Historical Lessons from Governing Shu

Author: / Country: Mainland China
Publisher:
Publishing Date: 2002-09-01
Features: Zhuge Liang, the renowned prime minister of Shu Han, devoted himself to governing Sichuan for twenty years, making the state of Shu Han, which was "poor and its people exhausted, geographically isolated," a place where "officials were incorruptible, people were self-disciplined, nothing was picked up from the road, the strong did not bully the weak, and social morals were upright." Such outstanding achievements in governance were closely tied to his political philosophy of "strict education and strict legal enforcement." This book is roughly divided into more than 20 sections, with each section internally arranged by speeches or chronological order of events. Each chapter consists of three parts: the original text, translation, and commentary. As a prime minister, Zhuge Liang governed the people, set standards, streamlined official positions, adapted to circumstances, opened his heart, and promoted fairness; he rewarded those who were loyal and beneficial to the times, even if they were his enemies, and punished those who broke the law and were negligent, even if they were his relatives; he released those who confessed their crimes and showed remorse, even if they were severely punished, and executed those who evaded responsibility and made excuses, even if they were lightly punished; he rewarded virtue without fail, and punished evil without hesitation; he refined all affairs, focused on the essence, followed the name to the reality, and despised hypocrisy; as a result, within the borders of the state, people feared and loved him, and although the legal system was strict, there were no complaints, because his heart was fair and his admonitions were clear. He can be called a talented person who understood governance, second only to Guan Zhong and Shang Yang. However, he failed to achieve success after years of military campaigns, perhaps because his strategic skills in adapting to changing circumstances were not his strength! Chen Shou's Records of the Three Kingdoms (Vol. 35, Biography of Zhuge Liang - Commentary): "Zhuge Liang was a young man with extraordinary talent and the potential of a hero. He was over eight feet tall and had an impressive appearance, which was admired by people of the time. During the chaos of the late Han Dynasty, he followed his uncle Zhuge Xun to Jingzhou and farmed in the wilderness, seeking no fame or recognition. When General Liu Bei, the Left General, recognized Zhuge Liang's exceptional talent, he visited his thatched cottage three times. Zhuge Liang deeply admired Liu Bei's outstanding charisma and sincerely connected with him. Later, when Cao Cao marched south to Jingzhou, Liu Cong surrendered the state, and Liu Bei, with his small force, had no place to stand. At the age of twenty-seven, Zhuge Liang proposed a bold strategy, personally went to Wu to seek aid from Sun Quan. Sun Quan, who already respected Liu Bei and admired Zhuge Liang's elegance, greatly respected him and immediately sent 30,000 troops to assist Liu Bei. With this support, Liu Bei defeated Cao Cao's army, achieved victory, and pacified the southern regions. Later, Liu Bei also conquered the Western Yi State. After pacifying the Western Yi State, Zhuge Liang was appointed as the Military Strategist General. When Liu Bei declared himself emperor, he appointed Zhuge Liang as the Prime Minister and Chief Secretary. After Liu Bei's death, his weak successor relied on Zhuge Liang for all matters, whether big or small. He strengthened alliances with Eastern Wu, pacified the Southern Yue, established laws and systems, organized the army, refined military equipment and techniques, and enforced strict education and legal measures. He rewarded and punished with absolute fairness, punishing no evil and revealing no virtue. As a result, officials were incorruptible, people were self-disciplined, nothing was picked up from the road, the strong did not bully the weak, and social morals were upright. At this time, Zhuge Liang's ambition was to advance like a dragon and tiger, encompassing the four seas, or to retreat and dominate the borders, shaking the world. He also believed that after his death, no one would be able to challenge the central authority. Therefore, he continued military campaigns without rest, repeatedly demonstrating his military prowess. However, Zhuge Liang's strength lay in governing the army rather than in strategic planning. His administrative skills were superior to his military strategies. But the opponents he faced were either outstanding talents or had different strengths, and the disparity in troop numbers and the differences in offensive and defensive strategies made it impossible for him to achieve success despite years of military campaigns. In the past, Xiao He recommended Han Xin, and Guan Zhong recommended Zi Chengfu, both because they assessed their own strengths and could not have both. In terms of political talent and governance, Zhuge Liang was also second only to Guan Zhong and Xiao He. However, the famous generals of his time were not as outstanding as Han Xin and Xiao He, which may have hindered his achievements and grand ideals. Perhaps it is the will of heaven that determines leadership, and cannot be contested by human effort. In the second year of the Qinglong era, spring, Zhuge Liang led his troops out of Wugong, dividing them to farm and establish a long-term base. That autumn, he fell ill and died, becoming a pretext for slander. Even today, the people of Liang and Yi still speak of Zhuge Liang, and his words are still fresh in their minds. Even the songs of the people of Zheng about Ziyuan cannot compare to him. As Meng Ke said, "To lead the people with ease, even labor will not cause resentment; to kill with compassion, even death will not cause anger." Truly! Some critics wondered why Zhuge Liang's literary style was not as elegant as that of others, yet overly meticulous. I believe that Jia Yu was a great talent, and Zhou Gong was a sage. Examining the Book of Documents, Jia Yu's edicts were brief yet elegant, while Zhou Gong's decrees were detailed and thorough. Why? Because Jia Yu discussed with Shun and Yu, while Zhou Gong made oaths to his subordinates. The people Zhuge Liang spoke with were ordinary, so his writings did not reach far. However, his teachings and words were all about governing the world and comprehending things, and his sincerity was reflected in his writings, enough to understand his thoughts and benefit the world.
(Original Text) Zizhi Tongjian: In the eleventh year of the Xiantong era (870 AD), the people of Western Sichuan heard that the barbarian tribes were approaching and rushed into Chengdu. At that time, Chengdu only had the inner city, and there were no moats. Each person's living space was no more than a mat. During the rain, they used baskets and bowls to protect themselves. There was also a shortage of water, so they had to clarify the mud from the Moha Pool for drinking. In the tenth month of the third year of the Dianfu era (876 AD), Gao Ping, the Military Commissioner of Western Sichuan, began to build the Luo City of Chengdu. He sent the monk Jingxian to plan and measure it. The city had a circumference of twenty-five li. Construction began on the day of Gui in the eighth month and was completed on the day of Wei in the eleventh month. Records of the Past and Present: Gao Ping thought the soil of Chengdu was too poor, and the city walls collapsed every year, so he replaced them with fired bricks. He leveled all the hills near the city walls to facilitate farming.
(Translation) Zizhi Tongjian records: In the first month of the eleventh year of the Xiantong era (870 AD), the people of Western Sichuan heard that the barbarian tribes were approaching and rushed into Chengdu. At that time, Chengdu only had the inner city, and there were no moats. Each person's living space was no more than a mat. During the rain, they used baskets and bowls to protect themselves. The city was also short of water, so they had to clarify the mud from the Moha Pool for drinking. In the tenth month of the third year of the Dianfu era (876 AD), Gao Ping, the Military Commissioner of Western Sichuan, began to build the Luo City of Chengdu. He sent the monk Jingxian to plan and measure it. The city had a circumference of twenty-five li. Construction began on the day of Gui in the eighth month and was completed on the day of Wei in the eleventh month. Records of the Past and Present records: Gao Ping thought the soil of Chengdu was too poor, and the city walls collapsed every year, so he replaced them with fired bricks. He leveled all the hills near the city walls to facilitate farming.
(Commentary) To protect Chengdu from ethnic conflicts and its people, Gao Ping, after understanding the actual situation, began construction of the Luo City. His methods had several points worth praising and emulating: sending specialists to measure the site before starting construction to determine the scale of the project; identifying the root cause of the previous city walls' collapse and replacing them with fired bricks to ensure quality; setting a strict schedule to complete the project early, which was beneficial for strengthening city defenses. Leveling all the hills near the city walls not only benefited agricultural production but also ensured a flat perimeter, making it difficult for invaders to hide and city defenses. Balancing military and agricultural affairs—could later military and administrative officials plan and arrange so comprehensively? Water supply, especially drinking water, is a major issue that municipal officials should seriously consider and address. Gao Ping's construction of the Luo City may have been inspired by the story of the eleventh year of the Xiantong era. (Zhang Shaocheng)
(Original Text) Fifth Lun, styled Boyu, was a native of Changling in Jingzhao. At the age of several years, he was appointed as the magistrate of Changqu, where he promoted the local official Xuan He. He later became the governor of Jiujiang and Pei, known for his integrity and moral influence, bringing order wherever he went, and eventually became the Minister of Agriculture. Fifth Lun served for four years and was then transferred to the post of governor of Shu. Shu was fertile and prosperous, with officials and people wealthy. The households of local officials often had assets worth millions, all with luxurious cars and strong horses, using wealth to achieve success. Fifth Lun selected the wealthier officials to return home and appointed poor but virtuous people to hold positions in the government. As a result, bribery and corruption were gradually eliminated, and the government's conduct was improved. Many of the officials he recommended later became high-ranking officials, including nine ministers and deputy prefects. At that time, people considered him to be a person who could identify talent well. He served for seven years and was appointed as the Minister of Works by Emperor Shaozong, replacing Mou Rong, who had been serving as the Minister of Works in a distant prefecture. Fan Xian's Book of the Later Han Dynasty (Vol. 41, Biography of Fifth Lun).
(Translation) Fifth Lun, styled Boyu, was a native of Changling in Jingzhao (east of Xianyang in Shaanxi). After a few years, he was appointed as the magistrate of Changqu (in the northeast of Tuxi Town, Qichuan County, Sichuan). He promoted the local official Xuan He, who later became the governor of Jiujiang (a prefecture with its seat in Shouchun, now Shou County, Anhui) and Pei (a prefecture with its seat in Xiang, now northern Lixi County, Jiangsu). He was known for his integrity and moral influence, bringing order wherever he went, and eventually became the Minister of Agriculture. Fifth Lun served for four years and was then transferred to the post of governor of Shu. Shu was fertile and prosperous, with officials and people wealthy. The households of local officials often had assets worth millions, all with luxurious cars and strong horses, using wealth to achieve success. Fifth Lun selected the wealthier officials to return home and appointed poor but virtuous people to hold positions in the government. As a result, bribery and corruption were gradually eliminated, and the government's conduct was improved. Many of the officials he recommended later became high-ranking officials, including nine ministers and deputy prefects. At that time, people considered him to be a person who could identify talent well. He served for seven years and was appointed as the Minister of Works by Emperor Shaozong, replacing Mou Rong, who had been serving as the Minister of Works in a distant prefecture. [Commentary] In feudal society, personal wealth was not just a matter of how much property one had, but also an important marker of different social classes. When Fifth Lun served as the governor of Shu, his standard for appointing officials was to "select the wealthier officials to return home and appoint poor but virtuous people to hold positions in the government." That is to say, the officials he appointed were from lower social classes. This not only improved the government's conduct but also gradually eradicated the practice of bribery and corruption. (Meng Mo)
(Original Text) Zhu Lingshi, styled Boyer, was a native of Pei in Pei Commandery. In the eighth year of the Yixi era, Emperor Gaozu (Liu Yu) marched west to attack Liu Yi, and Lingshi followed to Jiangling. In the ninth year, the army was sent to attack Shu, and Lingshi was appointed as the commander-in-chief, with the title of General of Jianwei and Military Commissioner of Western Sichuan. He led 20,000 troops, including Ningshuo General Zang Xi, Governor of Hejian Commandery Cai En, Governor of Xiapi Commandery Liu Zhong, and Longxiang General Zhu Lin, and set out from Jiangling. He was soon given the additional title of Military Commissioner of Western Sichuan's campaigns. Initially, Emperor Gaozu and Lingshi discussed the strategy for advancing: "Last year, Liu Jingxuan marched out of Huanghu but returned in vain. The enemy thinks we will go from the outer water, but we will take them by surprise and come from the inner water. If they do, they will surely station heavy troops to guard Fu and prepare for the inner route. If we go to Huanghu, we will just fall into their trap. Now, with a large force, we will take Chengdu from the outer water and send a diversionary force to the inner water. This is a strategic move to control the enemy." However, they feared that this news would spread too quickly and the enemy would discover their plans. They wrote a secret letter to Lingshi, sealed it, and marked the envelope: "Open only at Baishi." Although the army advanced, they did not know what to do. When they reached Baishi, they opened the letter, which said: "All troops will take Chengdu from the outer water. Zang Xi and Zhu Lin will take Guanghan from the inner water. Let the weak and sick take ten high ships from the inner water to Huanghu." The army then marched in two directions. Qiao Zong indeed prepared for the inner water, stationing his general Qiao Daofu with a large force in Fu City. He sent his former general, the Military Commissioner of Qinzhou Commandery Hou Hui, and the Minister of Personnel and Governor of Shu Commandery Qiao Shen, with over 10,000 troops to camp at Pengmo, forming a city on both sides of the river. In the sixth month of the tenth year, Lingshi arrived at Pengmo. The generals thought the enemy's water city was well-defended and wanted to attack the south first. Lingshi said, "Not so. Although the enemy is in the north, if we the south city, we cannot break the north. If we use our full strength to capture the northern fortress, the south city will disperse without a fight." In the seventh month, Lingshi led Liu Zhong, Cai En, and others to attack the city. The next morning, they fought until the sun was past noon, set fire to the towers and battlements, and attacked from all sides, killing Hou Hui and Qiao Shen. They then turned to attack the south city, which immediately collapsed. They executed fifteen high-ranking generals and the camps collapsed one after another. The army then abandoned their ships and advanced on foot. Longxiang General Zang Xi arrived at Guanghan and died of illness. Zhu Lin arrived at Guanghan and defeated Qiao Daofu's separate army, captured Niupi City, and killed his general Qiao Fu. Qiao Zong heard of the defeats everywhere and fled to Fu City. A man from Baishi named Wang Zhi captured and delivered him. Qiao Daofu heard that Pengmo had fallen and led 5,000 elite troops to rush to the rescue. When he heard that Qiao Zong had fled, his troops scattered, and he escaped into the Liao region. A man from Baishi named Du Yao captured and delivered him, and he was executed at the military gate. When Emperor Gaozu attacked Shu, he struggled to find a suitable commander-in-chief, but he finally chose Lingshi. Many people thought that since all previous commanders who pacified Shu were outstanding and heavy commanders, Lingshi's reputation was still too low to handle such a task. They advised against it, but Emperor Gaozu did not listen. He allocated half of the army, including fierce generals and elite troops, to Lingshi. Zang Xi was the younger brother of Empress Jing's mother and was also under his command. When the battles were victorious, everyone admired Emperor Gaozu's ability to identify talent and praised Lingshi's skill in handling the affairs. During the reigns of Emperors Shun and Huan, the Ban Dumen repeatedly rebelled. The governor of Shu Commandery, Zhao Wen'en, won them over with his sincerity and trustworthiness, and thus, Changqu produced nine-grain wheat, and Qunren had trees growing in pairs. In the second year of the Guanghe era, the Ban Dumen rebelled again, attacking and harming the three Shus and Hanzhong. The provinces suffered for years. The emperor wanted to launch a large-scale military campaign, but at that time, the people were exhausted from conscription. He asked the Western Sichuan Military Planning Officer, Cheng Bao, for advice. Cheng Bao replied, "The Ban Dumen are seven clans who make their living by hunting white tigers. They achieved merit for the Han Dynasty and were considered righteous people. They were exempt from corvée labor but had to pay 40 coins per person per year. They are brave and skilled in battle. When the Qiang people invaded Hanzhong, the prefectures and counties were destroyed, and the Ban Dumen were relentless. After pacifying them, they were called 'divine troops,' and the Qiang people feared and avoided them, warning their tribes not to go south. Later, in the second year of the Jianhe era, the Qiang people invaded Hanzhong again, and the governors were anxious. They again relied on the Ban Dumen to defeat them. Without the Ban Dumen, the people of Shu Han would have been in danger. The former cavalry general Feng Gong southward, although he was supported by the elite troops of Danyang, also relied on the Ban Dumen. Recently, the chaos in Western Sichuan was suppressed by Zhu Gui with the elite troops of Bing and Liang, but he failed. The governor Li Yu suppressed it with the Ban Dumen. Their loyalty and achievements are so great that they have no ill intentions. However, local officials and village heads imposed heavy taxes and forced labor, more than slaves and maids. They used whips and punishments on prisoners, to the extent that some sold their wives and children, or even cut their own throats. The provinces and prefectures were neglected, and the distance from the capital was too great to report directly. They harbored grievances and cried to the heavens, their hearts breaking in the valleys, troubled by taxes and labor, and oppressed by harsh punishments. The people gathered in the cities and towns, leading to rebellion, not because they had deep plans or were acting illegally, but because local officials were unresponsive and could not voice their complaints. They were resentful and sighed, and the people were oppressed by taxes and punishments, leading to rebellion. If they had better governors, more grain and money, and rewards and recruitment that suited their interests, they would naturally be pacified without the need for military campaigns. In the past, when the middle-ranking general Yin Jiu attacked the Qiang people, he the people of Western Sichuan, and the people chanted, 'The barbarians are coming, but Yin will kill us.' After Yin returned, the Qiang people broke and retreated. In my opinion, it is better to entrust the matter to the provinces and prefectures rather than send troops. The emperor agreed and sent the governor Cao Qian to proclaim an edict of amnesty, and the chaos was resolved in one day. Chang Qian's Records of Huayang (Vol. 1, Ba Zhi).