206 THE CHINESE TRADITION IN ANTIQUITY by winning the hearts of the people, then there would be no need for [wise ministers] like Yi Yin and Guan Zhong*— you could simply listen to what the people say. The reason you cannot rely on the wisdom of the people is that they have the minds of little children. If the child’s head is not shaved, its sores will spread; and if its boil is not lanced, it will become sicker than ever. But when it is having its head shaved or its boil lanced, someone must hold it while the loving mother performs the operation, and it yells and screams incessantly, for it does not understand that the little pain it suffers now will bring great benefit later. Now, the ruler presses the people to till the land and open up new pastures 30 as to increase their means of livelihood, and yet they consider him harsh; he draws up a penal code and makes the punishments more severe in order to put a stop to evil, and yet the people consider him stern. He levies taxes in cash and grain in order to fill the coffers and granaries so that there will be food for the starving and funds for the army, and yet the people consider him avaricious. He makes certain that everyone within his borders understands warfare and sees to it that there are no private exemptions from military service; he unites the strength of the state and fights fiercely in order to take its enemies captive, and yet the people consider him violent. These four types of undertaking all ensure order and safety to the state, and yet the people do not have sense enough to rejoice in them. [pp. 127-129] [Han Feizi (SBCK), chs. 49, 50 —Watson, Han Fei Tzu, pp. 97-129] LI SI: LEGALIST THEORIES IN PRACTICE The feudal state of Qin, utilizing Legalist practices of strong centralization of power, regimentation of its people, and aggressive warfare, had built itself up toa position of formidable strength in the late years of the Zhou dynasty. Finally, under the vigorous leadership of King Cheng, it succeeded in swallowing up the last of its rivals and uniting all of China under its rule. In 221 B.c.E. King Cheng assumed the title of Qin Shihuangdi, the First Exalted Emperor of the Qin. He had been aided in his efforts toward unification by a group of astute and ruthless statesmen identified with Legalist doctrines, the most important of whom was Li Si, who became prime minister of the new empire. Thus, for the first time, one of the schools of classical thought had its teachings adopted as the official doctrine of a regime ruling all of China. At Li Si’s urging the First Emperor carried out a series of sweeping changes 6. Yi Yin was a sage minister to King Tang, the founder of the Shang dynasty, and Guan Zhong was an adviser to King Huan of Qi in the seventh century B.c.e.Legalists and Militarists. 207 and innovations that, in the course of a few years, radically affected the entire structure of Chinese life and society. One of these was the complete abolition of all feudal ranks and privileges and the disarmament of all private individuals. ‘The entire area of China was brought under the direct control of the central court through an administrative system of prefectures and counties. With this unification of the nation came measures for the standardization of weights, measures, and writing script, the destruction of all feudal barriers between dis- tricts, and the construction of better roads and communications. Wars were undertaken to subdue neighboring peoples and expand the borders of the na- tion, great masses of people were forcibly moved to new areas for purposes of defense or resettlement, and labor gangs were set to work constructing the Great Wall out of smaller defensive walls of the old feudal states. The First Emperor of the Qin was a man of extraordinary vision and de- monic energy. He worked tirelessly to build up the power and prestige of his tegime, directing campaigns, constructing defenses, erecting magnificent pal- aces for himself and his court, and traveling on extensive tours of inspection throughout his realm. With the aid of Li Si and a few other trusted advisers he managed to carry out his drastic measures and hold down the ever-growing threat of revolt among his subjects. Never before had China been so vast and powerful. For a while it seemed that Legalism as a theory of government had achieved incontrovertible success. But with the death’ of this dictatorial emperor the weakness in the Legalist system became apparent. The emperor had ruled from behind the scenes, remaining aloof from his people and ministers. This placed enormous power in the hands of a few trusted officials and eunuchs who were allowed access to him. On his death a struggle for power broke out. Li Si and the powerful eunuch Zhao Gao, by concealing the death of the emperor and forging orders in his name, succeeded in destroying their rivals and seizing actual control of the government. The Second Emperor became a helpless puppet, cut off in the depths of the palace from all contact with or information about the outside world. Then Zhao Gao turned on Li Si and destroyed him and his family, using against him the very Legalist methods that Li Si had employed. Popular revolts broke out all over the nation as the people grew increasingly restless under the burden of taxation and oppression. But all news of the seriousness of the situation was kept from the court by officials who had learned to fear the consequences of speaking out. The government was para- lyzed by the force of its own autocratic laws. In the end the Second Emperor was forced to commit suicide, Zhao Gao was murdered, and the last ruler of the Qin submitted meekly to the leader of a popular revolt. In 207, less than fifteen years after its glorious establishment, the new dynasty had come to a violent and ignoble end. ‘The Qin, though short-lived, had a profound effect upon the course of Chi- nese history. The measures for unification, standardization, and centralization208 THE CHINESE TRADITION IN ANTIQUITY of power, coercive though they were, destroyed for all time the old enfeoffment system and gave to the Chinese people a new sense of unity and identity. The destruction of the old feudal states, the shifts of population, and the wars and uprisings that accompanied the downfall of the dynasty, wiped out the old aristocracy of Zhou times and opened the way for new leaders and new families to rise to power. Nevertheless, the spectacular failure of the Legalists to stamp out rival schools of thought, to suppress criticism by police control, and to rule the people by exacting laws and harsh penalties, discredited Legalist policies for centuries to come. Later regimes might in fact make use of Legalist ideas and methods in their administrations, but never again did they dare openly to espouse the hated philosophy of the Qin. The First Emperor and his advisers became the symbols of evil and oppression in Chinese history, and the dynasty an example to all later rulers of what happens when the people are exploited and oppressed to the breaking point, when force and tyranny replace humane- ness and rightness as the guiding principles of government, MEMORIAL ON ANNEXATION OF FEUDAL STATES The foregoing view of the First Emperor and Li Si is reflected in the following me- morials as recorded by Sima Qian, the foremost historian of early China. That Sima Qian’s record represents a Han view of the Qin past is significant. ‘ He who waits on others misses his opportunities, while a man aiming at great achievements takes advantage of a critical juncture and relentlessly follows it through. Why is it that during all the years that Duke Mu of Qin (659-621 B.c.E.) was overlord (ba) among the feudal princes, he did not try to annex the Six States to the east? It was because the feudal lords were still numerous and the power of the imperial Zhou had not yet decayed. Hence, as the Five Over- lords succeeded one another, each in turn upheld the House of Zhou. But since the time of Duke Xiao of Qin (361-338 8.c.£.) the House of Zhou has been declining, the feudal states have been annexing one another, and east of the pass there remain only Six States. Through military victories, the state of Qin has, in the time of the last six Kings, brought the feudal lords into submission. And by now the feudal states yield obeisance to Qin as if they were its commanderies and prefectures. Now, with the might of Qin and the virtues of Your Highness, at one stroke, like sweeping off the dust from a kitchen stove, the feudal lords can be annihilated, imperial rule can be established, and unification of the world can be brought about. This is the one moment in ten thousand ages. If Your Highness allows it to slip away and does not press the advantage in haste, the feudal lords will revive their strength and organize themselves into an anti-Qin alliance. Then no one, even though he possess the virtues of the Yellow Emperor, would be able to annex their territories. - {Shiji (BNB) 87:2a-b — BW]Legalists and Militarists 209 MEMORIAL ON THE ABOLITION OF THE ENFEOFFMENT SYSTEM Numerous were the sons, younger brothers, and other members of the royal family that were enfeoffed by King Wen and King Wu at the founding of the Zhou dynasty. But as time passed, these relatives became estranged and alien- ated one from another; they attacked each other as if they were enemies. Even- tually the feudal lords started wars and sent punitive expeditions against one another, and the king could do nothing to stop them. Now, owing to the divine intelligence of Your Majesty, all the land within the seas is unified and it has been divided into commanderies and prefectures. The royal princes and the meritorious ministers have been granted titles and bountiful rewards from the government treasury,’ and it has proved sufficient. When the government in- stitutions have been thus changed and there has been no contrary opinion in the empire, it is evidently the way to keep peace and quiet. To institute an enfeoffed nobility again would not be advantageous. (Shiji (BNB) 6:16 — BW] MEMORIAL ON THE BURNING OF BOOKS Among the most infamous acts of the First Exalted Emperor of the Qin were the “burning of books,” ordered in 213 B.c.£., and the “execution of scholars,” ordered in 212, The first was an effort to achieve thought control through destroying all literature except the Classic of Changes, the royal archives of the Qin house, and books on technical subjects, such as medicine, agriculture, and forestry. The measure was aimed particularly at the Classic of Documents and the Classic of Odes. The execution of some 460 scholars in the following year* was an attempt to eliminate opposition to the emperor by ruthlessly destroying all potentially “subversive” elements in his entourage. The two measures taken together suggest something of the habit of mind of the First Emperor, as he was influenced by advisers like Li Si, but, again, it is significant that the following document comes down to us from the ensuing Han period. In earlier times the empire disintegrated and fell into disorder, and no one was capable of unifying it. Thereupon the various feudal lords rose to power. In their discourses they all praised the past in order to disparage the present and embellished empty words to confuse the truth. Everyone cherished his own favorite school of learning and criticized what had been instituted by the au- thorities. But at present Your Majesty possesses a unified empire, has regulated 7. That is, instead of being granted noble titles and income from a fief, they have received honorary ranks and salaries paid out of taxes. 8. Traditionally referred to as “the burial of the scholars,” on the view that the scholars were actually buried alive, though it is not certain that they met their end in this way.210 «THE CHINESE TRADITION IN ANTIQUITY the distinctions of black and white, and has firmly established for yourself a position of sole supremacy. And yet these independent schools, joining with each other, criticize the codes of Jaws and instructions. Hearing of the prom- ulgation of a decree, they criticize it, each from the standpoint of his own school. At home they disapprove of it in their hearts; going out they criticize it in the thoroughfare. They seek a reputation by discrediting their sovereign; they appear superior by expressing contrary views, and they lead the lowly multitude in the spreading of slander. If such license is not prohibited, the sovereign power will decline above and partisan factions will form below. It would be well to prohibit this. Your servant suggests that all books in the imperial archives, save the memoirs of Qin, be burned. All persons in the empire, except members of the Academy of Learned Scholars, in possession of the Classic of Odes, the Classic of Documents, and discourses of the hundred philosophers should take them to the local governors and have them indiscriminately burned. Those who dare to talk to each other about the Odes and Documents should be executed and their bodies exposed in the marketplace. Anyone referring to the past to criticize the present should, together with all members of his fam- ily, be put to death. Officials who fail to report cases that have come under their attention are equally guilty.’ After thirty days from the time of issuing the decree, those who have not destroyed their books are to be branded and sent to build the Great Wall. Books not to be destroyed will be those on med- icine and pharmacy, divination by the turtle and milfoil, and agriculture and arboriculture. People wishing to pursue learning should take the officials as their teachers. (Shifi (BNB) 87:6b-7a — BW] MEMORIAL ON EXERCISING HEAVY CENSURE, The worthy ruler should be one able to fulfill his kingly duties and employ the technique of censure." Visited with censure, the ministers dare not but exert their ability to the utmost in devotion to their ruler. When the relative positions between minister and ruler are thus defined unmistakably, and the relative duties between superior and inferior are made clear, then none in the empire, 9. The passage from the beginning of the paragraph to this point has been inserted from the fuller account given in the Records of the Grand Historian (Shiji) 6:23b. 10, The Chinese term rendered as “censure” here may be more literally translated as “ine spection and punishment.” To relieve the awkwardness from the repeated use of this cumbersome expression, we have adopted “censure” as a more convenient, though less exact, equivalent throughout the memorialLegalists and Militarists. 2 whether worthy or unworthy, will dare do otherwise than exert his strength and fulfill his duties in devotion to the ruler. Thus the ruler will by himself control the empire and will not be controlled by anyone. Then he can enjoy himself to the utmost. How can a talented and intelligent ruler afford not to pay atten- tion to this point? Hence, Shen Buhai' has said, “To possess the empire and yet not be able to indulge one’s own desires is called making shackles out of the empire.” The reason is that a ruler who is unable to employ censure must instead labor himself for the welfare of the people as did Yao and Yu. Thus it may be said that he makes shackles for himself. Now, if a ruler will not practice the intel- ligent methods of Shen Buhai and Han Feizi, or apply the system of censure in order to utilize the empire for his own pleasure, but on the contrary pur- poselessly tortures his body and wastes his mind in devotion to the people — then he becomes the slave of the common people instead of the domesticator of the empire. And what honor is there in that? When I can make others devote themselves to me, then | am honorable and they are humble; when [ have to devote myself to others, then I am humble and they are honorable. Therefore he who devotes himself to others is humble, and he to whom others devote themselves is honorable. From antiquity to the present, it has never been otherwise. When men of old considered anyone respectable and virtu- ous, it was because he was honorable; when, they considered anyone despi- cable and unworthy, it was because he was humble. Now, if we should exalt Yao and Yu because they devoted themselves to the empire, then we would have missed entirely the reason for considering men respectable and virtuous. This may indeed be called a great misapprehension. Is it not fitting then to speak of it as one’s shackles? It is a fault resulting from the failure to exercise censure. Hence, Han Feizi has said, “The affectionate mother has spoiled children, but the stern household has no overbearing servants.”!? And the purpose for saying so is to make certain that punishments are applied. Hence, according to the laws of Lord Shang [Shang Yang], there was cor- poral punishment for the scattering of ashes in the streets. Now, the scattering of ashes is a small offense, whereas corporal punishment is a heavy penalty, Only the intelligent ruler is capable of applying heavy censure against a light offense. If a light offense is censured heavily, one can imagine what will be done against a serious offense! Thus the people will not dare to violate the laws... . ‘The fact that intelligent rulers and sage kings were able for a long time to 1, A Legalist philosopher, d. 337 8.c.€. 12, Han Feizi, ch. 50. Watson, Han Fei Tzu, p. 125.212. THE CHINESE TRADITION IN ANTIQUITY occupy the exalted position, hold great power, and monopolize the benefits of the empire is due to nothing other than their being able, on their own re- sponsibility, to exercise censure without neglect and to apply severe punish- ments without fail. It was for this reason that none in the empire dared to be rebellious. If, now, a ruler docs not busy himself with what prevents rebellion, but instead engages in the same practices by which the affectionate mother spoils her children, indeed he has not understood the principles of the sages When one fails to practice the statecraft of the sages, what else does he do except make himself the slave of the empire? Is this not a pity? . The intelligent ruler is one able . . . to exercise alone the craft of the ruler, whereby he keeps his obedient ministers under control and his clear laws in effect. Therefore his person becomes exalted and his power great. All talented rulers should be able to oppose the. world and suppress established usage, de- stroying what they hate and establishing what they desire. Thus they may oc- cupy a position of honor and power while they live and receive posthumous titles that bespeak their ability and intelligence after they die. So, the intelli- gent ruler acts on his decisions by himself, and none of the authority lies with his ministers. . . . Stopping the avenues of hearing and sight, he sees and hears inwardly by himself. Then from without he cannot be moved by the deeds of humane and righteous men . . . from within he cannot be carried away by arguments of remonstrance and disputation. Therefore he is able to act ac- cording to his heart’s desire, ahd no one dares oppose him. ‘Thus only may a ruler be said to have succeeded in understanding the craft of Shen Buhai and Han Feizi, and in practicing the laws of Lord Shang. I have never heard of the empire falling into disorder while these laws were practiced and this craft understood. Hence, it is said that the way of the king is simple and easily mastered, yet only the intelligent ruler is able to carry it out. ‘Thus only may the exercise of censure be said to be real. [When the ex- ercise of censure is real], the ministers will be without depravity. When the ministers are without depravity, the empire will be at peace. When the empire is at peace, its ruler will be venerated and exalted. When the ruler is venerated and exalted, the exercise of censure will be without fail. When the exercise of censure is without fail, what is sought for will be obtained. When what is sought for is obtained, the state will be wealthy. When the state is wealthy, its ruler’s pleasures will be abundant. Therefore, when the craft of exercising cen- sure is instituted, then all that the ruler desires is forthcoming. The ministers and people will be so busy trying to remedy their faults that they will have no time to scheme for trouble. ‘Thus is the way. of the emperor made complete, and thus may the ruler be said really to understand the craft between ruler and subject. Though Shen Buhai and Han Feizi were to return to life, they would have nothing to add. {From Shiji (BNB) 87:15a~18a — BW]Chapter 8 THE HAN REACTION TO QIN ABSOLUTISM Though China witnessed periods of imperial splendor under several dynasties, the Qin (221-207 8.C.E.) and Han (202 B.C.E.—220 C.E.) clearly represent the original “imperial age,” because in these years the basic pattern for succeeding empires was laid out. The rule of the Qin was shortlived but marked a great turning point in Chinese history. For the first time the country was brought under a single unified administration, a centralized state wielding unprece- dented power, controlling vast resources, and displaying a magnificence that inspired both awe and dread among its subjects. Achieved after years of steady, systematic conquest, this empire nevertheless proved an unexpected graveyard for the grandiose ambitions of its masters. Yet when the Qin suddenly collapsed, it left to the House of Han an impor- tant legacy: the idea of empire and the governmental structure to embody it. For almost four centuries under the Han the implications of this great fact were to work their way out in all aspects of Chinese life, not least in the intellectual sphere. It is with this long period of consolidation and coordination that we shall be chiefly concerned here. In several fundamental respects it shaped the intellectual and institutional traditions of China until modem times, and not of China only but of much of East Asia as well. The downfall of the Qin, more dramatic and sudden even than its rise, had a profound effect upon the thinking of the Chinese. It proved to their satisfac- tion that terror and strength alone could never rule the world. But the men228 THE MAKING OF A CLASSICAL CULTURE who wrested from the Qin the vast empire it had created were not bent simply on restoring the old order of things. The aristocratic families of the older feudal states of Zhou, which had bitterly resisted the expansion of Qin, had been seriously weakened by the steps the conqueror later took to prevent them from again threatening his power. ‘The opposition that eventually proved fatal to the Qin dynasty, therefore, came not from the ranks of the old aristocracy but from the common people. Chen She, who led the first major revolt against Qin rule, was a day laborer in the fields. Liu Ji, the man who finally set up the Han dynasty after destroying both the Qin and rival rebel factions, was likewise of humble origin, as were most of his comrades who fought with him to victory. As commoners under the Qin, these men knew firsthand the suffering that its harsh rule had brought to the people. They were quick to abolish its more offensive laws and institutions, while leaving intact much of the rest of its elaborate machinery of government. Under their leadership the new regime of the Han was marked by plebeian heartiness and vigor, simplicity and fru- gality in government, and abhorrence of the Legalist doctrines of the hated Qin. ‘The early years of the Han were marked by a long, slow struggle to recover for the empire the advantages of the harsh unification effected by the Qin and to establish them firmly in the pattern of Chinese society. The Qin had abolished the enfeoffment system in one sweeping stroke, yet it arose again among the followers and family of the founder of the Han, whose successors had to set about quietly and patiently whittling away at feudal rights and holdings until they were finally and for all time reduced to an empty for- mality. The great web of central government, held together by the terror of Qin’s laws and the personal power of its First Emperor, had quickly disinte- grated with the fall of the dynasty. The Han worked gradually to build it up again, unifying, organizing, and standardizing the vast area brought under its control. This effort at standardization extended even to the systernatizing of thought in which, again, the Han succeeded in accomplishing, by gradual and peaceful means, what the violent proscriptions of the Qin had failed to secure. JIA YE “THE FAULTS OF QIN” ‘The following excerpt is from the celebrated essay “The Faults of Qin” (“Guo Qin lun”), by the Han poet and statesman Jia Yi (201-168? B.c.F.). Jia Yi, employing the florid style popular at this time, reviews the history of Qin and analyzes the causes of its precipitous downfall. Note, however, that he finds fault not with the Qin state itself but primarily with the failings of the founder of the empire and his heir, the Second Emperor, who squandered the magnificent achievements of their forebears.The Han Reaction to Qin Absolutism 229 Duke Xiao of Qin, sequestered in the natural stronghold of Yaohan and based in the land of Yongzhou,' with his ministers in proper array, eyed the House of Zhou with the thought of rolling up the empire like a mat, enveloping the entire universe, pocketing all within the Four Seas, and swallowing up every- thing in all Eight Directions. At the time he was counseled by Lord Shang? who aided him in establishing laws, encouraging agriculture and weaving, pre- paring the tools of war for defense and offense, and negotiating alliances far and near so that the other feudal lords fell into strife with one another. Thus the Qin effortlessly acquired the territories just to the east of the upper reaches of the Yellow River. After the death of Duke Xiao, King Huiwen, King Wu, and King Zhaoxiang inherited the legacy and continued his policies, acquiring Hanzhong in the south, Ba and Shu in the west, fertile lands in the east, and other strategic areas in the north... . {Later] when the First Emperor ascended [the throne] he flourished and furthered the accomplishments of the six generations before him. Brandishing his long whip, he drove the world before him; destroying the feudal lords, he swallowed up the domains of the two Zhou dynasties. He reached the pinnacle of power and ordered all in the Six Directions, whipping the rest of the world into submission and thus spreading his might through the Four Seas. . . . He then abolished the ways of ancient sage kings and put to the torch the writings of the Hundred Schools in an attempt to keep the people in ignorance.’ He demolished the walls of major cities and put to death men of fame and talent,* collected all the arms of the realm at Xianyang and had the spears and arrow- heads melted down to form twelve huge statues in human form —all with the aim of weakening his people. Then he . . . posted capable generals and expert bowmen at important passes and placed trusted officials and well-trained sol- diers in strategic array to challenge all who passed. With the empire thus pac- ified, the First Emperor believed that, with the capital secure within the pass and prosperous cities stretching for ten thousand i, he had indeed created an imperial structure to be enjoyed by his royal descendants for ten thousand generations to come. Even after the death of the First Emperor, his reputation continued to sway the people. Chen She was a man who grew up in humble circumstances in a hut with broken pots for windows and ropes as door hinges and was a mere hired field hand and roving conscript of mediocre talent. He could neither 1. Yachan refers to the mountain pass linking Mount Yao and the Hangu Pass in present-day He'nan, near Tongguan in Shaanxi province. Yongzhou was one of nine provinces occupied by the Qin, consisting of most of present-day Shaanxi and portions of Gansu and Qinghai, 2. See ch. 7, pp. 193-98. 3. See ch. 7, pp. 209-210. 4. See ch. 7, p. 210.230 THE MAKING OF A CLASSICAL CULTURE equal the worth of Confucius and Mozi nor match the wealth of Tao Zhu or Yi Dun, yet, even stumbling as he did amidst the ranks of common soldiers and shuffling through the fields, he called forth a tired motley crowd and led a mob of several hundred to turn upon the Qin. Cutting down trees to make weapons, and hoisting their flags on garden poles, they had the whole world come to them like gathering clouds, with people bringing their own food and following them like shadows. These men of courage from the East rose together, and in the end they defeated and extinguished the House of Qin. Actually, the Qin empire was by no means small and weak, having always been secure within the pass in Yongzhou. Moreover, Chen She’s position was far below the level of respect commanded by the rulers of Qi, Chu, Yan, Zhao, Han, Wei, Song, Wei, and Zhongshan. His weapons made of farm implements and thorny tree branches were no match in battle against spears and halberds, his roving conscripts in no way compared to the armies of the nine states. In matters of strategy and tactics, and other military arts, Chen was no match for the men of the past. . . . Qin, from a tiny base, had become a great power, ruling the land and receiving homage from all quarters for a hundred-odd years. Yet after they had unified the land and secured themselves within the pass, a single common rustic could nevertheless challenge this empire and cause its ancestral temples to topple and its ruler to die at the hand of others, a laugh- ingstock in the eyes of all. Why? Because the ruler lacked humaneness and rightness; because preserving power differs fundamentally from seizing power. . .» Had the Second Emperor been even a mediocre ruler who knew how to employ loyal and capable persons, so that together they would care for the ills of the world and reform the ways of the previous emperor, even as he mourned; had he divided the land and appointed deserving officials, thus setting up proper rulers in proper states so that propriety governed the land; had he emptied the prisons and reduced harsh punishments, abolished group and fam- ily responsibilities for crimes and thus enabled people to return to their home areas; had he only reduced taxation and statutes to alleviate oppression, cur- tailed sumptuary laws, and, after all the above had been done, had he lightened punishments, thus enabling people under heaven to renew themselves and change their ways so as to conduct their lives properly, each respecting himself; had he indeed fulfilled the wishes of the multitudes and bestowed high virtue on them, he would have certainly brought peace and quiet to the world. Within the Four Seas, all would have been content with their lot, only fearing further change. Even if an occasional mean or calculating person had appeared, no desire to oppose the ruler would have been aroused, and unscrupulous officials would have had no excuse to give play to their ambitions. The villainy of vio- lence and deceit would have been eliminated. . . . During that time, the world saw many men of prescience and far-reaching vision. The reason for their not showing deep loyalty by helping to correct evilsThe Han Reaction to Qin Absolutism 231 [at court] lay in the Qin’s excesses in proscribing contrary opinions. Often before upright words could even be uttered, the body had met death. Thought- ful people of the empire would only listen and incline their ears, standing with one foot on the other, not daring to offer their services while keeping their mouths shut in silence. The three sovereigns lost the proper way while loyal officials offered no remonstrance and advisers no plans. With the realm in chaos and unworthy officials not reporting troubles to their superiors, was this not a tragedy? {Xinshu, “Guo Qin lun” (SBCK 1:1a-8b) — DWYK] THE REBELLION OF CHEN SHE AND WU GUANG This description of the beginning of the first major revolt against the Qin dynasty is taken from the biographies of its leaders, Chen She and Wa Guang, in the Records of the Grand Historian (Shifi) and the History of the Former Han (Hanshu). It illustrates how the severity of the Qin laws and institutions drove its people to such desperation that revolt became the only hope of survival. When Chen She was young he was one day working in the fields with the other hired men. Suddenly he stopped his plowing and went and stood on a hillock, wearing a Jook of profound discontent. After a long while he announced: “IfI become rich and famous, I will not forget the test of you!” ‘The other farm hands laughed and answered, “You are nothing but a hired laborer. How could you ever become rich and famous?” Chen She gave a great sigh. “Oh, well,” he said, “how could you little sparrows be expected to understand the ambitions of a swan!” During the first year of the Second Emperor of Qin (209 8.c.£.), in the seventh month, an order came for a force of nine hundred men from the poor side of the town to be sent to garrison Yuyang. Chen She and Wu Guang were among those whose turn it was to go, and they were appointed heads of the levy of men. When the group had gone as far as Daze County, they encountered such heavy rain that the road became impassable. It was apparent that the men would be unable to reach the appointed place, an offense punishable by death, Chen She and Wu Guang accordingly began to plot together. “As things stand, we face death whether we stay or run away,” they said, “while if we were to start a revolt we would likewise face death. Since we must die in any case, would it not be better to die fighting for the sake of a state?” . . Wu Guang had always been kind to others and many of the soldiers would do anything for him. When the officer in command was drunk, Wu Guang made a point of openly announcing several times that he was going to run away. In this way Wu Guang hoped to arouse the commander's anger, get him to punish him, and so stir up the men’s ire and resentment. As Wu Guang had232. THE MAKING OF A CLASSICAL CULTURE expected, the commander began to beat him, when the commander's sword slipped out of its scabbard. Wu Guang sprang up, seized the sword, and killed the commander. Chen She rushed to his assistance, and they proceeded to kill the other two commanding officers as well. Then they called together all the men of the group and announced: “Because of the rain we encountered, we cannot reach our rendezvous on time. And anyone who misses a rendezvous has his head cut off! Even if you should somehow escape with your heads, six or seven out of every ten of you are bound to die in the course of garrison duty. Now, my brave fellows, if you are unwilling to die, we have nothing more to say. But if you would risk death, then let us risk it for the sake of fame and glory! Kings and nobles, generals and ministers—such men are made, not born!” The men of the garrison all replied, “We'll do whatever you say!” (From Shiji (BNB) 48:1a—3a — BW] THE RISE OF LIU BANG, FOUNDER OF THE HAN Liu Bang, like Chen She, was a man of humble birth who formed a small band of adventurers and opposed Qin rule. When his forces grew to a sizable army, he entered into an agreement with other rebel groups that the one who first reached the capital area of Qin, Guanzhong or the land “within the Pass,” should become its ruler. In 207 B.C.E. Liu Bang succeeded in fighting his way to the capital city of Xianyang, and the Qin dynasty came to an end. At this time he issued his famous three-article code (ten characters in Chinese) to replace the elaborate legal code of Qin. Though when the dynasty got on its feet a more elaborate set of laws had to be worked out, this three- atticle code has often been held up as an example of the simplicity and leniency of early Han government. The translations are from the biography of Liu Bang, the “Annals of Emperor Gaozu” (his posthumous title) in the Records of the Grand His- torian. Liu Bang’s various titles have been omitted for the sake of clarity. In the tenth month of the first year of Han (November-December 207 B.C.E.) Liu Bang finally succeeded in reaching Bashang [near the capital] ahead of the other leaders. Ziying, the king of Qin, came in a plain carriage drawn by white horses, wearing a rope about his neck,’ and surrendered the imperial seals and credentials by the side of Chi Road. Some of the generals asked that the king of Qin be executed, but Liu Bang replied: “. .. To kill a man who has already surrendered would only bring bad luck!” With this he turned the king of Qin over to the care of his officials. Then he proceeded west and entered Xianyang. 5. White is the color of mourning, while the rope indicated total submission. Ziying had succeeded the second emperor as ruler of Qin, but because of the wobbly state of his empire he had ventured only to call himself king, not emperor.The Han Reaction to Qin Absolutism 233 . . . He sealed up the storehouses containing Qin’s treasures and wealth and returned to camp at Bashang. ‘There he summoned all the distinguished and powerful men of the districts and addressed them, saying, “Gentlemen, for a Jong time you have suffered beneath the harsh laws of Qin. Those who criticized the government were wiped out along with their families; those who gathered to talk in private were executed in the public market, I and the other nobles have made an agreement that he who first enters the Pass shall rule over the area within, Accordingly, am now king of this territory within the Pass. [hereby promise you a code of laws consisting of three articles only: he who kills anyone shall suffer death; he who wounds another or steals shall be punished according to the gravity of the offense; for the rest I hereby abolish all laws of Qin, Let the officials and people remain undisturbed as before. I have come only to save you from further harm, not to exploit or tyrannize over you. Therefore do not be afraid! The reason I have returned to Bashang is simply to wait for the other leaders so that when they arrive we may settle the agreement.” He sent men to go with the Qin officials and publish this proclamation in the district towns and villages. The people of Qin were overjoyed and hastened with cattle, sheep, wine, and food to present to the soldiers. But Liu Bang declined all such gifts, saying, “There is plenty of grain in the granaries. I do not wish to be a burden to the people.” With this the people were more joyful than ever and their only fear was that Liu Bang would not become king of Qin. [From Shiji (BNB) 8:15a-16b — BW) LIU BANG BECOMES THE FIRST EMPEROR OF THE HAN DYNASTY To ensure the loyalty of his comrades and supporters, Liu Bang was obliged to hand out titles and fiefs to them as his conquests advanced. In 202 8.C.E., when his final success seemed assured, they in turn urged him to assume the old Qin title of Exalted Emperor, arguing that if he failed to do so their own titles would lack authority. Like Caesar he modestly declined three times before accepting. In the first month [of 202 8.c.£.] the various nobles and generals all joined in begging Liu Bang to take the title of Exalted Emperor (huangdi), but he replied, “I have heard that the position of emperor may go only to a worthy man. It cannot be claimed by empty words and vain talk. I do not dare to accept the position of emperor.” His followers all replied, “Our great king has risen from the humblest be- ginnings to punish the wicked and violent and bring peace to all within the four seas. To those who have achieved merit he has accordingly parceled out land and enfeoffed them as kings and marquises. If our king does not assume the supreme title, then all our titles as well will be called into doubt. On pain of death we urge our request!”234 THE MAKING OF A CLASSICAL CULTURE Liu Bang declined three times and then, seeing that he could do no more, said, “If you, my lords, all consider it a good thing, then it must be to the good of the country.” On the day jiawu [February 28, 202 B.c.z.] he assumed the position of Exalted Emperor on the north banks of the Si River. (From Shiji (BNB) 8:28b — BW]Chapter 9 SYNCRETIC VISIONS OF STATE, SOCIETY, AND COSMOS During the period of intense conflict in the late fourth and third centuries B.C.E,, one independent kingdom after another fell to the overwhelming mili- tary power of the Qin state, which, as we have seen, conquered all others and unified China under a single emperor in 221 8.c.E. This was a chaotic period for everyone, including the intellectuals who scrambled for patronage at the various local courts and attempted to develop philosophies that would be effec- tive in combating tyranny and governing the state. In this period we see the rise of highly politicized syncretisms, founded on the cosmological ideas of many thinkers and on the self-cultivation theories of the Laozi and Zhuangzi and that extended them, often in a quite specific manner, to the problems of government. Sometimes called “Huang-Lao,” after the Yellow Emperor and Laozi, these new doctrines integrated relevant ideas from several philosophical lineages, such as the Confucian, Mohist, and Le- galist, and synthesized them within a Daoist framework. By the first part of the Han dynasty, this syncretic form became so dominant that the famous historian Sima Tan believed that it defined the essence of Daoism. It even received imperial sanction for several decades until the ascent to power of Emperor Wu in 141 B.C.E. ‘We include in this chapter selections from a number of texts that span more than a century from about 250 B.c.E. Two of these texts, the Springs and Au- turns of Mr. Lii (Liishi chungiu) (241 8.c.£.) and the Huainanzi (139 B.c.£.),236 THE MAKING OF A CLASSICAL CULTURE can be dated with some certainty. The others—the Huang-Lao Silk Manu- scripts, the Guanzi, the syncretist sections of the Zhuangzi, and the Inner Canon of the Yellow Emperor (Huangdi neijing) —are of more uncertain date. Sima Tan’s “Discourse on the Six Lineages” must have been written in the latter part of the second century 8.c.x. between the presentation of the Huainanzi to Emperor Wa and Sima Tan's death in 10 B.c.E. ‘Taken individually, these texts represent the work of many authors who did not belong to a single philosophical lineage. Taken together, they exhibit so many striking similarities in philosophical outlook that they can fairly be viewed as representing stages of syncretism, influenced in varying degrees by the Laozi and Zhuangzi, that were a dominant intellectual influence in this period and beyond. Perhaps the predominant theme in these texts is that of the spiritual self- perfection of the ruler. Human society must be governed by an individual who has attained profound integration through techniques of “inner cultivation” and who has gained the gnostic vision of the unifying power of the Way that enables him to govern effectively. Living in a holistic universe governed by resonances between macrocosm and microcosm, a universe of which human societies were perceived to be integral parts, subject to its laws, such a sage king perceived these fundamental patterns of Heaven and Earth and established a government based upon them. This governing framework having been constructed, the sage king would be able to govern through nonaction, that is, without interfering with natural processes. By delegating responsibilities to his subordinates and cultivating clarity of mind he could respond spontaneously and harmoniously to any situation that arose. THE THEORETICAL BASIS OF THE IMPERIAL INSTITUTION The Springs and Autumns of Mr. Lii (Liishi chunqiu) The Han dynasty for the first time built an apparatus of government on a firm foundation of ritual, capable of governing, from a single center of power, a domain immensely larger than any Chinese ruler had administered before. The basic doctrines that justified this new order asserted that it reflected the eternal and regular order of the cosmos, the Dao. This sweeping claim wiped away the need to justify enactments one by one. The form of government was supremely natural; any recalcitrance or opposition was by definition unnatural, and bound to fail. Just as direction emanated from government to people, the emperor drew spiritual power from his special relationship to the cosmos and with it vivified his large administration. ‘The gulf between emperor and the officials who carried out his orders had to be as absolute as that between government and commoners.Syncretic Visions of State, Society, and Cosmos 237 None of these ideas originated in the Han. Some developed gradually, but the Springs and Autumns of Mr. Lii (Liishi chunqiu), completed by 241 B..£., pulled them all together. Lii Buwei, after whom the text is named, was not a typical intellectual. His official biography explains that he began as “a big merchant of Yangdi who traveled back and forth, buying cheap and selling dear, until his family had stored up a thousand in gold.” But he used his wealth to become councilor-in- chief of Qin and the greatest patron of learning in his time. According to a persistent rumor, he was the natural father of the First Emperor. Whether or not that was true, the latter, as a young prince, treated him as a second father. His book is clearly meant to guide the ruler who would eventually unify China. The part from which this translation is drawn was completed in 241 B.C.E. The essays in it were written by a variety of Lii’s protégés; what part he played is unknown. The book reflects most of the intellectual currents of its time, It draws heavily on the arcane beliefs that later came to be called Huang. Lao and to varying extents on practically every other philosophic tradition of its time, but scantily on Legalist writings. Despite this eclecticism, its views and recommendations are with few exceptions consistent. If Lii hoped that his young monarch would accept this guidance, one can only say that he failed. The man who was to become the First Emperor soon discharged him, sent him into exile, and disregarded almost every idea in the book except for its approval of “righteous” military conquest. When the con- quest was over, the new regime, which relied on coercive statist doctrines, quickly fell apart. With its long-lived successor, the Han, Lii’s treatise came into its own. As the Han created a new order capable of earning a mandate from the elite, the Springs and Autumns of Mr. Lii greatly influenced the other thinkers included in this section. The book is oriented toward control of a large state with an active officialdom whose knowledge and capacities make up for the ruler’s inevitable limits and who, unlike him, must be subject to restraint and correction. The good social order is patterned on Nature. The state’s dynamism is that of Nature’s cyclic processes. The demarcation of sky and earth, moral and hierarchic as much as spatial, dictates the separation of ruler and officials. The monarch’s responsi- bility is self-cultivation, which puts him in touch with the order of Heaven-and- Earth. His commands must be obeyed. At the same time, his mystical link to the cosmic flow is essential to overcome his own arbitrariness and selfishness. Administration is not his business, but that of the bureaucrats. He is unable to act except through them. Their inner lives, unlike that of the monarch, are of no concern to Lii so long as they are upright and keep within the strict limits of their posts. These restrictions separate officials from each other as surely as from the sovereign It would be a mistake to read this document simply as justifying the ruler’s domination. That is certainly part of the story, but, as the rest of the book makes even more clear, this ideology binds the ruler as much as it does his civil service.238 THE MAKING OF A CLASSICAL CULTURE Just as his ministers cannot infringe on his sovereignty, the ruler cannot interfere in their management. Unlike the sage ruler of the more or less contemporary Han Feizi, who monopolizes and wields the power to reward and punish, so that his government becomes the mere instrument of his personal authority, Lit Buwei’s sage never lets the details of government distract him from self- cultivation. As one chapter puts it: [The monarch] who has attained the Way is bound to be quiescent. Because he is quiescent, he is unknowing; his knowing is like unknowing, Thus we can speak of the Way of the Ruler. Thus it is said that the desires that arise within him cannot get out. We say they are locked in. The desires that arise from outside him cannot get in. We say they are closed out... . He has a water-level, but he does not level with it. He has a carpenter's line, but he does not draw perpendiculars with it, His is the greatest quiescence in the natural order; he is not only serene but tran- quil. Because of that he can provide the standard for all-under-Heaven.' THE ROUND WAY The following excerpt is perhaps the most eloquent expression in Chinese — among a great many — of the notion that the state is a microcosm, a miniature replica of the universe. This is a great document of natural philosophy, but its aim —to justify a political hierarchy that separates ruler and officials — is obvious. Much Han writing ‘on conceptions of Nature lies in the same tradition and is equally political in intent. In this sense scientific theory and political theory were invented in tandem. Like the test of the book, this excerpt also surrounds the emperor himself with arcana, drawn here from a lost Book of the Yellow Lord. The opening of this chapter explains why one speaks of the Way of Heaven as round and that of Earth as square, but its argument tailored to its own themes. This contrast was a familiar one in the third century B.C.z. It probably originated in the astronomer’s difference between measuring locations in the sky in degrees radiating from the North Pole and those on the Earth i and west. But it also came to stand for the overarching magnanimity of Heaven in distinction to the boundedness of Earth. Heaven and round became the yang in re- lation to the yin of Earth and squareness. By calling on these yin-yang correspondences linear distances north and south, east ‘Lii implies that ruler and subordinates are inherently complementary, not antagonistic, opposites. Yang is creative, yin receptive, and neither can be realized except by inter- action with the other. But as this symbolism separated Heaven and Earth, they were reunited by the mediation of man, above all of the emperor. When a later book writes of the sage 1. Liishi chungiu, Tan 5:2, p. 1049.Syncretic Visions of State, Society, and Cosmos 239 emperor as “bearing the round on his head and treading on the square, holding to the measuring-rod and sleeping with the surveyor’s cord,”? it is invoking ritualistic images of symmetry and order. The Way of Heaven is round; the way of Earth is square. The sage kings took this as their model, basing on it [the distinction between] above and below. How do we explain the roundness of Heaven? The essential gi alternately moves up and down,’ completing a cycle and beginning again, delayed by nothing; that is why we speak of the way of Heaven as round. How do we explain the squareness of Earth? The ten thousand things are distinct in category and shape. Each has its separate responsibility [as an official does], and cannot carry out that of another; that is why one speaks of the way of Earth as square. When the ruler grasps the round and his ministers keep to the square, so that round and square are not interchanged, his state prospers. Day and night make up a cycle; this is the Round Way. The threading of the moon through its twenty-eight lodges, so that Hom and Axletree are con- nected; this is the Round Way.’ As the essences [of yin and yang] move through the four seasons, alternately upward and downward, they encounter each other; this is the Round Way.’ Something stirs and burgeons; burgeoning, it is born; bom, it grows; growing, it matures; mature, it declines; declining, it dies; dead, it becomes latent [preceding another birth]; this is the Round Way. The qi, as clouds, moves westward, always in motion, not slackening winter or summer. The streams flow eastward, never stopping night or day. What is above never dries up; what is below never fills; the smaller makes up the larger; the heavy makes up the light. That is the Round Way. The [Book of the] Yellow Lord says, “The Lord [of Heaven (Tian)] does not abide in a single place. If he had such a place he would have no place,” by which it means he never stumbles. That is the Round Way.” Human beings have nine orifices. If [the gi] abides in a single one, eight will be depleted. If eight are depleted for a very long time, the body will die. If 2, Wenzi zuan yi in Ershier zi, 29 a-b. 3. This refers to the movements of the energies that correspond to the seasons. See the next paragraph. 4: In the customary enumeration of the lunar lodges — the twenty-eight divisions of the solar, lunar, and planetary paths — Horn (roughly, Virgo) is the first and Axletree (roughly, Corvus) the last. Thus the motion of the moon ties the succession of lodges, and of the constellations they onganize, into a cycle. 5. The sentence may also refer to the heavenly bodies considered as pure qi. 6. The customary explanation of this riddle is that what is above and smaller is the streams; what is below and larger is the sea; what is heavy is water; and what is light is clouds. Here one suspects that what is above is the clouds. 7. The reference is possibly to the cyclic tours of gods through the universe, which play an important role in astrology and other kinds of divination.240 THE MAKING OF A CLASSICAL CULTURE while acknowledging someone we listen, our acknowledgment may falter. If while listening we look, we may stop listening, This refers to concentrating on one thing. In doing so one does not want to stagnate, for stagnation results in failure. That is the Round Way. The One is most exalted of all. No one knows its source. No one knows its incipient form (duan). No one knows its beginriing, No one knows its end, Still the myriad things take it as their progenitor. The sage kings took it as their model in order to perfect their natures, to settle their vital forces, and to form their commands. Acommand issues from the ruler’s mouth. Those in official positions receive it and carry it out, never resting day and night. It moves unimpeded all the way down. It permeates the people’s hearts and propagates to the four quarters [of the realm]. Completing the circle, it reverts to the place of the ruler. That is the Round Way. As the command goes round, it makes possible what is im- possible? and makes good what is not good, so that nothing impedes it. That nothing impedes it is because the Way of the ruler penetrates. Thus the com- mand is what the ruler makes his life, and what determines his moral character and security. People have a body with four limbs. Their ability to control it depends on their awareness when it responds to something, If they are not aware of its response, they are unable to control their body with its four limbs. The same is true of one’s ministers. If thefe is a command and they do not respond to it, one will no longer be able to control them. To have them and not control them is worse than not having them. The ruler is one who must control what he does not own. This was true even of Shun, Yu, Tang, and Wu."* When the Former Kings appointed high officials, they insisted that they be upright [literally, “square and correct”), in order to keep their responsibilities definite, so that [the ruler] would not be obstructed by those below. Yao and Shun were worthy rulers. They took worthies as their successors, for they were unwilling to bestow {the kingdom] on their own sons and grandsons. Still, in appointing high officials, they insisted that they be upright.!' Nowadays the tulers of men insist merely that the succession not be lost, so that they can bestow [the kingdom] on their own sons and grandsons. When they appoint high officials they cannot demand that they be upright, for their own selfish 8. Here ling yuan literally means “the order rounds.” But in this context it also implies “as the order accords with the Round Way.” Yuan also can mean “complete” or “perfect,” further enriching the implication 9. The text at the same time means “makes the impermissible permissible.” 10, Exemplary rulers from legendary prehistory to the beginning of the Zhou dynasty. x. This sentence is ambiguous, but presumably it means that even exemplary rulers, although not as dependent on their ministers as weaker monarchs would be, insisted on moral probity in their officialsSyncretic Visions of State, Society, and Cosmos 241 desires have thrown [the state] into chaos. Why is that so? Because their desires extend so much further than their awareness. Now [in music] the Five Modes always stimulate a response in each other, because their differences are precise. Each of the five keeps to its place, for the modes are attuned and balanced, and cannot conflict. That is why they are always receptive to each other. The appointment of officials by a worthy ruler is similar to this. When each of the hundred officials”? keeps to his responsibilities and puts his own affairs in order to await [the judgment of] the ruler, the ruler will not fail to be secure. Governed in this way, no state will fail to benefit. Forestalled in this way, no disaster will have a way to happen [Liishi chungiu jiao shi 3:5, pp. 171-173 —NS] The Huang-Lao Silk Manuscripts (Huang-Lao boshu) During the first six decades of the Han dynasty, a philosophy called Huang- Lao, named after the mythical Yellow Emperor Huangdi and the sage Laozi, was the predominant influence at the imperial court. It seems to have com- pletely disappeared, however, after the ascendancy of Confucianism under Em- peror Wu (r. 141-87 8.c.z.) beginning in 136 B.c.£. Known from terse references in historical writings, it was said to advocate a central government controlled by a ruler who had achieved profound states of tranquillity and who governed by taking no intentional action (wuwei), concepts found in the Daodejing.” It was said to be the product of a master-disciple lineage that reached back for more than a century before the Han dynasty began, but scholars were unable to identify any extant texts as having come from this lineage. The situation changed dramatically in 1973 with the announcement of the discovery of a major cache of texts at a tomb excavation near the village of Mawangdui, close to the present-day city of Changsha in Hunan province. Among the silk scrolls unearthed at this tomb, which had been closed in 168 B.C.E., were two manuscripts of the Daodefing and four texts of varying lengths that were attached to one of them. The four became quite controversial when Chinese scholars initially identified them as the Huangdi sijing (Four Canons of the Yellow Emperor), lost for almost two thousand years. Amid the flurry of scholarship generated by this discovery, questions were raised about the precise identification of these texts with this lost work, Because of these questions we shall refer to them as the Huang-Lao Silk Manuscripts (Huang-Lao boshu). Many scholars have taken these works as the first concrete textual evidence of the long-lost Huang-Lao lineage. 12. Le, “all officals.” 13, See ch. 5,268 THE MAKING OF A CLASSICAL CULTURE do we move in the company of spiritual brightness? absentminded, where are we going? forgetful, where are we headed for? The ten thousand things ranged all around us, not one of them is worthy to be singled out as our des- tination — there were those in ancient times who believed that the “art of the Way” lay in these things. Zhuang Zhou (Zhuangzi) heard of their views and delighted in them. He expounded them in odd and outlandish terms, in brash and bombastic language, in unbound and unbordered phrases, aban- doning himself to the times without partisanship, not looking at things from one angle only. He believed that the world is drowned in turbidness and that it was impossible to address it in sober language. . . . So he used “goblet words” to pour out endless changes, “repeated words” to give a ring of truth, and “imputed words” to impart greater breadth. He came and went alone with the pure spirit of Heaven and Earth, yet he did not view the ten thou- sand things with arrogant eyes. He did not scold over “right” and “wrong” but lived with the age and its vulgarity. Though his writings are a string of queer beads and baubles, they roll and rattle and do no one any harm. Though his words seem to be at sixes and sevens, yet among the sham and waggery there are things worth observing, for they are crammed with truths that never come to an end. Above he wandered with the Creator; below he made friends with those who have gotten outside of life and death, who know nothing of beginning or end. As for the Source, his grasp of it was broad, expansive, and penetrating; pro- found, liberal, and unimpeded. As for the Ancestor, he may be said to have tuned and accommodated himself to it and to have risen on it to the greatest heights. Nevertheless, in responding to change and expounding on the world of things, he set forth principles that will never cease to be valid, an approach that can never be shuffled off. Veiled and arcane, he is one who has never been completely comprehended. [Zhuangzi, ch. 33; adapted from Watson, Chuang Tzu, pp. 362-367, 371-374] The Huainanzi on Rulership ‘The Huainanzi is a work of twenty-one essays that was composed by a group of scholars and adepts working at the court of Liu An, first king of Huainan, under the king's direction. Presented by Liu to his nephew, the powerful Han emperor Wu, on a court Visit in 139 8.C.e., this work was intended to be a compendium of all the knowledge the Daoist sage ruler needed in order to govern effectively. Thus its topics run a wide gamut from cosmology and astrology to inner cultivation, government, and political thought. At the time it was presented to Emperor Wu, the emperor was on the verge of sanctioning the exclusive teaching of five Confucian classics in place of the Huang- Lao texts that had been influential at the imperial court during the previous four decades. Some scholars therefore sce it as the last attempt of Huang-Lao enthusiasts to head off this move to Confucianism. Others do not see it as a Huang-Lao text. Whatever the case, the major themes addressed in the Huainanzi bear such a closeSyncretic Visions of State, Society, and Cosmos 269 resemblance to those included in the overview of Daoism by the famous Han historian Sima Tan that one might almost be led to conclude that he had this text in mind when he wrote it. Because of the length and diversity of the Huainanzi, it is impossible to represent here all its many topics and literary styles. Instead we focus on the nature and practice of sage rulership, the overriding theme of the entire work, Here one finds many phil- osophical and terminological parallels with other sources included in this chapter. Sage rulers, according to the Huainanzi authors, clear their minds of all passions and prejudices through the cultivation of quiescence (jing) and can therefore, in an un- biased fashion, respond spontaneously and harmoniously to any situation that arises. They adapt policies and practices to the seasons, comply with the inherent patterns (li) of the cosmos, and act effortlessly by doing nothing (wuwei). One philosophical innovation of the Huainanzi is its assertion that the innate nature of human beings (xing) has a metaphysical dimension that this nature serves as the basis for the sage tuler’s inner cultivation. HUAINANZI 9, THE TECHNIQUES OF RULERSHIP (ZHUSHU) ‘The techniques of the ruler are to Keep to endeavors that take no action And practice the teaching that contains no words. Clear and quiescent, he does not act, : Once he acts, he is not agitated.” Adapting and complying, he entrusts his subordinates. Holding them to account, he does not labor. Therefore, although his mind knows the principles, he permits the imperial tutors to explain the Way to him.”> Although his mouth is able to speak, he permits his diplomats to announce the ceremonial words. Although his feet are able to walk, he permits his ministers to lead the way. Although his ears are able to hear, he permits his administrators to propose their own strategies.”* ‘Therefore, in his deliberations he has no oversights; In his conduct there is nothing excessive.”* His words are cultured and elegant; 72. Reading du (standard) as dong (to act), after Wang Shumin. Lau, Concordance, p. 67. 73. Reading dao (to guide) as Dao (the Way), after the Qunshu zhiyao, Lau, Concordance, P67. 74. Reading jian (to admonish) as mou (strategy), the variant given in the Kao You commen- tary. Lau, Concordance, p. 67. 75, Reading mou (strategy) as ju (conduct) after Wang Niansun. Lau, Concordance, p. 67270“ THE MAKING OF A CLASSICAL CULTURE His actions are models of exemplary behavior for all-under-Heaven. In advancing and retreating he responds to the seasons; In activity and quiescence he complies with inherent principles. He is not made to like or dislike things by their being ugly or beautiful; He is not made angry or pleased by rewards and punishments. Because he allows each name and each category to determine itself, his endeavors proceed spontaneously.” This is because none of his actions comes from a fixed self. HUAINANZI 1, THE ORIGINAL WAY (YUAN DAO)” ‘Therefore, those who penetrate the Way return to purity and quiescence Those who look deeply into things end in doing nothing. If you nourish your innate nature through calmness And stabilize your numen through stillness, You will enter the Gateway of Heaven. What I call “Heaven” is that which is pure and unmixed, unhewn and simple, innate and direct, dazzling and radiant, and which has never even begun to become adulterated. What I call “human” is that which is led astray by wisdom and precedent, is clever and deceitful, and which gets on in the world by having dealings with the common, ‘Therefore that an ox has cloven hooves and horns on its head and a horse has a mane and uncloven hooves is Heavenly [natural]. To put a bridle in a horse’s mouth and to pierce an ox's nose is human [attifice]. ‘To comply with Heaven is to wander freely with the Way. To follow humans is to have dealings with the common. The reason one can’t discuss largeness with a fish who lives in a well is because it is confined in a narrow space. The reason one can’t discuss the cold with a summer insect is because its life is restricted to one season. ‘The reason one can't discuss the perfect Way with a clever scholar is because he is confined to the common and bound up in what he’s been taught. ‘Therefore the sage does not allow the human to becloud the Heavenly, And does not allow desires to disrupt his true responses (ging). 76. Reading you (similar to) as you (go along with, proceed) after Wang Shumin. Lau, Con- cordance, p. 67 77. Lau, Concordance, p. 4Syneretic Visions of State, Society, and Cosmos 271 Without planning he hits the mark; Without speaking he is trusted. Without deliberating he attains, Without acting he succeeds, His vital essence is absorbed into the spiritual storehouse, And he is a companion of the Creative Force (the Way). HUAINANZI 14, INQUIRING WORDS (QUANYAN) Zhan He said:”* “{ have never heard of the ruler’s [inner] person (shen) being well ordered and the state being chaotic. I have never heard of the ruler’s {inner] person being chaotic and the state being well-ordered.” When a carpenter's square is not set aright, you cannot use it to make squares. When a compass is not set aright, you cannot use it to make circles. ‘The [inner] person is the square and compass of all endeavors Ihave never heard of one whose self was crooked being able to set other people aright. When you get to the source of the Decree of Heaven,” Master the techniques of the mind, Make likes and dislikes comply with inherent patterns, And accord with your true responses and innate nature, ‘Then the way to govern is comprehended. When you get to the source of the Decree of Heaven, then you are not deluded by bad or good fortune. When you master the techniques of the mind, then you are not led astray by pleasure and anger." When you make likes and dislikes comply with inherent patterns, then you do not crave what is useless. When you accord with your true responses and innate nature, then desires do not exceed their appropriate limits. 478. Zhan He is the late Warring States Daoist teacher who appears in Han Feizi 20 and Liezi 5. The eminent Chinese scholar Ch’ien Mu identified him with the Zhanzi in Zhuangzi, chapter 28, gave his dates as 350-270 B.C.E., and suggested that he was pethaps the first Huang-Lao teacher. See Chien, Hsien Ch'in chu-teu hsin-nien, pp. 223-226, 448. 79. Tianming, elsewhere in this volume translated as the Mandate of Heaven or “what Heaven ordains.” 80. Reading wang (to forget) as wang (to be led astray) after the Daoist Canon edition. Lau, Concordance, p. 133.272 THE MAKING OF A CLASSICAL CULTURE When you are not deluded by bad or good fortune, then in activity and quiescence you will comply with inherent patterns. When you are not led astray by pleasure and anger, then rewards and punishments will not affect you. When you do not crave what is useless, then you will not allow desires to interfere with your innate nature.*! When desires do not exceed their limits, then you understand what is sufficient to nourish your innate nature. Of these four (principles): Do not seek them externally, Do not borrow them from others; Return to the self and they will be attained. ‘The following selection has been described as resembling a Daoist version of the Great Learning, a major Confucian text translated in chapter 10. The foundation of governing lies is making the people content, ‘The foundation of making the people content lies in giving them sufficient use [of their time for farming]. ‘The foundation of giving them sufficient use lies in not stealing their time [for state endeavors]. ‘The foundation of not stealing their time lies in restricting the state’s endeavors. ‘The foundation of restricting the state’s endeavors lies in limiting the desires [of the ruler). The foundation of limiting the desires [of the ruler] lies in his returning to his innate nature. The foundation of returning to one’s innate nature lies in removing what fills the mind. When one removes what fills the mind, one is empty. When one is empty, one experiences equanimity. Equanimity is the simplicity of the Way. Emptiness is the abode of the Way. Those who are able to possess all-under-Heaven certainly do not neglect their states, 81, Deleting yong (utility), after Wang Niansun. Lau, Concordance, p. 133 82. Deleting wu (to endeavor), after Lau, Concordance, p. 133.Syneretic Visions of State, Society, and Cosmos 273 Those who are able to possess their states certainly do not lose their families. Those who are able to master their families certainly do not neglect their inner person. Those who are able to cultivate their inner person certainly do not forget their mind. ‘Those who are able to reach the source of their mind certainly do not impair their innate nature. Those who are able to keep their innate nature whole certainly are not deluded about the Tao. Therefore Guang Chengzi said: “Diligently guard what is within you; Fully prevent it from being externalized Too much knowledge is harmful. Do not look! Do not listen! Embrace the numen by being quiet ‘And the body will set itself aright.” ‘There has never been anyone who was able to understand it in others without first attaining it within himself. ‘Therefore the Classic of Changes (Yijing) says: “Tie it up in a bag. No blame No praise." Lau, Concordance, 4, 67, 133 — HR] THE MEDICAL MICROCOSM The new universal order of the Han was configured as a microcosm, a small model of Nature, As such it was aligned with another miniature counterpart of Nature, namely, the human body. Thus, the ruler should regulate his officers just as an individual must control his limbs if he is to live a normal life. Han thinkers often speak of the healthy body as in harmony with Nature, opening itself to illness if it does not maintain that concord Medicine gradually separated from philosophy between the third and first centuries B.c.£. as physicians worked out detailed and comprehensive doctrines to put in order their experience of the body, health, and illness, and to pass on their understanding to their pupils. Three books that carry the main title Inner eon Eee eet Eton teeter PEE 83, Guang Chengzi is the master who taught techniques of inner cultivation to the Yellow Emperor in Zhuangzi 11, where this saying appears almost verbatim. 84. Ying, kun hexagram, line text for sic in the fourth place.346 THE MAKING OF A CLASSICAL CULTURE soft complement each other. Therefore, together, the six people make up Three Mainstays. The Three Mainstays model themselves on [the triad] of Heaven, Earth, and the human. The Six Ties model themselves on the six directions [the four quarters of east, west, north, and south and above and below]. Ruler and min- ister model themselves on Heaven, as in the going and coming of the sun and moon, following the workings of Heaven. Parent and child model themselves on Earth, as with the revolving of the Five Phases mutually to produce one another. Husband and wife model themselves on the human, as with the combination of the Six Directions, and yin and yang, to effect human propaga- tion... . What do jun (prince, ruler) and chen (minister) mean? Jun means qun, “to gather,” as the hearts of the people are attracted [to the ruler]. Chen means “solid and firm” (jian), as the minister strengthens his will to serve. What do fu (parent, father) and zi (child, son) mean? Fu means ju, “a square rule”; the parent teaches the child through [setting] rules and norms. Therefore the Clas- sic of Filiality says: “If a father has a remonstrating son it will keep him from falling into wrongdoing.” What do husband and wife mean? Fu (husband) means “to support,” providing support [for his wife] in accordance with the Way. Fu (wife) means fu “to submit,” to submit in accordance with the rites. ... The commentary [on the Yili] says: “Husband and wife, though distinguish- able, are united.””* . [Ban Gu, Bohu tong de lun, 7:15a-16a; cf. Tjan, Po-hu t'ung, pp. 467, 559561 —dB] HAN VIEWS OF THE UNIVERSAL ORDER THE CREATION OF THE UNIVERSE FROM THE HUAINANZI ‘The following account of the creation is taken from the Huainanzi. Though mainly Daoist in conception, it was adopted by Han Confucians to round out their cosmology, as seen in the previous selection, from the Discourses in the White Tiger Hall. This same account of the creation was also taken over by the Japanese and prefaced to their native mythology in the Nihongi. Before Heaven and Earth had taken form all was vague and amorphous. There- fore it was called the Great Beginning. The Great Beginning produced emp- tiness, and emptiness produced the universe. The universe produced material- 75. Yili zhushu, “Sang fu.”The Imperial Order and Han Syntheses 347 force,’ which had limits. That which was clear and light drifted up to become Heaven, while that which was heavy and turbid solidified to become Earth. It was very easy for the pure, fine material to come together but extremely difficult for the heavy, turbid material to solidify. Therefore Heaven was completed first and Earth assumed shape after. The combined essences of Heaven and Earth became the yin and yang; the concentrated essences of the yin and yang became the four seasons; and the scattered essences of the four seasons became the myriad creatures of the world. After a long time the hot force of the accumulated yang produced fire, and the essence of the fire force became the sun; the cold force of the accumulated yin became water, and the essence of the water force became the moon. The essence of the excess force of the sun and moon became the stars, while Earth received water and soil. (31a) When Heaven and Earth were joined in emptiness and all was unwrought simplicity, then, without having been created, things came into being. This was the Great Oneness. All things issued from this Oneness, but all became differ- ent, being divided into various species of fish, birds, and beasts. . . . Therefore while a thing moves it is called living, and when it dies it is said to be exhausted. All are creatures. They are not the uncreated creator of things, for the creator of things is not among things. If we examine the Great Beginning of antiquity we find that man was born out of nothing to assume form as something. Having form, he is govemed by things. But he who can return to that from which he was born and become as though formless is called a “true man.” The true man is one who has never become separated from the Great Oneness. (14:1a] [From Huainanzi (SBCK) 3:1a, 1a — BW] THE FIVE PHASES Similar in concept to the yin-yang theory is that of the Five Phases or Agents (wuxing) of fire, water, earth, wood, and metal. The Five Phases were quanti- tative aspects of gi, which dominate or control processes in time or configura- tions in space in a fixed succession. For example, the Five Phases were thought to correlate spatially with the four directions plus the center and to correlate temporally with cyclical signs known as the ten heavenly stems and the twelve earthly branches,” as well as with the four seasons and twelve months. 76. The word gi, translated in our readings as “vital force” or “material-force,” in order to emphasize its dynamic character, plays an important part in Chinese cosmological and meta- physical thought. At times it means the spirit or breath of life in living creatures, at other times the air or ether filling the sky and surrounding the universe. In some contexts it denotes the basic substance of all creation. 77. See “The Concept and Marking of Time,” pp. 351-52.348. THE MAKING OF A CLASSICAL CULTURE A Table of Correspondences for the Five-Phases Systern The Five Phases Five Phases — Wood Fire Earth Metal Water or Agents Correspondence Seasons Spring Summer Autumn Winter Divine Rulers Tai Hao Yan Di Yellow Shao Hao Zhuan Xu Emperor Attendant GouMang Zhu Yong ~HouTu = RuShou ‘Xuan Ming Spirits Sacrifices inner door hearth inner court outer court well Animals sheep fowl ox dog pig Grains wheat beans panicled hemp millet millet Organs spleen lungs heart liver kidneys Numbers eight seven five nine six Stems jialyi bing/ding — moulji genglxin —_renlgui Colors green red yellow white black Five Tones jue zhi gong shang yu Tastes sour bitter sweet acrid salty Smells goatish burning fragrant rank rotten Directions East South center West North Creatures scaly feathered naked hairy shell- covered Beasts of the Green Scarlet Yellow White Black directions. Dragon Bird Dragon Tiger Tortoise Virtues humaneness wisdom trust rightness ritual decorum Planets Jupiter Mars Satum Venus Mercury Officers Minister of — Minister of Minister of Minister of Minister of Agriculture = War Works Interior Justice Over time various theories were evolved to explain the cyclical relation among the Five Phases, the two most prominent among them being two major cycles of conquest and generation. According to the “conquest” series, fire is overcome by water, water by earth, earth by wood, and wood by metal, pro- ducing the series: fire — water — earth — wood — metal. The conquest cycle, with its correlated colors and dynasties, was the dominant court ideology of the Qin and Former Han dynasties until Wang Mang’ replaced the Han with his 78. See pp. 314-15 and ch. 12.The Imperial Order and Han Syntheses 349 Xin (or New) dynasty in 9 c.g. At this point the scholars Liu Xiang and Liu Xin, who were influential in laying an ideological foundation for Wang Mang’s rule, proposed that the “generation” cycle of the Five Phases should replace the “conquest” cycle as the cosmological foundation for the imperial succes- sion. The essentially Confucian idea of a “generation” cycle was based on the idea that the moral intention of Heaven was to prefer birth and nurturing and to dislike punishment and conquest. According to this “generation” cycle, wood produces fire, fire produces earth, earth produces metal, and metal produces water, yielding the series: wood — fire — earth — metal — water. It is fairly obvious how the mode or element of wood should be assigned to the season of spring, associated with the color green and the direction east. In like manner fire is assigned to summer, its color red and direction south; metal to autumn, its color white and direction west; and water to winter, its color black and direction north. However, since there are Five Phases, proceeding, according to the “generation” cycle, in the order in which they produce ot “beget” each other, but only four seasons, earth, with the color yellow, was commonly assigned to the transitions between seasons, aiding the other ele- ments in their governance. In another version, deriving from the Huainanzi, a fifth season, the “middle of summer” (jixia), was devised to fill out the correspondences. The correspondences derived by analogy according to this system are in- numerable. One influential version deriving from the Record of Rites (Liji) and the Huainanzi, illustrates how all facets of the divine and natural worlds could be classified according to these Five Phases. These correspondences are shown here in diagram form. THE RECONSTRUCTION OF CHINESE HISTORY Important also is the application of this theory to history and the succession of dynasties. As each season is ruled by a phase or agent, so, it was believed, each dynasty ruled by virtue of a phase that it honored by adopting the color of that phase in its vestments and flags, and by similar ritual observances. The First Emperor of the Qin, for instance, believing that his dynasty ruled by the virtue or power of water, adopted black as his official color and even changed the name of the Yellow River to “Water of Power” (Deshui). Because the Qin had claimed to rule by the power of water, it was urged by some scholars early in the Han that the Han dynasty should adopt earth, with the color yellow, as its phase, to signify that the Han had conquered the Qin, since, according to the “conquest” theory, earth conquers water. According to tradition, Heaven had sent appropriate signs and omens to past dynasties, such as earthworms (earth), knife blades (metal), red birds (fire), etc., to indicate350 THE MAKING OF A CLASSICAL CULTURE which element the dynasty should adopt. Thus the reported appearance during the time of Emperor Wen of a yellow dragon was cited by supporters of this theory as additional evidence. Though other interpretations were offered, the Former Han adopted this idea and honored earth as its patron phase. ‘Toward the end of the Former Han, however, there was, as we have noted above, a shift to the “generation” theory advanced by Liu Xiang and Liu Xin. Using this idea newly applied to the interpretation of history, Liu Xin and his school proceeded to reconstruct a history of past ages that would conform to the theory, assigning a ruling element to each ancient dynasty and inserting “intercalary reigns” of the element water where necessary to make it consistent. One of the innovations of this system was the assertion that the Han dynasty ruled not by the power of earth but by that of fire. A second innovation was the extension of history back beyond the legendary Yellow Emperor, who had been the starting point of Chinese history for earlier writers like Zou Yan (305?—240? B.c.E.) and Sima Qian (145?-86? B.C.E.).” It is difficult to say exactly when each step of this new theory was set forth or accepted, but it was substantially completed by the time of Wang Mang, who made use of it in justifying his assumption of the throne. The final system thus worked out as follows: Phase Ruler or Dynasty Phase Ruler or Dynasty Wood Fu Xi, Tai Hao (Water) Di Zhi (Water) Gong Gong [Intercalary or Fire Emperor Yao illegitimate reigns] Earth Emperor Shun Fire ‘The Fire Emperor, Shen Nong Metal. ~—- Emperor Yu, Xia dynasty Earth The Yellow Emperor Water Shang dynasty Metal Shao Hao, Metallic Heaven Wood Zhou dynasty Water Zhuan Xu (Water) — Qin dynasty Wood — DiKu Fire Han dynasty Obviously the next dynasty to follow the Han should rule by the phase earth, It is not surprising, therefore, that, as Wang Mang rose to power, it was discov- ered that according to a certain ancient text, he was a descendant of the Yellow Emperor and thus was fitted to found a new dynasty under the phase of earth. Though with the downfall of Wang Mang many of his innovations and the doubtful texts used to support them were swept away, this account of the ancient past of China continued to be accepted. It is recorded in the History of the Former Han Dynasty (Hanshu) by Ban Gu®®, who said he was following Liu Xin, and it was generally accepted in China as historical fact until recent times. Thus, using a preconceived philosophical doctrine of historical evolution, the 79. See ch. 12 80. Hanshu 2B.‘The Imperial Order and Han Syntheses. 351 Chinese, with the best intentions and their customary love of order and system inall things, proceeded to rearrange and tailor their ancient legends and records to fit into a neat pattern that should be both immediately comprehensible in its past and infallibly predictable in its future development. THE CONCEPT AND MARKING OF TIME The Chinese conception of history, as we have seen above, was cyclical. This is only natural, since history is no more than a counterpart in the human sphere of the similar cycles of Heaven and Earth, those of the planets and the seasons. For this reason Chinese historians, unlike their Japanese, Jewish, or Christian counterparts — but like the Greek philosophers —never attempted to assign a temporal beginning or end to the history of the world or the state. Since time is itself a series of cycles based upon the motions of the planets, it may be conceived as extending indefinitely into the past and future for as long as the planets themselves exist. Dates in Chinese history are customarily recorded in terms of the years of the reigning monarch. But by Han times there was already in use an additional system of cyclical signs for designating years, days, and hours. The origin of these signs, one a set of ten known as the “ten heavenly stems,” another of twelve called the “twelve earthly branches,” remains today a mystery, though it is apparent that they are very ancient. It is probable that the ten stems were originally designations for the ten days of the ancient ten-day week, the twelve branches designations for the months. These signs and their associations are listed below: Twelve Five Phases Ten Stems Branches Beasts. ‘Directions Hours wood jia ai tat N 1 P.M.~1A.M. yi chou ox NNE 3 fre bing yin tiger ENE 35 ding mao hare E 5-7 earth mou chen dragon ESE 7-9 ji si snake SSE gon metal geng wu horse s 1AM.“ PM. xin wei sheep SSW 3 water ren shen monkey WSW 3-5 gui you cock w 5-7 xu dog WNW 7-9 hai boar NNW on Sometime during the Zhou dynasty these two sets of signs were combined to form a cycle of sixty binomial terms used to designate a cycle of sixty days.352 «THE MAKING OF A CLASSICAL CULTURE ‘Thus in the Springs and Autumns of Mr. Lii (Liishi chungiu) we read that the first two days of spring are jia and yi (A and B), which means that the first term. in the binomial designations of the first two days of the sixty-day cycle beginning in spring will be these two signs, jia and yi. The season of spring being seventy- two days long, the designations for the first two days of summer will be bing and ding (C and D), the cycle of ten stems having revolved seven times plus two. In this way the ten stems that designate the first and second days of each season came to be associated with the Five Phases, which, as we have seen, correspond to the seasons. Again, this cycle of sixty binomial terms (AI, B-I, etc.) was used to designate cycles of sixty years. The twelve branches, as indicated above, were used to designate thirty-degree divisions of the circle of the horizon. Observing the position of Jupiter in the sky for each year of its twelve-year cycle, the Chinese then employed the sign designating that portion of the sky for the year and combined these with the ten stems to form designations for a sexagenary cycle. This they used to reckon dates independent of the reigns of emperors. Finally, the twelve branches were used to designate twelve two-hour periods making up the day. At least by Han times these twelve branches had become associated with twelve beasts, as indicated in the table on p. 351. Because of this, the twelve hours of the day and the years of the sexagenary cycle were each associated with one of these beasts. This system of marking time was adopted by other countries in contact with China. Based on these various associations with the Five Phases and twelve beasts, a great deal of lore concerning lucky and unlucky times grew up about the various cycles. Yet, as we have scen, their basis is rational. They provided the Chinese with a convenient method of reckoning time as useful as Western time divisions, which replaced them only as a part of a thoroughgoing process of Westernization in the modern period.