Sima Qian (ca. 145-ca. 86 BCE), widely considered the first great Chinese historian, inherited his father’s position as Grand Scribe-Astrologer (taishi ling) at the court of Han Emperor Wu in 110 BCE. He also inherited his father’s ambitious project to write a history of Chinese civilization from the ancient sage-king Huangdi to the Western Han empire. Sima Qian completed this project around 94 BCE, after years of painstaking research. This was some five years after he suffered the humiliation of being castrated as a punishment for defending the reputation of a Han general, Li Ling, who had surrendered to the nomadic Xiongnu empire.

Sima Qian’s masterwork was originally known as the Taishigong shu (Grand Scribe-Astrologer’s Book) but came to be known as the Shiji (Records of the Grand Scribe-Astrologer). It established a new model for history-writing that (in slightly modified form) became standard for official dynastic histories written from the first century CE to the eighteenth. Sima’s key innovation was dividing his narrative into annals, tables, thematic treatises, “noble houses,” and biographies or accounts, thus allowing for a balance of breadth and depth.

Sima’s accounts of the careers of the sage-kings supplemented classics like the Documents (Shangshu) and the Analects in shaping Ru (Confucian) political visions of the ancient “golden age” until modern times, when both Western and Chinese historians finally recognized the sage-king stories as mythological rather than historical. Similarly influential was Sima’s choice to ascribe sage-king ancestry to the rulers of “barbarian” states like Chu, Wu, Yue, and even the Xiongnu. In the case of Wu, this ancestral claim originated with its last kings themselves (see source 1.2, note 60). However, the claims regarding the Chu rulers’ descent from the sage-king Zhuanxu and the Yue and Xiongnu rulers’ descent from the Xia dynasty are not attested in earlier sources. Some modern historians have interpreted such claims as implying a non-ethnocentric “culturalist” view of the world’s peoples as divided by custom and habit, not race. But a more likely explanation is that Sima Qian assumed that states as successful as Chu, Wu, Yue, and the Xiongnu empire could only be cases of royal lineages of distinguished Chinese origin ruling over barbarian populations, rather than purely barbarian enterprises.

Like his father Sima Tan and the authors of the Huainanzi, Sima Qian was sympathetic to Huang-Lao philosophy. The passages translated below echo the cultural relativism of the Huainanzi (source 1.7), as well as a strain of anarcho-primitivist thinking found in the Daodejing (Classic of the Way and Its Power), a key Huang-Lao text attributed to Laozi. Sima Qian uses the Rong envoy You Yu (a descendant of Chinese defectors) and the Chinese eunuch Zhonghang Yue (a Han envoy who defected to the Xiongnu) to deliver critiques of Chinese civilization while romanticizing “barbarians” like the Rong and Xiongnu as noble savages.

The translations below from the Basic Annals of Qin and the Account of the Xiongnu are adapted from Burton Watson’s translations of the relevant chapters from the Shiji. See Burton Watson trans., Records of the Grand Historian: Qin Dynasty (New York: Columbia University Press, 1995) and Records of the Grand Historian: Han Dynasty II (New York: Columbia University Press, 1993). The translations from the Noble Houses of Wu, Chu, and Yue are mine.

~~~~~

From the Basic Annals of Qin

The ruler of the Rong sent You Yu to Qin. You Yu’s forebears were people of Jin who had fled from Jin and gone to live among the Rong.  You Yu could therefore speak the Jin language.¹ The Rong ruler, having heard that Lord Mu [of Qin] was a worthy man, dispatched You Yu to observe the situation in Qin.

Lord Mu showed You Yu the goods and possessions heaped up in his palace, but You Yu said, “If these were made by ghosts, it must have exhausted the spirit world. If they were made by human beings, it must have been a great burden to the people!”

Lord Mu, puzzled, questioned him, saying, “The Central States employ the Odes and Documents, rites and music, and laws and regulations to govern, but even so there are times of disorder. Now the barbarians (Rong-Yi) have none of these, so how can they bring about order? It must be very difficult!”²

You Yu laughed and replied, “It is precisely because of these that the Central States are in chaos! In ancient times, when sage rulers like Huangdi created rites and music, laws and regulations, they took the lead in implementing them and a small measure of order was achieved. But the rulers of later ages grew daily more arrogant and licentious, scrutinizing and berating their subjects in the name of the law, while their subjects, utterly exhausted, angrily reproached their superiors in the name of humaneness and moral duty. So superior and inferior wrangle and revile one another, usurping and murdering until whole clans are wiped out, all because of such things as rites and music, laws and regulations!

The barbarians are not like this. Superiors treat their inferiors with simplicity and thoughtfulness, while inferiors serve their superiors with loyalty and good faith. Governing a whole state is just like governing a single body. No one knows how the order comes about—such is the order brought by a true sage.”

When Lord Mu left the interview, he questioned his secretary Liao, saying, “I have heard that a sage in a neighboring state can be a source of worry to its rivals. Now this worthy man You Yu could be a threat to me. What should I do?”

Liao replied, “This Rong ruler lives in the remote borderlands and has never heard the music of the Central States. You could try sending him some female musicians to distract his attention. Meanwhile, you can ask You Yu many questions to cause dissension between him and his ruler, detaining him here and failing to send him back on the agreed date. The Rong ruler will wonder at this and begin to suspect You Yu. Once dissension has been sown between ruler and subject, we can make You Yu our captive. And if the Rong ruler likes our music, he is bound to neglect affairs of government.”

Lord Mu approved this plan and accordingly seated You Yu on a mat close to his side, pressed one dish after another on him, and questioned him about the topography of Rong territory and the strength of its army, till he had learned all about them. Then he ordered the secretary to send two sets of eight female musicians to the Rong ruler. The Rong ruler accepted the musicians, found them to his liking, and by year-end had still not sent them back. Qin then sent You Yu back to his own country.

You Yu repeatedly admonished the Rong ruler, but his advice went unheeded. Meanwhile, Lord Mu several times sent people to speak to You Yu in secret and invite him to defect to Qin. In the end, You Yu left the Rong ruler and went over to the side of Qin. Lord Mu treated him with the courtesy due an honored guest and questioned him on how to go about conquering the Rong.

From the Noble House of Taibo of Wu

Taibo of Wu and his younger brother Zhongyong were both sons of King Tai of Zhou. They were elder brothers of [the future] king Jili. Jili was a worthy man and moreover had a sagely son, Chang. King Tai wanted to install Jili as his successor so that the throne could pass on to Chang. Therefore Taibo and Zhongyong both fled to the Man of Jing (southern barbarians of Jing province³) and tattooed their bodies and cut their hair short [like the Man] to show that they could not be used [as heirs to the throne], thus avoiding [competition with] Jili. As a result, Jili was indeed installed as heir and was known as King Ji, and Chang [succeeded him] as King Wen. After Taibo fled to the Man of Jing, he called his domain Gou Wu. The Man of Jing respected his moral integrity and more than a thousand households submitted to his rule, installing him as the Great Liege (Taibo) of Wu.

From the Noble House of Chu

The ancestors of the rulers of Chu came from the line of the sage-king Lord Zhuanxu, also known as Gaoyang. Gaoyang was the grandson of Huangdi (the Yellow Lord), and the son of Changyi. Gaoyang sired Cheng, Cheng sired Juanzhang, and Juanzhang sired Chongli. Chongli was Minister of Fire under the sage-king Lord Ku, also known as Gaoxin. He performed his duties with great merit, brightening (rong 融) the entire subcelestial realm with light, so Lord Ku gave him the title Zhurong.⁴ When the Gonggong clan rebelled, Lord Ku commanded Chongli to execute them, but he did not complete his task. The Lord then executed Chongli on the Gengyin day and appointed Chongli’s younger brother Wuhui to succeed him as Minister of Fire with the title Zhurong.

Wuhui sired Luzhong, who sired six sons, all born via caesarean section.⁵ The eldest was Kunwu, the second was Canhu, the third was Pengzu, the fourth was Huiren, the fifth was Caoxing, and the sixth was Jilian, who had the surname Mi 羋 and was the ancestor of the rulers of Chu…. Jilian sired Fuju, and Fuju sired Xuexiong. His descendants declined in status, and some lived in the Central States while others lived among the Man and Yi; it is impossible to trace all the generations.

In the time of King Wen of Zhou, one of Jilian’s descendants was named Yuxiong. Yuxiong tutored King Wen but died young. His son was named Xiong Li. Xiong Li sired Xiong Kuang, who sired Xiong Yi. Xiong Yi lived at the time of King Cheng of Zhou (r. 1042-1021 BCE), who elevated the descendants of men who had exerted themselves in the service of King Wen and King Wu, and thus awarded Xiong Yi a fief among the Man of Chu, with an amount of land commensurate to the noble titles of Master (zi 子) and Head (nan 男).⁶ …

In the thirty-fifth year [of the reign of King Wu of Chu] (706 BCE), Chu attacked Sui. [The Lord of] Sui said, “I have committed no crime.” [The Lord of] Chu said, “I am a barbarian (Man-Yi). Now the lords are all invading one another or killing one another. I, too, have an army (though its armor is old and worn) and wish to use it to observe the political affairs of the Central States. I request that the [Zhou] royal house raise my noble rank.” The people of Sui went to the Zhou court and asked it to raise Chu’s noble rank, but the royal house refused, so they returned and informed Chu. In the thirty-seventh year of his reign (704 BCE), Xiong Tong of Chu (King Wu) became angry and said, “My ancestor Yuxiong was King Wen’s teacher, but he died young. King Cheng elevated my ancestor [Xiong Yi] and granted him an amount of land commensurate to the noble titles of Master and Head, commanding him to reside in Chu. The barbarians (Man-Yi) all submitted to him. Now, if the king will not promote me in rank, I will simply promote myself.” He then proclaimed himself King Wu, made a covenant with the people of Sui, and left.

From the Noble House of Goujian, King of Yue

Goujian, King of Yue, was a descendant of Yu; his ancestor was a son of Shaokang, Lord of the Xia dynasty, by a concubine. [This son] was given a fief at [Mount] Guiji (or Kuaiji), so as to perform offerings at the tomb of Yu. He tattooed his body and cut his hair short, cleared the land of weeds, and built a town. More than twenty generations later, the throne passed to Yunchang. During Yunchang’s reign, he warred with his bitter enemy, King Helu of Wu. After Yunchang’s death, his son Goujian succeeded him as King of Yue.

From the Account of the Xiongnu

The Xiongnu’s founding ancestor, named Chunwei, was a descendant of the Xia dynasty. Since the time of Yao and Shun, there have been the Mountain Rong, Xianyun, and Xunyu who lived among the northern barbarians (bei Man) and roamed around with their livestock.⁷ … They move about in search of water and pasture and have no walled cities or fixed dwellings, nor do they engage in any kind of agriculture, but each group has its own allotted territory. They have no writing system and simply make vows orally.…. 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 raiding expeditions. This seems to be their inborn nature…. The young men eat the best food, while the old get what is left over, since each tribe honors the young and strong and despises the weak and aged. When a father dies, his [adult] sons marry their stepmothers. When a man dies [without adult sons], his brothers all take his wives and marry them.⁸ …

One of the Han envoys to the Xiongnu remarked, “The custom among the Xiongnu is to despise the elderly.” Zhonghang Yue challenged the Han envoy, saying, “According to Han customs, when young men are drafted for military service and sent off to garrisons on the frontier, don’t their elderly kin voluntarily give up warm clothing and good food in order to send food and drink to them?”⁹ The Han envoy said: “Yes, they do.” Zhonghang Yue said, “The Xiongnu clearly take warfare as their main business. Their elderly and weak are unable to fight, and therefore they give their richest food and drink to the young men in the prime of life. And because [the young] fight to protect everyone, fathers and sons are both able to live out their lives in security. How can you say the Xiongnu despise the elderly?”

The Han envoy said, “Xiongnu fathers and sons will even sleep together in the same tent. When a father dies, his sons marry their stepmothers. When a man dies [without sons], his brothers all take his wives and marry them. They don’t wear caps and belts, nor do they have any ritual protocol for entering the ruler’s court.”

Zhonghang Yue said, “By custom, the Xiongnu eat the meat of their livestock, drink their milk, and use their skins as clothing. The livestock eat grass and drink water, moving around according to the season. In a crisis, the men all fight as mounted archers; in times of peace, the people simply live happily at leisure, with nothing to do. The legal constraints placed on them are light, making it easy for them to move around. Relations between the ruler and his subjects are simple and easygoing. Governing a whole state is thus just like governing a single body.¹⁰ When fathers, sons, and brothers die, [the other men of the clan] take their wives and marry them because they hate losing a branch of the clan. For that reason, even though the Xiongnu practice incest, they always elevate a member of their own clan as their leader. Now, even though men of the Central States¹¹ are careful not to marry the wives of their fathers and elder brothers, different branches of a clan grow ever more estranged, to the point of killing one another or changing their surname. Every clan follows this pattern.

Besides, the drawback of ritual propriety and moral duty is that superiors and inferiors begin to resent one another, while the building of houses is taken to extremes and exhausts the people’s energy. [The people of the Central States] spend all their time and strength on growing crops for food and cultivating silkworms for clothing, or on building city walls to protect themselves. As a result, in a crisis, the people are unused to warfare, and even in times of ease, they are still worn out from all their labors. Enough, you earthen-house-dwellers! Don’t talk so much! You keep prattling on, but what are your caps good for?”

---

1. That is, a form of Sinitic, intelligible to people of Qin. ↩︎
2. Note that this anecdote interprets Qin as a fully Hua-Xia Lands state, unlike some other Warring States and Han sources that interpret Qin as a barbarian state or a Chinese state barbarized via contact with the Rong. ↩︎
3. See source 1.1 for the expression “Man of Jing” in the Odes. ↩︎
4. According to different commentators, Zhurong meant “great brilliance” or “beginning of brilliance.” ↩︎
5. According to the late Warring States text Shiben, Luzhong’s six sons were sextuplets, three of whom were delivered from the mother’s left flank, and three of whom were delivered from her right flank. ↩︎
6. According to the Liji document “Wangzhi” (see source 1.6), Masters and Heads were granted plots of land spanning fifty li. ↩︎
7. On the Mountain Rong, see source 1.3. On the Xianyun, see source 1.1. According to another chapter of the Shiji, the Xunyu were a northern people who attacked the Zhou people in the time of the Shang dynasty. Later commentators tended to interpret Xunyu as a variant of the name Chunwei, and the Xunyu people as ancestors of the Xianyun and Xiongnu. ↩︎
8. This refers to the custom of levirate marriage, which was common among steppe peoples. ↩︎
9. Years prior to this conversation, Zhonghang Yue (a eunuch at the Han imperial court) had defected to the Xiongnu out of resentment at being sent as an envoy to them. ↩︎
10. Note the recurrence of this trope from the story of You Yu. ↩︎
11. Zhonghang Yue (or, rather, Sima Qian speaking through him) refers to the Chinese as people of the Central States, a holdover from pre-imperial usage that reflects an enduring Han-era conflation between the concept of the Central States and the much larger Chinese empire. On this, see also source 1.9. ↩︎