Three Kingdoms

by Luo Guanzhong (Moss Roberts trans. )

  3. Taizhong daifu, translated "imperial mentor," was the second of four grades of daifu in the Later Han bureaucracy. A daifu could enter the palace (gong) but not the imperial household (sheng). See Yang Hongnian, Han Wei zhidu congkao (Wuhan: Wuhan daxue chubanshe, 1985), pp. 97-106.

  4. Mao: "The 'most humane' refers to Liu Bei alone; Kong Rong did not attach much importance to Liu Biao or Sun Quan." After the abolition of the three elder lords (sangong), the imperial censor (yushi daifu, not among the four grades of daifu mentioned in n. 3) stood second to the prime minister (chengxiang); see SGZ, p. 30.

  5. Yan Hui was Confucius' most treasured disciple.

  6. The conflict between Cao Cao and Kong Rong came to a head over the prohibition edict. According to Kong Rong's biography in the HHS, "with a poor harvest and a mobilization under way, Cao Cao memorialized the throne for a decree banning wine. [After it was issued], Kong Rong frequently protested the ban, using language demeaning to Cao Cao" (p. 2272).

  The TS (p. 389) reads: "In opposition to the edict banning wine Kong Rong wrote, 'There is a Wine Banner star in the heavens above; there is a Wine Springs district here below; and men speak of the virtue of fine wine. And did not the ancient sage-king Yao drink a thousand measures and fulfill his sagehood, while the vicious rulers Jie and Zhou gave themselves to sensual pleasure and lost their kingdoms? Why not ban marriage too? ' Thus Kong Rong belittled Cao Cao." The commentary to the HHS (p. 2273) gives more detail on Kong Rong's celebration of the ritual and historical uses of wine.

  Kong Rong also opposed Cao Cao's military ventures (the northern expedition against the Wuhuan as well as the current southern expedition). Since the ban on wine was connected to the mobilization, Kong Rong may have protested the ban for reasons of policy as well as tradition and custom.

  Kong Rong was a staunch supporter of the Liu house. For his opposition to the enthroning of Emperor Xian, Dong Zhuo punished him by sending him from Luoyang to govern rebel-infested Beihai, where Liu Bei rescued him (chap. 11). Kong Rong was one of the first to perceive that Cao Cao's ultimate purpose was to overthrow the royal house and establish his own dynasty, and so he became a consistent opponent of Cao Cao's plans. Naturally, Kong Rong was a protege and friend of the powerful Yang clan (Yang Biao and his son Xiu), since the Yangs strongly opposed Cao Cao's ambition to usurp the Han—the ultimate goal of his campaigns.

  The TS (p. 389) suggests a diplomatic angle to the Cao Cao-Kong Rong conflict. "Liu Bei and Liu Biao were close to Kong Rong and often exchanged letters with him. Moreover, Kong Rong slandered the court while speaking to a representative from Sun Quan." The accusation of contact with Sun Quan's agent is supported by the HHS.

  The ZZTJ (p. 2081) records another protest Kong Rong made, a petition for restoration of the thousand-li imperial demesne. This traditionalist proposal, if implemented, would have invalidated all new fiefs within a three-hundred-mile area around the capital, including the fief established by Cao Cao at Ye.

  The ZZTJ, a chronicle that avoids taking sides, also records some of the domestic reforms undertaken by Cao Cao, including the appointment of clean and honest officers; ending the practice of preferment by lineage; promoting solid, simple men and rejecting showy, frivolous ones; and so forth; see p. 2079.

  The Gangmu, however, openly sympathizes with Kong Rong by headlining the incident "Imperial Mentor Kong Rong killed [sha, not tao or zhu," chastised "or" duly executed "]." Moreover, as Mao Zonggang points out in his introductory note to the chapter, Zhu Xi, author of the Gangmu, underlines his disapproval of Cao Cao's act by preserving Kong Rong's official title in his headline.

  The SGZ has no biography for Kong Rong, and Cao Cao's "Annals," the "Wudi ji," does not mention him. Even though Chen Shou compiled the SGZ two generations after Cao Cao's death, he probably had to suppress any account of so pivotal an anti-Cao figure since the legitimacy of Chen Shou's own emperor depended on the legitimacy of the Cao imperial house. See "Afterword" for further discussion of the legitimacy of the Cao line.

  7. Following the HHS, the TS reads "Lord Cao" rather than "kings and dukes."

  8. Jiangxia was the easternmost district of Jingzhou and included territory both north and south of the Great River, or Yangzi. Jiangxia district jutted eastward into the Southland districts of Lujiang and Yuzhang. Chaisang, on the river and on the boundary between Lujiang (to the north) and Yuzhang, was the Southland's most advanced position on its northwest. Xia is the name of the first dynasty and an ancient ethnocultural term for the northern Chinese, as in the term huaxia, for example. Thus Jiangxia could mean "the Xia settlers along the Jiang." But xia is also a perfect homonym for xia, "lower," and so Jiangxia may simply refer to the district on the lower Yangzi. The capital or district township called Jiangxia was located north of the river about twenty miles northeast of Xiakou, the juncture (kou) of the River Han and the Yangzi (modern Wuhan). The Gangmu's "Jilan" says: "Xiakou was originally north of the Yangzi. After Sun Quan captured the opposite [southern] shore, he used the name Xiakou, and the name for the northern site went out of use." Liu Qi's Xiakou would have been north of the river.

  According to Pei Songzhi's commentary, the Cai faction in Jingzhou sent Liu Qi to Jiangxia in order to get him out of the way and thus facilitate Liu Zong's succession; Kongming's ingenuity was not involved (SGZ, p. 214).

  9. Mao: "Yuan Shao's wife put the younger son in power in accordance with her husband's wish. Liu Biao's wife did it in violation of her husband's wish."

  10. Yi Ji had warned Liu Bei of Cai Mao's plot at the Xiangyang banquet (see chap. 34).

  11. Mao (introductory note): "It would have been wrong for Xuande to take Jingzhou in Liu Biao's moment of peril. It would not have been wrong for him to take Jingzhou after Liu Zong's usurpation. Even if it had been deemed wrong for Xuande to take the province after Liu Zong's usurpation, there could have been nothing wrong in his taking it after Liu Zong had surrendered it to Cao Cao. His mistake of allowing the province to fall into Cao Cao's hands allowed the province to become a target for Sun Quan as well." The novel follows the historical record concerning Liu Bei's reluctance to usurp Jingzhou; see ZZTJ, p. 2083.

  12. Mao (introductory note): "The episode in which Xuande visits Kongming leads naturally to the great victory at Bowang. But the author interrupts the narrative to tell us how Sun Quan kills Huang Zu and how Liu Qi is posted to Jiangxia. After Bowang the narrative should proceed directly to the victory at Xinye, but the author interposes Cao Cao's killing of Kong Rong and Liu Zong's surrender of Jingzhou to Cao Cao. It seems that the author cannot detail these concurrent events all in one place and so presents them severally."

  CHAPTER 41

  1. Mao: "Cao Cao made Liu Bei an offer, knowing he would not submit. Cao Cao also sent Shan Fu to Liu Bei, knowing he would not urge surrender. These two shams are but 'the civilities before the hostilities, ' shows of consideration for the benefit of the common people."

  2. The text reads Jing-Xiang, describing the divided province. As soon as Cao Cao consolidated his hold in northern Jingzhou, he created Xiangyangjun, the imperial district of Xiangyang, which he hoped would be the basis for expanding the court's control south, below the River Han and beyond the northernmost district of Nanyang. Under the Wei there was a Southland Jingzhou and a Wei dynasty Jingzhou. Xinye became the capital of the northern (or Wei) Jingzhou. The city of Fan stood on the north side of the River Han, directly opposite Xiangyang. Jiangling was about 200 li south of Xiangyang slightly above the Great River. As the administrative township of Nanjun imperial district, Jiangling was sometimes called Nanjun; as the provincial capital of Liu Bei, the city was also called Jingzhou. In the Spring and Autumn period the Chu city of Ying occupied the site.

  3. Mao (introductory note): "This is the only case of Cao Cao's not sparing someone who had submitted to him. Where does the reason lie?... Cao Cao could not leave the last ruler of Jingzhou alive lest his former vassals rally round him and plot against the court. More importantly, if
Liu Zong had made common cause with Liu Qi and join forces with Liu Bei, Cao Cao would have had to face a major threat. Cao Cao's act was well thought out. Liu Zong had to die."

  4. Mao (introductory note): "Lady Xu stayed alive to avenge her husband. Lady Mi died to preserve the heir. Both were worthy wives. Lady Wu of the Southland entrusted her grown son to able ministers before her death. Lady Mi entrusted an infant to a brave warrior. Both were worthy mothers." Liu Bei's four marriages were territorially connected. He apparently married Lady Mi when he took power in Xuzhou. With Cao Cao's help he married Lady Gan when he became governor of Yuzhou. Later he marries a Southland woman and then a Riverlands woman.

  Lady Gan gave birth to Ah Dou when Liu Bei reached Jingzhou. See the SGZ, "Xianzhu zhuan" and "Er zhu fei zi zhuan" ; neither mentions Lady Mi. The TS annotator (p. 408) says, "In later times [Zhao] Zilong was not admitted to the shrine for Xuande's military vassals. This must have been because he had terrified the Second Emperor's [i. e., Ah Dou's] mother and brought about her death; this was, after all, disloyal of him." These words as well as the scene itself suggest that Lady Mi may actually have been Ah Dou's mother. See the afterword for a discussion of Ah Dou's status and his rivalry with Liu Bei's adopted son Liu Feng.

  CHAPTER 42

  1. Mao: "Yuan Shao rejected Tian Feng's counsel because he doted on his infant son. Xuande rejected his own son to bind Zilong more closely to him. What a difference between Yuan Shao's folly and Xuande's wisdom." According to the TS, Xuande's child was then three sui, i. e., more than two years old.

  2. Mao (introductory note): "Zhang Fei's shout repulsed Cao Cao's army. But would Cao Cao have been awed had not Lord Guan earlier lauded Zhang Fei? Furthermore, Cao Cao suspected an ambush when Zhang Fei—horse poised, sword leveled—met him at the bridge. But would Cao Cao have been so cautious had not Kongming previously struck fear in him with two fiery attacks?"

  Historically, Liu Bei was defeated at Dangyang, the county where Steepslope Bridge was located, and Zhang Fei was covering Liu Bei's flight across the River Han to Jiangxia. Liu Qi probably deserves as much credit for the rescue as anyone. According to Lu Su's biography in the SGZ's "Wu shu," a southern source, Lu Su entered the picture at a significantly earlier point, meeting Liu Bei not at Jiangxia, but at Steepslope. See SGZ, pp. 1262, 1269; also see the excerpt cited from the "Jiangbiao zhuan" on p. 879, which begins with the words, "Liu Bei followed Lu Su's plan and advanced to Fankou in Exian [south of the Yangzi]." The purpose of Lu Su's mission to Jingzhou, according to his biography (SGZ, p. 1269), was to acquaint himself with the political situation in the province since the death of Liu Biao so that the Southland could establish itself there before Cao Cao. In particular, Lu Su wanted to know if Liu Bei was on good terms with Biao's sons. If so, Lu Su meant to ally with Bei. En route to Jingzhou, however, Lu Su learned that Liu Zong had surrendered Xiangyang to Cao Cao and that Liu Bei was in flight. Su then met Bei in Dangyang.

  3. The TS (p. 416) reads: "Xuande replied, 'I refrained [from attacking Cao Cao at the hunt] out of concern for the Emperor's security. If Heaven upholds the true, this misfortune may yet prove a blessing. ' Later the official historian Pei Songzhi criticized Liu Xuande for speaking hypocritically. In his judgment, 'When Xuande was in Xuchang, he plotted with Dong Cheng to assassinate Cao Cao. The plot failed when it was exposed. If Xuande was so concerned for the Emperor, why did he join in the plot?... His answer to Lord Guan is insincere: a gloss on the truth, no more. '"

  4. See chapter 23. Liu Biao had jailed Han Song for urging an agreement with Cao Cao. The novel omits Jia Xu's advice to Cao Cao after the capture of Jiangling: to consolidate his gains, not to extend the campaign, and to wait for the south to submit. See SGZ, p. 330.

  5. Mao: "Kongming says he is 'well informed' to elicit Sun Quan's request for advice. Kongming says 'our strength falls short' to imply that they need Sun Quan's help."

  6. Mao (introductory note): "Kongming convinced Xuande to make an ally of Sun Quan; Lu Su convinced Sun Quan to make an ally of Xuande. The two advisers saw the situation in more or less the same way, but Kongming's genius lay in the fact that he saved his lord the trouble of seeking the Southland's aid and, quite remarkably, managed to get the [stronger] Southland side to send its envoy to request Xuande's aid. When Lu Su arrived, had Kongming welcomed him with a great to-do, the scene would have become ordinary. But most ingeniously, Kongming refused to appear until Lu Su had requested to meet him. This was Kongming's first stroke of genius. After the meeting with Lu Su, had Kongming laid forth his position, the scene would have become ordinary. But most ingeniously, Kongming made no attempt to arouse Lu Su's interst; rather, Lu Su was the first to suggest joining forces. This was Kongming's second stroke of genius. Lu Su intended to invite Kongming to go back to Chaisang with him. Had Kongming eagerly accepted, the scene would have become ordinary. But most ingeniously, Kongming made a number of spurious objections and then let Lu Su prevail upon him to go. This was Kongming's third stroke of genius."

  Instability and division in Jingzhou province caused the name "Jingzhou" to be applied to four cities. This happened because "Jingzhou" is not a place-name per se but simply denotes the administrative township of the province. Hence, Xiangyang, Jiangling, Gong'an, and later Xinye, came to be called "Jingzhou." In most cases this translation will use the geographical name rather than the administrative.

  CHAPTER 43

  1. Hu Sanxing's commentary to the ZZTJ (p. 1914) lists seven imperial districts: Nanyang, Nanjun, Jiangxia, Lingling, Guiyang, Changsha, and Wuling. Nanyang, the northernmost district (in which Kongming's home was located), will eventually come into Cao Cao's control. Nanjun (western Jingzhou) and Jiangxia (eastern Jingzhou), roughly along the 31st parallel between the Han and Jiang rivers, will be divided between northern and southern control. The four districts below the Yangzi will later be divided, east and west, between Liu Bei and Sun Quan.

  In the PH, Kongming is present when Cao Cao's letter inviting Sun Quan to a hunt in Jiangxia arrives. After the reading, Kongming kills the bearer on the spot, thus forcing Sun Quan to abandon any thought of joining with Cao Cao (p. 78). The historical role of Kongming in encouraging southern resistance to Cao Cao is difficult to determine. Kongming's own biography in the SGZ provides a firm foundation for Luo Guanzhong's interpretation of him as the catalyst. However, the biographies of Lu Su and Zhou Yu—both southern sources—ignore him. The scholiast of the SGZ, Pei Songzhi, comments (p. 1262): "In my view, the plan to resist Cao really came from Lu Su. Lu Su urged Sun Quan to summon Zhou Yu, who had been assigned to the Poyang Lakes [south of Chaisang], On returning from Poyang, Zhou Yu found himself in agreement with Lu Su." In the PH, Sun Quan's mother plays a larger role than she does in Three Kingdoms: she denounces Cao Cao and advocates cooperation with Imperial Uncle Liu Xuande.

  2. Mao: "Zhang Zhao and Zhou Yu were advisers inherited from Sun Quan's brother Ce. Lu Su alone was personally recruited by Sun Quan; that is why Quan holds him dear."

  3. Throughout these scenes Liu Bei is called either Liu Yuzhou, a reference to his titular position as protector of Yuzhou, or shijun, a phrase of respect used to address a province leader. "Lord Liu" is the translation covering both terms.

  4. Mao (introductory note): "What happened to Liu Zong is an object lesson for Sun Quan. Zong's ministers, Wang Can, Kuai Liang, and the others, held high office. But Zong alone was killed. Submitting to Cao, Quan could suffer a like fate. Priceless indeed were the words of Lu Su: 'They may submit, you alone may not. '"

  5. Mao: "He does not denounce him for submitting to Cao; he denounces him for not attacking Cao—a despicable argument."

  6. Here Kongming uses arguments of classical Mencian Confucianism, the heart of Old Text historiography, against the superstition and numerological mystification indulged in by the New Text scholars. Xue Zong opens his argument with, "The empire belongs to no one man but to all in the empire" (TS, p. 424)—this is the second of six occasions when the phrase i
s used in the TS but deleted in the Mao edition. Xue Zong continues by saying, "Accordingly, Yao abdicated the realm to Shun; and Shun abdicated to Yu. Later, Cheng Tang [founder of the Shang] banished Jie [last emperor of the Xia], and King Wu [founder of the Zhou dynasty] waged just war against King Zhou [last ruler of the Shang], The warring kingdoms gobbled each other up, and Han devolved from Qin [the victor among the warring kingdoms]."

  7. Mao: "The scholars who served Cao Cao would be equivalent to Yang Xiong."

  8. The story of Tian Heng, last king of Qi (one of the warring kingdoms) must have inspired Han and post-Han Chinese much as the legend of the forty-seven rōnin did the Japanese of later times. Rather than submit to the Supreme Ancestor (Gao Zu, the Han founder), whose trustworthiness he had every reason to suspect, Tian Heng refused a generous amnesty and committed suicide. His advisers and five hundred of his warriors followed their lord in death. The allusion to Tian Heng is historical. See Kongming's speech to Sun Quan in SGZ, p. 915.

  9. Lady Wu is Sun Quan's aunt; she graduated to the status of mother on the death of her elder sister, the biological mother of Sun Ce and Quan.

  CHAPTER 44

  1. Mao (introductory note): "Long before, Zhou Yu had made up his mind to drive Cao Cao back. Zhou Yu's pretense at favoring submission is an effort to induce Kongming to request aid from the south. Unaware of Zhou Yu's pretense, Lu Su argues strenuously for resistance. Well aware of the pretense, Kongming plays along. Zhou Yu and Kongming work their ruses, speaking falsely, leaving everybody guessing in the dark and showing his ignorance at the same time. Between Zhou Yu and Kongming the novelist has placed a most sincere Lu Su, whose naive remarks sharpen the delineation of the principals involved."