Sima Qian

Overview

Sima Qian (c. 145–86 BCE), courtesy name Zichang, was a Chinese historian of the Han dynasty. He is widely regarded as China's first great historian, best known for authoring the Shiji (Records of the Grand Historian), a groundbreaking work that established the model for Chinese historiography. The Shiji covers a vast period from the mythical Yellow Emperor era to the reign of Emperor Wu of Han, encompassing 130 chapters organized into five sections: basic annals (benji), hereditary houses (shijia), treatises (shu), chronological tables (biao), and biographies (liezhuan). This comprehensive approach to historical documentation influenced Chinese historiography for over two millennia.

History

Early Life

Sima Qian was born during the reigns of Emperors Jing and Wu of the Western Han dynasty (his exact birth year is debated) into a family of modest means in Longmen (present-day Hancheng, Shaanxi, or according to some accounts, Shanxi). His grandfather, Sima Xi, had obtained the ninth-rank title of Wudafu by donating four thousand shi of grain to the state policy of enriching border regions, thereby exempting the family from corvée labor. From a young age, Sima Qian studied under his father Sima Tan, mastering classical texts such as the Book of Documents, Zuo Zhuan, Discourses of the States, and Xi Ben by age ten. When Sima Tan was appointed Grand Historian (Taishi Ling) in the capital Chang'an, the young Sima Qian remained in Longmen, continuing his education through farming, reading, and herding.

Travels Across China

After coming of age, Sima Qian traveled to Chang'an to join his father. Having already achieved considerable learning, he was instructed by his father to travel throughout the realm to collect historical anecdotes and gather lost records. Beginning at age twenty, Sima Qian embarked on a journey that took him southeast from the capital, passing through Wuguan to Wanan, then south to Xiangfan and Jingling. He crossed the Yangtze River, traced the Yuan River to western Hunan, then proceeded southeast to Jiuyi Mountain. From there, he traveled north to Changsha, paying respects to Qu Yuan's drowning place at Miluo River, crossed Dongting Lake, and sailed east along the Yangtze. He climbed Mount Lu, observed Yu the Great's flood-control work at the Nine Rivers, and traveled to Qiantang. He visited Kuaiji to explore Yu's cave, returned to Wu to tour the palace of Lord Chunshen, ascended Gusu Mountain to view the Five Lakes, then journeyed north across the Yangtze, passed through Huaiyin to Linzi and Qufu, studying the culture of the Qi and Lu regions and observing the legacy of Confucius. He experienced difficulties in Po, Xue, and Pengcheng, then followed the historical sites of the turbulent Qin-Han transition and Chu-Han Contention, passing through Pengcheng, Pei, Feng, Dang, and Suiyang to Liang (present-day Kaifeng), before returning to Chang'an to his father, who was serving as Grand Historian.

Court Service

Through his father's influence, Sima Qian returned to the capital and was appointed as Gentleman of the Interior (Langzhong). In 111 BCE, when Marquis Yi He was ordered to pacify the southwestern Yi peoples and General Guo Chang and Wei Guang led troops to conquer Qulan, Nanyi submitted to Han authority. The Han army executed the Qun of Qiong and killed the Zuo Hou of Zuo, causing the Rangmang people to submit and request officials. Emperor Wu subsequently established five commanderies in the southwest: Wudu, Zangke, Yuexi, Shenli, and Wenshan. At this time, accompanying Emperor Wu on an eastern tour to Goushi, Sima Qian was dispatched again to the southwest, following Tang Meng, Sima Xiangru, and Gongsun Hong, to plan the establishment of new commanderies south of Ba and Shu. He subsequently pacified Qiong, Zuo, and Kunming, returning to the capital the following year to report to Emperor Wu.

Father's Final Instructions

In the spring of 110 BCE, Emperor Wu performed the Feng Shan (sacrifice to Heaven and Earth) ceremony on Mount Tai during his eastern tour after visiting the Bohai Sea. Sima Tan, who was participating in formulating the sacrificial rituals, fell ill and was delayed in Zhounan, unable to proceed with the tour. He became resentful, causing his condition to worsen. After completing his mission in the southwest, Sima Qian rushed to Mount Tai to attend the ceremony but encountered his dying father in Luoyang.

On his deathbed, Sima Tan told Sima Qian: "Our ancestors were Grand Historians of the Zhou dynasty. In ancient times during the reigns of Emperor Shun and Yu the Great, they achieved prominent merit and were in charge of astronomical observations. Later, our family declined. Must this tradition end with me? You will become Grand Historian and can continue our ancestral enterprise. Today, our emperor inherits the thousand-year unified enterprise of the Han dynasty and performs the Feng Shan ceremony at Mount Tai, but I cannot accompany him—this is fate. After my death, you will surely become Grand Historian. When you do, do not forget the historical work I planned to compile. Moreover, filial piety begins with serving one's parents, continues through serving one's ruler, and ultimately establishes one's position in society, achieving fame for posterity and glorifying one's parents—this is the essence of filial piety. The world praises the Duke of Zhou for extolling the merits of Kings Wen and Wu of Zhou, promoting the legacy of the Zhou and Shao dukes, and helping people understand the thoughts of King Tai of Zhou, King Ji of Zhou, and the achievements of Duke of Hou Ji. After the reigns of Kings You and Li of Zhou, the royal way declined and the rites and music fell into disarray. Confucius studied and organized existing literature, reviving the abandoned royal way and rites of music. He compiled the Book of Odes and Book of Documents, authored the Spring and Autumn Annals, which scholars still follow as a standard. From the time Duke Ai of Lu obtained the Lin unicorn until now, more than four hundred years have passed. During this time, due to the wars of annexation among feudal lords, historical records were lost and documentation was interrupted. Now the Han dynasty has risen and unified the realm. The deeds of wise rulers and loyal officials, as Grand Historian I do not record and comment upon, would break the nation's historical tradition. This makes me deeply uneasy, and you must remember this."

Sima Qian bowed his head, tears streaming down his face, and said: "Though I am not intelligent, I will complete my father's historical plan without any omission."

Influences from Contemporary Scholars

While serving in Chang'an during the prosperous reign of Emperor Wu ("the Han dynasty has never had as many talented people as in this era"), Sima Qian met many talented scholars gathered in the capital, including Jia Jia (grandson of Jia Yi), Gongji Ji (possibly Gongsun Hong), Fan Takuang (grandson of Fan Kuai), son of Pingyuan Lord Zhu Jian, Feng Sui (son of Feng Tang), Tian Ren (youngest son of Tian Shu), Hu Sui of Liang, and Su Jian of Duling. However, the most significant influences on Sima Qian came from Dong Zhongshu and Kong Anguo.

When discussing literature with the Grand Master Hu Sui, Sima Qian said: "I heard from Mr. Dong saying: 'When the royal way of the Zhou dynasty declined and fell into disarray, Confucius served as the Minister of Justice in the state of Lu. Feudal lords harmed him, and high ministers obstructed him. Knowing that his views would not be adopted and his political proposals could not be implemented, he evaluated right and wrong in the 242 years between Spring and Autumn periods as a standard for judgment in the world, condemning unrighteous emperors, denouncing unrighteous feudal lords, and denouncing disorderly ministers, all for the sake of making state governance clear.'"

Throughout the Shiji, the influence of Dong Zhongshu's Gongyang Learning can be seen in three main aspects: first, the Gongyang scholars' praise of the revolutions of Tang and Wu, advocating that the virtuous overthrow the wicked, became the ideological basis of the Shiji's opposition to tyranny; second, the Gongyang scholars' principle of "respecting the king and expelling the barbarians" and advocating for "great unity" became the main concept throughout the Shiji; third, the Gongyang scholars' emphasis on yielding and shame became the moral standard for the Shiji's evaluation of historical figures.

Because Kong Anguo was a descendant of Confucius and possessed more than ten lost chapters of the Ancient Documents of the Shang (Guwen Shangshu), Sima Qian consulted him about this text, learning the exegesis of ancient classical studies and methods of evaluating ancient historical materials. As the core of ancient classical studies, Sima Qian extensively drew from the Ancient Documents of the Shang when writing about the ancient Xia, Shang, and Zhou dynasties.

Sima Qian gave high praise to Confucius in the "Annals of Confucius" chapter of the Shiji: "High mountains make one look up; great paths make one follow." He also absorbed the essence of Confucius's teachings and the six arts classics, emulating Confucius's spirit and continuing the Spring and Autumn Annals with the Shiji, completing a masterpiece for the generation.

Calendar Reform Discussion

In 104 BCE, 102 years after the founding of the Han dynasty, matters were initially handled in a makeshift manner, mostly following the Qin dynasty system. The calendar used was the Zhuang Xu Calendar, which, despite being relatively accurate, had discrepancies in calculating the new moon and the last day of the lunar month. Sima Qian, then serving as Grand Historian, along with Grand Master Gongsun Qing and Hu Sui, advised Emperor Wu: "The Zhuang Xu Calendar is no longer suitable for current conditions and should be redesigned." Minister of Justice Er K恰好 understood classical studies, so Emperor Wu ordered him to discuss calendar reform with various scholars. In the same year, Emperor Wu commanded Gongsun Qing, Hu Sui, Sima Qian, Gentleman Zun, and Grand Astronomer She Xing to design the new "Han Calendar."

Suffering the Punishment of Castration

In 99 BCE, Emperor Wu wanted Li Ling to escort supplies for General Li Guangli, who was attacking the Right Xiongnu Wanyan King from Jiuquan. Li Ling declined and requested to lead five thousand infantry to attack the Xiongnu court with a small force against a large one. Emperor Wu admired Li Ling's courage and agreed. However, when Li Ling reached Junji Mountain, he encountered the Xiongnu army. Reinforcements from Lu Bo did not arrive, while Xiongnu forces continued to gather. After running out of food and arrows, Li Ling eventually surrendered to the enemy.

Emperor Wu was enraged, and all ministers condemned Li Ling's crime. Only Sima Qian said: "Li Ling served his parents filially, was trustworthy with his men, and always had the heart to serve the country. He led only five thousand infantry and attracted the full force of the Xiongnu, killing over ten thousand enemies. Although he was defeated and surrendered, his merits can offset his crimes. I believe Li Ling did not sincerely surrender to the enemy; he survived to find an opportunity to repay the Han dynasty."

However, soon after, Gongsu Ao, who went to welcome Li Ling, returned without success and falsely reported that Li Ling was training Xiongnu troops to attack the Han dynasty. Emperor Wu then executed Li Ling's entire family, while Sima Qian was charged with the crime of "discouraging Er Shi and making a case for Li Ling" and was convicted of false accusation. The crime of false accusation was considered a grave offense punishable by death.

Facing the punishment of execution, Sima Qian considered that dying to preserve his reputation would protect his integrity, but his book was unfinished and his name was not established. This death would be like losing one hair from nine oxen, no different from the death of an ant. He thought of King Zhou who was imprisoned and developed the I Ching, Confucius who wrote the Spring and Autumn Annals while in distress, Qu Yuan who composed Li Sao after being exiled, Zuo Qiuming who wrote the Discourses of the States after losing his sight, Sun Bin who revised the military arts after being subjected to knee removal, Lü Buwei who created Lüshi Chunqiu after being demoted to Shu, Han Fei who wrote The Difficulties of Persuasion and Loneling Resentments while imprisoned in Qin, and the 300 poems of the Book of Odes—all these were works created by worthy sages and virtuous men to vent their frustrations. Finally, in an era when "even servants and maids could make decisive choices," Sima Qian resolutely chose castration over death to save himself. From then on, Sima Qian carried his father's lifelong unfulfilled ideal, facing extreme punishment without fear. Amidst perseverance and humiliation, he fulfilled the mission of the Grand Historian.

Transmission of the Shiji

Sima Qian had a daughter who married Yang Chang. Yang Chang served as chancellor during the reign of Emperor Zhao of Han (Liu Fuling) and had two sons with Sima Qian's daughter: the elder son Yang Zhong and the younger son Yang Yun. Yang Yun was intelligent and studious from a young age. His mother gave him her treasured and beloved Shiji to read. When Yang Yun first read this book, he was captivated by its content and could not put it down, reading it word by word, passage by passage with great care. After growing up, he read it several more times, each time weeping and sighing. During the reign of Emperor Xuan of Han, Yang Yun was enfeoffed as Marquis of Pingtong. Seeing that the court administration was orderly, he felt that his maternal grandfather Sima Qian's masterpiece was finally ready to be shared with the world. He submitted the Shiji to Emperor Xuan, and from then on, people throughout the realm could read this great historical work.

Key Information

Cultural Significance

Sima Qian's Shiji revolutionized Chinese historiography by establishing a comprehensive framework that influenced subsequent historical writing for centuries. His "five-part structure" (basic annals, hereditary houses, treatises, chronological tables, and biographies) became the standard model for official histories in China, known as the Twenty-Four Histories. The Shiji was not merely a compilation of historical facts but a work of literary excellence, characterized by vivid character portrayals, dramatic narratives, and profound psychological insights.

Beyond its historiographical importance, the Shiji has had a profound impact on Chinese literature and thought. Sima Qian's biographical approach influenced the development of the Chinese novel, and his literary style has been praised for its "powerful depth and elegant strength" (雄深雅健). His willingness to include common people, merchants, and even outcasts in his historical accounts demonstrated a broad-minded perspective that challenged contemporary social hierarchies.

Sima Qian's personal story—particularly his decision to undergo castration rather than die and continue his work—has become a powerful symbol of perseverance in Chinese culture. His famous statement "人固有一死，或重于泰山，或轻于鸿毛" ("Everyone must die, but some deaths are heavier than Mount Tai, while others are lighter than a goose feather") has resonated through Chinese history as an expression of the value of dedicating one's life to meaningful causes.

Modern Status

Today, Sima Qian is celebrated as one of China's greatest cultural figures. The Shiji remains a cornerstone of Chinese education and historical scholarship, with numerous academic studies devoted to its interpretation and significance. Modern scholars continue to analyze Sima Qian's historiographical methods, his narrative techniques, and his philosophical perspectives.

In popular culture, Sima Qian has been portrayed in films, television dramas, and literature. His life story, particularly the conflict between his personal integrity and his dedication to completing the Shiji, continues to captivate audiences. The phrase "史家之绝唱，无韵之离骚" ("the supreme song of historians, a Li Sao without rhyme") from Lu Xun's famous assessment of the Shiji has become one of the most well-known literary critiques in modern Chinese culture.

Internationally, Sima Qian and the Shiji have gained increasing recognition. Translations of the Shiji into various languages have made this work accessible to global audiences, allowing scholars worldwide to appreciate its historical and literary value. Sima Qian is now recognized not only as a Chinese historian but as one of the world's greatest historical writers, comparable to figures like Herodotus and Thucydides.

References

1. Nienhauser, William H., Jr. (ed.). The Grand Scribe's Records: Volume I, The Basic Annals of Han China. Indiana University Press, 1994.

2. Watson, Burton. Ssu-ma Ch'ien: Records of the Grand Historian of China. Columbia University Press, 1993.

3. Puett, Michael J. To Become a God: Cosmology, Sacrifice, and Self-Divinization in Early China. Harvard University Asia Center, 2002.

4. Yü, Ying-shih. "Life and Thought of Ch'en Sheng-wang (752-806): With Special Reference to the Intellectual Transition in the Mid-T'ang Dynasty." Harvard Journal of Asiatic Studies, Vol. 41, No. 1 (1981), pp. 149-180.

5. Loewe, Michael. The Former Han Dynasty. Penguin Books, 1986.