Fifteen Lectures on Chinese Philosophy 9811984808, 9789811984808

Table of contents :
Preface
Contents
1 Human Nature and the Way of Heaven: The Philosophy of Confucius
1 About The Analects
2 We Cannot Hear
3 By Nature People are Similar
4 Pleasure and Delight
5 The Path to Happiness
6 To Establish Character and Be Prominent
7 Dialogues About Benevolence
8 What Does Heaven Say?
2 Becoming Useful with the Basis of Non-being: The Philosophy of The Laozi
1 Beginning with the First Chapter of The Laozi
2 Being is Born from Non-being
3 Becoming Useful with the Basis of Non-being
4 He Who Stands on Tiptoe is not Steady
5 Acting Without Action
3 Exerting the Mind and Knowing Human Nature: The Philosophy of Mencius
1 The Function of the Mind is to Think
2 Exerting the Mind and Knowing Human Nature
3 Human Nature is Good
4 Knowing the Logic of Speech
5 Nourishing One’s Qi
6 A Benevolent Government
4 The Way to True Knowledge: The Philosophy of Zhuang Zi
1 The Keyword of Zhuang Zi’s Philosophy: Knowledge
2 Differing Levels of Knowledge
3 Right and Wrong
4 Employing the Light of Reason and Accepting All the Right Judgments
5 Knowledge and the Self
6 Beyond Knowledge
7 The Equality of Things
8 Function: Specific and General
9 True Knowledge and Independence
5 Being or Non-being: The Philosophy of Wang Bi
1 Hermeneutic Principles
2 The Distinction Between Language and Meaning
3 Ontological Breaks
3.1 The Meaning of “Non-being”
3.2 The Dao and Things
3.3 The Dao and Nature
3.4 Becoming Useful with the Basis of Non-being
4 Political Philosophy
4.1 Two Ways to Observe Things
4.2 “To Value the Root and to Keep the Branches” (Chong Ben Ju Mo, 崇本举末) and “To Value the Root and to Eliminate the Branches” (Chong Ben Xi Mo, 崇本息末)
4.3 Acting Without Action
4.4 The Character of the Sage
6 The Principle of Nature: The Philosophy of JiKang
1 The Principle of Nature
2 The Defense of Self
3 The Nourishment of Life
4 The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life
5 The Relationship Between Music and Emotions
7 Limitation and Nature: The Philosophy of Guo Xiang
1 On The Annotations to The Zhuangzi
1.1 Guo Xiang’s Edition of The Zhuangzi
1.2 Did Guo Xiang Plagiarize?
1.3 The Characteristics of Guo’s Annotations
2 Ontology
2.1 The Non-existence of the Creator
2.2 Nature
2.3 Principle and Human Nature
2.4 The Self and Interactions
2.5 The Carefree Excursion and Human Nature
2.6 Following the Things
2.7 Life and Death
3 Political Ideas
3.1 Acting Without Action
3.2 The Nobleman and the King
3.3 Political Virtue
8 Sincerity as the Supreme Ultimate: The Philosophy of Zhou Dunyi
1 Metaphysics
1.1 The Supreme Ultimate, Yin and Yang, and the Five Agents
1.2 Humans and the Myriad Things
1.3 The Sage
2 Teaching and Self-Cultivation
2.1 The Way of Teaching
2.2 Purifying the Heart
2.3 Rituals and Music
2.4 Punishments
2.5 The Will to Learn
9 Substance and Function: The Philosophy of Shao Yong
1 The Observation of Things
2 Substance and Function
3 Four Aspects of Substance
4 Three Aspects of Function
10 Establishing Our Own Philosophy: The Philosophy of Cheng Hao
1 Criticizing Buddhism
2 The Establishment of Neo-Confucian Discourse
3 The Principle of Heaven
4 What is Inborn is Called Nature
5 Sensation and Benevolence
6 On Calming Human Nature
11 The One and Its Two Contrary Aspects: The Philosophy of Zhang Zai
1 The Great Vacuity and Qi
2 Form and Image
3 The Three and the Two
4 The Wonder and Transformation
5 Sensation
6 On Human Nature
7 Human Nature and the Human Mind
12 Metaphysical Substance: The Philosophy of Cheng Yi
1 Physics and Metaphysics
2 The Unity of Substance and Function
3 The Absolute Creation as the Principle of Heaven
4 Everything Has Its Opposite
5 Collectivity and Benevolence
6 On Human Nature
7 On Respect
8 The Investigation of Things and the Extension of Knowledge
13 The Principle of Heaven and Qi, Motion and Stillness: The Philosophy of Zhu Xi
1 Substance and Function
2 The Supreme Ultimate
3 The Principle of Heaven and Qi
3.1 Qi Comes from the Principle of Heaven
3.2 The Relationship Between the Principle of Heaven and Qi
3.3 The Motion and Stillness of the Principle of Heaven and Qi
3.4 The Unity and Particularity of the Principle of Heaven
4 Theories on Human Nature and Mind
5 Self-Cultivation
6 The Extension of Knowledge
14 Be Your Own Master: The Philosophy of Lu Jiuyuan
1 The Original Mind
2 The Mind is the Principle of Heaven
3 Gather Your Spirit and Be Your Own Master
4 The Investigation of Things and Sitting Quietly
5 The Relationship Between Righteousness and Profit
15 The Principle of Heaven is not Outside the Mind: The Philosophy of Wang Yangming
1 The Principle of Heaven is not Outside the Mind
2 There Are no Things Outside the Mind
3 The Investigation of Things
4 The Unity of Knowledge and Action
5 The Extension of Innate Knowledge

Citation preview

Lihua Yang

Fifteen Lectures on Chinese Philosophy

Fifteen Lectures on Chinese Philosophy

Lihua Yang

Fifteen Lectures on Chinese Philosophy

Lihua Yang Department of Philosophy Peking University Beijing, China Translated by Jinnan Qin China University of Political Science and Law Beijing, China

Isaiah Martin Schrader Harvard University Cambridge, USA

Supported by Chinese Fund for the Humanities and Social Sciences ISBN 978-981-19-8480-8 ISBN 978-981-19-8481-5 (eBook) https://doi.org/10.1007/978-981-19-8481-5 Jointly published with Peking University Press The print edition is not for sale in China Mainland. Customers from China Mainland please order the print book from: Peking University Press. © Peking University Press 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publishers, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publishers nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publishers remain neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Preface

Philosophers have no way of surpassing the character of their own time. Therefore, one of the important functions of intellectual history is to confirm the particular character of different philosophies in history by revealing the connection between these ideas and philosophers’ concerns about their time. However, if the universal significance and value of philosophy are ignored, their place in history will become a relic of the past. A relic is at best a mirror—a helpful reminder, rather than something with real power that shapes the spirit of the world today. How can the history of philosophy be meaningful for contemporary life? How can we make the great philosophers our contemporaries? For me, these are unavoidable questions. This slender volume is an explanation of the philosophical system of important premodern Chinese philosophers rather than a history of philosophy. My personal interests are demonstrated by my choice of these representative philosophers. The focus of each chapter of this book is to reveal the fundamental problems of each philosopher, showing the context and structure of their thoughts and clarifying their concepts and specific concerns. The importance of the problems, the characteristics of their solutions, and the universality of the principles within their reasoning allow these thoughts to remain alive forever. The concreteness of these ideas simultaneously enables their universality. Universal ideas, shaped by the twists and turns of history, can come alive again in the present. But only through the in-depth interpretation of the Classics, it is possible to meet the great minds of the past on an intellectual journey. This book is a summary of my thoughts in stages as I have taught Chinese philosophy over the years. It is based on the drafts of my lectures. But the writing style and lecture structures have been unified, and the key issues are explained clearly and in-depth. Expressing the connotation of each concept and proposition and escaping ambiguity are my long-standing pursuit and a conscious initiative that I always try to achieve in my writing. Tong Xinran has given me great help in transcribing the class recordings of my lectures in recent years, and I would like to express my gratitude here. I would also like to thank the Kaifeng Foundation for supporting my work. To be “Kaifeng Scholars” is both an encouragement and a duty for me. v

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Preface

In the Spring semester of the year 2000, I taught Chinese philosophy to class of 2002 from the Department of Philosophy, Peking University. During that time, I attached great importance to being a man of letters. During my frequent bouts of insomnia, I would think of poetic phrases. On the night of the last class, unable to sleep, I wrote poem of the seven-character form following the rhyming scheme of “Poems from Goose Lake” by Lu Jiuyuan. 道崇自然德崇钦, 竹林伊洛两关心; 每寻嵇阮狷狂迹, 更慕程朱德业岑; 无意埃尘纷起落, 有心名相任浮沉; 惟期暗夜承薪火, 不因微薄忘古今. The spontaneous Dao and reverent Virtue esteemed, My heart is in concert with the Bamboo Hermits (Zhu Lin, 竹林)1 and the Confucian literati of Yi and Luo (Yi Luo, 伊洛).2 On the wild tracks3 of Ji Kang (嵇康) and Ruan Ji (阮籍), And yet looking up to those peaks of virtue in Cheng Yi (程颐) and Zhu Xi (朱熹). The mindless drift like dust in the wind, But those with a heart can ride the waves of repute and rebuke. My one hope is that I might carry the torch during the dark night, Refusing to forget this heritage even in my obscurity.4 The poetry is inadequate. But even after many years, my aspirations remain. Twenty years later, nothing has changed. Thus, I feel true joy in my heart. Beijing, China September 2018

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Lihua Yang

Zhu Lin (竹林) here refers to the Bamboo Hermits like Ruan Ji (阮籍), Ji Kang (嵇康), and so on in the Wei and Jin Dynasties. And, the word furtherly points to all Neo-Daoist and Neo-Daoism. 2 Yi Luo (伊洛) here refers to the Cheng brothers (Cheng Hao 程颢 and Cheng Yi 程颐) in the Northern Song Dynasty, their friends, and their disciples who lived beside Yi He river (伊河) and Luo He river (洛河). And, they are also the representatives of all Neo-Confucian and Neo-Confucianism. 3 Confucius said, “If you cannot manage to find a person of perfectly balanced conduct to associate with, I suppose you must settle for the wild (Kuang, 狂) or the fastidious (Juan, 狷). In their pursuit of the Dao, the wild plunge right in, while the fastidious have things they will not do.” (see The Analects, 13.21). 4 The poem is translated by Trenton Wilson.

Contents

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2

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Human Nature and the Way of Heaven: The Philosophy of Confucius . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 About The Analects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 We Cannot Hear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 By Nature People are Similar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Pleasure and Delight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 The Path to Happiness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 To Establish Character and Be Prominent . . . . . . . . . . . . . . . . . . . . . . . 7 Dialogues About Benevolence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 What Does Heaven Say? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1 1 3 4 5 6 9 12 15

Becoming Useful with the Basis of Non-being: The Philosophy of The Laozi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Beginning with the First Chapter of The Laozi . . . . . . . . . . . . . . . . . . . 2 Being is Born from Non-being . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Becoming Useful with the Basis of Non-being . . . . . . . . . . . . . . . . . . 4 He Who Stands on Tiptoe is not Steady . . . . . . . . . . . . . . . . . . . . . . . . 5 Acting Without Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 18 22 25 26 27

Exerting the Mind and Knowing Human Nature: The Philosophy of Mencius . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 The Function of the Mind is to Think . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Exerting the Mind and Knowing Human Nature . . . . . . . . . . . . . . . . . 3 Human Nature is Good . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Knowing the Logic of Speech . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Nourishing One’s Qi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 A Benevolent Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

31 32 34 36 40 42 44

The Way to True Knowledge: The Philosophy of Zhuang Zi . . . . . . . 1 The Keyword of Zhuang Zi’s Philosophy: Knowledge . . . . . . . . . . . . 2 Differing Levels of Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Right and Wrong . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

49 50 51 53

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4 Employing the Light of Reason and Accepting All the Right Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Knowledge and the Self . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Beyond Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 The Equality of Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Function: Specific and General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 True Knowledge and Independence . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Being or Non-being: The Philosophy of Wang Bi . . . . . . . . . . . . . . . . . 1 Hermeneutic Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Distinction Between Language and Meaning . . . . . . . . . . . . . . . . 3 Ontological Breaks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 The Meaning of “Non-being” . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 The Dao and Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 The Dao and Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Becoming Useful with the Basis of Non-being . . . . . . . . . . . . . . 4 Political Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 Two Ways to Observe Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 “To Value the Root and to Keep the Branches” (Chong Ben Ju Mo, 崇本举末) and “To Value the Root and to Eliminate the Branches” (Chong Ben Xi Mo, 崇 本息末) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Acting Without Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 The Character of the Sage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

55 56 59 61 64 66 69 70 72 76 78 79 80 80 82 83

84 86 87

6

The Principle of Nature: The Philosophy of JiKang . . . . . . . . . . . . . . . 89 1 The Principle of Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 2 The Defense of Self . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 3 The Nourishment of Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 4 The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life . . . . . . . . . . . . . . . . . . . . . 98 5 The Relationship Between Music and Emotions . . . . . . . . . . . . . . . . . 100

7

Limitation and Nature: The Philosophy of Guo Xiang . . . . . . . . . . . . 1 On The Annotations to The Zhuangzi . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 Guo Xiang’s Edition of The Zhuangzi . . . . . . . . . . . . . . . . . . . . . 1.2 Did Guo Xiang Plagiarize? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3 The Characteristics of Guo’s Annotations . . . . . . . . . . . . . . . . . . 2 Ontology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 The Non-existence of the Creator . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 Principle and Human Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 The Self and Interactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 The Carefree Excursion and Human Nature . . . . . . . . . . . . . . . . 2.6 Following the Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.7 Life and Death . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

107 108 108 109 111 113 113 117 119 121 123 124 125

Contents

3 Political Ideas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Acting Without Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 The Nobleman and the King . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Political Virtue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

9

Sincerity as the Supreme Ultimate: The Philosophy of Zhou Dunyi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Metaphysics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 The Supreme Ultimate, Yin and Yang, and the Five Agents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2 Humans and the Myriad Things . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3 The Sage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Teaching and Self-Cultivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 The Way of Teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Purifying the Heart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 Rituals and Music . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Punishments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 The Will to Learn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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127 127 128 128 133 134 137 142 143 145 145 146 146 147 148

Substance and Function: The Philosophy of Shao Yong . . . . . . . . . . . 1 The Observation of Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Substance and Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Four Aspects of Substance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Three Aspects of Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

151 153 155 157 165

10 Establishing Our Own Philosophy: The Philosophy of Cheng Hao . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Criticizing Buddhism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Establishment of Neo-Confucian Discourse . . . . . . . . . . . . . . . . . 3 The Principle of Heaven . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 What is Inborn is Called Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Sensation and Benevolence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 On Calming Human Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

167 168 172 175 177 181 183

11 The One and Its Two Contrary Aspects: The Philosophy of Zhang Zai . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 The Great Vacuity and Qi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Form and Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 The Three and the Two . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The Wonder and Transformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Sensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 On Human Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Human Nature and the Human Mind . . . . . . . . . . . . . . . . . . . . . . . . . . .

185 188 193 195 197 199 201 203

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Contents

12 Metaphysical Substance: The Philosophy of Cheng Yi . . . . . . . . . . . . 1 Physics and Metaphysics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Unity of Substance and Function . . . . . . . . . . . . . . . . . . . . . . . . . . 3 The Absolute Creation as the Principle of Heaven . . . . . . . . . . . . . . . 4 Everything Has Its Opposite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Collectivity and Benevolence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 On Human Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 On Respect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 The Investigation of Things and the Extension of Knowledge . . . . . . 13 The Principle of Heaven and Qi, Motion and Stillness: The Philosophy of Zhu Xi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Substance and Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Supreme Ultimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 The Principle of Heaven and Qi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Qi Comes from the Principle of Heaven . . . . . . . . . . . . . . . . . . . 3.2 The Relationship Between the Principle of Heaven and Qi . . . 3.3 The Motion and Stillness of the Principle of Heaven and Qi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 The Unity and Particularity of the Principle of Heaven . . . . . . . 4 Theories on Human Nature and Mind . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Self-Cultivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 The Extension of Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

207 208 210 211 214 215 216 218 221 225 226 229 233 234 237 238 241 243 246 248

14 Be Your Own Master: The Philosophy of Lu Jiuyuan . . . . . . . . . . . . . 1 The Original Mind . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Mind is the Principle of Heaven . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Gather Your Spirit and Be Your Own Master . . . . . . . . . . . . . . . . . . . . 4 The Investigation of Things and Sitting Quietly . . . . . . . . . . . . . . . . . . 5 The Relationship Between Righteousness and Profit . . . . . . . . . . . . .

249 250 252 254 255 257

15 The Principle of Heaven is not Outside the Mind: The Philosophy of Wang Yangming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 The Principle of Heaven is not Outside the Mind . . . . . . . . . . . . . . . . 2 There Are no Things Outside the Mind . . . . . . . . . . . . . . . . . . . . . . . . . 3 The Investigation of Things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The Unity of Knowledge and Action . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 The Extension of Innate Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . .

261 263 270 272 273 276

Chapter 1

Human Nature and the Way of Heaven: The Philosophy of Confucius

Confucius (孔子), whose given name is Qiu (丘), and whose literary name is Zhong Ni (仲尼), born in 551 B.C. and died in 479 B.C., was the greatest philosopher of the late Spring and Autumn Era (770 B.C.–476 B.C., Chun Qiu Shi Qi, 春秋时期). By summarizing, refining, and distilling the cultural vestiges of the previous two thousand years, Confucius broke with the past, and created a new philosophy which became the foundation of later Chinese civilization. Before discussing Confucius’ philosophy, we must clarify the boundaries of the materials that we are to use. In early texts, many sentences begin with Zi Yue (子 曰, which means “Confucius says”). Besides The Analects 《论语》 ( ), large numbers of quotations attributed to Confucius can also be found in The Mozi 《墨子》 ( ), The Mencius 《孟子》 ( ), The Zhuangzi 《庄子》 ( ), The Xunzi 《荀子》 ( ), The Han Feizi 《 ( 韩非子》 ), The Zuo Commentary of the Spring and Autumn Annals 《春秋左传》 ( ), The Appended Remarks of The Book of Changes 《易传》 ( ), and The Book of Rites 《 ( 礼记》 ).1 However, it is quite difficult to distinguish between Confucius’ own words and his disciples’ thoughts (some of which may even have been made up by later scholars). To be prudent, this book will only use The Analects as a foundational text to paint an accurate philosophical picture of the thought of Confucius.

1 About The Analects The Analects was not written by Confucius himself, instead, it was compiled by his disciples. Because Confucius’ students You Ruo (有若) and Zeng Shen (曾参) are frequently mentioned, under the honorifics “Master You” (You Zi, 有子) and “Master 1

The Book of Rites was compiled in the Western Han Dynasty, however, the majority of its contents were finished in the Warring States Period (475 B.C.–221 B.C., Zhan Guo Shi Qi, 战国时期).

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_1

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Zeng” (Zeng Zi, 曾子), they are most likely the disciples who are in charge of the compilation of Confucius’ conversations into The Analects. Although the date of the compilation cannot be confirmed with certainty, the text contains the last recorded words of Confucius’ disciple Zeng Zi,2 so the book was probably compiled after Zeng Zi’s death. Zeng Zi died in around 435 B.C., so the completion of the compilation of The Analects was likely no earlier than the year 435 B.C. Zeng Zi, who was the youngest member of the first generation of Confucius’ disciples, was 46 years younger than Confucius. By Zeng Zi’s death, nearly all of the first generation of Confucius’ disciples, who studied with him personally, had passed away. This may be the reason why The Analects was compiled at that time. In my opinion, The Analects was not compiled all at once. I believe that the first ten chapters of the text were compiled earlier than the latter ten, for which I will provide two pieces of evidence. The first is that in the first ten chapters, the number of paragraphs in each chapter is quite similar. In the later chapter, however, the number of paragraphs diverges widely. For example, there are 47 paragraphs in Chapter 14 (Xian Wen,《宪问》 ), while there are only 3 paragraphs in Chapter 20 (Yao Yue,《尧 曰》 ). On the other hand, the content of Chapter 10 (Xiang Dang,《乡党》 ) concerns the arc of Confucius’ life, which indicates that this chapter may have been intended to serve as the last chapter of a book, because ancient editors usually put this sort of brief biography—Xing Zhuang (行状)—at the end of a collection of a literatus’ writings. Although The Analects was not written by Confucius himself, we can still believe that it contains accurate quotations from him because the text is a record of his conversations with his disciples. Thus, we can reliably use the book as a resource to discuss Confucius’ philosophy which contains his ideas in his own words. Confucius refrains from using overly complex rhetoric in an attempt to express profundity. Instead, his teachings in The Analects are inspiring, direct, and specific. He seldomly discusses topics far from daily life, but his words are not merely simplistic statements about our surroundings. Some scholars believe that Confucius expressed wisdom about life, but lacked a fully developed philosophical system. But how could he have calmly and confidently confronted the world’s complexities without deeply reflecting on the ultimate basis of the universe and human life? Extremely profound doctrines are not only too abstract for ordinary people to understand but can even destroy their constants on which they rely to choose and to judge. Confucius’ infrequent use of arcane doctrines, then, was intentional.

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Master Zeng was gravely ill and called his disciples to his bedside. “Uncover my feet! Uncover my hands!” he said to them. “It is recorded in The Book of Odes 《诗经》 ( ) that, ‘Fearful and cautious, As if looking down into a deep abyss and as if treading upon thin ice.’ Only now can I be sure of having made it through safely. Note this, my little ones!” (in The Analects 8.3.) See Zhu Xi 朱熹, Sishu Zhangju JiZhu 《四书章句集注》 ( ), Beijing: Zhonghua Press, 1983, p. 103. (The number of each paragraph is named after Yang Bojun 杨伯峻. See Yang Bojun, Lunyu Yizhu 《论语译注》 ( ), Beijing: Zhonghua Press, 1980.).

2 We Cannot Hear

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2 We Cannot Hear Confucius’ disciple Zi Gong (子贡) is quoted as saying that “we can hear our Master’s views on culture and its manifestation, but we cannot hear his views on human nature and the Way of Heaven.” (Fu Zi Zhi Wen Zhang, Ke De Er Wen Ye; Fu Zi Zhi Yan Xing Yu Tian Dao, Bu Ke De Er Wen Ye. 夫子之文章, 可得而闻也; 夫子之言性 与天道, 不可得而闻也。)3 Notice that Zi Gong does not say that Confucius never spoke about human nature or the Way of Heaven. Instead, he only mentions that he himself has not had the chance to hear the Master discuss them.4 Amongst Confucius’ disciples, Zi Gong was famous for his intelligence. It seems that he could not hear the Master’s words about human nature and the Way of Heaven because his character lacked persistence. An important principle of Confucius’ teachings is “To teach the students step by step” (Jiao Bu Lie Deng, 教不躐等). He offered different guidance according to his students’ degree of understanding and acceptance. Therefore, when we read The Analects, we should pay attention to the background and context of every dialogue. We cannot regard each quotation as definitive on a particular topic. In doing so, we must take note of three points. Firstly, the comprehension abilities of each of Confucius’ disciples are not the same. For example, when asked to define “benevolence” (Ren, 仁), Confucius tells Fan Chi (樊迟) that it is “to love people” (Ai Ren, 爱人),5 but he tells Yan Hui (颜回) that it is “to master one’s self and return to the rituals” (Ke Ji Fu Li, 克己复礼) and “to practice benevolence depends on oneself” (Wei Ren You Ji, 为仁由己).6 Yan Hui was cleverer than Fan Chi, so Confucius gave Yan Hui a more complex answer, and provided Fan Chi with a simpler answer within Fan’s comprehension. Confucius’ answer to Fan was not his ultimate understanding of benevolence. Secondly, Confucius’ disciples and interrogators held different positions within government and society. In one dialogue, the Minister of Crime (Si Kou, 司寇) in the state of Chen (陈) was very rude in asking Confucius to pass judgment on his deceased ruler.7 Confucius might have ignored this question in other situations. However, the Minister of Crime was Confucius’ host. According to the ancient rites, a guest should answer his host’s question politely. So Confucius responded: Duke Zhao of Lu (鲁昭公) understood rituals. Thirdly, each of Confucius’ disciples possessed a different character. Both Zi Lu (子路) and Ran Qiu (冉求) asked Confucius when one hears of something he ought to do, should he do it immediately? Confucius gives them opposite answers. Because Ran Qiu was overly hesitant, so 3

In The Analects 5.13. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 79. In Sishu Zhangju Jizhu, Zhu Xi quotes the words of the Cheng brothers (Cheng Hao 程颢 and Cheng Yi 程颐 in the Northern Song Dynasty) and says that “this is Zi Gong’s praise after hearing Confucius’ core idea about human nature and the Way of Heaven”, and Zhu adds that “this is Zi Gong’s first time to hear about this”. However, Zhu Xi’s opinion is his own guess, we cannot find solid evidence to prove it. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 79. 5 In The Analects 12.22. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 139. 6 In The Analects 12.1. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 131. 7 In The Analects 7.31. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 100. 4

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Confucius encouraged him to act. Because Zi Lu was too impulsive, so Confucius tries to restrain him.8 In The Analects, Confucius often talks about the things we should do in life. In these ordinary directions, Confucius expresses his value pursuit, which leads his and others’ life, telling them what kind of life is correct to pursue. However, in certain social environments, value pursuit can be misleading if it is decided by occasional habits or sometimes even ignorance.9 So, in every era, the effort to revalue everything is necessary. On the one hand, the trends of value can be different in a different era; the principle of value, on the other hand, is eternal. This eternal principle of value must have its base on human nature and the Way of Heaven. People should live like this because this is the essential tendency of human beings and the Way of Heaven. In other words, the correct way of life corresponds to human nature and the Way of Heaven. In this book, when I talk about Confucius’ philosophy, I will not analyze his social and moral ideas or his wisdom about life. Instead, I plan only to focus on his ideas about the universe and the foundations of human life.

3 By Nature People are Similar Confucius directly discusses human nature only once in The Analects. He says, “By nature people are similar, but they diverge as the result of practice.”10 Human nature refers to the intrinsic tendencies that we follow. Although I cannot find direct evidence for my above definition in The Analects, the quote “That which is bestowed by heaven is called man’s nature” (Tian Ming Zhi Wei Xing, 天命之谓性) in the Doctrine of the Mean 《中庸》 ( ) and the proposition “the tendency of human nature to do good is like that of water to flow downward” (Ren Zhi Xing Shan Ye, Ru Shui Zhi Jiu Xia Ye. 人之性善也, 犹水之就下也) in The Mencius support my judgment. It is worth noticing that Confucius did not say “by nature people are the same.” This reflects his prudence and shows that his statement on human nature is the conclusion of his life experiences rather than a demonstration of a philosophical theory. We see a clearly defined proof of human nature only later, in the philosophy of Mencius. Although the era in which Confucius lived was marked by social disarray, common 8

In The Analects 11.22. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 128. A story in chapter Tan Gong from The Book of Rites《礼记·檀弓》 ( ) shows that Confucian scholars hold a rational attitude towards some old-fashioned value and corrupt customs. “Chen Ziche (陈子 车), who is an officer of the state of Qi (齐) died in the state of Wei (卫). His wife and chamberlain plan to kill some of Chen’s servants to memorial him at his funeral. When Ziche’s little brother Zikang (子亢) comes from Qi to Wei to attend his brother’s funeral, they tell him their plan. ‘To kill people is illegal’, Zikang says, ‘besides, if you want to kill someone to take care of Ziche in the afterworld, no one is better than Ziche’s wife and chamberlain.’ After hearing this, the wife and chamberlain give up.” See Sun Xidan 孙希旦, Liji Jijie 《礼记集解》 ( ), Beijing, Zhonghua Press, 1989, p. 278. 10 In The Analects 17.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 175. 9

4 Pleasure and Delight

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values still formed the foundation of society. As a result, Confucius never faced any true theoretical challenges during his life. Thus, Confucius’s statements are usually direct, and lack the self-consciousness that comes from having to prove or defend his ideas. The intrinsic tendencies of all human beings are similar. The major differences between people, then, are the result of the influence of our environment. The framework of “human nature versus practice” (Xing-Xi, 性-习) is one of Confucius’ great intellectual innovations. For one, it reveals the similar intrinsic tendencies of all human beings, placing our basic values on the stable foundation of universal human nature. It also points to the influence of our upbringing, offering a persuasive explanation of the differences between human beings. Later Confucian scholars may have diverged in the details of their opinions about the theory of human nature, but they all accept the veracity of this foundational structure. Confucius points out the similarity of our nature, but he does not offer his students a detailed explanation of what this nature entails. How can we learn the exact answer? I believe we can learn about it from Confucius’ other statements and actions recorded in The Analects.

4 Pleasure and Delight Let’s first examine the opening paragraph of The Analects. Confucius says, “To learn and to practice from time to time what has been learned, is this not a pleasure? For friends to come from afar, is this not a joy? Is one not a nobleman (Jun Zi, 君子) to not be worried even when he is not understood?”11

As the first paragraph of the text, this simple passage is in fact an outline which contains three central themes of The Analects. The first is learning (Wei Xue, 为学) and making friends (Jiao You, 交友). The second is pleasure (Yue, 说) and delight (Le, 乐). The third is learning for oneself (Wei Ji Zhi Xue, 为己之学). To learn and to make friends, broadly speaking, are two ways of elevating oneself. Learning is an individual activity, while friends can help us in moral cultivation. In fact, learning expresses a crucial concept. By emphasizing the importance of learning, Confucius expresses the idea that human beings can change and elevate ourselves by making an effort in our everyday lives. The Laozi promotes the idea that people should abandon learning and rely on their natures. In contrast to that, The Analects teaches the value of learning which provides the conceptual foundation of social mobility. In other words, by claiming that we should abandon learning and rely on our natures, the Laozi implies that people should accept all that is given to them. However, Confucius tries to promote social equality by encouraging education. If people believe that they can change their destiny by learning, then the patriarchal clan system will be weakened. Therefore, Confucius’ theory of learning served as 11

In The Analects 1.1. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 47.

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the ideological foundation of the revolution from feudalism (an aristocratic system) to the system of prefectures and counties system (a bureaucratic system). The purpose of learning is self-cultivation; it is not a practice intended to be performed for others, but is rather a beneficial practice for oneself. If we never learn to show off, we will certainly not feel worried if others do not understand us. If we practice what we have learned from time to time, our progress will come with unparalleled pleasure. That is why Confucius “forgot about his food when engaged in pursuits and was so happy as to forget his worries.” (Fa Fen Wang Shi, Le Yi Wang You, 发愤忘食, 乐以忘忧). The emphasis on pleasure and delight is our key focus here. Pleasure is different from delight because “pleasure is inside one’s heart but delight is something expressed externally.”12 If we regard the pleasure here as joy and the delight as gladness,13 we can draw three conclusions. First, gladness is always expressed externally but joy exists inside one’s heart. Second, gladness is ephemeral, but we can be joyful for a long time. Third, one is usually glad about specific situations, but one usually feels joyful because of his perception of the entire world he lives in. In general, Confucian scholars prefer pleasure to delight. But they neither rejected nor denied the latter. The combination of pleasure and delight is happiness (Xing Fu, 幸福). In the first paragraph of The Analects, Confucius mentions the importance of happiness in our lives and he confirms that the nature of human beings is to pursue happiness. In general, a basic characteristic of Chinese civilization is that it is secular. As opposed to civilizations that pursuit transcendent ideas, Chinese civilization is satisfied with life in the secular world and affirms that the world, including its past and future, is the only one worth pursuing. Since the Chinese focus on happiness in the secular world, they have honed in on the universal nature of human beings. This is the reason why pleasure and delight are the focus in the first paragraph of The Analects and why Confucius says, “If we do not yet understand life, how can we understand death?” (Wei Zhi Sheng, Yan Zhi Si, 未知生, 焉知死).

5 The Path to Happiness After setting the pursuit of happiness as our goal, we must then consider the way to achieve it. However, the path is never one that materializes in front of us, waiting for us to walk through. It is rather the integration of all subjective and objective conditions. For example, if one desires to climb up to the top of Mount Hua, if he has enough energy and plenty of time, he can climb the mountain step by step on foot. But if he lacks exercise and is in a hurry, he will prefer to take a cable car. Thus, the

12

See Footnote 11. These two correspondences are not completely fixed. In the saying that “there are three delight things for gentlemen” in The Mencius, the word “delight things” refers to joy rather than gladness.

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5 The Path to Happiness

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path to reach one’s goal are the conditions to achieve this purpose. Then what are the conditions to achieve happiness? If we want to achieve happiness in an era dominated by utilitarianism, the first task is to realize that happiness is not equal to the sum of material circumstances. Without spiritual activities, one cannot have a happy life. Of course, we should not revert to the opposite end either. Happiness is not only a subjective mood, without any connection to the outside world. Without the material conditions of our lives, spiritual activities will be abstract and illusionary. Confucius has a simple saying concerning happiness: Eating plain food and drinking water, having only your bent arm as a pillow – certainly, there is joy to be found in this! Wealth and eminence attained improperly concern me no more than the floating clouds.14

In this paragraph, Confucius points out the minimum material foundation of happiness, which is the necessary condition of attaining it. In his praise of Yan Hui, Confucius also mentions this minimum material foundation using other words: What a worthy man was Yan Hui! Living in a narrow alley, subsisting on a basket of grain and gourd full of water – other people could not have endured such hardship, yet it never spoiled Hui’s joy. What a worthy man was Hui!15

Confucius cannot accept the idea that happiness is merely a subjective mood. Without a material foundation, happiness is just an illusion. I would like to make a comparison of several historical records of Confucius’ suffering in the state of Chen (陈) and the state of Cai (蔡) to show that the reasoning in The Analects is concise and concrete. When Confucius was besieged in the state of Chen, all the provisions were exhausted, and his followers were so weak from hunger that they could not even stand. Upset, Zi Lu appeared before the Master and said, “Does even the nobleman encounter hardship?” The Master said, “Of course the nobleman encounters hardship. The difference is that the petty man, encountering hardship, is overwhelmed by it.”16

This anecdote can be summed up simply; Confucius says that the noble gentleman has a strong will when encountering difficulties, even if he is not happy to be in the situation. In contrast to this reaction, Confucius’ response is exaggerated in the chapter entitled Rang Wang in The Zhuangzi 《庄子·让王》 ( ). Confucius was in distress between the state of Chen and the state of Cai. For seven days, he ate no properly cooked food but only a soup of greens without any grain in it. His face became drawn with fatigue, but he sat in his room playing the lute and singing. Yan Hui was outside picking vegetables, and Zi Lu and Zi Gong were talking with him. “Our Master was twice driven out of the state of Lu,” they said. “They wiped out his footprints in the state of 14

In The Analects 7.16. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 97. In The Analects 6.11. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 87. 16 In The Analects 15.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 161. 15

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1 Human Nature and the Way of Heaven: The Philosophy of Confucius Wei, chopped down a tree on him in the state of Song, made trouble for him in Shang (商) and Zhou (周), and are now besieging him here at the state of Chen and the state of Cai. Anyone who kills him will be pardoned of all guilt, and anyone who wishes to abuse him is free to do so. Yet he keeps playing and singing, strumming the lute without ever letting the sound die away. Can a gentleman be as shameless as all this?” Yan Hui, having no answer, went in and reported what they had said to Confucius. Confucius pushed aside his lute, heaved a great sigh, and said, “Those two are stupid men! Call them in here—I’ll talk to them.” When Zi Lu and Zi Gong had entered the room, Zi Lu said, “I guess you could say that all of us are blocked in this time.” Confucius said, “What kind of talk is that! When the nobleman gets through to Dao, this is called ‘getting through’ (Tong, 通). When he is blocked off from Dao, this is called ‘being blocked’ (Qiong, 穷). Now I embrace Dao of benevolence and righteousness and, with it, encounter the perils of the age of disorder. Where is there any ‘being blocked’ about this? So, I examine what is within me and I am never blocked off from Dao. I face the difficulties ahead and do not lose my virtue. When the cold days come and the frost and snow have fallen, then I understand how the pine and the cypress flourish. These perils here in the state of Chen and the state of Cai are a blessing to me!” Confucius then turned complacently back to his lute and began to play and sing again. Zi Lu excitedly snatched up a shield and began to dance, while Zi Gong said, “I did not realize that heaven is so far above, earth so far below!”17

Confucians use the pine and the cypress trees, which are the last to fade in winter, as a metaphor for the nobleman who never loses his courage even after encountering difficulties. However, the description of Confucius’ pleasure in this desperate situation must be exaggerated. Some later Confucians tried to imitate these exaggerated behaviors. They believed their words and behaviors could help boost the morale of ordinary people and thus were helpful for the reputation of Confucianism. But in fact, their actions, to the contrary, betrayed Confucianism. Access to basic material conditions, like plain food and drinking water, are necessary for human self-preservation. All livings have the impulse to preserve themselves. This tendency can be found even in lifeless items. For example, I slightly press a bottle in my hand, but its shape bounces back, which shows that the bottle “refuses” to be changed by me. Thus, the bottle keeps its present condition. The proposition that everything tends to maintain its condition can be understood as the philosophical expression of Newton’s First Law of Motion. But human beings are not satisfied by achieving their basic needs. Many people want to “spend the entire day filling themselves with food, never once exercising their mind” (Bao Shi Zhong Ri, Wu Suo Yong Xin, 饱食终日, 无所用心). Confucius criticizes this tendency and says that it is better to play chess and gamble than to ( waste the time like this.18 In the chapter entitled Gong Ye Chang in The Analects 《 论语·公冶长》 ), there is a story: Zai Yu (宰予) was sleeping during the daytime (Zhou Qin, 昼寝). The Master said, “Rotten wood cannot be carved, and a wall of dung cannot be plastered. As for Zai Yu, what would be the use of reprimanding him?”19

See Qian Mu 钱穆, Zhuangzi Zuanjian 《庄子纂笺》 ( ), Beijing, Jiuzhou Press, 2011, p. 238. In The Analects 17.22. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 181. 19 In The Analects 5.10. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 78. 17 18

6 To Establish Character and Be Prominent

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Throughout history, commenters of The Analects tried to explain the word Zhou Qin (昼寝) in many different ways because sleeping during the daytime, which of course is not good, is not an act that should be so harshly criticized by Confucius. But if we accept Confucius’ basic value and his attitude to life, we will understand why he criticizes Zai Yu for being undisciplined so harshly. Nowadays the idea that the nature of human beings is to escape from labor and to enjoy ease is still popular. Strangely, this idea, which has never been substantiated, still has its adherents in the post-Enlightenment era. “The whole world is as if engulfed in a great flood” (Tao Tao Zhe Tian Xia Jie Shi Ye, 滔滔者天下皆是 也), impartial and clear minds are rare. Do human beings have the tendency to avoid labor and pursue leisure? A simple thought experiment can give us the answer. If we provide a person with the best living conditions and food supply, but we forbid him from doing anything meaningful, would anyone accept a life like this? Observe people addicted to gambling. They experience great pleasure and even forget their tiredness. If we think a little, it is very easy to understand that what we want to escape from is forced labor. Thus, in an ideal society, people will not give up working. Instead, they will attend to the labor for which their skills and characters are suitable and their honor is satisfied.

6 To Establish Character and Be Prominent As human beings, we desire to achieve self-actualization in addition to selfpreservation. In the minds of most people, self-actualization is equal to wealth and eminence. Confucius does not reject wealth or eminence, but he thinks that achieving it is a matter of fortune. He says that: If I can gain wealth by making an effort to do something, then I will pursue it, even if it means serving as a coachman holding a whip. If I cannot gain the wealth even if I try very hard, then I prefer to follow that which I love.20

Because achieving wealth and eminence is not something within our control, what we should pursue to achieve our self-actualization, instead, are the virtues that we can work towards. “If I simply desire benevolence, I will find that it is already here.” (Wo Yu Ren, Si Ren Zhi Yi. 我欲仁, 斯仁至矣).21 The fact that some causality exists in the world of experience leads to the mistaken impression that the laws of causality are certain. But that is not true. Let us take the principle of conservation of mass as an example. On the one hand, the equal of reactant and product cannot be measured in any experiment, and on the other hand, even if we had measured the quantity in one experiment, we still could not prove that this principle is universal and eternal. To be precise, causal connections in the world of experience are not certain, but rather only highly likely. True certainty exists only 20 21

In The Analects 7.12. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 96. In The Analects 7.30. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 100.

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inside the human mind. Only that which we pursue, we will achieve, but there is no certainty that we can achieve all that we wish. However, it is certain for all of us that if we do not want to do something, we can absolutely refuse it. Human beings achieve their happiness through self-preservation and selfactualization. To some extent, we can even say that the basic content of happiness is self-preservation and self-actualization. Most of the time, self-actualization is based on self-preservation, but they sometimes conflict. In some extreme circumstances, when self-preservation conflicts with self-actualization, Confucius thinks that we should choose self-actualization. He says that “a nobleman will never seek to live at the expense of injuring benevolence. He would rather sacrifice his life to realize benevolence.”22 In an era when most people have no courage and live ordinary lives, those who value integrity and righteousness are often laughed at. It seems that only a few passionate people make sacrifices while others live without thinking about life’s meaning. However, as Mencius said, “not only the noblemen have this consciousness, but so does everyone. The noblemen, however, can maintain it.”23 In fact, we all hope to build up an excellent character. No matter how weak one is, he cannot accept himself as a person who will do anything to live. Since no one can accept themselves as a people who would betray others, we all thus have the consciousness that we are willing to make sacrifices for our careers or for others. It seems that some conflicts are unavoidable when we try to achieve out self-actualization. For example, in a chess match, the winner achieves his selfactualization, but the loser fails to do the same. But this is not quite true. In chapter Yong Ye of The Analects 《论语·雍也》 ( ), Confucius says: A benevolent man, wishing to establish his own character, also establishes the character of others, and wishing to be prominent himself, also helps others to be prominent. Being able to take what is near at hand as an analogy could perhaps be called the method of realizing benevolence.24

In Zhu Xi’s (朱熹) annotation to this chapter, he says that “by saying ‘to take what is near at hand as an analogy’, Confucius asks his disciples to think of others when they desire something. That is to say, when you want something, you should realize that others probably want that too and then help others to get it as well. So, this is called the method to achieve benevolence.”25 Zhu Xi’s emphasis on thinking about others is correct. Besides, if we read this paragraph carefully, we can also know that to establish the character of others and to help others to be prominent are methods to establish one’s own character and to be prominent oneself. In other words, people achieve self-actualization by helping others. Possessing the illusion that we are indivisible individuals who are independent of others and developing individualist theories based on this mistaken idea is the root of our era’s sickness. We can easily see that wrong behaviors caused by misguided 22

In The Analects 15.9. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 163. In The Mencius 6A.10. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 333. 24 In The Analects 6.30. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 92. 25 Ibid. 23

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thoughts. Those thoughts are so misguided that they can hardly be a guide for our behavior. For example, many people think that human beings should be selfish, but we cannot be selfish in all our actions. Those who claim that they do not care for others do not really live a completest selfish life. The reason lies in the fact that it is wrong to regard any person as an individual atom, and thus separate him from others. According to our common sense, selfish people are not happy. To the contrary, people who have the willingness to share and the enthusiasm to devote themselves to their career are more likely to be happy. The people who care about themselves too much are always afraid of losing everything. As Confucius says, “Before such a person has obtained an official position, all that concerns him is getting one; once he has gotten one, all that concerns him is hanging onto it. And if he is concerned about hanging onto it, there are no extremes to which he will not go.”26 Other people are not truly separate from me. We can explain this proposition in three respects. Firstly, my self and others are ontologically dependent. If others did not exist, then neither would my own self. Secondly, every person understands his “self” in contradistinction to others. Each person’s character is formed during a process of comparing ourselves to others, so every person’s character includes reference to the character of others. For example, even if a writer doesn’t care about how other receive his work, he must still consider his potential readers’ ability to comprehend. Even the Daoist philosopher Zhuang Zi (庄子), perhaps the loneliest writer in history, writes for readers who will understand him after ten thousand years.27 Thirdly, everyone achieves his or her self-actualization by helping others to achieve theirs. Since other people are not truly separate from me, then for others to be well off contributes to my own well-being. In a game of chess, it may seem that the loser does not achieve his self-actualization. However, in a high-level game, the uncertainty of winning is precisely the point. If the players have no chance of losing, then winning the game will be meaningless, and will not help him or her achieve self-actualization. Zhu Xi, in his annotations to the above passage, says that if one treats others the same as he treats himself, we will know that he is benevolent. Thus, The Principle of Heaven (Tian Li, 天理) is everywhere because of the ultimate unity of others and our selves. This is the best description of benevolence.”28 The key to recognizing this universality (as The Principle of Heaven requires) and rejecting selfishness (as human desire (Ren Yu, 人欲) tends towards) is to break the isolation of others and our selves. These two notions—The Principle of Heaven and human desire—were more commonly discussed in the philosophical movement known as Neo-Confucianism in the Song Dynasty, but the meanings of the two notions are connected to Confucius’ thought. If you understand that others are not separate from you, you will understand the meaning of benevolence. Human beings possess, in their nature, the tendency to pursue happiness. The basic contents of happiness are self-preservation and self-actualization. For all people, our 26

In The Analects 17.15. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 179. In chapter The Equality of Things and Opinions from The Zhuangzi 《庄子·齐物论》 ( ), see Qian Mu, Zhuangzi Zuanjian, 2011, p. 22. 28 In The Analects 17.15. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 92. 27

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self-actualization is based on other people’s self-actualization. In other words, our self-actualization includes the self-actualization of others. Thus, establishing one’s own character and becoming prominent by helping others establish their character and helping others to be prominent, is at the basis of human beings. This tendency can be expressed by the key notion of Confucius’ philosophy—benevolence. In a word, benevolence is the foundation of human nature.

7 Dialogues About Benevolence In The Analects, there are many dialogues in which Confucius talks about benevolence, but offers his disciples many different opinions. Therefore, the Cheng brothers—Cheng Hao (程颢) and Cheng Yi (程颐) who lived during the Northern Song Dynasty—asked their disciples to “collect all of Confucius’ sayings about benevolence and study them together, learning the meaning of benevolence by practicing it in daily life.”29 As I have mentioned above, when we read The Analects, we should pay attention to the background and context of each dialogue. When Confucius guides his disciples, he always pays attention to his disciples’ comprehension abilities and directs them step by step. Thus, we cannot regard all his simpler pieces of advice as important as others. Among Confucius’ disciples, Yan Hui is the most talented one. As a result, we need to pay much more attention to the two sections of dialogue between Confucius and Yan Hui than other passages.30 Yan Hui asked about benevolence. Confucius said, “To master oneself and return to the rituals is benevolence. If a man can, for one day, master himself and return to the rituals, all the people under heaven will praise him as a benevolent man. The practice of benevolence emanates from one’s self (Wei Ren You Ji, 为仁由己). Does it emanate from others?”31

In Zhu Xi’s commentary, “To master oneself” is understood as “To dominate one’s human desire”, which is, of course, a popular notion discussed in Song Dynasty NeoConfucianism, and “benevolence” is interpreted as the complete virtue of one’s mind. Although his explanation is interesting and inspiring, it is probably not a suitable clarification in accordance with context. In this paragraph, “To master one’s self” (Ke Ji, 克己) is closely related to “To depend on one’s self” (You Ji, 由己), and that is the key to comprehending benevolence. When talking about “Mastering one’s self,” our first question is who should master his self. Following this question, we will find that the self is divided into two parts: the self that will master, and the self that will be mastered. The self that will be mastered can be understood as the passive part of the self. Thus, “To master oneself” is to let the active part control the passive one. Therefore, we can draw a preliminary See Cheng Hao 程颢 and Cheng Yi 程颐, The Complete Works of the Cheng Brothers (Er Cheng Ji,《二程集》 ), Beijing, Zhonghua Press, 2004, p. 183. 30 In The Analects 12.1 and 15.11. See Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 163–164. 31 In The Analects 12.1. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 131. 29

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conclusion: A benevolent man is a person who can make the active part of himself control the passive part of himself. The opposite of “To depend on oneself” is to depend on others, which means one is not free. It seems that there is a conflict between “Mastering oneself” and “Depending on oneself,” however, this is not the case. Since only the person who depends on himself can be a benevolent person, a benevolent person must be a free man. A free man is one who can master himself. In conclusion, the meaning of “To master one’s self” is completed in the meaning of “to depend on one’s self.” They both insist that human beings need to be active by letting the active part of the self control the passive part. We can finally conclude that benevolence is the expression of human activeness (Zhu Dong Xing, 主动性), and the benevolent man is one who has fully actualized his activeness. However, the concept of activeness is very complicated. On the one hand, activeness and passiveness emerge collectively, and each contains the other. On the other hand, activeness and passiveness are always transforming into their opposite. For example, if a person actively plans to pursue a certain goal, his actions will be active, but his actions are also passive because they are determined by his goal. So, what is activeness? I have talked about the difference between true certainty and regular connections in the world of experience previously, and mentioned that regular connections in the world of experience are never certain but rather only highly possible. When people decide to peruse something that is merely possible, they will be partially passive. Only when people pursue true certainty can they actualize true activeness. “If I simply desire benevolence, I will find that it is already here.” Only the actions which I can truly decide are active. Benevolence, in Confucius’ thought, means to let our activeness decide and control our passivity. Let us discuss the relationship between “Mastering one’s self” and “Returning to the rituals.” As for those who can master themselves but cannot return to the rituals, Zhu Xi has a number of profound sayings. He says, “The people who can master themselves but cannot return to propriety exist, so Confucius insists not only to master one’s self but also to return to propriety. Confucius then asks Yan Hui not to look unless it is in accordance with the rituals, not to listen unless it is in accordance with the rituals, not to speak unless it is in accordance with the rituals, not to move unless it is in accordance with the rituals because the way we master ourselves is to return to the rituals. Buddhist monks conduct the practice of mastering themselves too. However, even if they can eliminate human desire, they never return to the rituals. Confucius emphasizes the importance of returning to the rituals because if we only try to master ourselves, we will eliminate human desire and give up social lives as Buddhist monks do.”32 As I have said before, benevolence is the expression of human activeness, and a benevolent man is a person who has fully actualized his activeness. Rituals are usually taken to set the scope of the norms of conduct. Is the person who uses the norms of conduct to guide his behaviors still an active person? If a person who achieves real activeness was one who must avoid all the influences caused by contingency, he would then eliminate all human desire and live a lonely life in the mountains and forests like a Buddhist monk. The so-called “activeness” 32

See Li Jingde 黎静德ed, Zhu Zi Yu Lei 《朱子语类》 ( ), Beijing, Zhonghua Press, 1986, p. 1045.

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gained by cutting off all the connections with the outside world, avoiding all of its influences is an abstraction. Only in a situation where a person faces his unavoidable connections with others can this person actualize his activeness and freedom by letting his activeness control his passiveness. The rituals, in my understanding, are our sense of formality in everyday life, offering meanings to all of our actions. Compared with the richness of our lives, the rituals actively provide structure. We all experience the same basic content of our lives—such as eating and drinking, feeling happy and sad. Rituals provide these with proper forms. For example, if you speak according to the rituals, your speech will be polite, otherwise, your speech may be rude or flirty. We cannot find a united and universal standard of being proper. Ancient standards may be unacceptable in modern society. Rituals, if we think of them as customs and common sense well accepted in a society, are the sum of behaviors which are praised. In general, conduct which follows the rituals can provide the two people who are connected by those conducts with ease. Of course, irrational elements exist in these customs. For example, we Chinese have the tradition of burning fake paper money during the memorial ceremony for our ancestors. Although burning fake paper money is useless and thus irrational, if a Chinese person, even if he is an extremely rational person, abandons this ritual, he will feel unsettled in his heart for a long time. To act in accordance with what the rituals require, even if the rituals are not reasonable, requires our activeness. And human activeness is actualized in this proactive obedience to the rituals. That is why benevolence is not only “To master one’s self” but also “To return to the rituals.” Human beings can only actualize their activeness in daily lives by following the rituals. The actualization of one’s activeness is the completion of his selfactualization. As I have mentioned before, we establish our own character and try to be prominent by helping others establish their character and by helping others to be prominent. In other words, the actualization of our activeness is a collective process. To complete others is to love them, so the benevolent man spreads love. Fan Chi asked about benevolence. Confucius says, “It is to love men.”33

It is wrong to equal benevolence with love. If that were the case, Confucius would not have discussed benevolence in such a complex way. The Cheng brothers said that “A benevolent man must love others; however, love is not the whole of benevolence.”34 What a correct judgment this is! A benevolent man completes others and of course, he completes himself, too. So, the benevolent man enjoys happiness. Confucius says, “One who is not a benevolent man cannot endure adversity for long, nor can he enjoy happiness for long. A benevolent man is naturally at ease with benevolence. A wise man cultivates benevolence for its advantage.”35

33

In The Analects 12.22. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 139. See Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 1173. 35 In The Analects 4.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 69. 34

8 What Does Heaven Say?

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In Zhu Xi’s annotations to this paragraph, he says that “A man who is not benevolent loses his original mind, so if he is in adversity for long, he will do all evil things, and if he is in happiness for long, he will indulge in all guilty pleasure.”36 No matter if they are rich or poor, people in this era are not happy. The reason is that we have all lost our original minds; thus, we have lost our ability to truly experience life. People are numbed by their comfortable lives. If they are at ease in peaceful lives for long, facing no challenges, they start to be tired of repetition. This is an illusion indeed! It is almost impossible for two particles to meet twice in this tremendous universe. But we human beings can create different circumstances when we are led by our minds and we can arrive at the places we would like to go and meet the people we would like to talk to through those circumstances. Isn’t this a miracle? Sometimes our parting is a permanent separation. Many people start to realize that they were happy only after they lose something. A heart that loses its activeness is a heart that loses its basic sensations. Neo-Confucian scholars believed that benevolence is the state when a person has the ability to sense and can reflect on their external experiences. Although Confucius never said that directly, this idea is based on Confucian principles. Since Zhong Gong (仲弓) was also one of the outstanding disciples of Confucius,37 we must pay attention to the following dialogue, too. Zhong Gong asked about benevolence. Confucius said that “when in public, comport yourself as if you were receiving an important guest, and in your management of the common people, behave as if you were overseeing a great sacrifice. Do not impose upon others what you yourself do not desire. In this way, you will encounter no resentment in your public or private life.”38

The first two points of Confucius’ words imply that we should learn to respect, which is a crucial method to help us activate our minds.

8 What Does Heaven Say? Confucius’ sayings regarding Heaven and destiny are rare in The Analects. As Zi Gong says, “We can hear our Master’s views on culture and its manifestation, but we cannot hear his views on human nature and the Way of Heaven.” In some of Confucius’ discussions, Heaven is like a person who has superpowers and controls all human beings. He says that “Once you have incurred the wrath of Heaven, there is no one to whom you can pray for help” and “If there is anyone who could understand me, perhaps it is Heaven”.39 Perhaps these words are merely some proverbs popular 36

Ibid. Confucius has ten best disciples under four titles (Si Ke Shi Zhe, 四科十哲). Zhong Gong owns the title of “having good virtue” (De Xing, 德行). In The Analects 11.3. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 123. 38 In The Analects 12.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 132–133. 39 In The Analects 3.13 and 14.35. See Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 65, 157. 37

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in his era, like how we say “I swear to God.” What we should analyze are two passages in which Confucius talks about Heaven and destiny in depth. The Master was surrounded in Kuang (匡). He said, “Now that King Wen (文王) is gone, is not culture now invested here in me? If Heaven intended this culture of ours to perish, it would not have given it to those of us who live after King Wen’s death. Since Heaven did not intend that this culture of ours should perish, what can the people of Kuang do to me?”40 Gongbo Liao (公伯寮) submitted an accusation against Zi Lu to the head of the Ji Family ( 季孙). Zifu Jingbo (子服景伯) reported this to Confucius, adding, “That master — the Lord of the Ji Family — has certainly been led astray by Gongbo Liao, but my influence with him is still sufficient to see to it that Gongbo Liao’s corpse is displayed at court or in the marketplace.” Confucius said, “Whether or not the Way of Heaven is to be put into action is a matter of destiny. Whether or not the Way of Heaven is to be discarded is also a matter of destiny. What power does Gongbo Liao have to affect destiny?”41

In these two paragraphs, Heaven and destiny are basically treated as the same, meaning the “power” that human beings cannot challenge. Heaven and destiny have higher activeness than individuals. Confucius does not present his attitudes towards the relationship between human beings and Heaven directly. So, we must speculate from some related paragraphs in The Analects. The Master says, “How great was Yao (尧) as a ruler! So majestic! It is Heaven that is great, and it was Yao who modeled himself upon it. So vast! Among the common people, there were none who were able to find words to describe him. How majestic in his accomplishments, and glorious in cultural splendor!”42

As a sage, Yao must have fully actualized the nature of human beings. In Confucius’ mind, since the virtue of Yao is modeled upon Heaven, human nature corresponds naturally to the Way of Heaven. Confucius’ understanding of Heaven can be seen in the following paragraph. The Master sighed, “I desire to not have to speak!” Zi Gong responded, “If the Master did not speak, then how would we younger ones receive guidance from you?” The Master replied, “What does Heaven say? Yet the four seasons are put in motion by it, and the myriad creatures receive their life from it. What does Heaven say?”43

In this dialogue, by saying “The four seasons are put in motion by it”, Confucius wants us to pay attention to the changes in our world caused by Heaven. In his view, everything is created and changed because of Heaven. Human nature is also rooted in these Heaven’s changes and creations.

40

In The Analects 9.5. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 110. In The Analects 14.36. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 158. 42 In The Analects 8.19. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 107. 43 In The Analects 17.19. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 180. 41

Chapter 2

Becoming Useful with the Basis of Non-being: The Philosophy of The Laozi

Regarding the life of Lao Zi (老子), there are quite comprehensive records in Sima Qian’s Records of the Grand Historian (Shi Ji,《史记》 ). “Lao Zi’s hometown is Quren Community (曲仁里), Li Village (历乡), Ku County (苦县) of the state of Chu (楚). His family name is Li (李), given name Er (耳), and literary name Dan ( 聃). He was a custodian of imperial archives. Lao Zi explored the Dao and cultivated his virtue, and his learning is about living in seclusion and anonymity. After living in the capital city of the Zhou Dynasty (周) for a long time, upon seeing Zhou’s decline, Lao Zi finally decided to leave. When he came to Hangu Pass (函谷关), Xi (喜), a guard leader, asked him to compose a book. Thus, Lao Zi wrote a book with two volumes, elaborating the Dao and virtue in around five thousand words. Lao Zi left after finishing the book, without anybody knowing where he went.”1 Based on this record, we can draw a number of conclusions. Firstly, Lao Zi, who was a little bit older than Confucius, is not a fabricated character, but rather a historical person. Secondly, Confucius met Lao Zi. Thirdly, The Laozi 《老子》 ( , also known as the Dao De Jing,《道德经》 ) which has two chapters, and around five thousand words, is Lao Zi’s work. However, there are some other odd descriptions besides the paragraph I have included above in the biography of Lao Zi in the Records of the Grand Historian in which the stories of Lao Lai Zi (老莱子) and Taishi Dan (太史 儋, who lived more than one hundred years later than Confucius) were confused with Lao Zi’s. The linage of Lao Zi was included after those stories. “Lao Zi had a son named Zong (宗), who is a general of the state of Wei (魏) and was awarded the land of Duangan (段干) after his death.” Qian Mu (钱穆) believes that this is ridiculous. He says, “The establishment of the state of Wei was in the Warring States Period (475 B.C.–221 B.C.). If Lao Zi was older than Confucius, who died in 479 B.C., how could his son become a general of the state of Wei? If there was a general who was

Sima Qian 司马迁, Records of the Grand Historian (Shi Ji,《史记》 ), Beijing: Zhonghua Press, 1982, pp. 2139–2141.

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awarded the land of Duangan, he would perhaps be as old as Confucius’s grandson Zi Si (子思). There is the name Duangan Chong (段干崇) recorded in the History of Warring States (Zhan Guo Ce,《战国策》 ). Duangan Zong (段干宗) may be an erroneous conflation with Duangan Chong. But Duangan Chong lived in the reign of the King An Xi of Wei (魏安釐王, 276 B.C.–243 B.C.), so he must be younger than Taishi Dan’s son and could not have been Lao Dan’s son. Perhaps the Li family in the Han Dynasty had a relationship with the Duangan family in the Warring States Period.”2 Qian Mu even believed that Lao Zi, Lao Lai Zi, and the old man Zi Lu met who carried a pole with a basket (He Diao Zhang Ren, 荷蓧丈人) recorded in The Analects (18.7) is the same person who was a hermit in the south of China, and that the story of Confucius’ visit with Lao Zi was derived from the meeting of Zi Lu and the old man recorded in The Analects.3 As we can see, Qian Mu even doubted whether Lao Zi was a historical figure. Although I believe that Qian’s opinion is too radical to be taken as fact, we have to admit that there are not many reliable sources about Lao Zi, even in Sima Qian’s (司马迁) time. The meeting of Confucius and Lao Zi is not recorded in The Analects, however, it seems to be true because there is a dialogue between them recorded in The Zhuangzi. “Shushan Wuzhi (叔山无趾) asked Lao Zi why Confucius, who is not a sage at all, came to learn from him?”4 Not all events and people recorded in The Zhuangzi are real, but Zhuang Zi did not need to make up the relationship between Confucius and Lao Zi and other similar events. Scholars rarely accept Sima Qian’s conclusion in the Records of the Grand Historian that The Laozi was written by Lao Zi himself. Modern Chinese scholars have done a lot of work dating The Laozi. Although scholars still have no certain answer to this question, most of them do not simply accept Sima Qian’s opinion. I think the compilation of The Laozi occurred later than the compilation of The Analects. When the compilation of The Analects was completed, Zeng Shen, the youngest disciple of Confucius, had already died. Since Lao Zi was older than Confucius, he could not have witnessed the compilation of The Laozi. We cannot distinguish Lao Zi’s thought from that of his disciples’, so technically that which we will discuss is the philosophy of The Laozi, rather than the philosophy of Lao Zi.

1 Beginning with the First Chapter of The Laozi The Laozi is unique among pre-Qin classical texts because of its elaborate structure. For example, after its first sentence, “The Dao that can be spoken of is not the eternal Dao; The name that can be named is not an eternal name,”, the meaning of being (You, 有) and of non-being (Wu, 无) are discussed in a parallel fashion, demonstrating to readers a clear and strictly symmetrical structure. Thus, we must read The Laozi with an understanding of its structure. Qian Mu, Zhuanglao Tongbian 《庄老通辨》 ( ), Beijing: Sanlian Press, 2002, pp. 20–21. Qian Mu, Zhuanglao Tongbian, 2002, p. 19. 4 Qian Mu, Zhuangzi Zuanjian, 2011, p. 44. 2 3

1 Beginning with the First Chapter of The Laozi

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Among the texts discovered at Mawangdui (马王堆), there are another two editions of The Laozi. In both editions, the section entitled “De Jing”《德经》 ( , Chapters 38–81) appears before the section entitled “Dao Jing”《道经》 ( , Chapters 1–30). But we cannot deny the importance of the first chapter. If we wish to understand the structure of the philosophy of The Laozi, the first chapter is still the key text. However, the first chapter of The Laozi is extremely controversial. Scholars have many diverse answers on how to read it and what exactly does it means. Many people pay all their attention to the first sentence—The Dao that can be spoken of is not the eternal Dao; The name that can be named is not an eternal name—and want to grasp the entire meaning of Lao Zi’s philosophy directly from it. In my opinion, the first sentence is only about the boundaries of language in philosophy. The ultimate being (i.e., Dao) is a key topic in philosophy, but it cannot be fully described by linguistic concepts (i.e., names). Of course, we cannot go too far in the other direction, because if we abandon language, we will have no method of performing philosophy. One heated debate concerning the first chapter of The Laozi is how to read the second sentence. Some think that it should be read as “Non-being is the beginning of heaven and earth; Being is the mother of all things” (无, 名天地之始; 有, 名万 物之母) while others think that it should be read as “The nameless is the origin of heaven and earth; The named is the mother of all things” (无名, 天地之始; 有名, 万 物之母). Historically, the scholar Wang Bi (王弼) supported the latter (we will call it explanation A) while Wang Anshi (王安石, 1021–1086) agreed with the former (we will call it explanation B).5 If one read the sentence as “the named is the mother of all things”, i.e., supporting explanation A, he must read the following sentence as “Let there always be the desire so we may see its outcome” (常有欲, 以观其徼) according to the structure of The Laozi. It would be strange for Lao Zi to encourage people to express their desires, so some commenters believe that the sentences should be read as “Being is the mother of all things” and thus “Non-being is the beginning of heaven and earth”. For example, Yu Yue (俞樾, 1821–1907), a famous scholar in the Qing Dynasty, said that Sima Guang (司马光, 1019–1086) and Wang Anshi explained this sentence correctly. “The word Chang (常) should be read as Shang (尚), meaning to think highly of,” Yu said, “the following sentence means that if one thinks highly of non-being, he will see the beginning of everything and if one thinks highly of being, he will see the accomplishment of everything.”6 Some scholars agree on this opinion even after the discovery of the Mawangdui manuscripts.7

5

Wang Anshi says, “the origin of Dao is non-being, so in the state of non-being, the beginning of all things can be observed clearly. And, the function of Dao is manifested in all beings, so the completion of all things can be observed clearly from all beings.” Cf. Chen Guying 陈鼓应, Laozi Zhuyi Ji Pingjie 《注译及评介》 ( ), Beijing: Zhonghua Press, 1984, p. 57. 6 Yu Yue 俞樾, Zhuzi Pingyi 《诸子平议》 ( ), Shanghai: Shanghai Book Store, 1988, p. 143. 7 Yan Lingfeng (严灵峰) says, “if a person often has the desire, he will not be in the state of nonbeing so he cannot observe the beginning of all things. Although the texts in the two editions in the Mawangdui manuscript are ‘let there always be the desire, so the accomplishment of all things can be observed’ (Heng You Yu Ye, Yi Guan Qi Suo Jiao, 恒有欲也, 以观其所噭), there should not be a word Ye (也). The text should still be ‘beings are the manifestations of the accomplishment of all

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In fact, since the discovery of the Mawangdui manuscripts, this long-lasting dispute stemming from the Song Dynasty has been solved. In both editions of The Laozi in the Mawangdui manuscripts, this sentence is written as “let there always be no desire so we may see the beginning, and let there always be desire so we may see the outcome” (故恒无欲也, 以观其妙; 恒有欲也, 以观其徼).8 Because there is a word Ye (也) after the word Yu (欲), explanation B is proved to be wrong. But here arises another problem. What does the expression “let there always be desire” (常 有欲) exactly mean? Without a correct interpretation of the sentence, we will still leave the problem unsolved. According to our common sense, “let there always be desire” is opposite to Lao Zi’s philosophy, and Lao Zi, who advocates acting without intentional action (Wu Wei, 无为) must suggest that people should eliminate their desires. However, this is not quite true. The concept Wu Yu (无欲, meaning let there always be no desire) appears in The Laozi only three times. The first time is in the controversial Chapter 1. The second time is in Chapter 3, and the third time is in Chapter 57. In Chapter 3, when Lao Zi says “Let your people always have no knowledge and no desire” (Shi Min Wu Zhi Wu Yu, 使民无知无欲), his audience must be his ideal rulers—the sages. Sages let their people have no knowledge or desires so that even the wise ones of them will dare not rebel. However, Lao Zi does not ask the sages themselves to have no knowledge or desires. In Chapter 57, when Lao Zi says, “I have no desires and the people are naturally simple” (Wo Wu Yu Er Min Zi Pu, 我无欲而民自朴), it shows that he only requires the sages to control their desire. As an ideal ruler, a sage should “be simple and reduce his desires” (Shao Si Gua Yu, 少私寡欲, in Chapter 19) and “should not be dissatisfied, extravagant, or arrogant” (Qu Shen, Qu She, Qu Tai, 去 甚、去奢、去泰, in Chapter 29). In conclusion, what Lao Zi proposed is not the elimination of one’s desires but rather the control of our desires. As I have mentioned before, we Chinese only believe in the secular world and work within this realm. Since the secular world is the only world that exists, we Chinese will not try to eliminate all desire. Neo-Confucians requested that people should “follow The Principle of Heaven and reduce human desires” (Cun Tian Li, Qu Ren Yu, 存天理, 去人欲), but they never demanded people eliminate all desires. Thus, what exactly does the phrase “Wu Yu” (without desires) mean in the first chapter of The Laozi? If we notice that when Lao Zi recommends people to “let there always be desire”, his aim is to “see the outcome” (Guan Qi Jiao, 观其徼), we will understand that “let there always be desire” is just the condition to allow us to “see the outcome.” Therefore, “Lao Zi recommends that people lack the desire to see the beginning of all things,” according to Wang Bi, “and to have the desire to see the accomplishment of all things.”9 The saying “letting there always be desire” is neither an unconditional

things.’ (Heng You, Yu Yi Guan Qi Suo Jiao, 恒有, 欲以观其所噭)” see Gao Ming 高明, Boshu Laozi Jiaozhu 《帛书老子校注》 ( ), Beijing: Zhonghua Press, 1996, p. 225. 8 Gao Ming, Boshu Laozi Jiaozhu, 1996, p. 224. 9 See Lou Yulie 楼宇烈, Wangbi Ji Jiaoshi《王弼集校释》 ( ), Beijing: Zhonghua Press, 1980, pp. 1– 2.

1 Beginning with the First Chapter of The Laozi

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requirement nor a contradictory declaration to Lao Zi’s philosophy. Lao Zi wants people to use “letting there always be desire” as the means to “seeing the outcome.” But, what is “the outcome”? To understand it, we need to first explore another important concept in The Laozi—usefulness (Yong, 用). There are at least five chapters in The Laozi in which the concept of usefulness plays a key role. (1) “Dao is empty (like a bowl), and it may be used but its capacity is never exhausted.” (Dao Chong Er Yong Zhi Huo Bu Ying, 道冲而用之或不盈, in Chapter 4). (2) “It is continuous, and seems to always exist. Use it and you will never wear it out.” (Mian Mian Ruo Cun, Yong Zhi Bu Qin, 绵绵若存, 用之不勤, in Chapter 6). (3) “Therefore, turn being into advantage, and turn non-being into usefulness.” (You Zhi Yi Wei Li, Wu Zhi Yi Wei Yong, 有之以为利, 无之以为用, in Chapter 11). (4) “Weakness is the usefulness of the Dao.” (Ruo Zhe Dao Zhi Yong, 弱者道之用, in Chapter 40). (5) “What is most full seems to be empty, but its usefulness is inexhaustible.”. (Da Ying Ruo Chong, Qi Yong Bu Qiong, 大盈若冲, 其用不穷, in Chapter 45). There are two other related concepts—Qi (器, thing) and Cheng (成, completion or perfection). Lao Zi says, “The great thing (or talent) is slow to be completed (or mature)” (Da Qi Wan Cheng, 大器晚成, in Chapter 41). He also says, “What is most perfect seems to be incomplete, but its usefulness is unimpaired,” (Da Cheng Ruo Que, Qi Yong Bu Bi, 大成若缺, 其用不弊, in Chapter 45) and “When the uncarved wood is broken up, it turns into concrete things. But when the sage uses it, he becomes a leading official”. (Pu San Ze Wei Qi, Sheng Ren Yong Zhi Ze Wei Guan Zhang, 朴散则为器, 圣人 用之则为官长, in Chapter 28). From these sentences, we can see that Cheng (成, completion or perfection), Qi (器, thing), and Yong (用, utility) are always closely related. When Lao Zi says the word Cheng he usually refers to the conclusion of things. And things achieve their perfection only by being used. In conclusion, Lao Zi wants people to “let there always be no desire” to “see the beginning” of all things and to “let there always be desire” so we may “see the perfection” of them. No matter whether we have a desire or not, what are important are the methods of observation and the states of a subject. All things contain their own natural rhythm, so if one wants to see the beginning of all things, he should extinguish his desires. With his desires, he will interrupt the natural growth of things. For example, the more profit a farmer desires, the more fertilizer he will use to increase production. In this capitalist society, this situation is very common. However, excessive desire will only bring us fake and illusionary intentions and will eventually destroy our lives. Nowadays, more and more “artificial ideas” and goals are produced in education. These doctrines are invented but most of their creators have no experience in education, and desire only to make money. After the invention of many new ideas, a simple fact has been forgotten—education is an experience with thousands of years of history and most of its basic principles have been discovered long ago. Children educated under the guidance of new educational ideas can hardly surpass their parents because children will grow up naturally and vitally if they are not put in artificial environments. As for “the outcomes of things,” we need to have the desire to see them. Things need to be used, and if something is used by someone, the person must have a concrete desire. The utility of a thing is confirmed in its usage. Chinese people value only

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the secular world, so Chinese philosophers seldomly develop any theories about the world of ideas. For them, an abstract substance in a transcendent world without any utility (i.e., not related to the desire of human beings) is unnatural. As we can see, there are two clues in the philosophy of The Laozi—beginning (Sheng Zhi, 生之) and completion (Cheng Zhi, 成之). Let us take a look at Chapter 51 of The Laozi. Dao produces them (i.e., the ten thousand things). Virtue fosters them. Matter gives them physical form. The circumstances and tendencies complete them. Therefore, the ten thousand things esteem Dao and honor virtue. Dao is esteemed and virtue is honored without anyone’s order. They always arise spontaneously. Therefore, Dao produces them and virtue fosters them. They rear them and develop them. They give them security and give them peace. They nurture them and protect them. Dao produces them but does not take possession of them. It acts but does not rely on its own ability. It leads them but does not master them. This is called profound and secret virtue.10

All of the key terms of The Laozi can be seen in this chapter. And we can see that the two themes of this chapter are “beginning” and “completion.”

2 Being is Born from Non-being The beginning of things is discussed in both Chapters 40 and 42 of The Laozi. Reversion is the action of the Dao. Weakness is the utility of the Dao. All things in the world come from being. And, being is born from non-being (You Sheng Yu Wu, 有生于无).11 Dao produced the one. The one produced the two. The two produced the three. And the three produced the ten thousand things. The ten thousand things carry the Yin (阴) and embrace the Yang (阳), and through the blending of Qi (Chong Qi, 冲气) they achieve harmony.12

If you have read The Laozi before, these two paragraphs will be familiar to you. They seem easy to understand. But if you read carefully, you will find they are in fact difficult to interpret. Let us examine the first paragraph. After reading it, we are left with two direct conclusions. (1) Being (You, 有) is derived from non-being (Wu, 无). (2) “The ten thousand things under Heaven” (Tian Xia Wan Wu, 天下万物) are not equivalent to “being.” But in some chapters of The Laozi, “The ten thousand things” and “beings” are treated as equivalent. For example, in Chapter 11, in proving that carriages, implements, and rooms would lose their utility without the presence of non-being, Lao Zi claims that we can “turn being into advantage, and turn non-being into usefulness”. Thus, carriages, implements, rooms, and “being” are equivalent, at least in this chapter. The second paragraph quoted above is more confusing than the first. According to the text, there are five phases in the process of the creation of things (Wu Zhi 10

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 136–137. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 109–110. 12 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 117. 11

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Sheng, 物之生); Dao, the one, the two, the three, and the ten thousand things. But if we read backwards from the last sentence to the first, we can confirm that all things cannot exist without Yin, Yang, or the blending of Qi. In Chapter 4, Lao Zi says that “Dao is empty (like a bowl); it may be used but its capacity is never exhausted.”13 In Chapter 45, he also says that “what is most full seems to be empty, but its usefulness is inexhaustible.”14 The word Chong (冲, the blending of something) means emptiness here, which is opposed to fullness. Thus, without the transformation and interaction of Yin and Yang and emptiness and fullness, the ten thousand things would not exist. Among these processes, the interaction of Yin and Yang is one we can sense, but that of emptiness and fullness (of Qi) is not. In fact, Dao, the one, and the two are not three phases that appear one by one. The one cannot give birth to the two, and moreover, if they are three continuous phases, the one, would vanish after its transformation into the two, meaning it would not exist and could not affect things. In The Laozi, no things can exist independently without the one. In Chapter 39, it is said that: On the topic of those in antiquity who obtained the one: Heaven obtained the one and became clear. Earth obtained the one and became tranquil. The spiritual beings obtained the one and became divine. The valley obtained the one and became full. The ten thousand things obtained the one and lived and grew. Kings and barons obtained the one and became rulers of the empire. What made them so is the one. If Heaven had not thus become clear, it would soon crack. If the Earth had not thus become tranquil, it would soon be shaken. If the spiritual beings had not thus become divine, they would soon wither away. If the valley had not thus become full, it would soon become exhausted. If the ten thousand things had not thus lived and grown, they would soon become extinct. If kings and barons had not thus become honorable and high in position, they would soon fall.15

None of the ten thousand things can leave the one and exist independently. Since the one is with every of the ten thousand things, we cannot say that the one transforms into ten thousand things and vanishes. In Chapter 25 of The Laozi, it is said that: There is something undifferentiated and yet complete, which existed before Heaven and Earth. Soundless and formless, it depends on nothing and does not change. It operates everywhere and is free from danger. It may be considered the mother of the universe. I do not know its name; I call it Dao. If forced to give it a name, I shall call it The Great (Da, 大).16

Therefore, Dao existed before Heaven and Earth so that it depends on nothing. Moreover, Dao is the foundation of everything and expresses itself in the existence and transformation of all things. In Chapter 42, Dao (i.e., the one) is non-being, while the two, the three, and the ten thousand things are beings. These three concepts—Dao, the one, and non-being— describe different aspects of the substance (Ben Gen, 本根) of the ten thousand 13

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 10. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 123. 15 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 105–106. 16 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 63. 14

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things. The two, the three, and the ten thousand things are alternate descriptions of the existence of things. Everything contains contradictory aspects within itself; this is the two. Contradictory aspects continuously affect each other and transform into their opposites, from which we find one unity and its two opposites; this is the three. All things are being, but all things are different. Therefore, the idea in Chapter 42 is like Lao Zi’s idea in Chapter 40—“Weakness is the utility of the Dao.” To be precise, the word Sheng (生, to produce) in Chapter 42 should not be translated as “give birth to” (i.e., Dao “gives birth to” the one, and so on). Its meaning is akin to “exist as” or “letting something exist as” (i.e., Dao lets the one exist as the one). Only with this interpretation do we understand that the one and the two are related rather than separated, and so are being and non-being. Based on the discussion above, we can go further in analyzing the proposition that “being is born from non-being.” In The Laozi, being is closely related to nonbeing because the essence of a being is the contradistinctions within it. All concrete things possess attributes such as color, weight, temperature, shape, and so on. The essence of all attributes is their distinction from all other attributes. When we say a thing is white, we know it cannot simultaneously be green or red. The state of being white is a finite confirmation, but also indicated infinite negation—negation of the states of being green or red—at a given time. In this way, all attributes are contradistinctions. Therefore, all finite confirmations emerge from infinite negation. But here arises the question—can these infinite negations, which are the origin of all finite confirmations, be regarded as one existence? As I have said, the state of being one color, such as white, emerges from the infinite denial of the possibility of existing as any other color, such as red, green, yellow, and so on. But can we regard the infinite negation of all other colors as one independent existence? In my opinion, if these negations constituted one independent existence, it would contain affirmative content. But all affirmative content comes from infinite negations. Therefore, these infinite negations lack affirmative content, and are therefore pure negativity. Because they lack affirmative content, they do not constitute one independent existence, thus, they can only be called “the one” (Yi, 一). And, because they are pure negativity, they can be called non-being (Wu, 无). Since there is no affirmative content in non-being, it cannot be grasped by any of our senses. In Chapter 14 of The Laozi, it is said that “we look at it and do not see it; its name is the invisible (Yi, 夷). We listen to it and do not hear it; its name is the inaudible (Xi, 希). We touch it and do not find it; its name is the subtle (Wei, 微). These three cannot be further examined, and hence merge into one.”17 Since it is not sensible, it is called the mysterious (Xuan, 玄). Since all the distinctions and attributes which make beings possible come from non-being, non-being is also called The Great (Da, 大). Non-being, then, which is the root of all distinctions, contains no distinctions itself, so it is called the one. According to Chapter 25, the one and non-being are not only the reasons why the two and all beings can exist, but also the reason why they keep changing. All concrete things are combinations of the one and the two, which are independent and are related at the same time. 17

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 31.

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To carve on a piece of stone is an activity of “negativity.” Although the piece of stone is destroyed, a statue is made from it. Non-being is just like that activity of “negativity.” In our colloquial language, “carved by the ax of the ghosts and the god” (Gui Fu Shen Gong, 鬼斧神工) is used to describe the wonders created by nature. And, in chapter The Great Teacher (Da Zong Shi, 大宗师)from The Zhuangzi, it is said that Dao “carves the shapes of all beings” (Ke Diao Zhong Xing, 刻雕众形). All these have the same meaning. All concrete things are “produced” through the action of “negativity.” This “procedure” through which all concrete things are produced is the Dao.

3 Becoming Useful with the Basis of Non-being Not all objects are instruments (Qi, 器). A thing becomes an instrument only when it is used. Therefore, if one wants to turn one’s existence into an instrument, he should prepare the conditions under which the utility of an instrument can be achieved. In Chapter 11 of The Laozi, it is said that: Thirty spokes are united around the hub to make a wheel, but it is upon what does not exist (non-being) that the utility of the carriage depends. Clay is molded to form a utensil, but it is upon what does not exist that the utility of the utensil depends. Doors and windows are cut out to make a room, but it is upon what does not exist that the utility of the room depends. Therefore, we should turn being into advantages and turn non-being into usefulness.18

Non-being is the condition of achieving the utility of all being. The function of all concrete things depends on non-being. As for “beginning” (Sheng, 生) and “completion” (Cheng, 成), a comprehensive explanation is given in Chapter 51 of The Laozi. Dao produces them (i.e., the ten thousand things). Virtue fosters them. Matter gives them physical form. The circumstances and tendencies complete them.19

Gao Ming (高明) believed that the “circumstances and tendencies” (Shi, 势) here should be taken as “implements” (Qi, 器). “A thing must gain its shape at first and then become an implement,” Gao says, “a thing is produced by Dao and then fostered by virtue. When fostered by virtue, it gains its shape and is really achieved as a thing. It then becomes an implement when it is finished.”20 As for the saying that “Dao produces them,” I have provided a detailed explanation. Dao is non-being, so it cannot foster anything. That which Dao produces lives on and help each other; this is how things are fostered. With the accumulation of this process, things begin to take shape. At last, when these things are put in individual circumstances, the things become implements when used. Each usage is defined according to people’s intentions. In other words, human beings can set their intentions subjectively, and 18

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 29–7. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 136. 20 Gao Ming, Boshu Laozi Jiaozhu, 1996, p. 70. 19

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they are not natural. Human beings cannot live without a purpose. These purposes turn things into implements and divide them from the united mass of existence. For example, when iron is used to produce knives, its other irrelevant attributes, besides its hardness and strength, are no longer in the subject of our consideration. To this point, some parts of iron is abandoned when knives are produced from it. Only if we notice that all intentions are being, which is also based on Dao and non-being, can we reveal the unity of nature.

4 He Who Stands on Tiptoe is not Steady In The Laozi, the weak are praised while the strong are criticized. There are many chapters in which the weak are considered stronger than the strong. Two chapters which typify this attitude are Chapters 76 and 78. When a man is born, he is tender and weak. At death, he is stiff and strong. All things, grass as well as trees, are tender and supple while alive. Upon their death, they are withered and dried. Therefore, the stiff and the strong are companions of death. The tender and the weak are companions of life. Therefore, if the army is strong, it will not win. If a tree is stiff, it will break. The strong and the great are inferior, while the tender and the weak are superior.21 There is nothing softer and weaker than water, and yet there is nothing better for attacking hard and strong things. For this reason, there is no substitute for water. All the world knows that the weak overcomes the strong and the soft overcomes the hard. But none can practice this. Therefore, the sage says: He who suffers disgrace for his country is called the lord of the land. He who takes upon himself the country’s misfortunes becomes the king of the empire. Correct words seem to be their opposite.22

In our everyday experience, this seems true. “A whirlwind does not last a whole morning, nor does a rainstorm last a whole day,” but a drizzle may last for months or years. It is acceptable to take these words as mottos to deal with the affairs of our everyday lives; however, these sayings are not universal principles. If we read The Laozi carefully, we will find that those words that teach us the weak is even stronger than the strong should not be understood merely as sayings. Those words, on the contrary, express the essentialness and transcendency of the Dao. Chapter 43 of The Laozi says: The softest thing in the world overcomes the hardest thing in the world. Non-being penetrates where there is no space. Through this, I know the advantage of acting without action. Few in the world can understand teachings without words and the advantage of acting without action.23

People often think that “the softest thing” in this paragraph refers to water. This is logical because in Chapter 78, water is given as an example. But in my opinion, this passage is a little bit different from Chapter 78. In this chapter, “the softest thing” 21

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 185–186. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 187–188. 23 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 120. 22

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can penetrate where there is no space. Water cannot do that. Thus, the softest thing can only be non-being. Without non-being, the strongest thing which has no space within it cannot have any function. For example, when you use a hammer, the space between the hammer and the nail is the non-being that guarantees the possibility of the hammer’s function. The saying that “weakness is the function of the Dao” (Ruo Zhe, Dao Zhi Yong, 弱者,道之用) in Chapter 40 reveals the same conclusion. The philosophy in The Laozi has a close relationship with our daily practice. Since non-being is the foundation of the utility of the ten thousand things, we should pay attention to its role in our lives. Therefore, we should be tender and be humble. In Chapter 24 of The Laozi, it is said that: He who stands on tiptoe is not steady (Qi Zhe Bu Li, 企者不立). He who strides forward does not go. He who shows himself is not luminous. He who justifies himself is not prominent. He who boasts of himself is not given credit. He who brags does not endure for long. From the point of view of the Dao, these are like remnants of food and tumors of action, which all creatures detest.24

If one stands on tiptoe and strides forward, he can see farther and go faster but he will not be able to maintain this for long. This tells us that we should stop before we go to the extreme in doing everything. People are inclined to pursue high positions. This is normal until you cannot handle the situation and it becomes damaging, harming your health and destroying your career. “If you are only able to manage one family or one kingdom, you may not manage it well.” Wang Bi says, “Because if you get exhausted lifting a piece of stone, you will have no more strength to use it.”25 In this prosperous era, everyone is busy dealing with all kinds of work. If you do not leave any space for yourself, you will not have long-term development. A little space for you is beneficial. You will be calm and easygoing if you have hobbies set apart from your utilitarian desires.

5 Acting Without Action For all individuals, the philosophy in The Laozi is about leaving space and living wisely. Its application in politics leads to the proposition that the sages should act without actions (Wu Wei, 无为). I would like to correct some common misunderstandings about the principle of acting without action. Firstly, the claim that the sage should act without action is not exclusive to Daoism. In fact, the first record of this claim is not in The Laozi but in The Analects. Confucius says, “To act without action and yet have the empire well governed, this was the way of Shun (舜)! What did he do? All he did was to make himself reverent and correctly face south in his royal seat as the ruler.”26 As I have mentioned before, the compilation of The Laozi is undoubtedly later than that 24

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 60–61. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 10. 26 In The Analects 15.5. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 162. 25

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of The Analects. Some scholars care very much about the question of whether an ancient philosopher should be considered a Daoist thinker or not. But they forget that the notion of “Daoism” (Dao Jia, 道家) was not invented until the Western Han Dynasty. As far as we know, it is in Sima Tan’s On the Six Schools (司马谈 《论六 家要旨》 ) that the notion of “Daoism” appears for the first time. Daoism is a notion that was created by Han Dynasty scholars to refer to a number of related ideas and doctrines from antiquity rather than a real, self-conscious school that existed in the Eastern Zhou Dynasty. There are no clear lineages or traditions among the so-called Daoist philosophers of the Eastern Zhou. Secondly, “acting without action” is widely accepted as a basic ideology by nearly all ideological schools of the Pre-Qin period. Besides in The Laozi, the claim is also discussed in both The Analects and The Han Feizi. Nearly all schools accept this idea, and merely disagree on each other’s methodology. Confucian scholars believed that if a ruler tries to foster his people’s virtue and form good social customs, he then can act without action. In contrast, Legalist scholars believed that only after having built up an efficient legal system can the ruler act without action. Thirdly, to some extent, acting without action is a general and universal political principle, which can be found in all effective governments. No matter how strong the domination of the government is, the willingness of the people to cooperate is indispensable. Increasing people’s willingness is the key to all governance. There are many chapters which discuss acting without action in The Laozi. Gao Ming has written a very detailed analysis of these sections. “Acting without action is the most important claim and the most valuable virtue within Lao Zi’s philosophy,” Gao says, “and it is discussed eleven times in his five-thousand-word book. They are: (1) The man of superior virtue takes no action, but has no ulterior motive to do so (Chapter 38). (2) Through this I know the advantage of taking no action (Chapter 43). (3) Therefore, the sage knows without going about, understands without seeing, and accomplishes without any action (Chapter 47). (4) The pursuit of learning is to increase day after day. The pursuit of the Dao is to decrease day after day. It is to decrease and further decrease until one reaches the point of taking no action (Chapter 48). (5) I take no action and the people by themselves are transformed. I love tranquility and the people by themselves become correct. I engage in no activity and the people by themselves become prosperous. I have no desires and the people by themselves become simple (Chapter 57). (6) Act without action. Do without doing. Taste without tasting (Chapter 63). (7) He who takes action fails. He who grasps things loses them. For this reason, the sage takes no action and therefore does not fail. He grasps nothing and therefore he does not lose anything (Chapter 64). (8) Therefore, the sage desires to have no desire. He does not value rare treasures. He learns to unlearn, and returns to what the multitude has missed (Chapter 64). (9) Therefore, the sage manages affairs without action and spreads doctrines without words (Chapter 2). (10) [The sage] always causes his people to be without knowledge (cunning) or desire, and causes the crafty to be afraid to act. By acting without action, all things will be in order (Chapter 3). (11) The empire is a spiritual thing, and should not be acted on. He who acts on it harms it. He who holds on to it loses it (Chapter 29). Besides these, there is one more paragraph which

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is not found in the Mawangdui manuscript, which says that “The Dao invariably takes no action, and yet there is nothing left undone” (Dao Chang Wu Wei Er Wu Bu Wei, 道常无为而无不为) (Chapter 37). In both editions of The Laozi from the Mawangdui manuscripts, we only find the description that “acting without action” but in other editions that we usually refer to, we also find another description that “acting without action and yet there is nothing left undone” (Wu Wei Er Wu Bu Wei, 无为而无不为). The latter was a newly created idea from the Warring States Period, which can be regarded as a transformation of Lao Zi’s idea of acting without action. We can find similar expressions in texts such as the outer chapters of The Zhuangzi, The Han Feizi, The Lv-Shi-Chun-Qiu 《吕氏春秋》 ( ), The Huai-Nan-Zi 《淮南子》 ( ), and so on.”27 In my opinion, what Gao says is correct. The basic idea of acting without action is the sage’s imitation of the Dao—nonbeing. The ideal sage-king should be the foundation of others and the condition of their self-achievement, just as what non-being does to the ten thousand things. A sage should not act intentionally because any intentional action will bring his people unnecessary interruption and influence. An ideal sage-king will be there and do nothing on purpose, and his people will know nothing about him except his existence so that they can act freely and achieve for themselves on their own. An ideal sage-king is not a wise man, but a dull one. In Chapter 15 of The Laozi, it is said that: Of antiquity, those who were the best rulers were subtly mysterious and profoundly penetrating; too deep to comprehend. And because they cannot be comprehended, I can only describe them arbitrarily: Cautious, like crossing a frozen stream in the winter. Being at a loss, like one fearing danger on all sides. Reserved, like one wearing makeup. Supple and pliant, like ice about to melt. Genuine, like a piece of uncarved wood, Open and broad, like a valley. Merged and undifferentiated, like muddy water.28

In both editions of The Laozi in the Mawangdui manuscripts, the texts are a little bit different. The saying “Of antiquity those who were the best rulers” is replaced by the saying “Of antiquity those who knew the Dao” and “Reserved, like one wearing makeup” is replaced with “Reserved, like one visiting.” I think the texts in the Mawangdui manuscripts are correct. If a sage-king acts without action, he will be unpredictable. All the metaphors in the paragraph quoted above indicate that the sage’s image is hard to describe.29 Any intentions held by the sage-king will influence the people around him and then all the people under heaven. Those influences will gradually harm people’s pureness and nature. Of course, acting without action is not equal to anarchy. In the philosophy presented in The Laozi, political orders are indispensable. In Chapter 28 of the book, it is said that: When the uncarved wood is broken up, it is turned into concrete things. But when the sage uses it, he becomes the leading official. Therefore, the great ruler does not cut up.30 27

Gao Ming, Boshu Laozi Jiaozhu, 1996, pp. 422–425. See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 33. 29 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 34. 30 See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 75. 28

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The necessity of basic political orders is strongly confirmed by The Laozi. It is furtherly suggested in The Laozi that these orders originate from the Dao. The uncarved wood must be broken up. Thus, what we need to do is to build up a political system which does not harm the nature of the ten thousand things. In Chapter 80 of The Laozi, an idyll is presented to the readers. Let there be a small country with few people. Let there be ten times and a hundred times as many utensils but let them not be used. Let the people value their lives highly and not migrate far. Even if there are ships and carriages, none will ride in them. Even if there are armor and weapons, none will display them. Let the people again knot cords and use them (in place of writing). Let them relish their food, beautify their clothing, be content with their homes, and delight in their customs. Though neighboring communities overlook one another and the crowing of cocks and barking of dogs can be heard, the people there may grow old and die without ever visiting one another.31

In a complicated world, the simple life that is presented in The Laozi seems like a daydream or like faint starlight, which is unrealistic but can comfort us warmly. Since the Dao, i.e., non-being, which is the foundation of ten thousand things, cannot have any positive elements or confirmations within itself, it can never produce any determinate value. The pursuit of nature (Zi Ran, 自然) is an unclear tendency without any defined limitations or standards. We can say that the philosophy in The Laozi is useful, but we can never prove that the theory itself is right. However, a useful philosophy cannot offer any essential defense for the way of civilization.

31

See Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 190.

Chapter 3

Exerting the Mind and Knowing Human Nature: The Philosophy of Mencius

Mencius, whose name was Meng Ke (孟轲) was a great philosopher of the Warring States Period. Even today, researchers cannot confirm his birth date or the date of his death. However, we know for sure that he was active from about 370 B.C. to 300 B.C.. Mencius learned from the disciples of Zi Si, who was the grandson of Confucius. After finishing his education, Mencius visited the state of Qi (齐), the state of Wei (魏), and others to try to persuade their kings to accept Confucian political doctrines. Unfortunately, the rulers of that age paid nearly all their attention to making alliances with other states to survive their endless wars and they disliked Mencius, believing that his teaching was not useful to their states. After trying and failing, Mencius finally returned to his hometown in his later years. He and his disciples, such as Wan Zhang (万章) “explained The Book of Odes and The Book of Documents (Xu Shi Shu, 序 《诗》 《书》 ), developed Confucius’ ideas, and wrote the seven-volume text The Mencius.”1 Zhu Xi speculates that The Mencius was written by Mencius himself. “The Analects, which was compiled by the disciples of Confucius, consist of chapters of different lengths” Zhu says. “But the paragraphs of The Mencius are organized so well. Thus, I assume that the book was written by Mencius himself.”2 Zhu also said, “I suppose The Mencius was written by one person. And it may have been written by Mencius himself. If not written by Mencius himself, how could this book be so fantastic! If it were written by the disciples of Mencius, they would not have died with their names unknown.”3 Zhu Xi arrives at this conclusion from his intensive studies, and I agree with him. The ideas expressed in The Mencius are profound and the connections between its different volumes are strong. The words in this book can touch our hearts directly, cheering us up when we are upset and encouraging the decadent.

Zhu Xi, Mengzi Xushuo 《孟子序说》 ( ), in Sishu Zhangju Jizhu, 1983, p. 197. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 433. 3 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 437. 1 2

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_3

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Living in an era with a considerable number of long-running moral and military disputes, Mencius faced serious theoretical challenges, so he left people the impression that he was an aggressive man who loved to criticize and debate with others. However, he said, “Do I love to debate? No! I just have to do that.”4 In Mencius’ view, all kinds of incorrect doctrines are widely accepted by nearly everyone, so he believed that “to correct people’s minds and to eliminate all heretical beliefs” (Zheng Ren Xin, Xi Xie Shuo, 正人心, 息邪说) was his lifelong duty. Therefore, Mencius was a heroic person rather than a gentle and generous man.5 A disciple of Zhu Xi once asked his master what kind of person Confucius would have been if he had lived in Mencius’s time. “Confucius would still have dealt with things in his own way,” Zhu Xi answered, “But he would have been a little bit stricter.”6 However, in an era when everyone goes with flow, a person like Mencius might be regarded as a person who holds on to the principles too much and is therefore quite strange.

1 The Function of the Mind is to Think Can any philosophy be built upon the basis of sensation and experience? This is a fundamental problem. The uncertainty of sensation is accepted as a given within philosophy. Thus, the conclusions we drawn from our sensations can never be proved as universal principles. Mencius knows the limitations of sensation, so he emphasizes the function of the mind—thinking. He says: When our senses of sight and hearing are used without thought and are thereby obscured by material things, the material things act on the senses and lead them astray. The function of the mind is to think. If we think, we will get them (the principles of things). If we do not think, we will not get them. This is what Heaven has given to us. If we hold the most important thing at first, then the others cannot overcome it. It is simply this that makes a man great.7

Although the theme of this paragraph is the way to foster virtue, it also represents Mencius’s view of thinking. Our senses of sight and hearing are passive because they can only reflect after being stimulated by external things. On the contrary, our mind is active because it can think. “If we think, we will get them. If we do not think, we will not get them.” (Si Ze De Zhi, Bu Si Ze Bu De, 思则得之, 不思则不得) The connection between the action of thinking and its object is certain. But, in Mencius’s philosophy, what kind of connection is certain? The difference between “within myself” (Zai Wo, 在我) and “outside myself” (Zai Wai, 在外) is a clue to answer this question. Mencius says: If through seeking I get it, while through neglect I lose it, this seeking is conducive to obtaining, for what I seek lies within myself. If my seeking is in accordance with the Dao, 4

In The Mencius 3B. see Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 271. See Zhu Xi, Mengzi Xushuo, in Sishu Zhangju Jizhu, 1983, p. 199. 6 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2352. 7 In The Mencius 6A.15. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 335. 5

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yet getting depends on destiny, this seeking is not conducive to obtaining, for what I seek lies outside myself.8

The word “destiny” (Ming, 命) here refers to uncontrolled contingency. If the objects that I seek lie within myself, the connection between my “seeking” and the objects that I seek will be certain. In this way, the objects are not outside my action of seeking. In the paragraph quoted above, Mencius claims that “if we think, we will get them. If we do not think, we will not get them.” Similarly, if the statement is certain, the objects of my thinking must be within my thinking. There is one paragraph in The Mencius, which is similar to Chapter 20 of The Doctrine of the Mean. It can provide evidence of a shared scholarly tradition between Zi Si and Mencius. When those occupying positions below do not gain the confidence of those above, they cannot succeed in governing the people. There is a way to gain the confidence of those above: One who does not inspire the trust of friends will not have the confidence of those above. There is a way to gain the trust of friends: One who does not serve his parents to please them will not inspire the trust of friends. There is a way to please one’s parents: One who turns within and finds himself not to be sincere does not please his parents. There is a way to be sincere within oneself: if one is not clear about what is good, one will not be sincere within oneself. Therefore, to be sincere is the Way of Heaven, and to think about sincerity is the way of humanity(Si Cheng Zhe, Ren Zhi Dao Ye, 思诚者, 人之道也). It has never been the case that one who is sincere has failed to move others, or that one who is not sincere has been able to move others.9

The biggest difference between this paragraph and Chapter 20 of The Doctrine of the Mean is the sentence “to think about sincerity is the Way of humanity”, which is written as “to be sincere is the Way of humanity” (Cheng Zhi Zhe, Ren Zhi Dao Ye, 诚 之者, 人之道也) in The Doctrine of the Mean. In The Mencius, the object of thinking is sincerity. Of course, sincerity is not separate from thinking. To be precise, sincerity cannot be regarded as “the object of thinking.” Instead, sincerity is manifested as we think. Mencius does not talk very much about “sincerity” (Cheng, 诚). The most important section which mentions this topic is in volume 7A of The Mencius. All the ten thousand things are complete in me. To turn within to examine oneself and find that one is sincere – there is no greater joy than this. To dedicate oneself in all earnestness to reciprocity – there can be no closer approach to benevolence.10

This paragraph is very famous but also obscure. In Zhu Xi’s opinion, the expression that “all the ten thousand things are complete in me” (Wan Wu Jie Bei Yu Wo, 万物 皆备于我) indicates that “the principles” (Li, 理) of the ten thousand things exist in my mind. The concept of “principle” is a creation of later philosophers, rather than of Mencius. But, by using this concept, which refers to the fundamental basis in Zhu 8

In The Mencius 7A.3. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 350. In The Mencius 4A.12. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 282. 10 In The Mencius 7A.4. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 350. 9

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Xi’s philosophy, Zhu’s interpretation is still inspiring because it shows that the basis of all things does not exist outside of myself. Since the root of all things is inside me, if I turn within and seek, the sincerity of human beings, which is identical to the sincerity of the Way of Heaven, will be expressed. The sincerity of our thinking has three features: certainty (Que Ding Xing, 确定性), universality (Pu Bian Xing, 普 遍性), and inevitability (Bi Ran Xing, 必然性), which can only be found in inward thinking but not in our sensation of the experiential world.

2 Exerting the Mind and Knowing Human Nature Thinking is the function of our minds, but the mind can stop thinking. Whether we think or not is decided by our autonomy. Without the mind’s thinking, human beings would lose themselves in all sensations and lose our autonomy. The full achievement of thinking—the full achievement of the autonomy of the mind—is what Mencius called “exerting the mind” (Jin Xin, 尽心). Exert the mind and know human nature. He who knows his nature knows Heaven. To preserve the mind and to nourish the nature is the way to serve Heaven. Not to allow any doublemindedness regardless of longevity or brevity of life, but to cultivate one’s person and wait for destiny to take its own course is the way to fulfill Heaven’s Mandate.11

The most common misunderstanding to this paragraph concerns its first sentence—“Exert the mind and know human nature” (Jin Qi Xin Zhe, Zhi Qi Xing Ye, 尽其心者, 知其性也). Scholars have often misunderstood this sentence as “if one exerts his mind, he will know his human nature”. Zhu Xi has written in detail about this.12 Knowing human nature is not the result of exerting the mind, nor is it an activity that happens after we exert the mind. We can exert our minds and know human nature simultaneously because the basic human nature—the essential tendency of human beings—can be fully achieved while the functions of our mind develop independently. Human nature is expressed only in the functioning of the human mind, so we can know it through the activity of “exerting the mind.” But how then can we exert the mind? If one focuses on a concrete thing, what he will learn is only knowledge related to that thing. How can thinking reveal to us human nature? Thus, the only activity through which we can learn about human nature is thinking about the mind itself. The object of this thinking is the activity itself, so it is certain that we will receive our answer. Inward thinking is not empirical, so it possessed certainty. Without relying on any empirical objects, this activity is transcendent and universal. Human nature is certain, universal, and inevitable tendency of the mind. Its inevitability is not empirical, so it is not like the inevitability we refer to when we say a heavy item will inevitably fall when it lacks support. Its inevitability is 11

In The Mencius 7A.1. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 349. Zhu Xi says, “we should pay attention to the word Zhe (者) in this sentence. One can exert his mind only if he knows his human nature. To know one’s human nature is the thing that should be done first.” Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 1422.

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transcendent rather than empirical. The achievement of this inevitability is based on the autonomy of the mind. To be precise, this inevitability is the expression of the autonomy of the mind. This inwards thinking is the expression of the certainty, universality, and inevitability of the active tendencies of the mind. Therefore, we can “exert our mind and know human nature” simultaneously. The second sentence—“He who knows his nature knows heaven” (Zhi Qi Xing, Ze Zhi Tian Yi, 知其性, 则知天矣)—is different from the previous one. It means that if one knows his nature, he will know Heaven. However, Mencius does not tell his readers why. Thus, we must search for the answer in the following discussions. Knowing the certain, universal, and inevitable essential tendency of the mind is not the same as the achieving in our everyday lives. Therefore, “To preserve one’s mind and to nourish one’s nature” is a necessity. Mencius regards it as to serve heaven. “To serve” (Shi, 事) means to respect and to obey. Thus, humans are passive in face of Heaven. This is a key point for readers to understand that if one knows his nature, he will know Heaven. If one would like to “fulfill his Heaven’s Mandate,” what he should do is to “preserve one’s mind and nourish one’s nature” throughout his life. Here, Heaven’s Mandate is quite different from destiny. Compared with human nature (Xing, 性), both destiny (Ming, 命) and Heaven’s Mandate (Tian Ming, 天命) indicate that this is a calling, something that we have to do. Mencius says: It is due to our nature that our mouths desire sweet tastes, that our eyes desire beautiful colors, that our ears desire pleasant sounds, that our noses desire fragrant odors, and that our four limbs desire ease and comfort. But it is also dependent on destiny whether these desires are satisfied or not. The nobleman does not claim that these (matters of destiny) are due to nature. Benevolence in the relationship between father and son, righteousness in the relationship between ruler and minister, rituals in the relationship between guest and host, wisdom in the worthy and the sage with regard to the Way of Heaven — these are endowed in people in various degrees according to destiny. But there is also man’s nature. The nobleman does not (refrain from practicing them and) say they are matters of destiny.13

The tendencies for our mouths to desire sweet tastes and for our eyes to desire beautiful colors are inborn. But because of destiny, the actualization of these desires is outside of our control. Thus, strictly speaking, those tendencies cannot be called our nature. We are required to foster the virtue of benevolence in the relationship between father and son and the virtue of righteousness in the relationship between ruler and minister. However, these requirements are not opposed to our natural tendencies. That is why the nobleman does not say they are matters of destiny. Heaven’s Mandate is an absolute order from heaven. In The Doctrine of the Mean, it is said that “what Heaven imparts to man is called human nature” (Tian Ming Zhi Wei Xing, 天命之谓性). Human is passive in face of the Heaven, and this is shown in the essential tendency of human beings. If one understands this passive tendency, he will know human nature and thus understand Heaven.

13

In The Mencius 7B.24. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 369.

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3 Human Nature is Good By “exerting one’s mind and knowing human nature,” Mencius shows us how to discover the essential tendency of the goodness inside human beings. For Mencius, the claim that human nature is good (Xing Shan Lun, 性善论) is not an assumption used as a foundation for human moral life. On the contrary, the content of that claim is a fact that he can prove to be true. Su Shi (苏轼), a famous literatus from the Northern Song Dynasty, offers an interesting comment on Mencius’ claim. He says: Mencius said, ‘human nature is good,’ so Xun Zi (荀子) came to refute him and said ‘human nature is evil.’ After that, Yang Xiong (扬雄) disagreed with both of them and said ‘human nature is a mixture of good and evil.’ Mencius said that human nature is good, so Xun Zi had to say that it is evil, and Yang Xiong had to say that it is a mixture. If one thinker cares more about the uniqueness of his claim than the profundity of it, all kinds of claims will be made one after another. Confucius seldom spoke about human nature and never gave any certain judgment about it. Mencius learned from Zi Si’s books, however, Zi Si only recorded Confucius’ sayings, so Mencius’ idea of human nature is based on Confucius’ doctrine. Although Mencius understood Confucius correctly, his expression of Confucianism was misleading. His powerful and aggressive claim about human nature made him the target that everyone else in the world wanted to take aim at. We can even say that Xun Zi and Yang Xiong made their incorrect claims because of the faults in Mencius’ argument.14

Su Shi did not believe that human nature is evil. In other words, Su accepted Mencius’ idea but thought that it should be expressed in a different way. He believed that after hearing Mencius’ imperfect expression, contrarians would deliver confusing statements to attract followers. In conclusion, Su also believed that human nature is good, but he thought that Mencius’ unsatisfying expression, which would lead to meaningless disputes, should be abandoned. In fact, the solution to the debate about whether human nature is good or evil is to find the basis of morality in human beings. If the good does not correspond with the essential tendency of human beings, morality must be an artificial creation. If this is the case, ethics are conventional and historical, and disputes on whether human beings are good or evil are meaningless. Mencius believed that the reason people should choose to live morally is that this choice is made in accordance with human nature and thus with the Way of Heaven. That is why if someone does something evil, we will say, in our everyday language, that he is not doing what human beings should do. Mencius, who claims that human nature is good, does not say that all people are good all the time, so it is not fair to criticize him by pointing out bad deeds committed all around us. In Mencius’ second debate of his four with Gao Zi (告子), which are the most famous passages in The Mencius, he offers his most complete presentation of the claim for the goodness of human nature. Gao Zi said, ‘Man’s nature is like whirling water. If a breach in the pool is made on the east, the water will flow to the east. If a breach is made on the west it will flow to the west. Man’s nature is indifferent to good and evil, just as water is indifferent to east and west.’ 14

Su Shi, The Works of Su Shi (Su Shi Wen Ji,《苏轼文集》 ), Beijing: Zhonghua Press, 1986, p. 95.

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Mencius said, ‘Water, indeed, is indifferent to the east and west, but is it indifferent to high and low? Man’s nature is good just as water naturally flows downward. There is no man without this good nature; neither is there any water that does not flow downward. Now you can strike water and cause it to splash upward over your forehead, and by damming and leading it, you can force it uphill. Is this the nature of water? It is the forced circumstance that makes it do so. Man can be made to do evil, for his nature can be treated in the same way.’15

In this debate, Gao Zi uses the whirling water as a metaphor. Distinct from the willow tree, which is used as a metaphor in the first debate between Gao Zi and Mencius, whirling water is more active and better illustrates what he views as our innate tendencies. Gao Zi believed that just like the whirling water, humans lack any particular essential tendencies. Using the same metaphor, Mencius points out that there are certain essential tendencies in both whirling water and human nature. You can find the tendency if you change the direction of the flow. The sentence “There is no man without this good nature” (Ren Wu You Bu Shan, 人无有不善) cannot be understood as that men are all good, because the following sentence that “There is no water that does not flow downward” (Shui Wu You Bu Xia, 水无有不下), which possessed the same structure in Chinese, cannot be understood as claiming that water always flows from high to low. A drop of water can be tossed from low to high, but it still possessed the tendency to naturally flow downward. Similarly, a man can do evil things, but his essential tendency is toward the good. A drop of water does not naturally fly to great heights. If it moves upward, it must be in a circumstance where it is forced. Similarly, if a man does something evil, he must be put in a circumstance where he is forced to do it. Confucius thinks that people have similar natures, and the differences in their behaviors can be attributed to their upbringing and habits. As we can see, Mencius, whose theory has the same structure as Confucius’ theory, was obviously influenced by Confucius. Among all four of Mencius’ debates with Gao Zi, the third one is the most confusing. Gao Zi said, ‘What is inborn is called nature.’ Mencius said, ‘When you say that what is inborn is called nature, is that like saying that white is white?’ Yes. Then is the whiteness of the white feather the same as the whiteness of snow? Or, again, is the whiteness of snow the same as the whiteness of white jade? Yes. Then is the nature of a dog the same as the nature of an ox, and is the nature of an ox the same as the nature of a man?16

Sima Guang discussed this debate specifically in his thesis Questions on Mencius (Yi Meng,《疑孟》 ). He writes, “When Mencius asks if the whiteness of the white feather is the same as the whiteness of snow, Gao Zi should say that they have the same 15 16

In The Mencius 6A.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 325. In The Mencius 6A.3. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 326.

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color but different natures. Feather is light, snow is fragile, and jade is hard. Mencius would not ask the following question if Gao Zi didn’t simply reply ‘yes.’ Mencius is too eloquent.”17 Sima Guang’s last sentence shows that he does not think that Mencius provides his readers with an acceptable proof. But I think this comment is not entirely fair. It is true that in this debate Mencius focuses on responding to Gao Zi’s idea and offers few direct proofs of his own. But we should also notice that Mencius has done this in the previous two debates. In Sima’s opinion, Gao Zi should not agree with the second assertion. However, as far as I am concerned, the first “yes” is more important. After Gao Zi presents his idea, Mencius induces him to accept the equivalence of two propositions: (1) what is inborn (Sheng, 生) is called nature (Xing, 性) and (2) white is white. In Classical Chinese, the word Sheng (birth, 生) and the word Xing (nature, 性) have the same meaning and they are exchangeable. Otherwise, those two propositions would be obviously different. Gao Zi, who knows the word Sheng and the word Xing are equivalent, fails to distinguish the tiny differences between the two propositions in Mencius’ question, so he cannot succeed in the debate after his initial agreement. In Mencius’ argument, if the whiteness of all white things is the same, the inborn nature of all creatures should be the same, too. The absurdity of the conclusion—that the inborn nature of all creatures is the same—indicates to us that the premise—what is inborn is called nature—is absurd. Sima Guang does not aim at this point at all. A historian can hardly avoid making mistakes when he tries to do philosophy. In fact, if one accepts Gao Zi’s idea that what is inborn is called nature, he can infer that the nature of humans, dogs, and oxen are not different. We can see this clearly in the fourth debate between the two thinkers. At the beginning of the debate, Gao Zi says that “the appetite for food and sex is human nature,” which can be regarded as an explanation about his proposition that what is inborn is called nature. Mencius does not comment directly on this influential saying because he has proved that if one believes what is inborn is human nature, he will have to admit that there is little difference between humans and animals. Mencius does not respond directly here because he has finished the third debate. Besides, we can also understand Mencius’ attitudes toward this proposition in another paragraph—6B.1 of The Mencius. A man from Ren (任) asked Wuluzi (屋庐子) two questions. If one follows the rituals, he will die of starvation, while if he does not follow the rituals, he will have food. Should he ignore the rituals to eat? If he follows the rituals to go in person to meet his bride, there will be no women who are willing to marry him, while if he ignores the rituals, he will have a wife. Should he ignore the rituals to get married? With regards to these two questions, Mencius says: If one takes a case in which eating is important but following the rituals is not important, why not admit that eating is important? If one regards sex as important and the rituals as not important, why not admit that sex is important? Go and respond to him, ‘If by twisting your brother’s arm and snatching away his food you were able to eat, but by not snatching it you would be unable to eat, would you snatch it away? If by scaling the wall of your neighbor Zeng Zaozhuang 曾枣庄 and Liu Lin 刘琳 ed, Quan Song Wen 《全宋文》 ( ), Chengdu: Bashu Press, 1992, p. 537.

17

3 Human Nature is Good

39

on the east and dragging off his daughter you could get a wife, while by not dragging her off you could not get a wife, would you then drag her off?’18

We can understand Mencius’ criticism of the proposition that the appetites for food and sex are human nature from this paragraph. First, Mencius thinks that nobody can live without food or sex. Second, he does not think that the appetites for food and sex are the entirety of human nature. Third, human nature gives human beings a unique attitude toward food and sex. Human beings can refuse to give into our natures, while animals cannot. This shows that human beings have dignity. “Suppose there are basketfuls of rice and a bowlful of soup. If I obtain them, I may remain alive; if I do not obtain them, I may well die. If they are offered contemptuously, a wayfarer will decline to accept them; if they are offered after having been trampled upon, a beggar will not demean himself by taking them.”19 People want to eat if they are hungry. This is the natural tendency of human beings. But human beings can refuse to follow their natural tendency to live. People usually believe that the virtue of benevolence and righteousness are cultivated and educated after people have been born. But there have always been people willing to die for benevolence and justice. From this, we know that for human beings, there is a more essential pursuit than the pursuit of food and sex. This essential pursuit reveals the essential tendency of human beings. What, to be specific, is the essential tendency of human beings? Mencius thinks that it is the “four sprouts” (Si Duan, 四端). He says: All men possess a heart and mind which cannot bear to see the suffering of others. The ancient kings had this mind and therefore they had a government that could not bear to see the suffering of its people. When a government that cannot bear to see the suffering of its people is ruled by one with a mind that cannot bear to see the suffering of others, governing the state will be as simple as spinning something in the palm of the hand. When I say that all men have a heart and mind which cannot bear to see the suffering of others, my meaning may be illustrated in this way: Now, when men see a child about to fall into a well, they all experience a feeling of alarm and distress, not in order to seek favor with the child’s parents, nor to seek the praise of their neighbors and friends, nor because they dislike the sound of the child’s cries. From such a case, we see that a man without the feeling of sympathy is not a man; a man without the feeling of shame and dislike is not a man; a man without the feeling of respect is not a man; and, a man without the ability to judge right and wrong is not a man. Sympathy (Ce Yin Zhi Xin, 恻隐之心) is the beginning of benevolence; shame (Xiu Wu Zhi Xin, 羞恶之心) is the beginning of righteousness; respect (Ci Rang Zhi Xin, 辞让之心) is the beginning of the rituals; and judgment (Shi Fei Zhi Xin, 恻隐之心) is the beginning of wisdom.20

By describing the circumstance of a man watching a child about to fall into a well, Mencius proves to us the existence and universality of the feeling of sympathy. When men see the child in distress suddenly, they will not judge whether the sympathy to the child is advantageous. This feeling of sympathy, which is universal, is an essential tendency within human beings. Similarly, the feeling of shame, the feeling of respect, and the judgment of right and wrong are also universal. These “four sprouts” are 18

In The Mencius 6B.1. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 338. In The Mencius 6A.10. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 333. 20 In The Mencius 2A.6. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 237–238. 19

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the beginning of the four virtues. In other words, the four virtues are the essential tendencies of human beings, and their expression are the four sprouts. Sima Guang also comments on the theory of “four sprouts.” He writes: Mencius believed that the four virtues come from the four sprouts, so they come from human nature. How can this be untrue? However, what Mencius did not notice is that evil characters, like violence, arrogance, greed, and foolishness, also come from human nature. Mencius knew that the rice comes from the land, but he did not know that the weeds come from the land, too.21

Sima tried to point out that human nature possessed not just the sprout of goodness, but also the sprout of evil. However, I think that Sima does not reach the core of the problem. In fact, evil is the lack of virtue. We often say that the absence of virtue is evil, but we never say that the absence of evil is a virtue. The goodness of our nature, then, is fundamental. The “four sprouts” are only the beginning of virtue, but not the achievement of goodness. Both excesses of the “four sprouts” and their inadequacies will bring about evil. For example, if a man sympathizes with others too much, he will be weak. But if he does not sympathize with others, he will be cruel. Similarly, if a man has too much shame, he will become sentimental. But if he lacks shame, he will be rude.

4 Knowing the Logic of Speech Living in an age when a hundred schools criticized each other (Bai Jia Zheng Ming, 百家争鸣), Mencius fought against all sorts of ideas he viewed as incorrect. He was aware of his situation and his duty to pursue the truth. Sages have ceased to appear. Feudal lords have become reckless and idle scholars have indulged in unreasonable opinions. The words of Yang Zhu (杨朱) and Mo Zi fill the world. If the people in their opinions do not follow Yang Zhu, they follow Mo Zi. Yang advocated egoism, which means a denial of the special relationship with one’s ruler. Mo Zi advocated universal love (Jian Ai, 兼爱), which means a denial of the special relationship with one’s father. To deny the special relationships with the father and with the ruler is to become an animal. Gongming Yi (公明仪) said, ‘In their kitchens, there is fat meat. In their stables, there are fat horses. And yet, the people have a lean and hungry look, and in the wilds, some have died of starvation. This is leading beasts to devour people.’ If the principles of Yang and Mo Zi are not stopped, and if the principles of Confucius are not brought to light, perverse doctrines will delude the people and obstruct the path of benevolence and righteousness. When benevolence and righteousness are obstructed, beasts will be led on to devour men, and men will devour one another. I am fearful about this and defend the way of the former sages by resisting Yang and Mo Zi and banishing their licentious words. Those who espouse deviant views must be prevented from putting them into effect, for what is effective in the mind causes harm in affairs, and what is implemented in affairs causes harm to the government. If a sage should arise again, he would not change my words.22

21 22

Zeng Zaozhuang and Liu Lin ed, Quan Song Wen, 1992, p. 513. In The Mencius 3B.9. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 272.

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The extreme egoism of Yang Zhu fundamentally shook the foundations of society and the state, while the theory and practice of the impartial universal love of Mo Zi hurt the foundation of human relations. There is a very famous motto of Yang’s extreme egoism—“if by pulling out a hair I can benefit the world, I will not do it.” (Ba Yi Mao Er Li Tian Xia Bu Wei, 拔一毛而利天下不为) I think his egoism is not reasonable at all. None of us could live independently from others. The connotation of one’s self always contains an awareness of others. Each self is made for others and by others. For this reason, extreme egoism is not right and cannot work. The theories behind the mottoes of egoism such as “If by pulling out a hair I can benefit the world, I will not do it” and “Après moi, le déluge” (After me, the flood) are not honest. It would very hard for one to truly follow these doctrines. Even the practitioner of Theravada Buddhism who only cares about his own nirvana could not totally comply with these doctrines. It is strange that unreasonable and impractical ideologies prevail! The Mohist disciples advocate universal love and possess a heroic spirit of idealism. It is not fair that Mencius denounces them as beasts. By comparison, the comment in the chapter Tian Xia of The Zhuangzi 《庄子·天下》 ( ) is more restrained. “Anyway, Mo Zi is a true model for the whole world because he doesn’t stop pursuing his ideas until his death. He is a nobleman!”23 Although Mencius’ criticism of Mohism is not fair, we must admit that Mohism is unreasonable and impractical, too. A Mohist disciple Yizhi (夷之) once said that “universal love should be given equally to everyone, and we should start to love universally starting with our parents.” Mencius disagreed and asked, “Does Yizhi really think that a man’s affection for the child of his own brother is just like his affection for the child of his neighbor? … Furthermore, Heaven produces creatures in such a way as to provide them with one foundation, and Yizhi would have two foundations.”24 In fact, as long as Yizhi claims that “we should start to love universally, starting with our parents,” he endorses two foundations—one is our parents, who enjoy more of our love than others, and the other is everyone else, whom we love equally. Our parents are our origin, so they maintain a unique position in our lives. If we treat them equally with every other individual, their uniqueness will be destroyed. If one treats every individual in the world equally with his parents, everyone will “be” his parent and he will eventually have no parents. Though Yang and Mo Zi hold opposite opinions, they are the same in that they cannot face the realities of life honestly. Mencius summarizes what he views as incorrect thoughts into four types. From distorted words, one knows obscuration; from impudent words, one knows what is lost; from deviant words, one knows waywardness; from evasive words, one knows desperation.25

The “four types of wrong words” (Si Ci, 四辞) are also the four steps of wrong thoughts. Zhu Xi said that “In the ‘four types of wrong words,’ each originates from the previous one. If one’s mind is obscured so that he can only see half of the truth, his words will be distorted. For example, Yang Zhu and Mo Zi both see half of the 23

Qian Mu, Zhuangzi Zuanjian, 2011, p. 269. In The Mencius 3A.5. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 262. 25 In The Mencius 2A.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 232. 24

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truth, so neither of them can offer fair arguments. If one’s mind is obscured for a long time, he will be lost and his words will be impudent. After being lost for a long time, he will be wayward and his words will be deviant. After being wayward for a long time, he will be desperate and his words will be evasive, just like Yizhi’s words.”26 Distorted words come from obscured thoughts, so they cannot be universal. However, people who possess these thoughts and words usually cannot realize that but instead incorrectly believe that those thoughts are true everywhere. When facing difficulties, they cheat others through sophistry. However, these distorted words will make not only the readers but also the speakers lost. After getting lost, the speaker will be deviant from the Dao. In extending the wrong doctrine to the universal, there must be some unreasonable points in it, and a rootless truth must be found elsewhere to remedy it. For example, on the one hand, Buddhist teachings lead people to “consider the world and affairs as illusions,” and on the other hand, they encourage their followers “to create a fortune, since this is not against the doctrines of Buddha”. These are obviously evasive words.27 One more thing to be noticed is that Mencius’ teaching to “know the logic of speech” is not only about public discourses, it also shows us the right way to cultivate ourselves. When asked about the differences between his way of maintaining an unperturbed mind (Bu Dong Xin, 不动心) and Gao Zi’s method, Mencius says: Gao Zi says, ‘what is not attained in words is not to be sought in the mind, and what is not attained in the mind is not to be sought in the Qi.’ It is all right to say that ‘what is not attained in the mind is not to be sought in the Qi,’, but it is wrong to say that ‘what is not attained in words is not to be sought in the mind.’28

In Gao Zi’s opinion, to maintain an unperturbed mind, the only thing we need to focus on is the mind. Even if one cannot understand some words, his mind can still maintain unperturbed. Similarly, even if one cannot understand the logic in mind, he doesn’t need to nourish his Qi. Mencius disagrees with Gao Zi’s attempt to regard the mind and Qi as two dependent things. Mencius thinks that if one doesn’t know the logic of what someone is saying, he cannot maintain an unperturbed mind only by controlling it firmly to keep it from being disturbed. If we want to maintain an unperturbed mind, foster virtue, and cultivate ourselves, we must exert the mind and know human nature first.

5 Nourishing One’s Qi In general, there are two approaches for physical and mental improvement through moral cultivation: (1) One can transform his inside mental situations to change his outside physical expression. For example, the Cheng Brothers from the Northern 26

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 1272. See Footnote 26. 28 In The Mencius 2A.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 230. 27

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Song Dynasty said that “knowing more about people and the world is a way to improve your mind. (Wei Yi Li Yi Yang Xin, 惟义理以养心) (2) One can restrict and adjust his body to effect inner improvement. For example, Zhang Zai (张载) from the Northern Song Dynasty said that “the best benefit we can get from learning is that we can change our qualities.” (Bian Hua Qi Zhi, 变化气质) Mencius agrees with both of them. The will is the leader of Qi, and Qi is the material of the body. The will is the highest while Qi comes next. Therefore, I say, ‘Hold firm to the will and never do violence to Qi’ (Chi Qi Zhi, Wu Bao Qi Qi, 持其志, 无暴其气).29

The will is the direction of the mind, and the cultivation of Qi is physical. In Zhu Xi’s explanation, Qi fulfills (Chong, 充) the body. But I do not think so. In The Mencius, the word Chong (充) has the meaning of expansion. “When your ‘four sprouts’ are fully expanded, they will be enough to protect all people in the world. If they are not expanded, they will not be enough even to serve one’s parents.”30 In The Mencius, the body (Ti, 体) is not limited to the figure or flesh. On the contrary, all material existence is the body. Qi is the sensible expression of all human relationships. The word Qi (气) in Qi Xiang (气象, which means atmosphere, scenery, or indication) and Qi Du (气度, which is similar to magnanimity when used to describe people) has this meaning. For example, a self-disciplined person naturally has some elegance in his existence. But an indulgent person often gives the impression of vulgar. Qi cannot be grasped by the senses directly, but it is manifested through changes in material existence. The improvement of a person is always embodied in his attitude towards the people and things around him, and the cultivation of this attitude is the result of accumulation over a long period. Therefore, after arriving in the state of Qi (齐) from Fan (范) and seeing the prince of Qi, Mencius sighed and said, “Living conditions affect one’s Qi, and how a person is raised decides his qualities and dispositions. How important these living conditions are!”31 Moral cultivation cannot be considered to be achieved until it is implemented on the level of body and Qi. The change of Qi is guided by the persistent direction of the mind. Thus, the fundamental method of moral cultivation is to keep the direction of the mind without affecting one’s physical development. The saying “Hold firm to the will and never do violence to Qi” seems flawed, so Gongsun Chou (公孙丑) asked Mencius, “You said that ‘the will is the highest while Qi comes next.’ But, why do you still ask people to ‘hold the will firm and never do violence to Qi’?” Since the persistent direction of the mind is the leader of the accumulation of Qi, which is physical, why do we also need to pay attention to the latter self-cultivation method besides “holding the will firm”? While asking disciples to “hold the will firm,” Mencius also emphasizes that people should “never do violence to Qi,”. Is his emphasis necessary? Mencius said:

29

See Footnote 28. In The Mencius 2A.6. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 238. 31 In The Mencius 7A.36. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 360. 30

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3 Exerting the Mind and Knowing Human Nature: The Philosophy … If the will is unified, it moves Qi, whereas if Qi is unified, it moves the will. Now, when a person stumbles or runs, it is Qi that acts, but it also moves the mind.32

The environment, in which a person is raised for a long time, possessed influence which will change one’s mind. Confucius said, “A nobleman whose will is set on the Dao but who is ashamed of poor clothing and poor food is not worth talking to!”.33 The reason why Mencius only talks about the cultivation of the body but not that of the mind is because other methods except “holding the will firm” (Chi Zhi, 持志) and “preserving one’s mind” (Cun Xin, 存心) should be admitted. Mencius is deeply aware of the harm of over-cultivation. Always be doing something, but without fixation, with a mind inclined neither to forget nor to help things grow. One should not be like the man of Song (宋). There was a man of Song, who, worried that his seedlings were not growing, pulled them up. Having done so, he returned home wearily, telling people, ‘I am tired today – I have been helping the seedlings to grow.’ When his sons rushed out to have a look, they found all the seedlings were withered. There are few in the world who do not try to help the seedlings to grow. Those who believe there is no way to benefit them neglect the seedlings and do not weed them. Those bent on helping them to grow pull them up, which is not only of no benefit but, on the contrary, causes them injury.34

To practice self-cultivation, one should start with knowing the logic of speech (Zhi Yan, 知言) and nourishing one’s Qi (Yang Qi, 养气) rather than keeping the mind calm. By knowing the logic of speech, one can establish the correct direction of the mind. Guided by this persistent direction of the mind, the gradual accumulation of Qi and the cultivation of the body can bring about real change and improvements. This school of pre-Qin Confucianism offers learners simple and effective methods, emphasizing hard work on concrete topics. This is fundamentally different from the approach of meditation, which is clearly influenced by Buddhism and Daoism. A person who merely holds his mind firmly to enjoy an abstract quietness without serious reflections or practices in daily lives is like the man of Song, and so is a person who focuses only on the control of his own consciousness, waiting for mysterious enlightenment. Over-cultivation may even be more harmful than being lost in greediness. As Mencius said, “The one who advances quickly retreats fast.”35

6 A Benevolent Government In an era of conquest, Mencius advocated his idea of a benevolent government (Ren Zheng, 仁政). In Mencius’ view, the foundation of a benevolent government lies in human nature. 32

In The Mencius 2A.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 230–231. In The Analects 4.9. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 71. 34 In The Mencius 2A.2. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 232. 35 In The Mencius 7A.44. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 363. 33

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All men have a heart and mind which cannot bear to see the suffering of others. The ancient sage-kings had this heart and mind and therefore they had a government that could not bear to see the suffering of the people. When a government that cannot bear to see the suffering of the people is conducted by one with a mind that cannot bear to see the suffering of others, the government of the state will be as easy as spinning something around in one’s palm.36

A benevolent government is not a temporary fix to meet certain needs; on the contrary, it is the concrete manifestation of the essential tendency of human beings. Just as the essential tendency of goodness cannot be actualized spontaneously, a benevolent government also requires the effort of a sage-king. In Mencius’ view, the distinction between the ruling class (Zhi Ren Zhe, 治人者) and the ruled people (Zhi Yu Ren Zhe, 治于人者) exists in every state. In a dialogue between Mencius and Chen Xiang (陈相), who holds the opinion that the sages should farm together with his peasants and should cook to feed themselves without accepting others’ food, Mencius asks a series of questions and persuades Chen to accept that an artisan’s work is respectable and cannot be simply finished by a farmer in his spare time. After that, Mencius says: When can the government of the empire be done along with farming? There is the work of great men (Da Ren, 大人) and there is the work of little men (Xiao Ren, 小人). Furthermore, whatever is needed for each person is supplied by the various artisans. If one needed to make the things himself before he used them, this would make the whole empire run about on the road. Therefore, it is said ‘Some labor with their minds (Lao Xin, 劳心) and others labor with their strength (Lao Li, 劳力). Those who labor with their minds (Lao Xin Zhe, 劳心者) should govern and those who labor with their strength (Lao Li Zhe, 劳力者) should be governed.’ Those who are governed support those who govern. This is a universal principle.37

In this paragraph, I think, the word Lao Xin Zhe (劳心者), which directly means those who labor with their minds, and the word Lao Li Zhe (劳力者), which directly means those who labor with their strength, cannot be understood in exactly that way. In Mencius’ view, Lao Xin Zhe (劳心者) are the people who care about the governed people while Lao Li Zhe (劳力者) only care about their own farmland and property. When he says “those who labor with their minds should govern and those who labor with their strength should be governed,” Mencius wants to emphasize that only the people who care about others have the qualifications and capabilities necessary to rule others. On the contrary, no matter how much fortune they have, those who only care about their own farmland and property can never rule. Besides this, Mencius also gives new definitions for the concepts of literati (Shi, 士) and plebeians (Min, 民). He writes: It is only a literatus who is able to have a constant mind despite being without a constant means of livelihood. However, as for the plebeian, if he lacks a constant means of livelihood, he will lack a constant mind, and if he lacks a constant mind there is no dissoluteness, depravity, deviance, or excess to which he will not succumb. If once he has sunk into crime, one responds by subjecting him to punishment — this is to entrap the people. With a person

36 37

In The Mencius 2A.6. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 237. In The Mencius 3A.4. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 258.

46

3 Exerting the Mind and Knowing Human Nature: The Philosophy … of benevolence in a position of authority, how could the entrapment of the people be allowed to occur?38

Those who can always maintain their constant mind and do not change due to changes in material conditions are those who achieve the Dao. As for most ordinary people, they can only maintain their “constant minds” (Heng Xin, 恒心) when they have “constant means of livelihood” (Heng Chan, 恒产). Mencius holds the literati to higher moral expectations and demonstrates a lenient attitude towards ordinary people. If the ruling class cannot give ordinary people a stable material life, there would be no reason to require ordinary people to live up to a higher moral standard. The punishment of those who sink into a crime because they have no livelihood is like deliberately setting a snare to trap and harm the people. A sage-king must put the people’s lives first. Having set this foundation, he then teaches them. It would be extremely immoral to ask people to be ethical while they are still hungry. Therefore, a sage-king will regulate the people’s livelihood (Zhi Min Zhi Chan, 制民之产) to ensure that, above, they have enough to serve their parents and, below, they have enough to support their wives and children. In years of prosperity, they always have enough to eat, and in years of dearth, they can escape starvation. Only then does the sage-king urge the people toward goodness. Accordingly, people will find it easy to comply. At present, the regulation of the people’s livelihood is such that, above, they do not have enough to serve their parents and, below, they do not have enough to support wives and children. Even in years of prosperity, their lives are bitter, while in years of dearth, they are unable to escape starvation. Under these circumstances they will only try to save themselves from death, fearful that they will not succeed. How could they spare the time for the practice of rituals and righteousness?39

Here, we can clearly see Mencius’ inheritance of Confucius’ ideas. Confucius believed that there is a proper order to governing the state—“sufficient food, adequate soldiers, and the people’s trust.” Mencius presents many detailed ideas about benevolent governance. Among them are the moving ideal that “the old men whose hair is white will never be burdened with heavy things on the road” (Ban Bai Zhe Bu Fu Dai Yu Dao Lu, 颁白者不负戴 于道路), also deep criticism of the tyranny of “treating beasts well while ignoring deaths of the people” (Shuai Shou Shi Ren, 率兽食人) and “transferring problems to the neighbors” (Yu Lin Wei He, 与邻为壑). It is worth noting that Mencius did not believe that a benevolent government should blindly reduce taxes. Bai Gui (白圭) said, ‘I want to set the rate of taxation at one part in twenty. What do you think?’ Mencius said, ‘Your way would be the way of the [State of] Mo (貉道). In a country of ten thousand households, would it be sufficient to have only one potter?’ Bai Gui replied, ‘It would not. There would not be enough vessels.’ Mencius said, ‘In the State of Mo, the five grains are not grown; they grow nothing but millet. There are no walled cities, no stately dwellings, no ancestral temples, no rituals of 38 39

In The Mencius 1A.7. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 211. Ibid.

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sacrifice. There are no lords in need of gifts and entertainments, no hundred officers with their subordinates. Therefore, if they were to take one part in twenty, it should be enough. But we live in the Middle Kingdom (Zhong Guo, 中国). Are we to discard human relationships and dispense with nobility? Would that be acceptable? If a state cannot survive with only a few potters, how much less can it endure without nobility? If you wish to make taxation lighter than it was in accordance with the way of Yao and Shun (Yao Shun Zhi Dao, 尧舜之 道), you will be left with a greater Mo and a lesser Mo. If you want to make it heavier than it was according to the way of Yao and Shun, you will be left with a greater Jie (桀) and a lesser Jie.’40

All states have their own operating costs, including social costs, cultural costs, administrative costs, and legal costs. Taxation higher than the appropriate standard is tyranny, while lower than the appropriate standard is the way of Mo, i.e., insufficient governance. In the last paragraph of his book, Mencius concludes with a meaningful sigh: From the age of Confucius down to the present day, it has been more than a hundred years. We are hardly removed from the time of the sage, and so close to the place where he dwelled. Is there then no one? There is no one.41

The expression “we are hardly removed from the time of the sage” reveals Mencius’ complicated beliefs. The length of time between Confucius’ death and Mencius’ birth was only just over one hundred years. Mencius believed the historical prediction that “sage-kings will appear in every five-hundred-years” (Wu Bai Nian Bi You Wang Zhe Xing, 五百年必有王者兴), and this belief makes him somewhat anxious. Mencius’ worries can be read between the lines—will the Dao of the past sages be lost? History, unfortunately, confirms Mencius’ fears. After his death, the essence of Confucianism was gradually buried in the dusty troves of his papers, waiting to be rediscovered one thousand and four hundred years later.

40 41

In The Mencius 6B.10. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 346. In The Mencius 7B.38. See Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 376–377.

Chapter 4

The Way to True Knowledge: The Philosophy of Zhuang Zi

Zhuang Zi (庄子), whose given name was Zhou (周), was a philosopher of the Warring States Period, who lives at the same time as King Hui of Wei (魏惠王) and King Xuan of Qi (齐宣王). We know very little of his life. Most of the stories about him in The Zhuangzi are rumors, anecdotes, and legends. The current edition of The Zhuangzi has thirty-three chapters, including the socalled 7 inner chapters (Nei Pian, 内篇), 15 outer chapters (Wai Pian, 外篇), and 11 miscellaneous chapters (Za Pian, 杂篇). In his Preface to the Classical Explanations (Jingdian Shiwen Xulu,《经典释文序录》 ), Lu Deming (陆德明), a scholar from the Tang Dynasty, wrote, “It is recorded in The Records of Art and Literature of The History of the Han Dynasty 《汉书·艺文志》 ( ) that there are 52 chapters in The Zhuangzi with the annotations of Sima Biao (司马彪, ?–306) and Mr. Meng (孟氏). The words in the book are grotesque, like Shan-Hai-Jing《山海经》 ( ) or the books on the predictions of dreams. Thus, different annotators usually leave out some of the chapters of The Zhuangzi according to their own understanding. Amongst different editions of The Zhuangzi, the 7 inner chapters are basically the same. However, in some editions, the outer chapters are included, but the miscellaneous chapters are missing.”1 In other words, the 7 inner chapters are almost the same in all editions of The Zhuangzi while the outer and miscellaneous chapters were often selected or deleted by different annotators and editors in accordance with their own beliefs. The current edition of the text, which consists of 33 chapters, was compiled and edited by Guo Xiang (郭象). It has always been controversial whether the inner chapters, the outer chapters, and the miscellaneous chapters were written by Zhuang Zi himself. Liu Xiaogan (刘笑敢), in his book Zhuang Zi’s Philosophy and Its Evolution (Zhuangzi Zhexue Jiqi Yanbian,《庄子哲学及其演变》 ), draws the conclusion with convincing and detailed research that the inner chapters were written earlier than the outer chapters and the miscellaneous ones. Because of this, it can be determined

1

See Guo Qingfan 郭庆藩, Zhuangzi Jishi 《庄子集释》 ( ), Beijing: Zhonghua Press, 1961, p. 5.

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_4

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that the 7 inner chapters were written by Zhuang Zi himself.2 As for the outer and miscellaneous chapters, they should not be considered the work of the disciples of Zhuang Zi, but, in my opinion, they are the work of later scholars who wanted to imitate Zhuang Zi. For example, the chapter Qiu Shui 《秋水》 ( ), which is the most famous section of the outer chapters, is the imitation of the chapter The Carefree Excursion (Xiao Yao You,《逍遥游》 ). There are seven paragraphs in The Carefree Excursion, while there are seven paragraphs in Qiu Shui, too. The first paragraph in The Carefree Excursion is about the debate between small and large, while the first paragraph of Qiu Shui concerns the same debate. Moreover, the last two paragraphs of The Carefree Excursion are dialogues between Zhuang Zi and Hui Shi (惠施), while the last two paragraphs of Qiu Shui are dialogues between the same figures. If Qiu Shui was the work of the disciples of Zhuang Zi, it would not have been arranged in this way. My interpretation of Zhuang Zi’s philosophy, then, is based entirely on the 7 inner chapters.

1 The Keyword of Zhuang Zi’s Philosophy: Knowledge Amongst the seven inner chapters of The Zhuangzi, “knowledge” (Zhi, 知) is the most important concept. Among these seven inner chapters, the first paragraphs of six involve propositions related to knowledge. The first paragraph of The Carefree Excursion discusses the problems of big knowledge (Da Zhi, 大知) and small knowledge (Xiao Zhi, 小知). The Fundamentals for the Cultivation of Life (Yang Sheng Zhu,《养生主》 ) begins with the saying that “my life has boundaries but knowing has no boundaries. Thus, to exhaust my limited life to acquire infinite knowledge is harmful.” In the first paragraph of In the World of Men (Ren Jian Shi,《 人间世》 ), it is written that “I hear that people can obtain knowledge by knowing, but I have never heard that people can obtain any knowledge by not knowing.” The first paragraph of The Sign of Virtue Complete (De Chong Fu,《德充符》 ) consists of two sentences concern “understanding one’s heart through knowledge” and “the equality of all knowledge.” The opening sentence of The Great Teacher (Da Zong Shi,《大 宗师》 ) says that “The ultimate knowledge is knowledge about what the Heaven and human do.” The beginning of Fit for Emperors and Kings (Ying Di Wang,《应帝王 》 ) are four questions to which Wang Ni (王倪) lacks sufficient knowledge to answer. Among the seven inner chapters, there are seventeen paragraphs which explicitly discuss “knowledge,” taking about one-third of the whole inner chapters. The problem of knowledge is not only the core problem of Zhuang Zi’s philosophy, but also a hub that connects other concepts and propositions. The concept of the “equality of things and opinions” (Qi Wu, 齐物) and the “carefree excursion” (Xiao Yao, 逍遥) are both based on this. Liu Xiaogan 刘笑敢, Zhuangzi Zhexue Jiqi Yanbian 《庄子哲学及其演变》 ( ), Beijing: China Social Science Press, 1988, pp. 3–32.

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2 Differing Levels of Knowledge

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2 Differing Levels of Knowledge When discussing Zhuang Zi’s thinking on the issue of knowledge, the first thing we must clarify is his classification of the differing levels of knowledge. First, knowledge acquired by sensations must of course be taken into consideration. In The Fundamentals for the Cultivation of Life, Cook Ding (庖丁) says “my senses have come to a stop but my spirit moves where it wants,” which is obviously a statement about knowledge acquired through sensation. Zhuang Zi does not discuss knowledge acquired through purposeful sensation; however, he surely thinks that this kind of knowledge is uncertain. Zhuang Zi says that once he dreamed of being a butterfly and after waking up, he could not distinguish whether the butterfly was in his dream or whether he was a butterfly dreaming that he was Zhuang Zi. His confusion about the boundary between the knowledge we gain from dreaming and being awake reflects the idea that knowledge acquired through sensation is not certain. Second, besides knowledge acquired through sensation, Zhuang Zi also speaks of knowledge of the relationship between things and their principles. Almost half of the first paragraph of The Carefree Excursion is about how a giant bird named Peng (鹏) flies. In order to make his fables reasonable, Zhuang Zi introduces an analogy which appeals to common sense. “If a mass of water is not large enough, it won’t have the strength to support a big boat. Pour a cup of water into a hollow in the floor and a seed will sail on it like a boat. But set the cup there and it will stick fast, for the water is too shallow and the boat too large.”3 Our understanding of the logic underlying sensible phenomena is obviously a type of knowledge that Zhuang Zi cannot ignore. Third, knowledge with normative force is also a focus of Zhuang Zi. An example of this kind of knowledge can be found in the following sentence. “The Dao is hidden by little accomplishments and speech is darkened by vanity. Thus, we have the rights and wrongs of the Confucians and the Mohists. What one calls right the other calls wrong, while what one calls wrong the other calls right.”4 Knowledge of right and wrong is not the only type of knowledge with normative force. Zhuang Zi also talks about the knowledge of what we like and dislike. In The Sign of Virtue Complete, there is a paragraph which says Zhuang Zi “has the form of a man but not the feelings of a man. Since he has the form of a man, he bands together with other men. Since he doesn’t have the feelings of a man, likes and dislikes cannot affect him.”5 In the following paragraph, he mentions that “he doesn’t have the feelings of a man” means that “the man does not harm himself with likes and dislikes.”6 In Zhuang Zi’s opinion, likes and dislikes are not negative. In The Great Teacher, when talking about “the true man” (Zhen Ren, 真人), Zhuang Zi says that “he was one with what he liked and one with what he disliked.”7 From this description, we can understand that even the man at the highest moral level has likes 3

Qian Mu, Zhuangzi Zuanjian, 2011, p. 2. Qian Mu, Zhuangzi Zuanjian, 2011, p. 13. 5 Qian Mu, Zhuangzi Zuanjian, 2011, p. 47. 6 Ibid. 7 Qian Mu, Zhuangzi Zuanjian, 2011, p. 52. 4

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and dislikes. The differences between a true man and an ordinary person is that the true man “does not harm his self with likes and dislikes” and does not incorrectly regard his own likes and dislikes as something objective or universal. There are another two pairs of concepts which constantly repeat in Zhuang Zi’s philosophy: suitable/unsuitable (Ke/Bu Ke, 可/不可) and acceptable/unacceptable (Ran/Bu Ran, 然/不然). A good example of this is a sentence from The Equality of Things and Opinions (Qi Wu Lun,《齐物论》 ). “Things all must be acceptable to some extent; things all must be suitable in some way. There is nothing that is always unacceptable, nothing that is not suitable in any circumstances.”8 It is generally believed that there is no difference between suitable/unsuitable (可/不 可), acceptable/unacceptable (然/不然), and right/wrong (Shi/Fei, 是非). But this is a misunderstanding. Suitable/unsuitable and acceptable/unacceptable are usually used by Zhuang Zi to answer concrete questions. And, suitable/unsuitable is objective while acceptable/unacceptable is subjective. There is no unified standard for whether something is suitable and acceptable because the answers are decided by different individuals and thus are subjective. In The Equality of Things and Opinions, Wang Ni says: Now let me ask you some questions. If a man sleeps in a damp place, his back aches and he ends up half paralyzed, but is this true of a loach? If he sits in a tree, he is terrified and shakes with fright, but is this true of a monkey? Of these three creatures, then, which one knows the proper place to live? Men eat the flesh of grass-fed and grain-fed animals, deer eat grass, centipedes find snakes tasty, and hawks and falcons relish mice. Of these four, which knows how food ought to taste? Gibbons are sought by baboons as mates, moose like the company of deer, loaches play with fish. Men claim that Mao Qiang (毛嫱) and Lady Li (骊姬), who were two extraordinary beauties in legends, were beautiful, but if fish saw them they would dive to the bottom of the stream, if birds saw them they would fly away, and if deer saw them they would break into a run. Of these four, which knows where to fix the standard of beauty for the world? The way I see it, the rules of benevolence and righteousness and the paths of right and wrong are all hopelessly snarled and jumbled. How could I know anything about such discernment?9

We can see from this paragraph that knowledge of whether something is suitable or not is apparently different from the knowledge of benevolence and righteousness. The distinction between small and big is one of the most striking topics in Zhuang Zi’s philosophy. But if we compare the chapter Qiu Shui and the chapter The Carefree Excursion, we will see that the two chapters have different focuses. In the first paragraph of The Carefree Excursion, the comparison of small and big is about little wits (Xiao Zhi, 小知) and great wisdom (Da Zhi, 大知). “Little wits cannot keep up with great wisdom, or few years with many. How would we know that this is so? The morning mushroom knows nothing of twilight and dawn; the summer cicada knows nothing of spring and autumn. They are the short-lived.”10 Of course, the great wisdom that is opposite to the little wits is not real great wisdom because this kind of knowledge is still not independent. In The Zhuangzi, the connection between 8

Qian Mu, Zhuangzi Zuanjian, 2011, p. 15. Qian Mu, Zhuangzi Zuanjian, 2011, p. 20. 10 Qian Mu, Zhuangzi Zuanjian, 2011, p. 2. 9

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dependence (Dai, 待) and knowledge is obvious. In The Great Teacher, he says that “knowing depends on something before it can be applicable, and the trouble is that what it depends on is never fixed.”11 Zhuang Zi chases true knowledge, which is not the opposite of little wits and is not dependent. In other words, this knowledge alone possesses real certainty.

3 Right and Wrong According to Zhuang Zi, the question of right and wrong is based on knowledge which is universal and possesses a normative value. In The Equality of Things and Opinions, Nie Que’s (啮缺) first question to Wang Ni is “Do you know that the right is the thing that universally accepted?”12 Zhuang Zi does not deny that we are able to distinguish whether one concrete item is suitable/acceptable or not, but he does not agree that things exist which are universally accepted as right. Because if “universally accepted right things exists, people will not have any disagreement on the judgment of right and wrong.”13 However, people have the tendency to believe that our judgment of a concrete thing or a person in one specific situation can be understood as something eternally right. And this is called “the completed heart” (Cheng Xin, 成心) in The Equality of Things and Opinions. “If you go by the completed heart and take it as your authority, who is without such an authority? Why must you comprehend the process of change before you have an authority? Even an idiot whose heart approves its own judgments has his authority.”14 “The completed heart” refers to knowledge in some field and the values related to it. It is not only those who comprehend the process of change have a completed heart, but also those with inferior minds. However, the determinations of right and wrong based on “the completed heart” are not as meaningless as sophists’ debates on right and wrong. In The Equality of Things and Opinions, there is one sentence which says “they have the judgments of right and wrong before they have the completed heart, such that it would be like saying that one will ‘to go to Yue (越) today and have arrived yesterday.’”15 This is a criticism aimed against Hui Shi because “to go to Yue today and have arrived yesterday” is one of his ten propositions.16 In Zhuang Zi’s view, to debate whether these propositions are right or wrong is a waste of time.17 Only because these discourses are too far removed from common sense such that they will not

11

Qian Mu, Zhuangzi Zuanjian, 2011, p. 49. Qian Mu, Zhuangzi Zuanjian, 2011, p. 19. 13 Qian Mu, Zhuangzi Zuanjian, 2011, p. 22. 14 Qian Mu, Zhuangzi Zuanjian, 2011, p. 12. 15 See Footnote 14. 16 See also Qian Mu, Zhuangzi Zuanjian, 2011, p. 13,274. 17 Qian Mu, Zhuangzi Zuanjian, 2011, p. 47. 12

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have a negative impact on ordinary people’s lives, does Zhuang Zi not care about these topics. They are neither meaningful nor influential. The real trouble are the judgments about right and wrong based on “the completed heart.” In the era of Zhuang Zi, nothing was more influential than the conflict between Confucianism and Mohism. The appearance of this conflict, he believed, meant the concealment and incompleteness of the Dao. There is a story in The Equality of Things and Opinions: Long ago, Yao said to Shun (舜), ‘I want to smite the kingdoms of Zong (宗), Kuai (脍), and Xu Ao (胥敖). Even as I sit on my throne, this thought nags at me. Why is this?’ Shun replied, ‘These three rulers of the kingdoms are only little dwellers in the weeds and brush. Why this nagging desire? Formerly ten suns came out all at once and the ten thousand things were all illumined, and how much more by a man in whom the power is brighter than the sun!’18

Ma Qichang (马其昶, 1855–1930) has pointed out that “the word Zhao (which means illuminated, 照) should be understood as Zhuo (which means burnt, 灼), and according to the Shuo-Wen-Jie-Zi 《说文解字》 ( ), the word Zhuo (灼) means Zhi (which means being grilled, 炙). It is recorded in the Huai-Nan-Zi 《淮南子》 ( ) that in Yao’s age, ‘ten suns came out all at once, drying all the corps and grass on land’, which is a different version of the same story here.”19 To turn knowledge of whether something is suitable/acceptable in one circumstance into a universal standard of right and wrong is just like letting ten suns come out all at once and burn all kinds of things. If what is labeled as a universal standard is only embodied as a uniform code of conduct in daily life, no matter how rigid it is, it is only a shackle. Once it rises to the level of a model of civilization and is used to mold other heterogeneous civilizations, cruel conquest cannot be avoided. On this issue, Zhang Taiyan (章太炎, 1869–1936) had a very thoughtful explanation in his book On the Equality of Things and Opinions 《齐物论释》 ( ). He says, “The Equality of Things and Opinions can help us keep a generous character and a calm mind so that we can be helpful but not harmful to all things. Different places have different rituals and cultures. Everyone can enjoy their own tradition without envying others. We all know that if you feed the birds with beef and amuse them with bells and drums, they will not be happy but die! However, ambitious conquerors usually do not think that they are invaders but think, on the opposite, that they bring civilization to the barbarians. How arrogant they are! If a ruler cannot see the equality of so-called civilization and so-called barbarian, he will be as brutal as Jie (桀) and Zhi (跖).”20 Once a universal standard of right and wrong is invented, the Dao will be obscured and mutilated. “The lighting up of right and wrong is the reason why the Dao becomes

18

Qian Mu, Zhuangzi Zuanjian, 2011, p. 19. Ma Qichang 马其昶 and Ma Maoyuan 马茂元ed, Dingben Zhuangzi Gu《定本庄子故》 ( ), Hefei: Huangshan Press, 1989, p. 17. 20 Zhang Taiyan, Qi Wu Lun Shi (On the Equality of Things and Opinions,《齐物论释》 ), in The Complete Work of Zhang Taiyan (Vol. 1), Shanghai: Shanghai People’s Press, 2014, p. 46. 19

4 Employing the Light of Reason and Accepting All the Right Judgments

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flawed, and because the Dao is flawed, love appears.”21 Benevolence, when based on this kind of standard, is damaging to human livelihood. When the springs dry up and the fish are left stranded on the ground, they spew each other with moisture and wet each other down with spit. But it would be much better if they could forget each other in the rivers and lakes.22

Only after losing our initial biases do we learn how to care for and love each other. However, this care and love will not bring us back to the fundamentally genuine nature. Instead, we will interact with each other with care and love.

4 Employing the Light of Reason and Accepting All the Right Judgments To abandon commonly accepted standards of right and wrong, Zhuang Zi suggests that we should employ the light of reason (Yi Ming, 以明) and accept all the right judgments (Yin Shi, 因是). In The Equality of Things and Opinions, he says, “The Dao is hidden by little accomplishments and speech is darkened by the vain show. Thus, we have the rights and wrongs of the Confucians and the Mohists. What one calls right the other calls wrong; what one calls wrong the other calls right. But if we want to right their wrongs and wrong their rights, then the best way is to employ the light of reason (Mo Ruo Yi Ming, 莫若以明).”23 By employing the light of reason, one can right their wrongs and wrong their rights. Another way is to accept all the right judgments, which appears four times in four adjacent paragraphs of The Equality of Things and Opinions. This method is presented in the same context as the way of employing the light of reason. Therefore, the sage does not proceed in such a way, but illuminates all in the light of Heaven, accepting all the right judgments. He too recognizes a ‘this,’ but a ‘this’ which is also ‘that,’ a ‘that’ which is also ‘this,’ His ’that’ has both a right and a wrong in it; his ‘this’ also has both a right and a wrong in it. So, in fact, does he still have a ‘this’ and ‘that?’ Or does he in fact no longer have a ‘this’ and ‘that?’ A state in which ‘this’ and ‘that’ no longer find their opposites is called the pivot of the Dao. When the pivot is fitted into the socket, it can respond endlessly. Its right then is single and endless and its wrong too is single and endless. So, I say, the best way is ‘to employ the light of reason.’24

Every individual’s knowledge is localized in one domain of experience. Since most people can only know what they know, but cannot know what others know, they naturally tend to turn their knowledge of their own experience into a universal standard of right and wrong. Only a few very wise men understand the uncertainty of the boundary of right and wrong so that they will neither build up a universal 21

Qian Mu, Zhuangzi Zuanjian, 2011, p. 16. Qian Mu, Zhuangzi Zuanjian, 2011, p. 52. 23 Qian Mu, Zhuangzi Zuanjian, 2011, p. 13. 24 Qian Mu, Zhuangzi Zuanjian, 2011, pp. 13–14. 22

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standard of right and wrong nor simply destroy all the standards. “The pivot” is an axis, which is the basis of the rotation of wheels, but it never rotates with the wheels. Only by transcending the opposition of right and wrong, can one get to the Dao as “the pivot” to deal with infinite rights and wrongs. Simply dissolving right and wrong will lead to a more fundamental emphasis on the division between right and wrong because if we say that it is not right to distinguish right from wrong, and it is right not to distinguish right from wrong, aren’t we taking one as the “right” attitude? Therefore, the correct way to face all kinds of disputes of right and wrong is to accept all the right judgments. To accept all the right judgments is to affirm all propositions about right and wrong. Through such affirmation, the various so-called universal standards of right and wrong will naturally show their relativity, and the relativized standard of right and wrong will naturally be put back as knowledge localized in one domain. However, to deny all the wrong judgments is not the best way because it will lead to three bad results. First, if anyone wants to deny all the wrong judgments, he must establish his own standard of right and wrong, which will later be proved meaningless by himself. In The Equality of Things and Opinions, there is a sentence which says that “a person who holds different opinions from you and me cannot judge whether you are right or I am because he will think that neither of us is right.”25 Second, denying all rights and wrongs will lead us to a more fundamental question; we will doubt whether this denial is right or wrong. Third, once all rights and wrongs are fundamentally denied, there will be an absolute and undifferentiated nihility, and all the principles of the world will lose their meaning. This is obviously unacceptable for Zhuang Zi, who once emphasized that “the love of the sons to their parents cannot be eliminated, because it is their destiny.”26

5 Knowledge and the Self No matter what level a kind of knowledge is counted as, it is related to the subject (Wo, 我). However, the subject is the result of a selection, rather than an objective person. “We go around telling each other, I do this, I do that—but how do we know that this ‘I’ we talk about has any certainty? You dream you are a bird and soar up into the sky; you dream you are a fish and dive down in the pool.”27 Wang Fuzhi (王 夫之, 1619–1692) comments “Everyone named himself ‘I’ since his birth, but what is his ‘I’?”28 Since the “I” is the result of selection, it possessed no certainty. It is reasonable to question what gives credence to the “I.”

25

Qian Mu, Zhuangzi Zuanjian, 2011, p. 22. Qian Mu, Zhuangzi Zuanjian, 2011, p. 34. 27 Qian Mu, Zhuangzi Zuanjian, 2011, p. 59. 28 Wang Fuzhi 王夫之, Laozi Yan· Zhuangzi Tong· Zhuangzi Jie 《老子衍·庄子通·庄子解》 ( ), Beijing: Zhonghua Press, 2009, p. 149. 26

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Sometimes Zhuang Zi gives readers the impression that he wants to eliminate this “I.” For example, he talks about “the fasting of the heart” (Xin Zhai, 心斋) and “sitting and forgetting” (Zuo Wang, 坐忘). In The Great Teacher, he says: I smash up my limbs and body, dismiss eyesight and hearing, cast off form, do away with understanding, and make myself identical with the universal currents. This is what I mean by ‘sitting and forgetting.’29

But if the “I” is eliminated, then what is the difference between a person and a piece of stone? To understand Zhuang Zi’s philosophy, we must pay attention to the differences between his teachings and the philosophies of Peng Meng (彭蒙), Tian Pian (田 骈), and Shen Dao (慎到), which are discussed in the chapter Tian Xia from The Zhuangzi 《庄子·天下》 ( ). A thing without knowledge does not have the trouble which comes from establishing selfhood or the ties which come from utilizing knowledge. Whether moving or still, it does not depart from the Principle (Li, 理). That is why as long as it lasts nobody praises it. So, it is said, ‘simply aspire to being like a thing without knowledge. Have no use for sages and worthies; a clod of the earth never misses the Dao.’ The distinguished people agreed in laughing at this, saying, ‘Shen Dao’s Dao is not for living men to act on. It is the Dao of the dead. It would make one become nothing but strange.’30

If the purpose of Zhuang Zi’s philosophy is to remove the subjectivity and the activeness of human beings and to make human beings completely passive, then Zhuang Zi is no different from Shen Dao at all. In Zhuang Zi’s view, people in the highest state are obviously not passive. For example, Confucius, in The Sign of Virtue Complete, describes Wang Tai (王骀), a man with an amputated foot, like this: A brave soldier will plunge alone into the midst of nine armies. If this can be done even by a man capable of exerting himself out of the ambition to make a name, how much more, then, is possible for a man who governs Heaven and Earth, stores up the ten thousand things, lets the six parts of his body be only a dwelling, makes ornaments of his ears and eyes, unifies his knowledge, and in his mind never tastes death!31

The person in the highest state is able to “govern Heaven and Earth and store up the ten thousand things” (Guan Tian Di, Fu Wan Wu, 官天地, 府万物) such that they are not passive, but, to the contrary, they have the highest subjectivity and activeness. The reason why “knowledge” and “I” should be forgotten is that they restrict and obscure our fundamental activeness. A person who is arrogant with his limited knowledge and talent will always be satisfied with himself. This person is just like the little quail who laughed at the giant bird Peng. “Therefore, a man who has wisdom enough to fill one office effectively, good conduct enough to impress one community, virtue enough to please one ruler, 29

Qian Mu, Zhuangzi Zuanjian, 2011, p. 61. Qian Mu, Zhuangzi Zuanjian, 2011, p. 271. 31 Qian Mu, Zhuangzi Zuanjian, 2011, p. 42. 30

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or talent enough to be called into service in one state, has the same kind of selfpride as these little creatures.”32 However, the truly wise person can transcend the boundaries of limited knowledge and see its inherent uncertainty. At the beginning of The Great Teacher, it is said: To know what is Heaven’s doing and what is man’s is the utmost knowledge. Whoever knows what Heaven does lives the life generated by Heaven. Whoever knows what man does uses his instincts to nurture what they do not know about. To last out the years assigned you by Heaven and not be cut off midway, this is the perfection of knowledge.33

In this passage, the distinction between Heaven and man seems to be definite. However, the following question—“how do you know that the so-called Heaven is not human and the so-called human is not Heaven?”—clearly tells us that the boundary between Heaven and man is also expedient. The key to distinguishing between heaven and man lies in knowledge. The sentence that “whoever knows what Heaven does lives the life generated by Heaven” tells the readers that Heaven does everything naturally without knowing. The expression “to use his instincts to nurture what he does not know” describes the method by which humans reach non-knowing (Bu Zhi, 不知) from knowing (Zhi, 知). This process is also the elevation from human to Heaven. The word “nurture” here indicates that non-knowing is the end and knowing is the method to achieve it. The non-knowing acquired from knowing, which can be called non-knowing from the wise, is different in kind from ignorance. In Zhuang Zi’s philosophy, true men can both transcend the world and take care of all things within in. But ignorant people cannot even manage even a simple life. If we could reach the non-knowing by becoming ignorant, a person could become a true man merely by taking drugs to make himself a fool. The relationship between knowing and non-knowing is precisely the theme of the fable about chaos in the last paragraph of Fit for Emperors and Kings. The emperor of the South Sea was called Fast (Shu, 儵), the emperor of the North Sea was called Sudden (Hu, 忽), and the emperor of the central region was called Chaos (Hun Dun, 浑沌). Fast and Sudden from time to time came together for a meeting in the territory of Chaos, and Chaos treated them very generously. Fast and Sudden discussed how they could repay his kindness. ‘All men,’ they said, ‘have seven holes (Qi Qiao, 七窍) through which they look, listen, eat, and breathe. But Chaos alone doesn’t have any. Let’s try boring him some!’ Every day they bored another hole, and on the seventh day Chaos died.34

The first thing to pay attention to in this fable are the names—Fast (Shu, 儵) and Sudden (Hu, 忽). Wang Fuzhi interpreted them to be “Clear” (Shu Ran Zhi Ming, 儵然之明) and “Dark” (Hu Ran Zhi An, 忽然之暗).35 Clear and Dark are related to knowledge, thus Wang’s interpretation is insightful. However, this interpretation, I think, is still not quite accurate. From the following sentence—“All men have seven holes through which they look, listen, eat, and breathe”—we can know for 32

Qian Mu, Zhuangzi Zuanjian, 2011, p. 3. Qian Mu, Zhuangzi Zuanjian, 2011, p. 49. 34 Qian Mu, Zhuangzi Zuanjian, 2011, p. 68. 35 Wang Fuzhi, Laozi Yan· Zhuangzi Tong· Zhuangzi Jie, 2009, p. 149. 33

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sure that Sudden (Hu, 忽) is not “darkness” or ignorance. Fast (Shu, 儵) and Sudden (Hu, 忽) both have the meaning of “short” while south and north are opposite, so “the emperor of the South Sea” and “the emperor of the North Sea” metaphorically refer to opposite and uncertain knowledge. Chaos (Hun Dun, 浑沌) means nonknowing. The contradictory and indeterminate knowledge are not totally separated and independent, so they can meet in the territory of non-knowing. And they both are accepted by non-knowing, thus “Chaos treated them very generously.” Without non-knowing, Fast and Sudden will lose the opportunity to meet each other. Once indeterminate and localized knowledge loses the protection of non-knowing, it will limit itself within its own boundaries, and there will be no possibility for it to get out. Non-knowing is like snow in winter, nourishing the seeds in cold weather, and it is also like a deep sleep, which gives us a good spirit. Nanguo Ziqi (南郭子綦), who is described as “losing his pair” (Sang Qi Ou, 丧 其偶) at the beginning of The Equality of Things and Opinions, once said “now I lose myself” (Jin Zhe Wu Sang Wo, 今者吾丧我). In my opinion, what he has lost is the self which is related to various specific and partial knowledge. It is very important to transcend the partial knowledge and ignorance that is related to the self so as to achieve the fundamental non-knowing and eternal “true self” (Zhen Wo, 真我). Of course, non-knowing is still a kind of knowing, and the “true self” is still a “self.”

6 Beyond Knowledge The fable of Zhuang Zi’s dream, in which he becomes a butterfly (Zhuang Sheng Meng Die, 庄生梦蝶) is one of the most popular passages in The Zhuangzi. Because of the metaphor of the butterfly, some people believe this fable to be merely a beautiful story. In fact, there are many dreams mentioned in the seven inner chapters of The Zhuangzi, including his dream of becoming a fish, a dream of becoming a bird, a dream of drinking, and a dream of crying. The paragraphs about dreams usually focus on fundamental philosophical problems, which have nothing to do with beauty. It is no exaggeration to say that even if his dream of becoming a butterfly was about a dream of becoming a caterpillar, the paragraph will still be very philosophical. In the last paragraph of The Equality of Things and Opinions, it is said: Once Zhuang Zi dreamt that he was a butterfly, a butterfly flitting and fluttering around, happy with himself and doing as he pleased. He didn’t know he was Zhuang Zi. Suddenly he woke up and there he was, solidly and unmistakably Zhuang Zi. But he didn’t know if he was Zhuang Zi, who had dreamt he was a butterfly, or a butterfly dreaming he was Zhuang Zi. Between Zhuang Zi and a butterfly, there must be some distinction! This is called the transformation of things (Wu Hua, 物化).’36

In this paragraph, from two initial non-knowings, two certain knowings are derived. While dreaming of becoming a butterfly, Zhuang Zi does not know he is Zhuang Zi, and after waking up, he could not confirm that his existence as Zhuang 36

Qian Mu, Zhuangzi Zuanjian, 2011, p. 23.

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Zi was not the dreaming of a butterfly. From these two non-knowings, two certain conclusions can be drawn. First, there must be a difference between the state of being a butterfly and the state of being Zhuang Zi. Second, every state is transformed from another one. Since all states are transformed from others, the existence of external realms, i.e., the existence of others, is proved. People are always affected by changes which they are not conscious of. In the face of chaotic transformations, people have nothing which they can do. For many commentators, the strongest source of objection is this “absolute power” about which we can never have knowledge. “People usually think that to hide a boat in a deep gully and to hide a mountain in a sea as an island is very safe.” Zhuang Zi says, “but the strong at midnight will steal the boat and carry away the mountain while the stupid people cannot know it.”37 No matter how hard people try to maintain themselves they are eventually passive and fragile in the face of the great power of change. In Guo Xiang’s annotations, he says that “no power is greater than the power of changes.”38 People’s involuntary natures in light of the changes reveals the existence of the “other” (Ta Zhe, 他者) which possessed more agency than people. In the chapter The Equality of Things and Opinions, Qu Que Zi (瞿鹊子) and Chang Wu Zi (长梧子) have a dialogue about whether people can win a debate or not. However, the key point of that dialogue is not the conclusion that people cannot win a debate, but rather to show that “obviously, neither you nor I nor anyone else can know the answer. Shall we wait for still another item?”39 The “another item” (Bi, 彼) is the “other” which is the foundation of all things of which we can never have knowledge and thus is more active than anything else. This active “other” is beyond the knowledge of human beings. The opening sentence of Fit for Emperors and Kings is a summary of the dialogue between Nie Que and Wang Ni in The Equality of Things and Opinions, in which it is said: Nie Que asked Wang Ni, ‘Do you know what all things agree in calling right?’ ‘How would I know that?’ said Wang Ni. ‘Do you know that you don’t know?’ ‘How would I know that?’ ‘Then do we know nothing about things.’ ‘How would I know that?’40

The first two rounds of the dialogue reveal the different levels of non-knowing. The non-knowing about the thing that “all things agree in calling right” (Wu Zhi Suo Tong Shi, 物之所同是) is the non-knowing which is opposite to specific knowledge. However, the non-knowing about the thing “that you don’t know” (Zi Zhi Suo Bu Zhi, 子之所不知) is the non-knowing which is more fundamental than the previous one. The latter non-knowing can be expressed as the awareness that I cannot have any knowledge about the things I do not know. Since the latter non-knowing is a kind of awareness, it is not passive. It is in the mind, and is, at the same time, a more active and more absolute “other.” Here, I want to emphasize again that Zhuang Zi’s attitude towards staying in peace with all circumstances cannot be understood as “a principle of the dead,” like Shen 37

Qian Mu, Zhuangzi Zuanjian, 2011, pp. 52–53. Guo Qingfan, Zhuangzi Jishi, 1961, p. 244. 39 Qian Mu, Zhuangzi Zuanjian, 2011, p. 22. 40 Qian Mu, Zhuangzi Zuanjian, 2011, p. 19. 38

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Dao’s philosophy. Zhuang Zi’s ideas about non-knowing and ignorance reveal a more active basis, which is not an external item, but something internal to the human heart. By means of knowledge, we understand people’s hearts. And by understanding people’s hearts, we know that there is an eternal heart.41 You have heard of flying with wings, but you have never heard of flying without wings. You have heard of using the wits to know, but you have never heard of using the non-knowing to know. Look to what eases our toils. In the empty room, brightness grows (Xu Shi Sheng Bai, 虚室生白). Fortune and blessing gather where there is stillness (Ji Xiang Zhi Zhi, 吉祥 止止). But if you do not keep still — this is what is called sitting but racing around.42

The minds of the people who “use the non-knowing to know” (Yi Wu Zhi Zhi Zhe, 以无知知者) are not dead, but are like the statement “in the empty room, brightness grows.” As for the saying of “sitting but racing around” (Zuo Chi, 坐驰), Guo Xiang explains that “if the mind doesn’t stop or keep still at the proper point, it operates incorrectly at its easing time. So, it will be exhausted before the ‘enemies’ come from the outside and will lose the possibility to transform the things!”43 Cheng Xuanying (成玄英, 608–669) agreed with Guo Xiang and explains that “sitting but racing around” was the state when “one’s body was still but his mind was flying around.”44 As we can see, both Guo and Cheng regard “sitting but racing around” as a negative behavior. But, Wang Yu (王敔), who was the son of Wang Fuzhi, provides us with an opposite explanation. He believed that “sitting but racing around” is the state when “a person sits still and enjoys the free and boundaryless wandering of his mind.” (Duan Zuo Er Shen You Liu Xu, 端坐而神游六虚)45 Wang Yu inherits his father’s opinion that “a person who ‘sits but racing around’ sits upright and has a brilliant mind that can respond to all stimulation immediately. His mind is not still because it must respond in this way.”46 I think Wang Fuzhi and Wang Yu’s explanations are correct. The brightness in the empty room that comes from non-knowing is not useless. On the contrary, it can respond to all stimulation immediately, helping other people find their proper position in which to keep still. And this “brightness in the empty room” is not different from the “eternal heart” (Chang Xin, 常心) in The Sign of Virtue Complete.

7 The Equality of Things In the chapter Tian Xia, six schools are listed, among which the sophists, (Ming Bian Jia, 名辩家) represented by Hui Shi, are ranked last. Takeuchi Yoshio (武内 義雄) believes that the paragraph discussing Hui Shi “might consist of annotations 41

Qian Mu, Zhuangzi Zuanjian, 2011, p. 42. Qian Mu, Zhuangzi Zuanjian, 2011, pp. 32–33. 43 Guo Qingfan, Zhuangzi Jishi, 1961, p. 151. 44 Ibid. 45 See Ma Qichang and Ma Maoyuan ed, Dingben Zhuangzi Gu, 1989, p. 29. 46 Wang Fuzhi, Laozi Yan· Zhuangzi Tong· Zhuangzi Jie, 2009, p. 114. 42

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about Hui Shi’s thoughts written by Du Bi (杜弼) in the Northern Qi Dynasty (550 A.D.–577 A.D.) which have been wrongly incorporated into the text here.”47 Qian Mu and Wang Shumin (王叔岷 1914–2008) hold similar opinions. Judging from the structure of the whole chapter, their ideas should be correct. First, when discussing the previous five schools, a fixed expression—“The Dao can be found here, so X hears it and accepts it joyfully”—is used. However, we cannot find this expression in the paragraph which discusses Hui Shi. Second, the chapter Tian Xia is Zhuangzi’s conclusions on the schools and traditions from history. If this chapter concludes with the sentence “Zhuang Zi hears it and accepts it joyfully,” this idea would be reasonable. There is one hypothesis which says that it was Guo Xiang who moved this paragraph to the very end of The Zhuangzi. This is reasonable, too, because Guo Xiang believed that sophists’ and debaters’ words were useless for the good of the state and thus, were only beneficial for the young aristocrats to kill time, train their minds, and protect their nature from evil. In Guo Xiang’s view, Zhuang Zi was very different from these sophists and debaters, so Guo moved this paragraph of Hui Shi to the end to make his contemporaries notice it.48 In fact, the chapter Tian Xia is not a document detailing the academic history of Pre-Qin scholarship in a general sense, i.e., it is not a complete overview of Pre-Qin thought. This is what makes it different from Sima Tan’s On the Six Schools. The most obvious difference between the two texts is that Confucianism is not included in the “One Hundred Schools” (Bai Jia Zhi Xue, 百家之学) listed in Tian Xia. After a detailed examination of the five schools of thought listed in this chapter, we will find that although their ideas are fundamentally different, one detail is the same—they all attempt to prove the equality of things and opinions. Zhuang Zi obviously knew the various claims for the equality of things and opinions at his time, so he says “to exhaust your mind to equalize all things and opinions without knowing their original equality is laughable.” In Zhuang Zi’s mind, the most typical example of this is Hui Shi. According to the paragraph discussing Hui Shi in the chapter Tian Xia, Hui Shi apparently has the idea of the equality of things and opinions. He once said, “the sky is as low as the earth while the mountains are level with the marshes.” “Being similar on a large scale yet different from the similar on a small scale, it is this that is meant by ‘similarity and difference on a small scale.’ The ten thousand things to the last one are similar, to the last one are different, it is this that is meant by ‘similarity and difference on the large scale.’”49 Judging from the listed topics of the debaters, Hui Shi may have tried to prove the equality of things and opinions by the logic of sophistry. People found it hard to refute his arguments, but were hardly convinced by them. In Zhuang Zi’s view, the problem of Hui Shi is that he “exhausts his mind to equalize all things and opinions without knowing the original equality of them.” In Zhuang Zi’s criticism of Hui Shi, he mentions this clearly, saying directly that “you don’t value your wisdom and exhaust your mind.”50 47

Qian Mu, Zhuangzi Zuanjian, 2011, p. 273. Guo Qingfan, Zhuangzi Jishi, 1961, p. 1114. 49 Qian Mu, Zhuangzi Zuanjian, 2011, pp. 273–274. 50 Qian Mu, Zhuangzi Zuanjian, 2011, p. 47. 48

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The opposite of “exhausting your mind to equalize all things and opinions” is not to give up thinking, but rather a kind of easy and simple way of thinking. In The Equality of Things and Opinions, Zhuang Zi’s first sentence in his proof of the equality of things and opinions is very confusing. He says, “to use a meaning to show that ‘the meaning is not the meaning’ is not as good as using a non-meaning to show that ‘the meaning is not the meaning.’ To use a horse to show that ‘a horse is not a horse’ is not as good as using a non-horse to show that ‘a horse is not a horse’.” In this sentence, “meaning” (Zhi, 指) and “horse” (Ma, 马) are common topics of debaters, thus, they are not the concepts in the thesis On the White Horse (Bai Ma Lun, 《白马论》 ) and On the Meanings (Zhi Wu Lun,《指物论》 ) of Gongsun Long (公孙 龙). By using the concepts of “meaning”/ “non-meaning” and “horse”/“non-horse,” Zhuang Zi would like to indicate the existence of differences. So, with this sentence, Zhuang Zi wants to show his readers that it is better to use differences to reveal the differences (Cha Yi, 差异) in identities rather than to use identities (Tong Yi, 同 一) to reveal the differences in identities. The reason why everything has become itself lies in its various attributes. And the attributes of a thing will not appear to us until we compare the thing with other things. In this way, the identity of each thing contains a sense of its differences from other things. Since everything contains its differences from other things, i.e., contains the attributes of other things, we can draw the conclusion that “Heaven and Earth are the one meaning; the ten thousand things are one horse.” (Tian Di Yi Zhi Ye, Wan Wu Yi Ma Ye, 天地一指也, 万物一马 也)51 Everything is changing and the essence of change is the relationship between identity and difference. The sage takes part in ten thousand ages and achieves simplicity in oneness. For him, all the ten thousand things are what they are, and thus they enfold each other.52

The highly related changes and differences within endless time also prove the fundamental nature of identity. Everything is in this way connected with each other and concluded by each other, and all things are one. If a person truly understands the saying that “things ribald and shady or things grotesque and strange, the Dao interchanges them and makes them all into one,” he will forget all the knowledge and non-knowing that are opposite to each other on each level and thus will gain the non-knowing which is fundamental and absolute. This absolute non-knowing lies its basis on the fundamental “other” (Ta Zhe, 他者), which is also the reason for all things and changes. I began explaining and kept at him for three days, and after that, he was able to put the world outside himself. When he had put the world outside himself, I kept at him for seven days more, and after that, he was able to put things outside himself. When he had put things outside himself, I kept at him for nine days more, and after that, he was able to put life outside himself. After he had put life outside himself, he was able to achieve the brightness of dawn, and when he had achieved the brightness of dawn, he could see the uniqueness. After he had managed to see the uniqueness, he could do away with past and present, and after he had done away with past and present, he was able to enter where there is no life and 51 52

Qian Mu, Zhuangzi Zuanjian, 2011, p. 14. Qian Mu, Zhuangzi Zuanjian, 2011, p. 21.

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4 The Way to True Knowledge: The Philosophy of Zhuang Zi no death. That which kills life does not die; that which gives life to life does not live. This is the kind of thing it is: there is nothing it does not send off, nothing it does not welcome, nothing it does not destroy, nothing it does not complete. Its name is peace-in-strife (Ying Ning, 撄宁).53

In Zhuang Zi’s mind, the equality of things and opinions is by no means the indiscriminate drifting with the flow, but rather a knowledge of fundamental activeness. By knowing this absolute fundamental nature, we can transcend all kinds of finite distinctions so that we can settle into endless changes with ease. The state of “forgetting the year, forgetting the righteousness, transcending the bounded realm, and being free at the boundaryless realm”54 is the best embodiment of this most fundamental activeness.

8 Function: Specific and General In Zhuang Zi’s philosophy, neither “the fasting of the heart” (Xin Zhai, 心斋) nor “sitting and forgetting” (Zuo Wang, 坐忘) are intended to be nothingness in contemplation. On the contrary, both are methods for people to transcend their limitations, which are brought about by the presumed opposition of knowing and non-knowing at various levels, with the help of the fundamental absolute non-knowing to achieve a more active life. And this active life is developed with “function” (Yong, 用) at its core. Only the man of far-reaching vision knows how to make them into one. He does not use them but finds for them lodging-places in their use. Their use is their function, their function is interchangeable, to see it as interchangeable is to grasp it, and once you grasp it you are almost there.55

“Function” is the hub of all the connections in the living world, and it is also the key to the realization of things. Therefore, it is said that “their function is interchangeable, to see it as interchangeable is to grasp it.” (Yong Ye Zhe, Tong Ye, Tong Ye Zhe, De Ye, 用也者, 通也; 通也者, 得也). The connections among all people and things at all levels are condensed in “function.” First are the connections between people. Any specific function of an object reveals the connection between the user and other people. For example, for the person in the workshop who is focusing on his job on the lathe, his use of the tools in front of him is directed toward others who will consume his products in the future. Second are the connections between people and things. Any specific function is the release and realization of the usefulness of tools by human beings. Third are the connections between things. Any particular tool is not isolated but is contained within a whole connected system of appliances. For example, a teapot is always associated with teacups, and refers to the teacups. 53

Qian Mu, Zhuangzi Zuanjian, 2011, pp. 54–55. Qian Mu, Zhuangzi Zuanjian, 2011, p. 22. 55 Qian Mu, Zhuangzi Zuanjian, 2011, p. 15. 54

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Within the connections which are based on function, the differences between people, people and things, and things always exist, but they are also identical. Without their differences, no function can be actualized. For people, the realization of function always points to others who are in different living situations or environments. People need to use things because the tools that people use usually possess some attributes and functions which human beings do not possess, and by using things, people can gain something that we want but do not have. Any specific tool actualizes its function with the help of different things. For example, it is impossible to build machinery by just relying on gears. Of course, if there were only differences that are not confined into a certain interdependent relationship, no function could be actualized. For example, placing chess pieces on a Go board does not possess any meaning. “Function” connects all differences and makes them a whole. Thus, every different part is the condition for the maintenance and operation of the whole. All different parts are indispensable, so they have the same importance. It is only in “function” that the active equality of things and opinions is possible. In Zhuang Zi’s philosophy, there are two kinds of function—specific (Yong, 用) and general (Yong, 庸). Any specific function is always subordinate to the purpose set by human beings. And human beings decide the function of things with their knowledge. For example, according to the current level of human knowledge, we can make landing on the moon or Mars our goal, and make attempts and geared toward this purpose. No modern person believes that it is possible now to set a galaxy outside the Milky Way as our destination. After setting a specific goal as a purpose, certain aspects are emphasized as useful parts, while other parts are either subordinate to these useful ones or simply regarded as redundant. For example, in the manufacturing of an airplane, the strength of the material is what we need, while its quality must be overcome or discarded as much as possible. The function associated with knowledge creates divisions within the specific tools or materials. How can it be general and universal to all other things? The function which originates from knowledge, which is opposite to non-knowing, and distorts and wears out the tools by isolating them. However, the function with originates from the absolute nonknowing, i.e., the general function, can awaken and illuminate the rich possibilities of everything around the tools used while achieving their usefulness. Unfortunately, the whole realization of this general function is merely for the realm of poetry today, when the confidence of science shines everywhere. With the help of the general function, which originates from absolute nonknowing, we can recognize that all so-called universal knowledge is something imperial and historical, so that we can fundamentally overcome and transcend all the disputes of rights and wrongs. He does not use them but finds for them lodging-places in the usual. It is this that is meant by employing the light of reason.56

56

Qian Mu, Zhuangzi Zuanjian, 2011, p. 17.

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With general function and absolute non-knowing, the divided world caused by the conflict of rights and wrongs can be fundamentally restored into one, thus, a certain kind of truthful existence can be achieved.

9 True Knowledge and Independence Images of the sages are described repeatedly in the inner chapters of The Zhuangzi. In The Carefree Excursion, we find the descriptions twice, in which we clearly see their similarities. As for the man who drives the true Qi of Heaven and Earth, rides the changes of the six breaths, and thus wanders through the boundless, is there anything that he depends on? In the mountains of far-off Gu Ye (姑射) there lives a Holy Man, whose skin and flesh are like ice or snow, who is gentle as a virgin. He doesn’t eat the five grains but sucks the wind and drinks the dew. He drives the clouds and mist, rides a flying dragon, and roams beyond the four seas.57

Here, we need to pay attention to the three verbs of “driving” (Cheng, 乘), “riding” (Yu, 御), and “roaming” (You, 游). In The Equality of Things and Opinions, the expression changes a little. It says, “He drives the Qi of clouds, rides the sun and the moon, and roams beyond the four seas.”58 The three verbs show us that the sages in Zhuang Zi’s philosophy do not simply accept the changes of Heaven and Earth passively. The activeness of the sages can be seen in the description in The Sign of Virtue Complete. How much more, then, is possible for a man who governs Heaven and Earth, stores up the ten thousand things, lets the six parts of his body be only a dwelling, makes ornaments of his ears and eyes, unifies the knowledge of what he knows, and has a heart which never dies.59

More importantly, the fundamental activeness in the actions of “governing Heaven and Earth and storing up the ten thousand things” is closely related to knowledge and mind. All specific knowledge is different and relative. Only absolute non-knowing can unify all different knowledge. As I have said before, this absolute non-knowing is not total ignorance but true knowledge with certainty. By being aware of this independent certain absolute non-knowing, the “eternal heart” which never dies strips off all the passive constraints and exposes its constant activeness. Those who have truly realized this constant activeness are independent. The true knowledge, which takes the absolute non-knowing as its content, reveals the absolute subject and others and it equates them. All changes in the world, whether they are material or spiritual, are based on this. All beings in transient changes are passive and relative, while the only active one is the constant and unchanging foundation. 57

Qian Mu, Zhuangzi Zuanjian, 2011, pp. 4–6. Qian Mu, Zhuangzi Zuanjian, 2011, p. 20. 59 Qian Mu, Zhuangzi Zuanjian, 2011, p. 42. 58

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However, most people can never reach the state of the sages. If a person does not have virtue, he cannot achieve the state of the sages even after hearing about it. In The Great Teacher, Nv Yu (女偊), who does not have the virtue of sages can only pass the Dao of the sages to Bu Liang Yi (卜梁倚) after hearing about it. The topic of the state of sages is the starting point of Zhuang Zi’s philosophy. Maybe by placing the chapter Fit for Emperors and Kings as the last chapter in the seven inner ones, Zhuang Zi’s intention is to tell the readers it is very difficult to become like a sage.

Chapter 5

Being or Non-being: The Philosophy of Wang Bi

Wang Bi (王弼), courtesy name Fu Si (辅嗣), was born in Gaoping county, Shanyang (山阳高平) [now Jinxiang county, Shandong province (山东金乡)]. He was born in the seventh year of the Huangchu reign (黄初七年, 226 A.D.) and died in the tenth year of the Zhengshi reign (正始十年, 249 A.D.), living to only 23 years old. Wang Bi was one of the most important philosophers in the history of Chinese philosophy, and his thought had had a profound impact on later generations. There is a story recorded in Shi-Shuo-Xin-Yu 《世说新语》 ( ). When He Yan (何晏) was the minister of the Official Department, who possessed a good reputation and had many debaters in his parties, Wang Bi was only a teenager. One day, Wang visited He Yan. He Yan, having heard Wang’s name before, discussed several famous topics which were hotly debated by the debaters of the era and asked if Wang could add any new ideas. “I think people have fully discussed these topics.” He Yan asked, “Can you disprove any of their conclusions?” Without hesitation, Wang refuted the conclusions and won everybody’s respect. After his refutations, Wang offered the audience new ideas and disproved his own conclusions. He did this several times. Everyone was astonished and thought that Wang was brilliant.1

According to this passage, Wang was able to offer his audience new ideas, disprove their own conclusions several times, and win respect. So, he must have had a very high position among thinkers of the era. As for the reason of Wang Bi’s death, we do not have clear historical records. Although he had a close friendship with He Yan and belonged to the Wei (魏) administration, he might not have been deeply involved in politics. After the Gaopingling coup (高平陵政变) in the tenth year of the Zhengshi reign (正始十年, 250 A.D.), He Yan was killed but Wang Bi was not directly involved. However, in the autumn of that year, Wang died. It is said that after Wang’s death, Sima Shi (司马师, 208–255) mourned for several days at home. It is a pity that such a talented person is gone, he exclaimed. Wang Bi annotated three important classics—The Laozi, The Book of Changes (Zhou Yi,《周易》 ), and The Analects. The German Sinologist Rudolf Wagner Xu Zhen’e 徐震堮, Shishuo Xinyu Jiaojian 《世说新语校笺》 ( ), Beijing: Zhonghua Press, 1984, p. 106.

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© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_5

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believed that Wang Bi chose to annotate these three classics because, in Wang’s opinion, only these classics were the authentic words of the sages, which contain truly profound insights into life and the universe. Nearly all of Wang Bi’s works are extant. Neither his Annotations to The Laozi 《老子注》 ( ) or Annotations to The Book of Changes 《周易注》 ( ) have been lost. Although the current version of his Selected Explanations of The Analects (Lun Yu Shi Yi,《论语释疑》 ) is not complete, many of its lost articles are included in Huang Kan’s (皇侃, 488–545) Lun-Yu-YiShu 《论语义疏》 ( ). Judging from the title of Selected Explanations of the Analects, this book should not be taken as a complete commentary on the entire text of The Analects. The remaining parts included in Lun-Yu-Yi-Shu may constitute most of the original text. In addition to these three annotations, Wang Bi also has two important articles—Simple Exemplifications of the Principles of The Book of Changes (Zhou Yi Lue Li,《周易略例》 ) and Simple Exemplifications of the Guidelines of The Laozi (Lao Zi Zhi Lue,《老子指略》 ). The latter one was long been considered lost until Wang Weicheng (王维诚) found Simple Exemplifications of the Guidelines of Master Lao (Lao Jun Zhi Gui Lue Li,《老君指归略例》 ) in Yun-Ji-Qi-Qian 《云笈 ( 七签》 ) and Simple Exemplifications of the Basic Guideline of The Laozi 《老子微 ( 指略例》 ) in Dao-Zang 《道藏》 ( ), and compiled them as Simple Exemplifications of the Guidelines of The Laozi. The most important material for us to study Wang Bi’s philosophy is A Critical Version of the Complete Works of Wang Bi (Wangbi Ji Jiaoshi,《王弼集校释》 ) by Lou Yulie (楼宇烈). German Sinologist Rudolf Wagner’s studies on Wang Bi’s annotations to The Laozi are an important reference.

1 Hermeneutic Principles Wang Bi’s philosophical works all appear in the form of annotations. As explanations to the classics, both The Annotations to The Laozi and The Annotations to The Book of Changes will inevitably face the so-called hermeneutical problem. Nowadays, many scholars emphasize the importance of prejudice in philosophical hermeneutics, believing that any interpretation we create is actually the belief of the interpreter, and cannot be equal to the original meaning of the classics. Therefore, all interpretations are essentially misreading. The key is whether the misreading is creative or not. The academic community once advocated the so-called theory of “creative misunderstanding” for this reason. The theory of hermeneutics has its own profound elements, but if one uses the theory as an excuse to cover up his inattentiveness in reading and then believes that all interpretations are of similar quality, he will be obviously wrong. For ancient Chinese texts, understanding the author’s original meaning is the natural pursuit of all interpretation. As far as Wang Bi is concerned, he obviously believed that he had truly grasped the spiritual essence of the classics such as The Laozi and The Book of Changes. Zhang Dainian (张岱年, 1909–2004) said in his book The Materials Used in the History of Chinese Philosophy (Zhong Guo Zhe Xue Shi Shi Liao Xue,《中国哲学史史料学》 ) that most of the time Wang Bi expressed

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his own thought in his annotations to The Laozi. But I do not think this statement is true. In Wang’s opinion, the annotations to The Laozi are intended to show Lao Zi’s original meaning, helping readers understand and grasp Lao Zi’s thought rather than to express his own philosophy. In the tradition of Chinese philosophy, thinkers always consciously believe that their own work belongs to a long great tradition. They rarely believe that their ideas are original. If we read Wang Bi’s annotations carefully, especially The Annotations to The Laozi, there are two characteristics worth noting. First, Wang consciously accepts the constraints of the text. For example, in Chapter 45 of The Laozi, there is one sentence which says, “restlessness overcomes cold, but tranquility overcomes heat.” This sentence is quite odd because Lao Zi seldomly speaks highly about the value of restlessness, and the notions of restlessness and cold are not a pair of opposites. Thus, some interpreters change this text of The Laozi into “tranquility overcomes restlessness, and cold overcomes heat.” Unlike those interpreters, Wang Bi does not change the text to make it easier to understand. He accepts the constraints of the text and gives his comments in this way. After restless movement, one can have enough warmth to overcome the cold, and after doing nothing in tranquility, one can overcome the heat.2

By adding just a few words to the original text, Wang made the vague and ambiguous text clear. His annotation explains why restlessness can overcome the cold and tranquility can overcome the heat. Perhaps it is Wang’s respect for the classics that makes his commentaries of such high quality. Interpreters should not change the classical texts casually unless they put their own understanding above them. This is a terrible way of reading because if one does that, his reading will no longer be a method of self-enrichment and improvement, but rather the strengthening and duplication of his own ideas. To respect the classic texts means to put ourselves below the text, and this is the attitude we should have when facing the classics. Second, Wang limits the interpretive space of the text. The Laozi has no definite context, so there is a huge space for interpretation. For this reason, there are many different commentaries on The Laozi. For example, in the chapter Jie Lao 《解老》 ( ) and the chapter Yu Lao 《喻老》 ( ) in The Han Feizi, The Laozi was understood as a kind of political philosophy. In He Shang Gong’s Commentaries on The Laozi (Lao Zi He Shang Gong Zhu,《老子河上公注》 ), the ideas in The Laozi were understood as a theory that guides the readers to cultivate themselves and to keep healthy. In Xiang Er Zhu 《想尔注》 ( ), the thoughts in The Laozi were understood as the basic doctrines of religious Daoism, and in Yan Zun’s (严遵) commentaries on The Laozi, the text was understood as a set of mottos concerning both self-cultivation and state administration. R. Wagner has pointed out that one of Wang Bi’s important goals in writing The Annotations to The Laozi is to reduce the ambiguity of the text. For this hermeneutical goal, Wang creatively develops numerous interpretative skills, such as revealing the internal structure of The Laozi. In the first chapter of The Laozi, it is said “The nameless is the origin of Heaven and Earth; The named is the mother 2

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 123.

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of all things.” In common understanding, the difference between “origin” (Shi, 始) and “mother” (Mu, 母) is not clear enough. Wang Bi puts the two in a parallel structure, making “origin” and “giving birth” a pair, and “mother” and “becoming complete” a pair so that he makes the connotations of the two concepts certain. At the end of the first chapter, there is a sentence, “deeper and more profound, the door of all subtleties!” We usually think that the word “all” (Zhong, 众) is a modifier of the word “subtleties” (Miao, 妙), so that the word Zhong Miao (众妙) is “all subtleties.” However, in Wang Bi’s explanation, the word Zhong and the word Miao have a parallel relationship. The word Zhong is related to names and desires while the word Miao is related to the nameless and the desireless. Such an explanation greatly reduces the ambiguity of the text. In addition, Wang adds subjects to many incomplete sentences in The Laozi. Wang often uses sentences with a clear subject in his commentaries so that the text will become transparent. By reducing the ambiguity of the text, Wang tries to reveal the clear and unquestionable philosophical meaning contained in The Laozi. Of course, the actualization of this goal is based on Wang’s outstanding ability of comprehension and text construction. Wang’s Annotations to The Laozi is my personal favorite among all the annotations of The Laozi because in his annotations the ideas of The Laozi are clear and certain. This kind of clear and certain philosophical interpretation is necessary because it makes it possible for us to make judgments and discuss its substance.

2 The Distinction Between Language and Meaning Tang Yongtong (汤用彤, 1893–1964) offered a famous conclusion in his book Thesis on Neo-Daoism in the Wei and Jin Dynasties (Wei Jin Xuan Xue Lun Gao,《魏晋玄 学论稿》 ). Although the rise of new scholarship is due to the new prevailing circumstances, without new visions and new methods, we can only have fragmentary quotations rather than wellorganized theories from which we learn. Therefore, new scholarship, which reflects the beginning of a new era, always relies on the discovery of new methods.3

The new vision and new method that the style of scholarship in the Wei and Jin Dynasties relies on is “the distinction between language and meaning” (Yan Yi Zhi Bian, 言意之辨). In his article The Distinction Between Language and Meaning, Tang pointed out that this new method is the key to the new style of scholarship in the Wei and Jin Dynasties. “The distinction between language and meaning” is first related to the issue of language. Ancient Chinese philosophy offers very profound ideas on the topic of language. The first chapter of The Laozi reveals the limitations of language in expressing ultimate reality. In The Zhuangzi, the boundaries and uncertainty of language are discussed as well. Of course, it is very problematic to regard the first Tang Yongtong 汤用彤, Weijin Xuanxue Lungao《魏晋玄学论稿》 ( ), Shanghai: Shanghai People’s Press, 2015, p. 21.

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two sentences of The Laozi as Lao Zi’s fundamental philosophical insights. These two sentences—“The Dao that can be told of is not the eternal Dao; the name that can be named is not the eternal name”—do not provide readers with direct philosophical conclusions but rather problems that philosophical reasoning must face. Philosophy works depend on language. We cannot express our thoughts without language, but language has inherent limitations in expressing the ultimate reality. This dilemma is the first topic Wang Bi addresses in his annotations to The Laozi. Philosophy of language is the main trend of philosophy in the twentieth century. Some schools even attribute the basic problem of philosophy to the misuse of language. They believe that the essence of philosophy is language analysis, and concepts such as “ontology” and “entity” are the result of language misuse. This kind of proposition cancels the philosophical problem of language analysis. Facing the same dilemma, traditional Chinese philosophy does not deny the justifiability of philosophical problems. With a deep understanding of the unreliability of language, the way that we use language to express and grasp ultimate reality has become the core issue of Neo-Daoism. “Language cannot fully express meaning” (Yan Bu Jin Yi, 言不尽意) is the basic proposition of the Wei and Jin Dynasties. The new vision and new method which comes from this proposition profoundly shaped the philosophical style of the Wei and Jin Dynasties. Tang Yongtong summarizes its meaning in four aspects. First, it is used to explain the classics. The interpretations of classics in this era are the manifestation of the attitude that “language cannot fully express meaning.” Through the emphasis on this basic principle, the difference between the surface meaning of a text and its true philosophical meaning it is highlighted. Therefore, to interpret the classics, we must read between the lines to explore its essence. In The New Study of the Classics (Xin Jing Xue, 新经学) from the Wei and Jin Dynasties, which is based on this idea as its foundation, annotations to every single word and sentence are not praised as they were in The Study of the Classics in the Han Dynasty. Scholars began to focus more on the philosophical issues within the classical texts. Second, since “language cannot fully express meaning,” “to forget the images and the words” (Wang Xiang Wang Yan, 忘象忘言) has become the natural next step. “To forget the images and the words” is not only the new scholarly style of the Wei and Jin Dynasties but also the embodiment of the metaphysical purpose of Neo-Daoism. “Mystery” (Xuan, 玄) is unknowable and unspeakable. Thus, it is only by “forgetting the images and the words” can we explore the ultimate reality which language cannot fully express. Third, with the spirit of “forgetting the words and pursuing the meaning” (De Yi Wang Yan, 得意忘言), one can understand both Confucianism and Daoism, and thus transcend the boundaries of schools. Wang Bi’s writings include not only Annotations to The Laozi but also Selected Explanations of The Analects and Annotations to The Book of Changes. The question of assigning these three texts to different schools does not seem to be the focus of Wang’s attention. Wagner says that Wang does not consciously believe that he is a Daoist at all but considers himself a philosopher who transcends the boundaries of different schools. I think this judgment is very insightful. In Simple Exemplifications of the Guidelines of The Laozi, besides Daoism, nearly all

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of the schools of Chinese philosophy, including Confucianism, Mohism, the School of Names (Ming Jia, 名家), and Legalism are criticized. Wagner believes that this is because Wang’s criticism of Daoism would have been deleted by the editor because the article is included in Dao-Zang, which is a collection of Daoist-centered writings. This is, of course, speculation. However, it is also true that scholars in the Wei and Jin Dynasties, like Wang Bi and Guo Xiang, paid more attention to the universal philosophy itself rather than the doctrines of any particular school. This tendency to transcend the boundaries of different schools is also shown to a certain extent in Neo-Confucianism in the Song Dynasty. Fourth, “the distinction between language and meaning” is not only related to metaphysics but also has a profound impact on the behavior of historical figures. Some of the figures in the Wei and Jin Dynasties paid very little attention to their bodies. They were able to do so because they cared more about their “spirit” (Shen, 神) rather than their “shape” (Xing, 形). Some of these characters, like He Yan and Wang Bi, emphasized acting without action in the political and ideological sphere and partially transcended the social orders that bound people, while others, like Ji Kang (嵇康) and Ruan Ji (阮籍), lived very casual and relaxing lives and fully transcended the constraints of social etiquette. They did not pay attention to their own bodies or appearance; some of them “did not wash their faces for fifteen days each month.”4 They believed that appearance was not enough to reflect the inner spiritual essence. This was the embodiment of the attitude that “language cannot fully express meaning” in daily life. The spirit resulting from this judgment also influenced the artistic style in the Wei and Jin Dynasties. It is recorded in Shi-Shuo-Xin-Yu that Gu Kaizhi (顾恺之, 348–409) did not ever draw eyes on paintings until he had finished painting the body several years later. “Whether the body is beautiful or not is not the essence at all!” Gu said. “The vividness of a portrayal depends on the eyes of the figure.”5 In Gu’s opinion, the beauty of the body was not important at all; the key was the spirit conveyed in the eyes. Can language express and grasp ultimate reality or not? This is the first problem to be solved when studying The Laozi. Although the dilemma of language is addressed at the beginning of The Laozi, in the text, it is never denied that philosophical insights can be truly expressed through language. To overcome the dilemma of language and expression, Wang Bi makes an important innovation. Distinguishing the action of “naming” (Ming Zhi, 名之) from the action of “describing” (Wei Zhi, 谓之) is the key to Wang Bi’s solution to the language dilemma in expressing ultimate reality. To name is to divide, and to describe is to offer reasons. If there are divisions, there will be incompatibility, and if there are reasons, there will be something unreasonable. If there is incompatibility, it is far away from the truth, and if there is something unreasonable, the naming has failed. All these conclusions can be demonstrated.6 See Dai Mingyang 戴明扬, Jikang Ji Jiaozhu 《嵇康集校注》 ( ), Beijing: Zhonghua Press, 2014, p. 196. 5 Xu Zhen’e, Shishuo Xinyu Jiaojian, p. 388. 6 Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 196. 4

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The word “name” (Ming, 名) here is close to the definition. For example, when we talk about an object, including a person or a thing, or a certain attribute, we create limitations through our definition. When Wang Bi says “to name is to divide,” he means that if one names something, distinctions and limitations will appear. To give something a definition is to give it a limitation and distinction from other things which are different. For example, when we define something as a “table,” what we are doing is distinguishing it from other items of furniture. When there is a difference, there is a distinction, and when there is a distinction, there is a clear boundary. Therefore, “if there is a division, there will be an incompatibility.” The essence of the name—distinctions—tells us that a name cannot be a definition of all opposing parts. Concrete existence is definite, but ultimate reality is not, so we cannot give it a definition. Although we cannot “name” ultimate reality, we can try to “describe” it. Wang specifically points out the difference between a “name” and a “description.” To name is to fix the object, and the description is decided by the subject. A name is rooted in a thing and a description is based on me.7 Names originate from shapes and descriptions are invented by human demands.8

The “name” is related to the object while the “description” is given by the subject. Therefore, a “name” must be combined with the appearance of an objective thing while a “description” comes from the appeal of the subject. “Names” must have a relationship with the external appearance, like the shape and attributes of the concrete object, so the object of a “name” must be something that can be named, has specific attributes, and has definite characteristics. But Dao has no specific appearance or limitation, so for the ultimate reality, like Dao and “Non-being,” we can only “describe” them by indicative language rather than give them definitions with “names.” “Names” come from the objects, and “descriptions” come from the subjects. Therefore, it is said that “a name is rooted in a thing and a description is based on me,” and “names originate from shapes and descriptions are invented by human demands.” By the distinction between “naming” and “describing,” Wang Bi can very effectively unify nearly all important concepts such as “Mystery,” “The Great” (Da, 大), “Dao,” and “Subtle” (Wei, 微), regarding them all as descriptions of the ultimate entity from different angles. The description ‘Dao’ indicates that all things have reasons. The description ‘Mystery’ indicates that the reasons are hard to discover. The description ‘Deep’ indicates that the reasons are too profound to be fully understood. The description ‘The Great’ indicates that the reasons can never be fully understood. The description ‘The Farthest’ indicates that the reasons can never be reached by human beings. The description ‘Subtle’ indicates that the reasons cannot be seen. However, ‘Dao,’ ‘Mystery,’ ‘Deep,’ The Great,’ ‘Subtle,’ and ‘The Farthest’ have their own meanings and neither of them can show the whole essence of the ultimate reality.9

7

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 197. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 198. 9 Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 196. 8

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Without the help of ultimate reality, nothing can achieve itself. Therefore, the ultimate reality is the way in which everything exists and becomes itself. From this perspective, we can describe it as “the Dao.” From the perspective that the ultimate reality does not have any specific attributes, we can describe it as “Mystery.” From the perspective that the ultimate reality is all-encompassing, we can describe it as “The Great.” Similarly, “Deep,” “Subtle,” and “The Farthest,” which are commonly used in The Laozi, are also different descriptions of the Dao from different subjective perspectives. Although none of these descriptions can fully express the sum of ultimate reality, through such “descriptions,” we finally have a way to talk about it. In conclusion, Wang Bi does not give up thinking and expressing the truth by claiming that “language cannot fully express meaning.” On the contrary, by the distinction between “name” and “description,” Wang not only explains the expediency of language but also tells us that through this expedient tool, we can still obtain some understanding of the ultimate insight. Facing the dilemma of language, Wang has found the possibility of a breakthrough.

3 Ontological Breaks Tang Yongtong compared the worldviews of thinkers in the Han Dynasty and thinkers in the Wei and Jin Dynasties in the opening paragraph of his article A Brief Discussion on the Different Trends in Neo-Daoism (Wei Jin Xuan Xue Liu Bie Lue Lun,《魏 晋玄学流别略论》 ). The Han thinkers loved to discuss problems in cosmology, Tang said, while the scholars in the Wei and Jin Dynasties no longer paid attention to those issues but instead started to understand the world from the perspective of ontology. In cosmology, the material is the focus. For example, the Han thinkers talked about “Mystery,” “The Simplest” (Tai Su, 太素), and the developmental history of the universe, which is basically about the evolution of the universe on the material level. There are some Han people, like Zhang Heng (张衡, 78–139), who believed that “Mystery” is “something invisible” (Wu Xing Zhi Lei, 无形之类). But this invisible “Mystery” was only the beginning of the universe, i.e., the beginning of time. The Neo-Daoist thinkers, to the contrary, were not interested in those cosmological problems. They further explored the substance behind everything and the basis of existence, which is what Tang Yongtong called “the noumenon itself” (Cun Cun Ben Ben Zhi Zhen, 存存本本之真). Wang Bi’s discussion of “the meaning of the numbers in divination” (Da Yan Yi, 大 衍义) is important evidence of Tang’s judgment that there is an “ontological break” in Neo-Daoism. Wang’s discussion about “the meaning of numbers in divination” refers to Wang’s illustrations of the sentence that “the number in divination is fifty while the number used is forty-nine” (Da Yan Zhi Shu Wu Shi, Qi Yong Si Shi You Jiu, 大衍之数五十, 其用四十有九) in The Appended Remarks of The Book of Changes. Wang does not offer any thesis in The Appended Remarks but we can still know his thoughts because his explanations are recorded in Han Kangbo’s (韩康伯, 332–380) annotations to The Appended Remarks. By talking about “the meaning of the numbers

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in divination,” the author of The Appended Remarks shows his readers the way to obtain a hexagram through four steps and eighteen changes by using fifty blades of grass in divination. During this process, one blade of grass of the fifty was not used. How can we understand that? The most popular explanation in the Han Dynasty is that this unused one is just like the North Star (Bei Chen, 北辰), i.e., the Polaris, while the other forty-nine blades of grass are like other stars orbiting the North Star. The problem in this explanation is that the unused blade is not essentially different from the other forty-nine. The only difference between them is that they are in different positions. This is typical of cosmological thinking in the Han Dynasty, which was completely material, with no distinctions between substance and function, root (Ben, 本) and branches (Mo, 末), or essence and phenomenon. On the contrary, Wang’s interpretation of “the meaning of the numbers in divination” was entirely different. The Number fifty is very important for us to simulate and calculate the movement of Heaven and Earth. In fifty, forty-nine are used while one is not. With the help of the unused one, the other forty-nine can achieve their functions, thus, the unused one is not a number but the foundation on which the other forty-nine numbers can achieve their use. Therefore, the unused one is the Supreme Ultimate (Tai Ji, 太极) and the other forty-nine are a symbol of the totality of numbers. We cannot illustrate non-being with something that does not exist. On the opposite, we can only try to describe non-being by comparisons between it and real things. So we usually show the totality of things and then go further to prove that there is a foundation of all things at the extreme of existence.10

By saying “with the help of the unused one, the other forty-nine can achieve their function,” Wang points out that the existence of “the unused one” is the condition under which the other forty-nine can achieve their function. By saying “the unused one is not a number but the foundation on which the other forty-nine numbers can achieve their use,” Wang wants to prove that the other forty-nine numbers rely on the unused one. This is not a theory of cosmology or cosmogony in any sense because Wang did not want to show his readers that there was a stage of nothing before the time in the developmental history of the world of existence. In Wang’s theory, the unused one, which is the root (Ben, 本), is essentially different from the other forty-nine. It is recorded in the biography of Wang Yan (王衍, 256–311) in The History of the Jin Dynasty (Jin Shu,《晋书》 ) that “during the years of Zhengshi (正始, 240–249), people like He Yan, Wang Bi and so on made the claim that ‘non-being is the root of all things under the Heaven.’”11 In fact, the unused one in Wang’s discussion about “the meaning of the numbers in divination” is non-being, which is the root and origin of all things under Heaven.

10 See Li Xueqin 李学勤 ed, Shi San Jing Zhu Shu 《十三经注疏》 ( ), Beijing: Peking University Press, 1999, p. 279. 11 Fang Xuanlin 房玄龄, The History of the Jin Dynasty (vol. 43) (Jin Shu,《晋书》 ), Beijing: Zhonghua Press, 1974, p. 1236.

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3.1 The Meaning of “Non-being” The “non-being” in Neo-Daoism has nothing to do with time. There is one paragraph in Simple Exemplifications of the Guidelines of The Laozi. Things are created because of the shapeless and work is done because of the nameless. The shapeless and the nameless are the root of everything. They are neither warm nor cold, neither high nor low. We are not available to hear it, see it, feel it, or taste it. It is like a mixture of things, an image without any figure, a tone that cannot be played, and a taste that we cannot taste. Therefore, it can be the supreme master of all things, covering everything between Heaven and Earth, being in all of them.12

By saying that “the shapeless and the nameless are the root of everything,” Wang means that non-being is the foundation of all existence. But it is not a cosmological beginning. The being of a thing is established with the help of negativity. For example, if a thing is white, then it will never be black or gray, and if a thing is square, then it will never be round or triangular. All attributes come from negative definitions. The “being” of a thing is constituted by a series of “non-beings” within it. Since any concrete “being” comes from infinite definitions of negativity, is this infinite negativity “many” or “one?” “Non-being” means no attributes, no distinctions, and no limits—“it is neither warm nor cold, neither high nor low.” So, we cannot hear it, see it, feel it, or taste it. In a word, we cannot grasp it by our sensations. It is only because it is shapeless that it can “cover everything between Heaven and Earth, being in all of them.” Thus, it can be seen that “non-being” is not “many” but “one”. In conclusion, negativity, which is the basis of the creation of all things, is a united whole, not divided. Although “non-being” is a noun, it can also be regarded as a verb, too. When using a chisel to carve a stone statue, each click of the chisel is a denial of the stone, and each denial also means the process of presenting the stone statue as a “being.” The non-being, which is the fundamental negativity, is more real and basic than all tangible things. All concrete “beings” have a birth and death, but as the foundation of the creation of all things, “non-being,” which cannot be grasped by any sensation, has no appearance, creation, or destruction. It is only with the help of “non-being,” that all “beings” can achieve their function. We knead and burn clay to make pottery. The body of a clay vessel is “being,” but the solid part is not the reason the vessel is useful; the empty part is what makes it useful. In the same way, a house is a house because it is empty in the middle. From the perspective of creation, “being” can only exist with the help of negative “non-being” and from the perspective of existence, “being” cannot achieve any function without the help of “non-being.” In Wang’s annotation to the Chapter 40 of The Laozi, he says: All things in the world come from being. And being comes from non-being. To achieve the existence of all beings, we must turn back to non-being.13

12 13

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 195. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 110.

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The existence of all things under Heaven must be understood from the perspective of “being,” and the beginning of “being” is based on “non-being.” From this point of view, Wang Bi’s philosophy offers readers a theory of creation. However, this theory is no longer cosmological. In Wang’s opinion, the creation of a being can be understood as a series of definitions of negativity. From the perspective of the existence of all things, everything depends on non-being to exist.

3.2 The Dao and Things In Wang’s annotation to Chapter 25 of The Laozi, he says: It is undifferentiated so that we cannot know it, but with the help of it, all things can achieve their functions. Therefore, Lao Zi says that it is “a mixture” (Hun Cheng, 混成).14

The word Hun Cheng in The Laozi is usually understood as “a mixture,” but scholars cannot adequately explain what this concept means. In Wang’s explanation, Cheng (成) is a verb. He thinks that on the one hand, the Dao is not a thing, thus it has no concrete attribute, so Lao Zi says “it is undifferentiated so that we cannot know it.” On the other hand, without the Dao, nothing can achieve itself, therefore, Lao Zi says that things are achieved (Cheng, 成) through “mixture.” By using the word Hun Cheng, in Wang’s opinion, Lao Zi wants to show his readers the Dao’s effect on all things. In Wang’s interpretation, there is a clear structure of the first chapter of The Laozi. “The nameless is the origin of Heaven and Earth; The Named is the mother of all things.” The two concepts of “the origin” (Shi, 始) and “the mother” (Mu, 母) in these two sentences correspond to the following two concepts of “the beginning” (Miao, 妙) and “the outcome” (Jiao, 徼) respectively. “Let there always be no desire so we may see the beginning; Let there always be the desire so we may see the outcome.” “The beginning” is the beginning of all things and “the outcome” is the final accomplishment of all things. In this way, the themes of creation and accomplishment in the first chapter are revealed. In the last sentence of this chapter, it is said that “deeper and more profound, the door of all subtleties!” With regards to this sentence, Wang says that “all subtleties come from that which is deeper and more profound.”15 It is obvious that Wang thinks that Mystery is the beginning of all things. Wang also says: All beings come from non-being, so the shapeless and the nameless are the root of everything. When there is shape and name, the Dao rears all things, develops them, gives them security, and gives them peace, being the mother of them.16

The first sentence of this paragraph is about the creation of all things. It should be noted that “the shapeless and the nameless” mentioned here cannot be understood 14

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 63. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 2. 16 Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 1. 15

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as a time when things do not start to become themselves. The Dao is shapeless and nameless, and there is no time when there is nothing. The most concise explanation of “giving them security” (Ting Zhi, 亭之) and “giving them peace” (Du Zhi, 毒 之) are helping them grow and making them mature. By saying “the Dao rear all things, develops them, helps them grow and make them mature,” Wang discusses the functions of the Dao and the accomplishment of all things. At last, the expression “being the mother of them” in this paragraph shows the parallel between “the origin” and “the mother”—“the origin” is about the creation while “the mother” is about the accomplishment.

3.3 The Dao and Nature The dual role of “non-being” is also key for us to understand the relationship between the Dao and nature (Zi Ran, 自然). Regarding the relationship between the Dao and nature, there is a very famous expression in Chapter 25 of The Laozi—“the Dao follows nature.” (Dao Fa Zi Ran, 道法自然) Is there a more fundamental thing than the Dao? Obviously, there is not. Wang thinks that we should understand the sentence in this way: By saying ‘the Dao follows nature,’ Lao Zi wants to say that the Dao will be square when we find it in a square thing and will be round when we find it in a round thing.17

For a square thing, the role of the Dao is to make it truly a square and perform its function as a square thing. Similarly, for a round thing, the role of the Dao is to make it truly a round one and exist as a round one. Wang thinks that to “follow nature” is to behave naturally. People neither need to change themselves nor can they change themselves. The Dao does not give anything to all things nor does it take anything from them. The only effect of the Dao on all things is that it lets all things be themselves. It can be inferred that from the Daoist understanding that the essence of education is to let all people live according to their own nature. Thus, it is a denial of coercive education. By claiming that “the Dao follows nature,” NeoDaoism fundamentally reverses the thought and social customs of the old Confucian society, which was centered on education. In the views of Neo-Daoist scholars, an ideal society is one where everyone lives according to his own nature.

3.4 Becoming Useful with the Basis of Non-being In Chapter 51 of The Laozi, there is a sentence, “The Dao produces them. Virtue fosters them. Matter gives them physical form. The circumstances and tendencies complete them,” which is clearly about the formational process of the ten thousand 17

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 65.

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things. Wang Bi also thinks that this sentence is about the development of things and he emphasizes this in his annotations. After being produced, things will then be fostered. After being fostered, they will be given physical forms. After being given physical forms, they will be completed. How can they be produced? Because of the help of the Dao. How can they be fostered? Because of the help of Virtue. How can they be given physical forms? Because of the help of Matter. How can they be completed? Because of the help of the circumstances and tendencies.18

It should be noted here that there are not four phases in the process. Fundamentally speaking, there are only two phases—“being produced” and “being fostered.” The following two—“being given physical forms” and “being completed” are only the deepening of “being fostered.” In Wang’s opinion, the origin of the creation of all things is “the Dao.” Everything is born from it, so it is called the Dao. The word “foster” refers to the endurance of a certain quality. If there is no endurance, there can be no accumulation. The growth of everything is an accumulation along a specific direction, and when it accumulates to a certain extent along a certain direction, there is a “form”. To follow nature, things will get their shapes and forms so that they can be called Matter. But things will not be completed if there is only a certain shape. The circumstances and tendencies can be understood as a connected whole in which all things have their functions. All the instruments in our hands are in the connected whole of this era. For example, a person from the Spring and Autumn Period (770 B.C.–476 B.C.) would not be able to recognize a chair now and use it as a seat. A chair will not become a chair until it is put in an environment where it can have the function of a seat, and the environment is what Wang called circumstances and tendencies. The usage of any instrument will not be clear until it is used to achieve some goal. Things have meaning only if they meet the purposes of human beings. However, the connected whole of the material world itself does not have a certain purpose. Our existence is not aimed at a particular teleology. On the contrary, our present can be complete. This is the reflexive and introverted self-sufficiency I often talk about. It can be achieved in every kind of life. Everything is in the connection of usefulness, and the connection of usefulness is not dependent on the connection of things. But the whole of the connection of usefulness refers to a closed world in which all things are related to each other. “Non-being” has both purposefulness and purposelessness in the whole of the connection of usefulness. This purposelessness is the condition for all things to “complete” themselves. “Non-being” is not only the origin of the creation of all things but also the condition for all things to function. In general, in the process of creating all things, “the Dao” is fundamental and a prior. The negativity of “non-being” is the basis of the creation of all concrete things. When it comes to the phase of the fostering of Virtue, all concrete things have specific attributes. With specific attributes, they have forms, and with forms, they have shapes. It cannot be said that things are completed only if they have shapes. A thing will be completed if it is put in the relationship and circumstances among things. A thing will have its usage in the relationship among things. After describing the process of a thing’s creation to its completion, Wang’s final purpose is to explain 18

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 137.

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his theory of “becoming useful with the basis of non-being” (Yi Wu Wei Yong, 以无 为用). When studying Wang’s philosophy, we must pay attention that what Wang directly says is not “taking non-being as the basis” (Yi Wu Wei Bei, 以无为本), but “becoming useful with the basis of non-being.” In his annotation to Chapter 38 of The Laozi, Wang says: Virtue is about what we have. (De Zhe, De Ye, 德者, 得也) It is eternal, long kept, and beneficial, so it is called the Virtue. How can we get the Virtue? By the Dao. How can we achieve the Virtue completely? By becoming useful with the basis of non-being.19

The characters of all things are called virtue (De, 德). Certain attributes of the ten thousand things come from the negativity of “non-being.” However, it is not enough to have only certain attributes, the completion of virtue is needed. And virtue cannot be completed without all of its connected usages. In Wang’s annotation to Chapter 4 of The Laozi, he says: Even if a person has the ability to manage a family, he cannot do it completely. Similarly, even if a person has the ability to rule a kingdom, he cannot do it complete either. If one tries his best to lift an object, he will then have no more strength to use it as a tool... Keep empty and then use it, its usage will be unlimited.20

Wang’s annotation to this chapter is very classic, and I think that it can be passed along with the text of The Laozi. A person who has just enough ability to control a hereditary fiefdom or kingdom will not be good at governing a territory of this size, because he will have no more strength leftover. If a person does his best to lift a heavy object, in fact, he can no longer use it. Thus, it is said “keep empty and then use it.” When Wang says that “keep empty and then use it,” he means that we should turn non-being into usefulness. Daoist sages tell us that no matter where it is, we must leave some space and must not exhaust it, otherwise, everything is unsustainable. In summary, besides an ontological break, Wang’s philosophy has other achievements. The claim of “becoming useful with the basis of non-being” is ontological, and when talking about this, Wang emphasizes that non-being is the foundation of the existence and function of all beings. However, when talking about taking non-being as the basis, Wang describes the creation of all things, which is cosmological rather than ontological. There is another facet that we should notice. The creation of all things that Wang describes is not horizontal or chronological, but vertical.

4 Political Philosophy The political principle of “acting without action” is the embodiment of the ontological ideology of “the Dao follows nature.” In Wang’s annotation to Chapter 5 of The Laozi, he says: 19 20

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 93. Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 10–11.

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“Heaven and Earth are natural, doing nothing to all things, letting them govern themselves, so they are not benevolent… Heaven and Earth do not produce grass to feed animals, but animals eat grass naturally. Similarly, they do not produce dogs to feed human beings, but human beings eat dogs naturally. By acting without action to all things, Heaven and Earth let all things be themselves, protecting all of them. If a king wants to rule by his own wisdom, he will never succeed. A sage should imitate Heaven and Earth and keep his virtue, regarding his people as grass and dogs (Chu Gou, 刍狗).”21

The word Chu Gou (刍狗) is usually explained as dogs made of grass; however, Wang reads it as grass and dogs. Heaven and Earth do not produce grass for cows or horses, but cows and horses eat grass. Similarly, Heaven and Earth do not produce dogs for human beings, but human beings in the past ate dogs. Heaven and Earth do not provide extra love or heat for anything, so they are not called benevolent. They never interfere, but let all things form a relationship of self-government naturally so that everything can be itself. This is the basic principle of acting without action.

4.1 Two Ways to Observe Things In Wang’s annotation to Chapter 1 of The Laozi, he says: ‘The beginning’ (Miao, 妙) is the smallest. All things begin from the smallest and then slowly grow; and they start from non-being and then are gradually produced. Thus, to have no desire and to keep empty is a way to observe the beginning of all things. ‘The outcome’ (Jiao, 徼) is the ending. Without non-being, no being can achieve its function. Similarly, without the Dao as the foundation, no desire can be actualized. Therefore, to have the desire is a way to observe the outcome of all things at their ending.22

In Wang’s explanation, to have no desire and to have desire are two ways for subjects to observe things. By having no desire, the subject can observe the beginning of things, and by having desire, the subject can observe the outcome of things. For example, when a scientist investigates things, he must be fully objective at first. If there is desire in his heart to observe certain outcomes, the observation will be biased. Therefore, he must observe with no desire. But if human beings always lack desire, they cannot observe the outcome of things at their ending because things are accomplished through uses, and uses must be rooted in people. Human beings depend on things and need them. Thus, “desire” is the basis of “use.” Therefore, we can only observe the outcome of things at their ending by having desire. Without desire, we cannot see the connected uses of all things. Furthermore, the differentiation of the realms of human existence is also rooted in desire. It is desire that brings about the development of all areas of human life. Of course, with this unfolding process, human civilization is also exposed to the dangers caused by the excessive development of civilization.

21 22

Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 13–14. Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 1–2.

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4.2 “To Value the Root and to Keep the Branches” (Chong Ben Ju Mo, 崇本举末) and “To Value the Root and to Eliminate the Branches” (Chong Ben Xi Mo, 崇 本息末) The two concepts of the root (Ben, 本) and the branches (Mo, 末) are very important in Wang’s philosophy. The root refers to non-being, the Dao, The One (Yi, 一), The Simplest (Pu, 朴), The Mystery, and so on, which can only be described but not named. The branches refer to the realm of human existence and the specific things related to the realm of human existence. When talking about the relationship between the root and the branches, Wang seems to present two contradictory claims—“value the root and keep the branches” and “value the root and eliminate the branches.” We can find the former in Wang’s annotation to Chapter 38 of The Laozi. Keep the mother in order to save the son. Value the root in order to keep the branches. By doing these, the shapes and names will be all protected without evil and the grand beauty will match Heaven without extravagance.23

According to the text, the word “keep” matches the word “value,” so the action of “valuing” is clearly positive. In comparison, “to value the root and to eliminate the branches” is more difficult to interpret. The word Xi (息) has two opposing meanings in Chinese—One is “to eliminate” and the other is “to grow.” In Wang’s Simple Exemplifications of the Guidelines of The Laozi, he says: The theme of The Laozi can almost be summed up in one sentence. It is just ‘to value the root and to eliminate the branches’.24

By using the phrase that something can be “summed up in one sentence” (Yi Yan Yi Bi Zhi, 一言以蔽之), Wang obviously imitates Confucius. By saying “it is just to do something” (Er Yi Yi, 而已矣), Wang’s confidence is fully expressed. He is very confident that the most profound understanding of The Laozi is “to value the root and to eliminate the branches”! Are the two claims of “value the root and keep the branches” and “value the root and eliminate the branches” in Wang’s works contradictory? This problem has attracted much attention in the field of Neo-Daoist metaphysics. In fact, the key to the problem lies in the difference in the concept of “the branches” (Mo, 末). In Simple Exemplifications of the Guidelines of The Laozi, it is very clear that the branches refer to “evil,” “excess,” “theft,” and “lawsuit,” etc. In order to drive out evil, we need to keep our sincerity rather than improve our observation skills in finding evil. In order to reduce excess, we need to abandon the luxury rather than make comparisons. In order to diminish theft, we need to reduce our desire rather than 23 24

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 95. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 198.

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publish strict laws. In order to cut lawsuits, we need to stop encouraging rather than make better judgments.25

The word “branches” in the expression “to value the root and to eliminate the branches” obviously refers to excessive and evil things. On the other hand, “the branches” in the expression “to value the root and to keep the branches” in Wang’s annotation to Chapter 38 of The Laozi refers to benevolence, righteousness, and rituals. To understand the expression “value the root and keep the branches,” we need to discuss Wang’s annotation to Chapter 28 of The Laozi. If the Truth (Zhen, 真) is separated, all kinds of different actions and things, like instruments, will appear. Because of the fact of this separation, the sages choose the right people and make them rulers and officials.26

“The Simplest” is the unseparated Dao, and different instruments will appear with its separation. The invisible Dao will inevitably be separated into concrete instruments. In politics, Wang’s theory indicates that orders and authorities are necessary. When Wang says that “the sages choose the right people and make them rulers and officials,” he wants to emphasize that a good political authority and hierarchical order must be based on “The Simplest.” Political orders are necessary, but among them, there are good and bad. In Wang’s annotation to Chapter 42 of The Laozi, he says: From non-being to being, the numbers used are only one, two, and three. Besides these, others are not used anymore.27

From the invisible Dao to the perceptible ten thousand things, the separation will stop at the number “three.” In other words, the separation is not unlimited. In this claim, we have different understandings and interpretations about the Daoist political principle of “acting without action.” The principle of acting without action in Lao Zi and Zhuang Zi’s philosophy is like a pure fantasy, which can be regarded as the imagination and nostalgia of a simple world in an era when civilization has been fully developed and thus lacks practical operability. One of the important developments from Daoism to Neo-Daoism was to develop a methodology to actualize the abstract political doctrines of Lao Zi and Zhuang Zi. Wang, in his annotations, not only emphasized the necessity of a bureaucratic system but also pointed out the limits of this necessity. In his opinion, a bureaucratic system was to a certain extent necessary, but if that limit was exceeded, the system would be against the Dao. In other words, not all “the branches” are evil. Before the number “three,” differentiation is simple. At this level, we need to protect “the branches” by focusing on “the root.” After the number “three,” excess and evil should be stopped. There is no contradiction between the two claims of “value the root and keep the branches” and “value the root and eliminate the branches.” Lao Zi and Zhuang 25

Ibid. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 75. 27 Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 117. 26

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Zi are not opposed to benevolence and righteousness. What they emphasize is that these good values cannot be pursued and promoted directly, which will cause all different kinds of hypocrisy and competition. By saying “value the root and keep the branches,” Wang wants to value the Dao as the root and keep benevolence and righteousness as the branches. Because he thinks that benevolence and righteousness derived from the Dao will be true, not competitive, ostentatious, or hypocritical. But “the branches” in “to value the root and to eliminate the branches” are not benevolence or righteousness. They are by-products of decadent civilization, so they are not the products of the Dao. Thus, they must be eliminated as we value “the root.”

4.3 Acting Without Action In Chapter 19 of The Laozi, there is a discussion about the principle of acting without action. “Abandon sageliness and discard wisdom; Then the people will benefit a 100fold. Abandon benevolence and discard righteousness; Then the people will return to filial piety and love. Abandon skill and discard profit; Then there will be no thieves or robbers. However, these three things are ornaments and are not adequate. Therefore, let people hold on to these: Manifest plainness (Su, 素), embrace simplicity (Pu, 朴), reduce selfishness, have few desires.” To this paragraph, Wang explains: Sageliness and wisdom are good characteristics, benevolence and righteousness are good standards for behaviors, and skill and profit are good in practice. However, Lao Zi teaches us to abandon them directly. These three are only ornaments and thus are not adequate, so Lao Zi does not ask people to chase them or pay attention to them… In Lao Zi’s mind, the only thing that people should pay attention to are plainness, simplicity, and the reduction of selfishness and desires.28

Sageliness and wisdom, benevolence and righteousness, and skill and profit are all valuable things. Why should we abandon them? Because if they are advocated in a society, there will definitely be fraudulent competitions to demonstrate them. Therefore, in Chapter 18 of The Laozi, it is said that “when the great Dao declined, the doctrines of benevolence and righteousness arose. When knowledge and wisdom appeared, there emerged great hypocrisy. When the six family relationships were not in harmony, there was the advocacy of filial piety and love for children. When the country was in disorder, there was the praise of loyal ministers.” True benevolence, righteousness, loyalty, and filial piety will not appear merely because we advocate for them. Only by giving up advocating them, can we truly achieve them. Wang Bi and Lao Zi are the same in pursuing plainness and simplicity. Both plainness and simplicity mean the uncarved and the unpolished. The destruction of the uncarved and the unpolished nature comes from the pursuit of fame and profit. Therefore, it is said in The Laozi, “do not praise the nobleman, so that the people shall not compete. Do not value what is expensive and rare, so that the people will not steal.” (Chapter 3) The greatest fame is sageliness, wisdom, benevolence, and righteousness, and the 28

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 45.

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greatest profit are all kinds of skills, so we need to abandon them. But abandoning them is not enough, we still have to show better aspects of life. Therefore, “the only things people should pay attention to are plainness, simplicity, and the reduction of selfishness and desires.” But what is the standard of simplicity? Is it only to return to our primitive state? In Wang’s annotation to Chapter 16 of The Laozi, he says: The eternal (Chang, 常) is without partiality, having no image of either bright or dark, no attributes of either warm or cold. Thus, Lao Zi says ‘to know the eternal is called enlightenment’ (Zhi Chang Yue Ming, 知常曰明).29

“The eternal” is neither biased nor manifested. There is no difference between bright and dark, and there is no difference between warm and cold. In other words, everything is in a natural state. For example, in the most comfortable situation, you will lose sensation of the shoes on your feet. Only when something goes wrong, do the shoes start to become the object of our attention. Through the interpretation of the word “the eternal,” Wang justifies our daily customs. If people are content with their customs, they will act in a manner that is typical. Such actions are in line with the standard of “the eternal.” In a society with a highly developed civilization, people living in a primitive state will be considered abnormal. Lao Zi would like to live in the simplest society possible, however, Wang adapts the principle of simplicity into sets of different life choices for all ages.

4.4 The Character of the Sage In Wang’s opinion, the sage is the ideal ruler. What kind of character should a ruler possess in order to actualize the principle of acting without action? In Chapter 15 of The Laozi, there is a paragraph which discusses this question. “Of antiquity, those who were the best rulers were subtly mysterious and profoundly penetrating; they were too deep to comprehend. And because they cannot be comprehended, I can only describe them arbitrarily: Cautious, like crossing a frozen stream in the winter, being at a loss, like one fearing danger on all sides, reserved, like one visiting a new place, supple and pliant, like ice about to melt, genuine, like a piece of uncarved wood, open and broad, like a valley, merged and undifferentiated, like muddy water.” On this paragraph, Wang explains: A person who crosses a frozen stream in the winter must be very cautious, so we can hardly be sure about his true decision on whether to cross or not at any given moment. If four neighbors attack a central kingdom on all sides, the ruler of the central kingdom will hesitate and will have difficulty in choosing a direction to defend. Similarly, we cannot discover a sage’s intention. All words in The Laozi express the idea that the sage’s appearance is uncertain so that it is not possible for him to be known or named.30 29 30

Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 36. Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 33–34.

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This expression of sageliness is like crossing a river in winter. Because we do not know whether the ice is solid, we hesitate whether to cross or not. It is also like the case of a kingdom where there are wars on all four sides; the ruler will not know where to defend first. All these descriptions emphasize the incomprehensibility of intention, which is the so-called “deep and unrecognizable.” The desires, encouragement, and opinions of the sage are unpredictable. Because of his “dullness,” it is possible for people to return to their own nature and live plainly. Unlike He Yan, who believed that the sage has no emotions (Qing, 情), Wang believed that sages have emotions. Sages are wiser than normal people, but their emotions are not different from normal people’s. Because they are wiser, they can understand all contradictory aspects and comprehend nonbeing. And because their emotions are not different from normal people’s they also reflect happiness or sadness when they face certain situations. However, although the sages have emotions, their emotions are not controlled by circumstances outside themselves.31

The reason why the sages are superior to normal people lies in the brightness of their minds. As for emotions such as joy, anger, sorrow, and happiness, the sages have them just like all normal people. Because of the excellence of the minds, the sages can comprehend “non-being,” which is the foundation of all things. Because the sages have emotions, it is impossible for them not to respond to things with sadness and joy. However, because of their excellence of mind, the sages can respond to things with emotions but not be controlled by them. This character of the sage makes the political principle of acting without action realistic.

Chen Shou 陈寿, The History of the Three Kingdoms (San Guo Zhi,《三国志》 ), Beijing: Zhonghua Press, 1964, p. 795.

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Chapter 6

The Principle of Nature: The Philosophy of JiKang

Ji Kang (嵇康), whose courtesy name is Shu Ye (叔夜), was born in the county of Zhi (铚) in the kingdom of Qiao (谯国) in 223 A.D. and was killed in 262 A.D. In The History of the Jin Dynasty, there is a paragraph about his life. “Ji Kang’s parents died when he was very young. He was talented and quite different from his contemporaries. He was about 6-foot-tall and good at speech and writing. He was as handsome as a dragon and a phoenix but he never cared about his appearance. People admired him and thought that his lifestyle was very natural. He was calm and had very few desires. He was very generous and tolerant of other people’s shortcomings. He had no teachers but rather studied by himself. He loved to read all kinds of books, among which his favorite two were The Laozi and The Zhuangzi.”1 There is another record about his life in Shi-Shuo-Xin-Yu. “Ji Kang, a 6-foot-tall man, had a very beautiful appearance. People who saw him would sigh and say ‘How profound and crystal-like he is!’ Others also said, ‘He is like a giant pine tree, both tall and gentle.’ Shan Tao (山涛, 205–283) said, ‘Ji Kang is like a single pine tree standing tall and lonely. When he is drunk, he is like a jade mountain, about to collapse.’”2 It can be said that inadvertently, Ji Kang had everything that people envied in that era. However, Ji Kang described himself like this in his Letter to Shan Tao to Announce the Ending of Our Friendship (Yu Shan Ju Yuan Jue Jiao Shu,《与山巨源绝交书》 ). “My father died when I was very young and my mother and brothers treated me badly, so I never studied the classics. I am too lazy, wild, and weak. Out of each month, I forgot washing my head and face for fifteen days. I will not wash them until I feel an itch. I will not wake up to urinate until I feel pain. Living this wild life for a long time, I feel so comfortable that I cannot obey rituals or be civilized. It is because of the tolerance of my generous friends that I am not criticized harshly.”3 Madly loved by people in his era, Ji Kang enjoyed his naturalistic life and harmed himself on purpose, which

1

Fang Xuanlin, Jin Shu, 1974, p. 1369. Xu Zhen’e, Shishuo Xinyu Jiaojian, p. 335. 3 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 196. 2

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reflects his toughness and fierceness. Sun Deng (孙登), a hermit of the same era, once said to Ji Kang, “You are so tough and talented! But can you live peacefully?”.4 It is recorded in Shi-Shuo-Xin-Yu, “It is said that when chancellor Wang Dao (王 导, 276–339) crossed the Yangzi River and came south, he was only interested in three topics—the irrelevance between music and emotions (Sheng Wu Ai Le, 声无哀 乐), the nourishment of life (Yang Sheng, 养生), and the effectiveness of language (Yan Jin Yi, 言尽意). However, Wang also mentioned all his thoughts related to those three topics, and by doing so he talked about nearly everything.”5 There are three famous essays related to these three topics—On the Relationship Between Music and Emotion (Sheng Wu Ai Le Lun,《声无哀乐论》 ), The Nourishment of Life (Yang Sheng Lun,《养生论》 ), and On the Effectiveness of Language (Yan Jin Yi Lun,《言尽 意论》 ), among which the former two are the works of Ji Kang and the latter one was composed by Ouyang Jian (欧阳建, ?–300).6 The influence of Ji Kang’s thought on people of that time and on future generations can be shown in these works. Ji Kang was not only good at talking and reasoning but also good at poetry. Here is one of his poems. “I have my attendant rest in the thoroughwort garden, and let my horse graze on the blooming mountain. I shoot an arrow across the flat marsh, and cast my fishing line into the long river. My eyes send off the returning geese, my hands wave across the five strings. I look up and down in self-contentment, and let my mind roam in the Grand Mystery (Tai Xuan, 太玄). How fine was the fisherman, who caught a fish and forgot about the trap. The man from Ying (郢) has departed. Now with whom can I speak freely?”7 Scholars have commented, “In this poem, we feel a sense of quiescence and transcendence in our soul. We also feel a sense of self-content. The style of this poem is like those in The Book of Odes, but the words are different. However, this poem is even better than those.”8 Maybe only in a dangerous era like the Wei and Jin Dynasties could such a beautiful soul be born.

4

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 592. Xu Zhen’e, Shishuo Xinyu Jiaojian, p. 114. 6 Ouyang Jian’s On the Effectiveness of Language is written to criticize the basic principles of Neo-Daoism. Thus, it is a little bit confusing that it can be related to Ji’s two topics and theses. Tang Yijie (汤一介), in his paper Several Thoughts on Shi-Shuo-Xin-Yu (Du Shi Shuo Xin Yu Zha Ji,《读札记》 ), points out that according to Wang Zao (汪藻, 1079–1154), who is a scholar in the Song Dynasty, the words Yan Jin Yi (言尽意, which means language is effective in expressing meanings.) are recorded as Yan Bu Jin Yi (言不尽意, which means language is ineffective in expressing meanings.) in some other editions of Shi-Shuo-Xin-Yu. Therefore, Tang thinks that the third topic that chancellor Wang is interested in may be the ineffectiveness of language, which is also Ji Kang’s thought. See Tang Yijie 汤一介, A Collection of Tang Yijie’s Scholarly Essays (Tang Yi Jie Xue Shu Wen Hua Sui Bi,《汤一介学术文化随笔》 ), Beijing: Beijing Youth Press, 1996, pp. 257–259. 7 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 24. 8 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 27. 5

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1 The Principle of Nature Ji Kang’s articles are not centered around any one topic, and it is very difficult to find his main focus. It seems that he rather randomly addresses certain themes of the Neo-Daoist debates (Xuan Tan, 玄谈), and he cared more about debating skills than the ideas and theories behind these debates. In his era, Neo-Daoist debates became almost the most popular entertainment for scholars. In such an atmosphere, on the one hand, serious philosophical thinking was extremely rare, and participating in Neo-Daoist debates was often just a means of self-expression. On the other hand, the focus on debate itself greatly promoted the development of philosophy. As a result, scholars realized that all supposed truths must be tested with skepticism. Authorities could no longer give a strong enough defense for their proposals. The emphasis on the principle of nature (Zi Ran Zhi Li, 自然之理) is common in this era. In Xiang Xiu’s (向秀, 227?–272) Against the Nourishment of Life (Nan Yang Sheng Lun,《难养生论》 ), themes like “the principle of nature” and “the nature of The Principle of Heaven” (Tian Li Zi Ran, 天理自然) appear repeatedly. When talking about the principles, Ji Kang also regards the principle of nature as the most fundamental one. To classify the things in categories and distinguish them, we need to first seek the principle of nature. After obtaining the principle of nature, we can then clarify it with the words of ancient thinkers. If one talks about it without true understanding, no one can catch the logic of his words.9

Neither Ji Kang nor Xiang Xiu gives a clear definition of the principle of nature. We can only try to infer their meaning from their articles. In Against the Nourishment of Life, Xiang says, “If you feel love in your heart, you will want to get married. And if you are hungry, you will want to eat food. That is the principle of nature.” He also says, “By tasting all kinds of dishes, your feelings toward life are enriched. And by enjoying all kinds of beauty, your Qi is smooth. This is the principle of nature, which should be obeyed by everyone and even the ancient sage-kings shall not change it.”10 From these quotations, we can infer that the principle of nature is the universal experience and logic that conforms to our common sensibilities. Without the testament of the principle of nature, nothing can be recognized or understood, even if it is recorded in the classics and in history. Besides the principle of nature, the relationship between name and reality (Ming Shi Guan Xi, 名实关系) is also a basic theme in Ji Kang’s discussions about principle. There are discussions on this issue in three of Ji’s famous articles—The Defense of Self (Shi Si Lun,《释私论》 ), On the Relationship Between Music and Emotion, and The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life (Nan Zhai Wu Ji Xiong She Sheng Lun,《难宅无吉凶摄 生论》 ). One of Ji’s goals in his debates is to “correct names” (Zheng Ming, 正名). For example, in his article On the Relationship Between Music and Emotion, by 9

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 349. Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 285.

10

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separating subjective emotions from objective music qualities, he proves that the emotions like joy and sorrow are realities that are not resolved in music. Usually, Ji does not challenge the classics directly.11 However, he often puts forward new explanations of the classics based on the principle of nature and the principle of the unity of name and reality. For example, on the one hand, his thoughts in the thesis On the Relationship Between Music and Emotion are contrary to the belief that music is the best activity to change customs in the classics. On the other hand, by promoting “music without sound” (Wu Sheng Zhi Yue, 无声之乐), his article shares the same foundational basis with the classics.

2 The Defense of Self In The Defense of Self , Ji Kang adds details to the description of the personality of the nobleman. In response to the tradition in which a nobleman is considered a good person who follows moral rules and makes judgments solely according to ethics, Ji proposes his own means of evaluation. A nobleman is a person who does not purposefully follow moral rules, but never acts against the Dao. How is that possible? If a person is calm in his Qi and is empty in his soul, there will be no pride or arrogance in his heart. And if a person has good physical character and a clever mind, his feelings and emotions will not be controlled or disturbed by his desires. If there is no pride or arrogance in a person’s heart, he will be free from the rituals and be able to enjoy his nature. Similarly, if a person’s feelings and emotions are not controlled or disturbed by his desire, he will accept all things as they are no matter if their value is high or low. After accepting all things, a person will never act against the Dao. And after becoming free from the rituals and able to enjoy his nature, a person will not purposefully follow moral rules.12

11

Most previous studies have tended to regard Ji Kang as a thinker with extreme thoughts. His saying that “(he) always criticizes Tang (汤) and King Wu of Zhou (周武王) and looks down upon Zhou Gong (周公) and Confucius” in his letter to Shan Tao (山涛) is often used as an evidence to prove his criticism of Confucianism. However, if we read his letter carefully, we will find that what Ji wants to say is that all these sage-kings are not perfect and they still have shortcomings. In his article A Criticism to The Thesis On People’s Nature of Learning (Nan Zi Ran Hao Xue Lun,《难 自然好学论》 ), he says, “If we consider the classrooms as tents where we put coffins, the reciting of the classics as the speeches of the ghosts, the Six Classics (Liu Jing, 六经) as filthy things, and benevolence and righteousness as something rotten, we would be dizzy after reading the classics, be hunchbacked after practicing the rituals, suffer cramps after wearing the formal dress, and have decayed tooth after talking about the rituals.” It is clear that he does not mean that the classics are filthy things. In On People’s Nature of Learning, it is said that “the Six Classics are like the sun and the person who never learns is just like someone in the dark night.” But Ji wants to point out that this idea is usually accepted by people who get fortune and status by learning the Six Classics. And, it is also true that if one person hates the Six Classics and gets hurt learning them, he will not think that quitting learning will put him back in dark nights again. Although Ji’s words are quite aggressive, they cannot be used as evidence to prove that Ji holds firm attitudes against Confucianism. 12 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 402.

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There is no pride or arrogance in the nobleman’s heart, so that he is never controlled or disturbed by his desire. Without desiring to gain admiration or honor, one can follow his own heart rather than intending to follow moral rules, and after being free from his desires, one can accept all things as they are. On the contrary, if one seeks admiration, he will pretend and be dishonest. Similarly, if one’s emotions and feelings are bounded and fixed, he will be restrained and will not accept all things as they are. Both admiration and fixation are the roots of “selfishness” (Si, 私). If there is selfishness, one will ignore facts and deviate from the Dao of the nobleman. In most of the previous research on Ji Kang, his proposition “to be free from the rituals and to be able to enjoy one’s nature” (Yue Ming Jiao Er Ren Zi Ran, 越名教而仁自然) is highlighted deliberately, and is regarded as a stage of development of Neo-Daoist thought concerning the relationship between nature and rituals. However, it is not true. Ji did not try to simply oppose the ritual system but rather to re-evaluate it on the basis of our nature. The philosophy of each era is both the guardian of societal values and the attempt to reassess them. Ji Kang did not want to cancel judgment of right and wrong in ethics, but thinks that if one makes a conscious attempt to follow moral rules, he may not really know the right way to behave. A nobleman will not ask for standards of conduct from other people and try to follow it strictly before each action. Instead, he will only follow his own pure heart, doing the right thing directly without discussing with others. He will follow his own intuition rather than a social standard, acting without any unnecessary discussion. He forgets the standard that a nobleman should obey, but his virtue automatically leads him to do good things. He follows his own heart and his heart is naturally good, so he does nothing with conscious effort, but still all that he does is right.13

Only if you do not care about external norms and standards can you remain unaffected by the praise and criticism associated with them, keeping your attention on action itself. Most likely, if you observe and accept things as themselves, your heart will be naturally good and what you do will be right. It is very hard to judge what is right and what is wrong in ethics, and only by thoroughly understanding one’s intentions and comparing them with his words and deeds can a fair judgment be made. On this topic, Ji Kang says: However, there are things that seem to be wrong but are not wrong, and things that seem to be right but are not right. We need to pay attention to that. Therefore, there may be moments when arrogance changes into humility, greed into incorruptibility, stupidity into wisdom, and tolerance into benevolence. When a person seems selfish, he may be incorruptible, and when a person is intolerant, he may be benevolent. These are two situations in which the thing that seems to be wrong is not wrong. Flattering words make a person seem loyal, even if he may never be sincere. The passionate speeches of politicians seem to be good for the public, but when delivering the speeches, politicians are only concerned with their own interests. These are two situations in which the thing that seems to be right is not right. Therefore, to distinguish the right from what seems to be right and the wrong from what seems to be wrong, we have to exam a person’s intentions to make his aims clear, analyze his words to

13

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 403.

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6 The Principle of Nature: The Philosophy of JiKang understand his logic and what he implies, and investigate the changes of his attitude from the beginning to the end.14

Only fair judgments of right and wrong can curb selfish people and put people who care for the public at ease. If selfish people are curbed, they will change their attitude, and if people who care for the public are at ease, they will become brave. By letting the people who care for the public be at ease and making the selfish people change, Ji provides a roadmap for readers to achieve an ideal social order. In Ji Kang’s view, the fundamental difference between good and evil lies in the distinction between the public and the private (Gong Si Zhi Bian, 公私之辨) rather than in external rules. Therefore, he says, “To distinguish between public and private is the path to success and the door to goodness.”15 Taking the difference between public and private as the basis of good and evil is the key for Ji Kang’s particular syncretism of Confucianism and Daoism.

3 The Nourishment of Life Ji Kang’s thought is systematic. Within his seemingly scattered topics, the two main subjects—governing the body (Zhi Shen, 治身) and governing the kingdom (Zhi Guo, 治国)—come up repeatedly. Based on the fundamental values he establishes in The Defense of Self , Ji talks about the nourishment of individual life in his thesis The Nourishment of Life and talks about ideal political governance in his thesis On the Relationship Between Music and Emotion. The Nourishment of Life starts with a strange problem: Ji ponders the possibility of achieving a thousand-year life. For a thinker who takes the principles of nature as his fundamental criterion, Ji’s attitude towards the existence of immortals seems to be incompatible with his ideals. Although the immortals and the gods are not seen by human eyes, their stories are recorded in historical texts and are passed down from generation to generation. Thus, they must have existed! It seems that they become immortal because they acquire special Qi from nature, so people can never become immortal simply through learning.16

However, if we try to fully refute Ji, like the scholar Xiang Xiu, we will find that we do not have enough evidence. Xiang doubted Ji’s teachings and said, “You have also said that if one has proper nourishment and enjoys a full life, he will have a life of thousands of years at best, and a life of hundreds of years at least. If what you have said was true, there would be someone who has achieved this before. So where is the person? We have never seen such a man.”17 However, Ji’s response to this challenge turned out to be irrefutable. “You said that it was because no such immortals were 14

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 404. See Footnote 13. 16 Dai Mingyang, Jikang Ji Jiaozhu, 2014, pp. 252–253. 17 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 285. 15

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seen over thousands of years by human beings that the immortals cannot exist. But let me ask you a question. If you were to see a man who has lived for thousands of years, how would you know?” Ji Kang said, “His body must be the same as ordinary people’s. And if he tells you that he has lived a life for thousands of years, you would be unwilling to believe that. It is just like the morning mushroom that knows nothing of twilight, and the mayfly that cannot understand the life of a long-living turtle, which are examples that Zhuang Zi gave us. Even if a man who has lived a life for thousands of years stands in a crowded place like the market or the court, people who cannot live that long will not be able to recognize or distinguish him from other ordinary people.”18 Using human experience to examine the existence of things is not as persuasive as what we imagine, because of the sharp limitations of human experience. Ji’s belief that immortals and the gods exist seems to be absurd, but to the extent that it cannot be falsified, it is also irrefutable. In an era when argumentation is prized, it is no accident that Ji was madly loved by his contemporaries. In contrast, many so-called scientific understandings today are in fact opinions that have not been tested with true rationality. Of course, this does not mean that we should accept Ji’s belief about the existence of immortals and gods. Claims that cannot be falsified by human experience can only be refuted in the fundamental sense. This is one of the most valuable insights of Neo-Confucianism in the Song Dynasty. If The Nourishment of Life was only about the question of how to have a life lasting hundreds of years, Ji’s ideas would not be inspiring at all. In fact, by the end of his thesis, the topic has transformed from the nourishment of life into an investigation of the correct lifestyle. Those who are good at nourishing life are different. They keep quiet and have few desires. Knowing the potential for harm that fame and high position carry, they are different from ordinary people who love fame and high position but suppress their desires and do not want or try to obtain them. Knowing the damage of various tastes to human nature, they are different from the ordinary people who are greedy about their tastes but suppress their desires, do not give them a glance, and discard them directly. They are never controlled by any exterior things and they keep their inside souls and Qi quiet and alive. They have no worries or even any consciousness at all. They preserve the One (Yi, 一), maintain the Harmony (He, 和), follow the principles (Li, 理), and are fused into the Great Motion (Da Shun, 大顺). After this, they eat Ganoderma lucidum to help their souls fly up high, drink from sweet springs to make their bodies soft, and enjoy sunshine and music. They do nothing intentionally to preserve the status of their bodies and souls. They forget joy and then have fun, forget that they are alive and then enjoy their lives. After doing these things, they can finally become as long-lived as the ancient immortals like Xian Men (羡门) and Wang Qiao (王乔). Why would this be impossible?19

The key point of the nourishment of life then, is not the length of life, but the preservation and actualization of human nature. Fame, high positions, and exotic tastes are the constraints of human autonomy and self-sufficiency, so they should be surpassed. The theme of The Nourishment of Life can be found in the sentence “They forget joy and then have fun, forget that they are alive and then enjoy their lives.” Ji’s answer to Xiang’s question is also implicit in this sentence. 18 19

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 302. Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 255.

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Xiang Xiu, in his thesis Against the Nourishment of Life, disproves Ji’s claims from two aspects. Firstly, Xiang believed that the natural life span of human beings is limited. Except for those who acquire extraordinary Qi, most people cannot live longer than a century. In other words, human beings cannot extend their lives through any particular diet. Secondly, he believed that “to eat no grains, to enjoy no tastes, to have no desire or emotions, and to give up fortune,”20 which are Ji’s suggestions, are contrary to human nature. This method, which is against both human nature and the principle of nature, is not effective for helping people to achieve longevity immortality. Even if it could be actualized, it would lead people to live a life without happiness, which is obviously meaningless. Ji Kang’s response can be summarized in the following four points. First, among other species, there are those with life spans that are much longer or shorter than ours, such as “silkworms that have lives of 18–30 days.”21 Therefore, it is not strange for human beings to imagine living much longer lives. Second, one cannot say for sure that immortals do not exist just because he has never seen one of them himself, because immortals are unrecognizable from others. Third, ordinary people “struggle in their daily lives and compete with each other to win honor.”22 They harm their nature day by day in order to live very short lives. Fourth, the few people who want to preserve their nature and keep in good health often tend to choose one of these two goals and fail to take care of both their nature and their health. As we can see, all these four points are responses to Xiang’s arguments. In answering Xiang, Ji repeats his core claim that “some people think that the nourishment of life is useless, so they do not try to practice it. And some people practice it, but not in the correct way, so they do not achieve the ideal result. Some people only try to be calm in silence, so they choose one goal and fail to take care of their nature and health. And some people are obsessed with techniques but forget the ultimate Dao.”23 Ji’s core argument against Xiang lies in his fundamental attitude toward the nature of life. Xiang believes that “the longing for desire, lust, honor, and rest, and the hate of being insulted and of labor are natural.”24 But Ji does not agree. He says: Although desire and lust are common among human beings, they are not right. It is just like trees. Although there are scorpions in the trees, they are bad for the trees. If the scorpions grow in number, the trees will become rotten. Similarly, if a person has too much desire and lust, his body will be damaged. Thus, desire and lust are harmful to living a good life and fame is damaging to one’s body.25

What emerges out of our nature is not necessarily beneficial. Taking the scorpions living in trees as a metaphor, Ji Kang’s method is ingenious, although from a modern perspective, it does not conform to the methods of empirical science. Ji never tried to persuade his readers that desire can be eliminated, but meant rather that it should be 20

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 284. Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 300. 22 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 303. 23 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 255. 24 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 284. 25 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 296. 21

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limited more effectively. “We have to reduce our motion and our desire for all things. We need to learn to stop acquiring from the outside without any limitation.”26 But the problem is the standard of limitation. Xiang believed that the reason why human beings are “the most spiritual and the wisest among all beings” is that human beings possess intelligence. “Human beings get their body from nature and coexist with all other beings, but human beings are the most spiritual and the wisest. Human beings are different from grass and wood because grass and wood cannot shelter from wind and rain. And human beings are different from birds and beasts because birds and beasts cannot identify their pitfalls and find ways to avoid the suffering of cold and heat. Human beings are different because they can move and possess intelligence. Thus, if a human were to never use his body or intelligence, he would be the same as those species without wisdom and would have no justification to be called the most spiritual and the wisest of beings.”27 Contrary to Xiang, Ji believed that the most important definition of intelligence is that intelligence can examine our standards of the adequacy of our desires. Human beings possess the desire to obtain all kinds of things without thinking, so this is called nature. And human beings reflect after we sense the external world, so this is called intelligence. After satisfying the desires that originate from human nature, one will be satisfied and stop. However, intelligence leads human beings to learn more and more, such that we will never be exhausted. Thus, the troubles and disasters which worry the whole world usually come from the misuse of intelligence rather than the natural desires of human beings. If we were to choose a woman to be the wife of a blind man, Xi Shi (西施) who is the most beautiful girl in history and Mo Mu (嫫母) who is said to be very ugly, would be indistinguishable. For people who lose their sense of taste, fine wine and harsh distilled liquors are indistinguishable. People make terrible mistakes because of their misuse of their intelligence. No matter whether noble or stupid, beautiful or ugly, human beings do not make terrible mistakes because of their natural desires. The wise man knows that his intelligence will harm him because of its unceasing development and his desires will harm him because of its nature to pursue material things. Thus, when using his intelligence, he needs to control it and prevent it from becoming too active, and when he desires something by nature, he needs to limit this desire and keep himself in harmony.28

The desire that comes from human nature, which is not affected by intelligence, focuses on our needs and the object of desire itself, so it contains a limit at within itself. However, after our desires are enhanced by our intelligence, our desires will become more sensitive and insatiable. Intelligence is always developing, so desire will become insatiable. If we do not control it, it will harm our nature and our lives. As for Xiang’s proposition that to control desires and get rid of fame and fortune is to eliminate life’s happiness, Ji responds in a way that reflects his fundamentally different understanding of life. If one understands that the Great Harmony (Da He, 大和) is the happiest thing, he will not pay any attention to glory or fortune. If one knows that the lightest is the best taste, he will not be addicted to wine or the beauty of women. If one realizes the meaning of life and 26

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 296. Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 284. 28 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 298. 27

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6 The Principle of Nature: The Philosophy of JiKang the world, he will not love any of the pleasures that common people desperately desire. Nowadays, there are some thinkers who are willing to risk their lives to follow their desires because they do not comprehend the Great Happiness (Zhi Le, 至乐). This is just like Li Si (李斯, ?-208 B.C.) who betrayed his Confucian beliefs to satisfy his desires and died, and Zhufu Yan (主父偃, ?-126 B.C.) who famously said that if he could enjoy delicious tastes when he was alive, he would like to be cooked. If one often goes to a seafood shop where the smell is awful, he will begin to believe that the fragrances of the orchid and the chrysanthemum are not delightful. It is just like the seabird who is worried about his dinner when seeing the best food for human beings, and King Wen of Wei (魏文侯) who blocked his ears when hearing the most magnificent music. A person who considers honor and fortune to be necessities will not think that devoting himself to a career of helping people live good lives is a happy duty. In all the examples above, none of them have a strong set of beliefs, so they enjoy the pleasures of external things. They live very sad lives even if though they have plenty of fortune. On the contrary, even if a person has no bells or drums to amuse himself, he can be very happy if he possesses good values. Therefore, it is better to have healthy aspirations and enjoy the Great Happiness rather than to be allured by high positions. No matter whether he gains something or loses something, the calm person will not be affected at all. Confucian scholars often propose that when a person’s parents recover from illness, the worried son will become at ease and happy because of their recovery. They call this person a nobleman who possesses filial piety. However, I think that he would rather not get to the point of enjoying this happiness. From this point of view, the state of not being happy is happier than the state of being happy, is it not?29

Happiness obtained by the constant pursuit of the gratification of our appetites is not the Great Happiness, because it is always short, accidental, and endlessly unfulfilled. The fundamental reason for people’s pursuit of such happiness is that they do not have good virtues within themselves. Without self-sufficiency based on autonomy, people fall into the pursuit of external things like high positions and fortune. But no matter how rich they are, they will always think of themselves as poor because of their unsatisfied desires. Therefore, Ji says, “They live very sad lives even if they have plenty of fortune.” People often need to experience the joys and sorrows of their parents’ recovery from sickness to health before they can appreciate the Great Happiness. It is not merely a happy sensation, but rather the essence of life.

4 The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life Among Ji Kang’s essays, the most puzzling is The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life. Since Ji emphasizes the principles of nature, how can he agree with the “superstition” that inauspiciousness in choosing where to live is harmful? According to Ji, we cannot prove that immortals do not exist just because we do not see them, and thus cannot prove that choosing where to live in an inauspicious way is harmless through experience, either. Ji’s refutation to the thesis One’s Choice of Residence is 29

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 304.

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not Auspicious or Inauspicious to One’s Nourishing of Life (Zhai Wu Ji Xiong She Sheng Lun,《宅无吉凶摄生论》 ) is based on this principle. There are too many things under heaven, which cannot be discussed one by one or even be numbered and then counted, so the ancient people left most of them undiscovered and did not talk about them. A wise man knows the principles of nature and can predict the future and know things before they appear. After things appear, common people see them and say that they are natural, but they do not know why. The fact that common people do not know the reason does not mean that the principles of nature do not exist. Even when things exist, there are those who cannot understand how they are created. Heaven and Earth are vast and the things within them are innumerable. People can only know a small number of them. If there is a person who says that he knows everything about how to practice the nourishment of life but he only knows a few methods, it is clear that he has ignored the things that he cannot see. For him to so easily give an answer according to his own minute opinion to the questions which the ancient people considered difficult, is like the cicada which only emerges in summer and knows nothing about winter.30

If we temporarily set aside all the seemingly definite common sense and beliefs brought to us by empirical, we will find that Ji’s arguments in his refutation are sound. Theoretically, there is a fundamental flaw in proving the existence (or nonexistence) of something through experience. In fact, The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life is an extension of the same themes in The Nourishment of Life. One of the reasons why our attempts to nourish life are not successful is because people “choose one goal and fail to nourish both spirit and health.” One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life says that “those who are good at longevity make their Qi soft and reduce their desires, do what is good for human nature to meet the right degree of health, so they take good care of themselves to achieve longevity.”31 This argument is very consistent with the basic ideas of Daoism. Ji does not hold a contrarian attitude for no reason. But he clearly points out that this is only one aspect of the nourishment of life. Does anyone have questions about these methods? I just want to say that these methods are not the whole answer. We should not enter a risky country because we attempt to avoid being harmed by political chaos at home. We build doors and have guards protect us because we need to avoid the harm of violent disasters. We live in places where air circulation is good because we need to avoid the harm of miasma. Besides these, there are still many things which can harm human life. How can we say that keeping quiet is the only method for the nourishment of life?32

As a supplement to the Nourishment of Life, The Rebuttal to One’s Choice of Residence is not Auspicious or Inauspicious to One’s Nourishing of Life further emphasizes the integrity of the method of the nourishment of life. In Ji’s system of theory, it also contributes to the completeness of the life of individuals.

30

Dai Mingyang, Jikang Ji Jiaozhu, 2014, pp. 476–474. Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 459. 32 Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 474. 31

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5 The Relationship Between Music and Emotions In previous books on intellectual history, Ji Kang’s On the Relationship Between Music and Emotions is usually regarded as a work of aesthetics. This is a complete misunderstanding. It is this kind of problematic interpretation that causes us to miss the true role of this essay within Neo-Daoism. Judging from the intention of the essay, it is indubitable a work of political philosophy. For Ji Kang, the question of whether music can convey emotions like sadness and joy is not the most important problem. He who insists on this point is biased in his concerns. In On the Relationship Between Music and Emotion, Ji does not simply deny the relationship between music and emotions like sadness and joy but rather emphasizes that music cannot produce emotions that did not previously exist with our hearts. He ends with two deductions. First, music cannot convey the emotions of its composers and musicians. Second, no one can recognize the emotions or moral characters of composers and musicians through music. Of course, although music cannot produce emotions that people did not previously possess, it can release and express emotions. There has always been a lack of texts in the Chinese intellectual tradition which describe the specific development of particular debates in detail. However, On the Relationship Between Music and Emotions can be regarded as a brilliant special case in this regard. During its eight rounds of debates, questions and answers which respond to each other, the text allows the readers to experience the turbulence of its speech, and the alternating obscuring and clarity of rationale. This thesis has fantastic turns, creating a wonderful structure. In this thesis, it seems that Ji Kang only wants to “correct names,” and thereby give a clear explanation about the relationship between music and emotions. He tries to prove that “sounds and music are fundamentally the same and our sense of being moved occurs because of human emotions.” In Ji’s view, the essence of music is the sound of perfect harmony. Although there are differences between beautiful and ugly, highs and lows in music, it cannot convey and express the changing emotions in people’s hearts. Ji does not deny that music can make people realize their feelings of sadness and happiness, but this is not because certain kinds of music have their own fixed emotional content, making people produce new emotions. On the contrary, it is just the expression of the sorrow and joy accumulated in human hearts that is triggered and guided by the sound of harmony. On the other hand, sorrow and joy are used to name people’s inner emotions, while music is an external objective reality. Naming music as sorrowful or joyful is just like naming a person who I love as a loving one and a person who I hate as a hateful one, which does not conform to Ji Kang’s general principle of naming. The rebuttal that Ji Kang faces can be made on two points. On the one hand, he must effectively explain the effect of music on our emotions. On the other hand, if an argument is presented on the grounds of the issue of naming, then his argument will be no different than the claim that “a white horse is not a horse” (Bai Ma Fei Ma, 白马非马), which is an absurd semantic claim.

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The first real refutation of “Qin Ke” (秦客) against “Master of the East” (Dong Ye Zhu Ren, 东野主人) in the thesis begins with the latter claim. Ji’s naming principle is based on the clear distinction between internal emotions and objective existence. But, in fact, internal emotions (such as love and hatred) obviously originate from the characteristics of external objects (such as nobility and stupidity). The two cannot be completely separated. Therefore, even if Ji’s attempt to “correcting names” is logically reasonable, at best, it is a semantic game that has nothing to do with reality. And if the changes in people’s inner emotions always correspond to the characteristics of external objects, then music, which can make people express their feelings of sorrow and joy, must have some qualities that correspond to sorrow and joy. Qin Ke believed that the relationship between the quality of music and feelings like sorrow and joy is like the relationship between love and a nobleman, and the relationship between hate and a stupid person. From the general principle of deduction, this is almost irrefutable. However, Ji Kang offers a remarkable response almost immediately. There are beautiful colors and there are ugly ones, too. Similarly, there is pleasant music and there is unpleasant music, too. That is the nature of things. However, to love it or not is a decision made by people. Music stimulates, and our inner emotions reflects it. After being stimulated by things, people have sorrow or joy inside their hearts. And they merely express these feelings when they hear music. I’ve proved in previous paragraphs that people can have different feelings upon hearing the same piece of music. Now, I would like to repeat this claim to correct names. In conclusion, if someone thinks that the relationship between music and sorrow (or joy) is the same as the relationship between love and a nobleman, I will say no. I would rather say that the relationship between music and sorrow (or joy) is the same as the relationship between wine and human nature. Wine is sweet or sour, and the people who drink it are happy or angry. After listening to a piece of music, someone may express his happiness or sadness. But his happiness or sadness is not the product of music. It is just like the fact that after drinking, people may become happy or angry, but we cannot say that the wine is happy or angry.33

There are different types of emotions. Some emotions have an object, such as love, hatred, or anger, while others do not have an object, such as sadness and joy. The former emotions always follow the quality of objects, while sadness and joy stem from the individual’s experience of their life as a whole. The former emotions appear with their object and disappear with them. However, sadness and joy are emotions that accumulate in the heart and are not tied to the existence of any object. We can find similarities between this distinction among emotions and the discussions within phenomenology in the twentieth century, such as Heidegger’s detailed analysis of emotions in his book Nietzsche. Once this distinction is established, Qin Ke’s rebuttal can be easily answered. Another troublesome problem in On the Relationship Between Music and Emotion is about historical records. If music cannot convey the inner quality of people, how can we understand the historical records which tell stories in which people know a person by listening to his music, such as the story recorded in The Book of Rites, in which Confucius knew a person by listening to him playing the zither? Qin Ke’s engagement with these old stories may be the most tedious part of the thesis. However, this is a 33

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 349.

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key point. In fact, if Ji Kang admits that there is a case in which people know a person by his music, his main idea in the essay will be falsified. Therefore, the readers worry about the Master of the East during the debate. Another powerful question from Qin Ke arises from this point. No one can deny that we can understand people’s minds by seeing their faces. Since facial expressions and the human voice both come from the body, it seems that we have no reason to doubt that we can also understand people’s minds through their voices. Ji’s response to this point is very fascinating. He says that eating spicy food, laughing, being in a place where there is a lot of smoke, and being in sorrow will all lead to tears. But even if we invite a person like Yi Ya (易 牙), who was very good at distinguishing flavors, to taste a teardrop, he would not be able to discern whether it was a tear of joy or a tear of sorrow. In Ji’s opinion, different things which “come from the same body” can have different effects and functions. There are sounds which “come from the bottom” (Cong Xia Chu, 从下 出),—a fart is also something that comes from the body. But nobody, even famous musicians like Zhong Zi (钟子) and Zi Ye (子野) could know a person’s emotions or characters by hearing this sound. Ji’s expression of a sound which “comes from the bottom” is usually understood as coming from the earth. In fact, this is not true. Literati are afraid to say any words which are not elegant, but Neo-Daoist thinkers think that inelegant words are natural. They never avoid talking about coarse topics because everything is equal in front of the transcendent Dao. After drinking a lot of wine and listening to the music of the state of Qi (齐) and the state of Chu (楚), most people would be sad and cry, and almost nobody would laugh or smile. Qin Ke concludes from this phenomenon that “the substance of music of Qi and Chu is sadness.” This should be the most difficult challenge for the Master of the East to answer in the essay, and the only way to answer it seems to be to deny the existence of the phenomenon. However, Ji’s response is both unexpected and easy to understand. All people have emotions like sorrow and joy. And some are a little joyful while others are very joyful. Further, the state of the most joyful is not the same as the state of the saddest. When a person feels a little bit sad, he will frown, and when he feels very sad, he will cry. That is the principle of sorrow. On the other hand, when a person feels a little bit happy, he will laugh, but, when he feels very happy, he will feel good without any expression at all. That is the principle of joy. Let me give an example to explain this. If a person’s parents are healthy, he will feel happy and do nothing unnatural. However, if his parents are in danger, he will do everything to save them. When they are not in danger anymore, he will clap his hands and even dance because of his joy. As we can see, the person who does nothing is happier than the person who claps his hands and dances. People will laugh when they are happy, but that is not the only expression of our joy. If a person feels happy after hearing a piece of music, he may do nothing and act naturally. However, if a person feels sad after hearing a piece of music, he may cry. When a person cries, we notice, but when a person feels happy and does nothing, we do not usually know. In conclusion, among the phenomenon that are shown, you see the differences in their actions but miss the similarities within their minds.34

The relationship between the external expressions of sorrow and joy and the degree of sorrow and joy we feel inside is not as simple as we usually think. “When 34

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 356.

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a person feels a little bit sad, he will frown, and when he feels very sad, he will cry.” The external manifestation of sorrow gradually magnifies as the degree deepens. However, the performance of joy is just the opposite. “When a person feels a little bit happy, he will laugh, but when he feels very happy, he will feel good but not have any expression at all.” When people are in supreme pleasure, there is often no external manifestation. Lu Xun (鲁迅, 1881–1936), in his critical edition of The Work of Ji Kang (Ji Kang Ji,《嵇康集》 ), changes this text into the expression that “when people are in supreme pleasure, they will laugh out loud.” Obviously, he does not grasp the meaning of the section. Because when a person is in supreme pleasure, he will have nothing to express. People who are in joy will not show any changes in their faces or behaviors. That is why “most people will be sad and cry, but almost no one will laugh or smile.” Further, we can discover a potentially important distinction in this response: the difference between happiness and pleasure. In fact, in Ji’s logic, happiness is an emotion that has an object. It is generated from the external stimulation of concrete objects, and it cannot accumulate in the human heart over long periods of time. To the contrary, pleasure comes from the completeness of life as a whole. When people are in pleasure, they are often unaware of it. Only when some irreversible defect occurs will people recall what kind of pleasure they experienced before. This reminds me of a paragraph in The Mencius. The nobleman has three delights, but being a ruler of the world is not among them. That his father and mother are both alive and his older and younger brothers present no cause for concern — this is his first delight. That he can look up and not be abashed before Heaven, look down and not be ashamed before others — this is his second delight. That he can obtain the most eminent talents in the world and educate them — this is his third delight. The nobleman has three delights, but being a ruler over the world is not one of them.35

Supreme pleasure is as plain as food and water, while happiness from stimulations is strong. To maintain the same level of happiness, a higher level of stimulation is always needed. With this distinction, we can identify a certain fundamental temperament of Chinese civilization. The reason why I claim that On the Relationship Between Music and Emotion is an essay of political philosophy is that it focuses on the political function of music. In fact, from the beginning of the debate, Qin Ke’s most important question on this topic arises from this point. If music can neither convey people’s emotions nor influence them, how can the Confucian belief that “music is the best activity to change the customs (Yi Feng Yi Su, 移风易俗)” be possible? At the end of the debate, the Master of the East also explains in detail the difference between elegant music (Ya Yue, 雅 乐) and vulgar music (Zheng Wei Zhi Yin, 郑卫之音) and the relationship between music and the change of customs. On the issue of vulgar music, Ji Kang’s opinion is most similar to the classical Confucian view of music. He says, “Vulgar music is the most beautiful sound. The most beautiful sound is touching, but it is not always a good thing. For example, the most beautiful woman is always so attractive that heroes who see her will forget their 35

In Mencius 7A.20. See Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 354.

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intentions after falling in love with her. The most delicious wine can make people addicted to it and destroy their careers. The ancient sage-kings were afraid that people would lose themselves in those best things, so they did not compose the most exciting music or the most complex one. Therefore, the best soup does not have the heaviest taste, and it is even lighter than a spoon of Chinese medicine decoction.”36 This paragraph is almost a copy of On Music of the Book of Rites 《礼记·乐记》 ( ). Therefore, the most magnificent music is not the loudest or the highest. The meat used for the sacrifice is not the most delicious. In the Zhou Dynasty, the zither that was used to play the music Qing Miao 《清庙》 ( ), which was a poem sung during the sacrifice recorded in The Book of Odes, only has red strings and holes in the bottom, and is very simple. One singer leads the chorus and three others join in. When it is over, the remaining sound will not stop. In the ritual of the grand feast (Da Xiang, 大飨), pure water is used as the wine and an uncooked fish replaces the cooked one. The soup has no condiments in it. It is simple, but the taste will last for a very long time.37

The best music is not the most complicated music, but rather that which possesses the Great Harmony (Tai He, 太和), which is quiet and plain. This is exactly the difference between elegant music and vulgar music. It is recorded in The Analects, “When Confucius was in the state of Qi (齐), he heard the Shao music 《韶》 ( ) and for three months no longer knew what sort of meat he was eating. He said, ‘What a piece of music!’ (Bu Tu Wei Yue Zhi Zhi Yu Si Ye, 不图为乐之至于斯 也)” In most interpretations, this is regarded as a demonstration of Confucius’ keen sense of music. Confucius heard the supreme and wonderful music, i.e., the Shao music, and lost himself in it such that he even forgot the taste of his meals for months. However, from the discussion here, such an interpretation is obviously contrary to the classic Confucian understanding of music. Therefore, I think the expression “What a piece of music” should not be interpreted as Confucius’ accomplishment but should be read as “I do not wish for music to be as beautiful as this” or “Music need not be so beautiful.” Max Weber once asked why polyphonic music, which is built on a rational foundation, was not invented in civilizations besides Europe. He used this question as a starting point of his study in religious sociology. I am afraid that he would not be able to understand that there is a civilization that purposefully rejects complex music. Ji Kang believed that music itself is not sad or happy, and his core aim was to deny the political function of music. In his view, there was no need to change customs unless a state is politically corrupt. Further, the only useful method of changing customs would be to apply the Daoist political principle of acting without action, which he called “music without sound.” From the perspective of Confucianism, the political function of music depends on its educational role. In this way, the deeper meaning of this thesis lies in the discussion of the necessity of education. Here, Ji’s ideological premise is the principle that “A person’s nature cannot be changed unless he is a sage” (Pian Cai Zhi Xing, Bu Ke Yi Zhuan, 偏才之性, 不可移转) in Ren-Wu-Zhi 《人物志》 ( ). Since the nature of ordinary people cannot be changed, it 36 37

Dai Mingyang, Jikang Ji Jiaozhu, 2014, p. 358. See Li Xueqin ed, Shi San Jing Zhu Shu, 1999, p. 1081.

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is doubtful whether education is meaningful. Therefore, the fundamental focus of a political system should be shifted from education to the identification of talent and the proper placement of citizens in accordance with their talents. This new basis for political philosophy is fundamentally different from the focus in pre-Qin and Han Dynasty theories. Ji denies the political function of music but insists on its social function. Although music does not contribute to the development of proper sentiment and character, it is beneficial to the maintenance of proper customs. In Ji’s view, this is also the basis of the sages’ intention to develop music’s role in society.

Chapter 7

Limitation and Nature: The Philosophy of Guo Xiang

Guo Xiang (郭象), style name Zi Xuan (子玄), was born in Luoyang, Henan (河南 洛阳). He was born in the fourth year of the Jiaping reign of the Wei Dynasty (嘉 平四年, 252 A.D.) and died in the sixth year of the Yongjia reign of the Western Jin Dynasty (永嘉六年, 312 A.D.). He experienced the best years of the Western Jin Dynasty, as well as the chaos of the Eight Kings Rebellion (Ba Wang Zhi Luan, 八王 之乱) and the Yongjia Rebellion (Yong Jia Zhi Luan, 永嘉之乱). In the Wei and Jin Dynasties, well-known figures rarely lived long enough to die of old age, but Guo Xiang was the exception. In The Biographies of Literati (Wen Shi Zhuan,《文士传》 ), which is recorded in one annotation to Shi-Shuo-Xin-Yu, it is said: Guo Xiang, style name Zi Xuan, was born in Henan. He showed his talent when he was very young. He was eager to learn about the Dao and was an expert on The Laozi and The Zhuangzi. People at his time all thought that he was a second Wang Bi (Wang Bi Zhi Ya, 王 弼之亚).1

In The Biography of Guo Xiang in The History of the Jin Dynasty 《晋书·郭象 ( 传》 ), it is said: Guo Xiang showed his talent when he was very young. He was an expert on The Laozi and The Zhuangzi and was very good at debating. Wang Yan (王衍, 256-311), who was the supreme government official in charge of military affairs (Tai Wei, 太尉), often said, “When listening to Guo’s speeches and debates, I feel that it is like the action of falling. Water is eternally falling and will never end.” The local government once invited him to serve as an officer, but he refused. He then lived a free life, entertaining himself with writing. Later, he received an offer as the assistant in the Chief Minister’s office (Si Tu Yuan, 司徒掾) and as an assistant in the Emperor’s court (Huang Men Shi Lang, 黄门侍郎). Sima Yue (司马越, ?-311), who was the king of Donghai (东海王), admired him, named him as his secretary, and trusted him very much. From that point on, Guo began to obtain high positions and came into power. Simultaneously, his public image degraded.2

1 2

Xu Zhen’e, Shishuo Xinyu Jiaojian, pp. 111–112. Fang Xuanlin, Jin Shu, 1974, pp. 1396–1397.

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The evaluation that Guo was “a second Wang Bi” reveals the continuity between Guo Xiang’s thought and the theories of Wang Bi. Guo Xiang was not very involved in politics in his early days, but after being hired by Sima Yue, he “began to obtain positions and came into power” and was criticized by the public. Why would a person who had such a deep understanding of Zhuang Zi’s philosophy undergo this shift? Is it because he saw the dangers of his era and tried to protect himself, at the expense of ruining his own reputation? Guo Xiang’s masterpiece is The Annotations to The Zhuangzi (Zhuang Zi Zhu,《 庄子注》 ), and also wrote Brief Explanations on The Analects (Lun Yu Ti Lue,《论 语体略》 ). There are several different editions of The Annotations to Zhuangzi. The first one is in Guo Qingfan’s (郭庆藩, 1844–1896) The Collections of Annotations to The Zhuangzi (Zhuang Zi Ji Shi,《庄子集释》 ). In this book, we can not only find Guo Xiang’s annotations to The Zhuangzi but also Cheng Xuanying’s (成玄 英) explanations and Guo Qingfan’s studies. The second one is Nanhua Zhenjing Zhushu 《南华真经注疏》 ( ), which is published by Zhonghua Press. In this edition, the words of Guo’s annotations are relatively large so those who only want to study Guo Xiang’s ideas can refer to it. Like Wang Bi’s Some Explanations on The Analects, Guo Xiang’s Brief Explanations on The Analects has been lost, too. We can only find some paragraphs of the text contained in Huang Kan’s (皇侃)’s Lun-Yu-Yi-Shu, which are collected in Yuhan Shanfang Jiyi Shu《玉函山房辑佚书》 ( ). In Brief Explanations on The Analects, Guo Xiang explained The Analects by using the philosophy of Zhuang Zi. Thus, this book is an extension of The Annotations to Zhuangzi. In Guo Xiang’s view, Zhuang Zi’s thinking is consistent with that of Confucius. Guo Xiang believed that Zhuang Zi was a philosopher who transcended the division of “schools” of thought. This was also how Guo understood himself.

1 On The Annotations to The Zhuangzi 1.1 Guo Xiang’s Edition of The Zhuangzi It is recorded in The Book of Literature in The History of the Han Dynasty 《汉书·艺 ( 文志》 ) that there were fifty-two chapters in The Zhuangzi. In Sima Biao’s annotations to The Zhuangzi, which is the first annotation to the text in the Jin Dynasty, it is also mentioned that there are fifty-two chapters in the book. But the current edition of The Zhuangzi only has thirty-three chapters, including 7 inner chapters, 15 outer chapters, and 11 miscellaneous chapters. In the Wei and Jin Dynasties, although The Zhuangzi received widespread attention, there was no final edition at that time. We can see from Xiang Xiu’s annotations that the edition he used has twenty-six chapters, including 7 inner chapters and 19 outer chapters. But we can also see from Cui Zhuan’s (崔撰) annotations that the edition he used has twenty-seven chapters, including 7 inner chapters and 20 outer chapters. Thus, there was no fixed edition of The Zhuangzi in the Wei and Jin Dynasties. The only certain aspect is the 7 inner

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chapters in all of the editions. Guo Xiang deleted some sections and rearranged the book, which totaled 33 chapters. That is the edition we use today, so Guo Xiang has had a long-lasting influence on our studies of The Zhuangzi. Which parts of The Zhuangzi did Guo Xiang delete? This was not mentioned in The Preface of The Annotations to The Zhuangzi (Zhuang Zi Xu,《庄子序》 ), so it has not been clear until recently. In the twentieth century, a fragment containing 202 characters was found in a set of old Japanese papers. After studying it, Takeuchi Yoshio and Wang Shumin confirmed that it was Guo Xiang’s work. In this fragment, it is mentioned that there was a lot of outlandish content in The Zhuangzi, which was collected in Wang Shumin’s Zhuang Xue Guan Kui 《庄学管窥》 ( ). For example, there is one paragraph answering the question of how long it would take to transform a dragonfly’s eye into a pearl, and another paragraph describing the image of the shadow of a ghost. These sections are like those in Shan-Hai-Jing or in historical books on the predictions of dreams. This kind of content constitutes nearly 30% of the length of the original manuscript, which was all deleted by Guo Xiang. It can be said that after Guo Xiang’s edits and rearrangement, The Zhuangzi truly reached its dignified position as a philosophical classic.

1.2 Did Guo Xiang Plagiarize? There are many paragraphs in Guo Xiang’s The Annotations to The Zhuangzi which are the same as passages in Xiang Xiu’s The Annotations to The Zhuangzi. Therefore, the biggest problem we confront in reading Guo’s book is the problem of plagiarism. There are two completely different conclusions to this problem in The History of the Jin Dynasty. According to The Biography of Guo Xiang in The History of the Jin Dynasty, it seems there was a plagiarism scandal. In antiquity, there were dozens of commentators on The Zhuangzi, but none of them could reveal the core idea of the book. Xiang Xiu did not inherit previous commentaries but rather made his own explanations, demonstrating clever reasoning and unique ideas, and driving new interpretive trends. Unfortunately, Xiang died before finishing the annotations to the chapter Qiu Shui and the chapter Zhi Le. Xiang’s son was too young to inherit and develop his father’s thoughts, so there were very few papers recording his new annotations. Guo Xiang, who was not a righteous man, saw that Xiang’s new ideas had not been widely disseminated and took them as his own. He only made annotations to the two chapters of Qiu Shui and Zhi Le 《至乐》 ( ), changed some of the annotations to the chapter Ma Ti 《马蹄》 ( ), and modified other chapters just a bit. Later, Xiang’s annotations came to light, so today we have both Xiang’s annotations to The Zhuangzi and those of Guo. But, in fact, they are the same one.3

During that period, reading and explaining The Zhuangzi was in fashion. Xiang’s annotations to the book surpassed all the previous ones in quality and helped readers understand Zhuang Zi very well. Thus, his work is a good example of this trend in the Wei and Jin Dynasties. However, Xiang did not finish all his commentary, leaving two chapters unfinished. When Xiang died, his son was very young, so the 3

Fang Xuanlin, Jin Shu, 1974, p. 1397.

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manuscript was lost. Guo was not an honest person, and since he believed that Xiang’s annotations would not be passed down, he “took them as his own” (Qie Yi Wei Ji Zhu, 窃以为己注). The only contribution Guo made was to finish the remaining two chapters and to modify other chapters. Later, another edition of Xiang’s annotations appeared. After comparing them, readers knew that Guo had plagiarized. Although the story in The Biography of Guo Xiang seems conclusive, it is not true at all. First, it is recorded in Shi-Shuo-Xin-Yu that before Xiang started to write his annotations to The Zhuangzi, he spoke with Ji Kang and Lv An (吕安). They mocked him and said that the best way to embody the spirit of Zhuang Zi would be to drink, not to write a book explaining his ideas. However, Xiang did not give up. After finishing his elaborate work and showing it to them, they told Xiang that he made Zhuang Zi alive again.4 Since Ji Kang and Lv An, who were the most influential literati of the era, had read Xiang’s book, the book should be widely disseminated. Second, when Xiang Xiu died, his son was in fact an adult. Wang Xiaoyi (王晓毅) has done research on this point. Therefore, the claim that “there were very few papers recording his new annotations” (Qi Yi Ling Luo, 其义零落) is not correct. The second conclusion to the problem of Guo’s plagiarism is recorded in The Biography of Xiang Xiu in The History of the Jin Dynasty. Although there have been so many talented readers of The Zhuangzi since the book appeared, they all failed to reach its core. Xiang Xiu explained the difficult paragraphs, revealing the true meaning of Zhuang Zi, and started the fashion of studying the transcendent being. Those who read Xiang’s book can eventually know Zhuang Zi’s heart and be self-sufficient. In the reign of Emperor Hui (惠帝), Guo Xiang inherited and developed Xiang’s ideas. After that, the teachings of Confucianism and Mohism were abandoned and the lifestyle of Daoism became popular.5

This passage, on the one hand, proves that Xiang’s annotations were influential, and on the other hand, points out that Guo’s annotations were “extensions and developments” (Shu Er Guang Zhi, 述而广之) on Xiang’s commentary. For a long time, scholars have believed that Guo Xiang plagiarized. Nearly all scholars during the Song Dynasty said that Guo plagiarized, and scholars agreed during the Ming and Qing Dynasties with very few outlying voices. This conclusion is also accepted in Siku Quanshu Zongmu Tiyao 《四库全书总目提要》 ( ). However, nowadays, most scholars hold a negative attitude towards the act plagiarism. The most representative views are those of Tang Yongtong and Feng Youlan (冯友兰, 1895–1990). In fact, some of Xiang Xiu’s annotations are recorded in Jingdian Shiwen 《经典释文》 ( ) and Zhang Zhan’s annotations to Lie-Zi 《列子》 ( 张湛注) so we can find and read them today. In those two books, the annotations of Xiang and Guo often appear in the following three forms—“Xiang says,” “Guo says,”, and “Xiang and Guo say…” After analyzing the content after “Xiang says” and “Guo says,” we can know for sure that Xiang and Guo’s beliefs were obviously different. Moreover, these three labels indicate that Xiang’s annotations and Guo’s have been preserved and passed independently for a very long time. Tang Yijie 4 5

See Xu Zhen’e, Shishuo Xinyu Jiaojian, p. 111. Fang Xuanlin, Jin Shu, 1974, p. 1374.

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(汤一介, 1927–2014) points out in his book Guo Xiang and Neo-Daoism in the Wei and Jin Dynasties (Guo Xiang Yu Wei Jin Xuan Xue,《郭象与魏晋玄学》 ) that although Xiang’s annotations to The Zhuangzi are mostly lost, his essay Against The Nourishment of Life has been preserved. At least, according to the essay, there is a fundamental difference between Xiang’s thinking and Guo’s philosophy. Wang Shumin has created a detailed comparison of the similarities and differences between Xiang and Guo in his book Zhuang Xue Guan Kui. He found that there were four types of cases: (1) Sections in which Xiang wrote annotations but Guo did not; (2) Sections where the annotations of Xiang and Guo are completely different; (3) Sections where the annotations of the two are similar; (4) Sections where the annotations of the two are exactly the same. Wang found that the fourth case rarely appears, and when it appears, the annotations of Xiang and Guo are usually about philology. Based on the research above, the presumption that Guo Xiang plagiarized should be denied. Here comes the last question. How do we understand that Guo’s annotations are “extensions and developments” of Xiang’s commentary? In my opinion, what Guo wrote can be understood as “reconstructions” (Chong Gou, 重构) of Xiang’s ideas. I think Guo may have copied some of Xiang’s expressions, but he placed them in his own system of theory. At that time, there were no issues of copyright, and the practice of quoting other texts was very common. When one author thought that a sentence was good, he would often copy it directly. But, even if one writer copied another’s sentences, they usually put them in their own system of ideas to express their own understanding.

1.3 The Characteristics of Guo’s Annotations In my lecture on Wang Bi’s philosophy, I mentioned that the most important task in explaining The Laozi is to show and interpret the differences of the same concept within different contexts. As for The Zhuangzi, the most important task in explaining it is to offer one united and coherent theory that fits all of its sections. As we now know, the different chapters of The Zhuangzi were written at different times. According to Liu Xiaogan, the inner chapters were probably completed in the early and mid Warring States period, while the outer chapters were mostly finished in the latter part of that period. The inner chapters are likely the writings of Zhuang Zi himself, while the outer chapters were not written by him, but rather by his disciples. Because the author of the book is not a person, the inconsistency of ideas is obvious throughout The Zhuangzi. For example, the image of Confucius in the 7 inner chapters is basically positive, however, there are some slanderous sections concerning him in the rest of the book. In fact, most ancient commentators can see from various aspects of the text, such as its writing style and depth of thought, that the inner chapters, the outer chapters, and the miscellaneous chapters were not written by the same person. However, Guo’s basic understanding of The Zhuangzi is that the 33 chapters he selects were all written by Zhuang Zi. This understanding is very troublesome because he has to interpret

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the chapters of different authors as a work written by one person. Therefore, Guo’s most difficult task is to give the texts unity in the face of its many contradictions. To achieve this goal, Guo offers a solution with the method of “reading beyond words” (Ji Yan Chu Yi, 寄言出意). Tang Yongtong concludes the “new vision and new method” that helps establish Neo-Daoism as “the discovery of the limitation of language” (Yan Bu Jin Yi, 言不尽 意). But Feng Youlan believes that the new method of Neo-Daoism is “the analysis of concepts and the construction of theories” (Bian Ming Xi Li, 辩名析理). Feng also thinks that “reading beyond words” is one specific manifestation of “the analysis of concepts and the construction of theories.” The expression “the analysis of concepts and the construction of theories” comes from Guo’s annotation to the last paragraph of the chapter Tian Xia of The Zhuangzi. Before reading The Zhuangzi, I heard that Zhuang Zi only discussed silly useless questions like ‘can a piece of wood be cut in half, over and over, for eternity?’ At that time, I thought that Zhuang Zi was only an annoying debater. However, as we can see, in this chapter, he compared all the schools of his era, and in this paragraph, he criticized their silly and useless questions. Now I know that what I heard before is not true at all. If a teaching cannot help the kingdom or the people, it is useless. Its only use is to help the sons of those in power to analyze concepts and construct theories, helping them obtain a calm mind when they do not want to study or play games. If they concentrate their minds on this analysis and construction, their nature will not be corrupted. To this extent, it is better than gambling. Therefore, Zhuang Zi preserved this content for them.6

In the above paragraph, Guo Xiang emphasizes that before reading The Zhuangzi, he thought that Zhuang Zi was a boring debater, who insisted on “the analysis of concepts and the construction of theories,” but, after reading the text, he realized that the book is very inspiring and thoughtful. “The analysis of concepts and the construction of theories” is a negative description because it is only useful for idle elites to help them kill time so that they will not break the law and engage in mischief. “The analysis of concepts and the construction of theories” is criticized by Guo because he thinks that it has nothing to do with daily life or politics. What really matters is “teaching that can help the kingdom or the people,” i.e., the unity of virtue and power (Nei Sheng Wai Wang, 内圣外王). Thus, it is obviously wrong to regard “the analysis of concepts and the construction of theories” as the new method of Neo-Daoism or the new method of Guo Xiang’s philosophy. Is “reading beyond words” the method of Neo-Daoism? Certainly not. The method of “reading beyond words” was only created by Guo Xiang to give The Zhuangzi a unity. The method “reading beyond words” is mainly used to explain the criticism of Confucius in the text. By using this method, Guo indicates that his critique should not be understood as criticism. By applying this hermeneutic method of “reading beyond words,” Guo distorted the meaning of The Zhuangzi. However, it is surprising that, based on so many distortions, the overall portrait of Zhuang Zi’s thought drawn does not deviate from Zhuang Zi’s spirit. As for the methodology in his explanation of The Zhuangzi, Guo says: 6

Guo Qingfan, Zhuangzi Jishi, 1961, p. 1114.

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A person who sees the whole picture should remember the core and forget the details. It is unnecessary to know and explain every single word. All insignificant points can be ignored.7

People who really understand The Zhuangzi should pay attention to its purpose and forget its exact words. Guo’s attitude is not outlandish because when writing the book, Zhuang Zi himself was not serious, but regarded it as a game. He said, “90% of my words are fables (Yu Yan, 寓言), 70% are quotations (Chong Yan, 重言), and I also say things without any fixed viewpoint (Zhi Yan, 卮言).” (in chapter Yu Yan of The Zhuangzi,《庄子·寓言》 ) Given that this is a book full of fables, it is true that readers should not be too strict with the words. Guo’s method of “reading beyond words” is effective in grasping the basic spirit of The Zhuangzi. For this reason, Guo’s method cannot be used in the interpretation of other classics, such as The Analects or The Laozi, because there are no fables in The Laozi and all the dialogues in The Analects are serious discussions. Moreover, the specific hermeneutic method of “reading beyond words” cannot be thought of as a general feature of Neo-Daoism.

2 Ontology 2.1 The Non-existence of the Creator Wang Bi claims that non-being is the fundamental basis of everything. The effect of non-being on the ten thousand beings is shown in two respects—by giving birth to them (Sheng Zhi, 生之) and helping them to achieve themselves (Cheng Zhi, 成之). This is what I mentioned before. Although Wang’s philosophy represents a profound breakthrough in ontology, his theory that non-being can give birth to all things can still be interpreted in a cosmological way. Wang’s philosophy faces two major challenges. The first is the relationship between non-being and the differences between all things. How does non-being, which possesses no differences within itself, give rise to differences between all things? As the fundamental negativity, non-being is one, not many. Since there is no affirmative connotation to non-being, it cannot be the cause of the universal differences among all things. Second, non-being cannot produce any principles. No principle consists in non-being, so no principle can be set according to non-being. Therefore, the functions of non-being are clear but it has not been proved to be the fundamental basis of everything. What Guo wants to solve are precisely Wang’s problems. In my opinion, the development from Wang to Guo is a development from “discovering non-being as the fundamental basis” (Ben Wu, 本无) to “clarifying of non-being as it exists” (Shi Wu, 释无). Guo discovers Wang’s incompleteness because, in Wang’s discussion, non-being seems to be regarded as a noun,—an existence. Guo further explains non-being, indicating that non-being means complete absence. Feng Youlan says that in Guo’s philosophy, non-being is not an existence, but rather a state. However, a state is not a spiritual 7

Guo Qingfan, Zhuangzi Jishi, 1961, p. 3.

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condition or a moral character. To be precise, Feng means that Guo does not regard non-being (Wu, 无) as a noun but rather an adjective. To this extent, some scholars are right to conclude Guo’s philosophy to be the deconstruction of non-being (Wu Wu Lun, 无无论). Starting from Wang’s question, Guo has made his own theoretical advancement. Since non-being is not an existence, it cannot produce any existence. Thus, the attributes of things can only be explained by the inner part of each thing. That is why there is an emphasis on “the nature of self” (Zi Xing, 自性). The essence of all things is in itself. Where does this essence come from? How does the inner essence of different things form a harmonious order? These are problems that Guo must face and solve in his philosophy. To explain the creation of all things, Guo claims “the non-existence of The Creator” (Zao Wu Wu Zhu, 造物无主) and claims that “things are created by no one” (Wu Ge Zi Zao, 物各自造). The affirmation of the non-existence of The Creator is equal to the claim that things are not created by others (Zi Sheng, 自生). It has been pointed out in previous research that Guo’s concept that things are not created by others is inherited from Pei Wei (裴頠, 267–300), in particular from Pei’s essay On the Existence of All Beings (Chong You Lun,《崇有论》 ). But I think this judgment is wrong. This concept comes from Xiang Xiu. In Xiang’s annotations to The Zhuangzi, which can be found in Zhang Zhan’s Annotations to the Lie-Zi, he wrote about the concept of Zi Sheng. I do not give birth to myself, and my creation is not controlled by anything; this is called not being created by others (Zi Sheng, 自生). Does anything produce everything? No. The fundamental creation is not controlled by anything. There is nothing that can make me transform, but my transformation happens naturally. Is there anything that produces the transformation? No. The fundamental transformation is not controlled by anything.8

Here, Xiang Xiu makes it very clear that the word Zi Sheng does not mean creating oneself because he said that “I do not give birth to myself.” What Xiang means is that there is no Creator who gives birth to all things. Therefore, he askes, “Does anything produce everything?” This passage may have profoundly affected Guo, and it can help us understand Guo’s idea of “the non-existence of The Creator” and his claim that things are not created by others. To clarify Guo’s claim that things are not created by others, the first section I would like to discuss is his annotation to the word Tian Lai (which means the sound of Heaven, 天籁) in The Equality of Things and Opinions of The Zhuangzi. Is the sound of Heaven (Tian Lai, 天籁) another sound made by Heaven? No. In fact, it is the harmony of all sounds below Heaven, which are made by features in nature, musical instruments, living things including human beings and animals, and so on. Since non-being is not an existence, it cannot produce beings. Beings cannot produce themselves either because if they were not produced, they would not exist either. Then, what is the subject of production? I have to say that things are not created by others (Zi Sheng, 自生). Neither are they produced by themselves. I cannot produce a thing, while no one can produce me. All things are natural. Things are naturally what they are, this is called nature (Tian Ran, 天然). Therefore, Heaven (Tian, 天) is just the name of all things rather than another independent Zhang Zhan’s annotations can be found in Lie-Zi, in Congshu Jicheng Chubian 《丛书集成初编 ( 》 ), Commercial Press, 1939, p. 2.

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existence. All things below Heaven consist of Heaven such that The Creator which produces everything does not exist. Nothing is created by another. This is The Way of Heaven.9

The sound of Heaven is not another sound made by Heaven, but it is the harmony of all sounds which all things below Heaven make according to their own nature. Similarly, Heaven refers to the sum of all things. A Creator which produces and controls all things does not exist. All things live according to their own nature, and they consist of Heaven. In Guo Xiang’s philosophy, non-being is no longer the fundamental basis of the creation of all things. Nothing is created by another or by itself. All things are created wholly and suddenly without reason. The term Zi Sheng does not mean being created by oneself. Zi (自), which means naturally in this context, is not the same as “self” (Wo, 我). Things are created naturally. There is no creator responsible for creation, and Heaven is just the name that indicates the collection of all things below Heaven, not The Creator. In this section, I have explained Guo’s concept of “the non-existence of The Creator.” Here, I would like to continue to talk about the concept of Zi Sheng. Through the overall study of Guo’s works, we can conclude that when using the concept of Zi Sheng, Guo indicates that there is no reason for creation. All creation is mysterious, and it happens suddenly and all at once. The word Zi (自) can only be interpreted as involuntary, thus, Zi Sheng means involuntary creation. In Guo Xiang’s philosophy, the word Zi sometimes means naturally. We can see this in his annotation to the chapter The Equality of Things and Opinions of The Zhuangzi. My Creator is nature. I am created naturally so I am created by nature. Thus, nature is my nature, which is never far away from me!10

In Guo’s mind, nature is my nature, and it is not anywhere else. Thus, my creator, if there is one, is not The Creator but my nature. Natural creation is not a voluntary behavior that we can call “to create.” In Guo’s annotations to the chapter Zai You 《在宥》 ( ) of The Zhuangzi, he says: Expressions like Yao (窈), Min (冥), Hun (昏), and Mo (默) are similar, meaning that something does not exist. Why do Lao Zi and Zhuang Zi talk about non-being so frequently? They just want to show that nothing is created by another and that The Creator does not exist. It also means that things are not voluntarily created. So, no one can interfere with its own creation!11

Guo believes that all the expressions Zhuang Zi used, like Yao (窈), Min (冥), Hun (昏), and Mo (默) refer to things that do not exist. Zhuang Zi repeatedly discussed non-being because he wanted to show that nothing is created by another. Guo believed that creation is not a voluntary action which we can call “to create,” so he says, “no one can interfere with its own creation!”. From this section, we can draw a conclusion. The term Zi Sheng refers to an involuntary creation that cannot be understood. We cannot explain the reason for 9

Guo Qingfan, Zhuangzi Jishi, 1961, p. 50. Guo Qingfan, Zhuangzi Jishi, 1961, p. 56. 11 Guo Qingfan, Zhuangzi Jishi, 1961, pp. 381–382. 10

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the creation. We must pay special attention to the difference between Zi (自) and Wo (我). The word Wo refers to something that can be controlled by one’s self but the word Zi refers to things that cannot be controlled. In Guo’s philosophy, the word Zi indicates something involuntary. Since the creation of all things is involuntary and not decided, all things then must be themselves. They must be in their natural status and must remain there. As we can see, in Guo’s philosophy, the concept of non-being has both ontological and epistemological meaning. In epistemology, non-being means not able to be known. Guo believes that we cannot know the reason why we do or do not know something. Knowing and not knowing are beyond our control, so we do not have to expend our effort in futility. In Guo’s philosophy, the concept of “Independence” (Du Hua, 独化) is equally important as the concept of Zi Sheng. The concept of “Independence” is discussed in Guo’s annotations to the chapter The Equality of Things and Opinions in The Zhuangzi. Commonly, people in the world believe that a Wang Liang (which means a shade of a shadow, 罔两) depends on the shadow, the shadow of a shape depends on the shape, and finally, every shape depends on The Creator. I would like to ask a question. Does The Creator exist or not? If The Creator does not exist, it cannot create other things. If The Creator is an existence, it cannot be infinite, so it cannot create infinite things. Therefore, it is clear that nothing is created by another, and that is all we know about creation. Any being, like even a shadow, is mysteriously independent. In a word, The Creator does not exist and things are not created by others. All things are independent. That is the truth. Although there are some connections between you and me, a shade and a shadow, even things in pairs are both independent.12

There are two explanations for the word Wang Liang. The first is the shadow of the shadow. This explanation is a little bit puzzling. The second is the faint area of shading outside the shadow, that is, the faint halo around a clear shadow under the sun. In short, a Wang Liang is a derivative of a shadow. In the chapter The Equality of Things and Opinions, a Wang Liang askes its shadow, “A little while ago you moved, and now you stop. A little while ago you sat down and now you stand up. Why this instability of purpose?” Wang Liang asks this question because it must move with the shadow. People usually think that the movement of a Wang Liang is determined by the shadow, the movement of the shadow is determined by the shape, and the human body is endowed by The Creator. None of them can be autonomous. But Guo thinks that this understanding is wrong. Researchers often think that the keyword of this paragraph is determination (Dai, 待), but I think this is a misunderstanding. According to the context, what Guo wants to discuss is not the relationship between things, but the issue of “creation”. So, facing popular ideas, Guo asks that if The Creator exists as a thing, how can it be the reason for the differences among all things? And, if The Creator is not a thing, how can it create things? So everything that has a shape and exists in the world, even a Wang Liang, is mysteriously independent. Nothing is created by another, and the creation of all things is mysterious. Thus, the concept of “independence” is just another expression of the idea that “nothing is created by another.” 12

Guo Qingfan, Zhuangzi Jishi, 1961, pp. 111–112.

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2.2 Nature Since The Creator does not exist, the inner essence of things must come from the mysterious field. Thus, each existing thing can only accept what it has acquired. This is related to the concept of “nature” (Zi Ran, 自然). The concept of “nature” is very important in Guo Xiang’s philosophy. I would like to show its meaning in the following four respects.

2.2.1

Zi Ran (自 自然) and Tian Ran (天 天然) (Nature and Heaven)

The first connotation of nature is of something related to heaven (Tian Ran, 天然). As I mentioned before, in Guo’s philosophy, Heaven (Tian, 天) is the name of all things, and all things below Heaven consist of it. Thus, Heaven does not have an independent existence and the sound of Heaven is the harmony of all sounds made by all things below Heaven. Guo says, “To follow your nature is to follow Heaven,”13 and to follow one’s own nature is natural. In conclusion, Guo believes that to follow one’s nature is to live according to one’s essence, and to follow one’s nature is to follow Heaven.

2.2.2

Zi Ran and Bi Ran (必 必然) (Nature and Necessity)

In Guo’s philosophy, nature is also related to necessity. In his annotations to the chapter The Equality of Things and Opinions, he says, “It is difficult to lift big wings. So, Peng (鹏), a giant bird whose wings are thousands of miles at length, has to shake and spin, soaring upon a whirlwind to a height of thousands of miles to spread its wings to fly.”14 It seems that Peng is very free, but, in fact, the bird has to work very hard to fly. This kind of inevitability is a necessity. The second connotation of nature is necessity. When something is natural, it is not controlled by human beings, and human beings do not know the reason why it exists in its own way.

2.2.3

Zi Ran and Li (理 理) (Nature and Principle)

The third connotation of nature is related to principles. Our nature is the basic principle. This is another great invention of Guo Xiang. Among all the Neo-Daoist scholars, Wang Bi hardly talked about principles, and Ji Kang talked a lot about the principle of nature, but Guo Xiang made the concept of principle a true philosophical concept. Of course, this situation is to some extent related to the classics they annotate. Wang does not talk about principles because the concept is not contained in The Laozi or The Book of Changes, which he annotates. Guo talks about the concept 13 14

Guo Qingfan, Zhuangzi Jishi, 1961, p. 50. Guo Qingfan, Zhuangzi Jishi, 1961, p. 4.

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of principles because the concept appears in The Zhuangzi. But that is not the only reason. Qian Mu, in his book Zhuanglao Tongbian 《庄老通辨》 ( ), has pointed out that the concept of principles rarely appears in the text of The Zhuangzi, but it is nearly everywhere in Guo’s annotations. The concept of principles is an indispensable philosophical category in Guo’s philosophy, and the emphasis on this concept is Guo’s great contribution to the history of Chinese philosophy. Guo’s discussion of the relationship between principle and nature can be seen in his annotations to The Equality of Things and Opinions. He says, “Enormous things must be born on huge continents, this is natural and can also be called a principle.”15 Enormous things must be born in a large space, and large spaces are always suitable for huge things to grow. This is a principle. And principle is the nature endowed in all things.

2.2.4

Zi Ran and Ren Wei (人 人为) (Nature and Man)

In the entire text of The Zhuangzi, especially in the outer chapters and miscellaneous chapters, nature and man are often in conflict. The separation between Heaven and man is very clear. For example, in chapter Qiu Shui of The Zhuangzi, it is said, “In nature, cattle and horses have four feet, but it is men who put bridles on cattle and horses. Therefore, man and nature are different, and so are the reasons given by men and the fate determined by nature. Do not let what you get ruin your reputation. Be careful and cautious, it is the returning to the truth.” Of this clear division, Guo has a very creative understanding. Although it is men who put bridles on cattle and horses, the possibility of this activity is somehow natural. If one event is natural, even if it is eventually done by men, it is not man-made.16

Why is it possible to put bridles on cattle and horses? It is because of the inherent structure of those animals. Guo does not regard this possibility as man-made but as natural. This is an expansion of the connotation of the concept of nature. Guo not only regards real things or events as natural but also believes that their possibility is natural, too. Therefore, the actualization of natural possibilities is also natural. So Guo says in his annotations to the chapter The Great Teacher: Not all things in the world are self-actualized. This is the principle of nature. There are some tools that need to be forged and then can be used as tools.17

Many of our abilities are learned after birth. Can these acquired skills, such as swimming, cycling, and language, be regarded as natural? Guo believes that not all things in the world are fully actualized by themselves, but rather need to be forged before they can be turned into tools. This is also natural. 15

See Footnote 14. Guo Qingfan, Zhuangzi Jishi, 1961, p. 591. 17 Guo Qingfan, Zhuangzi Jishi, 1961, p. 280. 16

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By reversing the meaning of the text, Guo has greatly expanded the concept of nature. In another annotation to the chapter The Great Teacher, Guo says: It is natural to follow one’s nature to act, and it is also natural to change and correct one’s actions if one follows his nature to act and face difficulties.18

Following your own nature and making no man-made adjustments is nature. According to human nature, human beings are always enterprising. However, excessive work may harm our human nature. But it is also natural for human beings to change our actions after being harmed. In Guo’s philosophy, nature is not only something that human beings get from Heaven but also something which belongs to one’s self. Nature means necessity and it is principle, too. Furthermore, in Guo’s view, to some extent, some man-made activities are also natural. Through the expansion of the connotation of the concept of nature, Guo has made the philosophies of Lao Zi and Zhuang Zi a way of living which is possible to follow in a highly developed civilization. Guo enriched and expanded the connotation of the concept of nature, but at the same time, there are some lingering questions. Where is the boundary between nature and men? How do we confirm our sense of rationality?

2.3 Principle and Human Nature Since the possibility of all things is inherently contained within them when they are produced and are included in the process of their development, it is impossible to change our fate. Although it seems that a person’s abilities are created from nothing and absorbed from the outside, this process is actually the realization of one’s own inner possibilities. In Guo’s view, the boundaries of our inner possibilities are determined when we are born and thus cannot be changed. This is the allotted nature and position (Xing Fen, 性分) of things. In Guo’s view, allotted nature and position is closely related to principle. In his annotations to the chapter The Carefree Excursion, he says: A principle is the best way to deal with a thing, and each thing has a certain boundary that it can never surpass. Different tools should be used in different situations. Although used in different places, they will all be effective.19

Everything has its fixed position and its unsurpassable boundary of possibilities. For example, our individual starting point is given and cannot be changed. No matter how much we transcend our situations, our development also contains this given starting point. Not only is the starting point given, but our growth also has definite boundaries. This claim can be confirmed through our life experiences. If a person recognizes the boundaries of his talents, he is more likely to find the right path to 18 19

Guo Qingfan, Zhuangzi Jishi, 1961, p. 281. Guo Qingfan, Zhuangzi Jishi, 1961, p. 7.

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self-realization. Where does this definite position come from? It is not created by others. It is our nature, but we cannot know where it comes from. Guo says in his annotations to the chapter The Sign of Virtue Complete: Of things that I have, things that I do not have, actions that I enact, and situations that I meet, I decide none of them. They follow principle.20

Whether gaining or losing, active behaviors or accidental encounters, most things are not under my control. The objective nature is behind all of them. Things that seem to exist beyond their allotted nature and positions are illusory. In Guo’s annotations to the chapter The Equality of Things and Opinions, he says: If something was not within its true nature, it would be dust and dirt (Chen Gou, 尘垢).21

If something is not in its allotted nature and position, it will be dust and dirt. Dust and dirt can be understood as abstract possibilities in life. Not only is this abstract possibility impossible to achieve, but it will also interfere with reality. If a person is always puzzled, not knowing what he can do and what he should do, he is blinded by dust and dirt. The principles, nature, and positions are things that no being can get rid of. In Guo’s annotations to the chapter The Fundamentals for the Cultivation of Life, he says: All beings have their own duties and positions which come from their own nature and from Heaven. There is no escape and no increase.22

The nature of all beings is mysteriously determined. This is their principle of action, which cannot be changed. The concept of position (Fen, 分) is a Confucian concept. In advocating virtues such as benevolence, righteousness, adherence to rituals, and wisdom, Confucians often tried to remind their followers of their awareness and commitment to their duties and position. Guo’s views here form a connection between Confucianism and Daoism. By emphasizing the claim that duty and position cannot be changed, Guo wants all people to accept their place in society. Since duty stemming from our nature cannot be changed, could our duty be fulfilled in human behavior without conscious effort? If it could be fulfilled without effort, there would be no such thing as an unsatisfied life and there would be no chaotic or conflicted societies. If everyone’s duty could be actualized without conscious effort, then the world would be harmonious, and every person would be able to fully display his best capabilities. But this is not the state of the world. So, how can the duties which stem from our nature be fulfilled? Is human initiative required to fulfill our duties? If human initiative is required, does it violate the Daoist spirit of obedience to nature? In Guo’s annotations to the chapter In the World of Men, Guo says: 20

Guo Qingfan, Zhuangzi Jishi, 1961, pp. 199–200. Guo Qingfan, Zhuangzi Jishi, 1961, p. 99. 22 Guo Qingfan, Zhuangzi Jishi, 1961, p. 128. 21

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To obey the inevitability of principle is the full actualization of the Doctrine of the Mean (Zhong Yong, 中庸), and it is the ultimate rule.23

For Guo Xiang, to obey is also a manifestation of human initiative. The reason why people cannot fulfill their own duties and nature is that they have misunderstood their nature and given up on obedience. After gaining a full understanding of their nature, people will choose to obey. To obey principle is the manifestation of the Doctrine of the Mean. Here, the concepts of principle, nature, and position are related to the Confucian concept of the Doctrine of the Mean. Does Guo Xiang deny the possibility of human development as a result of his emphasis on principle, allotted nature, and position? According to classical Daoism, human beings have neither the need for nor the possibility to enact development. But for Guo, nature and man can be unified. Human actions can be regarded as natural, to a certain extent. Behaviors that are possible in accordance with our nature are still considered natural. For example, the acquisition of skills and character training counts as natural. It is difficult to determine the boundaries of what is “natural” because they are sometimes not certain. We must discover the boundaries of our abilities and our nature through our own effort.

2.4 The Self and Interactions Since all things are natural and are not determined by others, and at the same time, all things have insurmountable boundaries, all that we can do is to learn to obey our interior nature. How then are connections between things possible? Are there really connections between things? If there are connections between things, then the things that are related to each other constitute part of the interior essence of both parties. If one focuses on realizing its inner essence, it must consider the nature of the other. Only by emphasizing that there are no connections between things can we return to our own natures without being affected by specious connections with others. In previous studies, scholars have often concluded that independence (Du Hua, 独 化) and relation (Xiang Yin, 相因) are two concepts in Guo’s philosophy which deal with the relationships between things. This claim stems from a misunderstanding of Guo’s text. In fact, these two concepts are both about creation. As I mentioned earlier, by using the concept of independence, Guo emphasizes that a Creator does not exist. Similarly, by using the concept of relation, Guo wants to show that even things in pairs, which are usually seen as related, cannot be understood as having been created by each other. It may seem that a shadow is created by a shape, but in fact it is not. Neither one of them is created by the other. If we read Guo’s annotations carefully, we will find that when discussing the relationship between things, he usually uses the concepts of “self” (Zi Wei, 自为) and “interaction” (Xiang Wei, 相为). In the chapter The Great Teacher in The Zhuangzi, there is one paragraph about four people who become friends because they share 23

Guo Qingfan, Zhuangzi Jishi, 1961, p. 163.

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the same understanding of life and the world.24 Later, one person becomes seriously ill, and his friends bring food and visit him.25 If you hold Daoist views, this might be problematic. Is the behavior of visiting friends a kind of caring about others? Caring is often the manifestation of benevolence. People will be inclined to praise the benevolent man and study with him. But in Daoist philosophy, the ideal relationship between people is for everyone to forget everyone. Facing this challenge, Guo offers an explanation: Although it seems that he visits his friend, cares about him, and does things for his friend, there is no interaction between them. He visits his friend and feeds him because he follows The Principle of Heaven naturally. He does all things for himself.26

By saying “there is no interaction between them” (Xiang Wei Yu Wu Xiang Wei, 相为于无相为), Guo means that the man does not do things for others intentionally. He who visits a friend with food does so not because of sympathy or compassion. The action is not moral, emotional, or voluntary. It is a type of involuntary natural behavior. The mutual care between two people is the actualization of their own natures. But we still must say that this kind of behavior enact for one’s self objectively forms a certain kind of caring and protection for others. The saying “there is no interaction between them” is not the invention of Guo Xiang. It is a quote from The Zhuangzi. In his annotations to the chapter The Great Teacher, he says: The five organs have different functions and none of them try to take on the work of the others. Because of their work, the human has a healthy body. That is called having no interaction between them. Harmony will appear if there is no interaction between all things and everyone acts for himself.27

The five organs have different functions, and they seem to be related to each other. But this connection is not real. For example, the heart beats and transports blood to the various organs. The heart is not beating for other organs but works in accordance with its own nature. However, it allows for the survival of the other organs. In Guo’s annotations to the chapter Qiu Shui, Guo says: There is a self and there are others. Everyone wants to do things for themselves, so people have contradictory aims. However, the relationship between the self and others is like the relationship between the lips and the teeth. The lips do not do things for teeth, but without the lips, the teeth would be cold. Therefore, beneficial interactions happen because everyone does things for himself (Zi Wei, 自为).28

All things exist for themselves, which creates differences, deviations, and contradictions. The relationship between the self and others is like the relationship between the lips and teeth. Lips do not exist to protect teeth, but teeth are naturally protected 24

Guo Qingfan, Zhuangzi Jishi, 1961, p. 264. Guo Qingfan, Zhuangzi Jishi, 1961, p. 285. 26 Guo Qingfan, Zhuangzi Jishi, 1961, p. 286. 27 Guo Qingfan, Zhuangzi Jishi, 1961, p. 265. 28 Guo Qingfan, Zhuangzi Jishi, 1961, p. 579. 25

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by lips. The self-preservation of the lips plays a role in protecting the teeth. Things only aim at self-preservation, but their self-preservation helps other things. We all wear clothes. The self-maintenance of the cloth is not to help us cover the body, but to maintain itself. Of course, this kind of self-maintenance plays a role in sheltering us from the cold. Because Guo admits only the superficial connections between things, readers often think that his philosophy is contrary to common sense. In fact, philosophers often have different understandings of common sense than the general public. Guo wants his readers to reconsider the relationship between things. Although there are some connections between you and me, a shape and its shadow, things in pairs are independent.29

A pair of things that exist, like you and me, is what Guo understands as things combined mysteriously (Xuan He, 玄合), which means that the two things appear simultaneously but mysteriously. No being relies on others. Because if something relies on another thing—just like the shadow and the shape—it will be determined by others. Since everything exists “for itself,” what people can and should do is to come back to their inner nature. No matter how hard we work, we cannot exceed our innate capabilities, and we cannot surpass our nature. Guo Xiang, using the concepts of “self” and “interaction” to understand the relationship between things, fundamentally deconstructs the Confucian value of benevolence. In Guo’s philosophy, benevolence is only an appearance, and its essence is the objective result of acting for the self. Based on this claim, Guo supports new theories of ethics and politics.

2.5 The Carefree Excursion and Human Nature There are two important keywords in The Zhuangzi—living and the carefree excursion. The carefree excursion can be understood as the pursuit of the good life. Annotators to The Zhuangzi in previous dynasties all paid attention to the issue of the carefree excursion. Guo Xiang believed that if a person does everything in accordance with his nature, he will embark on a carefree excursion. In Guo’s philosophy, if a person can be self-sufficient in accordance with his own nature, he will embark on the carefree excursion. It is the same for all beings, no matter how different their natures. In Guo’s annotations to the chapter The Carefree Excursion, he says: If you have actualized your nature fully, you have no need to admire others. The giant Peng is no better than a little bird and a little bird has no envy when the giant Peng drinks in the Sky Pond (Tian Chi, 天池). Therefore, no matter whether you are big or small, if you do things according to your own nature, you will be on a carefree excursion.30 29 30

Guo Qingfan, Zhuangzi Jishi, 1961, p. 112. Guo Qingfan, Zhuangzi Jishi, 1961, p. 9.

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In the chapter The Carefree Excursion, it is said that if the giant Peng wants to fly, it must shake and spin, soaring upon a whirlwind to a height of thousands of miles to spread its wings to fly, but a little bird only has to fly fast and land quickly. Some people think that only the giant Peng is experiencing the carefree excursion because it flies high and far while others think that only the little bird is on the carefree excursion because it flies easily. Guo believes that, from the perspective of nature, both the giant Peng and the little bird are on a carefree excursion. Different things have their own situations. For example, people will get sick if they live in a damp place, but for the loach, the wetland is a suitable place to live. Each thing will be on the carefree excursion only if it is put in the living environment that it is adapted to. And the living environment that a thing adapts to must be related to its nature. Therefore, Guo says in his annotations that we cannot say that the giant Peng is freer than the bird. Everything has the possibility of achieving self-sufficiency. What we pursued is only self-sufficiency, and what we can achieve is also self-sufficiency. To this extent, there is no superiority or inferiority among things. Therefore, Guo says: If you are capable, even if there is a ten-thousand-pound basket on your back, you will not realize it and will carry it well.31

No matter how heavy our burden is, if it is within a person’s ability, he will not feel it is difficult to take it on. Some people can only achieve self-sufficiency after experiencing all things, while others, like the little bird, do not think that the giant Peng’s flight to the Sky Pond is enviable. They are satisfied with staying in their own small forest. If you can follow your own principle and return to your position, you will be on your own carefree excursion. Guo’s description of the carefree excursion is meaningful. It tells us that to actualize one’s own nature is the only way to experience the good life. If you are a field of grass, then you should exist proudly as grass under a towering tree. This selfsufficiency is the basis of confidence and the basis of returning to one’s self. If a person has this attitude of self-sufficiency, he will not be greedy or jealous. However, can a person always live within the limitations of his own abilities? If we can embark on the carefree excursion only if we are put in the correct circumstances, then the carefree excursion is be conditional (You Dai, 有待). The concept of conditional does not appear in The Zhuangzi, but Guo Xiang uses it intentionally in his annotations. If the carefree excursion is conditional, it is not absolute. Here emerges a question: Is there an absolute carefree excursion?

2.6 Following the Things In Guo Xiang’s philosophy, conditional things are illusory but absolute things are real. Once a person realizes that he is absolutely independent, he will have the capability of roaming on the carefree excursion. This kind of self-sufficiency is actualized 31

Guo Qingfan, Zhuangzi Jishi, 1961, pp. 115–116.

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through a special method of following the things (Ming Wu, 冥物). In Guo Xiang’s annotations to the chapter The Carefree Excursion, he says: Those who follow the things and their big changes can be on the carefree excursion unconditionally. If one can follow the people who are only on the carefree excursion conditionally and help them keep the conditions they need, he will achieve the absolute carefree excursion.32

The word Ming (冥) in Ming Wu (冥物) is the same as the Xuan (玄, which means mysterious) in The Laozi, both referring to darkness and something unknown or undivided. Big changes are changes that are irreversible and cannot be controlled. Guo thinks that only by destroying the boundary between man and things and following the changes of things can a man be on the absolute carefree excursion. People who are on the absolute carefree excursion can not only actualize their own nature but also help others actualize their own. In other words, the conditional carefree excursions of normal people are possible only if there is a sage who is on the absolute carefree excursion. Good governance must depend on the sage-king because only the sage-king can achieve absolute freedom. Ordinary people cannot follow the big changes of things at all times, so their freedom is limited. The conditional carefree excursion can only be actualized with the help of the sage-king who roams on his absolute carefree excursion. But what is the so-called “absolute”? Guo says: If a person has a self, he will contradict things, but if a person has no self, he will follow all things and be one in them.33

A person who has a self contradicts things. The self is a boundary, and elements outside the boundary are things. A person who has no self is a truly independent man. The true meaning of “having no self” is to be united with all things, and to have no distinction between right and wrong, you and me, dead and alive, and so on. A person who follows all things will not be the opposite of anything. That person is the one who roams on the absolute carefree excursion.

2.7 Life and Death Of all problems, the problem of death is the most difficult to solve. Guo Xiang lived in an era when everyone was particularly concerned about dying. Every person must face death, but the anxiety of the Wei and Jin Dynasties is unique in Chinese history. The people of the Wei and Jin Dynasties were sensitive to all things that were perishable. This can be clearly seen in the poetry of the time. How did they overcome it? This question becomes a fundamental feature of Guo’s philosophy, because of his upbringing in this sort of atmosphere. In Guo’s annotations to the chapter Zhi Bei You of The Zhuangzi 《庄子·知北游 ( 》 ), Guo expresses his thinking on the issues of life and death. 32 33

Guo Qingfan, Zhuangzi Jishi, 1961, p. 20. Guo Qingfan, Zhuangzi Jishi, 1961, p. 24.

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Death is not determined by other elements. It is not right to say that one thing is dead because it was alive. Life and death are not determined by the other.34 Death and life are separate items.35

Usually, we think that living things will die and that there is a relationship between life and death. However, in Guo’s view, this is wrong because, in his understanding, the relationship between life and death is like the misunderstood relationship between shadow and shape. Guo thinks that not only life is independent, but so is death; both are self-generated. Death does not originate from life. Both death and life are independent. That is why Guo says that they are “separate items” (Ge Zi Cheng Ti, 各自成体). When we are alive, death has not yet come, so death is not in life. When we are dead, we disappear, so death cannot be in us. The saying that “death and life are separate items” seems to be a rather terrifying theory, but it is in fact a reasonable deduction from Guo’s ontology. Because life and death are both independent, it is meaningless to worry about death, which is not in life. If one actualizes his own nature and completes his duty, his life will be complete. In Guo’s annotations to the chapter Zhi Bei You, he also says: Non-beings cannot transform into beings; similarly, beings cannot transform into non-beings, either. There are so many changes between things, which are all beings. But it is impossible that a thing could change into a non-being. Since beings cannot transform into non-beings, there will never be a time when there is nothing. All things and changes exist eternally.36

There is no possible transformation between beings and non-beings. In our common understanding, a thing, which is a being, can change and disappear, which is a transformation from being into non-being. But Guo says that disappearance really means to disappear completely, so when something disappears, it does not become an existing thing called a non-being. When Guo says “all things and changes exist eternally,” he does not mean that any individual will exist forever. What Guo means is that from the perspective of the entire universe, the world will keep changing and never stop. The whole of the universe, including its past and future, is a being, before which there was no stage when there was nothing. In Guo’s annotations to the chapter The Great Teacher, he says: The power of change is usually not perceivable, but it is the greatest power. It can make the sky, the earth, and mountains new. Changes happen every second and all things below Heaven are changing all the time.37

All changes are processes of daily renewal. People will face death at the end of their days. They experience countless possibilities of meeting death each day. For example, a person cannot know what will happen to him in the next moment. In this sense, by saying “death and life are separate items,” Guo indicates that both death and life are part of the process of daily renewal. If we consider one’s whole life as 34

Guo Qingfan, Zhuangzi Jishi, 1961, p. 763. Guo Qingfan, Zhuangzi Jishi, 1961, p. 764. 36 See Footnote 34. 37 Guo Qingfan, Zhuangzi Jishi, 1961, p. 244. 35

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a process of daily renewal, then we will find that we have a new life every moment. Guo’s ideas establish the foundation for a positive and fulfilling life.

3 Political Ideas 3.1 Acting Without Action Like Lao Zi and Zhuang Zi, Guo Xiang also emphasizes that the fundamental principle of governance is acting without action. In his annotations to the chapter The Carefree Excursion, he says: The only person who can make the world well-ruled is the person who does not rule it. Therefore, Yao does not rule it. He never ruled the world and never tried to make it wellruled.38

To truly govern the world well, a king must never rule. Then what is the difference between “ruling well without ruling” (Yi Bu Zhi Zhi Zhi, 以不治治之) and “well-ruled under ruling” (Zhi Zhi Er Zhi, 治之而治)? In Guo’s annotations to the chapter Qu Qie of The Zhuangzi 《庄子·胠箧》 ( ), he says: Make the squares be as squares, circles as circles. Put everyone in a place where he can work well. Then people will be quiet and actualize their nature.39

This claim represents the inheritance and development of Wang Bi’s thought. This is also the Daoist attitude toward the assignment of citizen. In ancient China, Confucian and Mohist scholars advocated the politics of meritocracy, while Daoist and Legalist scholars believed that what really matters is not the merits of individuals but the constraints of the positions where they are placed. If the ruler places a person where he fits, he will naturally work well. How can a ruler make the squares be as squares and circles as circles? “Follow the nature of things and do not rule” (Shun Wu Xing Er Bu Zhi, 顺物性而不治).40 A ruler should not sculpt or change things. The word Wu (物) refers to both things and people. Any thing that is objectified can be called a Wu. According to this principle, correct governance consists in acting without actions, rather than in one person actively ruling the world. The self and the world are in harmony with each other. Those who dominate the world by themselves will put the world in chaos and will then hurt themselves!41

38

Guo Qingfan, Zhuangzi Jishi, 1961, p. 24. Guo Qingfan, Zhuangzi Jishi, 1961, p. 355. 40 Guo Qingfan, Zhuangzi Jishi, 1961, p. 389. 41 Guo Qingfan, Zhuangzi Jishi, 1961, p. 394. 39

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To follow the nature of everything and to not bother them according to one’s own subjective judgments is the most fundamental principle of governance.

3.2 The Nobleman and the King The political philosophy of The Zhuangzi can be understood as anarchism, especially in the outer and miscellaneous chapters. However, Guo Xiang does not hold that attitude. In his annotations to the chapter In the World of Men, he says: When one thousand people gather together, if they do not make one person their ruler, they will eventually exist in chaos or separation. Therefore, we can have many noblemen in our kingdom but we can never have many kings. We can be without noblemen in our kingdom but we can never be without a king.42

There is a fundamental difference between acting without action and anarchism. Guo especially emphasizes the importance of the monarch. No matter how many noblemen are in the world, power must remain in the hand of one person. Even if there is no virtuous person in the world, there must be a ruler. A tyrant is better than no ruler. Unified political authority is the basis for the maintenance of orderly life, and the basic order is the basis of most people’s survival. In Guo’s annotations to the chapter Qu Qie, he also says: It is right to say that the sages are a negative force in the world. But we still must have a sage. All doctrines in the world should be judged and combined by a sage. If there is no sage who can do this, the world will be in chaos. Although the sage is not a good figure, he is necessary.43

Guo believes that if all the people in the world were able to forget their knowledge and stop using their wisdom, then the sage would, of course, be unnecessary. But the problem is that there will always be some people in the world who possess selfishness and those who possess wisdom. In this situation, it would be harmful to ask only the sage to forget his knowledge and to stop using his wisdom. Therefore, no matter how much harm the sage brings, he is necessary for governance.

3.3 Political Virtue In order to understand Guo Xiang’s political philosophy, we must understand the ideas that he disagrees with. The story of Yao and Xu You (许由), is very important. In The Zhuangzi, Yao is mocked by the Daoist perspective. But Guo praises Yao directly because Yao makes the world well-ruled without ruling. Guo says: 42 43

Guo Qingfan, Zhuangzi Jishi, 1961, p. 156. Guo Qingfan, Zhuangzi Jishi, 1961, p. 348.

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If one person claims that acting without action is a theory that encourages people to hide in mountains and forests, he misunderstands Daoism. With a misunderstanding like this, those in power will not believe that Daoism is useful and thus will keep acting. This is the reason.44

If so-called acting without action were taken to be hiding in the mountains and doing nothing, it would be natural for Daoism to be looked down on by those in power. The rulers will think that since they cannot follow this principle, all they can do is to abandon the principle and keep acting. In order to prove that acting without action is truly possible, Guo creates a new understanding of the ruler’s virtue. The real sage-king is a person who roams on the absolute carefree excursion. In the eyes of the sage-king, there is no difference between the court and the mountains. Only those who do not restrict themselves to the court or mountains, like Yao, are those who can help ordinary people actualize their nature. In Guo’s annotations to the chapter The Great Teacher, he describes the image of an ideal sage-king within his heart. If a person deals with things very well, it will be impossible for him to have a bad character inside. Similarly, if a person has a good character, it will be impossible that he deals with things very badly. Therefore, the sage travels with a calm mind inside and follows everything with an empty heart inside. Thus, although he moves his body all day long, his spirit remains unchanged. Although he deals with ten thousand things, he is still quiet and calm.45

The sage-king is a person who deals with exterior events while maintaining inner peace. Although he sees different events, his mind is unchanged. He has no subjective intentions, but only follows the things outside. Although he is busy all day long, his expression does not change. After doing work, he maintains a calm mind inside. Such a person is the ideal ruler. And only such a person can help everyone keep calm and enact ideal governance. Unlike the king, officials act all the time. Returning to one’s true nature and being content with one’s position is the virtue of an official. Anyone who gains his true nature and uses it for his own sake can set his career without caring about others’ words, even if he has no power.46

After knowing a person’s true nature, doing everything truly for “himself,” even a nobody can be self-sufficient and satisfied. In Guo’s thought, the social identity of a person is also included in his true nature. In other words, not everyone can become a sage-king. If a person is destined to be a minister according to his nature, but he mistakenly understands himself as a sage-king and tries to become one, he will have made a terrible mistake. In Guo’s annotation to the chapter In the World of Men, he says, “If a person is in a low position, like Long Pang (龙逢) and Bi Gan (比干), it is wrong for him to worry for his superiors.”47 Even virtuous officials should not behave as if you are the king. 44

Guo Qingfan, Zhuangzi Jishi, 1961, p. 24. Guo Qingfan, Zhuangzi Jishi, 1961, p. 268. 46 Guo Qingfan, Zhuangzi Jishi, 1961, p. 59. 47 Guo Qingfan, Zhuangzi Jishi, 1961, p. 139. 45

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Unlike Lao Zi, who denied the efficiency of rituals and teaching (Li Jiao, 礼教), Guo confirms the importance of rituals (Li, 礼) and the importance of punishments (Xing, 刑). The punishments are the core of governance, and they are not my artificial creation. The rituals are common standards in the world, and they are not my personal willing. Wisdom comes from the understanding of situations, and it is not my opinion. Virtue lies in following others, not in serving me.48

Guo believed that punishments, rituals, wisdom, and virtue are all indispensable in governance, but it is necessary to make clear that they are not based on the will of the ruler. A long-term custom can be regarded as something natural. Rewards and punishments are also necessary as the natural consequences of human behavior, but they do not have the effect of encouragement or prohibition. Even the virtues of benevolence and righteousness should not be forbidden, because they are in the nature of some people. In Guo’s annotations to the chapter Pian Mu of The Zhuangzi 《庄子·骈拇》 ( ), he says: Whether it has an extra toe or not, every foot is natural. Ordinary people think that a foot with an extra toe is not natural and would rather amputate it. But I think that amputation is the harming of the Dao. Similarly, if men are fired and things are abandoned, governance will not be ideal.49

In Guo’s philosophy, whether it has an extra toe or too few, a foot is always natural. If a person wants to amputate the extra one or gain one, he will hurt the nature of the foot and lead to the destruction of nature by external standards. The result will be the appearance of extra men and extra things. This is a deviation from ideal governance. In Guo’s mind, the emergence of ideal governance can only be a historical accident. Moreover, even if ideal governance is achieved, it will eventually fall into chaos. There are criticisms of the governance of ancient sages like Huang Di (黄帝) in the outer chapters and miscellaneous chapters in The Zhuangzi. In the chapter Zai You, it is said that Huang Di corrupted people’s hearts through benevolence. In Guo’s annotations, he says: Huang Di never advocated the virtue of benevolence intentionally. He just followed things and helped people, and people thought of him as a benevolent man. However, because people thought that he was benevolent, some people harmed their own nature to imitate him. To this extent, we can say that it is the impression that Huang Di left upon people that corrupted later men.50

Guo believed that Huang Di did not practice benevolence and justice deliberately. The sage follows things and the essence of his governance is just “following big changes of things.” But normal people will regard his behavior as benevolent actions upon observing them. Normal people can see the appearance of the sage, but cannot 48

Guo Qingfan, Zhuangzi Jishi, 1961, p. 238. Guo Qingfan, Zhuangzi Jishi, 1961, p. 312. 50 Guo Qingfan, Zhuangzi Jishi, 1961, pp. 373–374. 49

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see the reason why the sage acts in his way. So, what they imitate is only the appearance of the sage’s action. The reason why the sage does this cannot be grasped by ordinary people because the reason is not fixed. The sage’s principle is action without action, but his awkward imitators do not know this, so they keep acting. In Guo’s eyes, an ideal world based on the principle of acting without action will eventually end up as a turbulent mess, and this is a historical inevitability.

Chapter 8

Sincerity as the Supreme Ultimate: The Philosophy of Zhou Dunyi

Zhou Dunyi (周敦颐), courtesy name Mao Shu (茂叔), was born in the first year of the Tianxi era (天禧元年, 1017 A.D.) of Emperor Zhen Zong (真宗) of the Northern Song Dynasty, and died in the sixth year of the Xi’ning era (熙宁六年, 1073 A.D.) of the reign of Emperor Shen Zong (神宗). He was born in Yingdao County of Daozhou (道州营道县, which is now called Dao County (道县) in Yongzhou City, Hunan Province 湖南永州.). In his hometown, there is a river called Lian Xi (濂 溪). During his later years, he settled at the foot of Mount Lu (庐山). He named a river near his house Lian Xi after the river in his hometown and built a cabin nearby. He named the cabin Lian Xi Study (Lian Xi Shu Tang, 濂溪书堂) and read books there. Thus, later generations often called him Mr. Lian Xi (Lian Xi Xian Sheng, 濂 溪先生). There are four main schools in Neo-Confucianism and each is referred to by one Chinese word—Lian (濂), Luo (洛), Guan (关), and Min (闽). Lian refers to Zhou Dunyi because of his nickname. Luo refers to the Cheng brothers (Cheng Hao (程颢) and Cheng Yi (程颐)), Guan to Zhang Zai (张载), and Min to Zhu Xi (朱熹). These four schools are usually thought of as constituting the orthodox branch of Neo-Confucianism. Zhou Dunyi’s two major works are Explanation of the Diagram of the Supreme Ultimate (Tai Ji Tu Shuo,《太极图说》 ) and Penetrating The Book of Changes (Tong Shu,《通书》 ). He was not influential during his life, so his writings were not systematically collected or arranged. In the Southern Song Dynasty, his works were already controversial. For example, many scholars had different opinions on questions like figuring out history of the original edition of The Diagram of The Supreme Ultimate (Tai Ji Tu,《太极图》 ), the correct understanding of the first sentence of Explanation of the Diagram of the Supreme Ultimate, and the relationship between Explanation of the Diagram of the Supreme Ultimate and Penetrating The Book of Changes. The main sections of The Complete Works of Zhou Dunyi (Zhou Dun Yi Ji,《周敦颐集》 ) was collected and edited by Zhu Xi, and so can be called Zhu Xi’s version. I think that Zhu Xi’s version is reliable and of very good quality. Zhou served for a long time as a minor official in several counties, and he was strict with himself and precise in handling matters, much the ancient ideal of the nobleman. Therefore, Huang Tingjian (黄庭坚, 1045–1105) praised him for © Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_8

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being a man of integrity. Cheng Xiang (程珦, 1006–1090), who was the father of the Cheng brothers, believed that Zhou was not an ordinary man even before he gained a reputation, and instructed his two sons to learn from Zhou. Zhou had a profound influence on the Cheng brothers, especially Cheng Hao. Cheng Hao once said, “After my second visit to Mao Shu, I could enjoy the harmony of wind and the moon and I began to understand the reason why Confucius paid Zeng Dian (曾点) an enormous compliment.”1 Zhou Dunyi inspired the Cheng brothers to think about the reasons for Confucius and Yan Hui’s joy.2 The concept of joy (Le, 乐) is the expression of the basic spirit of Confucianism. Liang Shuming (梁漱溟, 1893–1988) once noted that Confucianism is a culture of joy.3 The concept of joy indicates to us that Confucianism is a “warm culture,” reminiscent of the way we feel in spring. Zhu Xi once commented on a portrait of Zhou Dunyi. He said, “The Dao has been lost for thousands of years. The sages are far away, and their words have been forgotten by history. If there is no prophet, nobody will open our eyes. His book is short, and his diagram is simple. The wind is gentle and the moon is hanging high. The grass in his yard is green.”4 In Zhu’s words, “his book” refers to Zhou’s Penetrating The Book of Changes, and “his diagram” stands for The Diagram of the Supreme Ultimate. Although the book and the diagram can be read by students, it is hard for beginners to fully understand Zhou’s thoughtful philosophy from these two texts. By saying “The wind is gentle and the moon is hanging high,” Zhu agrees on one of Huang Tingjian’s evaluations of Zhou Dunyi, in which Huang says that Zhou Dunyi “is an outstanding nobleman, having a broad mind in which there is even clear wind and a bright moon.” As for the green grass in the yard, it is a reference to a story about Zhou. Zhou’s yard was full of weeds. Someone asked him why he did not remove them. Zhou replied that the weeds were like him; the weeds also had their own vitality. Why should he remove them?

1 Metaphysics Since the most important works of Zhou Dunyi are The Explanation of the Diagram of the Supreme Ultimate and Penetrating The Book of Changes, I will introduce his philosophy mainly through reference to these two texts, using the first as a mainstay. Here, I will present the whole text of Explanation of the Diagram of the Supreme Ultimate (Fig. 1). Zhou Dunyi 周敦颐, The Complete Works of Zhou Dunyi (Zhou Dun Yi Ji,《周敦颐集》 ), Beijing: Zhonghua Press, 2009, p. 81. 2 Cheng Hao say, “when I studied from Zhou Dunyi, he asked me to think of the question why Yan Hui and Confucius were so joyful.” See Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 16. 3 Liang Shuming 梁漱溟, Dongxi Wenhua Jiqi Zhexue 《东西文化及其哲学》 ( ), Beijing: Commercial Press, 1999, pp. 142–144. 4 See Zhou Dunyi, Zhou Dun Yi Ji, 2009, ii. 1

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The Ultimate Non-Being (Wu Ji, 无极) is the Supreme Ultimate (Tai Ji, 太极). The Supreme Ultimate, through motion, generates Yang (阳). When its activity reaches its limit, it becomes tranquil. Through tranquility, the Supreme Ultimate generates Yin (阴). When tranquility reaches its limit, activity begins again. So, motion and tranquility alternate and become the root of each other, giving rise to the distinction between Yin and Yang, and the two modes (Liang Yi, 两仪) are thus established. By the transformation of Yang and its union with Yin, the Five Agents (Wu Xing, 五行) of Water, Fire, Wood, Metal, and Earth arise. When these agents are distributed in harmonious order, the four seasons run their course. The Five Agents constitute one system of Yin and Yang, and Yin and Yang constitute the Supreme Ultimate. The Supreme Ultimate is fundamentally the Ultimate Non-Being. The Five Agents arise, each with its specific nature. When the reality of the Ultimate Non-Being and the essence of Yin, Yang, and the Five Agents come into a mysterious union, integration ensues. Qian (乾) constitutes the male element, and Kun (坤) constitutes the female element. The interaction of these two elements engenders and transforms the ten thousand things. The ten thousand things produce and reproduce, resulting in an unending transformation. It is man alone who receives (the Five Agents) in their highest excellence, and therefore he is most intelligent. His physical form appears, and his consciousness develops. The five moral principles of his nature are aroused by, and react to, the external world and engage in activity; good and evil are distinguished, and human affairs take place. The sage settles these affairs by the principles of the Mean, correctness, benevolence, and righteousness, regarding tranquility as fundamental. Thus, he establishes the ultimate standard for man. Hence the character of the sage is “identical with that of Heaven and Earth; his brilliance is identical with that of the sun and moon; his order is identical with that of the four seasons; his good and evil fortunes are identical with those of spiritual beings.” The nobleman cultivates these moral qualities and enjoys good fortune, whereas the inferior man violates them and suffers evil fortune. Therefore, it is said, “Yin and Yang are established as the way of Heaven, the weak and the strong as the way of Earth, and benevolence and righteousness as the way of man.” It is also said, “If we investigate the cycle of things, we shall understand the concepts of life and death.” How great The Book of Changes is! Herein lies its excellence!5

Both The Explanation of the Diagram of the Supreme Ultimate and The Diagram of the Supreme Ultimate are Zhou’s interpretations of The Book of Changes. The two sentences quoted at the end of The Explanation of the Diagram of the Supreme Ultimate are from The Appended Remarks of The Book of Changes. After his interpretation, Zhou quotes the classics to prove his claims. To understand Zhou’s Explanation of the Diagram of the Supreme Ultimate, we must correct a common misunderstanding of the universal model constructed by Zhou. In the diagram, there are two layers, upper and lower. Thus, by using verbs like “generate,” “rise,” and “run,” it seems that there is a timeline in which The Ultimate Non-Being is the starting point, and then others are produced one by one, forming a chronological sequence in the occurrence of The Ultimate Non-Being—The Supreme Ultimate—Yin and Yang— Five Agents—All Things. In fact, this is a misunderstanding. What is presented in the diagram is a process of analysis rather than the sequence of creation.

5

Zhou Dunyi, Zhou Dun Yi Ji, 2009, pp. 3–8.

136 Fig. 1 The diagram of the supreme ultimate

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1.1 The Supreme Ultimate, Yin and Yang, and the Five Agents The rediscovery of “substance” (Shi Ti, 实体) is the most important contribution of Neo-Confucianism in the Northern Song Dynasty. Focusing on the justification for the emergence of the material world, Neo-Confucians discovered the root of all things, which are eternally changing, and made harsh critiques of the nihilistic worldview of Buddhism. The first important concept of The Explanation of the Diagram of the Supreme Ultimate is the Supreme Ultimate and the first important concept of Penetrating The Book of Changes is sincerity (Cheng, 诚), so I will refer to the ultimate substance in Zhou’s philosophy as “the Supreme Ultimate—sincerity” (Tai Ji Cheng Ti, 太极诚体). The concept of sincerity emphasizes that all existence is real and the Supreme Ultimate refers to the invisible supreme foundation of the world. How can we understand Zhou’s ultimate substance—“the Supreme Ultimate—sincerity”? How can it be the foundation of a changing world? The first sentence of The Explanation of the Diagram of the Supreme Ultimate is very controversial. The concept of “the Ultimate Non-Being” is usually thought of as a Daoist concept, and it appears for the first time in Chapter 28 of The Laozi. The concept of “the Supreme Ultimate” comes from The Appended Remarks of The Book of Changes. Judging from the text, the Ultimate Non-Being exists above the Supreme Ultimate. Besides the current edition, there was another edition compiled in the Southern Song Dynasty in which the first sentence is written as “the Supreme Ultimate is produced from the Ultimate Non-Being” (Zi Wu Ji Er Wei Tai Ji, 自无 极而为太极). Because the word Zi (自) means “from” and the word Wei (为) means “produce”, it is certain that there is a time sequence inherent to this process. In this way, the Ultimate Non-Being is a stage in the evolution of the universe, and the Supreme Ultimate is the stage after that. If this was the case, what Zhou tries to show would still be the Daoist cosmology that “everything comes from nothing (Wu Neng Sheng You, 无能生有).” In that cosmology, the world originates from a stage of absolute nothingness, and later, all things in the world are created from absolute nothingness. But if we study all the existing versions of the text, we will find that this edition, the first sentence of which is “the Supreme Ultimate is created from the Ultimate Non-Being,” was not widely accepted even in the Southern Song Dynasty. For example, Lu Jiuyuan (陆九渊), who was a famous scholar of the Southern Song Dynasty, did not raise any question about the first sentence. But in his debates with Zhu Xi, Lu claimed that the concept of the Ultimate Non-Being was clearly a Daoist concept. So, he thought that both The Explanation of the Diagram of the Supreme Ultimate and Penetrating The Book of Changes were not representative works of Zhou Dunyi. Lu Jiuyuan guessed that the two works may have been two drafts from Zhou’s early years before he had established his philosophy. Lu never claimed that the first sentence is not “the Ultimate Non-Being is the Supreme Ultimate.” Therefore, in the widely accepted edition, the first sentence is “the Ultimate Non-being is the Supreme Ultimate.”

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According to Zhu Xi’s explanation, the word Wu Ji (无极) should be interpreted as “intangible” (Wu Xing, 无形). This explanation is not unusual; in Shao Yong’s ( 邵雍) The Outer Chapters of the Observation of Things (Guan Wu Wai Pian,《观物 外篇》 ) the concept of Wu Ji is used to express “intangible.”6 In Zhou’s era, it was quite common to use the phrase Wu Ji to express this meaning. The concept of the Supreme Ultimate was generally understood as undifferentiated Qi in the Han and Tang Dynasties. Did Zhou inherit this definition or create a new interpretation? From the second part of the diagram, we can see that after the distinction of Yin and Yang, the Supreme Ultimate does not disappear but still exists as both Yin and Yang. Thus, the Supreme Ultimate in Zhou’s philosophy cannot be understood as undifferentiated Qi. Once the undifferentiated Qi is divided into Yin and Yang, it can no longer maintain its original form. According to Zhou, the Supreme Ultimate is an intangible existence and that which is most real. The Ji (极) in Tai Ji means a foundation (Shu Ji, 枢极). Zhu Xi says, “Tai Ji is like the rafter of a house and the highest point of the sky, which is the end and the final point. It represents principle (Li, 理) in its best form.”7 In Zhou’s opinion, the Ji in Tai Ji is the same as the Ji in Dong Ji Er Jing (动极而静, i.e., “when its activity reaches its limit (Ji), it becomes tranquil.”). Zhou obviously believed that the Supreme Ultimate is inseparable from Yin and Yang. Because Yin and Yang contain each other and support each other, the two have an effect on each other and transform into each other. The Supreme Ultimate is reflected in this absolute effect and transformation, constituting the foundation of this inevitable movement. In our daily language, the Supreme Ultimate is like a thing. This is a difficulty that cannot be avoided when using daily language to express metaphysical concepts. What Zhou says is that “the Ultimate Non-Being is the Supreme Ultimate” rather than a single concept of “the Supreme Ultimate” because he tried to prevent people from mistakenly understanding the Supreme Ultimate as a concrete thing. The Supreme Ultimate is metaphysical, and it is the absolute foundation of all functions and transformations. It is said later in The Explanation of the Diagram of the Supreme Ultimate: “The Supreme Ultimate through motion generates Yang (阳). When its activity reaches its limit, it becomes tranquil. Through tranquility the Supreme Ultimate generates Yin (阴). When tranquility reaches its limit, activity begins again. So, motion and tranquility alternate and become the foundation of each other, giving rise to the distinction of Yin and Yang, and the two modes are thus established.” This paragraph expresses a more complex idea than the previous one. First, the relationship between the Supreme Ultimate and Yin Yang is a process. It seems that the invisible and the most fundamentally real existence—the Supreme Ultimate—first moves and generates Yang, and then it stops and produces Yin. At the end of Yin, Yang is born again. Yin and Yang appear one by one for eternity. This understanding is obviously problematic. How could there have been a time when there was only Yin 6

“In a state when all are intangible, Yin and Yang are combined, while with all kinds of shapes, Yin and Yang are divided.” See Shao Yong 邵雍, The Complete Works of Shao Yong (Shao Yong Ji, 《邵雍集》 ), Beijing: Zhonghua Press, 2010, p. 144. 7 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2374.

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or Yang in the world? Here we see the necessity of mutual confirmation of The Explanation of the Diagram of the Supreme Ultimate and Penetrating The Book of Changes. Only by referring to the second circle of the diagram can we understand the connotation of the texts. Although there are different editions of the diagram, the image of the second circle is the same in all the manuscripts. This diagram originated in the Shui Huo Kuang Kuo Tu 《水火匡廓图》 ( ) in Zhou-Yi-Can-Tong-Qi 《周易参 ( 同契》 ). From this image, it is obvious that the emergence of Yin did not occur earlier or later than the emergence of Yang. However, there is another conceptual problem. The left half of the picture shows the movement of Yang and the right half shows the tranquility of Yin. In the left half of the picture, there is one Yin in the middle of two Yangs, which is related to the hexagram Li (离). But it is usually accepted that the hexagram Li belongs to the Yin Hexagrams (Yin Gua, 阴卦), thus it cannot stand for the movement of Yang. Similarly, in the right half of the picture, there is one Yang in the middle of two Yins, which is related to the hexagram Kan (坎). But it is usually accepted that the hexagram Kan belongs to the Yang Hexagrams, thus it cannot stand for the tranquility of Yin. In fact, this problem arises because we confuse Zhou’s picture with Kan Li Kuang Kuo Tu. Although the two pictures are nearly the same, the second cycle in Zhou’s picture cannot be understood as the hexagram Kan and the hexagram Li. In Zhou’s picture, the theme of the second cycle is the establishment of the two modes, and the creation of eight hexagrams, in which the hexagram Kan and the hexagram of Li are included, should be in a later phase. Thus, the only meaning of Zhou’s picture is that Yin and Yang contain each other within themselves and they can never be divided. How can the Supreme Ultimate move? This is an important question, but I would like to answer it later because this question can only be clarified with the help of Zhu Xi’s analysis. I would like to ask another question: If Yang was not generated at a particular time, how can we understand Zhou’s saying “the Supreme Ultimate through motion generates Yang?” To understand the relationship between Yin and Yang, and the relationship between movement and tranquility, the small circle in the middle of the second circle of the diagram is particularly important. This small circle is the same as the large circle at the top of the diagram. Thus, the small circle stands for the Ultimate Non-Being and the Supreme Ultimate in Yin and Yang. The Supreme Ultimate does not divide into two parts like a thing, but it exists in both Yin and Yang eternally. Moreover, there is no such thing as an independent Supreme Ultimate. Even when Zhou talks about the Supreme Ultimate alone, he does not mean that it is an independent thing. On the contrary, Zhou tries to prove that it is the ultimate substance. In Zhou’s philosophy, the world, its development, and all its functions and transformations are manifestations of the ultimate substance. In fact, when reality is mentioned, it is divided into two opposites. When the opposites are mentioned, they are eliminated during their interactions and inter-transformations. Movement and tranquility support each other and thus are Yin and Yang. The Ultimate Supreme is the metaphysical absolute interactions and inter-transformations between the opposites which support each other. In the chapter Movement and Tranquility in Penetrating The Book of Changes 《通书·动静》 ( ), Zhou says:

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Things cannot be tranquil while active. Spirit, however, can be active without activity and tranquil without tranquility. Being active without activity and tranquil without tranquility does not mean that spirit is neither active nor tranquil. Things cannot penetrate each other but spirit works wonders with all things.8

In all things, movement and stillness are separated. Nothing can be active and tranquil at the same time. However, as for metaphysical substance, movement and the stillness are inseparable. This is because in a fundamental sense, movement and stillness contain each other and create the condition of each other. This is the meaning of the saying “motion and tranquility alternate and become the root of each other” in The Explanation of the Diagram of the Supreme Ultimate. Next to be discussed is the paragraph about the Five Agents. “By the transformation of Yang and its union with Yin, the Five Agents of Water, Fire, Wood, Metal, and Earth arise.” According to the diagram, there are two curves under the second circle, meaning that Water is rooted in the movement of Yang, and Fire is rooted in the tranquility of Yin. This can also be seen in the paragraph which says that “Water is rooted in Yang and Fire is rooted in Yin” (Shui Yin Gen Yang, Huo Yang Gen Yin, 水阴根阳, 火阳根阴) in the chapter Movement and Tranquility in Penetrating The Book of Changes. Wood and Metal are put below Water and Fire in the diagram because the latter two are the basic elements of all things, which was a common belief among scholars at that time. First, there were Water and Fire. Then, Wood and Metal. Finally, Earth, which is in the middle and runs through the five agents. This is the order of birth (Sheng Zhi Xu, 生之序). Corresponding to the order of birth, there is another order—the order of circulation (Xing Zhi Xu, 行之序). The order of Water, Fire, Wood, Metal, and Earth is not parallel to the order of Spring, Summer, Autumn, and Winter because Water is parallel to Winter and Fire is parallel to Summer. Thus, the order of birth of the Five Agents is not the same as their order of circulation. The order of circulation is Wood, Fire, Metal, and Water, while Earth is in the middle and runs through the five agents. Similarly, the order of the five virtues is parallel to the order of circulation of the Five Agents. First, there is benevolence. Second, rituals. Third, righteousness. Fourth, wisdom. Sincerity is in the middle and runs through the five virtues. The Five Agents do not appear one by one in the order of birth, but in the order of circulation. Time, i.e., the inherent rhythm of change, is based on the circulations of the Five Agents. In the diagram, there is a small circle at the bottom of the Five Agents. This small circle refers to the Supreme Ultimate, which means that after the formation of the Five Agents from Yin and Yang, the Supreme Ultimate is also in the Five Agents. In the Explanation of the Diagram of the Supreme Ultimate, it is said, “The Five Agents constitute one system of Yin and Yang, and Yin and Yang constitute one Supreme Ultimate.” With this statement, Zhou Dunyi tries to prevent us from misunderstanding the first three circles as three stages of the birth of the universe. In fact, the Five Agents are specific manifestations of Yin and Yang, and Yin and Yang are manifestations of the Supreme Ultimate, which is invisible. As the substance of the universe, the Supreme Ultimate is metaphysical, which is in all concrete things. The diagram clearly shows us that the Supreme Ultimate is 8

Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 27.

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not undifferentiated Qi because once the undifferentiated Qi is divided into Yin and Yang, and then into the Five Agents, it can no longer penetrate and be manifested in Yin and Yang, and in the Five Agents. Undifferentiated Qi is not in the same form as Yin and Yang, or as the Five Agents. They belong to different stages. Thus, they cannot contain each other. The concept of the Supreme Ultimate in the Explanation of the Diagram of the Supreme Ultimate is identical to the concept of sincerity in Penetrating The Book of Changes. Sincerity is the foundation of the sage. “Great is the Qian (乾), the originator! All things obtain their beginning from it.” It is the source of Sincerity. “The way of Qian is to change and transform so that everything will obtain its correct nature and destiny.” In this way Sincerity is established. It is pure and perfectly good. Therefore “the successive movement of Yin and Yang constitutes the Dao. What issues from the Dao is good, and that which actualizes it is the nature.” Origination (Yuan, 元) and Flourishing (Heng, 亨) characterize the penetration of Sincerity, and Advantage (Li, 利) and Firmness (Zhen, 贞) are its completion and recovery. Great is The Book of Changes, the source of nature and destiny!9

The concept of sincerity is closely related to the meaning of reality, referring to the truthfulness of all the changes and transformations in the universe. The Origination of Qian (Qian Yuan, 乾元) is a reference to the Supreme Ultimate, and the expression “the way of Qian is to change and transform” indicates the reality of the Supreme Ultimate, the interactions between Yin and Yang, and the creations of all things. While everything has settled in its own position determined by its own nature, Sincerity, which is metaphysical substance, is embodied and established in it. Thus, Zhou links Sincerity to the circulation of Origination, Flourishing, Advantage, and Firmness. He reveals that there are two aspects in the changing world—“the penetration of sincerity” and “its completion and recovery.” The former concerns creation and the latter concerns establishment. In Zhou Dunyi’s view, the universe is the substance called Sincerity, which is eternally changing. The invisible reality, which is the root and basis of everything, must be manifested as the actions and transformations of movement and tranquility, Yin and Yang. “The Supreme Ultimate—Sincerity” can show itself only as contradictory elements like movement and tranquility, or Yin and Yang. If we focus on specific beings, there are differences between Yin and Yang, the Five Agents, and the myriad things. However, if we must make a conclusion, we should say that all items are phenomenon of the Ultimate Non-Being and the Supreme Ultimate. Intangible reality exists in beings, and it is the absolute reason for the existence and changes of all beings. The two circles at the bottom of the diagram are exactly the same as the circle at the top. The explanation above is the reason for Zhou’s drawing.

9

Zhou Dunyi, Zhou Dun Yi Ji, 2009, pp. 13–14.

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1.2 Humans and the Myriad Things After the Five Agents, the creation of the myriad things is the next topic of discussion. “Qian constitutes the male element, and Kun constitutes the female element. The interaction of these two elements engenders and transforms the myriad things.” What is more, the creation and transformation of the myriad things will never stop. Zhou especially emphasizes the unique position of human beings within the myriad things. He says, “It is man alone who receives (the Five Agents) in their highest excellence, and therefore he is most intelligent.” In our daily language, we often say that other people are “stupid and not intelligent” (Min Wan Bu Ling, 冥顽 不灵) in referring to all kinds of dullness and laziness. The opposite of dullness and laziness is positivity and activeness. Therefore, the concept of “intelligence” (Ling, 灵) refers to the activeness of human beings. In Zhou’s mind, human beings are the most active of all the things in the world. Although many philosophers have emphasized the particularity of human beings, there are still features unique to Zhou’s thought. For example, the emphasis in Hu Yuan’s Zhou-Yi-Kou-Yi 《周易口义》 ( ) is different. Hu emphasizes that it is only human beings who have “worries” (You, 忧), while Zhou highlights the intelligence of human beings. Zhou thinks that it is only human beings who have the best things in the universe. Thus, human beings are the most direct manifestation of the essence of the world. The differences between the views of Hu and Zhou are obvious. If we focus on the relationship between Heaven and man, Hu emphasizes their differences, but Zhou’s view embodies the idea of the unity of Heaven and man. What Zhou wants to emphasize is precisely the consistency between The Principle of Heaven and human nature. In Zhou’s view, the nature of Heaven and earth is the nature of human beings, and all the moral laws of human society originate from the nature of Heaven and Earth. This is the embodiment of the fundamental spirit of Confucianism, and it is totally different from Daoism represented by Lao Zi. Lao Zi’s understanding of the nature of Heaven and Earth still relies on daily experience, and his understanding of the Dao is mostly derived from generalizations of empirical phenomenon. On the contrary, Zhou thinks about and solves the fundamental problems of the world entirely on the metaphysical level. Unlike Lao Zi, who wants to return to the simplest state of nature because of the problems caused by excessive civilization, Confucians try to find the principles of Heaven and earth and establish values in human society in accordance with those principles. Confucians try to identify the principle of value from the nature of Heaven and earth rather than dissolve the moral value of human society. The activity of associating human moral value with the nature of Heaven and Earth does not stem from a particular subjective impulse, but instead from true philosophical insight. Humans are the most intelligent beings in the universe, but human society needs governance. Why do the most intelligent beings need to be governed? Because the activeness of human beings leads to unlimited choice. If a foundation of values beneath of human society is not established, we will not be able to construct an orderly social life.

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1.3 The Sage Zhou says in the Explanation of the Diagram of the Supreme Ultimate, “His physical form appears, and his consciousness develops. The five moral principles of his nature are aroused by, and react to, the external world and engage in activity; good and evil are distinguished; and human affairs take place. The sage settles these affairs by the principles of the Mean, correctness, benevolence, and righteousness, regarding tranquility as fundamental. Thus, he establishes the ultimate standard for man.” When there are human beings, there is a differentiation between the body and the spirit. Once the inner nature is stimulated by external things, all events, including the difference between good and evil, will be distinguished. When good and evil are divided, the need for governance also arises. Here, the first question we must face is who will govern this society. Who will discover the values of human society? Zhou Dunyi’s answer is the sage. The importance of the sage lies in the fact that he can discover the values and principles of human society, forming its basis. What kind of person is a sage? There are many chapters in Penetrating The Book of Changes which discuss the sage. The most typical one is the chapter The Sage in Penetrating The Book of Changes 《通书·圣》 ( ). The state of absolute quiet and inactivity is Sincerity. The spirit is that which when acted on, immediately penetrates all things. And the state of subtle incipient activation is the undifferentiated state between existence and nonexistence when activity has started but has not manifested itself in physical form. Sincerity is infinitely pure and hence evident. The spirit is responsive and hence works wonders. Incipient activation is subtle and hence abstruse. The sage is the one who is in the state of sincerity, spirit, and subtle incipient activation.10

This chapter is difficult to understand, and it is difficult to find an exact explanation for it. What we can give here is only a relatively reasonable one. In Zhou Dunyi’s discussion of the sage, three concepts are very important: sincerity (Cheng, 诚), spirit (Shen, 神), and subtle incipient activation (Ji, 几). “The state of absolute quiet and inactivity,” which is from the chapter On Music in The Book of Rites, is the state of sincerity. In my opinion, the state of absolute quiet and inactivity does not mean that there is no desire or consciousness, like a stone, but it means that there is no excessive desire. The righteous and wise person should not have any excessive desire. If there is excessive desire, he will no longer be a person in a state of absolute quiet and inactivity, and thus will no longer be a sincere person. An insincere person will soon become a hypocritical and arrogant one. One point to be noted is that the sincerity here is not The Way of Heaven but the state of the human mind. Once stimulated, it can reflect and penetrate. That is the spirit. In Zhou’s view, “penetration is wisdom” (Tong Yue Zhi, 通曰智).11 This point is made very clear when he talks about the Five Virtues. After being stimulated, we respond to the stimulus and obtain knowledge. This is the function of the spirit. It is not an intentional desire, but a reflection upon the external world. But what is an intentional 10 11

Zhou Dunyi, Zhou Dun Yi Ji, 2009, pp. 17–18. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 16.

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desire? I think that, from a Confucian attitude, desire refers to the pursuit of excess. Therefore, “the state of absolute quiet and inactivity” is not the state of having no consciousness at all. If a person acts according to his duty and does not dream of acquiring things that do not belong to him, he will be in both the state of absolute quiet and the state of wisdom. Sincerity means to not stay intentionally in a way that outside of the scope of one’s position. If a person is acting according to his own duty, to some extent, he is not acting intentionally. Doing things without going beyond one’s own duty is acting within the limits of sincerity. As a person, you should take on some goals. It is very simple. This cannot be considered as an intentional activity. So what is the state of subtle incipient activation? It is the undifferentiated state between existence and nonexistence when activity has started but has not manifested itself in any physical form. It links sincerity and spirit, so it is one of the three virtues of the sage. It relates the state of quietude and the action of reflection, making reflection possible in real life. “The undifferentiated state between existence and nonexistence when activity has started but has not manifested itself in physical form” refers to the reasonable pursuits. When working on those pursuits, we act but not intentionally, and our pursuits are not excessive. Although this kind of pursuit within one’s duty is movement, it can also be understood as movement without intentional action. The same is true when we complete an action. What is the most appropriate state of acting? We have our own goals and pursuits, but regard that goal or pursuit as an absolute preconditions for acting. We can take the example of planting crops. In planting, farmers cannot give up because of their worries about natural disasters. Farmers must plant no matter what. But if the crops could not grow, would anyone plant them? We should have a goal, but not pay too much attention to it. We should have an aim, and this aim should be within our ability and position. I think this is what is called “the undifferentiated state between existence and nonexistence when activity has started but has not manifested itself in physical form.” Sages cannot have any intentional desires beyond their position, because once they have them, they will have selfishness, and their spiritual consciousness will fade. As Zhou says in Penetrating The Book of Changes, “The way of the sage is nothing more than righteousness.”12 Zhou says in his Explanation of the Diagram of the Supreme Ultimate, “The sage settles these affairs by the principles of the Mean, correctness, benevolence, and righteousness, regarding tranquility as fundamental. Thus, he establishes the ultimate standard for man.” In Zhu Xi’s opinion, in this paragraph, “the Mean” (Zhong, 中) refers to rituals (Li, 礼), and “correctness” (Zheng, 正) refers to wisdom (Zhi, 智), so “the principles of the Mean, correctness, benevolence, and righteousness” is another expression of “benevolence, righteousness, ritual, and wisdom.” The sage discovers the core values of human beings and thus establishes the ultimate standard for men. The establishment of human moral principles is the great contribution of the sage. After the basic value principles are established, there will be guidelines for governing the world. As for “regarding tranquility as fundamental” (Zhu Jing, 12

Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 41.

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主静), I think this expression can be understood from the following two perspectives. First, the fundamental values are immovable and immutable. They would no longer be the ultimate standard for man if they could be changed. The principles of the Mean, correctness, benevolence, and righteousness are eternal values for human beings. Second, the idea that righteousness and wisdom are substance (Ti, 体) and benevolence and rituals are their function (Yong, 用), which is one of Zhu Xi’s propositions, may appear in Zhou’s philosophy. Simply speaking, it is claimed implicit in this proposition that negations and restraints are fundamentals and the affirmations and initiatives are their functions. Zhou pays special attention to the hexagram Gen ( 艮), the theme of which is limitation. It is said that Zhou once confirmed that the core meaning of the Lotus Sutra (Fa Hua Jing,《法华经》 ) is nothing but the concept of limitation (Gen, 艮) in The Book of Changes.13 Although we cannot be sure whether Zhou truly said this, it is likely to be a real story. Limitation is fundamental, and there is no function without limitation. Therefore, it is necessary to “regard tranquility as fundamental.”

2 Teaching and Self-Cultivation Confucians focus not only on self-cultivation but also on the education of others. Teaching and learning are the hub and key of Confucianism, and crucial starting points. As for individuals, self-cultivation is the most important thing for us to engage in; as for societies and kingdoms, good customs and enlightenment are significant events. The sage is not only an example of a nobleman’s self-cultivation but also the basis of proper governance and enlightenment. The sage has discovered the principles of governance and the fundamental values of human beings, and these principles and values must be embodied in specific governance methods and measures. This leads to the issue of education and governance. Let us first talk about social customs and education.

2.1 The Way of Teaching Zhou Dunyi talks about the way of teaching in the chapter Teaching in Penetrating The Book of Changes 《通书·师》 ( ). ‘In human nature, there is only hard, soft, good, evil, and the Mean.’ … Only the Mean brings harmony. The Mean is the principle of regularity, the universally recognized law of morality, and is that to which the sage is devoted. Therefore, the sage educates people to transform their evil by themselves, to arrive at the Mean, and to rest there.14

13 14

See Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 408. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 20.

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Because there are Yin and Yang within the Supreme Ultimate, and Yin and Yang are reflected in the hard (Gang, 刚) and the soft (Rou, 柔), the specific temperament of a person reflects the difference between strength and weakness. Both strength and weakness are neutral. Righteousness, uprightness, decisiveness, strictness, and firmness of action are examples of good strength, and fierceness, narrow-mindedness, and violence are examples of evil strength. Kindness, mildness, and humility are examples of good weakness, and softness, indecision, and perverseness are examples of evil weakness.15 The function of both self-cultivation and education is to guide strength and weakness so that they arrive at the Mean. How can strength and weakness arrive at the Mean? The sage must educate, allowing people to reform themselves. Although education is needed, the initiative exists in each individual. Therefore, Zhou says in the following chapter, “Only with a sense of shame can one be educated.”16 No help from the outside will be effective until one really wants to change himself.

2.2 Purifying the Heart When discussing the purification of the heart, Zhou means that the kings should pay attention to their self-cultivation. According to Zhou, talented and virtuous people are needed for good governance, and he believes that “with the help of such men the empire will be governed.”17 In order to find talented and virtuous people, the kings must “regard the purification of their hearts as the most important thing” (Yi Chun Xin Wei Yao, 以纯心为要). To purify their hearts, kings should never violate the principles of benevolence, righteousness, rituals, and wisdom in their behavior. To make sure that they always act within these principles is the purification of the heart.

2.3 Rituals and Music Zhou believes that rituals and music are very important. As for rituals, he says, “Rituals are the expressions of The Principle of Heaven.” (Li, Li Ye, 礼, 理也) In his opinion, reasonable behaviors are called rituals. We must pay attention to the fact that he is trying to find the foundation underlying Confucian rituals. Thus, Neo-Confucianism is the development of Confucian rationalism. In my opinion, the essence of Confucianism lies in discovering a reasonable way of life and a life path that conforms to human nature. The difference between morality and immorality lies in the distinction between reasonable and unreasonable behavior. There is a reason behind every action. Of course, everyone feels that they are reasonable, so how do 15

Ibid. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 21. 17 Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 24. 16

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we distinguish between the reasonable and the unreasonable? This is not something we can explain clearly in this lesson. We will discuss this in detail later when we talk about Zhu Xi’s philosophy. As for music, Zhou says, “Music is about harmony” (Yue, He Ye, 乐, 和也), which is also emphasized in On Music in The Book of Rites. Although Zhou emphasizes “harmony,” he does not forget the priority of rituals. He thinks that rituals come before music, and only in the regulations of rituals can people enjoy the harmony of music. We know that this kind of thinking is a demonstration of the saying, “What ritual values most is harmony” (Li Zhi Yong, He Wei Gui, 礼 之用, 和为贵) in The Analects. In Penetrating The Book of Changes, Zhou pays special attention to the role of music. There are three chapters—Chapters 17–19— related to music in Penetrating The Book of Changes. Two of their conclusions should be noted. First, music is based on correctness (Zheng, 正). Beautiful music comes from good governance. In addition, there will be no harmonious music if the government is malicious or incompetent. Second, Zhou believes that the standard for good music is that it must be “light and not hurtful” (Dan Er Bu Shang, 淡而不 伤) and “harmonious but not seductive” (He Er Bu Yin, 和而不淫). In The Analects, there is a similar expression, that music should be “sorrowful but not harmful” (Ai Er Bu Shang, 哀而不伤). To Zhou’s mind, light and harmonious is the standard for good music, which is also the basic Confucian attitude toward art. Confucians do not think that beauty is the core of art. Zhou says, “In ancient times, music was used to calm people’s hearts, however, nowadays, it is used to satisfy desires. In ancient times, it was used to assist with people’s self-cultivation, however, nowadays, it is used to express hatred.”18

2.4 Punishments It may be related to Zhou Dunyi’s judicial experience that he emphasizes the importance of punishment (Xing, 刑). In fact, this emphasis is also in line with the basic spirit of Confucianism because Confucians believe that neither rituals nor music, politics, or punishment are dispensable. Zhou says: Heaven produces all things in the spring and stops producing in the autumn. At that time, all things have been produced and matured and it would be a mistake not to stop. Therefore, it is in autumn that the process is completed. The sage models after Heaven in governing and nourishing all people. So, he regulates them with punishment. Because human beings are active, they have strong desires and emotions. If their feelings became dominant, they would attack one another without ceasing. They would destroy themselves and moral relations would be ruined. Therefore, they receive punishment so that they may become regulated.19

In Zhou’s view, it would be impossible for there to be spring without autumn, and punishment akin to autumn. If there were no autumn, everything would be overgrown, which would be harmful. Ordinary people have emotions and desires, 18 19

Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 30. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 41.

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but their emotions and desires naturally tend towards the excessive. This will destroy the rituals. So if the desires are not stopped by punishment, they will eventually lead to the destruction of the rituals. This is also a basic understanding of Confucianism. It is said in On Music of The Book of Rites, “The functions of rituals, music, punishments, and governance are not contradictory.” This expresses the same sentiment.

2.5 The Will to Learn It may seem that the works of Zhou Dunyi are not systematic, but if we examine them carefully, we will find that the texts fully exhibit the basic structure of NeoConfucianism. The will to learn (Zhi Xue, 志学) is an important element in selfcultivation. In learning, one important aspect is to build up a strong will. When talking about the standards of the will, Zhou says, “The sage aspires to become Heaven, the worthy aspires to become a sage, and the nobleman aspires to become a worthy.”20 Zhou’s two sentences here are particularly important, as they put forward the ideals and goals of the Confucian literati. He says, “We should have a will like Yi Yin (伊尹) and learn like Yan Hui.”21 The world needs sages to govern, and if there is no sage, worthies must come out to take on their responsibilities. Thus, we should possess a will like Yi Yin, who was a famous chancellor of Tang (汤). By saying that we should learn like Yan Hui, Zhou set a goal and an ideal for Confucian scholars. In his opinion, Confucian literati should take this ideal as their goal. The world will always need moral and wise people, and they should come out to take on their responsibilities to take care of the world and people. Every few hundred years, a great philosopher will appear in each civilization. Otherwise, the civilization will decline. In my opinion, philosophy is a fundamental way of reasoning. Hundreds or even thousands of years after the appearance of a great philosopher, the way that people reason will be deeply influenced by him. We can only reason in the way of these great philosophers, otherwise, others will think that we are unreasonable. Why does Mencius say, “There must be a sage-king in every five hundred years” in the last chapter of his text? This is the basic destiny of our civilization. Every few hundred years, a great sage will appear. But how can a person become a sage? Different people have different understandings of this process. In the chapter Learning to Be A Sage in Penetrating The Book of Changes 《通书·圣学》 ( ), Zhou says, “One can become a sage through learning” (Sheng Ke Xue, 圣可学). As for a method, Zhou thinks, “The essential way is to concentrate on one thing.” (Yi Wei Yao, 一为要) Oneness is the foundation of learning to be a sage. But we cannot emphasize only the word “one.” What if a person concentrates on one bad thing like gambling? So Zhou continues in writing, “Concentrating on one thing means to have no desire.” (Yi Zhe Wu Yu Ye, 一者无欲也) How do we understand the word “desire”? In NeoConfucianism, desire often refers to excessive desire, which exceeds one’s nature 20 21

Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 22. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 23.

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and position. “After having no desire, one will be pure and peaceful when he is tranquil, and straightforward when he is in action.” It can help people to be right. The effect of pureness and peacefulness is brightness, and with brightness, people can understand. Therefore, Zhou says, “Being pure and peaceful while tranquil, one becomes intelligent and hence penetrating.” “Being straightforward while active, one becomes impartial and hence all-embracing.” Without excessive desire, everyone only concentrates on his own duty. Because we are not excessive, what we want are not our desires. We cannot regard “having no desire” as literally having no desire at all, which is a proposition of Zen Buddhism. Because the sages lack excessive desire, they can be empty and quiet in their hearts, possessing no prejudice at all. Without prejudice, they can see things objectively and truthfully, so they can be clear. After becoming impartial, we will not have selfish intentions and will be fair to all things. Thus, we can be embracing and can truly be broad. Here we can see, from ontology to political thought, to the method of selfcultivation, Zhou’s works are systematic. The appearance of his Explanation of the Diagram of the Supreme Ultimate and Penetrating The Book of Changes allows us to see a simple, clear, and rational effort of philosophical construction, and this philosophical construction is completed through his philosophical writing. Unlike most of his contemporaries, Zhou did not write annotations on classical texts. He thinks and expresses his thoughts in the form of original philosophical writing. The brilliance that shines throughout those two works has had a huge impact on his successors. Therefore, we can regard Zhou Dunyi as the founder of Neo-Confucianism. It is said that Zhou continued the Confucian Revival Movement (Ru Xue Fu Xing Yun Dong, 儒学复兴运动), which started in the middle of the Tang Dynasty and reached a new height of theoretical construction in the Song.

Chapter 9

Substance and Function: The Philosophy of Shao Yong

Shao Yong (邵雍), style name Fu (尧夫), was born in 1011 A.D. and died in 1077 A.D. After his death, he was given the posthumous title Kang Jie (康节), and so is also referred to as Mr. Kang Jie. His family lived in Fanyang, Hebei (河北范阳), and his father moved to Henan (河南). Later, Shao and his father settled in Luoyang (洛阳), where he was buried in Yichuan county (伊川县) after his death. Shao Yong was honest and wise. He was very good at calculations and predictions, and lacked the harshness of some wise men. Shao wrote very good poems which serve as good models for expressing philosophy through poetry. Yi-Chuan-Ji-Rang-Ji 《伊川击壤 ( 集》 ) is the most important text for us in understanding Shao’s philosophy. The Cheng brothers once commented that Shao was like “a hero in the ancient times” (Zhen Gu Zhi Hao Jie, 振古之豪杰),1 and believed that Shao’s mind was as enormous as the universe, but he was temperate and refrained from selling him services to the emperor and becoming a tool in the court. Shao lived in Luoyang during his later years. He was very poor, but never cared about his material conditions. His close friends, including Sima Guang and Fu Bi (富弼, 1004–1083) bought several small houses and a few acres of meager land for him in Luoyang. Shao Yong called the homes “comfort nests” (An Le Wo, 安乐窝). Because he laughed every day and never displayed a sad face, nobody in Luo Yang could dislike him. Shao would go for a walk at a fixed time every day. Many people built houses along the road where he walked. When he would be about to come out for a walk, the people would clean up their houses and wait for him to come, hoping that Shao could rest with them when he became tired. Because Shao called his houses “comfort nests.” his hosts would call their houses “branches of the nest” (Xing Wo, 行窝). Zhu Xi later said: Mr. Kang Jie wanted to come out to serve in the emperor’s court, but he found out later that he was not interested in radical reforms. He usually waited until an agreement was reached and quit very quickly if he found that it was not the correct time. He possessed the wisdom

See Zhu Xi 朱熹, Ming Chen Yan Xing Lu 《名臣言行录》 ( ), in The Complete Works of Zhu Xi (Vol. 12) (Zhu Zi Quan Shu,《朱子全书》 ), Shanghai: Shanghai Ancient Book Press, 2010, p. 848. See also Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 1793.

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of Zhang Liang (张良, who was one of the most significant advisers of Liu Bang, the first Emperor of the Han Dynasty).2

When he was young, Shao wanted to make a difference, but he was also a person who liked to wait for a natural time to act. As a result, he usually waited for the correct time or withdrew quickly when he encountered obstacles. This is the wisdom of Zhang Liang. However, this is quite different from our impressions of ancient heroes. In history, there are some people who had no intention of fame but managed to achieve many things. They happen to live at the right moment and accomplish many things, but are still fundamentally people with no ambition in their hearts. In The Outer Chapters of the Observation of Things, Shao says, “Learning is to cultivate the self” (Xue Wei Run Shen, 学为润身),3 and to help govern the country is the work people do in their spare time. That was the intention of the Cheng brothers and Zhu Xi in commenting that Shao was like the ancient hero Zhang Liang. It is not necessary to deny that Shao was influenced by Daoism. When talking about the tradition of Yi studies (易学) in the Northern Song Dynasty, Zhu Zhen (朱震, 1072–1138) wrote in his book Han Shang Yi Zhuan 《汉上易传》 ( ): Chen Tuan (陈抟) taught Zhong Fang (种放) with his Xian Tian Tu 《先天图》 ( ) and passed it on to him. Zhong Fang passed it on to Mu Xiu (穆修), and Mu Xiu passed it on to Li Zhicai (李之才). Li Zhicai passed it on to Shao Yong.4

Chen Tuan is a figure surrounded by legends, like the gods or the immortals, and there is a biography of him in The History of the Song Dynasty 《宋史》 ( ). When Qian Mu describes the literati in the early Song Dynasty, he writes that in that era, many Confucian literati were wretched and corrupt. Daoist figures, however, were often noble and virtuous.5 According to Zhu Zhen, Shao Yong lay within in the tradition started by the Daoist figure Chen Tuan, and this makes Shao unique among The Five Thinkers in the Northern Song Dynasty (Bei Song Wu Zi, 北宋 五子, including Zhou Dunyi, Shao Yong, Zhang Zai, Cheng Hao, and Cheng Yi) because he held a positive attitude towards both Lao Zi and Zhuang Zi. We cannot deny that Daoism had a profound influence on Shao, but Shao incorporated its tenets into his own philosophical system rather than simply obeying its doctrines. Of course, fundamentally speaking, Shao’s philosophy is still Confucian. In Zhu Zi Yu Lei 《朱 ( 子语类》 ), there is a comment on Shao’s learning from Li Zhicai. When Mr. Kang Jie studied with Li Zhicai, Mr. Kang Jie said, ‘Please just give me a few hints and leave the rest for me to discover myself. ‘That is a perfect method! Of course, scholars must learn and think by themselves.6

Shao asked his teacher to start at the beginning but not to teach him all of his ideas in order to reach conclusions himself. From this comment, we can see that although 2

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2545. Shao Yong, Shao Yong Ji, 2010, p. 156. 4 Zhu Zhen 朱震, Han Shang Yi Zhuan Biao 《汉上易传表》 ( ), in Han Shang Yi Zhuan 《汉上易传 ( 》 ), Shanghai: Shanghai Guji Press, 1989, p. 5. 5 Qian Mu 钱穆, Guo Shi Da Gang 《国史大纲》 ( ), Beijing: Commercial Press, 1991, p. 557. 6 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2542. 3

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Shao was influenced and inspired by the tradition stretching from Chen Tuan to Li Zhicai, the subsequent development of his thought was mainly based on Shao’s own unique insights. Shao Yong’s main work is Huang Ji Jing Shi Shu 《皇极经世书》 ( ), which is collected in Zheng Tong Dao Zang《正统道藏》 ( ). The Huang Ji Jing Shi Shu in Zheng Tong Dao Zang is an edition collected in the Ming Dynasty, which is constituted of 12 volumes and 54 chapters. Among them, The Inner Chapters of the Observation of Things (Guan Wu Nei Pian,《观物内篇》 ) and The Outer Chapters of the Observation of Things (Guan Wu Wai Pian,《观物外篇》 ) are included in The Complete Works of Shao Yong (Shao Yong Ji,《邵雍集》 ) published by Zhonghua Press. Without in-depth research on Shao Yong’s philosophy, the Inner Chapters and the Outer Chapters are the main texts which help us to understand Shao’s thought. Most of Shao’s works were edited by later generations. Among all his works, The Inner Chapters of the Observation of Things was undoubtedly written by Shao himself. The Outer Chapters of the Observation of Things was compiled by his son Shao Bowen (邵伯温, 1055– 1134) according to the notes of Shao Yong’s disciples. There is a dialogue recorded in Zhu Zi Yu Lei. “Someone asked Zhu Xi about Shao Bowen’s explanation of the Huang Ji Jing Shi Shu. Zhu replied that Shao Bowen did not understand the book, and many of his explanations were wrong. Zhu continues to note that Shao Yong never taught Bowen. Moreover Bowen was not a smart person.”7 Since the Outer Chapters were compiled by Shao Bowen, the texts may be problematic, especially their writings on the numbers related to The Book of Changes. As we all know, it is easy to incorrectly transcribe numbers. Therefore, my primary reference text will be The Inner Chapters of the Observation of Things.

1 The Observation of Things The observation of things (Guan Wu, 观物) forms Shao Yong’s basic attitude toward the world, and his attitude toward life is based on contemplation and the understanding of principle. “Shao Yong must have been very good at dealing with things,” Zhu Xi said, “because he was so calm and quiet. He acquired clear Qi and a good temperament from Heaven, and by focusing on his own self-cultivation, he became very pure and honest. He never wasted his time on useless things. After being calm and quiet, he knew everything in the world well. He once built a study room in the mountains and stayed there alone. His friend Wang Shengzhi (王胜之) often visited him at night, and Wang always saw Shao sitting with the lamp, even late at night. Shao knew the principles of all things because he cultivated himself and kept himself quiet.”8 In his writings, Shao often mentions his happiness in observing things, saying that nothing in the world can be quite as joyful.

7 8

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2547. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2543.

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Through the observation of things, Shao Yong built up an objective and calm attitude. We may even feel that Shao is a little too calm and objective. He wants to eliminate all factors of subjective human emotion. Observing things is not observing them with one’s eyes but with one’s mind. Not with one’s mind but with the principle inherent in things… The sage can know the facts of all things because he reflects the universal character of all things. The sage never sees the world and then gives his subjective opinion. Instead, he reflects and observes things as they really are. Since he can do this, how can there be anything between him and things?9

When Shao says that we should observe things “with the principle inherent in things,” he does not mean that we should observe things as abstract concepts. Instead, he means that we should face things truthfully and objectively. Because when someone’s subjective emotions are brought into his observations, they will be biased. Thus, when talking about the particularity of the sages, Shao says that the difference between the observations of the sages and the observations of the ordinary people is that the sages can reflect what they have seen and see things as they really are. “To see things as they really are,” which is the basic principle of the observation of things, means that all things can be shown to the sages objectively. This attitude of contemplation is precisely Shao’s basic posture towards understanding the principles of all things in the world. “If you observe things as they really are, you can get the nature of things. But if you observe things in a subjective way, you will only observe the emotions inside yourself. Nature is objective and bright but emotions are partial and dark.”10 Shao emphasizes the difference between “observing things as they really are” (Yi Wu Guan Wu, 以物观物) and “observing things in a subjective way” (Yi Wo Guan Wu, 以我观物), which he says is equal to the difference between “nature” (Xing, 性) and “emotion” (Qing, 情). In Shao’s philosophy, nature, destiny, and principle are identical. My destiny is my nature and the destiny of each thing is its principle. If one is influenced by his love and hatred, things shine in his observation of them from his love and will be dull in his observation of them from his hate. Love and hatred diminish our objectivity in observing things. To be “objective and bright” is the only correct attitude in observing things. On the contrary, if someone is partial and dark, he will be unable to observe things clearly. Nearly all Neo-Confucians in the Northern Song Dynasty support the goal of maintaining an objective attitude. For example, Cheng Yi claims that one of the effects of benevolence is to be objective (Gong, 公). Only when our emotions do not affect our observations is it possible to observe things as they truly are. It is obvious that Shao is influenced by Zhuang Zi’s philosophy and Shao in turn pays Zhuang Zi an enormous compliment. When discussing the passage in which Zhuang Zi and Hui Shi debate each other on a bridge, Shao says that we can know from Zhuang Zi’s words that he has fully actualized his nature. After fully actualizing

9

Shao Yong, Shao Yong Ji, 2010, p. 49. Shao Yong, Shao Yong Ji, 2010, p. 152.

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his own nature and fully expressing his own emotions, he is able to help actualize the nature of things and express their emotions.11 If one observes nature with the Dao, observes the mind with nature, observes the body with the mind, and observes things with the body, he can know and govern all of them, but not without harm. A better way is to observe the Dao with the Dao, nature with nature, mind with mind, body with body, and things with things themselves. In this way, there is no harm at all! Similarly, we can draw an inference that one should observe the family with the family, the empire with the empire, and the world with the world itself.12

Only by “observing the Dao with the Dao, nature with nature, mind with mind, body with body, and things with things themselves,” can we ensure that the objects of our observations are not affected by our subjectivity. On the opposite, if one “observes nature with the Dao, observes the mind with nature, observes the body with the mind, and observes things with the body,” he will inevitably bring harm to the objects and the observations. The meaning of selflessness (Wu Wo, 无我) is highlighted here. There is no doubt that Shao’s claims here are different from Buddhism. He says, “If you can replace your standpoint with another, you will be selfless.”13 If we can think from the standpoint of others, we can transcend our subjectivity, constituting “selflessness.” A calm and objective attitude based on this “selfless” position constitutes the basis of Shao’s understanding of the world.

2 Substance and Function The concepts of substance and function (Ti Yong, 体用) provide us with a basic framework to understand Shao Yong’s philosophy. Shao uses the concepts of substance and function in large variety of ways. For example, when he talks about the number of yarrows and hexagrams in The Book of Changes, he uses the concept of substance and function to distinguish them. “The number of the yarrow is the number of the function (Yong Shu, 用数) and the number of the hexagram is the number of the substance (Ti Shu, 体数). Function must be based on a substance, so one should be stored without being used. Function is the fundamental of a substance, so four should be deduced.”14

Numbers in The Book of Changes can be divided into two parts: the numbers of yarrows are numbers of function, and the numbers of hexagrams are numbers of substance. The basis of this distinction lies in the sentence “The virtue of the yarrow is the circle and wonder, and the virtue of the hexagram is the square and wisdom” (Shi Zhi De Yuan Er Shen, Gua Zhi De Fang Yi Zhi, 蓍之德圆而神, 卦 之德方以智) in The Appended Remarks of The Book of Changes. The hexagram is 11

Shao Yong, Shao Yong Ji, 2010, p. 163. Shao Yong, Shao Yong Ji, 2010, p. 180. 13 Shao Yong, Shao Yong Ji, 2010, p. 164. 14 Shao Yong, Shao Yong Ji, 2010, p. 91. 12

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related to the square and the yarrow is related to the circle. The square corresponds to the tranquility of the Earth, and the circle corresponds to the movement of the Heaven. Here we can see that the substance is “tranquil” and the function is “motive.” The correspondence between circle and square is the basis for us to gain a deep understanding of Shao’s thought. What then is the relationship between function and substance? First, “Function takes substance as its basis.” (Yong Yi Ti Wei Ji, 用以体 为基) In saying that “One should be stored without being used,” Shao is explaining the sentence “The number in divination is fifty while the number used is forty nine” (Da Yan Zhi Shu Wu Shi, Qi Yong Si Shi You Jiu, 大衍之数五十, 其用四十有九) in The Appended Remarks. The stored one is the one that is not used. It seems that Shao has been influenced by Wang Bi because Wang says, “The one that is not used is not a function, but all function should be based on it. The one that is not used is not a number, but all numbers would be meaningless without it.”15 The used forty-nine can only claim their function with the help of the unused one, and another forty-nine numbers work because there is a one, which is even not a number, as their basis. Second, the purpose of a substance is its function. A substance that has no function at all is meaningless. Shao comments that Lao Zi knows the substance of the changes (Yi Zhi Ti, 易之体).16 However, I think that Shao also means that Lao Zi, on the contrary, does not know the function of the changes (Yi Zhi Yong, 易之 用), which indicates that Lao Zi’s understanding is useless. Unlike Lao Zi, “Mencius knows the function of the changes,”17 Shao says. Although Mencius did not quote a word of The Book of Changes, he understood the principles of the text.18 The “four” that “should be deduced” refers to four special hexagrams: the hexagram Qian, the hexagram Kun, the hexagram Kan, and the hexagram Li. There is an old saying that these four hexagrams are not used because they are symmetrical, and hence they are unchangeable. Shao Yong says: The number of substances is three hundred and eighty-four but the number of functions is only three hundred and sixty. Why? Because the hexagram Qian, the hexagram Kun, the hexagram Kan, and the hexagram Li are not used. Why are they not used? Because the unused four are the basis of the functions of another three hundred and sixty.19

Three hundred and eighty-four is the number of lines (Yao Shu, 爻数) in all sixtyfour hexagrams, and three hundred and sixty is the conclusion of three hundred and eighty-four minus twenty-four, which is the number of lines of the four unused hexagrams. I have mentioned above that substance corresponds to the circle and function to the square. The concepts of circle and square are also related to Shao’s understanding of He Tu 《河图》 ( ) and Luo Shu 《洛书》 ( ). “The circle is related to the number of He Tu and the square is to the number of Luo Shu. Therefore, Fu Xi (伏 羲) and King Wen of Zhou created The Book of Changes according to He Tu, and 15

Lou Yulie, Wangbi Ji Jiaoshi, 1980, pp. 547–548. Shao Yong, Shao Yong Ji, 2010, p. 164. 17 Shao Bowen 邵伯温, Shao Shi Wen Jian Lu 《邵氏闻见录》 ( ), Beijing: Zhonghua Press, 1983, p. 215. 18 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2259. 19 Shao Yong, Shao Yong Ji, 2010, pp. 80–1. 16

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Yu (禹) and Ji Zi (箕子) composed Hong Fan 《洪范》 ( ) based on Luo Shu.”20 The numbers in He Tu are one to ten, and the numbers in Luo Shu are one to nine. Ten stands for circle and nine for square. Fu Xi and King Wen of Zhou created The Book of Changes according to He Tu, so this system is about motion and circles. Yu and Ji Zi invented the nine categories (Jiu Chou, 九畴) in Hong Fan based on Luo Shu, so that system is about tranquility and the square. For Shao, the relationships between substance and function, tranquility and motion are quite certain. The concepts of substance and function are also related to Yin and Yang. Shao says, “Yang is the function of the Dao and Yin is the substance of the Dao.”21 Often, people believe that Yang is superior to Yin, but Shao says, “Yin is close to the Dao.”22 Yin stands for tranquility, so it is constant, but Yang stands for motion, so it is always changing. Because of its changes and transformations, Yang can be seen and known. On the other hand, Yin cannot be seen or known because it is stable and it has no function. It is worth noting that Shao never says that Yin is the Dao. Yin and Yang are opposed to each other, so Yin is only one half of the world, not a universal and eternal wholeness. It may have been a common sentiment of the time for Neo-Confucians to emphasize the prime importance of Yin. But it is not right to say that Yin is more fundamental than Yang. Importance is not the same as being fundamental. Shao sometimes uses the concepts of substance and function to analyze the relationship between Heaven and Earth, and sages and people. Heaven is related to function and Earth to substance. The sages are related to function and people to substance. Therefore, it is said, ‘The people do not know what they use every day.’23

When using the concepts of substance and function to describe the relationship between Heaven and Earth, Shao implies that the Earth is tranquil while Heaven is in motion. As for the relationship between the sages and people, Shao’s words are a little bit difficult to understand. I think people are substance because of their tendency toward passivity, and the sages are function because of their subjectivity. In Shao’s philosophy, the subjectivity of human beings is a key question. How is it possible for human subjectivity to function?

3 Four Aspects of Substance Next, we will discuss the idea of “four aspects of substance” (Ti Yi Si Li, 体以四 立), which is the core thesis of The Inner Chapters of the Observation of Things. Shao thinks that there are four aspects to all substances, which makes four the most eye-catching figure in the entire chapter. There is a related paragraph in Zhu Zi Yu Lei. 20

Shao Yong, Shao Yong Ji, 2010, p. 107. Shao Yong, Shao Yong Ji, 2010, p. 143. 22 Ibid. 23 Shao Yong, Shao Yong Ji, 2010, p. 161. 21

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There is a sentence in The Book of Changes which says, ‘The Supreme Ultimate creates the two modes and the two modes creates the four symbols (Si Xiang, 四象).’ Mr. Kang Jie read this and thought about it. After a long time, he finally understood it and was able to see all things in four aspects. He even saw every aspect in four aspects. When things develop and pass the halfway point of their life, we know the annoyance of decline has begun. For example, when you see a bud, you will know that it will flourish, but when you see a flower, you will know that it will wither and fall. This is principle.24

What Shao originally saw were just the words of The Book of Changes. But he took pleasure in observing things, in watching, and in contemplating every day. Shao’s enjoyment of tranquility seems similar to the attitudes of practitioners of Buddhism and Daoism, but they are in fact different. When he quietly watched and contemplated, he was thinking and his mind was working. After a long time, he knew about all principles and was able to recognize the four aspects of all things. It is obvious that the number of four comes from the tradition of Yi studies (Yi Xue, 易 学). Although Shao’s philosophy is rooted in Yi studies, his ideas cannot be thought of as merely simplistic explanations of The Book of Changes. This is a common feature of Neo-Confucian texts in the Northern Song Dynasty. Zhou Dunyi’s Explanation of the Diagram of the Supreme Ultimate is also rooted in Yi studies, and questions such as the relationship between the Supreme Ultimate and Yin and Yang, the relationship between Yin and Yang and the Five Agents, which are key issues in the essay, do not exist in The Book of Changes either. These questions were the new creations and discoveries based on Yi studies. It is believed that Neo-Confucianism in the Song and Ming Dynasties represented the second period of the development of Confucianism, and this is true. The Confucian philosophy of the Song and Ming dynasties embodied great creative spirit everywhere, and these great creations are all based on the classics. Neo-Confucianism can be thought of as a creative demonstration of Chinese culture, especially Confucian culture. Shao said, “When things develop and pass the halfway point of their life, we know the annoyance of decline has begun.” What is “the halfway point?” If the occurrence and development of things are understood as a process with four stages, then after passing the second stage, all things decline. In the course of a year, after “the halfway point” is reached, autumn is soon to follow. How do the four develop in Shao’s philosophy? In The Inner Chapters of the Observation of Things, Shao says: Nothing is bigger than Heaven and Earth, but Heaven and Earth can also be fully actualized. Heaven can be fully actualized by Yin and Yang, and Earth can be truly actualized by hardness and softness. By the work of Yin and Yang, the four seasons appear, and by the work of hardness and softness, the four directions exist.25

Heaven and Earth are the largest of all things, but they can also be fully actualized. Although Heaven is enormous, its essence is Yin and Yang. Although the Earth is vast, its essence is hardness and softness. The dichotomy used in Shao’s philosophy is a bit like the binary system of computer code, but this dichotomy cannot be completely understood as a binary because in Shao’s philosophy, one and two are 24 25

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2546. Shao Yong, Shao Yong Ji, 2010, p. 1.

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not pure numbers. Both Yin and Yang and softness and hardness are concepts that not only involve numbers, but are also about values. Yin and Yang are the basis of time, and hardness and softness are the basis of space. Shao offers a more detailed argument. The bigger movement is called Tai Yang (太阳), and the smaller movement is called Shao Yang (少阳). The bigger tranquility is called Tai Yin (太阴), and the smaller tranquility is called Shao Yin (少阴). Tai Yang is the Sun, Tai Yin is the Moon, Shao Yang are the stars, and Shao Yin is the dark sky. By the function of those four elements, the substance of Heaven can be fully actualized. The bigger tranquility is called Tai Rou (太柔, which means the softest), the smaller tranquility is called Shao Rou (少柔, which means less soft), the bigger movement is called Tai Gang (太刚, which means the hardest), and the smaller movement is called Shao Gang ( 少刚, which means a less hard). Tai Rou is water, Tai Gang is fire, Shao Rou is earth, and Shao Gang is stone. By the function of those four elements, the substance of the Earth can be fully actualized.26

Yin and Yang are divided into Tai Yang, Shao Yang, Tai Yin, and Shao Yin, and these are the four aspects of Yin and Yang. Similarly, hardness and softness can also be divided into Tai Gang, Shao Gang, Tai Rou, and Shao Rou. In Shao Yong’s theory, development begins in the progression from one to two, to four, and to sixteen, which is not the same as the sequence in The Book of Changes. Shao thinks that Tai Yang, Shao Yang, Tai Yin, and Shao Yin can be related to the Sun, the Moon, the stars, and the dark sky separately, and Tai Gang, Shao Gang, Tai Rou, and Shao Rou can be linked to water, fire, earth, and stone. The Sun is heat, the Moon is cold, the stars are the days, and the dark sky is the night. By the function of those four elements, the changes of Heaven can be fully actualized. Water is rain, fire is wind, earth is dew, stone is thunder. By the function of those four elements, the creations of the Earth can be fully actualized.27

The Sun, the Moon, the stars, and the dark sky correspond to heat, cold, day, and night. Water, fire, earth, and stone correspond to rain, wind, dew, and thunder. After that, various complex effects and influences result from their combination. The natures of things are changed by heat, the emotions of things are changed by cold, the shapes of things are changed by days, and the bodies of things are changed by nights. By the function of nature, emotions, shapes, and bodies, the stimulations of animals and plants are fully actualized. The walking of things is changed by rain, the flying of things is changed by wind, grass is changed by dew, and wood is changed by thunder. By the function of walking, flying, grass, and wood, the reflections of animals and plants can be fully actualized.28

Nature, emotions, shapes, and bodies are changed by heat, cold, day, and night. Walking, flying, grass, and wood are changed by rain, wind, dew, and thunder. It is worth noting that the sequence of walking, flying, grass, and wood is transformed into 26

Shao Yong, Shao Yong Ji, 2010, p. 2. Ibid. 28 Shao Yong, Shao Yong Ji, 2010, p. 3. 27

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flying, walking, wood, and grass in the next few paragraphs of The Inner Chapters of the Observation of Things, and this reversal is very meaningful. In the sequence of walking, flying, grass, and wood, there is no process of evolution or development. Things are what they are without a rank. All kinds of things are produced from the stimulations and reflections of Yin, Yang, hardness, softness, rain, wild, dew, and thunder. From the perspective of generation, no one is superior to any other. The generation of all things is just a complex synthesis of all stimulation and reflection with no order, which can be called The Great Harmony (Tai He, 太和), to use Zhang Zai’s term. Shao does not think that there is an order here, neither ascending nor descending. After discussing the creation of all things, Shao continues with a discussion of the appearance of human beings. In Shao’s view, humans are the most intelligent of all beings. He says: Human beings can understand the changes of heat, cold, day, and night, can feel the transformations of rain, wind, dew, and thunder, can be stimulated by nature, emotions, shapes, and bodies, and can reflect walking, flying, grass, and wood. Therefore, they are smarter than anything else that exists in the world.29

Human beings are different from other species. Other species are changed by one thing—heat, cold, day, or night, but human beings can understand and participate in all the changes. In Shao’s The Inner Chapters of the Observation of Things, no concept is given arbitrarily. He tries to use all the concepts of his era in the construction of his system of four aspects, and the limitations of language are exhibited in his theory. In fact, the creation of his thought is based on the language of its era. To a certain extent, the work of philosophers can be understood as the effort to allow the possibility of thought without the constraints of the language of one’s era. If we imitate Shao’s categorization, we can say that human beings are function and all things are substance. Because things are passive, they can only exist in a proscribed habitat determined by the combination of heat, cold, day, and night. But human beings have initiative, so they can overcome those objective limitations. Here, the issue of the human initiative is highlighted again. With people, everything is different. Shao continues to discuss the order of values. He says: Heaven uses four means (Si Fu, 四府) to govern all things, and the sages use four means to govern all people. The four means of Heaven are spring, summer, autumn, and winter, which stem from the rise and fall of Yin and Yang. The four means of the sages are The Book of Changes, The Book of Documents, The Book of Odes, and the Spring and Autumn Annals 《春秋》 ( ), in which The Book of Rites and The Book of Music 《乐》 ( ) rise and fall. Spring is the means of creating things, summer is the means of developing things, autumn is the means of collecting things, and winter is the means of storing things. The things of the world are innumerable, but none of them are not influenced by the four means of Heaven. The Book of Changes outlines the means of creating people, The Book of Documents outlines the means of developing people, The Book of Odes outlines the means of collecting people, and the Spring and Autumn Annals outlines the means of storing people. Human beings are innumerable, but none of them are not influenced by the four means of the sages. The 29

Shao Yong, Shao Yong Ji, 2010, p. 4.

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four means of Heaven are about time and the four means of the sages are about the classics. Heaven gives human beings time and the sages write the laws of Heaven down in the classics. Is there anything else to the relationship between Heaven and man?30

All things exist beneath Heaven, and Heaven also restrains all things. Similarly, all people are “included” in the sages. That is to say, the right path of life for all people is contained in the sages’ wisdom. The appearance of Heaven and sages changes the situation of the entire world. Heaven uses four means to govern all things and the sages also use four means to govern all people. The four means of Heaven correspond to spring, summer, autumn, and winter, which is the order produced by Yin and Yang. The four means of the sages correspond to The Book of Changes, The Book of Documents, The Book of Odes, and the Spring and Autumn Annals, which are the expressions of four different stages of governance because of the different uses of The Book of Rites and The Book of Music. The link between Yin and Yang and The Book of Rites and The Book of Music has its foundation in the Chinese classics. The Book of Rites belongs to Yin and The Book of Music belongs to Yang. Heaven uses four means to create (Sheng, 生), develop (Zhang, 长), collect (Shou, 收), and store (Cang, 藏) all things, and the sages also use four means to create, develop, collect, and store all people. The four means of Heaven involve time, so they are inevitable, indicating that the creation, development, collection, and storage of things are irreversible. The sages learn the Principles of Heaven and write them down in the classics. In this process, the subjectivity of human beings is manifested. Of course, human beings sometimes break these laws. By multiplying the four steps of creation, development, collection, and storage, a new sequence of sixteen stages will appear. From creation-creation (Sheng Sheng, 生生) to creation-storage (Sheng Cang, 生藏), a related ranking is Sage (Huang, 皇), Emperor (Di, 帝), King (Wang, 王), and Tyrant (Ba, 霸). It is a descending order, and the overall trend is one of decline. From storage-creation (Cang Sheng, 藏生) to storage-storage (Cang Cang, 藏藏), a related ranking are the kingdoms of Qin (秦), Jin (晋), Qi (齐), and Chu (楚). Creation-creation is the most vigorous and prosperous stage of all things, while storage-storage is a stage of desolation and waste when all tangible things approach chaos and destruction. The descent from Sage to Emperor, King, and Tyrant is a descending process of the deterioration of governance. It is worth noting that this decline is not completely consistent with the history of all governance. But from a macro perspective, the theoretical process is basically consistent with history. This trend is as irreversible as the order of spring, summer, autumn, and winter. Shao’s philosophy is influenced by Lao Zi in a number of ways. Shao says, “Sages are not only the three sages (San Huang, 三皇), Emperors are not only the historical Five Emperors (Wu Di, 五帝), Kings are not only the historical Three Kings (San Wang, 三王), and Tyrants are not only the historical Five Tyrants (Wu Ba, 五伯). He who acts without action (Yong Wu Wei, 用无为) is a Sage, he who loves his people and believes them (Yong En Xin, 用恩信) is an Emperor, he who enacts justice (Yong Gong Zheng, 用公正) is a King, and he who rules only by his power (Yong Zhi Li, 30

Shao Yong, Shao Yong Ji, 2010, p. 11.

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用知力) is a Tyrant.”31 It is clear that this passage is similar to two paragraphs in The Laozi. First, “when the great Dao declined, the doctrines of benevolence and righteousness arose. When knowledge and wisdom appeared, there emerged great hypocrisy.” Second, “only when the Dao is lost does the doctrine of virtue arise. When virtue is lost, only then does the doctrine of benevolence arise. When benevolence is lost, only then does the doctrine of righteousness arise. When righteousness is lost, only then does the doctrine of rituals arise. Now, rituals are superficial expressions of loyalty and faithfulness, and the beginning of disorder.” Shao’s attitude toward the Spring and Autumn Annals is totally different from that of Sun Fu (孙复, 992–1057) who was one of “the three masters of the early Song Dynasty” (Song Chu San Xian Sheng, 宋初三先生, including Sun Fu, Hu Yuan (胡 瑗, 993–1059), and Shi Jie (石介, 1005–1045)). Shao did not agree with Sun’s idea that all recordings in the Spring and Autumn Annals should be regarded as criticism. How could we say that the five tyrants made no contribution at all? Confucius, who is believed to be the author of the Spring and Autumn Annals, was not unkind, and exhibited sympathy for all people. How could he be so strict? Shao writes, “Human nature is fully exhibited in the Spring and Autumn Annals,”32 meaning that the author of the book can understand all kinds of situations and their limitations. This can also be confirmed in The Analects. Disciples of Confucius in The Analects, like Zi Lu, Zi Gong, etc., are quite disdainful toward Guan Zhong (管仲). However, Confucius says, “It is because of Guan Zhong’s help that King Huan of Qi (齐桓公) was able to unite nearly all the lords nine times without military action. I will say that Guan Zhong was benevolent! I will say that!” (14.17) In an age of war, it was meaningful to maintain peace and keep a country stable. Here, we will see that Shao is very magnanimous. His last words to Cheng Yi were “The path in front of you should always be wide.” If you cannot show tolerance toward yourself, how can you tolerate others?33 Shao fully affirms the historical Five Tyrants, and he even affirms the tyrants of the chaotic Five Dynasties period (902A.D.–979A.D.). He does not believe it is not necessary for Confucian scholars to hold all power in the state and replace the politicians, but rather that Confucians should have tolerance for politicians. Confucius’ attitude towards Guan Zhong in The Analects is a manifestation of his tolerance. Anyone who can make their mark in a chaotic situation and govern a kingdom well is good, even if their kingdom is small. What is most important is to establish and restore order. Shao says, “Those who study the Spring and Autumn Annals will never know the principles behind all things or the intentions of the sages unless he discusses the contributions and errors of the four kingdoms. Therefore, the four kingdoms made great contributions and great errors, too.”34 The four kingdoms he refers to here are the Kingdoms of Qin (秦), Jin (晋), Qi (齐), and Chu (楚). If we say that they made 31

Shao Yong, Shao Yong Ji, 2010, p. 159. Shao Yong, Shao Yong Ji, 2010, p. 166. 33 See Shao Bowen 邵伯温, Yi Xue Bian Huo 《易学辨惑》 ( ) (Vol. 1) in Si Ku Quan Shu 《四库全 ( 书》 ). And, Zhu Xi, Ming Chen Yan Xing Lu, in Zhu Zi Quan Shu (Vol. 12), 2010, p. 848. 34 Shao Yong, Shao Yong Ji, 2010, p. 166. 32

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great contributions, then we must also admit that they made great errors, too. In talking about history, Shao sometimes demonstrates a much deeper understanding than the Cheng brothers. Next, let us discuss the four concepts of Yuan (元), Hui (会), Yun (运), and Shi ( 世). I have already mentioned Shao’s four concepts of the Sun, the Moon, the stars, and the dark sky. Obviously, there is an order in the sequence of those four concepts. The Sun’s light is the strongest, the Moon’s light is the second strongest, the stars’ light is weaker than the previous two, and the dark sky is almost dull. “The Sun governs the Yuan of the sky, the Moon governs its Hui, the stars govern its Yun, and the dark sky governs its Shi.”35 Yuan, Hui, Yun, and Shi are related to the Sun, the Moon, the stars, and the dark sky separately. Thus, the four concepts of Yuan, Hui, Yun, and Shi are not only about time. Since they are related to the Sun, etc., they must be related to the intensity of light. By multiplying the four concepts of Yuan, Hui, Yun, and Shi, a new sequence of sixteen concepts, from Yuan-Yuan to Shi-Shi, will appear. Yuan is equal to the twelfth of Hui, the three hundred and sixtieth of Yun, four thousand three hundred and twentieth of Shi. Shao offers several comments about the relationships between the four concepts and some tension between them. From Sage-Sage to Tyrants-Tyrants, different principles of governance are exhibited. And Sage-Sage is related to the Sun-Sun, meaning the brightest time while Tyrants-Tyrants is related to the dark sky- dark sky, meaning the dullest time. Yuan-Yuan is a huge unit of time, and it is a long period of history. If we simply regarded Yuan, Hui, Yun, and Shi as phases of time, Sage-Sage, which is related to Yuan-Yuan, would be the longest period. But Shao clearly says, “The Three Sages are grandfathers, the Five Emperors are fathers, the Three Kings are sons, and the Five Tyrants are grandsons.” He then says, “How meager the ancestors are and how numerous their descendants are!”36 In this world, well-ordered governments are few, but periods of chaos are frequent. We must pay attention to the fact that the sequence of Sage, Emperor, King, and Tyrant does not refer to the length of reign but instead to the effect of their principles. The differences between Sage-Sage and Tyrant-Tyrant are the effect of their governance and the limitations of their principles. In the period of Tyrant-Tyrant, which is related to Shi-Shi, although governance is terrible, we can find some elements in it that correspond to Sage-Sage. In the period of Tyrant-Tyrant, the tyrants control the world with power. But they sometimes also act without action because that is a universal principle of politics. Shao says: The Three Sages are related to spring, the Five Emperors are related to summer, the Three Kings are related to autumn, and the Five Tyrants are related to winter… The tyrants of the late Tang Dynasty are related to the light reflected from the Sun and the Moon. Later tyrants are related to the light of the stars. From Yao’s age to today, it has been more than three thousand years, and there have been more than one hundred Shi (世, which means a generation of thirty years). After reading all the stories that happened in below Heaven, we know of thousands of rulers and all kinds of different situations, but there is no government that can last peacefully for more than two Shi (世). The ancient people say that a Shi is about 35 36

Shao Yong, Shao Yong Ji, 2010, p. 35. See Shao Yong, Huang Ji Jing Shi Shu (vol. 11) 《皇极经世书》 ( ), in Si Ku Quan Shu.

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thirty years. How wise they are! … No generation can last for one hundred years, and no person can live a life of more than one hundred years. In any period, the noblemen are no more than half of the dishonest people. That is the reason why most periods in history are chaotic and most people’s lives are difficult.37

Good governance is rare, but chaotic periods are frequent. The unfolding of history is an inevitable process of decline. Why is it so difficult to have a well-ordered world? In the three thousand years since Yao, there has been no prosperous period that has lasted for more than sixty years. The ancients regard thirty years as one Shi (generation). Is this accidental? Thirty years is the effective span of a generation. Even if a person can live to be 70 or 80 years old, the length of time in which they can work is only 30–40 years. This is the reason why good laws will eventually corrupt and ordered governance cannot be maintained for long. There is a passage in The Analects which says, “If good men were to govern the realm for a hundred years, they could wipe out violence and put an end to killing.” Shao gives his own explanation about this sentence. How correct Confucius’ words are! From terrible chaos to perfect governance, three changes must be made. In the era of the Three Sages, murder does not exist. However, in the era of the Five Tyrants, the people can hardly live. First, there must be a transition from Tyrant to King. Second, there must be a transition from King to Emperor. Third, there must be a change from Emperor to Sage. This will take around one hundred years.38

In Shao’s view, from terrible chaos to perfect governance, there must be a set of three changes. If a tyrant rules his kingdom diligently for more than thirty years, he will change and his principles will adapt into the Dao of the King. Similarly, it will also take thirty years to change from King to Emperor, and another thirty years from Emperor to Sage. In conclusion, it will take around one hundred years to complete this transition. But it is a pity that the principle of governance cannot last long. There is an old Chinese saying that prosperity will be exist to the east of a river for thirty years and then to the west for thirty years. One generation may migrate to the left of the river and the following generation to the right. There is no way to continue the principle of governance. That is another reason why well-ordered governances is few and chaotic eras are frequent. The last part of The Inner Chapters of the Observation of Things is about the social hierarchy, including literati (Shi, 士), farmers (Nong, 农), workers (Gong, 工), and merchants (Shang, 商). The hierarchical order of literati, farmers, workers, and merchants is the result of governance, indicating that different kinds of governance will make people into different kinds of men. The highest category is that of literati and the lowest is that of merchants. By multiplying the four levels, a new sequence of sixteen levels will appear. Merchant-merchants represent the extreme of cunning. By multiplying the four concepts of flying, walking, wood, and grass, a new sequence of sixteen concepts will also appear. Literati-literati and flying-flying are the best and merchant-merchants and grass-grass are the worst. 37 38

Shao Yong, Shao Yong Ji, 2010, p. 39. Shao Yong, Shao Yong Ji, 2010, pp. 32–33.

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In general, the two most important concepts of The Inner Chapters of the Observation of Things are quiet and substance, which does not mean that there is no change, no derivation, or no development. On the contrary, it emphasizes an objective and inevitable trend that is as irreversible as the unfolding of spring, summer, autumn, and winter. This inevitable trend is understood by Shao as something quiet and as substance. In the face of those inevitable trends, people’s activities are limited, and people can only adapt to the times. This attitude of Shao is different from that of the Cheng brothers. The Cheng brothers emphasize the transformation of the times and of trends while Shao thinks that we should follow them. In Shao’s philosophy, “To learn the Principle of Heaven and write them down in the classics” (Yi Jing Fa Tian, 以经法天) is the most important initiative of human beings.39

4 Three Aspects of Function Finally, let us discuss “function” in Shao Yong’s philosophy. I think “three aspects of function” (Yong Yin San Jin, 用因三尽) is a suitable summary of this part. By using the number three, Shao invokes concept of the circle, because in geometry, “if the diameter of a circle is one, then the perimeter of it is about three” (Jing Yi Wei San, 径一围三).40 Shao, in his philosophy, combines the binary system, which is the basis of the eight trigrams and sixty-four hexagrams, and the ternary system. Substance has eight changes, and function has six changes. Therefore, in the eight trigrams, there are four that do not change and there are two that change backward. Six trigrams change and there are eight trigrams.41

Eight (eight trigrams) is two (two groups) multiplied by four (four trigrams). But Shao regards the trigram Zhen (震, ☳) and the trigram Gen (艮, ☶) as one (because they are symmetrical) and regards the trigram Xun (巽, ☴) and the trigram Dui (兑, ☱) as one, too. Two (those two pairs) plus four (the four trigrams Qian (乾, ☰), Kun (坤, ☷), Kan (坎, ☵), and Li (离, ☲)) is six. In talking about substance, there are eight trigrams. But in talking about function, the number is only six. Six is the double of three. Eight, which is the number of the trigrams, is two to the third power, and sixty-four, which is the number of the hexagrams, is two to the power of six. They are all related to the number three. By explaining The Book of Changes with the ternary system, Shao highlights the function of the book. He pays attention to human subjectivity. Zhu Xi once said, “Mr. Kang Jie gave plenty of inspiring speeches, but it is a pity that they were not collected in Reflections on Things at Hand (Jin Si Lu,《近思录》 ). Nowadays, I read his selected poems in Wen Jian 《文鉴》 ( ). I was shocked because one of his best poems—“Heaven learns from The One to govern and help all things, while human beings use their hearts to manage their world” See Shao Yong, Huang Ji Jing Shi Shu (vol. 11) 《皇极经世书》 ( ), in Si Ku Quan Shu. Shao Yong, Shao Yong Ji, 2010, p. 87. 41 Shao Yong, Shao Yong Ji, 2010, p. 52. 39 40

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(Tian Xiang Yi Zhong Fen Zao Hua, Ren Yu Xin Shang Qi Jing Lun, 天向一中分 造化, 人于心上起经纶)—was not selected!”42 Here, Zhu Xi criticizes Lv Zuqian (吕祖谦, 1137–1181). “To manage” is the manifestation of human subjectivity. In Shao’s view, there are two versions of Yi (易): the Yi of Fu Xi (伏羲之易) and the Yi of King Wen of Zhou (文王之易).43 The former can be called The Innate (Xian Tian Xue, 先天学) and the latter can be called The Acquired (Hou Tian Xue, 后天学). In my opinion, The Innate is basically about the objective and inevitable principles. It is only in The Acquired can subjective activities appear. In the sequence of The Book of Changes, The Book of Documents, The Book of Odes, and the Spring and Autumn Annals, and the sequence of Sage, Emperor, King, and Tyrant, King Wen of Zhou is at the position of The Book of Odes, which is a phase of decline. In fact, in the previous two phases of Sage and Emperor, it does not matter whether there are subjective human behaviors or not, because the situations were not too bad and the right course of action was to follow the trend. But at this stage of King, human action is necessary. There is a famous saying in The Appended Remarks of The Book of Changes that “the writer of The Book of Changes must have had a lot of worries!” (Zuo Yi Zhe Qi You You Huan Hu, 作 《易》 者其有忧患乎) The Acquired is created in a phase of decline, and it is not equal to The Book of Changes in the sequence. When discussing The Book of Changes, Shao usually emphasizes the role of the number three i.e., the functions of the book, indicating the importance of human subjectivity. Human subjectivity is not to the same as acting arbitrarily. The way in which we can prevent arbitrariness lies in the role of the numbers that Shao emphasizes. Numbers are objective. “The Supreme Ultimate is One, which is immovable, and Two, which has wonderful functions, is produced by it. Wonders (Shen, 神) produce numbers, and numbers produce images, and images produce instruments (Qi, 器).”44 The Supreme Ultimate is united, so it is immovable. But, in the phase of Two, differences and changes appear. The “wonders” referenced here refer to motion, and numbers are produced by them. Numbers are the basis of images and instruments. The “instruments” referenced here not only refers to objective things, but also to the tools, methods, and principles used in governance. Numbers are the basic principle and method of observing objects. Shao pays much attention to all kinds of numbers, like the number of yarrows (Shi Shu, 蓍数), the number of trigrams and hexagrams (Gua Shu, 卦数), and the number of changes (Ce Shu, 策数), believing that numbers are natural and objective. In his analysis of the numbers in The Acquired, Shao emphasizes both the function of the numbers and their objectivity.

42

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2553. See Shao Yong, Shao Yong Ji, 2010, p. 139. 44 Shao Yong, Shao Yong Ji, 2010, p. 162. 43

Chapter 10

Establishing Our Own Philosophy: The Philosophy of Cheng Hao

Cheng Hao (程颢) was born in the first year of the Mingdao reign (明道元年, 1032A.D.) and died in Yichuan county of Henan (河南伊川) in the eighth year of the Yuanfeng reign (元丰八年, 1085A.D.). After his death, Wen Yanbo (文彦 博, 1006–1097), the grandmaster (Tai Shi, 太师) of the time, named him “Mr. Ming Dao (Ming Dao Xian Sheng, 明道先生)” in his epitaph. Cheng Hao was talented and generous. On days when he did not interact with others, he “sat all day long like a clay man,” and it is reported that those who talked to him found that he was “easy-going with harmonious Qi.”1 There is a saying in The Analects that “seen from a distance, the nobleman is austere. Approach more closely, and he is mild.” (Wang Zhi Yan Ran, Ji Zhi Ye Wen, 望之俨然, 即之也温) Cheng Hao was close to that ideal. Cheng Hao established the goal of pursuing the learning of the sages when he was very young. Around the age of thirteen, under the guidance of his father, he went to study with Zhou Dunyi. Zhou inspired Cheng Hao and his younger brother Cheng Yi to think about the reasons for Confucius and Yan Hui’s joy. Cheng Hao once said, “After my second visit to Zhou Dunyi, I could enjoy the harmony of wind and the Moon, and I begin to understand the reason why Confucius paid Zeng Dian an enormous compliment.”2 It is said that Cheng Hao wrote a poem called After Drinking the Water from Greedy Springs (Zhuo Tan Quan,《酌贪泉》 ) when he was a child. In that poem, he wrote, “If I am firm in my heart, nothing will change me at all.” (Zhong Xin Ru Zi Gu, Wai Wu Qi Neng Qian, 中心如自固, 外物岂能迁)3 We can see from this poem that he possessed the fundamental spirit of Confucianism. Cheng Hao’s poems and essays are all excellent, and A Poem in Autumn (Qiu Ri Ou Cheng,《秋日偶成》 ) is one of them. In my spare time, I like to do all things naturally. Thus, when I am awake, the Sun is shining and my window in the east is red.

1

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 426. Cf. Zhou Dunyi, Zhou Dun Yi Ji, 2009, p. 119. 3 See Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 426. 2

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_10

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All things grow and I am content to only observe them without interfering with them. I also enjoy the beauty and happiness in all seasons with other people. The Dao is infinite and we find it everywhere in the universe. When thinking about it, my mind flies to the transformations and changes of wind and clouds. Be moderate when you are rich and be happy when you are poor. A man who can achieve this is a true hero.4

Although Cheng Hao was able to understand the nature of all things with the help of philosophy, he never forgot to enjoy the ordinary beauty in all seasons with other people. I think this is the personification of “the nobleman seeking to reach the greatest height and brilliancy and follow the path of the Mean.” (Ji Gao Ming Er Dao Zhong Yong, 极高明而道中庸) Confucians usually advocate a simple attitude towards life, and they always do not praise themselves excessively or pursue extraordinary achievements. Cheng Hao criticized those who love strange theories as people who purposefully make trouble (Qiang Sheng Shi, 强生事).5 That is wise. Cheng Hao believed “All the principles are there, obvious and reachable” (Bai Li Ju Zai, Ping Pu Fang Zhe, 百理具在, 平铺放着).6 There is no need to create any strange doctrines. His poem is the natural exhibition of his spirit of simplicity and honesty, without any disguise. Thus, we see his excellence in his plain words.

1 Criticizing Buddhism One of the core tasks of the Confucian Revival Movement, which was started by Han Yu (韩愈, 768–824) and his partners, was criticizing of Buddhism. But it was not enough for them to just criticize. The Confucians were able to establish the boundary between Confucianism and Buddhism and reach awareness through their criticism, but this was not enough to establish an entirely new philosophy. During the reign of Emperor Ren Zong of the Northern Song Dynasty (宋仁宗), although several schools of Confucianism began to emerge up, Zen Buddhism still possessed a strong influence on the general public. Buddhism not only provided people with a complete lifestyle, but also possessed a mature philosophical argumentation system upon which its teachings were grounded. Cheng Hao’s contribution was that he formulated the basic goal of revived Confucianism, which was “to establish our own philosophy,” (Zi Li Wu Li, 自立吾理)7 in his criticism of Buddhism. This was a clear calling for the Confucian Revival Movement. “To establish our own philosophy” meant to establish a philosophical basis for the Confucian lifestyle, which the Neo-Confucians believed to be correct. In Chinese philosophy, philosophical thinking is always related to a lifestyle. In other words, we must continue to explore virtuous ways of living, which 4

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 482. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 1. 6 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 34. 7 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 38. 5

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must be grounded in metaphysics and philosophy. This basis is rooted in insight into the nature of the world and human beings. We find the same consciousness in Zhou Dunyi and Shao Yong’s thought. But the core issue has not previously been clearly summarized. The claim to “establishing our own philosophy” is Cheng Hao’s great contribution. Cheng Hao’s criticism of Buddhism is very systematic. There is one paragraph in The Complete Works of the Cheng Brothers (Er Cheng Ji,《二程集》 ) which says: The dialogues in yesterday’s meeting were nearly all about Zen Buddhism, which made me upset and even annoyed for a long time after arriving at home. It is so influential! How can we save people from this wrong theory? In ancient times, people who believed in Buddhism would only pray to the statue of Buddha, so its harm was minimal. Nowadays, people who believe in Buddhism often talk about significant concepts like human nature, destiny, morality, and virtue, providing scholars with misunderstandings and misleading the wise. The brighter a person is, the deeper he will drown. As for me, I am stupid and have no talent at all, so they cannot cheat me. However, with the state of the situation today, even if there were more than one sage such as Mencius, the people would not be saved. Compared to the harm brought by Zen Buddhism today, the harm of Yang Zhu’s thoughts and Mohism at Mencius’ time was negligible.8

The scholars gathered and talked about Zen Buddhism, which made Cheng Hao worried. He did not know how to save the people when this kind of doctrine prevailed in the world. In Cheng Hao’s view, in ancient times, the Buddha was merely an idol who some people worshipped, and the influence of Buddhism was limited. However, in his era, Buddhists discussed human nature and destiny, attracting nearly all wise and talented people so that those who were not content with Confucianism began to study Zen Buddhism.9 The more talented a person was, the deeper he “drowned.” The philosophy of Confucianism seems simple, so talented people were often unwilling to study and practice it. In Mencius’s time, he faced the challenges of Yang Zhu and Mohism but neither of them were very reasonable. Yang Zhu claimed “If by pulling out a hair I can benefit the world, I will not do it.” Anyone with even a little knowledge would know that Yang Zhu was wrong because if everyone thought like that, civic life would be impossible. Mo Zi claimed that we should love everyone equally, which is an absurd theory and can never be put into practice. Some people may practice the principle of “universal love” throughout their lives. Such dedication is worthy of respect, but their life path cannot be sustainable. All people live in a particular space and time. When there is time, there are priorities, and when there is space, there is distance. How can it be possible to love equally? However, in Cheng Hao’s era, people who believed in Buddhism studied human nature and destiny. The more profound is the doctrine, the more harmful it became. Even many of Cheng Hao’s friends began to believe in Buddhism, which demonstrates the influence of Buddhism on the spirit of the literati.

8

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 23. See Chen Shan 陈善, Men Shi Xin Hua 《扪虱新话》 ( ), in Congshu Jicheng Chubian 《丛书集成 ( 初编》 ), Commercial Press, 1939, p. 23.

9

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Thus, Cheng Hao continued to say: Today, there are only two independent scholars—Fan Zhen (范镇, 1007-1088), and Sima Guang—who are not influenced by Zen Buddhism, but their ideas are even worse than Buddhism.10

Among Cheng Hao’s friends, only Sima Guang and Fan Zhen were not affected by Zen Buddhism, but their thoughts were inferior to Zen in many aspects. Sima Guang was not a philosopher, but he had the ambition to become one. He wrote Zi Zhi Tong Jian 《资治通鉴》 ( ), which he regarded to be an imitation of the Spring and Autumn Annals. He also wrote the Explanations on the Book of Changes (Wen Gong Yi Shuo, 《温公易说》 ) and the Annotations to Tai-Xuan (Tai Xuan Zhu,《太玄注》 ), which he regared as the imitations of the Yi-Zhuan 《易传》 ( ). Finally, he wrote the Qian Xu 《 ( 潜虚》 ), which he regarded as the imitation of The Book of Changes. He wrote quite a lot, but his books are all simple. When Sima was writing The Explanations of the Doctrine of the Mean (Zhong Yong Jie,《中庸解》 ), one day he found that there was a sentence that he did not understand, so he went to ask Cheng Hao. Cheng Hao said, “I think you should have doubts at the very beginning.”11 Cheng Hao believed that Sima could not understand The Doctrine of the Mean at all. Sima accepted Cheng’s view and was not angry at all when Cheng Hao criticized him. Sima admired Cheng Hao’s brilliance. Cheng Hao praised Sima and Fan for not being influenced by Buddhism, but also pointed out that their ideas could not defeat Buddhism. Therefore, Cheng Hao said, “The only thing that we should do is establishing our own philosophy. When the establishment of our own philosophy is finished, we will not debate with Buddhists anymore.” Although there are some misunderstandings of Buddhism in Cheng Hao’s criticism, his criticism is still so important that it cannot be ignored. Cheng Hao says: Buddhism scares and controls people by the fear of death. It is very strange that no one has discovered this in two thousand years. Maybe they were all scared and controlled by it themselves. The sages believed that birth and death are part of human nature, so there is no need to be afraid of death. The origin of Buddhism lies in the fear of death, so Buddhists study and discuss it without end.12

Buddhists believed that all life is suffering (Ku, 苦), including birth, getting old, illness, and death. There is a story in the Platform Sutra (Tan Jing,《坛经》 ). One day, a person came to see the Sixth Patriarch (Liu Zu, 六祖) and began to walk around him. The Sixth Patriarch asked him, “What are you doing?” He said that death was a crucial problem. The problem of death is one of the most pressing issues within Buddhism. Thus, Cheng Hao’s criticism of Buddhism—“Buddhism scares and controls people by the fear of death”—is accurate. Cheng Hao believed that “the issue of death is the issue of living.”13 All theories about death and events after 10

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 25. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 425. 12 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 3. 13 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p17. 11

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death cannot be verified. A saying that cannot be verified is not a truth, but rather an unreasonable belief. Confucians do not seek illusory comfort outside this world, but instead bravely face life and the coming death with an honest attitude. Buddhists pursue liberation and thus would like to sever their connections with the world. Nirvana (Nie Pan, 涅槃) is the core goal of Buddhism. Therefore, Cheng Hao said that Buddhism “originated from the intention of pursuing profit (Li Xin, 利心), so scholars who pursue profit will believe it.”14 The basic character of Buddhism is selfishness. Buddhists hate suffering and love happiness, but they find that happiness and suffering depend on each other, so they try very hard to achieve the Supreme Happiness (Ji Le, 极乐). They try to eliminate their worries (Qian Gua, 牵挂), which are common basis of both happiness and suffering, and so they regard the real world as merely an illusion. Cheng Hao says: Between Heaven and Earth, there is life and death, and there is happiness and suffering. But Buddhists wrongly believe that there is a situation where there is no death and no suffering. With this belief, they become selfish.15

Cheng Hao believes that sufferings and pain are inescapable features of life, and given our finite existence, all human beings will die. This is an unchangeable truth of life. No one can escape, but we should not be afraid. Fortune and high positions are helpful in life, but so are poverty and sorrow. We cannot dismiss any of them as illusions because of our fear and disgust. Buddhists wish to purify their internal organs, so they try to avoid all stimulants and regard them as pollution. The core goal of Buddhism is to protect oneself, so Cheng Hao criticizes it as a selfish theory.16 Cheng Hao does not deny all aspect of Buddhism; he thinks that Buddhists have many insights, such as their analysis of “suffering” and identifying attachment as its source. But Cheng Hao thinks that it is an extreme to sever one’s connections with the world. He says: Buddhists are like people who watch the sky through a pipe. They only look straight up, seeing in one direction and ignoring the others. So, they cannot deal well with things in this world.17

It is not that Buddhists fail to see the truth, but rather that they do not see the whole truth. What they see is limited to one aspect. With such a selfish worldview, if a Buddhist spends his life sitting quietly in the mountains and forests, the result is only that he is lost. Selfishness is still better than greed. But Buddhists claim that the teachings of the Buddha dictate the universally correct way to live. If all people were to live according to this way of life and leave their homes, then who would maintain social responsibilities? If no one beared the obligation of human reproduction, wouldn’t mankind perish within a generation? Buddhists do not produce, and if all people behaved like them, who would support the needs of mankind? The Buddhist 14

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 3. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 152. 16 Ibid. 17 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 138. 15

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way of life cannot be universalized. Therefore, Cheng Hao says, “The philosophy of the Buddha is not coherent; what it asks of Buddhists and of ordinary people is different.”18 Since Buddhism divides people in this way, the theory itself must be contradictory and thus not universal. Buddhists emphasize that they have the same mind (Xin, 心) as Confucians, i.e., the principles of Buddhism and Confucianism are the same, and the only differences lie in their external manifestations (Ji, 迹). Cheng Hao believes that this kind of statement is “very close to the truth, such that it will create chaos” (Mi Jin Li Er Da Luan Zhen, 弥近理而大乱真).19 The different manifestations of Confucianism and Buddhism must be based on fundamental differences in principles. Cheng Hao says that “manifestations and principles are compatible. If the manifestations are wrong, the principles cannot be correct! It is as absurd as the person who says that he did not want to walk, and that it was the decision of his feet.”20 Manifestations are manifestations of principles. It is impossible that the manifestations are wrong but the principles are right. Therefore, if the results of practicing Buddhism are wrong, it must be the wrong system of beliefs. There is no need to compare Buddhism with the learnings of the sages because they are very different, so we should ignore the comparison. On the one hand, it is very difficult to obtain a complete understanding of the oceans of Buddhist texts and theories. On the other hand, after a long period of study and thorough understanding, a scholar may be transformed by these texts and theories. I suggest that we survey its manifestations directly. The Buddha left his father and escaped from his family, in an attempt to sever all his connections with human society and stay in the mountains and forests alone. How can he be tolerated by people in this secular world?21

Cheng Hao believed that one should not wait to refute Buddhism after he has thoroughly studied it, because once one has done so, he will have already been transformed by it. We must then stay away from Buddhism, and be clear about the distinctions between Confucianism and Buddhism. If a tradition of thought is too tolerant, it will lose itself and its consciousness of subjectivity. The awareness of boundaries and subjectivity are related.

2 The Establishment of Neo-Confucian Discourse Cheng Hao’s contribution was ground-breaking because of his construction of the basic concepts, logical structure, and ideological foundations of Neo-Confucianism. Through the creation of Neo-Confucian discourse, Cheng Hao achieved his aim of “establishing our own philosophy” (Zi Li Wu Li, 自立吾理). 18

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 417. Li Jingde ed, Zhu Zi Yu Lei, 1986, p.1481. 20 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 3. 21 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 149. 19

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Within the construction of Neo-Confucian discourse, Cheng Hao’s contributions are reflected in the following five aspects. First, Cheng Hao established the basic criteria for judging what is right and wrong in philosophical systems, setting a clear metric for evaluating beliefs. Cheng Hao’s fundamental criterion for judging these rights and wrongs was whether the ideology had “one foundation” (Yi Ben, 一本), which indicated unity and universality. The basic principles of Heaven, Earth, and all things in between them must be unified and universal. Cheng Hao says: There is nothing outside the Dao, and there is no Dao outside things. The Dao is everywhere between Heaven and Earth.22

A unified world must possess unified basic principles, and these basic principles must be universal. The various principles which stem from the fundamental principle are superficially different, but they are all concrete realizations of a unified principle. This concept of “one foundation” comes from Mencius. Mencius’ most fundamental criticism of Mohism was that it had two foundations (Mencius, 3A.5). The Dao is applicable to all people and all things in the world. The establishment of the principle of “one foundation” set a clear standard for Neo-Confucianism: True philosophical systems must be monistic, and dualism can only be regarded as the sign of an unfinished philosophy. Zhou Dunyi and Shao Yong’s philosophies are both monistic and have only one foundation. Second, Cheng Hao put forward the basic concepts of Neo-Confucianism. He says: Although I have learned from several different teachers, the concept of The Principle of Heaven (Tian Li, 天理) is my own conclusion.23

Although the Cheng brothers were both well-educated and studied from several teachers, unlike their intellectual predecessors, they came to the conclusion of the importance of The Principle of Heaven. The concept of The Principle of Heaven was not invented by the Cheng brothers, and its direct source was On Music from The Book of Rites, in which The Principle of Heaven is opposed with human desires. How can we understand the concept of The Principle of Heaven? From Cheng Hao’s discussion, we see that Heaven (Tian, 天) emphasizes universality. “The Principle of Heaven” must be universal and it must be in all things. The second feature is its objectivity. “The Principle of Heaven” was not created subjectively by human beings, but rather is a substance in the transformation of the cosmos. The concept of “principle” (Li, 理) appeared in pre-Qin classics such as The Zhuangzi and The Han Feizi. The concept of “principle” in The Han Feizi refers to objective attributes such as size, texture, weight, and so on. The original meaning of the Chinese word Li (理) is “to deal with jade” (Zhi Yu, 治玉), that is, to expose the texture and grain of a piece of jade hidden within an uncut stone through special techniques. The meaning of the word was later extended to “divide,” “cut,” and “make the texture in things shown.” 22 23

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 73. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 424.

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As we can see, the meaning of the word Li changed from an action to an object. The concept of The Principle of Heaven includes both meanings of Li. The Principle of Heaven includes texture and objective attributes, on the one hand. By using the concept of The Principle of Heaven, we also indicate that the process of discovering objective attributes is an action which makes textures appear. Since the Chinese term does not demonstrate morphological change, it is necessary to pay attention to the word’s etymology. The concept of “The Principle of Heaven” is a generalization and summary of the concepts indicating substance created by Neo-Confucians in the Northern Song Dynasty. In Neo-Confucianism, there are three concepts of substance, including Zhou Dunyi’s “The Supreme Ultimate—sincerity” (Taiji–Cheng, 太极诚体), which focuses on the reality of substance, Zhang Zai’s “The Supreme Ultimate—wonder” (Taiji–Shen, 太极神体), which focuses on creation and its reasons, and the Cheng brothers’ “The Supreme Ultimate—the Principle of Heaven” (Taiji–Li, 太极理体), which contains both the meaning of reality and differentiation and is a combination of the previous two concepts. Therefore, the concept of “The Principle of Heaven” gradually became a core notion within Neo-Confucianism. Third, Cheng Hao offers an in-depth explanation of benevolence, which is the fundamental value of Confucianism. Chen Lai (陈来) believed that Cheng Hao’s explanation can be summed up in three points. (1) Cheng Hao thinks that benevolence is the state when a person regards all things between Heaven and Earth, including himself, as one body (Yi Ti, 一体). (2) Cheng Hao thinks that benevolence is the state when a person can reflect appropriately on outside stimulation (Zhi Jue, 知觉). (3) Cheng Hao thinks that benevolence is the absolute creation and its origin (Sheng Yi, 生意). In fact, these three aspects are inherently related. The absolute creation of Heaven and Earth is part of its eternal changes, and thus, benevolence is closely related to the foundation of all things. Eternal creation is the origin of the existence of the ten thousand things. Moreover, the first point can be inferred from the third point. The tendency to preserve our selves must exist in all things, and it must be exhibited as the awareness of the creation of all things, which is the state referred to in the second point. Benevolence, as a fundamental value of Confucianism, is based on the Dao in Cheng Hao’s philosophy. Fourth, Cheng Hao emphasizes the distinction between the metaphysical (Xing Er Shang, 形而上) and the physical (Xing Er Xia, 形而下). In the thought of Zhou Dunyi and Shao Yong, the difference between the intangible and the tangible is already clear. However, because they did not emphasize the distinction between the metaphysical and the physical, there is a lack of space for philosophical speculation. Cheng’s emphasis on the distinction between the two creates space for the subsequent development of Neo-Confucianism. It is based on this distinction that philosophical issues such as the relationship between the Dao and things (Qi, 器), and the relationship between The Principle of Heaven and Qi (气) can be discussed in depth. Although Cheng Hao emphasizes the distinction between the metaphysical and the physical, his statements are quite moderate. His study of the metaphysical, then, is not fully developed. Cheng Hao says:

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The metaphysical is the Dao and the physicals are things. I must say this. However, the metaphysical is also the physical, and vice versa. If a person truly understands the Dao, he will know that the Dao is in every physical thing, present and future, mine and other’s.24

Cheng Hao believes that although we must say that the metaphysical is the Dao and the physical are things, they are not actually separable. That is why he insists that there is a unity between the Dao and things and says, “The metaphysical is also the physical, and vice versa.” On the one hand, Cheng Hao thinks that there is a distinction between the metaphysical and the physical. On the other hand, he also believes that there are close connections and even a unity between the metaphysical and the physical. Of course, he is correct. However, his emphasis on their unity stymied his investigation of the metaphysical on its own, and eliminated the possibility of this sort of philosophical deliberation. Fifth, Cheng Hao sets respect (Jing, 敬) as the central method of self-cultivation. Cheng Hao emphasizes the importance of “respect” for self-cultivation. “Respect,” which is different from “fear” (Wei, 畏), means to keep a person’s spirit calm and concentrate even when he does not have anything in particular to think about. By keeping a person’s spirit concentrated and his mind awake, he will gain a clear consciousness of his existence. At the same time, the awakened mind can sense other people and objects clearly. Cheng Hao says, “Sincerity is the Dao of Heaven, and respect is the foundation of human affairs.”25 He also says, “Respect can help you win over a hundred evils.”26 The discovery of the method of respect, which was forgotten after the passing of the Pre-Qin Confucians, is the most important aspect of the methodology of Neo-Confucianism.

3 The Principle of Heaven When talking about The Principle of Heaven, Cheng Hao says: The so-called Principle of Heaven is the truth of Heaven, and how can the truth have an end? The Principle of Heaven is objective, so it does not exist because of the existence of the sages like Yao, and will not be destroyed because of the existence of tyrants like Jie. Those who know The Principle of Heaven will not add to the principles when they have good fortune and are in high positions, and will not detract from the principles when they are in poverty. The Principle of Heaven will not be destroyed, and people cannot add anything to it. The Principle of Heaven is complete, containing one hundred principles within it.27

First, The Principle of Heaven is universal, existing within all people and things, and there will never come a time when these principles stop working. Second, The Principle of Heaven is objective. Changes in human society and the chaos of the world will not have an impact on The Principle of Heaven. Those who know the 24

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 4. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 127. 26 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 119. 27 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 31. 25

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principles will not be influenced by changes in their lives. The Principle of Heaven is complete and all concrete principles are rooted in it. Although Cheng Hao does not explicitly discuss the connotation of The Principle of Heaven, from his relevant exposition, we can make some deductions. Everything follows The Principle of Heaven. How can subjective human opinions interfere with it? It is recorded in the classics, ‘Heaven punishes the guilty, using five different kinds of punishment! Heaven bestows good fate on virtuous men, letting them wear clothes in different colors as an honor.’ These are natural, according to The Principle of Heaven. There is no participation of human beings. Any subjective interference will destroy the expression of The Principle of Heaven. We should be happy when things are good and angry when things are evil. So, clothes in different colors are used to honor virtuous men and five different kinds of punishment are used to punish guilty men… There is only one rule: what is right is to be done.28

In sayings such as “Heaven punishes the guilty” and “Heaven bestows good fate on virtuous men” recorded in The Book of Documents, Heaven seems like an individual with agency. But Cheng Hao reframes these saying with a rationalist explanation. He thinks that The Principle of Heaven is natural and cannot be interfered with by human beings. By saying “We should be happy when things are good and angry when things are evil,” Cheng Hao emphasizes that The Principle of Heaven is that which people should follow. Since “everything follows The Principle of Heaven,” it must be universal and inevitable. Therefore, there are three connotations of The Principle of Heaven in Cheng Hao’s philosophy; it is natural (Zi Ran, 自然), inevitable (Bi Ran, 必然), and correct (Ying Ran, 应然). Zhu Xi’s understanding of The Principle of Heaven is consistent with Cheng Hao’s. It is worth noting that the inevitability of The Principle of Heaven is not the same as the inevitability of natural laws. Here, inevitability means that no thing exists separate from The Principle of Heaven. But, the full realization of The Principle of Heaven requires our initiative. Since “The Principle of Heaven” is purely good, and all concrete principles are derived from it, then where does evil come from? Cheng Hao explains: There are things good and evil, and that is The Principle of Heaven. Theoretically speaking, there should be both good things and evil because the fact is that things are all different. However, people should distinguish clearly between good and evil, making sure that they do not fall into evil or become inhuman.29

Cheng Hao thinks that both good and evil things are contained in The Principle of Heaven, which is also very important in allowing us to understand his theory of human nature. There must be some things in the world that are evil. Mencius said, “The fact is that things are all different” (Wu Zhi Bu Qi, Wu Zhi Qing Ye, 物 之不齐, 物之情也). The basic posture of Chinese philosophy is that things under Heaven are unlimited and infinite. Infinite means that creation will never stop or be complete. The myriad things are all different, and this makes them infinite, which is not an abstract concept. We cannot say that only beautiful things conform to The Principle of Heaven but ugly things do not, nor can we say that only good things 28 29

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 30. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 17.

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conform to The Principle of Heaven but evil things do not. But, if evil things are also in accordance with The Principle of Heaven, does it mean that being evil is also correct? In Cheng Hao’s view, to be evil is for a person to become inhuman. When a universal existence confines itself within some limitation, and then conceals its universality with the individuality, it is evil. For example, although a snake is a negative presence to a rat and a lion is a negative presence to an antelope, we cannot say that these predators are evil. However, if a snake hurt for reasons other than self-preservation, it would be considered evil. It is not evil for people to eat other beings, but it is evil to be greedy, to be wasteful, and to hoard. The difference between human beings and other things is that humans have greater universality than other beings, which is manifested in our ability to self-reflect. Other things do not have the ability to self-reflect, so they cannot make changes on their own, and exist just what they are. Things are limited by their environment, but humans have the possibility of transcending our environment. However, if one cannot judge what is good and what is evil, becoming something which is constrained by the limitations of his environment, he will lose the essence of his humanity and become evil. Only when he truly realizes that he is an individual and also possesses universality, can he actualize his potential for goodness.

4 What is Inborn is Called Nature Since everything is the result of the absolute creation (Sheng Sheng, 生生) of Heaven and Earth, everything possesses sincerity. By emphasizing the sincerity in all things, Neo-Confucians indicate that the world and all things are real. In Cheng Hao’s explanations to The Appended Remarks of The Book of Changes, he says: ‘The essence of changes is the absolute creation,’ and that is the Dao of Heaven. Heaven creates eternally, and those who inherit what is inborn are good. Goodness contains the meaning of origination (Yuan, 元). ‘The Origination is the beginning of goodness,’ making all things grow. ‘To inherit the inborn is good,’ and to complete one’s nature must be done by every individual.30

The absolute creation is the essence of the Dao of Heaven. Everything comes from this absolute creation, so they are all good. By quoting “To inherit the inborn is good,” Cheng Hao suggests that all things inherit some aspects of their existence from heaven, and thus they all possess sincerity, goodness, and sufficient reasons to exist. Even a poisonous snake, a toxic mushrooms, a tiny weed, or a fly is good from the perspective of their own existence. Heaven eternally creates and never distinguishes between good and evil. However, inheriting the inborn is a natural action, completing is an action which must be finished by those with agency over the course of their lives. Inanimate things, like stones, do not actively choose or reject, so we cannot say that their behavior is good or evil. Living things take the initiative to distinguish 30

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p29.

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between benefit and harm, and thus there is good and evil. Without judgment or choice, there would be neither. “What is inborn is called nature” (Sheng Zhi Wei Xing, 生之谓性) is Gao Zi’s proposition of human, a statement which Mencius once fiercely criticized. Although Cheng Hao inherited the tradition of Zi Si and Mencius, he did not reject Gao Zi’s proposition. Neo-Confucians had the tendency of using sources from all schools, which is reflected in their open attitude towards everything which is based on reason. Zhang Zai’s attitude towards the concept of “universal love” is another example of this phenomenon. That is why we can say that the orientation of fundamental values is what separates these schools of thought from each other. Cheng Hao accepts Gao Zi’s proposition but gives it a completely different explanation. ‘What is inborn is called nature.’ Nature is the same as Qi and Qi is the same as nature. They are both inborn. According to The Principle of Heaven, there are both good and evil in Qi, with which man is endowed at birth. However, man is not born with these two opposing elements in his nature. It is due to the Qi with which men are endowed that some become good and others become evil. Man’s nature is of course good, but it cannot be said that evil is not his nature. For what is inborn is called nature. “By nature, man is tranquil at birth.” The state preceding this cannot be discussed. As soon as we talk about human nature, we have already gone beyond it. In our discussion of nature, we only talk about its completion. This is the case when Mencius speaks of the original goodness of human nature. The fact that whatever issues from the Dao is good may be compared to the fact that water always flows downward. Water as such is the same in all cases. Some water flows onward to the sea without becoming dirty. What human effort is needed here? Some water flows only a short distance before growing turbid. Some travels a long distance before growing turbid. Some become extremely turbid, some only slightly so. Although water differs in being clean or turbid, we cannot say that the turbid water (evil) ceases to be water (nature). This being the case, man must make an effort at purification. With diligent and vigorous effort, water will become clear quickly. With halfhearted effort, water will become clear slowly. When it is clear, it is then the original water. It is not that clear water has been substituted for turbid water, nor that turbid water has been taken out and left in a corner. The original goodness of human nature is like the original clearness of the water. Therefore, it is not true that two distinct and opposing elements of good and evil exist in human nature and that each of them issues from it. This principle is Heaven’s Mandate. For anyone to obey and follow it is the Dao. For anyone to follow it and cultivate it such that he attains his function is education. From Heaven’s Mandate to education, all are objective. This is why Shun possessed his empire by acting without actions.31

Qi and human nature are inseparable, and they are innate. With this kind of innate Qi, of course, some human beings are good and others are evil. But this does not mean that the duality of good and evil is inherent in human nature. Mencius’ theory that human nature is good only refers to the completion of human nature. No matter whether the water is clear or turbid, it always flows downward. In the sense that it flows downward, all water is the same. But it is not enough to only talk about the completion of human nature. It is just like the fact that there is not only one attribute of water. Water can be clear or turbid. Similarly, there are good people who inherit good Qi and evil ones who inherit evil Qi. We cannot say that flowing downwards is the only attribute of water, and we cannot say that being good is the only attribute of 31

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, pp. 10–11.

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human nature either. When talking about the basic principle of all things and human beings before their birth, it is said, “To inherit the inborn is good.” To this degree, human nature is good. But, to be precise, we can only say that The Principle of Heaven is good rather than say that all human nature is good. Outside of the context of a specific person, we cannot speak of any certain tendency, that is, nature. Nature does not appear until a specific person is born. In other individuals, there will be good and evil. Although the clearness of water does not change the direction in which it descends, it will influence its flow. A person’s Qi will not change his tendency to follow The Principle of Heaven, but a person with a bad temperament will corrupt his own nature. In this sense, evil is an obstruction of the realization of goodness. There is no root of evil in human nature. If a person has turbid Qi and a bad temperament, he needs to practice self-cultivation, in which he tries to protect his Qi and transform it into its original form, rather than acquire new Qi to replace the pollution. The original goodness is just The Principle of Heaven. Whether Qi and temperament are good or evil depends on whether they are helpful for the realization of The Principle of Heaven. Both the action of replacing the turbid with the clear and the action of putting the turbid aside mean ignoring the existence of the principles of evil. The original purpose of Confucianism is to help everyone fully actualize The Principle of Heaven. How could a benevolent Confucian ignore, clear, and abandon his turbid nature? If one thinks that there is a clear human nature which is purely good, and he then tries to replace his evil nature with that good one, his thoughts will fall into duality and be wrong. In Cheng Hao’s view, the only universal good is “to inherit the inborn.” As for the completed natures of specific people, they are of course different. Cheng Hao said to Han Wei (韩维, 1017-1098), “Buddhists like you always say that all things are illusory, including human nature. So why don’t you find a better human nature to replace the existing one? I believe that the Dao and human nature are identical. Thus, it is wrong to find another human nature outside the Dao. When the sages talked about virtue, they said that all peoples’ virtue was complete and natural, so human beings should just follow their natures if they are not polluted. If one’s nature is polluted slightly, he should use the method of respect to recover it. It will recover because everyone’s human nature is complete. If one can make his polluted human nature recover, he will do it. But, if one’s human nature is so polluted that it cannot recover, to abandon it is also correct. Therefore, what Confucians do is very simple! On the contrary, Buddhists often cheat themselves and create trouble.”32

Although Han Wei was older than the Cheng brothers, he had studied with the Cheng brothers for a long time. Han believed in Buddhism. Buddhists regard all things between Heaven and Earth as illusory. Cheng Hao claimed that if Buddhists think that it is bad for people to be obsessed with illusory things, then they should find a good nature elsewhere to replace the bad. Cheng Hao believed that if evil nature were not part of the Dao, then there would be something that exists outside the Dao. Since the Dao is universal, this is impossible. If one tries to seek the Dao outside the simple nature of human beings, he must admit the absurd premise that human beings are not derived from the Dao. The inherent tendency of human beings is the continuation of 32

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 1.

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the Dao of heaven, and the Dao and human nature are consistent. Human nature is originally complete. If it is polluted, we should purify it. It can be purified because it is originally complete. The possibility of pollution is not outside human nature and the Dao. In the process of realizing our nature, the essential tendency has the tendency to go too far or not far enough, which is the origin of evil. In the tradition of Zi Si and Mencius, destiny is something external to us which human beings cannot control, and human nature is the inevitable tendency that destiny endows within us. People in this world have connections with others, which are not illusory. There is no way to let go of our concern for others. What we should do is not replace the seemingly unclear human nature, but complete it, fully actualizing our inherent tendency, turning our lives into a process of the actualization of universality. By claiming that “what is inborn is called nature,” does Cheng Hao neglect the differences between things? I do not think so. Gao Zi says, ‘What is inborn is called nature.’ Everything born between Heaven and Earth must have its own nature. It is correct to say that everything has nature, but we should also notice that the nature of an ox is different from the nature of a horse. If someone says that all natures are the same, this is not right. Thus, the belief that all living things have the Buddha-nature (Fo Xing, 佛性) is absurd. ‘What Heaven imparts to man is called human nature. To follow our nature is called the Dao.’ All things acquire their natures from Heaven’s Mandate and complete them individually in their own lives. For both human beings and other things, to follow their own natures is called the Dao. To follow their own natures means that a horse should be a horse and an ox an ox. From the perspective of Heaven, all existences below, including human beings, are the same. But for human beings, ‘Cultivating Dao is called education.’ For human beings, if someone loses his nature, he will try to recover it, so human beings should go to school. If he does not lose his nature, why would he need to recover it? He just acts in accordance to the virtues of benevolence and righteousness. Lao Zi said, ‘What exists is nature, and this is the gate to the Dao.’ All beings have their own nature, which also shows that absolute creation will never stop. The Dao of Heaven is the absolute creation.33

It can be said that everything has nature because everything is produced through absolute creation, but the nature of different species is different, such as the nature of oxen and horses. Cheng Hao believes that Gao Zi’s proposition can be correct, but there is a problem with his understanding. In Gao Zi’s view, the nature of oxen, the nature of horses, and the nature of human beings are the same. He only notices their similarities but neglects their differences. This is also Mencius’ criticism of Gao Zi. Cheng Hao inherits Mencius’ theory that human nature is good. By saying “What is inborn is called nature,” Cheng Hao emphasizes that all things below Heaven inherit The Principle of Heaven. For any individual, to fully actualize its own nature is to “follow nature” because all concrete things have their own particular nature. “To follow your nature and to keep it” is the Dao. That is what all things should do, and that is also what all things must do. Cheng Hao thinks that the first two sentences of The Doctrine of the Mean are about both human beings and other things. The third sentence, however, is solely about human beings. There is no such thing as an education for animals. Animals cannot change by themselves; they can only be 33

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, pp. 29–30.

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trained. The uniqueness of human beings lies in our self-reflective consciousness. Once a human realizes that he has lost his nature, he can recover it. Evil has no root in human nature: Neither good nor evil in the world is outside The Principle of Heaven. So-called evil is not evil. If we overstep or fall short, so-called evil will appear.34

This so-called evil is not evil because there is no such thing as evil. Immoderation creates this so-called evil; thus, “evil” is merely the loss of goodness. Unlike theories that cheat people and create trouble, the philosophy of Cheng Hao is simple and straightforward. The creation of Heaven is endless, and all things created by it have their own nature. Evil comes from immoderation. The standard for being excessive or lacking depends on the position of all things. Cheng Hao says, “A generation is born to solve their own problems.”35 But why does each generation leave unsolved problems? Because there are always people who do not finish their jobs. Both being excessive and being inadequate are the signs of not finishing one’s job. Cheng Hao does not separate phenomena and entities like in Buddhism. He does not think that all apparent things are illusory; each must have a real entity behind it. Moreover, he believes that all phenomena are real. Does any unreal thing exist? He does not think so. The Sun rises and it falls. So do the Moon and the stars. That is the principle of nature. There are also principles in the lives and transformations of all things such that a horse will never transform into an ox or vice versa. All things follow the principles of life, so we must treat all things as kindly as possible. Everything has its own nature, so it has its own path. Nature is the foundation of the path. All things are good if they follow their own nature. There is a sentence in The Book of Changes which says, “Easy and simple, that is the principle of Heaven.” In fact, that is what Cheng Hao wishes to say, too. He claims that Buddhism is a philosophy that cheats people and creates trouble. All dull philosophies do the same. In the philosophy of Confucianism, there are no redundant assumptions behind phenomenon. To this degree, it can be said that Confucianism is truly “phenomenological.” Confucians do not assume a priori the existence of gods or goddesses, or the truth of an idea. When seeing this world with absolute creation, Confucians believe that absolute creation is the substance of the world.

5 Sensation and Benevolence Cheng Hao believed that benevolence is the state when a person can adequately reflect on external stimulation. He says, “In medical books, when a person’s hands and legs are numb, he is said to be not benevolent (Bu Ren, 不仁).”36 34

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 14. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 2. 36 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 15. 35

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When someone experiences numbness of the hands and feet, hemiplegia, or paraplegia, a part of the body loses function. This is what Cheng means by “not benevolent.” It is a metaphor. The sensations and reactions to stimuli that Cheng Hao focuses on do not concern the five senses, but rather the realization and perception of The Principle of Heaven. Doctors call the symptom of numbness not benevolent, and people should regard the neglect and rejection of The Principle of Heaven as not benevolent. They are similar.37

Perception at the level of Qi and temperament cannot be universal anyway. Only by actualizing The Principle of Heaven can a person transcend the finite nature of the individual and achieve universal benevolence. There is a short essay by Cheng Hao called On Understanding the Nature of Benevolence (Shi Ren Pian,《识仁篇》 ). The learners must first understand the nature of benevolence. The benevolent man forms one body with all things without any differentiation. Righteousness, rituals, wisdom, and faithfulness are all expressions of benevolence. One’s duty is to understand it and preserve it with sincerity and respect. That is all. There is no need for caution and control. Nor is there any need for an exhaustive search. Caution is necessary when one is mentally negligent, but if one is not negligent, what is the need for caution? Exhaustive searching is necessary when one has not understood it, but if one preserves it long enough, it will automatically dawn on him. Why should he have to depend on an exhaustive search?38

The Principle of Heaven is the common root of human nature and the nature of all things, and thus, “The benevolent man forms one body with all things without any differentiation.” The wholeness is not based on some accidental stimulation and reflection but on the inevitability of the principles. The proposition that “righteousness, rituals, wisdom, and faithfulness (Xin, 信) are all expressions of benevolence” is another theoretical contribution of Cheng Hao, which is the key to the establishment of Confucian values as a kind of monism. Benevolence, righteousness, rituals, wisdom, and faithfulness seem to have their own emphasis individually, but the other four can be included in the concept of benevolence. It cannot be said that to give birth is benevolent, but to kill is not. Similarly, it cannot be said that love is benevolence, but hatred is not. If there is spring, there is autumn, and if there is living, there is death. To kill, to this extent, consists of one moment of living. The death of an individual is one moment of the absolute creation. In this sense, righteousness, rituals, wisdom, and faithfulness are just different manifestations of benevolence, and they are the manifestation of the higher principle of benevolence. As we can see, Cheng Hao does not try to describe what benevolence is by using experience (on the level of Qi); to the contrary, he tries to demonstrate it with theoretical explanations (on the level of The Principle of Heaven). The universality of human sympathy for others is not rooted in human sensation but instead in our awareness and understanding of the compatibility between human nature and the nature of all things.

37 38

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 33. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, pp. 16–17.

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6 On Calming Human Nature On Calming Human Nature (Ding Xing Shu,《定性书》 ) is a well-known article among Cheng Hao’s works. The background of this article is a letter from Zhang Zai, in which he asks Cheng Hao how to deal with the problem of the movement of nature.39 I think this letter was written in around the third year of the Jiayou reign (嘉祐三年, 1058A.D.) when Zhang Zai’s philosophy system had not been entirely developed. Why does Zhang Zai pursue the calmness of human nature? This is not a Buddhist question, but a question that comes from the Confucian tradition. The Confucian concern for subjectivity forms the root of this discussion. In the Confucian tradition, especially in the lineage of Zi Si and Mencius, the difference between “in myself” (Zai Wo, 在我) and “outside myself” (Zai Wai, 在外) is crucial. The realm “in myself” is a realm of autonomy and inevitability, while the realm of “outside myself” is a realm that human beings cannot control. How to be not disturbed by things “outside myself” is the key to this issue. Mencius’ method of “calming the mind” (Bu Dong Xin, 不动心) is related to this. There are two aspects of Zhang Zai’s problem. On the one hand, if a person pursues the calming of human nature too forcefully, he will inevitably fall into vanity and be unable to take on the responsibilities of the world. On the other hand, if a person has concerns that are outside himself, the concerns outside will inevitably affect the realization of his autonomy. To Zhang Zai’s question, Cheng Hao replies: A person’s nature should be calm whether it is in a state of activity or in a state of tranquility. A person does not lean forward or backward to accommodate things, nor does he make any distinction between the internal and external. To regard things outside the self as external, and force oneself to conform to them, is to regard one’s nature as something divided into the internal and the external. Furthermore, if a person’s nature is conceived to be following external things, then what is it that is within the self? To conceive of one’s nature is to have the intention of getting rid of external temptations, but fail to realize that human nature does not possess the two aspects of internal and external. If a person holds that things internal and things external form two different bases, how can he hastily speak of the calmness of human nature?40

Calmness (Ding, 定) is not equal to tranquility (Jing, 静), so we do not regard the person who hides in a corner and refuses to have connections with other people or things as one who is calm. Whether a person is in a state of activity or in a state of tranquility, he can be calm. The reason why people feel compelled to pursue outside objects is that they artificially separate the items “in myself” and the items “outside myself.” Since people inherit The Principle of Heaven, which is universal, nothing is truly “outside myself.” If there were items “outside myself,” The Principle of Heaven would not be universal. Following the universality of The Principle of Heaven, people tend to transcend their own finite nature. This universal personality

39 40

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 240. Ibid.

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that points to infinity does not acknowledge boundaries between items “in myself” and items “outside myself.” The constant principle of Heaven and Earth is that their minds are in all things, and yet they have no mind of their own. The constant principle of the sage is that his feelings are in accordance with all creations, and yet he has no feelings of his own. Therefore, for the training of the noblemen, there is nothing better than to become broad and extremely impartial and to respond spontaneously to all things as they come.41

The sages’ feelings are in accord with all creations. On the one hand, they regard the myriad things as things in themselves. On the other hand, they can differentiate according to the inherent nature of different things, thus avoiding the disadvantages of “universal love,” in which all things are treated as totally equal. It seems that Cheng Hao advocates the idea that the sages do not have feelings. But he also says: The sage is joyful because according to the nature of things before him he should be joyful, and he is angry because according to the nature of things before him he should be angry. Thus, the joy and anger of the sage do not depend on his own mind but on things.42

The sages have joy and anger, but their joy and anger come from things rather than from themselves. The feelings of the sages are only reflections of the objective state of things. If the sages had their own love, hatred, joy, and anger, it would be impossible for them to be broad and extremely impartial. The unity of the sages’ feelings and the object states of things is not based on some accidental reflections of the sages but is based on the sages’ perception and understanding of The Principle of Heaven. With the help of subjective sensations, it is impossible for anyone to avoid partiality. However, with the help of The Principle of Heaven, can a man truly treat things as themselves. By saying that the sage’s feelings “are in accordance with all creation, and yet he has no feelings of his own,” Cheng Hao wants to indicate that we should never misunderstand benevolence as a kind of feeling, like sympathy. The sage’s unity with all things is not a feeling associated with his sense, but instead a fact rooted in The Principle of Heaven which he acquires through understanding and reflection.

41 42

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 460. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 461.

Chapter 11

The One and Its Two Contrary Aspects: The Philosophy of Zhang Zai

Zhang Zai (张载), style name Zi Hou (子厚), was born in 1020 A.D. and died in 1077 A.D. His family lived in Daliang (大梁, Kaifeng city of Henan Province, 河南开封). His father worked as an official in Fu Zhou (涪州) and died there. Zhang Zai and his little brother exhausted their resources on their way back to their hometown and stopped in a place named Heng Qu (横渠镇) in Mei County, Fengxiang, Shaanxi (陕 西凤翔府眉县). Because he had taught in the town of Heng Qu for a long time, he was called Mr. Heng Qu (横渠先生) by later scholars. There were several important turning points in Zhang Zai’s life. First, when he was twenty-one, he wrote a letter to Fan Zhongyan (范仲淹, 989–1052) and asked to meet him. When Zhang was young, he was passionate and bold. He wanted to join the army and prove himself by demonstrating his merit. He even tried to gather volunteers to retrieve the land of Taoxi (洮西) for the empire. It is said that Fan Zhongyan “knew he would make a great contribution in the future at first sight,” so Fan gave him a copy of The Doctrine of the Mean and said to him, “Confucians possess their own expertise, you should not waste yourself in the army!” We do not know what Fan’s real impression of Zhang was, but we know that this meeting was very important in Zhang’s life. After reading the ancient classic, Zhang felt that although the text was excellent, it did not seem to thoroughly explain the fundamental truth. Therefore, Zhang started to “learn from Daoism and Buddhism.” After years of study, “he knew he would never obtain his answers from them,” and thus returned to the Confucian Six Classics.1 This was the first stage of Zhang’s life. Next, at the age of thirty-six, he began to interact with the Cheng brothers. According to records, in the first year of the Jiayou reign (嘉 祐元年, 1056A.D.), Zhang Zai went to Kaifeng to prepare for the following year’s civil service examinations. He sat on a tiger’s skin in a temple and taught The Book of Changes, and “there were many listeners.” One night, the Cheng brothers came See the Biography of Zhang Zai in The History of the Song Dynasty 《宋史·张载传》 ( ), in Zhang Zai, The Complete Works of Zhang Zai (Zhang Zai Ji,《张载集》 ), Beijing: Zhonghua Press, 1978, pp. 385–386. 1

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_11

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to visit him. After a discussion that lasted all night, Zhang stopped his lectures the next day. He told his audience that what he had taught them was not correct, and they should learn instead from the Cheng brothers.2 This was the second stage of his life. There are two different records of Zhang’s intellectual transformation after his discussion with the Cheng brothers. 1) Zhang “abandoned his thought and begins to learn from the Cheng brothers” (Jin Qi Qi Xue Er Xue Yan, 尽弃其学而学焉).3 2) Zhang “abandoned all the elements which were not from Confucianism and became pure” (Jin Qi Yi Xue, Chun Ru Ye, 尽弃异学, 淳如也).4 Although Cheng Yi harshly criticized the former statement, the fact that Zhang’s thought was deeply influenced by the Cheng brothers is not disputable. The third stage of Zhang’s life was the seven years when he studied and taught in the town of Heng Qu in his later years. Zhang began to form his own ideas from the first year of the Jiayou reign (嘉祐元年), when he met the Cheng brothers, through the third year of the Xining reign (熙宁三年, 1070A.D.). During this period, he was deeply influenced by the Cheng brothers. This situation did not fundamentally change until he wrote Correcting the Youth (Zheng Meng,《正蒙》 ) in his later years. In the ninth year of the Xining reign (熙宁九年, 1076A.D.), Zhang returned to the court to serve and met Cheng Hao in Kaifeng. They argued and debated, and even wrote to Cheng Yi and asked him to offer judgment. This shows that the two possessed different ideas. There is a volume in The Complete Works of the Cheng Brothers (Er Cheng Ji,《二程集》 ) called Discussions in Luoyang (Luo Yang Yi Lun,《洛阳议论》 ), which is the last record of Zhang’s interaction with the Cheng brothers. In this volume, Zhang and the Cheng brothers had basically given up their disputes about philosophical issues, and only spoke about the details of land and ritual systems. Although they shared the same goal of trying to build the philosophical foundation for a Confucian lifestyle, their philosophical systems were fundamentally different. Zhang’s own philosophy developed from the third year of the Xi’ning (熙宁三 年) to the ninth year of the Xi’ning reigns (熙宁九年). According to extant records, during this period, Zhang “read and thought, and wrote every thought down,” he “sat between stacks of books” and studied every day.5 Zhang’s methodology was very special, mainly relying on writing. In his opinion, “writing” was the ideal method because one’s ideas and one’s words are inseparable. If a person cannot write reasonable essays, his mind must be confused. Here is his method. First, he “wrote thousands of propositions” (Li Shu Qian Ti, 立数千题). Second, he wrote his own beliefs down below them. Third, he continued to correct his beliefs. He believed, “If I correct even one word, I make progress.” Therefore, he would “get up, fetch the light, sit, and write his thoughts down even past midnight.”6 When Cheng Hao heard about this method, he said, “Zhang is unfamiliar with these truths.”7 Cheng believed that 2

Zhang Zai, Zhang Zai Ji, 1978, p. 386. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, pp. 414-415. 4 Zhang Zai, Zhang Zai Ji, 1978, p. 386. 5 Zhang Zai, Zhang Zai Ji, 1978, p. 383. 6 Zhang Zai, Zhang Zai Ji, 1978, p. 386. 7 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 427. 3

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Zhang did not totally understand the principles, otherwise, he will not be so afraid of forgetting them. Cheng Hao, who was so talented, did not work as hard as Zhang. However, Zhang believed he was not a smart person. “People with good eyesight can see clearly when they look up.” Zhang said, “When a nearsighted person looks at something, he has to stare very closely to see it clearly.” Zhang knew that he was not a person with a very high level of talent. He said that he was a person with few qualifications, who must study for a very long time to “steal a little” from Heaven.8 It was only in his later years that Zhang began to become fully confident with his own philosophy. “In recent years,” Zhang said, “I often reread my writings but cannot even correct a word. It seems that it is the truth of the universe.” The book Correcting the Youth was completed through the use of such a “hard-working” writing practice. Zhang’s most famous work, The Western Inscription (Xi Ming,《西铭》 ) was later included in Correcting the Youth. The Cheng brothers highly praised The Western Inscription, believing that no scholar after Mencius had achieved Zhang’s insights. Cheng Hao said, “With this text, we will save many words in the future.”9 Therefore, the Cheng brothers asked their disciples to read it as the first step in their education. It was through his rigorous writing practice that Zhang’s philosophy reached the pinnacle of Northern Song Philosophy. We can sum up Zhang’s life in one sentence: With the help of thinking and learning, his morality and wisdom became better each day (Si Xue Bing Jin, De Zhi Ri Xin, 思 学并进, 德智日新). After Zhang’s death, his friends privately honored him with the posthumous title of Ming Cheng (明诚). To be sincere (Cheng, 诚) through wisdom (Ming, 明) was Zhang’s expectation for himself, and it was also the consensus during his time. The Cheng brothers commented that Zhang was “brave in discovering the Dao,”10 and praised him for his courage to explore and for his achievements in the understanding of the Dao. Zhang once wrote a poem: “A new branch grows out in the center of a plantain tree; as soon as it grows, there is a dark hole in the center of the tree again. I would like to be a new branch and grow upwards; and I would also like to gain new knowledge each new day.”11 The plantain tree was a common metaphor used by Buddhists because it is a tree with a hollow center, so it was used to express the Buddhist idea of emptiness. However, in Zhang’s poem, the plantain tree is a symbol of the absolute creation, which is a total reversal of the Buddhist meaning. Zhang’s life was just like his poem. He tried very hard day by day to discover The Principle of Heaven, and thus criticized Buddhism from the standpoint of Confucianism because he believed that only the latter could reveal the truth.

8

Zhang Zai, Zhang Zai Ji, 1978, p. 288. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 39. 10 See Huang Zongxi 黄宗羲 and Quan Zuwang 全祖望, Song Yuan Xue An《宋元学案》 ( ), Beijing: Zhonghua Press, 1986, p. 771. 11 Zhang Zai, Zhang Zai Ji, 1978, p. 369. 9

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11 The One and Its Two Contrary Aspects: The Philosophy of Zhang Zai

1 The Great Vacuity and Qi There are two different approaches to the study of Zhang Zai’s philosophy. One is the tradition of Zhang Dainian and Chen Lai. Among scholars of the last century, Zhang Dainian paid more attention than most others to the importance of Zhang Zai’s work. Zhang Dainian was a materialist, so he valued the theory of Qi as substance (Qi Ben Lun, 气本论) in ancient China. The other approach is the tradition of Mou Zongsan (牟宗三, 1909–1995). Mou refused to admit that Zhang Zai’s philosophy is a theory that takes Qi as substance because in his opinion, that theory would constitute a kind of materialism, which would be an unacceptable way of regarding Zhang Zai’s beliefs. The fundamental difference between the two approaches lies in the different understanding of the relationship between Vacuity (Xu, 虚) and Qi in Zhang Zai’s philosophy. Vacuity and Qi are two crucial concepts from the works of Zhang Zai. To understand the relationship between Vacuity and Qi, we must also understand the relationship between form (Xing, 形) and image (Xiang, 象). Zhang Zai believed that the world of existence is composed of two basic elements: The Great Vacuity (Tai Xu, 太虚) and Qi. The Great Vacuity is not the same as non-existence. Zhang Zai says: The Great Vacuity has no physical form. It is the original state (Ben Ti, 本体) of Qi. Its integration and disintegration are but temporary forms caused by changes.12

The interpretation of “the original state of Qi” (Qi Zhi Ben Ti, 气之本体) is crucial for understanding Zhang Zai’s philosophy. There are two basic meanings of the Chinese word Ben Ti (本体). The first is substance. Substance and function exist as a pair of concepts. If there is a principle, which is substance, there will exist a function. The second meaning is original state. Zhang Dainian clearly points out in his monograph The Outline of Chinese Philosophy (Zhong Guo Zhe Xue Da Gang,《 中国哲学大纲》 ) that in this paragraph, the word Ben Ti does not mean substance but rather an original state.13 The Great Vacuity is invisible, and it is the original state of Qi. There are two ways of interpreting Qi in Zhang Zai’s philosophy. The first is gas. Gas, which has a physical form, and The Great Vacuity, which is invisible, consist of a pair of concepts. The second is the universe. Zhang Zai believed that the universe is the eternal transformation of Qi in its all forms, including The Great Vacuity. In the sentence “Its integration and disintegration are but temporary forms caused by changes,” “it” refers to the second meaning of Qi because the disintegration of The Great Vacuity does not exist. All things between Heaven and Earth consist of different forms of Qi. Moreover, since the integration of Qi and the disintegration of Qi are both temporary forms, The Great Vacuity, which is the disintegration of Qi, is of course also a kind of temporary form. Although The Great Vacuity is a fundamental and never-disappearing material, it is also a temporary state of Qi. 12

Zhang Zai, Zhang Zai Ji, 1978, p. 7. Zhang Dainian 张岱年, The Outline of Chinese Philosophy (Zhong Guo Zhe Xue Da Gang,《中 国哲学大纲》 ), Beijing: China Social Science Press, 1982, p. 44.

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Zhang Zai also says: The Great Vacuity necessarily consists of Qi. Qi necessarily integrates into the myriad things. Things necessarily disintegrate and return to The Great Vacuity.14

In Chen Lai’s monograph Neo-Confucianism (Song Ming Li Xue,《宋明理学》 ), this sentence is expressed as a picture—there is a cosmological progression from The Great Vacuity to Qi, and then to all things, and all things return directly to The Great Vacuity. This picture has been replaced by a new one in the current edition of the book—from The Great Vacuity to Qi, and then to all things, and all things return to Qi, and then to The Great Vacuity.15 Judging from the passage quoted above, I think that the previous version is correct because, in Zhang Zai’s thought, all things must return directly to The Great Vacuity. Two points need to be emphasized in the process. First, since The Great Vacuity is also a form of Qi, it is an invisible reality, rather than non-existence. So, Zhang Zai says: When it is understood that The Great Vacuity is (Ji, 即) Qi, we will know that non-existence does not exist (Wu Wu, 无无).16

The key to this sentence lies in word Ji (即), of which Zhang Dainian and Mou Zongsan have completely different understandings. Mou Zongsan thinks that Ji means “to be together and inseparable” (Xiang Ji Bu Li, 相即不离)17 while Zhang Dainian thinks that Ji means “is” (Shi, 是). In other words, according to Zhang Dainian, The Great Vacuity is Qi.18 But, according to Mou Zongsan, The Great Vacuity and Qi are inseparable from each other, while The Great Vacuity is the substance and Qi is its function. Mou Zongsan’s explanation is inconsistent with Zhang Zai’s philosophy. If The Great Vacuity and Qi were inseparable from each other, The Great Vacuity would be substance and Qi would be a phenomenon. Then, The Great Vacuity would be in all expressions of Qi, and would not exist independently. But in Zhang Zai’s philosophy, The Great Vacuity can exist independently. Zhang Zai always used concepts in pairs, such as night and day, dark and bright, and integration and disintegration. In those concepts, day, bright, and integration refer to Qi and things that have forms or shapes, while night, dark, and disintegration refer to The Great Vacuity. It is not reasonable to say that integration and disintegration are together and inseparable from each other. It is also absurd to say that day and night are together and inseparable from each other. Therefore, The Great Vacuity, Qi, and all things are all in a process of constant transformation. Since The Great Vacuity is the original state of Qi, non-existence does not exist. Zhang Zai says, “The concepts 14

Zhang Zai, Zhang Zai Ji, 1978, p. 7. Chen Lai 陈来, Neo-Confucianism (Song Ming Li Xue,《宋明理学》 ), Shanghai: East China Normal University Press, 2004, p. 46. 16 Zhang Zai, Zhang Zai Ji, 1978, p. 8. 17 Mou Zongsan 牟宗三, Xin Ti Yu Xing Ti (vol.1) 《心体与性体》 ( (上册)), Changchun: Jilin Press Corporation, 2013, pp. 394–401. 18 Zhang Dainian, Zhong Guo Zhe Xue Da Gang, 1982, p. 45. 15

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of being and non-being are not discussed in The Book of Changes. The debates on the relationship between being and non-being are based on the misunderstandings of some masters in the Eastern Zhou Dynasty.”19 There is no talk about “being” and “non-being” in The Appended Remarks of The Book of Changes. What is discussed is only the bright and the dark, the visible and the invisible. The dark is an invisible existence. In Zhang Zai’s view, it is right not to talk about the relationship between being and non-being because all things are beings. From the expression of Wu Wu, which means non-existence does not exist, we can infer that Zhang Zai was influenced by Guo Xiang. Second, The Great Vacuity coexists with Qi and all things. Zhang Zai says, “The Great Vacuity necessarily consists of Qi.” According to this saying, Mou Zongsan thinks that The Great Vacuity and Qi are inseparable from each other because if they are separable, Zhang Zai would have said that the integration of The Great Vacuity is Qi. As I have mentioned earlier, Zhang Zai was different from the Cheng brothers. Zhang Zai’s works, especially Correcting the Youth, were subject to repeated revision. Therefore, we should read it very carefully. Since Zhang Zai also said, “Things necessarily disintegrate and return to The Great Vacuity” in the end, The Great Vacuity will never be an existence that can exist independently from Qi and all things. If The Great Vacuity and Qi were inseparable, things would necessarily disintegrate and return to Qi. Therefore, what Zhang Zai wants to say is the integration of The Great Vacuity is Qi. But then why does Zhang Zai choose to say, “The Great Vacuity necessarily consists of Qi”? I think by saying this Zhang Zai wants to indicate that The Great Vacuity coexists with Qi. The invisible The Great Vacuity is not the starting point of the universe. Qi and all things are not produced later by The Great Vacuity. There will always be The Great Vacuity, Qi, and all things in the world, which are independent, coexistent, and have interactions with each other. Zhang Zai could neven accept the following cosmology. First, there is a phase of intangible The Great Vacuity. Then, there is a phase in which The Great Vacuity gathers and forms the tangible Qi. Finally, there is a phase in which all tangible things return to intangible The Great Vacuity. On the contrary, Zhang Zai believed that the invisible The Great Vacuity coexisted with tangible Qi and all things at the same time, interacting with each other and transforming into each other, forming this living world, which is called The Great Harmony (Tai He, 太和) in Zhang Zai’s philosophy. Zhang Zai’s thinking on the relationship between The Great Vacuity and Qi had its own purposes, one of which was to criticize the worldviews of Buddhism and Daoism. Zhang Zai says: If it is argued that Qi is produced from the Vacuity, then because the two are completely different, the Vacuity being infinite while Qi is finite, the one being substance and the other function, such an argument would fall into the naturalism of Lao Zi, who claimed that being comes from non-being and failed to understand the eternal principle of the undifferentiated unity of being and non-being. If it is argued that all phenomena are but things perceived in The Great Vacuity, then since things and the Vacuity would not be mutually conditioned, since the physical form and the nature of things would be self-contained, and since these, as well as Heaven and man, would not be interdependent, such an argument would fall into 19

Zhang Zai, Zhang Zai Ji, 1978, p. 48.

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the doctrine of the Buddha, who taught that mountains, rivers, and the land are all subjective illusions.20

The statement “Qi is produced from the Vacuity” (Xu Neng Sheng Qi, 虚能生 气) means that the definite is produced from the indefinite. Since the definite Qi and the indefinite Vacuity are different, substance and function will be separated, which leads to the incorrect conclusion that “being comes from non-being.” Since Zhang Zai believed that the statement “Vacuity is infinite and Qi is finite” is incomprehensible and thus unacceptable, he could only accept one of the following two statements. (1) “Vacuity is infinite and Qi is infinite.” (2) “Vacuity is finite and Qi is finite.” Since Zhang Zai believed that The Great Vacuity could not disintegrate, we know that The Great Vacuity must be definite. Therefore, in Zhang Zai’s view, Vacuity is finite and Qi is finite, which means that Qi is limited and transforms eternally. This concept of “eternal material” will lead to the result that the absolute creation is a great cycle, which is also Zhu Xi’s criticism of Zhang Zai’s philosophy. In the view of Buddhism, all things in the world are eternally changing and possess no fixed self or nature. Therefore, all things are empty. Zhang Zai points out that if all things (Qi) were empty while the emptiness (The Great Vacuity) behind all things was true, the relation between things and emptiness would be destroyed and so would be the relationship between phenomenon and essence. Based on this, the idea that “mountains, rivers, and land are all subjective illusions” cannot be true. Zhang Zai’s second purpose was to criticize the views on death of Buddhism and Daoism. He made one minor mistake that should be pointed out. When he criticized the worldview of Daoism, he focused on Daoism as a philosophy (Dao Jia, 道家), but when he criticized Daoism’s view of death, his focus changed into Daoism as a religion (Dao Jiao, 道教). In Zhang Zai’s view, when talking about views of death, Buddhism and Daoism were wrong. Those who believe in annihilation (Buddhists) expect departure without returning, and those who cling to everlasting life and are attached to existence (Daoists) expect things not to change.21

The mistake of Buddhists is that they regard death as Nirvana, so they expect Qi to depart without returning. The mistake of Daoists is that they pursue longevity, so they are eager to keep their limited bodies unchanged, trying to break the natural law that all things in the world change. In fact, Daoist priests, who believe in religious Daoism, were nostalgic for a finite body, and Daoist scholars, who study philosophical Daoism, on the contrary, thought that people should follow the changes of the world. Zhang Zai has obviously made a mistake here. However, his criticism of “those who cling to everlasting life and are attached to existence” is profound. People who pursue longevity are confined to their own limitations, ignoring the relationship between body and infinity. But as human beings, we should be able to transcend our own bodies and have perceptions and care for others, on the one hand. We should be able to calmly regard our finite lives as moments in the endless process of life and 20 21

Zhang Zai, Zhang Zai Ji, 1978, p. 8. Zhang Zai, Zhang Zai Ji, 1978, p. 7.

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death, knowing that we belong to the absolute creation and follow it naturally. The difference between human beings and things lies in the fact that human beings can truly understand this infinity. However, because of their fear of death, Daoist priests tried to live as objects. Zhang Zai’s criticism of Buddhism is problematic because he thought that the most absurd aspect of the view of death in Buddhism was Nirvana, rather than reincarnation. From Zhang Zai’s criticism, we can infer that he expects departure with returning. So, Zhu Xi’s criticism of Zhang Zai, in which Zhu says that Zhang replaces the minor cycle of Buddhism (reincarnation) with a great one, is correct.22 In Zhang Zai’s philosophy, The Great Vacuity, as the eternal material, is finite, which is the key to the establishment of the great cycle. If Qi only disintegrates but does not eliminate, absolute creation will not be possible. The remaining things that cannot be decomposed will become the obstacle to the absolute creation. In Zhang Zai’s view, the correct understanding of death should be this: As an entity, Qi simply reverts to its original state when it disintegrates and becomes formless. When it integrates and assumes form, it does not lose the eternal principle.23

After death, my Qi will disintegrate, and after leaving my body, it will merge into the Great Transformation (Zao Hua, 造化) of Heaven and Earth. On the contrary, if Qi integrates and forms my body, it will not lose its real nature, not being limited by my “little” body. Such a calm attitude towards death is much better than an attitude of fear or greed, but it is still problematic. The Cheng brothers’ criticism is worthy of attention. They believed that if the essence of life and death were the integration and disintegration of Qi, The Great Vacuity would be nothing but the corpse of all things. This is a little bit absurd because in this way, in the absolute creation, the creations of all things depend on the dead Qi and thus the absolute creation, which is the basic principle of Heaven and Earth, would be conditional.24 The Cheng brothers believed that the absolute creation is the nature of Heaven25 and thus it must be unconditional. In Cheng Hao’s annotations to The Analects, he says, “The essence of death is living.”26 The death of individuals is the moment of the actualization of the absolute creation. If any individual could live forever, the absolute creation would stop. In Cheng Hao’s eyes, the problem of Buddhism lies rather in the concept of reincarnation than in the concept of nirvana. He thinks that after one’s death, his Qi will disintegrate without reforming. It is the death of individuals makes new birth possible.

22

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2537. Zhang Zai, Zhang Zai Ji, 1978, p. 7. 24 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 148. 25 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 167. 26 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 17. 23

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2 Form and Image Zhang Zai’s philosophy is a kind of theory of Qi as substance. What we should pay attention to is that his theory of Qi as the substance is not equivalent to the materialism we speak about today, although of course, we do not have to insist on distinguishing it from materialism. In fact, the concept of Qi in ancient Chinese philosophy is different from the concept of matter in the Western tradition. According to Aristotle, matter has no form and is independent of motive or cause. But in Chinese philosophy, Qi contains motive and cause in itself,27 although its source still needs further interrogation. The motive cause of Qi is closely related to Zhang Zai’s idea of “two aspects of one thing” (Yi Wu Liang Ti, 一物两体). In the chapter The Great Harmony from Correcting the Youth 《正蒙·太和篇》 ( ), Zhang Zai says: The Great Harmony is called the Dao. It embraces the nature which underlies the paired processes of floating and sinking, rising and falling, and motion and rest. It is the origin of the process of fusion and intermingling, of overcoming and being overcome, and of expansion and contraction.28

The motive cause is in matter, so the world changes endlessly. Such a dynamic world is fundamentally different from the world constructed in the theory of four causes. One of the most important differences between Chinese and Western philosophy lies in their emphasis of “form” (Xing, 形). Chen Kang (陈康, 1902–1992) believes that Plato’s well known idea of form should be translated as Xiang (相) in Chinese. In Western philosophy, “form” is a pursued ideal state of being. But, in Chinese philosophy, that which possesses a form is not in its fundamental state of being. This is also the basic reason why the difference between the metaphysical and the physical is emphasized. In Zhang Zai’s philosophy, image (Xiang, 象) and form (Xing, 形) are strictly divided. This distinction is rooted in the sentence “What is in Heaven is called image and what is on Earth is called form” from The Appended Remarks of The Book of Changes. The image belongs to the Dao of Heaven, which is related to things that have no fixed form but have an image like the Sun, the Moon, wind, and clouds. The form belongs to the Dao of Earth, which is related to things that have a fixed form and bodies like tables, chairs, grass, and trees. In Zhang Zai’s view, if something has a form, it must have an image, but if something has an image, it might not have a form. For example, The Great Vacuity has an image but no form. Previous studies have basically ignored this distinction between image and form. However, I think that the distinction is not an accidental one, but an inevitable conclusion of Zhang Zai’s philosophy. Zhang Zai divides existence into two states. The first is visible and tangible, and the second is invisible, which means having an image but no form. The form must be grasped by the senses. Although an image is invisible, it is not completely imperceptible. If we can give a name to an image, like active (Jian, 健), See Yang Lihua 杨立华, Qi Ben Yu Shen Hua: Zhang Zai Zhe Xue Shu Lun 《气本与神化: ( 张 载哲学述论》 ), Beijing: Peking University Press, 2008, pp. 65–67. 28 Zhang Zai, Zhang Zai Ji, 1978, p. 7. 27

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smooth (Shun, 顺), moving (Dong, 动), stationary (Zhi, 止), abundant (Hao Ran, 浩 然), and clear (Zhan Ran, 湛然), the image will be perceptible.29 Later, the Cheng brothers criticized Zhang Zai’s metaphysics and said that Zhang’s philosophy was based on “the clean, the empty, the one, and the great” (Qing Xu Yi Da, 清虚一大), which are all images. How do we understand the relationship between image and form? In my opinion, image is the relationship between visible things. Therefore, an image can only be expressed through form. Visible things change in various relationships, and these relationships cannot be grasped by the senses. We can only know these relationships and their influence through the changes of visible things. For example, we can observe the effect of water on dissolving salt through the gradual decrease of visible salt grains in water. To give another example, we can determine the relationship between two people from one person’s attitude towards the other. A person who receives a phone call from an elder he respects demonstrates a significant difference in body posture, voice, and tone from a person who is chatting with a friend. I think an image is a perceptual manifestation of the relationship between things that cannot be grasped by any single sense. Therefore, we can neither simply say that the image is visible, nor that it is invisible. A sunset glow is a visible thing caused by certain refraction of sunlight, clouds, and the atmosphere. It is a trend of visible things and is a relationship in time and space. Therefore, it is said, “What is in Heaven is called the image” in The Appended Remarks of The Book of Changes. Images are always embodied by visible things, but they cannot be equated with visible things. Adding all the existing visible things together, it is impossible to say that images are all included within this set. The next question we must ask is, where is the boundary between the metaphysical and the physical? If The Great Vacuity has image but does not have form, while Qi and all things have both images and forms, is The Great Vacuity a metaphysical element or a physical one? Zhang Zai believes that The Great Vacuity, which has image but does not have form, is metaphysical. For Zhang Zai, the difference between metaphysical and physical lies in the difference between visible and invisible. All invisible things are metaphysical, but there are different levels of metaphysical things. Although The Great Vacuity is metaphysical, since it can be talked about and named, it is not the highest metaphysical thing. Since the change of Heaven and Earth is the continuous interaction and mutual transformation between the visible things and the invisible The Great Vacuity, how can this change be inevitable? What is the fundamental motive cause of it? Since the fundamental motive cause does not exist in The Great Vacuity or in Qi, The Great Vacuity, which has image but does not have form, is not the highest metaphysical thing. The highest metaphysical thing is The Wonder (Shen, 神) which is in both The Great Vacuity and Qi. The Wonder, as the highest metaphysical being, penetrates the two opposing sides, providing the invisible image and the temporary objects with the motive cause which makes the interaction between them possible.

29

Zhang Zai, Zhang Zai Ji, 1978, p. 16.

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3 The Three and the Two In Chinese, Can Liang (参两) is equal to San Liang (叁两), which means the three and the two. In Zhang Zai’s philosophy, by analyzing this pair of concepts, we can understand the inevitability of interactions. In Zhang’s view, the three (San, 三, which is the same as 参 and 叁 in Chinese when they refer to the number three) refers to the relationship between the one and the two. The two are things and their concepts in pairs like illusion and reality, movement and stillness, gathering and dispersing, and clearness and turbidity. In fact, the two is one. If the two exist, there will be a ‘one,’ which is the Supreme Ultimate. And, if there is the one, there must be the two. But no matter whether there is the two, the one is always there. However, if the two does not exist, the one will have no function at all.30

Fundamentally speaking, the two are the dichotomy between The Great Vacuity and Qi, which in Zhang Zai’s philosophy, are also embodied as the contradictions between illusion and reality, movement and stillness, gathering and dispersing, and clearness and turbidity. These are the two, and the thing that is in both the two is the one. It is because of this interlinking effect that the two, such as illusion and reality, movement and stillness, gathering and dispersing, and clearness and turbidity, can interact with and transform into each other. Zhang Zai believes that if the two exist, there will be a “one.” If the one existed before the two, it would be absurd because the one would exist no matter whether the one existed or not. But, without the two, what is the meaning of the one? Therefore, Zhang Zai said: If the two did not exist, the one would not be seen. If the one was not seen, the function of the two would be exterminated.31

Without the existence of the two, the one could not be grasped because it would have no function. And without the existence of the one, the interactions of the two would stop. Therefore, we can be sure that there are two sort of worlds that Zhang Zai would not accept. First, the world as the one without the existence of the two. Zhang believes that this would be an undivided, dead, unmovable, and homogeneous world. If the world were like this, there would be no division or movement. Second, the world as the two without the existence of the one. Zhang believes that it will be a divided world in which opposing elements like Yin and Yang, movement and stillness, illusion and reality, and day and night, would not interact with each other or transform into each other, forming a fragmented world. Therefore, the world would be unreal without either the one or the two. The unity of the one and the two is the three of the Dao of Heaven. The Dao of Heaven is the Wonder and the Dao of the Earth is Qi. All opposing elements belong to the Dao of the Earth. The three of the Dao of Heaven is the penetration of the Wonder into the two. The Wonder is the highest metaphysical being, which has no image or form. But Zhang Zai also says: 30 31

Zhang Zai, Zhang Zai Ji, 1978, p. 233. See Footnote 30.

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Fig. 1 The interlinking effect of The Wonder

But, because of the existence of the Earth, Heaven exists as its pair.32

In Zhang’s philosophy, the existence of Heaven is after the existence of the Earth, and Heaven is understood as the pair of the Earth. In fact, this is another expression of “if the two exist, there will be a one.” Zhang Zai also says: Everything has two bodies, and the essence of it is Qi. Because of the one, there is The Wonder (the interactions between the two are mysterious), and because of the two, there are changes (by changes, different aspects merge into one). These are the three of Heaven.33

By saying that “everything has two bodies” (Yi Wu Liang Ti, 一物两体), Zhang Zai wants to indicate that the essence of the two bodies is one. In his mind, opposing two bodies, like clearness and turbidity, and gathering and dispersal, consist of the one. When we talk about differences, pairs, like here and there, right and wrong, come together. When we think about turbidity, clearness is already in its definition as its negative boundary. Thus, the two bodies are not separated, but they are united. So, when talking about differences, we already presuppose a unity. Therefore, the sentence “because of the one, there is The Wonder” means that the Wonder lies in the unity of the opposing two. The Wonder refers to something so wonderful that it cannot be described or expressed in words. In Zhang Zai’s annotations to his own text, he says, “The interactions between the two are mysterious.” He mentions “the two” because he is afraid that people will misunderstand the one as a homogeneous world. And, in the following sentence, Zhang Zai points out the existence of the inevitable interaction between the two bodies (differences) of the one and shows the process of the formation of unity through interactions. There is always the one, i.e., The Wonder that has no image or form in the two bodies. It is because of this interlinking effect of The Wonder that the two bodies, such as illusion and reality, gathering and dispersing, can interact uninterruptedly. This structure can be expressed as the Fig. 1. Above all the visible things and The Great Vacuity, there is the function of the Wonder. But this figure is only a flawed expression because The Wonder and the two (all things and The Great Vacuity) cannot be completely separated. I only try to use 32 33

Zhang Zai, Zhang Zai Ji, 1978, p. 11. Zhang Zai, Zhang Zai Ji, 1978, p. 10.

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this figure to express the structure of the three, and it is such a structure that enables the absolute creation of Heaven and Earth. The existence of this world is divided into two parts—the visible and the invisible. The visible and the invisible are not completely separated, but instead transform into and interact with each other. It is because of the unity of the one (The Wonder) and the two (the interactions of opposing two bodies) that the movement of the universe is eternal.

4 The Wonder and Transformation The whole world is in a process of transformation (Hua, 化). The Wonder and transformation are a pair of concepts that are very difficult to grasp in Zhang Zai’s philosophy. Change (Bian, 变) is another concept related to transformation. The terms transformation and change come from The Appended Remarks of The Book of Changes. Zhang Zai says: When there is change, there must be transformation. Changes are obvious, but transformations are tiny. When something becomes different during a series of transformations, we call it a change.34

Transformation is the accumulation of continuous and imperceptible movements in the world. When transformations accumulate to a certain stage, they become a change and recognizable. There is only one process of continuous transformation in the world, and changes are artificial judgments. Transformations are divided into different changes. The most typical division is embodied in Confucius’s famed saying from The Analects. “At fifteen I set my mind on learning; by thirty I had found my footing; at forty I was free of perplexities; by fifty I understood the will of Heaven; by sixty I could hear all words without anger; by seventy I could follow my heart’s desires without overstepping” (2.4). Zhang Zai believed that most people are unaware of their daily changes, but sages are different because of their awareness of their changes at every stage. When talking about the relationship between The Wonder and transformation, Zhang Zai says: The Wonder is the virtue of Heaven and transformations are the Dao of Heaven. The virtue is substance and the Dao is function. They are both Qi.35

The Wonder is substance and transformations are function. In other words, transformations are concrete manifestations of the functions of The Wonder. In Zhang Zai’s view, a transformation is the subtle motion caused by the continuous interaction between the paired concepts that make up all things, such as illusion and reality, movement and stillness, gathering and dispersing, clearness and turbidity, and so 34 35

Zhang Zai, Zhang Zai Ji, 1978, p. 16. Zhang Zai, Zhang Zai Ji, 1978, p. 15.

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on. The essence of the absolute creation is a process in which the two are in eternal motion because of The Wonder. Zhang Zai also says: “By using correct words, we can try to describe the images of metaphysical things. The Wonder is something that cannot be predicted, so slow words cannot express all of its magical aspects. Transformations are hard to recognize, so quick words cannot allow people to discover all its details.”36

If something can be named, it will have an image. However, in the previous discussion, Zhang Zai says that we cannot give any name to The Wonder. I have to say that the two expressions are contradictory. I think it reminds us of the complexity of The Wonder. Fundamentally, The Wonder, the highest metaphysical thing, cannot be named. However, the functions of The Wonder are everywhere. Thus, it is not totally outside our perception. The unpredictability of The Wonder makes all speech “slow words” (Huan Ci, 缓辞), which cannot fully describe The Wonder. The transformations are difficult to recognize, so all speech becomes “quick words” (Ji Ci, 急辞), which cannot fully express them. In his annotation to the sentence “we must play the drums and dance to fully express The Wonder” in The Appended Remarks of The Book of Changes, Zhang Zai says that witches can communicate with Heaven and Earth because they are not simple individuals in the state of spiritual possession, but agents controlled by the basic moving cause of The Wonder.37 Therefore, only this kind of beating and encouraging words can “exhibit The Wonder” (Jin Shen, 尽 神). In Zhang Zai’s view, the word Shen does not mean a personified god, but rather means the initiator of all transformations and changes. In essence, there are only The Wonder and transformations in the world. All phenomena (Fa Xiang, 法象) in the world are the remnants of The Wonder and transformations.38

This sentence is the key to understanding Zhang Zai’s philosophy. The remnants are what left after the wine is made. The waste should be thrown away and the wine is the essence. All phenomena are wasted remnants, while the real essence is The Wonder and transformations. Here, the word Fa Xiang (法象, which means phenomenon) is not the same as the word Fa Xiang (法相, dharmalakshana, which means aspects of a thing) in Buddhism. It is said in The Appended Remarks of The Book of Changes that “Qian (乾) means the completion of images (Xiang, 象), and Kun (坤) means to model the forms (Fa, 法) after them.” Here, the word Fa means forms (Xing, 形). All beings, including The Great Vacuity, which have image but not have form, and Qi and all things, which have both image and form, are only rough traces of The Wonder and its transformations. Without those rough traces, however, we could not discover the functions of The Wonder and transformations. These traces include the interactions between illusion and reality, movement and stillness, and so on, but are not equal to The Wonder and its transformations. 36

Zhang Zai, Zhang Zai Ji, 1978, p. 16. Zhang Zai, Zhang Zai Ji, 1978, p. 205. 38 Zhang Zai, Zhang Zai Ji, 1978, p. 9. 37

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5 Sensation Zhang Zai’s highly systematic philosophy proves the following important issues. First, the reality of the world. Second, the basis of the absolute creation in the real world. Third, the model that explains the motive cause and eternity of the absolute creation. Our next question is, what is the ethical orientation of his philosophy? Here, I want to emphasize the importance of the concept of sensation (Gan, 感) in Zhang Zai’s philosophy. The reason why Zhang Zai emphasizes the existence of differences is to logically prove the existence of sensation. Differences create the logical conditions for sensation, so if there were no differences, sensation would be impossible. Specifically, there are three kinds of sensation in Zhang Zai’s philosophy. The first is “the sensation between Heaven and Earth, Yin and Yang” (Tian Di Yin Yang Er Duan Zhi Gan, 天地阴阳二端之感). This can also be understood as the sensation between the two (bodies), which is universal and inevitable. In Zhang Zai’s annotation to the sentence “after the sensation between bending and stretching, benefits will appear” in The Appended Remarks of The Book of Changes, he says: After the sensation between bending and stretching, benefits will appear. This is because the sensation is real and sincere… Although it is said that ‘benefits’ will appear, this is not about benefit, instead, it is a basic principle.39

The essence of all things and events between Heaven and Earth is sensation between bending and stretching (two bodies), so what exists in the world is only benefit. The sensation between Heaven and Earth, Yin and Yang is sincere, real, and correct. The bending and stretching (of Qi) (Qu Shen, 屈伸) are related to ghosts and spirits (Gui Shen, 鬼神). “The word ‘ghost’ means to return,” and a ghost is the tendency to dissipate Qi. “The word ‘spirit’ means stretching,” and a spirit is the tendency for Qi to grow. Zhang Zai says, “The essence of ghosts and spirits is the function of Yin and Yang” (Gui Shen Zhe, Er Qi Zhi Liang Neng, 鬼神者, 二气之 良能).40 Sensation is the natural function of Yin and Yang, and the only thing that exists between Heaven and Earth is sensation. The second form is “the minute sensation between human beings and things” (Ren Yu Wu Zui Ran Zhi Gan, 人与物蕞然之感). “Minute” (Zui Ran, 蕞然) refers to size. Although the “minute sensation” is also rooted in the “sensation between Yin and Yang,” it is narrow because it originates in temporary objects like human beings and material things. If a person is sincere, he will follow the principles and receive benefits, but if a person is insincere, he will not follow the principles and will be harmed. It is said in The Book of Changes, ‘After the sensation between the sincere and the insincere, benefits and harm will appear.’ The ‘sensation’ in that sentence refers exclusively to the sensation between human beings, so there can be insincere people and harm.41 39

Zhang Zai, Zhang Zai Ji, 1978, pp. 232–233. Zhang Zai, Zhang Zai Ji, 1978, p. 9. 41 Zhang Zai, Zhang Zai Ji, 1978, pp. 232–233. 40

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The narrow sensation between people and things are not always sincere, so harm will appear. These sensations originate from a person’s small and short-lived body, so there is something false and illusory within them. Because of human imperfection, we make mistakes that defy common sense. For example, because of our fear of death, humans have false beliefs about the afterlife and the incorrect view that the world is unreal. Some people worry too much about their self-preservation such that they cannot honestly face the principle that all men will die. If one cares too much about himself, he will focus too much on his gains and losses. He will not be happy if he loses something, and he will also be unhappy even if he gets what he wants because he is worried about losing it in the future. These people are too blind to see the principles. Of course, the “minute sensations” are also rooted in the “sensation between Yin and Yang” so they are not entirely insincere. For example, our caring for a loved one and sorrow for one who is suffering are correct and right, and not illusory. The third form of sensation is “the sensation of sages” (Sheng Ren Zhi Gan, 圣人 之感). A sage’s sensation transcends the minute sensations between human beings and things and returns to the sensation between Yin and Yang. Zhang Zai believes that sages know the nature of Heaven, Earth, and all things. Sages can communicate with all things between Heaven and Earth, so they can take care of all things. By emphasizing the importance of sensation, Zhang Zai also tries to reveal faults in Buddhism. He says: Buddhists believe that sensation is always illusionary, but they are also eager to meet friends who trust their sensations. They are too contradictory to be criticized.42

Why does Zhang Zai say that Buddhists believe that sensations are all illusionary? According to Lv Cheng (吕澂, 1896–1989), the most important concept in Buddhism is liberation. Everything in life is suffering, and the root of suffering lies in clinging (Zhi, 执)—“the clinging to self” (Wo Zhi, 我执) and “the clinging to things” (Fa Zhi, 法执). Self is the subject of clinging and things are its object. Therefore, if we want to get rid of clinging, we must destroy its subject and object. When one realizes that “I have no self,” he will destroy the subject of clinging. And when one realizes that “all things are empty,” the objects of clinging will also be destroyed. Without clinging, a person will no longer suffer. Thus, the Buddhist method of eliminating suffer involved abandonment. Buddhist monks must leave their families, maintain a strict diet, and avoid all the caring, greed, and clinging that brings suffering. Zhang Zai believes that it may be right to reduce people’s greed, but caring and emotions are natural and should not be denied or abandoned. By giving philosophical proof of the authenticity and universality of sensation, Zhang Zai also proves the universal reliance between people and things. This reliance shows the correctness of the ethical relationships emphasized by Confucianism. In conclusion, the proof of the authenticity of sensation lays the philosophical foundation for the Confucian ethical life.

42

Zhang Zai, Zhang Zai Ji, 1978, p. 126.

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6 On Human Nature On the issue of human nature, Zhang Zai distinguishes the nature of Heaven and Earth (Tian Di Zhi Xing, 天地之性) and the nature of Qi and temperament (Qi Zhi Zhi Xing, 气质之性). In Cheng Hao’s thought, the difference between them is implied, but it is Zhang Zai who expresses the distinction clearly. The distinction between the nature of Qi and temperament and the nature of Heaven and Earth is an important development of Mencius’ theory of human nature. Mencius claims that human nature is fundamentally good, and it is our acquired habits that make us different and lead us astray. Mencius says: Man’s nature is naturally good just as water naturally flows downward. There is no man without this good nature; neither is there any water that does not flow downward. Now you can strike water and cause it to splash upward over your forehead, and by damming and leading it, you can force it uphill. Is this the nature of water? It is the forced circumstance that makes it so (Mencius, 6A: 2).

The “forced circumstance” (Shi, 势) here refers to one’s environment and conditions. Mencius inherits the dualist structure of “human nature—practice” (Xing—Xi, 性-习) discussed by Confucius. Zhang Zai introduces another word, Qi, in addition to human nature and practice. The combination of the three elements of human nature, Qi, and practice enable us to have a more complete and accurate understanding of the specific manifestations of human nature, and at the same time, it enables us to have a better explanation of human experience. Some people are born with bad qualities, and even the best education cannot change them. Some people are born with good qualities, but no matter how bad their environment is, they cannot be corrupted. This can only be explained in terms of Qi. Zhang Zai says that: As soon as a body is formed, the nature of Qi and temperament exist. But, if a person is good at returning, the Qi of Heaven and Earth will not be lost. Therefore, a nobleman will not regard his nature of Qi and temperament as his real nature.43

The nature of Heaven and Earth is the nature of The Wonder and its transformations, which is the motive cause of the absolute creation. Thus, it can be said to be purely good. But the nature of Qi and temperament is the tendency of the nature of Heaven and Earth within concrete Qi and individual temperament, and thus can be evil. In Zhang Zai’s view, Qi and temperament is mainly expressed in two aspects—thickness and turbidity. Some people acquire thick Qi, and are kind and honest, but other people are mean because the Qi they acquire is thin. Moreover, the thickness of Qi is also related to one’s fortune in daily life. The other difference is turbidity. People who acquire clear Qi are smart, while people who acquire turbid Qi are foolish. Both thickness and turbidity are attributes of Qi and thus can be regarded as material qualities. The difference between human beings and things lies in the thickness and turbidity of the Qi they acquire. Thus, the basis of self-cultivation is to return to the nature of Heaven and Earth through changes in Qi and temperament. 43

Zhang Zai, Zhang Zai Ji, 1978, p. 23.

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Zhang Zai defines the four concepts of Heaven, the Dao, human nature, and mind (Xin, 心) as follows: From the Great Vacuity, there is Heaven. From the transformation of Qi, there is the Dao. In the unity of the Great Vacuity and Qi, there is the nature of humans and things. And in the unity of nature and consciousness, there is the mind.44

In this paragraph, by using the structure “from A, there is B,” Zhang Zai reveals the influence of Wang Bi. Wang believes that the Dao is substance, and will have different names when seen from different aspects. “From the aspect that all things follow the Dao, there is the name of the Dao,” Wang Bi says, and “from the aspect that the Dao cannot be seen, there is the name of non-being.”45 Thus, we can infer that the word “from” (You, 由) is omitted at the beginning of the last two sentences of Zhang Zai’s previous paragraph. The complete expression should be, “From the unity of the Great Vacuity and Qi, there is the nature of humans and things. And from the unity of nature and consciousness, there is the mind.” Unity means wholeness. Nature is the wholeness of the unity of the Great Vacuity and Qi. Zhang Zai says: Sensation is the wonderful function of nature, and nature is the substance of sensation.46

The sensation between things is the magical function of nature, and nature is the inner motivation and structure of sensation. This understanding of human nature is not static but dynamic. Human nature is understood as a tendency and a trend. When talking about the relationship between nature and destiny, Zhang’s attitude that human nature is something dynamic is fully expressed. In Classical Chinese, using a word that is usually understood as a noun as a verb is quite complicated. Therefore, Zhang Zai would rather say “What Heaven offers human beings as nature” (Tian Suo Xing Zhe, 天所性者) and “What Heaven offers human beings as destiny” (Tian Suo Ming Zhe, 天所命者) than the direct terms “nature” and “destiny.” It can be seen from this point that Zhang Zai’s philosophical thinking reached the linguistic limits of Classical Chinese. To avoid incorrect understandings of “nature” and “destiny” as static things, Zhang Zai had no choice but to create new expressions such as “What Heaven offers human beings as nature” and “What Heaven offers human beings as destiny.” Zhang Zai says: Nature permeates beyond Qi and destiny operates within Qi. In fact, there is nothing beyond Qi or within Qi because physical forms are temporary.47

The expression “beyond Qi” (Qi Zhi Wai, 气之外) here seems to mean that Qi has boundaries, but Zhang Zai then tells us, “There is nothing beyond Qi or within Qi” (Qi Wu Nei Wai, 气无内外). The expression “beyond Qi” only means “beyond physical form.” What Zhang Zai is trying to say is that nature permeates beyond 44

Zhang Zai, Zhang Zai Ji, 1978, p. 9. Lou Yulie, Wangbi Ji Jiaoshi, 1980, p. 196. 46 Zhang Zai, Zhang Zai Ji, 1978, p. 63. 47 Zhang Zai, Zhang Zai Ji, 1978, p. 21. 45

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physical form and destiny operates within them. Destiny is something that cannot be changed once a body is physically formed, so Zhang Zai says that there are things that cannot be changed in temperament, such as “death, birth, and the length of life.”48 In Zhang Zai’s opinion, the length of a person’s life span is unchangeable, and even the person with the greatest virtue cannot prolong his life. For example, Yan Hui, who is believed to have been the best disciple of Confucius, lived a life of only forty-two years. In Zhang Zai’s view, human nature is the tendency of people to communicate outwardly. Without the obstruction of Qi and temperament, this tendency should be unlimited and all things between Heaven and Earth should be linked. However, people possess a particular Qi and temperament, which is not always purely clear. People with clear Qi are far-reaching, and their hearts are broad, so they can realize the benevolence in which all things between Heaven can be regarded as one. If a person never stops sensation outwardly, will he be in danger of falling into the universal love of Mohism? Although Zhang Zai says, “We must have a universal love” (Ai Bi Jian Ai, 爱必兼爱),49 what he really means is that the sensation between us and all things under Heaven is universal. There are still differences between us and in how we love. People with the clearest Qi can achieve a state of benevolence in which they regard all things between Heaven as one body, while people with a somewhat clear Qi can attain this only to a certain extent. People with turbid Qi can only sense the people nearby. Those who have a more turbid Qi can only sense themselves. People with the most turbid Qi cannot sense themselves at all. Therefore, self-cultivation is the process of turning one’s Qi from turbid to clear.

7 Human Nature and the Human Mind Zhang Zai particularly emphasized the active role of the mind. In his view, human nature is an inevitable and structural tendency. Human nature has no autonomy and cannot be realized by itself. The realization of human nature requires the initiative of the active mind. In Zhang Zai’s annotations to The Analects, he says: If a person’s mind can fully develop his human nature, it shows that ‘it is man that can make the Dao great.’ If a person’s nature does not know how to discipline his mind, it shows that ‘it is not the Dao that can make human beings great.’50

The expression “to make something great” (Hong, 弘) here means to expand and make things broad. Thus, the mind can make human nature realized. On the contrary, human nature has no initiative of its own, so it cannot lead the mind. The reason why people can cultivate and improve themselves lies in the initiative of the mind. That is why Zhang Zai says, “By enlarging a person’s mind, he can exist within the unity

48

Zhang Zai, Zhang Zai Ji, 1978, p. 23. Zhang Zai, Zhang Zai Ji, 1978, p. 21. 50 Zhang Zai, Zhang Zai Ji, 1978, p. 22. 49

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of all things in the world” (Da Qi Xin Ze Neng Ti Tian Xia Zhi Wu, 大其心则能体 天下之物).51 The first step of self-cultivation is to change one’s Qi and temperament (Bian Hua Qi Zhi, 变化气质). Some scholars regard changing Qi and temperament as the goal of self-cultivation for Zhang Zai, which is not correct. It is true that Zhang Zai says, “The great benefit of learning is that by learning we are able to change our Qi and temperament.”52 But we must first understand what “changing one’s Qi and temperament” consists of. Zhang Zai says: To change a person’s Qi and temperament is like emptying his mind.53

The process of “changing a person’s Qi and temperament” is also the process of “emptying his mind” (Xu Xin, 虚心). If a person can empty his mind, his Qi and temperament will start to change. “To empty a person’s mind” is to restrain his own subjective prejudices. Zhang Zai clearly points out that under normal circumstances, it is difficult for the proud person to make progress because he always feels that he is great and lacks the ability to self-reflect. This sort of person needs to change his Qi and temperament. How can he change it? First, his body posture should be changed. For the proud person, the first step is to “let him look down” (Xia Qi Shi, 下其视),54 i.e., to make him see the equality of all people. This kind of adjustment of the body can change a man’s mind and heart. Although changing the Qi and temperament is the most elementary task of self-cultivation, it is not easy to do. In Confucianism, a nobleman should both take care of his body and his mind. On the one hand, he should make changes in his body in order to change his mind. On the other hand, through changes in the mind, he can also change his body. After the changing of their Qi and temperament, the various prejudices hidden in people’s minds will start to change, and they will begin to treat themselves and others with a peaceful and fair attitude. By changing our Qi and temperament, we have the possibility of accepting the truth. It is only by emptying a person’s mind that he can be modest and peaceful, and willing to follow the truth. “Emptying a person’s mind” opens a door, and then the nobleman should face the truth. The connotation of “enlarging a person’s mind” is to know the principles. Zhang Zai says, “Buddhists do not know the principles, so they wrongly think that the world originated from an illness of sight.”55 He also says: There are principles behind all things. So, if one person does not know the principles, he will exist as if in a dream throughout his life.56

“Enlarging a person’s mind” is to study the principles of all things in the world. We can never establish real communication between us and things without the basis of 51

Zhang Zai, Zhang Zai Ji, 1978, p. 24. Zhang Zai, Zhang Zai Ji, 1978, p. 321. 53 Zhang Zai, Zhang Zai Ji, 1978, p. 274. 54 Zhang Zai, Zhang Zai Ji, 1978, p. 268. 55 Zhang Zai, Zhang Zai Ji, 1978, p. 321. 56 Ibid. 52

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understanding the principles of all things in the world. By having concrete knowledge of principles of things, one person can possess concrete rather than abstract sympathy. And by changing our Qi and temperament and emptying our minds, we create the basic conditions for knowing the principles of all things. Zhang Zai divides knowledge into two categories: “knowledge from seeing and hearing” (Jian Wen Zhi Zhi, 见闻之知) and “knowledge from virtue and nature” (De Xing Zhi Zhi, 德性之知). Zhang Zai says: Knowledge from seeing and hearing is knowledge obtained through contact with things. It is not knowledge from virtue. Knowledge from virtue and nature does not originate from seeing and hearing.57

“Knowledge from seeing and hearing” is the knowledge gained through the contact with objects. Our sensory knowledge, including our cognition of the color, shape, temperature, and size of an object, all belong to “knowledge from seeing and hearing.” The other kind of knowledge is “knowledge from virtue and nature,” which does not originate in what we see and hear. Of course, “knowledge from seeing and hearing” is less important than “knowledge from virtue and nature.” The core of “knowledge from virtue and nature” is the starting point of moral behavior. Morality must be derived from a person’s own inner value orientation rather than the quality of the objects. If we only loved our country when it was worthy of our love, then rebels and criminals would find excuses for their behavior. If we only loved and respected our fathers when they were worthy of our filial piety, we could find ten thousand reasons not to be filial to them. “Knowledge from virtue and nature does not originate from seeing or hearing.” Virtue originates from our inherent tendencies, i.e., our nature, and these inherent tendencies are the most fundamental thing that we should be aware of. We must first be aware of our own tendency to build up sensation with others and be aware of the nature of Heaven and Earth inside our minds, and then we must realize the negative effects of Qi and temperament on the nature of Heaven and Earth. On this basis, we will make progress by studying the principles of all things, and finally actualize the unity of all things in the world.

57

Zhang Zai, Zhang Zai Ji, 1978, p. 24.

Chapter 12

Metaphysical Substance: The Philosophy of Cheng Yi

Cheng Yi (程颐), style name Zheng Shu (正叔), was born in the second year of the Mingdao era (明道二年, 1033A.D.) during the reign of Emperor Ren Zong of the Northern Song Dynasty (宋仁宗), and died in the first year of the Daguan era (大观 元年, 1107A.D.) during the reign of Emperor Hui Zong (宋徽宗). Cheng Yi did not want to serve as an official in the emperor’s court; he believed that being an official was harmful to one’s integrity. He failed the civil service examinations the first time he took it, and decided not to sit the exam again. He even refused to be recommended for office, and gave his opportunities to his cousins. His main concern was always interpreting the Confucian classics and philosophical construction. In the first year of the Yuanyou era (元祐元年, 1086 A.D.), under the recommendation of Sima Guang, Lu Gongzhu (吕公著, 1018–1089) and others, he began to serve as a consultant in the Chongzheng Hall (崇政殿说书) and became responsible for the education of the Zhe Zong Emperor (宋哲宗). Cheng Yi was very strict. His brother Cheng Hao was an interesting and humorous man, but Cheng Yi was serious and stern by comparison. Therefore, Cheng Hao once said, “My little brother is the one who requites all people to respect teachers. But as for me,” he said, “I can educate people better according to their different natures than my little brother.”1 Of course, Cheng Yi was very strict with himself, too. He followed the rituals in every detail. Someone once asked him whether he was tired of being so self-disciplined. “I walk on the safe ground,” Cheng Yi said, “how could I be tired?”2 Cheng Yi was weak when he was young, but when he grew up, he became stronger and stronger. It is said in The Book of Rites, “A gentleman with respect in his heart will become stronger day by day” (Jun Zi Zhuang Jing Ri Qiang, 君子庄 敬日强). This is quite certain.

1 2

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 346. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 8.

© Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_12

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1 Physics and Metaphysics The greatest contribution of the Cheng brothers’ philosophy lies in their clear distinction between physics (Xing Xia, 形下) and metaphysics (Xing Shang, 形上). Although Zhou Dunyi, Shao Yong and Zhang Zai all had the idea of distinguishing the physical from the metaphysical, they never offered any clear explanations or distinctions with regards to the concept of metaphysics. However, in Cheng Hao’s philosophy, the concept of metaphysics (or the metaphysical) is highlighted as a foundational philosophical concept. Although Cheng Hao emphasized the distinction between physics and metaphysics, he failed to reveal the meaning of this contradiction to his readers. What he mainly seemed to emphasize was rather the unity of physics and metaphysics than the differences between them. In Cheng Hao’s philosophy, the philosophical space for speculation is somewhat limited. Cheng Hao says: The metaphysical constitutes the Dao and the physical constitutes concrete things. Nevertheless, though we speak in this way, concrete things are the Dao and the Dao is concrete things. So long as the Dao obtains, it does not matter whether it is present or future, or whether it is the self or others.3

In Cheng Hao’s view, when we think about the world, we can make a distinction between the physical and metaphysical. But in fact, the metaphysical and the physical are not separated. So he says, “Concrete things are the Dao and the Dao is concrete things,” indicating that the metaphysical is inseparable from the physical. The distinction between the metaphysical and the physical is just a method through which we can analyze the world according to Cheng Hao’s philosophy. In the real world, the Dao and concrete things are not separated. In Cheng Hao’s written description, in which the unity of the Dao and concrete things is strongly emphasized, the distinction between physical and metaphysical is easy to ignore, such that we might miss the implicit philosophical problems. Unlike Cheng Hao, Cheng Yi emphasizes the unambiguous difference between the physical and the metaphysical. ‘The successive movement of Yin and Yang constitutes the Dao.’ However, the Dao is not equal to Yin or Yang. The reason (Suo Yi, 所以) for the successive movement of Yin and Yang is the Dao.4

The sentence “The successive movement of Yin and Yang constitutes the Dao” in The Appended Remarks of The Book of Changes is misleading, leading readers to wrongly believe that the whole of Yin and Yang is the Dao. But Yin and Yang belong to concrete things because they are the results of division. With the appearance of Yin and Yang, the one has already been divided into two. Once there is a difference, it is no longer metaphysical. With the appearance of Yin and Yang, there is rigidity and softness, and then, beginning and ending, gathering and dispersing, and darkness and 3 4

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 4. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 67.

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brightness, and finally, declining and growing, birth and death, and accomplishment and destruction. None of these concepts is metaphysical. Although the Dao always exists in the successive movement of Yin and Yang, the Dao is the reason for it rather than constituting the whole process. More specifically, the Dao is the root and the basis of the inevitable interaction between Yin and Yang. Therefore, Cheng Yi uses the word reason (Suo Yi, 所以) to point to the clear distinction between physics and metaphysics. The metaphysical is not non-being, which is empty, having no content at all. Cheng Yi especially emphasizes that the unity of the physical and the metaphysical is possible because of the same principle of Heaven behind them. He presents a famous statement: Empty and tranquil, and without any sign, yet all images are luxuriantly present. The state before there is any response to it is not an earlier one, and the state after there has been the response is not a later one. It is like a tree one hundred feet high. From the root to the branches and leaves, there is one thread running through it all. We should not say that the above, which has neither form nor image, is something created and put into a track with concrete things by human beings. If there is a track, the essence of the track is the unity of the metaphysical and the concrete things.5

The expression “empty and tranquil, and without any sign” (Chong Mo Wu Zhen, 冲漠无朕) refers to The Principle of Heaven or the Dao. As the reason for the successive movement of Yin and Yang, the Dao is invisible and is truly metaphysical. It has no signs or traces, but all phenomena are contained in it. By saying, “All images are luxuriantly present” (Wan Xiang Sen Ran Yi Ju, 万象森然已具), Cheng Yi tries to indicate that the metaphysical is not like non-being, devoid of content. If the metaphysical was non-being, the physical would have no metaphysical basis. It is like a tree, in which the root, the branches, and the leaves are consistent. Therefore, he says, “We should not say that the above, which has neither form nor image, is something created and put into a track with concrete things by human beings.” “The above” is the metaphysical principle of Heaven. It is wrong to think that the metaphysical is non-being without any content. The various complex norms, rituals, and specific values of life are not arranged in an artificial order. There are several key points in Cheng Yi’s words that need to be emphasized. First, although the metaphysical is invisible, “empty and tranquil, and without any sign,” it is also a fundamental reason and the root of all concrete reasons, and is never without content. Second, the metaphysical is consistent with the orders and principles of the myriad things. In other words, they share the same foundation. “If there is a track, the essence of the track is the unity of the metaphysical and the concrete things.” Third, orders and rituals are not artificial arrangements but manifestations of nature. Fourth, since it is not artificially created, The Principle of Heaven is clear and simple. In Cheng Yi’s words above, the word “usually” (Xuan, 旋) is an adverb, meaning “repeatedly and often.” By using this adverb, he also indicates that we should not say that the above is something usually created and put into a track with concrete things by human beings. The various orders and values in human society are not 5

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 153.

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the results “usually created” and arranged by human beings, but something natural and simple. Many people speak about the reconstruction of values. How can we reconstruct values? There are a number of versions of patched value systems. For example, a person can collect various ideas such as the “political correctness” of liberalism, left-wing ideas, and conservatism, put all these ideas together, and form a new so-called consensus. Then, he can publish this consensus and let everyone discuss it. After bargaining, during which everyone may add his own opinions, a set of ethical principles and a value system will be formed. In such an approach, the final “system” should be understood as “something created and put into a track with concrete things by human beings.” In that created value “system,” there will be no foundational principle or logic on which all rules are established. Moreover, there must be “evasive words” (Dun Ci, 遁辞) in that “system” which allow one to escape criticism for one’s ideas. Real nature is not arranged by human beings and does not require any far-fetched explanation, so it is clear and simple. The world is the world, and human beings are human beings. We should conceive how people should be simply according to what people truly are. We do not and should not have to invent a perfection that does not exist. “What people can do” is the foundation of “what people should do.” Otherwise, what is possible will be separated from what should be. Now, what is the basis for the possibility and value of human beings? In Cheng Yi’s view, “the above,” i.e., The Principle of Heaven, is the basis. It is Cheng Yi’s great contribution that he makes an emphasis on the distinction between the physical and the metaphysical. Because of Cheng Yi’s strictness and clearness, he opens the space for true philosophical speculation. Without his efforts, the theoretical construction of Neo-Confucianism would not have been completed and its philosophical development would never have reached its great heights. Moreover, it would have been impossible for Zhu Xi to develop his synthesized philosophical system.

2 The Unity of Substance and Function The Unity of Substance and Function (Ti Yong Yi Yuan, 体用一源) is Cheng Yi’s famous conclusion in Cheng Yi’s Annotations to The Book of Changes (Zhou Yi Cheng Shi Zhuan,《周易程氏传》 ). In the preface of the book, he says: The hidden is The Principle of Heaven and the manifested are all kinds of images. Because of the unity of substance and function, there is no gap between the manifested and the hidden.6

This paragraph is obviously about the relationship between the Dao and concrete things. In Cheng Yi’s philosophy, the most accurate expression of the relationship between the Dao and concrete things is “Because of the unity of substance and function, there is no gap between the manifested and the hidden.” (Ti Yong Yi Yuan, Xian Wei Wu Jian, 体用一元, 显微无间) In his expression “The hidden is The Principle 6

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 582.

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of Heaven,” the term “the hidden” indicates that it is something which is difficult for people to know. In contrast, the word “the manifested” shows that all kinds of images are easy to observe. The difference between form and image is ignored here. The Principle of Heaven is substance (Ti, 体) while all kinds of images are function (Yong, 用). The only correct understanding of “the unity of substance and function” is not that substance is the same as its function, but that substance and its functions have a common source and root. Both distinction and identity are confirmed in that conclusion. By saying “there is no gap between the manifested and the hidden,” Cheng Yi wants to tell his readers that although the hidden—The Principle of Heaven— is metaphysical and the manifested—all kinds of images—are physical, they are neither independent nor irrelevant. There is always a unity of the invisible Principle of Heaven and visible images. If a person thinks that Cheng Yi, who emphasizes the distinction between substance and function, does not realize that there is the same foundation between the two, he clearly misunderstands Cheng Yi. It is obvious that before drawing this conclusion, Cheng Yi has thought about it in detail. In comparison, Cheng Hao’s expression “Concrete things are the Dao and the Dao are concrete things” is vague because it only tells readers the unity of the Dao and concrete things but does not explain clearly the reason why they are united. Unfortunately, many people fail to catch the significance of Cheng Yi’s conclusion and thus fail to continue to think with the help of Cheng Yi’s inspiration, and regard Cheng Yi’s conclusion as a similar expression as Cheng Hao’s, thinking that they both mean that substance and function are inseparable. In this way, the possibility of in-depth thinking on this topic is annihilated. After Zhu Xi published his Annotations to Explanation of the Diagram of the Supreme Ultimate (Tai Ji Tu Shuo Jie,《太极 图说解》 ), it was questioned and challenged by many scholars. His skeptics believes that Zhu Xi’s analytical explanations and thinking went against the basic principle of “the unity of substance and function.” However, it is wrong to understand this basic principle as simply placing an emphasis on their unity. Facing these challenges, Zhu Xi responded with an in-depth understanding of Cheng Yi’s principle. In Zhu Xi’s view, if a person thinks that what Cheng Yi means is that substance and its functions are the same, he must accept either that the world is purely physical without any principles, or that the world is purely metaphysical with only abstract principles, which are both absurd. The more emphasis that is placed on unity and oneness, the more fragmentation is created.

3 The Absolute Creation as the Principle of Heaven The absolute creation as The Principle of Heaven (Sheng Sheng Zhi Li, 生生之理) is a concept commonly accepted by the Northern Song Neo-Confucians, including Cheng Hao, Zhang Zai and others. Cheng Yi’s explanation of the concept, however, is more precise than the others. The concept of the absolute creation as The Principle of Heaven originates from the expression “The essence of changes is the absolute creation” (Sheng Sheng Zhi Wei Yi, 生生之谓易) in The Appended Remarks of The

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Book of Changes. In fact, there has always been an emphasis on the meaning of creation (Sheng Yi, 生意) in Chinese. For example, the biographies of famous ancient merchants were recorded in the Huo Zhi Lie Zhuan (The Biographies of Merchants,《 货殖列传》 ) in the Records of the Grand Historian. The Chinese word Zhi (殖) here means creation while Huo (货) means goods. That is why we call doing business Zuo Sheng Yi (做生意) in Chinese. Another example involves labor, which is called Gan Huo Er (干活儿, which means to create) in Chinese. The most basic worldview of Chinese civilization is exposed here. We believe that there is only one certain thing in this world, which is the eternal absolute creation. Is there a unity of the myriad things between Heaven and Earth? Of course. The Cheng brothers believed that the unity of the myriad things is reflected in the fact that everything is born “following the absolute creation as The Principle of Heaven” (Ji Ci Sheng Li, 继此生理).7 All things which follow the absolute creation as The Principle of Heaven are good. All things are united because they are born following The Principle of Heaven. The Cheng brothers and their disciples often claimed that the meaning of creation is related to benevolence. For example, Cheng Hao thought that the seed of the grain is a good metaphor for benevolence. When Xie Liangzuo (谢良佐, 1050–1103), a disciple of the Cheng brothers, talked about the word Ren (benevolence, 仁), he associated it with the term Guo Ren (果仁, which means the kernel of a fruit), He Tao Ren (核桃仁, which means walnut), Hua Sheng Ren (花生 仁, which means peanut) in daily language. The word Ren (仁) has the connotation of the core of a seed, where latent vitality and the pattern of its creation are located. When talking about the absolute creation as The Principle of Heaven, Cheng Yi criticizes Zhang Zai’s theory of Qi as substance. Cheng believes that in Zhang’s theory, Qi is cyclical and the quantity of Qi in the universe is certain. In other words, in Zhang’s theory, it is presupposed that there is a fixed amount of indelible material. To this extent, Qi in Zhang’s philosophy, which is somehow limited, is different from the concept of matter in Western philosophy. The most important reason why the Cheng brothers could not accept Zhang’s philosophical system is that they could not accept the concept of eternal material. In Zhang’s philosophy, The Great Vacuity cannot be broken down into any more foundational elements. The Great Vacuity exists, which Zhang repeatedly emphasizes, although it is something “dark” (You, 幽) and thus, invisible. The Great Vacuity exists, and it cannot dissipate into nonbeing, so it is eternal because it can only change from one form into another but cannot completely disappear in the true sense. Therefore, in Zhang’s philosophy, material or matter is eternal. But if material were eternal, absolute creation would be limited. So, Cheng Yi says: If we say that the Qi which has already returned needs to become once more the expanding Qi, such a theory would be entirely at odds with the transformation of Heaven and Earth. In the transformation of Heaven and Earth, Qi naturally produces and reproduces without end. What is the need for any physical form that has perished or Qi that has returned to constitute creation?8 7 8

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 29. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 148.

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In the eternal repetitive cycle of the Great Vacuity and Qi, the creation of all things requires death, which means that new things are created through the transformation of the old. The Cheng brothers believed that this violates the absolute creation as The Principle of Heaven and thus is unacceptable. The Dao produces all things naturally. What has grown in the spring and what has matured in the summer are all produced of the Dao. In the next year, we should not say that the Qi already used for production is now producing again. The absolute creation is natural and endless. This is the Dao.9

The creation of Qi is absolute. The ten thousand things in the world are not merely different forms of the same indestructible and eternal material. On the contrary, new things are created day by day and the creations are absolute. Since there is no eternal material, does Qi come from non-being? And if so, is this not a different version of the Daoist worldview that “being comes from non-being?” Here, we can look back to Guo Xiang. The metaphysics of Neo-Daoism in the Wei and Jin Dynasties had a great influence on Neo-Confucianism. Zi Sheng (自生),10 which means that things are not created by others and Du Hua Yu Xuan Ming Zhi Jing (独化于玄冥之境),11 which means that things are mysteriously independent, are two important concepts in Guo Xiang’s philosophy. By claiming that things are not created by others, Guo means that there is no God and we cannot know the reason why things are created. Similarly, by claiming that things are mysteriously independent, Guo means that the creation of things is mysterious and cannot be known. To some extent, Guo’s attitude towards creation and Cheng Yi’s are alike. By saying that the creation of Heaven and Earth is absolute, Cheng Yi thinks that all things are created without any help from any existing element. Since The Principle of Heaven is eternal, the world based on it is in the process of continuous creation, and there is no stage of nothingness. Of course, what Cheng Yi tries to prove is not that “being comes from non-being.” He did not mean that there is a stage of absolute emptiness after which Qi and all things are then produced. What he believed is that both the creation of Qi and the elimination of all things are absolute. Zhang Zai thought that after their death, all things will break down and the Qi that constitutes them will return to the Great Vacuity, which cannot break down or be eliminated. In Zhang’s theory, the Great Vacuity, which is the basic material, is eternal. However, Cheng Yi did not agree. He thought that the Qi that constitutes the myriad things is created and destroyed absolutely. The absolute creation as The Principle of Heaven is unconditional, absolute, and eternal. The principles are eternal while Qi is created and then destroyed. Cheng Yi says: When a thing disintegrates, its Qi is forthwith exhausted. There is no such thing as Qi returning to its source. The universe is like a vast furnace. Even living things will be burned until they are no more. How can Qi that is already disintegrated still exist? Furthermore,

9

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 149. Guo Qingfan, Zhuangzi Jishi, 1961, p. 46. 11 Guo Qingfan, Zhuangzi Jishi, 1961, p. 111. 10

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what is the need for this disintegrated Qi in the creative process of the universe? It goes without saying that the Qi used in creation is vital and fresh.12

When things dissipate, their Qi is gone, and will never return. The world is like a melting pot, and all things will eventually be destroyed. By saying “The Qi used in creation is vital and fresh,” Cheng Yi means that the creation of Qi is unconditional.

4 Everything Has Its Opposite The Cheng brothers repeatedly emphasized the maxim that “Nothing exists in isolation, everything necessarily has its opposite” (Wu Du Bi You Dui, 无独必有对)13 and “All of the myriad things have their opposites”(Wan Wu Mo Bu You Dui, 万物 莫不有对).14 Cheng Hao says: According to the Principle of Heaven and Earth and all things, nothing exists in isolation, and everything necessarily has its opposite. All of this is natural and not arranged. Every time I think of this, I become excited and dance, even at midnight.15

Nothing in the world exists alone; everything has its counterpart. Zhu Xi believed that on this point, Cheng Hao’s thought was influenced by Zhou Dunyi. The word “arranged” (An Pai, 安排) refers to artificial manipulation. Cheng Hao believed that the fact that “nothing exists in isolation, and everything necessarily has its opposite” is not the result of man-made arrangement, but a natural and real picture of the world. Cheng Hao would often think about this truth until late at night, and could not contain his excitement. Many issues are related to the idea that “everything has its opposite.” First, a balanced, symmetrical, and exquisite view of the universe, which is the origin of Zhu Xi’s view, can be derived from this claim. Second, it emphasizes the universality of opposition. Third, it emphasizes the ubiquity of the sensation between opposing parties, including the sensation between Heaven and human beings. The Cheng brothers obviously supported the idea that the sensation between Heaven and human beings exists, but their thought was different from that of the Han Dynasty Confucians. In the Han scholars’ view, the intermediaries of the sensation between Heaven and human beings are numbers (Shu, 数). The fundamental task of Han ideology was the construction of the idea of the Great Unity (Da Yi Tong, 大一 统). The Han scholars’ main goal was to form an all-encompassing theory, the Great Unity, to offer a clear explanation of all things in the world. This theory was designed to function as an imperial state ideology. To perform this role, it served as a platform which combined all sorts of theories and pieces of knowledge. The medium through which this occurred was the insertion of numbers into their ideology. The scholars 12

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 163. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 121. 14 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 123. 15 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 121. 13

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spoke of the importance of the number five. For example, the Five Agents were linked to the Five Virtues (Wu Chang, 五常, which include benevolence, righteousness, rituals, wisdom, and faithfulness). “The Four Agents” of the Five Agents—Water, Fire, Wood, and Metal—were linked to the Four Seasons. Neo-Confucians in the Northern Song Dynasty, like the Cheng brothers and Zhang Zai, were not opposed to the conclusion that sensation between Heaven and human beings exists. But they did not think of it as being based in a numerological theory. In their view, the principle of sensation exists naturally, and the reality and universality of sensation are certain and indubitable. Neo-Confucians in the Northern Song Dynasty advocated for rationalism, but the new ideas which were based on this rationalism were still coherent with two ancient beliefs. The first was the effectiveness of divination. The basis of Neo-Confucianism in the Northern Song Dynasty was The Book of Changes, so it had to answer the issue of the validity of divination. The Cheng brothers were been in contact with Shao Yong for a long time, and they were frequently exposed to divination. So, they used their theories to explain their experiences. The second ancient belief was the sensation between Heaven and human beings. The theory of this sensation, which emphasized the influence of the emperors’ behavior on Heaven and Earth and vice versa, worked as a means of restricting the monarch because it supported the theory that if the monarch did not govern well, there would be disasters such as earthquakes, floods, and droughts. In ancient China, there were two sets of beliefs that could be used to restrict the powers of the monarch: the theory of sensation between Heaven and human beings and the system of ancestral worship (Zu Zong Zhi Fa, 祖宗之法). In Song Neo-Confucianism, divination, sensation, and disasters were regarded as manifestations of the natural Principles of Heaven and Earth, rather than mere superstitions.

5 Collectivity and Benevolence In Cheng Hao’s thought, experiencing sympathy with the external world is a key aspect of benevolence. This can be considered as one of his great contributions. After the time of Confucius and Mencius, Cheng Hao restated the point that benevolence involves sympathy with the world, and then claimed that benevolence is the state when a person feels that he exists within a unity with Heaven, Earth, and the myriad things. On this point, Cheng Yi was very different from Cheng Hao. Unlike Cheng Hao, Cheng Yi claimed that the key aspect of benevolence is collectivity (Gong, 公). Cheng Yi says: Where there is collectivity, there is unity, and where there is partiality, there is multiplicity. The highest truth is always resolved into a unity, and an essential principle is that there is never duality. If people’s minds are as different as their faces, it is solely due to partiality.16

16

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 144.

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People’s minds are like their appearances, which varies greatly. These differences are personal, indicating their partiality. “Collectivity” refers to the state when a person can transcend their selfishness and reaches a mindset of universality. Regarding the relationship between “collectivity” and “benevolence,” Cheng Yi says: Essentially speaking, the Dao of benevolence may be expressed in one word: collectivity. Collectivity is the principle of benevolence, but it should not be equated with benevolence. When a person makes collectivity the substance of his person, that is benevolence. Because of his collectivity, there will be no distinction between himself and others. Therefore, a benevolent man is a man of both altruism and love. Altruism is the application of benevolence, while love is its function.17

The term “collectivity” implicitly includes the Dao of benevolence. Of course, we cannot directly say that “collectivity” is itself “benevolence.” Cheng Yi thinks that collectivity is the key for a person to be benevolent, and thus is the Dao of benevolence. The principle of “collectivity” is embodied as “benevolence” when implemented in people. If a person can achieve the word collectivity, “there will be no distinction between himself and others.” He can both see the characteristics of the things of the external world and understand himself profoundly. On this basis, he can continue to be a man of both altruism and love, which both originate in collectivity. Cheng Yi’s thought that the key aspect of benevolence is collectivity is an important supplement and development of Cheng Hao’s thought. Cheng Hao believed that benevolence is about sympathy with the outside world, and then claimed that to be benevolent is to be in a state when a person feels that he is in unity with all things. Cheng Yi’s thought was a further venture along this intellectual path.

6 On Human Nature There are two important concepts—Xing (性, human nature) and Cai (才, material or talent)—which are a part of Cheng Yi’s theory of human nature. In Cheng Yi’s discussion, he also makes reference to “the nature of Heaven and Earth” and “the nature of Qi and temperament” as part of its basic structure. Later, Zhu Xi says that Zhang Zai and Cheng Yi were the first two to talk about “the nature of Qi and temperament,” but Zhu Xi could not be sure who, between the two, was the first one to use the concept and influence the other. I think that the Cheng brothers influenced Zhang Zai. When talking about “the nature of Heaven and Earth” and “the nature of Qi and temperament,” Zhang Zai says, “A person will possess his nature of Qi and temperament after he is formed” and “The nobleman will not regard his nature of Qi and temperament as his nature.”18 People’s understanding of human nature is formed from different perspectives. Some people take “the nature of Heaven and Earth” as their nature, while others think that “the nature of Qi and temperament” 17 18

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 153. Zhang Zai, Zhang Zai Ji, 1978, p. 23.

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is their nature. In the theories of human nature from Pre-Qin Confucianism, the relationship between human nature and practice is the topic which receives the most discussion. However, without the concept of Qi, we cannot obtain a comprehensive and complete understanding of human nature. There are great differences between people. Some are born with good nature while others are born with evil. Without the concept of Qi, some phenomena are unexplainable only with the concepts of nature and practice. So, Cheng Yi says: It would be incomplete to talk about the nature of man and things without including Qi and unintelligible to talk about Qi without including nature.19

Only by talking about both nature and Qi can we obtain a comprehensive understanding of human nature. Song Dynasty Neo-Confucianism inherits Mencius’ theory that human nature is good and both supplements and develops this theory. The key to this development lies in the proposal of “the nature of Qi and temperament”. Cheng Yi puts forward the proposition that “The Principle of Heaven is human nature” (Xing Ji Li, 性即理). Nature is the same as The Principle of Heaven. This is what we call the nature of principle (Li Xing, 理性).20 Man’s nature is the same as The Principle of Heaven, and The Principle of Heaven is the same from the sage-kings like Yao and Shun to the common man in the street. A person’s talent and capacity are decided by his Qi. Qi may be clear or turbid. Men endowed with clear Qi are wise while those endowed with turbid Qi are dull.21

In Cheng Yi’s view, “the nature of Heaven and Earth” or “the nature from Heaven” (Tian Ming Zhi Xing, 天命之性) is the nature of principle. The principle is the reason for all things. In everyday life, The Principle of Heaven is the basis behind all human behavior and provides with the answers of fundamental questions about our actions and lives. We arrange our lives according to our nature. As the essence of our being, human nature, which is the reason for all human behavior, is The Principle of Heaven. Therefore, Cheng Yi says, “Nature is the same as The Principle of Heaven. This is what we call the nature of principle.” The Principle of Heaven is the same for all people. Whether one is a great sage like Yao and Shun or just an ordinary person, everyone has the same Principle of Heaven. Everyone has the universal human nature—The Principle of Heaven—but a different allotment of Qi and temperament. Qi may be clear or turbid. In Zhang Zai’s philosophy, clear Qi can easily sense other Qi, and easily reflect upon stimuli. In my lecture on Zhang Zai, I emphasized that the terms “nature” and “destiny” in his philosophy are not only nouns but also can be regarded as verbs—“to make it my nature” and “to give it its destiny,” respectively. However, in Cheng Yi’s philosophy, the concept of nature seems be a mere noun. Of course, this does not mean that Cheng Yi simply regarded human nature as an objective material attribute. If we think deeply, we will still find 19

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 81. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 292. 21 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 204. 20

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that he believed that human nature is not only an objective state but also refers to the process in which human nature is given to an individual and eventually actualized. There is a clear difference between the two concepts of “the nature of Qi and temperament” and “talent.” Cheng Yi has a very interesting saying on this topic: Cai (才, talent) is just like material. Curved wood can be used to make wheels while straight wood can be used as pillars. If it is damaged by the worker, it is not the material that is to be blamed.22

“Talent” is like wood, which is, of course, something made of Qi and thus is material. Curved wood can be used to make wheels while straight wood can be used as pillars. “Talent” is a certain possibility of the usage of “Qi and temperament.” We cannot say that “talent” is good or evil because good and evil can only be used to describe human actions. For example, curved wood can be used to make a wheel, but if it is damaged by the worker, we cannot say that the wood is evil. In this sense, “talent” is a possibility brought by “Qi and temperament,” which indicates intent but is value-neutral. For example, curved wood is not necessarily bad, but using curved wood as pillars would be the wrong thing for a human to do. In conclusion, we can say that Qi and temperament are good or evil, but we cannot say that talent, although it originates from Qi, is good or evil. When talking about Qi and temperament, Cheng Yi sometimes distinguishes the clear from the turbid, and discusses the possibility of its usage. When focuses on the latter aspect, he mainly talks about “talent” and when focuses on the former, he mainly talks about “Qi.” When understanding Cheng Yi’s philosophy, we should pay attention to this complexity. This complexity stems from the need for theoretical construction and classical interpretation—Cheng Yi, and nearly all Chinese philosophers, was aware of the need to build connections between his own thinking and the theories of Confucius and Mencius. An important feature of Chinese philosophy is the tendency to develop and create new ideas through interpretations of the classics. Feng Youlan divided the development of Chinese philosophy into two stages in his History of Chinese Philosophy 《中国哲学史》 ( ): the era of the masters (Zi Xue Shi Dai, 子学时代) and the era of the study of classics (Jing Xue Shi Dai, 经学时代). In the era of the masters, i.e., in the Pre-Qin era, philosophers create their own systems of thought, but in the era of the study of classics, i.e., after the Han Dynasty, philosophers made innovations through the interpretation of the earlier classics. After the Han Dynasty, all original philosophical systems are established on the foundation of the great classics of previous generations.

7 On Respect In my previous lecture on Cheng Hao, I said that Cheng Hao made a great contribution to the construction of the basic discourse of Neo-Confucianism. The development of later Neo-Confucianism can be regarded as the development of Cheng 22

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 207.

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Hao’s discourse. For example, Cheng Hao’s emphasis on respect (Jing, 敬) within the process of self-cultivation is indeed a milestone in the basic discourse of NeoConfucianism in the Northern Song Dynasty. The word “respect” is not commonly used in The Analects or The Mencius, but the idea of “respect” is implicit in many of their passages. For example, in The Analects (12.2), when Zhong Gong asked about benevolence, Confucius says, “When you go out the door, behave as though you were going to meet an important guest. When you employ the common people, do so as though you were conducting an important sacrifice.” What Confucius says here is referring to respect. The concept of “being cautious when you are alone” (Shen Du, 慎独) is emphasized in both The Doctrine of the Mean and The Great Learning (Da Xue,《大学》 ). By indicating that one should “be cautious when he is alone,” what the authors of the two articles mean is that one should be respectful. In the first chapter of The Doctrine of the Mean, it is said, “Therefore, the nobleman is cautious over what he does not see and apprehensive over what he does not hear.” This also means to be respectful. However, from the Han Dynasty through the Tang Dynasty, no thinker emphasized the word “respect.” It was not until Cheng Hao that the word “respect” again became an important term. Cheng Hao says, “Respect overcomes all evil” (Jing Sheng Bai Xie, 敬胜百邪).23 In his view, if a person has respect, evil things and illusions cannot harm him. Here arises the question: what is “respect”? Why is it so fundamental to the process of self-cultivation? Cheng Yi says: Respect is the way of defending against evil. Defending evil and keeping one’s sincerity seem like two different things, but in fact, they are the same. By defending against evil, one’s sincerity is naturally kept.24

Cheng Yi’s expression “respect is the way of defending evil” is similar to Cheng Hao’s saying “we do not replace the turbid water with clear.”25 Once bad things are overcome, good things will naturally manifest. The reason why Confucians claim that human nature is good is that this principle is “the simplest and purest” (Yi Jian, 易简). If human nature were evil, or if human beings simply had no nature, the norms within human relations would only be the result of a “random arrangement of human beings” (Ren Xuan An Pai, 人旋安排). It should not be human beings who arrange, create, and invent our way of life. Our way of life should be rooted in our nature. The good life is arranged in accordance with the essential tendency of human beings. The so-called “evil” is “unrighteous,” and “unrighteousness” is “not just,” i.e., it is “too much” or “lacking.” The principle in Cheng Yi’s saying “By defending evil, one’s sincerity is naturally kept” is the simplest and purest. After getting rid of evil things, good things will come out naturally. The “too much” and “lacking” in social life are usually regulated by “rituals,” which must be consistent with the natural order. In the chapter On Music from The Book of Rites, it is said, “The rhythm of the great rituals is the same as the rhythm of Heaven and Earth” (Da Li Yu Tian Di Tong Jie, 23

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 119. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 185. 25 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 11. 24

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大礼与天地同节). Although the norms in rituals are inevitably artificial, they are fundamentally rooted in the way of Heaven and human nature. For Cheng Yi, being busy or at ease is one of the divisions between Confucianism and Buddhism. There is a dialogue between Cheng Yi and Fu Bi: Fu Bi says to Cheng Yi “Sir, you are the most leisurely person in the world.” “I am not the most leisurely person in the world,” Cheng Yi replied, “But, Fu, who do you think is the busiest person in the world?” Fu said, “Could you please give me your answer?” Cheng answered, “Buddhist monks.” “Buddhist monks follow the Dao whenever they are walking, standing, sitting, and sleeping,” Fu replied, “why do you say that they are the busiest?” Cheng said, “As you have said, they are truly the busiest. Even merchants working in the market will stop to rest at night. But, do Buddhist monks stop their minds for even a second?”26

Fu Bi says to Cheng Yi that since he is so calm and happy, he must be the most leisurely person in the world. Cheng replies that he cannot be. Then he asks Fu who he thinks is the busiest person in the world. Fu does not reply but asks for Cheng’s answer. Cheng says that Buddhist monks are the busiest people in the world. Fu is very surprised and asks why the Buddhist monks, who are always thinking about the Dao, are the busiest. Cheng says that even merchants in the market who are busy with their livelihoods fall asleep at night. Thus, no matter how busy they are, there is still a time for them to rest. But when will a Buddhist monk let his mind rest? Cheng believes that the only thing that Buddhist monks are busy with is deliberately creating trouble (Qiang Sheng Shi, 强生事). Cheng thinks that Buddhist monks make trouble because they do things against human nature. The emotions and feelings of Buddhist monks are unavoidably suppressed every day, and they fight against our most fundamental tendencies. Since they struggle with the essence of human beings by trying to overcome unavoidable worries and legitimate desires, they are doomed to be the busiest people. Cheng thinks that if a person follows The Principle of Heaven, he will become the most leisurely person in the world because he follows the simplest and purest principle. Then, how do we understand “respect”? Cheng Yi says: To focus on one place (Zhu Yi, 主一) is called respect. To stay and not to leave for anywhere (Wu Shi, 无适) is called to focus on one place.27

“To focus on one place” is to concentrate. Of course, it is obviously not enough to only emphasize concentration. Focusing on gambling and lust can also be considered concentration. So, Cheng Yi goes on to say that the “one place” should be the state when a person’s mind is active but has no certain direction. Cheng Hao says, “A person’s heart should be in his chest.”28 To put the heart in the chest is to focus on one place and not leave for anywhere, against which is the absence of mind. For people today, “respect” is the correct prescription to cure egocentrism and individualism. By having “respect,” people can go back to their proper positions. People who are more obsessed with themselves tend to be less happy. A person who cares too much 26

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 293. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 169. 28 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 96. 27

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about himself is concerned with gains and losses, worrying about them constantly, so he is always in torment. To the contrary, if a person deals with everything for the sake of the public, his anxiety will be limited. “Respect” is like a fire around which all snow melts. With the help of respect, one will have no worries at all. It must be noted that what Cheng Yi appreciates is respect (Jing, 敬) but not quietness (Jing, 静). One learner once asked Cheng Yi if to respect is the same as to be quiet. To be quiet is the methodology of Buddhism. Confucians only talk about respect.\”29

This statement is very different from Zhou Dunyi and Shao Yong, who pay attention to “quietness.” Cheng Yi consciously differentiated the self-cultivation methods of Confucianism and Buddhism. It is said in The Mencius, “Always be doing something, but without fixation, with a mind inclined neither to forget nor to help things grow” (2A·2). The fundamental Confucian method of self-cultivation is not to sit quietly, but to practice by acting. People should cultivate their hearts and minds by doing things seriously one at a time. In Cheng Yi’s view, to sit quietly is purely a Buddhist method.

8 The Investigation of Things and the Extension of Knowledge In the Northern Song Dynasty, the importance of The Great Learning was elevated. It provided Confucians with key methods for both learning and self-cultivation. However, the understanding of the term “the investigation of things” (Ge Wu, 格物) in The Great Learning has always been problematic. Cheng Yi says: To investigate (Ge, 格) means to know fully, and things (Wu, 物) refers to objects and the principles behind them. Thus, the investigation of things is the full understanding of principles.30

To investigate things is to understand the principles of things, to study the principles of things, and to understand those principles. When talking about the specific content of the investigation of things, he says: There are many ways to investigate the principles of things exhaustively. One way is to read books and learn moral principles. Another way is to discuss people and events of the past and present and to distinguish which are right and which are wrong. Still another way is to handle affairs and settle them in the proper way. All these are ways to investigate the principles of things exhaustively.31

There are many approaches to investigating the principles of things exhaustively. To read books and to understand principles, to discuss ancient and contemporary 29

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 189. Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 316. 31 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 188. 30

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figures and their behavior and distinguish right from wrong, and to judge whether things are handled properly are all methods of investigating the principles of things. It is worth noting that, in Cheng Yi’s view, the investigation of principles includes exploring the principles of objective things. In Cheng Yi’s philosophy, understanding the principles is very important. In self-cultivation, respect is important because by having respect, learners can moderate their character and clean their turbid Qi. However, it is more important to understand principles because that is the foundation of self-cultivation. Cheng Yi emphasizes the difference between “true knowledge” (Zhen Zhi, 真 知) and ordinary “knowledge.” “True knowledge” is a kind of deep knowledge with personal experience. With true knowledge, a person will act with determination. For example, we all know that fire is hot, and we naturally keep away from fire when we see it. This is the action that comes from true knowledge. However, most of people’s “knowledge” is not “true knowledge.” If a person has not experienced something himself, even if he “knows” it, he may not act according to what he “knows.” In The Great Learning, the author talks about the sincerity of will (Cheng Yi, 诚意) after the investigation of things, because he wants to solve the problem of knowledge and action that are not unified and aligned. Cheng Yi’s understanding of the “investigation of things” had a profound influence on Zhu Xi. The harsh criticism of Neo-Confucianism in China since the May Fourth Movement of 1919 has made many people hold a prejudice against Cheng Yi. One example is the issue of widow’s remarriage. A disciple asked Cheng Yi if he could marry a divorced woman, and Cheng Yi did not agree. The disciple continued, “She has no livelihood. If she cannot get married again, what should she do but starve to death?” Cheng Yi replied, “Starving to death is a very small thing, but the failure of keeping disciplined is very serious.” (E Si Shi Xiao, Shi Jie Shi Da, 饿死是小, 失节是大)32 Dai Zhen (戴震, 1724–1777), a Confucian of the Qing Dynasty, thought that what Cheng Yi did could be considered “Killing with The Principle of Heaven” (Yi Li Sha Ren, 以理杀人). On this issue, we can fairly say that Cheng Yi was too harsh. However, if we put aside this specific issue and think his views in general, Cheng’s saying, “The death of starvation is a very small thing, but the failure of keeping disciplined is very serious”—is an ethical principle that is generally accepted and emphasized in human society. He Lin (贺麟, 1902–1992) once said, “Living in the world, everyone has his own unchangeable principles without which his reputation will be ruined.”33 What is more, even when it came to the issue of widow remarriage, Cheng Yi does not always hold such a harsh attitude. There was a person who divorced his wife because she scolded a dog in front of her mother-in-law. Someone asked Cheng Yi if it was too harsh for the man to do so. Cheng Yi said that he believed there was more to the story. A man should not divorce his wife because of such a small matter. Perhaps his wife had made a more serious mistake, but the husband

32

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 301. He Lin 贺麟, Culture and Life (Wen Hua Yu Ren Sheng,《文化与人生》 ), Beijing: Commercial Press, 1988, pp. 192–193.

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exposed only the lesser offense to protect her and allow her the possibility of remarriage. As we can see from this dialogue, Cheng Yi was both strict and warm-hearted. When Confucius left the state of Lu (鲁), he used an excuse: “I do not receive the meat used for the sacrifice.” Later, some said that Confucius left the state because he did not eat the meat. In fact, in Mencius’ explanation, Confucius chose that excuse out of convenience. Confucius wanted later observers to believe that he was irrational, rather than the truth which was that the king of Lu was unjust. Confucius was not willing to expose the wrongs of his lord. In conclusion, it is not fair to ignore the context of Cheng Yi’s words and criticize him because of a single sentence cut from a complex dialogue. If we would like to criticize him, we should do it after understanding his words charitably.

Chapter 13

The Principle of Heaven and Qi, Motion and Stillness: The Philosophy of Zhu Xi

Zhu Xi (朱熹), who also went by his two style names Yuan Hui (元晦) and Zhong Hui (仲晦), was born in the fourth year of the Jianyan era (建炎四年, 1130A.D.) during the reign of Emperor Gao Zong (宋高宗) of the Southern Song Dynasty. He died in the sixth year of the Qingyuan era (庆元六年, 1200A.D.) during the reign of Emperor Ning Zong (宋宁宗). He gave himself a number of informal names and titles, and so he is also known as Mr. Ziyang (紫阳先生), Mr. Kaoting (考亭先生), “the sick old man of Cangzhou” (沧州病叟), “the old man of Yungu” (云谷老人), and so on. In his later years, he was also called “the old man in seclusion” (Dun Weng, 遁翁). His ancestral home was Wuyuan, Huizhou (徽州婺源), and he was born in Youxi, Fujian (福建尤溪). Because he lectured in Chong’an (崇安) and Jianyang ( 建阳) for a long time, Zhu Xi and his disciples were known as the Min School (Min Xue, 闽学, which means a school in Fujian). Zhu Xi holds a lofty position in the history of thought, and he is considered second only to Confucius and Mencius. I think that in many respects, Zhu Xi’s thinking was superior to that of Mencius. Zhu Xi was a distinguished scholar, possessing not only profound ideas, but also very broad knowledge, and he was capable of writing excellent poetry. Unlike Cheng Yi, who was very strict and serious, Zhu Xi was humorous and less rigid. Zhu Xi enjoyed drinking and drunken singing. Zhang Shi (张栻, 1133–1180) once wrote a letter to persuade Zhu Xi not to drink as much. His most famous poem is Feeling After Reading (Guan Shu,《观书》 ). “There lies a glassy oblong pool, where light and shade pursue their course. How could it be so clear and cool? For water fresh comes from its source.”1 His poem stands apart from those of the Tang Dynasty, which are highly stylized. Zhu Xi did not select the words in his poems in a way that felt artificial; to the contrary, his poems flow naturally. Zhu Xi’s philosophy is mainly based on the structure of Cheng Yi’s ideas, and it also integrates the theoretical explorations of other philosophers in the Northern Song Dynasty. He condensed the contributions of The Five Thinkers in the Northern Song Dynasty into his comprehensive philosophical system. Besides his philosophical 1

See Zhu Xi, Zhu Zi Quan Shu (Vol. 20), 2010, p. 286.

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exploration, Zhu Xi also systematically organized and interpreted the Confucian classics, reshaping the canon of Confucian classics into the Four Books (Si Shu,《 四书》 , which includes The Great Learning, The Analects, The Mencius, and The Doctrine of The Mean,) as its core, which set a new foundation for the development of Chinese culture after the Song Dynasty.

1 Substance and Function I have previously emphasized the complexity of the concepts of substance and function (Ti Yong, 体用) in different philosophical systems. When discussing this pair of concepts, we often ignore the specific references within their context, thus eliminating many of their possible explanations. In the history of philosophical expression, the concepts of substance and function, which were once highly revealing, lost their explanatory role due to their simplistic and rigid use in research, and instead became a kind of veil; if a problem could be explained by the use of the concepts of substance and function, it would be solved. This habit of using elusive language obscures the path to deeper thinking in vague generalities. Zhu Xi fully analyzed and discussed the concepts of substance and function. And, his understanding of the concepts was based on his comprehensive worldview. In Zhu Xi’s view, the world, which is the whole of all creation and change, possesses geometrical symmetry and balance. Zhu Xi says: In general, the principles of things in the world are settled and balanced (Ting Dang Jun Ping, 亭当均平), and there is no principle that lacks an opposite except the Dao. However, the Dao has its opposite, too. The Dao, which is metaphysical, is opposite to the physical. What is the opposite? The opposite of left is right, and the opposite of up is down. The same goes for before and after, and many and few. Some are in balance because they are of one kind, while others are in balance because they are divergent. Between Heaven and Earth, there is really nothing that is completely unmatched and thus, isolated.2

In this paragraph, the word “settled” (Ting Dang, 亭当) indicates that something is fixed. A principle should be fixed and in balance with its opposite. Zhu Xi thinks that there is no existence without opposite. If we must say that there is something that has no opposite, we can say that only the Dao has no opposite. But, as the only metaphysical existence, Dao is opposite to all physical things. The oppositions of left and right, and up and down, concern space, the opposite of before and after concerns time, and the opposition of many and few concerns quantity. Some things are opposite because they are alike, and other things are opposite because they are contradictory. Therefore, he says that after repeated deduction, there is nothing in the world that has no opposite and is thus isolated. This is a demonstration of Cheng Yi’s idea that “everything has its opposite,” and it is also a reflection of Zhu Xi’s worldview. Zhu Xi, A Reply to Hu Guangzhong (Da Hu Guang Zhong,《答胡广仲》 ), in Zhu Zi Quan Shu (Vol. 22), 2010, p. 1904.

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This geometrically symmetrical and balanced worldview becomes the standard for judging truth in Zhu Xi’s philosophy—a correct thing must possess both substance and function, Yin and Yang. In his criticism of Guangzhong (胡广仲), Zhu Xi says: If one thing is on the left and the other is on the right, you always wrongly focus on one side of the balanced pair. And if one thing is in front and the other is in back, you always wrongly ignore one side of the balanced pair. Since you select one part of the balanced pair as dominant and believe that it has no opposite, you must then put the other part at a lower place than the previous one. As a result, left and right are not balanced, and front and back are not continuous. The principles of the world will become deformed and redundant (Ji Ling Zhui Sheng, 畸零赘剩), steep and sharp (Ce Jun Jian Xie, 侧峻尖斜), and there will be no place to be even and straight.3

Zhu Xi thinks that what Hu Guangzhong talks about has either no substance or no function, leaving a gap between the two. Hu wrongly invents an unnecessary concept and claims that it has no opposite. If one goes to the left, he will deviate from the right, and vice versa, being unbalanced in space and unresponsive in time. In Zhu Xi’s view, any principles that have either no beginning or no end, either no substance or no function, either no left or no right, either no up or no down, must be wrong, because the world cannot be “deformed, redundant, steep, or sharp.” When Zhu Xi compiled The Diagram of the Supreme Ultimate, he reviewed the various versions circulating at the time. In some versions, the picture was drawn asymmetrically and unevenly. Zhu Xi said that this kind of picture was “steep and sharp.” The principles of the world must be in order and fair, which is the embodiment of “opposition.” Amongst all opposites, the opposition of substance and function is the most important and fundamental. Zhu Xi presents many discussions on the relationship between substance and function. In the sixth volume of Zhu Zi Yu Lei, there are six consecutive discussions concern about the relationship between substance and function, through which we can understand Zhu Xi’s thought. When talking about the relationship between substance and function, Zhu Xi uses water as a metaphor, saying, “the water flows, or stops, or becomes waves, and these are all the functions of water.” In his view, the dynamic changes of water are its functions. And “the water itself, which can flow, stop, and become waves, is the substance.” The various possibilities based on the physical properties of water are its substance. Taking the body as a metaphor, Zhu Xi says that the body is its substance, and the “eyes can see, ears can hear, and hands and feet can move,” which are its functions.4 Zhu Xi also says that what is now existing is the substance and what will be born later is the function. Here, he relates the category of substance and function to time. For any existence, the static structure is its substance, and the actions and uses it engages in are its functions. Zhu Xi also says, “If Heaven is substance, its function lies in the fact that ‘the myriad things begin their lives because of Heaven’ (Wan Wu Zi Shi, 万物资始). If the Earth is substance, its function lies in the fact that ‘the myriad things are created and continue their lives because of the Earth’ (Wan Wu Zi Sheng, 万物资生). For Yang, Yang itself is substance and 3 4

Ibid. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 101.

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Yin is its function. For Yin, Yin itself is substance and Yang is its function.”5 Here, Zhu Xi quotes two expressions from the explanations of the hexagram Qian (乾) and the hexagram Kun (坤) in The Book of Changes. In general, what is stable is substance while motion is function. But in Zhu Xi’s claim, Yin and Yang can exist as both substance and function. Zhu Xi also says, “The substance is principle, and its function is its usage.”6 For example, Cheng Yi’s claim that “everything which has its opposite” is a substance and all dependent relationships are functions. Zhu Xi also says, “The rituals are substance,” which confuses his disciples. One of Zhu Xi’s disciples asked: “Master, you used to say, ‘The rituals are substance.’ But now you say, ‘The rituals are the expressions of The Principle of Heaven and thus are the rules of human society.’ It seems that rituals are function. Is there any contradiction between the two expressions?” Zhu Xi replied, “In your hometown of Jiangxi, there is a rustic attitude that all things that contain different parts within it should be considered functions rather than substances.”7

The term “a rustic attitude” (Xiang Tan, 乡谈) refers to the mistaken attitude of a man who lacks knowledge. In this paragraph, Zhu Xi implies that the understanding of the Lu brothers (including Lu Jiuyuan and his brothers who came from Jiangxi) is wrong. Zhu Xi disagrees with the view that once substance is divided into several parts, it is not the substance anymore but becomes function. He believes that substance is not indivisible. Since it is “the expression of The Principle of Heaven” (Tian Li Zhi Jie Wen, 天理之节文), it must have distinctions and different parts. If we say that what is not divided into parts is a substance, and those which are divided are functions, it will lead to the conclusion that if a measuring ruler has markings dividing it into units, it is no longer substance, which is obviously absurd. If a substance has no content, then there will be a gap between the substance and its function. This kind of understanding is obviously “deformed and redundant, steep and sharp.” Substance needs not be like a measuring ruler without markings. In the value system of Confucianism, benevolence, righteousness, rituals, and wisdom are obviously different, and they have different manifestations. However, we cannot consider them as functions simply because of their distinctions. In Zhu Xi’s view, benevolence, righteousness, rituals, and wisdom are obviously substances, which are The Principle of Heaven and thus are metaphysical. But since they are different and can be divided into parts, their manifestations must exist at the level of Qi. If one thinks that the Supreme Ultimate is an undivided and contentless substance, and that all others which are divided into parts are function, Zhu Xi will criticize him because in his wrong understanding of substance, it is empty. In general, there are at least three aspects to Zhu Xi’s conception of substance and function. The first is beginning and ending (Shi Zhong, 始终). The meaning of the sentence “The myriad things start and begin their lives because of Heaven” in The Book of Changes is similar to the phrase “The beginning of sincerity” (Cheng Zhi Tong, 诚之通) of Zhou Dunyi, and they both indicate the creation of all things (Wu 5

Ibid. Ibid. 7 Li Jingde ed, Zhu Zi Yu Lei, 1986, pp. 101–102. 6

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Zhi Sheng, 物之生). The meaning of the sentence “The Dao of Heaven is to change and to transform so that everything will obtain its correct nature and destiny” in The Book of Changes is similar to the phrase “The restoration of sincerity” (Cheng Zhi Fu, 诚之复) of Zhou Dunyi, and they both indicate the ending or the accomplishment of all things (Wu Zhi Cheng, 物之成).8 “Creation” (Sheng, 生) means beginning and “accomplishment” (Cheng, 成) means ending. From the perspective of the ending, or the accomplishment of a thing, its beginning is its substance and its ending is its function. But, from the perspective of the beginning or creation of a thing, its ending is its substance and its beginning is its function. Because the beginning of one thing must originate from the end of another thing, only if there is an “ending and accomplishment” can there be a “beginning and creation.” The second aspect is motion and stillness (Dong Jing, 动静). Most of the time, when Zhu Xi talks about substance, he refers to something still, but when he talks about function, he emphasizes something in motion. Of course, there are a few exceptions. As I mentioned earlier, Yin and Yang can both be substances and functions. The same is true of motion and stillness. The third aspect is possibility and reality. In Zhu Xi’s view, possibility is substance, and the realization of this possibility is function. Such usage is related to the previous two. If the possibility is the beginning, then the realization of the possibility is the ending. When possibility remains only unrealized, it belongs to stillness. In this way, the realization of possibility belongs to motion.

2 The Supreme Ultimate When I talked about the philosophy of The Five Thinkers in the Northern Song Dynasty, I pointed out that the philosophers of the Northern Song Dynasty put forward three concepts of substance, namely Sincerity as the Supreme Ultimate, (Tai Ji Cheng Ti, 太极诚体) in Zhou Dunyi’s philosophy, The Wonder as the Supreme Ultimate, (Tai Ji Shen Ti, 太极神体) in Zhang Zai’s philosophy, and the Principle of Heaven as the Supreme Ultimate, (Tai Ji Li Ti, 太极理体) in the philosophy of the Cheng brothers. Northern Song Neo-Confucianism reached a comprehensive synthesis in the works of Zhu Xi. The core concern of Song Neo-Confucianism was laying the philosophical foundation for the correct way of life. In my opinion, every philosophy is linked to way of living, and tries to provide a philosophical basis for that sort of life. The philosophical exploration of The Five Thinkers of the Northern Song Dynasty was structured into a comprehensive system by Zhu Xi, and the highest concept of that philosophical system is the Supreme Ultimate i.e., the Principle of Heaven. The first sentence of Zhu Xi’s Annotations to the Diagram of the Supreme Ultimate (Tai Ji Tu Jie,《太极图解》 ) says “This indicates that the Supreme Ultimate, which has

Zhu Xi, Annotations to Penetrating The Book of Changes (Tong Shu Zhu,《通书注》 ), in Zhu Zi Quan Shu (Vol. 13), 2010, pp. 97–98.

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no shape, is The Principle of Heaven (Wu Ji Er Tai Ji, 无极而太极).”9 The Supreme Ultimate is the substance of Yin and Yang, motion and stillness, which is to say the reason for their existence. This is the same as the expression “The Heaven above has no sound or smell at all” (Shang Tian Zhi Zai, Wu Sheng Wu Xiu, 上天之载, 无声无臭)10 in The Book of Odes, both indicating “The Principle of Heaven is not visible but it exists” (Wu Xing Er You Li, 无形而有理).11 The Supreme Ultimate is The Principle of Heaven and therefore purely metaphysical. But what does it mean to be purely metaphysical? The Cheng brothers do not give a clear explanation of The Principle of Heaven. Contemporary research on the history of philosophy has provided us with incomplete explanations for Zhu Xi’s understanding of The Principle of Heaven, such as the explanation that it is the law of the universe (Gui Lv, 规律) or the common pattern of similar things (Gong Xiang, 共相). The Supreme Ultimate, or The Principle of Heaven, is, of course, the reason why all things are. But that is not enough. It is impossible to carry out more in-depth questioning and thinking if one is satisfied with that answer. Any ambiguity is a departure from Zhu Xi’s philosophical spirit. Therefore, it is necessary for us to give a specific and clear, or at least falsifiable, explanation of The Principle of Heaven. To solve this problem, we must start with Zhu Xi’s understanding of the “investigation of things.” In Zhu Xi’s view, to investigate things is to know The Principle of Heaven. Thus, we can understand what Zhu Xi thinks The Principle of Heaven is by examining the direction of his investigation of things. We must first understand the principles that Zhu Xi desires to know, and then discuss the meaning of The Principle of Heaven. In Zhu Xi’s Annotations to the Great Learning (Da Xue Zhang Ju,《大学 章句》 ), his focus is on the extension of knowledge rather than the content or method of investigation of things. In comparison, detailed discussion about the content of it can be found in his Questions and Answers About the Great Learning (Da Xue Huo Wen,《大学或问》 ). The following are some of the methods of the investigation of things. A student can study through reflecting on actions or thoughts, reading books, or discussing with friends. The content of the investigation of things includes the virtue of body and mind, the rules of daily life, the transformations of Heaven and Earth, ghosts and spirits, and the nature of birds, animals, plants, and trees.12

The content of the “investigation of things” mentioned here covers nearly everything from human relations to natural law. Zhu Xi himself investigated things in this way. A piece of evidence for this method is recorded in the Zhu Zi Yu Lei. “An old man once told Zhu Xi that a Daoist said that through the observation of the growth of bamboo shoots we can prove the existence of the appearance of Qi at midnight Zhu Xi, Annotations to the Diagram of the Supreme Ultimate (Tai Ji Tu Jie,《太极图解》 ), in Zhu Zi Quan Shu (vol.13), 2010, p. 70. 10 Zhu Xi, Annotations to Explanation of the Diagram of the Supreme Ultimate (Tai Ji Tu Shuo Jie, 《太极图说解》 ), in Zhu Zi Quan Shu (vol. 13), 2010, p. 72. 11 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2365. 12 Zhu Xi, Questions and Answers About The Great Learning (Da Xue Huo Wen,《大学或问》 ), in Zhu Zi Quan Shu (vol. 6), 2010, pp. 527–528. 9

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(Ye Qi, 夜气). The old man also said that he conducted an experiment to prove it, and found that the bamboo shoots grow slowly during daytime but quickly at night. He then asked Zhu Xi if it was correct to say that Mencius did not know the precise time of the appearance of Qi at midnight. ‘Yes,’ Zhu Xi said, ‘But the Daoist’s saying is evidence for Mencius’ words.’ Later, Zhu Xi conducted his own experiment in a monk’s residence at Yushan (Yu Shan Seng She, 玉山僧舍). Zhu Xi found that the bamboo shoots grew quickly during both daytime and night. It turned out that the Daoist’s saying was proved by Zhu Xi to be wrong.”13 Zhu Xi conducted his own serious thinking and research on all topics, and this method is part and parcel with his philosophy. What is the goal of such a broad investigation of things? Zhu Xi wanted people to discover The Principle of Heaven in all things through investigation. To be more specific, Zhu Xi wanted people to know: The Principle of Heaven is the law that should not be disobeyed (Suo Dang Ran Er Bu Rong Yi, 所当然而不容已) and the law that cannot be replaced (Suo Yi Ran Er Bu Ke Yi, 所以然 而不可易).14

This is Zhu Xi’s most complete expression of the concept of The Principle of Heaven. There are two explanations for the expression “should not be disobeyed.” The first is a natural law that every existing thing must obey. The second is a moral law that human beings should obey. By using the expression “cannot be replaced,” Zhu Xi wants to say that the law is an inherent and eternal foundation. In the current version of Questions and Answers About the Great Learning, both parts of the sentence exist. But judging from the letters between Chen Chun (陈淳, 1159–1223) and Zhu Xi, it can be seen that the full expression is an earlier version of Zhu Xi’s thought, and in a later version, Zhu Xi deletes the second part of the sentence — “the law that cannot be replaced” because he thinks that the first part is enough for learners to understand the connotation of The Principle of Heaven, and that the meaning of the second part is included in the first.15 Chen Chun offers a detailed discussion on The Principle of Heaven which is highly praised by Zhu Xi. Chen says: The connotations of The Principle of Heaven include ability (Neng Ran, 能然), inevitability (Bi Ran, 必然), justifiability (Dang Ran, 当然), and nature (Zi Ran, 自然). The four aspects should be united into one. For example, sympathy belongs on the level of Qi, and the reason why a person can have sympathy is The Principle of Heaven. A person could not show sympathy to others unless the principle of sympathy existed in himself. In other words, if a person cannot show sympathy to others, the principle of sympathy must not exist in him. That is about ability. Here is another example. If a person sees a baby falling into a well, he must express sympathy. The human heart is a living thing, but the principle of its reflections on stimuli possesses inevitability. Although a person wishes to control it, sympathy is inevitable. Otherwise, the human heart would be dead as the ashes of wood, and The Principle of Heaven would disappear. That is about inevitability. Another example is that when a baby falls into a well, it is appropriate to have sympathy for it. Human beings should treat each other like 13

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 3288. Zhu Xi, Da Xue Huo Wen, in Zhu Zi Quan Shu (vol. 6), 2010, p. 528. 15 Zhu Xi, A Reply to Chen Chun (Da Chen An Qing,《答陈安卿》 ), in Zhu Zi Quan Shu (vol. 23), 2010, pp. 2736–2737. 14

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this. Otherwise, a person will not be human anymore because of his contradiction of The Principle of Heaven. That is about justifiability… If you see a baby falling into a well, you will have sympathy for him naturally. It is the expression of The Principle of Heaven than an artificial behavior. That is about nature.16

There are four aspects of The Principle of Heaven: ability, inevitability, justifiability, and nature. To be specific, taking the theory of sympathy in The Mencius (2A·6) as an example, the reason why people can have sympathy is that they inherently possess The Principle of Heaven within themselves. Sympathy is not something that human beings can control. In certain circumstances, it is impossible not to be sympathetic. So, it is inevitable. A person should be sympathetic when encountering these situations, which shows justifiability. This sympathy is not artificial, and so is natural. In the analysis of sympathy above, the four aspects—ability, inevitability, justifiability, and nature—are fully demonstrated. Zhu Xi greatly appreciates Chen Chun’s analysis and believes that Chen is correct. But, in fact, Chen’s words are not complete. Chen only points out four aspects, without stating clearly which one is the core. In Zhu Xi’s reply, he claims that the meaning of ability, inevitability, and nature can be inferred from the meaning of justifiability. From this point of view, in Zhu Xi’s philosophy, the foundational meaning of The Principle of Heaven is justifiability, which is to say, “the law that should not be disobeyed.” Here arise another two questions. First, how do the myriad things have justifiability? Second, what is their justification? When talking about the laws that should not be disobeyed, Zhu Xi does not only refer to the moral laws, He also thinks that the laws that should not be disobeyed are laws that human beings must follow. There is a dialogue in Zhu Zi Yu Lei on this topic. Question: It is said in the Questions and Answers About the Great Learning that we can know the law that should not be disobeyed through the investigation of the transformations of Heaven and Earth, ghosts and spirits, and the nature of birds, animals, plants and trees. But what is exactly the law that should not be disobeyed? Answer: Things are born in spring and they will die in autumn. No one can stop this. If Yin goes to its extreme, Yang will appear. It is just like there is someone behind it and pushing it. How can it stop?17

After birth in spring, there must be death in autumn and winter. Yin and Yang replace each other eternally. If there is a beginning, there is an end, and this is unstoppable. Here, the law that should not be disobeyed is not only a moral law, but also an inevitable law. Zhu Xi’s expression above is not accidental, and there are several similar expressions like that in The Original Meaning of The Book of Changes (Zhou Yi Ben Yi,《周易本义》 ). For example, when explaining the hexagram Wu Wang (无妄), Zhu Xi used the concept of “destiny that should not be disobeyed” (Tian Ming Zhi Dang Ran, 天命之当然).18 In The Original Meaning of The Book of 16

See Zhu Xi, Da Chen An Qing, in Zhu Zi Quan Shu (vol. 23), 2010, pp. 2736. Li Jingde ed, Zhu Zi Yu Lei, 1986, pp. 413–414. 18 Zhu Xi, The Original Meaning of The Book of Changes (Zhou Yi Ben Yi,《周易本义》 ), in Zhu Zi Quan Shu (vol. 1), 2010, p. 96. 17

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Changes, “the motion of Heaven that should not be disobeyed” (Tian Yun Zhi Dang Ran, 天运之当然)19 is also used as similar expression to “destiny that should not be disobeyed.” The “should” here does not only refer to morality. Thus, it is not fair to ask whether Zhu Xi’s philosophy refers to human autonomy in the Kantian sense of the term. The Principle of Heaven involves both inevitability and justifiability. But which one is more important? As we can see from the discussion between Chen Chun and Zhu Xi, justifiability is the foundation of The Principle of Heaven. Therefore, I pointed out that the connotation of The Principle of Heaven is the manifestation of justifiability (Suo Dang Ran De Ju Ti Hua, 所当然的具体化).20 Justifiability is not abstract. The most abstract justifiability is to do what you should do, which, of course, makes sense. This is a moral law, the foundation of the unity of knowledge and action (Zhi Xing He Yi, 知行合一), and the core of the sincerity of will (Cheng Yi, 诚意) in The Great Learning. But there are a series of questions about this claim. Why does one have to do this? And how is it possible to do this? Thus, the four aspects that Chen Chun mentioned—ability, inevitability, justifiability, and nature—are all concluded in justifiability. Taking justifiability as the core, the complete development of ability, inevitability, justifiability, and nature is the true meaning of The Principle of Heaven. In a word, The Principle of Heaven is the principle of the absolute creation, which is the inevitability and justifiability of creation. We can find solid evidence for understanding The Principle of Heaven as the manifestation of justifiability. There is a dialogue in Zhu Zi Yu Lei: Many people regard this principle as an abstract saying. However, that is not right! The author of The Great Learning emphasizes the investigation of things over knowing The Principles of Heaven. And, by doing this, he wants students to know the substance through specific experience… For example, we all know that boats are used on the sea and vehicles are used on land. If you try to push a boat on land, you will find it very hard and will know that boats cannot travel on land. That is the substance.21

The substance here is the development of ability, inevitability, justifiability, and nature, and is the manifestation of justifiability. Without substance, all abstract theories are illusory. These illusions can lead a person to try to push a boat on land and listen to meaningless advice.

3 The Principle of Heaven and Qi As I mentioned earlier, Cheng Yi’s emphasis on the difference between the physical and the metaphysical opened the space for philosophical speculation. The physical is Qi and the metaphysical is The Principle of Heaven. In the philosophies of Cheng 19

Zhu Xi, Zhou Yi Ben Yi, in Zhu Zi Quan Shu (vol. 1), 2010, p. 94. Yang Lihua 杨立华, Tian Li De Nei Han: Zhu Zi Tian Li Guan De Zai Si Kao 《天理的内涵: ( 朱 子天理观的再思考》 ), in History of Chinese Philosophy 《中国哲学史》 ( ), 2014, vol. 2. 21 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 288. 20

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Yi and Zhu Xi, the most real and constant being is The Principle of Heaven rather than Qi; thus, The Principle of Heaven is foundational. Although Qi may disappear, The Principle of Heaven will not. In a word, Qi is ephemeral, but The Principle of Heaven is eternal. The clear distinction between the physical and metaphysical leads the readers to ask new questions. The Principle of Heaven, as the manifestation of justifiability, is metaphysical. Is the metaphysical Principle of Heaven prior to physical Qi? Does The Principle of Heaven move in concert with Qi? Zhu Xi says, “The Supreme Ultimate through motion generates Yang” (Tai Ji Dong Er Sheng Yang, 太极动而生阳) and this is the destiny that should not be disobeyed. But, as a metaphysical being, how can the Supreme Ultimate and Principle of Heaven move? The Principle of Heaven is the reason for the myriad things and for all events, both good and evil. How can The Principle of Heaven, which is absolutely good, be the cause of evil? The Principle of Heaven is the essence of the myriad things. But can we say that all attributes of all things come from The Principle of Heaven? If so, where do the differences between all things emerge? If not, how is there a unity of all things? Zhu Xi spends much time answering these questions.

3.1 Qi Comes from the Principle of Heaven Zhu offers the expression, “Qi comes from The Principle of Heaven” (Li Sheng Qi, 理生气). However, is this statement a minor point or a key conclusion of his philosophy? There are very few places where Zhu Xi explicitly makes this claim. Amongst the Zhu Zi Yu Lei and the Zhu Zi Wen Ji 《朱子文集》 ( ), the saying appears only once. Qianzhi asked, ‘When the Qi of Heaven and Earth is turbid, will The Principle of Heaven and Earth change? … If Qi is corrupted but The Principle of Heaven does not change, are Qi and The Principle of Heaven separated? Zhu Xi answered, ‘Although Qi comes from The Principle of Heaven, The Principle of Heaven cannot control Qi after it has been produced. If Qi gathers and a certain object is formed, The Principle of Heaven of it will be in it and follow the Qi. It seems that Qi is stronger than The Principle of Heaven.’22

It is worth noting that when Zhu Xi says “Qi comes from The Principle of Heaven,” his disciples do not dispute his claim. Therefore, this idea seems to be a consensus among Zhu Xi and his disciples. But why did Zhu Xi seldom bring up this important claim? Here is the only reasonable explanation. Although it was widely accepted by Zhu Xi’s disciples that Qi comes from The Principle of Heaven, this expression is casual and accidental rather than a strict statement of Zhu Xi’s beliefs. In fact, in his philosophy, a more accurate expression of this idea would be “The Principle of 22

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 71.

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Heaven must present itself in the activity of Qi” (Li Bi You Qi, 理必有气). In other words, The Principle of Heaven has the inherent tendency to present itself in the activities of Qi. If The Principle of Heaven of some thing exists, it, as a substance, must have function, and it must be embodied as something sensible in time and space, with an image or a shape. Even the highest metaphysical being, The Principle of Heaven or the Supreme Ultimate, has the inherent tendencies of being actualized in the sensible world (Shi You, 实有) and being differentiated (Fen Bie, 分别). As I mentioned earlier, the original meaning of the word Li (The Principle of Heaven, 理) was to polish jade and make its grain appear. Therefore, The Principle of Heaven has a dynamic tendency to produce differences. Since The Principle of Heaven is constantly being differentiated, this dynamic tendency can be called “the function of The Principle of Heaven” (Li Zhi Yong, 理之用). “The substance of The Principle of Heaven” (Li Zhi Ti, 理之体) is static and unchanging. Qi changes, engaging in formation and disappearance, but The Principle of Heaven has no birth, death, formation, or destruction. The Principle of Heaven possesses only the fundamental tendencies of actualization in the sensible world (Shi You, 实有) and differentiation (Fen Bie, 分别), which are the basis of all attributes. The Principle of Heaven, as the highest metaphysical being, has the tendency to differentiate, so do specific principles. Qi has no other foundation, and so conforms to the tendencies of The Principle of Heaven. Only on this basis can Zhu Xi’s expressions be correctly understood. For example, Zhu Xi’s discussion of the relationship between benevolence and righteousness and Yin and Yang. After the publication of the Annotations to Explanation of the Diagram of the Supreme Ultimate, this claim was widely questioned and Zhu Xi fiercely defended it. Amongst all his challenges, an important one is Zhu Xi’s distinction of benevolence and rituals and righteousness and wisdom. Zhu Xi believes that the previous pair belongs to Yang, i.e., the substance, and the latter pair belongs to Yin, i.e., the function. This claim drew many doubts because according to the general understanding of the time, all benevolence, righteousness, rituals, and wisdom belong to The Principle of Heaven. If any of them were divided into two parts, like Yin and Yang, they would be the same as Qi. In fact, what Zhu Xi emphasizes are the tendencies of The Principle of Heaven. He thinks that benevolence is positive and righteousness is negative. In Zhu Xi’s thought, “benevolence, righteousness, rituals and wisdom” correspond to “origination, flourishing, advantage, and firmness” (Yuan Heng Li Zhen, 元亨利贞) and “creation, development, collection, and storage” (Sheng Zhang Shou Cang, 生长收藏). Both creation and development refer to birth, so they belong to Yang, while collection and storage refer to death, so they belong to Yin. Yin and Yang, motion and stillness, and birth and death are all inherent tendencies of The Principle of Heaven as substance. The Principle of Heaven must present itself in the activity of Qi, and thus, Qi is only the tendency of The Principle of Heaven. But why can The Principle of Heaven not control Qi? Therefore, we need to further discuss the issue of dominance. Qi is the function of The Principle of Heaven, and certain principles must present themselves in the related activity of Qi. Benevolence is positive, so it belongs to Yang. Righteousness is negative, so it belongs to Yin. Later, Zhu Xi develops a more

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complex expression—the substance of benevolence is Yang but its function is Yin (Ren Ti Gang Er Yong Rou, 仁体刚而用柔) while the substance of righteousness is Yin but its function is Yang (Yi Ti Rou Er Yong Gang, 义体柔而用刚). How can polluted Qi, which is evil, also come from The Principle of Heaven? Since The Principle of Heaven is good, the Qi that comes from it must be good. Why is there evil Qi? Zhu Xi thinks that once an individual is born, its Qi will have dominance over its behavior. In ordinary things, the manifestation of The Principle of Heaven in Qi is direct—what is rigid is rigid and what is soft is soft. The Five Agents—water, fire, wood, metal, and earth—have their own temperaments, and each temperament is a partial manifestation of The Principle of Heaven, which means a manifestation of one aspect of The Principle of Heaven, rather than The Principles in its entirety. Water is the manifestation of the principle of water in Qi and wood is the manifestation of the principle of wood in Qi. Even in animals, the manifestation of The Principle of Heaven in Qi is direct, too. Zhu Xi says that The Principle of Heaven in tigers and wolves is righteousness, so when a tiger is shot, its last few steps before dying are straight, because the principle in a tiger’s Qi is righteousness,23 which means to be straight. The Qi of animals is more intelligent than the Qi of plants because plants do not have consciousness. But Zhu Xi thinks that plants have their own advantages. When an animal dies, it rots within a few days, but when a plant dies, it does not decay for a long time. Therefore, the shape and spirit of plants are stronger than those of animals. Next comes the question of the human heart. If an animal has a certain aspect of The Principle of Heaven, it will be manifested directly. But human beings are more complicated. People can know, understand, and follow The Principle of Heaven, but of course, they can also refuse to accept it. This is about choice rather than the direct manifestation of The Principle of Heaven.24 The absolute creation between Heaven and Earth is eternal. If everything in the world is created and then dies, the world will be simple and purely good. From the Supreme Ultimate to Yin and Yang, then to the four symbols, the Eight Trigrams, the Sixty-Four Hexagrams, and so on, all will be purely good. However, the absolute creation will never end, and new things are created every moment with the new Qi of Yin and Yang. Thus, conflict exists between the old and the new. The Principle of Heaven must present itself in the activities of finite beings. A finite being must experience through the stages of birth, growth, collection, and storage. The finite things of the previous stage have not ended, but new finite things have been born. That is why there are conflicts. Different things exist in different stages; some are in the stage of birth, and some are in the stage of storage. The reason why this world is full of conflicts is that the beings that should end do not end, becoming obstructions to new growth. Evil is merely the excess and inadequacy of various forms of things. In the stage of birth, both being too much and inadequate are evil. When people exist in good times, they naturally tend to live long. Flowers should bloom at the stage of birth, but if they are stubbornly blooming when it is time to wither, this is not good.

23 24

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 60. Ibid.

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Specific principles also have their applicable stages, so they each have an end. But The Principle of Heaven, which is universal, is eternal.

3.2 The Relationship Between the Principle of Heaven and Qi Next, let us discuss the relationship between The Principle of Heaven and Qi. In fact, after explaining Zhu Xi’s proposition that Qi comes from The Principle of Heaven, it will not be difficult for us to infer that between the two, The Principle of Heaven is dominant one. As I have mentioned, Zhu Xi believes that The Principle of Heaven must present itself in the activity of Qi. Therefore, The Principle of Heaven cannot exist by itself. The Principle of Heaven is the substance, which is like a proverbial root, and Qi is the function, which is like a proverbial branch. On the one hand, it is right to say that The Principle of Heaven exists prior to Qi. But on the other hand, from the perspective of any individual, The Principle of Heaven and Qi exist simultaneously. Therefore, “The Principle of Heaven is not apart from Qi.” Zhu Xi says, “However, The Principle of Heaven is metaphysical while Qi is physical. How can there be no dominant one in this respect?”.25 The reason why we need to clarify this point is because of Zhu Xi’s emphasis on the fundamental status of The Principle of Heaven, he makes some statements that can be easily misunderstood. For example, he says: Even if the mountains, rivers, and the Earth all sink and are destroyed, The Principle of Heaven, in the end, will still be there.26

In this paragraph, it seems that what Zhu Xi claims is that The Principle of Heaven appears before Qi. Some scholars believe that by making this claim, Zhu Xi means that there was time when The Principle of Heaven existed but Qi does not. This understanding is obviously incorrect. In Zhu Xi’s philosophy, although the mountains, rivers, and the Earth are enormous, they are still tangible things. Since they are tangible, they must be finite and will eventually be destroyed. In other words, in Zhu Xi’s philosophy, it is accepted that in the development of the universe, there was a time when no concrete thing had yet been formed. However, even when there were no specific things, The Principle of Heaven did not exist individually, and as it was still inseparable from Qi. At that time, its Qi was the Qi of Heaven and Earth, which possess no specific shape or attribute. Zhu Xi says that Heaven and Earth were originally nothing but water and fire. Mountains were made of flexible matter, which is why they are jagged. Therefore, it is possible that there will come a time when “the mountains, rivers, and the Earth all sink and are destroyed,” but even then, The Principle of Heaven will still exist. Since The Principle of Heaven exists, Qi must exist as well. The world has always consisted of the whole of The Principle of

25 26

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 3. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 4.

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Heaven and Qi, but in the earliest stages, Qi existed in a very simple state rather than in specific forms such as mountains, rivers, animals, and plants. In fact, it is wrong to say that The Principle of Heaven existed before Qi. When talking about the relationship between The Principle of Heaven and Qi, what we can ask is which one is dominant. How does Zhu Xi answer? If The Principle of Heaven and Qi were equally fundamental, Zhu Xi’s philosophy would be a sort of dualism, which would be considered incoherent by the Confucians. In Zhu Xi’s philosophy, The Principle of Heaven is dominant. The Principle of Heaven is more fundamental than Qi, and its reality is loftier than that of Qi. The Principle of Heaven presents itself in the activities of Qi, and thus Qi is the function of The Principle of Heaven. Any individual thing, which is a certain formation of Qi, must have both a birth and completion, and, of course, a death and destruction. All kinds of Qi eventually die, and their destruction will be complete, with nothing remaining. Eternal matter does not exist in Cheng Yi and Zhu Xi’s philosophies, which is the biggest difference between their thought and that of Zhang Zai. Cheng Yi and Zhu Xi disagree on Zhang Zai’s claim that the most basic material, Qi, can transform into different forms but will never be eliminated. In Cheng and Zhu’s views, Qi is mysteriously created from nothingness and is eliminated totally. In conclusion, Zhu Xi thinks that The Principle of Heaven and Qi exist at the same time, but theoretically, The Principle of Heaven is prior to Qi.27 In summation, The Principle of Heaven did not appear before Qi, even though it is ontologically prior.

3.3 The Motion and Stillness of the Principle of Heaven and Qi Next, we will discuss the motion and stillness of The Principle of Heaven and Qi, which is also a critical aspect of their relationship. In his Explanation of the Diagram of the Supreme Ultimate, Zhu Xi says, “The Supreme Ultimate through motion generates Yang. When its activity reaches its limit, it becomes tranquil. Through tranquility, the Supreme Ultimate generates Yin. When tranquility reaches its limit, activity begins again. So, motion and tranquility alternate and become the root of each other.” He believes that motion and tranquility are the basis of each other. But the question is, if the Supreme Ultimate moves, does it become a concrete thing? How can the Supreme Ultimate, which is metaphysical and thus has no position in space, move? If someone were to ask me, “Where is The Principle of Heaven?” I would answer, “You have asked the wrong question.” Space originates in The Principle of Heaven. If the Supreme Ultimate had a location, it would be a physical item. In Zhu Xi’s philosophy, the distinction between metaphysical and physical is very clear. Since the Supreme Ultimate does not exist in time or space, it is obvious that it cannot move. How then do we understand Zhu Xi’s claim in the Explanation of the 27

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 3.

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Diagram of the Supreme Ultimate “The Supreme Ultimate through motion generates Yang?” Some scholars think that “The motion of the Supreme Ultimate” means that the principle of motion is contained in The Principle of Heaven. The biggest shortcoming of this explanation is that it violates the principle of “one foundation,” making too many “theoretical patches” due to its failure in deducing other principles from the most fundamental one. If the Supreme Ultimate contains the principles of motion, does it also contain the principle of time and the principle of space? Further, does it also contain the principle of size and the principle of relations? In Zhu Xi’s philosophy, the Supreme Ultimate or The Principle of Heaven is only the principle of absolute creation. It has only one foundation. The principle of absolute creation is the current of Heaven’s Mandate (Tian Ming Liu Xing, 天命流行), i.e., the eternal creation. That is the foundation, and all other principles are rooted in this. Zhu Xi and his disciples had a lot of discussion on the issue of the motion and stillness of The Principle of Heaven. A disciple of Zhu Xi asked him if it is correct to explain the motion and stillness of The Principle of Heaven as the proposition that the Supreme Ultimate is in both motion and stillness? “It is not exactly right to say that the Supreme Ultimate is in both motion and stillness,” Zhu Xi replied, “but, it is right to say that according to the Supreme Ultimate, there are motion and stillness. (Tai Ji You Dong Jing, 太极有动静)”28 Obviously, the word “there are” (You, 有) in Zhu Xi’s claim is very important here. In another dialogue, Zhu Xi says: Yang moves and Yin keeps still. The Supreme Ultimate cannot move. According to The Principle of Heaven, there are motion and stillness.29

The difference between the disciple’s idea—the Supreme Ultimate is in both motion and stillness—and Zhu Xi’s correction—according to the Supreme Ultimate, there are motion and stillness—seems subtle but it is a clear argument from Zhu Xi. As for the relationship between motion and stillness and Yin and Yang, Zhu Xi believes that Yang is not born after motion, and Yin is not born after stillness. In this mistaken understanding, the identity of motion and Yang is lost and so is the identity of stillness and Yin. Zhu Xi clearly states: ‘The Supreme Ultimate through motion generates Yang. Through tranquility, the Supreme Ultimate generates Yin.’ It is not that motion produces Yang while stillness produces Yin. It is wrong to think that there are two separate sections, in which the latter follows the previous. Yang is the motion of the Supreme Ultimate and Yin is its stillness.

It is not correct to divide motion and stillness and Yang and Yin into two separate parts. The correct understanding is that “Yang is the motion of the Supreme Ultimate and Yin is its stillness.” The above passage is Zhu Xi’s classic discussion on the issue of the motion and stillness of The Principle of Heaven. Then, how can we combine these discussions to reach a final understanding? On this topic, Zhu Xi offers a concluding statement.

28 29

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2373. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2374.

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The Supreme Ultimate is the Origin, and motion and stillness are the changes (Ji, 几) in which the Supreme Ultimate shows itself.30

The word “origin” (Miao, 妙) indicates that the Supreme Ultimate is the source of creation. But, what do “the changes” (Ji, 几) mean? Zhu Xi says: The original meaning of the word Ji (机) is a machine called Guan Lie Zi (关捩子), which is like a seesaw. When stepping on the part which represents motion, the part which represents stillness will be affected. Similarly, when stepping on the part which represents stillness, the part representing motion will be affected.31

The Guan Lie Zi is a machine that can rotate. Zhu Xi uses this machine to describe the principle that there is stillness in motion, and motion in stillness. By saying “According to the Supreme Ultimate, there are motion and stillness,” what Zhu Xi would like to emphasize is that the Supreme Ultimate is the foundation of motion and stillness which include each other, and it, at the same time, must be reflected as the motion and stillness which are based on each other. Regarding the issue of the motion and stillness of The Principle of Heaven, Zhu Xi uses a metaphor of a man riding a horse. This metaphor is easy to understand but is, at the same time, very misleading. It deepens the false impression that The Principle of Heaven or the Supreme Ultimate is a concrete object. The relationship between The Principle of Heaven and Yin and Yang is just like a man riding a horse.32

But the question that arises from this is significant—since The Principle of Heaven exists in all things, will it move with things like a rider with his horse? For example, when I pick up a book, will the principle of the book move along with it? The book has its own qualities. Will its qualities move with it? The metaphor should be about the issue at the level of specific things. In Zhu Xi’s view, when concrete things move, the principles of things move along with them. For example, if an object, which has the property of rigidity, is moving, the “rigidity” of the object also moves with it. Isn’t it the movement of the “rigidity” of an object that makes us feel the movement of that object? A man walks on the playground and gets hit by a ball. Isn’t it because the rigidity of the ball moves to the man? Of course, the qualities and properties in question are not outside The Principle of Heaven or the Supreme Ultimate. All qualities and properties are concrete manifestations of The Principle of Heaven or the Supreme Ultimate, and they have no other origin. Therefore, in the analysis of the motion of The Principle of Heaven, we must look at the problem on different levels separately. The first issue is about the creation of Yang, and the second is about the motion of the principles of specific things. When Zhu Xi says, “According to the Supreme Ultimate, there are motion and stillness,” what he means is that The Principle of Heaven, as the substance, has the tendency of differentiation. And, when Zhu Xi says that the principles of specific things can move, 30

Zhu Xi, Tai Ji Tu Shuo Jie, in Zhu Zi Quan Shu (vol. 13), 2010, p. 72. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2376. 32 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2374. 31

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what he means is that the principle of absolute creation, which is the foundation, is actualized in the birth, changes, and death of all concrete things. In fact, the saying “according to the Supreme Ultimate, there are motion and stillness” expresses the same meaning as the saying “The Principle of Heaven must present itself in the activity of Qi.” The Principle of Heaven must present itself in the activity of Qi, in which there must be motion and stillness.

3.4 The Unity and Particularity of the Principle of Heaven The claim of “the unity and particularity of The Principle of Heaven” (Li Yi Fen Shu, 理一分殊) comes from the Cheng brothers. When they educated their disciples, they usually asked them to first read Zhang Zai’s The Western Inscription. Yang Shi ( 杨时, 1053–1135), who was their best disciple and must have read the article, later suspected that in The Western Inscription, Zhang expressed the concept of “universal love.” Yang writes to Cheng Yi to ask his teacher’s opinion. Cheng Yi replied: In The Western Inscription, Zhang Zai expresses his idea of the unity of one principle and its expressions in different degrees (Li Yi Er Fen Shu, 理一而分殊). However, in Mohism, there are two foundations but no particularity (Er Ben Er Wu Fen, 二本而无分).33

In Cheng Yi’s reply to Yang Shi, the word Fen (分) should be read as “degree.” Thus, by using the expression “the unity and particularity of The Principle of Heaven” Cheng Yi means that the principle of universal love is the same, but the degree of love is different for different people. Love for Heaven and Earth, love for one’s parents, love for the emperor, and love for the ministers are all different. Therefore, particularity exists naturally. In conclusion, the claim of “the unity and particularity of The Principle of Heaven” emphasizes that Zhang Zai’s idea in The Western Inscription is that differences of degrees exist in the principle of love. That is the original meaning of the proposition in Cheng Yi’s thought. Zhu Xi believed that the word Fen (分) in that proposition should be understood as particularity, meaning to be in many different places. This does not mean that Zhu Xi misunderstood Cheng Yi’s idea. Instead, I think he read the proposition in this way on purpose in the hopes of constructing his own philosophy. It was the tradition of Yang Shi and his disciples, the so-called Dao Nan School (Dao Nan Xue Pai, 道南学派) to use this proposition to express the relationship between The Principle of Heaven and the myriad things. Zhu Xi inherits this idea and offers a deeper and more systematic explanation than his predecessors. The proposition of “the unity and particularity of The Principle of Heaven” is the answer to the following questions. (1) After the formation of all things, does the Supreme Ultimate still exist in all concrete objects? (2) If the Supreme Ultimate still exists in all concrete objects, then what is the relationship between the Supreme Ultimate in these objects and the Supreme Ultimate as the origin of the absolute 33

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 609.

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creation? (3) If the Supreme Ultimate is not in all concrete things, does it mean that the nature of all things has nothing to do with the Supreme Ultimate, or is not rooted in the Supreme Ultimate? (4) If the Supreme Ultimate is in all concrete things and is the nature of all of them, all concrete things will have the Supreme Ultimate in them wholly, then how can there be differences between things? The answers to all these questions can be found in the proposition of “the unity and particularity of The Principle of Heaven” in Zhu Xi’s philosophy. In fact, the questions appear because we incorrectly regard the Supreme Ultimate as an object. In our daily language, we use this wrong expression unconsciously, and it seems that all concrete things contain an object called the Supreme Ultimate within themselves. In Zhu Xi’s explanation to Zhou Dunyi’s text, “The Ultimate Non-Being is the Supreme Ultimate,” he points out that the Supreme Ultimate is equal to the perfect point. He says, “The original meaning of the word ‘ultimate’ (Ji, 极) is the very top of the roof.”34 The word “ultimate” referred to the rafters of a house, and then adopted meaning of the extreme of goodness. The Supreme Ultimate in concrete things is the right point, or perfection in specific a time and place. All things are embodied as differences in time and space, and in each difference, there is a point called perfection. The most influential interpretation of “the unity and particularity of The Principle of Heaven” is the metaphor of “the moon and its reflections in thousands of rivers” (Yue Yin Wan Chuan, 月映万川).35 I suppose that this metaphor may have been Zhu Xi’s answer to an underachieving disciple who could understand his philosophy after a long period of study. Zhu Xi may have been frustrated and pointed to a puddle of water and said, the moon has thousands of reflections in different pools, rivers, and lakes. In fact, this is a very bad metaphor, and it appears only once in Zhu Xi’s works. The reflection of the moon in the water is not the essence of water, and water is not the phenomenon of the reflection of the moon. Thus, the relationship between the moon and its reflections is completely different from the relationship between the Supreme Ultimate and the myriad things. The best analogy for “the unity and particularity of The Principle of Heaven” is another one recorded in the Zhu Zi Yu Lei. This principle is an entity everywhere. For example, a seed will grow into a seedling, and a seedling will grow into a flower. After the flower, there will be fruit, and then, many seeds again. There are hundreds of paddies, which are all different but neither of them is incomplete, in a rice plant. If we plant them, we will harvest them one hundred times in the future. There will be eternal creations although there is only one seed in the beginning. All things have their own principles, but The Principle of Heaven is one.36

The word “an entity” (Hun Lun, 浑沦) means that it presents itself fully. A seed is planted, then a seedling will grow. The seedling is, of course, the embodiment of the seed, which cannot be seen directly. But it cannot be said that the seedling is the seed. After the seedling, there will be flowers. Seedlings and flowers are different but they are intrinsically related. Then, there will be fruits, and seeds again, and the process 34

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2366. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2409. 36 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 2374. 35

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is endless. The various stages of seed, flower, fruit, and regeneration are all concrete manifestations of the principle of absolute creation. That is the unity of The Principle of Heaven. This principle of absolute creation must be manifested in different forms at different stages. That is the particularity of The Principle of Heaven. Through this metaphor, Zhu Xi explains the relationship between the myriad things and the Supreme Ultimate—the Supreme Ultimate is in all things, but it manifests differently in different situations. On the one hand, the Supreme Ultimate is perfection, and in each specific situation, there is perfection. On the other hand, the myriad things are born following the principle of absolute creation, and The Principle of Heaven is thus embodied in all things, constituting their nature. Both aspects are the embodiment of the principle of the unity and particularity of The Principle of Heaven. If we think carefully, we will find that these two aspects are inseparable. As I have said before, all things possess the principle of absolute creation from their birth, so they all have a tendency to maintain their own identity. All living beings have the instinct of self-preservation, and inanimate things also tend to maintain their present states. As for human beings, each of the five organs has its own structure and function. And, only when the five organs maintain themselves and coordinate with each other do they constitute the whole of human life. Every cell in the body has different stages. They work well when they are active and decompose themselves when they should be metabolized. Only in such a way can an individual survive. The maintenance of the identity of all beings is closely related to the actualization of their perfection in different situations. For example, when people dive into the water, if they want to save themselves, they must try their best to hold their breath. However, fish are completely different. Even if the performance of human beings and that of fish are different, the two kinds of performance are both embodiments of The Principle of Heaven.

4 Theories on Human Nature and Mind Zhu Xi integrates various complex understandings of consciousness into the structure of mind (Xin, 心), human nature (Xing, 性), and emotion (Qing, 情). Generally speaking, “human nature” is the embodiment of The Principle of Heaven in human beings, and it is the inner structure of the mind. This means that, on the one hand, “human nature” is the essential tendency that human beings must follow and the possibility of existing as human. On the other hand, this tendency and its possibility are not directly realized. For example, everyone is born according to the principle of absolute creation, but the percentage of the realization of our vitality and the way in which we realize it are very different. The difference is determined by the degree of realization of the mind’s function as dominant. In other words, the degree of realization of The Principle of Heaven, i.e., human nature, is determined by the activeness of the mind. The whole of human consciousness is composed of the essential structure of human nature, the dominant effects of the mind, and the experiential content of

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emotion. Emotion is experiential, and it is the overall grasp of the living conditions of human beings that we take as our limited existence. Let us look at the issue of human nature first. On this issue, Zhu Xi inherits the distinction between “the nature from heaven” and “the nature of Qi and temperament” of Cheng Yi and Zhang Zai. Zhu Xi emphasizes that the invention of the concept of “the nature of Qi and temperament” is extremely meaningful within Confucianism. In fact, Confucius only said, “By nature people are similar; they diverge as the result of practice,” which is incomplete theoretically.37 In real life, people have different Qi, temperaments, and dispositions, and most of their differences are innate. This reality can only be explained by the concept of “Qi.” It is not precisely true to understand “the nature of Qi and temperament” as something purely material because much of it is the embodiment of our long term habits. The complex temperaments of different individuals and their spiritual outlooks are also the embodiment of certain principles. In Zhu Xi’s monist philosophy, “the nature from Heaven” is understood as the nature of principle (Li De Xing, 理的性) while “the nature of Qi and temperament” is understood as the nature of Qi (Qi De Xing, 气的性). Since The Principle of Heaven is universal, “the nature from Heaven” is manifested as the universal tendency of human beings, which is the tendency of benevolence. To the contrary, “the nature of Qi and temperament” constitutes the possibility of concealing the universal nature. Zhu Xi especially praises one of Cheng Yi’s claims, saying, “It is not correct for one to only speak about Qi, and it is not complete for one to only speak about human nature.” In conclusion, only by grasping human nature from the two aspects of “nature from heaven” and “nature of Qi and temperament” can we gain a comprehensive and complete understanding of human nature. Related to the issue of human nature, there is another issue: the similarities and differences between the principle and Qi of human beings and those of other things. Zhu Xi initially argues that the principle of human beings is the same as the principle of other things, and the differences between human beings and other things lie in the differences of their Qi, which is summarized as Li Tong Qi Yi (理同气异). The problem with this statement is that it presupposes there is no difference between human nature and the nature of things, which is the same as the incorrect claim made by Gao Zi (告子). Zhu Xi later corrects this idea: Considering the fact that all things come from one source, we admit that their principle is the same but their Qi is different. However, looking at their various substances, we admit that their Qi is similar but their principle is utterly different.38

In Zhu Xi’s view, when it comes to the root of the unity of all things, principle is the same, and their differences come from Qi. However, when discussing the difference of all things, the materials that make up all things are similar, but the principles are fundamentally different. As for the relationship between mind, human nature, and emotion, Zhu Xi has two important propositions. (1) Human nature is substance, and emotion is its function 37 38

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 70. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 57.

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(Xing Ti Qing Yong, 性体情用). (2) Human nature and emotion are in the mind and the mind leads both of them (Xin Tong Xing Qing, 心统性情). “Human nature” is the essential tendency of human beings, and “emotions” are its specific realizations. All human emotions are our understandings of our living situations under the guidance of certain principles. Human nature presents itself as all kinds of emotions. As human nature, benevolence, righteousness, rituals, and wisdom present themselves as sympathy, shame, respect, and judgment naturally. That is the meaning of Zhu Xi’s proposition “Human nature is substance, and emotion is its function.” The concept “emotion” has many meanings, including both “the four sprouts” (Si Duan, 四端, including sympathy, shame, respect, and judgment) and “the seven feelings” (Qi Qing, 七情, happiness, anger, sadness, joy, love, hate, and desire). “The four sprouts” and “the seven feelings” do not exist on the same level; thus, they can be combined. For example, sympathy is sometimes manifested as love, and sometimes as anger. When we encounter a heinous scene, sympathy (to the victims) can be expressed as anger (to the criminal). Upon comparison, “the seven feelings” are more basic emotions than “the four sprouts.”

Regarding the relationship between mind and human nature, Zhu Xi pays special attention to Zhang Zai’s proposition “Human nature and emotion are in the mind and the mind leads both of them.” On the one hand, human nature and emotion are contained within the mind (Xin Bao Xing Qing, 心包性情). The mind has two aspects—human nature and emotion. So, Zhu Xi sometimes says, “Human nature is the principle of mind, and emotion is the function of mind.”39 Human nature and emotion are different aspects of the mind. On the other hand, mind leads both human nature and emotion (Xin Zhu Xing Qing, 心主性情). Benevolence will naturally present itself as sympathy, but it is the subjectivity of the mind that leads the person who has sympathy to act. In this sense, the proposition emphasizes the dominance of the mind. So, Zhu Xi says: The concept of human nature and emotion is a pair. The concept of mind and human natureemotion is a pair. Human nature is the principle (He Ru Ci, 合如此), emotion is the expression (Dong Chu, 动处), and mind is the dominating force (Zhu Zai, 主宰).40

Human nature and emotion are relative, while the mind is relative to the system of human nature and emotion. Human nature must present itself as a certain kind of emotion. Human nature is the principle, and we should behave according to it. Emotion is the expression, which means that emotions are our direct understanding and grasp of the present. The Principle of Heaven, as the connotation of human nature, is the law that should not be disobeyed, and its manifestation is emotion. Emotion is something present directly, which cannot control itself or have reflections on itself. Therefore, there is no order or proportion in it. The mind is dominant, so the expression and control of emotions like sympathy, shame, respect, and judgment are all determined by the mind. The understanding of “mind” should be combined with the concept of “will.” Zhu Xi says:

39 40

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 96. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 89.

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Thoughts (Ying Wei, 营为), conspiracies (Mou Duo, 谋夺), and communications (Wang Lai, 往来) are all will.41

The essence of all intentions, including thinking and comparing, is the initiative of will. This is related to the dominance of the mind. Human nature, as the essential tendency of human beings, is the embodiment of The Principle of Heaven in human beings. But human nature must be realized through the initiative of will. If human nature is the principle and the concrete law of heaven, then how is it possible for us to deviate from it? After careful consideration, we find that human beings never violate the laws that they should obey. Everyone judges and chooses according to his own understanding of the law. The difference is that different people have different understandings of principle. Once “nature from Heaven” presents itself in “the nature of Qi and temperament,” there will inevitably be deviations in different people’s understanding of principle. Qi is the accumulation of habits, emotion is the manifestation of the present, and mind and will not only concern the present situation but also the future. The dominant function of the mind is to point to the future based on the present, and this pointing is always based on the principle that it accepts. In a word, the dominant function of the mind is fundamentally achieved through “knowledge” (Zhi, 知).

5 Self-Cultivation On the topic of the methodology of self-cultivation, Zhu Xi inherits Cheng Yi’s idea of respect. But Zhu Xi’s interpretation of the term is more specific. He says: What is the state of respect? It is like a state of fear. It does not mean to sit still like a block, with the ear hearing nothing, the eye seeing nothing, and the mind thinking of nothing. It is merely to be apprehensive and careful and dare not give free rein to oneself. In this way, both body and mind will be collected and concentrate if one is apprehensive of something.42

The state of “respect” (Jing, 敬) is similar to the state of “fear” (Wei, 畏). The state of “fear” and the state of being “afraid of something” (Pa, 怕) are different. One can be afraid of something, but if someone is in a state of fear, he is cautious without any object to directly be afraid of. One common foundation of religious taboos in other cultures is a fear of punishments, such as doomsday judgment and reincarnation, but the state of “respect” is an inward state of mind in which a person’s mind is collected, concentrated, and restrained. To be in a state of “respect” is different from being “quiet” (Jing, 静). Zhu Xi emphasizes that to “respect” is to “have one’s mind constantly awakened” (Chang Xing Xing, 常惺惺).43 The word Xing Xing (惺惺) here means awakening. In Chinese, there is an opposed term, Jia Xing Xing (假惺 惺), which means to pretend to be aware without reaching true awareness. 41

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 96. Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 208. 43 Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 1503. 42

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The problem of this methodology of self-cultivation is related to Zhu Xi’s thought on the relationship between equilibrium (Zhong, 中) and harmony (He, 和). It is said in the first chapter of The Doctrine of the Mean, “Before the feelings of happiness, anger, sadness, and joy are aroused, there is a state called equilibrium (Zhong, 中). When these feelings are aroused and attain due measure and degree, there is a state called harmony (He, 和). Equilibrium is the great foundation of the world, and harmony its universal path.” Here, the understanding of the relationship between equilibrium and harmony is the key. On this issue, Zhu Xi reaches two different understandings. The first one is his understanding in 1166. His most famous poem Feeling After Reading was written in this year after he began to understand this issue. At that time, Zhu Xi believed that if a man is alive, his mind will always be active.44 There cannot be a time when no feeling is aroused. The expression “before the feelings of happiness, anger, sadness, and joy are aroused” is a metaphor, referring to the deeper substance and structure of the mind. To be precise, the expression “before the feelings of happiness, anger, sadness, and joy are aroused” refers to one’s substance—human nature—while the expression “When these feelings are aroused and attain due measure and degree” refers to the state of experiencing feelings. Zhu Xi’s theory is very similar to the theory of the Hu Xiang School, (which consisted of Hu Hong (胡宏, 1102–1161), Zhang Shi, and their disciples in Hu Nan, Hu Xiang Xue Pai, 湖湘学派). Zhu Xi’s later understanding is the idea he reached in 1169. While giving a lecture on the topic, Zhu Xi suddenly became skeptical. He felt uneasy that night, so he took the Cheng brothers’ books from his bookshelf and began to read again. After reading only a few paragraphs, he unexpectedly reached a new understanding. From then on, Zhu Xi claimed that there is a state when there is no feeling, when there is no content at all in the mind, and the expression “before the feelings of happiness, anger, sadness, and joy are aroused” in The Doctrine of the Mean refers to that state.45 On the basis of his new understanding in 1169, Zhu Xi began to establish his method of self-cultivation in tranquility. He started to realize the importance of self-discipline before one’s feelings are aroused and stimulated. Zhu Xi previously advocated that the mind is always active, so the only method of self-cultivation was to act, in way such as extending knowledge and dealing with things. Upon reaching his new understanding in 1169, Zhu Xi realized that to act was not enough, and selfcultivation in tranquility is also necessary. It is worth noting that in Zhu Xi’s thought, self-cultivation in tranquility is only a supplement to self-cultivation through action. People are not busy all day long, and there must be some amount of time when they are in tranquility.

44 Zhu Xi, A Reply to The Gentlemen in Human About The Relationship Between Equilibrium and Harmony (Yu Hu Nan Zhu Gong Lun Zhong He Di Yi Shu,《与湖南诸公论中和第一书》 ), in Zhu Zi Quan Shu (vol. 23), 2010, p. 3130. 45 Zhu Xi, Yi Fa Wei Fa Shuo, 《已发未发说》 ( ), in Zhu Zi Quan Shu (vol. 23), 2010, p. 3267.

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6 The Extension of Knowledge Zhu Xi included The Great Learning in his canon of The Four Books, and revised the ancient version of The Great Learning from The Book of Rites. Zhu Xi rearranged the order of the text according to the Cheng Brothers’ revision of the text. Besides, based on Cheng Yi’s understanding of the investigation of things, Zhu Xi also wrote An Explanation to the Chapter of the Investigation of Things and the Extension of Knowledge (Ge Wu Zhi Zhi Zhuan,《格物致知传》 ) and added it to the original text. Zhu Xi paid much attention to his Annotations to the Great Learning, and he was revising it until the day before his death. His understanding of The Great Learning was infallible. In An Explanation to the Chapter of the Investigation of Things and the Extension of Knowledge, he says: If we wish to extend our knowledge to the utmost, we must investigate the principles of all things we encounter. The intelligent mind of man is certainly formed to know, and there is not a single thing in which its principles do not inhere. It is only because all principles are not investigated that man’s knowledge is incomplete. For this reason, the first step in The Great Learning is to instruct the learner to proceed from the knowledge he has of their principles and investigate further until he reaches their utmost. After exerting himself in this way for a long time, he will one day achieve a wide and far-reaching penetration. Then the qualities of all things, whether internal or external, detailed or coarse, will all be apprehended, and the mind, in its total substance and great functioning, will be perfectly intelligent. This is called the investigation of things. This is called the perfection of knowledge.46

Like Cheng Yi, Zhu Xi also interpreted the word Ge (格) in Ge Wu (格物, the investigation of things) as Zhi (至). In Zhu Xi’s thought, the word Zhi has three meanings. (1) To reach concrete things (Ji Wu, 即物). Zhu Xi believed that we should open our eyes to see real things. By observing concrete things, we can truly open ourselves to objectivity and concreteness. (2) To understand the principles behind things exhaustively (Qiong Li, 穷理). Zhu Xi thinks that to investigate things is to know the laws that things should obey. (3) To have complete comprehension of The Principle of Heaven (Zhi Ji, 至极). The success of the investigation of things and the extension of knowledge requires accumulation over the long-term. Even Yan Hui, the best disciple of Confucius, could not know The Principle of Heaven through the study of only one thing. The things in the world are countless, so it is impossible to know all the principles of all things. Thus, the only method is to accumulate this understanding little by little. Cheng Yi said that learners should “investigate a thing today, and another one tomorrow.” After a long period of accumulation, students may achieve a wide and far-reaching penetration, achieving the investigation of things and the perfection of their knowledge. They can then possess a clear understanding of both the appearance and the substance and both the detail and the overall picture of things, possessing enough knowledge about the order of things, and also manifest the inherent order of people’s hearts, making the order of the mind concrete and becoming the guide of people’s actions.

46

Zhu Xi, Sishu Zhangju Jizhu, 1983, pp. 6–7.

Chapter 14

Be Your Own Master: The Philosophy of Lu Jiuyuan

Lu Jiuyuan (陆九渊, 1139–1193), style name Zi Jing (子静), was also known as Mr. Xiangshan (Xiang Shan Xian Sheng, 象山先生) because he once taught at Mount Xiang (Xiang Shan, 象山) in Guixi (贵溪) and called himself Xiang Shan Ju Shi (象山居士). Lu began to engage in philosophical thinking from a young age. At thirteen, when he read the claim “Space in all directions is called Yu (Si Fang Shang Xia Yue Yu, 四方上下曰宇), and all time from past to future is called Zhou (Wang Gu Lai Jin Yue Zhou, 往古来今曰宙)” in the Shi-Zi 《尸子》 ( ), he experienced a realization and came to the famous conclusion, “The universe (Yu Zhou, 宇宙) is my mind, and my mind is the universe.”1 When Lu heard Cheng Yi’s teaching from others in his youth, he said, “I feel hurt,”2 and believed that Cheng Yi’s ideas were “quite different from the words of Confucius and Mencius.”3 Of course, we cannot consider Lu’s claim that “the universe is my mind, and my mind is the universe” to be an expression of subjective idealism. What Lu meant is that “all duties in the universe are mine and my duty is not something unrelated to the universe,”4 and he claimed that human beings should be responsible for all things under Heaven. This is consistent with Cheng Hao’s attitude toward benevolence, which is the state when man exists within the wholeness of the myriad things between Heaven and Earth,5 and Zhang Zai’s main idea in The Western Inscription. After his enlightenment in his early years, Lu became extremely confident in himself. In my opinion, Lu’s philosophy can be considered an extreme, purified, and simplistic philosophy derived from Mencius. Lu grasped Mencius’ thoughts wholly, and pointed out the most Lu Jiuyuan 陆九渊, The Biography (Nian Pu,《年谱》 ), in The Complete Works of Lu Jiuyuan (Lu Jiu Yuan Ji,《陆九渊集》 ), Beijing: Zhonghua Press, 1980, pp. 482–483. 2 Yang Jian 杨简, Xian Shan Xian Sheng Xing Zhuang 《象山先生行状》 ( ), in Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 388. 3 Ibid. 4 Ibid. 5 Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 15. 1

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crucial aspects of Confucianism. But in fact, the radicalization, purification, and simplification of these ideas could only have appeared in the intellectual atmosphere of Northern Song and early Southern Song Dynasty Neo-Confucianism. Lu passed the civil service examination at the age of thirty-four. After reading Lu’s examination essay, Lv Zuqian, the examiner at the time, “praised Lu publicly and was too excited to stop knocking on the table,” exclaiming, “The author of this essay is extremely knowledgeable; it must belong to Lu Jiuyuan of Jiangxi.”6 Lv Zuqian immediately ranked Lu Jiuyuan highly. Although Lu’s official career was not very prominent, he made considerable political achievements wherever he was assigned.

1 The Original Mind The concept of “the original mind” (Ben Xin, 本心) is at the core of Lu Jiuyuan’s philosophy and the key to understanding his thought. Lu’s concept of the original mind originated in the works of Mencius. In particular, he used Mencius’ concepts of “innate knowledge” (Liang Zhi, 良知) and “innate ability” (Liang Neng, 良能) to explain the concept of the original mind, and emphasized that “innate knowledge” and “innate ability” are “inherent in me rather than acquired externally.”7 In other words, the original mind is not cast or shaped by outside forces, but is inherent within me. The original mind is a moral emotion. The root of Lu’s concept original mind is the idea of the four sprouts in the philosophy of Mencius. There are two explanations of the four sprouts in The Mencius. One is sympathy, shame, respect, and judgment (2A·2), and the other is sympathy, shame, courtesy (Gong Jing, 恭敬), and judgment (6A·6). In the first explanation, Mencius emphasizes that “sympathy is the sprout (Duan, 端) of benevolence, shame is the sprout of righteousness, respect is the sprout of rituals, and judgment is the sprout of wisdom.” There are different interpretations of the word Duan in this passage. For example, Zhu Xi thinks that Duan should be understood as “phenomenon” or “appearance,” claiming that sympathy is the appearance of benevolence. Zhu Xi thinks that benevolence is human nature while sympathy is a kind of emotion, which means that benevolence is the substance and sympathy is its function.8 However, in another interpretation, Duan is understood as the sprout, the bud, or the seed. However we interpret it, sympathy, in this context, is not the same as benevolence. However, in the second explanation of the four sprouts, Mencius also says, “Sympathy is benevolence, shame is righteousness, courtesy is ritual, and judgment is wisdom.” Lu often uses the latter expression, equating the moral emotions of sympathy, shame, courtesy, and judgment with benevolence, 6

Lu Jiuyuan, Nian Pu, in Lu Jiu Yuan Ji, 1980, pp. 486–487. Lu Jiuyuan, A Reply To Zeng Zhaizhi (Yu Zeng Zhai Zhi,《与曾宅之》 ), in Lu Jiu Yuan Ji, 1980, p. 5. Also, Lu Jiuyuan, A Reply To Zhao Jian (Yu Zhao Jian,《与赵监》 ), in Lu Jiu Yuan Ji, 1980, p. 9. 8 Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 238. 7

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righteousness, rituals, and wisdom, which is the key to his concept of the original mind. The concept of the original mind can be understood from two aspects. On the one hand, the mind must be related to awareness (Zhi Jue, 知觉), and the original mind possesses the awareness of law which is not obscured by desires. On the other hand, the original mind also indicates a certain kind of moral emotion. The moral emotion generated from the original mind is an emotion that is natural, spontaneous, reasonable, and non-utilitarian. The most common example that Lu uses is the example that Mencius gave: “If a person suddenly sees a baby falling into a well, he must have sympathy for it.” In Mencius’ expression, the word “suddenly” (Zha, 乍) emphasizes the non-utilitarian nature of the emergence of this moral emotion, which is natural and not deliberate. If we see a baby or a young animal hurt or in danger, sympathy will inevitably emerge, and so will shame, courtesy, and judgment in other situations. According to Lu’s understanding, the moral emotion that inevitably emerges is called the original mind. In fact, in Lu’s philosophy, these different meanings of the original mind are combined. We can regard the original mind as “the original substance of the mind” (Xin Zhi Ben Lai Zhi Ti, 心之本来之体), that is, the nature of human mind. If the human mind is not obscured by desires, it will include the moral emotions of sympathy, shame, respect, and judgment. And, in Lu’s view, these moral emotions are purely good, thus, the behaviors which originate from these moral emotions are also good. The reason why people act in evil ways is because our moral emotions are obscured by our material desires. Lu Jiuyuan was a charming person and a very good teacher, often making people understand his ideas with only a few words. Once his disciple Zhan Fumin (詹阜 民) asked him how to understand the original mind. At that time, Lu was sitting next to Zhan. Lu stood up suddenly, and Zhan followed his master and stood up immediately without any consideration. Lu pointed at Zhan and asked, “Were there any arrangements needed?”9 Was there any consideration before Zhan’s behavior? Isn’t this the emergence of the original mind? Zhan’s behavior reflected his respect, which is included in the four sprouts. The less thinking, consideration, and reasoning you engage in before acting, the more fully the emotion of respect will emerge. Everyone possesses this emotion of respect, and this is the original mind of human beings. If the original mind is manifested without any obscurations of desire, our moral self-cultivation will be complete. For Lu, whether the Confucian way of life was reasonable or not was no longer the question. He strongly believed that the Confucian way of life was reasonable and indubitable, and there was no need to prove it. His philosophy, which is simple and direct, was based on the construction of Neo-Confucianism in the Northern Song Dynasty. Lu’s concept of the original mind was inherited from Mencius directly, and is a simplification and purification of Mencius’ thought.

9

Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 470.

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2 The Mind is the Principle of Heaven Lu’s ideological construction, in the Neo-Confucian atmosphere of the Northern Song, would have been impossible without the inclusion of the concept of The Principle of Heaven. Therefore, Lu found he must deal with the problem of the relationship between the original mind and The Principle of Heaven. Lu Jiuyuan put forward the statement that the mind is The Principle of Heaven (Xin Ji Li, 心 即理), differs obviously from Cheng Yi and Zhu Xi’s theory that human nature is The Principle of Heaven (Xing Ji Li, 性即理). Cheng Yi says, “Nature is the same as The Principle of Heaven. This is what we call the nature of principle.”10 As the inherent tendency of human beings, human nature is the realization of The Principle of Heaven in humans. Zhu Xi believes that Cheng Yi’s statement is “infallible”. However, there is a key problem in the statement: how can the mind and human nature be united? Although human nature is the inherent tendency of human beings, it can only be fully expressed through the activity of mind. For Cheng Yi and Zhu Xi, who claim that human nature is The Principle of Heaven, two problems seem to be left unsolved. (1) Where does the activeness of the mind come from? (2) What is the exact relationship between the mind and The Principle of Heaven? One reason for the profound influence of Lu Jiuyuan and Wang Yangming’s school of learning (Lu Wang Xin Xue, 陆王心学) is that they explain the coherence between the human mind and The Principle of Heaven, which originates in the coherence between human beings and Heaven. The active function of the human mind is the direct manifestation of the absolute creation, i.e., The Principle of Heaven. Lu Jiuyuan emphasizes the objectivity of The Principle of Heaven. He says, “This principle is inherent in the universe,”11 and “This principle exists in the universe objectively. It does not emerge because of the confirmation of human beings and will not be destroyed because of our ignorance.”12 The Principle of Heaven possesses objectivity, inevitability, and universality. Therefore, Lu’s claim about The Principle of Heaven is consistent with Zhu Xi’s in all major aspects. What then is the relationship between the original mind and the objective, universal, and inevitable Principle of Heaven? Lu believes that “The mind is The Principle of Heaven.”13 Here, “the mind” refers to the original mind, which is the same as “the commonality of the mind of all human beings” (Xin Zhi Suo Tong Ran, 心之所同然) in The Mencius (6A·7). “People’s mouths are different, but they all love good tastes. People’s ears are different, but they all love touching music. People’s eyes are different, but they all love beauty. Is there not an object that all different people’s minds can love commonly? That which different people’s minds love commonly are the Principle of Heaven and righteousness. The sages’ mind and mine are the same, but they know the common object of the mind of all human beings before I do.” We have a common preference for tastes and sounds, and we certainly also have a common preference 10

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 292. Lu Jiuyuan, A Reply To Zhu Xi (Yu Zhu Yuanhui,《与朱元晦》 ), in Lu Jiu Yuan Ji, 1980, p. 28. 12 Lu Jiuyuan, Yu Zhu Yuanhui, in Lu Jiu Yuan Ji, 1980, p. 26. 13 Lu Jiuyuan, A Reply To Li Zai (Yu Li Zai,《与李宰》 ), in Lu Jiu Yuan Ji, 1980, p. 149. 11

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for The Principle of Heaven and righteousness. Everyone’s mind is the same, but the sages “know the commonality of the mind of all human beings before I do.” If the original mind and The Principle of Heaven are separated in a theory, the theory will necessarily expose itself in having two foundations. Objective, universal, and inevitable principles are the foundations of all things, and human behaviors which originate in the original mind are the foundations of all events. However, the two foundations should be the same. Therefore, Lu says: The mind is one, and The Principle of Heaven is also one. There should only be one foundation. So, the mind and The Principle of Heaven are not separated two items.14

The minds of all people are essentially the same. Although the specific contents of the minds of others and of my mind are different, they are the same in their functions of differentiation, perception, and reflection. Although the forms of all things vary widely, they are all rooted and based on The Principle of Heaven. Concrete objects possess different properties, but they all engage in constant changing while maintaining their identities. The human mind can understand different situations by assigning different arrangements to related people and things. This is the manifestation of the universality of the function of the mind. Since humans can categorize things with our minds, the human mind must be able to perceive the principles of things. From this we can see that principles are not outside the human mind. Since, on the one hand, The Principle of Heaven is the universal source and basis of things, and, on the other hand, the mind is universally capable of perceiving how things are and should be arranged according to principle, The Principle of Heaven and the mind must be consistent in essence. Lu Jiuyuan’s proof of the identity of the mind and The Principle of Heaven is one of the most concise and exquisite arguments in the history of Chinese philosophy. The difficulty of the theory that “the mind is The Principle of Heaven” lays in the fact that “the mind,” which all people theoretically share, can be regarded as The Principle of Heaven, but all of our desires and selfish thoughts are inconsistent with The Principle of Heaven. Some scholars believe that the only correct expression of Lu’s thought should be “The original mind is The Principle of Heaven” (Ben Xin Ji Li, 本心即理). From the perspective of the original mind, the benevolence, righteousness, rituals, and wisdom, which are the nature of Heaven and Earth, will naturally manifest as the emotions of sympathy, shame, respect, and judgment when implemented in human behavior. However, in Lu’s various discussions on “mind,” it is often emphasized that perception, considerations, and feelings are also the different contents of the mind. This makes, in Lu’s philosophy, the contents of the concept “mind” much richer than the contents of the concept “original mind.” If we claim that “The original mind is The Principle of Heaven,” then where do wrong and evil thoughts come from? If the wrong and evil thoughts do not originate from The Principle of Heaven, does it not mean that there is a mind outside The Principle of Heaven? If we claim that “the mind is The Principle of Heaven,” then the mind is something directly realized and manifested rather than an essential tendency. 14

Lu Jiuyuan, Yu Zeng Zhai Zhi, in Lu Jiu Yuan Ji, 1980, pp. 4–5.

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In this way, does it not mean that everyone’s mind is the direct realization of The Principle of Heaven? If so, how can we understand the differences between different people and the necessity of self-cultivation? Due to the lack of detailed analysis in Lu Jiuyuan’s philosophy, these questions remain unsolved. This causes his outstanding demonstration of the unity of the mind and The Principle of Heaven fail to develop into a more in-depth and convincing system of thinking, which is regrettable. The school of Mind (Xin Xue, 心学, the philosophy of Lu Jiuyuan, Wang Yangming, and their disciples) focuses very much on the methodology of self-cultivation, and neglects to address these points. However, the approaches to self-cultivation are different for every individual. Therefore, we should not prescribe strict regulations on the methodology of learning and self-cultivation. The Neo-Confucians of the school of Mind each advocated their own methods as universal, causing many unnecessary disputes. This can be seen especially clearly in the later schisms that emerged between the disciples of Wang Yangming.

3 Gather Your Spirit and Be Your Own Master In Lu Jiuyuan’s thought, the expression that I appreciate most is “Gather your spirit and be your own master” (Shou Shi Shen Xin, Zi Zuo Zhu Zai, 收拾身心, 自作主 宰), which is the true spirit of Confucianism. In my understanding of Confucius and Mencius, the core meaning of benevolence is the state of “autonomy” (Zi, 自). “Benevolence” refers to the highest state of the activity of the mind, and it is the state in which people are their own masters. With this activity, there is the highest freedom of the mind. Therefore, self-reliance and autonomy are emphasized in Confucianism, and autonomy, in my opinion, is the essence of freedom. Here, it is necessary to do some analysis of the concepts of “activity” (Zhu Dong Xing, 主动性) and “necessity” (Bu De Yi, 不得已). If one’s existence is limited by his environment, without any desire or ability to change this environment, there will be no manifestation of activeness or autonomy. All living beings, from cells to complex life like human beings, have the ability to adapt to, change, and transcend their environment. The uniqueness of human beings is that human beings have the possibility to transcend all environments. For example, a man who decides to die for moral pursuits transcends the entire world as his background. Of course, since human beings exist in the form of individuals, they have various “necessities” that come from their physical bodies, such as their tendency of self-preservation. However, these material desires are not our essential necessities because self-preservation points to the finite nature of human beings. The activeness of the human mind, which points to the infinity of human beings, is the true essential necessity of human beings. The highest state of the activeness of human beings is the state when a man faces and actualizes the necessities that point to his infinite essence. This is also the core of the claim that one should “Gather your spirit and be your own master.” Only when the highest state of the activeness of the mind is achieved can moral emotions be truly

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reflected in our actions. The natural manifestation of the original mind and the four sprouts does not necessarily lead to effort of removing evil and keeping the good. Only the autonomous spirit and the highest state of the activeness of the mind which are acquired from “gathering your spirit and being your own master” can make our moral emotions persistent and implement them into our actions. If it is considered as an instruction of moral practices than a philosophical proof of the Confucian way of life, Lu Jiuyuan’s thought is straight and direct, and it presents the pure spirit of Confucianism. If the philosophical demonstration of the Confucian way of life is not needed, moral cultivation and practice become the core of NeoConfucianism. In such an atmosphere, Lu’s claim that one should “Gather your spirit and be your own master” is extremely influential and inspiring. In Lu’s view, if the original mind is well kept, “a person will have sympathy when he should have it and have respect when he should have it.”15 The correct manifestation of sympathy and respect is the result of the full development and actualization of activeness. The emphasis of the development and actualization of activeness can be easily found in Mencius’ philosophy and it is also the continuation of Confucius’ spirit of “benevolent emerged from one’s self rather than from others” (Wei Ren You Ji, Er You Ren Hu Zai, 为仁由己, 而由人乎哉). However, there must be righteousness and wisdom in this activeness of mind. Human beings cannot only have emotions, and cannot only have overflowing moral emotions. They will not be able to maintain the direction of the mind until they are led by righteousness and wisdom. With righteousness and wisdom, this spirit in the highest state of the activeness can lead human beings to advance in the correct direction determined by the mind.

4 The Investigation of Things and Sitting Quietly Lu Jiuyuan’s thought was developed in the basic background of Song Dynasty NeoConfucianism, when “the investigation of things” was an important topic of discussion. Lu offered direct proposition on “the investigation of things.” As for the interpretation of the two words—Ge (格) and Wu (物)—in “the investigation of things” (Ge Wu, 格物), Lu’s attitude is the same as Cheng Yi and Zhu Xi’s. He says: Ge (格) means Zhi (至), which is the same as Qiong (穷, the basic meaning of this word is ‘completely’) and Jiu (究, which means to research), meaning that one should study hard and research deeply to reach a full understanding.16

Lu also interprets the word Ge as Zhi, which seems the same as Zhu Xi’s interpretation. But by saying “one should study hard and research deeply to reach a full understanding,” Lu does not want students to focus on knowledge of external things. On the contrary, he would like us to return to our hearts and minds, following The Principle of Heaven and reducing our desires in everyday affairs. So, he says: 15 16

Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 456. Lu Jiuyuan, Ge Jiao Zhai Shuo 《格矫斋说》 ( ), in Lu Jiu Yuan Ji, 1980, p. 253.

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“Ge Wu means to understand this (Ci, 此)”.17

“This” (Ci, 此) refers to “me” (Wo, 我), meaning the principle of this mind (Ci Xin Zhi Li, 此心之理). Lu thinks that “to understand the principle” (Ming Li, 明理) is “to understand the principle of this mind” (Ming Ci Xin, 明此心), so he thinks that “the investigation of things” (Ge Wu, 格物) is the same as “the investigation of this mind” (Ge Ci Xin, 格此心). Lu strongly agrees on Mencius’ expression, “All the myriad things are complete in me” (Wan Wu Jie Bei Yu Wo, 万物皆备于我, in Mencius 7A·4). In Lu’s view, since all principles are complete in this mind, we only need to explain the principle of the mind, and we will know the principles of the myriad things naturally. The original mind in Lu’s philosophy refers to the common structure of the minds of all human, and the investigation of things means to make this structure clear. If the desires that obscure the mind are removed, this principle will naturally manifest. The manifestation of this Principle of Heaven, which is purely good, is the good will. Under the guidance of this good will and the mind in the highest state of activeness, which can help people “gather their spirit and be their own masters,” we will naturally act in the correct way. This is Lu’s straightforward understanding of the investigation of things. The easiest way to practice this cultivation of the mind is to sit quietly. Lu advocates the method of sitting quietly, regarding it as his basic methodology of selfcultivation. Once, Lu told one of his disciples, “It is good for scholars to keep their eyes closed.” So, the disciple “sat and rested his eyes when there was nothing to do, and kept quiet day and night. He practiced this for half a month.” Finally, one day, “[He] suddenly realized that his mind was very clear and pure,” so he came to visit Lu. Upon seeing him, Lu said, “The principle has already been revealed.” “How do you know this?” The disciple asked in surprise. Lu said, “I know it by watching your eyes.”18 Lu preferred a straight and direct methodology. He often said that his method was to “reduce the burden” (Jian Dan Zi, 减担子). For example, it is recorded in The Analects, ‘The youth should be filial at home and brotherly with others’ (1·6). Confucius’ words are very clear and direct, and what students should do is to act according to the master’s direction rather than writing explanations of or annotations to his sayings. Scholars are exhausted from the study of the text, and so their burden becomes heavier and heavier. Therefore, I would like to reduce their burden, and this is the investigation of things.19

If the student can distinguish right from the wrong, “holding the most important at first” (Xian Li Hu Qi Da, 先立乎其大), the subsequent method will naturally appear when handling affairs. This is an important supplement to Zhu Xi’s philosophy. Zhu Xi did not emphasize “holding the most important at first,” and his disciples focused on the study of ancient texts, passing the civil service examinations, and acquiring lofty official positions. If a student does not understand Zhu Xi’s spirit through his teachings, he may go to the wrong way and betray the doctrine of Confucius. 17

Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 478. Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 471. 19 Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 441. 18

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It is precisely because of his emphasis on straightforwardness that Lu does not pay attention to reading or the understanding of The Principle of Heaven through discussion or lecturing. Someone once asked Lu why he did not write annotations to the classics. Lu replied, “The six classics are annotations to me. Why would I need to make annotations to the texts?” Here, the word “me” refers to one’s mind, which is, in Lu’s philosophy, also The Principle of Heaven. The principle in one’s mind is the same as The Principle of Heaven discussed in the six classics. Therefore, Lu says: If a student knows the essence of learning, the six classics are all annotations to him.20

If a student knows the essence of learning, the six classics are the revelation and interpretation of the principle of one’s original mind. This spirit, in a time when a utilitarian attitude towards Confucianism was popular, has the effect of changing a corrupt intellectual atmosphere.

5 The Relationship Between Righteousness and Profit Lu Jiuyuan talks a lot about “the relationship between righteousness and profit” (Yi Li Zhi Bian, 义利之辨), which is consistent with the spirit of his insistence that one must “gather your spirit and be your own master.” There is a dialogue between Lu Jiuyuan’s two disciples—Fu Ziyuan (傅子渊) and Chen Zhengji (陈正己)—from which the character of Lu Jiuyuan’s philosophy can be fully shown: After Fu Ziyuan returned to his home, Chen Zhengji asked him, ‘What is the first thing Master Lu would like his disciples do?’ ‘To have a correct will,’ Fu replied. Chen continued to ask, ‘How does one do that?’ Fu replied, ‘By knowing the relationship between righteousness and profit.’21

To know the relationship between righteousness and profit is one of the most fundamental principles of Confucianism, but in our emphasis on this principle today, I think there are two mistaken attitudes. One is that we forget the value of righteousness and to focus on the pursuit of profit, and the other is to regard the tension between righteousness and profit as absolute. It is wrong to regard the conflict between righteousness and profit as absolute and unyielding. It is said in the hexagram Wu Wang (无妄) in The Book of Changes, “If one does not count on the harvest while plowing, nor on the use of the ground while clearing it, it furthers one to undertake something.” In both Cheng Yi and Zhu Xi’s annotations, knowing the relationship between righteousness and profit is considered the central meaning of the saying. Both Cheng and Zhu indicate that this meaning is the same as Dong Zhongshu’s (董仲舒, 179 B.C.–104 B.C.) famous proposition, “We should do the right thing without the consideration of profit and follow the Dao without a concern for merit.” The distinction 20 21

Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 395. Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 398.

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between righteousness and profit is emphasized in Confucianism, but the distinction is not absolute. For example, we must work hard to farm no matter how much we are able to harvest. But if it is certain that there is no possibility of harvesting, the man who continues to farm is lacking in intelligence. We appreciate Confucius’ attitude that “I will do the right thing even if I know I will not succeed,” but we must understand that Confucius’ ideal is possible to be achieved. It is very important to make judgments which balance righteousness and profit. In our daily lives, the essence of our considerations is the balance and synthesis of various elements, in which our will plays a crucial role. The distinction between the nobleman and a normal person lies in “their most fundamental purpose” for acting. Thus, Lu’s emphasis on distinguishing one’s will is very valuable. In human behavior, our will provides the basis for distinguishing good from evil. Do you want to be a good person or a bad person? Do you act for the benefit of the public or for your own profit? The answers to these questions lie in your will. This is the most inspiring part of Lu Jiuyuan’s philosophy, and to focus on the correctness of one’s will is the core idea of the school of Mind. This is also the reason that Lu’s oversimplified theory became an important milestone in the development of Song and Ming Dynasty Neo-Confucianism. Lu says: I never judge people by their words or deeds, nor from their merits, but instead I directly see through their minds and judge from their will.22

When Lu tries to “see through the minds and judge from the will” (Diao Chu Xin Gan, 雕出心肝), the key issue he examines is one’s attitude towards the relationship between righteousness and profit. This is not only a method of judging others, but also a method judging one’s self. If you hold a strict attitude towards others, you may be too harsh, but if you ask yourself to behave according to this consistent standard, you will undoubtedly possess the key to righteousness. The paths of the Confucian Revival Movements in the Northern Song Dynasty were varied. Among the many schools, the school of Principle (Li Xue, 理学) stands out not only because of the influence of the intellectual environment of the era— as many studies in intellectual history have tried to show—but also because of the quality of its philosophy. Its lofty philosophical ideals, effective argumentation, and persuasiveness were the key elements of its eventually status as the Chinese intellectual orthodoxy for centuries to come. In the Northern Song Dynasty, all schools of Neo-Confucianism appeared together, including the school of Principle (the five masters and their disciples), the school of Northern China (Shuo Xue, 朔学, Sima Guang and his disciples), the school of Sichuan (Shu Xue, 蜀学, the Su brothers (Su Shi (苏轼) and Su Zhe (苏辙)), their father, (Su Xun (苏洵)) and their disciples), and the New School (Xin Xue, 新学, Wang Anshi and his disciples). For a long time, the New School and the school of Sichuan were more influential than others, while the school of Zhang Zai and the Cheng brothers (Guan Luo Zhi Xue, 关洛之 学), especially the school of the Cheng brothers (Luo Xue, 洛学), were suppressed. However, in the early years of the Southern Song Dynasty, the school of the Cheng 22

Lu Jiuyuan, Lu Jiu Yuan Ji, 1980, p. 466.

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brothers became the most prominent. The most fundamental reason for this is that their school truly grasps the direction of the Confucian Revival Movement, and therefore its philosophy was of a high quality. In the early years of the Southern Song, the huge influence of the school of the Cheng brothers began to emerge. The philosophy of the Cheng brothers became the mainstream of the intellectual world of the literati. The ideas of all Neo-Confucians of that era were related to the thought of the Cheng brothers. In the years of the Qiandao (乾道, 1165–1173) and Chunxi ( 淳熙, 1174–1189) eras, several important thinkers appeared, who were called “the noblemen of the years of Qiandao and Chunxi” (Qian Chun Zhu Lao, 乾淳诸老) by later generations. Among them, Zhu Xi, Zhang Shi, and Lv Zuqian were the most important. Although their philosophies were quite different, they were all disciples of the Cheng brothers. Among them, Zhu Xi undoubtedly occupied the central position. On the one hand, although Zhu Xi was the philosophical successor of the Cheng brothers, Zhu Xi’s family was less influential than the family of Zhang Shi and the family of Lv Zuqian. On the other hand, Zhu Xi’s influence, due to his thought, soon surpassed the influence of Zhang and Lv. Compared with Zhu, Zhang, and Lv, the influence and status of other thinkers from the years of the Qiandao and Chunxi eras were relatively weak, including that of the Lu brothers of Jiangxi and Chen Liang ( 陈亮, 1143–1194) of the east of Zhejiang. Unlike “the noblemen of the years of Qiandao and Chunxi,” the Lu brothers of Jiangxi were not inheritors of any tradition; thus, they were not very influential in literati circles. Lu Jiuyuan offered extreme expressions of his thought and was easily excitable. I think Lu’s position and his method of expression were related. This is one of the reasons that the academic debates between Zhu Xi and Lu Jiuyuan eventually developed into quarrels. Lu Jiuyuan was indeed a hero. If he lived in the Northern Song Dynasty, he might have developed a sophisticated philosophy. However, in the Southern Song Dynasty, the framework of Neo-Confucianism had already been established and the possibility of the creation of new theories was eliminated. Zhu Xi’s synthesis of the philosophies of the five masters truly grasped the theme and direction of the Southern Song philosophical developments. Lu Jiuyuan’s concept of the original mind was put forward under the background that Confucianism has become the dominant ideology of the court-officials. Through criticism of Buddhism and Daoism, Neo-Confucianism in the Northern Song Dynasty established its own tradition and completed the work of laying the philosophical foundation for a Confucian way of life. The fruits of their efforts begin to be fully accepted in the Southern Song Dynasty, and this led to the emergence of Lu Jiuyuan and his confident philosophical expressions. When the urgency and necessity of defending the Confucian way of life were forgotten, Cheng Yi’s methodology of the investigation of things, which can be regarded as a kind of external seeking, was suspected of being useless and misleading. The search for straightforward method then naturally appeared.

Chapter 15

The Principle of Heaven is not Outside the Mind: The Philosophy of Wang Yangming

Wang Yangming (王阳明), whose given name is Shou Ren (守仁) and style name is Bo An (伯安), was originally named Wang Yun (王云), and possessed the official title of Wen Cheng (文成) after his death from the imperial court. Wang was born in the eighth year of the Chenghua era (成化八年, 1472A.D.) in the reign of Emperor Xian Zong in Ming Dynasty (明宪宗), and died in the seventh year of the Jiajing era (嘉靖 七年, 1529A.D.) in the reign of Emperor Shi Zong (明世宗). Wang’s ancestral home was in Yuyao, Zhejiang (浙江余姚), and he moved with his father to Kuaijishanyin ( 会稽山阴, now the city of Shaoxing, 绍兴) when he was young. Because he studied Daoism at Yang Ming Dong (阳明洞) i.e., Mount Kuaiji (Kuai Ji Shan, 会稽山), he later became known as Mr. Yangming (Yang Ming Xian Sheng, 阳明先生). Wang Yangming was a descendant of the Wang clan in Langya (Lang Ya Wang Shi, 琅琊 王氏), the most famous members of which were Wang Xizhi (王羲之, 303-361) and Wang Xianzhi (王献之, 344-386). Daoist practices were a tradition of the Wang clan in Langya, and Daoist mysticism was always manifested in Wang Yangming’s life experience. The legend of his birth was recorded in The Biography of Wang Yangming (Yang Ming Nian Pu,《阳明年谱》 ). It is said that on the night when Wang Yangming was born, his grandmother heard a drum in a dream, when a goddess in red clothes gave a baby to her from a cloud. When she awakened, Wang Yangming was born. Because this child was sent from a cloud, he was named Wang Yun (王云, because the word Yun (云) means cloud). Wang Yangming, unfortunately, could not speak until he was five years old. One day, a monk passed by him and said, “What a good boy! However, it is a pity to speak the secrets of Heaven out loud!” After that, his name was changed to Wang Shouren (王守仁, the word Yun (云) also means to speak). Wang Yangming led a life full of surprises and miracles. In his education, there was a time known as the period of “the five losses” (Wu Ni, 五溺). At first, Wang Yangming tried to be a swordsman, and lost his way for the first time. He was then fascinated by riding and archery, and lost his way for the second time. He then indulged in the writing of poems and essays, and lost his way for the third time. He then devoted himself to Daoist practices, in an attempt to become immortal, and lost his way for the fourth time. He then became fond of Buddhism, and lost his way for the fifth time. It © Peking University Press 2023 L. Yang, Fifteen Lectures on Chinese Philosophy, https://doi.org/10.1007/978-981-19-8481-5_15

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was in the first year of the Zhengde era (正德元年, 1506A.D.) that Wang Yangming began to return to the study of the sages.1

In the beginning, Wang Yangming was brave and valiant, possessing heroic dreams. Later, he liked to ride horses and practice archery. When he was a teenager, he ventured outside the Great Wall and “competed in horseback riding with the Mongols, and won.”2 As an adult, he indulged in literature. Wang Yangming’s poetry and essays are excellent, and have the power to reach people’s hearts, and thus he can be said to be second in prowess after only Mencius. Under the influence of his family, Wang then devoted himself to Daoist practice. According to his biography, he even gained the ability to forecast the future. But later, he realized that these practices were nothing more than mental games and a waste of spirit. He became obsessed with Zen Buddhism. However, after a long period of practice, he found that he could not abandon his relatives and still had a desire to live in the secular world. He then realized that the path of Buddhism was contrary to human nature, and finally returned to the study of the sages. The history of Wang Yangming’s spiritual development is quite complicated, but each stage had a profound impact on his later achievements. Wang claimed that “The Principle of Heaven is not outside the mind” (Xin Wai Wu Li, 心外无理), asking students not to seek The Principle of Heaven in external objects. However, he himself accumulated many rich experiences. His innate knowledge (Liang Zhi, 良知) was cultivated through thousands of difficulties. Although Wang Yangming was an intelligent young man, he did not pass the civil service examination until he was twenty-eight years old. At the age of thirty-five, because of his opposition to the eunuch Liu Jin (刘瑾), who was in control of the government at that time, he was flogged forty times at court and demoted to serve a post in Longchang, Guizhou (贵州龙场). On his way, Wang experienced many dangers. In Longchang, he “lived with barbarians and encountered troubles” (Ju Yi Chu Kun, 居夷处困), but he finally reached a thorough understanding of the meaning of the investigation of things. This was Wang’s famous Longchang Enlightenment (Long Chang Wu Dao, 龙场悟道). At that time, Wang began to develop ideas of his own. In the fourteenth year of the Zhengde era (正德十四年, 1519 A.D.), Wang Yangming was forty-eight years old. After years of preparation, Zhu Chenhao (朱宸 濠, 1476-1521), who was then King of Ning (宁王), rebelled and occupied Jiujiang (九江), enabling his troops to threaten Nanjing (南京). This was a major crisis for the Ming court. On the way to his position in Jiangxi, Wang Yangming summoned righteous men and immediately formed an army, and after three major battles, he finally captured Zhu Chenhao. Wang’s quelling of Zhu’s rebellion greatly increased his influence. The later influence of Wang Yangming’s philosophy was inseparable from the success of his career. Wang’s status and influence placed enormous pressure on his fellow scholars. For example, Wang advocated the theory of innate knowledge in his later years. Upon hearing his ideas, his friend Huang Wan (黄绾, 1480-1554) sighed Wu Guang 吴光 ed, The Complete Works of Wang Yangming (Wang Yang Ming Quan Ji,《王阳 明全集》 ), Shanghai: Shanghai Ancient Book Press, 1992, p. 1401. 2 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 1222. 1

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and said, “How simple and direct it is! It must be the study of the sages.”3 Huang then became a disciple of Wang’s. Although we cannot say that Wang’s intellectual influence was mainly due to his political achievements, the two were certainly related. During the final six or seven years of his life, Wang Yangming spent his time in Shaoxing. By that time, he was famous all over the empire. Countless people from all directions “came with food,” and fulfilled up all the guest houses near his home. “People shared beds and slept in turns, and they sang from night to morning.”4 From this record, we can imagine the grandeur of these trips to study with the Master. In Wang’s final years, his philosophy became more straightforward than before, and it spread more widely and gained influence. In the sixth year of the Jiajing era (嘉靖 六年, 1527 A.D.), there were riots in Si’en and Tianzhou (思恩 and 田州, both in Guangxi), and the imperial court commanded Wang Yangming to quell the rebellion. The eve of Wang Yangming’s departure was the Mid-Autumn Festival. Wang wrote a poem in the midst of a gathering with his disciples. The moon is bright everywhere during the Mid-autumn Festival, but is there any place where all talents gather like here? If one devotes himself to the study of the sages which has been honed for thousands of years, he will never fail to live as a true man! Although the influence of Zhu Xi is great, I am still hesitant about his philosophy. I would be ashamed to be another Zheng Xuan (郑玄, 127-200) who possessed only useless and fragmented knowledge. In the spring breeze, Zeng Dian (曾点) plays the zither freely. This ambitious man with courage wins my esteem.

Wang Yangming soon quelled the rebellions in Si’en and Tianzhou. On the way back, he died in Nan’an (安南, now Dayu County (大余) in Jiangxi). There are two different records of Wang Yangming’s death. In the first recroding, he passed away peacefully without leaving a word. In the other recroding, one of his disciples cried and asked for his last words, but Wang replied, “This mind is bright and luminous, what else is there to say?” (Ci Xin Guang Ming, Yi Fu He Yan, 此心光明, 亦复何 言?).5

1 The Principle of Heaven is not Outside the Mind Wang Yangming’s philosophy is close to that of Lu Jiuyuan. Both of Wang and Lu claimed that “The mind is The Principle of Heaven” (Xin Ji Li, 心即理), but their starting points in reaching this claim were different. Wang also became more extreme than Lu in his philosophy. Wang claimed “The Principle of Heaven is not outside the mind” (Xin Wai Wu Li, 心外无理), which was constantly questioned by his friends and disciples. However, it is possible to defend him from a philosophical point of See Huang Zongxi, Ming Ru Xue An 《明儒学案》 ( ), Beijing: Zhonghua Press, 2008, p. 280. Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p.118. 5 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 1324. 3 4

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view. There are also many problems with Wang’s interpretations of the classics. For example, his interpretation of “the investigation of things” can be disproved. To give another example, his insistence on reading the ancient version of The Great Learning from The Book of Rites was unreasonable. Classical philology was not Wang’s forte. However, he made justifications for all of his claims. In my lecture on Lu Jiuyuan, I said that in Lu’s time, many Confucians did not realize the necessity of providing arguments for the correctness of the Confucian way of life, and which was taken for granted. Wang Yangming’s era was even more extreme; the worldview and method of self-cultivation of Zhu Xi had already been taken for granted. From Wang’s experiences, we know that at that time very few people would have been willing to question Zhu Xi, and the even fewer number of original philosophers were all followers of Zhu Xi. At first, Wang Yangming also studied Zhu Xi’s philosophy. During his studies in a private academy, he asked his teacher what was the most important thing for a student. The teacher replied that to score highest in the civil service examination was the most important thing. But Wang immediately expressed his doubts. He believed that the most important was becoming a sage. Influenced by Zhu Xi’s philosophy, Wang believed that in order to become a sage, a person must first investigate things. He asked his friend Mr. Qian to join him in investigating the principle of the bamboo in the garden. Mr. Qian investigated the bamboo for three days, until he fell ill and gave up without gaining any knowledge. Wang Yangming continued to investigate the bamboo, but he too became ill by the seventh day. It is obvious that both Wang and his friend Mr. Qian misunderstand Zhu Xi’s theory of the investigation of things. However, Zhu Xi’s method frustrated Wang, and Wang believed that it would be impossible for him to become a sage. From this story, we can confirm the dominance of Zhu Xi’s philosophy in Wang’s era. Zhu Xi’s method was regarded as the only correct way to learn. But after his experience of “living with barbarians and encountering troubles” in Longchang, Wang was provided with a new opportunity to resume his philosophical thinking. After experiencing a major political setback, and surviving his exile to a barbaric place, Wang must have undergone a reevaluation of his ideas. Wang asked himself what a sage would do in such a situation in Longchang. After resting his eyes and thinking hard for many days, he suddenly realized the meaning of the investigation of things. The Longchang Enlightenment solved a fundamental problem that confused Wang Yangming for a long time—“Are The Principle of Heaven and my mind separate existences?” In other words, he gained a new understanding of the relationship between the principles of external objects and the mind. Previous thinkers incorrectly divided them into two, but in fact they exist as a unity. There are two aspects of Cheng Yi and Zhu Xi’s theory of the method of selfcultivation. “Learners should be respectful, and should conduct the investigation of things.” The investigation of things, the extension of knowledge, the sincerity of will, and the correctness of mind constitute a fixed progressive order, of which the investigation of things is the starting point. Therefore, Zhu Xi says:

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On the one hand, we should know before acting. But on the other hand, acting is more important than knowing.6

In Zhu Xi’s theory, we must know before we can act. How could we act if we did not know how? However, acting is more important than knowing. When we say that someone knows filial piety, of course, it is because he has already practiced filial piety in a concrete way rather than just having heard about the abstract principle. Therefore, Zhu Xi emphasized the necessity and the priority of the investigation of things and the understanding of principles. He believed that we should understand the principles at first, and then we should make our will sincere, and then act according to those principles. Zhu Xi emphasized that we should know before acting, and there should be a link between our knowledge and our actions. In Zhu’s view, there is a clear order to this method from The Great Learning, which is: the investigation of things, the extension of knowledge, the sincerity of will, and the correctness of mind. Zhu’s concern is the practical process of moral behavior. In his view, one who wishes to behave well must go through the process of the investigation of things, the extension of knowledge, the sincerity of will, the correctness of mind, and the cultivation of self. Specifically, in the stages of “the investigation of things” and “the extension of knowledge,” students solve the problem of knowing. In the stage of “the sincerity of will” students make sure that what they know can be put into practice. When putting their knowledge into practice, it is inevitable that there will be deviations, because of problems with their state of mind. Through “the correctness of mind” students can solve these problems. In the stages of “the investigation of things” and “the extension of knowledge”, the problems which are related to the contents of the mind are solved. However, even if all the contents of the mind are good, student still cannot be sure of doing everything correctly because of the sluggishness of the mind. The most typical example is that if a person stays angry, he may be angry at the wrong people. As we can see, Zhu Xi regards the process from “the investigation of things” to “the cultivation of self” as a complete process of cultivating moral behavior. In his view, only in such a specific process of moral practice can a person’s morality be gradually improved, and his personality fully established. In An Explanation to the Chapter of the Investigation of Things and the Extension of Knowledge, he says: After exerting himself in this way for a long time, he will one day achieve a wide and farreaching penetration. Then the qualities of all things, whether internal or external, detailed or coarse, will all be apprehended, and the mind, in its total substance and great functioning, will be perfectly intelligent.7

Zhu Xi’s claim that “The mind, in its total substance and great functioning, will be perfectly intelligent” was accepted by Wang Yangming. In the process of the investigation of things, the total substance and great functions of the mind will become clear, and everything that used to be obscured will be revealed. The original mind, which used to be obscured by desires, will reappear. It is like a bronze mirror. A bronze 6 7

Li Jingde ed, Zhu Zi Yu Lei, 1986, p. 148. Zhu Xi, Sishu Zhangju Jizhu, 1983, p. 7.

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mirror should be able to reflect things clearly, but if there is rust on the mirror, it must be cleaned. After polishing the mirror, it will regain its “total substance,” and its “great functioning” will be manifested. What Wang did not accept was Zhu’s claim that “the qualities of all things, whether internal or external, detailed or coarse, will all be apprehended” because this claim encouraged students to pursue objective knowledge of the outside world. In moral practice, objective knowledge is very important, and Wang does not deny this claim. The most prominent of Wang’s early disciples was Xu Ai (徐爱, 1487-1518). When Wang first taught his doctrines of “the unity of knowledge and action” and “The Principle of Heaven is not outside the mind”, Xu Ai asked many questions. One of the focal points of his questions was the query of whether external objective knowledge is necessary in moral practice. For example, if one’s father is ill, should a son cut a piece of flesh from his body to make a soup for him, or boil the Chinese medicine and serve him the decoction instead? If one chooses to make decoction for him, what will it be? A warm potion that nourishes him, or the cold one that kills the harmful? Will the concoction be poisonous or non-toxic? What is the degree of toxicity? If a person knows nothing about all of these questions, he will not have the ability to take care of his father. Wang did not deny this point. The problem is that the acquisition of empirical knowledge does not promote the development of moral character. What Wang Yangming wants to let his readers consider are the following questions. Since all moral behaviors are based on wellestablished moral mindsets, then is the pursuit of specific pieces of knowledge necessary in the process of establishing our morality? What is the relationship between objective knowledge and the perfection of our morality? We cannot say that the more knowledge a person has, the more moral he will become. Therefore, the key question is, what is the meaning of external objective knowledge in the process of achieving our morality? If we investigate the bamboo as Wang did in his youth and obtain its principles, will the principles help us in the perfection of our morality? If our goal is to achieve morality, which is purely good without any obscuration of desires, the pursuit of objective knowledge seems to be unnecessary for this process. In Wang’s view, we should take the pursuit of a moral mindset as our goal. If this moral mindset is established, our will and actions will naturally be good. In this understanding, “the eight items” (Ba Tiao Mu, 八条目) in The Great Learning become the steps to achieving a moral mindset, which means that external objective knowledge can only be a burden, and at the very least unnecessary. A person with incomplete knowledge can also have a completed and kind heart. Similarly, a person with a well-established moral character may not necessarily possess knowledge. In my lecture on Lu Jiuyuan, I said that the greatest contribution of Lu was his emphasis on the distinction between righteousness and profit. The distinction is very important because if you understand it clearly, you will be able to chart a path for life. Now, Wang’s understanding of the relationship between the principles of objective things and the mind becomes clear. Unlike Zhu Xi, who pays attention to specific moral practices and emphasizes the gradual improvement of people’s moral mindset, Wang Yangming regards the perfection of moral personality as the only important goal. Thus, in Wang’s view, external objective knowledge is no longer necessary. Does it mean that Wang persuades students not to pay any attention to the principles of things? I do not think

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so. The real meaning of the Longchang Enlightenment is that it made Wang realize that “the principles of things” and “the mind” are identical. Therefore, it would be wrong to “separate the principles of things and my mind into two items” and to seek principles through the investigation of external objective things. Thus, he criticized Zhu Xi’s theory of the investigation of things, claiming that Zhu’s method wrongly led people to “go outside” (Wai Chi, 外驰) the mind and “chase things” (Zhu Wu, 逐物). In Wang’s view, in the process of constantly external seeking, the spiritual subject will be forgotten. The more a person pursues objective knowledge, the more he will lose his subjectivity and the highest activity of the mind. Wang expresses his understanding of the relationship between the principles of things and the mind in two propositions—“the mind is The Principle of Heaven” and “The Principle of Heaven is not outside the mind.” If Wang only claimed that “the mind is The Principle of Heaven,” his ideas would not have been different from the claims of Lu Jiuyuan. When Wang Yangming put forward the extreme expression “The Principle of Heaven is not outside the mind,” his students put forward many questions. For example, there is a dialogue in Instructions for Practical Living (Chuan Xi Lu,《传习录》 ). Xu Ai said: ‘If the highest good is to be sought only in the mind, I am afraid not all principles of things in the world will be covered.’ The Master said: ‘The mind is The Principle of Heaven. Is there any affair or principle in the world outside the mind?’ Xu Ai said: ‘For example, in filial piety in serving one’s parents, in loyalty in serving one’s ruler, in faithfulness in intercourse with friends, and in benevolence in governing the people, there are many principles which I believe should not be left uninvestigated.’ The Master sighed and said: ‘This saying has obscured the understanding of the people for a long time. How can they be awakened in one word? However, I shall comment along the line of your question. For instance, in the matter of serving one’s parents, one cannot look for the principle of filial piety in one’s parents. In serving one’s ruler, one cannot look for the principle of loyalty in the ruler. In the intercourse with friends and in governing the people, one cannot look for the principles of faithfulness and benevolence in friends and the people. They are all in the mind. The mind and The Principle of Heaven are identical.’8

Xu Ai thinks that in order to engage in specific moral practices, such as serving one’s parents, serving one’s ruler, intercourse with friends, and governing the people, we must gain detailed objective knowledge which are not readily available in our minds. Since this knowledge is not directly present in our minds, Xu Ai asks how can we not seek for it. Judging from the claim, “This saying has obscured the understanding of the people for a long time. How can they be awakened in one word,” Wang’s answer is only an expedient statement. The previous claim had obscured the understanding of the people for too long, so Wang could only “comment along the line of [the] question.” In Wang’s opinion, the moral principles of filial piety and loyalty do not come from their objects. In my lecture on Zhang Zai, when talking about the difference between “knowledge from seeing and hearing” and “knowledge from virtue and nature,” I said that the moral will of the subject was the initiator of 8

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 2.

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moral behavior. We cannot say that moral will derives from its objects. If a father is a good one, his son will express filial piety for him. But is it true that if a father is an evil one, it would be right for his son not to show filial piety toward him? If an emperor is a good one, we will be loyal to him. But is it true that if an emperor is an evil one, it would be right for us to betray him? In Wang’s view, all moral behavior must originate from a subject’s moral will and moral consciousness. This moral will does not come from its objects but from the subject. From the perspective that the mind is the initiator and origin of moral behaviors, we can say that all “goodness” is not outside the mind. In fact, what Wang emphasizes is that “the highest good is not outside the mind,” and the good comes from the moral will of the mind. This is one perspective to understand the proposition “The Principle of Heaven is not outside the mind.” In fact, Wang Yangming ignores Xu Ai’s question rather than answering it. Moral behavior is initiated by the mind, and thus it can be said that goodness is not external. But whether the principles of the world are outside the mind is still an unresolved question. Xu Ai said: ‘Having heard what the Master said, I begin to understand. However, in my mind there still lingers the old theory, from which I cannot entirely escape. For example, the filial son is to care for his parents’ comfort both in winter and summer, and to inquire after their health every morning and evening. These things involve many details. Should we not endeavor to investigate them?’ The Master said: ‘Why not endeavor to investigate them? The main thing is to have a basis. The main thing is to endeavor to investigate them by ridding the mind of selfish human desires and preserving The Principle of Heaven… If the mind is free from selfish human desires and is completely identical with The Principle of Heaven, and if the mind is sincere in its filial piety to one’s parents, then in the winter it will naturally think of the parents’ cold and seek a way to provide warmth for them, and in the summer, it will naturally think of the parents’ heat and seek a way to provide coolness for them.’9

Being filial to one’s parents requires knowing their comfort or discomfort, knowing how to keep them warm, and how to keep them cool. What can keep out the cold and what can cool them? How can these principles be derived from the mind? Here, Wang Yangming does not deny the necessity of objective knowledge in moral practice. In Wang’s reply that “The main thing is to have a basis” (You Ge Tou Nao, 有个头脑), “a basis” means a purpose, which refers to following The Principle of Heaven and reducing desires. When it comes to seeking objective knowledge, the first thing to be concerned with is the purpose of the pursuit. The purpose of using knowledge to do good things and the purpose of using it to make money are different. Therefore, there must be a basis, i.e., a correct leader—a perfect moral mindset. In order to develop such a perfect mindset, we must work hard to follow The Principle of Heaven and reduce our desires. In Wang’s view, the evil of human beings originates from the obscuration of our original mind by our desires. If desires are reduced, the mind will follow The Principle of Heaven. Filial piety will not be sincere unless it originates from this pure mind. The investigation of things will not be true or detailed unless it is based on filial piety. It can be deduced that the principles 9

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, pp. 2–3.

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of objective things also originate from our minds. For example, the development of medicine stems from people’s desire for survival. Empirical science must be related to the principles of objective things. Although the properties of things are objective, after being recognized by human beings and accepted in the human realm, they must be processed by the human minds and recognized as attributes and traits such as color, number, and tone. It can be said that all principles are not outside the human mind, and our depth of analysis and cognition lies in the intensity of human curiosity of knowledge. Here, Wang emphasizes the subjective conditions of the exploration of the principles of objective things. This is another aspect to understanding his proposition “The Principle of Heaven is not outside the mind.” “The Principle of Heaven is the order of the mind (Xin Zhi Tiao Li, 心之条 理).” This is one of Wang’s important statements. “This order of the mind can be manifested in different fields.” “It is manifested as filial piety to relatives, loyalty to the emperor, and faithfulness to friends.”10 The so-called “order” is the essential tendency or structure of the mind. When the mind functions, it must follow such a direction and path. In this sense, all the principles of things we recognize are also ways of existence endowed by the inner order of the mind onto the outside world. This is like Kant’s category of the understanding. For example, size, weight, and quantity are all concepts differentiated and named by the human mind. Of course, Wang’s previous statements are still expedient. This can be seen from what he said to Xu Ai: “I shall comment along the line of your question.” There are another two statements in Wang’s text, Instructions for Practical Living which reflect Wang’s true understanding of this issue. Zhu Bensi (朱本思) asked: ‘Human beings have innate knowledge because we possess intelligence. Do things like plants, trees, tiles, and stones also have innate knowledge?’ The Master said: ‘The innate knowledge of human being is the innate knowledge of plants, trees, tiles, and stones. Without the innate knowledge of human beings, plants would not be plants, trees would not be trees, tiles would not be tiles, and stones would not be stone. Furthermore, even Heaven and Earth would not be Heaven and Earth without the innate knowledge of human beings. For Heaven, Earth, the myriad things, and human beings are different parts of one whole. The point at which this unity manifests in its most refined and excellent form is the clear intelligence of the human mind.’11 The Master said: ‘Innate knowledge is the spirit of creation. This spirit creates both Heaven and Earth, becomes ghosts and destiny, and it is not merely an object. If human beings can repair it and make it whole, it will be the most joyful thing between Heaven and Earth, making people too happy not to dance.’12

Without my mind or my innate knowledge, Heaven and Earth would not be Heaven and Earth. If my mind did not exist, there would be no subject who could look up to the sky and call it Heaven, and look down to the ground and call it the Earth. Wang Yangming does not discuss the issue of how the universe was created, because this topic is not a problem for him. From this absence we can see how successful 10

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 277. Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 107. 12 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 104. 11

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the philosophical construction of Neo-Confucianism in the Song Dynasty had been. Based on Song cosmology, Wang can turn his attention to human which is the bounds of his philosophy. What he considers is the world of human civilization and the world within the boundaries of human civilization. What do objective things mean in such a world? Let us take the properties of things as an example. Speed, hardness, temperature, etc.; where do all these things come from? They come from contrasts and distinctions. Then, if human intelligence did not exist, who would compare and distinguish them? In a world where human beings did not exist, although these attributes would exist materially, they would not be meaningful. With existence of human beings, contrasts and distinctions emerge, and so do the richness and diversity of the principles in human civilization. This richness and diversity is rooted in the original contrasts and distinctions of attributes. In this sense, civilization is the accumulation of such contrasts and distinctions. Here, what is most fundamental is the tension between human desires and the obscurations of our desires. If there were no distinctions between things, our understanding of properties of things would not exist. If we regard the whole of human civilization as one mind, then all principles do not exist outside this mind. If we regard Wang Yangming’s concept of “mind” as the whole of the development of human consciousness, then Wang’s proposition “The Principle of Heaven is not outside the mind” is correct.

2 There Are no Things Outside the Mind The claim that “There are no things outside the mind” (Xin Wai Wu Wu, 心外无物) is a natural extension of the proposition “The Principle of Heaven is not outside the mind.” Since my innate knowledge is the innate knowledge of plants, trees, tiles, and stones, and this innate knowledge is the spirit of the creation, “creating both Heaven and Earth, becoming ghosts and destiny,” claim that “There are no things outside the mind” naturally emerges. In this sense, the meaning of that proposition is not that nothing exists except the mind. What it means is that even if things outside the mind exist, they are not the “things” we speak of in our daily language. In order to explain the issue more clearly, Wang Yangming gives a clear definition of the four concepts of “mind” (Xin, 心), “will” (Yi, 意), “knowledge” (Zhi, 知), and “thing” (Wu, 物) as used in the The Great Learning, in a passage known as his Four Doctrines (Si Ju Li, 四句理). The master of the body is the mind. What emanates from the mind is the will. The original function of the will is knowledge. Wherever the will is directed is a thing.13

Of the four concepts of “mind,” “will,” “knowledge,” and “thing,” Wang obviously takes “will” as the core. In his middle age, Wang emphasized more on the sincerity of will than the extension of knowledge, which is closely related to his insistence on referring to the ancient version of The Great Learning and his emphasis on the unity 13

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 6.

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of knowledge and action. The mind is the master of the body, and the mind has will. It is obvious that Wang’s interpretation of the concept of mind is different from that of Zhu Xi. In Zhu’s philosophy, the will is related to the ability to perceive and the cognition of the mind. However, in Wang’s philosophy, all kinds of consciousness and feelings are involved in the concept of will. What is a little bit puzzling here is the saying “The original function of the will is knowledge” (Yi Zhi Ben Ti Bian Shi Zhi, 意之本体便是知). I think it means that knowing is the original function of will. If you have a will, you will know immediately whether this will is good or evil. In a word, the will itself is also a kind of knowledge. From Wang’s claim that “Wherever the will is directed is a thing,” we know that the “thing” in question is not the natural existences of material objects, which are unrelated to our minds. Instead, what he is referring to is the “thing” related to will, which is to say, “affairs” (Shi, 事). In this way, the concept of “thing” in his proposition “There are no things outside the mind” refers to the affairs of human. Therefore, the “thing” is related to human consciousness. What Wang’s philosophy is concerned with is the living world of human beings and morality rather than the objective universe and metaphysics. The proposition “There are no Things Outside the Mind” has also been questioned. It is recorded in Instructions for Practical Living: The Master was travelling in Nanzhen (南镇). A friend pointed to the flowers on a cliff and said, ‘You say that there are no things outside the mind. But these flowers in the high mountains blossom and drop their blossoms by themselves. What have they to do with my mind?’ The Master said: ‘Before you observe these flowers, they and your mind are in a state of quietude. At the moment you perceive them, their colors at once become understandable. From this you can know that the flowers are not outside your mind.’14

In saying “their colors at once become understandable”, Wang would like to emphasize that our understanding of the world is instantaneous at the moment of perception. We do not need to identify each piece, because flowers naturally appear in our minds completely, which shows that we already possess the concept of flower in our mind. Because we can distinguish colors, smells, and so on, and because through the accumulation of distinctions that we observe throughout the development of civilization, we can recognize the flowers after just one look and call this distinct item “flower”. If there were no such patterns in the mind that constituted the identity of the flower, it would not “at once be understandable.” Wang’s proposition “There are no things outside the mind” can only be understood this way. Principles in the mind are the accumulation of historical consciousness. We live in civilizations, and therefore, our minds are imprinted by civilization. What Wang refers to is the collective “mind” of all human beings. From the perspective of the mind of any individual, Wang Yangming’s claims are problematic.

14

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, pp. 107–108.

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3 The Investigation of Things Since the only thing that Wang focuses on is the establishment of a perfect moral mind, it is natural that in his interpretation of the concept of the investigation of things, like Lu Jiuyuan, he would like to reduce the burden on his students. The search for objective knowledge is not the primary task of his method of self-cultivation. Wang emphasized the correctness of the ancient version of The Great Learning because in that text, the sincerity of will is the first step of self-cultivation. If the ancient version is the correct one, the sincerity of will is the first step of the process, and thus The Great Learning became a piece of extremely important evidence for Wang’s claim of the unity of knowledge and action. If the version is not the correct one, the first step is the investigation of things. This would necessitate two separate steps—first, the investigation of things, i.e., knowing, and then, acting. There needs to be some transformation from knowledge to action. For Cheng Yi and Zhu Xi, making the will sincere allows one to put his knowledge into action. This is why Cheng and Zhu placed the step of making the will sincere after the step of investigating things. However, in Wang’s view, the core of “the eight items” in The Great Learning is the sincerity of will. Based on this placement, Wang provided his readers with an unprecedented interpretation of the text. The meaning of the word Ge (格) is to correct. One must correct what is wrong and fix it.15

“What is wrong” refers to the incorrect will in our minds. Things themselves are not moral or immoral. Not only is there no good or evil in things, but also in affairs. We cannot say that any behavior is unconditionally good or evil. Take killing as an example. Mencius says that if someone asked him can some people be killed, he would reply yes. However, one cannot kill after hearing this, and then say that Mencius has allowed you to kill. You must ask, “who can kill?” Good and evil do not emerge from things in the external world. Instead, they emerge from the moral subject. Things are objective, but one can use them for good or evil. It all depends on your good will and your moral mindset. Therefore, if you can “correct what is wrong and fix it,” this will be enough. Therefore, we should “reduce our desires and follow The Principle of Heaven all the time,”16 but this is not easy. Wang once said that it is easy to catch the thief in the mountains but difficult to catch the thief in the mind.17 From the perspective of the interpretation of the classics, Wang’s interpretation of the investigation of things is not correct, but from the perspective of philosophical coherence, Wang successfully established a philosophical system. It is worth noting that the topics of Neo-Confucianism in the Northern Song Dynasty were different from those of Wang’s era. Laying the foundation for the Confucian way of life was no longer the main concern. This can be seen from the fact that Wang began to advocate “the unity of the three teachings” (San Jiao He Yi, 三教合一) rather than “the distinction between Confucianism and Buddhism” (Ru Fo Zhi Bian, 儒佛之 15

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 25. Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 13. 17 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 168. 16

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辨). In the Ming Dynasty, it was no longer possible for Buddhism to challenge the orthodoxy of Confucianism.

4 The Unity of Knowledge and Action “The unity of knowledge and action” (Zhi Xing He Yi, 知行合一), a basic claim of Wang Yangming’s theory, was also called “the teaching of his middle age” (Zhong Sui Jiao Fa, 中岁教法) by Chen Lai in his book You Wu Zhi Jing( 《有无之境》 ).18 The basic framework of Wang’s philosophy is constituted of his claims “the unity of knowledge and action,” “The Principle of Heaven is not outside the mind,” and “There are no things outside the mind.” Of course, Wang’s claim of “the unity of knowledge and action” was also challenged by many scholars. As I said before, Zhu Xi emphasized that, on the one hand, we should know before acting. But, on the other hand, acting is more important than knowing. After claiming that knowledge and action are united, Wang constantly faced the challenge that knowledge and action do not correspond to each other in daily life. If knowledge and action are united, why do they seem to be separated? Here, I will explain Wang’s proposition of “the unity of knowledge and action” in three aspects. First, what he emphasizes is the concept of “the original state of knowledge and action” (Zhi Xing Ben Ti, 知行本体). Wang believed that, in the original state, knowledge and action are unified. It is only because of the obscuration of desires that knowledge and action are separated. Thus, without the pollution of human desires, knowledge and action would always be one. Second, he emphasizes that we should understand the relationship between knowledge and action as a process. Knowledge is the beginning of action and action is the completion of knowledge. If this is understood, then when knowledge is mentioned, action is included, and when action is mentioned, knowledge is included.19 Knowledge is the aim of action and action is the effort of knowledge.20

He regards to know and to act as one coherent and complete process. Acting always originated from the will, based on one’s knowledge, and knowledge is further developed in actions and practice. Knowledge guides action, and action is the concrete implementation of knowledge. From the perspective of the close interaction between knowledge and action, we can claim that knowledge and action are one. Third, another expression of “the unity of knowledge and action” is “True knowledge must lead a person to action” (Zhen Zhi Bi Neng Xing, 真知必能行). Wang Yangming says: Chen Lai, You Wu Zhi Jing: Wang Yang Ming Zhe Xue De Jing Shen, 《有无之境: ( 王阳明哲学 的精神》 ), Beijing: Sanlian Press, 2009, pp. 367–370. 19 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 4. 20 Ibid. 18

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True knowledge must lead a person to action. If not, then, the knowledge he possesses is not true knowledge.21

The “true knowledge” mentioned here is the same as “the original state of knowledge and action” mentioned above. In fact, Cheng Yi and Zhu Xi also presented this idea. Everyone knows that tigers can hurt people, but the knowledge possessed by people who have been bitten by tigers and by those who have not is completely different.22 Our knowledge is often not true knowledge. Much of our knowledge is acquired indirectly, without any direct experience on our part. In fact, Wang’s claim that “true knowledge must lead a person to action” is not new. Although Wang’s statement of the unity of knowledge and action is not completely original, the claim itself is very important because it points out a crucial point. Each of us understands our own shortcomings, but our trouble lies in being unable to change them. The difficulty of self-cultivation arises when we cannot unify our moral knowledge and our actions. Thus, when Wang’s disciples ask questions about the master’s claim of the unity of knowledge and action, Wang would respond that they should understand the purpose of his claim.23 In fact, when talking about the two claims “The Principle of Heaven is not outside the mind” and “There are no things outside the mind,” Wang expresses a similar idea. He indicates that there is deeper purpose to his claims. Without understanding his purpose, it is meaningless to agree or disagree on his claims. Wang’s theory of the unity of knowledge and action was precisely aimed at the prevailing separation of moral knowledge and action of his time. His emphasis on the unity of knowledge and action was also related to Wang’s emphasis of the correctness of the ancient version of The Great Learning. As we know, the structure of the ancient version of the Great Learning had been questioned since the time of the Cheng brothers. They pointed out that the order of the text was not completely correct. In the ancient version presented in The Book of Rites, the step of making the will sincere was placed second. There are also two independent fragments left at the end of the first chapter—“This is called knowing the basis” (Ci Wei Zhi Ben, 此谓知本) and “This is called the completion of knowledge” (Ci Wei Zhi Zhi Zhi Ye, 此谓知之至也). There should be eleven chapters in The Great Learning, including the first chapter, and another ten chapters which are the explanations of the first section. This was a typical structure of ancient texts known as Jing Zhuan Ti (经传体). The order of the revised version presented by the Cheng brothers and Zhu Xi was very reasonable. In the first chapter, there are three key terms—to illuminate bright virtue (Ming Ming De, 明明德), to renew the people (Xin Min, 新民), and to reside in the highest good (Zhi Yu Zhi Shan, 止于至善). 21

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 42. Cheng Yi says that “true knowledge is different from common knowledge. A farmer was wounded by a tiger. Once Some people mention that there is a person hurt by a tiger. Everyone is surprised after hearing, but the farmer is astonished and his face even becomes pale. Although even a kid knows that a tiger can hurt people, his knowledge is not true knowledge. Only the farmer has true knowledge. Therefore, people know what are not good but still do those things do not have true knowledge about what they so. If they have true knowledge, they will never do those things.” See Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 16. 23 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 96. 22

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The fourth chapter is the explanation of the two claims that “Things have a root and branches. Affairs have their beginnings and their ends” (Wu You Ben Mo, Shi You Zhong Shi, 物有本末, 事有终始) from the first chapter. In Zhu Xi’s opinion, the two independent fragments mentioned above should be the remaining parts of the fifth chapter, which should be the chapter explaining the investigation of things. However, in the ancient version of the text, the chapter explaining the sincerity of will is placed before the chapters which explain the three keywords of the first chapter. It does not make sense. Thus, the order of the ancient version of the text must be wrong. But Wang Yangming insisted that the ancient version was complete and did not need to be revised. Why did Wang insist on the ancient version? It was because he wanted to indicate that the original state of the unity of knowledge and action exists. This original state of knowledge and action is closely related to the method of making the will sincere. Only when the will is made sincere can knowledge and action be unified. The reason why knowledge and action cannot be united is that the will has not been made sincere. It is said that “what is meant by ‘making the will sincere’ is allowing no self-deception, as when we hate a bad smell or love a beautiful color. This is called satisfying oneself. Therefore, the nobleman will always be watchful over himself when alone.” Here, “to be watchful over oneself when alone” (Shen Du, 慎独) is the method of making the will sincere. Only through the long-term process of “being watchful over oneself when alone” can we truly achieve the unity of knowledge and action. To what extent should the will be made sincere? Our will should be as responsive to moral stimuli “As when we hate a bad smell or love a beautiful color.” Our hatred of evil should be as sincere as our hatred of foul odors, and our appreciation of virtue should be as sincere as our appreciation of beauty. After that, the original state of knowledge and action will be recovered. Wang has another claim regarding the relationship between knowledge and action. He says: Even the appearance of a simple will is a kind of action.24

Some people believe that if we have a bad idea but do not put it into action, it does not matter. In response to this kind of thinking, Wang claims that the appearance of evil thoughts is a kind of action. Much later, the scholar Wang Fuzhi criticized Wang Yangming because he thought that in Wang Yangming’s thought, “all actions are wrongly considered as knowledge” (Xiao Xing Gui Zhi, 销行归知).25 But I think Wang Fuzhi’s opinion is a complete misunderstanding. Wang Yangming wants people to fundamentally get rid of their desires at the source. He would like to warn his students that the appearance of each thought is important because it is a kind of action. In fact, I believe that if one does not restrain one’s self when an evil thought arises, it will become the root of problems in the future. Although this saying is a teaching aimed at specific problems in moral cultivation, it was also the root of dangerous moral extremism in the middle and late Ming 24

Ibid. Wang Fuzhi, Shang Shu Yin Yi 《尚书引义》 ( ), in The Complete Works of Wang Fuzhi (Chuan Shan Quan Shu,《船山全书》 ), Changsha: Yuelu Press, 1988, p. 312. 25

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Dynasty. In fact, since the emergence of Neo-Confucianism in the Northern Song Dynasty, Confucianism gradually became stricter and stricter, with less and less tolerance. Moral cultivation became a great burden. If what we are only concerned with is understanding the “distinction between righteousness and profit,” following Lu Jiuyuan’s teachings, self-cultivation is acceptable and necessary. But if every little thought must be examined, as Wang Yangming says, we will face difficulties. Although Wang’s moral extremism is exciting, setting moral standards too high can lead to the following consequences: since most people will not meet this standard, they will not be considered moral paragons, and thus, will form an indistinctive lower class. Along the way, our role models will lose their inspiring power. Therefore, it is said in The Book of Rites that we should “learn from the noblemen” (Yi Ren Wang Ren, 以人望人), but we should not “require all people to be totally righteous in all aspects” (Yi Yi Ze Ren, 以义责人).26

5 The Extension of Innate Knowledge The theory of “the extension of innate knowledge” (Zhi Liang Zhi, 致良知) in Wang Yangming’s later years is a summary and refinement of the teachings from his middle age. The theory makes Wang’s philosophy more concise and more straightforward. The concept of “the extension of knowledge” (Zhi Zhi, 致知) comes from The Great Learning, and the concept of “innate knowledge” (Liang Zhi, 良知) comes from The Mencius. Wang combines the two and puts forward his theory of “the extension of innate knowledge.” Mencius said, “What a person can do without learning is his innate ability, and what a person knows without thinking is his innate knowledge.” (7A.15) The innate indicates something inherent. In Wang’s interpretation, innate knowledge is the mind’s inherent sense of right and wrong. Wang also says that innate knowledge concerns likes and dislikes. “Innate knowledge is nothing but likes and dislikes,” Wang says, “and the essence of the myriad things and affairs is nothing but the likes and dislikes of human beings.”27 Thus, the essence of innate knowledge is the mind that knows right and wrong. “Your innate knowledge is your own standard,” Wang says, “if something is right, your innate knowledge will know, and if something is wrong, it will also know. Nothing can be hidden from it.”28 Someone who grows up in a civilization does not need to be educated about right and wrong, and he knows which actions are moral and which thoughts are right. Human possess the ability to know what is right and what is wrong, but this ability is not the same as a concrete moral practice. We must use this ability to act, by extending our innate knowledge. How do we perform this extension? What we need to work hard on is 26

“If a ruler requires all people to be totally righteous in all aspects, his people will fail to meet his requirement. But if he compares people, he will find the better ones in them.” See Li Xueqin ed, Li Ji Zheng Yi 《礼记正义》 ( ), Beijing: Peking University Press, p. 1476. 27 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 111. 28 Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 92.

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“following The Principle of Heaven and reducing our desires.” We should maintain our innate knowledge and make judgments according to it in dealing with all affairs. As Huang Wan said, the theory of “the extension of innate knowledge” is simple and straightforward, so it can be deeply rooted in our hearts and arouse the moral passions of ordinary people in daily life. It is very difficult for most people to maintain a high degree of activeness in repeated meaningless life. But this was exactly the function of Wang’s theory in the middle of the Ming Dynasty. The attractiveness of Wang’s philosophy lay in its simple and straightforward subjectivity. The manifestation of a high degree of activity of mind can occur in daily life. Wang Yangming slows us to become passionate about acting morally in even the most trivial of affairs. In his later years, Wang Yangming summed up his teachings in four sentences. There is no good or evil in the original state of the mind. When the will becomes active, the distinction between good and evil emerges. The function of innate knowledge is to know what is good and what is evil. The investigation of things is to do good and to expel evil.29

This passage is Wang’s famous Four Teachings (Si Ju Jiao, 四句教). The most controversial of the “Four Teachings” is the first sentence: “There is no good or evil in the original state of the mind” (Wu Shan Wu E Xin Zhi Ti, 无善无恶心之体). I think in the first sentence, the word Ti (体) refers to the original state, so the correct interpretation of the sentence is that the original state of the mind is not good or evil. In Wang’s view, in the original state, the mind will not grasp anything firmly, no matter it is good or evil. Wang says that for example, in the empty sky, clouds gather and disperse. But the sky itself is clear. The clarity and emptiness of the sky is a metaphor for the original state of the mind, which is neither good nor evil, whereas good and evil are like the gathering and dispersing of the clouds. No matter whether clouds gather or disperse, they cannot affect the state of emptiness of the sky. Similarly, no matter whether one possesses a good will or an evil one, it cannot influence the emptiness and freedom of the original state of mind.30 This is like the dictum that one should “not think about the good, or the evil” (Bu Si Shan, Bu Si E, 不思善, 不思 恶) in Zen Buddhism. In Wang’s view, the mind is like the Great Vacuity. No matter whether the clouds gather or disperse, all existence will finally pass, and nothing is kept or held in the mind. This is also related to the stage of rectifying the mind in The Great Learning. It says, “When one is affected by wrath, his mind will not be rectified. When one is affected by fear, his mind will not be rectified.” The topic of that section is the emptiness and freedom of mind. The original state of the mind is like a mirror, which is fair, selfless, and contains nothing inside itself. Wang believes 29

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 117. Wang Yangming says, “The emptiness of the innate knowledge is the emptiness of the heaven. The freedom of the innate knowledge is the shapelessness of the Great Vacuity. All things that have shape, form, color, and smell like the sun, the moon, wind, thunder, mountains, rivers, people, and things, live and change under the emptiness of heaven, and they are never obstacles to heaven. The sage just let his innate knowledge work freely. The heaven, the earth, and ten thousand things are all in the functions of his innate knowledge. How can there be anything that exists beyond the innate knowledge and then becomes an obstacle for it?” See Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 106.

30

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that if one wrongly maintains anger in his mind, it will lose its original state and one will wrongly become angry with innocent people, which is called the displacement of anger (Qian Nu, 迁怒). Wang offers a very good analogy on this topic. He says that the mind is like the eyes, in which there should be nothing. If there is sand in one’s eyes, one will be unable to open them. It is not that the sand is evil. If there were bits of gold and jade in one’s eyes, one would also be unable open them. What sort of goodness is the highest? For example, when a child passes by you and almost falls, you give him a hand, and then walk away. After helping him, you forget about the deed immediately. This is the highest good. When we perform minor good deeds, we forget them quickly. However, when we perform more important good deeds, we remember them. We think about them constantly and will be satisfied every time we recall them. In fact, no matter how big the achievement is, it should be like “a little floating cloud in the sky.”31 But this should not be overdone. After the death of a parent, the grief that lasts with us is a kind of emotion kept in our minds. If the original state of mind in this situation were empty, the three-year mourning in traditional society would be hypocritical. Anyone who advocates for both a peaceful mind and the observance of three-year mourning would be contradicting himself. Moreover, the claim that “there is no good or evil in the original state of the mind” is not Wang’s only claim; he also says, “When the will becomes active, the distinction between good and evil emerges.” The mind cannot always be in its original state, and it must possess a will, whether good or evil. “The function of the innate knowledge is to know what is good and what is evil.” If a person has a will, he will immediately know whether it is good or not. After that, all there is for him to do is follow the good and expel evil. Therefore, Wang says that his teachings are correct. All people will benefit from them. The wise men apprehend all things instantly, and know both substance and functions. The rest of us progress step by step, and they will develop if they follow Wang’s teachings. However, it was precisely this teaching, which Wang viewed as suitable for all students, that caused disagreements among his disciples. On the evening of the MidAutumn festival before his departure for Si’en and Tianzhou to quell the rebellion, Wang entertained his disciples. After dinner, Wang Ji (王畿, 1498-1583) and Qian Dehong (钱德洪, 1496-1574), Wang’s two best disciples, had a debate. Wang Ji believed that since there is no good or evil in the original state of the mind, there must also be no good or evil in (the original state of) the will, knowledge, and all things. But Qian Dehong believed that it is wrong to say that “there is no good or evil in the original state of the mind.” Neither one could persuade the other, so they came to Wang Yangming. At that time, Wang was resting, but when he heard about the argument, he became excited. So he held another dinner party on the Tian Quan Bridge and allowed his students to debate. This was the famous Debate on the Tian Quan Bridge (Tian Quan Zheng Dao, 天泉证道). After listening to the debate between the two, Wang said: You two gentlemen complement each other very well, and you should not hold fast to one side. Wang Ji should learn from Qian Dehong about methodology, and Qian Dehong should 31

Cheng Hao and Cheng Yi, Er Cheng Ji, 2004, p. 61.

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learn from Wang Ji about his understanding of substance. If you can both learn from each other, there will be no debate over my teachings.32

Wang Yangming said that Qian Dehong should try to understand substance as Wang Ji did, and Wang Ji should learn and accept the methodology as Qian understood it. Wang Yangming asked the two disciples to learn from each other. Fundamentally, Wang Yangming agreed with Wang Ji’s understanding, which can be summarized as the theory of Four Emptinesses (Si Wu Shuo, 四无说), but Yangming also knew that what Wang Ji advocated could only be used to teach wise men. Although Qian Dehong did not yet understand substance, his methodology, which can be summarized as the theory of Four Actions (Si You Shuo, 四有说) is beneficial to all students. After Debate on the Tian Quan Bridge, neither Wang Ji nor Qian Dehong possessed a full understanding of Wang Yangming’s ideas and theory. So, after Wang Yangming set off, the two disciples accompanied their master on his way to Yantan (严滩) and had a further discussion, which is known as the Discussion At Yantan (Yan Tan Wen Da, 严滩问答). Regarding their questions, Wang Yangming replied: If the mind is full, it will be real, and if the mind is empty, it will be illusionary. But, if the mind is empty, it will be real, and if the mind is full, it will be illusionary.

Qian Dehong was very confused. Wang Ji explained: The first sentence is a teaching about method from the perspective of substance. And the second sentence is a teaching about substance from the perspective of the method.33

These words seem mysterious, but what he said is simple: the method should be real and the original state of mind should be empty. Wang Yangming did not mean that the distinction between right and wrong does not exist in the original state of the mind. What he meant is that neither the good nor the evil will should be kept in the mind, and that is the mind’s original state. If the good or evil is “real” in the mind, which means that good and evil are held in the mind eternally, the good deeds we perform in an effort to be remembered well will be hypocritical. But the method of self-cultivation should not be purely psychological. Students should act rather than merely gain knowledge. By saying “The first sentence is a teaching about method from the perspective of substance,” Wang Ji claims that in Wang Yangming’s thought, although substance (the original state of the mind) is empty, the methods are real. And by saying “The second sentence is a teaching about substance from the perspective of the method,” Wang Ji claims that in Wang Yangming’s thought, although the methods are real, nothing should be kept in the substance (the original state of the mind) and the substance should remain empty. In other words, what Wang Yangming truly refers to is the unity of substance and method.

32 33

Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 1306. Wu Guang ed, Wang Yang Ming Quan Ji, 1992, p. 124.