago the Emperor had commanded his body of officials to hazard a conjecture as to whether Liu Bei would issue from his domain and avenge Guan Yu on Sun Quan. The consensus was, "Shu is but a petty state and has had only one general of renown, Guan Yu. Now that Guan Yu is dead the army is overthrown, the whole country is possessed by worry and fear; Liu Bei has no chance of issuing from his domain." The Palace Attendant (shizhong) Liu Ye alone said, "Narrow and weak though Shu may be, Liu Bei has set his heart on consolidating his position by martial prowess. Therefore he is certain to conduct a campaign to demonstrate that he still has plenty of strength. Furthermore, the relation between Guan Yu and Liu Bei was indeed that of sovereign and subject, but their affection was comparable with that of father and son. If he cannot, after Guan Yu's death, raise his troops and take revenge on the enemy, he will not be fulfilling his part!"

27. Eighth month (Sept. 5 - Oct. 3). Sun Quan sent an envoy to declare himself the subject of the Wei, his memorial being couched in humble language; he also sent back Yu Jin and others who were prisoners of war in Wu. All the court officials congratulated the Emperor, but Liu Ye alone said [2], "Sun Quan is asking to surrender without due reason; there certainly must be some difficulty in his state. Some time ago, Sun Quan surprised Guan Yu by assault and killed him, taking the four prefectures of Jingzhou. Liu Bei is certain to raise a large army and attack him. There being the threat of this powerful invader, the minds of the Wu multitudes are perturbed. He is also afraid that we of China might come and take advantage of this opportunity. It is for these reasons that he renounces his territory and asks to surrender. By this means, he may first prevent any attack from China, then obtain support from China, so that he may strengthen the hearts of his multitudes and make his enemy hesitate. Sun Quan is a skillful general, in discovering good plans and anticipating favorable turns; but as far as I can see, his plan cannot be anything but this. Now, the empire is divided into three parts; China has eight tenths, while Wu and Shu occupy one province each. It is in their own interests that these smaller states, blockaded by mountains and protected by waters, come to each others' aid in times of emergency. But they are now attacking one another; Heaven wills their destruction. We therefore ought to raise a large army and cross the Jiang without delay to assault him. With Shu attacking the exterior and us attacking the interior, Wu will perish in a month at most. After Wu has perished, the Shu will stand alone without support. We may cede half of Wu and give it to Shu. Shu cannot subsist long; how much more certainly so when Shu gets the exterior portion of Wu and we the interior!"

The Emperor said, "If we attack one who has called himself out vassal and surrendered to us, we will only be causing doubt in the hearts of those of the empire who intended to come to us; they will be certain to be fearful. This will not do at all. It is better to accept Wu's surrender first and then assault Shu from their back."

Liu Ye, however, replied, "We are distant from Shu and near to Wu. Furthermore, hearing that China is attacking them, the Shu troops will return and we will not be able to stop them. Now, Liu Bei is so vexed that he has raised his army to strike at Wu; hearing of our attack on Wu and knowing well that Wu will perish, he will rejoice and advance with his army to contend with us in the partitioning of the Wu territory. He certainly will not alter his plan and suppress his anger to rescue Wu." The Emperor did not listen to him, but accepted Wu's surrender.

28. Yu Jin's mustache and hair were white and he looked haggard and worn out. Received in audience by the Emperor, he wept and knocked his forehead on the ground. The Emperor consoled him by mentioning the cases of Xun Linfu and Meng Mingshi and appointed him to be General Who Tranquilizes the Outer Regions (an-yuan jiangjun). He ordered him to go northwards to Ye and visit the mausoleum of Gaoling [5]. Meanwhile, the Emperor had pictures of Guan Yu's victory, Pang De's rage, and Yu Jin's capitulation painted on the walls of the mausoleum. Seeing them, Yu Jin was filled with shame, grew ill and died.

29. Your Servant Sima Guang observes: --
"Commander of tens of thousands of troops, Yu Jin could not make up his mind to die when he was defeated, but surrendered alive to the enemy. Now that he returned Wendi might have dismissed him or might have killed him. Instead, he had pictures painted on the walls of the mausoleum and insulted him; his act was not worthy of a sovereign."
 
30. On the day Sept. 23, the Emperor dispatched the Grand Master of Ceremonies (taichang) Xing Zheng {Xing Zhen? In the book his name is written as Hsing Cheng, but the characters look like Xing Zhen...} (邢貞) to carry an imperial edict appointing Sun Quan King of Wu and conferring on him the Nine Gifts. Liu Ye said, "I disapprove of this. There late Emperor [i.e., Cao Cao] in his campaigns throughout the empire, conquered eight tenths, his prowess shaking the land within the seas. Your Majesty received the throne and ascended it; your virtue is comparable of Heaven and Earth, your rule extends to the four distant quarters. This is really so in actuality, not idle encomium on my part. Man of great talents though he is, Sun Quan was no more then a General of Agile Cavalry (biao ji jiangjun) and Lord of Nanzhang under the defunct Han dynasty; his official position is insignificant and his power is small. Moreover, his people are in their hearts afraid of China. You ought not to compel them to exert themselves in unison with him to accomplish his design.

If you cannot help accepting his surrender, you can advance his title to jiangjun and enfeoff him as lord of a hundred thousand households; you ought not to make him a King so lightly. For the rank of a King is only a grade lower then that of the Son of Heaven; ceremonies pertaining to him and carriages and insignia used by him can be confused with those of the Son of Heaven. Until now he has been a mere lord; there never has been in Jiangnan the relationship of sovereign and subjects between him and his people. For you now to credit this false surrender and raise his enfeoffment, thus giving him lofty title and fixing the relationship of sovereign and subjects between him and his people--this is nothing short of adding wings to a tiger. Sun Quan, once he receives the rank of King and repulses the Shu troops, will make a show of humility in serving China, not omitting to aquaint his people with this, but privately will act in a haughty and arrogant manner, thus contriving to drive Your Majesty to anger. Then when Your Majesty, in austere anger, raises an army to punish him, he will say to his people in all composure, 'We have served China with our whole heart, without sparing rare merchandise and valuable treasures. We have never dared to lose sight of all ceremonies due from subjects to their sovereign; yet they are making a campaign against us without an provocation. They are bent on demolishing our state and enslaving our people.' The people of Wu cannot help believe his words; believing his words, they will be moved to anger and, high and low united in heart, will fight with tenfold strength." The Emperor again did not listen to him. [9]

31. The Wu having surrendered, the various generals of Wei became easy-going and lax. [1] Only the General-in-Chief Who Conquers the south (zhengnan dajiangjun) Xiahou Shang paid all the more attention to military preparations, offensive and defensive.

32. Cao Wei of Shangyong was reputed to be a man of talent. [1] Hearing that the Wu had called themselves vassals of Wei, he, a mere private person, exchanged letters with the King of Wu, soliciting largesse from him, his intention being to enlist friends for him in the capital. Informed of this, the Emperor put him to death.

33. The Wu walled Wuchang.

34. Previously the Emperor had desired to install Yang Biao as taiyu. Yang Biao declined the offer and said, "I once was one of the Three Ducal Ministers of the Han dynasty. In a time of decline and disorder, I was not able to effect anything good. Were I to become an official of the Wei, I should not be bringing any luster to the officialdom of the land." So the Emperor refrained from the appointment.

35. Winter, tenth month. On the dat Nov. 4, ducal and other ministers paid homage to the Emperor, it being the first day of the month. He also received in audience Yang Biao. Treating Yang Biao as a guest, he conferred on him a Cane of Longevity and a desk at which to recline, and allowed him to appear at court wearing a hempen garment and a leather cap. [1] He appointed him guanglu dafu {Imperial Household Grandee?}, with the rank of chung erh-ch'ien-shih, his position in court reception being inferior only to those of the Three Ducal Ministers; furthermore, he ordered a barricade erected on the gate of Yang Biao's residence and appointed subordinate officials for him, in order to show him honor and distinction. [2] Yang Biao died at the age of eighty-four.

36. Grain prices being high, the wu-shu coins were put out of circulation.
 
37. In Liangzhou, the Hu barbarians at Lushui, led by Yi Qian's concubine Zhiyuanduo (治元多) and others, rebelled, so that the Hexi region fell into great disorder. The Emperor summoned Zou Qi to return to his office and reassigned the Governor of Jingzhao Zhang Ji as Governor of Liang-zhou. The Emperor's order addressed him: "Of old, when Jia Fu [3] petitioned to attack the rebels in Yan, the Emperor Guangwu of the later Han laughed and said, 'With the zhijinwu striking at Yan, need I worry?' You surpass others in your stratagems. You are authorized to take adequate measures on your own authority; I shall not expect you to report and request my instruction before acting." He sent the hujun Xiahou Ru (夏侯儒) and the General (jiangjun) Fei Yao, etc. to reinforce him.

Having arrived at Jincheng, he wanted to cross the He (Yellow River); his generals maintained that their troops being few and the road being steep, they should not penetrate too far. Zhang Ji said, "The road is indeed steep, but not as steep as Jingxing; the rebels, a bunch of rabble, lack the counsel of a Li Zuoju. [4] Now Wu-wei is in danger, and we ought to proceed to this place speedily." In the end he crossed the He.

More then seven thousand mounted troops of the Hu barbarians encountered and resisted Zhang Ji at the mouth of the Zhanyin river. Zhang Ji proclaimed loudly that his army would march along the Zhanyin. But he led them secretly by way of Zhuci to Wuwei. Taken by surprise the Hu barbarians thought he was a god; they retreated to Xianmei.

It was only after Zhang Ji had occupied Wuwei that Fei Yao arrived, while Xiahou Ru and his men still had not come. Zhang Ji rewarded and thanked his generals and troops. He wanted to advance and strike at the Hu barbarians, the various generals all said, "Our rank and file are fatigued, while the barbarian hordes are still high-spirited; it will be difficult for us to do battle with them." Zhang Ji said, "At present there is no ready food for our army, hence we have to live upon the enemy. Discovering that our various forces are united, the enemy will retreat to high mountains: if we retreat, they will make sallies and plunder us. In that case our troops will be at their mercy. This is what is meant by the saying, 'The enemy let loose for one day will cause trouble for several generations.'" He then advanced with his army to Xianmei.

Eleventh month (Dec. 2-31). [7] Several thousand mounted troops of the Hu barbarians, taking advantage of strong wind, were about to set fire to the encampments of Wei. The generals and troops were all seized by fear. During the night, Zhang Ji placed in ambush three thousand troops and had his canjun Cheng Gongying command more then a thousand mounted troops to challenge the enemy to a battle. He ordered him to pretend to retreat; the Hu barbarians, as he expected, rushed forward eagerly, whereupon he had his troops rise from their ambush and intercept them from the rear. They advanced and struck both from head and tail, and inflicted a heavy defeat, slaughtering and capturing the Hu by tens of thousands. The entire region of Hexi was conquered.

38. Later, Ju Guang (鞠光) of Xi-ping rebelled and killed the Prefect. The various generals wanted to strike at him, but Zhang Ji said, "It is only Ju Guang and his men who have rebelled; it cannot be that all the people of the prefecture have joined them. Were we to proceed there at once with our troops, then the under-officials, the people, and the Qiang-hu (Tibetans) will be certain to think that the State does not discriminate the good and the bad; they will all the more stick to each other. In this way we will only be adding wings to a tiger. Ju Guang and his men want to find support in the Qiang-hu. We shall first let the Qiang-hu attack and plunder them; we shall promise the Qiang-hu high rewards and all the booty they may take. In this way we shall limit their strength externally and effect their disunion internally, and thus conquer them without fighting."

Thereupon he sent a proclamation to the various Qiang tribes, that all those who had been led astray by Ju Guang were pardoned, and that any one who could kill the rebel leader and send him the severed head would be rewarded and eneoffed. Thereupon Ju Guang's own followers killed him and sent his severed head to Zhang Ji; the rest went back to their peaceful lives of former days.

39. Xing Zhen (邢貞) arrived at the capital of Wu. The Wu maintained that Sun Quan ought to proclaim himself Generalissimo and Chief of one of the Nine Provinces and should not accept the eneoffment from the Wei. [2] The King of Wu said, "I have never heard that there was such a title as Lord of one of the Nine Provinces. Of old, the Duke of Pei [Liu Bang] also accepted Xiang Yu's enfeoffment of him as King of Han; this was no more then a temporary but necessary compromise. What indignity can I suffer thereby?" In the end he accpeted it.

40. The King of Wu went out to the post-house in the suburbs of the capital to wait for the arrival of Xing Zhen. Entering through the gate, Xing Zhen did not alight from his carriage. Zhang Zhao said to him, "No rule of propriety is to go unrespected, hence there is no law that is not to be enforced. Nevertheless, you, sir, presume to be arrogant. Is it because you think we south of the Jiang are so unimportant as to possess not even an inch of swordblade?" Thereupon Xing Zhen at once alighted from his carriage.
 
 41. The General of the Gentlemen of the Household (zhonglang jiang) Xu Sheng of Langye, exceedingly annoyed, turned around to his fellow-officials and spoke to them, [1] "You and I are unable to exert our strength to the utmost in the interest of the State, neither have we annexed Xu Chang and Luo Yang nor have we conquered Ba and Shu; instead we let our Sovereign conclude a covenant with Xing Zhen. What a shame!" And he wept profusely.

Hearing of this, Xing Zhen remarked to his men, "If Jiang-dong [i.e., Wu] has a general and minister like this, it will not remain long in a subordinate position."

42. The King of Wu sent the zhong dafu {Palace Grandee?} Zhao Zi (趙姿) of Nan-yang to come to the Wei Court and convey his thanks. The Emperor asked, "What kind of sovereign is the King of Wu?" The reply was, "He is a sovereign of intelligence, penetration, benevolence, wisdom, majesty, and resourcefulness." The Emperor asked for an explanation, and the reply was, "He selected Lu Su out of the common run of men; this proves his intelligence. He picked Lu Meng from the rank and file; this proves his penetration. He captured Yu Jin but did not kill him; this proves his benevolence. He took Jing-zhou without any bloodshed; this proves his wisdom. He occupies three provinces and gazes at the empire like the tiger at prey; this proves his majesty. He stoops to Your Majesty; this proves his resoucefulness."

43. The Emperor said, "Is the King of Wu well aquainted with learning?" Zhao Zi said, "The King of Wu has ten thousand ships floating on the Jiang and a million men clad in armor; he trusts the worthy and employs the able; his heart is set on his State and government. When he finds leisure, he reads books from the ancient times extensively; he looks through past history and picks up the wonderful and strange. He does not emulate a petty scholar, whose sole buisness is to plod through chapters and pluck phrases."

The Emperor said, "Can Wu be attacked?" The reply was, "Larger states have troops for campaigns, smaller states have strongholds for defense." The Emperor said, "Does Wu stand in fear of Wei?" The reply was, "With one million men in armor and the Jiang and the Han as her garden-ponds, why should she stand in fear?" The Emperor said, "How many men like you are there in Wu?" The reply was, "There are eighty or ninety who are especially intelligent and wise. As for men like me, they can be loaded on carts and measured by the bushel; the number is innumberable."

44. The Emperor sent an envoy to demand from the Wu Sparrow-head incense, large mussels, pearls, ivory, rhinoceros-horns, tortoise-shells, peacocks, lapis lazuli, fighting ducks, time-keeping cocks. All the officials of Wu said, "There are fixed regulations concerning tribute from the two provinces of Jing and Yang. What the Wei demand are objects for amusement and pleasure; the demand is not in accordance with propriety. We ought not to give them."

The King of Wu said, "Of old, Hui Shi conferred the title of King on the sovereign of Qi. Someone objected to him, 'Your teaching is against showing regard to worldly dignity; now you would confer the title of King on the Qi. Is this not self-contradictory?' Master Hui (Shi) said, 'Suppose there were a man who would knock on the head of his beloved son, when there was a stone which could serve his purpose just as well. The son's head is precious and the stone valueless. If I can substitute the valueless for the precious, why should I not do so?' At present, we are occupied with the affairs of the northwest. The people on this side of the Jiang depend on their sovereign for their life. Are they not my beloved sons? What the Wei sovereign demands are mere tiles and stones to me; what is there to them that I should be niggardly? Besides, even now he is in mourning for his father Cao Cao and yet demands such things; can we speak of propriety with such a man?" He furnished all those things and gave them to him.

45. The King of Wu named his son Sun Deng as Crown Prince. He carefully selected tutors and friends for him. Zhuge Ke, son of the Grand Administrator (taishou) of Nanjun Zhuge Jin, Zhang Xiu son of the Suiyuan jiangjun Zhang Zhao, Gu Dan, grandson (text has: son) of the dali Gu Yang of Wuzhan, Chen Biao, son of the Border General [bian jiangjun] Chen Wu of Lujiang, all became zhongshuzi; within the palace they instructed him in the Shi and the Shu, out of it they followed him in practicing riding and archery. [3] They were called Four Friends. In his relations with his subordinates, Sun Deng simply used the etiquette of a private person.

46. Twelfth month (Jan. 1-29, 222 AD). The Emperor made a tour of inspection to the east.
 
End of AD 221, beginning of AD 222....

47. The Emperor wished to enfeoff Sun Deng, son of the King of Wu, as lord of ten thousand households; but the King of Wu sent up a letter in which he declined to accept, alleging that Sun Deng was too young. [1] He sent another envoy, the xi caoyuan Shen Hang of Wujun, to come to the Wei Court to express his gratitude as well as offer tribute.

48. The Emperor asked, "Are the Wu suspicious that the Wei are interested in the east?" Shen (沈) Hang said, "We are not suspicious." "How so?" The Emperor replied. Shen Hang said, "Trusting to the covenant, we have banished everything contrary to good relations among us. [2] Hence we are not suspicious. Should the Wei break the convenant, we are ready for the eventuality too." The Emperor further asked, "I hear that the Crown Prince is coming. Is that true?" Shen Hang said, "I have no place at the audiences in the Eastern Court, nor do I take part in the feasts. It is not my lot to know of such matters." The Emperor commended him.

49. The King of Wu was drinking himself into drunkenness at the terrace of Lindiaotai in Wuchang. He had a man go around and sprinkle water on his assembled officials, and said, "We shall drink merrily and shall stop only when all of us have so much wine inside us that he fall down on the terrace."

Zhang Zhao put on a solemn face but did not speak a word; he went out and sat down in his carriage. The King sent a man to fetch back Zhang Zhao. When he reentered, he said, "We are all making ourselves merry. Why are you angry, Your Excellency?" Zhang Zhao replied, "Of old, when Zhou made embankments of wine-dregs and a pond of wine, and held night-long orgies [5], he too thought to be merry; he did not think of any evil in it." The King became silent and ashamed, and the banquet was stopped.

50. The King was drinking with his body of officials; he rose up and went around to toast everyone. Yu Fan lay prostrate on the ground and feigned as if he could not contain any more wine. When the King left him, Yu Fan rose up and took his seat. The King was very angry, and grasped his sword to strike at him. Of those sitting in attendance on him there was not one who was not startled and frightened. It was only the Minister of Agriculture (da sinong) Liu Ji who rose up and embraced the King, remonstrating with him. Liu Ji said, "After three cups of wine the Great King in person will kill an excellent gentleman. Yu Fan deserves his punishment, but will the world believe that? Furthermore, the Great King has been loved by the empire because he is able to tolerate the worthy and nourish the multitudes. Must he give up his good name on the spur of the moment?"

The King said, "Even Cao Mengde killed Kong Wenju {aka Kong Rong}. Why can't I kill Yu Fan?"

Liu Ji said, "Cao Mengde was frivolous enough to kill a gentleman; the empire blamed him for it. But the Great King himself is practicing virtue and justice, with the intention of becoming a peer of Yao and Shun. How can he compare himself with such a man?" Yu Fan's life was thus saved. Then the King ordered to his attendants, that from now on no man should be killed if he, in a moment of intoxication, should issue such a command. Liu Ji was Liu Yu's son. [9]

51. After Cao Cao had conquered Ta Dun, the Wuhuan became weaker and weaker. [1] The chieftains of the Xianbei, such as Budugen, Kebineng, Suli (素利), Mijia (彌加), and Jueji (厥機) through Yan Rou, as intermediary, had offered tribute, seeking to trade with China; and Cao Cao had memorialized the Han Emperor to confer the title of King on all of them. [2]

Kebineng was originally of the Minor Xianbei stock; through his courage, strength, honesty, and fairness, he obtained the submission of the multitudes.[3] Thus he was able to subjugate the other tribes and became powerful; the region from Yunzhong and Wuyuan eastward to the river Liaoshui came entirely under the dominion of the Sianbei. [4] Kebineng, Su-Li, and Mijia divided the territory among themselves, each ruling over his own domain. [5]

Ke Bineng's tribe being near the Chinese frontier, a large number of Chinese deserted their country and went over to him. Suli, Mijia, etc., were west of the Liao (river), beyond the frontiers of Youbeiping and Yuyang; the way being far, they did not cause any trouble for the frontier regions. The Emperor appointed the Colonel Who Pacificies Insurgents (pinglu jiaoyu) Qian Zhao to be hu Xianbei jiaoyu and the taishou (Grand Administrator) of Nanyang Tian Yu to be Colonel Who Protects the Xianbei (hu Wuhuan jiaoyu); they were to keep them [Xianbei and Wu huan respectively] under protection and pacified. [8]

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Chapter 2
Second Year of Huangchu (221 AD)
Shu: First year of Changwu

1. SGZ, Chronicle of Wendi, “The Emperor commanded in an edict, '...I herewith appoint the Gentleman Consultant (yilang) Kong Xian Lord Worshipper of the Sage, with an appanage of one hundred households; he shall offer sacrifices to Confucius. The Prefect of the prefecture of Lu shall repair the ancient temple of Confucius and appoint one hundred households, together with under officials and soldiers to guard it. He shall also construct extensive buildings in its precincts to house scholars.”

2. From SGZ

3. From SGZ

4. From SGZ Biography of the First Sovereign, where the following passage precedes, “In the 25th year of Jian'an, Wendi of Wei assumed the title of Emperor and altered the reign title to Huangchu.”

5. From SGZ, Biography of Fei Shi.
5.1 A detailed account of prophesies as mentioned in apocryphal writings and auspicious signs is given in SGZ.

5.2 SGZ omits the title and the surname. It states about Fei Shi: “Fei Shi, zi Gongju, was a man of Nan'an in Jianwei. In the time of Liu Zhang, he was Magistrate of Mianzhu. When the First Sovereign attacked Mianzhu, Fei Shi and the city surrendered to him. Having conquered Chengdu, the [later] First Sovereign became governor (mu) of Yizhou. He appointed Fei Shi his dujun congshi. Later, he went out of the capital as Grand Administrator (taishou) of Cangke, then returned to it as jianbu sima of Yizhou.”

6. From SGZ, Biography of the First Sovereign.

6.1 SGZ reads, “He ascended the Imperial throne at the south of the mountain Wudan in Chengdu. The text of his proclamation read: 'In the summer of the 26th year of Jian'an, in the fourth month, on the day bingwu, Liu Bei, Emperor, dares to offer dark-colored male beasts in sacrifice, and to announce clearly to the God of Lofty Heaven and the God of Earth...'”

6.2 SGZ reads, “First year of Changwu, The First Sovereign gave a general amnesty and altered the reign title. He appointed Zhuge Liang to be Prime Minister (chengxiang) and Xu Jing to be Minister over the Masses (situ), and appointed his myriad officials. He set up the Ancestral Temple and offered sacrifices collectively to Gao Huangdi (i.e. Han Gaozu) downwards.”

7. This section is Sima Guang's apologia for taking Wei as the orthodox dynasty. There has been much criticism of him for so doing. The zizhi tongjian kangmu takes Shu (or Han) as the orthodox dynasty and relegates Wei to the same position as Wu.

7.1. Shijing:
“Heaven gave birth to the multitudes of people,
But the nature it confers is not to be depended on
Heaven, in giving birth to the multitudes of the people,
To every faculty and relationship annexed its law.”

7.2 Metal engenders water, which engenders wood, which engenders fire, which engenders earth, which finally engenders metal. Metal is destroyed by fire, which is destroyed by water, which is destroyed by earth, which is destroyed by wood, which finally is destroyed by metal. The circle can run on indefinitely.

7.3 Li Cunxu, who founded the Hou Tang {Later Tang} dynasty in 923, was originally of the clan of Juye. Wang Mang usurped the Han throne and called his dynasty Xin.

8. From SGZ, Biography of Sun Quan, where it reads, “In the fourth month of the second year of Huangchu, Liu Bei proclaimed himself Emperor in Shu. Sun Quan moved his capital from Gong'an to A, which he renamed Wuchang. He organized the six xian of Wuchang, Xiazhi, Xunyang, Yangxin, Caisang and Shaxian into the prefecture of Wuchang.

9. From the Huayang Guozhi. SGZ, Biography of the First Sovereign, gives a vague date: “In the fifth month, he enthroned the Empress Wu and appointed his son Liu Shan as Crown Prince.”

9.1 Huayang Guozhi has, “In the fifth month, on the day xinsi, he enthroned the Empress Wu, a younger sister of Wu Yi and wife of Liu Zhang's elder brother Liu Mao, and appointed his son Liu Shan as Crown Prince.”

SGZ, Biography of the Empress Mu, states, “The Empress Mu, Consort of the First Sovereign, was from Chenliu. Her elder brother Wu Yi lost his father while still young. Wu Yi's father was a friend of Liu Yan, so he and his entire family entered Shu to join him. Liu Yan, who cherished high ambitions, heard a skilled physiognomist say that the Empress would attain a very exalted position. At that time, Liu Yan happened to have his son Liu Mao with him, and married him to her. After Liu Mao's death, the Later Empress lived as a widow. The First Sovereign having conquered Yizhou, Lady Sun [a younger sister, from a different mother, of Sun Quan, who married her to Liu Bei out of political consideration] returned to Wu. The officials all advised the First Sovereign to marry the later Empress. The First Sovereign hesitated, because he was of the same clan as Liu Mao. Fa Zheng maintained, 'As for your relation with him, is it any nearer than that between Duke Wen of Jin and Ziyu?'

Thereupon he took her as his furen. In the 24th year of Jian'an (219 AD) he enthroned her as Queen Consort of himself the King of Hanzhong. In the first year of Changwu, summer, fifth month, the first Shu-Han Emperor made her his Empress: 'I, who in compliance with the heavenly mandate rule as highest person over the myriad states, hereby name the Queen Consort as Empress. I dispatch the Prime Minister (chengxiang) Zhuge Liang with the Tally to confer the seal upon her. She shall offer sacrifices to the Ancestral Temple and be mother to the Empire. May the Empress be reverent.'

In the first year of Jianxing (223 AD), having succeeded to the Shu-Han throne, the Second Sovereign conferred on her the title of Empress Dowager, designating her palace as Zhanglegong. Wu Yi attained the title of cheji jiangjun and was enfeoffed as Xian Lord (xianhou).

In the eighth year of Yanxi (245 AD), the Empress died and was buried together with the First Sovereign at the mausoleum of Huiling.”

Yi being the ming of Sima Yi, grandfather of the Jin dynasty, the Jin historiographer Chen Shou altered the ming Yi of Wu Yi.

9.2. Neither the Huayang Guozhi nor Sanguozhi mentions that Liu Shan's marriage took place on the day he became Crown Prince, but it is certain that he took her to wife in this year.

10. From the following three passages:

a) SGZ, Biography of the Empress Zhao (named Zhen), “The Empress Zhao was from Wuji in Zhongshan. She was the mother of the Emperor Mingdi. She was a descendant of the Han taibao Chen Han. Her ancestors served as 'Two Thousand Piculs' (provincial officials) for generations. Her father Zhen Yi was ling (Magistrate) of Shangcai, but the Empress lost her father when she was three years old.

Afterward the Empire plunged into war and disorder, with famine aggravating the evil of the times. The people all sold their gold and silver, pearls and jade, and other treasures. At this time, the future Empress' family had large stores of grain with which they bought quantities of these. The Empress, who was in her teens, said to her mother, “The times are chaotic these days, yet we buy treasures in large quantity. A mere commoner may commit no crimes, but to cherish treasure is a crime. And the people around us are starving. It would be better to relieve our relatives and neighbors by giving them grain, thus earning their gratitude.' The whole family approved and immediately followed the (future) Empress' words.

During the Jian'an period, Yuan Shao married her to his second son Yuan Xi. After Yuan Xi had gone out to Youzhou, the Empress stayed behind to serve her mother-in-law. After Jizhou was conquered, Wendi took her to wife at Ye. She found favor with him and gave birth to the future Mingdi and to the Princess of Dongxiang. IN the first year of Yankang (220 AD), first month, Wendi ascended the royal throne. In the sixth month, he made a southern expedition. The future Empress stayed behind at Ye.

In the first year of Huangchu (220 AD), tenth month, the Emperor ascended the Imperial throne, after which the Duke of Shanyang offered his two daughters as consorts of the Wei Emperor. The Empress Guo and the consorts Li and Yin all received his affection. The Empress Zhao became more and more despondent and murmured words of resentment. The Emperor was greatly angered and in the second year, sixth month, he sent an envoy to order her to commit suicide. He buried her at Ye.

When her son Mingdi ascended the throne, the officials in charge memorialized that she be canonized. He sent the sigong Wang Lang to carry the Tally and take the document of canonization to her tomb, and to offer tailao (ox, sheep, and pig) as sacrifice at her tomb. A special temple was erected for her.”

The unfortunate lady had never been enthroned as Empress in her lifetime. It was her son Mingdi who gave her the posthumous title of Empress, by which she is referred to in these passages.

b) Weilue states, “When Yuan Xi went out to stay in Youzhou, the Empress stayed behind to serve her mother-in-law. When the city of Ye fell, Yuan Shao's wife and the Empress were sitting in a pavilion. Wendi entered Yuan Shao's residence and discovered Yuan Shao's wife and the Empress. In fear, the Empress put her head on her mother-in-law's lap, while Yuan Shao's wife wrung her hands in despair. Wendi said, 'Madame Liu, why this posture? Please let your daughter-in-law raise her head.' The mother-in-law thereupon raised the Empress and ordered her to look up. Looking at her, Wendi discovered her unusual beauty and admired her. Acquainted with his wishes, his father Taizu eventually married her to him.

c) Shiyu (quoted after the Weilue passage) states: “When Taizu conquered Ye, Wendi first entered Yuan Shang's residence. There was a woman with uncombed hair and dirty face standing behind Yuan Shao's wife Liu and weeping. When Wendi inquired, Madame Liu said that she was Yuan Xi's wife. He then turned around and, with one hand on her hair, he wiped her face with a handkerchief. She revealed a face of unsurpassed beauty. After this interview, Madame Liu said to the Empress, 'We need not worry about being killed!' In the end, she was taken by him and received his favor.

10.1 This sentence is Sima Guang's. See Note 10. Cao Cao conquered and entered Ye in Jian'an 9 (204 AD), eighth month.

It is an error on Sima Guang's part to say that he was General of the Gentlemen of the Household for All Purposes (wuguan zhonglongjiang). He was given the title only in Jian'an 16 (AD 211).

10.2 This sentence is also Sima Guang's. There seems to be a great confusion of dates. According to the SGZ passage given in Note 10, Cao Pi married Yuan Xi's wife Zhen after Jizhou was conquered, but according to SGZ, Chronicle of Wudi, Jizhou was conquered in 205 AD. The text reads, “In the tenth year of Jian'an, spring, first month, Cao Cao attacked and defeated Yuan Tan. He killed Yuan in battle and put his wife and children to death. Jizhou was conquered.”

According to this, Lady Zhen became Cao Pi's wife in 205 AD at the earliest. On the other hand, if we follow the date given by Sima Guang, who here follows the Weilue and Shiyu versions, Cao Cao married her to Cao Pi some time after the month September 12-October 11, 204 AD. The latter was then a lad of eighteen years, for he was born in 187 AD.

Here then we have two dates for Cao Pi's marriage to Lady Zhen. One is some time in 205 AD, the other is some time near the end of 204 AD.

Now, there arises a problem from the fact that Lady Zhen's son, Cao Rui, or, canonically, Mingdi, is known to have been born in 204 AD. So it would appear that he was born either before his mother committed bigamy (see next paragraph) with Cao Pi or very soon afterward, certainly before sufficient time had elapsed for Cao Pi to claim his fatherhood. In order to explain away this perplexing problem, Pei Songzhi believes that Cao Rui must have been born in 205 AD, but this is not convincing. It being impossible for an Emperor to appoint as his heir one who is not his own son, we are reduced to the noncommittal observation that the dates are utterly confused. One might venture to suggest that sanshiliu (thirty-six), given as the age of Cao Rui in the year of his death, from which number the date of his birth is calculated as 204 AD, may be a misprint for sanshiba (thirty-eight). But this is a sheer guess and would involve a dangerous textual emendation.

Yuan Xi met his death only in 207 AD. Hence Lady Zhen committed what we may now call bigamy.

10.3-10.5 These are Sima Guang's own sentences. See note 10.

10.6 From the SGZ passage given in note 10. The date is from SGZ, Chronicle of Wendi under “sixth month” where it reads, “On the day dingmao, the furen Zhen died.”

11. From Wei Shu, “In the sixth month, on the day jiachen (July 12), because the Ancestral Temple in Luoyang was not yet completed, the Emperor in person offered sacrifices to Wu Huangdi in the hall jianshitian; he himself handled vessels to containing sacrificial food and libation-cups, using the ritual proper to worshipping a member of a private family.

12. From SGZ

13. From SGZ

14. From the Zhao Yun Bie Zhuan, quoted in SGZ biography of Zhao Yun.

14.1 Zhao Yun bie zhuan has, “When Sun Quan assaulted Jingzhou, the First Sovereign was greatly angry and wanted to attack Sun Quan.” The ZZTJ sentence is from SGZ: The “Juji jiangjun Zhang Fei was murdered by his subordinates. Zhang Fei's death must have occurred in the sixth month. The First Sovereign was vexed at Sun Quan's assault on Guan Yu and so was about to make an eastern expedition.”

14.7 {In the previous notes, it is mentioned that the Zhao Yun Bie Zhuan mentions Zhao Yun remonstrating with Liu Bei before Yiling.} It also mentions, “The First Sovereign did not listen to him {Zhao Yun}, but made his eastern expedition, leaving Zhao Yun behind as du (Commander) of Jiangzhou. The First Sovereign was defeated at Zigui. Zhao Yun advanced with his troops to Yong'an, but the Wu army had already retreated.” The Zizhi Tongjian passage is partly from Huayang Guozhi. “In the seventh month, the First Sovereign made his eastern campaign. A large number of his officials remonstrated with him, but he did not follow [their advice].” This is immediately followed by a slightly modified version of section 18.

15. From SGZ Biography of Qin Mi, where it reads, “Liu Bei, the mu of Yizhou, appointed Qin Mi as congshi jijiu. Having acceded to the Imperial throne, the First Sovereign was about to make an eastern expedition against Wu; Qin Mi discoursed on the 'opportunity vouchsafed by Heaven.'”

This passage shows that at the time in question, Qin Mi was not a private person, but an official, congshijijiu. Accordingly, Sima Guang is in error. As for his provenience, SGZ states, “Qin Mi, zi Zichi, was a man of Mianzhu in Guanghan.”


16. From SGZ

17. From SGZ

18. From SGZ

19. From SGZ, Biography of Zhuge Jin, where the following passage precedes, “In the capacity of General Who Soothes the South (suinan jiangjun), Zhuge Jin succeeded Lu Meng as Grand Administrator (taishou) of Nanjun, and was stationed at Gong'an. When Liu Bei made his eastern campaign against Wu, the King of Wu sought peace.”

20. From SGZ.

21. From the Jiangbiao Zhuan (quoted in SGZ)

21.1 Jiangbiao zhuan has: “While Zhuge Jin was in Nanjun, there were some who secretly slandered Zhuge Jin; these words [i.e. the rumor that he had a secret relation with Liu Bei, as mentioned in the passage given in Section 20] spread throughout the land.”

22. From SGZ, Biography of the First Sovereign's

22.1 SGZ has: “The Wu generals Lu Yi, Li Yi, Liu A, etc. were stationed at Wu and Zigui. The Generals (jiangjun) Wu Ban and Feng Xi attacked, from Wu, Li Yi, etc. and the army halted at Zigui.”

This Lu Yi is the same person as Lu Xun. SGZ, Biography of Lu Xun states, “Lu Xun, zi Boyan, was a man of Wuxian in Wujun. His original ming was Yi; his was a great family in Jiangdong for generations.”

22.2 From the Wei Shu, “On the day guihai (January 27? There is no guihai in the first month, for it is the twenty-seventh of the twelft month of the preceding year, i.e., January 27 222 AD], Sun Quan sent up a letter to the Emperor reporting that Liu Bei's partisans, forty thousand men and two to three thousand horse, had come out to Zigui. He requested to go and exterminate them, so that he might achieve a victory.”

According to the passage given in note 30.9, Liu Bei lost eighty thousand men in this campaign, which seems quite exaggerated.

23. From SGZ, Biography of Lu Xun, where the following passage precedes, “In the first year of Huangwu, Liu Bei came with his large army to the western boundary of Wu.” According to this, the present section ought to have been put in the following year.

Sima Guang however is evidently following the date suggested in SGZ, Biography of Sun Quan, under Huangchu 2 (221 AD): “In this year (221 AD), Liu Bei led his army and came to attack Wu; he reached Zigui in Wushan. He sent an envoy to decoy the Man barbarians of Wuling, conferring official seals on them and promising them enfeoffments. Thereupon the various xian and the people of Wuqi all rebelled and joined the Shu. Sun Quan appointed Lu Xun to be du (Commander), in which capacity he led Zhu Ran, Pan Zhang, etc. and resisted him.”

24. This section is entirely Sima Guang's own. Cao Cao had twenty-five sons, born of thirteen different mothers. Of these sons, Cao Pi (Emperor Wendi) was the eldest; he, Cao Zhang, Cao Zhi and Cao Xiong (who died prematurely) all had the same mother, the Empress Dowager Bian. It is not known in which month of this year the Imperial brothers and half-brothers were enfeoffed. From the context it seems that Sima Guang would have the event take place in the seventh month

24.1 SGZ biography of Cao Zhang has: “In the 21st year of Jian'an (216 AD), he was enfeoffed as Lord of Yanling...In the second year of Huangchu (221 AD), his rank was advanced to Duke.”

SGZ Biography of Cao Ju has, “In the 22nd year, his enfeoffment was changed to that of Lord of Wan. In the 2nd year of Huangchu, his rank was advanced to Duke.”

SGZ Biography of Cao Yu has, “In the 22nd year (217 AD), he was reenfeoffed as Lord of Luyang. In the 2nd year of Huangchu, his rank was advanced to that of Duke.”

SGZ biography of Cao Lin has: “In the 22nd year (217 AD), his enfeoffment was changed to that of Lord of Qiao. In the 2nd year of Huangchu, his rank was advanced to that of Duke.”

SGZ Biography of Cao Gun has, “In the 22nd year (217 AD), his enfeoffment was changed to that of Lord of Dongxiang. In the same year, he was reenfeoffed as Lord of Can. In the 2nd year of Huangchu, his rank was advanced to Duke.”

SGZ Biography of Cao Jun has: “In the 22nd year (217 AD), his enfeoffment was transferred to Xiangyi. In the 22nd year of Huanchu, his rank was advanced to Duke.”

SGZ Biography of Cao Gan has, “In the 22nd year (217 AD), his enfeoffment was changed to that of Lord of Laiting; in the same year, he was enfeoffed as Lord of Hongnong. In the 2nd year of Huanchu, his rank was advanced and his enfeoffment changed; he became Duke of Yan.”

SGZ Biography of Cao Biao has, “In the 21st year of Jian'an (216 AD), he was enfeoffed as Lord of Shouchun. In the 2nd year of Huangchu, he was raised in rank and fief to Duke of Ruyang.”

Sgz Biography of Cao Hui has, “In the 22nd year of Jian'an, he was enfeoffed as Lord of Licheng. In the 2nd year of Huangchu his rank was advanced to that of Duke.”

SGZ Biography of Cao Mao has, “In the 23rd year (218 AD), he was reenfeoffed as Lord of Pingyu. In the 3rd year of Huangchu (222 AD), he was raised in rank and fief to become Duke of Shengshi.” if the date is not a misprint for the 2nd year of Huangchu, then Sima Guang is in error. The Qianlong edition, also reads “3rd year.” As there does not seem to be any reason to advance the rank of this one prince a year after his brothers and half-brothers, we may take it as a misprint.

25. From SGZ, Chronicle of Wendi.

26. From SGZ, Biography of Liu Ye.

27. From the Fuzi (quoted in SGZ, Biography of Liu Ye).

27.2 SGZ: Liu Ye alone said, “Living as they are on the yonder side of the Jiang and the Han, the Wu have been for long cherishing disobedience to us. Although Your Majesty's virtue is equal to that of Yuyu (i.e. Shun), those wretched barbarians' character is not moved. In distress, they seek to become your subjects; they certainly are not to be depended upon. It must be that they are pressed hard from the outside and find themselves in difficulty internally, so they have to take this course of action. You ought to take advantage of their extremity and assault them. For, by leaving the enemy at large a single day, you will be leaving a source of calamity for generations to come. Please take notice of this.”

28. From SGZ, biography of Yu Jin, where the following passage precedes, “After Wendi had ascended the Imperial throne, Sun Quan, when he called himself his vassal, sent Yu Jin back. The Emperor received him in audience.”

Yu Jin was a general of Cao Cao, under whom he served thirty years; he was captured by Guan Yu in 219 AD. He came under Sun Quan's protection in the same year, when Sun Quan captured and killed Guan Yu.

28.5 SGZ has, “He wanted to send him to Wu as his envoy, but ordered him first to go northwards to Ye and visit Gaoling.” This Gaoling is the mausoleum in which Cao Cao was buried.

29. This is Sima Guang's own composition.

30. From the Fuzi.

30.9 Fu zi continues, “He eventually appointed Sun Quan as King of Wu. Sun Quan's general Lu Yi {i.e. Lu Xun} inflicted a heavy defeat on Liu Bei; he killed more than eighty thousand men of his army, while Liu Bei barely escaped with his life. Sun Quan was externally the more humble, but in his heart he was rebellious, just as Liu Ye had said.”

31. Partly from SGZ, Biography of Xiahou Shang.

31.1 Sima Guang's own sentence.

32. From the Shiyu (quoted in SGZ, Biography of Wang Chang).

32.1 Sima Guang's own sentence. As for Cao Wei's provenience, SGZ Biography of Wang Cheng, contains the following sentence in a letter from Wang Chang to his sons and nephews, “In recent times, Wei Feng of Jiyin and Cao Wei of Shanyang came to ruin because of their wicked deeds.”

33. Biography of Sun Quan, where it reads, “In the eight month, they walled Wuchang.”

34. From the Xu Han Shu, where the following passage precedes, “Observing that the rule of the Han was about to come to an end, Yang Biao, remembering that his family had produced men who attained to the post of the Three Ducal Ministers, was ashamed to become an official of the Wei. Hence he pretended that his feet were subject to spasms, and did not move about for more than ten years.”

35. From two sources, as follows:

35.1 From the Wei shu, where it reads, “On the day jihai, ducal and other ministers were paying homage to the Emperor in observance of the first day of the month, when he also received in audience the taiyu of the defunct Han dynasty, Yang Biao, treating him as a guest. The Emperor commanded in an edict, 'Former kings instituted the conferring of desks and canes in order to respect the aged and honor the elders. Of old, Gong Guang and Zhuo Mao, both men of excellent virtue and great age, received these magnificent gifts. His Excellency was a Prime Minister of the defunct Han dynasty; since his grandfather's time, his family has been illustrious. More than seventy years of age, he never acts contrary to propriety. He may be called both aged and accomplished. He deserves to be shown special favors, in order that his past merits be made prominent. Herewith I confer on his Excellency a Cane of Longevity as well as a desk at which to recline. He is to come to Court with his cane, and may wear a deer-skin bonnet.' Yang Biao modestly declined, but the Emperor would not allow it. In the end, he appeared at Court wearing a hempen garment (i.e. not official gown) and leather cap.”

Note that the Wei Shu takes the day jihai (November 4) as the first day of the tenth month, whereas Chen Yuan's Ershishi suojunbiao gives wuxu (November 3) as the day of the new moon.


35.2 From the Xu Han Shu, where it reads, “In the fourth year of Huangchu (223 AD), the Emperor appointed him to be guanglu dafu with the rank of zhong erjianshi, his position in Court reception being inferior only to those of the Three Ducal Ministers-all in accordance with the precedent of Gong Guang. Yang Biao sent up a memorial in which he modestly declined to accept; the Emperor did not allow it. He furthermore had a barricade erected on the gate of his residence and appointed subordinate officials for him, in order to show him honor and distinction. He died at the age of eighty-four in the sixth year of Huangchu.” He must have lived 145-225 AD.

The date of his appointment as guanglu dafu differes from the ZZTJ date, which is from the SGZ, Chronicle of Wendi, where it reads, “In winter, in the tenth month (November 3-December 1, 221 AD), the Emperor appointed Yang Biao to be guanglu dafu.”

36. From SGZ. The coins in question were put into circulation in the third month.

37. SGZ, Biography of Zhang Ji, where no date is given. Sima Guang puts this section here because of the passage given in Note 37.7.

37.3 See Hou Han Shu. SGZ states, “In the company of Taizu (Cao Cao), Zhang Ji defeated Ma Chao at Huayin and thus conquered the region to the right of the Hangu pass; Zhang Ji then was appointed yin of Jingzhou.” Zhang Ji was given this appointment in the twelfth month of Jian'an 12 (January 21-February 19, 212 AD).

37.4 This refers to the defense of the Zhao general Li Zuoju against the invasion of Han Xin. Zhao was protected by the steep paths of Jingxing.

37.7 This date is not in the SGZ passage. Sima Guang supplements it from the Wei Shu, which reads, “In the eleventh month, on the day xinwei (Dec. 6), the chenxi jiangjun Cao Zhen had the various generals and provincial and prefectural troops attack and destroy the Hu rebels Zhi Yuanduo and Feng Shang of Lushui; they slaughtered more than fifty thousand men, and captured one hundred thousand men, one million and one hundred ten thousand sheep, and eighty thousand cattle. The region of Hexi was thus conquered.”

The date being that of the conclusion of the battle, Sima Guang puts here the vague date “in the eleventh month.” On the other hand, the day xinwei is only the fifth day of the eleventh month; it is also possible that the event mentioned here might have taken place more than five days before the final victory. In short, Sima Guang's date may not be exact.

38. From Sgz, biography of Zhang Ji.

39. From the Jiangbiao zhuan.

39.2 According to the chapter “The Royal Reegulations” in the Li Ji, the whole of China was divided into nine provinces, of which one was retained by the Son of Heaven and the remaining eight were ruled by eight chiefs appointed by him.

40. From the Biography of Zhang Zhao, where the following passage precedes, “In the second year of Huangchu, the Wei sent the envoy Xing Zhen to invest Sun Quan as King of Wu.”

41. From SGZ, Biography of Xu Sheng, where the following passage precedes, “When Sun Quan called himself a vassal of Wei, the Wei sent the envoy Xing Zhen to invest Sun Quan as King of Wu. Sun Quan went out to the post house in the suburb of the capital to wait for the arrival of Xing Zhen. Xing Zhen wore an arrogant expression.”

41.1 SGZ states, “Xu Sheng, zi Wenxiang, was a man of Chu in Langye. […] He then attacked the bandits in the Nan'a'shan in Lincheng. For his merits in this campaign, he was promoted to be zhonglangjiang."

42. SGZ, Bio of Sun Quan.

43. From the Wu shu (quoted in SGZ), where the following passage precedes, “Zhao Zi zi Dedu, was a man of Nanyang. He was broadly informed, very learned, and quick at repartee. Becoming King of Wu, Sun Quan promoted him to be Palace Grandee (zhongdafu), in which capcity he sent him to the Wei as his envoy.”

44. From the Jiangbiao Zhuan.

45. From the SGZ, Biography of Sun Deng, where the following passage precedes, “Sun Deng, zi Zigao, was the eldest son of Sun Quan. In the second year of Huangchu of the Wei, when Sun Quan became King of Wu, he appointed Sun Deng as General of the Gentlemen of the Households of the East (dong zhonglangjiang) and enfeoffed hiim as lord of ten thousand households; but Sun Deng declined to accept on the grounds of ill health.”

45.3 SGZ has, “Thereupon, Zhuge Ke, Zhang Xiu, Gu Tan, Chen Biao, etc. were selected; within the house they instructed him in the Shu and the Shi, out of it they followed him in practicing riding and archery. Sun Quan desired Sun Deng to read the Han shu so he would be well versed in modern history; because Zhang Zhao was a worthy master, he was requested to take the trouble to instruct him. It was thus that Zhang Xiu was ordered first to study the book under Zhang Zhao and then come back to Sun Deng to instruct him. In his relations with his subordinates, Sun Deng simply used the etiquette of a private person; he rode in the same carriage with Zhuge Ke, Zhang Xiu, Gu Tan, etc. or slept behind the same curtain with him.

The taifu Zhang Wen said to Sun Quan, 'The zhongshuzi are the most intimate officials there can be for a Crown Prince. You should make a diligent inquiry among your intimate attendants and select men of excellent virtue for these posts.' So Chen Biao et al., were appointed zhongshuzi. Later, on the grounds that the rules of propriety were especially strict for zhongshizi, they were further enjoined to wait upon the Crown Prince with their headgear in proper position.”

In the text, Gu Tan is given as a son of Gu Yong. This must be a misprint or a lapsus calami. According to SGZ, Biography of Gu Yong, he had three sons, whose ming were Shao, Yu and Ji. At the end of Gu Shao's biography in SGZ, it reads, “Gu Shao's sons were Gu Tan and Gu Cheng.” Again, Gu Tan's biography, given immediately after this sentence reads, “Gu Tan, zi Zimo, about twenty years old, together with Zhuge Ke and others, became one of the Four Friends of the Crown Prince. From zhongshuzi, he was reassigned to be fucheng duyu.” This leaves no doubt that Gu Tan was a grandson of Gu Yong and a son of Gu Shao. Also the jiangbiao zhuan expressly states that he was Gu Yong's grandson—As for Gu Yong's provenience and title, his biography states, “Gu Yong, zi Yuantan, was a man of Wuxian in Wujun. When Sun Quan became King of Wu, he was promoted to be dali fengchang.”

SGZ Biography of Chen Wu, states, “Chen Wu, zi Zilie, was a man of Songzi in Lujiang. Because of his accumulated merit, he was promoted to be Border General (bian jiangjun). In Jian'an 20 (215 AD), he followed Sun Quan in his campaign against Hefei, fought bravely and died. Sun Quan lamented him and attended his funeral in person. His son Chen Xiu had his father's spirit...Chen Xiu's younger brother Chen Biao, zi Wenao, was Chen Wu's son by a concubine.”

46. From SGZ, Chronicle of Wendi

47. From SGZ, Biography of Sun Quan.

47.1 Sun Deng died in 241 AD. Sun Deng's biography states: “He had been Crown Prince for twenty one years and died at the age of thirty three years.” In other words, he lived 209-241 AD. It is no wonder that Sun Quan pleads his youth, for he was only thirteen years old (according to the Chinese reckoning). {????? what. I suspect there's some kind of error here}

48. From the Wu shu, where the following passage precedes, “Shen Hang, zi Zhongshan (仲山), was a man of Wujun. While still young, he mastered the Classics, being especially well versed in the Chunqiu, both its internal and external commentaries. Sun Quan thought that Shen Hang was intelligent and resourceful, worthy of serving as an envoy. He therefore sent him as an envoy to Wei.”

48.2 Zuozhuan: “All we who have united in this covenant shall hereafter banish everything contrary to good relations among us.”

49. From SGZ, Biography of Zhang Zhao.

49.5 The Liutao of Taigong quoted in the Zhengyi, as a commentary to this passage, states, “Zhou made a pond of wine, in which boats sailed and which were embanked by wine dregs; more than three thousand men drank from it like oxen.”

50. SGZ, Biography of Yu Fan.

50.9 This is Sima Guang's own sentence. SGZ, biography of Liu You (劉繇) states, “Liu You's eldest son Liu Ji, zi Jingyu, lost Liu You at the age of fourteen; he went through the mourning in complete accordance with the rules of propriety, accepting no gifts whatsoever from his father's former subordinates.” The story narrated in this section is also mentioned there as follows (4a): “After Sun Quan became King of Wu, Liu Ji was promoted to be danong (should be dasinong). Once Sun Quan held a banquet, when the jiduyu Yu Fan, intoxicated, incurred the wrath of Sun Quan, who wanted to kill him. He was indeed very angry. It was through Liu Ji's remonstration that Yu Fan's life was saved.”

This version says that Yu Fan misbehaved himself because he was intoxicated, whereas the story we are told in this section (derived from his biography) is that he pretended to be intoxicated, apparently because he preferred to stay sober. To be sure, there is scarcely any Chinese historical account that can be taken without a grain of salt.

51. Drawn from various sources.

51.1 Sima Guang's own sentence.

51.2 SGZ, account of the Xianbei has: “After Budugen of the Xianbei grasped power, his tribe became weak to some extent. His second elder brother Fuluohan also had several tens of thousands of men under him; he was also a daren. During the Jian'an period, when Taizu conquered Yuzhou, Budugen, Kebineng, etc. offered tribute to the Han, the Protector of the Wuwan/Wuhuan (wuwan jiaoyu) Tian Yu serving as intermediary.”

SGZ Biography of Kebineng has, “Suli, Mijia, Jueji were all Chieftains (daren). They were west of the Liaoshui, beyond the frontiers of Youbeiping and Yuyang. Their territory being far, they caused no trouble on the frontiers. During the Jian'an period, they offered tribute, Yan Rou serving as an intermediary, and sought to trade with China. Taizu memorialized the Han Emperor to grant the title of King to all of them.

51.3 SGZ, Biography of Kebineng states, “Ke Bineng was originally of the Minor Xianbei stock; because he was courageous and strong, fair and just in giving his judgments at law, and not covetous and avaricious, the multitudes elected him as Chieftain (daren). His tribe being near the Chinese frontiers, a large number of the Chinese, ever since Yuan Shao occupied the region north of the He, deserted their country and went over to him.”

51.4 SGZ Wei states: “Afterwards, Kebineng, a Chief (daren) of the Xianbei, subjugated all the various Di barbarian tribes and completely occupied the former domain of the Xiongnu; the region from Yunzhong and Wuyuan easward to the Liaoshui entirely came under the dominion of the Xianbei.

51.5 SGZ biography of Tian Yu states, “In the beginning of Wendi's reign, the Northern Di were powerful; they invaded and disturbed the frontiers. He then conferred the Tally on Tian Yu and appointed him to be Protector of the Wuwan (Wuwan jiaoyu), Qian Zhao and Xie Jun being appointed to be Protector of the Xianbei (hu Xianbei [jiaoyu]). From the east of Gaoliu to the west of the last of the Weimo, there were several tens of the Xianbei tribes. Kebineng, Mijia and Suli divided the territory among themselves, each ruling over his own domain.

51.8 SGZ, Biography of Qian Zhao states, “Qian Zhao followed Cao Cao in his conquest of Hanzhong. When Taizu returned, he left him behind as General Who Protects the Palace Forces (zhonghu jun). The affair having been settled, he returned to Ye, where he was appointed General Who Pacifies Insurgents (pinglu jiaoyu). In this capacity, he served as commander-in-chief of the troops of Qingzhou and Xuzhou. He attacked the rebels of Donglai, killing their ring-leaders, so that the eastern territory was brought to peace. Having ascended the throne, Wendi conferred the Tally and appointed him to be Colonel Who Protects the Xianbei (hu Xianbei jiaoyu), stationing him at Changping.

Wuhuan and Wuwan are indifferently used by Chinese historical writers. Sima Guang here uses the former, as does the Hou Han Shu. The latter is used in SGZ.

[Jordan]

Chapter 3
Third Year of Huang Chu (222 A.D.)
Shu: Second Year of Chang Wu
Wu: First Year of Huang Wu

1. Spring, first month. On the day of the first month (Jan. 30), the sun was eclipsed.

2. On the day Feb. 3, the Emperor went to Xuchang. He issued an edict: "The [shang-]ji[-li] and xiaolian {Filially Pious and Incorrupt} of today are identical with gongshi of antiquity. 'In a hamlet of ten families, there may be found one honorable and sincere.' [2] If age limit were imposed in the selection of these officials, then Lu Shang and Prince Jin of Zhou could not have become prominent in former ages. Herewith I command prefectures and feudal states that their selection shall not be restricted by the matter of age. Confucian scholars who are skilled in their Classics and under-officials who are skilled in laws are all to be employed after a trial. The officials in charge are to examine and impeach those who disobey this command."

3. Second month (Mar. 1-29). The Kings of Shanshan, Kucha, and Khotan each dispatched an envoy to offer tribute. The Emperor said in an edict: "'The Xirong came to submit to his arrangements,' and 'The Di-Qiang came to seek acknowledgment,'--these lines are sung in praise in the Shi and the Shu. Now, the distant barbarian tribes of the Western Regions have all come to offer submission and allegiance to us. Envoys shall be sent to soothe them." From this time on, the Western Regions maintained contact with China, and the wuji jiaoyu was appointed. [2]

4. From Zigui, the Sovereign of Han (i.e., of Han-zhong or Shu--Liu Bei) was about to advance and attack the Wu. [1] The zhizhong congshi Huang Quan remonstrated with him, "The Wu are stout-hearted fighters; floating downstream we will advance with facility but it will be hard to retreat. I ask permission to lead the van and make contact with the enemy. Your Majesty ought to stay behind and guard the rear."

The Sovereign of Han did not follow his remonstrances, but appointed Huang Quan to be General Who Guards the North (zhenbei jiangjun) and take the command of the various troops on the north of the Jiang. He himself led the various generals and moves forward from the south of the Jiang; climbing mountains and crossing ranges, he halted at Xiaoting in Yidao.

5. The Wu generals all wanted to encounter and attack him. Lu Xun said, "Liu Bei has come eastwards with huge forces; their initial momentum is strong. Furthermore, as he has taken his position on high and steep terrain, it is difficult for us to attack him without ado. Even if we attack him and induce him to move down, it will still be difficult to win a complete victory. On the other hand, if we are defeated, the consequence will be disastrous for our general position; it will be grievous. For the time being we have only to encourage our generals and troops and take recourse to various stratagems, meanwhile waiting for some favorable opportunity. If we were to engage in a pitched battle on open and level terrain, I fear it would go badly for us. Now, they have marched by climbing mountains and are not able to expand their position; they are worn out among woods and rocks. The only action we should take is to tire them out gradually."

Not understanding him, the generals all considered Lu Xun faint-hearted; they were vexed and angry.

6. From Hen-shan, the Han penetrated to Wu-ling; they sent the Palace Attendant (shizhong) Ma Liang of Xiangyang to bring gold and embroidered silk as gifts to the various Man barbarians of Wuqi and to confer officials titles on them.

7. Third month. On the day Mar. 30, the Emperor enfeoffed his imperial son, the Duke of Qi, Cao Rui, as Prince of Pingyuan and raised the rank of the imperial younger brothers, Duke of Yanling Cao Zhang and others, to that of Prince.

8. On the day Apr. 8, the imperial son Cao Lin was enfeoffed as Prince of Hedong.

9. On the day Apr. 28, the Emperor went to Xiangyi.

10. Summer, fourth month. On the day June 12, the Lord of Zhencheng Cao Zhi was enfeoffed Prince of Zhencheng.
 
11. At this time, the princes of the blood who were feudal lords possessed their fiefs only nominally, and enjoyed empty names, rather than substance. In each of the states of the feudal princes, a hundred-odd aged soldiers served as guards. Removed from the imperial court by a distance of a thousand li, they were not permitted to visit it. The officials fang fu and jianguo yuezhe were appointed to spy on them. They had, to be sure, the ranks of princes and lords, but their actual status was no more than that of a commoner. They all wanted to become commoners, but could not. Laws being strict and harsh, the faults of the feudal princes were reported every day.

12. The Prince of Bohai, Cao Gun, alone was prudent and cautious and was fond of study, never committing any fault. [1] His Clerk of Literature (wenxue) and fangfu said to one another, "We are charged by the Emperor to watch over the prince's conduct; when he commits a fault, we ought to report; when he has some good conduct to his credit, we also ought to report and not leave his good deed concealed."

Accordingly they reported to the throne how good Cao Gun was. Hearing this, Cao Gun was greatly surprised and afraid. He reproved the wenxue, "It is merely a duty devolving on an ordinary man to cultivate his person and keep watch over himself. Now you gentlemen have reported to the Emperor in my favor. This is merely increasing my troubles. Furthermore, should there be any good conduct to my credit, what danger is there of its not being heard of that you should hasten to make your report like this? This is not helping my cause."

13. On the day June 27, the Emperor returned to Xuchang.

14. Fifth month (June 28 - July 26). The eight prefectures on the south of the Jiang were named Jingzhou and the various prefectures on the north of the Jiang, Yingzhou.

15. From Jianping along the gorge of Wuxia to the region of Yiling, the Han had a continuous line of encampments, and set up tens of barracks. [1] They appointed Feng Xi to be Commander of the Main Force, Zhang Nan to be Commander of the Vanguard, and Fu Kuang, Zhao (趙) Rong, Liao Chun (廖淳), Fu Tong, etc. to be Divisional Commanders.

From the first month (Jan. 31 - Feb. 29) they had been engaged with the Wu, but still in the sixth month (June 27 - July 25) the outcome was undecided. The Sovereign of Han sent Wu Ban with several thousand men to set up barracks on the level terrain. The Wu generals all wanted to attack him. Lu Xun said, "This must be a ruse; let's wait and see." The Sovereign of Han knew that his plan had not worked, so he then led out eight thousand men whom he had laid in ambush and appeared in the valleys. Lu Xun said, "The reason I did not listen to you gentlemen when you advised me to strike at Wu Ban was that I guessed some plot."

Lu Xun sent up a letter to the King of Wu, "Yiling is a strategic point, for it is the place where the frontier pass of our state lies. It is indeed easy to take it, but it is equally easy to lose it. Once we lose it, we shall be losing not only a prefecture of Yiling but also the entire Jingzhou will be endangered. In our contest for it today, we must arrange things in perfect harmony. Liu Bei has violated the heavenly norm; he would not stick to his whole but has dared to bring himself forth to us. Incompetent as I am, I shall rely on the protection of your ancestors' spirits and attack him who is acting contrary to nature while we act in conformity to it. His destruction is imminent; there is nothing to worry about. At first I was worried because he advanced both on land and water. Now he was left his boats to walk on foot, setting up encampments here and there. From my observation of his tactics, I am convinced that he has no special plan. In prostration I beg Your August Person to set your mind at ease and have no anxiety."

In the intercalary sixth month (July 26 - Aug. 24), Lu Xun was about to advance and attack the Han army. The generals all said, "We ought to have attacked Liu Bei in the beginning. Now he has been allowed to penetrate five or six hundred li and we have been engaged with him for seven or eight months. He is defending all the strategic points with strong forces. We shall reap no advantage if we strike at him now."

Lu Xun said, "Liu Bei is a sly fellow and moreover has much experience. When his troops were first assembled, his thoughts were concentrated and his mind sharp. We could not possibly wrangle with him. Now he has been staying here for a long time without obtaining any advantage over us. His troops are fatigued and their spirit low; he does not have any fresh plan. Today is the right time for us to take him by head and tail."

He then attacked one encampment, but without success. The generals all said, "This was killing our troops to no purpose." Lu Xun said, " I have already discovered a plan for destroying him." There upon he ordered each of his soldiers to hold a bundle of rushes; he attacked the Han troops with fire and thus destroyed them. With this one stroke the thing was accomplished. He then led various troops to launch a simultaneous attack. He killed Zhang Nan and Feng Xi, as well as Shamoke, the King of the Hu barbarians, and others, and destroyed more then forty of their encampments. The Han generals Du Lu (杜路), Liu Ning (劉寧), etc. were hard pressed and surrendered. The Sovereign of Han climbed the mountain Ma'an and deployed his troops around himself. Lu Xun urged on his various troops to trample them from four directions. The Han generals crumbled down like tiles and mud, the number of dead amounting to some ten thousand.

The Sovereign of Han fled during the night. Keepers of post-houses set fire to them, carrying bells and armor away on their shoulders, thereby defending the rear of the retreating army. The Sovereign of Han barely escaped to the city of Baidicheng. His boats and military equipment, as well as the provisions of his marine and land forces, were completely lost. The bodies of the dead drifted down in a thick mass along the Jiang. The Sovereign of Han was greatly ashamed and said, "I am now defeated and put to shame by this Lu Xun. Is it not the will of Heaven?"
 
16. The General Fu Tong of Yiyang was defending the rear. [1] The troops under his command were all killed, but Fu Tong kept his spirits up. The Wu advised him to surrender. Fu Tong abused them, saying, "You dogs of Wu, does a Han general ever surrender?" And so he died for his cause.

17. The congshi jijiu Cheng Ji was retreating upstream against the current. His men said, "The pursuers are about to overtake us; we must untie the boats and go unhampered." Cheng Ji said, "In the army I have never accustomed myself to taking to flight before the enemy." He likewise died for the cause. [4]

18. The General of the Gentlemen of the Households Who Tranquilizes the East (andong zhonglangjiang) Sun Huan of Wu led a detachment to attack the Han vanguard at Yidao. Besieged by the Han, he asked Lu Xun to send him reinforcements. Lu Xun rejected this request. The generals said, "The andong zhonglangjiang Sun Huan is of royal clan. He is besieged and is in difficulty. Why is it that you do not send him reinforcements?"

Lu Xun said, "The andong zhonglangjiang Sun Huan has under him men who are attached to him. The city is strongly fortified and provisions are sufficient. There is nothing to worry about. Wait until my plans are realized."

He did not want to send any reinforcements to the andong zhonglangjiang, and the andong zhonglangjiang was relieved of the siege without his help. When Lu Xun's plans were executed, the Han were routed and took flight. Later Sun Huan saw Lu Xun and said, "At first I was resentful because you would not send me reinforcements. Today I am convinced how proper all your arrangements were."

19. When Lu Xun was first appointed Commander-in-chief, his generals, who were either former generals of the General Who Punishes Rebels (taoni jiangjun) or of the royal clan and relatives to the ruling house by marriage, behaved haughtily and would not listen to him. Holding his sword in his hand, Lu Xun said, "Liu Bei is renowned throughout the empire; he was feared by Cao Cao himself. Now he is at our frontiers, a formidable foe. You gentlemen, who all owe gratitude of the State, ought to stand in harmony in order that we together may pare off this enemy; thus you will repay our Sovereign. But you would not obey me? What does this mean?

"Mere scholar though I am, I have received my charge from our Sovereign. The reason why the State has had you gentlemen condescend to me is that I possess a little ability, and can swallow insult and carry a heavy load. Each of us has his duty, which no one should refuse to preform. The army has constant regulations; you should not violate them."

When Liu Bei was defeated, it turned out that most of the plans came from Lu Xun; the generals then submitted to his authority. Hearing of this, the King of Wu said, "Why did you not report to me those generals who would not obey your commands?"

The reply was, "I received too great a bounty from you, the task imposed on me being for beyond my ability. Furthermore, these generals either serve as stomach and heart of Your Majesty, or are worthy of being your nails and teeth, or are officials of merits; they are all men with whom the State may accomplish great work. Doltish and timid though I am, I presume to emulate the humility of Lin Xiangru and Kou Xun in order that the business of the state be facilitated."

The King laughed heartily and commended him. He gave the additional title of General Who Supports the State (fuguo jiangjun) to Lu Xun, appointed him Governor of Jingzhou, and changed his enfeoffment to Lord of Jiangling.

20. Zhuge Liang and the shangshuling Fa Zheng were different from one another in what they liked and prized, but in matters dealing with the public weal they stood by one another. Zhuge Liang used to admire Fa Zheng for his sagacity. When the Sovereign of Han was defeated in his campaign against Wu, Fa Zheng was already dead. Zhuge Liang heaved a sigh, saying, "Had Fa Zheng been alive, he would certainly have stopped the Sovereign from going eastwards; and even if he went eastwards, he would certainly have warded off the catastrophe."

21. While the Sovereign of Han was in Beidicheng, Xu Sheng, Pan Zhang, Song Qian, etc. eagerly memorialized the throne that Liu Bei could be captured, and petitioned to attack him together. The King of Wu asked Lu Xun for his opinion. Lu Xun together with Zhu Ran and Luo Tong sent their words to the throne: "Cao Pi has been assembling his troops on a large scale. Ostensibly he claims that he is helping our State in attacking Liu Bei, but in his heart he cherishes a treacherous design. I have respectfully come to a decision that we should speedily respond with war."
 
22. Learning that the Han troops had constructed stockades and set up encampments for a distance of more then seven hundred li, the Emperor told his officials, "Liu Bei is ignorant of conducting war. Have you ever heard of any one resisting the enemy by means of encampments strewn along a distance of seven hundred li? One who encamps in grassy, damp open country or in steep places will be captured by the enemy; hence such terrain is avoided in war. Sun Quan's letter to me announcing his victory is soon to come."

Seven days after this, the letter announcing the defeat of the Han by Wu came.

23. Autumn, seventh month (Aug. 25 - Sept. 23). Jizhou suffered heavily from locusts and famine.

24. When the Sovereign of Han fled in defeat, Huang Quan, who was north of the Jiang, could not return because the road was cut off. Eight month (Sept. 24 - Oct. 22). Leading his men, he came and surrendered to the Wei. In Han, officials in charge requested to arrest Huang Quan's wife and children. The Sovereign of Han said, "It is I who have done a bad turn to Huang Quan; Huang Quan has not done any wrong to me." Huang Quan's family was treated as before.

In Wei, the Emperor said to Huang Quan, "You have left the rebels to resign yourself to us. Do you intend to follow in the footsteps of Chen Ping and Han Xin?" [6]

The reply was, "I have abundantly received cordial treatment from my Sovereign Liu Bei. I could not surrender to Wu, nor was there a road for me to take and return to Shu, hence I surrendered to you. Being a general of the defeated army, I deem it my good fortune to have escaped from death. How can I pretend to emulate the ancients?"

The Emperor commended him for this; he appointed him to be General Who Guards the South (zhennan jiangjun), enfeoffed him as Lord of Yuyang, gave him the title of shizhong, and gave him a seat in his carriage.

Some of the Shu who had surrendered said that the Han had put Huang Quan's wife and children to death. The Emperor ordered Huang Quan to hold mourning, but Huang Quan said, "The relationship between me, Liu Bei and Zhuge Liang is based on sincerity and trust; they clearly understand my mind. This news I presume to suspect as untrue, and request to wait."

When afterwards more detailed news was brought, it turned out to be as he had surmised.

25. Ma Liang also died in Wuqi.

26. Ninth month. On the day Oct. 25, the Emperor commanded in an edict, "Women's participation in the government is the beginning of disorder. From now on, no official will be allowed to report state affairs to the Empress Dowager, nor shall any member of the clans of the imperial consorts be appointed regents [during the minority of young Emperors], nor shall they be given enfeoffment without due merit. This edict shall be transmitted to later generations. Any transgression of this, the empire shall punish with death."

27. The Empress Dowager nee Bian did not put on any especially amiable expression when she received in audience members of her clan. She always exhorted them, "Be temperate and frugal in your daily life. Do not expect any largesse from me nor think of enjoying ease. My relatives probably think this strange, and consider that I treat them stingily; I act thus because I live up to a constant principle. I served the Martial Emperor (i.e., Cao Cao) forty to fifty years and during this long time I lived frugally; now I cannot change all of a sudden to become fond of extravagance. If any one of my own clan should commit a crime, I shall be the one to augment his punishment by one degree. Do not look forward to any gift in the form of money and grain or loan." [4]
 
28. When the Emperor was about to appoint the guibin nee Guo as his Empress, the zhonglang Zhan Qian sent up his memorial, "The virtue of imperial consorts is one on which prosperity or decline, good rule or misrule depends.

"To illustrate, the girl from Xi-ling was married to Huang(-Di) (Yellow Emperor), (Nu-)Ying and O(-Huang) were sent down to the north of Gui as wives to Shun; in both cases, they proved themselves to be worthy and wise, and thus their good fame spread in ancient times. Jie was banished to Nanzhao, a calamity due to his fondness for Moxi; by means of the punishment of burning and roasting, Zhou pleased Da Ji.

"Therefore, the sage and wise were prudent in their appointment of Empresses. They made a point of selecting them from among families renowned for generations, and selected the virtuous among them, who could govern the imperial concubines; they paid reverence to the Ancestral Temple and cultivated their womanly virtue.

"The Yi[-zhang] says, 'When the family is brought to its normal state, all under heaven will be established.' [5] The Chun qiu records that the Director of Ceremonies Xin Xia said, 'Do not accord a concubine the ceremonies proper to the principal consort.' [6] Duke Huan of Qi also swore at Kuai Qiu, 'Exalt not a concubine to be the wife.'

"At present, your concubines receive favors to such a degree that their status in only second to that of Your Majesty. If a woman of lowly birth is suddenly exalted because you love her, I fear that in the future the inferior will prosper and the superior will suffer decline. This is not in conformity with the normal state of things; troubles will begin from on high."

The Emperor did not listen to him. On the day Nov. 1, he enthroned Lady Guo as his Empress. [9]

29. In the beginning, the King of Wu sent Yu Jin's hujun Hao Zhou (浩周) and his jun sima Dongli Gun to the Emperor to offer his allegiance; his words were very respectful and sincere. [1] The Emperor asked Hao Zhou, etc., "Is Sun Quan to be trusted?" Hao Zhou maintained that Sun Quan was certain to remain a vassal, but Dongli Gun said that he was not certain that he would remain so.

The Emperor was delighted at Hao Zhou's words, believing that he knew whereof he spoke. Hence he named Sun Quan King of Wu. Then he sent Hao Zhou to Wu as his envoy. Hao Zhou said to the King of Wu, "As His Majesty did not believe that you would send your son to attend him as hostage, I pledged for you by the hundred members of my own family."

Hearing this the King of Wu shed tears which soaked his coat-lapels, and furthermore took his oath by pointing to heaven. Hao Zhou came back, but the royal Wu son to wait upon the Emperor was not forthcoming; the King of Wu did no more than offer profuse apology and excuse. [10]

30. The Emperor wanted to send the Palace Attendant (shizhong) Xin Pi and the Imperial Secretariat (shang-shu) Huan Jie to exact a covenant from him and demand his son as hostage. The King of Wu politely refused to receive the envoys.

31. Angry at this, the Emperor wanted to attack him. Liu Ye said, "He has recently scored a success in his campaign against the Shu, and in his country high and low are exerting their strength in harmony. Furthermore, the Jiang and lakes give him protection. We cannot dispose of him without due preparation." The Emperor did not follow his advice.

32. Ninth month (Oct. 23 - Nov. 21). The Emperor ordered the General-in-chief Who Conquers the East (zheng dong da jiangjun) Cao Xiu, the General of the Front (qian jiangjun) Zhang Liao, and the General Who Guards the East (zhendong jiangjun) Zang Ba to march out to Dongkou; the General-in-Chief/Highest Ranking Commanding Officer (da jiangjun) Cao Ren to march out to Ruxu, and the General-in-Chief of the Grand Army (shangjun da jiangjun) Cao Zhen, the General Wh Conquers the South (zheng nan da jiang jun) Xiahou Shang, the General of the Left (zuo Jiangjun) Zhang He, and the General of the Right (you jiangjun) Xu Huang to besiege Nanjun.

In Wu, the General Who Establishes Might (jianwei jiangjun) Lu Fan took command of five armies and opposed Cao Xiu, etc., with marine troops. The General of the Left (zuo jiangjun) Zhuge Jin, the General Who Brings Peace to the North (pingbei jiangjun) Pan Zhang, and the General (jiangjun) Yang Can reinforced Nanjun; the Major General (pi jiangjun) Zhu Huan, in the capacity of Commander of Ruxu, resisted Cao Ren.
 
End of AD 222, beginning of AD 223....

33. Winter, tenth month. On the day Nov. 24, the Emperor announced that the east side if the mountain Shou-yang-shan was to be his mausoleum Shouling. He made a testament specifying that his funeral should be simple and frugal; the tomb should contain no gold and jade, only pottery wares being used. [1] He commanded that this edict be kept in the ancestral temple, copies being preserved in the archives of the Imperial Secretariat (shang-shu), bi-shu, and the Three Ducal Ministers.

34. Because a large number of the Man barbarians in Yang and Yue had not yet submitted to him, the King of Wu sent the Emperor a letter in humble language begging that he be permitted to reform: "If my transgressions are such that you cannot pardon me and would not leave me in peace, I will return the land and the people to you and retire to Jiaozhou to seek refuge for the rest of my life." He also sent a letter to Hao Zhou saying that he wished to find a wife for his son Sun Deng among the members of the imperial clan. [3]

He further said that since Sun Deng was too young, he wanted to send Sun Changxu [Sun Shao] and Zhang Zibu [Zhang Zhao] along with Sun Deng. [4]

The Emperor answered him, "... Between me and you, the great relationship of sovereign and subject has already been fixed. Is it that I find pleasure in belaboring my army that I send them on a distant expedition to the Jiang and the Han?...When Sun Deng comes in the mourning, I will recall my troops in the evening of the same day. My words are as sincere as the great Jiang."

At this, the King of Wu altered his reign-title to Huangwu and continued resistance and defense along the Jiang.

35. The Emperor left Xuchang on his southern expedition; he abolished Yingzhou and restored the former name Jing-zhou.

36. Eleventh month. On the day Dec. 31 the Emperor reached Wan.

37. Cao Xiu, who was at Dongkou, memorialized, "I am willing to lead picked troops and stride like a tiger on the south of the Jiang. I shall be able to obtain supplies from the enemy; the adventure will end in certain success. Your Majesty need not mind if I meet my end thus." Anxious lest Cao Xiu cross the Jiang without further ado, the Emperor dispatched post-horses to stop him.

The Palace Attendant (shizhong) Dong Zhao, who was attending the Emperor, said, "I observe that Your Majesty wears an expression of worry on the face. Is it because Cao Xiu might cross the Jiang? Now as for crossing the Jiang, that is something nobody wants to do. Even if Cao Xiu harbors such intention, it is impossible for him to execute it single-handed; he needs the cooperation of other generals. Zang Ba and others are not only rich but in high positions, hence they look for nothing more from life than to die natural death and keep their emoluments and ranks. How can they be willing to risk throwing themselves into a dangerous place to court uncertain fortune?

"If Zang Ba and his men do not advance, then Cao Xiu will of himself desist. I fear that even if Your Majesty were to issue an edict commanding him to cross the Jiang, he would have to devise some way to do so and not be able to obey the command immediately."

Soon afterwards, a storm lashed the boats of Lu Fan and others of Wu, cutting asunder all the ropes that tied the boats, so that they were rushed straight toward the camp of Cao Xiu and his men. These killed and captured some ten thousand, and the Wu troops were dispersed. Upon hearing this the Emperor ordered the various troops to cross the Jiang in a hurry. The army did not advance immediately; the Wu boats came with reinforcements and, taking their own troops, returned to the south of the Jiang. Cao Xiu sent Zang Ba to pursue them, but without success, the General Yin Lu (尹盧) dying in battle. [9]

38. On the last day of the month, Jan. 19, 223 A.D., the sun was eclipsed.

39. The King of Wu sent the taizhong dafu Zheng Quan as his envoy to Han. The tai zhong da fu Zong Wei of Han returned the visit. Wu and Han thus came into contact.

40. Learning that the Wei army was in the field in large numbers, the Sovereign of Han sent a letter to Lu Xun: "The rebels [i.e., the Wei] are now along the Jiang and the Han. I am about to preceed eastwards again. Does the General think I shall succeed?"

Lu Xun replied, "I am afraid that your army, recently destroyed, has not yet healed it's wounds. Now that you have concluded peace with us, you ought to try to achieve recovery; there will be no leisure for you to pursue to its extremity. If you do not measure your own strength and wish to bring us from afar the remnants of your own wreckage as gifts, there will be no escaping with your life!"

41. In Han, the prefect of Hanjia, Huang Yuan (黃元) rebelled.

42. The Wu general Sun Sheng leading ten thousand men occupied the river-islet (Zhongzhou) in Jiang-ling to give support to Nan-jun from the outside.

=============================================

Chapter 3 Notes
Third Year of Huangchu (222 AD)
Shu Second Year of Changwu
Wu First year of Huangwu

1. From SGZ, Chronicle of Wendi

2. From SGZ.

2.2 From the Lunyu (Analects of Confucius): “The Master said, 'In a hamlet of ten families, there may be found one honorable and sincere as I am, but not so fond of learning.!”'


3. From SGZ

3.2 Two lines from the Classics. Shu jing: “Hair cloth and skins were brought from Kunlun, Xizhi and Qusou;--the wild tribes of the West all coming to submit to Yu's arrangements.”

Shi Jing “Formerly in the time of Tang the Successful, even from the Qiang of Di, they dared not but come with their offerings; their chiefs dared not but come to seek acknowledgement:--Such is the regular rule of Shang.”


4. From SGZ, Biography of Huang Quan.

4.1 SGZ has, “As King of Hanzhong, the First Sovereign still retained his function as mu (Governor) of Yizhou, and appointed Huang Quan to be his zhizhong congshi. Ascending the Imperial throne, he was about to attack the Wu on the east.” SGZ, biography of the First Sovereign states, “In the second year of Changwu, spring, first month, the First Sovereign returned with his army to Zigui; the jiangjun Wu Ban and Chen Shi with their naval troops were stationed in Yiling, on the east and west banks of the Jiang.”

5. From the Wu shu.

6. From SGZ

7. From SGZ, where it reads, “...the Emperor enfeoffed the Duke of Qi, Cao Rui, as Prince of Pingyuan and the Imperial younger brothers, Duke of Yanling, Cao Zhang, and others, eleven men in all, as princes.”

After this, SGZ continues, “It was instituted for the first time that those sons of the princes who were not their heirs were to be enfeoffed as xianggong, the sons of their heirs as tinghou, and the sons of the Dukes (gong) as tingbo. “

8. From SGZ

9. From SGZ

10. From SGZ

11. From the Yuanzi (quoted in SGZ). Sima Guang's adaptation is quite condensed, the full text reading as follows:

“The Wei having arisen as successors to a period of great chaos, during which the population decreased, the institutions of antiquity could not be adopted. Thus princes of the blood who were feudal lords possessed their territories nominally; they enjoyed mere names, without reality. In each of the states of the feudal princes there were a hundred odd-aged soldiers who served as guards. Theirs were, to be sure, the ranks of princes and lords, but their actual status was equal to that of a commoner. Removed from the Imperial court by a distance of a thousand li, they could not enjoy the privilege of visiting the Court. The neighboring states did not hold any assembly of princes. The feudal lords were not allowed to go more than thirty li when they hunted. Furthermore, the officials fangfu and jianguo (yueche) were appointed to spy on them.

The princes and lords all wanted to become commoners, but could not. In all this, the idea that the territories of princes of the blood serve as fences and screens [for the Emperor] is contradicted, and affection among relatives of the blood is neglected.”

12. From SGZ, Biography of Prince Gong of Zhongshan Cao Gun, where the following passage precedes, “Prince Gong of Zhongshan, Cao Gun, was enfeoffed as Lord of Pingxiang in the 21st year of Jian'an (216 AD). While still young, he was fond of study. In his early teens, he could compose literary pieces. Whenever he studied his books, his wenxue and attendants were all afraid that he might study himself sick; they often remonstrated with him and had him stopped. But his nature being such as to derive pleasure from study, he could never give it up.

In the 22nd year (217 AD) his enfeoffment was changed to that of Lord of Dongxiang. In the same year, his enfeoffment was altered to that of Lord of Can. In the second year of Huangchu (221 AD) he was promoted to be Duke of Can. His subordinate officials all congratulated him on this. But Cao Gun said, 'Born in the secluded palace, I do not understand how difficult sowing and reaping is.'

[The quotation (i.e. Cao Gun's) is from the Shu jing, “I have observed among the inferior people, that where the parents have diligently labored in sowing and reaping, their sons often do not understand this painful toil.”]

Cao Gun coninued, 'I am prone to abandon myself to arrogance and ease. You worthy gentlemen who congratulate me ought to correct my defects at the same time.'”

Cao Gun was one of twenty five sons of Cao Cao. As can be seen from the following sub-notes, in strict chronology this section ought to have been in 221 AD.

12.1 SGZ has “While his brothers were amusing themselves, Cao Gun alone devoted his mind to the classics.

In the fourth year of Huangchu (223 AD), he was reenfeoffed as Prince of Can. In the seventh year (226 AD), his fief was changed to Puyang. In the second year of Taihe (228 AD), he proceeded to his territory. He prized simplicity and frugality, ordering his wife and concubines to spin and weave and engage themselves in needle work, as household servants would do.

In the fifth year (231 AD), he came to court. In the sixth year he was reenfeoffed as Prince of Zhongshan. When he came to court, he had violated a law in the capital. In the first year of Qinglun (233 AD), the officials in charge memorialized about this. The Emperor in an edict commanded, 'The prince used to be reverent and prudent; by ill-luck he has come to this state. He shall be judged by the institutions regarded Imperial relatives.' But the officials in charge were obstinate and had him lose two xian, including seven thousand five hundred households, from his appanage. Cao Gun was worried and fearful; he ordered his subordinate officials to be more prudent. The Emperor praised him and in the second year (234 AD), restored him the two xian.”

Cao Gun had not yet become Prince of Bohai when the story narrated in this section occurred. He was still Duke of Can.

13. From SGZ.

14. From SGZ.

15. From SGZ. This is from various parts of the SGZ, however, including Lu Xun's and Sun Quan's biographies.

15.1: SGZ has, “From Jianping and Lianping along the gorge of Wuxia, to the region of Yiling, Liu Bei had a continuous line of encampments; he set up tens of barracks.” After this, there follows a passage, not given here in Zizhi Tongjian: “By means of gold and embroidered silk, enfeoffment and rewards, he influenced the barbarian tribes.”

16. From the Huayang Guozhi. A similar story is also given in the commentary to the Ji Han fu chen can of Yang Xi, quoted in his biography in SGZ.

16.1 Chi Han fu chen can has: “Zhang Wenjin's ming was Nan. He also followed the First Sovereign from Jingzhou into Shu. As a commander of troops, he followed the First Sovereign in his expedition against the Wu; he died together with Feng Xi. At that time, there was also Fu Yong {Fu Tong} of Yiyang, who, when the First Sovereign retreated with his army, protected the rear and put up a defensive fight.”

17. From the Huayang Guozhi. a similar passage occurs in the commentary to the Ji Han fu chen can.

17.4 Huayang guozhi has, “He also was killed.” Ji Han fu chen can has: “The pursuers finally overtook Cheng Ji's boat. Wielding a spear in his own hand, Cheng Ji fought. Some of the enemy's boats capsized. But they came in a mass and struck at him all at once; in the end, he died.”

18. From SGZ

19. From SGZ

20. From SGZ, Biography of Fa Zheng. Some of Zhuge Liang's words regarding Fa Zheng are also found in the Huayang Guozhi.

21. From SGZ.

22. From Sgz, chronicle of Wendi.

23. From SGZ, where it reads, “autumn, seventh month: Jizhou suffered heavily from locusts and the people suffered famine. The Emperor had the shangshu Du Ji take the Tally and open State granaries to give them relief.”

24. SGZ, Bio of Huang Quan

24.6 Chen Ping and Han Xin had deserted Chu to go join the First Emperor of Han (Liu Bang).

26. From SGZ

27. From the Wei Shu, where the following passage precedes, “While accompanying the army in its expeditions, whenever she found aged, white headed soldiers the Empress Dowager would always summon them to her carriage, ask how they were and give them gifts of silk. She wept in their presence and said, 'How I do regret that my parents are no more.'” This refers to the days when she was not yet a dowager, and was accompanying the campaigns of Cao Cao, whose regular consort she eventually became.

27.4 After this, Wei shu ends the passage as follows, “The Emperor had a residence constructed for the younger brother of the Empress Dowager, Bian Bing. When the residence was completed, the Empress Dowager visited it. All the members of her clan were also invited. On the table there were no rare dishes. The Empress Dowager and her attendants had vegetable food and millet; there were neither fish nor meat. She was frugal to this extent.”

28. From SGZ, Biography of the Empress De, named Guo, Consort of Wendi. The following passage precedes, “The Empress De, named Guo, consort of Wendi, was from Guangzong in Anping. Her ancestores served as provincial officials. While she was still young, her brother Guo Yong wondered at her and said, 'Here is the queen of our house!' He gave her the zi of Nuwang (queen). She lost her parents very early. It was a time of disturbance, and she finally found herself in the house of Lord of Dongdi [as a servant].

While Taizu (Cao Cao) was Duke of Wei, she entered the palace of the Crown Prince. She was resourceful and sagacious, and often helped him through her counsels. She played a role in the appointment of Wendi as heir [to Cao Cao]. When the Crown Prince became Prince of Wei, she became a furen. After he ascended the Imperial throne, she became a guipin. The death of the Empress named Chen was brought about because of favors she enjoyed. In the third year of Huangchu, she was about to be enthroned as Empress.”

28.5 Rites of Zhou?: “Let the father be indeed father, and the son son; let the elder brother be indeed elder brother, and the younger brother younger brother; let the husband indeed be husband, and the wife wife:--then the family be in its normal state. Bring the family to that state, and all under heaven will be established.”

28.6 The actual wording of Xin Xia as given in the Zuozhuan is different from this.

28.9 From SGZ, where this passage follows, “On this occasion the Emperor advanced the ranks of the male population of the Empire by two grades and gave grain to the wifeless, widows, cripples, and those who were too poor to support themselves.”

29. From the Weilue.

29.1 Regarding Hao Zhao, Wei Lue states, “Hao Zhao, zi Gongyi, was a native of Shangdang. During the Jian'an period, he served as magistrate (ling) of Xiao, later reaching the post of cishi of Xuzhou. Later, he was appointed hujun to Yu Jin. When the army was overthrown, he became a captive of Guan Yu. As a result of his assault on Guan Yu, Sun Quan also obtained Hao Zhao; he gave him cordial treatment. When Wendi became Prince of Wei, Sun Quan sent Hao Zhao with a letter to the Prince of Wei, reading...”

29.10 Weilue states at the end of this passage, “Hao Zhao lost the Emperor's favor and was not employed to the end of his life.”

30. From SGZ, Biography of Sun Quan, where the following passage precedes, “In the beginning, Sun Quan made a show of serving the Wei, but he was not sincere in his heart.”

31. From SGZ, Biography of Liu Ye, where the following passage precedes, “After Liu Bei's army was defeated, the Wu gradually slackened in paying respect to the Wei.”

32. From SGZ. Yang Can has no biography in SGZ, nor is his title ever given in the three passages in SGZ where he is mentioned; hence the vague title “jiangjun” in ZZTJ.

33. From SGZ, Chronicle of Wendi.

33.1 SGZ reads, “He made a testament concerning his funeral: '...this is why I am making my grave in this waste land which yields no agricultural produce, my intention being that the place shall not be recognized after generations. Do not apply rush or charcoal, nor bury gold, silver, copper, or iron; only pottery wares are to be interred, after the ancient usage of 'the carriages of clay and the figures of straw.' [Li ji] My coffin shall be lacquered three times where the boards are joined. Do not fill my mouth with pearls and jade, nor clothe me in a vesture studded with pearls, nor bury a jade casket. All these are done by the foolish masses. This edict shall be kept in the Ancestral Temple, copies of it to be preserved in the archives of Shangshu, Bishu and the Three Ducal Ministers.'”

34. From SGZ, Sun Quan biography.

34.3 Sima Guang's own sentence. The Weilue, continuing from the passage given in note 29.10) states: “The Emperor then detained Sun Quan's envoy for a long time. In the eighth month (September 24-October 29), Sun Quan sent up a letter of apology to the Emperor, and also sent a letter to Hao Zhao...He further said, 'When you came to me, you directed me to send a son of mine to the court to wait upon the Emperor. At that time, I was entirely happy and agreed to your instructions. But Sun Deng being too young, I wished to wait until he added some years...'

He also said, 'Now my son is about to go to the court to wait upon the Emperor; he has no spouse as yet. In former days, you were of the opinion that I might presume, and wish, to have him connected by marriage with the Imperial clan, for instance, the Xiahou Family. For some time I have been acting in self-debasement (i.e. without much loyalty toward Wei), but I have kept your words in my memory. If you should recollect your former words and enable him to 'climb on the back of the dragon' [through this marriage], so that our position may be consolidated forever, how can I fathom the depth of my gratitude to you? With this hope, I shall send Sun Zhangxu along with my son, to conduct the ceremony of taking the bride for my son. Success depends on you.

He further said, 'My son is young in years, and furthermore I have not instructed him sufficiently. When I think of bidding him farewell I am overcome by sorrow; boundless is the affection between father and son. I also want to send Zhang Zibu along with him as his guardian and tutor.'”

Wu lu, quoted in SGZ states, “Sun Shao, zi Zhangxu, was a man of Bohai.” SGZ, biography of Zhang Zhao states, “Zhang Zhao, zi Zibu, was a man of Pengcheng.”

34.4 This also is Sima Guang's own sentence. Sun Quan intended to send Sun Shao to conduct the marriage ceremony of his son; it was Zhang Zhao who was to serve as guardian tutor to the young Sun Deng. Therefore, Sima Guang is not very accurate in bringing the two names together here.

35. From SGZ, Chronicle of Wendi.

36. From SGZ

37. From SGZ, biography of Dong Zhao.

37.9 Biography of Sun Quan, SGZ: “Winter, eleventh month (December 11 222 AD-January 19, 223 AD). Heavy wind: thousands of the troops of Lu Fan and others were drowned. The remainder of the troops returned to the South of the Jiang. Cao Xiu sent Zang Ba with five hundred light boats, manned by ten thousand volunteers, to assault Xuling. The Wu set fire to their engines for storming walled cities, and killed tens of their men. The generals Quan Cong and Xu Sheng pursued them [Wei] and killed the Wei general Yin Lu, killing and capturing hundreds of men.”

38. From SGZ

39. From SGZ

40. From the Wu lu

41. From the SGZ.

[Jordan]

Chapter 4
Fourth Year of Huang-ch'u (223 A.D.)
Shu: Third Year of Chang-wu
First Year of Chien-hsing
Wu: Second Year of Huang-wu

1. Spring, first month (Feb. 18 - Mar. 19). Cao Zhen had Zhang He strike a crushing blow against the Wu troops, capturing and occupying Zhongzhou (River Islet) in Jiangling.

2. Second month (Mar. 20 - Apr. 17). Zhuge Liang reached Yong'an.

3. Cao Ren marched with several tens of thousands of infantry and cavalry troops towards Ru-xu. But he had first loudly proclaimed that he intended to move eastwards and attack Xianqi. Zhu Huan took a detachment of his Wu troops to that place. After it had gone, Cao Ren advanced with his main force straight to Ru-xu. When he learned this, Zhu Huan recalled the detachment dispatched to Xianqi. The detachment had not yet returned, when Cao Ren arrived, carrying all before him. At this time the number of available troops under Zhu Huan's direct command and under his subordinate generals amounted to only five thousand, and his generals were all in a great panic.

Zhu Huan expostulated with them, "When two armies meet, the outcome of the battle is decided by the quality of their commanders, not by the numerical superiority or inferiority of the rank and file. You gentlemen are well informed of Cao Ren's generalship; is it superior to mine? What is said in the Art of War--the 'guest' (i.e., invader) requires double forces and the 'host' (defender) half--applies only when both armies are on a plain, without the protection of walls and moats, and when they are balanced as to bravery of the rank and file. Now Cao Ren is neither intelligent nor brave. Furthermore, his troops are exceedingly cowardly. Besides, they have marched a thousand li; both men and horses are worn out. Gentlemen, you and I together take our position within high walls, southwards facing the great Jiang and northwards backed by hills and mounds. With rested troops we wait for a fatigued enemy; as 'host' we have the 'guest' at our mercy. This is a situation where one hundred battles mean one hundred victories. Even if Cao Pi were here, there would be nothing to worry about, much less when it is a man like Cao Ren!"

Zhu Huan then had banners and battle-drums put away, feigning a weak defense in order to entrap Cao Ren. Cao Ren dispatched his son Cao Tai to attack the walled city of Ru-xu. He also dispatched the general Chang Diao, with Wang Shuang and others; to go in oiled boats [13] and attack Zhongzhou by surprise. This Zhongzhou was a place where wives and children of Zhu Huan's troops were living.

Jiang Ji said, "The Wu rebels occupy the west bank and their boats are lined up on the upper reaches of the river. To let our troops enter the islet (i.e., Zhongzhou) under such circumstances is like sending them to hell; we are only courting disaster." Cao Ren did not listen to this. With ten thousand men under his direct command, he stayed at T'o-kao {Tougao? Tuogao?}.

Cao Ren gave help from the rear to Cao Tai and his men. Zhu Huan dispatched one of his subordinate generals to strike at Chang Diao and his men; he himself offered resistance to Cao Tai; Cao Tai set fire to his own camp and then withdrew. In the end Zhu Huan slew Chang Diao and captured Wang Shuang. He killed and drowned more than a thousand soldiers.

4. Formerly, when Lu Meng was mortally ill, the King of Wu asked him, "Should you, sir, be unable to rise again, who shall be your successor?"

Lu Meng replied, "Zhu Ran has plenty of courage; I think he can be given the appointment."

This Zhu Ran was the son of the elder sister of Zhu Zhi, the Grand Administrator (taishou) of Jiuzhen, and his original family name was Shi; Zhu Zhi had adopted him as his son. [3] At this time he was General Who Manifests the Military (zhaowu jiangjun). [4] After Lu Meng's death, the King of Wu made him Plenipotentiary in Military Affairs and stationed him at Jiangling.

When Cao Zhen and his men laid siege to Jiangling and put Sun Sheng (孫盛) to rout, the King of Wu dispatched Zhuge Jin and others to go forward with troops and raise the siege; but Xiahou Shang attacked and repulsed them. [6] Jiang-ling was totally cut off. Within the walls, many of the soldiers were suffering from a swelling disease, and the number of those fit to fight amounted to only five thousand. Cao Zhen and his men raised artificial mounds, dug out tunnels, and set up turrets along the city walls. Arrows poured down like rain and generals all paled. Zhu Ran remained calm and fearless. He busied himself encouraging his men, then taking his opportunity, attacked and took two Wei camps.

The Wei troops had been besieging Zhu Ran for six months in all. Yao Tai (姚泰), the Magistrate of Jiang-ling, was in command of a detachment defending the north gate of the city. Observing how numerous and powerful were the enemy forces outside of the city walls and how small the number of men within the city, with provisions almost gone, he was afraid there would be no rescue. He plotted to betray the city to the enemy. Zhu Ran discovered the plot and killed him.
 
5. At this time the Jiang was shallow and narrow. Xiahou Shang intended to transport his infantry and cavalry by boats to the river islet, where they would encamp, and to build pontoon bridges so that they might move forwards and backwards to the north and south. Many who discussed the matter maintained that in this way the city was certain to be captured.

Dong Zhao memorialized the throne, saying, "The Emperor Wu Huangdi [i.e., Cao Cao] surpassed others in wisdom and courage, yet in battle he feared the enemy enough not to underestimate him. In war, advance is agreeable and retreat disagreeable--this is only natural. Even where the terrain is flat and without defiles, there still are natural difficulties. Circumstances may require a deep incursion, but a practicable route for retreat ought to be kept ready. Advance and retreat in war cannot always accord with our wishes.

"Now the troops are encamped on the river islet--this is 'deepest'; they cross the river by means of pontoon bridges--this is 'most precarious'; they move on a single route, this is 'narrowest'. These three things are avoided by students of military art, yet they are precisely what our troops are doing. The Wu rebels will repeatedly attack the pontoon bridges, and in the meanwhile we may commit some untoward mistakes; in that case the picked troops on the river islet will no longer belong to the Wei, but will fall into the hands of the Wu.

"Your Servant is worried to the extent of forgetting sleep and food; yet the officials who discuss the matter are not perturbed at all. Are they not mistaken?

"Furthermore, the Jiang is wont to overflow; should it rise suddenly, how shall we protect ourselves? Even if we cannot destroy the rebels, at least we ought to preserve ourselves. How is it that we court disaster, yet do not fear? The situation is precarious. May Your Majesty take notice of it!"

The Emperor thereupon commanded Xiahou Shang and his men to leave the river islet speedily. The Wu advanced simultaneously by two routes. The Wei troops retreating along their single route were unable to evacuate the islet at once; however, they barely got across the river.

The Wu general Pan Zhang had made rafts of rushes, planning to use them to burn the pontoon bridges; as Xiahou Shang had already withdrawn, he desisted. [10] Ten days afterwards, the water of the Jiang rose high. The Emperor said to Dong Zhao, "How perspicacious you were when you discussed the matter! Even Zhang Liang and Chen Ping could not have surpassed you."

6. It happened that heaven sent down a great epidemic. The Emperor ordered all his troops to retreat.

7. Third month. On the day Apr. 25 the Emperor returned to Luo-yang.

8. Some time before the Emperor said to Jia Xu, "I intend to attack those who do not obey my command, in order that I may unify the empire. Of Wu and Shu which shall be first?"

He replied, "He who would attack and take, attends to his military command as his first business; he who would build a foundation considers as important the transformation of the people through his virtue. Your Majesty responded to the time and received the throne, and now you rule over the land as a benevolent sovereign. If you will put them [Wu and Shu] at rest by means of the virtues of peace, waiting meanwhile for changes in them, it will not be difficult to conquer them. Small states though they both are, Wu and Shu are protected by mountains and barricaded by waters. Liu Bei possesses excellent talent, Zhuge Liang is good at governing; Sun Quan is versed in military strategy, Lu Xun [4] understands military tactics. They occupy passes and guard strategic positions; they have ships afloat on the Jiang and lakes. [5] It is difficult for us to plan against either one of them all of a sudden. The way of using arms is to make sure of victory before a battle is fought, and to ascertain the strength of the enemy before a commander is appointed; thus there will be no move that will turn out amiss.

"Your Servant is of the opinion that none of your numerous officials is equal to Liu Bei or Sun Quan. Hence, even if you with your celestial majesty should proceed against them, I do not see that the matters will all turn out satisfactorily. In antiquity, Shun danced with shields and axes; the Prince of Miao then submitted. [6] In my judgement we at present ought to bring peace to the fore and put war to the rear."

The Emperor did not accept this advice. The campaign, as was expected, proved unsuccessful.
 
9. On the day June 16, Cao Ren, the 'Loyal' Lord of Chen died.

10. Huang Yuan was not liked by Zhuge Liang. Hearing that the Sovereign of Han had fallen ill, he became fearful lest calamity might eventually befall him. Therefore he rose in rebellion with the whole prefecture and set fire to the walled city of Linqiong. At this time Zhuge Liang had gone east to visit the indisposed sovereign; Chengdu was weakly defended, and Huang Yuan became all the more fearless.

Yang Hong, the zhizhong congshi of Yi-zhou, advised the Crown Prince to dispatch the generals Chen Hu (陳曶) and Zheng Chuo (鄭綽) to lead a punitive campaign against Huang Yuan. But the officials of the Court considered that, failing to lay siege to Chengdu, Huang Yuan would be certain to proceed by way of Yuehui to occupy Nanzhong.

Yang Hong said, "Huang Yuan is by nature cruel and tyrannical, and has never earned any gratitude or trust from the people. So how could he succeed in that? He will merely take to the river and descend to the east, hoping to see our Sovereign still well and to present himself bound as if for execution. Should it turn out to be different with our Sovereign's health, he will flee to Wu to save his life. We need merely instruct Chen Hu and Zheng Chuo to intercept him at the pass of Nan-an; we will then capture him."

Huang Yuan's troops were defeated and, as had been expected, moved down eastward on the Jiang; Chen Hu and Zheng Chuo captured him and put him to death. [9]

11. The Sovereign of Han now being mortally ill, he charged Zhuge Liang, his premier, with the guardianship of the Crown Prince and appointed Li Yan, the shang-shu-ling, as his deputy.

12. The Sovereign of Han said to Zhuge Liang, "You are ten times more talented then Cao Pi; you are certainly able to put the country at peace. You will eventually accomplish the great work. If my heir is worthy of your support, then support him; if he is not talented, you may take the throne yourself."

Zhuge Liang wept and said, "How shall Your Servant dare not to put forth all his strength for your heir, as due from one who is his legs and arms, not to serve him with loyalty and sincere devotion, and not to continue service unto death?" [1]

13. The Sovereign of Han furthermore issued an edict exhorting the Crown Prince: "When a man is fifty years old, his death is not called premature. My age being more than sixty years, what should I regret? I am worried only about you and your brothers. Exert yourself, exert yourself. Do no wicked deed, however small, nor leave any good deed undone, however small. Only excellence and virtue will make others submit to you. Your father, a man of slender virtue, is not worthy of your emulation. You will follow the directions of the Prime Minister, serving him as if he were your own father." [3]

14. Summer, fourth month. On the day guisi [sic], the Sovereign of Han died at Yong-an. He was canonized Illustrious and Majestic.

15. Zhuge Liang, the Prime Minister (chengxiang), brought the imperial coffin to Cheng-du. Li Yan was appointed zhongduhu, in which capacity he was stationed at Yong-an.

16. Fifth month (June 16 - July 15), Liu Shan, the Crown Prince, mounted the throne; he was seventeen at the time. He honored the Empress by conferring upon her the title Empress Dowager, issued a general amnesty, and altered the reign-title to Jianxing.

17. He enfeoffed Zhuge Liang, the Prime Minister (chengxiang), as Lord of Wuxiang, and also appointed him governor of Yizhou. All state affairs, great and small, were decided by Zhuge Liang.
 
18. Zhuge Liang then regulated offices and duties, and established laws and regulations. He issued the following instruction to his subordinates: "'Consultation and collaboration' means to assemble the ideas of the multitude and to widen the circle of advisers. If we are estranged from each other because of minor disagreements and it thus becomes difficult for us to discuss differences and examine situations, affairs of state will become neglected and deteriorate. This is harmful. If we differ and examine, and consequently arrive at the golden menu, it is like throwing away worn-out shoes and obtaining pearls and jewels. But we all suffer from being, by nature, unable to carry this out. It was only Xu Yuanzhi who did not err in this; also Dong Yuzai, during the seven years of his working for consultation and collaboration, would revert to a matter even ten times when it was not satisfactory, and would come to me for discussion. If only I can be one-tenth as worthy as Xu Yuanzhi and offer my loyal service to the state as assiduously as Dong Yuzai, then Zhuge Liang will be free from faults."

He furthermore said, "When I associated with Cui Zhouping in other days, I often received his advice. When later I was associated with Xu Yuangzhi, he assiduously favored me with his exhortations. Formerly when I was consulting about matters with Dong Yuzai, he did not desist until he had spoken to me exhaustively. Later when I had advice from Weidu, he admonished me many a time. Although I was unable, because of my unenlightened nature, to accept all of their advice, I remained friendly throughout. This at least is sufficient to make clear how I, Zhuge Liang, have no suspicion of the motives of those who give me advice."

The man called Weidu was Hu Ji of Yi-yang, the jubu of Zhuge Liang. [9]

19. Once Zhuge Liang himself was checking account books. Yang Yong (楊顒), the jubu, came straight into the room and admonished him, "In administrative matters there is a certain system; the superior and the inferior should not encroach on each other.

"I beg to draw Your Excellency an analogy from housekeeping. Now there is a man who lets his slave plow the land and his female slave take charge of cooking, lets his cock herald the dawn and his dog bark away burglars, lets his ox bear heavy burdens and his horses walk long distances. Each does the assigned work without negligence, and whatever is sought is fulfilled. A happy expression on his face, the master of the house has nothing to do but enjoy peaceful sleep, drink and eat. Should he one day wish to take charge of all these matters in person and refrain from committing his affairs to these agents, thereby burdening himself with all these petty things, then his body will be exhausted and his mind fatigued, and he will end with nothing accomplished. Is it because his intelligence is inferior to that of his slave and female slave, his cock and his dog? It is because he has neglected the proper status of the master of a house.

"That is why the ancients said that one sits and discusses the Way--referring to Kings and Dukes--and that things are put into practice by regulations--referring to the work of state officials.

"Hence Bing Ji did not make inquiries when he saw a man lying dead across the road, but was worried over a panting ox; Chen Ping did not want to know the total sum of the state revenues in cash and grain, saying there were officials who were in charge of it. These two really were men who knew well the different duties pertaining to different positions. In the administration of state affairs, Your Excellency in person checks the account books, perspiring through the length of the day. Is this not too much toil?"

Zhuge Liang thanked him. When Yang Yong died, Zhuge Liang wept for him for three days.

20. Sixth month. On the day Aug. 1, Cao Zhang, the 'Conquering' Prince of Rencheng, died.

21. On the day Aug. 11, Jia Xu, the 'Solemn' Lord of Weishou, died.

22. There was a great flood.

23. He Qi of Wu launched a surprise attack on Qijun; he returned after capturing the Prefect Jin Zong (晉宗).
 
24. Some time earlier, Yong Kai, a local chieftain of Yizhou jun, had killed the Prefect Zheng Ang (正昂), and through Shi Xie he sought to offer his allegiance to the Wu. He had also seized Zhang Yi (張裔) of Cheng-du, the succeeding Prefect, and sent him to Wu.

The Wu appointed Yong Kai Grand Administrator (taishou) of Yongchang. Lü Kai, the Officer of the Department of Merit (gongcao) of Yongchang, and Wang Kang, the fucheng of Yong-ch'ang, directed the under-officials to refuse to accept him, and to defend the district by closing its borders. Being unable to advance, Yong Kai had Meng Huo, a man of the district, entice and incite the various barbarian tribes, who then followed him.

Zhu Bao, the Grand Administrator (taishou) of Cangke, and Gao Ding, the King of the barbarians at Yuehui, both revolted and responded to Yong Kai. Because of the recent death of the Emperor of Han, Liu Bei, Zhuge Liang temporized with them all and did not dispatch a punitive expedition against them. He paid attention to agriculture in order to increase production; he closed the passes in order to give rest to the people. Only when the people were put as ease and provisions became abundant did he employ them.

25. Autumn, eighth month. On the day Sept. 23, Zhong Yu, the tingyu was appointed taiyu; Gao Rou, the zhishu jifa replaced him as tingyu.

26. At this time the Three Ducal Ministers were not charged with any active duties and rarely participated in matters discussed at court. Gao Rou memorialized the Wei throne, "Heaven and earth achieve their work by means of the four seasons; the sovereign of a state administers good rule by means of his ministers. Cheng Tang was supported by A Heng; Wen and Wu relied on the exertion of Taigong Wang and Dan (the Duke of Zhou). In the early days of Han, Xiao He and Cao Can, both men of unsurpassed merit, served as heart and shoulders of the Emperor. In all these cases, on the one side the clear-sighted kings and sage sovereigns showed their trust in their ministers; on the other, competent ministers and excellent helpers served as the legs and arms of government.

"As officials the Three Ducal Ministers are the bulwark of the state, and are the ones to whom the people all look. Charged with the duties of the 'three directors of affairs', they are not allowed to know the petty details of government. And so they save their breath and cultivate their independence, offering advice but rarely. This way certainly was not one of employing great ministers prominently at court; it is not what is meant by the duty of ministers of state to recommend the practicable and remove the objectionable. [4] In ancient times, when there was doubt about the decision of criminal cases, discussion was always help under the locust and jujube trees.

"Henceforth, when there occur any doubts in court discussion, or any important matters of a judicial nature, the Three Ducal Ministers ought to be consulted frequently. On the first and fifteenth days of the month when the Three Ducal Ministers attend court, they ought to be especially invited to discuss and supplement the counsel received by the Son of Heaven. Thus they will glorify and increase the august rule."

The Emperor gave his approval.

27. On the day Sept. 27, the Emperor hunted at Ying-yang; then he made a tour of inspection to the east.

28. Ninth month. On the day Oct. 30, he reached Xu-chang.

29. Deng Zhi of Yi-yang, the Imperial Secretariat (shang-shu) of Han [i.e., Shu], said to Zhuge Liang, "At present the Sovereign is young and weak, and has only recently mounted the august throne. We ought to send an envoy of some importance to renew our friendship with the Wu."

Zhuge Liang said, "I have thought of that for some time, but unfortunately have not found the right man for it. Only today have I found one." When Deng Zhi asked who the man was, Zhuge Liang said, "Your Excellency and none else." He then dispatched Deng Zhi in the capacity of General of the Gentlemen of the Household (zhonglangjiang), to cement friendship with the Wu.

Winter, tenth month (Nov. 11 - Dec. 12). Deng Zhi reached Wu. [5] At this time the King of Wu had not yet broken off relations with the Wei; he was vacillating. He would not at once receive Deng Zhi in audience. Deng Zhi then requested the favor of a reception, saying, "My coming at this time is in behalf of Wu also, not merely Shu."

The King of Wu then received him and said, "I indeed wish to become friendly with Shu. But I am afraid that as the Sovereign of Shu is young and weak and his state small and powerless, he will be taken advantage of by the Wei and surely will be unable to hold his own."

Deng Zhi replied, "Wu and Shu occupy four provinces between themselves. Your Majesty is a renowned hero of our age; Zhuge Liang is also a talented man of the time. Shu is fortified by numerous passes, Wu is protected by three rivers. When these two points of advantage are combined and the two states become as intimate as lips and teeth, they will conquer the whole empire if circumstances permit them to advance, or they will stand independently along with Wei as the three feet of a tripod if circumstances compel them to draw back. This is natural and logical. Should Your Majesty become a vassal of the Wei, the Wei will be certain to wish Your Majesty to pay homage to their court on the one hand, and to demand your Crown Prince as hostage on the other. Should you dissent and disobey them, they will find a pretext and lead a punitive expedition against 'the rebels'. Shu, also, will drift with the stream, and when the opportunity appears, will advance. In that case, the territory south of the Jiang will no longer be in Your Majesty's possession."

The King of Wu was silent for a long time, then said, "Your words are excellent." In the end he broke off with the Wei and became an ally of the Han exclusively.

30. In this year, the Sovereign of Han made his consort, Lady Zhang, his Empress.

======================================================

Chapter 4
Fourth Year of Huangchu
Shu: Third Year of Changwu, First Year of Jianxing
Wu: Second Year of Huangwu

1. SGZ Biography of Sun Quan reads, “In the second year of Huangwu, spring, first month, Cao Zhen divided his troops and occupied Zhongzhou in Jiangling.”

SGZ Biography of Zhang He reads, “The Emperor summoned both Zhang He and Cao Zhen to his palace at Xu; he dispatched them southwards to attack Jiangling together with Xiahou Shang. Zhang He commanded a detachment of troops and, crossing the Jiang, occupied the islet, on which he then encamped.”

2. From SGZ

3. From SGZ

3.13 Hu Sanxing in his commentary writes that these are boats made of ox hides, smeared with oil to make them water-proof.

4. From SGZ

4.3 This passage is rewritten from SGZ: “Zhu Ran, zi Yifeng, was the son of Zhu Zhi's elder sister. His original family was Shi. At first, Zhu Zhi had no son of his own. Therefore when Zhu Ran was thirteen years old, he asked Sun Ce for permission to adopt him as his son.”

Zhu Zhi's biography tells us that Zhu Zhi, zi Junli, was appointed Grand Administrator (taishou) of Jiuzhen in the seventh year of Jian'an, 202 AD, and died still in this office at the age of sixty-nine, in the third year of Huangwu, 224 AD. In short, he lived 156-224 AD.

4.4 This sentence is Sima Guang's own. The time referred to is the time when Lu Meng had the conversation with the King of Wu. When he defended Jiangling, Zhu Ran had already been made General Who Conquers the North (zhengbei jiangjun).

4.6 This passage is rewritten from the two following.

SGZ, Wu: “The Wei dispatched Cao Zhen, Xiahou Shang, Zhang He, and others to attack Jiangling. The Emperor Wendi of Wei went in person to Wan, from which he gave them support. They encamped in a continuous formation and besieged the city. Sun Quan dispatched Sun Sheng to command ten thousand men and defend the river islet in Jiangling. He constructed embankments all around, thereby giving external support to Zhu Ran. Zhang He had his troops cross the Jiang and attack Sun Sheng, who was not able to resist and withdrew instantly. Zhang He occupied the river islet and encamped on it.”

SGZ, biography of Xiahou Shang, “In the third year of Huangchu, the Emperor traveled to Wan. He had Xiahou Shang command various troops and besiege Jiangling together with Cao Zhen. Sun Quan's general Zhuge Jin was encamped on the other bank, opposite to Xiahou Shang's troops. Zhuge Jin crossed the Jiang and entered the islet in it, and divided his marine troops to station them in the Jiang. During the night, Xiahou Shang carried up a large number of oiled boats; and, leading more than ten thousand men and horse, secretly crossed the lower reaches of the Jiang and attacked Zhuge Jin's troops. From both banks of the Jiang, he set fire to the boats and attacked simultaneously on land and water. The city had not fallen when a great epidemic had occurred, and the Emperor ordered Xiahou Shang to retreat with all his forces.”

5. From SGZ, Biography of Dong Zhao, where it begins: “The General-in-chief Who Conquers The South (zhengnan dajiangjun) Xiahou Shang and his men attacked Jiangling, but did not capture the city. At this time, the Jiang was shallow and narrow. Xiahou Shang intended to...”

5.10 This passage is rewritten from the following one in SGZ, Biography of Pan Zhang, “The Wei general Xiahou Shang and others besieged Nanjun; he had thirty thousand men of his vanguard construct pontoon bridges across to Bolizhou ('Islet of One Hundred Li,' i.e. Zhongzhou). Zhuge Jin and Yang Can united their troops to reinforce the Wu, but were puzzled as to what course to take.

Meantime the Wei troops were crossing to the islet incessantly day after day. Pan Zhang said, 'The Wei forces are becoming powerful, and besides, the water of the Jiang is shallow; so we should not fight with them.'

“So he led his troops on to a place fifty li above the Wei camp on the upper reaches of the stream. There he hewed down several million bundles of rushes and, binding them together, made big rafts. He intended to let them float down the stream and, by setting them on fire, burn the bridges. Just when he had completed the rafts and was waiting for the water to rise, so the rafts would float down, Xiahou Shang withdrew.”

6. From SGZ, Biography of Xiahou Shang.

7. From SGZ, Chronicle of Wendi.

8. From SGZ, Biography of Jia Xu

8.4 The edition with Hu Sanxing's commentary reads Yi instead of Xun for Lu Xun's ming. The commentary says that Lu Yi is the same person as Lu Xun, the man being first named Yi as his biography tells us.

8.5 This refers, as Hu Sanxing remarks, to the Shu and the Wu respectively.

8.6 Shu Jing: “The Emperor also set about diffusing his accomplishments and virtues more widely. They danced with shields and feathers between the two staircases of the court. In seventy days the prince of Miao came to make his submission.”

9. Chronicle of Wendi. Cao Ren was promoted to be Lord of Chen when the Empror Wendi became King of Wei in 220 AD. After his death, he was canonized 'Loyal' Lord. The Weishu says he died at the age of fifty-six; in other words, he lived 168-223 AD.

10. From SGZ, Biography of Yang Hong.

10.9 SGZ reads, “Chen Hu and Zheng Chuo followed Yang Hong's words and, as was expected, captured Huang Yuan alive.” SGZ, biography of the First Sovereign reads, “In the third month, Huang Yuan moved his troops forward and attacked Linqiong xian. The general Chen Hu was dispatched to lead a punitive campaign against Huang Yuan. Huang Yuan's troops were defeated and moved with the current down the Jiang. He was bound with rope by his own bodyguards. They had him brought to Chengdu alive, and he was then put to death.”

11. From SGZ.

12. From SGZ, Biography of Zhuge Liang, where the passage begins, “In the spring of the third year of Changwu, the First Sovereign was mortally ill at Yong'an. He summoned Zhuge Liang from Chengdu and put him in charge of affairs after his death. He said to Zhuge Liang, 'You are ten times more talented than Cao Pi...'”

12.1 As Hu Sanxing remarks, these words are derived from the reply Xun Xi of Jin gave to his Prince Duke Xian in the Zuozhuan, “I will put forth all my strength and resources on his behalf, doing so with loyalty and sincere devotion. If I succeed, it will be due to your lordship's influence; if I do not succeed, my death shall follow my endeavors.”

13. From SGZ, Biography of Zhuge Liang and Biography of the First Sovereign.

13.3 The contents of the edict to this point are abridged from the fuller one given in the Zhuge Liang ji as quoted in SGZ commentary. It reads, “{The First Sovereign Said}, 'First I was suffering merely from dysentery, but it became complicated with other ailments, perhaps past cure. When a man is fifty years old, his death is not called premature. My age being more than sixty years, what is there that I should regret? I do not lament at all. I am only worried about you and your brothers. She came and told me the chengxiang wondered that you had so greatly advanced in wisdom and mental capacity, and that your abandoning of faults was beyond expectation. If you are really like this, why should I worry? Exert yourself, exert yourself. Do no wicked deed, however small, nor leave any good deed undone, however small. Only excellence and virtue can secure submission from others. [Liu Bei seems to have derived this sentence from Zichan's dying counsel to Zi Taishu. In the Zuozhuan translated as, “It is only the perfectly virtuous, who can keep the people in submission by clemency.”] Your father, man of slender virtue, you should not emulate.

Study the Han shu and the Li Ji; in your leisure time examine the various philosophical writers (juzi), as well as the Liu tao and the Shang junshu. They will increase a man's mind and wisdom. I have heard that the chengxiang had copies of the Shenzi, the Han feizi, the Guanzi and the Liutao made for your benefit and that they were completed, but were lost on the road before they reached me. You may ask him for them.'

Before he breathed his last, he summoned the Prince of Lu (i.e. Liu Yong, second son of Liu Bei) to his side and addressed the Crown Prince, through the Prince of Lu, 'After my death, you and your brother shall serve the Prime Minister [chengxiang] (i.e. Zhuge Liang) as if he were your father; you cannot do better than follow the direction of the Prime Minister (chengxiang).'”

“She {this is a surname rather than a gender}”, in this edict, is probably She Yuan zi Wenxiong, mentioned in Sanguozhi, Biography of the First Sovereign and in the San Fu Jie Lu Chu. This opinion is held by He Chuo and by Qian Dazhao.

14. From SGZ, biography of the First Sovereign. Liu Bei lived 161-223 AD. {There is some debate about what exact day Liu Bei died.}

15. From SGZ. Biography of Li Yan reads, “Li Yan was appointed zhong duhu, in which capacity he was to direct all internal and external military affairs and was stationed in Yong'an.”

16. From SGZ Biography of the Second Sovereign.

17. From SGZ, Biography of Zhuge Liang.

18. From SGZ except for the first sentence, which was evidently rewritten from the Huayang Guozhi: “Zhuge Liang then soothed the people, demonstrated rules of propriety, regulated offices and duties and met the exigencies of the time.”

18.9 Pei Songzhi in his commentary on this instruction writes, “The man named Weidu had Hu as his family name and Ji as his ming. He was a man of Yiyang and served as Zhuge Liang's jubu. Because he served most loyally, he was praised.”

19. From the Xiangyang ji, where it begins, “Yang Yong, Zi Zizhao, was a clansman of Yang Yi. Coming to Shu, he became the taishou of Bajun and jubu to Zhuge Liang, the chengxiang. Once Zhuge Liang was personally checking account books. Yang Yong came straight into the room and admonished him...”

20. From SGZ, Chronicle of Wendi.

21. From Sgz, Chronicle of Wendi. Jia Xu died at the age of seventy seven (he lived 147-223) and was canonized 'Solemn' Lord. His biography also informs us that when the Emperor Wendi mounted the throne Jia Xu's rank was advanced to that of Lord of Weishouxiang.

22. From SGZ, Chronicle of Wendi. The section relevant here reads, “In this month [the sixth, July 16-August 13] rain fell heavily; the Yi and the Luo rivers overflowed, killing people and destroying dwellings.”

23. SGZ Biography of Sun Quan reads, “Before this, Jin Zong, the general garrisoning Xikou, killed the general Wang Zhi and fled with his men to Wei. The Wei appointed him Grand Administrator (taishou) of Qichun. Many a time he attacked the Wu frontiers. In the sixth month, Sun Quan ordered the general He Qi to direct Mi Fang, Liu Shao and others in launching a surprise attack on Qichun. Liu Shao and his men captured Jin Zong alive.”

SGZ, biography of He Qi reads, “Jin Zong was formerly a general of Xikou; with his men he deserted to Wei. Returning, he became the taishou of Qichun. He plotted and executed a surprise attack on Anle, taking hostages from it. Sun Quan was chagrined and angered, and intended to take advantage of the recent demobilization of troops and the great heat of the sixth month, to take him by surprise. So in an edict he commanded He Qi to direct Mi Fang, Xianyu Zhou, and others in launching a surprise attack on Qichun. In the end, they captured Jin Zong alive.”

24. SGZ, Biography of the Second Sovereign reads, “First year of Jianxing, summer: Zhu Bao, taishou of Cangke, rose in rebellion in his district. Some time beforee this, Yong Kai, a man belonging to an influential family at Yizhoujun, had revolted and banished the taishou Zhang Yi to Wu and occupied the district, not recognizing the sovereigny of Shu. Gao Ding, the barbarian King at Yuehui, also revolted.”

SGZ Biography of Zhuge Liang reads, “The various districts (jun) in Nanzhong all revolted. Because of the recent demise of the Emperor, Zhuge Liang found it inconvenient to attack them.”

SGZ Biography of Zhang Yi reads, “Before this, when Zhang Yi was appointed sijin zhonglangjiang (i.e. official in charge of metal works), in Yizhoujun they killed they Grand Administrator (taishou) Zheng Ang. Yong Kai, a district chieftain, was renowned in the southern region for his liberality and trustworthiness. He sent envoys to various personages and was also in contact with Sun Quan. Zhang Yi was appointed Grand Administrator (taishou) of Yizhou. When he came to the district to take office, Yong Kai impeded him and did not recognize the sovereignty of Shu. He feigned an instruction from ghosts, saying, 'The magistrate Zhang Yi is like a gourd, glossy on the surface but coarse inside. He is not worthy of killing, he shall be bound and given to the Wu.' And he sent Zhang Yi to Sun Quan.”

SGZ, Biography of Lu Kai reads, “Lu Kai served as wuguanyuan gongcao of Yongchang. At that time Yong Kai and others, hearing of the death of the First Sovereign at Yong'an, became more and more arrogant...Yong Kai surrendered to Wu, which state appointed him from afar the taishou of Yongchang. As Yongchang was situated just west of Yizhoujun, the road became impeded and Yongchang was cut off from Shu. The district also had its legally appointed taishou changed. Lu Kai and the fucheng Wang Kang of Shujun encouraged the under-officials and the common people in refusing Yong Kai by closing down the borders.”

25. From SGZ, Chronicle of Wendi and Biography of Gao Rou.

26. From SGZ, Biography of Gao Rou.

26.4 The relevant Zuozhuan passage is, “When there is in what the ruler approves of anything that is not proper, the minister calls attention to that impropriety, so as to make the approval entirely correct. When there is in what the ruler disapproves of anything that is proper, the minister brings forward that propriety, so as to remove occasion for the disapproval.”

27. From SGZ, Chronicle of Wendi.

28. From SGZ, Chronicle of Wendi.

29. From SGZ, Biography of Deng Zhi, where the event here narrated is preceded by the following introduction, “The Prime Minister (chengxiang) Zhuge Liang was greatly worried that Sun Quan, hearing that the First Sovereign had passed away at Yong'an, might change his mind, and was uncertain about what course to take.”

29.5 The Wuli (Chronicle of Wu by Hu Chong), quoted in SGZ Biography of Sun Quan commentary reads, “At the time Deng Zhi came as an envoy, the Shu made a gift of 200 horses and 1000 pieces of silk as well as other local products. From this time on envoys went back and forth as a matter of course. The Wu, as well, made a gift of their own local products in return.”

30. From SGZ, Biography of the Second Sovereign. The Empress was the eldest daughter of Zhang Fei. A short notice of her life is given in SGZ, Biography of the Consorts and Sons of the Two Sovereigns.

[Jordan]

Fifth Year of Huangchu (224 A.D.)
Shu: Second Year of Jianxing
Wu: Third Year of Huangwu

1. Spring, first month (Feb. 8 - Mar. 7). The order was first issued that only rebellion and treason were to be grounds for accusation. No other crimes were to be reported and punished, and any one who dared to bring false charges was himself to be punished with the sentence appropriate to the crime.

2. Spring, third month (Apr. 7 - May 5). The Emperor returned from Xuchang to Luoyang.

3. Since the Chuping period (190-193 A.D.) educational facilities had declined. [1]

Summer, fourth month (May 6 - June 4). The Imperial Academy was founded. Academicians were appointed, and in accordance with the Han system regulations for examining scholars in the Five Classics were established.

4. The King of Wu had the General of the Gentlemen of the Households Who Comforts the Yi (fuyi zhonglangjiang) Zhang Wen of Wu-jun go to Han as his envoy. From that time there was constant interchange of envoys between Wu and Shu. [2]

5. The King of Wu used to have Lu Xun speak with Zhuge Liang on the current affairs. He also had another seal of his own cut and placed it in the hands of Lu Xun. Each time the King dispatched a letter to the Sovereign of Han or to Zhuge Liang, he would show it to Lu Xun, and if any point was not just right in emphasis or appropriateness, he would let him revise it and reseal the letter with that seal.

6. The Han again sent Deng Zhi as an envoy to Wu. The King of Wu said to him, "If the empire enjoys peace while we two sovereigns rule separately, is it not a matter of rejoicing?"

Deng Zhi answered, "There are not two suns in the sky, nor are there two sovereigns on earth. [3] After Wei is annexed, Your Majesty will still remain one without true recognition of the Mandate of Heaven. When sovereigns each increase their innate power, and ministers each strive to the utmost in serving them, and generals take up their battle-drums--then indeed war will start!"

The King of Wu laughed heartily and said, "You are really sincere, aren't you!"

7. Autumn, seventh month (Aug. 3-31). The Emperor made a tour to the east and reached Xu-chang.

8. The Emperor intended to levy a great army and attack Wu. The Palace Attendant (shizhong) Xin Pi admonished him, saying, "The people of Wu and Chu are stout-hearted and difficult to turn aside. When the Way prevails in China proper they submit; when the Way is sullied, they are the first to rebel. They have been instruments of calamity not only in these days but even since ancient times. But now that Your Majesty reigns over the empire, can disobedience long exist? Formerly Wei Tuo proclaimed himself Emperor, and Ziyang also assumed the title [4]; but they did not last many years--one became a vassal and the other was put to death. This was because the way of disobedience does not long remain secure, and great virtue makes all submit.

"At present the empire is newly constituted; the territory is vast, but thinly populated. Even when a campaign is begun after first taking counsel in the Ancestral Temple, one must still be apprehensive in confronting the actual situation. How much more so when there has been no counsel in the Ancestral Temple! Yet you intend to use the resources of the empire in this campaign. Your Servant for one sincerely fails to see any profit in it. The late Emperor started out several times, with strong forces, but drew back when he had reached the Jiang. Now the Six Armies have not been increased, yet you would follow in his wake. This will not be easy.

"The best plan at present would be to devote care to nourishing the people as Fan Li did; to take as a model Guan Zhong's policy of having the people share in the government; to copy the military-agricultural colonization of (Zhao) Chong Guo, and to understand clearly Confucius' cherishing of the distant people. If you undertake the campaign after ten years [9], then it will not need to be repeated."

The Emperor said, "Were I to follow your ideas, I should be leaving the Wu barbarians as a legacy to my successors."

He replied, "Of old, King Wen of Zhou left Zhou to his son King Wu. He knew the necessity of time. When time does not accord, what can be gained?"

The Emperor did not follow his advice.
 
9. The Emperor stationed the shangshu puyi Sima Yi at Xu-chang. [1] In the eighth month (Sept. 1-30) he headed a marine force, and taking his boat, navigated the Cai and Ying rivers to the Huai and reached Shou-chun. In the ninth month (Oct. 1-29) he arrived at Guangling.

10. The General Who Tranquilizes the East (andong jiangjun) Xu Sheng of Wu suggested driving timbers into the ground and covering them with rushes. In this way dummy walls and turrets were put up from Shitou to Jiangcheng, extending continuously for several hundred li. These were constructed in a single night. Also a large number of boats and ships were launched on the Jiang, which was then at high water.

11. When the Emperor saw this, he sighed and exclaimed, "Wei has thousands of armed horsemen, but there is no way to use them. We cannot do anything yet." [3]

12. The Emperor rode in a dragon-boat, which on one occasion was shaken by storm and almost capsized.

13. The Emperor asked his officials, "Will Sun Quan himself come forward to meet me, or not?"

They all said, "Since Your Majesty is leading the campaign in person, Sun Quan must be fearful, and is certain to surrender with his entire state. Furthermore he will not dare to entrust the fate of his masses to his officials, so he is sure to come in person."

Liu Ye however said, "He reckons that although Your Majesty, in your august person, would indeed subdue him, the one to cross the Jiang and the lakes would be just a general. Therefore he is certain to hold his troops back and make no move."

The Emperor waited several days, but the King of Wu did not come. The Emperor then withdrew his forces.

14. At this time Cao Xiu reported to the Emperor that a deserter from the Wu rebels said Sun Quan had already come to Ru-xu-kou. The General of Capital Forces (zhonglingjun) Wei Zhen said, "Relying on the protection of the great Jiang, Sun Quan does not dare to meet us on equal terms. This is nothing but a ruse invented out of fear."

When the "deserter" was examined, the information was traced to a Wu general.

15. a) Zhang Wen of Wu at an early age was renowned for his distinguished talents. [1] Gu Yong regarded him as peerless in his time; [2] Zhuge Liang also appreciated him. [3]

b) Zhang Wen had recommended Ji Yan (暨豔), a man of the same prefecture as he, to be head of the Board of Selection of Officials. [4] Ji Yan was by nature intolerant and severe, and was fond of criticizing others. Seeing that the various palace bureaus [5] were occupying Gentlemen Cadet posts (lang) confusedly and promiscuously, many of them unfit for their duties, he wished to distinguish between the able and the stupid. He impeached numerous officials. Examining the qualifications of the officials of the three shu, he reported the results to the throne. In each case he demoted and degraded them by several degrees. Not one out of ten could retain his old office. Those who were avaricious and mean, whose principles and morals were foul and low, he reduced to be petty military officials and stationed them in barracks.

c) Men from the same jun as Zhang Wen such as Lu Xun, Lu Xun's younger brother Lu Mao (陸瑁) and the Attendant Imperial Clerk (shiyushi) Zhu Ju, all warned him to desist. [6] Lu Mao sent Ji Yan a letter, saying, [7] "The sage praises the good and pities the stupid [8], forgets other people's faults and notes their merits; thereby he brings about good government. Besides, the monarchy is just being set up, and there is going to be a great unification. This is a time when one should give men employment, as did Han Gaozu, by overlooking their faults. Were we to order the good and bad into different channels, and emphasize monthly criticism, as did the two Xu of Ruying [9], we should of course improve custom and make brilliant example; but I am afraid that would not be easy to practice. We ought to emulate the 'overflowing love' of Confucius of old, and follow the toleration of Guo Tai of recent times, so that we may contribute something to the Great Way." [10]

d) Zhu Ju said to Ji Yan [11], "The empire is not yet settled. We should cover up man's flaws with their merits, neglect faults and give employment. To promote the pure and improve the muddied is sufficient to deter the bad and encourage the good; sudden demotion and degradation will eventually result in blame." Ji Yan did not heed any of these. [12]

e) So murmuring and resentment became universal. [13] People were only too eager to say that Ji Yan and his subordinate, the xuancaolang Xu Biao (徐彪) wholly followed their private loves and hates rather than justice. Ji Yan and Xu Biao [15] were both incriminated and ordered to commit suicide. Zhang Wen, who had shared the views of Ji Yan and Xu Biao, was also judged, reprimanded and sent back to his own prefecture to serve as menial. He died at his home.

f) Earlier, when Zhang Wen was enjoying power in the state service, Yu Jun (虞俊) of Yu-yao sighed and said, "Zhang Wen has much talent but little wisdom; he is all blossom but no fruit. He is one on whom man's resentment will gather; his will be the calamity of bringing his family to ruin. I have already seen it beginning." This was shortly before he met his fall. Hearing of these anxious words of Yu Jun in regard to Zhang Wen, Zhuge Liang did not believe them. When Zhang Wen was disgraced and banished from court, Zhuge Liang then wondered at Yu Jun's prophecy. When he first heard of Zhang Wen's fall, Zhuge Liang did not understand the cause of it. He thought about it for some days, and said, "I have it. The man was too sure about what is pure and what is sullied; he attempted to discriminate too sharply between good and bad."
 
16. Winter, tenth month (Oct. 30 - Nov. 28). The Emperor returned to Xu-chang.

17. Eleventh month. On the day Dec. 27, last day of the month, the sun was eclipsed.

18. Kebineng of the Xianbei decoyed Budugen's elder brother Fuluohan and killed him. [1] Budugen henceforth harbored a grudge against Kebineng [2], and they continually attacked each other.

Budugen's clan decreased in number and weakened slightly. With ten thousand households he guarded Yanmenjun in Taiyuan. He came to court in this year to offer tribute. [6]

The clan of Kebineng's on the other hand waxed powerful. He went forth and attacked Suli, chieftain of the Eastern branch of the Xianbei. Tian Yu, the Wuhuan jiaoyu [a military officer named protector of the Wu-huan tribes], taking advantage of his weak defense, struck at him from the rear. Kebineng sent one of his generals, Suonu, to resist Tian Yu; Tian Yu attacked and defeated him.

Kebineng was recalcitrant from then on. He made frequent border raids, from which Youzhou and Bingzhou suffered. [13]

===============================================

Chapter 5
Fifth Year of Huangchu (224 AD)
Shu: Second Year of Jianxing
Wu: Third Year of Huangwu

1. From SGZ, Chronicle of Wendi.

2. From SGZ

3. From SGZ, with added introduction.

3.1 This sentence is Sima Guang's own, rewritten from the preface (xu) to the biographies of Confucian Masters of the Weilue. “From the first year of Juping (190 AD) to the end of Jian'an (220 AD), the Empire had been in dissolution, everyone becoming opportunist; tradition and discipline were disestablished, especially in the Way of the Confucianists. In the first year of Huangchu (220 AD), the new sovereign brought restoration. He swept off the ash and soot from the Taixue {The Imperial University?}, repaired the stone tables on which the texts of the Classics were inscribed which had become damaged or ruined, appointed boshi to the full number, and examined scholars in accordance with the A (Jia) and B (Yi) classifications of the Han.

Provinces and prefectures all sent ot the Taixue those who aspired to learning. When the Taixue was first opened, there were several hundred pupils. During the Taihe and Qinglong (233-237) periods, there was trouble both in the metropolis and in the provinces and everyone thought of seeking refuge [in the Taixue]. Many who were by nature unsuited to study sought to enter the Taixue, so that it contained some thousand pupils. The boshi were generally crude and coarse, not fit to teach pupils. The pupils themselves, who had matriculated for the sake of evading the corvee, could not attain to any learning at all: they came in winter and departed in spring, year after year.

There were indeed some accomplished scholars, but the standard of examination given by the government was too high; to aggravate this, general understanding of the Classics was not taken into consideration in these examinations; when meaning of characters was asked, the questions dealt with unnecessary trifles. A hundred candidates might take examination but not even ten would pass it.

During the Zhengshi period (240-249), the Emperor instituted a discussion on the matter of the Circular Mound (huanqiu), to which scholars far and wide were invited. At that time, officials with the title of Gentlemen Cadets (lang) and the subordinate officials called Minister over the Masses (situ) amounted to more than twenty thousand. They were indeed scattered throughout the land, but still more than ten thousand of them were in the capital itself; yet those who responded to the Imperial invitation and participated in the discussion were only a few.

Furthermore, at that time the court included more than four hundred officials invested with the titles corresponding to the ancient gong and qing and with lower titles, but those who could hold writing brushes and write a composition were less than ten: the remainder mostly made a business of feeding their stomachs and then retiring.

Alas! To such a degree had scholarship fallen. Therefore I Yu Huan, author of the Weilue, venture to allot honor and respect to these few gentlemen [i.e. the Seven Confucian scholars whom he calls Confucian Masters and whose biographies he was writing, namely Dong Yu, Jia Hong (賈洪), Handan Shun (邯鄲 [insert shun]), Xue Xia (薛夏), Wei Xi (隗禧), Su Lin (蘇林) and Yue Xiang (樂詳)], for they were men who persisted in their effort even when the times were in disorder.”

4. Mostly from SGZ

4.2 Rewritten from the Wu li, “From this time on envoys went back and forth as a matter of course.”

5. From SGZ, biography of Lu Xun, which begins, “Soon Liu Bei died of illness. His son Shan succeeded to the throne. Zhuge Liang, who governed the state, concluded an alliance with Sun Quan. Sun Quan used to let...”

6. From SGZ, biography of Deng Zhi.

6.3 This reference occurs variously in different Chinese sources such as the Mengzi and Li Ju. Roughly “In heaven there are not two suns; in a country there are not two kings.”

7. From the SGZ, Chronicle of Wendi.

8. From SGZ, Biography of Xin Pi

8.4. Ziyang is the zi of Gongsun Shu. {Gongsun Shu was a “rebel” based in Sichuan who opposed, for example, Liu Xiu, the founder of Later/Eastern-Han in the civil war of that time}

8.9 Instead of this sentence, SGZ reads, “In ten years' time, the strong and able-bodied will not yet have become aged, children will be able to fight, the myriads of people will know what is right and just [the duty of attacking and annihilating Wu], generals and officers will be thinking of exerting themselves. If you should start the campaign then....”

9. From Jin Shu and SGZ.

9.1 Jin Shu, Chronicle of Xuandi reads: “In the fifth year of Huangchu, the Son of Heaven made a tour to the South for armed display on the frontiers of Wu. Xuandi stayed behind and was stationed at Xuchang.” Sima Guang rewrites this last. Sima Yi was never, of course, actually an Emperor, but was canonized as Xuandi by his descendents. The rest of this section (section 9) is from SGZ.

10. From SGZ, Biography of Xu Sheng. Xu Sheng's biography reads, “He was promoted to be andong jiangjun and enfeoffed as Lord of Wuhu. Later, Wendi of Wei harbored the intention of crossing the Jiang. Xu Sheng made the suggestion that they construct enclosures from Jianye on and supply arches, thus erecting false turrets, and float boats on the Jiang. Other generals maintained that this would be useless, but Xu Sheng ignored them and through his insistence the construction was made. When Wendi came to Guangling and saw these enclosures, he was taken aback, for they extended contiguously for several hundred li and the waters of the Jiang flowed copiously. As a result, he withdrew with his troops. The other generals then acknowledged Xu Sheng's wisdom.”

The Jin ji reads, “When Wendi of Wei was in Guangling, the people of Wu were greatly afraid. So they made false walls along the Jiang; they extended from Shitou to Jiangcheng. The frames were made of poles and they were covered with rush mats, on which decorations were added. They were constructed in a single night. The Wei people looked at them from the west bank of the Jiang and were very much afraid. In the end, they retreated.”

11. From the Wei shi chunqiu mostly.

11.3 This sentence is from a passage in Sun Quan's SGZ Biography.

12. Rewritten from Bao Xun's admonition in 225 AD.

13. From SGZ, “In the fifth year of Huangchu, the Emperor came to Sikou in Guangling. He ordered the troops of Jingzhou and Yangzhou to advance simultaneously. Holding an assembly of his numerous officials, he asked...”

14. From SGZ, Biography of Wei Zhen, which begins, “When the Emperor was making his progression to Guangling, Wei Zhen followed him in the capacity of zhonglingjun. The Zhengdong dajiangjun Cao Xiu reported....”

15. From three biographies in SGZ and partly from the Kuaiji Dian lu.

15.1 This sentence is rewritten from this passage in SGZ, Biography of Zhang Wen. “Zhang Wen, when still young, cultivated his moral self; his physical appearance was wonderful and grand.”

15.2 SGZ Biography, continuing from the passage given above, “Hearing of this, Sun Quan asked his officials, high and low, 'With whom of the present age is Zhang Wen comparable?' The Minister of Agriculture (da sinong) Liu Ji said, 'He is the peer of Quan Cong.' The taichang Gu Yong said, 'Liu Ji does not know his man very well. Zhang Wen is peerless in the present age.”

15.3 Sima Guang's own sentence. The biography of Zhang Wen has, “The Shu valued his talents greatly.”

15.4 Rewritten from the following passage in the SGZ, Biography of Zhang Wen, “Sun Quan harbored a secret grudge against Zhang Wen, first, because he had praised the government of Shu, and second, from resentment of his great fame, which might dazzle and delude the multitude to the point that he would not serve him. So he sought an opportunity to injure him. It happened that the affair of Ji Yan rose and on this occasion he took measures against him. Ji Yan zi Zixiu (子休), was also like Zhang Wen a man of Wujun. Zhang Wen had picked him out and made him a xuancaolang, and he was finally promoted to shangshu.”

15.5 Hu Sanxing writes that the three shu referred to were the All-Purposes Secretariat (wuguanshu), Secretariat of the Left (zuoshu) and Secretariat of the Right (youshu).

15.6 SGZ, Lu Xun's biography reads, “Lu Xun, zi Boyan, was a man of Wu in Wujun.” The same source states, “Formerly when Ji Yan spoke in favor of barracks in which to station degraded officials, as mentioned in Section 15 part [b], Lu Xun admonished and warned him, believing he was sure to get into serious trouble.” Lu Mao's admonition is given in the present paragraph ©; for that of Zhu Ju see paragraph (d).

15.7 SGZ Biography of Lu Mao reads: “Lu Mao, zi Zizhang (子璋), was a younger brother of Lu Xun, the Prime Minister (chengxiang).” The same source reads, “At this time the shangshu Ji Yan was criticizing other people in all earnestness and judging the officials of the three shu. He gave prominence to other people's stupidity to display their faults. Lu Mao sent him a letter.”

15.8 The Lunyu (Analects of Confucius) states, “He, the superior man, praises the good, and pities the incompetent.”

15.9 Hu Sanxing writes that Xu Shao and his senior cousin Xu Jing, who were from Runan, would make criticisms of people and would change their gradation every month. SGZ biography of Xu Jing reads, “Xu Jin, zi Wenxiu, was a man of Pingyu in Runan. While young, he and his junior cousin Xu Shao were both famous. They were both noted for their criticism of other people's qualities, in which they did not mix their private feelings.” Hu Sanxing derives his information from the Hou Han Shu, Biography of Xu Shao.

15.10 This is from SGZ, Wu. The passage in SGZ continues, “Ji Yan was not able to act in this way, and he ended in fall.” From the Analects (Lunyu) of Confucius, “He should overflow in love to all, and cultivate the friendship for the good.” For Guo Tai, see his biography in the Hou Han shu.

15.11 Biography of Zhu Ju reads, “Zhu Ju, zi Zifan, was a man of Wu in Wujun. He had an imposing appearance and great muscular strength; he was good at disputation. IN the beginning of the Huangwu period, he was summoned to court and appointed wuguan langzhong, then shiyushi. At this time, the xuancao shangshu Ji Yan, who hated avaricious and corrupted officials, intended to do away with them. Zhu Ju considered that....”

The title xuancao shangshu seems to be more usual than Sima Guang's xuanbu shangshu in paragraph A.

15.12 SGZ, Wu continues, “Ji Yan did not listen to him. In the end he met his fall.”

15.13 SGZ, Wu, continuing from the paragraph given in passage A reads, “Meanwhile sounds of murmur and resentment accumulated, and the slander was current that he had been usurping power.”

15.15 SGZ continues, “He exchanged correspondence with them several times, and they inquired after each other back and forth. When they were punished, Sun Quan imprisoned him.”

16. From SGZ Chronicle of Wendi.

17. From SGZ, Chronicle of Wendi.

18. Paragraph (a) is from SGZ, Description of the Xianbei. Paragraph (b) is from the SGZ, Biography of Kebening.

18.1 This sentence condenses the following passage in SGZ, Wei, “After the Xianbei Budugen was set up as ruler, the tribe became slightly weak. Fuluohan, second of his elder brothers, had separately had several ten-thousands of men under him, thus becoming a daren. During the Jian'an period (196-220 AD) when Taizu (i.e. Cao Cao) conquered Yuzhou, Budugen and Kebineng, etc. through the intermediary of Yan Rou, the [hu-]Wuwan xiaoyu, offered tribute to the Han Court.

Later, Nengchendi, chief of the Wuwan tribe in Daijun, revolted and sought to offer allegiance to Fuluohan. Fuluohan led more than ten thousand mounted men to accept him; he finally came to Sangjian. Nengchendi and his men held that the tribe of Fuluohan was lax in the enforcement of laws and that there would not be much use in making a covenant with it, so they sent also for Kebineng.

Kebineng then led more than ten thousand mounted men and came to make the covenant. During this very meeting, Kebineng killed Fuluohan. Xieguini, Fuluohan's son, and his tribesmen all went over to Kebineng. Having killed Xieguini's father, Kebineng nevertheless treated him very well.”

18.2 After this sentence, SGZ continues, “When Wendi ascended the throne, Tian Yu was appointed [hu-]Wuwan jiaoyu, with the military tally; he was also appointed hu-Xianbei jiaoyu. In this capacity he was stationed at Changping. Budugen sent an envoy to offer horses as tribute; the Emperor invested him as a King.”


18.6 SGZ, Wei, continues, “Budugen then sent a man to Xieguini to get him to come over to him, saying, 'Your father was killed by Kebineng, and you do not think of avenging yourself on the enemy; instead, you adhere to one to whom your murmur is due. Although he treats you well now, his ultimate purpose is to kill you. It would be best for you to return to me; for you and I are relations of the blood, the most intimate connection. How can I be compared with your enemy!”

So Xieguini led his own tribesmen and fled back to Budugen. Kebineng pursued him, but did not catch him. In the fifth year of Huangchu, Budugen came to court and offered tribute. The Emperor rewarded him liberally. From then on, Budugen protected the frontiers of China loyally and did not cause trouble by invasions.”

18.13 This is Sima Guang's own sentence.

[Jordan]

Sixth Year of Huang-ch'u (225 AD)
Shu: Third Year of Chien-hsing
Wu: Fourth Year of Huang-wu

1. Spring, second month (Feb. 25 - Mar. 26). By imperial edict, Chen Qun was appointed General-in-Chief who Guards the Army (zhenjun da jiangjun), to accompany the Emperor in his expedition, superintending the various armies and taking charge of the mobile Imperial Secretariat (shang-shu); Sima Yi was appointed General-in-Chief who Comforts the Army (fu-jun da jiang-jun), to stay behind at Xu-chang and superintend state papers of the [shang-shu-]tai left behind there.

2. Third month (Mar. 27 - Apr. 25). The Emperor went to Zhao-ling to open the Canal of the Campaign against the Wu Barbarians.

3. On the day Apr. 23, he returned to his palace in Xu-chang.

4. Liang Xi, the cishi of Bing-zhou, made a campaign against the Xianbei Ke Bineng, and heavily defeated him.

5. Zhuge Liang of Han led his troops in a campaign against Yong Kai. [1] Ma Su, the canjun, accompanied him for several tens of li to see him off.

Zhuge Liang said, "Although I have been taking counsels from you for years, you may now still give me some excellent advice."

Ma Su said, "Relying on steep terrain and remoteness, the South has never long acknowledged our sovereignty. Although you may conquer it today, tomorrow it will rebel again. Now, if Your Excellency starts a northern campaign with the entire force of the land in order to engage the rebels, then they [the people of the southern region] will know that our own territory is weakly defended, and their rebellion will occur very soon. As for annihilating them entirely in order to avoid future trouble, first of all, that would not be in accordance with the heart of a benevolent man; and secondly, it could not be done in a hurry. Now, the Way of War is this: attacking the heart is the best, attacking the walls is the worst; battle launched at the heart is the best, battle launched at soldiers is the worst. I would wish that Your Excellency subdue their minds only."

Zhuge Liang accepted his advice. [4]

Ma Su was Ma Liang's younger brother. [5]
 
6. [Intercalary third month.] On the day June 29, the Emperor with his marine troops again launched the campaign against Wu. [1] The officials discussed the matter extensively; the censor Bao Xun admonished him, saying, "The reason why we have never achieved success, in spite of the fact that Your Majesty's army repeated the campaign, is that Wu and Shu depend on one another as lips and teeth, and rely on the stronghold given them by mountains and waters, so that they are difficult to conquer. Last year when the Emperor's boat was shaken and drifted to the southern bank of the Jiang, the august person of the Emperor was endangered and his officials were in despair; at that time the foundation of the dynasty was almost on the verge of destruction. This was a warning for a hundred generations to come. Now you are again about to belabor the troops and attack far-away, expending a thousand units of money daily [4] and draining Central China to emptiness. Now the treacherous rebels are showing disrespect to Your Majesty [5], I presume to think differently and disapprove."

The Emperor was angry and demoted Bao Xun to be zhishu zhifa. Bao Xun was Bao Xin's son. [7]

7. Summer, fifth month. On the day July 25, the Emperor went to Qiao.

8. In Wu, Sun Shao of Bo-hai, the Prime Minister (chengxiang), died.

9. Some time before this, Wu had to appoint a Prime Minister (cheng-xiang). The consensus was in favor of Zhang Zhao. The King of Wu said, "The affairs now requiring attention are many. One whose duty is great bears a great responsibility. It is not doing any one a favor to appoint him chengxiang."

After the death of Sun Shao, the officials again recommended Zhang Zhao. The King of Wu said, "It is not that I begrudge it to Zibu! To be charged with the duty of a chengxiang is an excessive task. And this gentleman is too uncompromising by nature. If his words are not followed, there will be complaints and reproaches from him. It would not be a favor to him to appoint him chengxiang." And he gave the appointment to Gu Yong.

10. Sixth month (July 23 - Aug. 21). The Grand Master of Ceremonies (taichang) Gu Yong was appointed to be Prime Minister (chengxiang) and to take charge of the business of the Imperial Secretariat (shang-shu).

11. As for his personality, Gu Yong abstained from alcoholic beverages, and was generally taciturn. His conduct was unexceptionable. The King of Wu one exclaimed, "Master Gu may not speak; but once he does, he speaks the right thing." Even during drinking parties, when there was general merriment, the participants feared that Gu Yong might discover follies committed in intoxication; therefore they did not dare to give free rein to their desires. The King of Wu also said, "When His Excellency Gu is with us, we do not enjoy ourselves." To such an extent was he held in awe.

12. When he was first appointed shang-shu-ling and enfeoffed Lord of Yang-sui, he went back to his office after the enfeoffment, but members of his family did not know of it [i.e., the enfeoffment]. Eventually they heard of it and were taken by surprise.

13. When he became Prime Minister (chengxiang), he employed the civil officials and the generals of the army in accordance with their capacities, without being influenced by his personal likes or dislikes. He constantly inquired after the affairs of the people and the business of the government. He would always report on them secretly; if any of his suggestions were accepted, he attributed the credit to his sovereign, and if they were not accepted, he did not divulge in the matter at all. The King of Wu respected him because of this. When he discussed or criticized governmental business at court, he wore an affable expression, but the points he stuck to were correct and hence he was obstinate.

14. As for good or bad measures of army and state, and commendable or reprehensible conduct in others, he never spoke of them unless he himself was a witness.
 
15. The King often sent a zhongshulang to Gu Yong's residence to ask his opinion. When a measure suited Gu Yong's view and he thought it practicable, he would study it from different angles, probing to the bottom of it. He would also bring out food and drink. If it did not coincide with his view, Gu Yong would look solemn and keep silent, and no hospitality was given. The zhongshulang would then retire and report to the King. The King said, "When His Excellency Gu is pleased, it means that the measure is right. It is because the measure is not proper that he did not speak. I had better think on it further." To such an extent was he respected and trusted.

The various generals stationed along the Jiang each wished to gain credit and further their own careers. They profusely set fourth their strategic plans, with the intent of launching surprise attacks on Wei. The King asked Gu Yong about it.

Gu Yong said, "We are told in the Art of War, that one should be warned against petty profit. These proposals are not for the cause of the state. Your Majesty ought to stop them. Anything less than illuminating your martial prowess and injuring the enemy deserves no heed."

The King followed his advice.

16. The soldiers of Lichengjun, Cai Fang (蔡方) and others, seized the jun and revolted, killing it's prefect Xu Zhi (徐質). [1] They elected Tang Zi, a man of Lichengjun to be ruler. [2] The Emperor ordered the Colonel of the Garrison Cavalry (tunji jiaoyu) Ren Fu (任福) and others to attack and quell them. [3] Tang Zi fled by the sea route to Wu; the Wu made him a general.

17. Autumn, seventh month (Aug. 22 - Sept. 19). Cao Jian (曹鑒), a son of the Emperor, was named Prince of Dong Wu-yang.

18. In Han, Zhuge Liang reached Nan-zhong, winning victories everywhere. [1] Zhuge Liang entered Nan-zhong from Yuehui and put Yong Kai and Gao Ding to death. He had the Inspector of Laixiang, Li Huai of Yizhou, come in from Yi-zhou, and Ma Zhong of Ba-xi, the menxia du, come in from Cangke. They conquered the various xian and finally joined Zhuge Liang. [2] Meng Huo collected the remaining followers of Yong Kai and opposed Zhuge Liang.

19. Meng Huo was respected by both the barbarians and the Chinese; Zhuge Liang determined to take him alive. Having caught him, he made him inspect his camps. He asked, "What do you think of this army?"

Meng Huo said, "Formerly I did not know the actual strength of your army, hence I was defeated. Now that you have graciously permitted me to inspect the camps, which are only like this, I am certain to defeat you easily."

Zhuge Liang, laughing, released him. Seven times he captured him, and seven times he released him; still would Zhuge Liang let Meng Huo go. But at last Meng Huo stayed and would not go, saying, "Your Excellency has heavenly majesty. We southerners will not rebel anymore."

Zhuge Liang at length reach Tianchi.
 
20. The four chun, Yi-zhou, Yong-chang, Cangke, and Yuehui, were all pacified. [1] Zhuge Liang employed natives of these places as local officials.

Some one advised Zhuge Liang against this measure. Zhuge Liang said, "If we leave behind outsiders, we must also leave soldiers with them, and the soldiers back there will not have any provisions. This is the first difficulty. Then, the barbarians have lately suffered injury and destruction, their fathers and elder brothers being killed. Leaving behind outsiders and no soldiers would be certain to bring calamity. This is the second difficulty. Lastly, the barbarians have frequently committed the crime of deposing and killing governors and they are aware how serious their misdeeds are. If we leave behind outsiders, they will never be at ease. This is the third difficulty. Now I intend to leave no soldiers behind nor transport provisions, and yet to bring about the same government and to make both the barbarians and the Chinese live more or less peacefully with each other. Hence my measure."

21. So Zhuge Liang appointed all of the worthy and competent among them, such as Meng Huo, to be officials. He took their gold, silver, red and black lacquer, plowing oxen and war horses, thus making good provision for both army and State. From that time the barbarians did not rebel again during the lifetime of Zhuge Liang.

22. Eighth month (Sept. 20 - Oct. 19). The Emperor finally sailed with his marine troops from Qiao on the Ge river and reached the Huai. Then he went by land to Xu(-zhou).

23. Jiang Ji, the Imperial Secretary (shang-shu), memorialized the throne that the water route would be difficult to negotiate, but the Emperor did not follow his advice.

24. Winter, tenth month (Nov. 18 - Dec. 17). The Emperor went to the former residence-city of Guangling; in view of the Jiang, he made a display of arms. Armed soldiers totaled a hundred and many ten-thousands, banners and flags stretched for several hundred li.

25. He was determined to cross the Jiang. The Wu forces were imposing and their preparation solid. At the time it was extremely cold and the waters partially frozen, so that boats could not enter the Jiang. Looking at the surging waves, the Emperor sighed, "Alas, it is indeed Heaven that separates south from north." In the end he withdrew.

Sun Shao then sent his general Gao Shou (高壽) and others, with five hundred volunteers who risked death to take a short cut and surprise the Emperor during the night. The Emperor was taken completely unawares. Having captured the Emperor's secondary carriages, and some carriage-covers made of plumes, Gao Shou and his men returned.

26. There were in this campaign thousands of war boats, all obstructed and unable to move. Some one urged that the soldiers be left behind to settle in agricultural colonies. Jiang Ji maintained that with the lake close by to the east, and with the Huai on the north, when the water rose the rebels [i.e., the Wu] could easily raid, so that agricultural colonies were not advisable. The Emperor took his advice and then moved immediately, returning to the lake Jinghu.

When the water fell slightly, the Emperor entrusted all the ships to Jiang Ji. The ships extended several hundred li. Jiang Ji dug four or five canals, bringing the ships together by punting them. He had previously built dikes which diverted the lake water to the rear of the ships. When the obstruction make by the dikes was suddenly broken open, the ships floated into the Huai, and thus they were able to return. [3]

27. Eleventh month (Dec. 18, 225 - Jan. 15, 226). Cao Jian, the Prince of Dong Wu-yang, died.

28. Twelfth month (Jan. 16 - Feb. 14, 226). In Wu, Peng Qi (彭綺), a bandit of Poyang proclaiming himself a General (jiangjun), attacked and seized jun and xian. His followers numbered several tens of thousands.

==============================================

Chapter Six
Sixth Year of Huangchu (225 AD)
Shu: Third Year of Jianxing
Wu: Fourth Year of Huangwu

1. The edict is given in the Weilue, which mentions, “The Emperor sent an envoy to tour the region east of Xuchang, including the whole of Peijun and inquire after the suffering of the people; those in dire poverty were given relief in the form of state loans.”

The edict reads, “Formerly Xuanyuan (i.e. the Yellow Emperor Huangdi) conferred investitures for the four quarters and King Wu of Zhou claimed 'I have of ministers capable of government ten men.'

This shows that the former sages, when they embodied themselves in the state and ruled over the people, thus brilliantly accomplishing the heaven-ordained work, held it important to have numerous worthy officials about them.

Now there are, at court, the gong and qing who stabilize the capital; in the provinces, mu and bo who oversee the four quarters. But when the marshal of the land goes out on a campaign, there ought to be a house; further, where the army supplies are, there should be a weighty minister serving as guardian. Only then can the Emperor tour the Empire without any worry internally or externally.

Now, I am about to start a campaign against the rebels and I intend to continue it for years. I appoint Chen Qun, the shangshuling, and Lord of Yingxiang, to be zhenjun da jiangjun and Sima Yi, the shangshu puyi and Lord of Xixiang, to be fujun da jiangjun. When I, with the Jiang in front of me, issue directions to the various generals, the fujun da jiangjun is to stay at Xuchang and superintend all the armed forces in the rear and take charge of the state papers of the shangshutai left behind.

The zhenjun dajiangjun who will accompany the Emperor is to superintend the various armies and also take charge of the mobile shangshu. Both shall be given the Military Tallies and a band of drummers and trumpeters, as well as six hundred mounted soldiers of the palace guards.

I intend to build a palace at a few li distant from the Jiang and to move freely within this distance. If I find a chance to strike at the rebels, I shall release my crack troops to attack them. If not, I shall give the Six Armies relaxation and engage them in hunting, and with the game taken I shall stand a treat to the troops.”

3. SGZ, Chronicle of Wendi.

4. ibid. SGZ Biography of Liang Xi as well as SGZ Biography of Kebineng do not mention this campaign.

5. Except for the first sentence, this section is from the Xiangyang ji

5.1 This is Sima Guang's own sentence. Yong Kai's rebellion is narrated in 223 AD.

SGZ Biography of Zhuge Liang reads, “In the third year of Jianxing, spring, third month, Zhuge Liang led troops in a southern campaign. In the autumn of the same year, he completely quelled the rebels. Military provisions were collected from the conquered regions, so that the State became rich and prosperous. He then trained the army and waited for the time to start a great Northern campaign.”

5.4 The Xiangyang ji reads “suggestions” instead of “words” and continues, “So he eventually pardoned Meng Huo. Thus did he subdue the southern quarter. Therefore, as long as Zhuge Liang lived, the southern quarter dared not rebel again.”

5.5 SGZ, biography of Ma Su appended to that of Ma Liang reads, “Ma Liang's younger brother, Ma Su, zi Yuchang, accompanied the First Sovereign of Shu in the capacity of congshi of Jingzhou. He was appointed ling (Magistrate) of Mianzhu and of Chengdu, and taishou (prefect) of Yuehui.”

6. Except the first and last sentence, the entire section is from SGZ, Biography of Bao Xun, which begins, “IN the fourth year of Huangchu, the shangshuling Chen Quan and the shangshu puyi Sima Xuanwang both recommended Bao Xun to be gongcheng. 'Gongcheng' was nothing less than the yushi zhongcheng (Head of the Censorate). The Emperor was not pleased, but he had no choice but to appoint him. All the officials were fearful and there was none but became disciplined. In the autumn of the sixth year, the Emperor wished to launch a campaign against Wu. The officials discussed the matter extensively. Bao Xun admonished him to his face saying...”

6.1 SGZ, Chronicle of Wendi, “On the day xinwei, the Emperor mobilized his marine troops and launched his eastern campaign.” Jin Shu, Chronicle of Xuandi, “In the sixth year of Huangchu, the Son of Heaven again heavily mobilized marine troops and launched the campaign against Wu.” Her Sima Guang is not very critical in his use of SGZ, for the day xinwei was not in the third month but was the twenty-fourth day of intercalary third month. Chen Shou, the author of SGZ, should have added certain characters, as he does elsewhere.

The context indicates that Sima Guang actually understood Bao Xun to have admonished the Emperor soon after the day xinwei of the intercalary third month. But, as his biography states, the admonition was made in the autumn, probably in the eight month.

6.4 From the Sunzi. As the commentator Du Mu writes, the number 'thousand' is not to be taken literally but as a large number.

6.5 For the reference of an expression used here, Hu Sanxing quotes the first passage of the Guo Yu, “King Mu was intending to make a campaign against the Chuan Rong. Mu-fu, Duke of Ji, disapproved and reproved him, saying, 'The former kings made their virtue brilliant and did not display arms. When arms are put aside and used in right seasons, there will be majesty; if they are displayed, they become profane, and if profane, they do not provoke fear.'” But this passage does not seem to fit our context, which ought to be understood as translated.

6.7 This is Sima Guang's own sentence. SGZ reads, “Bao Xun's father Bao Xin was a jiduyu during the time of the Emperor Lingdi.”

7. From SGZ Chronicle of Wendi

8. From SGZ Biography of Sun Quan. Sun Shao's provenience and style name are from the Wu lu.

9. From SGZ, Biography of Zhang Zhao.

10. The whole sentence except the last four characters is from SGZ, Biography of Sun Quan. SGZ Biography of Gu Yong reads, “In this year, fourth of Huangwu, he was transferred to be taichang and his rank was advanced to that of Lord of Liling; he replaced Sun Shao as chengxiang and was appointed to be in charge of the business of the shangshu.”

11. From SGZ, Biography of Gu Yong.

12. From SGZ, Biography of Gu Yong, which begins, “After Sun Quan became King of Wu, Gu Yong received many promotions, at length being appointed dali fengchang and then shangshu ling, and was enfeoffed as Lord of Yangsui.”

After the passage given in the present section, SGZ continues, “In the Fourth Year of Huangwu, he brought his mother to Wu. When she came, Sun Quan visited her to pay his respects, bowing to her in his own person in the courtyard; all the high officials of the court were also gathered there. Later, the Crown Prince also went to pay his respects.” This is to show how Sun Quan could win the heart of his subjects.

13. From SGZ, Biography of Gu Yong. Sima Guang has taken the passages from Gu Yong's biography in a confused sequence.

14. From the Jiangbiao zhuan.

15. From the Jiangbiao zhuan.

16. From SGZ as follows.

16.1 From SGZ, Chronicle of Wendi.

16.2 Rewritten from SGZ, Biography of Zhuge Dan.

16.3 From SGZ, which, continuing the sentence referred to in Note 16.1, reads, “The Emperor sent the Colonel of Footsoldiers (bubing jiaoyu) Duan Zhao (段昭) in unison with the cishi (Governor) of Qingzhou.” And thereafter follows this passage, “Those who had been coerced to join the rebellion, and those who had fled, were all pardoned.”

17. From SGZ, Chronicle of Wendi.

18. From the Huayang Guozhi, barring the first sentence.

18.1 From the Hanjin Chunqiu.

18.2 Rewritten from the Huayang Guozhi: “In the spring of the third year of Jianxing, Zhuge Liang made his southern campaign; from Anshang he took the water route and entered Yuehui. He sent Ma Zhong along a separate route to attack Cangke and Li Huai to proceed to Yizhou, appointing Wang Shi of Guanghan, the taishou of Jianwei, to be taishou of Yizhou.

Gao Ding-yuan [sic] constructed a large number of fortifications from Maotou, Dingzuo and Peishui, and thus made his defense. Zhuge Liang intended to wait for Gao Ding-Yuan's men to gather together and then to strike them once and for all, so he quartered his troops at Peishui. The troops of Gao Ding-Yuan killed Yong Kai and others, including gentry and common people. Meng Huo succeeded Yong Kai as ruler. Zhuge Liang put Gao Ding-Yuan to death, and then Ma Zhong conquered Cangke; Li Huai was defeated in Nanzhong.”

SGZ, biography of Li Huai states, “Li Huai, zi Deang (德昂), was a native of Yuyuan in Jianning. (Jianning is identical with “Yizhou” as used in the text). When the chengxiang Zhuge Liang on his southern campaign first issued from Yuehui, Li Huai marched towards Jianning. The people of the various xian united forces and besieged Li Huai's army at Kunming.

At this time, Li Huai's troops were few, the enemy being double in number. Furthermore he had not heard from Zhuge Liang. Therefore he deceived the southern people by saying, 'The governmental army, lacking provisions, is about to retreat. I have been out of my native district (i.e. Jianning) for a long time; now I have returned and cannot go back to the North. My intention was to return home and plan with you; it is from my sincerest heart that I speak this.'

The southerners believed him and relaxed their siege. Thereupon Li Huai issued forth and struck them fiercely; he pursued them south to the river Panjiang and eastwards to Cangke, coming into contact with Zhuge Liang.”

SGZ, Biography of Ma Zhong states, “Ma Zhong, zi Dexin, was a native of Langzhong in Baxi. In the first year of Jianxing, when the chengxiang (Zhuge Liang) set up his own tribunal (kaifu), he appointed Ma Zhong to be menxiadu. In the third year, when Zhuge Liang entered the southern region, he appointed Ma Zhong to be taishou of Cangke.”

As the account in Huayang guozhi states, it was not Zhuge Liang who put Yong Kai to death; Sima Guang is not justified in giving him the credit. SGZ does likewise in its biography of Lu Kai, “When Zhuge Liang, the chengxiang, made his southern campaign to punish Yong Kai, it was while he was still on the march that Yong Kai was killed by the troops of Gao Ding.”

{I have more information on this particular discrepency in a book called Three Kingdoms and Chinese culture. If I ever finish this write-up, I'll add in the relevant sections to give a little more detail about how Sima Guang embellished Zhuge Liang's Southern Campaign}

20. From the Hanjin Chunqiu, continuing from the passage given in Section 19.

20.1 The Han Jin Chunqiu has “Nanzhong was pacified.” Sima Guang's sentence here is also derived from SGZ, Biography of the Second Sovereign, “In the third year, spring, third month, Zhuge Liang, thee chengxiang, made his southern campaign in the four jun. The four jun were all pacified: Yizhoujun was renamed Jianningjun, Yongchangjun in Jian Ning was divided to make Yunnanjun, further Cangke in Jianning was divided to make Xinggujun. In the twelfth month (January 16-February 14, 226 AD), Zhuge Liang returned to Chengdu.

21. Except the last sentence, this present section is from the Huayang Guozhi.

22. From the SGZ, Chronicle of Wendi.

23. From SGZ, Biography of Jiang Ji. His biography also notes that he sent up the “San Zhou lun” (Essay on three Provinces) to influence the Emperor's opinion.

24. From SGZ, Chronicle of Wendi

25. From the Wulu, which begins, “In the winter of this year, Wendi of Wei came to Guangling; facing the Jiang, he made a show of arms. Of soldiers there were one hundred and many ten thousands, banners and flags filled a distance of several hundred li. He was bent on...”

26. From SGZ, Biography of Jiang Ji, continuing from what's mentioned in Section 23.

26.3 This is Sima Guang's own sentence. SGZ, Chronicle of Wendi reads: “In this year, it was exceedingly cold and the water routes frozen, so that boats could not be put into the Jiang, and the Emperor withdrew with them.”

27. From SGZ, Chronicle of Wendi. It notes that this prince was canonized as 'Cherished' Prince in the third year of Qinglong (235 AD) as well.

28. From SGZ, Biography of Sun Quan.

[Jordan]

Seventh Year of Huangchu (226 A.D.)
Shu: Fourth Year of Jianxing
Wu: Fifth Year of Huangwu

1. [Spring, first month (Feb. 15 - Mar. 15). The Emperor was about to come to Xu-chang when the south gate of Xu-chang collapsed from some unexplained cause. The Emperor was displeased at this and did not enter the city.]

2. Spring, first month. On the day Feb. 24 the Emperor returned to Luo-yang. He said to Jiang Ji, "One cannot help but learn from experience. Before, I thought I would have to take half the ships and burn them in Lake Shan-yang. Here you had a later start than I and have brought them all, reaching Qiao at practically the same time as I. And whenever you set things forth you virtually enter into my own thought. From now on, in my plans for campaigns against the rebels, give me your best thought and discussion."

3. In Han, because the Prime Minister (chengxiang) Zhuge Liang intended to lead an army to Han-zhong, the General of the Front (qian jiangjun) Li Yan, who was to take charge of affairs behind the front, was transferred to Jiang-zhou. The hu-jun Chen Dao was left behind at Yong-an and stationed there, but under the command of Li Yan.

4. In Wu, Lu Xun, considering the widespread scarcity of grain, memorialized the throne to command the various generals to increase the area of arable land. The King of Wu replied, "Very good. Let me and my sons also receive our own allotments of land. We shall harness eight oxen to four pairs of plows; to be sure, this will not make us equal to the ancients, but my intention is to share the toil of the multitude."

5. While the Emperor was still Crown Prince, a younger brother of his wife Lady Guo committed a crime. Bao Xun, Magistrate of the Western Section of Weijun, judged the case. The Crown Prince interceded in vain, and so bore a grudge against Bao Xun. After he ascended the throne, he was admonished by Bao Xun in unequivocal language [1], and as Emperor was all the more vexed.

6. Returning from his campaign against Wu, the Emperor encamped in the district of Chen-liu. Bao Xun was then zhishu zhifa [2], and the Prefect Sun Yong (孫邕) paid him an official visit. At the time barracks had not yet been built, only poles and walls had been set up. Sun Yong took a by-path and did not come by the proper road; Liu Yao (劉曜), the Military Justice Officer, wished to indict him for this. On the ground that the barracks were not yet built, Bao Xun checked him and did not bring up the case.

Hearing of this, the Emperor said, "Bao Xun would point his finger at a deer and call it a horse", and had him arrested and sent to the tingyu for sentencing. The tingyu rendered judgment in accordance with the law, sentencing him to five years' servitude. The Three Officials, however, disallowed this sentence and ordered him to instead pay a fine of two catties of gold.

The Emperor was furious, and said: "Bao Xun is not entitled to live, yet you people wish to acquit him. The Three Officials and their subordinates shall be arrested and committed to the Censor so that the accomplices shall share the same fate."

The taiyu Zhong Yu, the Minister over the Masses (situ) Hua Xin, the General-in-Chief who Guards the Army (zhenjun da jiang jun) Chen Qun, the Palace Attendant shizhong Xin Pi, the acting shou tingyu Gao Rou, the Imperial Secretary (shang-shu) Wei Zhen, etc., all memorialized the throne that Bao Xun's father Bao Xin had rendered meritorious services to Taizu and interceded for him. The Emperor would not yield. [10]

7. However, the acting tingyu Gao Rou persisted in disobeying the Emperor commands. Greatly annoyed, the Emperor summoned Gao Rou to the shang-shu-tai and thus while Gao Rou was away from his office sent his messenger to the ting-yu to put Bao Xun to death. After Bao Xun's death the Emperor sent Gao Rou back to his office.
 
8. Cao Hong, General of the Agile Cavalry (biaoji jiangjun) and Lord of Du-yang, was wealthy but by nature stingy. While in the Eastern Palace [i.e., as Crown Prince], the Emperor wished to borrow a hundred pieces of silk from Cao Hong, but the latter did not give him satisfaction; so he disliked him. Finally, because one of his subordinates committed an offense, he had him sent to prison and was about to put him to death. All the officials tried to rescue him, but to no avail. The Empress Dowager named Bian angrily reproved the Emperor, saying, "Without Cao Hong, at the time of difficulty in the region of Liang and Pei, there would not be this present day!" [5]

She furthermore told the Empress nee Guo, "If Cao Hong dies today, I shall demand tomorrow that the Emperor depose the Empress."

At this the Empress Guo tearfully and repeatedly interceded. So Cao Hong was saved, but he was dismissed from his office and deprived of his enfeoffment.

9. Now the Empress nee Guo did not have a son of her own, and the Emperor let her adopt his son Cao Rui, the Prince of Ping-yuan. [1] However, because Cao Rui's mother Lady Zhen had been put to death, the Emperor did not appoint him as his heir. Cao Rui nevertheless served the Empress assiduously, and she was very fond of him. [3]

10. The Emperor and Cao Rui were once on a hunting party when they spied a doe and her young. The Emperor shot and killed the doe, and commanded Cao Rui to shoot the fawn. Cao Rui, with tears in his eyes, said, [4] "Your Majesty has already killed the mother, I cannot bear to kill the son as well." The Emperor, moved to compassion, threw down his bow and arrows.

11. Summer, fifth month (June 13 - July 11). The Emperor was gravely ill, and appointed Cao Rui as Crown Prince.

12. On the day June 28 the Emperor summoned to his presence the General-in-Chief of the Central Army (zhongjun da jiangjun) Cao Zhen, the General-in-Chief who Guards the Army (zhenjun da jiangjun) Chen Qun, the General-in-Chief who Conquers the East (zhengdong da jiangjun) Cao Xiu, and the General-in-Chief who Comforts the Army (fujun da jiangjun) Sima Yi. All these received an imperial testament appointing them to serve as guardian-regents. [4]

13. On the day June 29 the Emperor passed away.

14. Chen Shou's Commentary reads: "Wen-di was endowed by nature with literary talent; to compose, he had only to apply his writing-brush. He was widely read and had a strong memory; his talents and accomplishments were equally comprehensive. Had he added to these a quality of breadth and greatness, and given encouragement through sincere fairness and openness of mind, exerting his will to preserve the Way and broaden his power and heart, he would hardly have been far removed from the worthy sovereigns of antiquity."

15. The Crown Prince ascended the imperial throne and issued general amnesty. He honored the Empress Dowager as Grand Empress Dowager and the Empress as Empress Dowager, and conferred various ranks and enfeoffments on the different officials.

16. Now while in the Eastern Palace [i.e., as Crown Prince], Ming-di [i.e., Cao Rui as Emperor] did not make friends with the court officials, nor inquire into politics, but devoted himself solely to books. After he mounted the throne the officials were all eager to know more about him. After some days he received singly in audience the Palace Attendant (shizhong) Liu Ye. They conversed the whole day, the crowd listening outside. When Liu Ye came out, they asked what he was like. Liu Ye said, "He is on par with Qin Shi-Huang-Di and Han Xiao-Wu; his talent and capacity are in no way inferior to theirs."
 
17. When the Emperor first took charge of the government, Chen Qun sent up a memorial saying, "The Shi says, 'Take your pattern from King Wen, and the myriad regions will repose confidence in you'. It also says, 'And his example acted on his wife, extended to his brethren, and was felt by all the clans and states'.

"The Way begins with those close by, and the transformation to good permeates the whole empire. Now, war gear and weapons have not been laid down since the disorders, and the people are unacquainted with the foundation of royal instruction; I am much afraid it will fall into decay. Your Majesty finds himself in the midst of the greatness of the flourishing Wei dynasty, having inherited the work of your two ancestors (i.e., Cao Cao and Cao Pi). The whole empire looks to you to bring about good government. You have only to revere virtue to spread moral transformation, and show benevolence toward the people as a whole; then all will be surpassingly fortunate for the multitudes.

"Now if officials but echo each others' opinion, right and wrong will become confused, and this will be a great calamity for the state. On the other hand, if they are not in harmony with each other, there will be enmity among them; if there is enmity among them, slander and praise will be indiscriminate. If slander and praise are indiscriminate, true and false will be confused. These are things which must be looked into thoroughly."

18. On the day guiwei the Emperor canonized posthumously his mother Lady Zhen as "Illustrious Empress, Consort of Wen-di".

19. On the day renchen the Emperor named his younger brother Cao Rui Prince of Yang-ping. [Note that the Emperor's ming was Rui.]

20. Sixth month. On the day July 20 Wen-di was buried in the mausoleum at Shou-yang.

21. The King of Wu got news of the imperial mourning in Wei. [1]

Autumn, eighth month (Sept 10 - Oct. 8). He personally led an attack on Jiang-xia-jun. Its Prefect Wen Ping stoutly defended the place; at court it was decided to send troops to reinforce him.

The Emperor said, "The reason Sun Quan, who is versed only in naval warfare, has dared to leave his ships and make a land attack is that he hoped to surprise us unprepared. At present he has been contending with Wen Ping. In general, attack requires twice as much strength as defense; he will not dare prolong it to the finish."

The court had already sent the zhishu shiyu-shi Xun Yu to encourage the frontier region. Reaching Jiang-xia, Xun Yu mobilized the troops of the xian he had passed through as well as the thousand infantry and cavalry in his suite, and had them mount the hills and set fires. The King of Wu fled.

22. On the day Sept. 23, Cao Jiong, a son of the Emperor, was named Prince of Qinghe.

23. The Wu General of the Left (zuo jiangjun) Zhuge Jin and others invaded Xiang-yang. Sima Yi attacked and repulsed them, killing Zhang Ba, a subordinate general. [3] Cao Zhen also defeated the general of a detachment at Xunang. They (i.e., Sima Yi, Cao Zhen and their subordinates) were rewarded individually in accordance with their merits.
 
24. In Wu the Mountain People of Dan-yang, Wu, and Kuai again made incursions, raiding and taking districts. The King of Wu set off the hilly districts of the three jun to form Dong'an jun [3], appointing the sui-nan jiangjun Quan Song as its Prefect. On his arrival Quan Song made clear what the rewards and punishments would be, and summoned the unruly to come and surrender. In a few years he had won over more than ten thousand persons, and the King of Wu recalled Quan Song to Niuzhu and abolished Dong'an jun

25. Winter, tenth month (Nov. 8 - Dec. 6). Cao Jiong, Prince of Qinghe, died.

26. In Wu, Lu Xun set forth his views on state affairs and advised the King of Wu to dispense goodness and punish leniently, to lighten taxation and stop levying troops. He said further, "One is not able to bring forth in full one's words of loyal advice; I petition to give you profitable information."

The King replied, "Laws are promulgated to stop misdeeds and prevent wickedness, to give warning in advance. How could there not be punishments to put the little people in awe? The laws I have promulgated have only this purpose -- in the first place to teach the people by commands, and then to punish them if they disobey, so that there will be no transgressors. Laws which you consider too harsh cannot profit me, either. But there were no alternatives presented, so I was obliged to make them. Now that I have received your opinion, it is fitting to hold consultations again, and I will try to adopt what is best. Furthermore, it is for privy officials to offer corrective admonitions; relatives, examining and supplementing these, should also give their advice. Thus will a prince be supported, a sovereign rectified, loyalty and faithfulness made manifest.

"The Shu says, 'When I am doing wrong, it is yours to correct me -- do not follow me to my face.' How can I fail to take pleasure in loyal words for my profit and assistance?

"Yet you say one does not dare to set fourth his views in full; in that case, how can there be loyal admonition?

"If there is in the advice of a minor official something worth adopting, would I reject words because of the person, and not accept them? [4] On the other hand, stupid though I am, I can see through flattery practiced to please me. As for levying troops, this is done solely because the empire is not yet settled, and the interests of the multitudes have to be taken care of. If I am to do nothing more than defend Jiang-dong, revere virtue and practice lenient rule, then the troops now under arms will be sufficient, and to have more will be very toilsome. But to defend the troops in advance, I am afraid that when they are needed they will not be available. Furthermore, you and I understand each other extraordinarily well; our interests are identical. In your memorial you say, 'I dare not follow the example of the masses and put myself at ease and peace.' This attitude is just what I should expect from you."

And he straightway commanded his officials to write down all the laws and regulations, and had the langzhong Chu Feng (褚逢) take them to Lu Xun and Zhuge Jin. If there was anything they did not find satisfactory, they were authorized to modify it.

27. Twelfth month (Jan. 6 - Feb. 3, 227). The taiyu Zhong Yu was appointed to be taiu; the General-in-Chief Who Conquers the East (zhengdong da jiangjun Cao Xiu) to be Commander-in-chief (da sima), while retaining his position as dudu (Commander) of Yang-zhou; the General-in-Chief of the Central Army (zhongjun da jiangjun) Cao Zhen to be da jiangjun; the situ Hua Xin to be taiyu; the Minister of Works (?) (sigong) Wang Lang to be Minister over the Masses (situ); the General-in-Chief Who Guards the army (zhenjun da jiangjun) Chen Qun to be sigong; and the General Who Soothes the Army (fujun da jiangjun) Sima Yi to be General-in-Chief of the Agile Cavalry (biao ji da jiangjun)

28. Hua Xin wished to yield his position to Guan Ning. The Emperor did not permit this, but summoned Guan Ning and appointed him guang lu dafu. He commanded the prefect of Qing-zhou to furnish him a carriage and attendants, and to dispatch him with due respect to court. But this time again, Guan Ning did not come.
 
29. In this year died Shi Xie, Prefect of Jiao-zhi in Wu. The King appointed Shi Hui (士徽), a son of Shi Xie, to be an-yuan jiangjun and Prefect of Jiu-zhen, and the Colonel (jiaoyu) Chen Shi (陳時) to succeed Shi Xie as Prefect of Jiao-zhi.

Because Jiao-zhi was far away, Lu Dai, the cishi of Jiao-zhou, memorialized the throne [3] to have the three jun south of the sea constitute Jiao-zhou--of which the jiangjun Dai Liang (戴良) became cishi--and the four jun east of the sea to be Guang-zhou, of which Lu Dai himself became cishi. [4] He dispatched Dai Liang and Chen Shi to proceed southwards to their posts, but meanwhile Shi Hui proclaimed himself Prefect of Jiao-zhi, and with his clan warriors stood up against Dai Liang, who then had to stay at Hepu. [5]

30. Huan Lin of Jiao-zhi was a Recording Official under Shi Xie. He preformed the kowtow before Shi Hui and admonished him to welcome Dai Liang; in anger Shi Hui had Huan Lin flogged to death. Huan Lin's elder brother Huan Zhi got the warriors of his own clan together and attacked Shi Hui, but unsuccessfully.

31. Lu Dai memorialized the throne asking for permission to launch a punitive expedition against Shi Hui. He was to lead three thousand soldiers and proceed by sea, sailing day and night.

Some one said to Lu Dai, "Shi Hui can depend on the good will his family has earned for generations from the people of Jiao-zhi; the whole province obeys him. It is not easy to trifle with him."

Lu Dai answered, "Although he harbors treacherous plans, Shi Hui does not anticipate my sudden coming. If I keep my troops concealed and move lightly, taking him by surprise, I am certain to defeat him. Should I tarry and move slowly, putting him on the alert to defend himself solidly within walled cities, then the hundred tribes of the Man barbarians in the seven jun will echo and respond to him, and not even the wisest man will then be able to cope with him."

So he marched, and passing through Hepu, advanced with Dai Liang.

32. Lu Dai appointed Shi Kuang (士匡), a son of Shi Xie's younger brother, to be his Assistant with the Status of Teacher and Friend and sent him to reason with Shi Hui. Shi Hui and his brothers all six came to surrender; Lu Dai killed them all.

33. Sun Sheng in his discussion says, "For putting the distant at ease and drawing service from the near, [1] there is nothing like sincerity. For preserving greatness and peforming achievements there is nothing like justness. Hence (Marquis) Huan of Qi, when he began to lay the foundation of his rule, made his virtue shine at the meeting of Ke; (Marquis) Wen of Jin, when he first became a hegemon, made his justness manifest at the attack on Yuan, with the result that the former was able to assemble all the princes, uniting and rectifying the whole kingdom, and to retain for his house for generations the leadership of alliance in China; and the latter's good renown lasted for generations, remaining as a model for a hundred kings.

"Lu Dai appointed Shi Kuang as his Assistant with the Status of Teacher and Friend and had him convey his guarantee of good faith. Shi Hui and his brothers bared their shoulders and in complete faith entrusted their lives to him; yet Lu Dai annihilated them in order to gain credit. From this the superior man knows that Sun Quan was not capable of far-sighted plans, and that the line of the Lu was not one that would endure."

34. Shi Hui's generals Gan (甘) Li and Huan Zhi (桓治) [etc.,] led the minor officials and the people in attacking Lu Dai. Lu Dai struck them energetically and heavily defeated them. He was raised in enfeoffment to Lord of Pan-yu. At length Guang-zhou was abolished and the region again became Jiao-zhou as formerly. Having pacified Jiao-zhou, Lu Dai moved on and attacked Jiu-zhen, killing and capturing ten thousand.

He furthermore sent his assistants to proclaim the majestic sovereignty of the King of Wu in the southern regions and extend it to the lands beyond the frontiers. The King of Fu-nan (Siam), Linyi (Annam), and Tang-ming (north of the present Cambodia) each sent an envoy to offer tribute to Wu.

=======================================

Chapter 7
Seventh Year of Huangchu (226 AD)
Shu: Fourth Year of Jianxing.
Wu: Fifth year of Huangwu

1. From SGZ, Chronicle of Wendi

2. From SGZ, Biography of Jiang Ji

3. From SGZ, Biography of Li Yan, which begins, “In the fourth year of Jianxing, he was transferred to be qian jiangjun, because Zhuge Liang intended to...”

4. From SGZ, Biography of Sun Quan.

5. This section, except for its last sentence, is rewritten from SGZ, Biography of Bao Xun, which reads, “In the 22nd year of Jian'an, 217 AD, the Crown Prince being named, Bao Xun was appointed his zhongshuzi, and later a Gentleman in Attendance of the Yellow Gates (huangmen shi lang); finally he became the duyu of the Western Section of Weijun. A younger brother of the Crown Prince's wife, Lady Guo, then an under-official of Quzhouxian, was charged with the crime of having pilfered fabrics belonging to the government; in accordance with the law, he was put to death. At that time, Taizu (i.e. Cao Cao) was in Qiao and the Crown Prince was in Ye; the latter sent several letters to intercede for the offender. Bao Xun did not dare to acquit him on his own judgment, and so he reported his case in detail to Taizu. Previously, when he had been in the service of the Eastern Palace (i.e. the Crown Prince), Bao Xun had stuck to regulation without compromise, so that the Crown Prince did not like him at all. Now, with the aggravation of this incident, he was angry at him all the more.”

5.1 Bao Xun's admonitions were directed against the building of palaces and gardens, hunting parties, and the campaign against Wu.

6. From SGZ, Biography of Bao Xun.

6.2 This sentence is Sima Guang's.

6.10 SGZ continues, “In the end, he put Bao Xun to death. Bao Xun not only cultivated his inner self, but was also able to give liberally although he was above corruption, so that on the day of his death, there was no superfluous wealth left in his house. Twenty days later Wendi himself also died. There was none who did not lament Bao Xun.”

It is because the Emperor himself died twenty days later That Sima Guang puts the unfortunate end of Bao Xun at this juncture.

7. From SGZ, Biography of Gao Rou.

8. From SGZ, Biography of Cao Hong. Two sentences, however, are from Weilue. The quotation in its entirety reads, “At the time the Emperor Wendi arrested Cao Hong, Cao Zhen happened to be with him. He interceded for him, saying, 'If you put Cao Hong to death now, Cao Hong will be certain to think that I slandered him.'

The Emperor said, 'It is I who am punishing him; what has it to do with you?'

It turned out that the Empress Dowager Bian was angered and reproved the Emperor, saying, 'Without Zilan (i.e. Cao Hong) at the time of difficulty in the region of Liang and Pei, the present day could not be.'

The Emperor had him released, but still confiscated his property. Not until the Empress Dowager again spoke on his behalf did the Emperor return it.

Now when Taizu (Cao Cao) was a sigong, he ordered each respective xian to assess the property of all officials from himself downwards. So the magistrate of Qiao assessed Cao Hong's property, and the result was that it was tantamount to that of the Emperor. Taizu said, 'How can the property of my house be equal to that of Cao Hong?' While in the Eastern Palace, Wendi wished to borrow a hundred pieces of silk from Cao Hong, but Cao Hong did not give him satisfaction. Having committed an offense, Cao Hong was convinced he would be put to death. After he was pardoned, he happily sent up a letter of thanks, saying...”

8.5 Cao Hong, zi Zilan, was a younger cousin of Taizu. It was Cao Hong who had saved Cao Cao's life in 190 AD.

9. From SGZ and Weilue.

9.1 From the Weilue, which reads, “Because the Empress Guo did not have a son of her own, Wendi commanded her to adopt the future Emperor [i.e. Cao Rui].”

9.3 This sentence is Sima Guang's own, rewritten from the Weilue, which continues from the sentence here given above: “Because his mother's life did not end properly, the future Emperor (i.e. Cao Rui) was very dissatisfied. In the end, he could not but serve the Empress Guo reverently: every morning and every evening he inquired after her health through her attendants. The Empress Guo who had not a son of her own, treated him fondly. Because the future Emperor was dissatisfied, Wendi thought of appointing as his heir the Prince of Jingzhao, a son by another concubine. So for a long time the latter was Crown Prince.”

10. From the Wei mo zhuan.

10.4 This is Sima Guang's own sentence. The Wei mo zhuan reads, “Then he shed tears. Wendi at once threw down his bow and arrows; he was deeply impressed with him because of this incident, and made up his mind to appoint him heir to the throne.”

11. From SGZ, Chronicle of Wendi

12. From SGZ, Chronicle of Wendi, which begins, “Summer, fifth month. On the day bingchen, the Emperor was gravely ill. He summoned....”

12.4 SGZ Biography of Chen Qun has, “When the Emperor was ill, Chen Qun as well as Cao Zhen and Sima Xuanwang, et al., all received the Imperial testament appointing them to serve as guardian regents.”

SGZ Biography of Cao Zhen has: “In the seventh year of Huangchu, when the Emperor was ill, Cao Zhen as well as Chen Qun and Sima Xuanwang, et al., received the imperial testament to serve as guardian regents.”

SGZ Biography of Cao Xiu omits the account of his having been appointed a guardian regent.

Jin Shu, Chronicle of Xuandi, has: “When he was severely ill, the son of Heaven received in audience Xuandi (i.e. Sima Yi) as well as Cao Zhen and Chen Qun, et al., in the southern hall of the palace of Zhonghuatian; they all received the Imperial testament appointing them to serve as guardian regents. The Son of Heaven said to the Crown Prince, 'There may be those who would alienate these Three Ducal Ministers from you, but be careful and do not doubt them.'”

One gets the impression that Sima Guang on the whole prefers to follow the Jin shu in regard to matters concerned with Sima Yi; here he certainly neglects the SGZ account, which mentions four persons as guardians. Note that the word translated as 'et al.' in the above is always ambiguous, for it can mean “and others,” “and so forth,” “and the like,” or “such as.”

13. SGZ, Chronicle of Wendi reads: “On the day dingsi, the Emperor died in the palace Jiahuatian, at the age of forty.” This shows that he lived 187-226 AD. This tallies with the statement given in SGZ, Chronicle of Wendi, that he was born in the winter of the fourth year of Zhongping in Ye.

14. From SGZ, Chronicle of Wendi, which begins, “The commentary says...”

15. From SGZ, Chronicle of Mingdi.

16. From the Shi yu (mostly) and Wei shu.

17. From SGZ, Biography of Chen Qun.

18. From SGZ, Chronicle of Mingdi. The date guiwei taken from SGZ, is an error if entered, as in both texts, under the fifth month, which in that year had been xinchou as its first day, and could not have a day named guiwei. This combination occurred in the sixth month, of which it was the thirteenth day. The date, therefore, must be either preceded by “in the sixth month,” or it must be taken as an error for some other cyclic combination.

19. From SGZ, Chronicle of Mingdi. The date renchen is the twenty-first day of the sixth month.

20. From SGZ, Chronicle of Mingdi.

21. This section is from Chronicle of Mingdi, except opening words.

21.1 This sentence is Sima Guang's own, rewritten from SGZ Biography of Sun Quan, “In autumn, seventh month (August 11-September 9), Sun Quan, hearing of the death of the Emperor Wendi of Wu, attacked Jiangxia; he laid siege to Shiyang, but returned without capturing it.”

Concerning this siege of Shiyang, SGZ biography of Wen Ping reads, “With fifty thousand men, Sun Quan in person laid siege to Shiyang. The attack was very pressing. Wen Ping put up a stout defense and made no move. Sun Quan stayed more than twenty days, then gave up the siege and left. Wen Ping pursued and defeated him.”

The Weilue, quoted as commentary to this passage, is more dramatic: “Once Sun Quan personally commanding several ten thousand men appeared suddenly. At the time there was a heavy rain, which demolished walls and stockades of the city; the people were scattered in the fields, so that the damage was not yet repaired. Hearing of the arrival of Sun Quan, Wen Ping was uncertain about which course to take. Then he thought it best to remain quiet in order to cause doubt. So he commanded the people of the city not to appear, while he himself lay in his office and did not rise. As was expected, Sun Quan became suspicious and said to his subordinates, 'The Northerners consider this man loyal, and hence entrusted him with Jiangxiajun. Now that I am here he does not make any move. This means that unless there is some secret plan, there are certainly reinforcements from outside.' In the end, he did not dare to attack and went off.”

Pei Songzhi, who quotes this account, thinks it disagrees with that in the SGZ biography, but there does not seem to be any palpable discrepency.

22. From the SGZ, Chronicle of Mingdi.

23. From ibid.

23.3 Concerning Sima Yi's exploit, the Jin Shu, Chronicle of Xuandi, reads, “When Mingdi ascended the throne, his enfeoffment was changed to that of Lord of Wuyang. When Sun Quan laid siege to Jiangxia, and sent his generals Zhuge Jin and Zhang Ba to make a simultaneous attack on Xiangyang, Xuandi (i.e. Sima Yi) directed the various troops and attacked Sun Quan, putting him to flight. He advanced and attacked, defeating Zhuge Jin and killing Zhang Ba and more than a thousand men. He was promoted to biaoji jiangjun.

24. From SGZ, Biography of Quan Cong, which begins, “He was promoted to be suinan jiangjun and he was advanced in enfeoffment to Lord of Jiantang. In the fourth year of Huangwu, he was given the Military Tally and appointed prefect of Jiujiang. In the seventh year, Sun Quan came to Huan and had Quan Cong and Lu Xun, the fuguo jiangjun, attack Cao Xiu and repulse him at Shi-ting. At this time, the Mountain People {Shan Yue?}...”

24.3 SGZ, Biography of Sun Quan, also mentions this measure, “He cut out recalcitrant districts of the three jun, ten xian in all, and formed Dong'an-jun out of them. He appointed Quan Cong as its prefect and made him pacify the Shanyue.

25. From SGZ, Chronicle of Mingdi.

26. From SGZ, Biography of Sun Quan. Most of the King's reply is omitted in ZZTJ.

26.4 The relevant Lunyu (Analects of Confucius) passage is, “The Master said, 'The superior man does not promote a man simply on account of his words, nor does he put aside good words because of the man.'”

27. From SGZ, Chronicle of Mingdi.

28. Rewritten from SGZ, Biography of Guan Ning.

29. From SGZ, Biography of Lü Tai.

29.3 Lü Tai replaced Bu Zhi as cishi of Jiaozhi in the first year of Yankang.

29.4 Hu Sanxing writes that the three jun south of the sea were Jiaozhi, Jiuzhen and Jinan. The four jun east of the sea were Cangwu, Nanhai, Yulin and Hepu.

The reorganization of these districts is also mentioned in SGZ, Biography of Sun Quan. “In this year (i.e. 226 AD), a part of Jiaozhou was cut off and named Guangzhou, but soon afterward, Jiaozhou was restored.”

29.5 SGZ, Wu, reads at this place, “But Shi Hui disobeyed. He levied troops and garrisoned them at sea ports, and thus stood up against Tai Liang and his men.” The ZZTJ sentence is derived from SGZ, Biography of Shi Xie: “Shi Xie had been in Jiaozhijun as its prefect for more than forty years; in the fifth year of Huangwu, he died at the age of ninety (he lived from 137-226 AD). Sun Quan, because Jiaozhi was situated at a great distance, renamed the region north of Hepu, Guangzhou, appointing Lü Tai to be its cishi, and the region south of Jiaozhi, Jiaozhou, appointing Dai Liang to be its cishi. He furthermore dispatched Chen Shi to succeed to Shi Xian as taishou of Jiaozhi. Lü Tai stayed at Nanhai. Dai Liang and Chen Shi proceeded forward to take their posts and reached Hepu; but Shi Hui, a son of Shi Xie, proclaimed himself...”

As for the 'clan troops,' Hu Sanxing writes that since the end of Han, when the Empire fell into disorder, the people of the South were collected together by clans and armed themselves in defense.

30. From SGZ, biography of Shi Xie.

31. From SGZ, Biography of Lü Tai.

32. This entire section is rewritten from SGZ, Biography of Shi Xie, which reads, “Shi Yi's son, the zhonglangjiang Shi Kuang, was an old friend of Lü Tai. Lü Tai appointed him his shiyu congshi. He first sent a letter to Jiaozhi, discoursing to Shi Hui about disaster and fortune; then he sent Shi Kuang to visit Shi Hui and persuade him to plead guilty, for by doing so he might indeed lose his position as the ruler of the province, but would receive a guarantee that no other disaster would befall him.

Having given this promise to Shi Kuang, Lü Tai reached the capital of Jiaozhou. Shi Hui's elder brother Shi Zhi (士紙), his younger brother Shi Gan (士幹) and Shi Song, etc., in all six men, came, with their shoulders uncovered, to welcome Lü Tai. Lü Tai gave them pardon and ordered them to put on their garments again and come to a surburb of the city.

Next morning, he set up a tent and requested Shi Hui and his brothers to enter it one after another. The guests filled all the seats. Lü Tai rose up, holding his Military Tally in his hand, read the edict and charged Shi Hui with his crimes. His attendants bound them and took them out; they were all put to death and their heads were sent to Wuchang.”

SGZ, Biography of Lü Tai, reads, “Hearing of Lü Tai's arrival, Shi Hui was, as was expected, greatly shaken and terrified; he did not know what course to take. Finally, he led out his brothers, and the six men, with their shoulders uncovered, welcomed Lü Tai. Lü Tai killed them all and sent their heads to Wuchang.”

33. From the passage under the caption “Sun Sheng says” quoted in SGZ, Biography of Shi Xie.

33.1 The relevant Shu jing passage is, “Show kindness to those who are afar off, and help those who are near at hand.”

34. From SGZ, Biography of Lü Tai, continuing from the passage given in second paragraph.

[Jordan]

Chapter 28
First Year of Taihe (227 A.D.)
Shu: Fifth Year of Jianxing
Wu: Sixth Year of Huangwu

1. Spring. In Wu, Hu Zong, the du of Jie-fan, and Zhou Fang, the taishou of Poyang, attacked and captured Peng Qi.

2. Now, Peng Qi had claimed that he was raising loyal forces to attack Wu on behalf of Wei. Many officials who discussed the matter considered that should a campaign against Wu be launched on this occasion, victory would be certain. The Emperor asked the zhongshuling Sun Zi (孫資) of Taiyuan about it. [3] Sun Zi said, "The clansmen of Peng Qiat Po-yang raised loyal arms several times in all, but their numbers were weak and their plans were shallow, so that in each case they failed and were dispersed.

"Formerly, the Emperor Wen-Huang-Di discussed the rebel [i.e., Wu] situation confidentially with me, saying, 'We killed ten thousand men at Dongpu, obtaining some thousand boats. [6] But in several days the boatmen rallied again. Jiang-ling was besieged for months, and it was with only a thousand and a few hundred men that Sun Quan defended the east gate, yet the place did not fall; this is an unequivocal evidence that their laws were obeyed regardless of high and low.' Judged from this, Peng Qi cannot become a cause of great trouble to Sun Quan."

On this occasion Peng Qi suffered defeat and death, as was expected.

3. Second month. On the day Mar. 10, the Emperor plowed in the imperial land allotment. On the day Mar. 20, the mausoleum of the "Illustrious" Empress, Consort of Emperor Wen was erected at Ye.

4. Wang Lang went to inspect the mausoleum. He discovered that many people were in penury and distress, at a time when the Emperor was occupied with repairing his palaces. He sent up a memorial admonishing him:

"Since Your Majesty ascended the throne, Your Majesty has repeatedly issued gracious edicts, at which the people of the land rejoice. Recently, under your order, I traveled north. On the way and back, I learned from the masses that there are a large number of corvees which could be either allowed exemptions or be abolished. I hope Your Majesty will redouble the attention that you do not relax all day, and plan for the control of the enemy.

"Anciently, the great Yu wished to rescue the empire from its great calamity, so first of all he lived in a low mean palace and was frugal in food and clothing; thus was he able to rule over the entire Nine Provinces and fix the Five Domains.

"Goujian wished to strengthen his borders at Yu-er and behead Fuchai at Gusu; he also was sparing not only to his own person but also toward his house, practicing frugality in his house to benefit the State; thus he was able to conquer the Five Lakes and rule over the Three Jiang, to be feared in China and become a hegemon in it.

"The Emperors Wen and Jing of Han also wished to enlarge the work of their ancestors and augment the great lineage. Therefore the former was able to forego a terrace that would have cost a hundred units of gold, and to show frugality by wearing a garment of black cloth. The latter, in his place, was able to reduce the number of officials in charge of the imperial table, not receiving any offering; and outside, to diminish the corvee and attend to agriculture and silk production. Thus the age was called one of peace and prosperity, and almost no penal sentence was necessary.

"The reason the Emperor Xiao-Wu was able to hold military sway and open up new territories, verily was that his grandfather and father had left him sufficiently provided so that he was able to accomplish great work.

"Huo Qubing was a general of mediocre ability, yet even he, since the Xiong-nu had not yet been annihilated, did not undertake to construct his residence.

"He who would show clearly that he is helping the distant, neglects immediate interests; he who would serve those without is summary about the internal. From the early days of the Han until their renaissance, it was only after arms were laid down that the Fengque (palace) stood high and the De-yang(palace) rose with it.

"Now, the front of the hall should be adequate to hold court meetings, and the rear of the Chonghua ample enough to array the palace ladies; the garden and the pond should suffice for banquets. We may first construct the Xiangwei terrace at the Changhe, amply enough to array the distant people who come to offer tribute, and repair walls and moats sufficiently to unify the out-of-the-way regions and build strongholds.

"For the remainder we shall have to wait for a year of prosperity, meanwhile devoting ourselves exclusively to diligent husbandry as our business and to military training as our duty. Then there will not be in the land persons bereft of their mates, and the population will increase; the people will prosper and the army will become strong--and the enemy will submit to us."
 
5. Third month (Apr. 4 - May 3). Zhuge Liang, Prime Minister (chengxiang) of Shu, led his various troops northward and quartered in Han-zhong. He had the Chief Clerk (changshi) Zhang Yi and the Adviser to the Army (canjun) Jiang Wan superintend the affairs of his office which were left behind. Just before leaving, he sent up a memorial:

"Your Servant Zhuge Liang observes: The late Emperor laid the foundation of our state, but had not accomplished the half when he died in the middle of his task. At present the empire is divided into three parts, of which Yizhou (i.e., Shu) is the most exhausted. This is indeed a most critical time as to security and danger, existence and annihilation. Within the capital the officials who attend Your Majesty are not remiss, and outside the capital gentlemen of loyal heart forget their own persons in serving the state; this is because they recall the extraordinary treatment accorded them by the late Emperor and would requite it to Your Majesty.

"You indeed must open your sage hearing, in order to glorify the virtue bequeathed you by the late Emperor, and encourage the spirit of the gentlemen of loyal heart. You should not demean yourself by listening to improper instruction, for thus will you obstruct the road of loyal admonition.

"It is all one whether it has to do with the palace or the chengxiang fu: there must not be any discrimination on matters of rewarding the good and punishing the wicked. As for those who commit misdeeds and transgress the laws or those who act loyally and well, all should be referred to the proper officials to decide their punishments or rewards, thus brilliantly demonstrating the just rule of Your Majesty; there should be no partiality, nor different laws for those within the palace and those outside it.

"The Palace Attendant (shizhong) and Gentlemen in Attendance (shilang) such as Guo Youzhi, Fei Yi, Dong Yun, etc., are all good and sound, their heart and thought loyal and pure; it was because of this that the late Emperor picked them out and left them to Your Majesty. I presume to hold the opinion that they should be consulted on all matters pertaining to the palace, great or small, and that only thereafter should action be taken; they are certain to supplement and complement, to bring about benefit and advantage.

"The jiangjun Xiang Chong is by nature good and upright, and is well-versed in military matters; in the past he was given his trial and the late Emperor pronounced him competent. Therefore the consensus recommended Xiang Chong to be a Controller (du). I presume to maintain that on all camp matters he should be consulted to insure peace and amity within the barracks, and appropriate use of men of different qualities.

"By befriending able ministers and avoiding mean men, the Former Han flourished; by befriending mean men and avoiding able ministers, the Later Han perished. In his day the late Emperor discussed this matter with me, and he never abstained from heaving a sigh and showing his dissatisfaction with the Emperor Huan-Di and Ling-Di.

"The Palace Attendant of the Imperial Secretariat (shizhong shangshu) Chen Zhen, the Chief Clerk (changshi) Zhang Yi, and the Adviser to the Army (canjun) Jiang Wan are all officials who are correct and upright, ready to die for the state. I hope Your Majesty will befriend them and trust them; then the flourishing of the House of Han can be looked forward to in a short time.

"Originally I was a mere commoner, tilling land with my own hands at Nan-yang; I was just preserving my life and existence in a time of troubles, not seeking name and fame among the feudal lords. The late Emperor did not consider me to be too mean for his condescension, and thrice deigned to visit me personally in my grass-thatched hut, where he consulted me on contemporary affairs. I was moved at this and in the end I offered myself to the service of the late Emperor, to be commanded by him. Later on, we encountered defeat and loss; I was entrusted with work at the time when the army was defeated and received his command in times of danger and difficulty.

"That was twenty-one years ago. Well aware of my prudence, the late Emperor, on his death-bed, entrusted me with the great work. Having received his command, day and night I have sighed and worried lest I should fail his trust and discredit the late Emperor's judgment.

"And so in the fifth month of 225 A.D. I crossed the Lu river and made a deep incursion into the land of waste and barrenness. Now the southern region is pacified; our armaments are sufficient. I now ought to encourage and lead the Three Armies and pacify China Proper in the north; thus I may exert my utmost, stupid though I am, to exterminate the wicked and unruly, bring restoration to the House of Han and recover the ancient capital. This is my duty, to requite the late Emperor and serve Your Majesty loyally.

"As for holding consultations and deliberations and offering advice loyally and thoroughly, these are the duties of Guo Youzhi, Fei Yi, and Dong Yun. I hope that Your Majesty will entrust myself with accomplishing the punishment of the rebels and the restoration of the House of Han. If my work is not accomplished, punish me for my misdeed and annouce it to the spirit of the late Emperor. I also hope you will reprove any negligence on the part of Guo Youzhi, Fei Yi, and Dong Yun and publish their faults. Further, Your Majesty ought to make your own deliberations, but consult good counsel and accept excellent words; thus you will be profoundly following the late Emperor's last will.

"I am greatly moved at having received such graciousness. Now that I am going far away, tears stream down as I face this memorial. I do not know what more to say."

He then departed, and encamped at the Yangping Pass and the Shi-ma Hill north of the Mian River.
 
6. Zhuge Liang appointed the prefect of Guanghan Yao Zhou his assistant. Yao Zhou recommended men both civil and military. Zhuge Liang praised him, saying, "There is no greater loyal service than recommending men, but in recommending men we each make much of what we are fond of. Now, Assistant Yao combines the qualities of hard and soft, and thus expedites the employment of civil and military men; he can be called a man of enlightenment. I want all my Assistants to emulate him in this to meet my wishes."

7. Hearing that Zhuge Liang was in Han-zhong, the Emperor wished to mobilize large forces and attack him, and consulted Sun Zi, the sanji changshi, about it. [1]

Sun Zi said, "Of old, Wu-Huang-Di (i.e., Cao Cao) led a campaign to Nan-zheng to take Zhang Lu. The battle of Yangping was at first precarious, and only later did good result ensue. Furthermore he personally went ahead to rescue Xiahou Yuan from danger. He used to say Nan-zheng was nothing else than the inside of a natural prison, and the Xiegu road a stony cave of five hundred li. In these words he expressed how steep the terrain was and how glad he was to have Xiahou Yuan's army extricated.

"Furthermore, Wu-Huang-Di, who was a sage in military operations, observed how the rebels of Shu perched themselves on mountains and rocks, and how the barbarians of Wu took their refuge in the Jiang and lakes; so he went around these and avoided them, not taxing the strength of his generals and troops nor giving vent to his ire of the moment. He indeed can be called one who fought only after seeing victory ahead, and retreated when aware of difficulties.

"Should we now advance our troops to Nan-zheng and attack Zhuge Liang,--first, the road is steep; second, we will not only have to use our best troops, but additional troops for supply, for garrisoning the four provinces and for defense against the Wu marine rebels besides--as I reckon it, a hundred and fifty or sixty thousand men in all. We will have to levy more troops; the empire will fall into tumult and expenditures will be enormous. This indeed is something on which Your Majesty ought to reflect.

"Now, the defender uses treble the strength of the aggressor. To order the various generals to take possession of the various key positions and defiles, we need only the troops we now have; then our prowess will be sufficient to awe the invader, strong though he be. The country will be made calm, generals will sleep like tigers, and the people will continue to live in peace. In a few years, when China proper will have become stronger day by day, the two barbarians Wu and Shu will become weak and worn-out by themselves."

Thereupon the Emperor desisted.

8. Since the Emperor Wen-Di stopped the circulation of the Wu-shu coins and had grain and silk used instead, the people increasingly took recourse to subterfuges. They vied with each other in wetting their grain to increase their profit {if I had to guess, the idea here was to make their grain seem heavier than it was}, and in making thin the silk they sold. Although such people were punished severely, the malpractice could not be stopped. Sima Zhi and others at court held a great discussion on the matter, maintaining that circulation of coins would not only enrich the state but would also reduce frequency of punishments, and that no measure was more needed than minting the Wu-shu coins again.

Summer, fourth month. On the day June 13 the Wu-shu coins were again put into circulation.

9. On the day June 22 the Ancestral Temple of the Imperial House was erected in Luo-yang for the first time.

10. Sixth month (July 2-30). Sima Yi was appointed Chief Controller (dudu) in charge of the various military affairs of Jing-zhou and Yu-zhou, and stationed at Wan with his own troops.

11. Winter, twelfth month (Dec. 16, 227 - Jan. 24, 228). Lady Mao of He-nei, the guibin, was made Empress. [1]

Now, when the Emperor was Prince of Ping-yuan, he took as his consort Lady Yu of He-nei. [2] When he ascended the throne, Lady Yu did not attain the position of Empress. The Grand Dowager Empress Bian consoled her. Lady Yu said, "The Cao are fond of making regular consorts out of women of lowly status [4]; there never has been one who was made Empress because it was her due. Yet an Empress takes charge of affairs within, while the Sovereign listens to governmental matters outside; in this manner they complement each other. One who does not begin correctly and justly will never have a happy ending. Because of this, the House of Cao will probably lose the State and lack posterity to continue the ancestral sacrifice."

In the end Lady Yu was sent back in disgrace to the palace at Ye. [5]
 
12. Formerly Taizu and Shizu had both proposed to restore corporal punishments, but the proposal was not put into practice because of war. [1]

After the Emperor Liezu ascended the throne, the taifu Zhong Yu sent up his opinion that it would be proper to follow the laws promulgated by the Emperor Xiaojing of Han, allowing those who deserved capital punishment to elect having the toes of their right feet cut off; while those who deserved branding, or cutting off of the nose, or cutting off of the toes of the left foot, or castration, might have their punishments commuted to the shaving of their heads and flogging, as in the time of the Emperor Xiaowen of Han, in which case three thousand men could be saved annually. [2] The Emperor in an edict commanded the Three Ducal Ministers, Ministers, and other lower officials to discuss the matter. [3]

The Minister over the Masses (situ) Wang Lang maintained, [4] "It has been several hundred years since corporal punishments were discontinued. Should they now be restored, I am afraid the provisions for reduction of punishments will not be manifest to the eyes of the masses of the people, whereas the ill-fame of having restored corporal punishment will soon reach the ears of our enemies. This is not the right way to induce the distant peoples to join us.

"Now we may adopt Zhong Yu's proposal for reducing capital punishments, commuting the death sentence to the punishment of shaving the head. Should such punishment be deemed too light, we may double the term of hard labor. [7] Within the country we will earn endless gratitude for having replaced death with life, and without the country there will not be the shocking ill-fame of having exchanged the shackling of feet for the cutting off of toes."

More than a hundred men participated in the discussion, and the majority agreed with Wang Lang. On the ground that Wu and Shu had not been conquered, the Emperor dropped the matter for the time being.

13. In this year, in Wu, the General Who Manifests the Military (zhaowu jiangjun) Han Dang died. [1] His son Han Zong (韓綜) indulged in debauchery and disorder, and feared that he might be punished. In the intercalary twelfth month (Jan. 25 - Feb. 22, 227 A.D.), he took his family and subordinates and fled to Wei to seek protection.

14. Meng Da had stood in favor with the Emperor Wen-Di, and had also been on excellent terms with Huan Jie and Xiahou Shang. After Wen-Di died, and when Huan Jie and Xiahou Shang were dead, Meng Da, considering himself a guest who had been entrusted with a frontier post for a long time, did not feel secure. Hearing of this, Zhuge Liang tempted him; Meng Da frequently exchanged letters with him and secretly pledged himself to return to Shu. Now, Meng Da had been at odds with Shen Yi, the Grand Administrator (taishou) of Wei-xing, and Shen Yi secretly sent up a memorial informing the throne of the matter. [6]

15. Hearing of this, Meng Da was alarmed and decided to rise in armed rebellion. Sima Yi sent a letter to put his mind at ease: "Formerly you, General, left Liu Bei and entrusted yourself to our state. And our state has given you a frontier post, thereby entrusting to you the measures of our plans against Shu. The purport of our state is as bright and pure as can penetrate the sun. The Shu, regardless of wise and stupid, all have been gnashing their teeth at you. Zhuge Liang wishes to destroy the plan, but lacks the wherewithal. Guo Mu's mission is not a trifling matter; how can he make a light issue of it and divulge it? This is, I think, easily understandable."

Meng Da vacillated and remained undecided. Sima Yi then secretly led his troops to attack him. The various generals told him that since Meng Da was in communication with the Wu and Han, it would be well to wait and observe before taking any action. Sima Yi said, "Meng Da is a man who cannot be trusted. At present he is suspicious. We ought to push him, now that he is vacillating, to a decision."

Thereupon he doubled the march and moved rapidly. On the eighth day he reached the foot of the city-wall of Xin-cheng. Wu and Han each sent generals commanding detachments, which marched respectively to Anqiao and Mu-lan-sai in Xin-cheng, to aid Meng Da. Sima Yi dispatched his various generals to different posts to resist them.

Now, Meng Da had sent a letter to Zhuge Liang, which read: "Wan is eight hundred li distant from Luo-yang and a thousand and two hundred li from here. Hearing of my rebellion, Sima Yi will have to report to the Emperor. It will take a month's time to obtain a reply from the Son of Heaven. By that time my city will have been strongly fortified and my various troops will have made sufficient preparations. We occupy well-protected positions. His Excellency Sima Yi certainly will not come in person. If other generals come, I have nothing to fear."

When the army arrived, Meng Da again reported to Zhuge Liang, "I opened rebellion only eight days ago, yet the army has reached the foot of the city-wall. That's devilishly fast!"

============================================

Chapter 8
First Year of Taihe (227 AD)
Shu: Fifth Year of Jianxing
Wu: Sixth Year of Huangwu

1. Rewritten from the following SGZ passages:

SGZ, Biography of Sun Quan, “In the sixth year of Huangwu, spring, first month, the generals captured Peng Qi.”

SGZ biography of Zhou Fang, “During the Huangwu period, Peng Qi, a warlord of Puyang, rose in rebellion, attacking and capturing cities in the district. Then Zhou Fang was appointed taishou of Puyang, and together with Hu Zong, strained every effort in attacking him. In the end they captured him and sent him to Wuchang.” Zhou Fang received the additional title zhaoyi jiaoyu.

SGZ Biography of Hu Zong, “When Liu Bei occupied Beidi, Sun Quan, because the number of soldiers actually in service was small, had Hu Zong levy troops from the various xian, thus obtaining six thousand men. Then he organized the two divisions of Jiefan: Xu Xiang (徐詳) directed the left division and Hu Zong was appointed du of the right division.”


2. From the Sunzi bie zhuan.

2.3 SGZ, Biography of Liu Fang states, “After the Wei dynasty was founded, Liu Fang and Sun Zi of Taiyuan both became bishulang. In the beginning of the Huangchu period, the office of bi shu was restyled zhongshu. Liu Fang was appointed zhongshujian and Sun Zi zhongshu ling, each with an additional title of jishizhong.

2.6 Sima Guang thought that the number of captured items given in the Sunzi bie zhuan must have been exaggerated; the ratio of soldiers killed to the number of boats they occupied could hardly be that unusual, hence his correction.

3. From SGZ, Chronicle of Mingdi.

4. From SGZ, Biography of Wang Lang.

5. From SGZ, Biography of Zhuge Liang. This famous memorial is commonly known as Qian Chu Shi biao: “First memorial on the occasion of starting a campaign.”--”first” in distinction to the “second” given in 228 AD. It is in the Wen xuan, where it begins with “Your Servant, Zhuge Liang observes.” There are a great number of translations of this memorial in different languages.

6. From SGZ, Biography of Yang Xi, commentary which reads, “Yao Zhou, zi Zixu (子緒), was also a native of Langzhong. After the First Sovereign had conquered Yizhou, he was appointed gongcao shuzuo. In the first year of Jianxing (223 AD), he became taishou of Guanghan. When he went north to quarter in Hanzhong, the chengxiang Zhuge Liang appointed him his yuan. He recommended....”


7. Except the first sentence, the entire section is from the Sunzi bie zhuan, as quoted in SGZ, biography of Liu Fang.

7.1 This is rewritten from the following passage in the sun zi bie zhuan: “Zhuge Liang went out and stayed in Nancheng. At this time, officials who discussed the matter held that they should take this opportunity to mobilize large forces and attack him. The Emperor concurred. He consulted Sun Zi about it.”

SGZ Biography of Liu Fang states, “After Mingdi ascended the throne, Liu Fang and Sun Zi enjoyed his special favor, the additional title sanji changshi being given to both.”

8. Except the last sentence, this section is from the Jin Shu, which reads, “In the second year of Huangchu (221 AD), Wendi of Wei had stopped the circulation of the wushu coins and had the people use grain and silk as media for exchange. In the time of Mingdi, the coins had been put out of circulation and grain was used for some time. The people increasingly took recourse to subterfuge: they vied with each other in wetting grain for greater profit and in producing thin silk for the market. Although such people were punished severely, the malpractice could not be stopped.

Sima Zhi and others at court all held a great discussion. It was maintained not only that putting coins into circulation would enrich the state, but also that punishments would be less frequently meted out; and that if they now minted the wushu coins again, the state would be enriched and punishments would be less frequent—a very convenient measure. Mingdi then put the wushu coins again into circulation.” Sima Guang's text is more or less abridged from this.

9. From SGZ, Chronicle of Mingdi.

10. Rewritten from the Jin Shu, Chronicle of Xuandi. “First year of Taihe, sixth month. The Son of Heaven commanded Xuandi to quarter at Wan, giving him the additional title of du in charge of the various military affairs of the two provinces of Jingzhou and Yuzhou.”

11. Aside from the first sentence, which is Sima Guang's own, this section is from SGZ, Biography of the Empress Mao.

11.1 The date “twelfth month” is not correct. SGZ Chronicle of Mingdi has, “In the eleventh month, Lady Mao was made Empress. On this occasion males throughout the Empire were promoted two degrees in rank, and among the aged but wifeless, widows, the fatherless, and the aged but sonless, those who could not support themselves were given grain. In the twelfth month, Mao Jia (毛嘉), father of the Empress, was enfeoffed as a feudal lord.”

Furthermore, the biography of the Empress does not state that Mao Jia was enfeoffed simultaneously with his daughter's becoming Empress, but soon afterwards. This is further proof that the date given by Sima Guang cannot be correct. Perhaps it is a misprint, though Chang Yu in his collation does not notice any variation.


SGZ Biography of the Empress Mao has, “The Empress Mao, canonized 'Lamented,' Consort of Mingdi, was from Henei. During the Huangchu period she was chosen and entered the palace of the Crown Prince; at that time Mingdi was Prince of Pingyuan. She stood in his favor, and appeared in the same carriage with him. When he ascended the throne, she was made guipin. In the first year of Taihe, she was appointed Empress. Her father, Mao Jia, was appointed jiduyu and her younger brother, Mao Ceng, langzhong. Now...” [continued in the next note.

11.2 SGZ Wei: “Now...while Mingdi was still a prince, he first took as his consort Lady Yu of Henei.”

11.4 The Grand Dowager Empress Bian was a prostitute, who at twenty became Cao Cao's concubine and eventually, after the death of Lady Ding, his wife. The consort of Cao Pi, the Empress Guo, was also a concubine before she was raised to be his regular consort.

11.5 SGZ Wei continues the biography, “Mao Jia was promoted to be fengche duyu, and Mao Ceng jiduyu. They received munificent favors and gifts. Soon afterward, Mao Jia was enfeoffed Lord of Beiping Xiang and was promoted to be guanglu dafu, and Mao Ceng to fuma duyu. Mao Jia was originally a runner in the employment of the Department of Public Works; suddenly he came to enjoy riches and honor. Mingdi ordered his court officials to assemble in his house for banquets and entertainments. On these occasions, Mao Jia's mian and behavior were quite doltish. When he spoke, he always referred to himself as 'Lordly Person' (houshen); the people of the time laughed at him.”

12. Rewritten from SGZ, Biography of Zhong Yu.

12.1 SGZ, Wei, has, “Formerly Taizu commanded that it be discussed whether those who deserved death might not be sentenced to castration. Zhong Yu held that the corporal punishments of antiquity had received the sanction of the sages, hence it would be right to restore them as commutations of capital punishment; but those who discussed the matter held that this would not be a way of making the people glad. The proposal was finally dropped. Once entertaining a crowd of officials, Wendi said, 'The dali wishes to restore corporal punishments. This indeed is a measure proper to sage kings. Let the Three Ducal Ministers and ministers discuss the matter well.' The debate had not reached a conclusion when, because of war, the proposal was again dropped.”

By dali, the Emperor referred to Zhong Yu. The SGZ Biography of Zhong Yu states, “After Wendi ascended the throne, Zhong Yu was reinstated as dali.”

12.2 SGZ, Wei, continuing from the passage given in note 12.1 has, “During the Taihe period, Zhong Yu sent up a memorial [This shows that the event may not have occurred in the first year of the Taihe; probably Sima Guang placed it there because he did not know just where in the period it belonged]. It read, 'Our Great Wei has received the heavenly mandate and follows in the line of Yu (i.e. Shun) and Xia. The Emperor Xiaowen's reform of laws did not conform to the ancient way. The sage virtue of the two late Emperors was due to their unlimited endowment from Heaven [this is an allusion to the Lunyu, or Analects of Confucius: “Certainly Heaven has endowed him unlimitedly”]. But the work connected with books of antiquity has a unity all-pervading [again a reference to Lunyu]. Therefore, these two issued, one after another, their illuminating edicts, purporting to restore the ancient punishments and promulgate laws for the time. But because of successive wars, the proposal was never put into practice.

May Your Majesty recall the wishes of the two forefathers; may you have pity and introduce the cutting off of toes to prohibit crimes and take compassion on those put to death undeservedly. May you let those who are well-versed in laws discuss this with the body of officials, and put these corporal punishments into practice for those who are sentenced to the capital punishment, but may be saved by having the toes of the right feet cut off. The Shu says, 'The great Emperor with an unprejudiced mind carried his inquiries low down among the people, and the solitary and widows laid before him their complaints agianst the Miao.' This means that when Yao was about to abolish the punitive system of Chi Yu and the Miao people, he first inquired among those of the lowly people who could lay before him their complaints.

At this time, criminal justice is not equitably dealt. May you inquire among the Three Ducal Ministers and the Nine Ministers and among the body of the under officials and the masses of the people. Permit those deserving the death penalty to elect having the toes of their right feet cut off, following the laws of the Emperor Xiaojing. Permit those who deserve branding, cutting off the nose, cutting off the toes of the left feet, and castration, to have their punishments commuted, as in the time of the Emperor Xiaowen, to the shaving of their heads and flogging.

Those capable of committing misdeeds are between twenty and forty or fifty years of age; even if their toes are cut off, they still can beget children. At present the number of population in the Empire is less than that of Xiaowen's time. As I calculate it, three thousand men annually can be rescued from capital punishment. By abolishing other corporal punishments, Zhang Cang put to death some ten thousand men annually [Zhang Cang was Xiaowen's Prime Minister, or chengxiang]. I wish to restore corporal punishments and give life to three thousand men annually.

Zigong asked, 'If one is able to help the people, may he be called perfectly virtuous?' [This question is in the Lunyu, with slightly different wording although more or less the same meaning]. The Master {Confucius} said, 'Why speak only of virtue in connection with him. Must he not have the qualities of a sage? Even Yao and Shun were still solicitous about this.' Further said the Master, 'Is virte a thing remote? I wish to be virtuous, and lo! Virtue is at hand.'

Should my proposal be indeed put into practice, the people will be assisted forever.'”

Zhong Yu had been appointed daifu after Mingdi succeeded to the throne.

12.3 continuing from note 12.2, the SGZ says, “After the memorial was sent up, the Emperor issued an edict: 'The daifu Zhong Yu, highly learned and supremely talented, has been attending to state affairs attentively. Furthermore, he is proficient in criminal law. This is an important affair. Let the Three Ducal Ministers, the ministers, and the body of officials discuss the matter well.”

12.4 The following memorial comes from SGZ, Wei, from Wang Lang, “Zhong Yu wishes to diminish the cases of capital punishment and increase the items punished by cutting off toes; this is truly raising the prostate upright and exchanging corpses for living men. But in my stupidity I still disagree slightly with him. Now the five punishments are recorded in the codes, where is to be found an item mentioning the reduction of the capital punishment by one degree: exemption from death is itself a reduction. This is a long-established practice; there is no necessity, in a far-fetched manner, of applying axes to the body to differentiate punishments. In past generations, humane persons could not bear the cruelty of corporal punishments, so they were discontinued. They have been in disuse now for several hundred years...”

12.7 In Wei laws, those who were sentenced to have their heads shaved had to do hard labor for five years (Hu Sanxing). In that case, the term of hard labor in Wang Lang's proposal would amount to ten years.

13. Rewritten from SGZ, Biography of Han Dang.

13.1 It is not explicit in SGZ that he died in this year. Sima Guang's statement is probably based on the fact that his son fled in this year.

14. From the Weilue.

14.6 Wei lue has, “Shen Yi, the taishou of Weixing, who was on bad terms with Meng Da, sent up a secret memorial reporting that Meng Da had been in clandestine communication with Shu, but the Emperor did not believe it.” Then it goes on to say, “Sima Xuanwang sent his cangjun Liang Ji to investigate, and also advised Meng Da to come to the Court. Surprised and alarmed, Meng Da finally revolted.”

15. From Jin Shu, Chronicle of Xuandi.

[Jordan]

Chapter 29
Second Year of Taihe (228 A.D.)
Shu: Sixth Year of Jianxing
Wu: Seventh Year of Huangwu

1. Spring, first month (Feb. 23 - Mar. 23). Sima Yi attacked Xin-cheng; he captured it in sixteen days and put Meng Da to death.

2. Shen Yi, who had been in Weixing for a long time, usurped authority and had the imperial seal carved, with which he conferred a large number of official titles. Sima Yi summoned him to his presence, arrested him and sent him to Luo-yang.

3. Now Xiahou Mao, a son of the (General Who Conquers the West) zhengxi jiangjun Xiahou Yuan (really Xiahou Dun), had been married to the Princess of Qinghe, a daughter of Cao Cao. In his early days Wen-Di had been friendly with him; having ascended the throne, he appointed him General Who Pacifies the West (anxi jiangjun) and Chief Controller (dudu) of Guan-zhong, and stationed him at Chang-an to fill the post left vacant by Xiahou Yuan. [1]

4. About to make an incursion, Zhuge Liang consulted his subordinates. Wei Yan, the Major (sima) to the Prime Minister (chengxiang), said, "I am told that Xiahou Mao is a son-in-law of the Wei Emperor; he is faint-hearted and without counsel. If I am given five thousand troops and another five thousand men to carry provisions, to march straight out of Bao-zhong eastward along the Qing-ling mountains, and then turn west from the Ziwu highway, I shall be at Chang'an in ten days at most. When he hears of my sudden arrival, Xiahou Mao is sure to leave the walled city and take to flight. In Chang-an itself there will be no one to defend it but the dujun yushi and the Grand Administator (taishou) of Jing-zhao. The provisions in the storehouse at Guang-men and those left behind by people who scatter in flight will suffice to feed us. It will take some twenty days more to unite with our forces from the east, and by taking Yegu route Your Excellency will also be able to reach the place. In this manner the region west of Xianyang will be conquered with a single stroke."

Zhuge Liang held this to be a dangerous plan, not as good as to march at ease along smooth routes so that Longyou might be taken easily, with all possible chance of success. Therefore he did not accept Wei Yan's plan.

5. Zhuge Liang loudly proclaimed that he would march along Yegu to take Mei. He had the General Who Guards the East (zhendong jiangjun) Zhao Yun [2] and the General Who Rises in Prowess (yangwu jiangjun) Deng Zhi [3] lead troops on to make a show to the enemy and to occupy Jigu. The Emperor sent Cao Zhen to be Commander-in-chief of all forces in Guanyou; he quartered at Mei. Zhuge Liang led the main forces in person and attacked Qishan; his troops were in good order, and his commands were clear and majestic.

6. Now, after the Emperor Liu Bei had died, complete quiet had reigned in Han [i.e., in Shu] for some years, so Wei had not made any preparations at all. Hearing of suddenly Zhuge Liang's exodus, both the court and the country at large were frightened and awed. [2]

7. So Tian-shui, Nan-an, An-ding all revolted and joined Zhuge Liang; Guang-zhong was shaken.

8. At this time the court officials were at a loss to think of any counsel. The Emperor said, "Zhuge Liang has been fortifying himself with mountains, but now he has come in person. His case is precisely that of one who, as the Book of War says, is induced by the enemy to advance. [2] It is certain that we shall defeat Zhuge Liang." He thereupon mobilized fifty thousand troops, infantry and cavalry, of which he appointed the you jiangjun Zhang He commander [5], to resist Zhuge Liang in the west.

9. On that day Mar. 4, the Emperor went to Chang-an.

10. Ma Su, the Grand Administrator (taishou) of Yuehui, a man of unexcelled talent and ability, was fond of discussing military strategy. Zhuge Liang appreciated him deeply. When the Shu-Han Emperor Liu Bei was about to die, he said to Zhuge Liang, "Ma Su is a man whose words exceed actuality; he should not be employed in too high a position. Mark this."

Zhuge Liang however disagreed with this, and appointed him his Adviser to the Army (canjun). Whenever he visited him, they would converse from daylight into the night.

11. When we went out with his army to Qishan, Zhuge Liang did not use a more experienced general such as Wei Yan and Wu Yi to command the vanguard, but put Ma Su in charge of the front troops. He fought with Zhang He at Jie-ting. [1] Ma Su disobeyed Zhuge Liang's orders; his action was complicated and troublesome. Leaving water he mounted a hill, and did not come down to occupy the walled city. Zhang He cut off the route of his water supply and dealt him a severe blow; his troops dispersed.

Zhuge Liang advanced but there was no position he could take. He then took more than a thousand households to Xixian and with them returned to Han-zhong.

He arrested Ma Su, sent him to prison, and put him to death. Zhuge Liang in person offered sacrifice to him and wept, and he took care of the orphaned children, treating them as graciously as ever. [7]
 
12. Jiang Wan said to Zhuge Liang, "Anciently Chu killed Dechen; the joy of Duke Wen of Jin can be understood. Now, the empire has not yet been conquered, yet you put a man of wise counsel to death. Is it not regretful?" Weeping, Zhuge Liang said, "The reason Sun Wu was able to win victory through the empire was that he was clear in the application of laws. It is thus that when Yang Gan had brought confusion to laws, Wei Jiang put his charioteer to death. Now, the 'four seas' are divided and split, and war has just begun. If we put laws in disuse, by what means shall we quell the rebels?"

13. Before Ma Su suffered defeat [1], the General of the North (bei jiangjun) Wang Ping of Ba-xi admonished him repeatedly. Ma Su was not able to accept his admonitions. When he was defeated, the rank and file completely scattered out; only the thousand men commanded by Wang Ping beat the drums and kept themselves in order. Zhang He suspected there might be an ambush here and did not press hard. Thus Wang Ping slowly collected together the scattered stragglers from the various units one after another, and then returned leading officers and troops. Zhuge Liang put Ma Su to death as well as the generals Zhang Xiu (張休) and Li Sheng (李盛), and deprived the general Huang Xi (黃襲) of his commander-ship; but he showed special honor to Wang Ping, giving him the added title of canjun and having him command five detachments as well as putting him in charge of the army headquarters. His rank and was advanced to that of General Who Punishes Bandits (tao-kou jiangjun) and he was enfeoffed as lord of a ting.

14. Zhuge Liang sent up a memorial requesting that he himself be demoted by three degrees. [1] The Sovereign of Han appointed Zhuge Liang General of the Right (you jiang jun), acting as chengxiang.

15. At this time the troops of Zhao Yun and Deng Zhi also were defeated at Jigu. Zhao Yun collected his men together and kept them in order, so that there was not much harm. Zhao Yun was also demoted and became zhenjun jiangjun.

16. Zhuge Liang asked Deng Zhi, "When the troops at Jie-ting retreated, the rank and file and generals could not be collected together, but when the troops at Jigu retreated, the rank and file and generals did not get lost from each other. How is this?" Deng Zhi said, "Zhao Yun in person defended the rear; not letting any provisions be thrown away. The rank and file and generals could not get lost from each other."

Zhao Yun had some excess silk in his military stores, and Zhuge Liang asked him to make a gift of it to his subordinate generals. Zhao Yun said, "Our troops have not won any victory; why should we grant gifts? I request that the stuffs be sent to the state storehouse at Zhi'an and be distributed in the tenth month as winter bounty."

Zhuge Liang highly commended him.

17. There were some who advised Zhuge Liang to levy more troops. Zhuge Liang said, "While at Qishan and Jigu, our forces were in each case larger than the enemy's, yet we could not defeat the enemy, but were defeated by the enemy. The fault lies not in numerical inferiority, but rests with a single person (i.e., myself). Now I wish to reduce the number of troops and generals, to be clear about punishment and think of my faults, to think out a modified plan for the future. If I am not able to do so, what good will it do to have many troops? From now on, all those whose hearts are loyal to the state need only attack my defects; then will our affairs be set in order and the enemy destroyed, and the achievement can be expected in a short time."

He then reviewed even the smallest service, and gave distinction to the heroic and loyal. He took the blame and reproved himself, proclaiming his own faults throughout the land. He drilled his troops and taught warfare in preparation for the future. Those in arms were well trained and the people forgot their defeat.

18. When Zhuge Liang issued forth to Qishan, Jiang Wei, the canjun of Tian-shui came to Zhuge Liang and surrendered. Zhuge Liang appreciated Jiang Wei's courage and wisdom, and appointed him his cangcaoyuan, putting him in charge of military affairs.
 
19. Cao Zhen, who had led an attack on the three jun, An-ding and others, pacified them all. Cao Zhen thought that Zhuge Liang, having been put to the task at Qi-shan, would be certain later to come out by way of Chen-cang, so he had the jiangjun Hao Zhao guard Chen-cang and repair it's walls.

20. Summer, fourth month. On the day June 29 the Emperor returned to Luo-yang.

21. The Emperor had appointed Xu Miao of Yanguo to be Governor of Liang-zhou. Xu encouraged agriculture and had grain stored up; he established schools and made instruction enlightened, promoted the good and dismissed the wicked. In dealing with the Qiang barbarians, he did not inquire into minor misdeeds, but when any one committed a major crime he first notified the chieftains and let them know why the criminal deserved death, and then had him put to death before the public. Thus the Qiang submitted to him because of his augustness and justice. All Liang-zhou became peaceful and orderly.

22. Fifth month (June 20 - July 19). Heavy drought.

23. The King of Wu ordered Zhou Fang, taishou of Poyang, to seek out secretly those of ancient families and renowned chieftains in the mountains of Po-yang who were known in the northern region and get them to deceive and decoy Cao Xiu, the Wei da sima and Governor of Yang-zhou.

Zhou Fang said, "I am afraid these chieftains of the people and petty followers are not worthy of our trust and of the task. If the matter should leak out, we will fail to get hold of Cao Xiu. May I send my own trusted men with a letter in seven times to decoy Cao Xiu?"

The letter said that he had been banished and was in fear for his life, and that he wanted to surrender P'o-yang to the North; and asked that Cao Xiu's troops come to his aid. [8] The King of Wu gave his permission. [9] At this time, the officials frequently visited Zhou Fang to investigate and inquire into various affairs, and then Zhou Fang betook himself to the government house of P'o-yang, where, with his hair shaved off, he pretended to seek for pardon. [10?]

24. When he heard this, Cao Xiu advanced with ten thousand infantry and cavalry towards Huan to cooperate with Zhou Fang. The Emperor further had Sima Yi advance to Jiang-ling and Jia Kui to Dongguan. [2] Thus they advanced simultaneously along three routes.

25. Autumn, eighth month (Sept. 17 - Oct. 15). The King of Wu came to Huan. He appointed Lu Xun to be commander-in-chief, lent him the Yellow Axe of Royal Power, and personally held the ceremonial whip to show him honor. He also appointed Zhu Huan and Quan Zong as Commanders of the Left and of the Right, each commanding thirty thousand men, to attack Cao Xiu. Cao Xiu discovered that he was deceived, but he relied on his troops and accordingly wished to fight the Wu.

Zhu Huan said to the King of Wu, "Cao Xiu was given his position merely because he was a member of the Wei imperial clan; he is not a general renowned for intelligence and courage. If he now fights, he is certain to be defeated; if defeated, he is certain to flee; when he flees, it will certainly be along Jia-shi and Qua-zhu.

"These two routes are both steep defiles. If we use ten thousand troops and obstruct the routes with timber, his horde can be annihilated and Cao Xiu himself captured. I request that I be allowed to lead my own men and cut off the route. If, grace to the heavenly prowess of Your Majesty, I am enabled to achieve a success at the expense of Cao Xiu, we may then take advantage of the victory and make a long drive, advance and take Shou-chun and annex the region south of the Huai thus controlling Xu-chang and Luo-yang. This is an opportunity offered once in ten thousand generations; we cannot afford to lost it."

Sun Quan asked Lu Xun about it; Lu Xun did not assent, so it was dropped.

26. The Imperial Secretary (shang-shu) Jiang Ji sent up a memorial saying, "Cao Xiu has penetrated deeply into enemy country and confronts the picked troops of Sun Quan, but on the upper course of the river Zhu Ran and others threaten Cao Xiu's rear. I do not see any profit in this." [3]

27. The General of the Front (qian jiangjun) Man Chong sent up a memorial saying, "Though clear in mind and resolute, Cao Xiu has seldom participated in battle. The route he now takes has lakes at the rear and the Jiang on the side; it is one where advance is easy and retreat is difficult. This is what is called Terrain of Fetters. If the Wu enter Wu-jiang-kou, a great precaution will be necessary." While Man Chong's memorial was still unanswered, Cao Xiu fought Lu Xun at Shi-t'ing. [3]
 
28. Lu Xun himself took the center and had Zhu Huan and Quan Zong form the left and right wings; thus along the three routes they advanced simultaneously. They thrust into Cao Xiu's ambush troops and set them to flight. They pursued the fleeing enemy, straight to Jia-shi, slaughtering and capturing more than ten thousand men, and taking as booty cattle, horses, mules, donkeys, and ten thousand carts. Cao Xiu's military provisions and weapons were almost completely lost.

29. Now Cao Xiu had petitioned that he be allowed to penetrate deeply in order to cooperate with Zhou Fang. The Emperor ordered Jia Kui to advance eastward and join forces with Cao Xiu. Jia Kui said, "The rebels are not defending Dongguan; they must have their united forces at Huan. If Cao Xiu penetrates deeply and fights the rebels, he is certain to be defeated."

Thereupon, directing the various generals under him, he advanced simultaneously by land and water. They had gone two hundred li when they caught a man of Wu, who told them Cao Xiu had been defeated in a battle and the Wu had sent troops to cut off the Jia-shi route. The various generals did not know what course of action to take. Some suggested waiting for the arrival of the rear forces.

Jia Kui said, "Cao Xiu is defeated on the exterior and his route of retreat is cut off in the interior; he cannot advance and fight, nor can he withdraw and return. His fate will be decided in a day's time. The rebels have taken this course of action thinking that our army is without rear forces. If we now advance suddenly and take them by surprise,--this will be what they call being beforehand with a man to take the heart out of him. [6] When they encounter our troops the rebels will certainly flee. If we wait for the arrival of the rear forces, the rebels will have cut off the pass. In that case, what good would larger forces be?"

He then advanced his army at double march, setting up a great number of banners and drums to deceive the enemy. When the Wu saw Jia Kui's troops, they fled in alarm; thus Cao Xiu was enabled to return. Jia Kui then occupied Jia-shi and supplied Cao Xiu with provisions, so that Cao Xiu's army was revived.

Jia Kui had previously been on bad terms with Cao Xiu. During the Huangchu period, Wen-Di wished to lend the Military Tally to Jia Kui. Cao Xiu said that Jia Kui was by nature uncompromising and had often been arrogant to other generals, and that he should not be made a du. The Emperor thereupon desisted. At the time of his defeat, Cao Xiu was rescued thanks to Jia Kui. [9]

30. Ninth month. On the day Nov. 30, the Emperor's son Mu was made Prince of Fan-yang.

31. Cao Xiu, the "Magnificant" Lord of Changping, sent up a memorial condemning himself for his failure, but on the ground that he was a member of the imperial clan, the Emperor did not inquire into it. Mortified and chagrined, Cao Xiu began to suffer from an ulcer on the back. On the day gengzi he died.

32. The Emperor appointed Man Chong to be dudu of Yang-zhou to succeed him.

33. When the Colonel Who Protects the Wuwan (hu Wu-wan jiao yu) Tian Yu attacked Yuzhujian ( 鬱築鞬), a Xianbei, Yuzhujian's father-in-law, Kebineng came to his help and with thirty thousand cavalry besieged Tian Yu at Macheng. [1] Yan Zhi, the taishou of Shanggu, a younger brother of Yan Rou, was trusted by the Xianbei; he went to win over Ke Bineng, who then raised the siege and went away.

34. Winter, eleventh month (Dec. 14, 228 - Jan. 12, 229). Wang Lang, the "Accomplishing" Lord of Lan-ling, died.
 
35. In Han, Zhuge Liang heard that Cao Xiu had been defeated, that the Wei troops were moving eastward, and that Guan-zhong was undefended. He wanted to send out troops to attack Wei, but many of the officials were dubious about this. Zhuge Liang sent up a memorial to the Sovereign of Han, saying:

"The late Emperor was profoundly convinced that Han and the rebels [i.e., Wei] cannot co-exist and that the imperial rule cannot ensure itself in a peripheral region; therefore he commissioned me to quell the rebels. The late Emperor's perspicacity measured my ability, and he certainly must have known that as for fighting the rebels, my talent is feeble and the enemy powerful. But if they are not quelled, the imperial sovereignty will also collapse; is it better to sit still and come to destruction than to fight them? Because of this he entrusted me with the task without misgivings.

"Since the day I received his commad, I have not been able to repose at ease on the mat nor to enjoy food. Concentrating on the northern expedition, I found it necessary first to go into the southern region. Therefore in the fifth month I crossed the Lu river, penetrating deep into the wasteland. In every two days I took only one day's meal. It was not that I had no care for my own comfort, but because the imperial rule cannot be made complete in this out-of-the-way capital of Shu, that I braved dangers and difficulties to execute the testament of the late Emperor. Nevertheless those discussing the matter consider this plan to be wrong.

"At present the rebels happen to be worn out in the west and in sore straits in the east. This is the time for making advance, as the Book of War would say, by taking advantage of the enemy's fatigue. I respectfully present the matter as follows.

"Gao-Di possessed insight as bright as the sun and moon, his counselling ministers were as profound as a deep pool. Yet he trod difficult ground and suffered wounds; he obtained security after having gone through danger. Now, Your Majesty in not the peer of Gao-Di, not are your counselling ministers the equals of Zhang Liang and Ch'en Ping; yet you intend to win victory through far-fetched plans and conquer the world by means of sitting still. This is one matter beyond my comprehension.

"Liu Yao and Wang Lang were masters of a province and a prefecture respectively. [13] They discoursed on peace and talked over plans, always quoting from and referring to the sages. The bellies of the masses were filled with misgivings, and their distress choked them. They did not fight that year, nor did they start a campaign in the following year. Through their indolence they let Sun Ce grow in power and eventually annex all of Jiang-dong. This is the second matter beyond my comprehension.

"As for wisdom and schemes, Cao Cao was far superior to others; as a general, he was comparable to Sun Wu and Wu Qi. Yet he was put to task at Nan-yang, was in difficulty at Wu-chao, had a precarious time at Qilian, and was hard pressed at Li-yang; he was almost put to route at Bei-shan and barely escaped with his life at Dongguan. Only after all these could he stabilize his usurpation. Now I am a man of feeble talent; yet I am to bring about stabilization by risking no dangers at all! This is the third matter beyond my comprehension.

"Cao Cao attacked Chang Ba {this is the same person as Chang Xi} five times in vain and crossed Chao-hu to no avail. He employed Li Fu, but Li Fu plotted against him; he trusted Xiahou Yuan, but Xiahou Yuan perished. The late Emperor used to call Cao Cao 'capable', yet he suffered these adversities. Now I am but a stupid man; how can I be certain to win victory? This is the fourth matter beyond my comprehension.

"It has been a full year since I came to Han-zhong. But in the meantime I have lost Zhao Yun, Yang Chun, Ma Yu, Yan Zhi, Ding Li, Bo Shou, Liu He, and Deng Tong, as well as others such as divisional commanders and brigade generals, to the number of seventy odd men; I have lost the Du qiang wuqian [17], the Zongsou and Qingjiang troops, the cavalry divisions of Sanji and Wuji, totalling more than one thousand men. These were all picked men gathered together from the four quarters during a period of many decades; they are not what a mere province can possess. Within a few decades the number will be decreased by two thirds. How shall we then plan against the enemy? This is the fifth matter beyond my comprehension.

"At present the people are in straits and the army worn out; our work cannot stand still. If our work cannot stand still, to remain inactive or to take on labor will cost the same; this being the case, there is nothing like taking a chance. But Your Majesty intends to go on holding your own in this territory amounting to a mere province. This is the sixth matter beyond my comprehension.

"Affairs of the Empire are difficult to control. Once the late Emperor lost a battle at Chu. At the time Cao Cao clapped his hands and thought the empire was already his. But the late Emperor made an alliance with Wu in the east and took Ba-shu in the west; he started a northward campaign, and Xiahou Yuan was slaughtered. This was a miscalculation on the part of Cao Cao; it showed that the cause of Han was going to be fulfilled. But Wu went against the covenant, and Guan Yu suffered catastrophe; there was the disaster of Zigui and Cao Pi proclaimed himself Emperor. That is the way with things in general, they cannot be predicted. I have only to be respectful and do my utmost until my death. When it comes to success or failure, this is not something my insight can foresee." [22]
 
36. Twelfth month (Jan. 13 - Feb. 10, 229 A.D.). Zhuge Liang led out his troops to San-guan and laid siege to Chen Cang; but Chen Cang was prepared against it, so that Zhuge Liang could not capture it.

37. Zhuge Liang had had Jin Xiang (靳詳), a man from the same county as Hao Zhao, exhort Hao Zhao from outside the wall of Chen Cang. From a turret of the wall Hao Zhao answered him, "You are well aquainted with the laws of the House of Wei, and you know very well what kind of man I am. I have received much grace from the state and my house is important. There is nothing you can say; I have only to die. Return and thank Zhuge Liang for me; he may launch his attack."

Jin Xiang reported Hao Zhao's words to Zhuge Liang. Zhuge Liang again had him exhort Hao Zhao a second time, telling him his reinforcements were not coming and he should not die all for nought. Hao Zhao said to Jin Xiang, "My mind is already made up. I know you but my arrows do not."

Jin Xiang then went away. Relying on the fact that his own troops amounted to tens of thousands and Hao Zhao's only to something more than one thousand, and calculating that Hao Zhao's reinforcements from the east would not arrive in time, Zhuge Liang moved his troops forward and attacked Hao Zhao. He erected scaling ladders and movable towers and approached the city-walls with them. Hao Zhao shot rockets at the ladders; the ladders caught fire and the men on the ladders were thus all burned to death. Hao Zhao also had millstones suspended on ropes, by which means he crushed the movable towers; the towers broke.

Zhuge Liang then made wooden frameworks of double cross-pieces, which he catapulted inside the walls, and filled up the city moat with tamped earth wishing to scale the walls directly. Hao Zhao on the other hand built a second wall within the city-wall. Zhuge Liang further made tunnels, and hoping thus to come up inside the walls; Hao Zhao however dug tunnels within the city and intercepted his tunnels. Day and night they attacked and resisted for more than twenty days. Cao Zhen sent the general Fei Yao and others to the rescue.

38. The Emperor summoned Zhang He from Fang-cheng and ordered him to attack Zhuge Liang. The Emperor himself went to the walled city of He-nan and saw him off with a feast. [4] He asked Zhang He, "Is it not possible that Zhuge Liang will have captured Chen Cang when you, General, arrive?"

Zhang He was aware that Zhuge Liang had penetrated deeply but lacked provisions; counting with his fingers, he said, "When I get there Zhuge Liang will already be gone."

Zhang He advanced day and night. Before he arrived, Zhuge Liang, his provisions exhausted, withdrew and left.

39. The general Wang Shuang pursued him; Zhuge Liang struck and slaughtered him.

40. The Emperor conferred on Hao Zhao the title of Guannei Lord.

41. a) When Gongsun Kang died, his sons Gongsun Huang and Gongsun Yuan were both young; the subordinate officials had set up his younger brother Gongsun Gong to succeed him as prefect of Liao-dong. Gongsun Gong was incompetent and weak, and was unable to administer the territory. Having now grown up, Gongsun Yuan wrested the office from Gongsun Gong by force.

b) He sent up a memorial reporting it. The shizhong Liu Ye said, "The Gongsun were employed there in Han times, since when the office has been hereditary with them. On water, they must be reached by sea; on land, there is the obstruction of mountains. Therefore they have allied themselves externally with the Hu barbarians; they are so far away that they are controlled with difficulty; and the power hereditary with them has continued for a long time. If we do not destroy them now, they are sure to cause trouble later. If we punish them only after they break allegiance and hammer our armies, then it will be difficult. There is nothing like taking advantage of this new accession to office and of their dissension and feud, forestalling them in their intentions and taking them by surprise by sending troops against them. We may thus conquer them without much trouble to the army." The Emperor did not accept this advice.

c) He appointed Gongsun Yuan to be yanglie jiangjun and Grand Administrator (taishou) of Liao-dong.

42. a) The King of Wu appointed the governer of Yang-zhou Lu Fan to be Commander-in-Chief (da sima), but before the official seal was conferred on him, he died. [1]

b) Now, Sun Ce had let Lu Fan take charge of accounting. At that time the King of Wu, who was still young, would approach him privately for funds. Lu Fan always reported to Sun Ce, not daring to allow any sum on his own authority. At that time he was disliked because of this. When the King of Wu was serving as head official of Yang-xian [4], he sometimes took funds privately; Sun Ce now and then inquired into the matter, but Zhou Gu (周谷), the local gongcao, always manipulated the account books so that there would be no reprimand. At such times the future King was pleased. Afterwards, however, when he stood at the head of things, he employed Lu Fan with great confidence because of his dutifulness and honesty; he did not employ Zhou Gu because he could take recourse of subterfuge and alter account books.

===================================

Chapter 9 Notes
Second Year of Taihe (228 AD)
Shu: Sixth Year of Jianxing
Wu: Seventh Year of Huangwu

1. From the following three sources:

(a) Chronicle of Mingdi, SGZ: “Spring, first month, Sima Xuanwang attacked Xincheng, put Meng Da to death and sent his head to the Emperor.”

(b) Weilue, “Sima Xuanwang won over Meng Da's general Li Fu and Meng Da's sister's son Deng Xian. Deng Xian and his men opened the gate to admit Sima Xuanwang's army. Meng Da had been besieged for sixteen days when he was finally defeated. His severed head was burnt at a crossroads in Luoyang.”

[c] Jin Shu, Chronicle of Xuandi, “The walled city of Shangyong is surrounded by water on three sides. Outside the city, Meng Da constructed wooden stockades for defense. The future Xuandi crossed the water, destroyed the wooden stockades, and went ahead till he reached the foot of the city walls; he attacked along eight routes for sixteen days. Meng Da's sister's son Deng Xian, and his general, Li Fu, etc., opened the city-gate and surrendered. Xuandi put Meng Da to death and sent his severed head to the capital, taking more than ten thousand prisoners of war. In martial glory he returned to Wan, where he promoted agriculture and sericulture, and abolished unnecessary expenditures. The southern region joyfully offered allegiance to him.”

2. From Jin Shu, continuing from the passage given above, “Shen Yi, who had been at Weixing for a long time, had been abusing his power in that frontier post, usurping authority and having the Imperial seal carved, with which he conferred many titles. After Meng Da had been put to death, he became uneasy in his mind. At that time, permission was given to the various prefects to bring gifts and offer congratulations to Xuandi on his recent victory, and Xuandi sent some one to Shen Yi [to hint that he should do so]. When Shen Yi arrived, he arrested him in accordance with the Imperial Mandate and sent him to the capital. He further moved the followers of Meng Da, more than seven thousand households, to Yuzhou.”

3. Xiahou Mao was not a son of Xiahou Yuan but of Xiahou Dun. Xiahou Yuan probably had been appointed zhengxi jiangjun in 216 AD. SGZ, Biography of Xiahou Yuan reads, “When Taizu returned to Ye (in 216), Xiahou Yuan was ordered to defend Hanzhong and appointed zhengxi jiangjun.”

His sons were Heng, the eldest, Ba, and Ba's four younger brothers, namely Wei, Hui He and one unnamed. At any rate, Xiahou Mao was not one of his sons. On the contrary, SGZ, Biography of Xiahou Dun, states, “Xiahou Dun's younger brother, Xiahou Lian and Xiahou Dun's son Xiahou Mao were independently enfeoffed as Lords. Now Taizu had given his daughter to Xiahou Mao as wife; she was Princes of Qinghe. Xiahou Mao was appointed in succession shizhong shangshu, anxi jiangjun and zhendong jiangjun, with the Military Tally.”

Also Wei lue under the passage just given has, “Xiahou Mao zi Zilin, was a second son of Xiahou Dun.”

These evidences show that Sima Guang was in error. He should have written, “Xiahou Mao, son of the da jiangjun Xiahou Dun.” SGZ Biography of Xiahou Dun says, “After Wendi ascended the throne, he appointed Xiahou Dun da jiangjun. A few months afterwards, he died.”


3.1 Wei lue continues, “In his early days, Wendi had been friendly with Xiahou Mao; having ascended the throne, he appointed him anxi jiangjun, with the Military Tally, to fill the post left vacant by Xiahou Yuan, and dudu of Guanzhong.” In another passage, quoted in Wei Yan's SGZ Biography, Weilue has, “Xiahou Mao was anxi jiangjun stationed at Chang'an.”

4. From Weilue, continuing from the passage given in Note 3.1.

5. From SGZ, biography of Zhuge Liang.

5.2 This title is Sima Guang's interpolation. SGZ, Biography of Zhao Yun states, “In the first year of Jianxing, he became zhonghujun and zhengnan jiangjun and was enfeoffed Lord of Yongchang. He was promoted to be zhendong jiangjun. In the fifth year, he quartered in Hanzhong in the suite of Zhuge Liang. In the following year, Zhuge Liang started the campaign, proclaiming loudly that he would follow the Baoyegu route. Cao Zhen sent various troops to engage him.”

5.3 This title is also Sima Guang's interpolation. SGZ, Biography of Deng Zhi reads, “When he went north to quarter in Hanzhong, Zhuge Liang had Deng Zhi appointed zhongjianjun and yangwu jiangjun.”

6. From Weilue.

6.2 Weilue continues, “It was particularly so in Longyou and Qishan. Therefore the three jun simultaneously joined Zhuge Liang.” The three jun are mentioned in section 7.

7. From SGZ, Shu.

8. From the Wei shu.

8.2 The Book of War here referred to must be the Sunzi, which reads, “A good fighter is one who induces the enemy to advance and not one who is induced by him.”

8.5 This sentence is Sima Guang's own. The SGZ, Biography of Zhang He has, “When Zhuge Liang's expedition threatened Qishan, Zhang He was given the additional title of Tejin and made commander of the various forces.”

9. From SGZ, Chronicle of Mingdi.

10. From SGZ, Biography of Ma Su appended to that of his elder brother Ma Liang.

11. From (a) SGZ, Biography of Zhuge Liang, (b) SGZ Biography of Ma Su appended to that of his elder brother Ma Liang, [c] Xiangyang ji and (d) SGZ, Biography of Zhang He.

11.1 SGZ, Shu, has, “In the sixth year of Jianxing, Zhuge Liang took his army out to Qishan. At this time there were experienced generals such as Wei Yan and Wu Yi. All those who discussed the situation maintained that it would be well to appoint these as commanders of the vanguard. But Zhuge Liang, against the opinion of the crowd, gave an extraordinary appointment to Ma Su to command the frontline troops. He fought with the Wei general Zhang He at Jieting, and was defeated by Zhang He, his troops dispersing. Zhuge Liang advanced but there was no position he could take, and he withdrew his army to Hanzhong. Ma Su was sent to prison, where he died. Zhuge Liang mourned for him. Ma Liang died at the age of thirty-six, Ma Su at the age of thirty nine.”

Another section of the SGZ has, “Zhuge Liang had Ma Su command the various front-line troops. He fought Zhang He at Jieting. Ma Su disobeyed Zhuge Liang's orders and acted improperly. He was severely defeated by Zhang He. Zhuge Liang took more than a thousand households in Xixian and returned with them to Hanzhong. He put Ma Su to death as an apology to the troops.”

11.7 Xiangyang ji has: “About to die, Ma Su sent a letter to Zhuge Liang, 'Your Excellency has treated me just as if I were your son, and I have regarded Your Excellency as if you were my father. I wish earnestly that you will think of the precedent of Shun's imprisoning Kun for life but promoting his son Yu [Shu jing], so that in my friendship with you until now there may be nothing amiss. In that case I die without regret.'

At this, the horde of ten thousand wept for him. Zhuge Liang in person sacrificed to him and treated his orphaned children just as was his wont in former days.”

12. From Xiangyang ji, continuing from the passage given in Note 11.7.

13. From SGZ, Biography of Wang Ping, which begins, “Wang Ping, zi Zijun, was a native of Tangqu in Baxi...He followed Duke Cao [I.e Cao Cao] in a campaign to Hanzhong, on which occasion he surrendered to the First Sovereign; he was appointed yamen jiang and bei jiangjun. In the sixth year of Jianxing, he was a subordinate in the vanguard commanded by Ma Su, the canjun. Ma Su left water and mounted a hill and his action was complicated and troublesome. Wang Ping admonished him...”

13.1 This sentence is Sima Guang's own.

14. From SGZ, Biography of Zhuge Liang.

14.1 From SGZ: “He sent up a memorial saying, 'Being a man of weak talent, I have presumed to occupy an important position and in person wielded the commander-in-chief's banner and axe in order to encourage the Three Armies.

But I failed to make laws clearly understood; at the critical moment, fear took possession. In fact, things have gone so far as the regrettable event of disobedience to my command at Jieting and the remissness of my lack of caution at Jigu. These faults are all attributable to me for my lack of intelligence in the employment of men and my lack of experience in affairs. In the Chunqiu, commanders are reproved. I deserve such a reproof. I myself request that I be demoted by three degrees as a reproof for my faults.'

Thereupon the Sovereign appointed Zhuge Liang yu jiangjun, but acting as chengxiang, his command remained as before.”

15. From SGZ, Biography of Zhao Yun.

16. From the Zhao Yun bie zhuan, as quoted in SGZ.

17. From the Han Jin chunqiu, as quoted in SGZ.

18. Rewritten from the SGZ, Biography of Jiang Wei. As Jiang Wei was destined to play a most important role in Shu after Zhuge Liang's death, it will be useful to translate the early part of his biography as given in the above source:

“Jiang Wei, zi Boyue, was a native of Ji in Tianshui. His father died while he was young, and he lived with his mother. He was fond of the learning of Zheng Xuan.”

Here the commentary quotes from the Fuzi, which reads, “As a man Jiang Wei was eager to win name and fame; secretly he supported men who would lay down their life for him. He did not give his attention to the tasks appropriate to a commoner.”

The biography continues, “He served in Tianshuijun as shangjiyuan. The governor of Liangzhou appointed him a congshi. Because his father, Jiang Jiong (姜冏), who had once been gongcao of Tianshuijun, with his own body protected the person of the prefect and commander of Tianshuijun when the Qiang barbarians revolted, and thus died as a warrior, Jiang Wei was given the title of zhonglang and appointed as Assistant in the Military Affairs of his own jun.

In the sixth year of Jianxing, the Prime Minister (chengxiang) Zhuge Liang led his army to Qishan. At that time, the Prefect of Tianshui had gone on a tour of inspection; Jiang Wei as well as the gongcao Liang Xu, the zhubu Yin Shang, and the juji Liang Qian (梁虔), etc., were in his suite. Hearing that the Shu army was about to arrive, and that the various xian (of Tian Shui) had revolted and joined the Shu, the Prefect became suspicious that Jiang Wei and others would become disloyal. So that night he fled to Shanggui.

When they saw that the Prefect had gone, Jiang Wei and his men had gone. Jiang Wei and his men went after him, but they came too late to the city gate of Shanggui, which was already closed. Not being admitted, Jiang Wei and his men all returned to Ji, which would not admit him either. In the end, Jiang Wei and his men all came to Zhuge Liang.

At that time, Ma Su had been defeated at Jieting, so Zhuge Liang returned, taking with him more than a thousand households of Xixian as well as Jiang Wei and his men. It was thus that Jiang Wei lost his mother.”

Here the commentary quotes a version quite divergent from that in the Weilue, “Ma Zun, the taishou of Tianshui, leading Jiang Wei and various other subordinate officers, was in the company of Guo Huai, the cishi of Yongzhou, on his way from the west of Luomen on a tour of inspection. Hearing that Zhuge Liang had already reached Qishan, Guo Huai looked at Ma Zun and said, 'This is not going to turn out well.'”

“He then,” continues the commentary, “led him to the east and returned to Shanggui. Remembering that Jixian, the residence-city of his prefecture, was to the west, and fearing that the under-officials and people were inclined to be rebellious, Ma Zun followed Guo Huai and went. AT that time, Jiang Wei said to Ma Zun, 'Your Excellency ought to return to Jixian.'

Ma Zun said to Jiang Wei and the others, 'You may all return. The rebels are indeed everywhere; let us scatter.'

Jiang Wei could do nothing with Ma Zun. But, his home being at Jixian, he finally returned to Jixian together with the under officials of Tianshuijun, such as Shangguan Zixiu (上官子脩) and others. In Jixian, the under-officials and the people were glad to see Jiang Wei and the others back. They then forced them to see Zhuge Liang. Being compelled, the two men, Jiang Wei and Shangguan Zixiu, came together to Zhuge Liang. Zhuge Liang was greatly pleased to see them and sent his subordinates to summon the people of Jixian. At that time, the vanguard of Zhuge Liang was defeated by Zhang He and Fei Yao, etc., so that he retreated leading Jiang Wei and others. Thus Jiang Wei could not return to Jixian and finally entered Shu.

The various Wei troops attacked Jixian and captured Jiang Wei's mother, wife and children. But because Jiang Wei had not gone voluntarily, they did not kill the members of his family, but only imprisoned them to make him return.”

Here the commentator Pei Songzhi remarks that the account varies from that given in his biography in SGZ. To resume translation from the latter:

“Zhuge Liang appointed Jiang Wei his cangcaoyuan, gave him the added title of fengyi jiangjun, and had him enfeoffed as Lord of Dangyang Ting. At that time he was twenty-seven years old. Zhuge Liang wrote a letter to Zhang Yi, the changshi, of the chengxiangfu left behind, and Jiang Wan, the canjun [of this chengxiangfu] saying, 'Jiang Boyue is loyally assiduous towards the affairs of the day and his thoughts are fine and exact. As for his qualities, Yongnan [i.e. Li Shao] and Jichang [i.e. Ma Liang] are not his equals. He is a superior gentleman of Liangzhou.'

He again wrote to them, 'Wait till I have him train the five or six thousand men of the Central Hubu detachment. Jiang Boyue is very competent in military affairs; not only is he courageous and proficient in warfare but his heart is loyal to the House of Han and his talents combine those of other people. I shall instruct him thoroughly in warfare, and shall also send him to the palace to be received in audience with the Sovereign.'”

Here the commentary quotes from the Caji of Sun Sheng: “Earlier, when Jiang Wei came to Zhuge Liang, he lost his mother. Later, he received a letter from her, ordering him to search for danggui [the medicinal plant known as rhubarb; but the two characters can mean 'ought-to-return'] Jiang Wei said, 'When there is a good land of a hundred qing, one should not stick to a single mou [100 mou make a qing]. If one has yuanzhi [also a medicinal plant, but the two characters mean 'great ambition'], one needs no danggui.'”

Sima Guang quotes the above passage in his Zizhi Tongjian and states his reason for not adding it in his book: “Jiang Wei had some amount of learning; I suspect that he could not have behaved himself in such a manner. I did not incorporate this story.”

To conclude this partial translation of Jiang Wei's biography in SGZ, “Later on, he was promoted to be zhong jianjun and zhengxi jiangjun”

19. From SGZ, Biography of Cao Zhen.

20. From SGZ, Chronicle of Wendi, which has, “...[The Emperor] returned to his palace in Luoyang.”

Under this passage the commentary quotes an interesting story from the Weilue, which reads, “At this time, it was rumored that the Emperor had already died and that the officials in his entourage had welcomed in Cao Zhi, Prince of Yongqiu, and set him on the throne. In the capital every one, from the Grand Dowager Empress Bian and the Ducal Ministers down, was in fear. When the Emperor returned, every one case furtive glances at him [to see what attitude he would take]. With mingled sorrow and joy, the Grand Dowager Empress Bian wanted to discover the one who had first disseminated the rumor. The Emperor said, 'The whole world speaks of it; how can we discover the man?'

21. From SGZ, Biography of Xu Miao, which reads, “Because Liangzhou was extremely distant from the capital, and on the south bordered on the Shu rebels, Mingdi appointed Xu Miao to be the cishi of Liangzhou and had him carry the Military Tally, commissioning him to be huQiang jiao yu (Commissioner for the Protection of the Qiang).

At the time of Zhuge Liang's expedition to Qishan and the revolt of the three jun in Longyou, Xu Miao immediately sent his canjun and the taishou of Jingcheng, to attack the rebels in Nan'an, and they destroyed them. [This is the reason why Sima Guang put this section in this year.]

The region of Heyou was deficient in rainfall and there was always suffering from drought. Xu Miao obtained Imperial permission to put into order the salt lakes at Wuwei and Jiuchuan and thus he obtained grain from the barbarians. He also opened up extensive irrigated land and levied the poor to cultivate it as tenants. Every household enjoyed abundance and the state granary overflowed. The sums left from paying the military expenditures of Liangzhou he spent in buying gold and silk, dogs and horses, which he forwarded to the interior of china; gradually he collected the weapons he kept privately by the people and stored them in the state arsenal.

After this, he instructed the people to become benevolent and just, established schools, prohibited lavish funerals, forbade superstitious worship, promoted the good and dismissed the wicked; good influence coursed widely and the people became submissive.

That the Western regions entered into contact with China and that the wild barbarians sent tribute were both Xu Miao's achievement. He earned merit in his campaign against the Qiang rebel Ke Wu (柯吾), because of which he was enfeoffed as Lord of Duting, with three hundred households as his appanage, and was given the added title of General Who Establishes Might (jianwei jiangjun). In dealing with the Qiang barbarians, Xiao Mo did not inquire into minor faults; but when any one committed a major crime, he first notified the chieftains of it and let them know why the criminal was to be put to death, and then had him executed in public. Thus the Qiang submitted to him in trust and stood in awe of his augustness.

All the gifts given him by the Emperor he distributed among his generals and troops, not appropriating any portion of it to his family; his wife and children suffered from deficiency of food and clothing. Hearing of this, the Son of Heaven commended him and time and again supplied his family.

He impeached the wicked and dealt justice to those suffering from injustice. All of Liangzhou became peaceful and orderly.

In the first year of Zhengshi (240 AD), he returned to the capital to become Grand Minister of Agriculture (da sinong), and then was promoted to be Colonel Director of Retainers (sili jiaoyu). The hundred officials respected and feared him. Because of a certain public business, he left his office.”

22. From SGZ, Chronicle of Mingdi

23. From SGZ, Biography of Zhou Fang.

23.8 This sentence is Sima Guang's. Instead of this, SGZ reproduced the apparently complete text of the letter in seven items. Sima Guang's words seem to have been adopted from: “I am made a victim of banishment; the calamity is imminent” (3rd item) and “Should Your Excellency advance to such places as Huan, south to the northern bank of the Jiang, I, Zhou Fang, will take the opportunity to encourage my subordinate officials and people to respond to you.” (also part of the third item)

23.9 This sentence is also Sima Guang's. SGZ, Wu, after the text of the letter in seven items, states, “He then also wrote a secret memorial to Sun Quan; the text of the memorial, requesting permission to decoy Cao Xiu...

Cao Xiu, true to expectation, believed Zhou Fang, leading ten thousand men, infantry and cavalry, and with his baggage train filling the highway, he came straight into Huan. Zhou Fang, on the other hand, collected his troops and, following Lu Xun, intercepted Cao Xiu from the side. Cao Xiu's army was torn to pieces. They (i.e. the Wu) slaughtered and captured some ten thousand.”

23.10 SGZ Wu, continuing from the passage given above, has, “When Zhou Fang first offered his secret plan, the shangshulang by royal order frequently made inquiries and examinations into the various affairs. Zhou Fang then betook himself to the government of Boyangjun, where with his hair shaved off he sought pardon. Hearing of this, Cao Xiu dismissed any suspicion he might have had.” Of course all this is a ruse to deceive Cao Xiu.

24. Composed by Sima Guang.

24.2 Rewritten from SGZ, Biography of Jia Kui, which reads, “In the second year of Taihe, the Emperor had Jia Kui command the troops of qian jiangjun Man Chong, of the taishou of Gongguan, Hu Ji, etc., four armies in all, and advance directly to Gongguan from Xiyang. He had Cao Xiu advance to Huan, and Sima Xuanwang to Jiangling.”

As Hu Sanxing points out, Sima Yi had been until then stationed at Wan. Dongguan he identifies with Ruxukou.

25. Except the earlier sentences, this whole section is from SGZ, Biography of Zhu Huan. The rest comes from various other parts of the SGZ, such as Sun Quan's and Lu Xun's biographies.

26. From SGZ, Biography of Jiang Ji, which begins, “After Mingdi ascended the throne, Jiang Ji was granted the rank of Guannei Lord. When the Commander-in-chief (da sima) Cao Xiu led his army to Huan, Jiang Ji memorialized...”

26.3 After this, SGZ continues, “When the army reached Huan, the Wu troops came to Anlu. Jiang Ji sent up another memorial, 'Now, the rebels are maneuvering in the west, which means that they are intending to unite their forces and attack to the east. You should at once command the various troops to rush reinforcements!'

It so happened that Cao Xiu's troops had been defeated and returned, having thrown away all their impedimenta. The Wu wanted to intercept them at Jiakou, but they encountered the reinforcements, hence the Emperor's army was spared from annihilation.”

27. From SGZ, Biography of Man Chong, which begins, “In the fifth year of Huangchu (AD 224), Jia Kui was appointed qian jiangjun. After Mingdi ascended the throne, his enfeoffment was advanced to that of Lord of Changyi. In the second year of Taihe, he was appointed cishi of Yuzhou. In the spring of the third year (229), a deserter from Wu said that Wui was making great military preparations and proclaimed loudly that they wished to hunt North of the Jiang, Sun Quan himself wishing to make the expedition. Reckoning that they would certainly launch their 'surprise' attack on Xiyang, he made preparations. Informed of this, Sun Quan retreated. That autumn, the Emperor had Cao Xiu advance south from Lujiang to Hefei, and ordered Man Chong to proceed to Xiakou. Man Chong sent up a memorial...”

The chronology here is wrong, as the campaign in question occurred in the second year of Taihe and Cao Xiu died in the same year. 'Third year' above probably should be read as 'second year.'

27.3 This sentence is Sima Guang's own, probably derived from SGZ, Chronicle of Mingdi: “That autumn, in the ninth month, Cao Xiu at the head of the various troops reached Huan. He fought with the Wu general Lu Yi (i.e. Lu Xun) at Shi-ting and was defeated.

Instead of this, another part of the SGZ has, “While Man Chong's memorial still had not been replied to, Cao penetrated deeply. The Wu rebels, as expected, proceeded to Wujiangkou and cut the Jia-shi route, thus cutting off Cao Xiu's escape. Defeated in battle, Cao Xiu retreated. It so happened that Zhu Ling and others, who were cutting off the route from the rear, encountered the rebels, who fled in surprise. Cao Xiu's army was thus enabled to return. In this year, Cao Xiu died.” 'This year' must be Taihe 2 (228).

28. From SGZ, Biography of Lu Xun.

29. From SGZ, Biography of Jia Kui.

29.6 From the saying in the Zuozhuan, “To be beforehand with others takes the heart out of them.” The sentence occurs twice again in the same classic. For example, “Anticiapte your enemy, and you take away his heart.” For the third occurrence of the sentence, Legge (the translator in this work that is often used for translations of the Zuozhuan) gives yet a different translation, “If beforehand with the enemy, we should make up our minds to attack them.”

29.9 SGZ Wei has, “In the defeat at Jiashi, Cao Xiu's army could not perhaps have been rescued had it not been for Jia Kui.”

The following two passages show the almost amusing aftermath of this campaign.

Weilue reads, “Complaining that Jia Kui had advanced too tardily, Cao Xiu reproved him. Finally he had his assistant order the cishi of Yuzhou [i.e. Jia Kui] to go forward and pick up the weapons thrown away by the retreating army. Confident that he was in the right, Jia Kui said to Cao Xiu, 'As cishi of Yuzhou, I serve the state. I have not come here to pick up the discarded weapons.'

Thereupon he took his troops and returned. Finally, he and Cao Xiu sent up rival memorials. The Court was indeed aware that Jia Kui was right, but as Cao Xiu was a member of the Imperial clan and his person thus august, neither was reprimanded.”

Wei shu reads, “Cao Xiu still harbored his old grudge and so wished to incriminate Jia Kui for having come too tardily. Jia Kui did not say a word; his contemporaries respected him the more for this.”

30. From SGZ, Chronicle of Mingdi.

31. Rewritten by Sima Guang from the following passage of SGZ, Biography of Cao Xiu, “In the second year of Taihe, the Emperor campaigned against Wu along two routes. He sent Sima Xuanwang to move down from the Hanshui, and directed the various forces under Cao Xiu to proceed towards Xunyang. A general of the rebels falsely surrendered. Cao Xiu penetrated deeply but fought unsuccessfully, retreated and took up quarters at Shi-ting. During the night the army was in a state of alarm, and the rank and file were in disorder; they threw away a large quantity of armor and weapons as well as baggage. Cao Xiu sent up a memorial condemning himself for his fault. The Emperor sent the tunji jiaoyu Yang Ji to console him, bestowing heavy gifts on him. Because of this, Cao Xiu suffered from an ulcer on his back and died. He was canonized 'Magnificent' Lord.”

32. From SGZ, biography of Man Chong.

33. From SGZ, Biography of Ke Bineng.

33.1 SGZ reads, “In the second year of Taihe, Tian Yu sent his interpreter Xia She (夏舍) to the tribe of Yuzhujian, son-in-law of Kebineng. Xia She (夏舍) was killed by Yuzhujian. That autumn, Tian Yu led Xieguini, putou of the Xianbei of the Western Section, beyond the frontiers on a campaign against Yuzhujian, whom they put to rout. When he came to Macheng on his way back, Kebineng in person, at the head of thirty thousand cavalry, besieged Tian Yu for seven days.”

34. From SGZ, Chronicle of Mingdi. According to SGZ, Biography of Wang Lang, Wang Lang had been enfeoffed Lord of Lanling after Mingdi ascended the throne and was canonized “Accomplishing” Lord after his death, which occurred in the second year of Taihe.

35. From the Han Jin chunqiu. This memorial, generally known as “Second Memorial on the occasion of starting a campaign,” is almost as famous as the First Memorial. It has also been translated by various people in various languages.

35.13 SGZ, Biography of Liu Yu, states that Liu Yu was appointed cishi of Yangzhou, then its mu. According to SGZ, Biography of Wang Lang, he was once invested as taishou of Kuaiji.

35.17 Achilles Fang notes a phrase in Chinese and states that it is not clear what it means. He indicates that it may be the name of a corps of storm troops.

35.22 Here Han Jin chunqiu remarks, “This memorial is not in the Literary Collection of Zhuge Liang; it is in the Mo Ji of Zhang Yan.” From this fact, together with the mention of the death of Zhao Yun, some have doubted the authenticity of the memorial. Others would emend the date given in the biography to read Jianxing 6.

36. Compounded from the following passages:

(a) Chronicle of Mingdi, “In the twelfth month, Zhuge Liang laid siege to Chengcang. Cao Zhen sent the jiangjun Fei Yao and others to oppose him.”

(b) SGZ, Biography of Cao Zhen, “In the spring of the following year (229), Zhuge Liang, as expected, laid siege to Chencang; but it was already prepared against him, so that he could not capture it.” The date “in the following year” is not wrong, for the siege lasted more than twenty days.

[c] SGZ, Biography of Zhuge Liang states, “That winter, Zhuge Liang again led out his troops, to Sangguan, and laid siege to Chencang. Cao Zhen opposed him. His provisions exhausted, Zhuge Liang withdrew. Wang Shuang, a Wei general, led his cavalry in pursuit of Zhuge Liang. Zhuge Liang fought and defeated him. Wang Shuang was slaughtered.”

(d) Zhuge Liang's first and second campaigns are recorded in SGZ, Biography of the Second Sovereign, as follows, “In the spring of the sixth year of Jianxing, Zhuge Liang went out to attack Qishan, but did not take it. That winter, he again went out, to Sangguan, and laid siege to Chencang. His provisions being exhausted, he withdrew. Wang Shuang, a Wei general, led his troops in pursuit of Zhuge Liang. Zhuge Liang fought and defeated him. He slaughtered Wang Shuang. He then returned to Hanzhong.”

37. From the Weilue, which gives the following introduction: “Before this they had the general Hao Zhao build the walls of Chencang. Zhuge Liang came and besieged Hao Zhao. Hao Zhao, zi Bodao, was a native of Taiyuan. As a man he was magnificent. In his early days he joined the army and became the commander of a detachment. He earned merit on several occasions and eventually became a jiangjun of miscellaneous title, in which capacity he continued to be stationed at Hexi for more than ten years. The Chinese people and the barbarians all stood in awe of him.”

38. From SGZ, Biography of Zhang He, where the following passage precedes, “Sima Xuanwang put the marine forces in order at Jingzhou; he intended, by following the course of the Mian river into the Jiang, to make a campaign against Wu. The Emperor ordered Zhang He to command the various forces in Guanzhong and proceed and to receive Sima Xuanwang's orders. When he came to Jingzhou it was winter, the water was shallow and the larger boats could not move. So he returned to Fangcheng and quartered there.”

As this passage is put after the account of his campaign against Ma Su, the frustrated project must have been planned in the same year, 228.

38.4 After this occurs the following passage, omitted by Sima Guang, “He sent along thirty thousand troops from north and south, and also sent components of the Imperial body guards, Wuwei and Huben, to protect the person of Zhang He.”

39. For the source of this sentence of Sima Guang's, see Note 36, paragraphs c and d.

40. This sentence is Sima Guang's own.

41. Paragraphs (a) and [c] are from SGZ, Biography of Gongsun Du. (b) is from SGZ, Biography of Liu Ye.

42. From SGZ, Biography of Lü Fan, where Paragraphs (a) and (b) are inverted. Lü Fan died in the eighth month of the seventh year of Huangwu.

42.1 SGZ, Wei has, “In the seventh year of Huangwu, Lü Fan was promoted to be da sima. Before the official seal was conferred on him, he died of illness. Sun Quan wore white clothes and mourned him; he sent his messenger to confer the seal posthumously.”

42.4 SGZ, Biography of Sun Quan, which reads, “Sun Quan, zi Zhongmou. When his elder brother Sun Ce conquered the various prefectures, Sun Quan, at that time fifteen years old, was appointed head official of Yangxian.” As Sun Quan lived 182-252, his appointment to this post must have occurred in 196 AD.