The revise the paper of the Eurasian nomad history
Records of the Grand Historian
of China TRANSLA TED FROM
THE Shih chi OF $SU-MA CH'IEN
BY BURTON WATSON
VOLUME II:
THE AGE OF EMPEROR WU
140 TO CIRCA 100 B.C.
COLUMBIA UNIVERSITY PRESS
NEW YORK AND LONDON 1961
@
154 Statesmen, Generals, Foreign Peoples
to the Hsiung-nu. Practically all his soldiers perished in the fight; only some four hundred managed to escape and straggle back to Han ter ritory. The Shall-yii had already heard of the fame of Li Ling's family and observed his bravery in battle, and as a result he gave him his own daughter as a wife and treated him with honor. When the emperor received news of this, he executed Li Ling's mother and his wife and children. From this time on the name of the Li family was disgraced and all the retainers of the family in Lung-hsi were ashamed to be
associated with it.) •
The Grand Historian remarks: One of the old books says, "If he is an upright person, he will act whether he is ordered to or not; if he is not upright, he will not obey even when ordered." 5 It refers, no doubt, to men like General Li.
I myself have seen General Li-a man so pbin and unassuming that you would take him for a peasant, and almost incapable of speak ing a word. And yet the day he died all the people of the empire, whether they had known him or not, were moved to the profoundest grief, so deeply did men trust his sincerity of purpose. There is a proverb which says, "Though the peach tree does not speak, the worlJ wears a path beneath it." It is a small sayi ng, but one which is capable of conveying a great meaning.
4 This last section in parentheses is most likely not by Ssu-ma Ch'ien, but a later addition. It differs from the account of Li Ling's life in Han Jhtl 54 and deals with events that arc later than those described elsewhere in the Shih chi. It may be recalled that Ssu-ma Ch'ien was condemned to castration for speaking out in defense of Li Ling to the emperor when the news of Li Ling's surrender reached the court. Ssu-ma Ch'ien's own account of Li Ling's battle and surrender is found in his letter to Jen Shao-ch'jng, translated in SJU-ma Ch'ien: Grand HiJtorian 0/ China, pp. 57-67.
G ATlalectJ XIII, 6.
Shih chi 110: The Account of the Hsiung-nu
From the time of the Three Dynasties on, the Hsiung-nu have been a source
of constant worry and harm to China. The Han has attempted to determine
the Hsiung-nu's periods of strength and weakness so that it may adopt de
fensive measures or launch punitive expeditions as the circumstances allow.
Thus I made The Account of the Hsiung-nu.
The ancestor of the Hsi ung-nu was a descendant of the rulers of the Hsia dynasty by the name of Ch'un-wei. As early as the time of Em perors Yao and Shun and before, we hear of these people, known as Mountain Barbarians, Hsien-yun, or Hun-chu, living in the region of the northern barbarians and wandering from place to place pasturing their animals. The animals they raise consist mainly of horses, cows, and sheep, but include such rare beasts as camels, asses, mules, and the wild horses known as t'ao-/'tt and t'o-chi. They move about in search of water and pasture and have no walled cities or fixed dwell ings, nor do they engage in any kind of agriculture. Their lands, however, are divided into regions under the control of various leaders. They have no writing, and even promises and agreements are only verbal. The little boys start OUt by learni ng to ride sheep and shoot birds and rats with a bow and arrow, and when they get a little older they shoot faxes and hares, which are used' for food. Thus all the young men are able to use a bow and act as armed cavalry in time of war. It is their Custom to herd their flocks in times of peace and make their living by hunting, but in periods of crisis they take up arms and go off on plundering and marauding expeditions. This seems to be their inborn nature. For long-range weapons they use bows and arrows, and swords and spears at close range. If the battle is going well for them they will advance, but if not, they will retreat, for they do not consider it a disgrace to run away. Their only concern is self advantage, and they know nothing of propriety or righteousness.
F rom the chiefs of the tribe on down, everyone eats the meat of the
156 157 Statesmen, Generals, Foreign Peoples
domestic animals and wears clothes of hide or wraps made of felt or fur. The young men eat the richest and best food, while the old get what is Idt over, si nee the tribe honors those who are young and Strong and despises the weak and aged. On the death of his father, a son will marry his stepmother, and when brothers die, the remaining brothers will take the widows for their own wives. They have no polite names 1 but on ly personal names, and they observe no taboos in the
use of personal names. When the power of the Hsia dynasty declined, Kung Liu, the an
cestor of the Chou dynasty, having lost his position as minister of grain, went to live among the V,l es tern Jung barbarians, adopting their ways and founding a city at Pin. Some three hundred years later the Jung and Ti tribes attacked Kung Liu's descendant, the Great Lord Tan-fu. Tan-fu Aed to the foot of Mount Ch'i and the whole population of Pin followed after him, founding a new city there. This was the beginning
of the Chou state. A hundred and some years later Ch'ang, the Chou Earl of the
'Nest, attacked the Ch'lian-i-shih tribe, and ten or twelve years hHer, his son, King Wu, overthrew Emperor Chou, the last ruler of the Shang dynasty, and founded a new capital at La. He also occupied the regions of Feng and Hao, drove the barbarians north heyond the Ching and La rivers, and obliged them to bring tribute to his court at specified times. Their lands were known as "the submissive wastes."
Some two hundred years later, when the power of the Chou dynasty had declined, King Mu attacked the Ch'lian barbarians and brought back with him four white wolves and four white deer which he had seized. From this time on, the peoples of the "submissive wastes" no longer journeyed to court. (At this time the Chou adopted the penal code of Marquis Fu.) 2
Some twO hundred years after the time of King Mu, King Yu of the Chou, egged on by his beloved concubine Pao-ssu, quarreled with Marquis Shen. In anger, Marquis Shen joined forces with the Ch'lian
1 The text says "no family names or polite names," but it is obvious later on that the Hsiung-nu did have family names. Polite names are names which are used in place of personal names to avoid the appearance of overfamiliarity.
2 The penal code now comprises a chapter of the Book of Documents, where it is known as the code of Marquis Lu.
The Hsiung-nu
barbarians and attacked and killed King Yu at the foot of Mount Li. Eventually the barbarians seized the region of Chiao-huo from the Chou, occupied the area between the Ching and Wei ri vers, and in vaded and plundered the central region of China. Duke Hsiang of Ch'in came to the rescue of the Chou court, and King Yu's successor King P'ing abandoned the regions of Feng and Hao and moved his capital east to the city of La. (At this time Duke Hsiang of Ch'in attacked the barbarians and advanced as far as Mount Ch'i; as a result he was for the first time ranked among the feudal lords of the Chou dynasty.)
Sixty-five years later [704 B.C.] the Mountain Barbarians crossed through the state of Yen and attacked Ch'i. Duke Li of Ch'i fought with them in the suburbs of his capital. Forty-four years later the Mountain Barbarians attacked Yen, but Yen reported its distress to Duke Huan of Ch'i, who rode north and attacked the barbarians, driving them off.
Some twenty years later the barbarians rode as far as the capital city of La and attacked King Hsiang of the Chou; King Hsiang Aed to the city of Fan in Cheng. Previously King Hsiang had wanted to attack the state of Cheng and had therdore married a daughter of the barbarians and made her his queen; then, with the aid of the bar barian forces, he had made his attack on Cheng. Having accomplished his purpose, however, he cast aside his barbarian queen, much to her resentment. King Hsiang's stepmother, Queen Hui, had a son named Tzu-tai whom she wished to place on the throne, and therdore Queen Hui, her son, and the barbarian queen agreed to cooperate with the barbarian attackers from within the capital by opening the city to them. Thus the barbarians were able to enter, ddeat and drive out King Hsiang, and set up Tzu-tai as Son of Heaven in his place.
After this the barbarians occupied the area of Lu-hun, roaming as far east as the state of 'Nei, ravaging and plundering the lands of central China with fearful cruelty. The empire was deeply troubled, and therdore the poets in the Book of Odes wrote:
We smote the barbarians of the north.
We struck the Hsien-yun And drove them to the great plain.
161 Statesmen, Generals, Foreign Peoples 160
YLi-yang, Yu-pei-p'ing, Liao-hsi, and Liao-tung to guard against the
attacks at the barbarians." By this time Chin~, the land at _caps and girdles, was divided among
seven states, three at which bordered the territory ot the Hsiung-nu. Later, while the Chao general Li Mu was living, the Hsiung-nu did not
dare to cross the border at Chao. Finally Ch'in overthrew the other six states, and the First Emperor
of the Ch'in dispatched Me_ng Tien to lead a torce of a hundred thou sand men north to attack the barbarians. He seized control of all the lands south of the Yellow River and established border defenses along the river, constructing torty-tour walled district cities overlooking the river and manning them with convict laborers transported to the border for garrison duty. He also built the Direct Road trom Chiu yLian to Yiin-yang. Thus he utilized the natllral mountain barriers to establish the border defenses, scooping out the valleys and constructing ramparts and building installations at other points where they were needed. The whole line ot defenses stretched over ten thousand Ii from Lin-t'ao to Liao-tung and even extended across the Yellow River and through Yang-shan and Pei-chia.
At this time the Eastern Barbarians were very powertul and the YLieh-chih were likewise flourishing. The Shan-yii Or chieftain of the Hsiung-nu was named Tau-man. Tau-man, unable to hold out against the Ch'in forces, had withdrawn to the far north, where he lived with his subjects for over ten years. Aher Meng Tien died and the feudal lords revolted against the Ch'in, plunging China into a period of strife and turmoil, the convicts which the Ch'in had sent to the northern border to garrison the area all returned to their homes. The Hsiung-nu, the pressure against them relaxed, once again began to infiltrate south at the bend of the Yellow River until they had established themselves along the old border of China.
Tou-man's oldest son, the heir apparent to his position, was named Mo-tun, but the Shan-yii also had a younger son by another consort whom he had taken later and was very tond of. He decided that he
5 From this it may be seen that the First Emperor of the eh'in, in building the Great Wall, did not have to begin from scratch, as is often implied, but simply repaired and linked up the older walls of these northern states.
The Hsiung-nu
wanted to get rid of Mo-tun and set up his younger son as hei r instead, and he therefore sent Mo-tun as a hostage to the YLieh-chih nation. Then, aher Mo-tun had arrived among the YLieh-chih, Tau-man made a sudden anack on them. The YLieh-chih were about to kill Mo-run in retaliation, but he managed to steal one of their best horses and escape, evenrually making his way back home. His father, struck by his bravery, put him in command at a force of ten thousand cavalry.
Mo-tun had some ~rr()ws made that whistled in flight and used them to drill his troops in shooting from horseback. "Shoot wherever you. see my whistling arrow strike!" he ordered, "and anyone who fails to shoot will be cut down!" Then he went out hunting for birds and animals, and if any of his men tailed to shoot at what he himselt had shot at, he cur them down on the spot. After this, he shot a whistling arrow at one of his best horses. Some of his men hung back and did not dare shoot at the horse, whereupon Mo-tun at once executed them. A linle later he rook an arrow and shot at his favorite wite. Again some of his men shrank back in terror and failed to discharge their arrows, and again he executed them on the spot. Finally he went out hunting with his men and shot a whistling arrow at one of his father's finest horses. All his followers promptly discharged their arrows in the same direc tion, and Mo-tun knew that at last they could be trusted. Accompanying his father, the Shan-yu Tau-man, on a hunting expedition, he shot a whistling arrow at his father and everyone of his followers aimed their arrows in the same direction and shot the Shan-yii dead. Then Mo-tun \ executed his stepmother, his younger hrother, and all the high officials of the nation who refused to take orders from him, and set himself up as the new Shan-yii.
At this time the Eastern Barbarians were very powerful and, hearing that Mo-tun had killed his father and made himself leader, they sent an envoy to ask if they could have Tou-man's famous horse that could run a thousand Ii in one day. Mo-tun consulted his ministers, but they all replied, "The thousand-Ii horse is one of the treasures of the Hsiung-nu people. You should not give it away!"
"When a neighboring country asks for it, why should I begrudge them one horse?" he said, and sent them the thousand-Ii horse.
Aher a while the Eastern Barbarians, supposing that Mo-tun was
162 163 Statesmen, Generals, Foreign Peoples
afraid of them, sent an envoy to ask for one of Mo-tun's consorts. Again
Mo-tun questioned his ministers, and they replied in a rage, "The
Eastern Barbarians are unreasoning beasts to come and request one of
the Shan-yii's consorts. We beg to attack them!" But Mo-tun replied, "If it is for a neighboring country, why should
I begrudge them one woman?" and he sent his favorite consort to the
Eastern Barbarians. With this the ruler of the Eastern Barbarians grew more and more
bold and arrogant, invading the lands to the west. Between his ter
ritory and that of the Hsiung-nu was an area of over a thousand Ii
of uninhabited land; the twO peoples made their homes on either side
of this wasteland.o The ruler of the Eastern Barbarians sent an envoy to
Mo-tun saying, "The Hsiung-nu have no way of using this stretch of
wasteland which lies between my border and yours. I would like to
take possession of it!" When Mo-tun consulted his ministers, some of them said, "Since the
land is of no use you might as well give it to him," while others said,
"No, you must not give it away!" Mo-tun flew into a rage. "Land is the basis of the nation!" he said.
"Why should I give it away?" And he executed all the ministers who
had advised him to do so. Then he mounted his horse and set off to attack the Eastern Bar
barians, circulating an order throughout his domain that anyone who
was slow to follow would be executed. The Eastern Barbarians had up
until this time despised Mo-tun and made no preparations for their
defense; when Mo-tun and his soldiers arrived, they inflicted a crushing
defeat, killing the ruler of the Eastern Barbarians, taking prisoner his
subjects, and seizing their domestic animals. Then he returned and
rode west, attacking and routing the Yueh-chih, and annexed the lands
of the ruler of Lou-fan and the ruler of Po-yang south of the Yellow
River. Thus he recovered possession of all the lands which the Ch'in
general Meng T'ien had taken away from the Hsiung-nu; the border
between his territory and that of the Han empire now followed the old
line of defenses sc:>~lth of the Yellow River, and from there he marched into the Ch'ao-na and Fu-shih districts and then invaded Yen and Tai.
6 The Gobi Desert.
The Hsiung-nu
At this time the Han forces were stalemated in battle with the armies
of Hsiang Yu, and China was exhausted by warfare. Thus Mo-tun was
able to strengthen his position, massing a force of over three hundred thousand skilled crossbowmen.
Over a thousand years had elapsed from the time of Ch'un-wei, the
ancestor of the Hsiung-nu, to that of Mo-tun, a vast period during
which the tribes split up and scattered into various groups, sometimes
expanding, sometimes dwindling in size. Thus it is impossible to give
any ordered account of the lineage of the Hsiung-nu rulers. When Mo
tun came to power, however, the Hsiung-nu reached their peak of
strength and size, subjugating all of the other barbarian tribes of the
north and turning south to confront China as an enemy nation. As a
result of this, it is possible to give an account here of the later Hsiung-nu rulers and of the offices and titles of the nation.
Under the Shan-yii are the Wise Kings of the Left and Right, the left and right Lu-li kings, left and right generals, left and right com- .
mandants, left and right household administrators, and left and right
Ku-tu marquises. The Hsiung-nu word for "wise" is "l'u-ch'i," so that the heir of the Shan-yii is customarily called the "T'u-ch'i King of the Left." Among the other leaders, from the wise kings on down to the
household administrators, the more important ones command ten
thousand horsemen and the lesser ones several thousand, numbering
twenty-four leaders in all, though all are known by the title of "Ten
Thousand Horsemen." The high ministerial offices are hereditary, be
ing filled from generation to generation by the members of the Hu-yen
and Lan families, and in more recent times by the Hsu-pu family.
These three families constitute the aristocracy of the nation. The kings
and other leaders of the left live in the eastern sector, the region from
Shang-ku east to the lands of the Hui-mo and Ch'ao-hsien peoples. The
kings and leaders of the right live in the west, the area from Shang
Province west to the territories of the Yueh-chih and Ch'iang tribes.
The Shan-yii has his court in the region north of Tai and yun-chung.
Each group has its own area, within which it moves about from place
to place looking for water and pasture. The Left and Right Wise Kings
and Lu-li kings are the most powerful, while the Ku-tu marquises assist
the Shan-yii in the administration of the nation. Each of the twenty
164 16 5 Statesmen, Generals, Foreign Peoples
four leaders in turn appoints his own "chiefs of a t~u~!ld./' "chiefs of a hundred," and "chiefs of ten," as well as his subordinate kings, prime ministers, chief commandants, household administrators, chii-ch'ii 7
officials, and so forth. In the first month of the year the various leaders come together in a
small meeting at the Shan-yi/s court to perform sacrifices, and in the fifth month a great meeting is held at Lung-ch'eng at which sacrifices are conducted to the Hsiung-nu ancestors, Heaven and Earth, and the gods and spirits. In the autumn, when the horses are fat, another great meeting is held at the Tai Forest when a r~~koning is made of the
number of persons and animals. According to Hsiung-nu law, anyone who in ordinary times draws
his sword a foot from the scabbard is condemned to death. Anyone con victed of theft has his property confiscated. Minor offenses are punished by flogging and major ones by death. No one is kept in jail awaiting sentence longer than ten days, and the number of imprisoned
men for the whole nation does not exceed a handful. s
At dawn the Shan-yii leaves his camp and makes obeisance to the sun as it rises, and in the evening he makes a similar obeisance to the moon. In seating arrangements the left .ide or the seat facing north is considered the place of honor. The days wu and chi of the ten-day week
are regarded as most auspicious. In burials the Hsiung-nu use an inner and an outer coffin, with ac
cessories of gold, silver, clothing, and fur, but they do not construct grave mounds or plant trees on the grave, nor do they use mourning garments. vVhen a ruler dies, the ministers and concubines who were favored by him and who are obliged to follow him in death often
number in the hundreds or even thousands. Whenever the Hsiung-nu begin some undertaking, they observe the
stars and the moon. They attack when the moon is full and withdraw their troops when it wanes. After a battle those who have cut off the
7 It is impossible to tell from the name alone what this title means. In later times, when the barbarians invaded and conquered northern China, Chu-ch'ii
became a Chinese surname. S Ssu-ma Ch'ien is inviting a comparison with the situation in China in his
own day, when the jails were full to overAowing with men awaiting sentence.
The Hsiung-nu
heads of the enemy or taken prisoners are presented with a cup of wine ;nd allowed to keep the spoils they have captured. Any prisoners that are taken are made slaves. Therefore, when they fight, each man strives for his own gain. They are very skillful at using decoy troops to lure their opponents to destruction. When they catch sight of the enemy, they swoop down like a flock of birds, eager for booty, but when they find themselves hard pressed and beaten, they scatter and vanish like the mist. Anyone who succeeds in recovering the body of a comrade who has fallen in battle receives all of the dead man's property.
Shortly after the period described above, Mo-tun launched a series of campaigns to the north, conquering the tribes of Hun-yu, Ch'u-she, Ting-ling, Ko-k'un, and Hsin-li. Thus the nobles and high ministers of the Hsiung-nu were all won over by Mo-tun, considering him a truly worthy leader.
At this time Kao-tsu, the founder of the Han, had just succeeded in winning control of the empire and had transferred Hsin, the former king of Hann, to the rulership of Tai, with his capital at Ma-i. The Hsiung-nu surrounded Ma-i and attacked the city in great force, where upon Hann Hsin surrendered to them. With Hann Hsin on their side, they then proceeded to lead their troops south across Mount Chu chu and attack T'ai-yuan, marching as far as the city of Chin-yang. Emperor Kao-tsu led an army in persOll to attack them, but it was winter and he encountered such cold and hea vy snow that two or three out of every ten of his men lost their fingers from frostbite. Mo-tun feigned a retreat to lure the Han soldiers on to an attack. When they came after him in pursuit, he concealed all of his best troops and left only his weakest and puniest men to be observed by the Han scouts. With this the entire Han force, supplemented by three hundred and twenty thousand infantry, rushed north to pursue him; Kao-tsu led the way, advancing as far as the city of P'ing-ch'eng.
Before the infantry had had a chance to arrive, however, Mo-tun swooped down with four hundred thousand of his best cavalry, sur rounded Kao-tsu on White Peak, and held him there for seven days. The Han forces within the encirclement had no way of receiving aid or provisions from their comrades outside, since the Hsiung-nu cavalry surrounded them on all sides, with white horses on the west side,
166 167 Statesmen, Generals, Foreign Peoples
greenish horses on the east, black horses on the north, and red ones on the south.\)
Kao-tsu sent an envoy in secret to Mo-run's consort, presenting her with generous gifts, whereupon she S'POKe to Mo-run, saying, "Why should the rulers of these two nations make such trouble for each other? Even if you gained possession of the Han lands, you could never occupy them. And the ruler of the Han may have his guardian deities as well as you. I beg you to consider the matter well!"
Mo-run had previously arranged for the troops of Wang Huang and Chao Li, two of Hann Hsin's generals, to meet with him, but though the appointed time had come, they failed to appear and he began to suspect that they were plotting with the Han forces. He there fore decided to listen to his consort's advice and withdrew his forces from one corner of the encirclement. Kao-tsu ordered his men to load their crossbows with arrows and hold them in readiness pointed to ward the outside. These preparations completed, they marched straight out of the encirclement and finally joined up with the rest of the army.
Mo-run eventually withdrew his men and went away, and Kao-tsu likewise retreated and abandoned the campaign, dispatching Liu Ching to conclude a peace treaty with the Hsiung-nu instead.
After this Hann Hsin became a general for the Hsiung-nu, and Chao Li and Wang Huang violated the peace treaty by invading and plunder ing Tai and yun-chung. Shortly afterwards, Ch'en Hsi revolted and joined with Hann Hsin in a plot to attack Tai. Kao-tsu dispatched Fan K'uai to go and attack them; he recovered possession of the provinces and districts of Tai, Yen-men, and YUIl-chung, but did not venture beyond the frontier.
At this time a number of Han generals had gone over to the side of the Hsiung-nu, and for this reason Mo-run was constantly plundering the region of Tai and causing the Han great worry. Kao-tsu therefore dispatched Liu Ching to present a princess of the imperial family to the Shan-yii to be his consort. The Han agreed to send a gift of specified quantities of silk floss and cloth, grain, and other food sruffs each
\) These four colors are symbolic of the four directions in Chinese belief and, if [he narrative is correct, in Hsiung-nu belief as well.
The Hsiung-nu
year, and the two nations were to live in peace and brotherhood. After this Mo-run raided the frontier less often than before. Later Lu Wan, the king of Yen, revolted and led his party of several thousand follow ers across the border to surrender to the Hsiung-nu; they roamed back and fonh in the region from Shang-ku to the east, causing considerable disturbance.
After Emperor Kao-tsu passed away, Emperor Hui and Empress Lli in t~rn r~;led the country. At this time the Han had just COme to power and the Hsiung-nu, unimpressed by its strength, were behaving with great arrogance. Mo-run even sent an insulting letter to Empress Lu. IO She wanted to launch a campaign against him, but her generals re minded her that "even Emperor Kao-tsu, with all his wisdom and bravery, encountered great difficulty at P'ing-ch'eng," and she was
finally persuaded to give up the idea and resume friendly relations with the Hsiung-nu.
When Emperor Wen came to the throne he renewed the peace treaty with the Hsi ung-nu. In the fifth month of the third year of his reign [177 R.C.], however, the Hsiung-nu Wise King of the Right invaded the region south of the Yellow River, plundering the loyal bar barians of Shang Province who had been appointed by the Han to guard the fromier, and murdering and carrying off a number of the inhabitants. Emperor Wen ordered the chancellor Kuan Ying to lead a force of eighty-five thousand carriages and cavalry to Kao-nu, where they attacked the Wise King of the Right. The latter fled beyond the fromier. The emperor in person visited T'ai-yuan, at which time the king of Chi-pei revolted. When the emperor returned to the capital he disbanded the army which Kuan Ying had used in the attack on the barbarians.
The following year the Shan-yii sent a letter to the Han COUrt which read:
The great Shan-yii whom Heaven has set up respectfully inquires of the emperor's health. Formerly the emperor broached the question of a peace alliance, and I was most happy to comply with the intentions expressed in his letter. Certain of the Han border officials, however, imposed upon and in
10 In his letter MO-lUn suggested that, since both he and Empress Lii were old and lonely, they might get together and console each other.
168 169 Statesmen, Generals, Foreign Peoples
suited the Wise King of the Right, and as a result he heeded the counsel of Hou-i, Lu·hou, Nan-ehih, and others of his generals and, without asking my permission, engaged in a skirmish with the Han officials, thus violating the pact between the rulers of our twO nations and rupturing the bonds of brotherhood that joined us. The emperor has twice sent letters complaining of this situation and I have in turn dispatched an envoy with my answer, but my envoy has not been allowed to return, nor has any envoy come from the Han. As a result, the Han has broken off peaceful relations and our twO
neighboring countries are no longer bound in alliance. Because of the violation of the pact committed by the petty officials, and
the subsequent events, f have punished the Wise King of the Right by send· ing him west to search out the Yueh-chih people and attack them. Through the aid of Heaven, the excellence of his fighting men, and the strength of his horses, he has succeeded in wiping out the Yueh-chih, slaughtering or forcing to submission every member of the tribe. In addition he has conquered the Lou-Ian, \VlI-sun, and Hu-chieh tribes, as well as the twenty-six states nearby, so that all of them have become a part of the Hsiung-nu nation. All the peo ple who live by drawing the bow are now united into one family and the
entire region of the north is at peace. Thus I wish now to lay down my weapons, rest my soldiers, and turn my
horses to pasture; to forget the recent affair and restore our old pact, that the peoples of the border may have peace such as they enjoyed in former times, that the young may grow to manhood, the old live out their lives in security, and generation after generation enjoy peace and comfon.
However, f do not as yet know the intentions of the emperor. Therefore I have dispatched my palace attendant Hsi-hu-ch'ien to bear this letter. At the same time I beg to present one camel, two riding horses, and eight car· riage horses. If the emperor does lIOt wish the Hsiung-nu to approach his frontier, then he should order the officials and people along the border to withdraw a good distance back from the frontier. When my envoy has arrived and delivered this, I trust that he will be sent back to me.
The envoy bearing the letter arrived in the region of Hsin-wang
during the sixth month. When it was delivered to the emperor, he be·
gan deliberations with his ministers as to whether it was better to attack
or make peace. The high officials all stated, "Since the Shan-yii has just
conquered the Yueh-chih and is riding on a wave of victory, he can
not be attacked. Moreover, even if we were to seize the Hsiung.nu
The Hsiung-nu
lands, they are all swamps and saline wastes, not fit for habitation. It
would be far better to make peace."
The emperor agreed with their opinion and in the sixth year of the
former part of his reign [174 B.C.] he sent an envoy to the Hsiung-nu with a letter which read as follows:
The emperor respectfully inquires about the health of the great Shan·yii. Your palace attendant Hsi-hu-ch'ien has brought us a letter which states: "The Wise King of the Right, without asking my permission, heeded the counsel of Hou-i, Lu-hou, Nan-chih, and others of his generals, violating the pact between the rulers of our two nations and rupturing the bonds of brotherhood that joined us, and as a result the Han has broken off peaceful relations with me, and our two neighboring countries are no longer bound in alliance. Because of the violation of the pact committed by the petty officials, I have punished the Wise King of the Right by sending him west to attack the Yueh-chih. Having completed the conquest of the region, I wish to lay down my weapons, rest my soldiers, and turn my horses to pas ture; to forget the recent affair and restore our old pact so that the peoples of the border may have peace, the young may grow to manhood, the old live out their lives in security, and generation after generation enjoy peace and comfort."
We heartily approve these words. This indeed is the way the sage rulers of antiquity would have spoken.
The Han has made a pact of brotherhood with the Hsiung.nu, and for this reason we have sent generous gifts to you. Any violations of the pact or ruptures of the bonds of brotherhood have been the work of the Hsiung·nu. However, as there has been an amnesty since the affair of the 'Wise King of the Right occurred,11 you need not punish him too severely. ff your intentions are really those expressed in your letter, and if you will make them clearly known to your various officials so that they will henceforth act in good faith and commit no more violations of the pact, then we are prepared to honor the terms of your letter.
Your envoy tells us that you have led your troops in person to attack the
11 It is not clear what amnesty this refers to. The Han shu "Annals of Emperor Wen" records a general amnesty in the seventh year (t73 B.C.), but none for the years between lhe Hsiung.nu attack and the date of this letter. Perhaps the letter should be dated in the seventh year. The whole statement about lhe am nesty is of course no more than a cleverly phrased assertion of the Han em peror's sovereignty over the Hsiung.nu.
171 Statesmen) Generals) Foreign Peoples 17° other barbarian nations and have won merit, suffering great hardship on the fielel of battle. We therefore send you from our own wardrobe an embroidered robe lined with patterned damask, an embroidered and lined underrobe, and a brocaded coat, one each; one comb; one sash with gold ornaments; one gold-ornamented leather belt; ten rolls of embroidery; thirty roles of brocade; and forty rolls each of heavy red silk and light green silk, which shall be de livered to you by our palace counselor I and master of guests Chien.
Shortly after this, Mo-tun died and his son Chi-chu was set up with
the title of Old Shan-yii. When Chi-chu became Shan-yii, Emperor
Wen sent a princess of the imperial family to be his consort, dispatching
a eunuch fr~m Yen named Chung-hsing Shuo to accompany her as her
tutor. Chung-hsing Shuo did not wish to undertake the mission, but the
Han officials forced him to do so. "My going will bring nothing but
trouble to the Han!" he warned them.
After Chung-hsing Shuo reached his destination, he went over to the
side of the Shan-yii, who treated him with the greatest favor.
The Hsiung-nu had always had a liking for Ha!l.~ilk~ and food
stuffs, but Chung-hsing Shuo told them, "All the multitudes of the
Hsiung-nu nation would not amount to one province in the Han
empire. The strength of the Hsiung-nu lies in the very fact that their
food and clothing are different from those of the Chinese, and they are
therefore not dependent upon the Han for anything. Now the Shan-yii
has this fondness for Chinese things and is trying to change the Hsiung
nu customs. Thus, although the Han sends nO more than a fifth of
its goods here, it will in the end succeed in winning over the whole
Hsiung-nu nation. From now on, when you get any of the Han
silks, put them on and try riding around on your horses through
the brush and brambles! In no time your robes and leggings will
be torn to shreds and everyone will be able to see that silks are no
match for the utility and excellence of felt or leather garments. Like
wise, when you get any of the Han foodstuffs, throw them away so
that the people can see that they are not as practical or as tasty as
milk and kumiss!"
He also taught the Shan-yii's aides how to make an itemized account
ing of the number of persons and domestic animals in the country.
The Han letters addressed to the Shan-yii were always written on
The Hsiung-nu
w()oden tablets one foot and one inch in length and began, "The
emperor respectfully inquires about the health of the great Shan-yii
of the Hsiung-nu. We send you the following articles, etc., etc." Chung
hsing Shuo, however, instructed the Shan-yii to use in replying to the
Han a tablet measuring one foot two inches, decorated with broad
stamps and great long seals, and worded in the following extravagant
manner; "The great Shan-yu of the Hsiung-nu, born of Heaven and
Earth and ordained by the sun and moon, respectfully inquires abollt
the health of the Han emperor. We send you the following articles,
etc., etc."
When one of the Han envoys to the Hsiung-nu remarked scornfully
that Hsiung-nu custom showed no respect for the aged, Chung-hsing
Shuo began to berate him. "According to Han custom," he said, "when
the young men are called into military service and sent off with the
army to garrison the frontier, do not their old parents at home vol
untarily give up their warm clothing and tasty food so that there will be
enough to provide for the troops?"
"Yes, they do," admitted the Han envoy.
"The Hsiung-nu make it clear that warfare is their business. And
since the old and the weak are not capable of fighting, the best food
and drink are naturally allotted to the young men in the prime of life.
So the young men are willing to fight for the defense of the nation, and
both fathers and sons are able to live out their lives in security. How
can you say that the Hsiung-nu despise the aged?"
"But among the Hsiung-nu," the envoy continued, "fathers and sons
sleep together in the same tent. And when a father dies, the sons marry
their own stepmothers, and when brothers die, their remaining brothers
marry their widows! These people know nothing of the elegance of
hats and girdles, nor of the rituals of the court!"
"According to Hsiung-nu custom," replied Chung-hsing Shuo, "the
people eat the flesh of their domestic animals, drink their milk, and
wear their hides, while the animals graze from place to place, searching
for pasture and water. Therefore, in wartime the men practice riding
and shooting, while in times of peace they enjoy themselves and have
nothing to do. Their laws are simple and easy to carry out; the rela
tion between ruler and subject is relaxed and intimate, so that the
172 173 Statesmen, Generals, Foreign Peoples
. governing of the whole nation is no more complicated than the
governing of one person. The reason that sons marry their stepmothers
and brothers marry their widowed sisters-in-law is simply that they
hate to see the clan die our. Therefore, although the Hsiung-nu en
counter times of turmoil, the ruling families always manage to stand
firm. In China, on the other hand, though a man would never dream of marrying his stepmother or his brother's widow, yet the members of
the same family drift so far apart that they end up murdering each
other! This is precisely why so many changes of dynasty have come
about in China! Moreover, among the Chinese, as etiquette and the
sense of duty decay, enmity arises between the rulers and the ruled,
while the excessive building of houses and dwellings exhausts the
strength and resources of the nation. Men try to get their food and
clothing by farming and raising silkworms and to insure their safety
by building walls and fortifications. Therefore, although danger
threatens, the Chinese people are given no training in aggressive war
fare, while in times of stability they must still wear themselves out
trying to make a living. Pooh! You people in your mud huts-you talk
too much! Enough of this blabbering and mouthing! Just because you
wear hats, what does that make you?"
After this, whenever the Han envoys would try to launch into any
sermons or orations, Chung-hsing Shuo would cut them off at once.
"Not so much talk from the Han envoys! Just make sure that the silks
and grainsluffs you bring to the Hsiung-nu are of the right measure
and quality, that's all. What's the need for talking? If the goods you deliver are up to measure and of good quality, all right. But if there is
any deficiency or the quality is no good, then when the autumn harvest
comes we will take our horses and trample all over your crops!"
Day and night he instructed the Shan-yii on how to maneuver into
a more advantageous position.
In the fourteenth year of Emperor Wen's reign [166 B.C.] the Shan-yu led a force of one hundred and forty thousand horsemen through the
Ch'ao-na and Hsiao passes, killing Sun Ang, the chief commandant of
Pei-ti Province, and carrying off large numbers of people and animals.
Eventually he rode as far as P'eng-yang, sent a surprise force to break
The Hsiu12g-nu
into and burn the Hui-chung Palace, and dispatched scouts as far as
the Palace of Sweet Springs in Yung. 12
Emperor Wen appointed the palace military commander Chou She
and the chief of palace attendants Chang Wu as generals and put them
in command of a force of a thousand chariots and a hundred thousand
horsemen to garrison the vicinity of Ch'ang-an and guard the capital
from the barbarian invaders. He also appointed Lu Ch'ing, the marquis
of Ch'ang, as general of Shang Province; \Vei Su, the marquis of Ning,
as general of Pei-ti; Chou Tsao, the marquis of Lung-Iu, as general of
Lung-hsi; Chang Hsiang-ju, the marquis of Tung-yang, as general in
chief; and Tung Ch'ih, the marquis of Ch'eng, as general of the van
guard, and sent them with a large force of chariots and cavalry to attack
the barbarians. The Shan-yii remained within the borders of the empire
for a little over a month and then withdrew. The Han forces pursued
him beyond the frontier but returned without having been able to kill
any of the enemy.
The Hsiung-nu grew more arrogant day by day, crossing the border
every year, killing many of the inhabitants, and stealing their animals.
Yun-chung and Liao-hsi suffered most severely, while in Tai Province
alone over ten thousand persons were killed. The Han court, greatly
distressed, sent an envoy with a letter to the Hsi ung-nu, and the
Shan-yii in turn dispatched one of his household administrators to apologize and request a renewal of the peace alliance.
In the second year of the latter part of his reign [162 B.C.] Emperor Wen sent an envoy to the Hsiung-nu with a letter that read:
The emperor respectfully inquires about the health of the great Shall-Yu. Your envoys, the household administrator and chii-ch'u Tiao Ch'u-nan and the palace attendant Han Liao, have delivered to us two horses, which we have respectfully accepted.
According to the decree of the former emperor, the land north of the Great Wall, where men wield the bow and arrow, was to receive its commands from the Shan-yii, while that within the wall, whose inhabitants dwell in houses and wear hats and girdles, was to be ruled by us; thus might the countless inhabitants of these lands gain their food and clothing by agricul
12 Bringing them within sight of the capital.
176 177 Statesmen, Generals, Foreign Peoples
Chi-men north of the Wei River, and at the Pa River, so as to be pre
pared for the barbarians in case they entered that area. The Hsiung-nu
cavalry poured through the Chu-chu Pass in Tai, and the signal fires
along the border flashed the news of their invasion to Ch'ang-an and
the Palace of Sweet Springs. After several months the Han troops
reached the border, but by that time the Hsiung-nu had already with
drawn far beyond and the Han troops were recalled.
A year or so later Emperor Wen passed away and Emperor Ching
came to the throne. At this time Liu Sui, the king of Chao, sent envoys
in secret to negotiate with the Hsiung-nu. When Wu, Ch'u, Chao, and
the other states revolted, the Hsiung-nu planned to cooperate with
Chao and cross the border, but the Han forces besieged and defeated
the king of Chao, and the Hsiung-nu called off their plans for an
InvaSion. After this Emperor Ching once more renewed the peace alliance
with the Hsiung-nu, allowing them to buy goods in the markets along
the Han border and sending them supplies and a princess of the im
perial family, as had been done under the earlier agreements. Thus,
throughout Emperor Ching's reign, although the Hsiung-nu from time
to time made small plundering raids across the border, they did not . . .
carry out any major ll1VaSlon.
When the present emperor came to the throne he reaffirmed the
peace alliance and treated the Hsiung-nu with generosity, allowing
them to trade in the markets of the border stations and sending them
lavish gifts. From the Shan-yii on down, all the Hsiung-nu grew friendly with the Han, coming and going along the Great Wall.
The emperor then dispatched Nieh Weng-i, a native of the city of
Ma-i, to carry contraband goods to the Hsiung-nu and begin trading
with them. This done, Nieh Weng-i deceived them by offering to hand
over the city of Ma-i to the Shan-yii, intending by this ruse to lure him into the area. The Shan-yii trusted Nieh Weng-i and, greedy for the wealth of Ma-i, set out with a force of a hundred thousand cavalry
and crossed the border at the barrier of \Vu-chou. The Han in the
meantime had concealed three hundred thousand troops in the vicinity
of Ma-i, headed by four generals under the imperial secretary Han An-
The Hsiung-nu
kuo, who was the leader of the expeditionary forces, ready to spring on
the Shan-yii when he arrived.
The Shan-yu crossed the Han border but was still some hundred Ii from Ma-i when he began to notice that, although the fields were full
of animals, there was not a single person in sight. Growing suspicious,
he attacked one of the beacon warning stations. A defense official of
Yen-men who had been patrolling the area but had caught sight of the
barbarian invaders had at this time taken refuge in the warning station,
for he knew of the plan of the Han forces to ambush them. Vlhen the
Shan-yii attacked and captured the warning station, he was about to
put the defense official to death when the latter informed him of the
Han troops hiding in the valley. "I suspected as much!" exclaimed the
Shan-yu in great alarm, and proceeded to lead his forces back to the border. After they had safely crossed the border he remarked, "Heaven
was on my side when I captured this defense official. In effect Heaven
sent you to warn me!" and he awarded the defense official the title of
"Heavenly King."
The Han forces had agreed to wait until the Shan-yii had entered Ma-i before launching their attack but, since he never proceeded that
far, they had no opportunity to strike. Meanwhile another Han general,
Wang Hui, had been ordered to lead a special force from Tai and attack
the Hsiung-nu baggage train, but when he heard that the Shan-yii had
retreated and that his forces were extremely numerous, he did not
dare to make an attack. When it was all over the Han officials con
demned Wang Hui to execution on the grounds that, though he was
the one who had engineered the entire plot, he had failed to advance
when the time came.
After this the Hsiung-nu broke off friendly relations with the Han
and began to attack the border defenses wherever they happened to be.
Time and again they crossed the frontier and carried out innumerable
plundering raids. At the same time they continued to be as greedy as
ever, delighting in the border markets and longing for Han goods,
and the Han for its part continued to allow them to trade in the markets
in order to sap their resources.
Five years after the Ma-i campaign, in the autumn [129 B.C.], the
178 179 Statesmen, Generals, Foreign Peoples
Han government dispatched four generals, each with a force of ten
thousand cavalry, to make a surprise attack on the barbarians at the
border markets. General Wei Ch'ing rode out of Shang-ku as far as
Lung-ch'eng, killing or capturing seven hundred of the enemy. Kung.
sun Ho proceeded from Yun-men, but took no captives. Kung-sun Ao
rode north from Tai Province, but was defeated by the barbarians and
lost over seven thousand of his men. Li Kuang advanced from Yen
men, but was defeated and captured, though he later managed to
escape and return to the Han. On their return, Kung-sun Ao and Li
Kuang were thrown imo prison by the Han officials but were allowed
to purchase a pardon for their offenses and were reduced to the status of
commoners. In the wimer the Hsiung-nu several times crossed the border on
plundering expeditions, hitting hardest at Y u-yang. The emperor dis
patched General Han An-kuo to garrison Yu-yang and protect it from
the barbarians. In the autumn of the following year twemy thousand
Hsiung-nu horsemen invaded the empire, murdered the governor of
Liao-hsi, and carried off over two thousand prisoners. They also in
vaded Yi.i-yang, defeated the army of over a thousand under the com
mand of the governor of Yu-yang, and surrounded Han An-kuo's
camp. Han An-kuo at this time had a force of over a thousand horse
men under his command, but before long even these were on the point
of being wiped out. Relief forces arrived from Yen just in time, and the
Hsiung-nu withdrew. The Hsiung-nu also invaded Yen-men and killed
or carried off over a thousand persons. The Han then dispatched General Wei Ch'ing with a force of thirty
thousand cavalry to ride north from Yen-men, and Li Hsi to ride out
from Tai Province to attack the barbarians. They succeeded in killing
or capturing several thousand of the enemy. The following year Wei Ch'ing again rode out of Y un-chung and
proceeded west as far as Lung-hsi, attacking the kings of the Lou-fan
and Po-yang barbarians south of the Yellow River, capturing or killing
several thousand of the enemy, and seizing over a million cattle and
sheep. Thus the Han regained conuol of the area south of the bend of
the Yellow River and began to build fortifications at So-fang, repairing
the old system of defenses that had been set up by Meng T'ien during
The Hsiung-1ltt
the Ch'in dynasty and strengthening the frontier along the Yellow
River. The Han also abandoned claims to the district of Shih-pi and
the region of Tsao-yang that had formed the extreme northern part
of the province of Shang-ku, handing them over to the Hsiung-nu. This
took place in the second year of the era yiian-Jo [127 B.C.]. The following winter the Shan-yii Chun-ch'en died and his younger
brother, the Lu-li King of the Left, I-chih-hsieh, set himself up as
Shan-yii. He attacked and defeated Chun-ch'en's heir, Yu-tan, who fled and surrendered to the Han. The Han enfeoffed Yu-tan as
marquis of She-an, but he died several months later.
The summer after I-chih-hsieh became Shan-yii the Hsiung-nu in vaded the province of Tai with twenty or thirty thousand cavalry,
murdering the governor, Kung Yu, and carrying off over a thousand
persons. In the fall the Hsiung-nu struck again, this time at Yen-men,
killing or carrying off over a thousand of the inhabitants. The following
year they once more invaded Tai, Ting-hsiang, and Shang Provinces
with thirty thousand cavalry in each group, killing or carrying off
several thousand persons. The Wise King of the Right, angry that the
Han had seized the territory south of the Yellow River and built
fortifications at So-fang, several times crossed the border on plundering
raids; he even went so far as to invade the region south of the river,
ravaging So-fang and killing or carrying off a large number of the
officials and inhabitants.
In the spring of the following year [124 B.C.] the Han made Wei Ch'ing a general in chief and sent him with an army of over a hundred
thousand men and six generals to proceed north from So-fang and Kao
ch'ueh and strike at the barbarians. The Wise King of the Right, con
vinced that the Han forces could never penetrate far enough north to
reach him, had drunk himself into a stupor when the Han army, march
ing six or seven hundred li beyond the border, appeared and sur rounded him in the night. The king, greatly alarmed, barely escaped
with his life, and his best horsemen managed to break away in small
groups and follow after him; the Han, however, succeeded in cap
turing fifteen thousand of his men and women, including over ten
petty kings.
In the autumn a Hsiung-nu force of ten thousand cavalry invaded
180 181 Statesmen, Generals, Foreign Peoples
Tai Province, killed the chief commandant Chu Ying, and carried off
over a thous;JlId men. In the spring of the following year [123 B.C.] the Han again dis·
patched the general in chief Wei Ch'ing with six generals and a force of over a hundred thousand cavalry; they rode several hundred Ii north from Ting-hsiang and attacked the Hsiung-nu. All in all they succeeded in killing or capturing over nineteen thousand of the enemy, but in the engagements the Han side lost two generals and over three thousand cavalry. Of the two generals one of them, Su Chien, the general of the right, managed to escape, but the other, Chao Hsin, the marquis of Hsi, who was actiug as general of the vanguard, surrendered to the Hsiung-nu when he saw that his men could not win a victory.
Chao Hsin was originally a petty king of the Hsiung-nu who later went over to the side of the Han. The Han enfeoffed him as marquis of Hsi and made him general of the vanguard, sending him to accompany Su Chien, the general of the right, on a different line of advance from that of the rest of the expedition. Chao Hsin and the forces under his command were alone, however, when they encountered the Shan-yii's men, and as a result his troops were wiped out. The Shan-yii, having accepted Chao Hsin's surrender, appointed him to the rank of Tzu-tz'u king, gave him his own sister as a wife, and began to plot with him against the Han. Chao Hsin advised the Shan-yii to withdraw farther north beyond the desert instead of maneuvering near the Chinese border. In this way he would be able to lure the Han troops after him and, when they were thoroughly exhausted, take advantage of their weakness to wipe them out. The Shun-yii agreed to follow this plan.
The following year ten thousand barbarian horsemen invaded Shang-ku and killed several hundred inhabitants.
In the spring of the next year [121 B.C.] the Han dispatched the gen eral of swift cavalry Ho Ch'u-ping to lead len thousand cavalry out of Lung-hsi. They rode more than a thousand li beyond Mount Yen-chih and attacked the Hsiung-nu, killing or capturing over eighteen thou sand of the enemy cavalry, defeating the Hsiu-t'u king, and seizing the golden man which he used in worshiping Heaven.14
14 Scholars have long speculated whether the "golden man" might not have been a Buddhist image. If so, this passage would mark the earliest record of Chinese contact with the Buddhist religion.
The Hsiung-nu
In the summer Ho Ch'u-ping, accompanied by Kung-sun Ao, the Ho-ch'i marquis, led a force of twenty or thirty thousand cavalry some two thousand li out of Lung-hsi and Pei-ti to attack the barbarians. They passed Chu-yen, attacked in the region of the Ch'i-lien Mountains, and captured or killed over thirty thousand of the enemy, including seventy or more petty kings and their subordinates.
Meanwhile the Hsiung-nu invaded Yen-men in Tai Province, killing or carrying off several hundred persons. The Han dispatched Chang Ch'ien, the Po-wang marquis, and General Li Kuang to ride out of Yu-pei-p'ing and attack the Hsiung-nu Wise King of the Left. The Wise King of the Left surrounded Li Kuang's army and came near to wiping out his four thousand men, though he managed to inAict extraordinary damage on the enemy. Chang Ch'ien's forces came to the rescue just in time and Li Kuang was able to escape, but the Han losses amounted to several thousand men. When the armies returned to the capital, Kung-sun Ao was accused of having arrived late at a rendezvous with Ho Ch'i.i-ping and was condemned to die along with Chang Ch 'ien; both men purchased pardons and were reduced to the rank of commoners.
The Shan-yii was angry at the Hun-yeh and Hsiu-t'u kings who lived in the western part of his domain because they had allowed the Han to capture or kill twenty or thirty thousand of their men; in the autumn he sent them a summons', intending to execute them. The Hun-yeh and Hsiu-t'u kings, terrified, sent word to the Han that they were willing to surrender. The Han dispatched Ho Ch'u-ping to go and meet them, but on the way the Hun-yeh king murdered the Hsiu-t'u king and combined the latter's forces with his own. When he sur rendered to the Han, he had a force of over forty thousand men, though it was commonly referred to as a force of a hundred thousand. Having gained the allegiance of the Hun-yeh king, the Han found itself far less troubled by barbarian invasions in the regions of Lung-hsi, Pei-ti, and Ho-hsi. It therefore moved a number of poor people from east of the Pass to the region south of the bend of the Yellow River known as New Ch'in, which had been seized from the Hsiung-nu, in order to populate the area, and reduced the number of garrison troops along the border west of Pei-ti to half.
The following year [120 B.C.] the Hsiung-nu invaded Yu-pei-p'ing
182 183 Statesmen, Generals, Foreign Peoples
and Ting-hsiang with a force of twenty or thirty thousand cavalry
in each region, killing or carrying off over a thousand persons before
withdrawing.
In the spring of the following year [II9 B.C.] the Han strategists plotted together, saying, "Chao Hsin, the marquis of Hsi, who is act
ing as adviser to the Shan-yii, is convinced that, since the Hsiung-nu
are living north of the desert, the Han forces can never reach them."
They agreed therefore to fatten the horses on grain and send out a
force of a hundred thousand cavalry, along with a hundred and forty
thousand horses to carry baggage and other equipment (this in addi
tion to the horses provided for transporting provisions). They ord~red
the force to split up into two groups commanded by the general in
chief Wei Ch'ing and the general of swift cavalry Ho Ch'u-ping. The
former was to ride out of Ting-hsiang and the latter out of Tai; it
was agreed that the entire force would cross the desert and attack the
Hsiung-nu.
When the Shan-yii received word of the approach of these armies,
he ordered his baggage trains to withdraw to a distance and, with his
fillest soldiers, waited on the northern edge of the desert, where he
closed in battle with the army of Wei Ch'ing. The battle continued
throughout the day and, as evening fell, a strong wind arose. With this
the Han forces swooped out to the left and right and surrounded the
Shan-yii. The Shan-yii, perceiving that he was no match for the Han
forces, abandoned his army and, accompanied by only a few hundred of his finest horsemen, broke through the Han encirclement and fled to
the northwest. The Han forces set out after him in the night and,
though they did not succeed in capturing him, cut down or seized
nineteen thousand of the enemy on the way. They proceeded north as
far as Chao Hsin's fort at Mount T'ien-yen before turning back.
After the Shan-yii had fled, his soldiers, mingling with the Han
forces in the confusion, little by little made their way after him. It was therefore a considerable time before the Shan-yii was able to reassemble
his army again. The Lu-Ji king of the right, believing that the Shan-yii
had been killed in battle, declared himself the new Shan-yii, but when
the real Shan-yii gathered his forces together again the Lu-li king re
nounced the title and resumed his former position.
The Hsiung-nu
Ho Ch'u-ping had meanwhile advanced some two thousand Ii north from Tai and closed in battle with the Hsiung-nu Wise King of the Left.
The Han forces killed or captured over seventy thousand of the enemy
and the wise king and his generals all fled. Ho Ch'u-ping performed a
Feng sacrifice at Mount Lang-chu-hsu and a Shan sacrifice at Mount
Ku-yen, gazing out across the sea of sand before returning. After this
the Hsiung-nu withdrew far from the Chinese border, and their leaders
no long~r e~tablished their courts south of the desert.
In the territory beyond the Yellow River from So-fang west to
Ling-chu the Han established irrigation works and set lip garrison
farms here and there, sending fifty or sixty thousand officials and
soldiers to man them. Gradually the farms ate up more and more
territory until they bordered the lands of the Hsiung-nu to the north.
In the campaign just concluded, when the two Han generals ad
vanced north in great force and surrounded the Shan-yii, the Han had
succeeded in killing or capturing eighty or ninety thousand of the
enemy. At the same time, however, twenty or thirty thousand Han
soldiers lost their Jives in the expedition and over a hundred thousand
horses were killed. Thus, although the Hsiung-nu had withdrawn far
to the north to nurse their wounds, the Han, being short of horses, was
unable to strike at them again. Followi~g the advice of Chao Hsin, the
Hsiung-nu dispatched an envoy to the Han court to use soft words
and request a peace alliance. When the emperor referred the proposal
to his ministers for deliberation, some of them spoke in favor of a
peace pact, while others urged that the Han pursue the Hsiung-nu
and force them to submission. Jen Ch'ang, the chief secretary to the
chancellor, announced his opinion, "Since the Hsiung-nu have just
recently been defeated and their spirits broken, they should be treated
as foreign vassals and required to come to the border in the spring and autumn to pay their respects to the Han."
The emperor accordingly sent Jen Ch'ang to the S/lan-yii with this
counterproposal. When the Shan-yii heard Jen Ch'ang's suggestion, he
flew into a rage and detained him in his camp, refusing to send him
back to China. (Earlier, one of the Hsiung-nu envoys had gone over
to the side of the Han and remained in China and the Shan-yii there
fore detained Jen Ch'ang by way of retaliation.)
184 Statesmen, Generah, Foreign Peoples
The H:m then began to gather together a force of men and horses
in preparation for another campaign, but just at that time the general
of swift cavalry Ho Ch\i-ping died and so for several years the Han
made no further attacks on the Hsiung-nu.
The Shan-yii I-chih-hsieh, after having ruled for thirteen years, died
and was succeeded by his son Wu-wei. This occurred in the third year
of the yiian-tilJg era [114 B.C.]. At the time that Wu-wei became Shan-yii, the Son of Heaven made his first imperial tour of the various
provinces, and after that the Han armies were busy in the south putting
down the rebellion in the twO kingdoms of Southern and Eastern Yi..ieh,
so no attacks were made on the Hsiung-nu. The Hsiung-nu for their
part likewise made no raids across the border.
Three years after Wu-wei became Shan-yii the Han, having wiped
out the kingdom of Southern Yi..ieh, dispatched the former master of
carriage Kung-sun Ho at the head of a force of fifteen thousand
caVJlry; they rode more than two thousand Ii north from Chiu-yi..ian, advancing as far as Fu-chi..i-ching before turning back, but they did
not catch sight of a single Hsiung-nu. The Han also dispatched Chao
P'o-nu, the former Ts'ung-p'iao marquis, with over ten thollsand
cavalry to ride out of Ling-chi..i; Chao P'o-nu proceeded several thou
sand Ii, reaching the Hsiung-ho River before turning back, but he too failed to see a single Hsiung-nu.
At this time the emperor was making a tour of the border. When
he reached So-fang, he held an inspection of one hundred and eighty
thousand cavalry soldiers in order to make a display of military might,
at the same time dispatching a man named Kuo Chi to the Shan-yii
to make sure that the Hsiung-nu were fully informed of the event.
When Kuo Chi reached the Hsiung-nu, the Hsiung-nu master of
guests asked him what his business was. Replying in very polite and
humble terms, Kuo Chi said, "I would like to wait until I am granted
an audience with the Shan-yu before stating my business."
When he was shown before the Shan-yii he said, "The head of the
king of Southern Yi..ieh hangs above the northern gate of the Han
capital. Now, if you are able, advance and engage the Han forces in
battle! The Son of Heaven has led his troops in person and is waiting
on the border. But if you are not able, then turn your face to the south
The Hsiung-nu 18S
and acknowledge yourself a subject of the Han! Why this useless run
ni ng a wa y and hidi ng far off north of the desert in a cold and bi tter
land where there is no water or pasture? It will get you nowhere!" When he had finished speaking, the Shan-yii, livid with rage, ordered
the master of guests who had ushered him in to be c,ut down on the
spot. He detained Kuo Chi and would not let him return to China;
later he moved him to the shore of the Northern Sea [Lake Baikal]. In
the end, however, the Shan-yii refused to be provoked into invading
the Han border but turned his horses to pasture, rested his troops, and
practiced archery and hunting instead, sending envoys to the Han
from time to time to speak with soft words and honeyed phrases and
req uest a peace alliance.
The Han in turn sent Wang Wu and others as envoys to observe the
Hsiung-nu. According to Hsiung-nu law, unless an envoy from the Han'
surrendered his credentials and allowed his face to be tattooed in
black, he would not be admitted to the Shan-yii's tent. Wang Wu had
been born in the north and was familiar with the barbarian customs,
and therefore he readily gave up his credentials, submitted to the
tattooing, and was able to gain admittance to the Shan-yii's tent. The
Shan-yii showed a great liking for him and pretended to agree amiably
with whatever he said, even with the suggestion that he send his son,
the heir apparent to the position of Shan-yii, as a hostage to the Han in
order to secure a peace alliance. The Han then dispatched Yang Hsin
as envoy to the Hsiung-nu.
At this time the Han forces in the east had conquered the barbarian
states of Hui-mo and Ch'ao-hsien and made provinces out of them,
while in the west the Han had created the province of Chiu-ch'i..ian in
order to drive a wedge between the Hsiung-nu and the Ch'iang bar
barians and cut off communications between them. It had also es
tablished relations with the Yi..ieh-chih people and Ta-hsia [Bactria]
farther west and had sent an imperial princess to marry the ruler of
the Wu-sun people, all in an effort to create a split between the
Hsiung-nu and the states to the west which had up to this time aided
and supported them. In addition, the Han continued to expand its
agricultural lands in the north until the frontier had been pushed out as
far as Hsi..ian-lei. In spite of all these moves, however, the Hsiung-nu
186 187 Statesmen, Generals, Foreign Peoples
did not dare to voice any objections. This year Chao Hsin, the marquis
of Hsi, who had been acting as adviser to the Shan-yii, died.
The Han administrators believed that the Hsiung-nu had already
been sufficiently weakened and could now be made to acknowledge
themselves subjects of the Han and submit to Chinese rule, and there
fore they had dispatched Yang Hsin as envoy to the Shan-yii. But Yang
Hsin was by nature very outspoken and unyielding and had never
been high in the Han bureaucracy; the Shan-yii showed no liking for
him. When summoned for an interview in the Shan-yii's tent, he re
fused to surrender his credentials, and so the Shan-yu had mats spread
outside his tent and received Yang Hsin there. "If you wish to con clude a peace alIiance," Yang Hsin announced when he had been
shown into the Shan-yi/s presence, "you must send your heir to the
Han court as a hostage!" "That is not the way things were done under the old alliance!" the
Shan-yii objected. "Under the old alliance the Han always .sent lls an
imperial princess, as well as allotments of silks, foocistuffh...!!nd other goods, in order to s~cure peace, while we for our part refrained from
making trouble on the border. Now you want to go against the old
ways and make me send my son as a hostage. I have no use for such
proposals!" It is the way with the Hsiung-nu that, whenever an envoy from the
Han comes who is not a high court official, if he is the scholarly Con
fucian type, they assume that he has come to lecture them and they do
all they can to squelch his rhetoric, while if he is a young man, they
assume he has come with assassination in mind and concentrate on
destroying his nerve. Every time a Han envoy arrives among the
Hsiung-nu, they send an envoy of their own to the Han in exchange. If the Han detains the Hsiung-nu envoy, then the Hsiung-nu detain the
Han envoy and will not release him until they have received what they
consider just treatment. After Yang Hsin returned from his mission to the Hsiung-nu, the
Han dispatched Wang Wu again, and once more the Shan-yii began
to talk in a mild and conciliatory way, hoping to be given a sizable
grant of Han goods. As part of the deception he told Wang Wu, "I
The Hsiung-nu
would like to make a trip to the Han and visit the Son of Heaven so
that face to face we may swear a pact of brotherhood!"
When Wang Wu returned and reported on his mission, the Han
built a residence for the Shan-yii in Ch'ang-an. The Shan-yii, however,
sent word that "unless some impOrtant member of the Han government
is sent as envoy, I cannot discuss the matter seriously."
Meanwhile the Hsiung-nu dispatched one of their important men as
envoy to the Han. When the man reached China, however, he fell ill
and, although the Han doctors gave him medicine and tried to cure
him, he unfortunately died. The Han then sent Lu Ch'ung-kuo to act
as envoy and to accompany the body of the dead Hsiung-nu back to his
country, spending several thousand gold pieces on a lavish funeral for
him. Lu Ch'ung-kuo was given the seals of a two-thousand picul
official to wear at his belt and bore assurances to the Hsiung-nu that
"this man is an important official of the Han." The Shan-yii, however,
was convinced that the Han had murdered the Hsiung-nu envoy and
therefore detained Lu Ch'ung-kuo and refused to let him return to
China. By this time everyone on the Han side was of the opinion that
the Shan-yii had only been deceiving Wang Wu with empty talk and
in fact had no intention of coming to China or sending his son as a
hostage. After this the Hsiung-nu several times sent surprise parties of
troops to raid the border, and the Han for its part conferred on Kuo
Ch'ang the title of "Barbarian Quelling General" and sent Chao plo-nu,
the marquis of Cho-yeh, to garrison the area from So-fang to the east
and defend it against the Hsiung-nu.
Lu Ch'ung-kuo had been detained by the Hsiung-nu for three years
when the Shan-yii Wu-wei died, having ruled for ten years. He was
succeeded by his son, Wu-shih-lu. Wu-shih-Iu was stilI young and was
therefore called the Boy Shan-yi!. The change took place in the sixth year of the yiian-feng era [105 B.C.].
After this the Shan-yii gradually moved farther to the northwest, so
that the soldiers of his left or eastern wing occupied the area north of
Yiin-chung, while those of his right wing were in the area around Chi u ch'iian and Tun-huang provinces.
When the Boy Shan-yii came to power the Han dispatched twO en
188 189 Statesmen, Generals, Foreign Peoples
voys, one to the new Shan-yii to convey condolences on the death of his father, and the other to convey condolences to the Wise King of the Right, hoping in this way to cause dissension between the two lead ers. When the envoys entered Hsiung-nu territory, however, the Hsiung-nu guides led them both to the Shan-yii. The Shan-yii, dis covering what they were up to, was furious and detained them both. The Hsi ung-nu had already detained over ten Han envoys in the past, while the Han had likewise detained a proportionate number of Hsiung-nu envoys. This same year the Han sent the Sutrishna General Li Kuang-li west to attack Ta-yuan [Ferghana] and ordered the Yin-yii General Kung-sun Ao to build a forti(1ed city called Shou-chiang-ch'eng,
the "City for Receiving Surrender." In the winter the Hsiung-nu were affiicted by heavy snowfalls, and
many of their animals died of starvation and cold. The Shan-yii, still a young boy, had a great fondness for warbre and slaughter, and many of his subjects were restless under his leadership. The Hsiung-nu chief commandant of the left wanted to assassinate the Shan-yii and sent a messenger in secret to report to the Han, "I wish to assassinate the Shan-yii and surrender to the Han, but the Han is too far away. If the Han will send a party of troops to meet me, however, I will at once
carry out the piaL" It was in fact because of this report that the Han had built the
fortified City for Recei vi ng Surrender. But the Han still considered tklt the chief commandant of the left was too far away to carry out
his plot successfully. In the spring of the following year the Han sent Chao P'o-nu, the
marquis of Cho-yeh, to lead a force of over twenty thousand cavalry some tWO thousand li northwest from So-fang and make contact with the chief commandant of the left at Mount Chiin-chi before returning. Chao P'o-nu arrived at the point of rendezvous but, before the chief commandant of the left could carry out the assassination, his plot was discovered. The Shan-yii had him executed and dispatched the forces from his left wing to attack Chao P'o-nu. Chao P'o-nu had by this time begun to withdraw, taking prisoners and killing several thousand Hsiung-nu soldiers on the way. When he was still four hundred Ii
The Hsiung-nu
from the City for Receiving Surrender, however, eighty thousand Hsiung-nu cavalry swooped down and surrounded him. Chao P'o-nu slipped out of the encirclement during the night and went by himself to look for water, but was captured alive by Hsiung-nu scouts. The main body of the Hsiung-nu then pressed their attack on Chao P'o-nu's army. Kuo Tsung and Wei Wang, two of the high officers in the Han army, plotted together, saying, "All of us, down to the company com manders, are afraid that, having lost our commanding general, we will be executed under military law. Therefore no one is anxious to return home." Eventually the whole army surrendered to the Hsiung-nu. The Boy SJwn-yii was delighted with his catch and sent a raiding party to attack the City for Recei ving Surrender, but the city held fast. The party then plundered the border area and withdrew.
The following year the Shan-yii again set out to attack the City for Receiving Surrender, this time in person, but before he reached his destination he fell ill and died. He had been Shan-yii only three years. Since his son was still very small, the Hsiung-nu appointed his uncle Kou-li-hu, the former Wise King of the Right and younger brother of the Shan-yii Wu-wei, as the new Shan-yii. This took place in the third year of the era t'ai-ch'u [I02 B.C.].
After Kou-li-hu had become Shan-yii the Han sent the superintendent of the imperial household HsLi Tzu-wei to ride out of the barrier at Wu-yuan and range through the area from several hundred to a thousand Ii or more north of the border, building forts and watch sta tions as far as Mount Lu-ch'Li. The Han also dispatched the scouting and attacking general Han YLieh and the marquis of Ch'ang-p'ing, Wei K'ang, to garrison the region, at the same time sending the chief com mandant of strong crossbowmen Lu Po-te to build fortifications along the swamp at Chii-yen.
In the autumn the Hsiung-nu invaded Ting-hsiang and Yun-chung in great force, murdering or carrying off several thousand persons. They also defeated severalofllcials of the two thousand picul rank before withdrawing, and destroyed the forts and watch stations that Hsu Tzu wei had built as they went along. At the same time the Wise King of the Right invaded Chiu-ch'uan and Chang-i provinces and carried off
191 Statesmen, Generals, Foreign Peoples 19° several thousand persons. The Han general Jen Wen, however, came
to the rescue, attacking the Hsiung-nu and forcing them to give up all
the spoils and prisoners they had taken. This year the Sutrishna General Li Kuang-li defeated the kingdom of
Ta-yuan, cut off the head of its ruler, and returned. The Hsiung-nu
tried to block his return but could not reach him in time. In the winter
they planned an attack on the City for Receiving Surrender, but just
at that time the Shan-yii died. The Shan-yii Kou-li-hu had ruled for
only a year when he died. The Hsiung-nu set up his younger brother,
Chu-ti-hou, the former chief commandant of the left, as Shan-yii.
At this time the Han had just conquered the kingdom of Ta-yuan,
and its might filled the neighboring states with terror. The emperor had
hopes of carrying out the final suppression of the Hsiung-nu and issued
an edict which read:
Emperor Kao-tsu has left us the task of avenging the difficulties which he suffered at p'ing-ch'eng. Furthermore, during the reign of Empress Lii the Shan-yii sent to the court a most treasonable and insulting letter. In ancient times when Duke Hsiang of Ch'i avenged an insult which one of his ances· tors nine generations earlier had suffered, Confucius praised his conduct in
the Spring and Autumn Annal>-.
This year was the fourth year of the era t'ai-ch'u [101 B.C.].15
After Chu-ti-hou became Shan-yii he returned all of the Han envoys
who had not gone over to his side. Thus Lu Ch'ung-kuo and the others
were able to come home. When the new Shan-yii assumed the rule,
he was afraid that the Han would attack him and so he said, "I con
sider that I am but a little child. How could I hope to equal the Han
Son of Heaven? The Son of Heaven is like a father to me."
The Han dispatched the general of palace attendants Su vVu to
present generous gifts to the Shan-yii. With this the Shan-yii grew
increasingly arrogant and behaved with great rudeness, betraying the
hopes of the Han. The following year Chao P'o-nu managed to escape from the
15 Ssu-ma Ch'ien's narrative probably ends somewhere around this point; the remainder of the chapter down to the closing remarks, a series of rather choppy notes, is most likely (he work of Ch'u Shao-sun or one of the other writers who undertook (0 make additions to the Shih chi.
The Hsiung-nu
Hsiung-nu and return home. The year after, the Han sent Li Kuang-li
with thirty thousand cavalry north from Chiu-ch'uan to attack the
Wise King of the Right in the Heavenly Mountains. He killed or cap
tured over ten thousand of the enemy before returning. The Hsiung-nu,
however, surrounded him in great force and he was barely able to
escape; six or seven out of every ten of his men were killed.
The Han also sent Kung-sun Ao north from Hsi-ho; at Mount
Cho-t'u he joined forces with Lu Po-te, but neither of them succeeded
in killing or capturing any of the enemy. The Han also sent the cavalry
commandant Li Ling with a force of five thousand infantry and cavalry
to march north from Chu-yen. After they had proceeded over a thou
sand Ii they engaged the Shan-yii in battle. Li Ling killed or wounded over ten thousand of the enemy, but his provisions soon gave out and
his men began to scatter and flee for home. The Hsiung-nu then sur
rounded Li Ling, who surrendered to them. Most of his men were
Wiped out, only four hundred of them managing to return to safety.
The Shan-yii treated Li Ling with great honor and gave him his own
daughter for a wife.
Two years later the Han again dispatched Li Kuang-li with sixty
thousand cavalry and a hundred thousand infantry to march north
from So-fang. Lu Po-te led some ten thousand men to join them, while
Han Yueh advanced with thirty thousand infantry and cavalry from
Wu-yuan. Kung-sun Ao proceeded from Yen-men with ten thousand
cavalry and thirty thousand infantry. When the Shan-yii received
word of their advance, he moved all his family and wealth far to the
north beyond the Yu-wu River. He himself, with ten thousand cavalry,
waited south of the river and engaged Li Kuang-li in battle. Li Kuang
Ii's lines broke and he began to retreat, fighting a running battle with
the Shan-yii for over ten days. But when word reached him that his
entire family had been wiped Ollt as a result of the witchcraft affair,t6
he and all his men surrendered to the Hsiung-nu. Only one or two
out of every thousand men who set out with him managed to return
16 In 91 B.C. the heir apparent, Prince Li, and his mother, Empress Wei, were accused of allempting to kill the emperor by black magic. Many high officials of the dynasty were imphcated in the investigations that followed, among them Li Kuang-li. But the ballie referred to above took place in 99 B.C., so the text is obviously out of order.
192 Statesmen, Generals, Foreign Peoples
ro China. Han Yueh did not succeed in killing or capturing any of the enemy, while Kung-sun Ao, though he fought with the Wise King of the Left, was unable ro win any advantage and likewise retreated. From all the parties that went out to attack the Hsiung-nu this year, among those who returned there were none to testify as to what de gree of success the various generals had achieved and therefore no honors were awarded. An imperial edict had been issued ordering the
arrest of the grand physician Sui Tan. He in turn gave out the news that Li Kuang-li's family had been exterminated and thereby caused, Li Kuang-li to surrender to the Hsi ung-nu.
The Grand Hisrorian remarks: When Confucius wrote the Spring and Autumn Annals, he was very open in treating the reigns of the early dukes of Lu, Yin, and Huan; but when he came to the later period of Dukes Ting and Ai, his writing was much more covert. Because in the latter case he was writing about his own times, he did not express his judgments frankly, but used subtle and guarded
language. 17
The trouble with the ordinary run of men these days who discuss
Hsiung-nu affairs is that they seek only for some temporary advantage, resorting ro any kind of Hattery in order ro have their own views accepted, without considering what the effect may be on all parties concerned. At the same time the generals and military leaders, relying upon the vastness and might of China, grow increasingly bold, and the ruler follows their advice in making his decisions. Thus no pro·
found achievement is ever reached. Emperor Yao in ancient times, as wise as he was, was not completely
successful as a ruler; the nine provinces of China had ro wait until the reign of Emperor Yu before they knew real peace. If one would estab· lish a truly worthy dynasty such as those of old, therefore, nothing is more important than selecting the right generals and ministers! Noth· ing is more important than selecting the right generals and ministers!
Ii Ssu.ma CIl'iell's purpose in making these seemingly irrelevant remarks abollt Confucius and the Spring alld Alltumll Allllals is of course to warn the reader that he toO is obliged to use "guarded language" in his discussion of the Hsiung nu problem.
Shih chi III: The Biographies of General Wei Ch'ing
and the Swift Cavalry General Ho Ch'u-ping
They patrolled the winding frontier, broadened our lands south of the bend of the Yellow River, defeated the enemy at Ch'i-lien, opened up contact with the western states, and overpowered the northern barbarians. Thus I made The Biographies of General Wei Ch'ing and the Swift Cavalry General Ho Ch'u-ping.
The general in chief Wei Ch'ing was a native of P'ing-yang. His father, Cheng Chi, was a clerk in the household of the marquis of p'ing-yang, where he had illicit relations with Dame Wei, a concubine of the marquis. From this union Wei Ch'ing was born. Before this Dame Wei had already gi ven birth to a boy, Wei Ch'ang-tzu, and a girl, Wei Tzu-fu. The latter, because she was employed in the house hold of the princess of P'ing-yuan, the wife of the marquis of p'ing yuan and older sister of Emperor W u, later managed to obtain favor with the emperor. For this reason Wei Ch'ing also adopted the family name Wei and the polite name Chung-ch'ing, and his brother Ch'ang tzu changed his name to Ch'ang-chun. The oldest daughter of their mother was named vVei Ju, her second daughter Wei Shao-erh, and her third daughter Wei Tzu-fu. Later she had another son named Pu-kuang. All her children adopted the surname Wei.l Wei Ch'ing became a servant in the household of the marquis of P'ing-yuan.
When he was young Wei Ch'ing went to live with his father, but his father set him ro herding sheep and all his haH-brothers, sons of his father's legitimate wife, treated him like a slave and refused to
recognize him as a brother. Once, while Wei Ch'ing was a servant, he had occasion to visit
1 The narrative is remarkably confused. Was Cheng Chi the father of all Dame Wei's children, and was Wei her own family name? Or did she have a husband named Wei? Apparently Ssu-ma Ch'ien was not certain of the facts when he wrote the passage.