Dynasty

Shu 蜀

About this faction

Shu was the state that Liu Bei founded with Yi Province as his base. In the 19th year of Jian'an (214) Liu Bei besieged Chengdu, received Liu Zhang's surrender and became Governor of Yi Province, and after rising to King of Hanzhong in the 24th year of Jian'an (219), he ascended the imperial throne south of Wudan in Chengdu in the 4th month of the 26th year of Jian'an (221) and changed the era name to Zhangwu. The address to Heaven on that occasion said that he accepted the throne for fear that the imperial line of the Han would be buried in the earth. Records, Shu 2 §33 · 38–40 · 65–68

When Liu Bei died at the Yong'an Palace in the 3rd year of Zhangwu (223), his son Liu Shan succeeded him at Chengdu, and the Chancellor Zhuge Liang decided all affairs of government. In the winter of the 6th year of Jingyao (263), when Deng Ai of Wei defeated Zhuge Zhan at Mianzhu, the Later Sovereign Liu Shan followed Qiao Zhou's plan and surrendered to Deng Ai. Records, Shu 2 §73Records, Shu 3 §3 · 43Records, Shu 5 §23

Chen Shou called this state "Shu" and recorded its main line in the Biography of the First Sovereign and the Biography of the Later Sovereign, Records of Shu 2 and 3; the name "Shu-Han" appears once, in the covenant of the 1st year of Huanglong (229) included in the Biography of the Lord of Wu. The Romance opens the story of Liu Bei's band with the Peach Garden Oath in Chapter 1, has the King of Hanzhong ascend the imperial throne and change the era name to Zhangwu in Chapter 80, and from Chapter 85 records dates under the name "Shu-Han." Records, Shu 3 §4Records, Wu 2 §61–63Romance, Ch. 1 §21–22Romance, Ch. 80 §42Romance, Ch. 85 §34

Rise and fall in the Records

At the end of Emperor Ling's reign Liu Bei led his followers against the Yellow Turbans and so entered official service; he attached himself to Gongsun Zan and to Tao Qian, and after Tao Qian died he governed Xu Province. After Lü Bu seized Xiapi from him and he was badly defeated by Cao Cao in the 5th year of Jian'an (200), he went by way of Yuan Shao to take refuge with Liu Biao, who had him garrison Xinye. As more and more of the heroes of Jing Province came over to him by the day, Liu Biao secretly guarded against him. Records, Shu 2 §6–11 · 12 · 16–17 · 19

Zhuge Liang, whom he met at Xinye after visiting three times, told him to take both Jing and Yi Provinces and hold their natural defenses, to make friends with Sun Quan abroad and put government in order at home, and, when the realm saw upheaval, to have one general lead the troops of Jing Province toward Wan and Luoyang while Liu Bei himself led the host of Yi Province out to Qinchuan. When Liu Biao died and his son Liu Cong surrendered to Cao Cao, Liu Bei led his followers south, but at Changban in Dangyang he was overtaken by Cao Cao's elite cavalry and fled, abandoning his wife and children. Records, Shu 5 §4 · 7–8Records, Shu 2 §20–22

From Xiakou Liu Bei sent Zhuge Liang to join hands with Sun Quan, and together with the tens of thousands of naval troops under Zhou Yu, Cheng Pu and others sent by Sun Quan, he crushed Cao Cao at the Red Cliffs. He then received the surrender of the four commanderies of Wuling, Changsha, Guiyang and Lingling, and when Liu Qi died of illness he became Governor of Jing Province at the urging of his ministers, making Gong'an his seat. Sun Quan gradually came to fear him and gave him his younger sister in marriage. Records, Shu 2 §23–24

In the 16th year of Jian'an (211), when Cao Cao was about to attack Zhang Lu of Hanzhong, Liu Zhang, Governor of Yi Province, listened to Zhang Song and sent Fa Zheng to invite Liu Bei in. Liu Bei entrusted Jing Province to Zhuge Liang, Guan Yu and others, entered Yi Province with tens of thousands of infantry, and won the people's hearts at Jiameng by bestowing favors. The following year Zhang Song's plot was exposed and he was executed, and when the passes were closed to him Liu Bei beheaded Liu Zhang's general Yang Huai and took Fu County; after attacking Luo County for nearly a year he broke the city of Luo in the summer of the 19th year of Jian'an (214), besieged Chengdu for several dozen days and received Liu Zhang's surrender. Records, Shu 2 §27–29 · 31–33

Again holding the post of Governor of Yi Province, Liu Bei made Zhuge Liang his limbs, Fa Zheng his chief strategist, and Guan Yu, Zhang Fei and Ma Chao his claws and fangs, and he placed in high positions men whom Liu Zhang had employed, such as Dong He, Huang Quan and Li Yan, and even Peng Yang, whom Liu Zhang had shunned. In the 20th year of Jian'an (215) Sun Quan demanded Jing Province and sent Lü Meng to seize three commanderies, but when Cao Cao pacified Hanzhong, Liu Bei made peace with Sun Quan, assigning Jiangxia, Changsha and Guiyang to the east and Nan, Lingling and Wuling to the west. Records, Shu 2 §33–35

In the spring of the 24th year of Jian'an (219) he had Huang Zhong behead Xiahou Yuan at Mount Dingjun, and, holding out without engaging Cao Cao, who had come in person, he took Hanzhong in the summer. That autumn 120 of his ministers submitted a memorial to the Han emperor proclaiming him King of Hanzhong, and an altar was set up at Mianyang where the royal crown was placed on his head. Liu Bei returned to govern from Chengdu and had Wei Yan guard Hanzhong, but soon afterward Sun Quan attacked and killed Guan Yu and seized Jing Province. Records, Shu 2 §38–40 · 47 · 54

In the 25th year of Jian'an (220), when Emperor Wen of Wei proclaimed himself emperor and a rumor spread that the Han emperor had been killed, Liu Bei put on mourning and conferred the posthumous title Emperor Xiaomin. After a succession of writings reporting auspicious omens, he ascended the imperial throne in the 4th month of the 26th year of Jian'an (221) and changed the era name to Zhangwu, made Zhuge Liang Chancellor, and established an ancestral temple where Emperor Gao and his successors were worshipped together. In the 7th month he attacked Wu, but in the summer of the 2nd year of Zhangwu (222) he was badly defeated by Lu Xun at Xiaoting and returned to Yong'an, and he accepted Sun Quan's request for peace. When he died at the Yong'an Palace in the 4th month of the 3rd year of Zhangwu (223), he entrusted his orphan to the Chancellor Zhuge Liang and made Li Yan his deputy. Records, Shu 2 §55 · 60 · 65 · 68 · 70–73

In the 5th month of the 3rd year of Zhangwu (223) the seventeen-year-old Later Sovereign succeeded at Chengdu and changed the era name to Jianxing. Zhuge Liang opened his own administration, also served as Governor of Yi Province, and decided all affairs of government. When the commanderies of Nanzhong rebelled, he first sent Deng Zhi to Wu to make peace, and in the spring of the 3rd year of Jianxing (225) he campaigned south, pacifying everything by that autumn. Military supplies came from there and the state grew rich. Records, Shu 3 §3–4 · 6Records, Shu 5 §23–24

In the 5th year of Jianxing (227) Zhuge Liang submitted a memorial saying, "Now the realm is divided in three and Yi Province is exhausted," and garrisoned Hanzhong. When he attacked Mount Qi in the spring of the 6th year, the three commanderies of Nan'an, Tianshui and Anding rebelled against Wei and answered him, but Ma Su was badly defeated by Zhang He at Jieting and he withdrew. In the winter he besieged Chencang but returned when his provisions ran out; in the 7th year he pacified the two commanderies of Wudu and Yinping, and in the 9th year he went out to Mount Qi again and shot Zhang He dead. In the 12th year (234) he went out through the Xie Valley and faced Sima Yi at the Wuzhang Plains for more than a hundred days, setting up military farms, and in the 8th month he died in camp at the age of fifty-four. Records, Shu 5 §24 · 32–33 · 35 · 37–38

After Zhuge Liang's death, Wei Yan quarreled with Yang Yi and was killed, and Jiang Wan, as Director of the Imperial Secretariat, took overall charge of state affairs and rose to General-in-Chief and Grand Marshal. In the 7th year of Yanxi (244) Cao Shuang of Wei headed for Hanzhong, but Wang Ping held him off at Xingshi and the General-in-Chief Fei Yi went to the rescue, and the Wei army withdrew. Whenever Jiang Wei wanted to raise a large army, Fei Yi restrained him and never gave him more than ten thousand men, but in the 1st month of the 16th year of Yanxi (253) Fei Yi was killed by a man who had surrendered from Wei. Thereafter Jiang Wei went out on campaign many times, and in the 18th year (255) he crushed Wang Jing, Inspector of Yong Province of Wei, at Taoxi, but in the 19th year (256) Hu Ji failed to arrive at the agreed time, and Jiang Wei was badly defeated by Deng Ai at Duangu, earning the people's resentment. Records, Shu 3 §15–16 · 20 · 24 · 33Records, Shu 14 §35 · 37–38

From the 1st year of Jingyao (258) the eunuch Huang Hao dominated the government. Jiang Wei, defeated by Deng Ai at Houhe in the 5th year of Jingyao (262), stayed at Tazhong and did not return to Chengdu when Huang Hao sought to oust him and set up Yan Yu in his place. In the 6th year of Jingyao (263) Wei sent Deng Ai, Zhong Hui and Zhuge Xu by several routes, and Huang Hao, trusting the words of a shaman, had the memorial Jiang Wei had submitted urging advance defenses shelved. Jiang Wei held off Zhong Hui at Jiange, but Deng Ai came in by a byway from Yinping and defeated Zhuge Zhan at Mianzhu. On the day the Later Sovereign, following Qiao Zhou's plan, sent his letter of surrender, Liu Chen, Prince of Beidi, killed his wife and children and then himself, and the Later Sovereign, with a coffin loaded on a cart and himself bound, went to the gate of Deng Ai's camp. In the 1st month of the following year Zhong Hui raised a revolt at Chengdu and died, and the Later Sovereign was moved to Luoyang and enfeoffed as Duke of Anle County, dying at Luoyang in the 7th year of Taishi (271). Records, Shu 3 §38 · 43 · 46–48 · 52Records, Shu 14 §43–46

In his assessment in the Biography of the First Sovereign, Chen Shou said that Liu Bei had the bearing of Emperor Gaozu and the capacity of a hero, but that in resourcefulness and ability he fell short of Emperor Wu of Wei, and so his territory too was small. In his assessment in the Biography of the Later Sovereign he wrote that the Later Sovereign was a ruler who followed reason when he entrusted affairs to a worthy chancellor but became a benighted ruler when led astray by eunuchs, and that because the state appointed no historians, much of what was done went unrecorded. He also said that for twelve years Zhuge Liang did not change the era name or grant amnesties lightly, but that after his death these practices gradually broke down. Records, Shu 2 §78Records, Shu 3 §53–54

In the Romance

In Chapter 38 of the Romance, Zhuge Liang hung up a map of the fifty-four districts of Xichuan and told Liu Bei to yield the timing of Heaven to Cao Cao in the north and the advantages of terrain to Sun Quan in the south while he himself held the harmony of men, first taking Jing Province as his base and then seizing Xichuan to form a tripod. Liu Bei said that Liu Biao and Liu Zhang were both kinsmen of the Han imperial house and he could not bear to take their lands. Romance, Ch. 38 §15–16

In Chapter 65 Liu Zhang came out of the city and surrendered, saying, "For three years we have fought and blood and flesh have been strewn over the fields—it is all my fault," and when Zhuge Liang said it would be hard to accommodate two masters, Liu Bei sent Liu Zhang to Gong'an and made himself Governor of Yi Province. In Chapter 73 Liu Bei built an altar at Mianyang in the 7th month, the autumn of the 24th year of Jian'an, and rose to King of Hanzhong, and he appointed Guan Yu, Zhang Fei, Zhao Yun, Ma Chao and Huang Zhong the Five Tiger Generals. Romance, Ch. 65 §40 · 43 · 45–46Romance, Ch. 73 §8–9

In Chapter 80, at the news that Cao Pi had usurped the throne, the King of Hanzhong conferred the posthumous title Emperor Xiaomin. When Zhuge Liang and others asked him to become emperor he refused, saying, "How could I imitate what traitors do?", but he finally agreed after Zhuge Liang's ruse of feigning illness and persuading him from his sickbed, and he took the throne at the altar south of Wudan in Chengdu, changing the era name to the 1st year of Zhangwu. In Chapter 85, at the Yong'an Palace, he charged Zhuge Liang, "If he is without talent, you should yourself become the master of Chengdu," and died. Romance, Ch. 80 §29 · 31 · 34–38 · 42Romance, Ch. 85 §22 · 25

From Chapter 85 the Romance records dates under the name "Shu-Han." In Chapters 87 to 90 Zhuge Liang captured Meng Huo of the Nanman seven times and released him seven times, until Meng Huo swore that "the people of the south will never rebel again." In Chapter 91 he submitted the Memorial on Dispatching the Troops and set out north, and when he died in camp at the Wuzhang Plains in Chapter 104, Jiang Wei and Yang Yi, following his last instructions, withdrew the army without wailing for him. Romance, Ch. 85 §34Romance, Ch. 87 §2–3Romance, Ch. 90 §60–61Romance, Ch. 91 §32 · 47Romance, Ch. 104 §6 · 20

In Chapter 115, while Jiang Wei was pressing Deng Ai hard at Mount Qi, Yan Yu, who had attached himself to Huang Hao, had Huang Hao petition the Later Sovereign, and the Later Sovereign sent three edicts ordering him to withdraw his troops. On Xi Zheng's advice Jiang Wei asked to set up military farms at Tazhong and so escaped disaster. In Chapter 117 Deng Ai crossed the steep pass of Yinping by wrapping himself in a felt blanket and rolling down, and at Mianzhu Zhuge Zhan, struck by an arrow and fallen from his horse, drew his sword and cut his own throat. Romance, Ch. 115 §21–22 · 28–29Romance, Ch. 117 §13 · 15–16 · 44

In Chapter 118 Liu Chen, Prince of Beidi, rebuked Qiao Zhou and tried to stop the surrender; the day before the surrender he killed his three sons, cut off the head of his wife, who had died first, and carried it to the temple of Emperor Zhaolie, where he wept bitterly and then killed himself. The next day the Later Sovereign, together with more than sixty of his ministers, bound his own hands and, with a coffin loaded on a cart, surrendered ten li outside the north gate, and the Romance writes, "Thus the Han came to an end." Romance, Ch. 118 §4 · 9–11 · 13 · 16

In Chapter 119, when Sima Zhao asked, "Do you not miss Shu?", the Later Sovereign replied, "I am happy here and do not miss Shu." Chapter 120 brings the story to a close by recording that after the Three Kingdoms passed to Sima Yan, emperor of Jin, "Liu Shan, emperor of the Later Han," died in the 7th year of Taishi of Jin. Romance, Ch. 119 §27Romance, Ch. 120 §61

Where the Romance differs

Ascension to the throne: In Chapter 80 of the Romance, the King of Hanzhong refused again and again until he fell for Zhuge Liang's ruse of feigning illness and persuading him from his sickbed, and agreed. In the Records, petitions from the ministers urging him to take the throne on the strength of auspicious omens and prophetic texts followed one after another, and when the First Sovereign still did not consent, Zhuge Liang persuaded him by citing Geng Chun's words urging Emperor Guangwu to take the throne. There is no ruse of feigned illness. Romance, Ch. 80 §31 · 34–37Records, Shu 2 §55 · 60Records, Shu 5 §19–20

The Five Tiger Generals: In Chapter 73 of the Romance, the King of Hanzhong appointed Guan Yu, Zhang Fei, Zhao Yun, Ma Chao and Huang Zhong the Five Tiger Generals. This title does not appear in the main text of the Records. The Later Sovereign conferred posthumous titles on Guan Yu, Zhang Fei, Ma Chao, Pang Tong and Huang Zhong in the 3rd year of Jingyao (260), and on Zhao Yun in the 4th year (261). Romance, Ch. 73 §9Records, Shu 2 §1–78Records, Shu 3 §40–41

The southern campaign: In Chapters 87 to 90 of the Romance, Zhuge Liang captured the Man king Meng Huo seven times and released him seven times. The Biography of Zhuge Liang and the Biography of the Later Sovereign in the Records state only that in the spring of the 3rd year of Jianxing (225) he campaigned against four southern commanderies, pacified them all that autumn, and established the commanderies of Jianning, Yunnan and Xinggu; Meng Huo does not appear in Chen Shou's main text. Romance, Ch. 87 §2Romance, Ch. 90 §60Records, Shu 5 §24 · 1–67Records, Shu 3 §6

The second Memorial on Dispatching the Troops: In Chapter 97 of the Romance, in the 6th year of Jianxing Zhuge Liang submitted another memorial beginning, "The late emperor was concerned that the Han and the traitors cannot both stand." The campaign memorial included in the main text of the Biography of Zhuge Liang in the Records is only the single one he submitted on setting out for Hanzhong in the 5th year of Jianxing. Romance, Ch. 97 §1 · 8Records, Shu 5 §24–30 · 1–67

Expeditions to Mount Qi: A poem in Chapter 120 of the Romance sings that Zhuge Liang "went out six times before Mount Qi." In the Biography of Zhuge Liang in the Records, he went out to Mount Qi twice, in the 6th and 9th years of Jianxing; his other campaigns were going out through San Pass to besiege Chencang (winter of the 6th year), sending Chen Shi to attack Wudu and Yinping (7th year), and going out through the Xie Valley to encamp at the Wuzhang Plains (12th year). Romance, Ch. 120 §64Records, Shu 5 §32 · 35 · 37–38

Jiang Wei and Tazhong: In Chapter 115 of the Romance, when Yan Yu had Huang Hao petition the throne, the Later Sovereign recalled Jiang Wei, who was winning at Mount Qi, with three edicts, and Jiang Wei, on Xi Zheng's advice, asked to set up military farms at Tazhong. In the Biography of Jiang Wei in the Records, he went out to Houhe in the 5th year of Jingyao, was defeated by Deng Ai and stayed at Tazhong, and when Huang Hao sought to oust him and set up Yan Yu, he felt himself in danger and did not return to Chengdu. Romance, Ch. 115 §21–22 · 28–29Records, Shu 14 §43

The Prince of Beidi and the day of surrender: In Chapter 118 of the Romance, when the surrender was fixed for the first day of the 12th month, on the day before, Liu Chen's wife dashed her head against a pillar and died, and Liu Chen killed his three sons and then wept bitterly at the temple of Emperor Zhaolie and killed himself. The Biography of the Later Sovereign in the Records says only that on the very day the letter of surrender was sent, Liu Chen, grieving at the fall of the state, killed his wife and children and then himself, with no story of the temple, and the Annals of the Three Young Emperors in the Records of Wei record Liu Shan's surrender as an event of the 11th month. Romance, Ch. 118 §9–11Records, Shu 3 §43 · 46Records, Wei 4 §126–127

Not missing Shu: The exchange in Chapter 119 of the Romance, "I am happy here and do not miss Shu," is not in the main text of the Biography of the Later Sovereign in the Records. The Biography of the Later Sovereign records that the Later Sovereign moved to Luoyang with his whole household, was enfeoffed as Duke of Anle County with a fief of 10,000 households, and died at Luoyang in the 7th year of Taishi (271). Romance, Ch. 119 §27Records, Shu 3 §47–52

Written by 3KDEX (not yet reviewed) — The tags at the end of each paragraph link to the exact passage in the Records volume or Romance chapter it is based on.

Lineage

  • Absorbed: Tao Qian faction (194~194) — 「竺率州人迎先主」(sgz-shu-02:s9) · 「先主遂領徐州」(sgz-shu-02:s11)
  • Absorbed: Liu Zhang faction (214) — 「十九年夏,雒城破,進圍成都數十日,璋出降」
  • Absorbed: Ma Chao faction (214) — 「聞先主圍劉璋於成都,密書請降」
  • Preceded by: Eastern Han (221) — 「漢有天下,歷數無疆」 「懼漢阼將湮於地」
  • Absorbed: Nanman (225) — 「三年春,亮率眾南征,其秋悉平」
  • Destroyed by: Wei (263) — 「是月,蜀主劉禪詣艾降,巴蜀皆平」 · 「降於艾」

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