The Rise of Later Zhao
Shi Le was a Jie tribesman of the Qiangqu lineage, which was one of the 19 tribes that migrated to the frontier regions with the Xiongnu. His people separated from the Xiongnu by their distinct physical features such as high noses, deep-set eyes, and beards, and devotion to the Zoroastrian faith.[i] According to certain later sources, there are indications of the existence of two intriguing states. The Zheshe State is mentioned in the Book of Wei, while the Shi State, deriving its name from "stone," is referenced in the Book of Sui. These states are said to have occupied the vicinity of Zhezhe, which corresponds to the modern-day city of Tashkent. Shi Le may have had ancestral ties to the Shi State, perhaps inspiring his family to migrate to the Central Plains and adopt "Shi" as their surname. Shi Le's father and grandfather held lower-ranking chieftain positions within their tribe.
Shi Le's birthplace can be traced to Wuxiang County, Shangdang.[1] At the age of fourteen, he accompanied his tribemen on a trading journey to Luoyang but soon returned home engage in agricultural work. During the later years of Emperor Hui's reign, Shanxi province was stricken by a devastating famine. In response, Sima Teng, the Inspector of Bingzhou and Duke of Dongying, resorted to capturing and selling Hu people as slaves in Shandong and Hebei to acquire military provisions. To ensure their confinement, two Hu people were chained together. It was during this period that Shi Le, then in his twenties, found himself among the captives. The arduous journey from Shanxi to Hebei and Shandong subjected Shi Le to the constant perils of starvation and disease. Ultimately, he was sold to the Shi Huan family in Chiping,[2] where he initially served as a farming slave. However, Shi Huan soon released him, granting Shi Le the status of a tenant farmer.
In subsequent years, Shi Le demonstrated his leadership abilities by assembling a small band of eight men, including Wang Yang, which they named the "Cavalry Thieves." Later, they were joined by Guo Ao and nine others, forming a bandit group known as the "Eighteen Riders."[3] Amidst the War of the Eight Princes, the demise of Prince Sima Ying of Chengdu led to the emergence of Gongshi Fan, the prince's general, who sought vengeance and raised a substantial army from Zhao and Wei. Recognizing the opportunity, Shi Le aligned himself with Gongshi Fan's forces and joined them in their quest. In due course, Shi Le became one of the trusted generals under the command of Liu Yuan, further expanding his military forces to an impressive size, exceeding 100,000 soldiers.
In 311, Shi Le annihilated the main army of the Western Jin Dynasty led by Prince Sima Yue of Donghai at Ningping City in Ku County. Expanding his influence, he formed alliances with Liu Yao and Wang Mi, eventually capturing Luoyang. In a cunning move, he deceived and assassinated Wang Mi, effectively annexing his forces. With his forces strengthened, Shi Le set his sights on further territorial expansion in the south. He launched military campaigns into the Jiang and Han territories but faced setbacks. However, employing the strategic insights of Zhang Bin, Shi Le successfully established a stronghold in Xiangguo.[4] Of the eight provinces in northeastern Western Jin empire, Shi Le managed to gain control over seven of them.[ii]
By 314, Shi Le assassinated Wang Jun and took over Youzhou, establishing control over a large part of Hebei and Shandong. His military prowess was further exemplified in 316 when he defeated Jin general Liu Kun. In 321, Shi Le dealt a significant blow to his rivals by exterminating the Xianbei clan of Duan. This same year proved crucial for Shi Le's expansion as he capitalized on the death of Eastern Jin's Zu Ti, allowing him to gain control over Henan and northern Anhui. The subsequent year, in 323, saw Shi Le's forces triumph over Cao Yi, resulting in the seizure of Qingzhou. Shi Le's most impactful conquest came in 329 when he destroyed the Former Zhao dynasty and extended his control over the regions surrounding Guanzhong and Long. Apart from the Murong clan in Liaodong and the Zhang clan in Hexi, Shi Le had successfully unified the entire Central Plains region. At its zenith, the territory of the Shi Zhao dynasty stretched "south to Huai and Hai, east bordering the sea, west to Hexi, and north to Yan and Dai."[5]
In 319, Shi Le declared himself the Grand Chanyu and the King of Zhao and chose Xiangguo as his capital. In 330, he changed his title to the Heavenly King of Great Zhao and carried out imperial affairs. In the same year, he further proclaimed himself Emperor.
In the early stages of Shi Le's rise, he conducted military campaigns in both the north and south, capturing forts and strongholds and often "levying taxes on grain from righteous sources to provide for his soldiers." However, as he established his base in Xiangguo, he faced food shortages and resorted to "sending his generals to raid and seize wild grains" from the counties of Guangping.[6] In times of severe famine, when crops and even the hair of livestock was devoured by locusts, Shi Le prioritized the sustenance of his army over the welfare of the populace, employing forceful means to confiscate their food. Contemporaries referred to Shi Le's actions as Hu Huang or "Barbarian Locust".[iii]
However, it is important to consider Shi Le's background as a former slave who had experienced the hardships of being sold in Shandong. This may have given him some empathy for the struggles faced by the common people. After capturing Ye City around 313, Shi Le began implementing a system of feudal exploitation in the territories under his control, adopting the methods already in place in the Central Plains. He imposed land rents and household taxes on the local population. By 314, after he gained control of Youzhou, Shi Le gradually stabilized the provinces of You and Ji, starting with the counties and cities, and conducted a survey to determine the actual number of households. He established a policy where each household would contribute "2 pieces of silk and 2 hu of grain."[7] This level of exploitation was similar to that implemented by Cao Cao after he established control over North China, which required "4 sheng of land rent per mu, and each household to contribute 2 pieces of silk and 2 jin of cotton."[8] In comparison to the later occupation of land system during Western Jin, where "each adult male was assigned 50 mu of land and had to pay 4 hu of grain rent (8 sheng per mu), 3 pieces of silk, and 3 jin of cotton,"[9] Shi Le's policy was relatively less burdensome.
During the Sixteen Kingdoms period, conflicts and turmoil plagued the land, resulting in widespread destruction of agricultural production. However, the policies implemented by Shi Le stand out for their commendable efforts to alleviate the burden on the common people. The prevailing Xiongnu nobles, known for their heavy drinking habits, consumed a considerable amount of grain in the process. To address this issue and conserve food resources, Shi Le strictly prohibited the brewing of alcohol within his domain. Historical records reveal that "Shi Le began to restore the people's livelihoods (referring to agricultural productivity), albeit within the limitations of available resources. Therefore, he strictly enforced the ban on brewing alcohol, where sweet rice wine was exclusively reserved for ancestral sacrifices. This policy remained in effect for several years, dissuading alcohol production among the populace."
After ascending to the throne as the King of Zhao, Shi Le actively sought to revitalize agricultural production by dispatching emissaries to various provinces and counties, encouraging farmers to increase their output. He appointed the Right Palace Attendant, Huo Hao, as the Chief Officer for Encouraging Agriculture and sent officials such as Zhu Biao and Lu Guang as agricultural supervisors to travel through the provinces and counties, verifying household registrations and promoting agricultural production. Notably, outstanding farmers were rewarded with the prestigious title of Wu Dafu (Five Gentlemen).[10] While these measures contributed to some extent in facilitating the recovery of agricultural output, it is important to acknowledge that Shi Le primarily implemented them as a means to consolidate his rule and exploit the population.
Upon assuming power, Shi Le's actions displayed a strong animosity towards the captured royal officials, courtiers, and aristocrats of Western Jin, leading to their widespread execution. However, he adopted a more accommodating approach towards the prominent families who chose to surrender, gradually integrating them into the political framework of his regime. As Shi Le expanded his influence in Hebei, he converged the local "gentlemen" and organized them into the Gentlemen Camp. He appointed Zhang Bin, a disgruntled Han scholar, as his chief strategist and later as the Grand Director, entrusted with the oversight of government affairs. Amidst the consolidation of his kingdom, Shi Le orchestrated the relocation of over three hundred households comprising court officials, scholars, and noble families from the Western Jin court to The Village of Respecting Benevolence (chongren li) in Xiangguo, where they were appointed as esteemed high-ranking officials.[11] Additionally, he resettled more than three thousand families of influential figures from the provinces of Si and Ji in Xiangguo.[12] To ensure a harmonious coexistence between the Han and Hu ethnic groups, Shi Le issued a decree explicitly stating that the prominent Han families should be treated with respect and not subjected to mistreatment by the Hu people.[13]
Shi Le's implementation of the Nine-Rank Official System further exemplified his approach to governance. Under his leadership, "he established the five ranks, with Zhang Bin in charge of the selection process. He also reinstated the nine ranks, appointing Zhang Ban as the Left Director of Law and Meng Zhuo as the Right Director of Law, both responsible for selecting and appointing officials." Later on, "he appointed Wang Bo, the Yamen General, as the Chief Clerk in charge of the selection and appointment of officials according to the nine ranks."[14]
Prominent Han aristocratic families from the Central Plains, such as Pei Xian from Hedong[15], Lu Chen from Fanyang[16], Shi Pu from Bohai[17], Fu Chang from Beidi[18], Xun Chuo from Yingchuan[19], Cui Yue from Qinghe[20], Cui Yu[21], and Zheng Lue from Xingyang[22], were among those who held influential positions within the Shi Zhao regime. In a strategic move to solidify his support base, Shi Hu even exempted 17 prominent families from military service in the Guanlong region. This exemption extended to notable families such as the Huangfu, Hu, Liang, Wei of Jingzhao, Du, Niu of Anding, Xin of Longxi. As these prominent families from the Central Plains aligned themselves with the Shi Zhao regime, they took advantage of their positions to exercise authority over both the Han people and various minority groups.
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After capturing Hebei, Shi Le demonstrated his commitment to education by founding the Imperial Academy in Xiangguo. In a bid to groom the next generation of officials, he handpicked talented young individuals, sons of officials and scholars, to become students at the academy. There, these students received comprehensive instruction in the classics from proficient scholars appointed as literary officers.
He further established over ten smaller schools in the surrounding area. These schools included the schools of Propagation of Literature, Propagation of Education, Reverence for Confucianism, and Reverence for Training. They were strategically situated at the four gates of Xiangguo. Over a hundred sons of officials, scholars, and eminent families were carefully chosen as teachers, their duty being to impart knowledge and guide the students towards intellectual excellence. To ensure the safety and security of these educational institutions, guards were employed. These schools in the capital aimed to cultivate literate and military officials for the Shi Zhao regime. At the same time, Shi Le issued a decree mandating that each county establish educational officials. These officials would consist of one Great Scholar and one Libationer, who would be tasked with overseeing the education of 150 disciples.[23] The youths of noble birth would undergo three rounds of examinations. Those who achieved outstanding results would be recommended by their respective counties to serve in either the central or local government.
The Later Zhao dynasty, like the Xiongnu Liu dynasty, implemented a policy of divided governance between Hu and Han peoples. Shi Le appointed Zhi Xiong as the Middle Fortress General and Wang Yang as the Guerrilla General, both serving as Libationers of the Ministry of the Interior, with a specific focus on handling legal disputes among the Hu people. In order to ensure a fair and just administration, Shi Le entrusted the important task of overseeing the affairs of the Hu people and enforcing strict laws to his disciples and chief scribes, Zhang Li, Zhang Liang, and Liu Qun. Their responsibilities extended to preventing any acts of disrespect or mistreatment of prominent Han individuals by the Hu people.
Despite the laws and regulations meant to prevent mistreatment, the Jie people continued to harass the Han people. One incident exemplifying this occurred when Shi Le, noticed his Military Advisor, Fan Tan, looking disheveled. Shi Le exclaimed, "Military Advisor Fan, how impoverished you have become!" Fan Tan honestly confessed, "I suffered at the hands of the Jie bandits and lost all my possessions." "So, the Jie bandits have been plundering and ravaging like this!" Shi Le chuckled and proclaimed, "I will compensate you for your losses." In a generous gesture, he awarded Fan Tan with carriages, horses, clothing, and a substantial sum of 3,000,000 coins.[24]
During this time, the Jie people were known as guoren (national people), while the Han people as zhaoren (Zhao people). It was strictly forbidden for Han people to refer to the Jie people as "Hu". Despite this prohibition, Fan Tan openly violated the rule, yet Shi Le did not reprimand him for his transgression. However, this incident serves as proof that the Jie people regarded themselves to be superior to the Han people, allowing them to plunder the property of Han officials without consequence. Consequently, the Han people were left with no choice but to suffer under their oppressive treatment.
Later Zhao established the position of the Grand Chanyu to govern the Hu and Jie people. Initially, Shi Le held the title of King of Zhao and also served as the Grand Chanyu, while Shi Hu acted as the Chanyu's chief assistant. However, Shi Le eventually proclaimed himself emperor and appointed his son, Shi Hong (石弘), as the Crown Prince, and another son, Shi Hong (石宏), as the Grand Chanyu. However, Shi Hu harbored dissatisfaction because Shi Le did not allow him to hold the prestigious position of Grand Chanyu. The division of governance between the Hu and Han peoples necessitated the establishment of the Grand Chanyu to ensure the pacification of the various barbarian groups. It is plausible that the Chanyu's headquarters during the reign of the Shi Zhao dynasty was located in Ye City.
Shi Le, despite being illiterate, had a profound fascination for literature and history. He would often engage someone to read history books to him. One incident stands out, where he had the Book of Han read to him and was astounded by Li Yiji's advice to Emperor Gaozu regarding the establishment of the Six States.
"This approach is destined to fail!"he exclaimed, "How could one possibly achieve dominance over the realm?"
However, his perspective soon shifted upon hearing the wisdom of the Marquis of Zhiliu, Zhang Liang. He recognized the value of this counsel and acknowledged, "It is thanks to this wisdom that success was possible."[25]
This episode showcases Shi Le's unique perspective on historical events. Drawing on his extensive political experience, he possessed an extraordinary ability to critique the successes and failures of emperors throughout the ages, leaving his listeners in awe. Shi Le held great admiration for Gaozu Emperor Liu Bang of Han, expressing his willingness to serve him and compete with renowned strategists like Han Xin and Peng Yue to prove his capabilities. He pondered the outcome if he had encountered Emperor Guangwu, questioning who would have emerged victorious in their struggle for control over the Central Plains.[26] Shi Le often sought to emulate the actions of Liu Bang in his own reign. Under his rule, the people enjoyed a slightly improved quality of life compared to the tumultuous end of the Western Jin and the Former Zhao Dynasty.
Figure 1 Map of the Later Zhao, 327 CE
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[1] Now north of Yushe, Shanxi.
[2] Now west of Chiping, Shandong.
[3] In Records of Shi Le (JS104): [Shi Le] gathered Wang Yang, Kui An, Zhi Xiong, Ji Bao, Wu Yu, Liu Ying, Tao Bao, Lu Ming, and others, forming a group of eight riders who became notorious bandits. Later, Guo Ao, Liu Zheng, Liu Bao, Zhang Yipu, Huyan Mo, Guo Heilue, Zhang Yue, Kong Tun, Zhao Lu, and Zhi Quliu and others joined them, forming a group known as the "Eighteen Riders."
[4] Now Xingtai, Hebei.
[5] Zuyu, Gu, Essential Records of History and Geography (读史方舆纪要)
[6] Commandary capital Guangping, now east of Jize, Hebei.
[7] Records of Shi Le, JS104
[8] Biography of Emperor Wu of Wei, SGZ with annotations from WS
[9] According to Chuxue Ji citing Jin Story.
[10] Records of Shi Le, JS104
[11] Ibid.
[12] Annals of Jin
[13] Records of Shi Le, JS104
[14] Ibid.
[15] Pei Xian was Pei Kai’s son and served as Minister of Education and Grand Tutor.
[16] Lu Chen was Lu Yu’s grandson and served as Palace Attendant and Director of the Palace Library.
[17] Shi Pu was Shi Bao’s great-grandson and served as Minister of Education.
[18] Fu Chang was Fu Zhi’s son and served as Grand General and Right Inspector of the Cavalry.
[19] Xun Chuo was Xun Mao’s great-grandson and served as a staff officer under Shi Le.
[20] Cui Yue was Cui Lin’s great-grandson and served as Left Chief Clerk of the Minister of Education.
[21] Cui Yu was Cui Dan’s grandson and served as a high-ranking official in Shi Zhao.
[22] Zheng Lue served as Palace Attendant in Shi Zhao.
[23] Ibid.
[24] Ibid.
[25] Insight and Judgment, A New Account of Tales of the World
[26] Records of Shi Le, JS104
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[i] In Records of Shi Jilong (JS107):
Longxiang Generals, including Sun Fudu, Liu Zhu, and others formed a group of three thousand Jie warriors who worshipped the barbarian Heaven and intended to eliminate Min and others.
The same account can be found in Vol. 120 Taiping Yulan, citing the The Spring and Autumn Annals of the Sixteen Kingdoms: Records of Later Zhao. It is worth noting that during the Northern Dynasties, the religion of Zoroastrianism was referred to as the Hu Tian (Barbarian Heaven) or Hu Tian Shen (Barbarian Heaven God), while in the Tang Dynasty, it was known as Xian Jiao (Zoroastrianism) or the Fire Worship Religion.
[ii] ZZTJ, 2nd year of Jianxing (314 CE) during the reign of Emperor Min of Jin:
[Liu] Kun [...] submitted a memorial stating, "Of the eight provinces in the northeast, [Shi] Le has extinguished seven. I am the only one remaining who was appointed by the previous dynasty (Western Jin). Le is stationed in Xiangguo, separated from me only by the [Taihang] Mountains. His forces move swiftly, causing fear and panic in our cities and castles."
Hu Sansheng's commentary on this passage states, "Le entered Ye and killed Duke [Sima] Teng of Eastern Yan. He raided Xindu and killed the Inspector of Jizhou, Wang Bin. He launched an attack on Juancheng and killed the Inspector of Yanzhou, Yuan Fu. He besieged Xincai and killed the Inspector of Yuzhou, Prince [Sima] Que of Xincai. He launched a surprise attack on Mengcheng and captured the Commander of Qingzhou, Gou Xi. He captured Shangbai and beheaded the Inspector of Qingzhou, Li Yun. He attacked Xindu and killed the Inspector of Jizhou, Wang Xiang. He attacked Dingling and killed the Inspector of Yanzhou, Tian Hui. He launched a surprise attack on Youzhou and captured Wang Jun. By eliminating Li Yun, Tian Hui, and Wang Jun, who were all appointed by the imperial court, he has extinguished seven."
[iii] In Annals of Emperor Xiao Min (JS05):
In the 5th year of Jianxing, during the autumn in 7th month, a severe drought struck the provinces of Si, Ji, Qing, and Yong. At the same time, locusts infested these four provinces. It was during this period that Shi Le relentlessly seized the crops of the common people, earning him the nickname of "Barbarian Locust" among the people.