The Pheasant Cap Master and the End of History : Linking Religion to Philosophy in Early China 9781931483261, 2013011844

Table of contents :
Table of Contents
Discussion
Translation
Acknowledgments
Preface
Introduction
Translation
Top Scroll
Mid Scroll
Bottom Scroll
Appendix I
Appendix 2
Bibliography
Index

Citation preview

The Pheasant Cap Master and the End of History Linking Religion to Philosophy in Early China

Marnix Wells Three Pines Press

Three Pines Press PO Box 530416 St. Petersburg, FL 33747 www.threepinespress.com © 2013 by Marnix Wells All rights reserved. No part of this book may be reproduced in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher. 9

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Printed in the United States of America  This edition is printed on acid-free paper that meets the American National Standard Institute Z39.48 Standard. Distributed in the United States by Three Pines Press. Cover Art: “Grand Unity as a god in the Northern Range Temple” (Quyang Beiyuemiao, attributed to Wu Daozi, modern copy). ———————————————————————— Library of Congress Cataloging-in-Publication Data Heguanzi. [Heguanzi. English] The Pheasant Cap Master and the end of history : linking religion to philosophy in early China / Marnix Wells. -- First. p. cm. Includes bibliographical references and index. ISBN 978-1-931483-26-1 (alk. paper) I. Wells, Marnix. II. Title. III. Title: Linking religion to philosophy in early China. B128.H493H613 2013 181'.114--dc23 2013011844

Discussion PREFACE The Enigma of Daoism

1

The Star God of Grand Unity

5

Grand Unity in Art and History

14

Philosopher of Unification

22

INTRODUCTION The Yellow Emperor and Qin

28

Imperial Qin

31

The Way’s Virtue in Government

35

Laozi in Qin

38

Law and Objective Standards

45

Law and War

50

Law, Meritocracy, and Public Examinations

53

Dynamics of Nature

57

Dynamics of History

60

Ancient Chinese Messianism

63

Nine Augustans and the ‘End of History’

67

Dialectics and Rhetoric

70

Nominalism or Realism?

73

Authorship and Dating

77

Translation and Language

83

Translation TOP SCROLL 1. Wide Selection Meritocracy, 90—Recruitment, 91 2. Manifest Hope The Way’s Virtue, 93— The Conduct of the Expected Man, 93 — Lament for a Degenerate Age, 94— Life under Tyranny, 95 3. The Night Walker Thirteen Signs, 96— Song of an Invisible Presence, 96 4. Heaven’s Model The Ninth Augustan’s System, 98— Reformation’s Aim, 102 — Government’s Aim, 102 — Education’s Aim, 104 — Employment’s Aim, 105 5. Circular Flow Unified Energies, 108 — The Law of the Way, 108 — The Mandate’s Law, 109 — The Dynamic of Unity, 111 6. The Way’s Governance Heaven and Earth’s Governance, 114 — Appointing the Worthy, 115— Eleven Qualities for Ministers, 117 — The Sage’s Rule, 118 7. Impending Collapse Prioritize Man and Arms, 121 — Imminent Overthow, 123 — Law’s Degrees, 126

89 92 95 97

107 113

120

MID SCROLL 8. Fathoming Myriads Savage Laws, 129 — Trouble Ahead, 131— The Sage Messiah, 133 — Five Governances, 137 9. Royal Axe The Complete Ninth, 140 — His System and Signs, 141 — Control by Districts, 143 — Reporting Periods, 146 — Reformation of Customs, 147 — Primal Renaissance, 151 — Utopian Society, 153 10. Grand Galaxy Teaching of Grand Unity, 157 — The Divine Sage, 159 — Universal Communality, 161

129 139

156

11. Grand Record Grand Unity, 164 — The Divine Sage’s Cultivation and Reforms, 166

164

BOTTOM SCROLL 12. Generations of Arms Dynastic Revolutions, 172 — Cao Mo’s Heroism, 174 — Ju Xin’s Suicide, 175— The Rhapsody of the Hero, 176 13. Prepared Knowledge A Corrupt World, 181 — Promotion of the Worthy, 183 14. Armed Campaigns Dynamics of Nature, 186 15. Study Problems Nine Ways, 189 16. Generations of Worthies Worthies as Doctors of Medicine, 193 17. Heaven’s Authority Space Time, 195— Cognition and Sense Perception, 196 — Setting Goals, 198— Orientation, 198 — Unity, 200 — Heavenly Arms, 202 18. Enabling Heaven The Song of the Primal Sage, 204 — Immortality and the Dynamic of Self, 206 — Knowing Words, 208 19. King Wuling The Night Walker, 210 — Virtue’s Triumph, 212

171

APPENDIX 1: Jia Yi’s Xiaofu (Owl Rhapsody)

215

APPENDIX 2: The Word Zheng: Taboo Substitutes and Equivalents

219

APPENDIX 3: Terminology, Personages and Parallels

221

Bibliography

229

Index

243

181 185 188 192 195

204 209

List of Illustrations Fig. 1. The Dipper with haloed pole-wielding deity by the Dipper stars on the cosmic tortoise within revolving snake. Attributed to Wu Daozi 吳道子 (ca. 750). Source: Sichuan, stone rubbing in author’s collection. Fig 2. Grand Unity seated in the Northern Dipper with pheasant and dragon. Source: Han engraving ca. 150, Wu Family Shrines 武梁祠, Shandong. Fig. 3. Cangjie 倉頡, ‘inventor of writing and law’, with martial star gods, ca. 1100. Source: F.R. Martin Album, now in Cleveland Museum of Art. Fig. 4. a) Three Augustans 三皇, True Warrior 眞武, Dark Girl 玄女, and Five Sacred Mountains 五嶽). Source: Lidai shenxian tongjian. b) Dipper Mother (Doumu 斗母) and Grand Unity. Source: woodblock prints, Lidai shenxian tongjian (ca. 1700). Fig. 5. The Kui star of the Dipper as god of literature balanced on Leviathan. Source: 19th cent. engraving of calligraphy by Confucian Muslim statesman Ma Dezhao 馬德昭 (ca. 1860), Forest of Steles (Beilin 碑林), Xi’an. Figs. 6-7. a) The Eastern Augustan of Grand Unity 東皇太一. Source: Zhang Wo 張渥 (dat. 1361). Wu Xiansheng 2001.1: 57. b) The Eastern Augustan of Grand Unity. Xiao Yuncong 蕭 雲 (1596-1673) woodblock print in Jiuge (Nine Songs) from Chuci. Fig. 8. Grand Unity with gods and dragons. Source: Mawangdui tomb painting on silk, pre-168 BCE, Hunan Museum, Changsha. Fig. 9. Grand Unity on nine-headed lion as the ‘Savior of Distressed’ deity (Jiuku Tianzun 救苦天尊) (ca. 1300). Source: Quanzhen statue. Baiyunguan 白 雲觀 (White Cloud Temple), Beijing. Fig. 10. Grand Unity portrayed in the form of the True Warrior god. Source: Baoningsi 寶寧寺, ‘Water and Land ritual’ hanging scroll, 1446, Shanxi Provincial Museum, Taiyuan. Fig. 11. Battle axe (ca. 300 BCE) embossed with protective deity straddling sun and moon with headdress of pheasant feathers and bird. Source: Taisui bibingtu 太歲辟兵圖 (excavated in Cheqiao, 1960), Jingzhou museum, Hubei. Fig. 12. A pheasant-capped Daoist burns incense before the tiger-subduing arhat. Source: Scroll attributed to Lu Lengjia 廬楞伽 (ca. 750). Beijing Palace Museum. Fig. 13. Two feather-capped Daoist masters with Ten Grand Unities. Source: Quanzhen mural ca. 1300, Yongle gong 永樂宮 (Palace of Eternal Joy), Shanxi. Fig. 14. Gods of sun, moon, pre-dynastic Yellow Emperor, Yao and Shun with wise counselor Yi Yin 伊尹 of Shang. Source: Lidai shenxian tongjian. Fig. 15. Three lines from the First Emperor’s stele, 219 BCE. Source: Stone rubbing, Qin stele, Mount Yi 嶧山, Shandong.

Fig. 16. a) Yi Yin, as a divine child found in the rushes, like Moses, by Jifei ‘Blessed Concubine’ 吉妃. Source: Xiao Yuncong (1596-1673) ed. Tianwen (Heavenly Questions) in Chuci. b) King Tang 湯王 (r. 1766- 1754? BCE) of Shang after conquering Xia grasps the royal axe. Yi Yin, the cook, congratulates him with a roast goose. Source: Xiao Yuncong ed. Tianwen. Fig. 17. Jing Ke’s 荆軻 assassination attempt on the future First Emperor. Source: Han engraving ca. 150 CE, Wu Family Shrine, Shandong. Fig. 18. A bear-like Chiyou 蚩尤, Inventor of Arms, in the war of the gods. Source: Han engraving ca. 150, Wu Family Shrine, Shandong. Fig. 19. Cao Mo 曹末 of Lu holds the Duke of Qi hostage. Source: Han engraving ca. 150 CE, Wu Family Shrine, Shandong.

Abbreviations DZ GD HGZ MWD SHD

Daozang archive Guodian manuscripts Heguanzi Mawangdui manuscripts Shuihudi manuscripts

Acknowledgments This study and first complete translation of Heguanzi, the book of the Pheasant Cap Master, owes a debt to the pioneering work on the subject by Angus C. Graham (1919-1991) and the invaluable study by Carine Defoort in her ‘rhetorical reading’. I would like to offer special thanks to my late supervisor Paul Thompson, my guide and inspiration during doctoral studies at SOAS, London University. Chinese art historian Roderick Whitfield, Oxford philosopher Nick Bunnin and Christoph Harbsmeier gave valuable encouragement.

This book is respectfully dedicated with gratitude to the memory of Dr. Paul M. Thompson (1931-2007)

Humanity can expand the Way; the Way does not expand humanity. Confucius: Analects 15.28.

And now I will unclasp a secret book And to your quick-conceiving discontents I’ll read matter dark and dangerous… William Shakespeare: Henry IV, Part 1, I-3.

Preface The Enigma of Daoism Accounts of early Chinese philosophy have downplayed its religious matrices, creating an impression that, unlike other world cultures, China developed from a purely rational pragmatism.1 Until recently, experts dated the rise of Daoist millenarianism to the fall of Western Han about the time of Christ and explained it traced it to growing Buddhist influences from the west (Mollier 2008: 94-97). This implies a contradiction between classical philosophy and the subsequent Daoist religious tradition. Yet this apparent disjunct may be an illusion attributable to Han suppression or marginalization of radical philosophies from pre-unification days. The work attributed to Heguanzi 鶡冠子 the Pheasant Cap master, represents just such an ideology. Pheasant Cap outlines China’s earliest known eschatology, not in the sense that the world will soon end but in anticipation of the dawning of a new world order, a re-starting of history’s clock. He enunciates a proto-messianism of the kind that would inspire ‘peasant rebellions’ to end and re-start China’s dynastic cycles from Qin to the present. His social ideals we still endeavor to realize in the world of today and tomorrow. To understand the nature of Daoism, Livia Kohn and Harold D. Roth argue we must “begin by looking at identity as process” rather than a fixed substance (2002: 8).2 Accordingly we will find in Pheasant Cap features of Daoist folk religion still current and those whose roots archaeology continues to trace further back in time. Philosophy by its nature depends on reason. It strives to construct theoretical systems by which to live that either rationalize or refute religious beliefs. The humanist Confucius (Kongzi 孔子, 541-478 BCE) of Lu (Shandong) based his thinking on ancestor worship and belief in divine right to rule.3 Laozi 老子, philosopher of the Daodejing 道德經 (Classic of the Way and its Virtue), remains an enigma. He like Zhuangzi is thought to come from the south. In writings transmitted under the name of the Pheasant Cap master, the religious foundation of a supreme deity is explicitly presented. This mysterious figure from the climactic third century, who seems to emulate the role of ‘night walker’ in his perilous times, is both religious prophet and political philosopher. 1 Barrett 2008: vii—on prejudice, stemming perhaps from a Christian missionary and Confucian alliance that dismissed Daoist religion as “superstition and imposture.” Pregadio 2008a: xvi—on a false dichotomy of philosophy versus religion prevalent in Daoist studies. 2 Loewe 1979: 98-101; Pregadio 2000: 94—Donald Harper and Sarah Allan question this divide. Harper points to “Warring States antecedents of later, so-called religious Daoism” (2001: 16). Allan argues for the inseparability of both forms of Daoism (2003: 285). 3 Hereon it will generally be taken as read that persons and events earlier than, or contemporary with, Pheasant Cap and up to the end of Western Han are all ‘BCE.’ 1

2 / DISCUSSION

From his dialogues, we know he was active in Zhao (south Shanxi to Hebei), in the mid-third century BCE. He was perhaps a refugee from Chu in the south. Newly excavated texts, starting with the 1973 finds from an early Han tomb at Mawangdui, Hunan, followed by those at Shuihudi, Guodian and others more, are comparable in importance to the Dead Sea and Nag Hamadi scrolls for Biblical studies. They are revalidating the claims of ‘apocryphal’ books from China’s traditional corpus. Thus, the work of Pheasant Cap, long under suspicion as fake, is now re-emerging as a long-lost vital piece in the jigsaw of the Hundred Schools of pre-Qin philosphy. In the years following Qin’s imperial unification of 221 BCE, Pheasant Cap may have been classed as secret and restricted to the emperor’s private reading, a trophy of conquest and an icon.4 The work gives us an alternative view, from a rival state, of the apotheosis of political unity which sanctioned China’s emergent imperium. This present study presents the first full translation and elucidation of Pheasant Cap Master in English. The challenge has been to translate a text which does not fit exactly into any known school but aspires to transcend them all. Lu Dian 陸 佃 (1042-1102), its Northern Song dynasty commentator, admitted to some bafflement by the corrupt state of the text. In many cases dfficulty of interpretation has been compounded by the novelty of thought. It may be called ‘Daoist’ in an ecumenical sense, but it articulates political programs of universal resonance. Important analyses of the original and its disparities have been undertaken by scholars in recent years, questioning the texts integrity (Graham 1989a, 1993, Peerenboom 1991, Defoort 1997). However, to produce an intelligible reading I have found it necessary to interpret it as an integral work and relate it to the bigger picture of the climactic third century.5 A coherent message then emerges: not a jumble of backward looking musings but a forward projection of history, culminating in both a warning and a hope for a new world order.6 His universalism attracted the interest of Joseph Needham and others for his proto-scientific insights (1956: 2.547, 572-574). He provides a comprehensive narrative for the ideas of Laozi closer to his own time than any other so far. China has long been known for its tradition of ancestor worship and obsession with fortune-telling, Laozi’s jibe on the folly of ‘foreknowledge’ notwithstanding (Daodejing 38). This is evident from the Shang oracle bones to the Yijing 易經 (Book of Changes) and almanacs found in Qin tombs such as at Shuihudi. (Kalinowski 1996: 62-72. Yates 2005: 15-43). Pheasant Cap himself 4 Inner palace secrecy could explain why Pheasant Cap is not mentioned by historian Sima Qian. Jia Yi apparently knew the work, perhaps from his time at court, as I contend he drew on its chapter 12 for his Xiaofu (Owl Rhapody ), translated in App. 1. 5 Defoort 1997: 134—“the treatise nevertheless seems to speak with one voice.” 6 Mi 2002: 12—cites Pheasant Cap’s holistic vision (ch. 12).

PREFACE / 3

speaks repeatedly of good- or ill-fortune, omens and signs. He tells us: “If you wish to know the future, examine the past” (ch. 7). Christopher Rand, writing of his work, notes: Implied throughout is the ‘rationalist’ notion that the Way is not merely a feature of the past, but an outline of the future, an omni-potentiality which by man, through his own transformations (i.e. laws), may be realized in human society” (1980: 209).7

Over the past four millennia of Chinese empire, messianic prophets have repeatedly claimed a new mandate from above, not excluding the military option. In the last two centuries, utopian visions have inspired the populist Taiping, Boxer, and Maoist insurrections. Yet their underlying ideals can be traced back to classical philosophy before China became an empire. Pheasant Cap predicts the dawning of a new age. His concept of time has affinity with Mircea Eliade’s myths of eternal return and an end to secular time. Ideas of cosmic ‘return’ and reversals of fortune pronounced by Laozi (25, 40) find ample practical exposition here (chs. 5, 10, 12-13).8 The Hundred Schools of classical Chinese philosophy met their end after imperial unification. The term itself was not coined in eulogy of pluralism but as a pejorative. For strict Confucian Xunzi 荀子 (313-238) of Zhao it meant heterodoxy or heresy, while liberal Zhuangzi 莊子 (fl. ca 300) used it to bewail the fragmentation of an idealized primeval unity. 9 Ironically the very ‘one world’ order that philosophers had longed for spelled the doom of their freedom to debate. Centralization is conducive to censorship. This soon became obvious under Qin after it unified China in 221 BCE. More subtle and less known is the thought control exercised by Han and subsequent dynasties. Yet dissident thinking could never be entirely eliminated. It survived in Confucian classics, notably in the works of Mencius (Mengzi 孟子, 372-289) of Zou (northwestern Shandong). Mencius maintained the hereditary principle but upheld the right to rebel and overthrow tyrants whom he classed as ‘commoners’. 7 Rand 1980: 209n92—Bauer 1976 “suggests that Taoism, at least in its religious form, was always directed towards the future… when guided into rebellious movements, naturally became allied with military thought and technique…” (124-28, 201, 205, 225) and “associates military activity and this future orientation in his description of the militaristic Ch’in takeover” (61-66). 218: “as one moves across the ‘frontier’ bracketed by the ‘primitivist’ and ‘rationalist’ persuasions in philosophical Taoism, a greater interfusion with the military matrix, as exemplified by the military treatises, is manifested.” 8 Eliade 1971: 124—“The final catastrophe will put an end to history, hence will restore men to eternity and beatitude.” Yijing, Hexagram 24—“In Return we see Heaven and Earth’s heart.” Daodejing 14-16, 19, 28, 52, 58, 63, 80. 9 Xunzi 21 (Jiebi): 425. Zhuangzi 33 (Tianxia): 1069—critiqued the Hundred Schools of philosophy but does not mention Confucianism. This may reflect Qin influence.

4 / DISCUSSION

Over a thousand years later, in the Song dynasty, Mencius was institutionalized as a pillar of state Confucianism. Yet his subversive challenge to absolute rule prompted Zhu Yuanzhang 朱元璋 (1328-1398), the founder of the Ming, to command an expurgated edition in 1394. His own son Zhu Di 朱 棣, the Yongle Emperor (r. 1403-1424) restored it thus implicitly justifying his own successful rebellion against his nephew the Jianwen Emperor.10 Pheasant Cap’s alternative weltanschauung was never fully realized, although the unification he anticipated was soon achieved, albeit by a hostile Qin. Unlike Confucius and Mencius who upheld the right of hereditary succession, Pheasant Cap followed Mozi 墨子 (ca. 478- ca. 392) in advocating promotion by merit. In principle, this could require abdication of rulers in favor of someone more worthy. Graham labels this challenge to the hereditary principle “political heresy” (1989: 292-96; Allan 2010; Pines 2010). 11 Pheasant Cap is such a heretic but perforce makes exceptions for hereditary succession by the virtuous (chs. 11, 15). For its part, patriarchal Confucianism as enshrined by the Han imperial house had to accept co-existence with meritocracy necessary to curb the recidivist barons. They achieved this through the adoption of the quasi-legalist system of public examinations for office in 165 BCE. Mencius argued from historical precedent that revolution required a mandate from Heaven. Shang (ca. 1766-1123) had claimed descent from a mystic ‘dark bird’ (xuanniao 玄鳥 ), swallow or phoenix. Zhou’s mandate (ca. 1122-255) depended on ‘virtue’ (K.C. Chang 1976: 167, 192-94. Shijing: Shangsong ‘Xuanniao’). Confucius, following prolonged breakdown of central power, expected a sign from Heaven in the shape of phoenix or unicorn. 12 Pheasant Cap identifies them as harbingers of the new order (ch. 8). In this light, Pheasant Cap can be seen, like Mencius, as a prophet dedicated to the reformation of a corrupt world. He too believed in divine 10 Goodrich 1976: 957—In 1394, the founding Ming emperor Taizu commanded Liu Sanwu to censor the Mengzi, resulting in “the expunction of eighty-five sections” deemed subversive; 363:—Emperor Yongle ordered the full, unexpurgated version re-issued ca. 1411. 11 Guanzi 26 (Jie): 156—“Humane is he, so he does not inherit kingship; Righteous, so at seventy he hands over the government (retires).” Defoort 2004: 53 argues that Mozi’s promotion of worthies thesis (8: Shangxian A) “does not focus on this topic” of abdication. 12 Lunyu 9 (Zihan): 8—“The Master said: ‘The Phoenix bird has not arrived, the Yellow River has not spewed forth its chart. I am finished!’” Interestingly, ‘phoenix divination’ (luanji 鸞乩) is the term for latterday planchette. Davis 2002: 155. Lunyu 20 (Yaoyue): 3— “The Master said: ‘If you don’t know mandate, you have no way to be a gentleman.’” Guanzi 20 (Xiaokuang): 127—“Formerly when men received the mandate, dragons and tortoises arrived, the Yellow River emitted a chart, the Luo River emitted writing, Earth emitted a Rider in Yellow (Chenghuang)...” The Zuozhuan commentary to the Chunqiu, reputedly edited by Confucius, explains the death of a Unicorn in 481 was an omen that the time of the Sage King had not yet arrived. (Han) Kong Congzi (Jiwen) attributes to Confucius a lament on the capture of the unicorn two years before his own death.

PREFACE / 5

providence and hence in the re-unification of an intact polity ordained from remote antiquity. These quasi-theological tenets that underpin classical philosophy have been obscured by a modernist interpretation of Confucianism as simply agnostic moralism and Daoism as mysticism or superstition. Pheasant Cap may help connect philosophy from the classic age of the Warring States to the belief system more fully attested from imperial times.

The Star God of Grand Unity Cosmology developed from the need to determine positional orientation and especially the direction of marching in military operations. Animal symbols were useful to signal correct alignments and to co-ordinate these with the stars. The Dark Warrior (Xuanwu 玄武 ), emblem of the north, is symbolized by snake and tortoise. In a depiction, attributed to Wu Daozi (ca. 750. Fig. 1), a haloed pole-wielding figure is seen in the sky among the stars by the Dipper.

Fig. 1. The cosmic snake and tortoise with stellar pole-wielding deity.

The Liji 禮記 (Ritual Record) explains: “The army marches with red bird in front, dark warrior behind, green dragon on left, white tiger on right and Beckoner (Zhaoyao 招搖) above” (1, Quli-shang: 43-44; 6). Pheasant Cap pairs these directions with cardinal points and seasons (chs. 10, 12, 17). ‘Beckoner’ at the Dipper handle tip is the star which directs everything (chs. 4-6, 8-10, 17).

6 / DISCUSSION

The Guodian creation myth puts Grand Unity first, followed by water, which precede both Heaven and Earth. The complete sequence goes: Grand Unity > water > Heaven > Earth > divine luminaries > shade and sunlight (yinyang) > hot and cold > wet and dry > the year > myriad things or beings. Pheasant Cap ascribes the creation of water to Heaven (ch. 8). The genesis of five agents in the archaic Shujing 書經 (Book of Documents; Vast Plan) and Hanshu 漢書 (History of the Han) give this sequence which the latter pairs alternately odd and even with Heaven and Earth:13 Heavenly one creates water; Earthly two creates fire; Heavenly three creates wood; Earthly four creates metal; Heavenly five creates earth… This elemental sequence chimes with Laozi’s exaltation of water.14 It was superseded by the five-agents production cycle defined by Dong Zhongshu 董 仲舒 (ca. 179-104) of Guangchuan (southern Hebei). It starts with wood and ends with water, each generating its notional offspring: wood> fire> earth> metal> water.15 This is the sequence set to Pheasant Cap’s four seasons, except for earth at the end, but mutual production is not mentioned (ch. 10). Xunzi, who criticized Laozi for passivity, saw Grand Unity’s embodiment in ritual ‘propriety’, not water, as the prime factor in the cosmos.16 Propriety (li 禮), which covers ritual observances and morality, is a homophone in Chinese for rational ‘principle’ (li 理 ). ‘Principle’ had evolved as a separate word by around 300. Xunzi interprets it as ‘cultured rationality’ (wenli 文 理 ). His standpoint may be compared to Graeco-Roman stoic agnosticism.17 Xunzi’s genesis goes: Grand Unity > propriety > Heaven and Earth > sun and moon > four seasons > planets and stars > rivers—myriad things. The Liji adds an indubitably supernatural appendage: Grand Unity > propriety > Heaven and Earth > shade and sunlight (yin-yang) > four seasons > demons and gods. 18 The pioneering almanac encyclopedia of Qin premier Lü Buwei 呂不韋, prefaced in 239, expressed a more epicurean view. Instead of ritual, he bestows 13 Shangshu 2 (Hongfan). Hanshu 27 (Wuxing zhi shang): 1328. Yijing (Xici shang 9) also assigns one to ten as Heaven and Earth in odds and evens respectively. Its (Shuogua 5) eight trigram sequence starts from thunder and wood for spring in the east like Dong Zhongshu’s five agent producton cycle. Schwartz (1985: 357) faults the common ‘five elements’ translation for failing to reflect their dynamic nature. 14 Daodejing: 8, 78. Guanzi: 39 (Shuidi 水地) ‘Water and Earth’. 15 Chunqiu Fanlu 10 (Wuxing dui), 13 (Wuxing xiangsheng). 16 Xunzi 17 (Tianlun): 343—“Laozi had insight into contraction but no insight into extension.” 17 Xunzi 19 (Lilun): 379-80—“All ritual starts from Grand Unity. Heaven and Earth through it are joined.” He traces the union of cultured refinement (wen) and rational principle (li) to Grand Unity. 18 Liji 9 (Liyun): 382—“propriety is necessarily rooted in Great [Grand] Unity which divides into Heaven and Earth.” See also Kongzi jiayu 7 (Liyun): 9a.

PREFACE / 7

pride of place on music, a synonym for joy (yue 樂) “born from degree and measure rooted in Grand Unity,” equated with the Way:19 “Grand Unity is the Way’s degree and measure embodied in music—two Forces, shade and sunlight. . .” Confucius had paired music with ritual propriety in the six arts of his educational curriculum. Together they were essential for reforming the world and of cosmic significance. Pheasant Cap’s thinking on the social function of music aligns with Confucius and Lü Buwei, rather than with Mozi who condemned music as inherently wasteful. His equates musical tones with calendrical organization in a vision is of bureaucracy functioning like celestial clockwork or a neo-Platonic ‘music of the spheres.’ Mozi saw the rotation of Heaven as proof of its impartial justice. For Pheasant Cap this was also a paradigm of change and cyclical return. Confucians are notoriously reticent in theological matters. By contrast Pheasant Cap, more in the manner of the Shujing (Yuxia Shu) or Yellow Emperor (Huangdi 黃帝) texts, features a dialogue between god and man or demi-god (ch. 10).20 Unlike the playful dialogues of the Zhuangzi 莊子 (Book of Master Zhuang), this is retold in earnest. It oversteps the bounds of philosophy into rhetoric and revelatory religion. Field researcher Stephan Feuchtwang remarked: “Revelations are the exclusive source of Daoism. They are Daoism’s claim on the imperial state” (2001: 164. Cf. Seidel 1983: 336-42. Csikszentmihalyi 2002: 92). If so, Pheasant Cap may be said to encompass the epitome of Daoism. He combines revelatory teachings and correlative reasoning with recourse to Mozi’s triple sources of evidence: ancient precedent, contemporary experience, and utility (Graham 1989: 37). Grand Unity (Taiyi 太一), the Great Monad and Great One, is both god and abstract concept. He is closely associated with both the celestial pole and Dipper constellation. He is thought to be shown in a late Han engraving enthroned in the Dipper. Above his head rises a long-tailed pheasant while on the other side a water dragon looks down. (Fig. 2). Grand Unity, long invoked through Daoist divination and spirit writing, is the divine presence at the heart of Pheasant Cap (chs. 10-11). He embodies in anthropomorphic form the ideal of unity, known philosophically from the Han dynasty as Grand Polarity or Great Ultimate (taiji 太極), integrater of the opposites ‘shade and sunlight’ (yinyang 陰陽). Luo Bi (1139-1189), antiquarian 19 Lüshi Chunqiu 5.2 (Dayue):—3ab defines Grand Unity as the source of yin and yang from which everything grows. 20 Shiji 1 (Wudi):—Sima Qian relates the deeds of the ‘five emperors’ of prehistory that Confucians deign to mention. MWD Shiliu jing (Chengfa): 72—a dialogue on law between the Yellow Emperor and Li Hei ‘Force Black’ introduces a phoenix-delivered message on unity from August Heaven.

8 / DISCUSSION

of Southern Song, equates them:21 “Grand Polarity is Grand Unity… The Way gets it to make Grand Unity. Heaven gets it to make Heavenly Unity. Godemperors get it to make imperial unity. Myriad beings without exeption receive it and call it mandate.”

Fig. 2. Grand Unity in the Dipper.

The star of Grand Unity is now located due to axial precession, not at the celestial pole of ‘Purple Tenuity’ (Ziwei 紫微) as formerly, but between it and the Dipper.22 Grand Unity exhibits a circumpolar rotation reflecting in the timing of its positions both the earth’s axial rotation and solar orbit.23 This enables astrologists, by observing the position of Great Unity’s star, to determine the outcome of earthly events and wars. They track its movements through a box grid of ‘nine palaces’ (jiugong 九宮).24 Grand Unity gave its name to methods of calculation, as well as astrological treatises.25 21 Mori 2002: 170. Yates 2005: 24 n34. Gesterkamp 2011: 36. Chunqiu Fanlu 77 (Xuntian zhi dao) 92:—“The center is Heaven and Earth’s Great Pole (daji 大極).” Luo Bi: Lushi ‘Road History’ (Fahui 1, Lun Taiji): 1a-b. 22 Huainanzi 3 (Tianwen): 5a : “The Purple Palace is Grand Unity’s abode, Xuanyuan (a seventeen star constellation north of the Dipper) is the Heavenly Princess’s lodge.” 23 Needham 1959: 3.260-61; 250 on identity of Zhaoyao star. 260-61 tentatively identifies Tianyi and Taiyi with stars in Draco. 24 The Han-dynasty apocryphon on the Yijing known as Yiwei (Weft of the Changes) (Qian Zaodu): 3b states—“So Taiyi takes their numbers to move through the Nine Palaces [of space]…” (Han) Zheng Xuan [Kangcheng] comments: “Taiyi is the north Constellations’ god’s name.” He cites the Xingjing: “Heavenly Unity and Grand Unity are energy-ruling

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Pheasant Cap interprets the revolutions of the Dipper, whose ‘handle’ points in different directions at sunset, as a seasonal clock (chs. 5, 17).26 From this he extrapolates a solar calendar of 360 days (a sum conveniently divisible by all integers except 7) to apportion the reporting periods of his cosmically attuned bureaucracy (ch. 9). Intercalary days, not mentioned by Pheasant Cap, were traditionally inserted to reconcile the ideal number of three hundred and sixty, used by farmers for their twenty-four fifteen day periods, with the actual annual total of approximately 365.25 days. The notional 360 accords with six bi-monthly cycles of sixty days formed by the combination of the ten heavenly stems (tian’gan 天干) and twelve earthly branches (dizhi 地支).

Fig. 3. Cangjie, inventor of writing and law, with star gods.

Pheasant Cap ascribes these ancient calendrical symbols to the invention of writing by the Yellow Emperor minster Cangjie, his hero of law and hence of the Way (chs. 7, 13. Fig. 3). They do in fact go back to the earliest known Chinese script on Shang oracle bones where they set royal ancestral titles by alternating matrilineages and synchronize their sacrifices (K.C. Chang 1976: 79ff, 88). gods.” (Tang) Zhu Suiliang cites a school of Taiyi diviners in his commentary on Shiji 67 on astrologers. Needham 1980, 5d. 465-468 on Taiyi rotation. 25 Needham et al. 1959: 3.663 on Taiyi abacus and calculation methods 77, 140. 201. 716—lists Taiyi Jinjing Shi ‘Grand Unity’s Golden Mirror Divining Board Manual,’ attr. (Tang) Wang Ximing 王希明, alias Danyuanzi 丹元子. 26 Huangdi Neijing Lingshu 77 (Jiugong bafeng): 114-16—details the seasonal rotation of Grand Unity through the Nine Palaces and Eight Winds. If we calculate 40.6 for ‘46 days’ x 7, and 40.5 for ‘45 days’ x 2, assuming a degree of copyist scribal error, we get an annual total of 365.2 days. For translations, see Ki 1985; Wu 1993.

10 / DISCUSSION

The power of Grand Unity is believed to manifest itself primarily through the Dipper constellation, the seven stars in Ursa Major (the ‘Great She-Bear’) nightly seen to orbit the north pole. Daoism reckons them as nine, of which two are now said to be invisible.27 Pheasant Cap’s account appears to accord with this total of nine (ch. 4) which matches his theology of Nine Augustans (Jiuhuang 九皇. Chs. 9-10). Their statues are paraded on their birthday in wildly spirit-rocked sedan-chairs by Cantonese and Hokkien communities.28 Zhang Jizong 張繼宗 (fl. 1700), Celestial Master of Zhengyi ‘Correct Unity’, describes Grand Unity (Taiyi 泰壹) as a quasi-historical earthly ruler “able to maintain great equality under Heaven and attune universal grand galactic energy,” echoing Pheasant Cap (ch. 10). “He holds law’s cable and is constantly present. He ruled four hundred years and more, then weary of dust and noise with sons Du and Zhang retired to Heaven’s Central Mountain.”29 This is Hindu-Buddhist Mt Sumeru, the cosmc axis. Grand Unity has also a feminine aspect. Du Guangting 杜光庭 (850-933) invokes a primordial Goddess of Grand Unity (Taiyi Yuanjun 太一元君; Kohn 2003: 57-60, 64-66). The celestial mother who “without a union bore nine sons” is mentioned in ‘Heavenly Questions’ ca. 300 BC (Tianwen. Hawkes 1959: 48). She fits the part of Dipper Mother who merged with goddess Marici from Tantric Buddhism in Tang (Fig. 4a-b).30 Marici is Mother of the Way and Dipper. Her chariot is drawn by seven pigs and she lives in the pole, center of Brahma’s Heaven of primal energy. Celestal Master Zhang recounts: “Marici in one pregnancy begot Nine Augustans,” stars of the Dipper whom she instructed in dharma law and sent “south to rule the world.” It seems there are Heavenly, Earthly and Human Augustans.

27 Late Ming prose epic Fengshen Yanyi, 99 (Jiangziya Guiguo Fengshen) 862-863— enfiefs Jinling Holy Mother as Dipper Mother with nine stars: 1. Heaven Fort (Tiangang 天 罡), 2. Civil Tune (Wenqu 文曲), 3. Martial Tune (Wuqu 武曲), 4. Left Aid (Zuofu 左輔), 5. Right Support (Youbi 右弼), 6. Breaker of Armies (Pojun 破軍), 7. Heaven Wolf (Tianlang 天狼), 8. Huge Gate (Jumen 巨門) and 9. Beckoner (Zhaoyao 招摇). Robinet 2008: 22526—(Tang) Bu tiangang fei diji jing (Scripture of Treading the Dipper, Flying Earth’s Bounds; DZ 1316.1ab); Werner 1922: 144-45. 28 Werner 1922: 142-44; Shen 1979: 71-73; Chamberlain 1983: 70-71. Feuchtwang 2001: 128—‘Great Unity’ in a Daoist temple festival ritual near Taipei. 29 Lidai shenxian tongjian 1: 2.4b. 4.9a—“Grand Unity’s (Taiyi 太乙) essence is true mystery’s soul. If a man knows how to keep it, he then may meet with the truth.” (2.4b). 30 In Hinduism, the goddess of infinity Aditi gave birth to nine gods.

PREFACE / 11

Figs. 4a-b. Dipper Mother, Grand Unity and Three Augustans.

The difference is not entirely clear to the uninitiate. Zhang attempts to explain: “Marici the Heavenly Mother begot nine sons known as Human Augustans... Human Augustans control the Northern Dipper’s nine stars. They are jade truth immortals’ souls who salute the Dipper Mother from where they reside.”31 Emperors and Kings, as earthly embodiments of Grand Unity, were indissolubly linked to the astral pole and Dipper. By the same token, they discharged a sacrificial role in rain-making, in the last resort even offering themselves as victim like King Tang of Shang or Zhou Duke Dan “to serve the ghosts and gods” on behalf of his king.32 The unique status of being ‘Heaven’s Son’ (chs. 9-10) thus carried the ultimate responsibility for failure. All this was implied in the alias ‘One Man’ or 31 Lidai shenxian tongjian 1: 2.3a. 4.10b-5.10b. 1: 2.3b—Dipper Mother’s nine sons: 1st Hero (Ying 英), 2nd Trust (Ren 任), 3rd Pillar (Zhu 柱), 4th Heart (Xin 心), 5th Bird (Qin 禽), 6th Aid (Fu 輔), 7th Charger (Chong 冲), 8th Herb (Rui 芮), 9th Bramble (Peng 蓬). Taiyi shu daquan (ca. 1780) 2: 2—Dipper stars: 1st for orthodoxy, Heaven’s Son and sunny virtue, 2nd for law, penalties and female rulers, 3rd for commands and disasters, 4th in centre to kill criminals, 5th to crush rebels against the Way, 6th for danger and granaries, 7th ‘Waving Light’ for regiments, weapons and executions. 8th ‘Dark Halberd’ for armed rebellions and bandits. 9. ‘Heavenly Spear Beckoner’ for violence. 8th-9th are invisible. Mollier 2008: 135—on auxiliary invisible stars (Fu and Bi). Kohn 2000: Grand Unity. 32 Allan 1981 passim on King Tang’s offer and bowdlerized versions of Documents. Tsuchiya 2002: 48-49. Shangshu (Zhoushu: Jinteng).

12 / DISCUSSION

‘Loner’ used in self-deprecation by a king to refer to himself (chs. 4-5, 16, 19). Laozi (39: 102) noted how “barons and kings style themselves ‘lonely orphans’ and ‘malnourished.’” Pheasant Cap, playing on the coincidence in sound of ‘king’ and ‘doomed’ (wang), speaks of him as potential victim fearfully “in isolation standing” (chs. 7, 13). Ironically, this claim of divine right itself, which made rulers personally accountable for drought, posed the greatest challenge to absolutism. On an anthropological level this recalls James Frazer’s (1854-1941) Golden Bough and the wounded Grail king of wasteland myth. The simplest solution to the royal dilemma proposed sacrificing substitutes, ‘scapegoats’ of crippled mediums, a ‘drought demoness’ or witch (nüba 女魃), to be burned or exposed to the sun.33 Dong Zhongshu (74: 89) recommends this for autumn. In Pheasant Cap a politically (ch. 16) 'wounded' king receives philosophical doctoring posthumously. Perhaps coincidentally the character for lame spirit-medium and victim (wang) is written as ‘king’ plus ‘eight’ plus ‘son’ (wang 王+ ba 八+ er 儿= 尩) which curiously calls to mind wangbadan, a still current term of abuse dubbed ‘turtle spawn.’ The very word for ‘king’ (wang 王) is a homophone for ‘doomed’ (wang 亡), a pun Pheasant Cap exploits (ch. 11). The solitary nature of kingship found a curious kinship with the pole star and Dipper constellation. The Kui star of the Dipper is written with a graph that shows a ghost or demon next to a dipper (魁 = 鬼+斗).34 From Tang times it became Zhongkui 鍾魁, the god of exorcism, official examinations and literature. This curious individual came to be portrayed with one leg balanced on the primeval sea monster Ao 鰲 (Fig. 5). It may be that he subconsciously preserves a collective memory of the old shaman healer’s trance dance.35 Daoist priests impersonate Grand Unity ritually to ascend the Triple 33 Zuozhuan (dat. 639; Duke Xi of Lu): 21st year. Shanhai jing 7 (Haiwai xijing): 2b— exposure of Girl Chou. 17 (Dahuang beijing): 5a-b—drought demoness (nüba). Liji 4 (Tan Gong xia): 205, Duke Mu of Lu (r. 407-375). De Groot 1910: 4.1194—“Those ‘infirm or unsound’ or wang were non-descript individuals... whose strange demeanor was ascribed to possession.” Schafer 1951. Lewis 1990: 194n, 112-16—“The character depicted a man being burned” as in rain-making ritual. Qiu Xigui sees the ‘yellow’ of Yellow Emperor signifying the role of shaman. 202—on Yellow Spirit and Pole Star. 205-09—“Myths of Sacrifice and Heaven's Mandate.” Defoort 1997: 110-11, 259n10—“scapegoat mechanism in relation to the king.” Girard 1978: 59-66 and 1979: 150-66, 419-25. Granet 1926: 1.212-97. 34 Werner 1922: 106-08; Frazer 1922: 25—on Siamese ‘King Hop’ Phaya Phollathep, etc. Eberhard 1952: 73-79. Granet 1953: 247. Campbell 1962: 389-92. 1970, 3-7: 409—“The Chinese flood hero Yu and the biblical Noah became lame, according to folk legend, in the course of their water labors.” Bodde 1975: 309-11—human sacrifice in China; puppet-like figures (yong) interred as sacrificial substitutes. Covell 1984: 77-83—Korean Seven Star (Chilseong) trance rituals (kut) with female shaman (mudang) hopping dance. Feuchtwang 2001: 200—Taiwanese ‘ang gong’ (ang = wang 尩) ‘emaciated figure’ victim for puppets. 35 Wells 1975: 20-21, 186-87; no. 17 ‘Zhongkui Rubs his Brow’.

PREFACE / 13

Terrace (santai 三台) constellation and ‘pace the Dipper’ (bugang 步罡). They tread the seven stars anciently in a triple ‘Yu step’ (yubu 禹步), named after the Great Yu founder of Xia, China’s first dynasty and icon of nationhood. He was allegedly lamed from his toils in flood control (Goossaert 2008: 958; Robinet 2008: 225).36 Here we stand at the frontiers of prehistory where history and legend meet. Great Yu’s father Gun 鯀 who failed in flood control had been sacrificed and transformed into a fish or turtle. Or did he become Kui 夔 , alias the now extinct Chinese crocodile or monitor dragon (tuolong 鼉龍)?37 We have it on the highest authority that Yu’s predecessor Shun ordered Kui to be the first music master, leading the dance of the hundred beasts. Elsewhere we learn that he was a ‘onelegged’ beast who drummed on his belly and furnished the skin for the orchestral bass drum. As a dragon, he could be relied on to produce rain.38 His memory persisted in folklore and was the patronymic, and possibly totem, of a clan. Fig. 5. The Dipper’s Kui star.

Confucius claimed ‘foot’ (zu 足) was a misreading for ‘enough’, synonymous in Chinese. He reasoned “one was enough” for Kui because he concen36 Qin magistrate Xi’s diary, SHD (Rishu, b): 240 BCE, 11th Month: 105 line C. MWD (Wushi’er bingfang): 72, 74, 95-96—‘Yu hopping steps thrice’ (yubu san 禹步參). Hendrische 2006: 22-23—on the Han dynasty Taiping jing: 160.450 (The Master’s Declaration). 97:— “The Celestial Great One.” Ge Hong (283-343): Baopuzi 17 (Dengshe): 301—Taiyi dunjia astrology and Dipper constellation pacing. Andersen 2008: 238, fig. 24—reproduces the Jinsuo liuzhu yin 金鎖流珠 (attr. Li Chunfeng, 602-670) “Treading the 28 lunar mansions.” See Schafer 1977: 50-51; Andersen 1990: 30-35; Steavu-Balint 2010: 261-63. 37 Hawkes 1959: 48, 50. Shanhai jing 5 (Zhongshan jing): 6b—“In the south view is the flattened (=monitor?) island where Yu’s father was transformed” (Nanwang shan=tuo?zhu, Yufu –suohua. 南望墠=鱓?渚禹父所化). 17 (Dahuang beijing) 4a-b—victim is ‘You’ = Gun? (繇=鯀?. Here Gonggong 共工 is Yu’s antagonist, as Chiyou to the Yellow Emperor. Lüshi Chunqiu 5 (Zhongxia, 5 Guyue): 9a writes tuo 鱓 monitor dragon for Kui, and Yellow Emperor for Yu. 38 Shangshu (Yuxia shu: Yaodian, Gaotao Muo) cf. Yiji. Lüshi Chunqiu 5 (Zhongxia, 5 Guyue): 9a. Shanhai jing 14 (Dahuang dongjing): 6b-7a—one-legged Kui beast “when it emerges or enters the water, there is sure to be wind and rain.” The Yellow Emperor made a drum from its skin. De Groot 1910 (5): 496. Bodde 1975: 105-07n109.

14 / DISCUSSION

trated entirely on his music. By contrast, Zhuangzi takes the story at face value and just laughs with a Kui happily cavorting walrus-like on his one leg. Still Xunzi finds it necessary to condemn the kui-style hobbling gait as unbecoming a gentleman.39 Pheasant Cap does not refer to the term at all yet pairs a limping step directly with shamans and rain sacrifice (ch. 5).

Grand Unity in History and Art Mark Edward Lewis considers that Grand Unity cult developed from Chu, while that of the five god-emperors (di 帝 ) originated from Qin in the northwest.40 An affiliation with Chu is supported by Qu Yuan’s Nine Songs. He was a royal scion and poet who reportedly drowned himself in political protest and is commemorated by dragon boat races. The first of these songs or shamanic hymns is entitled Eastern Augustan Grand Unity which is more suggestive of the dawning sun than the North Pole or Dipper (Figs. 6-7).41 Pheasant Cap places Grand Unity squarely in the center, not the east (chs. 10, 11). Lü Buwei identifies the Sage King’s virtue with the rising sun, bringing light and sustaining life with the divinity of Grand Unity himself (17-4, Wugong ‘Not in Person’: 9b-10a). Liu An 劉安 (179-122), prince of Huainan, citing Laozi asserts that the emperor embodies Grand Unity, and that the True Man is never apart from Grand Unity. 42 Similarly Guiguzi ( 鬼谷子), ‘Demon Valley Master’, claimed that the true man “will always have awesomeness and circumstantial power” and that “the true man communes with Heaven and joins with the Way. He 39 Xunzi 21 (Jiebi): 439. Han Feizi 33 (Waichushuo zuoxia): 221-22. Lüshi chunqiu 22 (Shenxing, 6 Chachuan): 9b. Zhuangzi 17 (Qiushui): 591-592. Xunzi 2 (Xiushen): 26—The gentleman does not practice and forbids the ‘hobbled walk’ (yikui zhi xing 倚魁之行). 40 I choose ‘emperor’ or ‘god-emperor’ for di 帝 over the neologism ‘thearch’. The word, cognate with ‘stem’ and ‘root,’ is used on Shang oracle bones for royal ancestors who have become gods. Pankenier 2004: 234-35, citing Karlgren. 41 Shiji 8; 28 (Fengshan shu). Hawkes 1959: 36—a hymn to ‘The Great One, Lord of the eastern world’ (Donghuang Taiyi) with his long sword. 115 (Xi shi)—“I climbed to the Pole Star. . . I rode in the Great One’s ivory chariot;” 144 (Nine Regrets)—“I gaze on the Great One;” 158 (Nine Laments, d.)—“The North Star is my arbitrator, and the Great One is my assessor.” Song Yu’s Gaotang fu (ca. 250 BCE. Wenxuan 19.1)—tells of a mountain sacrifice of pure oxen by King Qingxiang of Chu and priests (fangshi) to Grand Unity with others. 42 Huainanzi 3 (Tianwen): 5a—“The Purple Palace is Grand Unity’s seat… the Purple Palace controls the Dipper to rotate anti-clockwise;” 8 (Benjing): 7a—“The five emperors and Three Kings have separate tasks but the same aim. The Emperor embodies Grand Unity”, 7b “He who grasps Grand Unity encages Heaven and Earth. . .He who embodies Grand Unity is illumined in Heaven and Earth’s reality (qing);” 9 (Zhushu): 1b—“Grand Unity’s essence communicates with Heaven’s Way;” 14 (Quanyan): 1ab—“Uncreated yet creator of things he is called Grand Unity. . . the True Man is never separate from Grand Unity.” Wenzi 9 (Xiade): 82—“Laozi said: The Emperor embodies Grand Unity.”

PREFACE / 15

grasps the One. . .”43

Figs. 6-7. The Eastern Augustan of Grand Unity. Depicted with sword

Qin Shi Huangdi 秦始皇帝, the First Emperor (259-210), came to view himself in these very terms. His combination of the title ‘Augustan’ with ‘Emperor’ was unprecedented though followed by all succeeding dynasties. Sima Qian’s 司馬遷 (145-86) history reports that he worshiped eight gods in addition to those of the mountains and rivers, and sacrificed to the divine Emperors of the four directions, green, red, white and yellow. Presumably he himself as centre made up the ninth and fifth member respectively of these series.44 Han Wudi 漢武帝 (r. 140-87) added black as the fifth color. Its prior omission was possibly due to the fact that black, representing water and north, was the dynastic emblem of Qin and early Han emperors and therefore private. Indeed, north as the location of the North Pole has always symbolized the position of emperor in China. Hence, it may be inferred that the First Emperor observed rituals in that regard which have remained private and secret. Lewis remarks that a silk painting found in an early Han tumulus at Mawangdui “shows Taiyi supplanting the Yellow Emperor to rule over the five emperors.” Li Ling identifies it as a ‘deflector of weapons talisman.’ The top Guiguzi 13 (Benjing Yinfu: 1. Shengshen): 95-96. Rand 1979-1980: 193-94. Shiji 28 (Fengshan shu). Steavu-Balint 2010: 21—describes the ‘eight envoys’ (bashi 八使) and eight trigrams as “manifestations of taiyi. . .” 261-63, 273—notes identification of the divine eight emperors with the eight trigrams. 43 44

16 / DISCUSSION

central figure is actually labeled ‘Grand Unity’ (Taiyi) and flanked by the gods of thunder and rain above four demonic warriors holding weapons. Below them prance green and yellow dragons. In the center a small green dragon with yellow head leaps up between Grand Unity’s legs ().45 Could this be a relic of a coalition, the union of green and yellow in ‘vertical alliance’ under the aegis of Grand Unity against Qin? The Han bibliography lists both Grand Unity and Heavenly Unity in the titles of ‘Military Yinyang’ writings (Luo 1930: 175).

Fig. 8. The Mawangdui silk painting of Great Unity with gods and dragons.

In 133, Emperor Wu, acting on the advice of the soothsayer Miu Ji 謬忌, is the first on record to construct a state altar to Grand Unity, hailed as Heavenly Augustan and Great Emperor of Grand Unity (Tianhuang dadi Taiyi 天皇大帝太一), recognized to preside over the five emperors on high. Grand Unity replaced the Yellow Emperor at the center, while the latter shifted to the southwest corner. A trinity of Heavenly, Earthly, and Grand Unity was also worshiped.46 Lewis 2007: 186-87; Li 1995: 1-39; Harper 2007: 184. Zhongguo huihua daquan 2010 (taiyi jiangxing tu 太一將行圖) reproduces this silk painting in color. 46 Loewe 1979: 97-99—on Han Wudi whose hymn links Taiyi to his quest for heavenly horses from Central Asia. Shiji 24 (Yue)—“The house of Han always on the eighth day of the First Month worships Taiyi at Ganquan.” 27 (Tianguan) equates Taiyi with the Pole Star—“In the Central Palace the Heavenly Pole star is first in brightness. It is Grand Unity’s constant residence.” 28 (Fengshan shu) quotes Daoist Miu Ji who informed Han’s Martial Emperor—“Taiyi’s assistants are the five emperors.” Tseng 2011: 5, 322-24—provides an excellent pictorial survey of early Chinese astronomy and religion. 45

PREFACE / 17

Yet the supremacy of Heaven was soon restored. The usurper Wang Mang 王莽 and the infant emperor’s maternal clan seized power to found a New Dynasty (9-23 CE). Wang re-established the primacy of the old Zhou sacrifice to Heaven, but merged it with Grand Unity as August Heaven’s Supreme Emperor of Grand Unity (Lagerwey and Kalinowski 2009: 23-25, 28). It is under this upstart regime that we encounter the earliest mention of the Pheasant Cap book. Overtaken by natural calamities and military debacles, and despite attempts to conjure the celestial powers of the Dipper to his side, the New Dynasty collapsed within a decade. Han was then restored in the east at Luoyang where it lasted two more centuries. Two religions Budhism and Daoism began to emerge with rival heirachies aspiring to independence from the state. Emperor Huan endeavored to contain them. In 165, he formally reconciled Confucius with Laozi and sacrificed to Laozi as a god linked to Grand Unity whom he placed on par with Buddha from India. Still, the Han dynasty was now in terminal decline. The Yellow Turban and Five-Pecks-of-Rice movements mobilized popular religion with an apocalyptic creed to raise the Grand Peace rebellions of 184 CE. To this end they combined worship of a Yellow Center Grand Unity or Heavenly Grand Unity with a politico-military program.47 The latter movement under its Celestial Master Zhang Lu 張魯, grandson of Patriarch Zhang Daoling surrendered to Cao Cao 曹操, founder of the Wei dynasty in 215. Yet, as the purely religious organization of Orthodox Unity (Zhengyi 正 一 ) Daoism, it survives to this day. In its original ideals of establishing an ideal society with veneration of Grand Unity it shared features that may be seen in Pheasant Cap. By the Six Dynasties period of disunion that succeeded Han, Grand Unity was worshiped as a heavenly ruler who monitored human morality with the aid of eight supernatural scouts or envoys. He also became internalized as one with the ‘true self ’ (zhenwu 真 吾 ) or conscience within the individual person (Goossaert in Pregadio 2008: 956; Steavu-Balint 2010: 21). Fabrizio Pregadio further observes that a scripture of the time “features a group of deities who dwell in different regions of the human body, all of whom are different forms taken by the Great One (Taiyi).”48 The Tang (618-906) who ruled a unified China were Turkic but still claimed descent from Laozi through their adopted surname Li 李. Emperor Suzong (756-762), on advice of ritualist Wang Yu 王璵 (d. 768), erected a Sanguo zhi 1.10, commentary—on worship of ‘Central Yellow Grand Unity’ (Zhonghuang Taiyi 中黄太乙); Zhang Lu biography. 48 Among human anatomical organs, the Huangting jing (Yellow Court Scripture): 2.4546—locates the Heavenly God as the sun in the left eye and Grand Unity as the moon in the right eye, with the Dipper between them. Pregadio 2008b: 78-79—on Laozi Zhongjing. 47

18 / DISCUSSION

temple south of his capital Chang’an to Grand Unity: “Grand Unity is also the Grand Lord (dajun 大 君 ). The Grand Lord is the most honoured of the hundred numinous forces in the body, the master of the ten thousand breaths. Therefore, he is called Grand Unity.” 49 After the fall of Tang and half a century of disunity, Song (960-1260) reunited China but failed to regain all northern territories. It reaffirmed Han ethnicity with Daoism as its national religion. In 1012 Emperor Zhenzong after a dream revelation declared himself heir to the Yellow Emperor and one of Nine Human Augustans. Portraits of such holy ancestors were displayed in the Zhaoying gong 昭應宮 shrine. In 1073 Shenzong founded a huge temple to Central Grand Unity (Zhong Taiyi 中太一). 50 Grand Unity was worshiped as the Five Blessed Grand Unities (Wufu Taiyi 五福太一) for the cardinal points plus centre, with ten Grand Unities for the compass points plus above and below, which fits Grand Unity plus Nine Augustans. Grand Unity’s apparent stellar rotations, interpreted as the celestial emperor going on tour with deep astrological significance.51 Huizong (r. 1100-1126), aesthete emperor and ardent Daoist, came to believe himself a Ninth Empyrean deity (Strickmann 1978; Ebrey 2000). Yet he hardly benefited. Following the sagely precedent of ‘yielding the throne’, he abdicated to his son. In 1127, both were captured in their capital at Kaifeng by erstwhile Jurchen allies who founded their Jin ‘Golden’ dynasty at Peking. Gaozong (r. 1127-1162), Huizong’s ninth son, invoking the aid of the Dipper Mother, then established the Southern Song dynasty at Hangzhou. In 1148, he erected a Grand Unity Temple there with images of the Three Augustans of Heaven, Earth, and Man with Five Emperors (Huang 2001: 1314; Gesterkamp 2011: 50-54). Jurchens and Mongols favored multi-culturalism, epitomized by Complete Perfection (Quanzhen 全 真 ) Daoism. This integrated Confucianism and Buddhism into a unity of ‘three religions.’52 In 1273 a huge shrine to its saint Lü Dongbin 呂洞賓 was built at Yongle 永樂, his reputed home by the Yellow River (Liao 1985: 52-53, 64; Lagerwey 2010: 45-48). Its hall of Three Pure Ones, inscribed in 1327 by muralist Ma Junxiang 馬君祥, depicts two hundred and eighty-two gods paying court to Laozi, the Prime (yuan 元), synonymous 49 Andersen 2005: 29-30, cites Xue Youxi 薛幽羲 (fl. 750). He also notes internal visualization of Grand Unity in a crimson robe (Taiyi Zhuyi). Andersen in Pregadio 2008: 542-543—Suishu history records that Zhengyi Daoists offerings to the ‘Heavenly Sovereign [‘Augustan’] of Grand Unity’ (Tianhuang Taiyi) and five planet emperors during a night ritual. 50 (Song) Xu Zizhi tongjian 79.6: 1797-98—Human Augustans, nine men (Renhuang jiuren). Gesterkamp 2011: 36. 51 Chen 1997: 2; Shangqing lingbao dafa (DZ 1221), ritual embraces Ten Grand Unities. 52 Kirkland 2004: 164-67—Jurchens patronised Quanzhen Daoism. Unity of the three religions was also championed then by philosopher Li Chunfu who eventually became a Buddhist.

PREFACE / 19

with the dynasty. Ten unhaloed Grand Unities flank the Queen Mother of the West (Xiwang mu 西王母). To her right, behind the sixth Grand Unity, stand two ‘pheasant cap masters’, each with a feather in his cap. At her left, beyond four Grand Unities, sits her Emperor with mortar-board and bead-curtain crown. To his left above and in front of four terrifying stellar warriors stands a six-eyed Cangjie and above him mystic strategist Zhuge Liang 諸葛亮 (181-234) with his iconic white-feather fan. The east wall bears a similar individual with just four eyes.53 A labelled portrait of Cangjie is found among the stars in a Song iconography in the ‘iron wire’ style of Tang master Wu Daozi 呉道子 (ca. 750. Fig. 3, above). A mural of similar date and provenance shows a group of nine haloed Grand Unities between the two warrior gods and the Emperor. A mystery haloed priest full-face between the Unities and Emperor, stands taller than the oblique Emperor and Empress, dominates the composition. His pre-eminence suggests a spiritual councillor to whom even monarchs should defer.54 On the inner east wall, Grand Unity reappears as the ‘Eastern Pole Purifier of China, Grand Unity Savior of the Distressed.’55 He maintains this role in the White Cloud Temple (Baiyun guan 白雲觀) in Beijing, where he is incarnate as the rescuer from suffering, a lion-riding savior with sword held aloft like Manjusri bodhisattva of wisdom (Fig. 9). An 18th-century scroll from Fujian portrays him with this same quasiBuddhist militant iconography. Grand Unity’s ancient function of guardian deity further became conflated with Zhenwu, the ‘True Warrior’ (Little 2000: 242-43). Northern Song had enshrined True Warrior as protector of the dynasty and began a process of his assimilation with Guan Yu 關羽 (d. 219), hero of the Three Kingdoms wars.

53 Zhuge Liang (Kong Ming) has semi-divine status in popular Daoism, second to that of Guan Yu, another hero of the Three Kingdoms saga. F.R. Martin’s Daozi Mobao album labels ‘Cangjie’ the four-eyed scholar standing by four star-warriors. 54 Chen 1997: 3—Nine Palace Grand Unities adorn Pingyangfu shrine’s west mural (now in Royal Ontario Museum, Toronto). White 1940: 200. Chen 1997: 3. Gesterkamp 2011: 259-76—‘Daoist Priest as Central Deity’ (pls. 13, 15); drawing 2B.3-10. He argues Quanzhen master Song Defang 宋德方 (1183-1247) ritually impersonates Grand Unity. 55 ‘Rescuer of the Distressed, Heaven Honoured’ (Jiuku tianzun 救苦天尊). Kohn in Pregadio 2008: 592—on his development from Mahayana Buddhism as saviour of the ten directions. Liao 1985: 56—“Qinghua Great Monad of the east Pole.” Gesterkamp 2011: 178; 263n42-43; 326 table—“II, East Pole Emperor.”

20 / DISCUSSION

Fig. 9. Grand Unity as Savior of the Distressed in the White Cloud Temple.

Then, in 1148, Jurchen Jin granted official recognition to a new Grand Unity sect from Henan. In 1273, Kublai Khan (r. 1260-1295), ruler of all China, ordered its fifth patriarch to place a seat for True Warrior in the new Zhaoying Gong.56 The Grand Unity sect disappeared under Ming which restored Han ethnic supremacy. A fifteenth century ritual hanging scroll from Shanxi labeled Grand Unity bears the characteristic features of the True Warrior (Fig. 10). The third Ming emperor Yongle re-established Peking as China’s capital, its nine gates said to symbolize boy warrior-god Nezha’s 哪吒 eight limbs and head, reminiscent of the custom of human sacrifice of yore. 57 He further ordered a massive enlargement of the shrine of True Warrior under his old name of Dark Warrior of the north with iconic snake and tortoise on Mt. Wudang 武當山 (Seaman 1987: 25-27). This mountain thenceforth remained the chief center of Daoist martial arts, amongst which ‘Grand Unity Sword’ survives as a souvenir of that high God.

56 Lagerwey 2010: 46. Goossaert 2008: 960—Grand Unity Religion (Taiyi jiao) was founded under Jurchen Jin by Xiao Baozhen (d. 1166) of Jixian (north Henan) and favored by Khublai Khan. Its scriptures did not survive beyond the Yuan but are known from stele inscriptions collected by Wang Yun (1227-1304). See Kirkland 2004: 108. 57 Nezha or Nalakubera, like Nachiketa in the Katha Upanishad, legendarily sacrificed himself returning his flesh and bones to his parents. Fengshen Yanyi 14: 115. K.C. Chang 1976: 52, 69 on massive Shang dynasty “human sacrifice associated wth the construction of the royal palace-temples and the royal graves.”

PREFACE / 21

The late-Ming prose epic Fengshen yanyi 封 神 演 義 (Investiture of the Gods) recounts the historic battle by Zhou to overthrow the Shang in cosmic terms. It identifies King Tang, founder of Shang, with Grand Unity and thirteenth-generation scion of the Yellow Emperor. ‘Heavenly’ (tian 天 ) was widely conflated with ‘Grand’ (tai 太) or ‘Great’ (da 大) and ‘Unity’ (yi 一) with the second heavenly stem (yi 乙).58 The Ming epic features a Daoist saint named Grand Unity the True Man (Taiyi zhenren 太乙 真人) who continues to feature in electronic games. He magically transmits the ‘unicorn son’ Nezha to his mother and acts as ‘godfather’ and tutor to the boy. He is officially the son of Li Fig. 10. Grand Unity as the True Warrior. Jing 李靖, the Tang generalissimo deified as avatar of Vaishravana, Buddhist guardian of the north.59 Nezha or Nata with his fiery chakra wheel is better known in spirit-possession cults as the Third Prince. He remains guardian deity and living embodiment of Beijing. Finally, a Quanzhen alchemic meditation text was published in the late 18th century identifies Grand Unity as the mystic source of true energy and light in quasi-Manichaean terms. The text called Taiyi jinhua zongzhi 太一金華 宗旨, literally ‘Grand Unity’s Golden Flower Doctrine’, is better known in English as The Secret of the Golden Flower. The book depicts the mystic generation of light in the shape of a miniature Buddha within the womb of the meditator’s abdomen. 60 Grand Unity’s socio-political dimension has all but 58 Dayi 大乙 is attested by oracle bones as King Tang’s posthumous title. K.C. Chang 1976: 101. Xunzi 25 (Chengxiang): 515—names him Tianyi 天乙. 59 Fengshen Yanyi 1.1—King Cheng Tang founder of Shang as Taiyi 太乙; 13-14— ‘Grand Unity the True Man’ (Taiyi Zhenren) emerges as ‘godfather’ to Nezha (Nata). Dudbridge 1970: 34-35. 60 Taiyi Jinhua Zongzhi 太乙金華宗旨. Wilhelm 1931. Cleary 1992. Cott and Rock 2011.

22 / DISCUSSION

vanished from sight.

Philosopher of Unification One of the most fascinating facets of the Pheasant Cap testimony is the historical window it opens into the waning years of China’s independent kingdoms at the close of its classical period. Pheasant Cap Master (Heguanzi) is the title of a mysterious figure known almost exclusively from the book that bears his name. Neither his original name, exact place of birth, or dates of life are recorded. It is thought his name derives from the pheasant feathers he displayed in his cap, perhaps a badge of office. This species of pheasant (heji 鶡鷄), larger than the normal variety, was reported by Han lexicographer Xu Shen from the mountains of Shangdang in Zhao. In Qing times, it was identified much farther north as the golden pheasant with its striking interplay of black and yellow.61 Pheasants (zhiji 鴙鷄) are a wild fowl native to China, whereas the chicken, a domesticated jungle fowl, may have originated in India. The bird provides the closest real-life model for the mythical Chinese phoenix (fenghuang 鳳 凰 ), messenger of the gods. The cock-pheasant has a brilliant plumage and grows long striped tail feathers of extreme flexibility and sensitivity. Early ritual calendars report its rumbling call and wing beating as a sign of spring.62 In Qin (Shaanxi), a pheasant-headed god called Giant Gem (jubao 巨寶) was worshiped as a meteor and portent of royalty. Wang Bao 王袌 (ca. 50) in his lyric of astral travel, written in the idiom of Chu, encounters this pheasant deity in the heavens immediately after meeting the star god of Grand Unity.63 Pheasant Cap himself speaks of ‘spirit feathers’ in a ceremony to his new world order (ch. 9). Mounted on short sticks, long pheasant tails are traditionally wielded by seried dancing boys at Confucian temple sacrifices. Their extraordinary flexibility enables them to conduct subtle vibrations in visible form. They were thus apt to manifest shamanic communications, as through youth mediums (jitong 乩童). A Warring States battle-axe found in Hubei is engraved and inscribed on both sides with an exorcistic charm. A crested bird in profile keeps watch above a face-on figure whose headdress is adorned with long curling feathers. Ciyuan 1978: 2410. Fang Shiji 方式濟 (dat. 1709): Survey of the Amur Region (Longsha jilüe: Wuchan 龍沙紀略: 物產)—“The heji is yellow and black, somewhat larger than a normal pheasant.” Huang 2002: 2 on Shangdang/Zhongshan (Henan/Hebei) habitat. 62 Dadai Liji 47 (Xia Shaozheng): 59—first month pheasants (zhi zhengou 鴙震呴). 63 Hawkes 1959: 142, 144—on Wang Bao’s Jiu-Huai ‘Nine Yearnings’ (Weijun). The pheasant god was known in Qin (Shaanxi) as Chenbao, Tianbao or Jubao ‘Giant Gem’. A city there, Baoji (Jeweled Cock), is named after him. Liu Xiang (79-8) submitted a memorial to the throne urging maintenance of the cult. 61

PREFACE / 23

He has scaly skin and snake earrings, and grasps reptilian creatures while perched on sun and moon with taloned feet (Fig. 11). The god rather resembles the fearsome “northern quadrant’s Yuqiang who has human face, bird body, earings of two green snakes and treads on two green snakes” in the Mountains and Seas Classic (Shanhai jing 8, Haiwai Beijing: 5a). He has been equated with the awesome deity labeled ‘Grand Unity’ emanating zig-zag rays from his head painted on a silk from Mawangdui (Fig. 8).64 The wearing of feathers in headgear signaled martial bravado and status as Han Feizi 韓非子 (d. 233) first observed. 65 Six centuries later, Fan Ye 范曄 (398-445) described a military cap with pheasant feather on each side, adding,66 “The golden pheasant is a courageous species of bird. When fighting an opponent, it stops only at death. So, King Wuling of Zhao used it to decorate military officers. Qin continued its use from him.” Three points are relevant: First, the cap was Fig. 11. Warring States axe a distinction for military officers. Second, it was with Feather Cap figure. instituted by King Wuling of Zhao (r. 325-299), protagonist of our final chapter (19). This king ‘Martial Soul’ is famed for adopting Hunnish jackets and trousers in place of robes for his cavalry. Third, this dress code and cap was later adopted by Qin and Han imperial armies. Far from the quirk of an eccentric recluse the pheasant cap was a badge of martial courage. The expressive potential of its 64 The image in relief is on a bronze dagger-axe found in 1960 at Cheqiao dam, Jingmen (Hubei) in Jingzhou museum. It is believed to show influence of Sichuan’s Ba-Shu culture but is engraved in Chinese: “repeller of weapons, Saturn” (bibing taisui 避兵太嵗). Saturn is the ‘great year star’ (taisui) because of its twelve-year cycle but has a baleful power. Li 1995-1996: 32; Pankenier 2004: 219; Yates 2005: 21n25; Harper 2007: 184. 65 Han Feizi 1 (Chujian Qinwang): 1—“He bows his head wearing feathers (daiyu 戴羽) to become a general.” 66 Houhan shu 30 (Yufu-xia): 3670. Defoort 1997: 16. Long feather headdresses also appear on early Dongson bronze drums of South China and Vietnam. Tang prince Zhang Huai’s tomb mural, dated 711, shows a Korean ambassador in a cap with pheasant feather on each side. Two similarly attired envoys appear in 7th-cent. Dunhuang mural (Mogao Cave 335) below Vimalakirti. Hokusai’s Korean embassy print in One Hundred Views of Mt. Fuji (Smith 1988: iii 67-68, New York: George Braziller) shows single feathers in the center of round caps. Huhm 1980: 71—the Korean mudang shamaness wears a peacock feather in her hat for martial roles as in the Sinjang Kori, ‘Divine General Ritual.’

24 / DISCUSSION

long feathers can still be seen in the warrior headdresses of Peking opera heroes and heroines. There is thus a connection between Pheasant Cap’s concern with military affairs and his emblematic outfit. Tantalizing hints in later iconography suggest it may represent a largely forgotten martial dimension of Daoist tradition. A Buddhist painting ascribed to Lu Lengjia 廬楞伽 of Tang shows a Daoist priest sporting two pheasant feathers in a ceremonial crown as he burns incense to the tiger-taming arhat (Fig. 12).

Fig. 12. Daoist priest wearing pheasant feather cap.

The great west wall at the Yongle shrine exhibits two bearded gentlemen with single feather caps, possibly Wind and Clouds, standing between Ten Grand Unities and the Thunder God who holds his drum wheel with Lightning Mother behind him (Fig. 13). “As on the Mawangdui silk hanging and Quyang’s Northern Range Shrine east wall, we see here the thunder god juxtaposed with Grand Unity” (Gesterkamp 2011: 96, 129). Pheasant Cap Master cautions against “making light of the enemy” which Laozi called the greatest catastrophe (ch. 7). He endorses Sunzi’s dictum that the best is to win without fighting (ch. 19). Nonetheless, like Mencius he accepts that political unification cannot be achieved without conflict but awaits Heaven’s mandate.67

67 Mengzi 1 (Liang Hui Wang, 6 Bushi Sharen):—unification of the Under-Heaven by “a person who does not enjoy killing.”

PREFACE / 25

Fig. 13. Two feather-capped Daoist masters with Ten Grand Unities.

Is it possible he anticipated a fight unto death, prepared to emerge from a mountain fastness at the heavenly hour like a cock pheasant in springtime to sacrifice himself for the cause, unlike those useless suicides he scorns?68He has much to say about heroism and teaches the dynamic of pre-ordained unity is to be realized by a Ninth Augustan (chs. 9-10). A. C. Graham became fascinated by Pheasant Cap toward the end of his life, recognizing him as “the first developed Chinese philosophy of the One” (1993: 31-32; 40-41). Earlier, Chad Hansen had proposed a ‘mass noun’ hypothesis to account for what he calls a Chinese ‘mereological’ world-view which starts from a process of dividing a pre-existing whole, rather than building it up from discrete individual parts (1983: 30; Hay 1994: 19-21).69 Thus, in its classical language, the plural form may be assumed for an unqualified noun. ‘Man’ may be taken as all ‘men’ (ren 人), unless otherwise indicated as in ‘one man’ (yi-ren 一人). This qualification of men as ‘one man’ often denotes the ruler as the ‘One Man’ (chs. 4, 6), but it can also mean just any one individual (ch. 8). Pheasant Cap has faith in the power of oneness, a potential for unity reaching from the individual to the myriads (chs. 9-10). Division implies a pre-existent unity, an inclusive as opposed to an exclusive world view. The same applies to dynamics harnessed by division (chs. 68 Defoort 1997: 15—cites Ban Gu’s (32-92 CE) thumb-nail biography: “He was a man from the state of Chu. He lived deep in the mountains and made a cap from pheasant feathers (Hanshu 30.1730).” 130-34—Pheasant Cap against suicides. 69 Hansen 1983: 30; Graham 1989: 262, 401-05; 1993: 40-41. Hay 1994: 19-21.

26 / DISCUSSION

4-5).70 Pheasant Cap applies the term ‘dynamic’ (shi 勢) not only to forces of the external world, but to the potential within the self (ch. 18). It thus exceeds the bounds of the word’s rendering as ‘positional advantage.’ Mencius is rightly famed for his faith in the insuperable will of the commoner (pifu 匹夫). Like Mencus, Pheasant Cap awaits the advent of the One Man to set the world to rights but does not rest idle in the meantime. History, like multitudes, is made up by individual ‘I’s (ch. 9). Pheasant Cap’s philosophy epitomizes the Chinese inductive tendency to proceed from the general to the particular. Contrary to Western practice, a Chinese surname customarily precedes its given name, and dates are recorded by year-month-day, addresses in the order of nation-state-town-street-house. Thus, Pheasant Cap takes as premise that individuals are subsumed in an overall unity but cautions against rule by one-man monopoly (ch. 6). He accepts divisions as ‘fences’ (ch. 4) necessary for practical rule but not as isolating barriers. Just as in the Indian parable of the blind men who feel different parts of an elephant, its substance is one. The cake is still one and the same no matter how divided, sliced or diced (ch. 9):71 Accumulated in a silo, grain, whether in pecks or piculs distributed or in pints stored, is not diminished. Open lands divided among people are indeed still one!

The Way’s Law essay excavated at Mawangdui adduces these exact same units of measurement to show the controlling power of legal objectivity over things “so there is nowhere to flee for their spirits” (MWD Jingfa Daofa: 43). Pheasant Cap demonstrates the intrinsic unity of mankind. He takes this further in his theory of a universal constitution by free association and communality of Mohist idealism (ch. 10):72

70 Xunzi 9 (Wangzhi): 149—“When divisions are equal, there is no partiality. When dynamics are level, there is no unity.” (Fen jun, -ze -bupian; Shi qi, -ze –buyi 分均則不偏勢齊 則不一). Shangjun Shu 26 (‘Fixed Divisions’ Dingfen): 94-95 Shang Yang. Thompson 1979: 280—Shen Dao 慎 到 82 ‘fixing divisions.’ Hanfeizi: 38 (Objections-3) and 48 (Eight Warps)—“divide the dynamics of power unambiguously” (fenshi buer 分勢不二). Lüshi Chunqiu: 17.6 (Shenshi): 14b-15a—Shen Dao on social divisions in terms of dynamics. 71 Graham 1989: 96-98—in ‘The Discovery of Subjectivity’ by Song Xing coined the translation ‘pens.’ Rosemont 1991: 276, 287—“Hansen’s mass noun hypothesis.” Shizi 12 (Guangze): 12—attributes ‘separate fencing of one substance’ to Liaozi. Lüshi chunqiu 17.7 (Bu’er): 15b-16a; 16.7 (Quyou): 17-18. Graham 1978: 334—Mozi 43, A86 “two names but one object” [substance]; A87 “two necessarily being different.” 221—Huainanzi 17 (Shuolin): 8b “name same, substance different” (mingtong, shiyi 名同實異). 72 Chunqiu fanlu 18 (Lihe Gen): 36—“communally love all beings”; 45 (Tianrong): 69— “communal love and universal profit” (fan’ai jianli 汎愛兼利) in Mohist manner.

PREFACE / 27

Multitudes through individuals (wo 我) become multitudinous, So they may be united in a communal reality of feeling (fanqing 范情). Under consensual love’s (shun’ai 順愛) government, Different races mutually communicate. Under forced love’s (ni’ai 逆愛) government, Those of the same race are mutually doomed.

Pheasant Cap’s vision of geo-political unity grows ever more relevant to our modern world. His vision stretched beyond China’s central states to embrace ‘myriad nations’ (wanguo 萬國). He was a universalist who went under an alias in the dangerous 3rd-century, the final century of the Warring States. He presents us a liberal model of unity against an authoritarian one. Whereas we use the translation of ‘states’ here, presupposing an eventual unification, the Chinese term guo is the same as that applied to independent kingdoms. Indeed, China’s warring states had by this time their own independent kings with variant systems of writing and measurement. They thus behaved more like autonomous nations than states belonging to a single entity. Pheasant Cap’s dates are debatable but his gospel of unification, by divine mandate not brute force, argues conclusively for a date prior to its final realization by Qin in 221.

Introduction The Yellow Emperor and Qin The meteoric rise and fall of imperial Qin lasted less than fifteen years. Its First Emperor reigned first as King Zheng, starting in 247, and then as emperor (in 221) at the age thirty-eight, for a total of thirty-seven years (247-210). His own imperial reign of eleven years is comparable in both brevity and lasting impact to that of Napoleon, who gave modern Europe its codified law and blueprint for unity. Qin’s influence on China, politically and culturally, has been as enduring as that of Julius Caesar on Europe. Qin was the Sparta, soon to become the Macedon, of early China. An upstart on the western periphery, long considered a semi-barbarian state by its eastern neighbors, Qin developed in the same area from which Zhou many centuries earlier had moved east to overthrow Shang at Anyang on the Central Plain. Qin was protected from the south and east by mountain ranges and commanded the door to the cross-Asia Silk Road. Thus, it steadily accumulated thus wealth and power, harnessed by a strict Legalist code. Following victory over Chu in 312, Qin expanded south and west, and its general Li Bing 李冰 opened up the rice-bowl of Sichuan with hydraulic engineering. Qin absorbed much of Chu culture as it continued to expand into Chu territory to its south through the Martial Pass (Wuguan 武關). In 206, Liu Bang 劉邦 (d. 195), the founder of the Han dynasty, would take this route north to capture the Qin capital of Xianyang 咸陽 (near modern Xi’an). It crosses a wild area at the cross-roads of what became four provinces, namely Shanxi (Qin), Sichuan (Shu), Henan (Zhou) and Hubei (Chu). It controls the upper reaches of the Han River leading up to mountainous Sichuan through Hanzhong on the west and down to the Yangtse on the eastern plains. This is the location of Mt. Wudang, renowned in more recent centuries as home of Daoist martial arts. Nearby is the home of Three Kingdoms strategic wizard Zhuge Liang of Mt. Longzhong 隆中山, who fought to restore the Han dynasty which broke into three kingdoms following the Yellow Turban rebellion in 184.1 This militant movement, amalgamated with the Five Bushels of Rice sect led by Zhang Daoling (張道陵 d. 156), became Orthodox Unity Daoism. Herlee Creel, who invented the term ‘purposive’ Daoism, concluded that it was a development secondary to an original ‘contemplative’ Daoism (1970: 3747). Since there is no evidence of ‘Daoism’ as organized schools in the pre-Han 1 Seaman 1987: 3. Saso 1972: 6—“’Pole Star Taoists of Wu-tang Shan’… the claimed origins [of the sect] are from the Han dynasty and the famed general Chu-ko Liang.” 28

INTRODUCTION / 29

period, it is hardly possible to say which came first. Yet, as a consequential principle of logic, the concept of purpose must precede one of purposelessness, just as an affirmation must precede its negation. Laozi and even Zhuangzi cannot be deemed lacking in political motives. The earliest definition of Daoism as a school (daojia 道家) was formulated in early Han by the historian Sima Tan 司馬谈 (d. 110) and immortalized in his son Sima Qian’s great history. There it designated the supreme school among a total of six, possibly be encapsulated in the epithet of eclectic or ‘adaptive Daoism,’ since it with infinite flexibility appropriates the best of the rest for itself. Harold Roth concludes: “It is to this Syncretic tradition of course that Ssu-ma T’an first gave the name of ‘Tao-chia,’ and we would not go amiss, I think, in seeing it as the first true ‘school’ of Taoism” (1994: 9). It has taken late 20th-century archaeology to confirm the existence of forgotten pro-active aspects of philosophical Daoism, accredited primarily to the godlike Yellow Emperor (Fig. 14). From the viewpoint of non-contrivance, ‘purposive Daoism’ may seem like a contradiction in terms. Yet Laozi himself was not without purpose. Non-contrivance or non-forcible intervention was simply his means to an end, i.e., a peaceful world, just as non-violence (ahimsa) was for Gandhi in the struggle for Indian independence.

Fig. 14. Sun, moon, Yellow Emperor with doctor Qibo, emperors Yao and Shun with ‘working-class hero’ Yi Yin, sage councillor to King Tang of Shang.

30 / DISCUSSION

The idea of non-contrivance, in the sense of non-interference by the person of a ruler in the bureaucratic administration of written law, almost as if in a ‘constitutional monarchy,’ was formulated by the Legalist Shen Buhai 申不 害 (d. 337), premier of Han, Qin’s small eastern neighbor (Zhuangzi 13, Tiandao: 457; Creel 1974: 135-38, 163-65; Zhang 1988: 56; Slingerland 2001: 109-12). Its application was extended by Huainanzi to include adaptation to nature in re-modeling landscape by irrigation works to meet human needs.2 Dao, meaning ‘Way’ and implying the Way of Heaven or Way of the First Kings, was a term shared by all Chinese schools of thought. Sima Tanfirst used the word to classify a school, as ‘Daoist.’ For Pheasant Cap its main focus is on unity whose expression is rational principle (li 理) a concept that Han Feizi in turn equates with Laozi’s Way.3 Imperial unification, as we noted, finally came to China in 221, not through a Confucian Sage but by the Qin king’s conquest and annexation of the other six kingdoms in the twenty-sixth year of his reign. The First Emperor, as he then called himself, proclaimed his ultimate victory as righteous and for the people’s benefit (Fig. 15). Yet his campaign of enforced centralization by abolition of semi-independent fiefs in 213 went too fast and too far. The dynasty was overthrown in 207, three years after its founder’s death. Xiang Yu 項羽, Hege-mon King of Chu, burned Xianyang with its archives and the imperial mausoleum in vengeance. The aristocratic Xiang Yu aimed to Fig. 15. Three lines from the restore the independent kingdoms under First Emperor’s Yishan Stele his hegemony. Instead he committed suicide in 202 after his forces were surrounded. His nemesis was a commoner and ex-Qin officer named Liu Bang who founded the Han dynasty at Chang’an, adjacent to Xianyang, previously Qin’s capital. His dynasty, despite a brief mid-term interruption, lasted four hundred years and stamped the identity of Chinese as the ‘Han race.’ Yet externally the name China derives from Qin, whose imperial system Han appropriated. Chinese schoolboys have long recited how the First Emperor unified China, built the Great Wall, and standardized the script, weights, measures, and Huainanzi 19 (Xiuwu): 1-3—urges a pro-activist interpretation of ‘non-contrivance’, opposed to ‘inert immobility’ (moran bu-dong 莫然不動), by exploiting the forces of nature. 3 Han Feizi 20 (Jie Lao): 107—equates rational principle (li) with the Way. 2

INTRODUCTION / 31

axle widths. They learn about his harsh laws, burning of books, persecution of scholars. It is this that has overshadowed his achievements and been used as a pretext for not re-examining the evidence (Kirkland 2004: 78, 236n4). His sudden death, thought to be from ingestion of a supposed elixir perhaps containing mercury, led to eunuch Zhao Gao’s 趙高 usurpation, death of the crown prince and the rapid fall of his dynasty. Nevertheless, Qin pioneered the administrative unity that still defines China.

Imperial Qin Qin had come to excel at technology and mass production, the physical expression of form-name conformity. It pioneered monumental bronze statuary, now lost.4 The unprecedented sculptural realism, in keeping with its practical ideology, displayed in the masterpieces recovered from the First Emperor’s tomb testifies to Qin’s level of artistic achievement. An army of lifesize terracotta soldiers with individually modeled features, chariots and horses, musicians, entertainers and cranes have so far been unearthed outside his tomb at Lintong. The powerful elegance of Qin small-seal script calligraphy engraved on the First Emperor’s mountain-top steles by his prime minister Li Si 李斯, native of Shangcai (Henan) in Chu, has long been recognized (Fig. 14). The outstanding monument to Qin literature is the compendium of knowledge, compiled by a team of scholars working under millionaire premier Lü Buwei, comprising short essays arranged by topic, including science, philosophy, religion, medicine, and psychology. Lü Buwei’s self-penned preface of 239 compares the work to the Yellow Emperor’s instruction of his heir. In other words, Lü likens himself to the Yellow Emperor as ‘step-father’ to King Zheng, soon to be the First Emperor. Like Pheasant Cap, Lü was inspired by the idea of universal oneness. In the essays, Confucius, Mozi, Laozi, and others are cited with approval. On completion, the work was hung on a wall in the capital’s market place, and a thousand pieces of gold offered to any who could add to or subtract one word from word. The First Emperor stands accused of immolating Confucian scholars who opposed him. In this, he set a precedent followed by subsequent emperors for dealing with conscientious objectors and political opposition. In 213, he approved Li Si’s notorious book burning edict. This banned private book possession, excepting only the practical subjects of medicine, divination and 4 In addition to the twelve giant statues mentioned by Sima Qian, it is said Qin’s First Emperor erected outside his palace gate at Xianyang a huge bronze image to commemorate Ruan Wengzhong 阮文中, a hero who fought the Xiongnu on the Great Wall at Lintao, Gansu. ‘Wenzhong’ was later applied as a generic term for jade figurines buried with the dead. Peng Dayi (1542-1643) of Yangzhou: Shantang sikao 149: 1b ‘Wei Qin Jiangbing.’

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agriculture. Yet writings of the Hundred Schools survived. It seems the order was principally aimed at Confucians who supported feudalism. Qin had established seventy professorships (boshi 博士 ), specifically exempted from the prohibition. Books on law at least were obviously needed by officials to run the administration and education system. The First Emperor’s stele inscriptions show that his ideology appealed not only to law, but to the Way and its virtues. The scope and extent of his book burning therefore begs further investigation (Xiong 2001: 59-61; Lin 2007: 293). Imperial Qin standardized the Chinese script with its Cangjie dictionary, attributed to premier Li Si but named after the legendary inventor of writing under the Yellow Emperor. Cangjie, as we saw, was Pheasant Cap’s hero of law and the Way (chs. 7, 13). Literacy was obviously essential for rule by written law and bureaucratic control. We may therefore assume Qin further propounded an official ideology to give their empire legitimacy among their subject peoples. Yet only the stele inscriptions have survived to glimpse it until the 1973 discovery of the lost ideology of the Way’s Law ascribed to the Yellow Emperor. This primordial figure is introduced as an apostle of imperial unity and divinely sanctioned wielder of armed force. The war of righteous justice is to “smite rebellious dsorder and forbid violence… The Way’s actions are from inevitable necessity” (MWD Shiliu-jing Benfa: 75). The marriage of the Way and law, Daofa, was first articulated by the Confucian Xunzi.5 This philosophical fusion from the third century flourished under the aegis of the Yellow Emperor and evidently persisted into early Han. Its scriptures, lost for two millennia, were only revealed by the 1973 opening of the Mawangdui tomb of Li Cang 利蒼, Marquis Dai, sealed from 168 BCE. This Daofa ideology had been dominant in early Han, but was then supplanted and cast into near total oblivion by the Confucian triumph in 134. This was, it seems, due to the Han dynasty’s very own ‘burning of the books’ in eradication of politico-religious Way’s Law literature and suppression of the Hundred Schools. The linkage of the Yellow Emperor’s name, anathema to orthodox Confucianism, with Way’s Law now banned doctrine poses a question. Where had this heresy originated? There is no sign of it being an early Han creation. This must raise the suspicion that the reason for its suppression, and that of its patron deity, relates to its association with the ideology of Qin’s First Emperor. The Yellow Emperor survived as a cult figure in Daoism but the writings which bore his name vanished from Chinese philosophy. Their memory lived on in the title and dialogues of technical works like the Huangdi neijing 黄帝內經

5

Xunzi 14 (Zhishi): 276; 22 (Zhengming): 454 “united in the Way’s Law…”

INTRODUCTION / 33

(Yellow Emperor’s Classic of Internal Medicine) or the Sunü jing 素女經 (Plain Girl’s Classic) on the art of sex.6 Twelve hundred years later antiquarian Luo Bi 羅泌 (1139-1189) and his son in Southern Song attempted to salvage fragments of the Yellow Emperor’s legal legacy. Luo saw a transcendental moral value in law which he equated with the Confucian virtue of humane goodness:7 When the first kings regulated government, nothing was more humane than the penal code (xing 刑, ‘form’). In sanctifying penalties, nothing is more humane than law. Law (fa 法 ) in which humane-goodness (ren 仁 ) lodges is where penalties are centred. Human goodness is not man’s humaneness. It is Heaven and Earth’s humaneness… So, deputizing for Heaven and Earth, shepherds of the people instituted the five penalties. They must be as Heaven and Earth to men in acting humanely or inhumanely.

The longest reigning ruler of the Han, Wudi or the Martial Emperor, inaugurator of state Confucianism and banning of the Hundred Schools, personally strove to emulate the Yellow Emperor and the Nine Augustans. He expanded China’s frontiers, enshrined holy mountains from year 113 and sought eternal life. In all this he evidently also strove to outdo Qin’s First Emperor (Shiji 6 Hanji; 28 Fengshan). When he built temples to Grand Unity, was he also following Qin? This question has yet to be answered. There can be no doubt that the First Emperor was a practicing Daoist in a formal sense. The First Emperor adopted water, a key concept of Laozi, the color black, ‘feminine’ number six and the ideal of law (fa 法/灋), a word written with the water radical, as his dynastic emblems. The Yellow River was renamed Virtuous Water. The agency of water was correlated with the north quadrant, the Dark Warrior and Grand Unity. Han retained Qin’s water mascot as its own through its first century (see Bauer 1956). The First Emperor sent a boatful of youths and maidens to seek the island of immortals in the eastern Sea. He loved to travel in his luxury chariot on inspection tours, gliding along his straight highways, making pilgrimages to holy mountain shrines, including Mt. Tai near the home of Confucius and Mt Yi home of Mencius. He ordered his own pyramid and recreated conquered nations’ palaces. He was a man of big ideas. It is likely the First Emperor had an interest in Pheasant Cap. His knowledge of his teaching could have first been acquired during his youthful 6 These works (Huangdi neijing 黄帝內經 and Sunü jing 素女經) first recorded under Han are likely inherited from Qin which prioritised utilitarian subjects such as medicine along with agriculture. 7 Luo Bi: Lushi (Fahui 2 Huangdi Qingzhong Fa ‘The Yellow Emperor’s Light and Heavy Laws’): 16a.

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sojourn in Zhao under the tutelage of his ever ambitious ‘step-father’. Above all, Lü Buwei shared one idea with Pheasant Cap: the idea of teacher as ruler (ch. 11). In a thinly disguised reflection of his own self-image, Lü points to the teachers of the five emperors and three kings in antiquity. Lü predicts that a filial student, aided by the “Great Dynamic, may contrive the Under Heaven’s governance.” The last six words are an unattributed quote from Laozi (45), which Lü repeats elsewhere. The word for ‘governance’ is writtem serendipitously as the name of his step-son Zheng, the future First Emperor. The exact same phrase recurs, perhaps not coincidentally, in both the Mawangdui Way’s Law and Observations.8 The pun was unlikely to be accidental. Yet the First Emperor turned out to have a narrower vision than his liberal ‘step-father’ (zhongfu 仲父), guardian and ex-premier. Perhaps the early dominance of this merchant prince, and the boy’s own uncertain fathering, fostered an inner hatred that drove the First Emperor’s to the condemnation of merchants and husbands in matrilocal marriages proclaimed in his inscriptions. Traders were generally thought to be unproductive and hence a threat to agriculture, while morality was equated with promotion of the patriarchy, From Pheasant Cap, we learn more of the Nine Augustans in relation to Grand Unity. Later collateral texts indicate they are the titles of a succession of divine rulers which include the five emperors of prehistory and three kings who founded dynasties, plus one. Sima Qian relates how Yi Yin acclaimed Tang ‘innately king’ (suwang 素王) and instructed him in the arts of the ‘nine rulers.’ Tang then took up his royal axe to lead the revolt aginst the tyrannical Jie of Xia (see Figs. 16 a-b). Yi Yin was so highly revered that the Shang ritual cycle treated him as equal to royal ancestors (K.C. Chang 1976: 100). Tang dynasty Sima Zhen interprets the ‘nine rulers’ of Yi Yin’s teaching as the Nine Augustans.9 Mawangdui’s Nine Rulers text treats them simply as types of rulers of whom only the ‘legalist’ or ‘lawful’ model ruler (fajun 法君) is good, the eight others all bad.10 8 Lüshi chunqiu 4 (Mengxia, 3 Zunshi): 4b-5a—teachers of five emperors and three kings; 6b—“He will have the Great Dynamic to contrive the Under Heaven’s governance!” (you dashi keyi wei tianxia zheng –yi 有大勢可以爲天下正矣); 17 (Shenfen Lan - 2 Junshou): 4a—“In stillness and peace he may contrive the Under Heaven’s governance” (jing –er you ning keyi wei Tianxia Zheng 静而又寧可以爲天下正). MWD Jingfa (Daofa): 44, 8b; Shiliu-Jing (Guan): 62, 82a. 9 Shiji 3 (benji Yin), (Tang) Sima Zhen’s Suoyin commentary—glosses ‘Nine Rulers’ as: “Three Augustans, five emperors and Xia Yu” and “Nine Augustans.” He rejects (Han) Liu Xiang’s ‘Legalist’ interpretation as nine types of ruler. Yet Mawangdui’s ‘Nine Rulers’ scroll corroborates Liu Xiang. 10 MWD 1 (Jiuzhu): 29-33—two of its rulers are doubled to make the total of nine. Guanzi lii (Qichen Qizhu): 285-86—calls the good legalist ruler ‘divine’ (‘extended’ shen 申= 神). It makes no mention of Yi Yin or Tang.

INTRODUCTION / 35

Figs. 16a-b. Yi Yin, the epitome of a ‘promoted worthy’, was a wonder child reportedly found abandoned by the river. Yi Yin gained the favour of future King Tang of Shang, here holding the royal axe, by serving him a cooked goose.

The Way’s Virtue in Government The earliest evidence for the text of Laozi was unearthed in 1993 from a tomb at Guodian, Hubei. It consists of three untitled groups of bamboo strips from the tomb dated 278-265 of Chen Liang 陳良, ex-tutor to the ruler. Together they comprise two fifths of the received text, though assembled in a quite different order. Cheng Yifan deduces from his analysis of the handwriting that Chen was not merely a copier but composer of the still evolving classic (Gao 2007: 521; Cheng 2007: 535-37). Sima Qian informs us that a certain Huan Yuan 環淵) of Chu with two others studied “the Yellow Emperor and Laozi’s Daode” at the great Jixia 稷下 Academy founded by King Xuan (r. 320-301) of Qi (Shandong).11 He relates that Huan wrote a book of “upper and lower chapters,” a format peculiar to the Daodejing.

11 Shiji 74 (Huan Yuan, after Shen Dao). Schwartz 1985: 239—cites Guo 1946 on a bronze inscription of King Xuan of Qi honoring the Yellow Emperor as their ancestor.

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Russell Kirkland asks whether Huan Yuan was in fact the real Laozi. Such a connection would explain the work’s affinities with anonymous quietist writings and the eulogy on water in the Guanzi 管子 (Book of Master Guan), a miscellany named after Guan Zhong 管仲 (d. 645), reforming premier to Duke Huan of Qi, China’s first hegemon in the Spring and Autumn period of nominal Zhou power.12 If Laozi was indeed Huan Yuan, he was a contemporary of Pheasant Cap a possible contributor. Pheasant Cap’s shared verses on an invisible presence (chs. 3, 11, 16. Daodejing 14, 17) are absent from Guodian’s early Laozi drafts and from Han Feizi commentaries (20, 21).13 They then represent a separate strand. The earliest Chinese uses of the word virtue relate to the ruler’s manas or divine grace, derived from obedience to Heaven’s Way (tiandao 天道) and the ancestral tradition of the First Kings’ Way (xianwang zhi dao 先王之道). The Way is further cognate with the word for leading, teaching and speaking. Laozi plays on this triple sense in his opening line: “The Way that may be spoken/led/taught is not a constant Way.” The hallmark binome ‘Way’s virtue’ (daode), title of Laozi’s classic, occurs in seven chapters of Pheasant Cap (chs. 2, 5, 9-11, 15 and 17). It makes signal appearances throughout Guanzi and Zhuangzi. Xunzi, who presided at the Jixia Academy in Qi, employs the compound as ‘morality’ in its modern usage (Xunzi 16: 312). Virtue (de 德) in Chinese is etymologically related to ‘getting’ (de 得) which has the same sound, with the implication as we say, “giving is receiving”. Arthur Waley translates the word there simply as ‘power’, bonding with a deeper stratum of shamanism, in his 1934 The Way and its Power. This strikes a chord with the Homeric and Socratic martial sense of virtue, arete, possibly kin to Ares, god of war. Pheasant Cap assesses moral values from the standpoints of both civil and martial utility (chs. 4, 6, 7), but defines the Way’s virtue as the way of getting divine illumination. Its modus operandi is “love your essence to nourish energy” (ch. 10). Ironically, Laozi rejects ‘virtue’, at least in contrived forms. 14 Yet clearly understand virtue in terms of the core Confucian values of humane benevolence and righteousness (renyi 仁 義 ), however corrupted. Laozi, like Pheasant Cap, aspires to reform moral ‘customs’ (su 俗) but offers only the laissez-faire of non-contrivance as a solution. Guanzi’s Mind Technique (36 12 Kirkland 2004: 65. Shiji 46 (Tian Jing Zhongwan); 74 (Mengzi). Guanzi 36-37 (Xinshu), 49 (Neiye), 39 (Shuidi). 13 The reference to ‘taking faults/diseases as faults/diseases’ (bingbing 病病), which match Daodejing 71, in Pheasant Cap’s Generations of Worthies (ch. 16) are also not found in the GD mss. It does occur in Han Feizi 21 (Yu Lao): 120 in similar usage and in SHD 14 Daodejing 18-19, 38—“Cut short humanity, reject righteousness.” GD Laozi-a: 111.

INTRODUCTION / 37

Xinshu: 220-21) puts it in the context of self-cultivation and meditation: Virtue is the Way’s lodging place… From non-contrivance it is called the Way, Its lodging place is called virtue, So the Way and virtue have no gap.

The Dao may be impartial but its virtue is purposive. “Though his Way with virtue lodges” (Guanzi 2 Xingshi), the ruler still needs the means to implement his mandate. Good intentions and personal goodness are not enough (Guanzi 17 Bingfa: 94; 5 Chengma: 13; 42 Shi: 252): Enlightenment to unity is augustan, Discrimination in the Way is imperial, Persuasion through virtue is royal, Counsel to win by armed victory is hegemonist. So arms, though not the completion of the Way, Nor the utmost in virtue, Are yet what supports kings and makes hegemons.

Jia Yi 賈誼 (201-169) expands on this theme, now in the context of a unified empire confronting resurgent baron-kings who threaten to tear it apart again. His ‘New Book’ takes Zhuangzi’s quietist allegory of Butcher Ding to make the case for virtue as an auxiliary dynamic, not a substitute for ultimate control by ‘cleavers and axes’:15 A butcher of oxen in one day dismembers twelve oxen, Yet his keen knife is not blunted, Because what he severs and strikes, What he skins and trims, Is entirely along the grain. Yet when he reaches the thigh-bones He needs cleavers or axes. Benevolence and righteousness, kindness and generosity: These are the ruler’s keen blade. Authority’s dynamic, law’s regulations: These are the ruler’s cleavers and axes. Once his dynamics are settled, His authority is already sufficient, then with Benevolence and righteousness, kindness and generosity He may favor them. 15 (Han) Jia Yi: Xinshu ‘New Book’ 2 (Zhi -Buding ‘Control the Unsettled’). Shiji 84: Jia Yi 416a. Zhuangzi 3 (Yangshengzhu): 119. Guanzi: 29 (Zhifen): 162.

38 / DISCUSSION

So, his virtue is spread And all under Heaven looks to him. Now the various baron-kings are a host of thigh-bones. If you dispense with cleavers and axes’ control And wish to meet them with your keen blade, Your servant considers that your blade will bend or break. Against barbarians you do not use it: At the Huai’s south and Ji’s north (outside the Central Kingdom) Dynamics do not permit it.

Jia Yi’s cleavers and axes are equivalent to Pheasant Cap’s “royal axe,” which Tang used to conquer Xia. Yet it must be wielded with benevolence and righteousness. Yet we also see here an authoritarian aspect of the utopia in some ways reminsicent of Qin (chs. 1, 9).

Laozi in Qin Intriguingly, an isolated fragment from Zhuangzi illustrates the interaction under Qin between shamanism, rationalism and Yellow Emperor philosophy. It attributes the institution of exorcisms to the Yellow Emperor but then explains them simply as therapeutic physical exercises for ‘the black heads’ (qianshou 黔 首), the hallmark Qin appellation for the ‘common people’:16 Rover of the Isles enquired of Sturdy Yellow: “To exorcize plagues and expel demons, they beat drums, shout and make noise. Why is this?” He said: “The black heads had many ailments. So the Yellow Emperor appointed shaman Xian to make them bathe and fast so as to clear their nine orifices, beat drums and ring bells so as to stimulate their hearts, exercise their bodies with quick steps to develop their in- and outbreaths (yinyang-zhi qi 隂陽之氣), drink spirits and eat shallots to clear their five organs. The beating of drums, shouting and making of noise to exorcize plagues and expel demons are because people do not understand. They think demons have cast a spell. From this we know how exploding bamboo fireworks and gate-guardian idols originated. Luo Bi: Lushi (Houji) 5 ‘Yellow Emperor’: 9a—“created boy mediums” (chuang tongzhen=ji? 創童侲=乩?). Luo’s son Ping cites Neizhuan that the Yellow Emperor initiated exorcisms (nuo 儺) and adds this lost fragment of Zhuangzi. cf. exorcisms in SHD Rishu (a): 217n38. Before gunpowder bamboos were heated to explode in exorcist fireworks as at New Year. Yulü 鬱壘 was a gate-guardian spirit. Klein 2010: 299-369. Bodde 1975: 75-138 iv—on ‘The Great Exorcism’ (Danuo) under Han. Zhuangzi 14 (Tianyun): 496—the shaman Xian Zhao explains the rule and virtue of the Supreme Augustan (Shanghuang). 16

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A Mawangdui manuscript of an illustrated manual of qigong exercises in a Daoist context proves that the connection between health and physical activity were well understood at that period. The final chapter of Zhuangzi ‘UnderHeaven’ (33 Tianxia) surveys the schools of philosophy yet omits Confucianism and Legalism. This could reflect a Qin factor. Graham dated Zhuangzi’s ‘primitivist’ passages, and those satires mocking Confucians as bandits and tomb robbers, even later to the post-Qin civil war anarchy of 206202.17 Yet Qin seems their most likely audience. Several unusually specific geographical asides in Zhuangzi’s tales of Laozi surely served a political purpose. An earlier chapter mentions Lao Dan’s 老聃 “departure for Qin,” while the fifty-one-year old Confucius goes to Pei to elicit his teaching (14: 516). Later the text has, “Yangziju went south to Pei [Peicheng near Xuzhou in northeast Jiangs]; Lao Dan was traveling west to Qin; they made an appointment in the suburbs.”18 (27: 916) Finally Zhuangzi himself is linked to the area which fell within the old fiefdom of Song (32). Coincidentally or not, Pei was home town to Liu Bang, founder of the Han. In 1975, the intact tomb of a Qin official by name of Xi 喜, ‘Joy’, who died in 217, was excavated at Shuihudi in Hubei. It brought to light a human face of Qin legalism in surprising ways. Along with the deceased’s law books were two almanacs detailing calendrical rituals and shamanist observances. The materials contain the earliest known listing of the twelve animals in the Chinese zodiac and the conquest cycle of the five agents. One work explains how to behave as an official in ‘The Magistrate’s Way.’ It contains moral advice and maxims, many set to Qin rhyming patter (chengxiang 成相), a performance genre also utilized by Xunzi. Most interestingly the Qin manual contains two apparent quotes from Laozi, the adages on the ill fate of violent men and that “gentlemen are not at fault if they accept their faults as faults.”19 The latter sentiment is developed by Pheasant Cap (ch. 16). It was Xunzi’s disciple Han Feizi who left the earliest commentary on Laozi’s classic. They show that realpolitik readings were already current in the 3rd century. Han Feizi, noble scion of a small state adjoining Qin anxious to preserve its integrity, journeyed to Qin where he hoped to gain an interview with King Zheng. Li Si, Han’s old classmate under Xunzi, was now Qin premier. Yet Li, we are told, lost no time in having his rival executed. 17 Graham 1989: 306 argues that Zhuangzi 10 (Quqie): 343—post-dates Qin’s final conquest of Qi in 221 because of its reference to ‘twelve generations’ of its ruling house from Tian Cheng. 18 Graham 1986: 111-13. Zhuangzi 27 (Yuyan): 962. 19 SHD Wei Li-zhi dao: 167 lines A37, 44-45. Daodejing 42, 71. SHD Rishu: 219-20— zodiac, 223—five agents’ conquest cycle. Rishu b): 240 Eleventh Month line C-105, and MWD Wushi’er bingfang: 72, 74, 95-96—‘Yu’s hopping steps thrice’ (Yubu san 禹步三).

40 / DISCUSSION

Han Feizi’s essays (20-21) include two commentaries on Laozi. They show taboo avoidance of the Qin king’s given name. His commentary begins with Laozi’s ‘Virtue chapter,’ which attacks moral hypocrisy and Confucian ritualism, a topic likely to appeal to Qin. The two Mawandui recensions similarly put the Virtue before the Way section, as ‘Virtue’s Way’ rather than the ‘Way’s Virtue’ (Henricks 1989; Peerenboom 1993). Their juxtaposition with Yellow Emperor and Way’s Law writings demonstrate a common political affiliation. Qin’s home territory lay to the west of the great bend in the Yellow River in what is now Shanxi and Gansu. This had also been the original region from which the Zhou dynasty came. Duke Ling of Qin (r. 424-415) sacrificed to the Yellow Emperor. Forty years later, the astrologer and historian (taishi 太史) of Zhou, named Dan 儋 , speculatively identified with Lao Dan, alias Laozi, informed Duke Xian of Qin (r. 484-362) that Zhou and Qin had been originally joined and foretold that after five hundred years would be so again (Shiji, chs. 28, 62). The state of Qin had been formally recognized by Zhou in 771, when it made its Duke Xiang a baron. Slightly over five hundred years later, in 255, Qin executed Ji the last Zhou king and annexed Zhou, arguably fulfilling Dan’s prophecy. Lü Buwei of Qin cites Lao Dan “who valued the soft” and often quotes his work. Fable tells that Laozi as an old man left his native Chu, riding his water buffalo along the Yellow River over the narrow Han’gu pass into Qin on his way west (17: 15b; Roth 1999: 198-200; Graham 1990: 119-20; Kohn 1998, 257). It was only at the entreaty of the pass-keeper Guanyinzi, surprisingly named Joy (Xi), that Laozi agreed to break his silence and compose ‘five thousand words’ for posterity while lodged at Louguan Terrace 樓觀臺 on a hill just west of Xianyang (Luo 1930: 158. Hanshu Yiwenzhi). Later Daoist myth claimed Laozi went on from there to India where he purportedly gave instruction to the Buddha.This part of the Zhongnan 終南山 range is also known as Mt. Grand Unity (Taiyishan 太一山). Below this shrine stands the imposing temple of the ‘Lineage Sage Palace’ (Zongsheng gong 宗 聖宮), allegedly founded by the First Emperor to honor Laozi.20 Daoists have venerated the First Emperor as the supreme aspect of the Northern Emperor (Beidi 北帝; Shen 1979: 154-57). His religious activities are well documented, including pilgrimages to holy mountains by the homes of Confucius and Mencius and the erection of shrines throughout the empire. He performed a ritual sacrifice to the Great Yu, drainer of flood waters and founder of the Xia dynasty, on Mt. Kuaiji 會嵇山, Zhejiang, in 210.

20 Kohn 1998: 45—on a Tang stele record that Qin Shihuang built Louguantai temple. Porter 1993: 43. For the First Emperor’s temple and Great Wall building program, see Shiji 87 (Li Si zhuan) 208; 88 (Meng Tian zhuan). Hanshu (Yang Xiong zhuan: Ganquan Fu)— “Taiyi shrine.”

INTRODUCTION / 41

He clearly had a strong sense of history and religion, thinking of himself as the agency of their fulfillment. He strove to justify his rule by the Way’s virtue, as his Yishan stele of 219 proclaims:21 “His brilliance illuminates the ancestral temples. He embodies the Way and practices its virtue.” Other steles extol his achievements for the welfare of the ‘black headed’ people. They link ‘the Way’s principles’ to ‘legal regulation,’ and proclaim the ‘great righteousness’ of his cause in suppressing violence. The First Emperor lauds his own achievement of Grand Peace (taiping 太平 ), convergence of names and forms, rule of law and ‘cleansing customs’ (zhuosu 濯俗). He boasts that his empire’s extent surpasses that of the five emperors governed by virtue’s Way and law. His inscription of 218 declares:22 In sagacity, wisdom, humane benevolence and righteousness, He manifests plainly the Way’s principles… The Original Way is utterly illumined, Sagely law from the start arises. He purifies with principles the borders’ interior, Externally punishing the violent and strong…

The term ‘Original Way’ is later echoed in the title of the first essay of the Huainanzi, the Wenzi and, with words reversed, in the Mawangdui text ‘Way’s Origin’ (Daoyuan 道原). There are practical reasons why pacifist religion has proved attractive to imperial founders. In India, the adoption of Buddhism as state religion by Maurya emperor Ashoka (d. 238) followed his bloody annexation of Kalinga (Orissa). Likewise, a message of peace and unity was what imperial Qin wished to propagate. After their final victory, the Emperor had swords melted down and recast as twelve colossi to guard his capital. He had real weapons buried with the lifesize terracotta army of soldiers, lovingly modeled and painted as distinct individuals in fastidious detail, to guard his mausoleum. Ironically, this general disarmament and posting of the army with his heir to the Great Wall left the capital vulnerable to internal attack by rebels after his unforseen demise. In the waning days of the Warring States, Qin had a formidable neighbor: the kingdom of Zhao, based in southern Shanxi and Hebei, which repeatedly led alliances from the east to attack Qin in the west. Pheasant-Cap, after the fall of his native southern Chu to Qin, may well have taken his services as political and military adviser to Zhao. There Zheng, the future First Emperor, was born on the first (zheng) month of 259. He was accordingly named Zhao Zheng 趙正

Shiji 6 (Qin Shihuang benji) 28th year (219): Mt Langye stele. Shiji 6 (Qin Shihuang benji) 26th Year (221): Mt Taishan (Shandong) and Langyetai (Shandong): 29th Year (219): Mt Yishan (Hebei). 30th year (218): Mt Zhifu and Mt Dongguan. 21 22

42 / DISCUSSION

after the state and month of birth.23 The First Emperor’s mother had been the concubine of the millionaire Lü Buwei, who married her to his father, then a political hostage in Zhao. When Zheng succeeded to the Qin throne, Lü became his effective regent and styled himself ‘step-father’ (zhongfu 仲 父 ). This was the honorary title given to erstwhile premier Guan Zhong who helped make Duke Huan of Qi hegemon. After Zheng took power, Lü was implicated in scandal involving the king’s mother and tragically compelled to commit suicide. (Han Feizi 35.3: 255-57). Lü had used his wealth to ensure Zheng’s accession to the Qin throne. As regent, he gathered scholars from all schools to compile the first universal encyclopaedia for the education of the young sovereign. The future emperor was thus well schooled for the job. He would have found Pheasant Cap’s ideas on cosmic empire of interest and may have first encountered them during his early years in Zhao. After conquest of other states, he recreated their palaces as personal museums at Xianyang, collecting their books in a central library. When offered the imperial title of Grand Augustan (Taihuang 泰皇) after final victory, King Zheng puns on Laozi’s dictum of the Sage refusing ‘extravagance’ as ‘grandeur’ (tai) so that his “body might not be harmed” when he replied, “I reject the grand” (qutai 去 泰 ). 24 His chosen title ‘Augustan Emperor’ was homophonous and in written form interchangeable with ‘Yellow Emperor.’ He was in effect claiming to restart history. Next, the new emperor styled his late father Grand Superior Augustan.25 An imperial founder, he saw himself as inaugurating a supreme era of peace and prosperity; fascinated by Daoist lore, he was obsessed with the quest for the elixir of immortality—possibly triggered in the aftermath of Jing Ke’s 荆柯 nearly successful assassination attempt (Fig. 17). His wanderlust matched Laozi’s dictum: “The Sage… because does not constantly abide so he does not depart.” Lü Buwei ascribed an analagous saying that “the Emperor does not abide” to the Yellow Emperor.26 23 Shiji 6 (Qin Shihuang benji)—The First Emperor’s name is customarily written as the zheng for ‘government’ (zheng 政) perhaps because of the lifetime taboo on his name meaning ‘correct’ (zheng 正) also the name of the first calendar month in which he was born. The Zhengyi commentary notes that zhèng (falling tone) had then to be pronounced as zheng (high level) for taboo avoidance. 23 Daodejing 29: 122—“The sage rejects extravagance.” Han Feizi 8 (Yangquan): 30— “Reject excess, reject extravagance, Your body will then not be harmed.” (Qushen, qutai, Shen -nai wuhai 去甚去泰身乃無害). Cf. Yijing: no. 11, Tai hexagram. 24 Shiji: (Qin Shihuang benji) 6, year 26. Daodejing 2: 114—“Just because he does not abide (chu 處), So he does not go (qu 去).” Lüshi chunqiu (Ji 3.5 Huandao): 9b—“The Yellow Emperor said: ‘The Emperor lacks constant abode. Abiding, he has no abode.’” (Huangdi yue: Di –wuchang chu-ye. Youchu-zhe –nai wuchu-ye. 黄帝曰帝無常處也有處者乃無處也). 25 Lewis 1990: 196, 314n116; 202, 206-07—on the axe talisman and Yellow Spirit “as the Pole Star, the spirit father and astral double of the Yellow Emperor.”

INTRODUCTION / 43

, Fig. 17. Jing Ke’s abortive assassination attempt.

The First Emperor was also a keen devotee of the dark arts and the holy mountain shrines, which he toured indefatigably in his deluxe six-horse chariot on the new imperial highways. The chariot appears in early art and literature as a symbol of aerial voyaging. A half-size bronze model crafted in immaculate detail, complete with driver and four horses in harness, was interred beside his pyramid. Like the days in a month, its wheels uniquely have thirty spokes, the number specified by Laozi.27 Later, he fell under the influence of a Mr. Lu 廬, who in 212 told him that the ultimate or True Man cannot be hurt by fire or water—a statement found variously the Zhuangzi (chs. 6, 17, 19) alleging. He duly adopted the epithet of True Man (zhenren 真人 ) and, a sign of his growing paranoia, ordered his personal location be made a state secret.28 ‘True man,’ absent from Laozi, appears in Zhuangzi in the transcendental sense of an immortal. This is the sense we find in Jia Yi’s ‘Owl Rhapsody’ (trl. App. I), composed thirty-two years after the fall of Qin. Yet Pheasant Cap uses the term to indicate the diligent gentleman (ch. 12) and ‘ultimate man’ in speaking of the Sage’s rule (chs. 12, 18). Qin ideology has been too facilely equated with Legalism alone. Lü Buwei welcomed all schools but showed personal preference for Yang Zhu’s epicurean views. He gives evidence for pre-imperial Qin patronage of Mohists, noted for 26 Daodejing 9: 116. Jia Yi: Xinshu 6 (Rongjing):—“Anciently makers of road carriages... used thirty spokes to symbolize [the days of] the month.” Huainanzi 17 (Shuolin): 8b. 27 Shiji 6 (Qin Shihuang benji) 35th year—Lu Sheng’s words match Zhuangzi 6 (Da zongshi): 226-34—the true man “entering water he is not wet, entering fire is not hot.” cf. 17 (Qiushui): 588; 19 (Dasheng)—the ultimate man.

44 / DISCUSSION

expertise in defensive military engineering such as used to construct the Great Wall. His compendium is the first to quote both Laozi and the Yellow Emperor. This it seems was the forerunner for the amalgam of Daoism and Legalism known as the Way’s Law and Huang-Lao which vanished in the next century. To judge from the contents of the Mawangdui tomb, the Yellow Emperor and Laozi were iconic figures of the Way’s Law school. The inexorable theme of the former’s ‘classics’ (jing) is unification of the Under-Heaven by arms but when these texts were buried in 168 BCE this was already history. It had served its unifying purpose, that of imperial Qin. Liu Bang, founder of Han, was not a peasant. He had passed an examination and been appointed Qin station-chief (tingzhang 停 長 ) at Pei (Sishui, Anhui. Shiji 8, 93). His fellow townsman and later loyal supporter Xiahou Ying had likewise passed an examination and served as Qin district officer (xianli 縣吏). Doubtless each was versed in Qin legal code.29 After Han’s victory it relaxed Qin’s laws but retained its administrative system (Shiji 8: 63 Han 1st year, 10th month). ‘Legalist’ ideology, Creel argues, underlay the institution in 165 of the first recorded court examinations by Emperor Wen (r. 179-157) who “loved FormName.”30 This was essentially the method of selection for office which was to govern China for two millennia. The idea behind these civil service examinations was explained by Dong Zhongshu as matching ‘names and actualities’ (mingshi 名 實 ), that is Form-Name, the monitoring system first expounded by Legalist Shen Buhai.31 This quasi-Qin ideology persisted as Han’s ruling school of thought until the death of Emperor Wen’s widow Empress Dowager Dou 竇太后 (d. 135). Dong Zhongshu, arguing the historical right of dynasties forcibly to overthrow prevous regimes who lost the Way, still accepted as legitimate Qin’s overthrowal of Zhou.32 Only in 136 did the Martial Emperor appoint Tian Fen 田蚡 as the premier who forthwith established state Confucianism and “banned Huang-

Shiji 95: 446b Ruyinhou Xiahou Ying. 96: 448c Zhang Chengxiang Cang and 449b Ren Ao were high officials of Han who had held office under Qin. 30 Hanshu 49: 9a. Creel 1974: 4-6, 230, 264-67—suggests a link to Qin’s ‘examinations’ (shi 試) for office. Graham 1989: 283. MWD Jingfa (Daofa) 43: 4a-6a—origin of Form-Name. 31 Chunqiu Fanlu 21 (Kao Gongming): 40. Shiji 43 (Shen Buhai, “Taishigong yue”) 369:—“Shenzi basest of base developed it in names and actualities.” (Shenzi beibei: shizhi yu mingshi 申子卑卑施之於名實). Ciyuan 1978: 2435 Huangdi Qi-Fu cites 17th c. Ma Su 馬驌 (Shishi: Lunyu Zhai Fuxiang 繹史, 論語摘輔象): Li Mo 力墨/黑/牧, minister to Yellow Emperor “supervised regional selection and promotion” (zhunchi zhou xuanju 凖斥州選擧). ‘Selection and promotion’ now denotes democratic elections. 32 Chunqiu Fanlu 25 (Yao, Shun –bushan yi): 47. 59 (Wu-Xing xiangsheng): 77-78. Dong interprets the conquest cycle as the operaton of divine law’s retributive punishments. 29

INTRODUCTION / 45

Lao, Form-Name and all Hundred School talk.”33 Nevertheless the examination system was retained in practice.

Law and Objective Standards ‘Law’ (fa 法) is a key concept in Pheasant Cap Master. It occurs seventy-six times compared to one hundred aand fifty-two times for the ‘Way’ (Huang 2002: 182-83; 272-75). Law here connotes not merely human legislation but the observable constants of the universe as the model for human behavior and society. Its visible expression is ‘illumined law’ (mingfa 明法; chs. 4-5). Law is closely related to the concepts of mandate and dynamic which have a moral and physical dimension respectively. Pheasant Cap uses the word ‘mandate’ (ming 命) forty-seven times, and ‘dynamics’ (shi 勢/埶) eighteen times. Mandate is ultimately ascribed to Heaven and akin to destiny. Dynamics is a latent power which mankind can create and to which it must also adapt. The idea developed from the act of planting, later written as ‘art’ (yi 藝 ) and establishment (she 設; Wells 2001: 50-52). The question about the role of law and whether there ever was such a thing as we know it in traditional China became a hot topic in 20th-century sinology. The same question could be asked of almost any conceptual term in translation. Ultimately individual words are variables defined by contexts. Yet in order better to comprehend the range of key words throughout the text without constant resort to the original I have endeavoured to retain the same word in English translation, as in ‘law’ for fa. Marcel Granet declared the Chinese had neither God nor law (1934, 476). His dictum echoes the Beijing pun for anarchy ‘no law, no Heaven’ (meifa meitian 没法没天) encapsulated in the image of a monk under an umbrella: no hair (fa 髮), no sky (tian 天). It was a fair description of the country in a war-lord era. Hall and Ames further proposed that early China lacked our concept of ‘transcendence’ (1987: 13), as if its inhabitants lived in a single-decker universe. Hans Lenk called this theory ‘radical internalism,’ noting that “such an approach does not admit of a strict separation between reality and representation” (1993: 5). Pheasant Cap is a monist but he embraces both transcendence and immanence, unity and multiplicity in his exposition of the dialectical identity of opposites (ch. 5). Michael Puett argues false dichotomies have arisen from misreading Claude Lévi-Strauss’s theory of monogenesis versus polygenesis in origin myths. Actually, both coexist in the same societies. Thus, Puett finds ideas of both 33 Shiji: 121 (Rulin pref., Shen Gong, Yuan Gusheng) 524-525:—(Chu Huang-Lao, Xingming, Bai-Jia-zhi yan 絀黄老刑名百家之言). Empress Dou and Emperor Wen “loved Huang-Lao…loved Laozi’s book,” “loved form-name.” 43—Shen Buhai, Han Feizi, HuangLao and form-name. 74—Shen Dao, Huang-Lao, form-name and Way-virtue.

46 / DISCUSSION

correlativism and discontinuity within the Chinese ethos (2002, 17, 147). Pheasant Cap correlates myth and history as two distinct levels of consciousness, lateral and vertical thinking, the Way and law. The problem encompasses the feld of Way versus law. Defoort describe the ‘law debate’ as follows: Convinced by Marcel Granet that the Chinese did not conceive of order in terms of universal or abstract laws, Joseph Needham launched a crusade against sinologists who were, according to him, “wont to translate almost any word by ‘laws’” (1997, 198-200, 203).

Confucian tradition has indeed a deeply engrained prejudice against the philosophy of law, commonly translated as Legalism. Graham calls it ‘an amoral science of statecraft’ (1989: 267). Needham speculated that the supposed lack of a ‘celestial lawgiver’ belief in China had obviated development of a concept of objective natural laws there. 34 It is ironical that a pioneer in exploring indigenous Chinese science should be known for denial of its legal tradition. Needham, in an introductory volume to his monumental Science and Civlisation in China, urged caution on use of the term as in ‘laws of nature.’ Nevertheless, noting that Pheasant Cap seemed to extend ‘law’ to the natural world, he did call for a search into such usages in ancient texts. Karen Turner (1989: 7) observes: “The Jingfa [Law ‘classic’] is unusual in presenting a model for law and government that does not rely on events or figures from the past to make its case.”35 Peerenboom assembled evidence for ‘foundational law’ both there and in the ‘Huang-Lao’ chapters of Pheasant Cap (chs. 3-6, 8-11).36 The Mawangdui ‘Creation of Law’ (chengfa (成法) links law and unity, hence philosophy to religion: “Formerly August Heaven despatched the phoenix to descend and proclaim the one word [unity] and then stop. The five emperors employed it to hold Heaven and Earth. . .” Thus, unity as uniformity and compliance is found to be the root of law, natural, human and divine. A postHan essay under the name Yin Wenzi 尹文子 (ca. 200) distinguishes four types of law (fa): social heirarchy, custom, reward-and-punishment and mathematical 34 Needham 1956 ii, 18: 520—“The distinction is found in Aristotle [Nicomachaean Ethics v, vii] who speaks of positive law as dikaion nomikon and of natural law as dikaion physikon.” 563—“The Chinese Denial of a Celestial Lawgiver and an Affirmation of Nature’s Spontaneity and Freedom.” 582—“the conception of laws of Nature did not develop from Chinese juristic theory and practice…” for three reasons: distaste for codified law, role of lî ‘propriety’ and “the autochthonous ideas of a supreme being, though certainly present from the earliest times, soon lost the qualities of personality and creativity.” 35 Turner 1989: 61—on natural law as per Cicero; 74 on Huainanzi 9 14a—which declares that the doomed state has a ruler but no laws. 36 Peerenboom 1991: 169-70—argues Heguanzi has “foundational naturalism and natural law” and that “natural law has normative priority… highest value” there.

INTRODUCTION / 47

measurement.37 Yin Wenzi quotes Peng Meng 彭蒙 (ca. 300) who explains the value of sage law which benefits myriad ages over personal rule limited to a lifetime.38 Mathematical law by inherent objectivity extends law to nature and hence science. The earliest legal documents discovered in China are bronze vessels cast in the early Zhou, inscribed with royal decrees and enfiefments. Further evidence appears in the Documents which point back to Shang and earlier. The source was ‘mandate’ (ming 命 ), either from Heaven or the king who was himself subject to Heaven’s mandate (Lupke 2005). ‘Mandate’ is cognate with ‘name’ which thus partakes of its supernatural associations, as witnessed by the observance of taboos on personal names. Mandates were expressed in tribal covenants, contracts and enfeoffments between rulers and ‘gentlemen,’ as evidenced in bronze vessels (Lewis 1990: 1, 43, 194). Under feudalism, as in mediaeval Europe, land was granted in reward for services but was conditional on the mutual fulfillment of contractual obligations. The lord swore to protect the vassal who in turn swore to pay tribute and render military service. The lord himself owed a similar duty to God or ‘Heaven’ by whose appointment he was believed to rule. Divine endorsement would be signaled by good omens and general prosperity. The reverse would be manifested by bleak portents and punishments such as drought or plague. In the worst case, Heaven would revoke a dynasty’s permit to rule, literally ‘sloughing off their mandate’ (geming 革命) and so engineering a ‘revolution’ for a new dynasty. By the time of the Warring States, the Zhou kings no power but the Heavenly mandate had not yet changed. Beginning in the seventh century, a series of hegemons from different states helped the nominal monarchy keep the peace. Confucius gave only grudging approval to hegemons because they lacked divine right and relied simply on military might. Yet still no new dynasty appeared. To conservatives there could only be one king under Heaven who had the mandate to rule. Yet powerful barons, beginning with Chu and the coastal states of Wu and Yue, were proclaiming themselves kings. A further disquieting development was the introduction of codifed laws cast on bronzed tripods in 535 by Zichan regent of the state of Zheng (Graham 1978: 9). The publication of codified law enforceable by bureaucrats threatened the whole feudal order in which he believed. Confucius held that social mores should be reformed by education and personal example. On the other hand, Confucius’ own family tradition holds that as justice minister of Lu he ordered the summary execution of learned 37 Yinwenzi: 1-23. Needham (2) 1956: 547-549 cites Yinwenzi—“The word fa also meant ‘method’ or ‘model,’ and this might be a better translation here. An intensive search for other passages where the word might seem to be employed in the sense of laws of Nature should certainly be undertaken.” 38 Yinwenzi b: 37—a discussion between Tianzi (Pian), Songzi (Xing) and Peng Meng.

48 / DISCUSSION

official Shaozheng Mou 少正卯 on five counts of spreading subversive ideas (Kongzi jiayu 1.2b; Yinwenzi 2.35). Growth of an urban artisan class demanded a rational system founded on principle, not precedent. The old feudal order of Zhou could never be restored. Mozi preached that Heaven by its uniform rotation exemplifies a law of nondiscrimination and ‘universal love’ (jian’ai 兼愛). He called for ‘one justice’ (yiyi 一義) and equality (tong 同) for all.39 Mohist faith in reason caused his school to develop canons of logic for use in debate (Graham 1978). Yet Mohist ideas that challenged prevalent practices of hereditary succession, wasteful consumption and aggressive warfare could hardly be implemented by rulers of the age.40 Shang Yang 商鞅 (390-338) realised the time was ripe for change. He posited a theory of social evolution, starting from the Yellow Emperor, whereby different levels of economic development neeed different systems of law. Strict implementation of a unified policy in rewards, penalties and education was the key to military success.41 The Legalism exemplified by Shang Yang may well be characterized as ‘draconian,’ a term coined after the harsh written code promulgated by Draco of Athens about 621 BCE. Shang Yang counters that law is the practical expression of ‘loving the people’ (aimin 愛民 ). The application of uniform standards doubtless brought social benefits just as it attacked privilege. After the death of his patron king in Qin, Shang was murdered by feudal lords whose holdings his reforms jeopardized. Nevertheless, Qin’s continued implementation of his policies over the following century led to its eventual triumph over all hostile competitors. The strategy through law to make the nation ‘rich and strong’ was re-adopted by post-Maoist China with its slogan ‘rule of law’ (fazhi 法治). Pheasant Cap, like Mozi, views the natural world as a manifestation of divine order. He condemns ‘savage law’ (mengfa 猛法) as a perversion of natural law. His holistic syncretism reconciles Confucian virtues with Mohist promotion of the worthy, Legalist law and Laozi’s Way (chs. 6, 8):42 Mozi 4 (Fayi): 11-12; 12 (Shangtong-zhong): 46-47; 15 (Jian’ai-zhong): 65. Mozi 4 (Fayi): 12—‘model law on Heaven’ (fatian 法天). Liji: 29 (Kongzi xianju): 819—“Heaven is unselfish in covering, Earth is unselfish in supporting.” (Tian-wu sifu, di wu sizai 天無私覆地無私載). Guanzi 1 (Mumin, Liu-Qin wufa): 3—Heaven is unselfish. 41 Shangjun Shu 1 (Gengfa): 3—Shang Yang cites the Yellow Emperor with Yao and Shun after Fuxi and Shennong. 17 (Shangxing): 60-62. 42 HGZ 7.3a. 5b—(Shou yi-Dao, zhi Wan-wu-zhe, Fa -ye. Fa-ye-zhe shou nei-zhe-ye; Ling-yezhe, chu zhi-ye-zhe... Fa-zhe shi qusi jiugong 守一道制萬物者法也 法也者守內者也 法者守於 分域之內 令也者出制者也…法者使去私就公). Hanfeizi 6 (Youdu): 22—“reject selfish conduct, practice public law” (qu sixing, xing gongfa 去私行行公法). C.f. Guanzi 43 (Zheng): 254—“To discard the selfish and establish the public, can you promote men?” (Feisi ligong, neng juren-hu? 廢私立公能擧人乎). 39 40

INTRODUCTION / 49

Keeping One Way to control the myriad things is law. Law is kept internally; orders are issued to control. . . Law causes rejection of the selfish to establish the public.

Thus, law is identified with a unifying Way and rejection of selfishness, a key Legalist axiom. Pheasant Cap equates law and numbers (shu 數) as objective guidelines opposed to subjective ‘self-adaptive’ (ziyin 自因) behavior.43 The idea of repeating cycles (fuzhou 復周, ch. 6) is a reflection of heavenly law, nightly visible in the revolutions of the Dipper. Calendars are the universal foundation of agriculture, religious observances, their music, zodiacs and metaphysics. An example forms the core of Lü Buwei’s philosophical almanac.44 The ‘Chu silk manuscript’ of ca. 300 BCE features images of long lost deities for each of the twelve months. These deities seem to be precursors of the celestial spirits or ‘devouring creatures’ expelled in Han dynasty New Year exorcisms. Two of these relate to Kui and stars of the Dipper.45 Pheasant Cap’s programs of administrative delegation and reporting couched in terms of a celestial music are based on regular divisions of a solar calendar of three hundred and sixty days (chs. 8-9). He does not mention the lunar calendar or the need for intercalary days to keep it syncronized to the seasons. The traditional Chinese luni-solar calendar which reconciles both systems was implemented by Han’s Martial Emperor in 104. 46 Yet Pheasant Cap’s fifteen day periods (with some sixteen day adjustments) match the twenty-four nodes of the parallel agricultural calendar still in use.

Law and War Christopher Rand in his study of early Daoism and the military identifies three responses to the problem of violence. These are the metaphysical, pragmatic and ethical. He finds that all three are combined in Pheasant Cap’s philosophy.47 They correspond roughly to the Mencian triad of heavenly timing, HGZ 7.21a—(Shengren anshu, xunfa…wushu er ziyin 聖人按數循法…今無數而自因). Dadai Liji: 47 (Xia Xiaozheng). Liji 6 (Yueling). Lüshi Chunqiu 1.12 (Ji); Huainanzi 5 (Shize). The Zhouli is arranged by Heaven, Earth, Spring, Summer, Autumn, and Winter. Bodde 1975: 16-19, 92-94. 45 Bodde 1975: 75, 93-95—cites Wang Chong (27- ca 100 CE): Lunheng 73: 24/101819 and Hou Hanshu: Liji 10a/6a-b, 399-400. ‘Year Star’ (taisui), the spirit of planet Jupiter, was considered most dangerous. SHD Rishu: 181-255—are Qin astrological calendars. 18788: Dark Halberd (Xuan’ge) specifically concerns the Dipper and Beckoner (Zhaoyao) star. 46 Xiao Hanming 2005: 186—the year of 360 days advocated by Pheasant Cap obviously predates the lunisolar inaugurated by Han Wudi in 104 at his ‘Grand Start’ (Taichu) which altered New Year to first month from Qin’s tenth month. Bodde 1975: 27-30. 47 Rand 1980: 210-11—attributes to Pheasant Cap “an expanded permutation of ‘syncretic-metaphysical-pragmatic-ethical.’” military solutions to the problem of violence. 43

44

50 / DISCUSSION

earthly advantage and human harmony. We may interpet these categories as astrology and theology; tactics and strategy; morality and morale. The ethical category requires creation of a martial code. Enforcement depends ultimately on use of arms, the pragmatic solution. This demands a higher sanction, the metaphysical solution. Th three are mutually dependent. The Chinese sign for law (fa 法 / 灋 ) combines ‘water’ and ‘to go,’ suggesting an origin from irrigation and flood control. As a verb, it means ‘to imitate’ and is phonetically close to ‘punish’ and attack’ (fa 罰 / 伐). A word of similar sound is associated with ‘model’ or ‘constitution’ (fan 範/ 笵/范) and the word for ‘square,’ ‘direction’ and ‘method’ (fang 方). Pheasant Cap makes important usage of this term ‘constitution’ (fan) which I take in the broader sense of universal ‘communality’ (see Preface; chs. 9-11). The Way connotes teaching by example and traditional precedent, rather than by compulsion or radical change. If law is square, the Way is round. It implies a voluntary compliance, harking back to a primeval utopia when mankind supposedly lived in subconscious harmony with the environment and seasons, at peace with their neighbors. Yet the state of innocence was shattered by the introduction of weapons. The demonic rebel Chiyou 蚩尤 , whom the Yellow Emperor overcame after a period of austeries in a mountain retreat, is generally blamed or credited for this diabolical invention (MWD Shiliu-jing Wuzheng: 65) (Fig. 18). Once invented, weapons were here to stay. Corporal ‘flesh’ punishments followed. These were introduced, according to the Documents, by the barbaric Youmiao 有 苗, alias Three Miao, presumably the Miao tribe who still inhabit south China. Yet again it seems this cruel innovation having been put into practice could not be undone. Significantly, Mozi endorsed the conquest and annexation of the Youmiao by Yu of Xia, not because of the harshness of their penal code but because they applied it unjustly.48

48 Shang Shu (Zhou Shu) 19 (Lüxing )—ascribed to Zhou King Mu (r. 1001-947) equates ‘law’ (fa) with penal ‘form’ (xing). It explains how punishments may be redeemed by the payment of monetary fines. The Upper Emperor Shangdi who gives the orders, and is also called August Emperor with the same sound as ‘Yellow Emperor,’ is resident in Heaven. Zhou’s Duke Dan authorized penal sanctions in Kang Gao. Mozi 12: 51; 16 (Jian’ai-xia): 7576—names the emperor concerned as Yu, cites King Wen and Yu’s on humane and righteous annexations to benefit the Under-Heaven. Lüshi Chunqiu 19.3 (Shangde): 6b—when the Three Miao refused to submit Yu asked to attack them but Shun told him to do so with virtue and in three years they submitted. Lewis 1990: 196-99, 184. Shiji 28: 1378.

INTRODUCTION / 51

Fig. 18. A bear-like Chiyou invents weapons to fight the gods.

James Sellmann perceives these attributions of the origin of penal law to alien tribes were invented to disassociate its creation from indigenous tradition. He detects ample evidence for the autonomous development of contract law within Shang China (2006: 49-64). Symbiosis of civil and martial law, whether first imposed by alien conquest or resistance to it, is deducible. In 575, the minister Fan Wenzi 范文子 of Jin equated war with penal law, the latter in the dual sense of law and form. Enforcement, he says, was by cleavers and saws on commoners, axes and halberds for aristocrats. Thus, tools and weapons were seen to ‘shape’ society in the same way as a carpenter carves wood. Fan argued it was necessary to correct the nation’s internal affairs before seeking to impose order by war externally. The harsh remedy should first be applied to oneself. He regrets that its application was directed excessively towards the lower orders but rarely to those of rank.49 The Legalist philosophers Shen Buhai in the state of Han 韓 and Shang Yang in Qin instituted regimes based on a mechanical system of rewards and punishments “without reprieve”, in place of the old laissez-faire whereby the privileged were often exempt. Shang Yang’s aim was to make the nation rich and strong by means of fostering agriculture and the military. He saw no reason why hereditary privilege beyond the person of the ruler himself should be allowed to impede this ruthless effort. It was these policies for which, after the death of his patron king, Shang Yang was murdered by slighted aristocrats, that a century later propelled Qin into forging the Chinese empire. Shang Yang argued: “Penal forms beget force, force begets strength, strength begets awe, awe begets virtue… by war abolish war… by penal forms

49

Guoyu 12 (Jinyu) 6: 3b—“Now war is penal law” (Fu zhan xing-ye 夫戰刑也).

52 / DISCUSSION

abolish penal forms.”50 Pheasant Cap in a more Daoist mode declares: “Arms and knowledge together arose.” (ch. 12a) He says this, not only to bewail man’s fall, but as historical fact. The symbiosis of war and law is similarly acknowledged by Plato (427-347): in his dialogue on the laws of Crete and Sparta, each attributed to divine inspiration. Law’s purpose there is stated to gain victory in war, external or domestic, but ultimately to prevent conflict. 51 The Mawangdui writings honor the Yellow Emperor as semi-divine progenitor of both political unity and law. The Yellow Emperor is named only once by Pheasant Cap who mentions his hundred battles along with Chiyou’s seventy-two, but his minister Cangjie, legendary inventor of writing and law, is named four times (chs. 12, 7, 9). Huainanzi recounts a legend that after his invention Heaven rained grain but demons wailed at night (8 Benjing: 4b). As we have seen modern archaeology has revealed the long-forgotten role of the Yellow Emperor myth in sanctioning an apocalyptic battle to impose a system of unified law on the known world. All this is detailed in the Mawangdui texts, which relate Yellow Emperor’s defeat of Chiyou and quasi-ritual use of his head as a football. It is hard to escape the impression that this model was seen by Qin as justification for its own campaign to re-unify China into a centralized empire. A massive tumulus ascribed to the Yellow Emperor is located north of the Qin capital Xianyang, in Shaanxi. Sima Qian in the early Han begins his history of China with the Yellow Emperor. Despite this, the growing dominance of Confucianism resulted in the early eclipse of Yellow Emperor philosophy. Liu Bang reportedly prayed at the shrine of Chiyou, the would-be nemesis of the Yellow Emperor, before taking up arms against Qin’s Second Emperor (Shiji 28: 1378; Lewis 1990: 196-99, 184). This was perhaps a challenge to the Yellow Emperor incarnate in Qin. Worship of Chiyou as a ferocious martial deity, bearing the five classes of weapons, persisted throughout Han (Fig. 18). In summer a red cock was sacrificed to him outsde the south gate for rain (Chunqiu fanlu 74: 89). The 16th-century novel Fengshen yanyi (Enfiefment of the Gods) apotheosised not the Yellow Emperor but, in line with Confucian orthodoxy, kings Wen and Wu founders of Zhou. The founding of the Zhou dynasty is presented in its overthrow of the Shang as another war of the gods of whom the losers including Grand Unity the True Man ultimately became stars. Pheasant Cap, like Mozi, ascribes law to Heaven, but like Confucius he prioritises humanity, which like Mencius he locates at the center of a trinity between Heaven and Earth. Heaven alone is too stern, Pheasant Cap judges, Earth too compliant. Humaneness and ‘human emotive reality’ (renqing 人情) 50 Shangjun shu 5 (Shuimin): 23; 18 (Huace): 64. Sima Fa 1. Sawywer tr. 1993: 126— “stop war with war.” 51 Plato: The Laws (Nomoi) 1:—Minos of Crete (with his brother Radamanthos who became judge in Hell) received laws from Zeus, while Lycurgus of Sparta received laws from Apollo. Gortyn in Crete preserves a set of laws engraved on stone tablets from the 6th cent.

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are key. Yet Pheasant Cap insists on a need to prioritize the military (ch. 7). Arms, he warns, even when not deployed in action, must never be neglected. These words have the ring of bitter personal experience, born of Chu’s and now Zhao’s humiliations at the hands of Qin.52

Law, Meritocracy, and Public Examinations ‘Legalism’ in China was also known as the school of names, or forms and names (xingming 刑名). Names (ming 名) represented individualized mandates. Bureaucrats used them to centralize control by written reporting. In apposition to physical ‘forms’ (xing), names were applied to fix job descriptions and itemize inventories. It was made mandatory by Legalists that form should correspond with name and vice versa. Classification of individuals by ability and performance, outlined in Pheasant Cap’s opening chapter, provides a scale for assessment by which to grade individuals and in theory promote the worthy. 53 It presaged the institution of public examinations for office by Han in the following century which thereafter remained a hallmark of Chinese civilization. Guanzi’s Correction or Governance (Zheng) defines Form-Name in terms of punishment fitting the crime: “If you institute the five penalties, each appropriate to its name, criminals will not be resentful and good men not alarmed…. To be like sun and moon in illumination is called law.” 54 Its Seven Laws or rules of rulership include ‘law’, glossed as measurements, as one of the seven.55 We will discuss wider issues of translation in the final section here, below. Briefly, notwithstanding the word’s diverse applications and indeed because of them, it is useful to tag them with one rendering so as to 52 Defoort 1997: 28-29—accepts Graham’s view that there is implied criticism of imperial Qin in HGZ 8 which speaks of ‘savage law.’ 53 Wenzi 7 (Weiming 58, Zhong Huangzi)—lists twenty-five types of men: divine, true, the Way, ultimate, sage; virtuous, worthy, wise, good, eloquent; impartial, loyal, faithful, righteous, proper; knight, worker, hunter, farmer, merchant; commoner, slave, fool, meat, small. The top five stand to the bottom as “men to oxen and horses.” 12 (Shang Li): 97— 10,000: ‘hero’ (ying); 1000: ‘ace’ (jun); 100: ‘champion’ (jie); 10: ‘valiant’ (hao). 54 Guanzi: 43 (Zheng): 254—(Zhiduan wu-xing, ge dang -qi ming: zuiren -buyuan, shanren – bujing… ru riyue-zhi ming yue fa. 制斷五刑各當其名罪人不怨善人不驚… 如日月之明曰 法). The same word is used for ‘penalty’ and ‘form’ (xing 刑, 形). Makeham 1994: 163-65— only ‘form’ (xing 刑) with the ‘knife’ radical is found before Eastern Han. 169—“both the realised ‘form’ of a completed job of work and the ‘outcome-cum-standard’ [xing 刑=形] against which the veracity of the original claim [ming 名] is ascertained are equally implicit.” 55 Goldin 2011: 93-94—“‘fa’ can include more than simply law.” He gives an example of fa used in Guanzi 6 (Qi-Fa ‘Seven Standards’): 28-29. These could be translated: principle (ze 則), model (xiang 象), measure (fa 法), reform (hua 化), decisiveness (juesai 决塞), psychology (xinshu 心術), calculation (jishu 計數).

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comprehend its ramifications. It seems they are not unconnected. Underlying them are the makings of objective science. Creel recognized the role of law, even hesitant to use the plain English word, in an evolving philosophy of bureaucratic administrators (1961, 1970: 85. 1974: 121). A.C. Graham notes (1978: 198): Creel argues persuasively that it originated with Shen Pu-hai (d. 337 B.C.) and that it underlies the techniques of personnel control by which the Han solved the new problem of administrating a reunited and bureaucratised Empire… In Legalist thought the ruler ‘names’ (ming ‘ordains/names’) a task, waits for the performance to assume a definite shape (hsing) by which it may be judged, ‘checks and matches’ it against the phrasing of the decree, and rewards and punishes accordingly.

This expression ‘checks and matches’ (canwu 參 五 ) or ‘counter check’ translates literally as ‘three and five.’ Guanzi used it for dividing the administration into three and grouping people in fives. I think the term derives from land surveying by triangulation and squaring to a central point. Han Feizi uses it to “analyse and compare material tasks with their forms.”56 Pheasant Cap applies it with regard to mandate (ch. 12). Laozi in reactionary mode criticized ‘promotion of worthies’ because it causes people to quarrel. Zhuangzi expressed a similar opinion. 57 Pheasant Cap’s Circular Flow (ch. 5, like Lü Buwei’s 3.5 Circular Way) urges ‘promotion of worthies.’58 Promotion of worthies was a contentious issue in a feudal world based on hereditary rights. Yet Han Feizi rejected the abdication of rulers theory as obsolete and dangerous in contemporary conditions. He saw that centralized rule required a non-hereditary bureaucracy answerable to the emperor. This necessitated recruitment on merit, reporting, inspections and disciplining. On this Pheasant Cap and Qin agree. Following Qin’s annexation of conquered kingdoms, the question arose 56 Guanzi 4 (Lizheng, Shouxian): 10-11—five-fold division of a state: 20 (Xiaokuang): 121 triple division of a state (can 參) and five-man teams (wu 伍). 64 (Xingshi jie): 329— “counter check with Heaven and Earth’s impartiality” (canwu –yu Tiandi-zhi wusi 參伍於天地 之無私). Xunzi 25 (Chengxiang ‘Patter Songs’): 520—in rhyme “Hear its essence, clarify the reality, counter check clearly, carefully dspense rewards and punishments.” (Ting-zhi jing, ming-qi qing, canwu ming, jinshi shangxing 聽 之 精 明 其 情 參 五 明 僅 施 賞 刑 ). Han Feizi 5 (Zhudao ‘Ruler’s Way’): 18—check form and name; 8 (Yangquan ‘Wielding Power’): 32— ‘counter check things’ tasks and forms’ (canwu bi wushi-zhi xing 參伍比物事之形). 57 Han Feizi 49 (Wudu): 340—“In antiquity there was abdication by Sons of Heaven” (Gu-zhi rang tianzi-zhe 古之讓天子者). Daodejing 3: 114. Zhuangzi 12 (Tiandi): 445—“In utmost virtue’s generations they did not exalt the worthy nor employ the able.” 58 Guanzi 26 (Jie): 156—“They were humane so did not successively reign.” (Ren gu budai wang 仁故不代王). HGZ 6.15b-16b—makes ‘seeking men’ (qiuren) the ruler’s priority, urges him to ‘promote the worthy, employ the able’ (juxian, yongneng 舉賢用能).

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whether to ‘enfief worthies’ as urged by Mawangdui’s Kingdoms’ Precedence (MWD Jingfa Guoci: 45) or incorporate them as prefectures into the centralised bureaucracy. Qin ultimately chose the latter, while Han attempted a compromise, enfiefing sons and supporters as ‘kings’. Jia Yi, as we saw, warned Emperor Wen of the danger these petty ‘kings’ posed to the dynamic of Han imperial unity. Pheasant Cap in Wide Selection (ch. 1) classifies people into a meritocracy of five grades, whose ability is weighed relative to the mean of oneself, the ordinary citizen. It leaves open the question of how and by whom such levels of worth are determined. The ideal ruler will recruit men superior to himself as teachers; the worst will employ only slaves. Grand Record (ch. 11) announces that worth, not ancestry, is the qualification for kingship. Philosophers should be kings (ch. 11): Teachers make rulers; students make subjects. So, from the teacher, make the Son of Heaven; From the next in worth, make the three dukes; From the exalted, make barons. They change clans to make kings: They do not by ancestral registry make rulers. They desire equally to share united goodness in peace.

Prepared Knowledge (ch. 13) criticizes dynastic founders but virtually condones rebellion: “Those generations did not transmit to the worthy, so there was banishment of rulers.” Pheasant Cap’s idea of unity, like that of Mozî (12 Shangtong), is based on ‘equality’ rather than forceful subjection (Han 2005: 188). Nevertheless, his hierarchy of officials charged with periodic reporting will be subject to draconian penalties for non-compliance according to the schema of Guanzi (ch. 9. Guanzi 4: 10-11). Here Pheasant Cap is consistent with Shang Yang’s uncompromising call for uniformity. Confucian Zhou Rituals (Zhouli) too incorporates law and penalties within its politico-religious system.59 His utopian concept of ‘great equality’ (datong 大同, ch. 10) is better known from Zhou Rituals which pairs ‘ritual propriety’ with ‘righteousness’ and derives both from Grand Unity.60 According to this egalitarian ideal, an unworthy ruler should abdicate in favor of one more worthy. Such ideology inspired Wang Mang’s abortive attempt to replace the Han with his New Dynasty. King Kuai of Yan abdicated in favor of his more ‘worthy’ premier Zizhi 子之 in 316, with results as disastrous as in Shakespeare’s King Lear. Later King 59 Yang 2005: 92-93. Zhouli: 9 Qiuguan, 5 Sikou: 380-81 Sixing, Sice—on law, punishments and grounds for reprieve (she). Shangjun shu 17 (Shangxing): 59-63 Shang Yang. 60 Liji 9 (Liyun): 362, 383:—“ritual propriety and righteousness” (liyi 禮義); 382— ”great righteousness” (dayi 大義); 384:—“ritual propriety is righteousness’ fulfilment.” (liyezhe yi-zhishi 禮也者義之實).

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Wuling of Zhao (r. 325-299, d. 295) abdicated in favor of his second son, taking for himself the title ‘Master Father.’ He set up his first son as King of Dai whose revolt ended in the death of both. Finally, under the Han, an omenreader who petitioned Emperor Zhao to practice dynastic abdication was executed in 78.61 The earliest recorded program of public examinations, both civil and military, is detailed in accounts of the reforms of Guan Zhong in 7th-century Qi. It is unknown to what extent a program, such as his Triple Selection process, was ever implemented. This is the model of centralised district and regional reporting borrowed in ch. 9. Accoring to these records, he instituted the earliest system of recruitment by regional public examinations.62 Pheasant Cap (chs. 1-2, 6) advocates meritocracy, a process of selection and grading, and even subordination of the King to a Sage teacher. The theme of the wise minister, like Yi Yin under Shang, raised on merit from humble origins to become counsellor and teacher to a virtuous ruler is fundamental. In ch. 4, Sage and King appear to merge into one entity. Emperors likewise were to abrogate to their own persons the epithet of ‘sage.’ They thus claimed a status comparable to the philosopher king idealised in Plato’s Republic.

Dynamics of Nature The word shi 勢, ‘dynamics’, has aroused interest in recent years as a concept for its role in the animation of matter. It thus attracted the attention of scientists like Needham, philosophers like Francois Jullien, and art historians. Diverse renditions have been offered from Hall and Ames’s ‘positional advantage’ and circumstance in a tactical or strategic sense to more pro-active terms like force, power, posture and influence.63 I propose that as a generic equivalent, ‘dynamics’ best covers both aspects inherent in its scope, active as well as passive. While not denying shifting nuances in usage, I have opted to keep one word for it in translation to highlight its range. Like Parmenides and Plato on dynamis, Pheasant Cap associates dynamics 61 Graham 1989: 294:—Sui Hung was executed in B.C. 78. Hanshu: 75. Pheasant Cap equates the invention of writing by Cangjie, tradionally under the Yellow Emperor, with that of law itself. (chs. 7, 9). The Yellow Emperor is mentioned by Pheasant Cap once and only for his ‘hundred battles’ (ch. 12). 62 Guanzi 1 (Lizheng, Shouxian): 124—on examinations (kaoyan 考驗) and triple selection (san-xuan 三選) by districts. Guoyu 6 (Qiyu): 4a-b—on division and teams; 6b on triple selection. 63 Ames 1983: 65—on shi as ‘tactical advantage’ or ‘political purchase.’ Hall and Ames 1998: 38-39—“Classical Chinese tends to locate action within a situation as a whole, rather than within a discrete unit or agency. For example, shi 勢, conventionally translated as ‘Power’ or ‘Force,’ locates this energy as an aggregate tension that includes but is not limited to the specific parties in a dispute. It is the ‘force of circumstances.’” Wells 2001: 31-33.

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with the sun which he explains it as the sustainer of life (ch. 17):64 What is called ‘Heaven’— Is it not in imperceptibly having conquests? Is it not in the sun’s dynamic of growth and what the myriad things submissively receive?

The sun’s dynamic generates the unifying vital energy (qi 氣), of which Pheasant Cap gives a fuller account than any other ancient Chinese philosopher. It drives the periods and seasons enshrined in his solar calendar, the blueprint for his unified world. This vital energy is not an abstract construct but manifest through note and sound, ‘color’ as health and ‘flavor’ as food and life’s sustenance (ch. 11). It is composed of yin and yang in their literal meaning of ‘shady and sunny.’ Thus, Laozi tersely remarked that the myriad things ‘embrace the sunny (yang) and turn their backs to the shade (yin)’ (42: 102). The prolongation of life, and hence cultivation of yang energy, has been a main goal of Daoism. The aim is to conserve the yang by keeping to the yin and so nourish the ‘true yang’. In some respects, this is conceptually closer to the Zoroastrian war of light and darkness as good versus evil than to the ideal of the perfect balance or the doctrine of the mean characteristic of Confucianism.65 Mawangdui’s ‘Assessments’ lists twenty-four pairs of opposites as yin and yang equivalent to active and passive. It adds a caution: “yang is correct (zheng), excessive correctness is perversion.” Huainanzi’s Way’s Origin equate shady with evil and sunny with good. Wenzi “exalts the positive” (shangyang) and interprets sunny as ‘true’ and shady as ‘false.’66 This level of abstraction which developed in the late 3rd to early 2nd century does not feature in Laozi or Pheasant Cap. Laozi urged keeping to the ‘feminine,’ a quality equated with yin, yet passivity was a tactic not an end in itself. Pheasant Cap’s ‘night walker’ (yexing 夜行) and shady warp (yinjing 陰經) are explicitly linked to action, albeit under cover, and have ulterior motives. They seem an apt characterisation of the worldly role played by none other than Pheasant Cap himself. Pheasant Cap invokes Laozi’s imagery of an invisible presence for a deity who works in mysterious ways (ch. 3). Alternatively, it is the Sage, defined as 64 The ‘dash’ after ‘Heaven’ reflects the original punctuation. Plato: Republic 6: 508c509e—dynamis as ‘power’ or ‘faculty’ of the sun. HGZ 17 (Tianquan): 16b. 65 Waley 1934: 112—concluded that “it is vey difficult indeed to imagine that even the most confused and distorted account of Persian religion could have given rise to the yin-yang system as we know it in China.” 66 MWD Shiliu-Jing (Cheng): 83, 164b-67a. Huainanzi 1 (Daoyuan): 13a—interprets this as a war between yin between yang,: the person versus things, harmony versus desires: “to negativity (yin), be entirely closed; to positivity (yang), be entirely open. So, when Zi Xia’s mind was at war, he got thin; when he got the Way, he got fat. Sages do not let their bodies become slaves to things, do not let desires confuse harmony. Wenzi 6 (Shangde): 48.

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teacher (chs. 2, 6), not ruler, who operates as the faceless night walker behind the scenes. “He achieves success and finishes the job” so it just seems to people that his results were spontaneous, ‘self-so’ (ziran 自然; Daodejing 14, 17; chs. 3, 11, 16). Pheasant Cap connects this covert strategy to Sunzi’s precept to win without actually fighting (chs. 3, 19). Thus, the Heavenly Warrior (tianwu 天武) does not impose his will by brute force, but rather through the subtle operations of the shady warp. Elsewhere the expression night-walker is found only in Guanzi (2, 64). There it characterises the practice of non-contrivance by the ruler in spontaneously attracting people to him. An ancient commentary explains: “Night walking means mental activity. If you can in your heart activate virtue then under Heaven there will be none who can with you contend!”67 Pheasant Cap details Five Governances in the descending order of virtue, the last being contention, ‘fit only for dukes and earls.’ Sage Yanran’s 閹冉 counsel to the Yellow Emperor in the Mawangdui essay reads like a reply to Pheasant Cap re-affirming the necessity of conflict. This essay never identifies the other four ‘governances’ (zheng 政) but seems to take them in the sense of ‘campaigns’ (zheng 征). It offers a stout defence for contention, a homophone for “campaign”: 68 “To create contention is ill-omened but if you do not contend you will have no success.” This also answers the caution of Fan Li 范蠡 (ca. 500) to King Goujian 勾踐 of Yue, used by Laozi, that weapons are ill-omened and not to be taken up lightly (Guoyu 21.1b; Daodejing 31). And it connects to the Yellow Emperor ordered to purify himself in mountain retreat before going to war against demonic Chiyou (MWD Shiliu-jing Wu-Zheng, Zhengluan: 65, 67). Pheasant Cap understands nature as a field of conflict and dynamics of conquest (chs. 5, 8, 12, 17). He rejects Zou Yan’s theory of an automatic conquest sequence among the five agents (ch. 14). Conquest or destruction and production are inseparable processes. He expands on their chain of interaction through the dynamics of opposites (ch. 8): If water and fire are not generated, shade and sunshine have no means to complete energy, degree and measure have no means to complete control, Guanzi 2 (Xingshi): 4 and its commentary 64 (Xingshi jie): 327. ‘Five Campaigns’ (wuzheng 五征) seems the correct reading, as in HGZ 14 ‘Armed Campaigns’ (bingzheng 兵征) which I amend from ‘Armed Government’ (bingzheng 兵政). Compare MWD Shiliu-jing (Wu-Zheng): 65, 94a-b—“To make contention is inauspicious. Not to contend will also be without success.” (Fu zuozheng-zhe xiong, buzheng(-zhe) yi wuchenggong. 夫作爭者凶不爭者亦無成功). Guoyu 21 (Yueyu-xia): 1b—“Arms are inauspicious implements. Contention is employments’ extremity.” (Bing-zhe xiongqi-ye. Zheng-zhe shi-zhi moye 兵者凶器也爭者事之末也). Dadai Liji 75 (Yongbing)—denies arms are inauspicious when used to suppress disorder. 67 68

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the five conquests have no means to complete dynamics, the myriad things have no means to complete species.

‘Five conquests’ here refers to the cyclical theory of five agents, attributed to Zou Yan 鄒衍 (ca. 300) who equated them with dynastic changes in cosmohistorical terms. This turned out to mean that Qin embodying ‘water’ would conquer Zhou ‘fire’.69 From a materialst perspective, Pheasant Cap’s theory of creative opposition elaborates (ch. 8): “Earth is wet, yet fire is generated from it.; Heaven is dry, yet water is generated from it.” This is his interpretation of Shujing (Vast Plan; see Preface) five-agents genesis from water, then fire. He couples this proto-scientific observation with faith in a Heaven of human feelings that denies rain to oppressive rulers who dessicate Earth by ‘savage laws (mengfa 猛法).’ In regard to mutual conquests, Sunzi and Mozi both empirically remark that the five agents have no constant conquests. Water overcomes fire if water is more, and vice versa. Relative quantity is the determining factor.70 Pheasant Cap explains the interaction of the five agents through the unifying mechanics of leverage and dynamic balance (ch.17): Things have life. So, metal and wood, water and fire, Even while not in use, are mutually controlling… When you fathom things’ life, The five are as one!

Dynamics of History Dynamics are essentially of two kinds. There are dynamics of nature and dynamics engineered by man. The first are pre-existing forces over which man has no direct control, though they can by adaptation be manipulated to human advantage. In the social field man has more direct control. Han Feizi examines the theory of Shen Dao 慎到 that position alone secures power together with the riposte that worthiness in itself is sufficient for success. To resolve the dilemma of these two absolutely mutually contradictory positions, illustrated by hia famous analogy of the all-piercing spear and unpiercible shield, he advances the cause of statistical probability. He argues that, while Sages and arch-villains by their respective worth or position bring brief 69 The production cycle ‘wood> fire> earth> metal> water’ suffers from the difficulty of explaining just how metal generates water. The conquest cycle of ‘water x fire, fire x metal, metal x wood, wood x earth, earth x water’ seems much more plausible. Opitz 1993: 152-53. Lüshi Chunqiu 63 (Yingtong): 4a. 70 Sunzi 6 (Xushi): 53. Mozi: 41 (Jing): 195; 43 (Jingshuo): 226. Graham 1978: 411 B43; HGZ 14.7b.

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period of order or chaos to the world, an established legal system that can be regularly administered by average individuals will bring lasting stability. He concludes that rule by law, while not infallible, has the greatest odds in its favor. These he estimates somewhat hyperbolically at ten-thousand to one against one in ten-thousand. Law he calls a dynamic established by man, unlike the ineluctable forces of nature beyond his control.71 Epigrapher Qiu Xigui 裘錫圭 has shown the words for ‘establish’ (she 設) and ‘dynamic’ (shi 埶=勢) in early texts can be written interchangeably. This means that dynamics acquire a verbal sense in ‘to establish.’72 The dynamic of law is then, as Han Feizi explained, not a pre-ordained necessity but what man “can get to establish.” Even natural forces such as the five agents, as Pheasant Cap demonstrates, are susceptible of human calculation and manipulation. While holding a firm belief in the dynamic of unity, Pheasant Cap is no determinist. The necessity of unification is still to be implemented through the endeavours of human virtue (ch. 5). Confucians tended to disparage dynamics as a tool of legalism and a byword for amoral power exploited by exponents of realpolitik. Whereas Shen Dao may have exaggerated the role of dynamics as the all determining force, in Han Fezi’s analogy, his opponent who reportedly claimed the same for moral worth was equally one-sided. Xunzi, who was more concerned with enforcement than Mencius, nevertheless insists that the gentleman is the source of law. Furthermore, “if you are not anxious about getting your men but anxious about getting your dynamics, your body will be exhausted and the nation disordered…” (Xunzi 12: 237). It may be due to Confucian prejudice against ‘dynamics’ that the neglected text of Xunzi, like that of Pheasant Cap, retains the word shi in its archaic form 埶, without the ‘force’ (li 力) radical, with which the word has been written since Han times. In the present text the word appears ten times (not counting possible corruptions) in its archaic form and four times in its traditional form with ‘force’ (Huang 2002: 234, 280). There are also cases, where it appears to have been mis-transcribed as ‘art’ (yi 藝 ) with the speech sign (yun 云 ) underneath or the unrelated look-alike words ‘hold’ (zhi 執) or ‘who?’ (shu 孰) Scribal errors of this type are endemic in early manuscripts.73 For his part, Pheasant Cap sees no contradiction between predestination and moral endeavor, the transcedent and immanent. He extols the role of man 71 Han Feizi 40 (Nanshi): 16—“What I mean by dynamics is what men establish…” (Wu suo weiyan shizhe, yan: renzhi suoshe ye 吾所爲言勢者言人之所設也). Wells 2001: 94, 134, 140-41, 192, 209. 72 Qiu Xigui annotates MWD 1980 (Shundao): 80n151. GD 1998 Laozi: 122n7 “grasp=erect the great image (Daodejing 35); Zun Deyi 175n16. Wells 2001: 9, 12—on she in verbal sense of shi; 61-71 on orthographic variants of shi: (勢/埶/設. 73 Wells 2001: 61-71—‘dynamic’ (shi) is also related to ‘heat’ (re 熱) and ‘burn’ (ruo 爇).

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in embodying a transcendent dynamic (shi) in pro-active establishments (she) thereby reconciling Heaven, Earth, and Humanity. Recent paleographic research has further revealed a surprising etymological bond between the two words: “These three, if illumined clearly, what establishments may not be envisaged (ch. 17)?”74 Pheasant Cap defines the Way as necessity expressed in law and virtue. It marries the force of predetermination to that of human will through virtue. If my reading is correct, it represents a Grand Dynamic of energy as the unifying force productively channeled by social divisions (ch. 5):75 So, what is called the Way is necessity. What is called ‘virtue’ is the ability to get men. From the Way and virtue’s law, the myriad beings take livelihoods. Lacking form but having divisions, it is named the ‘Great Dynamic.’

Francois Jullien’s The Propensity of Things is, I believe, the first work to compare shi directly with Aristotle (382-322), especially his idea of potentiality (dynamis): 76 Aristotle says the parts of a body exist in place dynamically, as potential matter, but in actual forms only as in a lifeless heap. Living parts function through the totality of the organism, divided but not apart from it.77 Great Dynamic was a term already current in the 3rd-century BCE for the power and ability of the ruler. It has the sense of ‘geo-political situation’ as in the much later opening lines of the classic Yuan dynasty (ca. 1300) prose epic Romance of the Three Kingdoms (Sanguo yanyi): “The Under-Heaven’s Great Dynamic divided always must unite, united always must divide.”78 Division is a vital part of dynamic control. It explains the connection between dynamics and mathematical numbering. In a military context of conquest and control it can be summarized in the Roman maxim ‘divide and 74 Wells 2001: 9, 12. HGZ 17.16ab—I read ‘king’ wang 王 as ‘three’ san 三 here: (Wangzhe mingbai, -heshe -bu-ketu? 王 [=三?]者明白何設不可圖). 75 HGZ 5.13b—I take ‘without end’ as ‘necessity/inevitable,’ (wuyi 無已= budeyi 不得 已) and amend ‘great who?’ to ‘Great Dynamic.’ (Gu, -suowei Dao-zhe, wuyi-zhe-ye. -Suowei Dezhe de ren-zhe-ye. Daode-zhi Fa, Wa-wu qu ye. -Wuxing you fen, ming yue: Dashi {dashu} 故所謂道 者無已者也所謂德者能得人者也道德之法萬物取業 無形有分名曰大孰[埶=勢]). 76 Jullien 1995: 254—“Potentiality, a relative “non-being” in between “being” and “non-being,” makes the very possibility of becoming thinkable (all of which justifies our returning once again to Aristotle, the theorist of genesis).” Wells 2001: 11-12, 127-28, 211. 77 Aristotle’s Physics IV-5 (Ways of Being in a Place): 66—“The parts of a continuous homogenous body are in a place only potentially; whereas parts which are detached yet in contact, as in a heap are in a place actually.” Wells: 2001: 176-78. 78 Lüshi Chunqiu: 4.3 (Zunshi): 6b. Liu-Tao 15 (Wenfa)—The king’s Great Dynamic.” Sanguo yanyi 1: 1—(Tianxia dashi fen jiu –bihe, he jiu –bifen 天下大勢分久必合合久必分). Xunzi 12: 248—speaks of the “Ultimate Way’s Great Form” (ZhiDao daxing 至道大形).

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rule.’ It encompasses the efficient division of labor and administrative separation of functions. Yet division in itself without the driving force behind it to hold things together is useless. The Liji explains: “Ritual must be rooted in Grand Unity. . . It brings harmony to divided dynamics. . . 79 Similarly music, Lü Buwei tells us, is rooted in Grand Unity (5.2: 3a). Ritual and music form a complementary pair. According to the Music Record (Yueji), the primary function of ritual is to divide, that of music to join and unite (Liji 19: 614-616). Pheasant Cap’s organization of government is grounded in music which in turn responds to the seasons. Unlike Marx’s force of history ‘independent of human will,’ Pheasant Cap’s dynamic is vested in the man of destiny. His Sage does not ‘investigate’ things because his dynamic is concentrated internally (ch. 18): The Sage takes it from dynamics and does not search for it by investigation. Dynamics are concentrated and in himself; investigation is dispersed and goes to things.

Investigation, though subordinate to dynamics, may perhaps be identified equated with the function of expedience (quan 權 ) as related in “Armed Campaigns” (ch. 14). Expedience is commonly joined to dynamics as a compound word for political power (quanshi 權勢). ‘Expedience’ can also mean ‘weighing,’ or ‘authority,’ as in “Heaven’s Authority” (ch. 18). There it is linked with economic prosperity through adaptation to Earth and Heaven, while dynamics connects with victory in war through adaptation to the Way and humanity. Dynamics here plays a military role (ch. 14).

Ancient Chinese Messianism Following political unification, “imperial dynasties adopted messianic beliefs to justify their rule” (Mollier 2008: 96). This was evidently true of Qin’s inauguration of the imperial system. ‘Change of mandate’ meant ‘revolution’ as when Zhou overthrew Shang in 1122 (by traditional dating) for violating ritual norms. Zhou’s moral prestige remained high but after defeat by barbarians in 771 until its extinction by Qin in 256, the Zhou dynasty, like the Holy Roman Empire of Europe, lingered on moribund and largely ceremonial. 79 Liji 9 (Liyun): 382—Ritual must be rooted in Grand Unity… It harmonises by dividing dynamics(?)” (Liben –yu dayi… xie –yu fenyi=Shi? 禮必本於大一… 協於分兿=勢?). 384—”Justice is dynamics’(?) division, humanity’s regulation. It harmonises in dynamics(?), it is exercised iny humanity: he who gets it is strong.” (Yi-zhe yi(=Shi?) –zhi fen, ren-zhi jie-ye. Xie –yu yi(=Shi?), jiang –yu ren, de-zhizhe qiang 義者藝=勢?之分仁之節也協於藝(=勢?)講於仁 得之者強). ‘Dynamics’ here is written as ‘art’ (yi), a closely related word.

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Confucius reportedly yearned for a portent and lamented Heaven did not act in his lifetime. Mencius reckoned over 500 years had passed since the last Sage so Heaven was now overdue to send down a new one.80 Xunzi accused Mencius of adherence to the five-agents theory which Zou Yan claimed synchronized dynastic cycles. 81 Yet Xunzi too like Pheasant Cap indited the degenerate world and looked to the advent of a Sage.82 Mencius accepted the need for military force to effect regime change, but only if exercised by a true king appointed by Heaven. People, he said, were awaiting a savior as the thirsty water and the starving food. He claimed that people with staves under a virtuous leader would overcome armored troops.83 This would come to pass but only after unification when imperial Qin was toppled by peasant revolts. Mencius defined justified war as getting the Way in conformity to Heaven’s timing, Earth’s advantages and human harmony. Pheasant Cap endorsed similar conditions (chs. 14, 17). The anti-cosmological view was voiced by Han Feizi. He blamed faith in Zou Yan’s five agent and Grand Unity theories for the abdication in 316 of King Kuai to his premier Zizhi and the subsequent ruin of Yan. He further ridculed reliance on tortoise shell divination and Zou Yan for the debacle of Ju Xin of Yan’s attack on Zhao in 242 and Pang Xuan of Zhao’s disastrous coalition offensive against Qin in 241.84 By contrast, Han Feizi in a memorial of questionable sincerity to Qin King Zheng praised Xiangzi of Zhao whose divinations correctly predicted his victory in 453 over the tyrant Zhi Bo, an event Pheasant Cap also celebrates (ch. 19). Han Feizi concludes by urging the King Zheng to make himself hegemon, which shows how far behind Han Feizi’s thinking was to the man who in about ten years would become the First Emperor.85 Pheasant Cap’s work attracted the attention of the founders of the Tang and Song dynasties, as we shall see. It surfaced again in the Ming dynasty under Yongle ‘Eternal Joy’ as he styled his reign. His adviser esoteric Buddhist monk Daoyan 道衍 (1335-1418), alias Yao Guangxiao 姚廣孝, believed his master then King of Yan (Peking) to have a divine mandate under protection of the

Lunyu 9 (Zi Han): 9. Mengzi 2b (Gongsun Chou-xia): 13. Kongzi jiayu 6: 24 (Wudi ‘Five Emperors’): 1a-2a—claims Confucius learnt the theory from Lao Dan (Laozi). 82 Xunzi 6 (Fei shier zi): 89—criticism of Mencius; 6: 91. 25 (Chengxiang): 515—on Yao and Shun reforming the world by ‘getting the dynamic’ (deshi 得勢) peacefully; 26 (Fupian): 533—on a world turned upside down. 83 Mengzi 1 (Liang Huiwang, 5 Keshi zhi ting). 84 Han Feizi 35 (Wai Chushuo-youxia 3): 255-57—gives four accounts of the Yan abdication debacle; 19 (Shixie): 88—on Ju Xin with criticism of Zou Yan’s astrology. Graham 1989: 294. 85 Han Feizi 1 (Chujian Qin wang): 7-8. 80 81

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Dark Emperor. 86 In 1399 Daoyan encouraged Yongle to rebel against his nephew the Jianwen Emperor who had his capital at Nanjing. After Yongle led his armies south in a ‘pacification campaign’ and successfully deposed his nephew who disappeared or was killed, he needed to justify his actions. He then projected world power by deploying his fleet of treasure ships to Indonesia, India, and Africa. On the religious front, he commanded a massive expansion of the Dark Warrior’s temple on Mt. Wudang, while his wife Empress Xu 徐 太 后 (1362-1407) was inspired by dream revelation to compose a Great Merit sutra and so implicitly apotheosize his revolution. Yongle further ordered Daoyan to edit a massive compilation of literature, the Yongle encyclopaedia. Its redaction of Grand Record (ch. 11) inserts two hundred and twenty three characters unattested in any other source. Defoort states “there is every reason to consider this passage original” (1997: 84-90; 214-15). Yet its rough joins do violence to the received text. I suggest it was tailored specifically for Yongle’s political propaganda.87 In my translation below, the words of the standard version at the beginning and end are underlined. Yongle’s omissions from or alteration to the standard text are placed in square brackets. My comments are italicized in round brackets: In Heaven [and Earth, for shade and sunshine He is the shrine of the dry and wet]. — when he was not a thing Among the foolish no one believed in him. (When Yongle was passed over for the throne.) When on earth his form was completed The foolish subsequently died from it. (In the resulting civil war between north and south.) “The Sage pursues his tasks in the unsprouted, The foolish pursue tasks in the already completed.” 88 Heaven and Earth vied in their plainstuffs to fit the Culture and principles of the Sage. So his culture does not violate substance. In the four directions it is auspiciously beneficial. Its application does not harm its root. When his beauty was complete, disaster arrived: 86 Seaman 1987: 25-26. Chan 1976: 29-30, 34 citing Mingshi 299: “Daoyan.” Eugen Feifel and Hok-lam Chan: 1561-1565 “Yao Kuang-hsiao.” F.W. Mote and Goodrich: 355365 “Chu Ti” in Goodrich ed. 1976. 87 Huang 2002: 269—ignores it. Li 2003: 19—assumes it to be genuine. 88 Shang Yang’s Shangjun shu 1 (Gengfa): 1.

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For this there was a struggle at the Sage’s interior. (Yongle’s rebellion against his nephew.) Therefore his Way’s virtue may be valued, His measures and numbers taken as laws. He knows the Way virtue’s ultimate,89 Measures and numbers’ meaning. So he does not follow mental imagination’s flow, He does not follow ear and eye’s excesses. So they can be fulfilled in essence The myriad beings all get their life. In this way he does not rely on things for help, He does not depend on Heaven and Earth to be great. He is at ease in his place But the myriad things are enfolded there. The Sage is the ultimate. If you apply names to him they will be too crude, If with sounds you compare him they will be extraneous. This is what the ultimate Sage hates. He is profound in subtlety, internal in spirit. So his traces may be described But his achievements may not be attained. At first the Law and Justice of his saving reign Were secreted in the central palace. Then its flowers bloomed and their colors appeared In his external undertakings. (manifested in Yongle’s victory and subsequent reign.) As for the heavenly palace, his essential spirit dwells there; As for his earthly offices, life flourishes and in winter is stored there. His law and justice According to the times alters. These three [two] if by the Sage kept, There will be good government…

There may be an incongruously Buddhist flavor in controlling ‘mental imaging’s flow.’ The ‘ultimate Sage’ is an epithet found nowhere else in 89 Xunzi 1 (Quanxue): 9—study “begins with reciting the classics, ends in reading Ritual propriety… This is called Way and virtue’s ultimate.”

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Pheasant Cap. Could it be the mystic Daoyan was inspired by the incongruous “three” of the Daozang edition (in place of our “These Two”), and thus inserted this passage as an impromptu adulation of his master? Whether or not this epiphany is an otherwise lost antique, it certainly met Yongle’s needs as a self-serving nativity myth. It shows the enduring political relevance of Pheasant Cap’s Nine Augustan theory in bolstering the divine right and hence legitimacy of future emperors. It is a practical demonstration of how Pheasant Cap’s constructs of China’s prehistory helped chart the course of its future history. China’s situation in the Warring States and during the Hundred Schools invites comparison to Greece when Plato wrote his Republic before the conquest of Macedonia, or to Renaissance Italy when Machiavelli wrote Il Principe for a leader like an ancient Caesar to reunite his country. In similarly troubled times, Pheasant Cap projected a utopian ideal of unity with peace and justice for all.

Nine Augustans and the ‘End of History’

On the other side of the world, Roman poet Virgil and Sybil read the signs that foretold the dawning of a new golden age in a cyclical reversion to the Saturnian Age. The idea was welcomed by Augustus as first emperor and later co-opted by Christians as a prophecy of Christ’s coming kingdom. Judaic prophecies of the apocalyptic foundation of a New Jerusalem are well known, lent new perspectives by the 1947 recovery of the War Scroll from the Dead Sea cave. Pheasant Cap’s cosmos is governed by the auspicious number nine. There are the ‘Nine Augustans,’ ‘Nine Heavens,’ ‘Nine Galaxies’ and ‘Nine Continents.’ Sunzi mentions “the top of the Nine Heavens” (ch. 4). This possibly refers to a cosmology of nine spheres as in Babylonian astronomy: Mercury-Venus-Mars-Jupiter-Saturn-Moon-Sun-Stars/Empyrean. Hinduism includes the eclipse deities Rahu and Ketu for the last two. Pheasant Cap refers to them only in a general term, which I translate ‘planets and constellations.’ 90 His focus is on the Northern Dipper. Pheasant Cap sees a vision of the future through the past and attributes foreknowledge to the Complete Ninth, who will be ‘illumined in early knowledge’ (ch. 9). He also advises that we must know what to look for: Formerly, those who did not know what they were going to seek were necessarily confused; Searching for what they did not know to find its image, they necessarily did not get it. . . 90 HGZ 17.14a, 18.19a—‘planets and constellations’ (xingchen 星晨). The standard word for planet is ‘walking star’ (xingxing 行星).

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There is the unseen which yet has form (ch. 17).

Pheasant Cap is pre-occupied with seeking and searching, with anticipating and preparing for what is to come, as in this reiterated passage (chs. 11 and 18): The Sage, after Heaven and Earth, is born, Yet knows Heaven and Earth’s beginning; Before Heaven and Earth dies, Yet knows Heaven and Earth’s end.

The early Chinese discovery of the magnetic compass, the ‘south-pointing needle,’ had politico-religious as well as scientific implications. It relates to their reverence for the polar stars and Dipper constellation in particular and belief that they govern human affars. Donald Harper remarks: The discovery of the box lid from the tomb of the Marquis of Tseng [5 th c.BCE] which depicts the graph tou [dou] for the Big Dipper surrounded by the names of the lunar mansions provides us with evidence that the use of the Dipper in calendrical calculations is much more ancient than was previously believed. (1980: 49) 91

By Han times, a magnetized spoon in the form of the Dipper was employed for direction finding both in travel and fengshui geomancy.92 The rotating center of the diviner’s compass marked with the Dipper served a purpose akin to a modern ouija board or planchette (Loewe 1979: 75-80). The Great Dynamic (dashi), if my interpretation is correct, “lacking form but having divisions”, is the alignment of the cardinal compass points (ch. 5).93 This suggests a possible connection between this Geat Dynamic and the idea of polar magnetism already known at this through the Chinese invention of the magnetic compass. Magnetism, the first force known to operate at a distance without direct contact. It is thus analogous to a universal force controlling geomantic space and historical time. 91Shi 式 as ‘cosmic board’ is not attested pre-Han. It is glossed by (Han) Xu Shen: Shuowen Jiezi as ‘law/model’ (fa 法). 55—the Dipper figures on Daoist ‘magic’ mirror backs and in mandala of esoteric Buddhism. 1978/1979-4: 4-5: Shiji 128 (Weiping, Song Yuanwang (r. 531-517). Huainanzi 3: 51—“whatever is attacked by the northern Dipper cannot withstand it.” 92 Loewe 1979: 85, 147n79:—“for the association of the diviner’s board and the magnetic compass, see Needham 3: Pl. 80. 93 Han Feizi 6 (Youdu): 25. Guiguzi 10 (Mou): 71—on use of the magnetic compass. Guanzi 42 (Shi ‘Dynamics’): 253—“If you search but do not find, seek it beneath the Beckoner.” This chapter’s title ‘dynamics’ implies a connection between the concept of dynamics and the polar force via the Beckoner star of the Dipper described in it. See also footnote 44, above.

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Pheasant Cap is the earliest known work to mention the Nine Augustans. He relates them both to Grand Unity as a god and to human political history. In Daoism, the Nine Augustans were stellar sons of the Dipper Mother, the Dipper’s seven stars being really nine, two of them hidden. 94 Pheasant Cap speaks of the Dipper as the manifestation of the Way and law (chs. 5, 17). Thus his vision of Nine Augustans’ rule on Earth is linked to it by association. The question remains: how do the Nine Augustans connect to Chinese history? From the 3rd century, texts commonly mention eight venerated rulers: three dynastic founders and five mythical Sage rulers. Pheasant Cap (ch. 12) and Lü Buwei refer to them as the ‘five emperors and three kings,’ as do petitions of ministers to the First Emperor in 219 and 213.95 Clearly they do not match the Nine Augustans. An answer appears only in the writings of Dong Zhongshu who explains them by the honorary titles adopted in ancestral temple ritual. He states that when the Son of Heaven dies, he is honored as one of the Three Kings, then by stages after the demise of each successor promoted to one of the five emperors and finally ‘Ninth Augustan.’ In other words, royal ancestors were honored not by their personal names but on a moving scale of titles up to nine. Dong tells us that the Zhou dynasty honored Xuanyuan 軒 轅 as ‘Yellow Emperor,’ the title of the first of the five emperors, and his predecessor Divine Farmer (Shennong 神農) as ‘Ninth Augustan.’96 In Pheasant Cap, the Ninth Augustan appears as the messiah-like future ruler to complete the historic succession of Nine Augustans as ‘Complete Ninth’ (chengjiu 成九), written with the auspicious bird graph (chengjiu 成鳩) as ‘Perfect Dove’ in ch. 9. The initiator of the series who receives his mandate directly from Grand Unity is titled ‘Grand Augustan’ (ch. 10). This was the nomenclature declined by the First Emperor in preference for Augustan Emperor, thus becoming posthumously ‘First Augustan Emperor.’ Sima Qian relates how masters of magic (fangshi 方士) from Qi advised the 94 Chuci (ed. Wang Yi ca. 150 CE): Liu Xiang (77-6): Jiutan, Yuanshi: ‘Nine Dipper stars;’ Hawkes 1959: 158—‘Nine Bright Shiners.’ Shen 1979: 81—explains the Dipper’s nine stars on the analogy of man’s nine orifices, seven visible in the head (mouth, nostrils, ears, and eyes) and two hidden below the belt. 95 Guanzi 35 (Chimi): 206—“So, in the Shujing, the emperors were eight. Divine Farmer (Shennong) was not among them. Because he had no position (wuwei 無位) he could not employ anyone.” 47 (Zhengshi): 260-61—‘five emperors, three kings.’ Zhuangzi 14 (Tianyun): 514—‘Three Augustans, five emperors;’ 17 (Qiushui): 564—‘five emperors, three kings.’ Xunzi 27 (Dalü): 590. Lüshi Chunqiu 6.5 (Mingli): 8b—‘five emperors, three kings’. Dadai Liji 62 (Wudi de): 235-37. Shiji 3 (benji, Yin):—Yi Yin instructs Tang on ‘nine rulers’ (jiu-zhu), glossed by (Tang) Sima Zhen as ‘Three Augustans and five emperors with Yu of Xia,’ or the ‘Nine Augustans.’ 6:—Qin Shihuang’s stele of 219 ‘five emperors, three kings;’ Li Si’s memorial of 213—‘five emperors, three dynasties.’ 96 Chunqiu Fanlu 21 (San-dai gaizhi zhiwen): 41-43—on Nine Augustans’ succession. Dadai liji 62 (Wudi); 63 (Dixi)—starts imperial lineage from Xuanyuan as Yellow Emperor.

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Martial Emperor on sacrificing to Mt. Tai and other holy mountains. One of them named Gongsun Qing 公孫卿 informed the emperor that: “The exalted of their generation are on a par in virtue with the Nine Augustans.” The emperor subsequently established shrines to worship Grand Unity (Shiji 6, 28). Pheasant Cap declares the aim or ‘end’ of study is in the ‘Nine Ways,’ presumably of the Nine Augustans. The clan of ‘Grand Superior Complete Ninth’ (Taishang Chengjiu 太上成鳩 ) will reign over the whole world for eighteen thousand years (15.8b). Presumably his sageliness and the virtue of his worthy heirs will obviate objections to hereditary succession.

Dialectics and Rhetoric The central question that has bedevilled attempts to understand Pheasant Cap concerns his view of reality. A key term here, qing 情 has two basic senses, those of ‘feelings’ and ‘reality’ or true perception. 97 Graham translates it ‘essential’ as in ‘essential desires’ (qingyu 情欲), a term coined by the Song Xing (ca. 300 BCE).98 This might also be rendered ‘genuine desires.’ Pheasant Cap links qing to the reality of human experience. Human sense-perceptions of physical forms are ‘real,’ but they must be interpreted from the standpoint of totality (sub specie aeternitatis).99 I count thirty-three uses in Pheasant Cap of the term (including five written in alternative form and corruptions.100 Of these none is adjectival. This make Pheasant Cap the richest virtually untapped source for the study of qing. The most common usage is with ‘man’ as in ‘human reality/feelings’ (renqing, chs. 4, 9, 13, 15). Pheasant Cap evidently employs the word in both senses of feelings and reality simultaneously. This poses a conundrum for the Western 97 The word qing has been variously interpreted by Wong 1969; Hansen 1995: 196 (citing his 1992: 276-77)—“reality feedback;” Tang 2003: 272—“emotions;” Puett 2004: 42—“basic emotional dispositions;” Harbsmeier 2004: 71-78; Middendorf 2007: 149—“the highly sensitive, reactive, and malleable motivational-affective system in human nature;” and Chong 2010: 23—“facts.” 98 Graham 1989: 98-99 on “The Discovery of Subjectivity” by Song Xing in whose thought “we first meet a technical use of the noun ch’ing [qing]… the concept is close to the Aristotelian ‘essence’ except in being tied to naming, not being…” 1989a 520 ‘man’s essentials’. Middendorf 2007: 149 n274 cites Graham on the role of ‘hedonist’ Yang Zhu in promoting the ‘genuine’ (qing) in man. 99 Spinoza (1632-1667) II.44:—“It is of the nature of reason to regard things as necessary and not as contingent. And reason perceives this necessity of things truly i.e., as it is in itself. But this necessity of things is the very necessity of God’s eternal nature. Therefore it is of the nature of Reason to regard things under this species of eternity.” Nadler 2012: “Baruch Spinoza,” 2.3 Knowledge. 100 Huang Huaixin 2002: 247-48. I reckon seven miscopied or obsolete usages: two as xi 謚, ‘posthumous title,’ and five as qing 請, ‘invite.’ Middendorf 2008: 137n231 in Mozi.

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thinker accustomed to categorize feelings as subjective and intellect as objective. For Pheasant Cap ‘feelings’ what we might call ‘gut feelings’, are true and genuine and therefore objective. Mozi uses it for the truth of things as wells as people as perceived through the senses, i.e., “reality of ears and eyes.”101 In this way Jane Gearney notes the Chinese equation of visual perception with ‘knowing’ and hence holism: “Sense discrimination itself is characterized by holism, insofar as seeing is integrated into the world.” (2002: 13, 54). Pheasant Cap displays a quasifeminine preoccupation with the senses of sight, sound and taste (ch. 10). The ancient Chinese word for reality is inextricably bound with emotion, which is how we experience the external world. Feelings are life’s reaction to being and objective existence. It is how ‘reality’ is perceived and felt through the sensory organs’ contact. It is how Zhuangzi knew the happiness of fish by standing on the river bridge (Zhuangzi: 2 Qiwulun). Principles divorced from physical reality become subjective. Thus law proceeds from relevant particulars of a situation in the ‘this’ and ‘here’ (ci 此. Chs. 4-5, 8). Principle (li 理 ) is a concept related to its homonym propriety (li 禮 ), mocked by Laozi (18, 38) as hypocrisy (wei 僞 ). Xunzi conversely blames human nature and its ‘unlovely feelings’ for evil. Equating propriety to principle, he justifies ‘hypocrisy’ as artifice necessary for the adornment of human culture (wen 文) by which to adapt to it.102 ‘Hypocrisy’, the antonym of ‘real feeling’, is a word used only once by Pheasant Cap who applies it to corrupt ministers (ch. 6). Rather he exalts principle immanent in earthly things as the expression of fundamental emotional reality: “‘What is meant by Heaven is things’ principles in reality” (ch. 1).103 He tells us (ch. 2) that the worthy do not accept a degraded society as ‘fixed reality’ (dingqing 定情 ). Temporary appearances can be deceptive and perception subverted. Like Xunzi but unlike Laozi, Pheasant Cap sees the need for study of the Way (chs. 6, 7, 15). Defoort distinguishes Pheasant Cap’s positivism from the world-weariness expressed in Jia Yi’s ‘frustration’ rhapsody.104 Yet she concludes:

Middendorf 2007: 137 n231—(ermu-zhi qing 耳目之請/情). Laozi 38. Han Feizi: 20 (Jie Lao)—calls propriety “real feelings’ mask” (qingmao 情 貌). Xunzi 19 (Lilun): 379-380—“So the ultimate accomplishment is when real feelings and culture are both exhausted.” (Gu zhibei qingwen jujin 故至備情文倶盡). Guanzi 36 (Xinshushang): 221—“Propriety adapts to human feelings and follows righteous principles to regulate and adorn them.” Middendorf 2007: 144-45, 148-49—on GD Xingzimingchu. 103 HGZ 1: 1—(-suowei Tian-zhe wuli qingzhe-ye 所謂天者物理情者也). 104 Defoort 1997: 64-65—distinguishes Pheasant Cap’s positivism from Jia Yi’s fatalism. 108—cites Hellmut Wilhelm on Jia Yi’s rhapsody, the “frustration fu.” 251 n16—“the best is to let everything go.” 101 102

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He [Pheasant Cap] does not appeal to a vision of absolute truth but to a more subtle view of and influence on reality. This may be why his manifesto of political opposition contains not any impulse to revolutionary action but only a passive defense of the most reasonable decision for the unheeded adviser to take: stay away from the political scene. (1997: 64-65)

If so, how can we account for the emphasis Pheasant Cap places on the military, albeit interpreted by virtue, and his detailed political prescriptions? Unlike Zhuangzi, Pheasant-Cap is inspired with a mission to reform the world. Heaven’s mandate must be heeded and striven for. He is no fatalist. Suicide in response to failure is twice condemned and ridiculed (chs. 3, 19). Laozi is best known for his doctrines of nothingness and non–contrivance (wuwei 無爲. 1-4 et passim). Confucius mentions the non-contrivance of the unmoving pole star embodied in the virtuous governance of legendary Shun, paragon of filiality (Lunyu 4.1). Zhuangzi explains non-contrivance as fit only for emperors and kings while subjects work at having-contrivance (13: 465). Pheasant Cap makes his only favorable mention of non-contrivance as a tactic for the worthy to induce co-operation (ch. 7). The void and noncontrivance have no intrinsic value to him. He uses ‘having contrivance’ (youwei) only once in a pejorative sense as of selfish scheming (ch. 13). These two chapters share the striking line on the situation of a ruler “cold with fear at heart. . . in isolation standing.” They contain Pheasant Cap’s fiercest critiques. ‘Having contrivance’ in Generations of Worthies (ch. 16) is likened to timely medical intervention before a disease is apparent. To the uninitiated, it appears the doctor has done nothing. His success seems ‘spontaneous’ (ch. 11). Thus, the covert operations of the Night Walker and ‘shady warp’ is mistaken by the general public for non-contrivance (chs. 3, 11, 16. Daodejing 17). Pheasant Cap conspicuously celebrates acts of individual valor. On a note of derring-do, Pheasant Cap applauds man-of-action Cao Mo 曹沫 who in 681 single-handedly held Duke Huan of Qi hostage at a conference until he agreed to return captured territory to Lu (Fig. 19). He contrasts the example of Cao with that of the defeated Ju Xin 劇辛 who committed suicide in 242. Perhaps he would have approved the forthcoming attempt by Jing Ke of Yan on the life of the Qin king in 227. The epithets ‘ace,’ ‘valiant,’ and ‘hero’ are applied in the Wenzi in a purely civil context, but in Pheasant Cap they may have a more martial tenor. Curious textual inconsistencies and gaps involving the virtue of ‘courage’ (ch. 6) may reflect deliberate tampering. Mencius (1a.3), on the subject of righteousness,

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Fig. 19. Cao Mo holds Duke Huan hostage. Guan Zhong attends.

distinguishes between moral courage and reckless bravado. Laozi and Zhuangzi are conspicuously anti-heroic. Fan Li had said courage was ‘contrary to virtue’ (nide 逆德). Lü Buwei reiterates that weapons are inauspicious tools to be used only as a last resort and that “courage in the Under-Heaven is an inauspicious virtue (xiongde 凶德).”105 Fan Li, a proto-Daoist, was known for his time-biding intrigues to restore the occupied kingdom of Yue using as honey-trap the femme fatale Xishi 西施 to seduce King Fuchai 夫差 of Wu. After final victory in 473, Fan wisely took early retirement, sailing off into the sunset of the Five Lakes with the girl. Edmund Ryden (1997) showed how the Yellow Emperor texts recycle his strategic counseling recorded in Guoyu 21. Involvement with military affairs, albeit with reluctance, remained a persistent theme in Daoism. Feuchtwang remarks on its martial roots and notes that: “The idea of local territorial cults as centers of healing, military organization and correction or purification has become part of the institution of Orthodox Unity Daoism” (Feuchtwang 2001: 164; Welch 1957: 115-20). Hegel developed a theory of dialectics as the ‘identity or inter-penetration of opposites’ (enantidromia) from the ancient ideas of Heraclitus (ca. 535- ca. 475). They like Laozi and Pheasant Cap were acutely conscious of ever presnt contradictions in the world and the natural processes of reversal (ch. 12. Daodejing 8) and renewal: Disaster, oh! Good-fortune thereon leans! Good-fortune Oh! Disaster therein lurks!

105

Guoyu 21 (Yueyu xia): 1b. Daodejing 31. Lüshi Chunqiu 8.2 (Lunwei): 3b.

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Nominalism or Realism? The realpolitik of late Warring States has a parallel wirh that of post-classic Greece. This was the age in China of ‘roving orators’ (youshuo 游說) or ‘alliance brokers’ (zonghengjia 緃横家). Su Qin (380-284) urged a north-south coalition against Qin to the west, just as Demosthenes (384-322) of Athens spoke in vain against the threat from Philip of Macedon to the north. It is against the background of such situations that Guiguzi, ‘Ghost Valley Master’ teaches the art of political persuasion and Han Fei analyses the problems confronting a speaker in the political arena.106 Pheasant Cap, addressing Pangzi in the kingdom of Zhao, is keenly aware of an imminent threat to its survival. This indicates a reaction to the crisis there in the aftermath of the debacle at Changping 長平, where in the year 260 Qin is reported to have immolated up to half a million Zhao soldiers (ch. 7). Against a vision of a new society in a united world under an enlightened ruler, Pheasant Cap speaks out forcefully against the abuses of his time. He is aware of a radical disconnect between the high ideals to which he subscribes and current affairs he sees as a corrupted reality. For Pheasant Cap, rational ‘principle’s dynamic’ (lishi 理勢) is the means to attaining unity (ch. 10). Yet he scorns ‘small knowledge’ (ch. 12), excessive reliance on sense perception and corruptive knowledge (ch. 4) which can be deceptive, and even ‘investigation’ (ch. 18). Pheasant Cap exalts principle but insists on keeping touch with ‘emotional reality’ (qing). He tells us in conclusion that the worthy will not accept a degraded society as fixed reality and human reality is not necessarily good (chs. 2, 4). Defoort cites the “ancient quarrel” in Plato between rhetoric (or poetry) and philosophy, the latter representing a search for truth, the former its manipulation. She finds “the almost total absence of this ‘quarrel’ in ancient China…” She classes Pheasant Cap as a rhetorician who strives to persuade rather than to describe reality (1997: 8).107 This fails to account for Pheasant Cap’s appeals to true perception as opposed to misperception (chs. 4, 17). There has been debate about whether Pheasant Cap’s philosophy is ‘nominalist’ or ‘realist’ in the materialist versus idealist sense. Graham argued that Pheasant Cap’s belief in a supreme deity precludes an independent existence of universals (1989a: 514). John Makeham countered that everything according to Pheasant Cap issues from the One, not a personalized Heaven as in Mozi (1991: 362n.90). Yet as we have seen Grand Unity is also a personal god and not merely an abstract principle. Defoort notes this “has the disadvantage of blurring the line between the mythological ruler, Supreme One [Taiyi] and, and the more abstract One, and 106 107

Guiguzi: 9 (Quan): 12. Cleary 1994 tr.: 39-42. Han Feizi: 12 (Shuonan): 60-66. Plato: Republic 10; Phaedrus; Gorgias. See also Gould 1990; Griswold 2008.

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thus also blurring the distinction between nominalism and realism” whose strict opposition here she doubts (1997: 183-86). Yet Thomas Aquinas overcame this difficulty by positing the existence of universals and law itself in the mind of God. An origin for their ‘reality’ within Grand Unity, as it was for Idaeas in Plato’s parable of the sun, is advanced by Pheasant Cap (ch. 11). Zhuangzi speaks of the conundrum of personal godhead versus inanimate force as the debate between advocates of ‘nobody contrives it’ (mo-zhiwei 莫之 爲 ) and ‘somebody directs it’ (huozhishi 或 之 使 . Zhuangzi 25: 916). Did a butterfly dream he was Zhuangzi or Zhuangzi dream he was a butterfly? In the end, like the uncertainty principle of sub-atomic physics, the ultimate power in the universe may be both, personal and impersonal, a fuzzy logic. Pheasant Cap upholds the role of mankind in developng the Way, not the reverse. Man necessarily projects his own values in interpreting the universe, yet he himself is a product and hence reflection of the universe to begin with. Hence philosophy is inextricably bound up with religion and vice versa, intellectual principle with emotional reality. Laozi in iconoclastic mode rhetorically rejects study, knowledge, and sagehood: “Cut short sagehood, reject intelligence” and even speech itself (1, 18-20, 56). The Guodian manuscript writes instead: “Cut short knowledge, reject debate.”108 This suggests jibes at sagehood by Laozi and Zhuangzi may represent a later phase. Pheasant Cap complains of small knowledge “sufficient only to corrupt governance” (chs. 4, 7, 13), not knowledge itself. The epistemological criticisms of Laozi and Zhuangzi should doubtless be read the same way. Defoort maintains that “Confucius’ concern lies with language itself ” and therefore translates his call for the ‘correction of names’ (zhengming 正名) as one for the “correct use of names.” She compares Pheasant Cap’s predilection for radical redefinition of terms to the device of paradiastole in Aristotelian rhetoric whereby the moral import of an action is changed by choice of words used to describe it (1997, 173). Yet there is a Platonic aspect to names which goes beyond linguistics and rhetoric as endemic to Greece as to China.109 Plato and Socrates in their way, as Confucius in his, held a conviction that the world’s troubles arise because leaders do not live up to the ideals implied in job titles and distort the meanings of words. Faced with the challenge of changing mores and sophists who questioned the certainties of language, idealists looked to restore the values they Daodejing 19—(jue sheng, qi zhi 絶聖棄智). GD Laozi: 111 (strip 1 jue zhi, qi bian 絶智 棄鞭=辯). Zhuangzi’s elaboration of the anti-sagehood theme through the mouth of bandit Dao Zhi lays the blame for moral decay at the door of the sages themselves: “If sages don’t die, bandits will not cease” (10: 346, 350) Such satires on hypocrisy and the paradox of names transforming into their opposites is aimed primarily at Confucians. 109 Defoort 1997: 182 “Ideas and Images similar to Platonic Forms.” Peerenboom 1991: 177—on “a realist theory of names…” 108

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believed inherent in words. They saw a world in which, just as in Isaiah (59: 14): “Justice is turned back and righteousness stands apart.” So-called ‘sophists’ like Hui Shi 惠 施 , close friend of Zhuangzi and premier who authored a code of law, and Gongsun Long 公孫龍 under King Huiwen of Zhao (r. 298-266) were actually motivated by Mohist ideals of universal love and non-aggression. 110 They extrapolated the conventional meanings of words to expand awareness. In comparable manner Mencius uses a king’s ‘love of courage’ to interest him in a greater moral courage. Zhuangzi exploits a king’s addiction to swordfighting to preach to him of the Under-Heaven’s sword.111 Mencius calls a king who is a tyrant nothing more than a ‘commoner.’ Xunzi extends paradoxical rhetoric to the disorder of the world in general: “They take blindness as sharpsightedness, deafness as keen hearing, danger as safety, the auspicious as illomened.”112 Likewise, Pheasant Cap denounces a world in which the true meanings of words have been subverted. Pheasant Cap’s mission is to restore his ideal of normalcy to a corrupt reality (ch. 2). In like manner Lü Buwei warns that when justice is unjust disaster cannot be far off.113 Plato himself drew on to myth and allegory to lift his dialogues to a higher plane and bolster the foundations of his ethical system.114 His theory of ideas based on the sun-like Good has a quasi-religious dimension. While Socrates and Zhuangzi may be skeptical about the gods, there is no hint in Pheasant Cap that the Grand Unity and Ninth Augustan interviews are simply rhetoric. Yet revelatory as they are in form, their content conforms to correlative thinking, the argument from divine plan and manifest pattern. The Socratic quarrel with rhetoric and enquiry into the meaning of words was enunciated by Confucians in their insistence on ‘correct naming.’ Their negative view of rhetoric, verbiage that exceeds the facts, was expressed as ‘superfluous language’ (yin’ci 淫 辭 ). Pheasant Cap (chs. 4, 18) stands with Confucius and Plato against rhetoric by critical analysis of deceptive speech. Peerenboom recognizes Pheasant Cap’s use of transcendent epistemology but claims to detect inconsistency (Peerenboom 1993: 28). Defoort summarizes: “The absence of dualistic images in the texts is also due to a conceptual equivocation on the part of the author of the factial and normative senses of ‘Heaven’” (1997: 203). Defoort implies Pheasant Cap was unable to distinguish ‘fact from norm’ (value), in what Peerenboom calls the ‘prescriptive and Graham 1989: 76ff. Lüshi Chunqiu 18 (Shenying): 2a-b. Mengzi: 1a (Liang Huiwang): 17-18. Zhuangzi: 30 (Shuojian). 112 Xunzi 26 (Fu Pian): 533. 113 Lüshi Chunqiu 6.5 (Mingli): 9a, 11a—when “justice (zheng) is unjust,” “music (yue 樂) is not musc/joyful”. 114 Plato Phaedrus: 246-47; Gorgias; Republic 7—the allegory of the Cave; 14—the myth of Er. 110 111

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descriptive meanings of Heaven.’ She attributes this to the Chinese nondualistic, polar-based view of Heaven. 115 Yet underlying unity, as in yin-yang, does not entail non-differentiation. Yet is not Pheasant Cap’s very definition of Heaven a dualistic image, differentiating as it does between a physical and spiritual Heaven? In fact, Pheasant Cap by excluding Heaven as the perceived ‘blue sky’ unequivocally defines the constant Heaven of the luminaries which he takes as model. Similarly, Aristotle in his Physics assumed the stars to be divine, not physical. Aristotle’s ‘unmoved mover’ appears to describe the same imaginary celestial axis of the pole star as Pheasant Cap’s Grand Unity.

Authorship and Dating Pheasant Cap’s family and personal names are unknown, probably deliberately so. His reported Chu provenance receives support from his use of Chu bureaucratic titles ‘premier of the nation’(zhuguo 柱國) and ‘chief magistrate’ (lingyin 令尹; ch. 1) (Defoort 1997, 18-19). The text provides a historical context of persons and events up to twenty years prior to unification in 221. Five chapters (7-9, 14-15) name Pheasant Cap Master as speaker and Master Pang 龐 as questioner. The only quasi-historical name mentioned is Cangjie, credited reverentially with the invention of both law and writing. That particular worthy is traditionally dated to the time of the Yellow Emperor, about 2500 BCE, although the earliest Chinese writing discovered is a thousand years later. There is no positive mark to identify Master Pang, but he may well be Pang Xuan 龐煖 or Nuan 暖, the diplomat and strategist who left books on these subjects, long lost. There was also a work by Master Ju 劇, possibly the general Ju Xin who had lived in Zhao and was friends with Pang Xuan. For some reason, Ju defected to Yan and led an abortive attack on his old comrade resulting in Ju’s death and Pang’s capture of twenty-thousand Yan soldiers.116 Chronologist Qian Mu identifies Pang Xuan with the militarist lord titled Linwu ‘Supreme Commander’ with whom Xunzi debated before King Xiaocheng of Zhao (r. 265-245; 1986: 482-83; Defoort 1997: 244). Xunzi lectures him on the importance of morality for morale in warfare and finds a receptive ear. He went on to deliver a similar message on war and expansionism with less success to his ex-student Li Si in Qin. 115 Defoort 1997: 203—“there has been a failure on the part of some, if not most, western scholars to appreciate the Chinese alternative image [of unity]: the polestar as focal point of a concrete pattern of order, an image that is pervasive in the Pheasant Cap Master.” 116 Luo 1930: 161—quotes Shiji comment (lun) following the biography of Xunzi. 16768—quotes Shiji (Yan Shijia, Yan Wang Xi 12th year)—that Pang Xuan killed Ju Xin, though Pheasant Cap declares it was suicide.

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Pheasant Cap’s nineteen chapters bear witness to a philosophical lineage of the Pang clan, generals in the kingdom of Zhao, Qin’s north-eastern neighbor and strongest rival. Li Yiyan sees indications that a certain Pang Gong may have defected from Wei to Zhao, where he had accompanied his crown prince as hostage in Handan, during the reign of King Wuling.117 Pheasant Cap Master, clearly a man of wide learning, may have been an expatriate from Chu, a kingdom humbled by Qin in 312 at Danyang and again in 278. He clearly opposed draconian legal systems, such as earlier initiated in Qin by Shang Yang whose writings, like those of Sunzi and Laozi, he appears to quote. Pheasant Cap placed his hopes on Zhao to produce the quasimessianic leader which his reading of history and cosmos predicted was about to inaugurate the pre-ordained era of unity and welfare. The work refers repeatedly to the kingdom of Zhao, to two of its kings in the century before the final Qin conquest, and to generals of Zhao’s Pang clan. Defoort identifies five chapters (chs. 7, 12, 14, 17, and 19) as “predominantly military treatises” that may have belonged to lost Pang Xuan texts listed in the Hanshu (Defoort 1997: 37). Pheasant Cap may represent a tradition stemming from the late 4th century. Its interlocutors, by chapter, are named as: 1. Pheasant Cap, questioned by Pangzi (chs. 7-9, 14-15); 2. King Daoxiang of Zhao (r. 244-236) who questions Pang Xuan (ch. 16); 3. King Wuling of Zhao (r. 325-299) who requests instruction from Master Pang Huan (ch. 19).

Regrettably the text provides no information on kings Huiwen (r. 298-266) and Xiaocheng (r. 265-245), who ruled Zhao with the premier Lord Pingyuan in the half century between kings Wuling and Daoxiang. It is therefore unclear when exactly Pheasant Cap lived. Little is known about the Pang clan except its affinity with military affairs. History records that Pang Juan of Wei and Sun Bin 孫 臏 , ‘the amputee,’ studied under the Demon Valley Master (Guiguzi) around 350. Sun Bin was heir to the world-renowned strategist Sun Wu (ca. 500). An apprehensive Pang had Sun Bin’s legs amputated, but Sun’s friend Chunyu Kun 淳于髠 got him back to Qi. There Sun became a general under Tian Ji 田忌. In 341, Shen 申, the crown prince of Wei, led Pang Juan to attack Zhao who asked Qi for aid. On the march, he met a certain Xuzi 徐子 who promised him ‘in one hundred battles, one hundred victories’ but refused to listen. At Maling Pass (in southern Hebei), the two fell into an ambush set by Sun Bin. Shen was captured; Pang commited suicide (Shiji, chs. 43-44). 117 Li 2003: 21. Han Feizi (Neichushuo-shang, Qishu) and Xinxu (Zashi 2) on Pang Jing, and Pang Gong. Zhanguoce (Weice)—gives the name as Pang Cong.

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King Wuling asked a pointed question of Pang Huan 龎煥, reminding him of Xuzi’s above words, by quoting Sunzi (3 Mougong) on deliberating attacks: “In one hundred battles to conquer is not the best of best. Not to fight yet conquer is the best of best” (ch. 19). Although placed in the mouth of Pang Huan, a century earlier, these words read like a requiem for Pang Xuan’s illfated attack on Qin and the end of his quasi-Daoist martial lineage. Pheasant Cap is a collection of essays, some in dialogue form. It contains a number of lists and series of concepts linked in a generative chain, a device common to Laozi (42, 51) and Guanzi (passim). In style it consists of parallel prose and rhymed verses apt for chanting or musical settings, some akin to meditation texts (Guanzi 36-38, 49). As in the extra-terrestial flights of shamanic immortals celebrated in Chuci (Hawkes 1959; Tseng 2011: 149-52), we find here too ‘spirit journeys’ and the power to command on the astral plane (chs. 11, 1718). ‘Mind technique’ (xinshu 心術) is applied to realise the ideal of unity internally (chs. 9, 10). Hui Shi paradoxically observed: “ultimate greatness having no exterior is called Grand Unity, ultimate smallness having no interior is called small unity (Zhuangzi 33: 1102).” Yet there can only be one unity, one continuum betwixt whose bounds we have our being. Most memorable are Pheasant Cap’s homely, refreshingly down-to-earth metaphors with a Zhuangzi-esque touch as of a mosquito and flee (ch. 17) or predators and scavengers devouring a corpse (ch. 9). Such vignettes belie the master’s esoteric image and alert us that behind his seeming hyperboles their author has a practical and highly relevant message to impart. Pheasant Cap thus gives us a sense of immediacy and a feeling of being participants in the dramatic circumstances he confronts. We begin to understand why he needed an alias to protect not only himself but his relatives. The work has long suffered from accusations of plagiarism, eclecticism, syncretism, fragmentation and obscurity. Yet its originality still shines out. It went unrecorded in early Han until its notice under ‘Daoist’ and ‘Expedient Counsels’ in Liu Xin’s 劉新 (d. 23 CE) Qilue (Seven Summaries 七略) presented to the throne in 6 BCE (Defoort 1997: 15). This was the period of turmoil preceding Wang Mang’s short-lived Xin dynasty. Given Pheasant Cap’s revolutionary notions, the work’s re-emergence at this time was apposite. The bibliography of the Han History by imperial librarian Ban Gu 班固 (32-92 CE) and his sister Ban Zhao 班昭 (49-140) lists a Pheasant Cap text in one volume under the category of Daoism. It remarks that its author was a man of Chu who lived in the deep mountains and wore a cap made from a pheasant (30: 1739, 1757). It further lists under Alliance Brokers and Expedient Counsels wrtings by Pang Xuan, the military leader who figures in Pheasant Cap (ch. 16. Defoort 1997: 36-37). Pheasant Cap received favorable reviews for elegant style and concision from pioneer literary critic Liu Xie 劉勰 (ca. 500: Wenxin Diaolong 17). Its enduring political relevance is evidenced by the punctuated excerpts (chs. 1, 2,

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16) included in the political digest prepared by premier Wei Zheng 魏徵 (581643) for Tang founder Taizong (r. 627-649) and preserved in Japan. The outstanding essayist and poet Han Yu 韓愈 (768-824) of late Tang obtained a sixteen-chapter edition. Han endorsed the book’s meritocratic policies though he dubbed it a “mixture of Yellow Emperor and Laozi with Legalist ‘Form and Name’ theory” (11.15b). He complained of the poor state of the text and tells us he made (rightly or wrongly) a large number of ‘corrections’. The work caught the attention of his contemporary Liu Zongyuan 柳宗元 (773-819) noted for radical endorsement of Qin’s First Emperor and his centrist anti-feudal policies. However, shared lines with Jia Yi’s Owl Rhapsody (174 BCE) led Liu to condemn Pheasant Cap for plagiarism, a verdict until recently widely accepted (Defoort 1997: 37, 61-63, 69). The encyclopaedic Taiping Yulan compiled under the second Song emperor Taizong (r. 977-983) reproduced excerpts. Then Lu Dian, distinguished minister and protegé of reformer Wang Anshi 王安石 (1021-1086), annotated and published the standard nineteen-chapter edition. Lu, while admiring its frequent “extraordinary words and profound meanings,” confessed himself baffled by its numerous textual corruptions. Third Ming emperor Yongle’s mammoth encyclopaedia of 1408 incorporated eight chapters of Pheasant Cap. Just one (ch. 11) survives today. It provides punctuation but no commentary and adds, as we saw above, an otherwise unattested passage (Defoort 1997: 84-87). Late Ming saw a burst of interest in Pheasant Cap. A number of freethinking scholars waxed lyrical in accolades of Pheasant Cap aphorisms (Tan 1986: 61-62). High official Wang Weizhen 王維楨 (1507-1556) found his ideas and style impressive. His theories of meritocracy appealed to eminent official and poet Wang Shizhen 王世貞 (1526-1590) who campaigned doggedly against prevailing official corruption. 118 Later Feng Menglong 馮 夢 龍 (1574-1645) proclaimed a ‘real-feelings doctrine’ (qingjiao).119 He published popular fiction of social and emotional-realism, a concept crucial to Pheasant Cap. This literary movement suffered a set-back under the more authoritarian Qing. Following the 1911 Chinese revolution against the Manchu empire, Pheasant Cap was rediscovered by nationalist scholars of the new Republic. 118 Chen Shen 陳深, 1591: Heguanzi pinjie (in Zhuzi pinjie) labels passages ‘Excellent,’ ‘Divine’ and ‘Marvellous’. Zhu Yanghe 朱養和, 1625: Zhushi Huazhai ed. adds appreciations by Wang Yu 王宇, Yang Shen 楊慎 (1488-1559), Wang Shizhen et al.. Fu Zengxiang’s 傅增 eight and a half chs. and two and a half chs. in Qiqihar City Library of ‘Dunhuang ms. 629 CE’, are deemed modern forgeries. Tan 1986: 60-61. Defoort 1997: 71-99. Huang Huaixin 2002 (Intro): 8-20. 119 Feng Menglong: History of ‘Emotional-reality’ (Qingshi Leilüe 情史類略), pref. Jingshi Tongyan (Suxiangting Zhang Hao yu Yingying):—“Rules set great law, propriety obeys human reality” (Lü she dafa, qing shun renqing 律設大法, 情順人情). Lin Xiurong 2011: 71.

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Marxists found interest in what they saw as its primitive materialist dialectics. The current text derived from Lu Dian’s edition is preserved notably in the Daoist Canon of 1445 (DZ 1175) and Emperor Qianlong’s encyclopaedia (Sibu Congkan) of 1772-1782. The main question, after textual authenticity, remains: does the work form a coherent whole? Graham identified three distinct blocks in the text which he labels A, B, and C (1989a: 518, 522, 527). He characterizes these as three ‘lost utopias.’ ‘A’ is idealist (chs. 4, 8, 10-11); ‘B’ legalist (1-2, 9); and ‘C’ (12-13) disillusioned and primitivist which Graham dates immediately post-Qin. Yet these utopias look to be designed for the future, not the past. Li Yiyan and Xiao Hanming argue from style and content respectively for the work’s single authorship (Li 2003: 19-28; Xiao 2005: 199). Those who since Tang days have seen the work as eclectic or spurious overlook its shiningly notso-covert purpose. Whether by one author or several, it has this single unifying thread. Like Confucius who disclosed that ‘oneness’ underlay his own teaching, Pheasant Cap holds throughout to the one and only of impending world unification itself.120 Pheasant Cap has a number of Zhuangzi parallels in isolated phrases, at most a couplet, scattered over seven chapters (chs. 2, 7, 15, 17, 24-25, 32), of which one (ch. 25) is itself a Laozi quote. Yet Pheasant Cap’s use of them in what I have named ‘The Rhapsody of the Hero’ betrays no hint of Zhuangzi’s agnosticism or satire. Like Xunzi, Pheasant Cap uses rhapsody to display an outward-looking positivism which shines through their shared view of a world turned upside-down. This outlook is in sharp contrast to the ‘frustration rhapsodies’ in early Han by Jia Yi and Dong Zhongshu which are personal laments on political rejection (Xunzi 26: 533; Pankenier 1990: 441-43). Lu Dian failed to recognse this difference when he adduced the Liezi’s (c. 200 CE) ‘sea-gull lover’ parable to explain a phrase in Pheasant Cap (ch. 11. Defoort 1997: 85). Jia Yi’s Owl Rhapsody includes his fellow townsman and late imperial Qin premier Li Si in his list of worthies who suffered reverses of fortune. Pheasant Cap by contrast betrays no knowledge of imperial Qin. Jia Yi bemoans the past and arbitrary reversals of fortune; Pheasant Cap draws on its lessons for a future devoutly to be planned for. Despite this, Defoort argues its late date on linguistic grounds: The first internal contradiction in chapter 12 is its use of su in a negative sense. Su [俗] usually means ‘custom’ in the Pheasant Cap Master, something all governments try to ‘implant’ in order to ‘transform’ the people [shu su li hua 樹俗立化]. In the Owl Rhapsody parallel it is negative, the ‘vulgar’ to which the inadequate person is bound. (1997: 69-70)

120

Lunyu 4 (Liren): 15—“My Way has unity to pervade it.”.

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Yet the urge to implant customs, or reform customs by Pheasant Cap, implies they were generally immoral and so ‘vulgar.’ Lü Buwei’s chapter ‘Away from the Vulgar’ (7 Lisu: 3b) already used ‘customs’ for vulgar in oppositon to the principled and righteous. Bruce Williams concludes that Jia Yi “elegantly turned the language of Heguanzi against itself and . . . had it marshal support for a position it could not accept” (1987, 58-159). Zhang Fuxi adduced linguistic evidence for Pheasant Cap and Huangdi neijing being of Warring States date (2000; Xiao 2005: 181n1). This includes their repeated recourse to ‘unity of opposites’ thinking, use of the expression ‘though not’ and admixture of prose with verse (Defoort 1997, 65). I conclude that Jia Yi playfully borrowed Pheasant Cap’s idealism as material for his self-deprecating literary game (see App. 1, below). Pheasant Cap makes no mention of the fall of Zhao as an independent kingdom in 228. He warns Master Pang, of impending destruction presumably by Qin (ch. 7). The last chapter (ch. 19), harking back almost a century earlier to King Wuling and a Pang Huan, reads as a cri de coeur just prior to the final curtain. Defoort (1997: 68-69) observes: The complete absence of “Han” and any explicit criticism of the Qin dynasty is indeed striking. . . I would therefore set the dates of the Pheasant Cap Master between the end of the Qin and 202 BC. This is the period Graham called the ‘interregnum.

In Graham’s hypothesis (1989: 527-29), Generations of Arms and Prepared Knowledge (chs. 12-13) constitute block C, the primitivist utopia written during the political hiatus between the Qin and Han dynasties. These two chapters, like only two others in the book (chs. 16, 19), give an historical overview from antquity to the Warring States. They support its underlying thesis of promotion of worthies from the examples of humble men who became ministers and like doctors gave instruction to rulers. Dynasty founders killed to secure family succession, honest advisers were martyred, tyrants overthrown. Menton of Qin is conspicuously absent. Yet if written after the fall of Qin in 207, there would be no motive for deletion of Qin criticism. If written after Qin conquest of 228, there would be no motive to warn of impending doom or preach a mandate of unity as Xiao Hanming points out (2005: 186). Distinctive names proposed for two administrative units, namely ‘provinces and districts’ (junxian), are those first implemented by the First Emperor and continued by Han in mollified form (ch. 9). Further grounds for Qin influence on the received text, raised by Wu Guang 呉光, are the taboo substitutions for the personal name of the First Emperor. Zheng was his lifetime taboo name,

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not a posthumous title whose use Qin abolished.121 This same taboo avoidance can also be seen in Han Feizi’s commentary on Laozi and in a Shuihudi excavated Qin document dated 227.122 This indicates at least some chapters of Pheasant Cap and Han Feizi were copied under Qin. There are nine of these avoidances in Pheasant Cap, all in six of the first ten chapters (chs. 1-2, 5-6, 8, 10). Where duan 端 in its normal sense of ‘upright’ is combined in a phrase with ‘correct’ (zheng 正) (10: 3), the latter is written as the look-alike word ‘king’ (wang 王 ). 123 ‘Correct’ or ‘governance’ (zheng) has apparently been replaced by ‘reform’ (hua 化; ch. 4), ‘rectitude’ (shi 是; chs. 8, 11-12, 17), or ‘rule’ (zhi 治; ch. 8; App. 2 below). Cases where the taboo is not observed could possibly be explained as later copyist restorations. The internal dates of Pheasant Cap span the 3rd century from King Wuling (d. 295) to King Daoxiang (d. 236). I argue that Impending Collapse (ch.7) is a reaction to Zhao’s catastrophic defeat and army’s massacre at Changping in 260. The latest event cited is Ju Xin’s suicide in 242 (ch. 12). The prominent notice given to this event, in view of its limited interest span, can hardly be much later than the event itself. The dialogue of Pang Xuan and King Daoxiang, his posthumous title meaning ‘the afflicted’, has the feel of a cautionary requiem penned not long after his death (ch. 16). I therefore conclude that its latest portions were written in the final decade and a half of Zhao’s independent existence before its extinction by Qin in 222. The triumphalism evident in describing Zhao’s victory over Yan in that year, and later ridicule of the defeated Yan general’s suicide, smack of immediate composition. Pang Xuan of Zhao orchestrated a north-south ‘vertical alliance’ with Han, Wei, the statelet of Wei (at Anyang) and Chu the next year, 241, to make a final failed attack on Qin in the west.

121 Wu Guang 1985: 157. Defoort 1997: 217. Shiji 6 (year 25)—In 221, the First Emperor abolished the Zhou law of bestowing posthumous taboo titles (shifa 諡法) since they involved subjects passing judgement on their rulers and sons on fathers. It was revived by the Han and subsequent dynasties. Graham 1989a: 507—is mistaken that the taboo was enforced by Qin only posthumously (210-207 BCE). 122 Han Feizi 20 (Jie Lao): 99—duanzhi 端治; 108—duan qi xing 端其形; 112—duandao 端道 vs. xiedao 邪道. Shiji 6: 43—the First Emperor’s 219 Langyetai stele has two such taboo substitutions. SHD Yushu 語書: 13-15—yi jiaoduan minxin 以矯端民心, ziduan 自端, gongduan 公端. The Qin ‘The Magistrate’s Way’ (SHD Wei Li-zhi Dao 爲吏之道) and Almanacs (Rishu 日書) do not follow the taboo which suggests it was not observed in private texts. It is not found on MWD texts nor in the received Lüshi Chunqiu. 123 I count fourteen uses of duan in Pheasant Cap. There are a total of eight duan taboo replacements for zheng, all in the first half of the work: 1: 1; 2: 1; 5: 1; 6: 2,; 8: 2; 10: 1. There are three cases of duan in its normal senses of ‘erect,’ ‘starting point’ or ‘principle,’ all in the second half of the work, 11: 1; 14: 1; 15: 1. See: App. 2 below.

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Translation and Language As with the name ‘legalism’ (fajia) itself, the ‘amoral science’, there is the problem of fitting word to deed or actuality. Yet the same might be said for virtually any word one might care to translate from Chinese or any other language. Words are variables and ultimately form their own contextual adjustments in shades of meaning. There can be no absolute ‘hold-all’ of meanings impervious to distortions or ambiguities of whatever kind. Pheasant Cap has a plethora of examples of words consciously used in more than one way. The 1951 Concise Oxford dictionary (fourth edition) has fourteen sub-categories under ‘law’. It is interesting and instructive to trace their depth and breadth of connections, just as it is to drive a car on a freeway rather than go by rail. The reader should take it that ‘law’ here is an expedient token for fa just as ‘Way’ is for Dao or ‘virtue’ for de. Both monosyllables words have the advantage of being as flexible in English as their Chinese counterparts. Future translations if they are confident enough may choose to free themselves of literal forms and produce their own paraphrases with other trappings. The aim here is to reproduce in English the original profile with its harshness and subtlety, harmonies and resonances for the reader to absorb and let the big picture emerge as in a mosaic. Classical Chinese is by nature concise and sparse in grammatical markers. Inflexions to denote verbal tense, number or gender are absent. Punctuation is absent or rare. Capital letters, italics, and quotation marks are missing. The positional grammar of word order and regular line-length with parallelism are the guidelines. Pheasant Cap’s style is characterized by blank verse or rhymed couplets, triplets and quatrains. Lines or clauses are mostly of four word (ideographc characters). Sentences can be long, of six or more lines. The vocabulary is standard but his thinking contains concepts which fall outside the scope of any of the known Hundred Schools. Context, most readily identifiable by known proper names, offers vital clues in attempting any three-dimensional reconstruction of a writer’s standpoint and outlook. In Shakespeare’s words, they “give to airy nothings a human habitation and a face.” Fortunately, unlike Laozi, Pheasant Cap contains only five chapters (chs. 1, 3, 5, 6, 17) without any personal or place name (Defoort 1997: 219-23). The difficulty of the present text is attested by the fact that few if any have been rash enough to attempt it. A translation aims as far as possible to reflect the original faithfully. At the very least it must make sense in the target language. Hansen has suggested that we simply impose our Western way of thinking on the ancient Chinese in our interpretations (1993, 48). This implies that we inhabit incompatibly different mental universes. Yet,

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if we did not share common ground, translation would be impossible. Classical Chinese is cast in seemingly abstract terms, leaving gender, number, and tense unspecified, to be inferred by the reader or translator. Clues to their concrete denotations are supplied by context and parallelism. Ancient Chinese texts have little punctuation and their syntax lacks articles, both definite and indefinite and most grammatical features. In the absence of capitalization, italics, quotation marks, and other typographic tools, it can be hard to distinguish particular from general terms. Prior knowledge or intuition may be required to distinguish proper names from common names, technical terminology from popular usage, metaphors from literal meaning, and concrete imagery from abstractions. The device of parallel couplets with complementary or contrastive terms and grammar in mirroring positions is fundamental in defining the intended sense. Despite some problematic phrases and ‘misspellings’ or substitutions, the Pheasant Cap text seems to have survived remarkably intact. Lu Dian’s version even preserves seven punctuating ‘commas’ (ju 句) which I take to be ancient pause markers, as seen in the Mohist Canons. They are distributed as follows: five occurrences in ch. 9; one in ch. 4; and one in ch. 18.124 I signal them by a dash ‘—.’ Chinese modes of address proceed from the general to the particular: region—town—village—house—person. Europeans tend to go in the reverse direction, from particular to general: person—house—village—town—region. This inverse order may offer a clue to Gongsun Long’s famous statement: ‘A white horse is not a horse.’ When re-stated as ‘A horse is not a white horse,’ it becomes acceptable to us. That is to say, the general does not subsist in the particular: ‘horses’ include white horses, but not vice versa. Retention of the original word order, which I have purposefully endeavoured to maintain, characterizes my translation. This may alert us to the latent problems between inductive (general-particular) and deductive (particular-general) thought, the former being more characteristic of ancient Chinese. It also best shows the parallelism and couplet structures employed by the original both in prose and verse. Wherever possible I have selected a concrete English equivalent for the main Chinese terms to reflect a comparable range from the root idea. Thus, the reader should obtain a reflection of the source language usage. As Defoort observes, Pheasant Cap likes to redefine his terms, often in an abstract sense as he does for ‘Heaven.’ In such cases, it would be counter productive to introduce another word in translation. One word can take on more than one meaning. ‘Heaven’ can equal both x and x1, the blue sky we see and an invisible transcendent power. Often the English requires the insertion of additional 124 Defoort 1997: 57—”At times the commentary consists of one character, ju...” These rare ju punctuation marks seem not to originate with the Lu Dian commentary. Such marks, evident in bamboo and silk manuscripts recently excavated, characterise early texts.

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pronouns or particles. One Chinese word may require more than one in English, as ‘ritual propriety’ or ‘emotive reality’ where both senses are implied.

TRANSLATION

Pheasant Cap Master Heguanzi 鶡冠子

TOP SCROLL 1. WIDE SELECTION (Boxuan 博選) The messianic ruler will grasp the sacred weapon, the royal axe of power wielded by Cheng Tang, found king of Shang (ch. 9; Fig 16). To inaugurate the new era, he will recruit men superior to himself in ability and honor them as Sage teachers. Under such protocol, Mencius stood on his dignity as teacher in refusing to be treated like a servant by the king (4b; Lilou: 149). Yet China’s unification would soon elevate the emperor’s person to the status of both king and Sage, a ‘philosopher king’. Meritocratic theory could justify this only by a pious fiction that the monarch was Heaven’s choice as the one worthy to rule and not merely hereditary scion. Like Mozi, Pheasant Cap opposed the hereditary principles of feudalism which Confucius held dear. Pheasant Cap endorses Mozi’s call to ‘promote the worthy’, which Xunzi in theory accepted, but Mencius and Laozi resisted. A social pyramid theoretically based on individual worth is outlined here in increments of ten: 1 king > 10 ministers > 100 knights > 1,000 servants > 10,000 slaves. In terms of virtue, the three top grades are: Ace—Valiant—Hero. ‘Wide Selection’ thus provides a theoretical basis for the system of competitive examinations which would furnish the bureaucracy yet never challenge the imperial succession. There is a faintly ironic echo here to the gradings of Laozi (38, 41) by virtue which progress from non-contrivance at the top to those throwing punches and laughing the Way to scorn at the bottom. Three Yellow Emperor texts give variants of a rhyme used by Fan Li in advice to Goujian on timing his campaign against Wu to recover the throne:1 “You must at Heaven’s timing with it altogether decide. If what must be decided is not decided, you will receive its disorder.” The word ‘decide’ (duan), literally ‘to cut,’ rhymes with ‘disorder’ (luan) as of tangled strands. The Liutao (Six Strategems), ascribed to Taigong, Grand Duke of Zhou, warns: “If you grasp a knife you must cut. If you hold an axe you must attack” (1.7; Sawyer 1993: 46). The timing is that for the final battle. 1 MWD Shiliu-jing (Guan): 63—(Dang Tianshi, yu-zhi jie duan. Dangduan buduan, jiang shou -qi luan. 當天時與之皆斷當斷不斷將受其亂). Shiliu-Jing (Bingrong): 71. Cheng: 81. Guoyu 21 (Yueyu-xia): 3b—Fan Li to Goujian: “If you get the time and do not complete, you will on the contrary receive its disasters.” SHD Rishu 197:—“Don’t on a si (pun on ‘death’) day conduct prayers or on the contrary you will receive its disasters.” 89

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Pheasant Cap, who begins with reference to the royal axe, ends with a call for resolute and decisive action to implement its program: “No death, no birth. No decision, no completion.” The remaining question is who to do it? The time is at hand.

Meritocracy2 The royal axe is not one generation’s weapon:3 It is thick in virtue, lofty in heroism.4 The Way altogether has four signs: First is Heaven, Second is Earth; Third is man; Fourth is mandate. Assessment of men has five grades: First is as hundred-selves; Second is as ten-selves; Third is as self-equals; Fourth is as servants; Fifth is as slaves. ‘Heaven’ means things’ principles in reality. ‘Earth’ means constancy in not departing from them. ‘Man’ means hatred of death and delight in living. ‘Mandate’ means nothing but the duty of rulership. The ruler governs5 by the divine luminaries. Divine luminaries in men make their basis. Men in worthy Sages makes their basis. Worthy Sages in wide selection make their basis.

Sub-headings have been added by the translator to assist identification of topics. This line is repeated and its theme elaborated in ch. 9, below. Jia Yi: Xinshu 2 (Zhi– buding)—“Expedient dynamics and law’s controls, these are the master of men’s weighty axe. Only when dynamics are settled, and expedients sufficient, then you may employ humane justice and merciful generosity...” 4 It is a symbol of enlightened rulership. 5 Here is the first use of duan 端 ‘upright/principle’ as taboo avoidance for ‘correct/govern’ (zheng 正), personal name of Qin Shihuang. See Appendix 2. 2 3

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Recruitment Wide selection from five grades makes its basis:6 So, if you face north (as a subject) to serve, Then those like a hundred-selves will be recruited. If you put exerting yourself before rest, And asking questions before keeping silent, Then those like ten-selves will be recruited. If you follow other men’s exertions before exerting yourself, Then self-equals will be recruited. If you rest at your desk, and lean on your staff, Waving a fly-whisk to command, Then servants will be recruited. If when pleased you grunt at them, And when annoyed shout, Then slaves will be recruited! Thus, Emperors with teachers associate; Kings with friends associate; Doomed lords with slaves associate.7 So, he who has the virtue of a myriad men is called an ‘Ace.’ He who has the virtue of a thousand men is called ‘Valiant.’ He who has the virtue of a hundred men is called ‘Hero.’ Virtue’s tone means its sound. You never hear a tone issue forth Whose echo surpasses its sound.8 6 Zhanguo Ce 29 (Yan Ce) 11:—Guo Wei counsels King Zhao (311-279) on the restoration of Yan: “Hegemons with ministers abide” and places doomed nation rulers with servants. Wenzi 7 (Weiming): 58 and 12 (Shang Li): 97—define four classes of merit: equal to 10,000 men = ‘hero’ ying 英; 1000 men = ‘ace’ jun 儁; 100 men = ‘champion’ jie 傑; 10 men = ‘valiant’ hao 豪. Hanshu (Renwu Zhi) cites Mao Gong: Shi Zhuan—a person above a myriad men is called ‘hero.’ 7 MWD Shiliu-jing (Cheng): 81, 145b-46a—“An emperor’s ministers are called ministers, they are actually teachers. A king’s ministers are called ministers, they are actually friends. An hegemon’s ministers are called ministers, they are actually guests. An endangered ruler’s ministers are called ministers, they are actually servants. A doomed ruler’s ministers are called ministers, they are actually slaves.”

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The noble have knowledge, The rich have wealth, The poor have their bodies. If goodfaith’s tally-sticks do not match, Employment undertaken will not succeed. If some do not die, others will not live: If you do not take decisions, there will be no achievements.9 Assess achievement before rewarding, Weigh virtues before speaking. The Royal Axe resides in these things. Who is able to put it to work?

2. MANIFEST HOPE (Zhuxi 著希) A messianic ruler, the ‘Expected Man,’ is to fulfill Heaven’s mandate and restore morality in a corrupt world. He will be a ‘gentleman,’ upholding the Way and virtues of humaneness, ritual propriety and justice. A trenchant criticism of contemporary morality attacks ambivalent hypocrisy which masks the truth of real feelings. Graham suggested it contains an attack on ‘false prophet’ Qin Shihuang. If so it must predate his imperial unification of 221 when he was still just King of Qin. Its concern is clearly a present threat, not past history. Here we see the pairing of the Way and virtue (daode) as in Laozi’s Daodejing. In traditional usage, the compound ‘Way-virtue’ is simply a synonym for morality. The Way may generally be understood as ‘Heaven’s Way’ and is a concept basic to all Chinese schools of thought. ‘Virtue’ has the same sound as ‘getting’ (de 得) as in ‘getting it’ and covers the dual senses of benefit spiritually and empowerment physically (ch. 5). The description of the Expected Man is consistent with to the gentlemanly ideals of Confucius. Like Mozi but unlike Mencius, Pheasant Cap readily admits to valuing ‘profit’ (li 利) but not as reality in itself. He has altruistic goals and refuses to equate a corrupt world with ‘fixed reality’ (dingqing 定情). 8 9

The truly virtuous do not boast. MWD Shiliu-jing (Zhengluan) 67, 106b.

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The Way’s Virtue The Way has signs, virtue has proofs. Man’s ruler does not hear its essentials So constantly with destiny struggles And lacks the means to see them. If his Way with virtue lodge10 but he lacks the means to implement the mandate, it is because his righteous justice does not match its category and he lacks the means to alter. If he were thus installed, though settled he would not be fixed.

The Conduct of the Expected Man Regular and irregular have their places, Names and titles do not deviate from them.11 So the Expected Man will not disobey his real feelings. The expected generation will not falsify its substance.12 Civilized propriety13 when neglected With that of fowls and beasts becomes the same in form. Words and speech if violent With those of barbarians become the same in meaning. Now, the gentleman is easy to relate to, yet hard to corrupt. He is wary of disaster, yet hard to repulse. Guanzi: 36 (Xinshu-shang): 220-21—like Pheasant Cap defines virtue homophonically: “Therefore virtue (de 徳) is getting (de 得). Getting means what you get to be so.” 11 MWD Jingfa (Daofa) 43, line 7b:—“When the regular and irregular have their positions, names and titles do not depart from them.” 12 I read ‘falsify’ (miu 謬) for ‘entwine’ (miu 繆) and ‘substance’ (shi 實) here for lookalike ‘guest’ (bin 賓) to complement ‘real feelings’ (qing 情). 13 Xunzi 19 (Lilun): 379-81—equates ritual propriety (li 醴) with rational principle (li 理), identical to it in sound, in the new expression ‘civilised rationality’ (wenli 文理) whose genesis he traces back to ‘Great Unity,’ a variant of ‘Grand Unity.’ 10

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He is fond of profit, yet does not contrive it by doing wrong. In timeliness he moves, yet does not opportunistically act. Though his body is at ease in something, he does not dare abide there: and so ritual propriety is born. Though his heart desires something, he does not dare give rein to it: and so righteousness is born. Now, righteousness regulates desires in order to govern. Propriety returns to real feelings in order to discriminate.14 So, the gentleman does not disregard real feelings when taking action.

Lament for a Degenerate Age Now, a disordered generation considers crude knowledge as creative ideas, considers endangerment as the Way, considers profit as feelings’ reality. To those who do not share their hatreds, they cannot relate. For those who share their hatreds, they have dislike. Speech of benevolent humantiy, they consider lying. Motivatation by righteousness, they consider boasting. A fair mind’s honest report, they do not believe. So, worthies in a disordered generation are cut off from prospects and have no means to communicate. They are of a different species And so have no means to tell of their suffering. Alas!

14 I take fan (反=返) here as ‘return to’ rather than ‘oppose’. Liji 19 (Yueji ‘Music Record’): 614—“to join with real feelings (qing) and decorate apperances is music and ritual’s business.”

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Life under Tyranny Worthy men hide in a disordered generation. Above, they have to follow the ruler, below, there is no straight speaking. When the ruler is arrogant in behavior, the people have many taboo words.15 So, men distort their honest sincerity, capable knights disguise their true substance. Though their real mind is unhappy, they dare not but praise. In working at their employment, though disapproving, they dare not but labor. In support or rejection, though inconsistent, they dare not but follow. So, observe how worthy men are in a disordered generation. They take care not to consider it fixed reality.

3. THE NIGHT WALKER (Yexing 夜行) Night Walker is here an immanent deity or force working imperceptibly to control the universe. This is a teleological universe in which everything has a purpose. We meet a cosmic model of thirteen signs from the physically perceptible world. Laozi calls ‘thirteen’ the number of life and death. 16 Hereafter it is supplanted by nine as mystic number. In contrast with these manifest signs, an invisible presence, hinted at by verses shared with or borrowed from Laozi, is at work behind the scenes. They further connect to the ‘Harun al-Rashid’ theme where the ideal ruler in disguise goes out at night among his people to ascertain their true conditions. On a celestial level, Night Walker may be an archaic kenning for the Dipper. 15 Daodejing 57—“The Under Heaven has many taboos, yet the people become increasingly poor.” 16 Daodejing 50. ‘Thirteen’ (shiyousan 十有三) literally ‘ten having three’ is archaic ‘tenthree’, 13. This is the interpretation of Han Feizi’s commentary (20 Jie Lao: 109-10). As the imperial numerology of nine gained supremacy, Wang Bi’s interpretation in later Han as ‘three out of ten’ was accepted. Yet thirteen never lost its mystique in Chinese folk culture.

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Identification of Dipper and Pole Star with the supreme deity is explicitly stated in the next chapter (ch. 4). The night walker’s Way is resumed in our final chapter (ch. 19) conjoined with ‘shady warp’s law’ in tactical usage.

Thirteen Signs Heaven is for design, Earth principle. Moon is for form (penal law), sun for virtue (emoluments).17 Shade and sunshine are energies. four seasons are for inspections. Degree and number are for regulations. Five agents are for enterprises, five governances are for the Way. Five tones are for modes, five sounds are for causes. Five flavors are for employments; rewards and punishments are for contracts. These all have signs by which they are so.

Song of an Invisible Presence Pursue him and you will not see his back; Meet him and you will not see his head. “He achieves success and finishes the job.”18 No one knows his appearance. Pictures cannot convey him, Names cannot raise him. If forced, I will try to describe him, saying: Vacuity! nothingness! In its midst is an image. Nothingness! vacuity! In its midst is a being. Mystery! darkness! In its midst is an essence: . Utmost faithfulness, ultimate reality. 19 17 18

These indicate penal and civil law, respectively. Daodejing 17—“He achieves success and finishes the job.” See chs. 11, 16.

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He reverts to facelessness. If ghosts were visible, They would be unable to do men’s enterprises. So, the Sage values Night Walking.20

4. HEAVEN’S MODEL (Tianze 天則) Here is the earliest description and explicit apotheosis of the Dipper constellation as nine stars that mirror the Nine Augustans. The Sage king, divinely attuned through them to the universe, is thus invulnerable. Here ‘Sage’ and ‘king’ are one and the same. The ‘constitutional’ monarch has become absolutist. He will become the ‘Ninth Augustan’ to open a new age. He will establish world unity through his person. The Ninth Augustan’s new political program has five objectives, of which economy is first: 1) the Sage: social welfare; 2) reformation: spontaneous cooperation; 3) government: self-motivation; 4) education: critique of sense perception; 5) employment: practical realism. The last three, governance, education and employment, elaborate on aims of the seven outlined in Guanzi’s Establishing Government, though in different order.21 People are paramount. Law derives from the particular, the ‘this’ and the ‘here’ (ci 此. Chs. 4, 8). The Sage does not rely just on penal law (xing) to ‘herd’ (mu) the people, but on adaptation and ‘fencing’ (you 宥) without isolating

19 Daodejing 14—in rhyming diction “No appearance’s appearance (zhuang), Nothing’s image (xiang). This means a misty mirage (mang). Follow it and you don’t see its back (hou), Meet it and you don’t see its head (shou).” Received mss reverse the lines: placing ‘head’ before ‘back’ etc. 15—“If forced to contrive its appearance...” 21—“The Way, as a thing (wu 物), Is just mirage, just misty (wu 霧). Misty oh! mirage (mang 茫) oh! In its midst is an image (xiang 象). Mirage oh! misty (wu) oh! In its midst is a thing (wu). Mysterious oh! dark (ming 冥) oh! In its midst is essence (jing 精). Its essence is utmost truth (zhen 眞) in its midst is goodfaith (xin 信).” Lüshi Chunqiu 5.2 (‘Great music’ Dayue): 4a—“No appearance’s appearance approximates to knowing it! The Way is utmost essence. It may not be formed, may not be named. If forced to contrive it, I call it ‘Grand Unity.’” 20 Guanzi 2 (Xingshi): 4—“To summon the distant, employ non-contrivance in it. To befriend the near, speech has no business in it. Just night walking alone has it.” Huainanzi 6 (Lanming): 3a. Wenzi 2 (Jingcheng): 9. Chunqiu Fanlu 5 (Jinghua): 23 uses the couplet without ‘night walking’. Guanzi 64 (Xingshi Jie): 327—“Night walkng is mental operation. If you can mentally operate virtue then Under Heaven none can with you contend!” 17 (Bingfa): 97— for ‘night operations’ signaled by a lunar standard, second of nine battle standards. 21 Guanzi 4 (Lizheng, Qi-guan): 12-13. The seven are: education, instruction, customs, goodfaith, Way, employment, governance.

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himself from them. 22 Recruitment and promotion will be from the eight directions of the world but offices will not be permanently held or transmitted father to son. Re-use of the line: “his application does not slacken” from ‘Rhapsody of the Hero’ (ch. 12) implies close linkage.

The Ninth Augustan’s System The Sage king listens to the subtle so as to resolve doubts in the Way. He has the ability to reject slanders in order to assess the facts. He opposes superfluous language, cuts short rumors and discards the useless. He blocks factionalism and sectarian schools. Thus, envious and malicious men cannot not get exposure to publicity. None but gentlemen, skilled and numerate scholars will get advancement. So evil cannot subvert him, Disasters cannot strike him. He, in Heaven and Earth’s infinity, guards degree and measurement, so that there are no excesses. The sun does not transgress in its dawnings, The moon lodges in its stations: According to names, he manages employment. The stars hold their positions without deserting them, Crescent and full moons wax and wane: They finish and start in orderly succession. His application does not slacken23 Over passing years and accumulated harvests. 22 ‘Fencing in’ or enclosing in pens (you 宥/囿) is used by Zhuangzi 11 (Zaiyou): 364— “fencing in the Under-Heaven.” 33 (Tianxia): 1082—Graham’s ‘discard prejudice’ (bieyou 別 宥) of Song Xing might be understood as ‘separately fence.’ Lüshi Chunqiu 16.7 (Quyou 去 宥): 15b-16b—reject subjective prejudice. Cf. 13.3 (Quyou 去尤): 5b-7a. 23 This distinctive expression (yong -bu manman 用不縵縵) recurs in ch. 12’s Rhapsody of the Hero.

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This is what Heaven holds as handle as it looks down. In the Dipper constellation24 the central three take their place, its four stars’ energies contrive governance. In front their light extends, behind is the Pole. On the left is the Horn constellation, O the right is the Halberd.25 Its ninefold design conforms to principle. It monitors official multitudes,26 small and great are all included.27 In front, there are neither grudges nor hostile disturbances; behind, there are no slanders or underhand conspiracies. So, awesome power above extends and below interacts. Its bounty to the four directions spreads unhindered. Heaven by not deviating does not depart from Unity. If Heaven abandoned Unity, it would revert to being an object.28 It does not initiate nor create. With Heaven and Earth it shares virtue. Tallies and seals are trustworthy just as moon corresponds to sun. This is how the Sage suits his generation. Knowledge sufficient only to corrupt government, policies sufficient only to temporize disaster: this is why endangered nations may not be secured, why doomed nations may not be preserved.

See: ch. 17 (Heaven’s Authority)—the ‘Beckoner’ (zhaoyao). Horn and Halberd are constellations. 26 I read ‘official’ (guan 官) for the similar ideograph ‘palace’ (gong 宮). 27 Defoort 1997: 190-91, 275n60-n63—citing Williams’ interpretation (1987: 231n.103) concludes “the positions given here are less than perfect… Pheasant Cap Master was more a philosopher than an astronomer.” 28 MWD ‘Nine Rulers’ (Jiu-Zhu) 377 n28:—“If the ruler is unlawful, then he will revert to being a thing.” ‘Thing’ (wu) means a created being or object as among the ‘myriad things’ (cf. Ch. 9). 24 25

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So, Heaven’s Way first values shelter, Earth’s Way first values support. Men’s Way first values employment, mutual protection first values food. These depend on things. The leader of energies is the seasons; to generate in spring and kill in autumn are its laws. Compliance with degree in decisions is Heaven’s rhythm. It lays out the Earth and protects it, divides the people and deputizes them. The cold will get clothing, the starving will get food. The wronged will get justice, the labored will get rest. This is what the Sage aims for. To tailor clothes, you must know how to select the tailor. To tailor the kingdom. you must know how to seek the right men. This is certainly in this generation’s public interest! It is just in equality that we see Heaven,29 just in discrimination that we see the human. Just in alterations that we see the seasons. just in reformation that we see the Way. It is just when faced with profit, we see goodfaith; just when faced with wealth, we see benevolence. Just when faced with difficulty, we see courage, just when faced with employment, we see skilled and numerate scholars. In the Ninth Augustan’s system, the ruler is not in vain King. Ministers are not in vain noble. It is from the ruler to employ people. Apart from this there is no kingdom. Successive favors, successive emoluments 29

See Mozi 12 (Shangtong-zhong).

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match the purpose for the deputy’s responsibilities. When there are collusion and conspiracy it is because a system of cross-checking was not prepared. In what inferiors oppose superiors are deceived. This is because they are divorced from human realities and lose Heaven’s rhythm. When relaxed to be lazy, under pressure to be worried, to see an opening and use the irregular to exploit it30 are human realities. To promote from the eight directions, to be trustworthy towards them all but not trust to them, is Heaven’s model.31 When there are discrepancies and falsehoods, words do not match, tunings are out of key. The moon may be full but at dawn the moon will be annihilated in the sky. The pearl fills the oyster vainly in the deep sea.32

Reformation’s Aim Superiors and inferiors are equal yet separate. Before being ordered, they know how to act. Before being dispatched, they know where to go. Though superiors do not increase their exertions, people spontaneously do their utmost: 30 I translate ‘odd’ (qi 奇) here as ‘irregular.’ Sunzi 5 (Shi ‘Dynamics’) it means ‘unorthodox tactics.’ MWD Jingfa (Daofa) 43, 7b:—“by asymmetries mutually control” (-yi qi – xiangyu 以竒相御). 31 “Promote by the eight directions, to be trustworthy towards them yet not trust to them.” Promotion to office should be by universal selection but offices are not to be peramanently held. See: Education’s aim, below. 32 I read ‘sea’ hai 海 for ‘islet’ zhu 渚. In Chinese tradition, oysters generate pearls from moonlight. The great will perish while the worthy languish in obscurity.

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this is what reformation aims at. When those dispatched do not go, when what is forbidden is not stopped, when superiors and inferiors are rent apart by falsehood: the Way is not got. When superiors preside but subordinates meddle, distant multitudes hide from them. If shade and sunshine are not in contact, principles have no means to reach each other. If calculations do not match, men will not respond to superiors. If tally sticks are lost, how can they ever be joined?

Government’s Aim To contrive but not harm, to win and not be defeated; when one man sings and a myriad men reply in chorus as the limbs follow the mind: this is government’s aim.33 Altogether, it is like mother’s cotton loom in concerted motion. The essential is in its unity. I have never seen anyone who, without getting a prognosis,34 could eradicate a disease. If the civil and military alternately applied do not get to employments’ substance, it means law’s edicts are promulgated without the means to execute them. By discarding the ‘this’ to rely on the ‘that’,35 Guanzi 4 (Lizheng, Qiguan) 13:—“As the hundred organs follow the heart-mind” (Ru baiti zhi congxin 如百體之從心). 34 I take the obscure graph (言+爾) = (言+尔) as ‘prognosis’ (zhen 診). 35 Daodejing 12, 38, 72—“He takes this and rejects that.” Han Feizi 20 (Jie Lao) 99— “What is meant by ‘discarding that and taking this’ is to discard appearance directly and take the path of rational principle. It is to love reality’s substance” (Suowei qubi qucizhe, qumao jingjue, er qu yuanli, hao qingshi-ye. 所謂去彼取此者去貌徑絶而取原理好情實 也). Guanzi 36 33

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how could it ever be got? To declare in words is easy, 36 to comply with words is hard. Thus, a father cannot obtain it in his son, and the ruler cannot obtain it in a minister. I have seen how Heaven has more goodfaith than things; I have not seen how humans have more goodfaith than things. To sacrifice things and trust to dynamics is Heavenly. It sacrifices things and trusts to dynamics, so, none may command except by Heaven. Now, things if crooked may be altered, men may be employed. Law manifests37 things and is not self-permissive. It is Heaven’s Way to promote education. Ostensible loyalty in subjects is insufficient to rely on. So, law is the crooked’s controller. Offices are prepared for the ruler’s use. Elevation of good cannot be done in secrecy, correction of errors cannot be done in the dark. To decide ‘here’—38 is what law values. If millstones are not given something to grind, however exerted they will be ineffective! If between superiors and subjects there is a gap, set obstructions and knowledge cover-ups together arise. So, when government is usurped by private houses and cannot be restored; when important men lose authority and cannot retain it; when rewards are presented to those with no achievements (Xinshu-shang): 220—“The means of knowing that is the means of knowing this.” ‘That/this’ can also be ‘there/here’ (彼/此). 36 I read ‘proclaim’ (xuan 宣) for ‘dark’ (ming 冥) here. 37 Defoort 1997: 200, end-note 9—Needham proposed translating zhang (章), which I here render ‘expose’, as “to seal” or “to mould.” 38 A ‘comma’ punctuation ju 句 in the original serves as a colon after the ‘here’ (ci 此) to highlight it. ‘Here’ is the same word translated as ‘this’ elsewhere. It has the sense of here and now, to judge each case by its merits on the spot, as per the axiom “justice delayed is justice denied” (extrapolated from Magna Carta 1215 CE, clause 40).

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and cannot be taken back; when law is abandoned and disobeyed and cannot be established; when punishments are executed on the wrong men and cannot be halted: it is because they do not interact with their people.

Education’s Aim Now, to cause the hundred clans to disregard self, and with their superior to be of the same mind, is what education aims at. If those from the eight directions promoted cannot in time be replaced,39 they may become obstacles. Formerly those who had the Way took up government not by ears and eyes. Now, the ear is master of listening, the eye is master of illumination. If one leaf covers the eyes, they will not see Grand Mountain.40 If two beans obstruct the ears, they do not hear thunder peals.41 For the Way’s opening to be blocked is unheard of. To see something dropped and not pick it up is opposed to human reality.42 Yet if you pursue reality to pursue life, even though not by Heaven punished, you will encounter human harm and not fulfill your tasks. 39 I read ‘replace’ (ti 替) for ‘commend’ (zan 贊). Lu Dian takes this in a metaphysical sense and cites King Tang’s question about the size of the universe (Liezi 5 Tangwen). 40 Grand Mountain is the holy Taishan in Shandong near Confucius’ home. It is used proverbially for great size and importance. It recurs in ch. 18. 41 Criticism of limitations of sense perception. 42 This contradicts the scholiast dictum that under good rule people do not pick up objects dropped on the road. MWD Jingfa (Lunyue): 57, 68a—“If there is no Heavenly punishment, there will necessarily be human slaughter.”

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Employment’s Aim To contrive completion by pursuing profit is what employment aims at. To do it for the people is the Way’s essential. Only the people know the limits and do not infringe them: This how the Sage king bestows livings but keeps control. If his education is bitter to the people, people’s behavior will be insincere. If lost at the root, it will be disputed at the periphery. Men have divisions in their dwellings, dwellings have divisions by Earth. Earth has divisions by Heaven, Heaven has divisions by times. Time has divisions by numbers, numbers have divisions by degrees, degrees have divisions by units. Heaven sits high, yet its ear is low. This is its meaning. So, the Sage King Heavens it, Earths it, mans it. Without herding he can adapt and so his achievements are many.43 To elevate rulers and subordinate ministers, he does not go by kinship. To appoint the worthy and employ the able, he does not favor his hometown.

43 This stanza appears corrupt in the original. Words I take to be corrupt are amended inside square in heavy type:—(Shengren tianshi [zhi ], renzhid dizhi. ya [=sui ] wumu, nengyin, wu [er ] gong duo. 故聖王天時 [=之]人之地之雅[=雖]無牧能因(一作用)無 [=而]功多).

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Water and fire do not mutually encroach. This is Heaven’s system. What luminaries cannot illumine, the Way cannot get. What compasses cannot encompass, force cannot lift. When knowledge and intelligence appear, they cause jade to be reformed into rings and crescents, governance to become corrupted.44 If fields are not adapted to Earth’s forms, they cannot succeed in producing grain. If you contrive to govern but do not adapt to the people, you cannot succeed in inducing morality. Severity and haste are excesses, joy and anger are enemies. These four wound the self. They are not a teacher’s techniques. When penalties accumulate yet disorder increases, their dynamics do not interact effectively.45 Virtue that is with the person preserved or doomed may not be taken as law. Formerly those who ‘fenced in’ a generation were never separated from men and so were able excellently to share the kingdom.46 The First Kings of illustrious name never negated what knights had established.47 When errors arise among superiors, 44 This metaphor of jade carving seems to allude to the Daoist ideal of the uncarved block (pu 樸) as a symbol of natural integrity and its corruption by human intelligence (cf. ch. 6). Daodejing 18—“When knowledge and intelligence appear you have great hypocrisy.” 28— “Return to the uncarved block (simplicity). The uncarved block is dispersed into vessesls.” Pheasant Cap has—“When knowledge and intelligence appear, they cause jade to be reformed (hua) into rings and crescents, Government to become corrupted (hua).” 45 I translate ‘penalties warehouse’ (xingse 刑嗇) here as ‘penalties accumulate’ and ‘mutually herd’ (xiangmu 相牧) as ‘interactively effective.’ ‘Form’s dynamic’ (xingshi 形/刑勢) is used for the power of fortified positions, terrain and legal penalties as here. Guanzi 6 (QiFa): 28; 13 (Ba-Guan): 73; Han Feizi 49 (Wu-Du): 57. Xunzi 16 (Qiangguo): 312; 18 (Zhenglun): 354—material conditions. 46 ‘Fenced-in’ (you 宥), to rule by dividing. Some versions include a ‘Heaven,’ which I omit, before ‘men.’. 47 I read ‘kings’ (wang 王) for ‘born’ (sheng 生).

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‘criminals’ die among subordinates. A polluted generation from this contrives morality. The One Man! The One Man! He is the mandate’s symbol.

5. CIRCULAR FLOW (Huanliu 環流) This chapter opens with two ninefold geneses from unity and ‘breath-energy’ (qi). Energy is the unifying plainstuff of phenomena, preceding ‘ideas’ (yi).48 Marxist Hou Wailu found here primitive traces of material dialectics and interpenetration of opposites. 49 This is evidenced by rhyming couplets as: “Flavors mutually oppose, yet in delicacies balance each other” and “Energies both mutually benefit and mutually harm. Species both complement and mutually defeat.” Poison can be made into medicine, hopping turns into dance. Pheasant Cap explains differing mandates and timings but adds a touch of inscrutability. The mandate like a father will choose his own. The worthy will not necessarily win or the unworthy lose. This sounds like an attempted answer to the theological question of why the righteous suffer. Yet attunement to mandate is still advised. As in the Mawangdui scroll, Way precedes law. 50 As in its ‘Origins of Warfare’, Way represents necessity.51 The Way of virtue’s law is a cosmic force, the Great Dynamic manifest in the rotation of the Dipper’s signaling seasons. Its role is coordinator of equality in a world of different species.

Unified Energies Having unity there is energy, having energy there are ideas. Having ideas there are plans, having plans there are names. Having names there are forms, 48 Makeham 1991: 362n. 90; Defoort 1997: 181-83. Zhuangzi: 13 (Tiandao): 471—nine transformations (jiu-bian): understanding Heaven, Way’s virtue, humanity and right, divisions, form-names, adaptive appointments, inspections, right and wrong, reward and punishment. 49 Cf. Needham 1956 (10. The ‘Tao Chia’ and Taoism): 75 “This is what Hou Wai-Lu calls the doctrine of cyclically recurring differences [xunhuan yibian lun 循環異變論].” 50 MWD Jingfa (Daofa): 43—“Way produces law.” 51 MWD Shiliu-Jing (Benfa): 75—the Way is ‘necessity’ (–budeyi).

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having forms there is employment, having employment there are contracts. When contracts are decided, times are generated, when times are established, things are generated. So, energies combine to make times. Contracts combine to make goals, goals combine to make achievements. Achievements combine to make gain or loss, gains or losses combine to make good or ill omens. Myriad things combine to make victory or defeat. There is nothing that does not issue from energy.

The Law of the Way Communication is by the Way, contracts are by employments. Governance is by times. Differentiation is by names, completion is by law. Law being ‘here’ is termed near, Going out to reform ‘there’ is termed distant. Near yet far-reaching it is therefore termed divine; Distant yet reverting it is therefore termed illuminated.52 When luminaries are ‘here’, their light shines ‘there’. If its tasks are formed ‘here’, its achievements will be completed ‘there’. From ‘here’ to reform ‘there’ is law. The generator of law is the self, the completion of law is ‘there’. The generator of law is daily present and untiring. Generation and completion in the self mean ‘sagacity.’ Only the Sage plumbs the Way’s reality. Only the Way’s law is impartial in governance and illumination. When the Dipper handle points east, the Under Heaven is all springtime. When the Dipper handle points south, the Under Heaven is all summer. 52 Daodejing 25—“I do not know its name, I dub it the ‘Way.’ If forced to name it, I call it great, departing, distant, reverting.”

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When the Dipper handle points west, the Under Heaven is all autumn. When the Dipper handle points north, the Under Heaven is all winter.53 As the Dipper revolves above, employments are established below. The Dipper points one direction and the four sides are completed.54 This is the Way’s application of law. So, sun and moon are insufficient to speak of illumination. The four seasons are insufficient to speak of achievement. Unity makes it into law to complete its enterprise: So that none but will make it their Way.

The Mandate’s Law When unified law is established, myriad beings will all come in allegiance. Law values being as good as its word. Speech is the myriad beings’ lineage. If you speak rightly and so are with law akin, you will be strong. If you speak wrongly and so are from law alienated, you will be doomed. If law is not as good as its word, It will disorder its lineage. So, what generates law is the mandate; What is generated from law is also mandate. The mandate is self-such. What mandate establishes the worthy will not necessarily get, 53 These directions presumably refer to the Dipper’s position observed in early evening. Dadai Liji 47 (Xia Xiaozheng): 61, 94— on the first month at dusk “the Dipper handle hangs down” and again on the seventh month the same just before dawn. Huainanzi 4 (Zeshi) —gives the Dipper direction for each month. 54 Lunyu 7 (Su’er): 8—Confucius said: “If I raise one corner and you do not respond with three, I will not resume.”

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the unworthy will not necessarily lose. Mandate lifts up its own like a father. Thus, there is one day’s mandate, there is one year’s mandate. There is one season’s mandate, there is life-long mandate and that not in time completed. So, mandate has nowhere it is not present, has nowhere it is not deployed, has nowhere it does not reach. In time, someone afterwards will get the mandate. Since there is time, there will be mandates. Extend your reputation In accord with your name. Get the right time for victory, Your mandate will be daily more attuned. Extend your reputation In accord with your name. Miss the right time, Essence and spirit both doomed. Your mandate will go daily more awry. Timely mandate only a Sage can decide. Now the First Kings’ Way was fully prepared, Yet this generation has troubled rulers. They have lost its meaning.

The Dynamic of Unity So, what is meant by the Way is necessity.55 What is meant by virtue is ability to get men. From the Way of virtue’s law, myriad beings take their livelihoods. I read ‘without self’ (wuji 無己) as ‘the unstoppable’ (wuyi 無已) or ‘necessity’ (budeyi 不得已), in Latin ‘un-ceasing’ (ne+cessare) as Paul Thompson taught me. Wells 2001: 67—in Mohist logic: “Necessity is the unstoppable” (Bi: buyi-ye 必:不已也). Graham 1978: 38 B4. MWD Shiliu-Jing (Benfa): 75—“The Way’s action is from necessity (-budeyi), from necessity so it is inexhaustible.” Jia Yi: Xinshu 9 (Xiuzheng Yu-shang) cites the Yellow Emperor:— “The Way like river valley water issues unceasingly (wuyi), runs without stopping.” 55

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Lacking form but having divisions is called the Great Dynamic.56 So, when east, west, south, and north ways are correctly aligned,57 Then their divisions are identical. 58 Shade and sunshine are not the same energy, yet they in harmony share. Sour, salty, sweet, and bitter flavors are mutually opposed yet in delicacies balance each other. The five colors have not the same tint, yet in beauty are equal.59 So, things are nothing but species; Movement and stillness are nothing but energy. For this reason, in having men, the general who gets one entire man’s energy is lucky. In having households, the general who gets one entire household’s energy is lucky. In having nations, the general who gets one entire nation’s energy is lucky. The unlucky are contrary to this. So, equality means unity; Differentiation means the Way. Mutual conquests mean dynamics.60

56 I amend ‘great who?’ (dashu 大孰) to ‘Great Dynamic’ (Dashi 大勢/埶). Form and dynamic are a pair e.g. Guanzi 2 (‘Form and Dynamic’ Xingshi) while division of dynamics (fenshi) is a standard topic. Han Feizi 38-3, 48, Mozi: 32. Archaic 孰 and 埶 are often confused. Lu Dian gives as alternative ‘honest’ (dun 敦). Hanfeizi 40—on necessity and dynamic contradiction (‘spear-shield’ maodun). Wells 2001: 67—Mohist logic “‘Necessity’ said of opposing dynamics, like younger- and elder-brother, one assenting and one dissenting, is necessity and un-necessity. This is not necessity.” Graham 1978: 299-300, A51. 57 ‘Aligned’ duan 端 may be another taboo avoidance for ‘correct’ zheng 正. 58 The magnetic ‘south-pointing needle’ (zhinan zhen) aligned to the North Pole may serve as metaphor for the dynamic of imperial rule. Lunyu 2 (Weizheng): 1. Han Feizi 6 (Youdu): 25—“the first kings established the monitor of south to determine dawn and dusk’s [direction]” (xianwang li sinan –yi duan zhaoxi 先王立司南以端朝夕). Guiguzi 10 (Mou ‘Schemes’): 71—“the monitoring south chariot” (sinan-zhi che 司南之車). 59 Guanzi 11 (Zhouhe): 59—“The five notes are not of the same sound yet can be tuned. The five tastes are not of the same substance yet can be harmonised.” Daodejing 2— “Notes and sounds mutually harmonise.”

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Good luck or bad luck means victory or defeat. The worthy in a myriad undertakings have only one loss; The unworthy in a myriad undertakings have only one win.61 Their aspirations to the good are one, yet their means of contrivance may not be one. He knows unity may not unify So, he values the Way. Equality62 means unity, nothing unprovided means the Way. Establishment means energy, communication means species.63 Energies which harm men are called unsuitable, flavors that harm men are called poisons. Now, at the land-altar without a blood-sacrifice,64 you will not achieve even a mist. Energies both mutually benefit and mutually harm. Species both complement and mutually defeat. Accumulate limping to make lameness, with expertise, you will become a shaman master. Accumulate poisons to make medicine, with expertise, you will become a doctor.65 Good and evil are mutually defining, their mandate is called the return cycle. I amend ‘grasping’ zhi 執 to ‘dynamics’ shi 勢/埶. The archaic graphs are almost identical. Cf. ‘great who?’ (dashu? 大孰?) above. Wells 2001: 61-71. 61 We see here a rare appeal to statistical probability, rather than certainty, though the odds are heavily weighted at 10,000 to 1, as in Han Feizi (40 ‘Objections to Dynamics’). 62 Lu Dian offers the alternative reading ‘equality’ (tong 同), as in the previous stanza, to ‘void’ (kong 空), elsewhere used in the sense of ‘aperture’. Defoort 1997: 126—interprets this cryptic passage “The vacuous is what we call the ‘one’; nothing being incomplete is what we call ‘way’” (5:24/8-9). 63 This rhymed quatrain mirrors the pair above. 64 I read jia (夾) as zha (剳) here for cutting the throat in a blood sacrifice. 65 I follow Lu Dian who cites Yang Xiong’s (53-18 CE) Taixuan Jing—‘hopping’ qi (跂) but read ‘lame’ as in wang (尩) for wang (往) ‘going.’ Doctor and shaman (yi, shi) were related callings as in ‘witch-doctor’ (wu, yi 巫毉/醫). Lunyu 13 (Zi Lu): 22—Confucius remarked: “Without constancy you cannot be (even) a witch or doctor… Don’t prognosticate at all!” ‘Constancy’ (Heng 恒) is the name of hexagram no. 32 in the Change Classic. 60

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When things reach extremes, they revert, their mandate is called circular flow.

6. THE WAY’S GOVERNANCE (Daoduan 道端)66 Whereas the main thrust of Pheasant Cap’s philosophy concerns ‘oneness’ as unity, here we find a warning against the monopoly of power and a statement of the need for pluralism under the One Man. Personnel management is explained as recruitment of ministers with different qualities to serve separate functions in cabinet-style government. ‘Four wefts’ (siwei 四緯) refer to four ministers with the ‘four laws’ of virtue. ‘Four wefts’ in Guanzi (1 Mumin ‘SiWei’) meant propriety, justice, honesty and shame. Pheasant Cap sets humanity, righteousness, loyalty and sagacity to the cardinal points. Qin’s First Emperor’s stele of 219 has sagacity, wisdom, humanity and righteousness, replacing loyalty with wisdom.67 The parallel lists of eleven virtues show signs of deletion and disordering. At one point ‘loyalty’ and ‘righteousness’ which entail correction of the ruler and ‘courage’ in military matters are missing. The lists are reducible to five pairs and one single: humanity and loyalty, propriety and righteousness, wisdom and courage, discernment and goodfaith, honesty and worth, as well as sagacity. The ruler’s person is subject to restraint by virtue and ‘complete law.’ Here is a flat rejection of Mencius faith in innate ability in favor of study as urged by Xunzi (Mengzi 7a.15 Liangzhi Liangneng. Xunzi 1 Quanxue. Chs. 7, 15).

Heaven and Earth’s Governance Heaven is how the myriad beings got established; Earth is how the myriad beings got security. Thus, Heaven settles them, Earth places them, Time develops them, things receive them. The Sage models them. Now, cold and warmth’s changes 66 ‘Government’ (zheng 政), written here as ‘straight or aligned’ (duan 端), may be a taboo avoidance for ‘correct’ (zheng 正). 67 Shiji 6 (Qin Shihuang) year 28—Langye Tai stele inscription. GD “Six Virtues” (Liude) 187.

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are not what one essence transforms. The Under-Heaven’s tasks are not what one man can alone know. The sea waters’ breadth and greatness do not look to one stream’s flow.68 Consequently, the illumined ruler, To rule his generation urgently seeks men. He does not alone attempt it. Together with Heaven and Earth, he firmly establishes the four wefts to sustain the nation’s governance. Hooks and strings mutually extend, Bits and halters mutually control. When divisions into threes and fives are both prepared,69 Established positions will then be firm. Warp energy’s constancy Is the principle of Heaven and Earth. To oppose Heaven’s timing is inauspicious and will be disastrous.70

Appointing the Worthy If in employments you do not appoint worthies you will have no success and inevitably fail. Go forth to plumb its Way, come in to exhaust its metamorphoses.71 When you deploy the army to guard externally, Trouble conversely will be within. 68 Guanzi 64 (Xingshi jie) 329:—“Seas do not refuse water so can complete their size. Mountains do not refuse earth and stones so can complete their height.” Zhuangzi 24 (Xu Wugui): 852. Jia Yi 9 (Xiuzhengyu-xia) 71:—“The Under-Heaven is not one famly’s possession.” Dong Zhongshu 19 (Li Yuanshen): 38—“Heaven’s strength is not one essence’s force”; 21 (Kao Gongming): 40—“Sun and moon’s brilliance is not one essence’s light.” 69 I read ‘three and five’ (canwu 參伍) for ‘three and pair’ (can’ou 參偶) here. ‘Three and five’ was also an expression for counter checking or checks and balances. 70 Guoyu 21 (Yueyu xia): 1-b. 71 Daodejing 1—“Constantly lack desires to observe its marvels, constantly have desires to observe its turnings.”

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If what you protect is very distant, traitors will be among those you love. Consequently, the First Kings in appointing knights promoted the worthy and employed the able. They did not pander to their generation. Humane men sit on the left and east, Loyal ministers sit in front and south, Righteous ministers sit on the right and west, The Sage sits in the rear and north. The left makes a law of humane benevolence, so Spring generates and reproduces. The front makes a law of loyalty, so summer’s achievements stand. The right makes a law of righteousness, then autumn completes the harvest. The rear makes a law of sagacity, then winter shuts down and stores. The First Kings by employing them became high but did not topple, secure and not doomed. They are the myriad beings’ root and branch. Heaven and Earth’s gates and doors, the Way and virtue’s profits: these four are what the ruler takes from outside. The ruler is Heaven: If Heaven does not open gates and doors, it causes subordinates to harm each other. If those who promote worthies receive rewards, then subordinates will not cheat each other. Not waiting to be employed by men, worthy knights will display unconcealable achievements. Entrusted with employment, there is nobody who will not exhaust loyalty. Towns and villages look up to the righteous.

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Reformed, they will sit and self-correct.72 This is what his Way brings about, What virtue completes. Their root issues from One Man, So he is called ‘Heaven.’ None but accept his mandate. He may not be named so is called ‘divine.’ He attains divinity’s zenith, Manifesting it unambiguously.73 His breast he rides on the undoubted,74 Striving to govern a unified nation. The unified nation’s form is concentrated in his own body. Through his person he examines his generation, To govern and establish the nation.75 He submits to righteousness, practices humanity, in order to unite the royal enterprise. Now humanity is the rulers discipline, righteousness is the ruler’s conduct, loyalty is the ruler’s governance, good-faith is the ruler’s teaching. The Sage is the ruler’s teacher.

Eleven Qualities for Ministers The ruler’s Way is knowing men. The minister’s technique is knowing his employment. So, to oversee goods and divide wealth, employ the humane.76 ‘Erect’ duan 端 is used in the text here to avoid the taboo ‘correct’ zheng 正. MWD Jingfa (Lun): 53 strip 52a-b:—“Reaching divinity’s extremity, he manifests it unambiguously.” 74 I read 匈 xiong ‘inauspicious’ as 胸 xiong ‘breast,’ and 乖 guai ‘warped’ as 乘 cheng ‘ride.’ 75 MWD Shiliu-jing (Wu-Zheng): 65, 91a—Anran tells the Yellow Emperor “It begins in the body… Seek the internal form…” 76 The lists of a) nine and b) ten qualities exhibit signs of disorder and omissions which I have restored on the model of the third list c) of eleven qualities which appears 72 73

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[To admonish the ruler, employ the loyal.] To entertain and receive, employ the proper. [To help the oppresed? employ the righteous.] To organize people so they abide peacefully, employ the honest. To use the people and win multitudes, employ the worthy. To cogitate on employment and settle plans, employ the wise. To respond to trouble from invasion or rebellion, employ the courageous. To deliver speeches and contract wordings, employ the eloquent. To exit fiefs, cross borders and visit remote nations, employ the faithful. To manage Heaven, Earth and the barons, employ the sagacious. Now humane [ministers’] achievements are in love of giving and not quarrelling77 so subordinates do not resent superiors. Loyal ministers’ achievements are in correct speech and straight conduct to amend and reprove the king’s errors. Proper ministers’ achievements are in honouring the ruler and humbling ministers. Righteous ministers’ achievements are in saving the condemned and succouring the desperate, rescuing the weak and executing the violent. Honest ministers’ achievements are in rejection of selfishness to establish the public. Worthy knights’ achievements are in [doing beneficial works]. Wise knights’ achievements are when employment arrives to manage things and when trouble arrives to respond. [Courageous knights’ achievements are in] ensuring that enemy nations beware of them so their four borders are not invaded. Eloquent knights’ achievements are in undoing resentments and resolving difficulties. Faithful ministers’ achievements are in accuracy to correct and not distort language. The Sage’s achievements are in establishment of control in pitch darkness.78 His quests are attained, his desires obtained, his speech heard, his conduct followed. complete and consistent. The received sequences of each list were as follows: list a) 1, (-), 6, (-), 5, 7 4, 2, 3, 8, 9; list b) 1, 4, 8, 5, 7, 9, 3, (-), 2, 6, 10. Conjectural restorations are italicizeed in square brackets. 77 MWD (Cheng): 81, 166b. 78 This definition of the Sage recalls the Night Walker (chs. 3, 19). Dong Zhongshu 19 (Li Yuanshen): 38 “The lord values sitting in darkness to illuminate his position, abiding in shadow to face the light,” similarly to Daodejing 42. He points to ‘light’ and ‘darkness’ having identical sound (ming 冥/明).

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The near relate to him, the far give allegiance, his illumination pervades the four quadrants. Internally he examines and assess himself.79 Only then does he have the means to measure men. For the rich: see what they give to assess their humanity. For nobles: see what they undertake to assess their loyalty. For the great: see that in their company seniors don’t defer to juniors, nobility don’t defer to commoners, to assess their propriety. For the successful: see what they do not do to assess their righteousness. For the poor: see what they do not take to assess their honesty. For commoners: see what they do to assess their worth. For appointees to office and deputies in government: see their avoidances and preferences to assess their wisdom. [For soldiers: see] that under pressure they are not scared to assess their courage. [For diplomats: see] that their mouths are sharp and language skillful to assess their eloquence. [For ministers: see] that they do not dissemble to assess their sincerity. [For the Sage: see him] fathom depths and observe the heavens to assess his sagacity.

The Sage’s Rule His ranks will not lose precedence, His principles will not mutually conflict. When the near are blocked in, the distant closed out, Prepared at the prime, his revolution will be completed. Illumined in employments, he knows how to divide. Reckoning by numbers he alone will act. When they lack the Way, rulers trust and employ the trifling and paltry. They move in confusion and obscurity. When they have the Way rulers trust and employ the brave and virile. They move in luminous clarity. When the two are at first decided, their plainstuffs will be established in clarity. When the triple luminaries arise, 79

I follow Lu Dian in reading:—‘examines and assesses’ (kuidu 揆度 for jiadu 挾度).

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energy and blood will mutually minister. Superiors will be joined like tallies with subordinates together in substance and timing. When a ruler welcomes men with virtue, gentlemen will arrive at his gate. If without speaking he has goodfaith myriad people will closely rally to him. If he encounters men with violence and arrogance, myriad people will be alienated and drift away. Superiors and subordinates will be mutually suspicious, turning circles day and night in mutual antagonism. When petitioners are not received and those who speak endanger their persons, the ruler will be without recourse to hear of his excesses. Then great ministers will be hypocritical and disloyal. So if men’s ruler relates to his people like sons, unsummoned they will come. He will be called illuminated. At the end, he will have a fine name. If he does not give but exacts, does not endow yet seeks relationships, it means there will be catastrophe. In the end, he will be accursed. Now, elders in serving their ruler attune and harmonize with him. Knights in pure sincerity, lead and reform. The Under-Heaven loves them. Their Way is daily followed so in the end they necessarily triumph. Yet when small-minded men serve a ruler, they strive to intercept his luminaries, block his hearing, exploit his awe and

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use his dynamic to oppress men.80 The Under-Heaven hates them. their demise becomes daily more ill-omened. So, in the end they necessarily fail, their disaster will affect their clansmen. This is ruler and ministers’ revolution, good order and disorder’s division. It is prosperity versus destruction’s barrier and bridge, nation and household’s archway. Disloyalty and obedience, profit and harm from this issue and are born. The only thing without study in which you may have ability is just sleep and eating.81 So the First Kings transmitted the Way for mutual emulation and allegiance. Worthy rulers adhere to complete law so their future generations will be long-lasting. Indolent rulers do not follow it so their generation will be exterminated and doomed.

7. IMPENDING COLLAPSE (Jindie 近迭) This is a warning to Zhao on the imminent danger of conquest by Qin, against whom it urges punitive action. Qin is not mentioned by name yet the direction of the main threat to Zhao is beyond doubt. Its theme is comparable to Mawangdui ‘Destruction’.82 The salient line is the unbelievably blunt call to the king: Publicly to apologize to the Under Heaven for yielding to an enemy nation. I read ‘hot’ (re 熱) as ‘dynamic’ (shi 勢) and reverse order to “use his dynamic to oppress men” (yi shi shao ren 以勢灼人) in place of “by scorching heat men” (yi shao re ren 以 灼熱人). Guanzi 67 (Mingfa Jie): 343—“for fear the ruler’s awesome dynamic.” (-yi wei zhuzhi weiShi –ye 以畏主之威勢也). Wei Qipeng 1992 MWD Heyinyang: 130n22—conflates ‘dynamic’ (shi 埶=勢) and ‘hot’ (re 熱). ‘Scorch’ (shao 灼) may gloss obsolete ‘burn’ (ruo 爇). 81 Mengzi 7a (Jinxin-a) 15 (Liangzhi, liangneng): 298—“That in which men without study are capable is innate ability.” 82 MWD Jingfa (Wanglun): 55. 80

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There is only one known scenario that can fit these words. Military theorist Zhao Kuo ( 趙括 ) had been appointed by King Xiaocheng (r. 265-245), duped by a Qin ruse, to replace Lian Po as Zhao commander-in-chief during a three-year war. The outcome was Zhao’s unconditional surrender in 260 BCE to famed Qin general Bai Qi (白起 d.257) at Changping (長平 near Gaoping, southeast Shanxi). Qin reportedly immolated Zhao’s army of close to half a million soldiers on the spot (Shiji 43: 313a). A shrine with statues of the unfortunate general and his wife was erected there in the Tang dynasty. Two ‘bone pits’ from the battle were excavated at Yonglu village in 1995. Arms and man, curiously anticipating the classic opening “arma virumque…” to Virgil’s Aeneid, are prioritized. Righteous response to oppressive rule through the populist agency of Heaven was sanctioned by Mencius (1a.5). Wu Qi (ca. 440-361), who led Jin (from which Zhao later split) to victory over Qin, had listed the four martial virtues as “the Way, righteousness, propriety and humanity.”83 Pheasant Cap defines ‘arms’ as propriety, righteousness, loyalty and goodfaith, four virtues among others he discusses elsewhere (chs. 6, 15). This was not empty rhetoric. It once again stressed the human factor. Yet to govern a king needs law, whose invention is here credited, along with that of writing, to the legendary Cangjie, hero of both law and by extension the Way. This and three subsequent chapters (chs. 9, 14-15) name the interlocutors as Heguanzi as teacher and Pangzi as disciple. The Pang clan represented by Pang Huan (ca. 300 in ch. 19) and Pang Xuan (fl. 250 in ch. 16) evidently constituted a martial lineage in Zhao. Pangzi, ‘Master Pang,’ may be Pang Xuan.

Prioritize Man and Arms Pangzi asked Heguanzi saying: In the Sage’s Way, what has priority? Heguanzi said: Prioritize man. Pangzi said: In man’s Way, what has priority? Heguanzi said: Prioritize arms. Pangzi said: Why do you put aside Heaven and prioritize man? Heguanzi said: Heaven is high and hard to know.84 83 84

Wuzi 吳子: 1. Simafa 司馬法 1. Sawyer 1993: 126, 207. HZ 13.5a “Heaven is high yet may be known.”

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It has good-fortune that may not be invited, It has disasters that may not be avoided. If your law is Heaven, you will be harsh. Earth is wide and deep, thick and with much profit, yet scarcely awesome. If you take your law from Earth, you will be disgraced. The seasons rise and settle. They alternate without uniformity. If your law is the seasons, you will equivocate. These three may not be used to establish reforms and implant customs. So, the Sage does not take them as laws. Pangzi asked saying: Shady and sunny (yinyang), what about them? Heguanzi said: Divine spirits’ awesome luminaries are with Heaven joined. Goumeng (the sprouting god) moves into action with Earth co-ordinated. Shade and sunshine, cold and warmth, with the seasons arrive. These three if by the Sage kept are governed, if by him lost are disordered. For this reason, I prioritize man. The rich become proud, the noble complacent. Arms in one hundred years are not once used, but may not for one day be forgotten. For this reason, the human Way prioritizes arms. Pangzi said: Prioritization of arms, why is this? Heguanzi said: Arms are propriety, righteousness, loyalty, and goodfaith. Pangzi said: I would like to hear about arms’ righteousness.

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Heguanzi said: When the Way is lost, some dare as commoners to oppose the noble. If there is no righteous justice, Some dare as the small to invade the great. Pangzi said: To apply it, what is to be done? Heguanzi said: If conduct is perverse, prohibit it; If it reverts to the correct, leave it. For this reason, by not killing to subdue men85 It is what promoters of the Way extol. Nothing is more valuable than contractual obligations. He who gains the Earth by losing goodfaith, the Sage King will not trust. To betray one’s word or break a contract, Everybody will have excuses.

Imminent Overthow Pangzi said: Your disciple has heard: If its land is big, a nation will be substantial. If its people are numerous, their arms will be strong. He whose arms are strong will first get his will in the Under Heaven.86 Now, when the seen is equivalent to the unseen, it is surely in danger of being not so. Now, when a great nation’s arms are crushed, speeches are futile. Its prohibitions will not prevent, Its orders will not be enacted. What is the cause? Heguanzi said: If you wish to know the future, 85 MWD Jingfa (Wanglun): 55, 60a—warns that killing people who have surrendered will ultimately doom yourself. 86 Daodejing 31—“He who delights in killing men may not get his will in the UnderHeaven.”

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Examine the past. If you wish to know the ancient, Examine the present. Now he, who selects men to use them, is king (wang). He, who uses men without87 selecting them, is doomed (wang). This is how ‘counter rhythm’ is generated.88 The unworthy’s encroachment on the worthy is termed: usurpation. A hundred clans not daring to speak is termed: conquest. Just now what you asked, you would take care not to say. Now, Earth being great, the nation rich, people many, arms strong is called: sufficiency.89 When knights have super-abundant force, yet cannot thereby get their will in the Under Heaven, their ruler is unworthy and his actions arrogant to excess.90 If unworthy, he will be unable to practice non-contrivance91 and may not induce others’ contrivance. If arrogant, he makes light of the enemy.92 Making light of the enemy, he with his intimates takes counsel on what they do not know how to contrive. He employs those who are not strong to overcome those who are not his enemies. I read ‘without’ 無 wu for ‘and’ 而 er. ‘Counter rhythm’ (nijie 逆節) is a phrase first found in the tale of Goujian of Yue and the recovery of his kingdom from Wu with the counsel of Fan Li. Guoyu 21 (Yueyu-xia): 1-5. Guanzi 42 (Shi ‘Dynamics’): 252. MWD Shiliu-jing (Wanglun ‘Doom Thesis’). 89 Shangjun Shu 1 (Qiangguo)—Shang Yang plans for national wealth and strength. 90 Daodejing 31—“He who delights in killing men May not get his will in the UnderHeaven.” 91 This is the only commendation, albeit indirect, of non-contrivance (wuwei) in the work. 92 Daodejing 69. 87 88

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He does not reckon a life-time’s disasters but rejoices in momentary pleasures. For this reason, a nation’s ruler, covering his faults, listens to slanders and libels in the Under Heaven. So wise councilors suffer impostors’ denunciations from enemy nations. By enemy nations denounced, they are dismissed. Dismissed counsellors are ashamed of their weakness. Myriad commoners’ honesty cannot undo one noble’s crookedness. A nation, bearing spiritual wounds, initiates war. War causes innocent people to go forth to die for evil ministers’ wrong policies. From mistakes born from superiors, the incriminated die among subordinates. Enemies externally ally with barons and accumulate crimes in danger of overturning the state shrine. The generation’s lord is paralyzed, cold with fear at heart in isolation standing. If he does not attack to punish these men, two nations’ troubles will not be resolved.93 If the ruler does not immediately reverse, repent his former schemes and erroneous counsels, alter his plans and change his officers, his head will be insufficient to cover them. For their accumulation’s weight He should annihilate their houses and exterminate their clans, publicly apologize to the Under Heaven for yielding to an enemy nation. Unless it is so, warfare’s Way will not end 93 This appears to urge punitive action against Zhao’s dangerous neighbor Qin for the sake of both of the “two nations.” The phrase recurs in ch. 12 referring to Wu (modern Jiangsu) and Yue (Zhejiang), where Yue was conquered by Wu, but ultimately recovered and annexed Wu.

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and the nation’s wounds will not cease. Great indeed is its unrecognized harm, Sad indeed is its disastrous extremity. This is due to reliance on the nobility, alienation from the Way, and deficiency in humanity. Naturally it is condemned. For this reason, before the army releases its chariot brakes its arms may collapse. Now great nations’ rulers do not harken to the first Sages’ Way and instead serve their hosts of ministers. They lack the illumined help of great calculation yet corrupt governance with fragmented wisdom. They reverse justice in enacting it, oppose virtue when led by it. Their arms will be crushed and speeches voided, their orders will not be enacted, their prohibitions will not prevent. How is this sufficient to wonder at?

Law’s Degrees Pangzi said: What is the corruption of governmental wisdom? Heguanzi said: When law’s predictions are not employed, Guesswork and fudging are used. The Sage accords with numbers and complies with law Yet still finds them incomplete. For this reason, unless a man makes a hundred his laws, he cannot contrive to be Under Heaven’s master. Now if you lack calculation and self-adapt, lack law and self-prepare, invariably lack superior Sages’ discernment,

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yet decide by your own lights, in human employments however well-prepared, how will you emulate a hundred-selves person? A lord in wisdom unillumined From his nobles contrives the Way; from their ideas contrives law. He is dragged along by the times, Deceiving his generation. He offends subordinates, deludes superiors. His employees and tasks both awry Nourish wrong to promote error. Of tranquility he contrives disturbance, from security he contrives danger. So among the hundred clans, Homes are troubled, men aggrieved. What disaster is greater than this? Like this, defeated and in flight, only on that day will he know that his mandate is doomed. Pangzi said: In human employments, the hundred laws, what are they? Heguanzi said: Cangjie created law through writing. He started from the sexagenary cycle to complete bureaucratic administration.94 If Cangjie had not taught the Way, If not for Cangjie, Writing and ink would not have arisen. If not for law’s codification in documents to instruct the mind and express ideas, promotion of the Way’s meaning would only occupy one tenth. The traditional term for ‘calligraphy’ (shufa), literally ‘writing’s laws,’ employs these two characters ‘law’ (fa) and ‘writing’ (shu) reversed. The sexagenary cycle (jiazi 甲子) was the basis of the calendar composed of ten heavenly stems and twelve earthly branches. 94

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So, he who knows the hundred laws is an outstanding hero. As if spanning formlessness, he will make such the still non-existent. He has the knowledge of a myriad men. Without the knowledge of a myriad men, His knowledge would be unable to perch at his generation of study’s pinnacle. Pangzi said: From getting your stern teaching and receiving its lessons, I have learnt indeed! To disregard his teacher’s counsel your disciple will be ever more afraid.

MID SCROLL 8. FATHOMING MYRIADS (Duwan 度萬) Here we look to a Sage King, implicitly the ‘energy Augustan’ (qihuang 氣皇), as savior in the Confucian tradition. There is nothing yet of the Nine Augustans. Pheasant Cap attacks the perversion of true government by ‘savage law’ (mengfa) and predicts trouble or ‘revolutionary change’ (bian) ahead. This chapter, like the preceding, seems directed against Qin as rival kingdom and potential nemesis of Zhao. Xunzi (ch. 16) presents a comparable criticism of authoritarian policies in pre-unification Qin. Pheasant Cap implies that Zhao’s recent debacle (ch. 7) stems from its imitative adoption of such policies. He warns Pangzi of drought induced by moral and hence cosmic disruption. Traditionally unjust punishments provoked heavenly wrath manifested by denial of rain. “Gods are wet” implies they weep and so withhold rain. The dialectical generation of fire and water as opposites has a near parallel in Zhuangzi (26) which asserts “water’s center has fire.” Law like music is a system of symmetrical ordering. The future can be extrapolated as myriads derived from the integer. Government has five historical stages or levels: Reform, bureaucracy, education, adaptation, and contention. Reform, being the highest, is in the future; contention, the lowest, is bare survival by coping with present events.

Savage Laws Pangzi asked Heguanzi, saying: The Sage with spirits counsels. The Way is with man completed. I wish to hear how to fathom spirits and cogitate its completion.1 What is required? Heguanzi said: Heaven is spirit. 1 Ch. 12 states to the contrary: “Heaven may not be counseled with, Earth may not be cogitated with.” 129

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Earth is form. Earth is wet, yet fire is generated from it. Heaven is dry, yet rain water is generated from it.2 When laws are savage and penalties unfair, The gods are wet. When gods are wet, Heaven does not generate water. When tones are fixed but sounds unattuned,3 Forms will be dessicated. When forms are dry, Earth will not generate fire When water and fire are not generated, Shade and sunshine will lack means to generate energies, Degree and measure will lack means to achieve control, The five conquests (agents) will lack means to generate dynamics. Myriad beings will lack the means to complete their species, The hundred enterprises will be entirely disrupted. A myriad lives will all be frustrated: They jostle will about in confusion. Who knows the reason? Heaven and man have the same design, Earth and man have the same principles. The worthy and unworthy differ in ability. Thus, highest sagacity may not be confused, lowest idiocy may not be debated. Shade and sunshine are energy’s governors, Heaven and Earth are form and spirit’s governors. The Sage is virtue’s governor, law and edicts are the four seasons’ governors. So, if one man’s justice is lost ‘here’, A myriad perhaps will be disordered ‘there’.4 Though what is lost be very little, 2 GD Taiyi Sheng Shui: 125—“Grand Unity begets water. Water returns aided by Grand Unity and by this creates Heaven.” Hanshu (Wu-Xing Zhi, shang)—“Heaven by one begets water. Earth by two generates fire…” Shangshu (Zhoushu: Hongfan) has this sequence. 3 HGZ 3.4a—“Five tones are tunings (modes). Five sounds are precedents (fixed).” 4 Mengzi 2 (Gongsun Chou-shang, 2 Haoran zhi qi)—“If by enacting one injustice or killing one innocent I could get the Under Heaven, I would not do it.”

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What is spoiled will be very much. What I mean by ‘Heaven’ Is not this blue-grey energy called Heaven.5 What I mean by ‘Earth’ Is not this round-clump of soil called Earth. What I mean by ‘Heaven’ Refers to its making the suchness of things Without leaving a trace.6 What I mean by ‘Earth’ Refers to its equalization of things so they may not be disordered. Tones are their counsels, Sounds are their tasks. Tones are Heaven’s five luminaries,7 Sounds are Earth’s five offices. When form and spirit are attuned, Life’s principles are cultivated.

Trouble Ahead Now when life’s reproduction betrays its root, Its virtues are monopolized by the self. If knowledge lacks the Way, Above, it will disorder the Heavenly Way, Below, destroy Earthly principles, In the center, disrupt human harmony. When governance is subverted from end to beginning, On listening, nothing will be heard, 5 Hanshi Waizhuan 4: 172—Guanzi in response to Duke Huan of Qi: “What I mean by Heaven is not the blue-grey Heaven. Kings of the hundred clans contrive Heaven…” 6 MWD Jiu-Zhu: 30; 377n26—read ‘trace’ (zhen 朕) for ‘conquest’ (sheng 勝). Huainanzi 15 (Binglüe): 3a—“All things have traces, only the Way has no traces.” (Fan wu youzhen, wei Dao wuzhen 凡物有朕惟道無朕). 7 I read ‘five’ (wu 五) for ‘three’ (san 三) luminaries to match the standard ‘five tones’ of the pentatonic scale. ‘Five luminaries’ here would refer to the five planets.

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On looking, nothing will be seen. In plain day light there will be darkness. You may have righteousness but lose reality. Losing reality, you will be confused.8 You demand from men what they lack, compel men to do the impossible. They engage in cover ups, And do not exhaust their love. Constricted by the past, You do not search out facts. Empty names are honored, Pure white is taken as black. Motion and rest in turn revolve, Spirits obstructed will rebel. When channels and energies are not of a kind, Forms becomes divorced from their correct names. When the five energies lose governance,9 The four seasons are not completed. When excess proliferates above, Criminals die below. When a generation is about to peak, It charges and gallops about seeking for disaster. It opens the door to flee from good-fortune. Of worth and goodness, it makes a joke; In folly it runs the nation. When heavenly censure is first revealed, Calamity and harm will come together. By human dynamics10 omens will be generated. Who knows their limits? 8 I read ‘posthumous titles’ (shi 謚) as ‘reality’ (qing 情). Defoort 1997: 29—sees here an attack on Qin’s decree in 221 abolishing such titles: “The neglect of official posthumous rewards in the form of titles causes, according to the author, real political confusion.” cf. 187. However such titles could be critical, as for failed rulers, not simply ‘posthumous rewards.’ 9 I read duan (端) here as taboo avoidance for ‘correctness’ zheng (正). 10 I read ‘human dynamics’ (renshi 人埶=勢) for ‘human holding’ (renzhi 人執). Wells 2001: 61-71. See under Vocabulary: dynamics.

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He who sees sun and moon Is not considered keen-sighted. He who hears thunder peals is not considered of sharp-hearing. He who only after events happen deliberates Cannot stop trouble’s occurence. So, he who is expert at handling troubles Looks to his root. If his root is adequate, they will be exhausted. If inadequate, his virtue will necessarily be thin, His arms necessarily depleted. Who can with poor talent11 Contrive to protect virtue and universal justice? Though you be culturally skilled and martially resolute, But still treasons do not cease, They spring from your root being inadequate. So, if the ruler is ambivalent in governance, Subjects are ambivalently controlled. When subjects will not work for him, The ruler cannot employ them. When subjects are determined to die, Their ruler cannot prevent them.

The Sage Messiah Therefore, the Sage King alone sees to rule official appointments. Elders inside will be supported outside. When elders contrive offices, internally there will be correct justice, externally it will be firmly maintained. Law’s application will be fair. Law abiding men will not be not harmed. 11 I read shu (孰) ‘who?’ for zhi (執) ‘hold’ here. As with the preceding case, such corruptions are endemic. Wells 2001: 61-71.

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In the governance of Heaven and Earth ordinances issue from one aperture12 and are propagated in all directions to reform the myriad things. Ordinances protect unity of the Way to control the myriad things by law. Law is what protects internally, ordinances are what issues externally.13 Now, law does not defeat rectitude,14 ordinances do not harm principles. So, gentlemen will get to be honoured, small men will get to be prudent. Both will without exception will get fulfillment.15 Spirits will get fulfillment in mind, the Way will get fulfillment in forms. Men through it will perfect their model, knights will make it their guideline. He will array the seasons and arrange their energies, make appointments in conformity to names. So, his laws will be set up, shade and sunshine attuned. The phoenix is the Quail Fire bird; It is sunshine’s essence. The unicorn is the Prime Hollow beast; It is shade’s essence.16 Myriad people are virtue’s essence. 12 Shangjun Shu 3 (Nongzhan ‘Farming and War’): 10—Shang Yang “when people see that superiors’ profit from one aperture (hole) issues, they will work in unity” (min jian shanglizhi cong yi-kong chuye, ze zuoyi 民見上利之從壹空出也則作壹). Guanzi 73 (Guoxu): 359— strong nations have one aperture, lost nations four. Lüshi chunqiu: 17.7 (Bu’er): 16a—“as if issuing from one hole” (ru chu –huyi-xuezhe 如出乎一穴者). MWD Chengfa: 72, 123b. See ch. 5—on ‘aperture.’ 13 For parallelism and sense, I read ‘externally’ (wai 外) for ‘control’ (zhi 制). 14 I take ‘rectitude’’ (shi 是) here as a taboo avoidance for ‘correct’ (zheng 正). 15 ‘All’ (xu 胥) is followed by the negative (mi) which I take as an inadvertent corruption of the double negative ‘none but’ (mibu 靡不). 16 This refers to yang and yin. Quail Fire is Chunhuo, the south star; Prime Hollow is Yuanxiao, the north star.

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If virtue can activate them, their essences will altogether arrive.17 Pangzi said: To induce them, how can it be done? Heguanzi said: Heaven and Earth, shade and sunshine, will take their portents from his body. So, he will practice the five governances To match the five luminaries.18 The ten reforms and nine ways, their signs from his body start.19 The five tones and six pitchpipes, their signs from his body issue. Five fives make twenty-five to organize the Under-Heaven Six sixes make thirty-six to contrive the year’s format. Energies from the spirits are born, the Way from the spirits is achieved. Only the Sage can correct their tones, attune their sounds. So, his virtue above returns to grand purity, below returns to grand tranquility, in the center returns to the myriad souls.20 Fat dew will descend, 17 Lunyu 9: 8—“The Master said: ‘The phoenix does not come; the River puts forth no diagram. I am finished.’” Chunqiu, Duke Ai (494-468) of Lu: 14th year (481), spring:—“A hunter caught a unicorn.”Zuozhuan 30—“Thinking it inauspicious, he gave it to the gamekeeper. Confucius saw it and said: ‘It is a unicorn’ and took it.” The annals, whose editing is attributed to Confucius, end with this chapter. Confucius died two years later. 18 MWD Shiliu-jing (Wu-Zheng): 65, 91b—“Five Governances are then deployed to oversee the Five Luminaries.” 19 Lu Dian—“Great Yu from his voice made semi-tones, from his body made measurements.” MWD Shiliu-jing (Wu-Zheng): 91a—“It starts in the body.” 20 ‘Return’ (fan 反) resembles ‘reach’ (ji 及). Daodejing 39—“Heaven gets unity to be pure (qing), Earth gets unity to be tranquil (ning). Spirits gets unity to be magical (ling), valleys get unity to be filled (ying), myriad things get unity to live (sheng), baron kings get unity to be the Under Heaven’s governors (zheng).” Guanzi: 49 (Neiye) 271—“He mirrors great purity (qing), observes with great brilliance (ming)...”

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white cinnabar shoot forth. Wine springs will issue, crimson flowers grow. All portents will be fulfilled.21 So, a myriad mouths will declare the imperial system’s divine reformation and lucky stars’ radiant influence. By culture he will disarm the Under-Heaven’s armies. In the war of the Under-Heaven’s armies none can withstand him. Far from near, manifest from invisible, great from small, multitudes from few: none but from the subtle take their start.22 So, all that by getting him will be achieved may not be exhaustively described. All that by losing him will be ruined may not be exhaustively named. From here on, you, sir, cannot exhaustively enquire about it. It is also beyond what I can express. In all questions, the important thing is to desire from the close-at-hand the knowledge to be far seeing, from one to know myriads. If he does not desire it, a lord may not participate in its undertakings. If worthies are not employed by him, he cannot cause the nation to profit.23 This is most important.

21 Daodejing 32—“Heaven and Earth will join together to send down sweet dew.” Huainanzi 8 (benjing): 1b—on the lucky auguries of grand purity’s start. 22 Xunzi 5 (Against Appearances): 72—“So it is said: From the near know the distant, from the one know myriads, from the subtle know the manifest…” 23 Mengzi 1a.1—disapproved a ruler’s wish to “profit his kingdom.” Lu Dian expresses puzzlement at Pheasant Cap’s approbation of ‘desire’. He cites Mengzi, Daodejing and Zhuangzi on controlling desires, with Guiguzi on exploiting desires in others.

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Five Governances Pangzi said: I venture to ask about the five governances.24 Heguanzi said: There is divine governance, there is bureaucratic governance, there is educational governance, there is adaptative governance, here is contentious governance. Pangzi said: I wish to hear of their forms. Heguanzi said: Divine governance is in the future; bureaucratic governance is at the Way’s root; educational governance is at the self; adaptative governance does not alter customs; contentious25 governance corrects things at the periphery. Pangzi said: I wish to hear of their employments. Heguanzi said: Divine governance settles Heaven and Earth. It anticipates the four seasons, commands26 shade and sunshine, shifts cold and heat, governs flows, unites the living. Myriad beings are not harmed, Myriad species are complete and entire. Its name is embodied by energy’s Augustans.27

After the Five Governances (wu-zheng 五正), written with the First Emperor’s taboo name Zheng, the list of five that follows begins with one ‘reform’ hua (化), then four ‘rule’ zhi (治). I conclude that this confusion of terms results from taboo avoidance of ‘governance’ and accordingly restore this word throughout. 25 I take the reading of zheng (爭) ‘contentious’ for shi (事) ‘affairs’ here. MWD Shiliujing (Wu Zheng): 94a-b—“To create contention is unlucky. Not to contend will also not achieve success.” 26 I accept the reading jiao (敎) ‘instructs’ for ba (拔) ‘extracts’ here. 27 “Its name is embodied by energy’s Augustans.” (Mingshi Qihuang 名尸氣皇). Shi (尸) is literally ‘corpse,’ impersonated by a living actor at the funeral service. Zhuangzi 7 (Ying Diwang ‘Fit for Emperors and Kings’): 307—“Non-contrivance is named embodiment.” 24

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Bureaucratic governance takes as teachers the shady and sunny, responds to what is yet to be. Earth wll be tranquil, Heaven clear. A multitude of good will come home to it. Its name is embodied by divine luminaries. Educational governance ordains the four seasons’ tasks, achieves compliance with the Way. Its name is embodied by worthy Sages. Adaptative governance summons worthy Sages, makes a Way of mind technique,28 respects work to generate harmony. Its name is embodied by baron kings.29 Contentious governance summons humane Sages, so the Way is known from them. It gathers their essence to herd spirits, divides offices, completes insignia. Its teaching is bitter, its profits distant. Law’s system is generated from it. Law causes people to reject selfishness for the sake of the public.30 It shares knowledge, unifies teaching, So all have common motives. It condemns conduct that is selfish, Causing men to join together and share. So, ultimate governance is not from this. Its name is embodied by duke hegemons.31 28 ‘Mind technique’ (xinshu 心術) covers meditational practices, as detailed in chs. 9 and 10. Guanzi: 36-37 (Xinshu), 38 (Baixin) and 49 (Neiye). 29 ‘Baron kings’ (houwang) date from the fourth century onward when barons began to call themselves kings. It occurs in Daodejing 37. In 221 Qin Shihuang used it pejoratively of his ex-rivals (Shiji 6: Year 26) and in 213 accepted Li Si’s proposal to abolish all fiefs 30 Han Feizi 6 (Youdu): 22. MWD Jingfa (Daofa): 43, 7b; (Si-Du): 51, 44a—“reject the selfish (private) to establish the public” (qusi, -er ligong 去私而立公). See chs. 6, 7. This paragraph seems to be interpolated here.

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9. ROYAL AXE (Wangfu 王鈇) Nine, the highest digit, odd ‘sunny’ (yang) number and homonym for ‘longlasting’ (jiu 久) symbolizes the universe. Here Pheasant Cap fnally introduces us to the messiah-like figure of the Complete Ninth (Chengjiu 成鳩), nine written as ‘dove’ (jiu) with the bird radical. This auspicious ninth chapter presents a transcendental blueprint for the Complete Ninth’s mandate by which his clan will realize divine justice on Earth for 18,000 years. The calculation is not explained. It may mean nine thousand years of past ages to be matched by a corresponding future longevity. The axe, like the Roman fasces, is the symbol of mandate and punitive empowerment (Liutao 3.21; Lewis 1990: 126; Sawyer 1993: 64). This text uniquely preserves five punctuation marks, perhaps accenting its importance to imperial rule. We see five new virtues: sincerity, goodfaith, adaptation, illumination, and unity. The terminology ‘heavenly melody’ (tianqu 天曲) and ‘solar technique’ (rishu 日術) is unique. Their calendrical scheduling correlates seasons with five tones and bi-months with six whole tones for government business and ceremonies. Concern is shown to protect the environment and myriad beings. ‘Warehousing’ (se 嗇. Daodejing 69. Lüshi Chunqiu 2.3) implies conservation and ‘warehouser’ was the title of district officer under Zhou and Qin. The regional control system closely reflects that attributed to seventh century premier of Qi, Guan Zhong (Guanzi 4 Lizheng ‘Shouxian’: 10-11). It has disturbingly totalitarian and authoritarian aspects. At least the top man and even ‘worthies’ were to be held accountable. Here is a curiously dismissive reference to Cangjie, inventor of writing who was lauded above (ch. 7).

The Complete Ninth Pangzi questioned Heguanzi, saying: The Grand Superior Complete Ninth’s Way, one clan will employ for 18,000 years to have the Under-Heaven.32 Their arms being strong, for generations they may not be usurped. with Heaven and Earth they will be preserved.

31 Five duke hegemons ruled in turn during the Spring and Autumn period (770-476) after the collapse of royal Zhou power. 32 Lu Dian cites a ‘Chronicle’ (Zhuan):—“When Heaven and Earth were first established, Heaven’s Augustan Unity was called Heavenly Soul (Tianling). He ruled for eighteen thousand years.” Lidai Shenxian Tongjian 1: 1.3a—“Heavenly Augustan took the hexagenary symbols (ganzhi 干支) he had created and set them on the months and days times to record their order and cyclical return… Heavenly Augustan was in the world eighteen thousand years.”

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They are eternal and absolutely beyond compare. Everyone sees them as extraordinary and wonderful. ‘Created beings’ is an inadequate description for them because they are mutually removed from them and not the same.33 In this generation, there are none who do not speak of inculcating morals and instituting reforms. What Way do they alone practice to implement these? Heguanzi said: He of the Complete Ninth clan is of Heaven—34 so none can increase his height or elevate his soul. Pangzi said: What do you mean ‘of Heaven’? What is he like, that none can increase his height or elevate his soul? Heguanzi said: Heaven is sincerity, the sun is its virtue. The sun sincerely comes out, sincerely goes in, At south and north it has its poles. So, none but take it as law’s model. Heaven is faithfulness, the moon is its form. The moon faithfully dies, faithfully is born. It ends then has a beginning. So, none but by it contrive governance. Heaven is illumination, the stars are its signs: Its constellations are not disorderly. Each in precedence moves, So, great and small by it are manifested.35 Heaven adapts to the seasons. This is its model. The four seasons according to their names Succeed each other and do not clash. So there is nobody that does not take it as necessity. Heaven unifies by making law equal—36 These two paragraphs appear to be a quotation from a lost source. At this point the text has a ‘punctuation mark’ (ju 句), which rarely survives in received classical texts. Such marks are seen in unearthed ancient manuscripts. 35 MWD Jingfa (Lun): 53, 49b. cf. HGZ 10. 33

34

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Front and rear, left and right, Past and present being naturally so, There is nobody who does not take it as constant. Heaven is: sincerity and faithfulness, Illumination, adaptation and unity. It will not for the multitude of fathers change unity.37 So, none can with it contend for precedence. Changeable unity is not unity So it may not be elevated or increased. The Complete Ninth will get unity, so none but aspire to be ruled by him.

His System and Signs Pangzi said: I wish to hear about his system. Heguanzi said: The Complete Ninth’s system is divine illumination’s embodiment in government. Divine luminaries below investigate the depths and above reach the zenith. He is able to warehouse the myriad things yet not be over filled.38 He universally pervades, everywhere shines, reverts to Heaven and Earth’s consummation. So, he can make the Under-Heaven’s plans. Illumined in foreknowledge, From afar he clarifies beyond doubt salvation and doom’s omens, security and danger’s signs. Pangzi said: I wish to hear about his signs.

cf. Mozi 12 (Shangtong-zhong). Daodejing 21—‘multitude of fathers’ (zhongfu 眾父) appears synonymous with ‘hundred fathers’ in this chapter. It is respectful unlike ‘multitude of men’ (zhongren, chs. 12, 17). 38 Daodejing 59—“To govern men and serve Heaven, there is nothing like warehousing. Now just warehousing means early submission. Early submission means heavy accumulation of virtue.” 36 37

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Heguanzi said: If you set the foundations insecurely—39 the superstructure may not be supported. When its foundations are piled adequately, a roof that does not stand foursquare has never been. He discerns men’s real feelings, researches things’ principles. He weighs by Heaven and Earth, so his dismissals and appointments are not jeopardized. He investigates the mountains and streams for movement and transport. He inspects so that living things are unharmed. He is as their father and mother, so nothing is trampled on. Humane in taking and giving, he is prepared to teach the Way, Concise in speech and discourse, faithful in contractual agreements. What has been agreed he does not retract. His joys and angers are not excessive, his arms are not martial. He implants to contrive customs. his reforms issue from this. Pangzi said: I wish to hear about human reality and things’ principles. How does he warehouse the myriad things? How is he Heaven and Earth’s consummation? How does divine illumination embody government’s Way? Heguanzi said: The Complete Ninth’s Way has never departed from Heavenly melody and solar technique. Heavenly melody illumines and is easy to follow, solar technique is concise and easy to implement.

39

At this point the received text has a ‘punctuation mark’ (ju 句).

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Pangzi said: I wish to hear about heavenly melody and solar technique.

Control by Districts Heguanzi said:40 To control cities and organize the capital employ supervisors. Five households make a quintet, each quintet has an elder for it. Ten quintets make a hamlet, each hamlet appoints an officer. Four hamlets make a district, each district has an elder. Ten districts make a township, each township appoints a teacher. Five townships make a county, each county has a warehouser to govern it. Ten counties make a province, each province has an officer to guard it. Their mandate is the bureaucracy. Provincial officers withdraw to manage their assigned counties; warehousers withdraw to manage their townships; township teachers withdraw to manage their districts; district elders withdraw to manage their hamlets; hamlet officers withdraw to manage their quintets; quintet elders withdraw to manage their households. In employments, they admonish and rule. In dwellings, they mutually investigate. Going out and coming they mutually supervise. Fathers with fathers speak of righteousness, sons with sons speak of filialty. Elders speak of goodness; 40Guanzi 20 (Xiaokuang): 220-24 and Guoyu 6 (Qiyu): 4-7—describe in similar terms the pyramidal organization of 7th cent. reformer Guan Zhong, premier of Qi to Hegemon King Huan. Each has significant differences in nomenclature and detail, though both start from five households. Pheasant Cap lacks their description of military recruitment and civil promtion by ‘Triple Selection’ (Sanxuan) which is their main feature.

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The young speak of respect. from dawn to dusk they are mutually inculcated in these. If humanity and filialty’s tasks have any discrepancy or deviation, Household with household mutually assists, men with men join. Lost men or stolen property have nowhere to disappear or escape. This is human reality and things’ principles. If in a quintet men are unreasonable and disobey superiors’ orders, if they have excess or insufficiency in their dwellings’ circumstances, and do not always report to the hamlet officer: it means a disorderly household. It incriminates the quintet elders equally. If in a hamlet there are those who do not respect elders, or are not benevolent to the young; if they exceed their class or differ from the multitude, do not listen to father and elder brother’s teaching; if they receive or hear anything which they do not entirely report to the district elder: it means a disorderly hamlet. It incriminates its officer and implicates his household. If a district does not punctually comply by action with instructions; if it receives or hears anything which it does not entirely report to the town teacher: it means a disorderly district: It incriminates its district elder and implicates his household. If a township does not punctually comply by action with instructions; if it receives or hears anything which it does not entirely report to the warehouser: it means a disorderly township. It incriminates the township teacher and implicates his household.

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If a warehouser does not punctually comply by action with instructions; if he receives or hears anything which he does not entirely report to the province; if good deeds are not publicized, it is mandated as ‘covering up the light’. If evil is hidden, it is mandated as ‘subordinate complicity.’ It means a disorderly county. It means execution of the warehouser without reprieve. If a provincial officer does not comply by action with instructions; if he receives or hears anything which, though factual, has any errors or omissions which he does not entirely report to the premier of the nation, it means a disorderly province. It means execution of the provincial officer without reprieve. If the premier of the nation does not govern, so subordinates’ real feelings are not by superiors heard and superior’s real feelings are not by subordinates followed, it means negligence, execution of the premier of the nation, annihilation of family and extermination of relatives. If the chief magistrate does not follow the seasons in accord with Earth, harming the hundred clans, it means: disordering the Under-Heaven, dismemberment of the chief magistrate and exposure of his body. This is the means of warehousing things.

Reporting Periods Heaven employs four seasons. Earth uses five agents. The emperor as Heaven’s Son holds unity To hold the central axis.

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He attunes by five tones, governs by six pitch pipes, organizes by graded numbers, reigns by penalties and rewards (virtue). From root to tip, He proceeds by the ‘ten heavenly stems’ (jiayi). Heaven starts from New Year’s day, Earth starts from the new moon. The four seasons start from the calendar. So, households and hamlets use five days (5 x 72 = 360). District elders use ten days (10 x 36 = 360). Township teachers use fifteen days (15 x 24 = 360).41 County warehousers use months (30 x 6 = 360). Provincial officers use forty-five-day energy periods (45 x 8 = 360). These divisions extend to the premier of the nation’s use of the six pitchpipes (60 x 6 = 360).42 Hamlets every five days report to the district, Districts every ten days report to the township, Townships every fifteen days report to the county, Counties every thirty days reports to the province, Provinces every forty-five days reports to premier of the nation. The premier of the nation every sixty days has an audience with Heaven’s Son. Heaven’s Son every seventy-two days despatches an envoy to encourage those who have made achievements, and punish those who have not complied—43 this is the means of Heaven and Earth’s consummation. 41 The twenty-four ‘solar nodes’ of fifteen days (with five or six of sixteen) is still used by farmers. It always coincides with the solstices and equinoxes. Needham 1956: 404. Bodde 1975: 28ff. 42 Calendars in Liji (Yueling) and Lüshi Chunqiu (1.12)—pair the twelve months with this series of six yang whole-tones and six yin whole-tones, calculated by the cycle of perfect fifths. Prince Zhu Zaiyu in late Ming famously discovered the method of equal temperament to calculate them as twelve equal semi-tones within the octave, overcoming the discrepancy of the Pythagorean comma but his method was not adopted by state ritual. 43 A ‘punctuation mark’ (ju 句) in received text. The Six Pitchpipes (liulü 六律) represent the whole tones in the octave from Yellow Bell (C), Great Gathering (D), Maidens Washing (E), Flowery Festival (F#), Level Rule (G#) to Non-satiation (A#). These tones were paired with the odd numbered [yang] months in six bi-monthly periods.

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Subordinate’s realities are every sixty days to superiors reported (60 x 6 = 360 days). Superiors’ favors are every seventy-two days by subordinates investigated (72 x 5 = 360 days). These are Heavenly melody and solar technique.

Reformation of Customs So, the unworthy do not escape disgace and the worthy do not miss commendation. Superiors enjoy their good-fortunes and emoluments and a hundred employments are regulated. Actions of treachery do not profit, So no one can diminish his strength. Consequently, he can rule in fullness and not overflow.44 He restrains the great and does not injure. Heaven’s Son is centerd and correct. If envoys dare to alter messages, if the elevated enlarge their areas for profit, If they offend subordinates or cover up for them from superiors Their penalty is dismemberment or chastisement without reprieve. When officials teach harshly and with virtue slight Invade or violate the hundred clans they are always dismissed and not employed. When corrupt officials disorder government By disobeying orders or breaking the law their guilt is increased. The people are profited but do not take profit, they are rotated and do not take precedence. So, the four quadrants follow him, Just fearing to be last to arrive. Consequently, Rotating Heaven’s wefts are spread, Earth is broad and virtues displayed. 44 To hold fullness without overflowing was a general concern of the elite. Cf. Xiaojing;; Xunzi 28 (Youzuo): 593. A sacred vessel stood in the temple which when filled beyond a certain point overturned automatically.

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The Under-Heaven is at peace and happy. There will be established annual forecasts of prosperity, assigning each in uniformity. Seasonally decorating the most superior. If a worthy does not accord with the chief magistrate, the chief magistrate holds a hearing. The first, and second time, he demotes offices; the third time, he does not reprieve. He governs by not overstepping offices. He causes officials and clerks not to err. Public markets are contrived fairly. The living are not frivolous, the dead are not resentful. Men get what they desire, The nation has no revolutions. So, those who manifest achievements wll be rewarded, Their virtue extending to three generations. A father convicted of crime will not get a created posthumous title.45 Affars begin from ‘A’ (jia) and ‘B’ (yi), Throughout all ages, they will not be subverted. He reckons that to do good in a township is not as good as to do good in a hamlet; to do good in a hamlet not as good as to do good in a household. Consequently, those who do good may get advancement. Those who do evil may get executed. None dare to make a way for just one day’s good; all for a lifetime of good contrive their aim. Customs do not lose precedence: So, reforms are established 45 The First Emperor abolished all posthumous titles on the grounds that they involved juniors passing judegement on their seniors.

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and the generation has no evils. When reforms are established and morality complete, The young share with their peers, Elders share with friends, Travellers share provisions. In prayers and sacrifices they share good-fortune, In death and life, they share love. In disaster and catastrophe, they share worries, In their dwellings, they share pleasures. In action and work they share harmoniously, In mourning and celebration, they share rites, In weeping they share grief. Their joys are sufficient for mutual encouragement, Informers are sufficient for mutual checking. In peace they mutually exercise, Army brigades mutually protect. In night battles, they are sufficient for mutual trust, In day battles, they are sufficient for mutual support. Internally, they prevent violence, Externally, they correct those who lack the Way. Consequently, his arms can march across to execute and punish, and none dare to resist. So, his penalties are established but not applied. He does not contest yet his authority is weighty. Chariots and armor are not deployed yet Under-Heaven he has no match.46 Since they have lost the Way, commoners will dare to defy the noble. Under injustice, the small will dare encroach on the great. Once the Complete Ninth appears as superior generations’ successor, those who have lost the Way’s achievements are doomed. 46 Daodejing 69 on the contrary has—“No disaster is greater than having no match. Having no match will just about lose my treasure.”

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They distorted its root and destroyed virtue’s model. So, he will contrive an undecaying nation by settling positions securely. In prayer, he will summon demons and gods. His liturgy says: Augmented compasses are not circular, Increased set-squares are not square. Now, he will set an example to future generations’ sons and grandsons. Only this may be held, Only this may be undertaken. Those who undertake it nourish good-fortune. Those who abandon it are ill-omened. Purification is the integrity of sacrifice,47 Correction is the fasting of illumination. By the four seasons, worship him. By libations as household king contrive divine worship. Ritual’s spirit tallies are Stored in the ancestral temple as seals to correct them. So, in subsequent generations’ Preservation of his teaching will be entire—48 When ears and eyes do not function, You use your mind undividedly. You will not look at strange things Nor deviate from forsaking selfishness. Spit out the poisoned hook. Internally discern, Firm in what you protect.

47 I read ‘terrace-platform’ (shan 墠) here in the sense not of abdication but ritual purification (shan 禪). 48 At this point the received text has a ‘punctuation mark’ ju 句.

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Primal Renaissance He will restart a renewal from the superior prime to contrive his era. He will carry on its excellence in humane benevolence. If he equals it in height and does not alter His altars for generations will be preserved. When summoning knights, he first pledges them. After they have entered he does not abandon them. This is because he knows the ultimate’s extent. Pangzi said: I wish to hear why he does not alter Restarting of renewal’s Way. Heguanzi said: This is what the Complete Ninth calls the Royal Axe’s tradition. Pangzi said: What is meant by the Royal Axe? Heguanzi said: The Royal Axe is not one generation’s weapon.49 In death it follows life, from the center it controls the exterior. Subsequent generations will complete it, extending to grandsons as one. Spirit feathers will be arranged,50 tallies daily prepared. The cunning will not dare to spoil them.51 They will sustain enterprises, research administration, maintain government, guard the interior. The foolish will not dare abolish them. This develops the opening line of ch. 1, above. ‘Spirit feathers are arranged’ (lingyu li 靈羽理) may refer to the use of long pheasant feathers in temple ritual dances. 51 I read ‘achievement’ (gong 功) as ‘cunning’ (qiao 巧) to contrast with ‘foolish’ (zhuo) 拙, below. 49 50

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Towers and pavilions are erected and built:52 with the new they will continue the old. So, the four seasons if grasped with efficacity will respond surely without a doubt. If the empress gets to enter the temple, doubts will disturb the succession. It will mean corruption. The ancestral mandate will be falsified in the generation, ritual succession discontinued. If employment of constants is not observed in the harem, spirits will not eat the offerings. If in his household king does not raise sacrifices, then Heaven will send down censure. The Augustan gods will not be feasted. Then there will be no alternative to restarting a renewal of the Way.

Utopian Society So, if the ruler has no alien ideas, the people’s heart will not shift. If with Heaven he joins his model—53 for a myriad years, there will be united communality. Then, the near will relate to his goodness, the far will yearn for his virtue, and there will be no alterations. Consequently, his teachings will not tire, its usage will not wear out. So, he will be able to join the borders within the four seas, to contrive one household, so the barbarians of myriad nations will all by seasons come and pay homage to his court. He will promote a succession so none will dare to compete by adding or subtracting. 52 From the initial graph and profile of the following three which appear to make no sense, I tentatively reconstruct: ‘towers and pavilions are erected and built’ (louge xingjian 樓 閣興建) for this impenetrable line (loucuo yuhan 樓剒與旱). 53 ‘Punctuation mark’ (ju 句) in received text.

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Those who hear will transmit it in translation and come home to his righteousness. None can change his customs, or alter his teachings. So, his universal awe will be established and not be invaded; it will flow afar and not be abolished. This is the innate Augustan and inner emperor’s law. It is what the Complete Ninth grasps to transcend gradations. Generation by generation it may not be usurped. Its achievements daily increase and monthly grow. So, he can with Heaven and Earth be preserved for ever. This is how with divine illumination he embodies governmental technique. He does not depend on knights and scribes or Cangjie’s invention of writing, So, in later generations none can speak his censure. I never heard of anyone that the Way’s virtue does not plumb who can by it contrive goodness. Pangzi said: In this manner, are antiquity and modern Ways the same? Heguanzi said: Antiquity is indeed through individuals (wo) caused to become antiquity. Multitudes are indeed through individuals caused to become multitudes! That is what is different about them! If your model is good then myriad ages will not forget you. If your Way is evil then disaster will reach your person. What is strange about it? Pangzi said: From modern employments we observe antiquity’s Ways. Boats and chariots did not mutually communicate,

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clothing was of the same color, words and language were mutually understood.54 Nowadays we demarcate Earth to guard it and cannot mutually transgress. Alien rulers and foreign elders cannot be mutually employed. When offensive words pass the ears, arms and armor are mutually readied. The hundred fathers,55 mothers and children are not not easily led. But, according to what you said, they will not be separated from the central kingdom’s rule. Rural enterprises from their borders will not issue forth, their dwellings will not be surrounded by walls. Yet you say: The Complete Ninth clan will universally enclose the four seas in one household. Barbarians of a myriad nations will come to pay court. Will this in fact be reality? Heguanzi said: When tigers and wolves kill a man, crows and flies from above, worms and maggots from below, gather on him. These six are different species, yet they they simultaneously converge. Why? What they desire is the same.56 From this, we observe that those who have mankind’s name share the human reality of feelings. 54 Compare Daodejing 80—“People were serious about death and did not travel far. Though they had chariots and boats, there was nowhere to ride them. Though they had armor and weapons, there was nowhere to deploy them.” 55 ‘Hundred fathers’ (baifu) appears to be synonymous with ‘multitude of fathers’ (zhongfu) in ch.9, simply meaning ‘elders.’ 56 This alarming picture seems as if it could contain an oblique reference to Zhao’s situation facing its six rivals at the close of the Warring States period.

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How may it not be so? Heaven’s degrees and numbers in action are not less within unity nor more in multitudes. It is the same with a forest’s trees. Accumulated in a silo, grain whether in pecks or piculs distributed, or in pints stored, is not diminished.57 Open lands divided among people are indeed still one! The hundred fathers, mothers and children, how can they be increase or decrease it? Separate rulers, different elders, again, how will they add or subtract it? When he is able in government to unify myriad nations within shared boundaries, when his virtue extends to the four seas, again, what would be sufficient to enclose him? Pangzi said: In fact, it is necessarily credible. Shade and sunshine dissipate and scatter. The three hundred and sixty days each reverts to the old in the annual cycle. Heaven and Earth are meticulous. Where is there room for doubt? The Sage is high and great. Internally he discriminates the shallow from deep, far- from short-sighted principles. If demons and gods once go wrong, they cannot be revived! By Heaven and Earth protected, 57 MWD Jingfa (Daofa): 43, 5a—“When affairs are like straight trees: though many as a silo’s grains, whether in bushels and pecks supplied, or in feet and inches laid out, there is nowhere to escape their spirit.”

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until now still present Face to face in outstanding action.58 Is it not fitting that the Complete Ninth should have 18,000 years! Whoever gets this Way, what does it matter from which clan he is? or what his nationality, if the Under-Heaven profits?

10. GRAND GALAXY (Taihong 泰鴻) We are party here to a dialogue between gods, comparable to those in the Mawangdui Yellow Emperor texts. Grand Unity is the source of the lineage of Nine Augustans to which Grand Augustan requests initiation. I translate the title, literally grand ‘flood’ as ‘galaxy’ to reflect its cosmic nature. It suggests the idea of heavens composed of water. Again, we find reference to self-cultivation: “love your essence to nourish energy” and “formless inner governance.” Heaven, Earth and Humanity are harmonized in a cosmo-political system transmitted by Nine Augustans. Dong Zhongshu explains them as the set of five emperors and three founder kings of Xia, Shang and Zhou. Deceased rulers are ritually identified with them progressing by generation up to Ninth Augustan.59 The Ninth Augustan appears to be Complete Ninth (ch. 9) whose coming is awaited. ‘Great equality’ (datong 大同) is a Mohist-sounding term adopted by the Confucian Ritual Record for social utopia. Here it is a communality of compliant love (shun’ai 順愛). The Way and its virtue are prominent, again with play on the pun ‘virtue’ with ‘getting’ and ‘gotten’ (de; chs. 5, 11 et passim). The five agents are generated in clockwise sequence by season: spring wood in the east > summer fire in the south > autumn metal in the west > winter water in the north, with Grand Unity as earth at the centre. The Changes’ Sequence of Trigrams (ca. 200 BCE) expanded this progression, matching the five-agents production cycle with earth at south-east, to the compass points for the eight trigrams (bagua 八卦), absent here and unattested before Han. The concluding passage is a divine celebration of virtuous sensuality. 58 ‘Face to face’ (zhengmian 鉦=正面) is a special expression that recurs at the close of ch. 12. Its addition of the metal classifier to zheng maybe served as another taboo avoidance. In ch. 12 the term is used of Guan Zhong, eminent premier to hegemon Duke Huan of Qi, meeting the Three Kings of antiquity on equal terms. 59 Chunqiu Fanlu 21 (San-dai gaizhi zhiwen): 41-43.

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The Teaching of Grand Unity Grand Unity grasps great equality’s system, To attune the grand galaxy’s energies, To govern the divine luminaries’ positions. So, the Nine Augustans accept his tradition to seek their suchness’ generator. The tradition means getting Heaven and Earth’s explanation, The tradition means getting Heaven and Earth’s origin. The tradition means the Way to get the Way’s constant. The tradition means the Sage. The Sage’s Way With divine illumination is mutually gotten So it is called Way’s virtue. From their subtle beginning and barren start They get the same issue.60 The Nine Augustans have different systems yet their governances all emulates him. So he is called Grand Unity. Grand Augustan asked Grand Unity, saying: Heaven, Earth and Man of these three, which is the most urgent? Grand Unity said: Love your essence to nourish energy: Inner governance is the means of ascending Heaven.61 Heaven is where divine illumination is rooted. It distills and transforms four seasons, kneads and moulds formlessness, carves and inlays the still unsprouted, sculpts and designs what is about to be.62 Earth receives Heaven’s evolutions, entirely sustaining it by tranquility. 60 Daodejing 1—“These two are of the same issue but different names.” There is sustained play here on ‘getting’ (得) and ‘virtue’ (徳), both pronounced de. 61 I read ‘erect’ (duan 端) as taboo for ‘correct’ (zheng 正); ‘scarce/subtle’ (xi 希) as ‘ascend’ (sheng 升). 62 I read ‘sculpts and patterns’ (diaowen 雕文) for ‘separates patterns’ (liwen 離文).

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I will instruct you: Divine illumination’s extremities: Heaven, Earth, and human employments, These three return to unity. To set up and place ministers: Justice is what is meant by four models. Disseminate to the eight winds, Examine by the six co-ordinates. Work by the by four seasons, Drain to the eight extremities. Shine by the three lights. Herd by penalties and rewards. Attune by the five tones, Govern by the six pitchpipes; Divide by graded numbers, Signal by the five colors.

.

Adjust by the two energies (sun and moon), Extend to north and south. Equalize by the phases of the new and full-moon, Receive by the luminaries’ 360-day calendar. The sun faithfully rises, faithfully sets, North and south having limits: It is measure’s sign. The moon faithfully dies, faithfully is born, Advancing and retiring with constancy. It is number’s sign. Stars do not disorder their motions, They exchange places but do not encroach on Their positional limits. Heaven illumines by three to fix unity.63 So, myriad things: none but arrive!

63 MWD Jingfa (Lun): 53, 49a-b—“Heaven grasps unity to illumine three: sun faithfully coming out and going in, south and north having extremities, is [measure’s paradigm; moon faithfully being born and faithfully] dying, advancing and retiring with constancy, is numbers’ paradigm; arrayed constellations having number and not missing their movements is goodfaith’s paradigm.”.

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Three seasons produce and grow, One season kills and penalizes. The four seasons fixed, Heaven and Earth are finished! 64

The Divine Sage Now, things at their start Totter and wobble. Having attained their being, They flourish. Having achieved their complete forms, They stand erect and correct. Without subtracting or adding, Infants and youth go on their own feet To follow teachers’ customs. Do not change the Heaven-born, Do not disperse Heaven’s simplicity.65 Self-suchness is pure, Motion muddies it.66 The divine Sage steps up to the succession’s position With the Divine Augustans joined in virtue. According to plan, correct and erect, They extend without limit. Sun and moon regulate, The four seasons incite. Make leisure for stops and rests. Assign seasons, separate energies, In order to complete myriad enterprises. Once coming, once going, observe the scales dipping or rising. The five offices and six bureaus 64 MWD Jingfa (Lunyue): 57, 66a:—“Three seasons to create achievements; one season (i.e. winter) to penalise and kill: this is Heaven and Earth’s Way.”. 65 ‘Simplicity’ (pu) is goodness in the rough, ‘the uncarved block.’ Daodejing 28— “Constant virtue is sufficient (zu). Return home to simplicity (pu). Simplicity dispersed then makes vessels. Sages used them to make officials and chiefs.” 66 Daodejing 15—“Like a stream muddied that when stilled gradually purifies.”

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make divisions by having the Way without hook and without string. If chaos were undivided, The great image would be incomplete, Tasks would lack the axioms of law.67 If essence and spirit were mutually at odds, they would injure the hundred tribes. When spirit and energy are mutually supportive,68 then success may be established. First fix their profits and wait for things of themselves to arrive. When matters are ordered by law, as things arrive they are always unified. Law is Heaven and Earth’s governing instrument. if the application of law is incorrect, primal virtue will not be achieved. Superior sagacity with Heaven and Earth is in contact. It binds together the six co-ordinates so that they are not undone. For this reason, he who has the Way to be ‘South Facer’ maintains governance and protects divine luminaries. Between left and right, front and rear, In tranquilit,y he rests at the central axis. He opens the source flowing to the oceans. In essential subtlety, he goes and comes. The awry and tangled, inwardedly he holds by threads, outwardly he ties by ropes. Acting by rational principle’s dynamics, he will connect his end to the beginning. He will equalize by unity in different appointments, establish and contrive an enlightened officialdom.

Daodejing 35—“Grasp the great image (daxiang), the Under Heaven will go to you.” I read—“When spirit and energy are mutually supportive” (shenqi xiangchi 神氣相持) for the incomprehensible “steal energy at mutual times” (touqi xiangshi 偷氣相時). 67 68

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Universal Communality In five-fold universal communality’s four seasons Every species mutually follows. Flavor’s energy produces color,69 Tone and sound mutually balance. In the east quadrant, myriad things are set up So, it is attuned to the pitch sol (zheng). In the south quadrant, myriad things flower and feather So, it is attuned to la (yu). In the west quadrant, myriad things are completed and displayed So, it is attuned to re (shang). In the north quadrant, myriad things are recorded and stored So, it is attuned to mi (jiao). The center is Grand Unity’s position. The hundred gods look up to his control there. It is attuned to do (gong). The Way from him contrives leadership. He lifts and supports divine illumination, Flowery Heaven above is raised by him, His root issues from the Yellow Bell (‘middle C’). He starts from the east quadrant. The myriad beings are just made to grow by the agency of wood. The flowering of things under Heaven is entirely due to wood. It is made to occupy the east to govern springtime. The illumination of things Under-Heaven is all due to the agency of fire. It is made to occupy the south to govern summer. The cutting down of things Under-Heaven is all due to the agency of metal. 69 I read ‘energy’ (qi 氣) for ‘obscure’ (xuan 玄) to fit the couplet. ‘Color’ (se 色) denotes ‘sex’ in human nature defined as ‘food and sex’ (shise 食色). Mengzi 6a (Gaozi): 227.

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It is made to occupy the west to govern autumn. The flooding of things Under-Heaven is all due to the agency of water. It is made to occupy the north to govern winter. The superiority of the great capital of the Under-Heaven is due to the agency of earth. It is made to occupy the central axis. The protection of earth and the Under-Heaven is due to men and Heaven Son’s governance. He attunes their energies, he harmonizes their flavors, he listens to their sounds, he corrects their forms. He refers to the past to observe the future, so livelihoods may be pursued. If head and tail change direction, then Earth’s principles will be divorced from its warps. Usurped love70 will bring about disorder. If above they obliterate Heaven’s design then rational principles may not be known, divine illumination will lose coherence. Design and rationality are mutually illuminating, color and flavor are mutually complementary, foliage and flowers are mutually completing. Multitudes through individuals become multitudinous, So they may be united in the communality of real feeling. Under consentual love’s government, different races mutually communicate. Under forced love’s government, those of the same race are mutually doomed. So, the Sage sets up Heaven as father, 70

‘Usurped love’ (duo’ai 奪愛) presumably indicates a love that is forced and so not genuine.

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Establishes Earth as mother.71 His communality does not strive to make others say they are necessarily the same. Knowing unity, he aims to cause unity in men. His communality is placed in Heaven and Earth’s space And everyone is covered by its harmony. Harmony is formless but has flavor. Equality and harmony is humane benevolence, mutual accommodation is righteous justice. Humanity and justice in musical joy share. Their names too can share in the musical joy of formless internal governance.72 So the Sage, knowing the divine recipe, attunes to the formless and all things without exception follow. Heaven bestows foliage and flowers to contrive divine illumination’s root. Earth bestows seasons to contrive myriad things’ source. The divine Sage is meticulous in rational principle. He hates to part from control of mandate’s levers. He collects and scatters flowery essence to comfort Earth and ennoble Heaven.73 He blends flavors, displays colors, governs sounds to fix Heavenly, Earthly and human employments. These three are achieved by this!

71 MWD Shiliu-jing: 66—“By Heaven contrive fatherhood; by Earth motherhood.” Music and joy (yue/le 樂) are synonymous. Mozi 32 condemns music but Mencius 2.4 urges King Hui of Liang to share musical pleasure with his people (-yu min tongyue/le 與民同 樂). 73 Lu Dian gives ‘accusing’ (ze 責) with ‘enoble’ (gui 貴) as alternative reading which I prefer. He compares the former to Chan “shouting at Buddha and cursing Patriarchs.” 72

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11. GRAND RECORD (Tailu 泰錄) Abiding in Grand Unity, the Ninth Augustan is the Sage King, empowered like Plato’s philosopher king (Republic 8). His universal ‘communality’ (fan 范=笵/ 範) for the Under-Heaven is based on the promise of ‘flavor’s energy,’ food and justice. Internally, he cultivates the three-fold Daoist triad of spirit, essence and energy. The hereditary principle is not to determine rank. Heaven’s Son is to be the ‘highest worthy,’ and the next worthy dukes, and so on. The teacher is to be ruler and student subject. Implementation relies on the advent of a ‘god emperor’ (di 帝), a word that occurs here for the only time. As a concession to hereditary kingship, doom can be avoided by heeding the advice of worthies.

Grand Unity He enters to order the Grand Galaxy’s interior, exits to observe the divine luminaries’ exterior. He founds his system in Grand Unity’s bosom To become things’ paragon. Heaven’s nine galaxies, Earth’s nine continents, Grand Unity’s Way, The Nine Augustans’ teaching: Their reality was already complete at the grand start’s finish. He observes detailed matters at names and principles’ exterior. He makes communality from the formless, tastes the flavorless to demand that in which name and principle join. His communality is flavor’s governance. Flavor is energy’s father and mother, essential subtlety is Heaven and Earth’s start. Not seeing in form his peer, the Under-Heaven render praises unto him. His name embodies divine illumination. He is the Great Way’s governor.74 He determines action to accord with ideals, Upholds justice rooted in humanity. 74 Lu Dian notes zheng (正) as a variant for shi (是) here. I take shi here as another case of taboo avoidance for zheng.

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He accumulates obedience to complete What the first kings generated. He who practices his Way has his name, He who works in his service has his achievements. So, Heaven and Earth are completed from primal energy,75 myriad things ride on Heaven and Earth. The divine Sage rides on Way’s virtue in order to plumb its principles.76 The superior Sages and august Heaven are that On which first kings rested their awesome power to establish their mandates. So, induction of rule is from himself. He who attracts the high is high. He who attracts the low is low. So, to complete form’s reformation is regulation. Not apart from oneself yet present in others are impressions.77 Deployed structures, established rules for a myriad generations unchanging, are Heaven’s and Earth’s positions. Dividing things, attaching names, Design’s sagacity and illumination’s discrimination are the divine Sage’s equality. He makes the law of Heaven to reside on Earth. Rejecting the square, he will set up the circle. He is divine sagacity’s mirror. Lu Dian notes some editions have ‘nothing’ (wu 无) for ‘prime’ (yuan 元). ‘Six’ (liu 六) is a possible reading. Cf. Zhuangzi 1 (Xiaoyaoyou)—“rides Heaven and Earth’s governance to tune the six energies’ metamorphoses.” Zuozhuan (Zhaogong 1st year). Defoort 1997: 84—Yongle Dadian (1974 3: 1a5) lacks ‘energy’ (qi 氣). Yet it is needed to complete the rhyme. Dong Zhongshu 6 (Wang Dao): 25—“When the King is correct, primal energy is harmoniously compliant.” 78 (Tiandi-zhi xing): 95—“as primal energy flows to skin and pores.” 76 The above two quatrains are rhymed. 77 ‘Impressed bubble’ (ya’ou 押漚). I read:—“Not apart from oneself yet in others are impressions.” (-Buli ji, er zai bi-zhe, xia’ou-ye 未離已而在彼者狎漚也). Song editor Lu Dian takes it somewhat fancifully as Liezi 2’s ‘seagull lover’ (xia’ou 狎鷗). Defoort 1997: 85— remarks the phrase is omitted from Yongle Dadian (1974 3:1a6). She renders its: “Hence, what doesn’t change after the completion of a shape is measure: it is what is present there, without having left itself.” 75

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Images are interpreted to name things. “He achieves success and finishes the job.”78 The invisible and visible’s inseparability is the divine Sage’s teaching. So, flows divide and divinity is born; motion ascends and illumination is born. Illumination is seen, forms completed; forms completed, achievements kept. So, design is how to divide things. Principles are how to attach names. Heaven and Earth are equal in tasks yet have separate realms. Without compasses yet circular are Heaven’s designs. Without set-square yet square are Earth’s principles. Heaven complies with designs to move, Earth complies with principles to create. The two principles are divine law.

Divine Sages’ Cultivation and Reforms Divine sagacity’s human mandate before Heaven and Earth was honored, after Heaven and Earth was born, yet knows Heaven and Earth’s start; before Heaven and Earth is doomed, yet knows Heaven and Earth’s end. His Way embraces it, So he can know and predict it. He honors and gives it importance, so he can alter and move it. His numerology illumines it, so he can control and decide it. Essential spirit in things values greatness. Inner sagacity is essential spirit’s source. Nothing is greater than it, 78

Daodejing 17. See footnote no. 79. Chs. 3, 16.

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So there are none who do not look up to its control. Control is how he protects essence and uplifts spirit to induce energy. He conserves it so it does not leak, Concentrates it so it is not wasted. Thus, his essence is illumined and pervasive. So, he can employ the worthy and able, deploy divine luminaries. A hundred reforms follow to transform the end from the beginning. Divine luminaries accumulate and refine subtlety to be in complete essence perfected. Sagacity’s way and divine methodology are necessity’s utmost. Imperial control-system and divine reformation are good-rule’s aim. So, teachers become rulers, students become subjects. The superior worthy becomes Heaven’s Son, lesser worthies become the three dukes. The honored become barons. He changes clans to make kings, he does not by ancestral registry make rulers. He desires equality to unite the good in stability. He has Heaven and Earth’s motions in his breast: only then are tasks completed externally. Myriad things go out and in from him: only then are living things unharmed. He opens and closes the four seasons, withdraws and shifts shade and sunshine. Resentments are submerged by his illumination of things. “The Under-Heaven consider it ‘spontaneous.”

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This is how the divine Sage transcends the multitude.79 Sagacity’s source is divine design. It has signs that may not be seen. So, when extraordinary men may be seen, transcendent men will not be far off. Divine luminaries are the means by which races are united: so, divine luminaries firmly tie their bonds. Every race born and complete will employ unity inexhaustibly. Shadow follows form, echo responds to sound. So, form and sound are the Under-Heaven’s teachers. The four seasons’ achievements, shade and sunshine cannot alone contrive. The Sage king does not lose their root or tip, so, divine illumination ends and starts in him. He altogether commands the eight winds and triple luminaries’ transformations, regulates energy’s inconstancies in its causes. Where does he not command their reality and oversee principle in them? So, his divine soul’s awesome illumination above transforms the luminaries fast or slowly, leisurely or urgently. In their midst, he moves energies that kill and maim in destruction and disasters below on Earth. So, Heaven and Earth, shade and sunshine receive mandates and take their image from the divine luminaries’ efficacy. This has already been shown! 79 Daodejing 17: “I achieve success and finish the job: the hundred clans all call me ‘spontaneous’ (self-so/natural; ziran 自然)!” Dong Zhongshu 57 (Tonglei Xiangdong): 76— “They call it ‘natural’ (self-so). Actually, it is not natural. Someone causes it to be so.” See footnote 78; chs. 3, 16.

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Heaven is whence energy universally issues, Earth is principle’s inexorability. So, the Sage issues it from Heaven, gathers it on Earth.80 In Heaven and Earth for shade and sunshine he is the state shrine of dry and wet.81 His law and righteousness according to the times shifts. These two when by the Sage kept, there will be good government. When lost, there will be disorder. Heaven will lose its design, Earth will lose its principles. From this, you know the First Soul Kings and hundred gods promoted virtue, grasped the Great Way. All these among things are long lasting.82 As for ancestrally recorded generations’ hereditary succession of rulers, a person though unworthy yet a ‘south facer’ and proclaimed the ‘loner’83 was not after all doomed if he could receive teaching from Way-possessing knights. Otherwise, the ability to maintain his lineage temples and keep safe his nation and household has never existed.

80 Here the 1407 Yongle Dadian (1974 3:1b8-2a4) omits the couplet after ‘Heaven’ (“and Earth for shade and sunshine he is the state shrine of dry and wet”) to insert a long laudatory passage. Defoort 1997: 86-87, 214-15. See: Introduction. 81 I read ‘state shrine’ of grain (she 社) for ‘stop up’ (du 杜). 82 I read ‘lasting’ (jiu 久) for ‘reaching’ (ji 及). 83 ‘South Facing’ (nanmian 南面) refers to the view from the King’s position, symbolized by the northern Pole Star. ‘Loner’ (guaren 寡人) is the ruler’s self-deprecating title.

BOTTOM SCROLL 12. GENERATIONS OF ARMS (Shibing 世兵) This chapter is characterized by historical reviews. The illumined Way is tactically paired with the subtle Way, recalling Gou Jian of Yue’s intrigues to recover his throne. The positive endorsement it gives to the desperate act of Cao Mo the patriotic general of Lu who held up Duke Huan of Qi at a conference, foreshadows the attempt in 227 on the life of Qin King Zheng, future Emperor Shihuang by assassin Jing Ke, on behalf of Yan’s Crown Prince Dan. Significantly the author shows no knowledge of this attempt which took place in the year after Zhao’s fall. Prince Dan had grown up with Zheng, he had been hostage there with Zheng’s father, and had later been mistreated as Zheng’s hostage in Qin. Zheng himself was actually ‘surnamed’ Zhao, since he was born there to the exmistress of millionaire Lü Buwei. In Sima Qian’s account, the Prince cites the example of Cao Mo when plotting Zheng’s assassination. Its narration here suggests a similar counsel of desperation, reflecting the mood in Zhao in the face of defeat by Qin in 241. Pheasant Cap’s trenchant criticism of Ju Xin’s suicide as criminal, with the satirical comment on that of the altruistic Shen Tudi, has an immediacy that points to contemporaneous relevance. It contrasts with the treatment of highminded suicide as martyrdom by Lü Buwei or Zhuangzi.1 The suicide of Fan, another Yan general, by donating his head was to have greater utility as the boxed trophy which would-be assassin Jing Ke used to gain audience with King Zheng in 227. The chapter concludes with a “Rhapsody of the Hero” whose affinities with Jia Yi’s Owl Rhapsody (see App. 1) led to suspicions of plagiarism or forgery. Both contain materials shared with Zhuangzi, yet Pheasant Cap is concerned with national recovery. Jia Yi, by contrast, bemoans his own prospects in a tongue-in-cheek dialogue with the bird of ill omen which cannot speak. He asks the owl: will it be ‘later or sooner’? This too has a near parallel here: “Later or sooner have mandates.” Jia in mock seriousness confesses to first consulting ‘books of prognostication’. 1 Lüshi chunqiu 19.1 (Lisu): 2a—on the suicide of Wuguang on being ceded the royal succession by King Tang founder of Shang. 171

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Dynastic Revolutions The Way has predictive numerology, So, the gods and luminaries may interact. Things have mutual conquests, So, water and fire may be applied; They have east, west, south, and north So, forms and names may be trusted. The five emperors (of prehistory) beforehand, The three kings (of the Xia, Shang and Zhou dynasties) afterwards, Superior virtue had then already decayed! Arms and knowledge together arose.2 The Yellow Emperor had a hundred battles, Chiyou [his arch-foe] had seventy-two. Yao attacked Youtang; Great Yu of Xia subdued the Youmiao. Heaven does not transform its constants, Earth does not change its model. Shade and sunshine do not disorder their energies, Birth and death do not swap their positions. The triple luminaries do not alter their usages, Divine luminaries do not shift their laws. Winning and losing are not separately deployed, Victory and defeat are not separately established. What is meant by worthy or unworthy From antiquity to the present are one. Gentlemen are not not slothful, True men are not tardy. They are never seen to be forever poor and base. According to the Bamboo Books, Yi Yin minister to King Tang had been a publican, Taigong minister to King Wu had butchered oxen.3 Guanzi minister to Duke Huan had worked in a tannery, 2 3

19-105.

Zhuangzi: 10 (Quqie)—“Intelligence (zhi) is contention’s weapon.” The Six Satchels (Liu-Tao) attributed to Taigong are a military classic. Sawyer tr. 1993:

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Baili Xi minister to Duke Mu had been an official slave. When the seas’ interior had been laid waste and disordered, They were established as their generation’s teachers. Like Heaven and Earth was their excellence in counsel. They were like sun and moon in not resting To complete the four seasons. They refined their practice in the image of the gods. Who says he is capable of this? Through habit they perfected their application By fore-knowledge of causation. King Tang was able from seventy square li to overcome and banish the tyrant Jie King Wu from a hundred square li Attacked and punished the tyrant Zhou. Knowing unity, they were not vexed By a thousand tactics and myriad turns. Whatever is mixed up becomes all the same, Victory’s ways are not only one. He who knows plans in entirety. An enlightened general will not ignore timing and cast away advantage. The courageous knight does not fear to die and obliterate his name. If you wish to surpass ultimate virtue’s excellence, Your schemes will not be with custom identical. If you desire to experience the Nine Heavens’ heights, In action, you will not disregard emotive reality.4 For these reasons, The loyal minister does not put first his own person nor put last that of his ruler. With trepidation in mind, alone he stands in suspense before the mandate.

4 I amend ‘customs’ (su 俗) here in verbal position to ‘if you desire’ (yu 欲). ‘Disregard reality’ (jingqing 徑情) echoes Zhuangzi: 1 (Xiaoyaoyou)—“he passes by never approaching human reality/feelings” (jingting bujin renqing 徑庭不近人情).

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Cao Mo’s Heroism When generals in the wilderness battle, then nations are wasted and their people exhausted. When cities are besieged, People will eat men and grill their corpses. If his plan fails his nation will be reduced, his ruler confined and made the Under-Heaven’s laughing stock. He who plans, may he not be careful? Indeed, there are mistaken plans, there are trials and experiments. For this reason, Cao Mo as Lu’s general with Qi thrice battled, and lost land of a thousand li.5 Supposing Master Cao had not planned for posterity, but had cut his throat and died. Then he would not have avoided His army’s defeat and generals’ capture. Master Cao considered that To have his army defeated and generals captured was not courage; To have his nation reduced and its name obliterated was not wisdom; To have his person dead and the ruler endangered was not loyalty. Now, dead men’s employment is unable to extend men’s longevity. So he withdrew and with Lu’s ruler plotted. Duke Huan convened the barons. Master Cao by one sword’s employment, Held hostage Duke Huan at the altar’s summit. His complexion’s color did not alter, his speech energy was not awkward. In three battles all that had been lost Was in one day recovered. 5 The story of Cao Mo (alias Cao Ju) is also told by Lu Lian in a letter to the Yan general in 284 who is besieging Jimo, the last city of Qi still to hold out. After reading the letter, Yan lifts the siege. Zhanguo Ce 13 (Qi Ce): 3.

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The Under-Heaven was shaken and moved, The four neighbors were startled and terrified, His name was transmitted to later generations. So, Master Cao Mo rejected rage and fury’s mind-set To establish a lifetime’s achievement. He cast away small anger’s shame To establish succeeding generations’ fame. So, Master Cao is considered a man who knew timing, Lu’s ruler is considered a man who knew men.

Ju Xin’s Suicide Ju Xin as Yan’s general, With Zhao battled and his army was annihilated. Ju Xin cut his own throat, Yan by this lost five cities. By making himself a criminal, he contrived disaster’s gate. His personal death imperiled his ruler. His name and substance were both obliterated. This meant being a loser. It was not a recovery plan; It was not outstanding talent’s strategy. Now, he, who gets the Way, Strives to be without great losses. Common men strive to have small excellences. Small excellences accumulate hatred and desire. If you have many hatreds, You will not accumulate virtue. If it is not accumulated, there will be many troubles. If there are many troubles, there will be confusion. If there is confusion, there will be no wisdom. If you have many desires, Then you will not have breadth. If you do not have breadth, you will have many worries. If you have many worries, you will be confused. If you are confused, you will not have wisdom. Hatreds and desires are wisdom’s confusion. Now, those who force the incapable,

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Are slaughtered. Indeed, Ju Xin’s ability was outstanding, But the King of Yan did not know men.

The Rhapsody of the Hero6 Formerly, he who excelled in battle Raised troops from his own followers. He deployed by the five agents, Battled by the five tones. Pointing to Heaven’s zenith, He with the gods was in equal position. Every race is born perfect, His employment in unity is inexhaustible. ‘The illumined contrives law, The subtle Way is what he practices.’7 Equally he crosses, advances and retires, Triangulating Heaven and Earth. He issues the substantial to charge the vacuous,8 Capturing generals and breaking armies. He shoots forth like an arrow, Move like thunder and lightning. With ferocious speed, he pounds the vacuous which rumbles like a collapsing wall. His dynamics are urgent, his rhythms short9 His application does not slacken.10 He shuns where we would die To go where we will live, Urges on our supporters11 The verses that follow may be compared to Jia Yì’s Xiaofu (Appendix 1). This couplet occurs in Guoyu 21 (Yue Yu-xia: Ming-zhe wei fa, wei Dao shi xing 明者為 法微道是行) and in MWD Shiliu-jing 2 (Guan): 62. Zhang Shunhui 1988: 40ff on forged Shangshu: Da Yu mo: “The Way’s heart is subtle, men’s hearts are dangerous.” (Daoxin wei wei, renxin wei wei 道心惟微人心惟危). Xunzi 21 (Jiebi): 439. 8 “He avoids the substantial and pounds the vacuous.” Sunzi bingfa 6 (Xushi). 9 Sunzi bingfa 5 (Shi ‘Dynamics’): line 14. Here we see another case of ‘dynamics’ (shi 勢) miscopied, in this case as ‘hold’ (zhi 執). 10 This distinctive expression (yong bu manman 用不縵縵) occurs also in ch. 4 above. 6 7

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To aid where we will conquer. So, his knights will not be repelled, His troops will not be surrounded. He who gets this Way can Recruit soldiers from townsfolk. He rides the flow to travel, With the Way soaring and gliding. Soaring and gliding, he gives and takes. Securely grasping, firmly holding. Exhaling and inhaling, halting and altering. With the times, he shifts and contrives. Once ahead, once behind, Notes and keys together perform. Once right, once left, his Way has nothing impossible. He receives numbers from Heaven, Settles positions on Earth, Completes names for men.12 He whose time has arrived, how may he be turned back? how may he be resisted?13 Heaven and Earth are not awry In setting up to await the able. Calculations and numbers mutually exploit Shade and sunshine mutually invade. Death and life each other support, Energy and awesomeness each other destroy. Void and subtance to each other adapt, Win or lose they float suspended. Arms by dynamics conquer: Their timing is not constantly applied. As above, I read ‘season’ (shi 時) as ‘support’ (chi 持). MWD Shiliu-jing (Liming): 61, 78b—“We receive mandate from Heaven, settle positions on Earth, complete names among Men.” 13 Li Shan’s commentary to Jia Yi’s Xiaofu explains this obscure term kongtuan 控團 as ‘cherish.’ I suggest ‘resist’ better fits this context which agrees with Lu Dian who explains it as ‘stop’ (zhi 止). 11 12

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Early and late, losses or wins, Opposites are mutually bred and born.14 Metamorphoses and change are inexhaustible. How will they all be told? ‘When water is agitated, there will be drought, When arrows are agitated, they go astray.’15 Essence and spirit turn and twist, Shaken and stirred they spin around. Slow or quick have mandates: They must center on the three and five. 16 They combine and scatter, disperse and grow. Who recognises their seasons? The ultimate man abandons things, Alone with the Way conjoined. Loosing or urging, he deputizes mandate, With the seasons goes and comes. Fullness and decay, death and life, Who knows their dates? Sternly and most candidly, Who is aware of their faults? “Disaster is what good-fortune leans on. Good-fortune is where disaster lurks.”17 Disaster and good-fortune are as if intertwined. In chaos mixed, overlaid and shattered, Their appearance is as one. To unravel their form and appearance, Who knows their model?

14 MWD Shiliu-jing (Cheng): 82, 156b—“Expansion and contraction transform, later they will be reversed.”. 15 Lüshi chunqiu 25 (4.7 Quyou): 16b—against uncontrolled anger has the same couplet in reverse order:.Wenzi 9 (Xiade): 75—“So when water is agitated, waves arise. When energy is disorderly, wisdom becomes clouded…”. Huainanzi 8: 10a—“When energy is agitated anger explodes.” 16 Han Feizi 8 (Yangquan): 32—‘to three and five’ (canwu 參伍). 17 Daodejing 58.

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Murky and vague, without a face, Only the Sage discerns their meaning. They spin and flow, remove and shift, Solidly without break or rest. Where there are endings, there are beginnings: “Who knows their limits?”18 A one-eyed net may not be used to catch sparrows. A caged bird vainly peeks through but will not get out. The multitude of men just obey, How can they determine an outcome of disaster or good-fortune? Sorrow and joy gather at the gate, Luck and ill-luck share borders. Loss turns into gain, Victory turns into defeat. Wu was great, its arms powerful, King Fuchai was nevertheless surrounded. Yue survived at Kuaiji, so Goujian became hegemon of his generation. The penetrating man takes the big view, so he sees the possibilities. Round wheel or square brake, how could one technique be sufficient for driving? From past ages until the present, in their deeds who was without fault? Shun had unfilialty; Yao had unkindness. King Wen was handcuffed and shackled. Guan Zhong was captured and imprisoned Knocked and pounded ceaselessly, Who hammered them out? Ultimate virtue is unselfish, it sails like an untied boat:19

18

Daodejing 58.

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The able cross over by it, the incapable overturn in it. Heaven may not be counseled with, Earth may not be cogitated with.20 The Sage sacrifices things to follow principle and with it lodge. The multitude of men are penned in, pressed by cravings and desires. Small knowledge establishes biases, lovers and haters are self-preoccupied. Boasters die for authority, self-promoters vie for appearance. Valiant knights are martyred for fame. Greedy fellows are martyred for wealth. Ultimate universality is unbounded. In knowing the times, where is the shame? The unworthy are bound by vulgar custom, the worthy compete for the times. If Goujian of Yue had not been held captive, two nations would not be settled.21 If King Wen had not been confined, King Wu would not have conquered Shang. Petty causes and trifling tribulations, How can they justify doubt? Tasks completed and desires gained, Again, how can they justify boasting? A thousand words and a myriad explanations, Compared to the final rewards are meaningless. If Guan Zhong had not been disgraced and shamed, His name would not be with the great worthies. 19 Zhuangzi 32 (Lie Yukou): 1040. The expression used here is ‘unselfish’ (wusi 無私), not ‘without self’ (wuji 無己). 20 Pangzi in ch. 8 asks: “The Sage with gods counsels, the Way by humanity is completed. I wish to hear how to fathom the gods for my cogitations to be completed.” 21 Yue recovered his throne from Wu and annexed it in 473. The phrase “two nations” recurs in ch. 7 where the context appears to be Zhao under threat from Qin.

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His achievements would not be with the Three Kings to meet face to face fit! 22

13. PREPARED KNOWLEDGE (Beizhi 備知) This chapter is the most ‘Daoist’ in Graham’s definition of primitivist but is not defeatist. It asserts the possibility of knowledge in a non-sceptical perspective. It laments the loss of human emotive reality, the innocence of the primordial age, that of Laozi like the classic Graeco-Roman golden age or biblical garden of Eden. Graham remarked it glorifies a state of ‘anarchy’ in the sense of a society seeming to flourish without a ruler (1989, 311). Profit is now presented, in Mencian mode, as a choice contrary to righteousness (Mengzi 1a.1). All this would appear to conflict with the vision of Grand Unity, elsewhere expounded. On the other hand, the need for good rule is not denied. Rather it is corrupt and coercive rule that is denounced. It mentions many of the same historical figures as the previous chapter: scholiast martyrs, unscrupulous ministers, evil kings and sagacious heroes. Unprecedentedly, dynastic founders Tang and Wu are accused of murder to ensure their family’s succession, a ‘heretical’ charge Dong Zhongshu was at pains to refute on grounds of their filial obedience to father Heaven (25: 48). Here is no despair or hankering after a paradise lost but optimistic determination to learn from history. Suicide is not an option. The Sage must prepare himself by combining knowledge of employment with understanding of human psychology, ‘knowing men’ (zhiren 知人), so he can ultimately unite his generation.

A Corrupt World Heaven is high, yet may be known.23 Earth is great, yet may be presided over: The myriad things rest in them. Human emotive reality, where is it to be found? Recluses Boyi and Shuqi were able not to rob, yet unable to cause men not to suspect them. 22 ‘Face to face’ zhengmian 鉦=正面 is a special expression, used also at the close of ch. 9, where it is applied to the Complete Ninth’s evident reappearance. 23 HGZ 7.19a—“Heaven is high and hard to know.”

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Shen Tudi considered his generation polluted and uninhabitable, so onto his back loaded a rock and cast himself into the Yellow River.24 He did not know that the water’s disorder was even more extreme. When virtue flourished, Mountains had no paths or foot tracks, marshes had no bridges, there was no going and coming, boats and chariots did not communicate.25 Why was this? Its people were like infants. Intelligence was not used for mutual deception and enslavement. Strength did not not mutually make ministers and masters. And so, birds’ and sparrows’ nests might be peered down into, deer in herds living might be followed and tied up.26 When generations became corrupt, fathers and sons plot against each other, elder and younger brother are mutually suspicious. Why is this? Reformation being weak, they proceed from appearances to mutually contrive. So, he who contrives it, spoils it. Mozi fragments in Taiping Yulan (Zhenbao, bu-1): 802—Shen Tudi (申徒狄) petitions a Zhou Duke, probably Dan regent to King Cheng (r. 1115-1079), for promotion of worthy commoners, citing precious gems’ origin in humble soil. This matches a bamboo strip on promotion of worthies recovered from a mid-Warring States tomb in 1958 at (Henan) Xinyang, Changtaiguan. Li Xueqin 1994: 341-44. Zhuangzi 26 (Waiwu): 944—places Shen under King Tang (c. 1766-1754) founder of Shang; 29 (Daozhi): 988—Shen petitioned but was ignored and his body eaten by fish and turtles. Hanshi Waizhuan 1: 31 and Chuci (Bei Huifeng)—put Shen Tudi after Wu Zixu (ca. 500). Shiji 84 (Liezhuan 24)—Jia Yi, exiled author of Owl Rhapsody, poured a libation in Miluo river near Changsha to Chuci poet Qu Yuan who drowned himself when Qin captured Chu King Huai (328-299). Wu Zixu and Qu Yuan became river god cults celebrated with annual dragon-boat races. 25 Daodejing 80. 26 Zhuangzi 9 (Mati ‘Horses’ Hooves’). 24

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He who governs it, disorders it.27 Spoiled there are factions, disordered, there is fawning. When there is fawning, principle is cast away; if there is factionalism, righteousness will not be established.

Promotion of the Worthy Yao transmitted to Shun the Under-Heaven, So, those who love righteousness consider Yao wise. Those who love profit consider Yao foolish. Kings Tang and Wu banished and murdered to profit their sons. Those who love righteousness consider them lacking in the Way, yet lovers of profit consider them worthy. Those generations did not transmit to the worthy, so there was banishment of rulers. Rulers loved factions and distortion, so there was assassination of rulers. Now, banishment and assassination occur where doomed nations are present. I have never seen anyone comfortably happy and peacefully live there. Now, he who abides in danger subverts peace, is driven by grief to spoil joy. So, nations will have unmourned funerals, They will have disarmed armies. This may be foreseen. For this reason, honest ministers suffered: Jizi fled; Nangong Wan struck chamberlain Chou Mu of Song;28 Shang Rong was imprisoned; Jian Shu wept. Formerly, when someone climbed high, men below on his behalf trembled, hands and feet for him sweated. The Man above would then Daodejing 29: 122; 64: 108—“He who contrives it, spoils it.” Shiji 38 (Song Shijia). I have restored the name of assassin Nangong Wan which has been omitted or deleted from the original. 27 28

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start to grasp the bending branches and hasten to hold onto the trunk. When those who would stop him are executed and so the Under-Heaven is cold with fearful heart, the ruler in isolation stands (ch. 7). In the present generation, those who remain on the side-lines are all traitorous ministers. Their knowledge is sufficient to make the ruler not succeed; their words are sufficient to corrupt government; their parties and cliques are sufficient to suit their own interests. Formerly, King Tang employed Yi Yin, Zhou employed Taigong. Duke Mu of Qin employed Baili Xi, Chu employed Shen Biao; Duke Huan of Qi employed Guan Zhong.29 What caused these various premiers to be exalted in their generation is the same reason that causes all doomed kingdoms’ loyal ministers to die. For this reason, it is not that their wisdom and ability had difficulty in coping, it was the times’ mandate which could not reach them. It is not just like this. Times have those whom they reach and seek out, times have those whom they reach but reject. Mandates have those they reach but shut out, mandates have those they reach and open for. Worthies do not necessarily get their times. the unworthy do not necessarily lose the mandate. The present generation does not lack those with Shun’s conduct: it does not know Yao’s deeds. It does not lack King Tang and Wu’s employments: it does not know Yi Yin and Taigong’s deeds.30 29 These are historical examples of talented individuals of low social status promoted to high office with spectacularly successful results.

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Feizhong and Wulai got King Zhou Xin of Shang’s profits but did not know Wu of Zhou would raise a rebellion to punish him. Ministers Bigan and Zixu loved to make loyal admonitions but did not know this same ruler would murder them. Feizhong and Wulai may be said to know psychology but they did not know employment. Bigan and Zixu may be said to know employment but they did not understand psychology. The Sage is of necessity with both fully prepared. Only then can he entirely unite his generation.

14. ARMED CAMPAIGNS (Bingzheng 兵政=征) Following Mawangdui essay Ruler’s Campaigning, I amend the title of this essay by its content to ‘Armed Campaigns’ (兵征) from ‘Armed Government’.31 Pheasant Cap explains how man by understanding dialectical laws of nature can adapt their dynamics (shi) to his own advantage. Pangzi’s opening question on warfare parallels Mencius who advised compliance with “Heaven’s timing, Earth’s advantages and Human togetherness” (ch. 17).32 Yet all begins and ends with human endeavor in these seven phases: Worth > Sagacity > Way > Law > Divinity > Illumination, culminating in the military action of Campaigning. This matches the seven years of preparation prior to committal to warfare in Confucius’ Analects and Ruler’s Campaigning.33

I take gu (故) as ‘deeds’ here. MWD Shiliu-jing (Junzheng 君正=征): 47. Guanzi 4 (Lizheng, Qi-guan): 12-13. The seven are: education, instruction, customs, goodfaith, Way, employment, government. 32 Mengzi 2b.1 (Gongsun Chou-xia, De Dao duozhu)—“Heaven’s timing, Earth’s advantages, Human coperation” (Tianshi, Dili, Renhe. 天時地利人和). Xunzi 15 (Yi Bing): 283—“unify the people”. Guoyu 21 (Yueyu-xia): 1-2. MWD Shiliu-jing (Bingrong 71—“If arms are not formed by Heaven, arms may not move. If they do not take law from Earth, arms may not be placed. If penalties and law are inhuman, arms may not win.” 33 Lunyu 13 (Zilu): 197. 30

31

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Dynamics of Nature Pangzi asked Heguanzi saying: To implement arms’ laws you must ‘Heaven them, Earth them, and humanize them.’34 Rewards urge to battle, punishments compel multitudes. Though these five have already been reckoned for, If the Nine Barbarians use them, Our victory is not necessitated. Why is this? Heguanzi said: Things have life (physics). So, metal, wood, water, and fire: Even when not applied, still exercise mutual control. Have you never seen, for example, a gate-beam? If leant-to, a housewife will lift it. If laid flat then, without selection by physique, Anyone can lift it by the middle. If one were to hold its extremity, Even a champion could not raise it off the earth. The gate-beam is still one body, Yet heaviness or lightness differ: dynamics cause them to be so. Now, from the gate-beam to speak, Where there are things, dynamics are present! Though the Nine Barbarians use them, They will not necessarily conquer because They have not fathomed things’ life. When you fathom things’ life, These five are as One! Pangzi said: To make the five into One, how can this be done? Heguanzi said: Heaven cannot make early into late; Earth cannot make high into low; 34 Mengzi 2 (Gongsun Chou-xia, 1 De Dao duozhu). MWD Shiliu-jing (Bingrong): 71. Guoyu 21 (Yueyu-xia): 1-2.

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Humanity cannot make male into female. Rewards cannot motivate the incompetent to succeed, Punishments cannot compel the impossible. Pangzi said: To achieve success, how is it done? Heguanzi said: Heaven cannot compel men, men cannot compel Heaven. Adapt to things’ suchness, failure and success are stored in it. These two derive from expedience and from dynamics. From expedience in production of materials you will have super-abundance of wealth. From dynamics in use of arms you will have super-abundance of victories. Material production comes from labor in Earth and obedience to Heaven. Arms’ victories come from obedience to the Way and union with men. Those who do not understand make rebellion from the obedient, make disaster from the profitable. By making rebellion from the obedient, their materials become poor. By making disasters from the profitable, their troops will be captured. . Formerly, those who knew the times by the Way were vindicated. Those who do not know them jeopardize divine illumination. What the Way dooms, what divine illumination defeats, what being may sustain its injuries? So it is said: The Way! The Way!

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and divine illumination are mutually protective!35 Pangzi said: How do they mutually protect? Heguanzi said: Worth generates sagacity, sagacity generates the Way, the Way generates law,36 law generates divinity, divinity generates illumination, divine illumination campaigns at the tip37 tips are fed from their roots, For this reason, they are mutually protective.

15. STUDY PROBLEMS (Xuewen 學問) The nine ways, from Way and virtue to arms, is the required curriculum of study. We find here the importance of study emphasized once more (chs. 6, 7). In addition, six numbers are mentioned in connection with the word ‘hexagram’ (gua) which I take to be Pheasant Cap’s ‘six laws.’ These six moral laws are ritual propriety, music, humanity, justice, loyalty and goodfaith. Music is here added to five of the virtues, previously listed. The Guodian Six Virtues (ca. 300) has sagacity and wisdom in place of ritual and music but identical last four (GD: 187. Chs. 6, 7). Ritual and music are two of the Confucian six arts.38 The reference to hexagrams suggests a relationship, albeit metaphorical, with the Yijing and its divination by combinations of six lines (unbroken and broken). The Sage predicts the future fate of a generation from their observance of these moral principles. The numbers nine and six match Yijing numerology in which nine is the male or yang number identified with the unbroken line, and six the female or yin number identified with the broken line. Pheasant Cap rejects reliance on divination by “milfoil oracle or tortoise-shell Zhuangzi 25 (Keyi)—“The pure unadulterated Way is just by divinity guarded.” MWD Jing Fa (Daofa): 43, 1a—“The Way generates law.” Guoyu 21 (Yueyu-xia): 1-2. 37 Here I read ‘corrects’ as ‘campaigns’ zhèng (正) = zheng (征). Guanzi 43 (Zheng): 254—expounds a five-fold progression: penalties> correction > law > virtue > Way. Shangjun Shu: 2 (Shui Min) Shang Yang also has five—penalties—force—strength—awe—virtue. MWD Shiliu-jing (Lun) has ten stages—strength—awe—magnanimity—correction—stillness— fairness—tranquility—simplicity—essence—divinity. 38 Jia Yi 8 (Liu-Shu, Daode shuo): 59-60—six principles of virtue: Way, virtue, humannature, spirits, illuminaton, mandate. 35 36

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augury” (ch. 19).

Nine Ways Pangzi asked Heguanzi saying: The Sage in studying problems, submits to his teacher. Does this indeed have an end and a beginning?39 Or, do recital and memorisation Only after closing the coffin-lid stop?40 Heguanzi said: It begins at the first question, and ends at the Nine Ways. Not having heard the Nine Ways explained, even if your recital and memorization only at the closing of your coffin lid were to stop, How could you reach their conclusion? Pangzi said: What is meant by ‘Nine Ways’? Heguanzi said: First is Way and virtue; second are shade and sunlight; third is law and edicts; fourth are Heavenly bodies; fifth are divine portents; sixth are skills and arts; seventh is human reality; eighth are tools and weapons; ninth is management of arms. Pangzi said: I wish to hear of the Nine Ways’ tasks. Heguanzi said: Way and virtue restrains conduct to make them habitual. Shade and light’s division and numbering in the calendar are the means of observing energy’s variations. 39 Xunzi 1 (Quanxue) 9:—study “begins with reciting the classics, ends in reading ritual propriety… This is called Way and virtue’s ultimate.” 40 Shangjun Shu 17 (Shangxing ‘Rewards and Punishments’): 63—Shang Yang says “People’s love of wealth and ennoblement only after closing the coffin ends.” Zhu Shizhe quotes Han dynasty Hanshi Waizhuan—“Study never ceases. Only after closing the coffin does it end.”

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Law and edicts are the ruler’s Way to decide the order or disorder of a nation’s mandate. Heavenly bodies signal auguries, that below elicit responses. Divine portents are phenomena of lights and glimmerings that herald calamities. Skills and arts are to excel those in the same guild, to invent from nothing something uniquely different. Human reality includes the small and great, foolish and wise, the worthy and unworthy, outstanding and heroic in their myriads. Tools and weapons are to borrow and harness the generation’s employment and nations’ defense. Management of arms is the awesome lever: he who grasps it stands on invincible ground. When the Nine Ways shape the mind, it means having an efficacious soul. Then you can see revolutions and mandate them; adapt to what they contrive and settle them. The mind, if it is lacking in form’s soul, notwithstanding language of wide learning and concision, will not know how to reach others. When mind is master, the internal will command the external. If internally you lack marvelous portents,41 the near at hand will not be reached, the far away will not arrive. Pangzi said: Propriety and music, benevolence and righteousness, loyalty and goodfaith: I wish to hear how do they equate with technique? Heguanzi said: Propriety means not to give offence; music means not to do harm. Benevolent humanity means to be share in loving good; 41 MWD Jingfa (Daofa): 43—“When the Under-Heaven has tasks, there must be marvelous portents.”

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justice means to be equal in hating wrong. Loyalty means ever more a friend; goodfaith means not being two-faced. The Sage by these six laws makes hexagrams of generations’ gains or losses, disobedience and obedience’s warps.42 Now, apart from the Way or contrary to technique you may not connect to principles. He who desires the six laws43 may not slaughter hearts and limbs. He who displays technique, internalizing his source, though shallow, will not be exhausted. He who is internally void and externally wide-ranging, though wide-ranging, will necessarily be voided. Pangzi twice bowed and said: Your questioner has been admonished! Though unlike this44 in his benighted talent, he will hereby be strengthened. If he did not study it who would be capable of it? This is the Under Heaven’s ultimate Way, yet this generation’s masters have abandoned it. Why? Heguanzi said: Do not carry life in the wrong vessel, or cheapen life in the useless. In the middle of the Yellow River, having lost your boat, one float is worth a thousand pieces of gold. Value and cheapness are inconstant: times cause things to be so. They who constantly recognize excellence as excellence have a succession spanning generations unchanged that may be at once verified up to the present. 42 This may allude metaphorically to the six lines of yin-yang combinations which compose the sixty-four hexagrams in the Yijing to determine fortunes. 43 In view of the preceding list, I read ‘six laws’ (liu-fa 六法) for the received text’s ‘prime law’ (yuan-fa 元法) which connects to nothing. 44 Defoort 1997: 96. I prefer the Zihui’s (1577) ‘this’ (ci 此) to the Daozang edition’s ‘dark’ (ming 冥).

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If they do not recognise excellence as excellence, there will be men dead and nations doomed, Interrupted sacrifices, extinguished lineages. Small men still being such cannot protect their longevity. Justice then is self-shaping.

16. GENERATIONS OF WORTHIES (Shixian 世賢) King Daoxiang (卓=悼襄), ‘the Afflicted’, asks strategist Pang Xuan whether he needs to be pro-active, implying that as ruler he should really rest in stately ‘non-contrivance.’ The answer is that the employment of worthies to act in good time will produce results but just make it seem as if nothing was done. After the failure of their anti-Qin coalition and death of its protagonists, this piece might even be presented as a funeral drama or satirical sketch to regalvanize the nation. A more up-beat piece of patriotic theatre may be seen for King Wuling (ch. 19). Huang Huaixin (2002: 5) judges these two chapters extraneous to the remaining seventeen attributed to Heguanzi. Pang Xuan makes the case for employment of worthies from historical instances of famous advisers who helped a ruler recover his throne, become hegemon or overthrow a tyrant and found a dynasty. This same allegory of doctor for political adviser was used by Han Feizi (21) to illustrate the identical tag from Laozi (71).45 The message is that good government is not spectacular. When problems are detected and dealt with before they grow big, people suppose that nothing has been done. They are more impressed with unnecessary heroics. The story of King Zhao of Chu seems incomplete and omits mention of Qin. This suggests possible excision in antiquity. In 506, King Helü of Wu’s invasion forced King Zhao of Chu to flee to the small state of Sui. He then sent his premier Shen Baoxu to seek aid from Qin. Next year Chu with five hundred chariots from Qin routed Wu and was restored.

45

Han Feizi 21 (Yu Lao): 118-19. Daodejing: 71. It is absent from GD Laozi.

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Worthies as ‘Doctors of Medicine’ King Daoxiang [of Zhao r. 244-236] asked [General] Pang Xuan, saying: Now, should I as lord of men really have to contrive for the nation? Pang Xuan said: Has the King alone not heard of Yufu’s contrivance in medicine? The already healthy is necessarily cured. Demons and gods shun him. King Zhao of Chu (regained the throne With Sui and Qin’s arms.46 So, just as with Yao’s appointment of men, He did not employ personal relatives, And necessarily employed the able. ` To govern his ‘sickness,’ he did not appoint his beloved, but necessarily employed an experienced ‘doctor.’ The King of Chu, having heard of his reputation, When chronic sickness was on his person, necessarily awaited a Yufu. King Daoxiang said: Excellent. Pang Xuan said: Has the King forgotten? Formerly Yi Yin doctored King Tang of Shang, Taigong doctored King Wu of Zhou. Baili Xi treated Duke Mu of Qin, Shen Biao Baoxu doctored King Zhao of Chu, Yuan Ji doctored Duke Wen of Jin, Fan Li doctored King Goujian of Yue, Guan Zhong doctored Duke Huan of Qi: So these five nations in turn got the hegemony. Their excellences were one: yet their Ways did not share the same techniques. King Daoxiang said: I wish to hear about their techniques. Pang Xuan said: Has the King alone not heard of 46

He ruled 515-489. The event occurred in 505. Defoort 1997: 82. Shiji 40 (Chu Shijia).

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Baron Wen of Wei’s questions to Bianque?47 He said: Of you three brothers, who is the most excellent in doctoring? Bianque said: My elder brother is the most excellent, the middle brother is second. I, Bianque, am the lowest. Baron Wen said: May I get to hear about this? Bianque said: My elder brother in sickness observes its spirit while it is still unformed and excises it. So his name does not go beyond his household. The middle brother governs sickness in the down and hairs, so his name does not go beyond his village. As for me, Bianque, I puncture blood and veins, ply drugs and medicines, cut into flesh and skin’s gap, and my name goes forth and is heard by all the barons. Baron Wen of Wei said: Excellent. Had Guanzi practiced doctoring technique in Bianque’s Way, I say wouldn’t Duke Huan have just about been able to complete his hegemony (instead of being deposed)? All these did not take “sickness as sickness.”48 They governed it in the unnamed, acted on it in the unformed. “They achieved success and finished the job. To inferiors it seemed spontaneous.”49 So, good doctors reform you, unskilled doctors destroy you. Han Feizi 21 (Yu Lao): 118—on doctor Bianque and Duke Huan of Cai. ‘Sickness’ (bing 病) can also be translated as ‘fault.’ Daodejing 71: 111—“The sage is not faulty because he faults faults.” 64—“Contrive it in the still non-existent…” Han Feizi 21 (Yu Lao): 118 on ‘doctoring’. As we saw above, SHD Wei Li-zhi Dao 167, lines A 37 4445:—uses the same evident Laozi Daodejing 71 quote. 49 Spontaneous/ natural/ automatic/self-so (ziran 自然). Daodejing 17. See chs. 3, 11. 47 48

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Though perchance you do not die, they will wound and stretch your limbs and sinews. King Daoxiang said: Excellent! As the Loner Though I cannot be unwounded, who can add a wisp of autumn hair onto this Lone Man’s top?

17. HEAVEN’S AUTHORITY (Tianquan 天權) The mysterious opening may refer to Grand Unity as rotator (huan), the supreme Augustan of Heaven and Earth. In an echo to Laozi (1) “The name that may be named is not the constant name,” it appears to delineate an unmoved mover, an un-named namer of ineffable godhead, light of the world. The conclusion appears to warn against unilateral action by rebellion before the arrival of the Heavenly hero. Unity is defined in five cognitive qualities: space, time, virtue, the Way and things. There are five failures of cognition and action: not to see, hear, be open, be able, and conquer. Arms must be attuned to cosmic music. The ultimate conquest is by culture. Again, we see the Heaven-Earth-man trilogy applied to warfare as in Mencius (2b-4. ch. 14). The criticism of the limits of senseperception and its distortions parallels Xunzi and Lü Buwei.50 Yet the appeal to a transcendent understanding of perceived sensory phenomena is unique.

Space-Time He who lifts up Heaven and Earth to travel is called the rotator. He bestows names, But the named does not turn around to name the man himself. Luminaries shine light, their shining cannot shine on its own illumination. He is the governor:51 Alone transforming from start to finish, according to abilities he organizes and achieves. Alone he set up space and time without fief boundaries. 50 51

Xunzi 21 (Jiebi): 443. Lüshi chunqiu 23 (3.5 Yongsai): 7b-10b. Here I again read ‘this/right’ (是 shi) as ‘governor’ (正 zheng).

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He is called the Augustan of Heaven and Earth. He floats in suspension Heaven and Earth’s luminaries. He deputizes mandates in sub-divisions called seasons. His communication between sub-divisions is called the Way. He connects the myriad things to lead Heaven and Earth. He joins up and rounds out those with common roots. His mandate is called space and time. He knows space, so nothing is unaccomodated. He knows time, so nothing is insufficient. He knows virtue, so nothing is unsettled. He knows the Way, so nothing is unheard. He knows things, so nothing is not accepted as so.

Cognition and Sense Perception If you know Unity, yet do not know the Way, you cannot yet internalize it. Formerly, those who did not know what they were going to seek, were necessarily confused; Searching for what they did not know to find its image, they necessarily did not get it. So, among men, none but are deluded by what they do not see; prejudiced by what they do not hear; blocked by what they do not open; oppressed by what they cannot; controlled by what they do not conquer. The generation’s vulgar crowds are penned in by these five. So, it is said: ‘Without armies, there are arms. Without mourning, there are funerals.’ The invisible still has form. Men making light of death and life is the cause.52 52 Daodejing 75: —“The people make light of death because their superiors seek life’s luxuries (‘thickness’ hou).”

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Men making light of safety and danger is the cause. Now, a mosquito or gnat, falling down a thousand fathoms ravine, only then begins to soar and complete their appearance. Horses and oxen fall into it and are smashed into formlessness. From this one observes that size is inconvenient; weight is wounded deeply. Arms face death to seize life, cross danger to seize safety. For this reason, when speech is such the Way corresponds. So, if one flee drills into the skin, you will not sleep till dawn. If half a husk enters your eye, the four directions will be undiscerned.53 This is what is meant by: ‘How is deception necessarily in the screening of curtains or the concealment by hanging blinds?’ When horizons are level not to see is called deluded. So he whose knowledge and ability in what he sees and hears are entirely exhausted, is prejudiced. So he whose arrangement of tasks and conduct of employment in deployment of force are completely exhausted is blocked in. So whoever to the four directions goes forth, above directed but unconnected, will be annihilated.

53 Zhuangzi 14 (Tianyun): 522—attributes a close variant of this stanza to Lao Dan speaking to Confucius, with ‘mosquito’ in place of ‘flea.’

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Setting Goals Now, the Way must have responses to be effective. Employments must have virtues to succeed. Now, virtue’s knowledge is that whereby employment succeeds. It is that which the successful get in order to say: I can succeed. If success is not contrived, if getting does not come, carefully investigate its Way. Whence is it so? If you are misled about the past and observe the present from this, you know you will be unable. He who establishes a target to aim at will not be confused. He who accords with law in apportionments will not be doubted.54 Indeed, words are the means of announcement.55 Now, if you aim without a target, make apportionments without law, you will have confusion as a consequence!

Orientation What is meant by confusion is it not lack of sun’s and moon’s illumination, the four seasons’ order, planets and constellations’ movements?56 If you accord with the reverse of these you will have confusion. 54 MWD Shiliu-jing (Cheng) 81, 144a-b:—“Relying on targets to aim, one is not confused; by law to rule, there is no disorder.” 55 I amend ‘scarce’ (xi 希) as ‘announce’ (bu 布) here. 56 I translate xingchen as ‘planets and constellations.’ Xing (星) which also means ‘star’ is here used contrastively to chen (晨). See ch. 18, below.

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Bewildered, you will strain to see yet become more disoriented and inadvertently change direction. Arms have tallies, the Way has signs. Defenses are necessarily in advance prepared, cogitations are necessarily beforehand settled. Below adapt to Earthly advantages, control by the five agents: To your left, wood is east, To your right, metal is west. To your front, fire is south, To your back, water is north. At the center is earth. When camping the army and deploying troops, don’t neglect contingencies. Once these five degrees are correct, no task will be unsuccesful. The Dipper star Beckoner being above, consolidation is created below.57 Take law from Heaven, for the four seasons seek their images. In springtime use the Grey Dragon, in summer use the Red Bird, in autumn use the White Tiger in winter use the Dark Warrior.58 When Heaven and Earth have been obtained, What things may not be commanded? Where rational principle resides is called Earth; What divinities form is called Heaven. He knows Heaven so he can in one undertaking get fourfold results, when two together arise he alone will win. 57 Liji, shangce 1 (Quli-shang): 43-44. Guanzi 42 (Shi ‘Dynamics’): 253—“If you search but do not find, seek it beneath the Beckoner (yaoguang).” Wenzi 9 (Xiade): 79—“The Beckoner is the material sustenainer of the myriad beings.” Rishu almanac, 217 a): 187-88 (Dark Halberd)—“The Dipper shaft points to…” 58 Liji: 1 Quli-shang; 6.

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His bird chariot races on, his colts fly draped with streamers. So, formerly they who excelled at archery59 did not seek profit except through enlightenment in the art. Formerly they who excelled at war did not seek conquest except through enlightenment to conquer. Have you alone not seen a conjurer? He sets you up by causing you to ‘know it’ so that your knowledge is confounded. Your already ‘knowing it,’ is as you did not know. Even though a teacher were to explain you would still not realize. It is pitiful! Deluded by images, prejudiced, blocked— such men though undefeated will collapse. If not dead they will be taken prisoner. To establish arms to capture a nation is excellence of arms. By not moving to capture a nation is civilization’s glory. Knights eulogize warriors, men do not eulogize culture.

Unity Unity is little loved but cannot be exhaustively discussed. Ears can hear tuned sounds but cannot contrive tuned sound. Eyes can see outstanding forms but cannot contrive outstanding form. Mouths can compare divine illuminations 59

I read ‘archery’ (she 射) for ‘demand’ (tao 討).

BOTTOM SCROLL / 201

but cannot contrive divine illumination. So, the first kings submitted to teacher’s techniques, summoned the departing, educated the ignorant. They untied knots and analyzed. In pervading gloom, they opened lights and compiled knowledge there. So they were able to theorize appropriately and assess dangers. They successively surpassed the masses. They superseded classes, transcended ranks. Their knowledge of strategy and vision excelled the multitude of men. They sought out the isolated, connected the distant. Difficulties in front they were able to confront, difficulty behind they were able to ward off. The essential theme was the Under Heaven so none were neglected. Then far in enemy nations’ lands they fought and conquered, attacked and captured. The Way responds to things endlessly. One commands myriads. Yet it is not of the general species. In the species of life’s profusion its name is located. It plumbs worth and ability’s convolutions, exhausts spear and shield mysteries. It is called a directionless tradition. It is manifest in borderless space. In controlling employments, internally you cannot plumb its forms. In use of arms, externally you cannot fill its successes.

Heavenly Arms

Its arms have Heaven, have men, have Earth.60 60

Mengzi 2: 1. Guoyu 21: 1-2. MWD Shiliu-jing (Bingrong): 71.

202 / TRANSLATION

Arms excel through men, Men excel through Earth, Earth excels through Heaven. Heaven has conquests, Earth has defenses, Humanity has successful completion. So, he who is expert at using arms, takes care by Heaven to conquer, by Earth to defend, by humanity to complete. When these three are illumined clearly, what establishments may not be envisaged?61 What is meant by ‘Heaven’ is not in imperceptibly having conquests? Is it not in the sun’s dynamic growth and in what the myriad things receive and submit to? Heaven generates things, yet is not a thing.62 It is the origin of shade and sunshine, of the four seasons birth, growth, harvest and storage, which do not lose sequence. Its authority is in musical tones. Tones reside in the untransmittable. Its success is in heroism. So, commence to study arms. It is necessary to prioritize Heavenly authority. Deploy troops by the five conquests (agents), battle by the five pitches. On the left couple do (gong) with mi (jiao), on the right combine re (shang) and la (yu); With sol (zheng) as ruler.63 I read ‘king’ as ‘three’ here. MWD Jiuzhu: 29, 361 “Heaven… generates things yet is not a thing.” 63 Contrast ch. 10: sol east, la south, re west, mi north and centre do. Now he arranges the pentatonic scale in military formation with sol at centre. If we take sol as G, then he has the tones C-E on his left and D-G on his right. 61 62

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Contrive to recruit followers, drum up untrained multitudes. On dry land, you will overwhelm men so you can go and come like water from a breached dyke. A solitary weapon unconnected will sever the Way’s cable, disorder Heaven’s design. ‘Clashing tones’64 mean offending things’ reality. If to Heaven you are unconnected, you will be censured by severe misfortune. Desire to be without disorder or rebellion, reverently serve the Heavenly Hero. Should the Heavenly Hero’s name be lost,65 the triple army will lack substance. Now, except for the hero who has its substance, who has such a thing? The constant Sage is universal in past and present. The first day’s return is what Heaven and Earth await to close! So, Heaven’s authority, Its divine melody of five tones are its techniques of arms.66 A proverb says: It is manifested in disaster and good-fortune like joined tallies.67 To sum up: Employments are born from cogitation, completed by effort, doomed by panic.68

‘Clashing tones’ (ganyin 干音) is an otherwise unknown term. I read ‘name’ (ming 名) for the similar looking ‘each’ (ge 各). Name and substance are standard pairs. 66 Defoort 1997: 250n6—accepts Lu Dian’s commentary in taking these terms as the names of unknown books. 67 “Like joined tallies.” Mozi 16 (Jian’ai-xia): 73. Mengzi 4b.1 (Shun sheng –yu Zhufeng): 148. 68 Guanzi 5: 14—“Affairs are: born through cogitation, completed through effort, lost through arrogance.” 64 65

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18. ENABLING HEAVEN (Nengtian 能天) This chapter may be considered the climax of the work. It proclaims the subjective power of man, the human potential in the universe. The attainment of immortality through union with the Way appears here as in Zhuangzi and Han Feizi. It is apotheosis by self-effort and extraordinary merit of men to become gods with which they credit the Yellow Emperor among others, like Augustus a la Graeco-Roman mode.69 It sounds like a description of the classic Daoist immortal. It differs from the traditional stereotype of immortality achieved by merit, not the ingestion of a magic potion. The Sage represents supreme divinty whose mind spans the universe. He is the instrument of divine power which presages victory or defeat, that does not derive from human force alone, nor from supernatural intervention. He works through physical dynamics and principle’s reason. He is able to discern the truth beneath surface appearances. This Way is man-made. It echoes Confucius’ dictum “human ability enlarges the Way, the Way does not enlarge man.”70 It is not a ‘substance.’ This is positive expectation of achievable destiny, not fatalism. Heaven is enabled through the human. The piece concludes with a throw back to Wide Selection (ch. 1), ‘Ace-Valiant-Hero’ grading.

The Song of the Primal Sage The primal Sage’s mental activity—71 From reality’s invisible subtleties alone arises. He spreads the infinite and seeks to look down on it. He will transcend the primal marvels and only then finish. He sails72 the limpid depths and contemplates carefully there. He cuts through the six co-ordinates unhindered. He observes at who and who-not, listens in non-negation. Excels at the untrammeled, discourses in mystic obscurity. 69 Zhuangzi 6: 247. Han Feizi 20: 108—Starting from Heaven, Earth and the Dipper, ending with the Yellow Emperor Xuanyuan, the hermit Red Pine Master and the sages. Horace, Odes, Carmina 3.3, lines 9-12—“In this manner Pollux and the wanderer Hercules striving attained the fiery heights among whom Augustus.” 70 Lunyu 15: 28. 71 ‘Punctuation mark’ ju (句), apparently equivalent to semi-colon. 72 I read ‘sail’ (hang 航) for ‘resist’ (kang 抗) here.

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He is translucent, not confused or entangled. So he can break through dusty defilements and stand in grand purity.73 He goes without companion, comes without escort. He has scant provisions, few followers. Solitary he has no equal, so he is without blemish. Infant-like,74 he will alone arrive to transmit the future that will be so and lead its headless sequence. He reckons by tens or fives in application to employments, measures past and present in their fall and rise. He adapts to motion and stillness to conclude life, enables Heaven and Earth to promote and set down. The self-such is form, it may not be altered. Odd and even are numbered, they may not be increased or diminished. Victory and defeat are omened, They do not randomly75 develop. So he who gets the Way to stand, Earth enables him to stand. He who gets the Way to topple, Earth does not enable to stand. He who gets the Way to be secure, Earth enables to be secure. He who gets the Way to be endangered, Earth does not enable to be secure. He who gets the Way to live, Heaven enables him to live. He who gets the Way to die, Heaven does not enable him to live. Guanzi 49: 271 “He is mirrored in great purity.” I read ‘infant’ (bao 媬), as in swaddling clothes, for the cognate ‘protect’ (bao 保). 75 I read ‘randomly’ er 爾 for ‘and’ er 而 here. 73 74

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He who gets the Way to survive, Heaven enables him to survive. He who gets the Way to perish, Heaven does not enable to survive. His security or danger is in dynamics. Survival or perishing is by rational principle. How may it be blamed on Heaven’s Way? Demons and gods, how are they involved? Unity is virtue’s worth, the Sage is worth’s love. The Way is what the Sage employs to arrive, what he gets to arrive. Documents may not record him, names may not raise him. Mouths may not convey his ideas, portraits may not set up his appearance. Like the Way in the image of gates and doors he is. Worthy and unworthy, foolish and wise, by them enter and exit and do not differ.

Immortality and the Dynamic of Self The Way is what opens up things it does not equalize things. So, the Sage is the Way, the Way is not the Sage.76 So there is ‘the First Kings’ Way,’ but not ‘the Way’s First Kings.’ So, the Sage after Heaven and Earth is born, yet knows Heaven and Earth’s beginning. He is before Heaven and Earth in perishing, yet knows Heaven and Earth’s end. His strength does not compare with Heaven and Earth, yet he knows Heaven and Earth’s tasks.

76

Lunyu 15: 28 “Man expands the Way, the Way does not expand man.”

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His energy does not compare with shade and sunshine, yet he can contrive to be their warp. He does not compare with the myriad things in quantity, yet he can contrive their correction. He does not compare with multitude beauties in splendor, yet he can promote good and point out faults. He does not compare with the Way and virtue in richness, yet he can contrive to honor them. He does not compare with divine luminaries in shining, yet he can contrive to master them. He does not compare with demons and gods in concealment, yet he can manifest their souls. He does not compare with metal and stone in solidity, yet he can forge their strength. He does not compare with square and circle in symmetry, yet he can deploy their forms. Formerly those who got the Way to be established until the present unshifting are the four seasons and Grand Mountain.77 Those who got the Way of danger until the present insecure are lichened peaks and misty streams, rotten trees that fall in the wind. Those who got the Way to live until the present unperishing are sun and moon, planets and constellations.78 Those who got the Way to perish until the present unsaveable are tender leaves meeting frost, morning dew meeting the sun. So the Sage takes it from dynamics, and does not search by investigation.79 Dynamics are concentrated and at himself. 77 Zhuangzi 6: 247—on human immortality as nature gods, including mountains and heavenly bodies. Han Feizi 20: 108. Grand Mountain, Taishan, is also mentoned in ch. 4. 78 I translate ‘planets and constellations’ (xingchen 星晨). See ch 17. 79 Daodejing 58:—“When government is investigative the people are deprived.”

208 / TRANSLATION

Investigation is scattered and goes to things. Things as things, fragmented and divided, which of them does not from unity issue and into unity transform? So settle examinations in men, observe changes in things.

Knowing Words The mouth is the means of expressing the mind’s sincere ideas. Some cannot receive instruction or deeply understand. In promoting their meaning some exceed their substance. So, those whose actions differ condemn each other. Those whose Ways differ do violence to each other. Slanderous words distort things: the Sage knows where they diverge. Exaggerated words are based on things: the Sage knows to what they equate. Deceitful words confuse things, the Sage knows what they hide. Evasive words from the reality of things, the Sage knows their limits.80 Governance’s words empathize with things, the Sage knows on what they stand. He who stands can put into effect the knowable. None can speak of what they have not attained. Unity is there but may not be seen. The Way is there but may not be monopolized. It is exactly comparable to the abyss, its depths are unfathomable. It surges on placidly, its waves are inexhaustible.

80 Mengzi 2: 39—on ‘knowing speech’ is very close to this. Compare Guiguzi 9 (Quan ‘Assesment’) on speech.

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Only the ultimate man, can train his essential spirit, cultivate his ears and eyes, care for and adorn his body. Like the joining of matching tallies: small and big details are controlled without omission or error. Far and near, crooked and straight, there is nowhere it does not reach. Consequently, he does good by virtue to a myriad men is called ‘ace’, he who does good by virtue to a thousand men is called ‘valiant’, he who does good by virtue to a hundred men is called ‘hero.’81 So the Sage’s language is universal.

19. KING WULING (Wuling Wang 武靈王) King Wuling ‘Martial Spirit’ (r. 325-299) is celebrated for in 307 adopting Hunnish jackets and trousers to clad his mounted archers. He later turned this new cavalry against the ‘barbarian’ Xianyu kingdom of Zhongshan, leading to its absorption by Zhao in 296.82 Yet his last years following abdication to his son were calamitous. Military advice on how to defeat an enemy of superior force placed in the mouth of Pang Huan is addressed to King Wuling. The latter serves as a palpable surrogate for his doomed descendent King Qian confronted with the desperate prospect of conquest by all powerful Qin which came to pass in 228 and installment of puppet King Fa before Zhao’s final annexation in 222. This is the only chapter to break the ‘two-word title’ rule, like the ‘inner chapters’ of Zhuangzi. Though set with protagonists of the earliest date in the entire work, it is a piece of historical fiction. It functions as a fitting conclusion and retrospection to earlier themes like that of the night walker (ch. 3) resumed here. As in the medical examples (ch. 16), true success is not spectacular. The best results are obtained without overt use of force. This strategy mirrors Sunzi’s Art of War (3). The historical examples of the ultimate triumphs of King Goujian of Yue over Wu with that of Han Xuanzi, Wei Huan and Zhao Xiang over Zhibo are also cited by Han Feizi in his petition to the future First Emperor urging 81 82

HGZ 1—has ‘Ace’ (jun 雋, here written 俊). Shiji 15: Wuling 19th year; 18: Wuling 18th year.

210 / TRANSLATION

him to become hegemon king of the Under-Heaven and again in his ‘Parables of Laozi.’83

The Night Walker King Wuling asked Pang Huan, saying: I, the Lone Man, have heard a current saying that: “In one hundred battles to conquer is not the best of best. Not to fight yet conquer is the best of best.”84 I would like to hear it explained. Pang Huan said: The skilful value having no competitor. So the grand superior is to use strategy. The next adapts to human employments. The next battles to prevail.85 He who employs strategy, beguiles and confuses the enemy nations’ lord. He causes him by change and alteration to corrupt morality so that profligate sycophancy and arrogance are indulged. Lacking the Sage’s techniques, his love for men and giving becomes such that those without achievements are enfiefed, those who do not labor are rewarded. When glad, he pardons criminals, when angry, he wantonly kills. law-abiding people just look out for themselves, mean-minded men naturally proliferate. He does not use the milfoil oracle or tortoise-shell augury. High justice is debased so to the level of Han Feizi 1: 7-8; 21: 122-23. Sunzi 3 (Mougong ‘Considering Attacks’). 85 This pattern occurs in Daodejing 17—“the grand superior… the next… the next…” Goujian of Yue, having lost his kingdom to King Fuchai (d. 473) of Wu (Jiangsu), endured years as a captive. With the aid of adviser Fan Li’s covert work to corrupt and undermine Wu, Goujian conquered Wu, regained his throne and became hegemon. 83 84

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his fancy’s favorites. Consequently, Goujian employed this and the Wu nation was doomed.86 What is meant by ‘adaptation to human employments’? To amass wealth and use valuables, to close off intimates and stop their mouths, to cause what they call right to be all wrong, and what they call wrong to be all right, to separate the ruler’s court from the employment of loyal ministers’ road. (King Ling of) Chu employed this, so Chen and Cai were taken.87 What is meant by ‘battling to prevail’? Only after a nation is already inherently broken, should you let your troops attack it. The three houses used this so Zhi Bo was doomed. Han Xuanzi used this and Jin was divided.88 In the present generation, speaking of arms, the strong and great necessarily conquer, the small and weak are necessarily annihilated. If this were always so, small nations’ rulers would have no hegemonies or kingships, and myriad chariot lords would have no destruction or doom. Originally, the lands of Xia were broad but Tang of Shang narrow, Shang-Yin great but Zhou small, Yue weak but Wu strong. I move this line up from section’s end to show its connection to the first example. I move this line up to show its connection to the second example. Historically, King Ling of Chu was enabled to annex the smaller states of Chen and Cai by a process of intrigue and subversion in 533-531. 88 I read ‘Jin’ 晉 for ‘east’ (dong 東). Usurper Zhi Boyao was besieged at Jinyang (in Shanxi) in 453 by armies of Zhao, Wei and Han under Han Xiangzi who diverted the Fen river against him. The break-up of Jin into three kingdoms followed his defeat and death. 86

87

212 / TRANSLATION

(Yet Shang overcame Xia, Zhou overcame Shang-Yin, Yue overcame Wu.) This is what is meant by: “By not fighting to conquer is best of best.”89 This is the shady warp’s law,90 the night walker’s Way (ch. 3), Heavenly warrior’s ilk. Now some make stiff corpses in millions Spilling blood a thousand li. Victory still undecided, they reckon it a success And reckon there is nobody like them.

Virtue’s Triumph So the Sage in splendid solitude cogitates in delightful solitude rejoices. His ear may hear gongs and drums’ sounds Yet he has few feats. His eyes may see flags and pennants’ colors Yet he has few deployments. His hand grasps a bladed weapon’s handle Yet he has few battles. He goes forth advancing into close combat Yet he has few victories. This was how Lord Xiang of Zhao defeated doom.91 King Wuling was moved and sighed, saying: Preservation or doom are in the person. Subtle indeed is that which generates good-fortune. I, the Lone Man, having heard this, daily and monthly have the means of self-examination.

Sunzi Bingfa 3 (Mougong). Guiguzi 13 (Benjing Yinfu): 95—uses the term ‘shady warp’ (yinjing). Defoort 1997: 250n6—follows Lu Dian who identifies it as an unknown work by the Yellow Emperor. 91 Xiangzi Wuxu (r. 457-425), Lord of Zhao, routed Zhi Boyao at the siege of Jinyang in 453, after Zhang Mengtan’s secret diplomacy won over Han and Wei, Zhi Bo’s erstwhile allies. Mozi 18: 87-88. Zhanguo Ce 18: 1; 2. Defoort 1997: 111—is quite mistaken in saying: “Pang Xuan explains to the king of Zhao that the defeat of his ancestor, King Xiang (r. 457425), was caused entirely by the king’s own fondness for warfare.” Li 2003: 21. 89 90

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From of old, those of ability and virtue never distorted their mandate. To get its essentials the words are not numerous.

Appendix 1: Jia Yi’s Owl Rhapsody (Xiaofu 鴞賦) Jia Yi (201-169), while critical of Qin’s excesses, was no Confucian conservative. Adviser to Emperor Wen of the Han, his support for reforms antagonized the hereditary peerage and he was exiled to Changsha. In this prosperous but remote region of the old southern kingdom of Chu he tutored the son of King Wuzhu, descendant of an ex-Qin prefect who had wisely supported the Han revolution. Its aged premier Marquis Dai was shortly to be interred with his classics of the obsolete Way’s Law ideology in the grand Mawangdui tumulus. Jia Yi found the semi-tropical humidity did not suit him but found consolation in Chu culture. Five years before his death, Jia composed this ‘frustration rhapsody’ (fu) in emulation of Chu’s classic poet Qu Yuan, an exile like himself (Defoort 1997: 107-10). Qu had been banished by King Qingxiang (r. 298-263) for criticizing policies of appeasement. These had resulted in the death of his father King Huai (d. 296) as prisoner in Qin. Out of despair, Qu reputedly drowned himself in the Miluo river and became popularly canonized as a martyr (Shiji 84; Hawkes 1959: 13-15). A close related genre is the mystic journey rhapsody, which we also find in Pheasant Cap (ch. 18). His style is distinguished from the Chu type by the absence of the invocatory ‘oh!’ (xi). Other early examples in the philosopher’s frustration lyric line were composed by Xunzi (26: 533) and Dong Zhongshu (Pankenier 1990). Pheasant Cap’s rhapsody of the hero (ch. 12) by contrast is robustly optimistic. Lines and phrases that match it are here marked by italics. I was the King of Changsha’s tutor. After three years, an owl flew into my lodging and perched in a corner. It seemed like a bird of ill omen. I had been exiled to live in Changsha and Changsha is low-lying and damp. I lamented that my life-span could not be long. So I made this rhapsody to relieve my spirits, as follows: It was the Dan’e year oh! the fourth month in mid-summer, on gengzi day at sunset.1 An owl roosted in my lodging, Perched in a corner oh! looking most relaxed. When a strange thing occurs oh! 1 Gengzi is the name of the thirty-seventh day in the sexagenary cycle all of whose days have astrological significance. 215

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I wonder about its cause. I looked up books of prognostication To divine its import. They said: “Wild owls enter the bedroom oh! Its owner will go.” I enquired of the owl oh! Where will I go? If it is good luck tell me, If bad say the worst. Will it be later or sooner? Make an estimate oh! Tell me its timing. The owl then sighed, Raised its head and shook its wings. Its mouth could not speak. I asked it to answer through intuition. Myriad Things transform oh! they certainly never cease. Their gyrations flow and shift oh! Someone pushes them to and fro. Form and energy spiral continuously oh! Transmogrified they hatch out anew. Their subtle depths inexhaustible oh! cannot be fully described. ‘Disaster is what good-fortune leans on. Good-fortune is where disaster lurks in ambush. [Daodejing 58] Grief and joy assemble at the gate oh! Good-fortune and disasters share the same territory. That Wu was strong and great oh! Fuchai was still defeated. Yue perched at Kuaiji oh! Goujian became hegemon of his generation. Li Si roamed around and finally succeeded oh! (as premier of Qin) He died by the Five Punishments. Fu Yue was a convict breaking rocks oh! then premier to Wu Ding (King of Shang r. 1324-1266). Now disasters and good-fortune, how do they differ? They are both intertwined. Mandates are inexplicable oh! Who knows their limit? [Daodejing 58]

OWL RHAPSODY / 217

‘When water is agitated there will be drought, When arrows are agitated they go astray.’2 Myriad things turn and twist, Shaken and stirred they spin around; Clouds steam up, rains fall oh! Intermingled and mutually entangled. The Great Equalizer disperses things oh! Knocks and pounds ceaselessly. Later and sooner have their mandates, Who knows their timing? Now Heaven and Earth are a furnace oh! Creation is their work. Shade and sunshine are their charcoal oh! The myriad things are their bronze. They combine and scatter, oh! Where is their constant model? A thousand changes, a myriad metamorphoses oh! They have never begun to have an ultimate. Suddenly they are made into humans oh! How are they worth cherishing?3 They will be transformed into different things oh! How is it worth considering it a catastrophe? Small knowledge is selfish oh! It devalues others, values itself. The penetrating man has a big view oh! Among things nothing is impossible for him. Greedy fellows sacrifice themselves for lucre oh! Valiant knights sacrifice themselves for fame. Boasters die for authority oh! 2 Lüshi chunqiu 16 (Lan, 4.7 Quyou): 16b against uncontrolled anger has the same couplet in reverse order. Wenzi 9 (Xiade): 75—“So when water is agitated, waves arise. When energy is disorderly, wisdom is clouded.” Huainanzi 8: 10a—“When energy is agitated anger explodes.” 3 Li Shan’s commentary to the Zhaoming wenxuan edition explains the obscure phrase kongtuan 控團 as ‘loving life’ (aisheng 愛生). I translate it here as ‘cherish,’ but in HGZ 12 as ‘resist.’

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Making a commodity of each life, cowardly fellows oh! flee east and west. Great men are not petty oh! Their ideas evolve impartially. Foolish knights tied by vulgarity oh! Are confined as if imprisoned. The Ultimate Man abandons things oh! Alone with the Way together. The multitude of men are confused oh! Loves and hatreds accumulate in millions. The True Man is bland and quiet oh! Alone with the Way reposes. He is free of knowledge and casts aside forms oh! Transcendentally bereaved of self. In vacant desolation with the Way he soars. He rides the flow to depart oh! Gaining a landing he stops. He loses his body, deputes his mandate oh! Unselfish he has no ego. His life is like a float, His death like a rest. Lucid like a deep spring’s tranquility, He sails away like an untied boat. He does not for life’s causes treasure himself oh! He nourishes himself in emptiness and drifts. The virtuous man has no encumbrances, Knowing his mandate he has no worries. Minute causes and trifling chaff, How are they sufficient to make him doubt?

Appendix 2: The Word Zheng: Taboo Substitutes and Equivalents -

Duan 端 Correct: -

Huà 化 Reform: -

Shì 是 Correct: -

-

若是.

3. 4.

端=正神 明. 端=正倚. -

-

5.

-

化=政… 道; 化=政之 期; 玉化 opp. 滑;

於是; 是政. 是者; 是與; 是故 x 2.

6.

-

化彼 x 2; 不化.

7.

道端=正; 自端=正.

8.

-

精之所 化; 化=正坐 自端; 引而化 之. 立化樹 俗.

9.

失端= 正; 端= 正天地.

化萬物; 神化= 政 x 4.

10.

-

樹俗立 化; 化出此; 化立 x 2.

1. 2.

Wáng 王 King: 王鈇 x 2; 王者.

Zhèng 正 Correct: -

Zhèng 政 Governance: -

Zheng 鉦 Meet: -

Zhì 治 Rule: -

-

-

-

-

-

-

五政.

-

義... 治. -

聖王 x 3; 虛王; 先王.

-

四氣為政; 政之期; 政在私家; 取政; 政

-

-

是以 x 3.

-

公政.

-

-

是故 x 6; 則是.

明王; 先王 x 3; 以一王 業; 王過.

國政; 君之政;

-

非是 x 2; 是以; 法不敗是 =正? 從是. 是以 x 5; 如是; 由是.

聖王; 王者用 人.

正=政於 時; 正=政一 國; 正=政以 錯國; 正 言直行. 務正=政 一國; 正=政以 錯國; 正=政不 易言. 反正則 舍; 滑正=政 x2

-.

-

治世; 事至而 治; 任治=政; 治亂之 分. 聖人… 治.

二政.

-

治漸終 始; 平治; 官治=政 x 3; 教治=政 x 2; 因治=政 x 3; 事=爭治 =政 x 3; 至治.

是故.

祀以家 王; 王鈇 x 3; 王不舉 祭.

氣之正= 政; 形之正= 政; 德之正= 政; 四時之正 =政; 正名; 正義; 五正= 政 x 2; 正其音. 體正 x 2; 斥正; 正=政以 六律; 中正; 出正= 征無道; 正=政以 齋明; 璽正; 執正=政; 體正之術

為政; 柱國不政; 絿政.

鉦=正面.

嗇夫治; 治滿; 亂治=政; 不赫治.

王鈇; 聖王; 后王.

219

220 / APPENDIX 2

-

內端=正; 端端; 正端.

化四時.

-

王王= 正正; 易姓而 王.

11.

二端.

百化; 神化.

-

12.

-

變化.

13.

-

化薄.

14.

操其端.

-

大道是= 正也? 以是. 是以 x 2; 是謂; 其言辱是 =正? 是行. 是以; 是故 x 4; 如是; 由是. 是故.

15. 16.

緒端. -

醫化之.

如是. -

17.

-

獨化

是=正? 也; 是故; 是以; 由是.

18.

-

-

是也 x 5; 是以 x 2.

卓襄王 x 4; 王獨 x 2; 楚王 x 2; 王其忘 乎; 周武. 王=三者 明白; 先王之 道; 道之先 王. -

19.

-

-

是者; 是也; 是則; 是故; 是…也.

三王 x 2.

中國之正 =政; 正一; 正神明; 正=政以 六律; 按圖正 端; 天地之正 器; 用法不 正; 天子為正 =政; 正其形; 正聲. 味之正= 政.

政莫不效; 執政; 順愛之政; 逆愛之政; 內政=正.

-

兩治=政?

-

-

滑政

鉦=正面.

致治; 治之期; 聖人...治. -

-

-

治者亂 之.

正=政之 末. -

兵政=征.

-

-

-

-

治亂國. 已成必 治; 治病 x 2; 治之.

正=政之 末.

-

-

四方弗 治.

為之正= 政; 正辭. -

-

-

方圓治.

-

-

-

武王不正 =征.

武王.

-

霸王; 武靈王.

Appendix 3 Terminology and Personages Essential Vocabulary ace, top grade: jùn 俊, 雋, see: valiant, hero. employments, tasks, affairs: shì 事. analysis, division by three and five, checking: canwû 參五/伍. arms: bing 兵. authority, power, expedience: quán 權. Augustan, Emperor: Huáng 皇. Augustan of Heaven and Earth: Huáng Tiandì 皇天地. Beckoner, leading star in the Dipper handle: Zhaoyáo 招搖. campaigns: zheng 征/正. See: correct; governance. change, revolution: biàn 變. civil, culture, pattern, design: wén 文. communality, constitution, cognate ‘law’ q.v.: fàn 范,笵, 範. control, system: zhì 制. contrive, do, endeavour, consider as: wéi 為. correct, erect: duan 端, taboo avoidance of zhèng 正 ‘correct/governance’, personal name of Qín’s First Emperor. See also: governance; campaigns; face-to-face. courage: yông 勇. contracts, pledges: yue 約 (chs. 5-7, 9). culture, civilization, design: wén文, c.f. propriety and principle. customs, morals, vulgar: sú 俗. Daoism: Dàojiào 道教. design, pattern, culture, civil: wén 文 cf. culture. Dipper, Bushel, Plough, Ursa Major constellation: Bêidôu 北斗. divine: shén 神. dynamics, power, potential, ‘positional advanatage’: shì/yì 勢, 埶. Confused with ‘hot’: rè 熱 (vi), ‘art’: yì 兿/蓺, ‘grasp’: zhí 執 (chs. 5, 8, 17), ‘who?’: shú 孰, the latter two with each other (ch. 8): total 18/19 occurences. Earth, physical nature: Dì 地. emotions, see: reality. employment, tasks, affairs: shì 事, confused with contention: zheng爭 (ch. 8). Emperor, God, ‘Thearch’: Dì 帝. See: Augustan, huáng: 皇. energy: qì 氣. essence, lnked to spirit and energy: jing 精. evidence: yàn 驗. expedience, authority, weighing: quán 權. face to face: zhèngmiàn 鉦=正面 (chs. 9, 12) see: correct. factual, result: guô 果. 221

222 / APPENDIX 3 fathom, determine: cè 測. fence-in, rule by division: yòu 宥, 囿. flavor, food: wèi 味. form, penalties, physical body: xíng 刑, 形. generation, world: shì 世. God, Emperor: dì 帝. god, spirit, divine: shen 神. good-fortune, blessings: fú 福, jí 吉. Opposite: huò 禍, xiong凶. governance, government: zhèng 政/正. Written as ‘reform’: huà 化 and ‘rule’: zhì 治 possibly for taboo avoidance. See also: campaigns; correct. Heaven, sky, God, God-given nature: Tian 天. Heavenly Melody, system of bimonthly reporting by the six whole tones (liù-lyù 六律) in the octave: Tianqû 天曲. Heavenly Hero: Tianying 天英. Heavenly Warrior: Tianwû 天武. hegemon, paramount ruler temporarily acknowledged by the states after the Zhou sovereign had lost his political power: bà 覇. ‘here’/ ‘this’, particular case in law, relevant facts: cî 此 (opp. ‘that’/‘there’ bî 彼). hero, third grade of excellence: ying 英 (see: ace, valiant). household, family, school (of philosophy): jia 家. ideas: yì 意. individual, ego, ‘I’: wô 我. King, divine sovereign in the first three dynasties of Xià 厦, Shang 商, and Zhou 周, a title later usurped by leading barons. The graph was interpreted as the link between heaven, earth and man: Wáng 王. know, knowledge: zhi, zhì 知; 智. law, model, cognate ‘communality’ q.v.: fâ 法, 灋 (78 occurences). man, human; humane: rén 人; 仁. mandate, destiny, command: mìng 命 (47 occurences) cf. names. martial, military, warrior: wû 武. meaning, call: wèi 謂. model, pattern: zé 則. motive, cause: gù 故. multitude, masses: zhòng 眾. myriad, ten-thousand, infinite number: wàn 萬. myriad things or beings, phenomena: wàn-wù 萬物. names, titles, terms, words, reputation: míng 名. nation, state: guó 國. necessity, inevitability: wúyî 無已 (ch. 5). cf. bùdéyî 不得已. night walker: yèxíng 夜行 (chs. 3, 19). non-contrivance, inaction, laissez-faire: wúwéi 無爲. principle, rationality: lî 理, see: propriety. propriety, ritual, morality: lî 禮, see: principle.

TERMINOLOGY AND PERSONAGES / 223 reality, truth of feelings and sensory perception, the authentic: qíng 情 cf. substance, materiality: shí 實. reason, see: principle. reckon, regulate: dùo 度 (ch. 8). reform, transform: huà 化. revolution, metamorphoss, alteration: biàn 變. return, revert: fù, fân 復; 反, see: rotator. rhetoric, deceptive or superfluous language: yíncí 淫辭. rhythm, timing, regulate: jié 節. rotator, turn: huán 還, see: return. Sage: shèng 聖. seasons, times: shí, jié 時節. shady, sunny: yinyáng 陰陽. shady warp: yinjing 陰經. shaman, witch: wu 巫 cf. teacher: shi 師 see: spirit medium. sign, paradigm, portent, opportunity: ji 稽, 幾, 機. soul, efficacious, magic: ling 靈. space: yû 宇; space-time: yûzhòu 宇宙. spirit, divine, gods: shén 神. spirit medium, victim: wang 尩, 尪, see: shaman. substance, materiality: shí 實, cf. reality qíng 情. suchness, nature: rán 然. suicide, cut his throat: wênjìng, zìjîng 刎脛, 自剄. sun and moon, day and month: rìyuè 日月. solar technique: rìshù 日術 cf. heavenly melody. teacher, shaman: shi 師 cf. shaman: wu 巫. things, created beings: wù 物. ‘this’, see ‘here’. time: zhòu 宙, see: space: yû宇. times: shí 時, see: seasons: jié 節. True Man: zhenrén 真人 (ch. 12). Ultimate Man: zhìrén 至人 (chs. 12, 18). Under-Heaven, the world, empire: Tianxìa 天下. unity, one, oneness: yi 一，壹. valiant, second grade: háo 豪, see: ace, hero. valiant knights: lièshì 烈士. virtue, quality, manas, cognate with ‘getting’: dé 德, 得. warehousing, conservation: sè 嗇, see: warehouser. warehouser, district officer: sèfu 嗇夫, see: warehousing. water, produced by Heaven: shuî 水. Way: Dào 道 (152 occurences). Way’s Law: Dàofâ 道法.

224 / APPENDIX 3

Number Codes one: unity, prime, energy. two: principles, energies, shade-sunshine. three: armies, Heaven-Earth-Man, Kings. four: quadrants, directions, neighbors, seasons, signs, virtues. five: agents/conquests, days, energies, Emperors; colours, flavours, governances, offices, sounds, tones, virtues: quintupling. six: bureaux, directional co-ordinates, laws, pitch-pipes. seven: sorites of the Way (ch.14). eight: directions, extremities. nine: Heavens, Augustans, barbarians, designs, galaxies, regions, Dipper stars, Ways. ten: reforms, days (chs. 8, 9). eleven, eleven virtues (ch. 6). ‘thirteen’ (unnamed): signs (ch. 3). fifteen: days (ch. 9). thirty: days (ch. 9). forty-five: days (ch. 9). sixty: days (ch. 9). seventy-two: days, a fifth part of the 360 day year; battles (chs. 9, 12). hundred: battles, employments, enterprises, fathers, gods, laws, men, reforms, selves, tribes. three hundred and sixty: days (ch. 9). thousand: gold pieces, men, tactics, lî, words (chs. 1, 12, 17-19). myriad: explanations, lives, nations, people, turns, things/beings. eighteen thousand: year reign of the Complete Ninth (ch. 9). million: corpses (ch. 19).

Complements design principle (wénlî). energy flavour (qìwèi). Heaven Earth (tiandì). human real feeling (renqíng). principle reality (lîqíng). shade, darkness sunshine, light (yinyáng, míng-míng). things/beings species (wùlèi). things principles (wùlî). Way law (dàofâ). Way virtue/getting (dàodé).

Oppositions compliant love (shùn’ài) forced love (nì’ài). dynamics (shì) >< investigation (chá). dynamics (shì) >< things (wù). form (xíng) >< spirit (shén). name (míng) >< substance (shí).

TERMINOLOGY AND PERSONAGES / 225 penalties form (xíng) >< virtue, favour (dé). this/here (cî) >< that/there (bî). tones scale (yin) >< pitchpipe modulations (lyù). wet (shi) dry (zào).

Personages Bâilî Xi 百里奚, premier to Hegemon Duke Mù 穆 (r. 659-621) of Qín (ch. 16). Biânquè 扁鵲, legendary doctor. Here Baron Wén (r. 636-628) of Jìn, elsewhere Baron Huán (r. 714-695) of Cài, refused treatment until the disease was beyond control (ch. 16). Bîgan 比干, loyal adviser, martyed by tyrant Zhôu of Shang (ch. 13). Bóyí 伯夷, son of ruler of Guzhú, brother of Shúqí. Each abdicated in favour of the other, then went west where they met King Wû who was carrying a wooden idol of his father Wén in a carriage. After King Wû overthrew Shang they starved to death in protest on (Shânxi) Mt Shôuyáng. They are criticised as impractical by Pheasant Cap (ch. 13). Cangjié 倉(蒼) 頡, legendary inventor of writing under the Yellow Emperor, and, here, of Law (chs. 7, 9; Fig. 3). Cáo Mò (Jù) 曹沫, patriotic general of Lû 魯 who at a conference in 681 held Duke Huán 桓of Qí 齊 hostage, forcing him to restore territory to Lû (ch. 12). Chéngjiû 成鳩, see Complete Ninth (ch. 9). Chiyóu 蚩尤, here treated almost on a par with Yellow Emperor; generally remembered as primaeval rebel, killed by Yellow Emperor in MWD ‘Punishing Rebellion’ (Zhengluàn), worshiped in Hàn dynasty as inventor of metal weapons (ch. 12; Fig. 18). Chóu Mù 裘牧, loyal minister of Sòng, struck dead by minister Nángong Wàn who assassinated Duke Mîn in 682 (ch. 13). The assassin’s name is absent here. Complete Ninth, Chengjiû 成鳩(=九). ‘Ninth’ written with the bird radical I take as honorific and possible taboo avoidance of his holy name. Literally ‘Complete Dove’, it evidently denotes a messiah to crown the historic series of Nine Augustans (ch. 9). Dàoxiang, King 卓襄王 (r. 244-236) of Zhào, ‘the Afflicted’ (ch. 16). Fàn Lî 范蠡, counsellor to King Goujiàn of Yuè instrumental in the recovery of his kingdom in 473 (ch. 16). Fèi Zhòng 費仲, opportunist sycophant who served tyrant Zhôu of Shang (ch. 13). First August Emperor of Qín, Qín Shîhuángdì 秦始皇帝 (r. 221-210). First Kings, Xianwáng 先王, the dynastic founders. Five Emperors, Wû-Dì 五帝, the pre-dynastic god-kings of legend (ch. 12). Fuchai 夫差, hegemon king of Wú 吳 (r. 495-473), who in 494 conquered and captured Goujiàn of Yuè 越, who later overthrew him and absorbed his kingdom (chs. 12, 19). Goujiàn 夫差, hegemon king of Yuè (r. 496-465), overthown by Fuchai of Wú in 494 but regained his kingdom in 473 and annexed Wu (chs. 12, 16, 19). Gouméng 勾萌 (Goumang, 勾芒), crop-sprouting god of Spring (ch. 7). Grand Augustan, Tàihuáng 泰皇, evidently first of the Nine Augustans and acolyte of Grand Unity (ch. 10). Worshipped in Chû as Eastern Augustan of Grand Unity, Donghuáng Tàiyi 東皇太一 (Figs. 6-7).

226 / APPENDIX 3 Grand Superior, 泰上, used to qualify the Ultimate Way of the Complete Ninth and his golden age (ch. 9). Lâo Zî (17): “Under the Grand Superior, subordinates do not know he is there.” Grand Unity: Tàiyi 泰一, 太一, 泰壹; Tàiyî 太乙; Dàyi 大一, monad, star, god and principle (chs. 10-11; Figs. 4b, 6-10). Associated with Heavenly Unity star, Tianyi, Tianyî. Guân Zhòng (d. 645), Guân Zî 管仲子, premier to hegemon Duke Huán of Qí (chs. 12-13, 16). Hán Xuanzî 韓宣子 with Wèi 魏 and Zhào 趙 defeated tyrannical usurper Zhì Bó at Jìnyáng in 453 and divided his state of 晉among themselves (ch. 19). Huán 桓, Duke (r. 685-643) of Qí, first great hegemon who took the place of the powerless Zhou king and nine times covened the barons (chs. 13, 16). Huáng Dì, see Yellow Emperor. Jizî 姬子, Grand Tutor to tyrant Zhôu of Shang who imprisoned him. He escaped death by feigning madness. On the fall of Shang, he reputedly led his followers to Korea where he founded a state rather than serve the Zhou dynasty (ch. 13). Jiân Shú 蹇叔, advised Duke Mù of Qín against attacking Zhèng. His advice was ignored and Qín suffered defeat in 627 (ch. 13). Jié 桀, tyrannical last king of the Xià dynasty (trad. d. 1766). Jù Xin 劇辛 (d. 242), general of Yàn 燕, originally of Zhào 趙, who cut his throat after his abortive invasion of Zhào and defeat by Páng Xuan (ch. 12). Lî Si 李斯 (c. 278-208), ex-pupil of Xún Zî (313-238) and premier to Qín’s First Emperor. Cited in fellow-townsman Jiâ Yì’s Owl Rhapsody (Appendix 1). Líng, King of Chû 楚靈王 (r. 540-529) in 533-531 used younger brother Qìjí to annex the small border states of Chén and Cài but was toppled by Qìjí and committed suicide (ch. 19). Nángong Wàn 南宫萬, assassin (ch.13). His name seems to have been excised from the received text. See: Chou Mu. Nine Augustans, Jiû-Huáng 九皇, series of divine monarchs from prehistory (chs. 10-11; Figs. 4, 6-7). See: ‘Complete Ninth’. Ninth Augustan, Jiû-Huáng 九皇 (ch. 4). Páng Huàn 龐煥 (ca. 300), military adviser to King Wûlíng of Zhào (ch.19). Páng Xuan 龐暖, general of Zhào, leader of failed combined assault on Qín in 241. Possible descendant of strategists Páng Huàn and/or Páng Juan (d. 341). A work on diplomatic alliance-brokering bearing his name is listed in Hàn History (ch. 16). Shang Róng 商容, musician and ritualist, imprisoned for admonishing tyrant Zhôu of Shang but re-instated by King Wû of Zhou (ch. 13). Shen Biao, Baoxu 申麃, 包胥 friend of Wû Zîxu in Chû. Wû Zîxu fled to Wú and returned with an army which captured Chû capital Yíng in 506. Shen then fled to Qín and helped restore King Zhao of Chû with a Qín army in 505 but declined office (chs. 13, 16). Shen Túdí 申徒狄, a protest suicide by drowning in the Yellow River. Mò Zî fragments indicate he had urged the Duke of Zhou (c. 1100) to employ worthies (ch. 12). Shúqí 叔齊 see: Bóyí. Shùn 舜 (trad. 2225-2206) legendary predynastic Emperor chosen on merit to succeed him by Emperor Yáo. He in turn appointed Yû (ch. 13; Fig. 14). Tàigong Wàng, Grand Duke Wang, Jiang Zîyá, Lyûshàng 太公望, 姜子牙, 呂尚, butcher who became military adviser and premier to founder King Wû of Zhou (chs. 12-13, 16). Tàihuáng 太皇, see Grand Augustan. Tàiyi 太一, see Grand Unity.

TERMINOLOGY AND PERSONAGES / 227 Tang 湯, Chéng 成 ‘the Victorious’ (r. BC 1766-1754?), founder of the Shang 商, alias Tianyî 天乙, or in late fiction Tàiyî 太乙 (chs. 13-14; Figs. 16a-b). Three Kings, San-Wáng 三王, founders of Xià, Shang and Zhou dynasties (ch.12). Wén, Duke, Baron 魏文侯, Duke of Wèi (r. BC 636-628) (ch. 16). Wén, King 文王, ‘Civil King’ (BC 1099-1050), father of Wû (ch. 12). Wû, King 武王 ‘Martial King’ (r. BC 1049?-1043) founder of the Zhou 周 dynasty and overthrower of Shang (ch. 13). Wûlíng, King 武靈王 (r. BC 325-299 d. 295) of Zhào, military reformer who seeks advice from Páng Huàn. He unwisely abdicated to his sons (ch. 19). Wùlái 惡來, villainous strongman of Qín who served Shang tyrant Zhôu (ch. 13). Wû Zîxu, Yuán 伍子胥, when, in BC 522, King Píng of Chû killed his father, he fled to Wú, where he counselled King Hélú’s victory over Chû in BC 506. Subsequently, he was slandered and executed by King Fuchai. see: Shen Túdí. Yáo 堯, legendary predynastic Emperor who abdicated to the Sage Shùn (chs. 13-14; Fig. 14). Yellow Emperor, Huáng Dì 黄帝, legendary unifying emperor of pre-dynastic era (ch. 12; Fig. 14). Yi Yîn 伊尹, commoner promoted by founder King Tang of Shang to become his chief adviser and premier (chs. 12-13; Figs. 16a,b). Yú 禹 the Great (‘r. 2205-2197’), founder of the Xià dynasty, famed for flood control and channeling rivers (ch. 12). His lameness gave the name to shamanic Yû-step (Yûbù 禹 步). Yuán Jì 原季, minister to hegemon Duke Wén 文 (r. 636-628) of Jìn 晉 (ch. 16). Yúfù 俞跗, legendary doctor like Qíbó 岐伯 (Fig. 14) said to have served the Yellow Emperor. He is adduced in regard to King Zhao (r. 515-489) of Chû (ch. 16). Zhao 昭, King of Chû (r. 515-489) see Shen Biao (chs. 13, 16). Zhì Bó 智伯, usurper in Jìn, was killed and his head lacquered after the battle of Jìnyáng in 453. Jìn then split into the three states of Zhào under Xiang Zî (r. 457-425), Wèi (Liáng) and Hán (roughly Shanxi, Hénán and Hébêi) (ch. 19). Zhôu Xin 紂辛, last King of Yin-Shang 殷商 and corrupt tyrant killed by King Wû of Zhou (ch. 13).

Appendix 4 Analysis of Contents and Parallel Texts Title and speakers 1. Universal Selection Graham: A: ‘Legalist’. Peerenboom: ‘non-Huáng-Lâo’. 2. Manifest Hope Graham: A: ‘Legalist’. Peerenboom: ‘unproven’. Quasi-Confucian. 3. The Night Walker Peerenboom: ‘Huáng-Lâo’.

Brief content Messianic ruler. ‘Four Signs’. Meritocracy. (no proper names). Lament for a corrupt age and hope for a New Order. Propriety and Right. ‘Gentleman’ (junz’).

Parallel Texts ‘Royal Axe’ (ch. 9). Ace-Valiant-Hero (ch. 17). Zhànguó Cè 29 (Yàn). Wénzî 7 (Weimíng): 58; 12 (Shànglî): 97. MWD Dàofâ.

Thirteen-fold schema. Lâo Zî’s vacuity as invisible presence. Five agents. (no proper names).

4. Heaven’s Model Graham: B: Utopian. Peerenboom: Huáng-Lâo. 5. Circular Flow Peerenboom: Huáng-Lâo.

Sage King to inaugurate reform & welfare. Ninth Augustan. Fence-in. The One Man. ‘This/here’ in law. Dipper’s nine stars. Unity from universal Energy. Law’s Mandate complements the Way. Dipper signals seasons. Great Dynamic? Dialectic, cyclic action. (no proper names). ‘Here’ in law. First Kings employed worthies. ‘Gentlemen’. The One Man. Heaven’s timing. Study. (no proper names). Warning to Zhào. Arms and man. ‘Heaven is high and hard to know’ (rev. 13). ‘Cold with fear in heart…in isolation stands’ (ch. 7). Cangjié inventor of script and law. Study. Against ‘savage law’. Divine law’s harmony. Phoenix and Unicorn. 360 day solar calendar. ‘Gentleman’ (junzî). One Man. ‘Here’ in law.

Lâozî 14, 15, 21. Guânzî 2 (Xíngshì), 17 (Bingfa), 64 (Xíngshì Jiê): ‘night walking’ (ch. 19). Lyûshì Chunqiu 5-2. Guân Zî 4: Lìzhèng ‘seven views’ (qi-guan); 38 Báixin; 73 Guóxù. ‘this/here’ Lâozî 12, 38, 72. Guânzî 11: Zhòuhé. Lâozî 2 on harmony in difference.

6. The Way’s Governance Peerenboom: Huáng-Lâo. Quasi-Confucian. 7. Nearing Collapse Héguan Zî, Páng Zî. Graham: anti-naturist. 8. Saving Myriads Héguan Zî, Páng Zî. Graham: B Utopian. Peerenboom: Huáng-Lâo. 9. Royal Axe Héguan Zî, Páng Zî. Grand Superior Complete Ninth. Graham: A: Legalist. Peerenboom: Huáng-Lâo. 10. Grand Galaxy Graham: B Utopian. Peerenboom: Huáng-Lâo. 11. Grand Record Graham: B Utopian. Peerenboom: Huáng-Lâo. 12. A Generation’s Arms Graham: C Primitivist. Peerenboom: partly Huáng-Lâo. 13. Complete Knowledge Graham: C Primitivist. 14. Armed Campaigns Páng Zî, Héguan Zî. Graham: rule of man, militarist. 15. Study Problems Páng Zî, Héguan Zî. Peerenboom: eclectic. 16. Generation’s Worthies King Dàoxiang, Páng Xuan. Pro-active. 17. Heaven’s Authority Peerenboom: part Huáng-Lâo. 18. Enabling Heaven Mystic. 19. King Wûlíng Wûlíng, Páng Huàn. Graham: militarist. Peerenboom: partly Huáng-Lâo.

Complete Ninth’s united communality. Penal Law. 360 day solar calendar. Jùnxiàn province to district administration. Cangjié inventor of script. Multitude/ individual. Communalty. Flavors. Multitude/ individual. Cosmic rule on musical model. Five agents. Nine Augustans, Grand Unity, Grand Augustan. Nine Augustans embody Grand Unity. Communality. Hereditary succession by Way and Virtue of First Soul Kings. War inevitable. Defeat can turn to victory. Yellow Emperor. Cáo Mò knight-errant. Gentleman. Condemns Jù Xin’s suicide of 242 BCE. ‘Rhapsody of the Hero’. Dynamics. Loss of golden age. Harsh criticism of times. Promotion of Worthy. ‘Heaven is high yet may be known’ (rev. ch. 7). Ridicules suicide. ‘Cold with fear in heart…in isolation stands’ (ch. 7). Adapt to physics of dynamics. Divine luminaries. Study of Nine Ways of rulership and Six Laws. Hereditary succession for the virtuous.

‘Concentrated in his body’ (ch. 18). MWD Wû-Zhèng ‘starts in the body’; Dàofâ; Sì-Dù. GD Liù-Dé: six virtues. Guóyû 21 Yuèyû-xià. Mengzii 7a. 15 ‘study’. Lâozî 69 “making light of the enemy.” Only mention of ‘non-contrivance’ wúwéi, but ‘having contrivance’ (ch. 13). MWD Wû-Zhèng: ‘name embodied’. MWD Dàofâ; Hán Fei vi: ‘reject the selfish’. ‘Royal Axe’ (ch. 1). Guânzî 4 Lìzhèng: Shôuxiàn; 20 Xiâo Kuang. Guóyû 6 Qíyû. Chû titles: Zhûguó, Lìngyîn. Lâozî 15, 28 on simplicity and purity. MWD Jingfâ. No evident parallels. Zhànguó Cè 13 Yàn gong Qí. Owl Rhapsody. Lâozî 58: good and ill fortune. Zhuangzî 32: Liè Yùkòu. Lyûshì Chunqiu (Jî) 6-4: Zhìyuè. ‘Unmourned funerals’ (ch. 18). ‘Having contrivance’ but ‘non-contrivance’ (ch. 7). Lâozî 29; 64; 80. Hán Feizî 8: “He who contrives it, spoils it.” Mencius 2: Heaven-Earth-Man. Guóyû 21: Yuèyû-xià. Xúnzî 10: Yì Bing. MWD Bingróng. Xúnzî 1: study (chs. 6, 7).

Appoint worthy ministers to ‘doctor’ the state. ‘Having contrivance’.

Hán Feizi 21 on Lâozî’s ‘take disease as disease’.

Rotator, Augustan of Heaven and Earth. Heavenly Hero, Beckoner star of Dipper. Ace-Valiant-Hero. Man to fulfill mandate by Dynamics and Principle. Criticism of rhetoric. ‘Grand Mountain’ Tàishan. Ace-Valiant-Hero grades.

Lîjì: 1 Qulî. Mencius 2: Heaven-Earth-Man. Guóyû 21: Yuèyû-xià. MWD Bingróng. ‘Concentrated in himself ’ (ch. 6). ‘Unmourned funerals’ (ch. 13). Zhuangzî 6 ‘immortality’. Mencius 2: ‘knowing words’. Wénzî 12: ‘heroes’. Sunzî 3. Night walker (ch. 3).

Victory by minimal arms. A historical fiction.

228

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INDEX abdication. 4, 55, 56, 64, 150, 209 abide, 42, 43, 91, 94, 117 accumulate, 106, 125, 168, 175, 218 action, 53, 57, 58, 71, 72, 75, 90, 94, 111, 121, 122, 125, 145, 149, 155, 156, 165, 173, 186, 195, 228 agent, 6, 63, 64; see also five conquests aim, 14, 52, 57, 69, 84, 101, 102, 149, 168, 198 alchemic, 21 Allan, 1, 4, 11, 232 allegory, 37, 76, 192 almanac, 7, 49, 199 Ames, 46, 57, 232, 235 Analects, 186 analysis, 35, 76, 221 ancestor, 1, 2, 36, 213 ancestral,, 10, 36, 41, 55, 69, 151, 152, 168 Anhui, 44 annex, 211, 226 anthropomorphic, 8 antiquity, 5, 34, 55, 154, 156, 172, 192 Aquinas, 74 Aristotle, 46, 62, 77 army, 6, 31, 42, 115, 121, 126, 174, 175, 199, 203, 226 art, 33, 43, 57, 73, 200 assassin, 171, 183, 226 astral, 11, 22, 43, 79 attack, 42, 51, 64, 77, 78, 83, 90, 92, 125, 132, 211 Augustan, 16, 25, 38, 42, 66, 69, 76, 140, 152, 153, 157, 158, 164, 195, 196, 221, 225, 226, 228 authoritarian, 27, 38, 80, 129, 139 average, 60 aware, 73, 178 awe, 52, 120, 153, 188 axe, 23, 34, 35, 38, 43, 89, 90, 139 Bai Qi, 121 Baili Xi, 173, 184, 193 barbarian, 28 battle, 21, 23, 52, 90, 97, 121, 174, 176, 186, 202, 227 battle-axe, 23 beam, 186 bear,10, 51

Beijing., 19, 21, 23, 45, 229-32, 235-38 beings, 6, 8, 27, 62, 65, 109, 111, 114, 130, 138, 139, 162, 199, 222-24 belief, 1, 5, 46, 61, 67, 74 benevolent, 94, 144 Bianque, 194 Bigan, 185 bird, 4, 6, 22, 23, 69, 134, 139, 171, 179, 200, 215, 225 blame, 75 bodhisattva, 19 body, 17, 18, 23, 42, 61, 62, 94, 116, 135, 146, 182, 186, 209, 218, 222 book burning, 31, 32 Boyi, 182 Buddha, 17, 22, 40, 164 Buddhist, 1, 10, 19, 21, 24, 64, 66, 235, 236 bureaucracy, 7, 9, 55, 89, 129, 143 butcher, 37, 226 calendar, 42, 49, 57, 128, 146, 159, 190, 228 calligraphy, 31, 128 campaign, 30, 52, 59, 89 Cangjie, , 9, 10, 19, 32, 52, 56, 77, 121, 128, 139 Cao Cao, 17 Cao Mo, 72, 171, 174, 175 cavalry, 24, 209 censor, 4 center, 8, 10, 14, 16, 21, 23, 53, 68, 129, 131, 136, 152, 162, 178, 199 Central Grand Unity, 18 centralization, 30 Chang’an, 18, 30 change, 7, 48, 50, 55, 63, 126, 141, 153, 160, 163, 166, 172, 178, 199, 210, 221 Changping, 74, 83, 121 chariot,10, 14, 33, 43, 111, 126, 200, 212 Cheng Tang, 21, 89 Chengjiu, 69, 139 chengxiang, 39 child, 35 Chiyou, 13, 50, 51, 52, 59, 172 Chou Mu, 183, 226 Chu silk manuscript, 49 circle, 166, 207 civil, 36, 39, 44, 51, 56, 65, 73, 96, 102, 243

244 / INDEX 143, 221 clan, 13, 17, 69, 77, 78, 121, 139, 140, 155, 156 collapse, 126, 139, 200 color, 15, 16, 33, 154, 161, 163, 174 command, 4, 79, 91, 103, 169, 190, 222 communality, 27, 153, 157, 163, 165, 221, 228 compass, 18, 67, 68, 157 compendium, 31, 44 Complete Ninth, 67, 69, 139, 140, 141, 143, 150, 151, 153, 155, 156, 157, 181, 224, 225, 226, 228 compliant, 53, 157, 166, 224 concubine, 42 Confucian, 1, 3, 22, 30, 31, 32, 33, 37, 40, 46, 49, 53, 56, 61, 129, 157, 188, 215, 228, 234 Confucius, 1, 4, 7, 14, 17, 31, 33, 39, 41, 48, 53, 63, 72, 75, 76, 81, 89, 92, 109, 113, 135, 197, 229, 235 conquest, 2, 30, 39, 40, 42, 45, 51, 59, 62, 66, 78, 82, 121, 124, 195, 200, 209 consentual, 27, 163 constellation, 7, 8, 10, 12, 13, 67, 97, 99, 221 contend, 2, 58, 59, 97, 137, 141 contradiction, 1, 29, 61, 81, 111 contrary to virtue, 73 contrivance, 29, 72, 112, 125, 138, 193 control, 3, 11, 13, 32, 37, 38, 49, 50, 53, 54, 59, 60, 62, 95, 101, 105, 114, 118, 130, 134, 139, 143, 162, 164, 167, 168, 186, 199, 221, 225, 227 corpse, 79, 138 correlative, 7, 76 correlativism, 46 corrupt, 2, 5, 71, 75, 76, 92, 93, 94, 100, 106, 126, 148, 181, 182, 184, 210, 227, 228 cosmology, 67 courage, 24, 73, 75, 100, 113, 118, 174, 221 Creel, 28, 30, 44, 54, 233, 237 crime, 53, 148 criminal, 171, 175 critique, 97 crocodile, 13 crows and flies, 155 cult, 14, 22, 32 culture, 23, 28, 65, 71, 95, 136, 195, 200,

215, 221 customs, 81, 98, 122, 137, 142, 153, 160, 185, 221 cycle, 6, 23, 34, 39, 40, 45, 59, 113, 128, 146, 156, 157, 215 cyclic, 228 Daofa, 26, 32, 34, 44, 93, 101, 107, 139, 155, 188, 190 Daoism, 1, 5, 7, 10, 17, 18, 19, 28, 29, 32, 44, 50, 57, 68, 73, 79, 221, 232, 234, 236, 237, 240 Daoist, 1, 8, 10, 13, 17, 18, 19, 21, 24, 25, 28, 30, 33, 39, 40, 43, 52, 68, 73, 78, 80, 106, 164, 204, 233, 236, 237, 240 Daoxiang, 78, 83, 192, 193, 195 Daoyan, 64, 66 Dark Emperor, 64 Dark Warrior, 5, 20, 33, 64, 199 day, 9, 16, 17, 26, 37, 50, 89, 119, 123, 127, 146, 150, 159, 174, 215, 223, 224, 228 De Groot, 12, 13, 234, 235 death, 4, 23, 25, 30, 31, 45, 48, 52, 56, 77, 83, 90, 95, 149, 152, 154, 172, 175, 178, 192, 197, 211, 215, 218, 225, 226 debate, 3, 48, 74, 75 decide, 89, 103, 110, 127, 167, 190 decision, 71, 90 deed, 83 defend, 202 defensive, 44 Defoort, 2, 4, 12, 23, 25, 46, 53, 64, 71, 74-82, 84, 85, 99, 103, 107, 112, 132, 165, 166, 169, 191, 193, 203, 212, 213, 215, 234 deities, 17, 49, 67 deity, 1, 5, 18, 20, 21, 22, 23, 32, 52, 58, 74, 95, 96 demoness, 12 design, 96, 99, 130, 163, 167, 168, 170, 203, 221, 224 desire, 55, 136, 148, 155, 173, 175 destiny, 45, 62, 93, 204, 222 destruction, 59, 82, 169, 212 devouring creatures, 49 dialectics, 73, 80, 107 Dipper, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 17, 18, 49, 67, 68, 96, 97, 99, 109, 199, 204, 221, 224, 228, 237 direction, 5, 68, 85, 109, 111, 121, 163, 199

INDEX / 245 disorder, 59, 76, 89, 106, 110, 117, 131, 148, 159, 163, 170, 172, 182, 190, 198, 203 divide, 1, 26, 62, 117, 119, 166, 167 divine, 1, 5, 6, 8, 12, 15, 19, 27, 34, 36, 45, 47, 48, 49, 52, 53, 64, 66, 76, 77, 90, 108, 116, 136-41, 143, 151, 153, 157, 158, 160-69, 187, 188, 189, 201-04, 207, 216, 221-23, 226 Divine Farmer, 69 division, 26, 54, 56, 62, 111, 120, 190, 221, 222 doctor, 29, 72, 113, 192, 193, 194, 225, 227 Dong Zhongshu, 6, 12, 44, 45, 69, 81, 114, 118, 157, 166, 168, 181, 215, 229 dragon, 6, 7, 13, 14, 16, 182 drought, 12, 47, 129, 178, 217 drugs, 194 Du Guangting, 10 duan, 83, 89, 90, 111, 113, 116, 132, 158, 221 Dudbridge, 21, 234 duke, 139 dynamic established, 60 dynamics, 26, 38, 57, 59, 60, 61, 62, 63, 68, 90, 103, 106, 111, 112, 130, 132, 133, 161, 176, 178, 185, 186, 187, 204, 206, 208, 221, 224, 228 dynasty, 2, 4, 9, 13, 17, 18, 19, 20, 30, 31, 40, 41, 47, 48, 53, 62, 63, 64, 69, 79, 82, 192, 225, 226, 227 earth, 6, 59, 65, 79, 114, 157, 162, 163, 186, 199, 222 earthly branch, 9, 128 Eastern Augustan, 14, 15, 225 eighteen thousand years, 69, 140 eleven virtues, 113, 224 Eliade, 3, 234 embodiment, 6, 21, 138, 141 embody, 143, 228 emotion, 71 emperor, 4, 14, 15, 18, 20, 28, 41, 42, 51, 55, 67, 69, 80, 146, 227 empire, 3, 32, 37, 41, 42, 52, 80, 223 employment, 95, 97, 98, 100, 105, 108, 116, 117, 152, 174, 176, 181, 185, 190, 192, 197, 198, 211, 221 empress, 152 encyclopaedia, 7, 42, 64, 80 energy, 9, 10, 21, 36, 57, 59, 61, 108, 111,

112, 119, 129, 131, 146, 157, 158, 160, 161, 164, 165, 166, 167, 169, 174, 178, 207, 216, 217, 221, 224 qì, 130 enlightened, 74, 90, 161, 173 epic, 10, 21, 62 equality, 10, 48, 100, 108, 112, 166, 168 essence, 10, 14, 36, 54, 65, 97, 114, 134, 135, 138, 157, 158, 160, 164, 167, 168, 188, 221 essential desires, 70 ethos, 46 eunuch, 31 evil, 57, 58, 71, 98, 113, 125, 145, 149, 154, 181 examination, 44, 45, 213 excess, 42, 124, 132, 144 execute, 103, 150 exorcism, 12 expedience, 63, 187, 221 fa, 33, 45, 47, 50, 51, 53, 54, 68, 84, 128, 156, 176, 181, 191, 233, 241, 242 face, 14, 19, 23, 39, 84, 91, 118, 156, 170, 171, 179, 181, 197, 221 fact, 10, 15, 36, 52, 76, 84, 155, 156 family, 48, 77, 82, 145, 222 Fan Ye, 23 father, 13, 42, 43, 98, 103, 107, 110, 142, 144, 148, 163, 165, 171, 181, 215, 225, 227 fault, 40, 179, 194 fear, 72, 120, 125, 173, 228 feeling, 27, 79 Feizhong, 185 feminine, 10, 58, 70 fence, 98, 222 Feuchtwang, 7, 10, 12, 73, 234 fight, 25, 51, 78, 210 filialty, 144 fire, 6, 43, 44, 59, 60, 106, 129, 130, 157, 162, 172, 186, 199 First Emperor, 15, 28, 30, 31, 32, 33, 34, 41, 42, 43, 64, 69, 80, 82, 83, 113, 137, 149, 210, 221, 226 First Kings, 30, 36, 107, 110, 115, 120, 207, 225, 228 fish and turtles, 182 Five Blessed Grand Unities, 18 Five Bushels of Rice, 28 five conquests, 59, 130, 202 Five Emperors, 18, 63, 225

246 / INDEX five notes, 111 fixed reality, 71, 74, 93, 95 flavor, 66, 163, 222 flood, 12, 13, 41, 50, 227 foot, 182 force, 27, 32, 52, 57, 58, 61, 62, 63, 68, 74, 95, 106, 107, 114, 124, 176, 188, 197, 204, 209, 210 forced love, 27, 163, 224 forge, 207 form, 3, 8, 22, 25, 31, 42, 45, 51, 53, 54, 61, 62, 65, 67, 68, 70, 76, 78, 80, 82, 83, 93, 96, 107, 111, 116, 130, 131, 132, 140, 165, 169, 178, 196, 199, 201, 205, 222, 224, 225 form-name, 31, 45, 107 Frazer, 12, 234 Fuchai, 73, 179, 210, 216, 225, 227 funeral, 138, 192 future, 3, 34, 35, 42, 66, 67, 69, 81, 120, 124, 129, 137, 139, 150, 163, 171, 188, 205, 210 Gansu, 31, 40 general, 23, 26, 28, 42, 47, 67, 72, 76, 77, 78, 85, 112, 121, 147, 171, 173, 174, 175, 201, 225, 226 generate, 100, 101, 130, 138 Gesterkamp, 8, 18, 19, 24, 234 get, 8, 9, 60, 62, 65, 67, 89, 93, 98, 100, 103, 106, 110, 111, 123, 124, 130, 134, 136, 141, 148, 149, 157, 158, 179, 184, 194, 196, 198, 200, 213 god, 7, 12, 14, 17, 20, 21, 22, 23, 24, 36, 68, 74, 122, 164, 182, 222, 225, 226 goddess, 10 golden age, 67, 181, 226, 228 Golden Flower, 21, 233, 241 golden pheasant, 22, 23 Gongsun Long, 75, 85 Gongsun Qing, 69 good, 3, 34, 35, 47, 53, 57, 58, 66, 74, 103, 105, 108, 109, 110, 112, 117, 120, 121, 122, 132, 138, 145, 147, 149, 150, 154, 168, 170, 178, 179, 181, 191, 192, 195, 203, 207, 209, 213, 216, 222, 228 goose, 35 Goossaert, 13, 17, 20 got, 58, 78, 102, 103, 114, 185, 193, 207, 208 Goujian, 59, 89, 124, 179, 180, 193, 210, 211, 216

Goumang, 225 Goumeng, 122 govern, 44, 67, 94, 106, 116, 121, 142, 143, 145, 157, 162, 193 Graham, 2, 4, 7, 25, 26, 39, 40, 44, 46, 48, 54, 56, 60, 64, 70, 74, 75, 80, 82, 92, 111, 181, 228, 235, 236, 240 Grail king, 12 Grand Peace, 17, 41 Grand Superior, 42, 69, 140, 226, 228 Grand Unity, 5, 6, 7, 8-11, 13-24, 33, 34, 40, 53, 56, 62, 64, 68, 69, 74, 76, 77, 79, 93, 97, 130, 156-58, 162, 164, 165, 181, 195, 225, 226, 228 Grand Unity sect, 20 Granet, 12, 45, 46, 235 Great Dynamic, 34, 61, 62, 68, 108, 111, 228 Great Wall, 30, 31, 41, 42, 44 Great Yu, 13, 41, 135, 172 Guan Yu, 19, 20 Guan Zhong, 36, 42, 56, 72, 139, 143, 156, 179, 181, 184, 193 Guanzi, 4, 6, 35, 36, 37, 48, 49, 53, 54, 55, 56, 58, 68, 69, 71, 78, 93, 97, 98, 102, 103, 106, 111, 113, 114, 120, 124, 131, 134, 136, 138, 139, 143, 172, 185, 188, 194, 199, 204, 205, 229, 231, 238, 242 Guiguzi, 14, 15, 68, 73, 78, 111, 137, 208, 212, 229, 233 Gun, 13 Guodian, 2, 6, 35, 75, 188, 229, 232, 233, 234, 236, 239, 240 Guoyu, 51, 56, 59, 73, 89, 114, 124, 143, 176, 185, 186, 188, 202, 229 Hall, 46, 57, 235 Han, 1, 2, 3, 4, 6, 7, 8, 9, 13, 14-18, 20, 22-24, 28-34, 36-40, 42, 44, 45, 47, 49, 50, 52-56, 60, 61, 63, 64, 68, 71, 73, 77, 79, 81-83, 95, 103, 106, 111, 112, 139, 157, 178, 189, 192, 194, 204, 207, 210, 211, 213, 215, 229-38, 242 Han dynasty, 8, 13, 17, 28, 30, 32, 49, 189 Han Feizi, 14, 23, 30, 36, 40, 42, 45, 54, 55, 60, 64, 68, 71, 73, 77, 82, 83, 95, 103, 106, 111, 112, 139, 178, 192, 194, 204, 207, 210, 229 Han Wudi, 15, 16, 50 Han Xuanzi, 210, 211 Han Yu, 79, 230

INDEX / 247 Handan, 77 Hansen, 25, 70, 84, 235 Harbsmeier, 70, 236 hatred, 34, 90, 175 Hawkes, 10, 13, 14, 22, 68, 79, 215, 236 Hay, John, 236 hear, 91, 93, 104, 119, 123, 129, 137, 141, 142, 143, 144, 151, 153, 180, 189, 190, 193, 194, 195, 196, 200, 210, 212 Heaven, 3, 4, 6, 7, 8, 10, 14, 15, 17, 18, 19, 25, 30, 33, 38, 44, 45, 47, 48, 49, 51, 52, 53, 54, 55, 58, 59, 61, 63, 65, 67, 69, 71, 73, 74, 76, 85, 90, 96, 98, 99, 100, 103, 105, 107, 114, 115, 116, 117, 120, 121, 122, 123, 124, 129, 130, 131, 134, 135, 136, 137, 138, 140, 141, 142, 143, 146, 147, 148, 150, 152, 153, 156, 157, 158, 159, 160, 161, 162, 163, 164, 165, 166, 167, 168, 169, 170, 172, 173, 175, 176, 177, 180, 181, 183, 184, 185, 186, 187, 190, 195, 196, 199, 200, 202, 203, 204, 205, 206, 207, 210, 217, 221, 222, 223, 224, 228, 232, 234, 236, 238, 239, 241 Heaven’s Son, 11, 146, 147, 164, 168 Heavenly melody, 143, 147 heavenly stem, 9, 21, 128, 146 Hebei, 2, 6, 22, 41, 42, 78 Hegel, 73 hegemon, 36, 42, 64, 156, 179, 192, 210, 216, 222, 225, 226, 227 Heguanzi, 1, 22, 47, 80, 81, 87, 121-24, 127, 128, 129, 135, 137, 140-43, 151, 152, 154, 155, 186-92, 230, 233, 234, 236, 238, 239, 241, 242 heir, 18, 31, 42, 78 Henan, 20, 22, 28, 31, 182 hereditary, 4, 48, 52, 55, 69, 89, 164, 170, 215 hero, 10, 12, 19, 20, 31, 32, 91, 121, 128, 195, 203, 209, 215, 221, 222, 223 highways, 33, 43 Hindu, 10 history, 2, 3, 13, 15, 18, 29, 41, 42, 44, 46, 52, 62, 66, 68, 78, 92, 181 holism, 70 Holy Roman Empire, 63 hour, 25 household, 144, 145, 149, 151, 152, 153, 155, 170, 194, 222 Huainanzi, 8, 14, 26, 30, 41, 43, 47, 49,

52, 58, 68, 97, 109, 131, 136, 178, 217, 230, 238 Huan Yuan, 35, 36 Huangdi, 7, 9, 15, 32, 33, 43, 44, 82, 230, 241 Huang-Lao, 44, 45, 47, 239, 242 Hubei, 23, 28, 35, 39, 233, 234, 238, 242 Huizong, 18, 234 human sacrifice, 12, 20 humane, 33, 37, 41, 51, 55, 90, 115, 117, 138, 151, 163, 222 humanity, 36, 53, 62, 63, 107, 113, 116, 118, 121, 126, 144, 165, 180, 188, 191, 202 Hunan, 2 Hundred Schools, 2, 3, 32, 33, 66, 84 hypocrisy, 40, 71, 75, 92, 106 idea, 30, 31, 34, 44, 45, 49, 55, 62, 67, 68, 73, 85, 157 ideal, 8, 9, 17, 33, 55, 56, 57, 66, 76, 79, 96, 106 identity, 1, 8, 30, 46, 73 ideology, 1, 31, 32, 44, 45, 56, 215 illumined, 14, 41, 45, 61, 67, 114, 126, 167, 171, 176, 202 image, 23, 31, 34, 45, 60, 67, 76, 79, 96, 97, 160, 169, 173, 196, 206 immanence, 46 immanent, 61, 71, 95 immortal, 44, 204 inclusive, 26 individual, 12, 17, 19, 25, 26, 45, 72, 89, 222, 228 inexorable, 44 innately king, 34 interpenetration, 107 invent, 190 invisible, 10, 11, 36, 58, 85, 95, 136, 166, 196, 204, 228 jade, 11, 31, 106 Jia Yi, 2, 37, 38, 43, 44, 55, 71, 80, 81, 90, 111, 114, 171, 177, 182, 188, 215, 230 Jiangziya, 10 Jie, 4, 30, 34, 55, 71, 83, 95, 97, 103, 120, 173 Jing Ke, 43, 72, 171 Jixia, 35, 36 Jizi, 183 Ju Xin, 64, 72, 77, 83, 171, 175, 176 judge, 44, 52, 103 Jurchen, 18, 20

248 / INDEX justice, 7, 32, 48, 66, 76, 90, 92, 93, 100, 103, 113, 123, 126, 130, 133, 134, 139, 164, 165, 188, 191, 211 K.C. Chang, 4, 10, 20, 21, 34 Karlgren, 14 kill, 11, 100, 155, 159, 169 king, 11, 12, 23, 40, 47, 48, 52, 56, 63, 72, 76, 89, 97, 98, 105, 121, 124, 151, 152, 164, 169, 210, 213, 225, 226 King Tang, 11, 21, 29, 35, 104, 171, 172, 173, 182, 184, 185, 193, 227 King Wen, 51, 179, 180 King Wu, 23, 56, 77, 78, 82, 83, 172, 173, 180, 192, 193, 209, 210, 213, 215 kingdom, 42, 67, 73, 77, 78, 82, 100, 101, 107, 124, 129, 137, 209, 210, 215, 225 Kirkland, 19, 20, 31, 36, 237 knowledge, 31, 34, 52, 74, 75, 81, 85, 92, 94, 104, 106, 128, 131, 136, 139, 171, 172, 173, 180, 181, 184, 197, 198, 200, 201, 217, 218, 222 Kohn, 1, 10, 11, 19, 40, 41, 233, 234, 237, 239, 240, 241 Kuai, 56, 64 Kublai Khan, 20 Kui, 12, 13, 14, 49 lame, 12 lament, 4 language, 25, 75, 81, 83, 84, 85, 98, 118, 154, 190, 209, 223 Laozi, 1, 2, 3, 6, 12, 14, 17, 18, 19, 24, 29, 31, 33-36, 38, 39, 40, 43, 44, 54, 57-60, 63, 71-75, 78, 79, 81, 82, 84, 89, 95, 181, 192, 194, 195, 210, 230, 232, 234 law, 7, 9, 10, 11, 28, 30, 32, 33, 39, 41, 45, 46, 47, 48, 49, 50, 51, 52, 53, 54, 56, 60, 61, 62, 66, 68, 71, 74, 75, 77, 80, 82, 96, 98, 103, 104, 107, 108, 109, 110, 111, 113, 115, 120, 121, 122, 127, 128, 130, 134, 141, 148, 153, 160, 161, 166, 167, 170, 176, 185, 188, 189, 198, 199, 211, 212, 222, 224, 228 lead, 34, 120, 196, 205 legal, 26, 33, 41, 44, 46, 47, 60, 78, 106 legalist, 4, 35, 80 legend, 12, 13, 52, 225 Lenk, 46, 235, 236, 237, 239 lever, 190 Lewis, 12, 14, 16, 43, 47, 51, 52, 139, 237 Li Bing, 28 Li Jing, 21

Li Ling, 16, 238 Li Si, 31, 32, 40, 41, 69, 77, 81, 138, 216 library, 42 life, 14, 22, 25, 31, 33, 57, 60, 65, 66, 72, 95, 105, 110, 125, 149, 152, 171, 177, 178, 186, 191, 197, 205, 215, 218 light, 5, 14, 21, 24, 39, 57, 99, 108, 114, 118, 125, 195, 197, 224, 228, 232 Lightning Mother, 24 lingyin, 77 Lintong, 31 Linwu, 77 lion, 19 literature, 12, 31, 32, 43, 64 Liu An, 14, 230 Liu Bang, 28, 30, 39, 44, 52 Liu Xie, 79, 231 Liu Zongyuan, 80, 230 Longzhong, 28 loom, 102 Louguantai, 41 love, 27, 36, 75, 103, 115, 117, 132, 149, 157, 163, 183, 189, 206, 211, 224 loving the people, 48 Lü Buwei, 7, 14, 31, 34, 40, 42, 43, 44, 49, 55, 62, 68, 73, 76, 81, 171, 195, 230 Lu Dian, 2, 80, 81, 85, 104, 111, 112, 113, 118, 135, 137, 140, 164, 165, 166, 177, 203, 212, 230 Lü Dongbin, 19 Lu Lengjia, 24 lunar, 13, 50, 68, 97 Luo Bi, 8, 33, 38, 230 Machiavelli, 66 magistrate, 13, 145, 146, 148 Major, 10, 221, 237, 238 Makeham, 54, 74, 107, 238, 239 man, 3, 7, 10, 12, 15, 25, 26, 33, 40, 44, 54, 60, 61, 62, 64, 70, 72, 77, 79, 90, 102, 114, 121, 122, 127, 129, 130, 139, 155, 175, 178, 179, 185, 195, 204, 206, 209, 217, 218, 222, 228 mandate, 3, 4, 8, 25, 27, 37, 45, 47, 48, 54, 64, 69, 72, 82, 90, 92, 93, 107, 110, 113, 116, 127, 139, 143, 152, 167, 173, 177, 178, 184, 185, 188, 190, 196, 213, 218, 222, 228 manifest, 10, 22, 57, 76, 95, 108, 136, 148, 201, 207 Manjusri, 19 martial, 21, 23, 24, 28, 36, 50, 51, 52, 73,

INDEX / 249 78, 121, 142, 222, 241 Martial Emperor, 17, 33, 45, 50, 69 Mawangdui, 2, 16, 23, 24, 26, 32, 34, 39, 41, 44, 47, 52, 58, 107, 121, 156, 185, 215, 229, 230, 231, 232, 236, 237, 238, 240, 241 meaning, 30, 42, 57, 65, 76, 83, 84, 85, 93, 105, 110, 128, 154, 179, 208, 222 medicine, 31, 33, 107, 113, 193 meditation, 21, 37, 79 medium, 12, 223 Mencius, 4, 5, 24, 26, 33, 41, 53, 61, 63, 73, 75, 89, 92, 113, 121, 164, 185, 195, 228 merchant, 34, 53 meritocracy, 4, 55, 56, 80 messiah, 69, 139, 225 metal, 6, 59, 60, 156, 157, 162, 186, 199, 207, 225 Miao, 50, 51 Middendorf, 70, 71, 239 middle, 162, 186, 191, 194 militant, 19, 28 military, 3, 5, 17, 23, 24, 42, 44, 47, 48, 50, 52, 53, 56, 62, 63, 71, 73, 78, 79, 102, 113, 143, 172, 186, 203, 222, 226, 227 mind technique, 138 minister, 31, 44, 48, 51, 52, 56, 80, 103, 119, 172, 173, 225, 227 Miu Ji, 16, 17 model, 22, 27, 34, 43, 45, 46, 47, 48, 52, 54, 56, 76, 95, 101, 117, 134, 140, 141, 150, 153, 154, 172, 179, 217, 222, 228 Mollier, 1, 11, 63, 239 monad, 226 monk, 45, 64 monogenesis, 46 month, 22, 26, 42, 43, 44, 50, 109, 215, 223 moon, 6, 18, 23, 29, 53, 98, 99, 101, 109, 133, 140, 146, 159, 160, 173, 208, 223 moral, 33, 36, 37, 39, 40, 45, 61, 63, 73, 75, 129, 188 morality, 6, 17, 34, 50, 77, 92, 106, 107, 149, 210, 222 mosquito, 79, 197 mother, 10, 21, 42, 142, 163, 165 motive, 82, 222 mountain, 14, 20, 25, 28, 31, 33, 43, 50, 59 Mountains and Seas Classic, 23

Mozi, 4, 7, 26, 31, 48, 49, 51, 53, 59, 60, 70, 74, 89, 92, 100, 111, 141, 164, 182, 203, 213, 230 multitude, 138, 141, 144, 154, 168, 179, 180, 201, 207, 218, 222 mural, 19, 23 music, 7, 13, 14, 49, 62, 76, 94, 129, 164, 188, 190, 195 myriad, 6, 27, 47, 49, 57, 59, 62, 65, 66, 91, 99, 102, 109, 111, 112, 114, 115, 119, 128, 130, 134, 136, 139, 141, 143, 153, 154, 155, 156, 159, 160, 161, 162, 164, 166, 173, 180, 181, 196, 199, 202, 207, 209, 212, 217, 222, 224 myth, 6, 12, 40, 46, 52, 66, 76 Nachiketa, 20 Nalakubera, 20 name, 1, 9, 20, 22, 26, 29, 30, 32, 34, 39, 40, 42, 45, 47, 53, 54, 75, 77, 82, 83, 84, 90, 107, 108, 110, 113, 119, 121, 137, 138, 139, 155, 165, 166, 173, 174, 175, 181, 183, 194, 195, 201, 203, 215, 221, 224, 225, 226, 227, 228 Nangong Wan, 183 Nata, 21 nation, 26, 49, 52, 61, 91, 116, 120, 121, 123, 124, 125, 126, 132, 137, 145, 147, 148, 150, 170, 174, 192, 193, 200, 211, 222 necessity, 32, 58, 60, 61, 70, 107, 111, 141, 185, 222 Needham, 2, 8, 9, 46, 47, 57, 68, 103, 107, 146, 239 negative, 76, 81, 134 Nezha, 20, 21 night walker, 2, 58, 96, 210, 212, 222 Nine Augustans, 10, 18, 33, 34, 67, 68, 69, 97, 129, 157, 158, 165, 225, 226, 228 nine palaces, 9 Nine Songs, 14 nine ways, 135, 188 nodes, 50 non-contrivance, 29, 30, 37, 58, 72, 89, 97, 124, 125, 192, 222, 228 Northern Emperor, 41 Northern Range, 24 nothing, 33, 72, 76, 90, 108, 111, 112, 129, 132, 142, 177, 190, 191, 192, 196, 217 numerology, 95, 167, 172, 189

250 / INDEX objective, 46, 49, 54, 70, 71 objectivity, 26, 47 one leg, 12, 14 One Man, 12, 25, 26, 107, 113, 116, 228 oneness, 26, 31, 223 opera, 24 opportunity, 223 opposites, 8, 46, 58, 59, 75, 107, 129 oracle, 2, 10, 14, 21, 189, 211 orientation, 3, 5 Orthodox Unity, 17, 28, 73 Owl Rhapsody, 44, 80, 81, 171, 182, 215, 226, 228 painting, 16, 24 palace, 2, 20, 31, 66 Pang Huan, 78, 82, 121, 209, 210 Pang Xuan, 64, 77, 78, 79, 83, 121, 192, 193, 194, 213 Pangzi, 73, 78, 121-23, 127, 128, 129, 135, 137, 140-43, 151, 152, 154, 156, 180, 186-91 Pankenier, 14, 23, 81, 215, 239 Parmenides, 57 passivity, 6, 58 past, 3, 47, 67, 81, 92, 124, 132, 139, 163, 179, 198, 203, 205 patter, 39 peace, 34, 41, 43, 48, 50, 55, 66, 148, 149, 183 pearl, 101 peasant, 1, 44, 64 Peerenboom, 2, 40, 47, 75, 76, 228, 239 Peking, 18, 20, 24, 64 penal, 33, 51, 52, 96, 98 people, 26, 33, 39, 41, 54, 55, 58, 63, 70, 81, 95, 96, 98, 100, 101, 102, 104-06, 117, 119, 123-25, 134, 135, 138, 148, 155, 164, 174, 182, 185, 192, 197, 208, 211, 224 perception, 70, 71, 74, 97, 104, 195, 223 person, 17, 25, 30, 52, 58, 81, 85, 89, 91, 97, 107, 113, 116, 127, 154, 170, 173, 174, 193, 213 personal, 37, 42, 44, 47, 48, 53, 69, 74, 77, 81, 82, 84, 90, 175, 193, 221 persuade, 74 philosopher, 1, 2, 19, 56, 57, 89, 99, 164 philosophy, 1, 3, 5, 7, 25, 26, 31, 32, 38, 39, 46, 47, 50, 52, 54, 74, 75, 113, 222, 237 phoenix, 4, 7, 22, 47, 134, 135

physical, 31, 38, 39, 45, 53, 70, 71, 76, 204, 221, 222 physics, 74, 186, 228 Plato, 52, 57, 66, 74, 75, 76, 235 poetry, 74 polar, 67, 68, 76 pole, 5, 7, 8, 10, 11, 12, 72, 77 political, 2, 4, 14, 22, 24, 27, 29, 31, 39, 40, 42, 52, 57, 62, 63, 65, 66, 68, 71, 73, 79, 81, 82, 97, 132, 157, 192, 222 portrait, 19 positive, 46, 58, 77, 171, 204 posthumous, 21, 70, 82, 83, 132, 149 power, 4, 10, 15, 17, 23, 26, 28, 36, 42, 45, 48, 57, 60, 61, 62, 63, 64, 74, 79, 85, 89, 99, 106, 113, 139, 166, 204, 221, 222, 237 preach, 76, 82 predict, 167 Pregadio, 1, 17, 18, 19, 239 premier, 7, 30, 31, 32, 34, 36, 40, 42, 45, 56, 64, 75, 77, 78, 79, 81, 139, 143, 145-47, 156, 192, 215, 216, 225-27 primitivist, 81, 82, 181 primordial, 10, 32, 181 prince, 14, 23, 31, 34, 77, 78 principle, 4, 6, 29, 30, 48, 54, 71, 74, 75, 83, 93, 96, 99, 103, 114, 164, 165, 169, 180, 183, 199, 206, 221, 222, 223, 224, 226 probability, 60, 112 produce, 2, 13, 78, 84, 159, 192 promotion, 4, 34, 45, 49, 54, 82, 98, 128, 182 prophet, 2, 5 propriety, 6, 7, 56, 65, 71, 80, 92, 93, 94, 113, 118, 121, 123, 188, 189, 221, 222 psychology, 31, 54, 181, 185 pun, 12, 34, 45, 79, 89, 157 punish, 125, 147, 150, 185 Purple Tenuity, 8 purposive, 29, 37 pyramid, 33, 43, 89 Qin Shihuang, 41, 42, 44, 69, 90, 92, 113, 138 qing, 14, 54, 70, 74, 80, 93, 94, 132, 136 Qiu Xigui, 12, 60, 229, 230, 240 Qu Yuan, 14, 182, 215 question, 1, 32, 33, 45, 55, 68, 70, 78, 80, 90, 104, 107, 185, 189 rain, 11, 12, 13, 14, 16, 53, 59, 129, 130

INDEX / 251 Rand, 3, 15, 50, 240 range, 40, 45, 57, 85 rational, 1, 6, 30, 48, 74, 93, 103, 161, 163, 164, 199, 206 real feeling, 71, 92, 93, 94, 142, 145, 163, 224 realism, 31, 74, 80, 97 reality, 14, 27, 46, 54, 70, 71, 74, 75, 76, 80, 90, 92, 94, 97, 105, 109, 132, 143, 144, 155, 165, 169, 173, 181, 189, 190, 203, 208, 221, 223, 224 realpolitik, 40, 61, 73 reason, 1, 32, 48, 52, 64, 70, 77, 112, 122, 123, 125, 126, 127, 130, 161, 174, 183, 184, 188, 197, 204, 223 rebel, 4, 50, 64, 132, 225 reform, 37, 54, 72, 81, 108, 120, 134, 195, 223, 228 religion, 1, 7, 17, 18, 31, 41, 47, 58, 75 repeating cycles, 49 report, 22, 94, 144, 145, 146, 147 return, 3, 7, 72, 94, 113, 140, 158, 203, 223 revelation, 18, 64 revelatory, 7, 76 rhapsody, 71, 81, 215 rhetoric, 7, 74, 75, 76, 121, 223, 228 rhyme, 54, 89, 165 right, 1, 4, 6, 12, 18, 19, 45, 48, 66, 99, 100, 107, 110, 115, 141, 161, 177, 199, 202, 203, 211 ritual, 6, 7, 10, 12, 18, 20, 22, 34, 41, 52, 56, 62, 63, 69, 85, 92, 93, 94, 146, 150, 152, 188, 189, 222, 232 Ritual Record, 6, 157 Rongchengshi, 232, 239 rotator, 195, 223 Roth, 1, 29, 40, 233, 237, 239, 240, 241 royal, 10, 12, 14, 20, 34, 35, 37, 38, 47, 69, 89, 90, 116, 139, 171 rule, 1, 4, 10, 16, 26, 32, 38, 41, 44, 47, 48, 49, 55, 60, 62, 63, 68, 89, 105, 107, 111, 114, 121, 133, 139, 144, 147, 154, 166, 181, 198, 210, 222, 228 rule of law, 41, 49 ruler, 10, 17, 20, 25, 30, 33, 34, 35, 37, 47, 52, 54, 55, 56, 58, 62, 69, 72, 74, 89, 90, 92, 93, 95, 96, 99, 101, 103, 113, 114, 115, 117, 119, 120, 124-26, 133, 153, 164, 173-75, 181, 184, 185, 192, 203, 222, 225, 228

Ryden, 73, 240 sacrifice, 14, 17, 25, 41, 103, 112, 150, 217, 218, 237 sagacity, 41, 109, 113, 115, 118, 130, 161, 166, 167, 188 sage, 29, 42, 47, 53, 56, 194 satire, 81 savage law, 49, 53, 59, 129, 228 Savior of the Distressed, 19, 20 Seaman, 20, 28, 64, 240 season, 157, 159 sect, 20, 28 selection, 44, 45, 56, 90, 91, 101, 186 self-adapt, 49, 127 self-so, 58, 168, 194 sensory, 71, 195, 223 Seven Laws, 54 Shaanxi, 22, 52, 241 shady, 57, 58, 72, 96, 138, 212, 223 shady warp, 58, 72, 96, 212, 223 shaman, 12, 38, 113, 223 Shandong, 1, 4, 36, 41, 104, 242 Shang, 2, 4, 10, 11, 14, 20, 21, 26, 28, 29, 34, 35, 47, 48, 51, 52, 53, 56, 63, 65, 78, 89, 91, 124, 134, 157, 171, 172, 180, 182, 184, 188, 189, 193, 212, 216, 222, 225, 226, 227, 232, 237, 240 Shang Rong, 184 Shang Yang, 26, 48, 52, 56, 65, 78, 124, 134, 188, 189 Shanxi, 2, 20, 28, 40, 42, 121, 211, 227 Shen Biao, 184, 193, 226, 227 Shen Buhai, 30, 44, 45, 52 Shen Dao, 26, 36, 45, 60, 61 Shen Tudi, 171, 182 shi, 14, 26, 44, 45, 49, 57, 59, 60, 61, 62, 83, 93, 112, 113, 120, 132, 134, 137, 165, 176, 177, 185, 195, 223, 225, 234, 238 shrine, 18, 19, 20, 24, 33, 40, 41, 43, 52, 65, 69, 121, 125, 169 Shuihudi, 2, 3, 39, 82, 231 Shujing, 6, 7, 59, 69 Shun, 13, 29, 45, 48, 51, 63, 72, 179, 183, 203 Shuqi, 182 Sichuan, 28, 234 sign, 4, 22, 32, 43, 50, 61, 159, 223 silk, 16, 23, 24, 85 Sima Qian, 2, 7, 15, 29, 31, 34, 35, 52, 69, 171, 231

252 / INDEX Sima Tan, 29, 30, 240 Sima Zhen, 34, 69 sincerity, 95, 118, 120, 139, 140, 141 Six Dynasties, 17 six laws, 188, 191 Six Strategems, 89 slave, 53, 173 Slingerland, 30, 240 snake and tortoise, 5, 20 solar, 8, 9, 49, 57, 139, 143, 146, 147, 223, 228 solar technique, 139, 143, 147, 223 Song, 2, 4, 8, 14, 18, 19, 20, 26, 33, 39, 64, 68, 70, 80, 96, 98, 166, 183, 204, 230, 231, 233, 234, 236 soul, 10, 140, 190, 223 sound, 12, 36, 50, 51, 57, 70, 91, 92, 93, 111, 118, 161, 169, 200 space, 9, 68, 163, 195, 196, 201, 223 Spinoza, 70, 239 spirit, 8, 10, 12, 21, 22, 38, 43, 49, 66, 79, 110, 130, 131, 151, 155, 160, 164, 167, 178, 194, 209, 221, 222, 223, 224 spirit feathers, 22 square, 50, 65, 106, 117, 150, 166, 167, 173, 179, 207 stars, 5, 6, 8, 10, 11, 13, 19, 49, 53, 67, 68, 77, 97, 98, 141, 224, 228 state, 2, 4, 7, 16, 17, 25, 26, 28, 33, 40, 41, 42, 44, 45, 47, 48, 50, 52, 54, 79, 125, 146, 169, 181, 192, 222, 226, 228 stele, 20, 32, 41, 69, 83, 113 step-father, 31, 34, 42 strategy, 49, 50, 58, 175, 201, 210 strong, 41, 52, 62, 109, 123, 124, 125, 134, 140, 212, 216 study, 2, 50, 65, 69, 70, 71, 75, 113, 120, 188, 189, 191, 202, 228 subject, 32, 47, 56, 73, 91, 113, 164 subjective, 49, 70, 71, 98, 204 substance, 1, 26, 65, 93, 95, 103, 111, 119, 175, 203, 204, 208, 223, 224 succession, 4, 34, 48, 69, 82, 99, 152, 153, 170, 171, 181, 192, 228 suchness, 131, 160, 187, 223 suicide, 30, 42, 72, 77, 78, 83, 171, 223, 226, 228 Sumeru, 10 sun’s dynamic, 57, 202 sunny, 11, 57, 58, 122, 138, 223 Sunzi, 59, 60, 67, 78, 101, 176, 210, 212

suppress, 59 sutra, 64 Suzong, 18 sword, 14, 15, 19, 75 syncretic, 50 taboo, 40, 42, 82, 83, 90, 95, 111, 113, 116, 132, 134, 137, 156, 158, 165, 221, 222, 225 tactic, 58, 72 Taigong, 89, 172, 184, 193 Taihuang, 42 taiji, 8 Taishan, 41, 104, 207 Taiyi, 7, 8, 9, 10, 11, 13, 14, 16, 17, 18, 20, 21, 22, 41, 74, 130, 231, 234, 236, 237, 238, 239, 240 Taizong, 79, 80 Taizu, 4 talisman, 16, 43 tally, 92, 102 Tang, 9, 10, 12, 18, 19, 21, 23, 24, 34, 35, 38, 41, 64, 69, 70, 79, 81, 121, 181, 183, 212, 227, 229, 230, 231, 234, 241 Tang dynasty, 34, 121 taste, 70 teacher, 34, 55, 56, 58, 89, 117, 121, 143, 145, 164, 189, 200, 223 technology, 31 temple, 10, 18, 22, 40, 41, 64, 69, 147, 151, 152 Ten Grand Unities, 18, 24, 25 things, 6, 14, 26, 49, 57, 58, 59, 62, 63, 65, 66, 70, 71, 92, 100, 103, 108, 111, 113, 114, 117, 131, 134, 136, 137, 141-43, 151, 159, 161, 162, 164, 166-68, 170, 178, 180, 181, 186, 191, 195, 196, 199, 201, 202, 206-08, 217, 218, 222-24 Third Prince, 21 thirty spokes, 43 Thompson, 26, 111, 241 three hundred and sixty, 9, 49, 156, 224 Three Kingdoms, 19, 20, 28, 62 Three Kings, 14, 69, 156, 181, 227 threes and fives, 114 Thunder God, 24 Tian Fen, 45 tiger, 6, 24 time, 1, 2, 3, 4, 17, 27, 40, 48, 68, 73, 74, 77, 79, 89, 90, 104, 110, 148, 165, 177, 192, 195, 196, 223 timing, 8, 50, 64, 89, 90, 114, 119, 173,

INDEX / 253 175, 178, 185, 216, 217, 223, 228 title, 15, 21, 22, 32, 36, 41, 42, 56, 68, 69, 70, 82, 83, 139, 149, 157, 170, 185, 222 tomb, 2, 23, 31, 32, 35, 39, 44, 68, 182 tortoise, 4, 64, 189, 211 tradition, 1, 2, 24, 29, 36, 46, 48, 51, 78, 101, 129, 151, 157, 201 transcend, 2, 153, 204 transcendence, 46, 237 translation, 2, 6, 26, 27, 45, 47, 54, 57, 65, 84, 85, 153, 239 Triple Terrace, 13 trousers, 24, 209 True Man, 14, 21, 43, 53, 218, 223 True Warrior, 20, 21 tune, 165 Turner, 46, 47, 235, 241 turtle, 12, 13 Under Heaven, 34, 95, 97, 109, 121, 123, 124, 125, 126, 127, 130, 136, 160, 191, 201 unicorn, 4, 21, 135 unification, 1, 2, 3, 4, 5, 24, 25, 27, 30, 44, 61, 63, 77, 81, 89, 92, 129 unify, 52, 112, 156, 185 union, 6, 10, 16, 187, 204 unity, 2, 3, 7, 8, 19, 25, 26, 27, 28, 30, 31, 32, 37, 41, 46, 47, 52, 55, 61, 66, 74, 76, 78, 79, 81, 82, 97, 102, 107, 108, 112, 113, 134, 136, 139, 141, 146, 155, 158, 159, 161, 163, 169, 173, 176, 208, 223, 224 universal, 2, 10, 26, 27, 31, 42, 46, 48, 49, 50, 68, 75, 101, 133, 153, 161, 164, 203, 209, 228 universal love, 48, 75 urge, 81, 125, 186 utopia, 38, 50, 82, 157 Vaishravana, 21 valiant, 72, 221, 222, 223 verse, 82, 84, 85 victim, 11, 12, 13, 223 violence, 11, 29, 32, 41, 50, 64, 119, 150, 208, 234 virtue, 11, 14, 33, 36, 37, 38, 41, 45, 51, 52, 58, 61, 65, 69, 71, 73, 89, 90, 91, 92, 93, 96, 97, 99, 107, 111, 113, 116, 119, 126, 133, 135, 140, 142, 146, 148, 153-57, 160, 161, 166, 170, 172, 175, 180, 182, 188, 189, 195, 196, 207, 209,

213, 223,224, 225 Virtuous Water, 33 vulgar, 81, 180, 196, 221 Waley, 36, 58 Wang Chong, 49 Wang Mang, 17, 56, 79 Wang Yu, 18, 20, 80, 229 war, 32, 36, 39, 46, 51, 52, 53, 57, 58, 59, 63, 64, 65, 77, 121, 125, 136, 200 warehouser, 143, 145, 223 warehousing things, 146 warning, 2, 113, 121 Warring States, 1, 5, 23, 27, 42, 48, 66, 73, 82, 155, 182, 237 warrior, 6, 19, 20, 24, 222 water, 6, 7, 12, 13, 15, 33, 36, 40, 43, 44, 59, 60, 63, 111, 114, 129, 130, 157, 162, 172, 178, 186, 199, 203, 217, 223 Way, 1, 3, 7, 8, 10, 11, 14, 15, 30, 32, 3641, 45, 46, 49, 50, 53, 55, 58, 61-65, 68, 71, 74, 81, 89, 90, 92, 93, 94, 96, 97, 98, 100-04, 106, 107-12, 115-17, 119, 120-23, 126-29, 131, 134, 135, 138, 140, 142, 143, 150-52, 154, 15662, 165, 167, 170-72, 175-78, 180, 183, 185-91, 194-99, 201, 204-09, 212, 218, 223, 224, 226, 228, 235, 241 Way’s Law, 26, 32, 34, 40, 44, 215, 223 weapon, 89, 90, 152, 172, 203 Wells, 12, 45, 57, 60, 61, 62, 111, 112, 133, 241 Wen, 44, 45, 53, 55, 193, 194, 215, 230, 241 Wenzi, 14, 41, 47, 51, 53, 58, 72, 91, 97, 178, 199, 217, 231, 238 White Cloud Temple, 19, 20 wind, 13, 207 witch, 12, 113, 223 womb, 22 worms and maggots, 155 worthies, 4, 55, 81, 82, 94, 115, 116, 137, 165, 168, 181, 182, 192, 226, 228 worthy, 4, 49, 53, 55, 56, 69, 71, 72, 74, 77, 89, 90, 95, 101, 106, 107, 110, 112, 115-17, 124, 130, 138, 147, 148, 164, 167, 168, 172, 180, 182, 183, 190, 228 wound, 106, 195 writing, 3, 4, 8, 9, 10, 27, 32, 52, 56, 77, 121, 128, 139, 153, 225 Wu, 5, 9, 16, 19, 28, 45, 48, 53, 59, 60, 73, 78, 82, 89, 106, 116, 121, 124, 125,

254 / INDEX 130, 135, 137, 179-85, 192, 210, 211, 212, 216, 225, 229, 231, 238, 242 Wu Daozi, 5, 19 Wu Zixu, 182 Wudang, 20, 28, 64 Wulai, 185 Wuling, 78, 209 Xia, 13, 22, 34, 38, 41, 49, 51, 69, 109, 157, 172, 212 Xiang Yu, 30 Xianyang, 28, 30, 31, 40, 42, 52 Xishi, 73 Xuan, 9, 36, 77, 121, 226, 228 Xuanwu, 5 Yan, 56, 64, 72, 77, 83, 91, 171, 174, 175, 176, 230 Yangtse, 28 Yao, 29, 45, 48, 63, 64, 172, 179, 183 Yao Guangxiao, 64 year, 6, 12, 23, 26, 30, 33, 39, 41, 42, 44, 50, 74, 77, 82, 83, 113, 121, 135, 165, 171, 192, 209, 215, 224 Yellow Emperor, 7, 10, 12, 13, 16, 18, 21, 28-33, 35, 36, 38, 40, 42-45, 48, 50-53, 56, 58, 59, 69, 73, 77, 79, 89, 111, 116, 156, 172, 204, 212, 225-31, 240 Yellow River, 4, 19, 33, 40, 182, 191, 226 Yi Yin, 29, 34, 35, 56, 69, 172, 184, 185, 193 Yishan, 30, 41 Yongle, 4, 19, 20, 24, 64, 65, 165, 166, 169, 238 Youmiao, 50, 51, 172 youth mediums, 22 Yu step, 13 Yuan, 20, 36, 45, 62, 182, 193, 230, 231 Yufu, 13, 23, 193 Yuqiang, 23 Zhang Daoling, 17, 28 Zhang Jizong, 10, 230 Zhao, 2, 3, 22, 23, 31, 34, 38, 42, 56, 64, 73, 75, 77-79, 82, 83, 91, 121, 129, 171, 175, 180, 192, 193, 209-11, 213, 226, 227, 229, 230 Zhao Gao, 31 Zhaoying gong, 18 Zhejiang, 41, 126, 242 Zheng, 9, 28, 31, 34, 40, 42, 48, 49, 53, 59, 64, 79, 82, 116, 135, 137, 171, 188, 219 Zhenwu, 20, 233

Zhenzong, 18 Zhibo, 210 Zhou Rituals, 56 Zhou Xin, 185 Zhu Di, 4 Zhu Yuanzhang, 4 Zhuangzi, 1, 3, 7, 14, 29, 30, 36, 37, 38, 39, 43, 44, 55, 69, 71-76, 79, 81, 98, 107, 114, 129, 137, 138, 165, 171-73, 180, 182, 188, 197, 204, 207, 210, 232, 233, 237 zhuguo, 77 Zizhi, 18, 56, 64, 231 Zou, 4, 59, 63, 64 Zou Yan, 59, 63, 64