Three Kingdoms

by Luo Guanzhong (Moss Roberts trans. )

  "The cause is my grave crime," Kongming said. "Previously more than a thousand of Ma Dai's men perished in the River Lu, joined by the fallen southern warriors abandoned here. Those wronged souls, unable to find their final peace, now raise this disturbance. Tonight I must go and make offerings to them." The natives said, "Precedent must be followed. You must sacrifice forty-nine human heads before the wronged ghosts will disperse." "Once they were living men," Kongming objected, "what good will more killing do? I have a better idea."

  Kongming ordered his army cooks to slaughter oxen and horses and to compound a doughy preparation in the shape of a human head with a stuffing of beef and lamb; it was called "dough-head."1 That night on the bank of the Lu, Kongming set up an incense stand, laid out the offerings, and lined up forty-nine lamps. He then raised streamers high to summon the lost souls and placed the dough-heads on the ground. At the third watch Kongming, wearing a gilded headdress and a cloak of crane feathers, personally officiated at the sacrifice as Dong Jue read out the text. It said:

  On this first day of the ninth month of the third year of Jian Xing of the great Han,2 lord of Wuxiang and protector of Yizhou, His Excellency Zhuge Liang, reverently conducts this sacrificial ceremony to sustain the shade-bound souls of the Riverlands commanders and lieutenants who have fallen in the imperial service, as well as the southern warriors who have perished.

  Hear Ye:

  When the domains of the August Emperor of the great Han, whose martial might excels the five hegemons' and whose wisdom makes him heir to the three sage kings of antiquity, recently suffered incursion from the barbarous hordes of remote regions—promoting subversion like scorpions flexing their tails, reveling in sedition like wolves—I, his vassal, bearing the royal mandate, visited these wilds to punish their crimes. We raised an army of heroes to sweep away the wretched vermin. Our brave warriors rallied, and these ungoverned predators, terrified by our swift victories, melted away like apes fleeing a wood on hearing a sword split bamboo.

  Our soldiers and yeomen, the bold spirits of the realm, our officials and commanders, heroes from around the empire, all were seasoned in the trials of war and committed to an enlightened lord. United, they carried out our commands and worked together in executing the seven captures. Firm in the sincerity with which they served the dynasty, they loyally strived in their sovereign's cause.

  Little did we expect, soldiers, that you would lose the military initiative and fall prey to the enemy's treacheries: some of you slain in volleys of arrows, your souls snatched off to the underworld; others killed by the sword, your spirits sent home to everlasting night—brave in life, more splendid in death. Now we are about to return triumphant and deliver our prisoners to the Emperor.

  As spiritual beings you still exist—therefore hear our prayer: follow our banners and flags, come after our army units, return with us to the great kingdom of Shu so that each may find his own native place and there receive the winter offerings from his flesh and blood and the ritual sacrifices of his family. Do not remain ghosts in a strange realm, lost souls in a foreign clime.

  I shall address a petition to the Emperor so that each of your families may share fully in the benevolent generosity of the sovereign, annual allowances of clothing and staples and monthly stipends of grain. By these means of redress we intend to pacify your discontent.

  For the native spirits of this region, the homeless ghosts of the south, fresh animal sacrifices will be regularly maintained from the resources close at hand. If alive you felt the chilling awe of the divine majesty, in death you remain subject to the imperial aura. Be peaceful, then, and submissive, without indulging in these frightful shrieks, for I have come to demonstrate my sincerest reverence by conducting this sacrificial service. Heed this grieving voice of mine and partake of the feast we humbly lay before you.

  A sharp cry burst from Kongming after he had read the funerary address, and the whole army, joined by Meng Huo and his people, wept at his acute distress. And lo, amid the clouds of despair and the dark mists of discontent, thousands of ghostly souls, dimly visible, began to clear away in the wake of the winds as Kongming had his assistants cast sacrificial articles upon the waters of the Lu.

  The next day Kongming led the army to the south shore. They found the clouds cleared, the mists scattered, the winds stilled, the waters calmed. The Riverlands soldiers crossed peacefully; as it is said, "To the crack of whip and the jingle of stirrup the men returned, celebrating their victories." When the march reached Yongchang, Kongming detailed Wang Kang and Lü Kai to defend the four districts; he directed Meng Huo to lead his people home, enjoining him to be conscientious in administration, to give guidance to his subordinates, and to deal gently with the local peoples so that they might never neglect their farms. Meng Huo tearfully prostrated himself; then he took leave and departed. Kongming led the army home to Chengdu.

  The Second Emperor rode out thirty li in the royal carriage to welcome Kongming home. There he descended and stood by the side of the road to wait for the prime minister.3 Kongming hurriedly stepped down from his own carriage, pressed his body to the ground, and said, "My failure to pacify the south swiftly has given Your Majesty concern, for which I take responsibility." The Emperor helped Kongming to his feet, and they returned to Chengdu, their carriages side by side. At a grand celebration for the end of the war the army was feasted and lavishly rewarded. Thereafter, more than two hundred minor kingdoms sent tribute and paid homage at court. Kongming petitioned the Emperor to show special consideration to each family that had lost a member in the recent service. The people rejoiced, and the court and the people basked in an aura of peace.

  It was the fourth year of Jian Xing by the Shu-Han calendar.4 The ruler of Wei, Cao Pi, had been on the throne for seven years. He had first married Lady Zhen (a fifth-rank concubine of Yuan Shao's second son, Xi) after Cao Cao conquered the city of Ye. Lady Zhen bore him a son named Rui (Yuanzhong), who showed great intellectual promise at an early age; Cao Pi doted on him. Later, Cao Pi took for ranking concubine a woman of great beauty, whose father was Guo Yong from Guangzong in Anping. Because her father had once said, "My daughter is a king among women," she was known as the "female king."

  Lady Zhen having lost Cao Pi's favor, Ranking Concubine Guo had begun plotting to become empress from the time of her elevation. The favored vassal Zhang Tao became her confidant in this matter. At one time Cao Pi fell ill, and Zhang Tao falsely declared that in Lady Zhen's palace he had dug up a human figure carved of paulownia wood and marked with the exact date and time of the Son of Heaven's birth to put him under a spell. In a fury Cao Pi had Lady Zhen condemned to death and Lady Guo installed as empress. Lady Guo, having no issue, raised Lady Zhen's son, Rui, as her own but did not make him heir despite her affection for the lad.

  By the age of fifteen Cao Rui was entirely at ease with the bow and the horse. In the second month of spring Cao Pi took Cao Rui with him to hunt. Riding through a dale, they flushed out two deer, fawn and doe. Cao Pi felled the mother with a single shot. Turning around, he saw the fawn racing before Cao Rui's horse. "Shoot, my son!" Cao Pi shouted. But Cao Rui, still on horseback, wept and said, "Your Majesty has slain the mother; can I bear to slay the child?" Cao Pi threw down his bow and said, "My son, you are indeed a magnanimous and virtuous prince." Cao Pi enfeoffed Cao Rui as prince of Pingyuan.

  * * *

  * * *

  During summer, in the fifth month of the year, Cao Pi was afflicted with severe chills that the doctors could not control. He summoned three men to his resting chamber: Cao Zhen, supreme commander of the central army, Supreme Commander Chen Qun, controller of the army, and Supreme Commander Sima Yi, rallier of the army. Cao Pi then called for Cao Rui and, pointing at him, said to Cao Zhen and the two others, "Our illness is grave; recovery impossible. You three will have to guide this child and keep faith with my wishes." The three responded, "Do not speak this way, Your Majesty. Even without admonition we will always do our utmost in Your Majesty's
service." Cao Pi said, "This year the main gate of Xuchang collapsed without cause, an omen which foretells my end." As he was speaking, an imperial attendant announced Supreme Commander Cao Xiu, Conqueror of the East, who had come to inquire about the Emperor's health. Cao Pi summoned him in and said, "If you four, the pillars of our dynastic house, will support our son with undivided devotion, I shall die in peace." A last tear fell, and he passed from this world at the age of forty; he had reigned for seven years.

  Cao Zhen, Chen Qun, Sima Yi, and Cao Xiu along with other high officials initiated the mourning ceremonies. At the same time they established Cao Rui as august emperor of the great Wei dynasty. Cao Pi was given the posthumous title August Emperor Wen and Lady Zhen the posthumous title August Empress Wen Zhao.5 Zhong Yao was made imperial guardian, Cao Zhen regent-marshal,6 Cao Xiu grand marshal, Hua Xin grand commandant, Wang Lang minister of the interior, Chen Qun minister of works, and Sima Yi chief general of the Flying Cavalry. Other civil and military officials and officers received fiefs and awards. An empire-wide amnesty was proclaimed.

  At this time the two provinces Yong and Liang needed someone to govern and defend them. Sima Yi petitioned to become defender of Xiliang and other points west. Cao Rui approved, and Sima Yi was appointed superintendent of Yong's and Liang's armed forces. Sima Yi accepted his edict of appointment and departed.

  Riverlands spies swiftly reported these changes at the Wei court. Startled, Kongming said, "Cao Pi is dead, the boy Rui enthroned. There is little to concern us there. But Sima Yi, a man of deep strategy, has taken charge of the Liang and Yong armies; and once he has trained them, the Riverlands will have a serious problem. It would be best to act first and attack them!" The military adviser Ma Su said, "Your Excellency has hardly returned from conquering the south; the army is exhausted. Surely this is a time to consider our soldiers' welfare, not to make another expedition far afield. I have a plan that will cause Sima Yi to die at Cao Rui's hands, but I am not sure whether Your Excellency, in your profound judgment, will give me permission to try it."

  Kongming asked the details, and Ma Su continued, "Although Sima Yi is a leading minister of the Wei court, Cao Rui has always regarded him with suspicion and fear. I recommend spreading rumors in Luoyang, Ye, and other key cities of Wei that Sima Yi is plotting to rebel. In addition, throughout the enemy's districts we can post forged proclamations by Sima Yi to the empire at large. That should unnerve Cao Rui enough to have him killed." Kongming approved the plan and sent secret agents to carry it out.

  Suddenly one day a proclamation was found attached to the main gate of Ye. The gatekeepers tore it down and brought it to Cao Rui. Cao Rui studied the text, which read:

  Chief Commander Sima Yi of the Flying Cavalry, with overall command of the armed forces of Yong, Liang, and other regions, reverently and in good faith proclaims to the empire: originally our great ancestor, August Emperor Wu, founder of this house, wanted Cao Zhi to succeed as the lord of his shrine. Unfortunately, caught in the crosscurrents of treachery and calumny, Cao Zhi remained a submerged dragon for many years.7 The imperial grandson, Cao Rui, with no record of virtuous conduct, unconscionably placed himself upon the throne in violation of our founder Cao Cao's last wishes. But now, in response to Heaven's will and men's judgment, we have appointed the day for raising an army to satisfy the expectations of the millions. When this proclamation reaches you, let each man commit his allegiance to the new sovereign. Whosoever disobeys will be punished by clan-wide execution. Let this advance notice be made known far and wide.

  After reading the text, Cao Rui, pale with distress, hastily consulted his ministers. Grand Commandant Hua Xin addressed his sovereign: "Now we see Sima Yi's true purpose in seeking military authority in the western provinces of Yong and Liang. I remember the great ancestor Cao Cao, August Emperor Wu, once telling me, 'Sima Yi has hungry eyes, like an eagle's or wolf's. Given military power, he will ruin the dynasty. ' His revolt must be put down before it starts." Wang Lang addressed the Wei sovereign: "Sima Yi, with his deep comprehension of strategy and thorough understanding of military action, has long harbored grandiose ambitions. Remove him or suffer the consequences."

  Cao Rui announced his intention to lead an armed force against Sima Yi. But suddenly Regent-Marshal Cao Zhen stepped forward and said, "I oppose it. The late sovereign, Cao Pi, entrusted the successor to my colleagues and me, and I am certain that Sima Yi has no subversive intent. The facts of the situation remain unclear, and precipitate military action will only force him into rebellion. It is possible that agents of the Riverlands or the Southland are attempting to sow discord between our sovereign and his subjects in order to create disorder before an attack. Your Majesty should inquire most carefully into this matter." Cao Rui said, "But what if Sima Yi is plotting to revolt?" "If Your Majesty is in doubt," Cao Zhen replied, "you might do what Han Gao Zu did when he traveled to Yunmeng.8 If you proceed to Anyi, Sima Yi will have to receive you. Observe his movements carefully and you will be able to seize him when he comes before your carriage. It should work." Cao Rui approved the plan and commanded Cao Zhen to assume authority over the government. Taking personal command of the Royal Guard, one hundred thousand strong, Cao Rui went directly to Anyi.

  Sima Yi, unaware of the real reason for the Son of Heaven's visit and wishing to impress him with the extent of his power, put his armed forces in excellent order and led tens of thousands forth to welcome Cao Rui. A trusted attendant said to the Emperor, "Sima Yi is bringing more than one hundred thousand men to meet us. His real intent is to rebel." Cao Rui hurriedly ordered Cao Xiu to advance with troops and meet Yi in the field. When Sima Yi saw the army coming toward him, he assumed the Emperor was with it; he bowed low at the roadside to greet him. Cao Xiu came forward and said, "Sima Yi, you are one of those whom the late Emperor charged with the care of his heir apparent, now our sovereign. Why are you in rebellion?"

  Sima Yi turned pale and sweat poured from him as he asked for an explanation. Cao Xiu recounted the preceding events, and Sima Yi said, "This is the work of Riverlands and Southland agents trying to turn an emperor and a loyal subject into mortal enemies so that they can exploit the chaos and attack us. I shall have to see the Son of Heaven and clarify this." Sima Yi ordered his army to withdraw. Then he went to Cao Rui's carriage and, bowing abjectly, tearfully addressed his sovereign: "Your late father entrusted you to me, and my thoughts could never be but wholly loyal. These slanders against me are the treachery of the Southland and the Riverlands. Grant me command of an expeditionary force, and I will defeat first Shu and then Wu to requite the late Emperor's and Your Majesty's grace and to manifest my loyalty."

  Cao Rui, unsure what to do, made no decision. Hua Xin addressed the Emperor: "He should not have military authority. Relieve him of office and send him home at once." Accordingly, Cao Rui stripped Sima Yi of his office and ordered him back to his village. He gave Cao Xin command of the armed forces of Yong and Liang and returned to Luoyang.

  Spies soon reported these events in the Riverlands, and Kongming received the news with delight. "I have long wanted to wage war against Wei," he said, "but could do nothing with Sima Yi leading the army in Yong and Liang. Now that he has fallen victim to this trap, my worries are over."

  The next day the Second Emperor held court early in the day. Kongming stepped forth and in front of the grand assembly submitted a memorial to the sovereign entitled "Petition on Taking the Field." It read:

  Permit your servant, Liang, to observe: the late sovereign was taken from us when his life's work, the restoration of the Han, remained unfinished. Today, in a divided empire, our third, the province of Yizhou, war-worn and under duress, faces a season of crisis that threatens our very survival. Despite this, the officials at court persevere in their tasks, and loyal-minded officers throughout the realm dedicate themselves to you because one and all they cherish the memory of the exceptional treatment they enjoyed from the late sovereign and wish to repay it in service to Your Majesty.
>
  Truly this is a time to widen your sagely audience in order to enhance the late Emperor's glorious virtue and foster the morale of your dedicated officers. It would be unworthy of Your Majesty to demean yourself by resorting to ill-chosen justifications that would block the avenues of loyal remonstrance.

  The royal court and the ministerial administration constitute a single government.9 Both must be judged by one standard. Those who do evil and violate the codes, as well as those who are loyal and good, must receive their due from the proper authorities. This will make manifest Your Majesty's fair and enlightened governance. Let no unseemly bias lead to different rules for the court and the administration.

  Privy counselors and imperial attendants like Guo Youzhi, Fei Yi, and Dong Yun are all solid, reliable men, loyal of purpose, pure in motive. The late Emperor selected them for office so that they would serve Your Majesty after his demise. In my own humble opinion, consulting these men on palace affairs great or small before action is taken will prevent errors and shortcomings and maximize advantages. Xiang Chong, a general of fine character and fair-minded conduct, profoundly versed in military matters, proved himself in battle during the previous reign, and the late Emperor pronounced him capable. That is why the assembly has recommended him for overall command. In my humble opinion, General Xiang Chong should be consulted on all military matters large or small to ensure harmony in the ranks and the judicious use of personnel.10

  The Former Han thrived because its emperors stayed close to worthy vassals and far from conniving courtiers. The opposite policy led the Later Han to ruin. Whenever the late Emperor discussed this problem with me, he decried the failings of Emperors Huan and Ling. Privy Counselors Guo Youzhi and Fei Yi, Secretary Chen Zhen, Senior Adviser Zhang Yi, and Military Counselor Jiang Wan are all men of shining integrity and unshakable devotion. I beg Your Majesty to keep close to them and to trust them, for that will strengthen our hopes for the resurgence of the house of Han.