China: Five Thousand Years of History and Civilization 9629371405, 9789629371401

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CHINA

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Editorial Committee Project Director: H K CHANG Consultant: WU Tongrui, CHENG Pei-kai Chief Editors: YE Lang, FEI Zhengang, WANG Tianyou

Committee Members DING Yichuan, WANG Deyan, HE Jin, SHA Zongping, SUN Shangyang, ZHANG Yantian, GUO Hongti, ZHAO Jianwu, LU Yonglin, YU Yingchun, GU Zhaoshen, LI Zhonghua, ZHOU Xuenong, SUN Miao, ZHANG Ming, GUO Runtao, LIU Yongqiang, XIE Mingliang, WANG Zongyu, ZHU Qiuhua, LI Xinfeng, MENG Erdong, ZHANG Wenru, ZHANG Xuezhi, PENG Feng, LIU Houbin, LUO Xin, WANG Bo, HE Fangchuan, LI Jian, LIN Meicun, ZHANG Xiqing, XU Kangsheng, ZHAO Changzheng, LIU Huazhu, SU Peicheng

Translation Team Leader: WANG Rongpei Members: JIANG Yi, JIANG Xin, LI Xiuying, YAO Zhenjun

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China Five Thousand Years of History and Civilization

Chinese Civilisation Centre

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The illustrations are reproduced by kind permission of the following copyright holders: Beijing Oriental Press

Jiangxi Education Publishing House

Beijing People’s Fine Arts Publishing House

Joint Publishing (Beijing) Company Limited

China Architecture and Building Press

Morning Glory Publishers

Chinese People’s Liberation Army Publishing

Museum of Chinese History

House

Nanjing University Press

Chongqing Publishing House

National Palace Museum

Columbia University Press

People’s Fine Arts Publishing House

Copyright Agency of China

Russell & Russell

Cultural Relics Publishing House

Shanghai Chinese Classics Publishing House

Duo Yun Xuan

Shanghai Fine Arts Publisher

Encyclopedia of China Publishing House

Shanghai Literature and Art Publishing Group

Forbidden City Publishing House

Shanghai People’s Fine Arts Publishing House

Fujian People’s Publishing House

Shanghai People’s Publishing House

Gu Wu Xuan Publishing House

Shanxi People’s Publishing Group

Guangdong Travel and Tourism Press

Stanford University Press

Guangxi Education Publishing House

Suzhou Gardens and Landscaping Administration

Guangxi Normal University Press

Bureau

Hebei Education Publishing House

Taipei : Fu Jen Catholic University Publishing House

Henan Education Publishing House

Tianjin People's Fine Arts Publishing House

Hong Kong Museum of History

Yi Hsin Publishing Company Limited

Hunan Education Publishing House

Zhejiang Education Publishing House

Jiangsu Fine Arts Publishing House

Zhongzhou Ancient Books Publishing House

Jiangsu Kunqu Theatre

Zhongzhou Calligraphy and Painting Studio

Jiangsu People’s Publishing House

©2007 City University of Hong Kong All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, internet or otherwise, without the prior written permission of the City University of Hong Kong Press. First published 2007 ISBN: 978-962-937-140-1 Published by

City University of Hong Kong Press



Tat Chee Avenue



Kowloon, Hong Kong



Website: www.cityu.edu.hk/upress



E-mail: [email protected]

Printed in Hong Kong

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Contents Part I: History 1. The Prehistoric Society of China The Geography of China



3

The Origin of Ancient Man in China



5

The Palaeolithic Age in China



6

The Neolithic Age in China



8

Primitive Agriculture and Handicraft



12

The Development of Primitive Clan Society



16

2. Ancient China Legendary Ancient China



21

Xia, Shang and Western Zhou Dynasties



24

The Spring and Autumn Period and the Warring States Period



34

The Qin and Han Dynasties



44

The Wei, Jin, Southern and Northern Dynasties



55

The Sui and Tang Dynasties



61

The Song Dynasty



78

The Yuan Dynasty



89

The Ming Dynasty



95

The Qing Dynasty

103

Early Modern China

109

3. China from the Qin Dynasty to the Tang Dynasty

4. China During the Song, Yuan, Ming and Qing Dynasties

Part II: Culture and Art 5. The Art of Ancient China The Art of Painted Pottery

118

The Art of Bronze-casting

122

The Art of Jade-carving

128

The Art of Lacquerware

132

6. The Chinese Language and Chinese Characters The Formation of the Common Han Language

138

The Chinese Characters

143

7. The Book of Change The Book of Change

156

The Commentries on the Book of Change

166

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8. The Book of Poetry Outline of The Book of Poetry

178

Historical Narrative Poems and Poems of Lamentation in The Book of Poetry

182

Poems Depicting Social Life, Love and Marriage in The Book of Poetry

186

Artistic Features of The Book of Poetry

194

9. The Chuci Poetry The Chu Culture and Chuci Poetry

202

Qu Yuan

205

The Nine Songs, The Nine Elegies, Sky-vaulting Queries and the Requiem

210

Song Yu and the Nine Apologies

214

The Influence of Chuci Poetry

215

10. The Confucian School in the Pre-Qin Period The Founding of the Confucian School

220

The Life and Teachings of Confucius

225

Mencius

232

Xunzi

236

11. The Taoist School in the Pre-Qin Period A Brief Account of the Taoist School in the Pre-Qin Period

244

Laozi

246

Yang Zhu and Liezi

250

The Huang-Lao Tradition

252

Zhuangzi

254

The Position and Influence of the Taoist School in the Pre-Qin Period

258

12. The Legalist School in the Pre-Qin Period A Brief Account of the Legalist School in the Pre-Qin Period

262

The Three Stages of Formation and Development of the Legalist School

264

Shang Yang—The Most Famous Legalist Reformer

268

Han Fei—The Legalist with Greatest Attainments

272

The Historical Position of the Legalist School

276

13. Sunzi—The Art of War The Author of Sunzi—The Art of War

280

The Military Thoughts in Sunzi—The Art of War

283

The Philosophical Thoughts in Sunzi—The Art of War

289

The Position of Sunzi—The Art of War at Home and Abroad

295

14. The Records of the Historian and The History of the Former Han Dynasty Sima Qian and The Records of the Historian

300

Ban Gu and The History of the Former Han Dynasty

307

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15. Science in the Han Dynasty Agriculture and Agricultural Technology

318

Astronomy and Calendars

321

Arithmetics

328

Medicine

331

Paper Making

343

16. Metaphysics During the Wei and Jin Dynasties A Brief Account of Metaphysics during the Wei and Jin Dynasties

346

The Zhengshi Metaphysics Represented by He Yan and Wang Bi

348

The Bamboo Grove Metaphysics Represented by Ji Kang and Ruan Ji

353

The Guo Xiang Metaphysics in the Western Jin Dynasty

357

The Position of Metaphysics in the History of Chinese Philosophy

359

17. The Emergence and Development of the Taoist Religion The Origin of the Taoist Religion

362

The Formation of the Taoist Religion

365

The Taoist Religion in the Transitional Period from the Northern and Southern Dynasties ot the Sui and Tang Dynasties The Taoist Religion in the Song and Yuan Dynasties

371 379

18. Chinese Buddhism and Zen Buddhism in China—The Early Stage

386

The Flourishing of Buddhist Sects in the Sui and Tang Dynasties

391

Zen

396

19. The Silk Road Ancient Chinese Civilization from the Perspective of Silk

408

The Birth and Development of the Silk Road

410

The Silk Road and Cultural Exchanges between the East and the West

421

20. The Shi-Poetry of the Tang Dynasty The Versification of the Modern-Style Poetry

432

Poems in the Early Tang Period

433

Poems in the High Tang Period

435

Poems in the Mid-Tang Period

442

Poems in the Late Tang Period

444

21. Ancient Music and Dance Ancient Musical Instruments

448

Ancient Dances

453

The Imperial Court Music

459

Guqin Music

462

Religious Music

464

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22. The Art of Sculpture The Mausoleum Sculptures

468

The Grotto Sculptures

481

The Sculptures in Buddhist Temples and Taoist Monasteries

489

23. The Art of Calligraphy Chinese Calligraphy—A Unique Form of Art

496

Calligraphy before the Qin Dynasty

499

Calligraphy in the Qin and Han Dynasties

502

Calligraphy in the Wei and Jin Dynasties

506

Calligraphy in the Tand Dynasty

512

Calligraphy in the Song and Yuan Dynasties

519

Calligraphy in the Ming and Qing Dynasties

525

24. Schools and Imperial Civil Service Examinations Various Kings of Schools

534

The Imperial Civil Service Examinations

546

25. The Development of the Four Great Inventions in the Song Dynasty The Development of Papermaking Technology in the Song Dynasty

562

The Development of Woodblock Printing and the Invention of Movable Type

566

The Invention of Gunpowder and Firearms in the Song Dynasty

575

The Invention and Application of the Compass

578

26. Chinese Porcelain and the Maritime Transportation and Trade Ceramics snd Porcelain in the Tang Dynasty

584

Ceramics and Porcelain in the Song and Jin Dynasties

587

Ceramics and Porcelain in the Yuan, Ming and Song Dynasties

590

Maritime Trandportation and Trade in the Qin and Han Dynasties

593

Maritime Transportation and Trade in the Tang Dynasty

598

The Prosperity of Maritime Transportation and Trade in the Song and Yuan Dynasties Zheng He and His Voyages in the Early Ming Dynasty

604 610

27. Neo-Confucianism in the Song and Ming Dynasties A Survey of Neo-Confucianism in the Song and Ming Dynasties

616

Zhou Dunyi and Zhang Zai

622

Cheng Hao, Cheng Yi and Shao Yong

626

Zhu Xi and Lu Jiuyuan

630

Wang Yangming

633

28. The Ci-Poetry of the Song Dynasty The Features and System of Ci-Poetry

638

The Rise and Development of Ci-Poetry in the Tang Dynasty and the Five Dynasties

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640

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The Flourishing of Ci-Poetry of the Song Dynasty

646

Important Artistic Characteristics of Ci-Poetry of the Song Dynasty

654

29. The Yuan Qu-Poetry Zaju of the Yuan Dynasty

662

Sanqu of the Yuan Dynasty

674

30. The Introduction of Christianity and Islam into China and the Cultural Exchange The Introduction of Christianity to China

678

The Christian Missionaries and Cultural Exchanges between China and the West Islam—Its Rise, Eastward Spread and Transformation

692 698

31. Novels of the Ming and Qing Dynasties The Romance of the Tree Kingdoms

705

Outlaws of the Marsh

707

Journey ot the West

711

The Plum in the Golden Vase

714

“Three Collections of Words” and “Two Collections of Amazing Tales”

718

The Scholars

720

A Dream of Red Mansions

722

Strange Tales from a Chinese Studio and Random Jottings at the Cottage of Close Scrutiny

727

32. Chinese Ink-wash Painting The Ink-Wash Painting of the Tang Dynasty and the Five Dynasties

732

The Ink-Wash Painting of the Song and Yuan Dynasties

738

The Ink-Wash Painting of the Ming and Qing Dynasties

751

33. The Art of Chinese Gardening Two Systems of Chinese Gardening

768

The Gardens in Suzhou

778

34. Kunqu Opera and Beijing Opera Kunqu Opera

790

Beijing Opera

798

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Foreword The original Chinese edition of this book under the title Chinese Civilization: A Source Book《中國文化導讀》was first published by City University of Hong Kong in 1999 and since then it has been used as the main reference book for students taking the Chinese Civilization courses. A much-refined second edition was published in 2002 and in January 2007 a simplified Chinese-character version was published in Beijing, opening the door for a wider audience to appreciate the treasures of Chinese culture. Our main aim throughout has been to allow young people to feast on the ancient wisdom of our forefathers by learning about the pantheon of Chinese civilization. It has taken more than five years to prepare the second edition of this book, upon which this English version is based. I am grateful that I was able to spearhead this project. However, the main credit goes to the excellent authors and editors. My colleagues and I believe great civilizations belong not only to their direct descendants but to all the people of the world, and we hope this book will be enjoyed by everyone with a general appreciation of Chinese culture as well as by university students in need of a thorough reference book for university-level general education courses. The team behind this project has noted that great civilizations such as those from China, India and the Islamic world have played a rather muted role on the academic stage in the West. This is partly due to language barriers but also to a historical mindset. It is our wish, then, that by opening the door to an Englishlanguage readership, this book can help to redress this imbalance. French, Spanish and other editions are also being planned. I would like to thank the scholars who have worked so hard to translate this book into English and those who have helped to match its contents to the needs of the English-language readers. Last but not least, I would like to thank my colleagues at City University of Hong Kong and other institutions around the world who have made possible this publication. H K Chang President and University Professor City University of Hong Kong April 2007

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China Five Thousand Years of History and Civilization

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A Brief Chinese Chronology

周 Zhou Dynasty

夏 Xia Dynasty

c. 2100– c. 1600 BC

北齊 Northern Qi

550–577

商 Shang Dynasty

c. 1600– c. 1100 BC

西魏 Western Wei

535–556

西周 Western Zhou Dynasty

c. 1100– 771 BC

北周 Northern Zhou

557–581

東周 Eastern Zhou Dynasty

770–256 BC

隋 Sui Dynasty

581–618

春秋 Spring and Autumn Peroid

770–476 BC

唐 Tang Dynasty

(618–907)

戰國 Warring States

475–221 BC

後梁 Later Liang

907–923

221–206 BC

後唐 Later Tang

923–936

後晉 Later Jin

936–946

秦 Qin Dynasty

五代 Five Dynasties

西漢 Western Han

206 BC – AD 24

東漢 Eastern Han

25–AD 220

後漢 Later Han

947–950

魏 Wei

220–265

後周 Later Zhou

951–960

蜀漢 Shu Han

221–263

北宋 Northern Song Dynasty

960–1127

西漢 Wu

222–280

南宋 Southern Song Dynasty

1127–1279

西晉 Western Jin Dynasty

265–316

遼 Liao Dynasty

916–1125

東晉 Eastern Jin Dynasty

317–420

金 Jin Dynasty

1115–1234

宋 Song

420–479

元 Yuan Dynasty

1271–1368

齊 Qi

479–502

明 Ming Dynasty

1368–1644

梁 Liang

502–557

清 Qing Dynasty

1644–1911

陳 Chen

557–589

中華民國成立 Republic of China founded

1911

北魏 Northern Wei

386–534 中華人民共和國成立 People's Republic of China founded

1949

漢 Han Dynasty

三國 Three Kingdoms

南北朝 Northern and Southern Dynasties

南朝 Southern Dynasties

北朝 Nouthern Dynasties

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東魏 Eastern Wei

宋 Song Dynasty

534–550

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史 CHAPTER ONE

The Prehistoric Society of China The Geography of China

3

The Origin of Ancient Man in China

5

The Palaeolithic Age in China

6

The Neolithic Age in China

8

Primitive Agriculture and Handicraft

12

The Development of Primitive Clan Society

16

Free-style calligraphy of“史”(shi) means “history” in Chinese

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Timeline

Period

History

2 million years ago Xihoudu Culture

1.8 million years ago

Yuanmou Homo Erectus Teeth

1.7 million years ago

Lantian Man Cranium

1 million years ago

Xiaochangliang and Donggutuo Sites

Early Palaeolithic Age (Old Stone Age)

Lantian Mandible

500,000 years ago Peking Man Site

200,000 years ago

100,000 years ago

Middle Palaeolithic Age

50,000 years ago

Late Palaeolithic Age End of the Ice Age

10,000 years ago The Neolithic Age (New Stone Age)

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Post Ice Age

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1. The Prehistoric Society of China



The Geography of China China’s geographical location and natural environment have had a significant impact upon the shaping of its civilization. China is situated in the southeast of the Eurasian Continent, bounded in the west by Central Asia, West Asia and South Asia, and in the east by the Pacific Ocean. Along the coast stretches a vast plain, and in the west lie mountains, plateaus and basins, with rolling mountain ranges from the west to the east. The major ranges are the Altai Mountains, the Tianshan Mountains, the Kunlun Mountains, the Karakoram Mountains, the Gangdise Mountains and the Himalayan Mountains. The Himalayan mountain range, in the southernmost part of the country, is the highest in the world and includes the world’s highest peak, Mount Qomolangma. Known as the “Roof of the World,” the Qinghai-Tibet Plateau, the world’s largest plateau, is situated in the southwest of China, covering an area of 2.5 million square kilometers. Its northern fringe is bordered by the Kunlun Mountains and the Qilian Mountains and its southern fringe by the Himalayan Mountains. To the northwest of the QinghaiTibet Plateau lies the famous Pamirs Plateau, which stretches through China, Tajikistan and Afghanistan. It, too, is bordered by mountain ranges, including, China’s Kunlun and Karakoram Mountains and the mountains of Afghanistan’s Hindu Kush. The forms of transport available in ancient China meant it was almost impossible for people to cross these formidable mountain ranges. As a consequence of this geographical barrier, there was little contact between the East and the West and limited cultural exchange. In the north of China are the Yinshan Mountains. Further north lies Mongolia’s Gobi Desert and the northeast is bordered by the Greater Khingan Mountains, the Lesser Khingan Mountains and the Changbai Mountains. In the east and the southeast zigzags a long coastline, a vast sea area extending to the Pacific, the world’s largest ocean. Geographically, China’s mainland is guarded by mountains and seas. In this vast and seemingly impregnable country, rich in natural resources our ancestors lived for generations, developing a history and civilization unique to China. China’s terrain slopes from the west to the east, with most rivers running in the same direction. Its two most famous rivers are the Yellow

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Hi

m

ala y

an M

nta in R ange

Mountain Everest

Qinghai-Tibet Plateau

ram Mou nta in s

Qilian Mountain

u Mo

Yinxu

Greater Khingan Mountains

Lesser Khingan Mountains

Pearl River

Yangtze River

Zhenxun Chang’an Huai River Qin Ling

Luoyi

Yellow River

Gaojing

Gobi Desert

n Yinsha

Map of China with ancient capitals

Eurasia

Tianshan Mountains

Karako

ou

Pamirs Plateau

Plateau

Mountains

Desert

s nt ain

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Pacific Ocean

1. The Prehistoric Society of China



River and the Yangtze River (Chang Jiang). The Yellow River Valley and the Yangtze River Valley were historically the most economically developed areas throughout Chinese history, and the Yellow River Valley in particular occupied a very important political status in ancient China. Many dynasties established their capitals in this area, for example, Zhenxun in the Xia Dynasty, Yinxu in the Shang Dynasty, Gaojing in the West Zhou Dynasty, Luoyi in the East Zhou Dynasty, Xianyang in the Qin Dynasty, Chang’an in the West Han Dynasty, Luoyang in the East Han, Wei and Jin dynasties, Chang’an and Luoyang in the Sui and Tang dynasties, and Bianliang in the Song Dynasty. Throughout China’s history, the Yellow River Valley was the political center for many dynasties.

The Origin of Ancient Man in China According to recent archeological findings, the first human-like ancestors appeared around three million years ago. The earliest human fossils found in China, in the Yuanmou Man site in Yunnan Province and the Xihoudu Site in Shanxi Province’s Ruicheng County, date to about one million years ago. Further sites dating to between one million and 100,000 years ago have been discovered across China—Lantian Man in Shaanxi, Peking Man in Zhoukoudian, Yunxian Man in Hubei and Hexian Man in Anhui all caused a great sensation when they were unearthed. The tools discovered in the first two northern sites were mainly coarsely chipped stones; those in the last two southern sites were mainly gravel stones. This difference in toolmaking has led some scholars to believe that the earliest “Chinese” in the south and in the north showed distinctive features in their “cultures” from the Palaeolithic Age onwards. It is probably an aftermath of the Glacial Epoch that there is a missing link between fossils of ancient man in China between 100,000 and 30,000 or 50,000 years ago. It still remains unresolved whether the fossils of Homo Sapiens, the direct ancestor of humankind, such as the well-known Upper Cave Man (Shandingdongren), evolved from Homo Erectus, such as Yuanmou Man or Peking Man or migrated from elsewhere. The latest research by geneticists demonstrates that the ancestors of humankind were more likely to have come from Africa to the south of China some 50,000 to 60,000 years ago, probably via

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China—Five Thousand Years of History and Civilization

the Middle East, South Asia and the Southeast Asian Peninsula. Later, people may have gradually migrated to the north of China. In the process of tens of thousands of years of evolution, these new settlers became entrenched in the geographical areas that now constitute modern China and, in the process, created a colorful and exceptional civilization. Did modern man descend from a common ancestor or originate from different places? This has long been a controversial issue. Even if we agree that modern man could have originated in the Asian landmass, we are still unsure as to whether in the course of over 100,000 years of evolution the aboriginal Chinese have been ethnologically linked with the modern Chinese since the beginning, or whether a drastic change occurred about 30,000 to 50,000 years ago and cut the bloodtie between the earliest settlers and the modern Chinese. All these issues remain to be finally resolved with further data and further research in the future.

The Palaeolithic Age in China According to archeological dating, the early history of mankind began in the Palaeolithic Age (the Old Stone Age). In China, the Palaeolithic Age dates from about 1,800,000 to 10,000 years ago and can be divided into three periods—early, middle and late. The early period lasted the longest, from about 1,800,000 to 100,000 years ago. In the Palaeolithic Age, primitive man mainly used simple coarsely chipped stone implements for fruit-collecting and hunting. Palaeolithic sites have been discovered in a number of regions in China. The following are a few examples.

The Xihoudu Site The site of the earliest man discovered in China so far is in Xihoudu Village in Ruicheng County, Shanxi Province. A number of stone artefacts has been found, such as core stones, chipped stones and stone implements which include choppers, flakes and three-edged points. As well as stone objects, antlers bearing cut marks, charred animal bones and horse teeth have also been unearthed, together with numerous vertebrate animal fossils. The Xihoudu Site is about 1.8 million years old, which proves that man lived in China at least that long ago.

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1. The Prehistoric Society of China



The Yuanmou Man Site No human remains have been discovered in the Xihoudu Site. The earliest human remains discovered in China so far are from the Yuanmou Man Site, located at Shangnabang Village in Yuanmou County, Yunnan Province, where two human teeth fossils were unearthed—the right and left upper middle teeth of one human. Also discovered were stone implements, core stones, chipped stones, animal bone chips with marks made by hand, coal scraps, charred animal bones and animal fossils.

The Lantian Man Site In Lantian County, Shaanxi Province, the fossils and stone implements of Lantian Man have been discovered at two sites—Gongwangling, where a relatively complete human cranium and three teeth were discovered; and Chenjiawo, where a relatively complete lower mandible was discovered. These two locations are collectively known as the Lantian Site. The date of Lantian Man has been calculated several times, and according to information released in 1987, the fossils unearthed in Gongwangling are about 980,000 years old or 1.1 to 1.15 million years old, while those unearthed in Chenjiawo are 530,000 or 650,000 years old.

The Peking Man Site The renowned Peking Man site is located on top of the Dragon Bone Mountain in Zhoukoudian, southwest of Beijing. This site has been excavated several times and numerous ancient man fossils have been unearthed. Six relatively complete human craniums have been discovered at different times, together with fragments of skulls and the mandibles, shin bones, humeruses, collarbones, ribs and teeth of about forty individuals, as well as tens of thousands of stone implements and stone artefacts. The stone implements include flakes, points, choppers, and carving tools. Also discovered were charred animal bones, stones, Chinese hackleberry seeds and ashes. Peking Man Site has been dated at between 100,000 and 200,000 million years old.

The Use of Fire In the Palaoelithic Age, primitive man lived in the caves and survived by collecting fruit and hunting. It was a hard life—before the discovery of fire, food obtained by gathering and hunting was eaten raw. The fact that

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China—Five Thousand Years of History and Civilization

ancient man ate raw food is recorded in the Chinese classics. For example, it is recorded in The Book of Rites: “in ancient times, our ancestors did not know how to use fire, so they ate the fruits of plants and the flesh of birds and animals with hair on them and drank their blood.” After the discovery of fire, primitive man ate cooked food, which was easily digestible and improved health. In addition to providing cooking fuel, fire was also useful in driving away wild animals and giving light and Peking Man model warmth. Fire played an important role in man’s evolution. When was fire first used in China? Archeological evidence indicates that it occurred very early in our history. Remains of fire have been discovered in several earlier excavated sites. For example, in the Xihoudu Site, charred animal bones, antlers and horse teeth were discovered; in the Yuanmou Site, a large amount of coal scraps was discovered; in the Lantian Site, coal bits were discovered; in the Peking Man Site, ashes, coal lumps, charred animal bones and stones were discovered. Among all the archeological findings, ashes have been discovered in piles in several sites. Obviously, Peking Man knew not only how to use fire, but also how to manage fire to prevent it from spreading. These few examples of the use of fire by ancient man are sufficient to demonstrate its long history in ancient China—perhaps around 1.7 to 1.8 million years from the time of the Xihoudu Site or from the Lantian Man Site.

The Neolithic Age in China The Neolithic Age (the New Stone Age) lasted from 6000 BC (or earlier) to 2000 BC. (between 3500 and 2000 BC , when both bronze and stone were used). Three main features mark the Neolithic Age—the use of ground stone implements, the invention of pottery, and the appearance of agriculture. Neolithic Age ruins have been discovered in more than six thousand sites in China, in particular the sites associated with Cishan, Peiligang, Yangshao and Longshan Cultures.

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1. The Prehistoric Society of China



Cishan and Peiligang Culture Evidence of Cishan Culture was discovered in Cishan in Wu’an County, Hebei Province, in 1973. Many relics from the Neolithic Age have been unearthed here—pottery, stone implements and bone implements, as well as numerous ash and cellar pits, where carbonized ashes of grain seeds that have effloresced over thousands of years. Cishan Culture lasted from 6000 BC to 5000 BC . The Peiligang Culture site was discovered in Peilonggang in Xinzheng County, Henan Province, in 1977. The site corresponds to the Cishan site in both time and archeological finds. The tools of production unearthed in the Cishan and Peiligang Culture sites are mostly ground stone implements, including stone shovels, stone hammers, stone adzes and stone sickles. The bone implements unearthed, such as bone arrowheads and harpoons with inverted spikes, were mostly used for fishing and hunting. The many examples of pottery unearthed in the above sites are of coarse quality, being hand-made, with clay pieces layered one on top of another. They are mostly cooking utensils, including oval jars, pots, small-mouthed kettles with two ears, bowls, small basins and cauldrons. The remains of domesticated pigs, dogs and chickens that have also been discovered in the Cishan and Peiligang sites show that livestock breeding played an important role in life at that time.

Yangshao Culture Yangshao Culture, typical of the middle Neolithic Age, was first discovered in Yangshao Village in Mianchi County, Henan Province, in 1931. The famous three-layered cultural sites were discovered at Hougang, Gaolouzhuang, in Anyang, Henan Province. The Yangshao Culture site was unearthed at the bottom layer, the Longshan site in the middle and the Xiaotun site (belonging to the Shang civilization era) at the top, allowing archeologists to determine the date of Yangshao Culture and its relationship with Longshan Culture. Over the past fifty years, nearly a thousand sites representing Yangshao Culture have been discovered over the Central Shaanxi Plain, mostly in Henan Province, the south of Shanxi Province, the north of Hebei Province, and up to Gansu Province, Qinghai Province and the Great Bend of the Yellow River. The exact date of Yangshao Culture is 5000 BC to 3000 BC , and in some places as late as 2400 BC .

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Beijing Yellow River

Zhoukoudian

Xihoudu Xian Lantian

Cishan (Neolithic Age) Peiligang

Banpo (Neolithic Age) (Neolithic Age)

Yangtze River

Luojiajiao (Neolithic Age)

Hemudu (Neolithic Age)

Yuanmou

Pacific Ocean

Some Palaeolithic and Neolithic sites in China

The sites show that crops cultivated during the Yangshao Culture period were dry crops, mainly millet and broomcorn millet, hence the name “Millet Culture.” Livestock included pigs, dogs, chickens and oxen. Stone shovels (to turn over earth), legged sickles (to harvest crops), stone hammers, stone adzes, fishing lances, fishing hooks, net hanging objects, bows and arrows and stone balls were also in use at this time. The stone shovels and legged sickles of the late period were thin and polished all over. Arrowheads were made of bones, stones and horns and one type of arrowhead had inverted spikes, which made for a very effective killing tool. Yangshao Culture also saw the introduction of primitive spinning and weaving, with mat patterns and cloth patterns used to decorate pottery artefacts. Bone awls, bone needles, spinning tools and weaving tools have also been discovered. Most of the spinning wheels are made of pottery, and the rest are made of stone. The pottery of Yangshao Culture belongs to the primitive handmade stage, with rather advanced texture, design, decoration and baking skills. The so-called painted pottery is the most famous, with the early

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artefacts featuring red clay and black paint. Some of the late painted pottery artefacts were dressed with a layer of clay, that is, a layer of light yellow, white and red clay on the surface before they were painted with color. Some of them already had double-color designs, including decorative patterns of fish, deer, frogs, birds, flowers and leaves, and were used for cooking, containing water, serving food and storage. Comparatively large villages appeared during the Yangshao Culture period; the most complete village site discovered to date is the Jiangzai site in Lingtong, Shaanxi Province.

Longshan Culture Longshan Culture was typical of the late Neolithic Age. Discovered in 1928 when the remains of the Chengziya site at Longshan, Zhangqiu County near Jinan, Shandong Province were being excavated, Longshan Culture dates from 2400 BC to 1900 BC . As far as Shandong Province is concerned, Dawenkou Culture (4300 BC–2400 BC) predates Longshan Culture and was the basis for it. In Longshan Culture, domesticated crops included not only millet, but also rice. Domesticated livestock included pigs, dog, cattle, sheep and chicken. The tools of agricultural production included flat-drilled stone shovels, clam shovels and teethed clam sickles. The appearance of such manufacturing tools as adzes and chisels shows that the woodmanufacturing industry was well developed at that time. The production of Longshan ceramics was already relatively sophisticated at this time. The most elaborate pottery was black pottery with with eggshell thin outer walls, and the white pottery represented by the White Pottery Cooker with three hollow feet. From the site of Longshan Culture have been unearthed some delicate jade ware, such as jade shovels, jade adzes with impressed animal face patterns, and bird-shaped jade pendants. These items show that the jade carving industry was also advanced. And two pieces of brass awls unearthed from the Longshan Culture site prove that bronze was being smelted at that time. At the Chengziya site where Longshan Culture was discovered, a city wall of stamped earth, 450 meters in length from north to south and 390 meters in width from east to west, was excavated. This is significant to the study of social developments of the late Longshan Culture.

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Primitive Agriculture and Handicraft In the Neolithic Age, a key element of social development was the evolution of a productive economy, which involved agriculture, livestock breeding and such handicrafts as pottery making, spinning and weaving. Prior to the productive economy, the food available was wild animals, fish and wild plants. All products were natural. The stone or wood artifacts made at the time were tools that assisted man in hunting and gathering food from the natural world. The developing productive economy, on the other hand, saw man introduce crops and animals which could be farmed and the subsequent increasing importance of agriculture.

Livestock Breeding How livestock breeding emerged is a question that remains to be resolved through further archeological research. However, the development of more settled communities due to the increasing use of farmed crops certainly promoted the development of livestock breeding. The earliest animals to be domesticated were pigs, dogs and chickens, with cattle being introduced later. Pigs were the most prolific

A can with domesticated animal pattern (Hemudu Culture)

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early domesticated animals; pig bones found at the Zengpiyan site in Guilin, Guangxi Province, have been identified as the bones of domesticated pigs. This site dates from 8000 BC to 7000 BC , making the pig bones found the earliest evidence of domesticated pigs in China. Many animal skeletons discovered at the Cishan site in Wu’an, Anhui Province, dated back about seven thousand or eight thousand years. The skeletons of domesticated dogs and chickens discovered there were the earliest in China. All of which is proof that domesticated animals were bred from a very early date in China.

The Emergence of Agriculture China is not only a country with a long history of agricultural production but one in which agriculture has always played an important role. Although the exact time of the emergence of agriculture in China is still a matter for debate, continuing archeological excavations at a number of sites of early agricultural production have shed new light on this puzzle. At an ancient site at Goose Feather Pass in Huairen County, Shanxi Province, the relics unearthed were mainly stone implements, including three stone sickles and many stone hoes, which indicate that they were tools used for agricultural production. Archeologists excavating at the Yuchanyan Cave in Baishizhai Village in Shouyan Town of Daoshou County, Hunan Province, found two rice shells as they sieved through the layers of soil. Both these sites date back to around ten thousand years. The discovery of the rice remains in the Yuchanyan Cave places rice planting in China as early as ten thousand years ago and provides important evidence in the study of the origin of rice. Other, perhaps later, sites where rice was unearthed include the Jiahu site in Wuyang County, Henan Province, where traces of rice shells and many carbonized rice seeds were found in the red-baked clay pieces and the Pengtoushan site in Li County, Hunan Province, where carbonized rice shells and rice seeds were found mingled in the pottery pieces. These sites date back some eight thousand years. At the Bashiqiang site in Mengxi, Li County, Hunan Province, numerous rice seeds dating back eight thousand to nine thousand years ago were also found. Based on the above discoveries, the earliest indication of the emergence of agricultural communities in China is around ten thousand years ago.

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The above sites, though early in terms of the time scale, did not yield large numbers of relics of agricultural products. Other archeological sites about seven thousand years old have yielded more remains that demonstrate the level of agricultural production at the time. These sites are located in the valleys of the Yangtze River and the Yellow River, such as the Hemudu site in Yuyao County, Zhejiang Province and the Luojiajiao site in Tong County, Zhejiang Province. Many relics have been unearthed at the Hemudu site, including spade-shaped bone tools used for farming. A noteworthy discovery was well-preserved rice seeds, some of which were mixed with rice stalks, rice leaves and rice shells in piles of up to twenty to fifty centimeters in height. Rice seeds and shells amalgamated in pottery shards were also discovered at the Luojiajiao site, clear evidence that rice shells were mixed in the material to make pottery. Both the Hemudu site and the Luojiajiao site are about seven thousand years old. In the valley of the Yellow River are many archeological sites that reveal that agricultural production was widespread in ancient times. Among the tools of agricultural production unearthed at the Peiligang site were stone sickles, stone hammers and stone shovels. Grainprocessing tools, for example, millstones and mill-sticks, show that some grain-processing methods were already known at the time. At the Cishan site in Wu’an County, Heibei Province, stone shovels, stone hammers, millstones and mill-sticks were unearthed, along with several rectangular pits, one to two meters in average depth and over five meters in depth in the deepest pit, designed for storing grain. Over three hundred pits have been discovered, eighty of which have piles of rotten grain in varying thickness (about 0.32 meters thick in average) and ten of which have piles of rotten grain up to two meters thick. The thickness results from the rotting of the grains, which would have been piled much higher at the time. According to the sample analysis, the grains was millet. Both sites are around seven Stone shovels with 3 small holes (Neolithic Age) thousand years old.

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The above four sites were contemporary, that is, they were all about seven thousand years old. The fact that a series of production tools were employed to process grain and to store a large quantity of grain shows that agricultural production at the time was well under way.

The Growth of Handicrafts In ancient China, handicrafts were well developed and many trades appeared at different times (for example, the making of artefacts from stone, pottery, bones, wood, jade and bronze, plus textile and weaving implements). According to archeological evidence, stone artefacts were the first to be produced. China has a long history of silk production; it was the first place in the world to domesticate silkworms and to weave silk. Archeological excavations at the Qianshanyang site in Wuxing (the present-day Huzhou), Zhejiang Province, unearthed a number of silk and hemp products. Among the silk products were fine silk, silk ribbons and silk thread; among the hemp products were pieces of hemp cloth, hemp ropes and hemp rope ties. Most of the silk and hemp products, which were stored in a bamboo basket at the time they were unearthed, are about 5,000 years old. The fine silk pieces had not been carbonized when they were unearthed. The delicate products prove that silk weaving was a well developed handicraft on China’s mainland five thousand years ago.

Primitive Residence The development of a productive economy not only changed the shape of the social economy but also improved the living conditions of the people at the time. For example, the emergence of agricultural production increased the food resources and encouraged people to settle in one place in order to engage in farming. As the result, there came about a marked change in social life—people migrated from caves to live on the plains. Aside from agricultural production, which included the breeding of livestock, the development of pottery making, spinning, weaving and welding encouraged people to settle on the plains. In order to live on the plains, however, people needed to learn how to build shelters. According to archeological discoveries, many housing sites in the Neolithic Age varied in shape, with semi-caved and flat-built shelters. Among the flat-built shelters, there were square-shaped, roundshaped, single-roomed and double-roomed shelters, and even multi-

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Diagram showing a primitive residence (Yangshao Culture)

roomed shelters. Shelters with four adjoining rooms were discovered at the Dahezhuang site in Zhengzhou, Henan Province and at the Dianjiangtai site in Rongyang, Henan Province. Some of the housing sites were obviously well designed, with living quarters, burial areas and kilns for handicraft activities. Villages like these have been discovered at the Jiangzhai site in Lintong, Shaanxi Province, the Banpo site in Xi’an and the Beishouling site in Baoji. It can be seen from these villages that people at the time were living in an organized society.

The Development of Primitive Clan Society In order to survive in the inhospitable environment of the time, ancient man lived in groups from the very beginning. The human fossils of over forty individuals and their remains found in the cave sites of Peking Man show clearly how people lived thousands of years ago. Around 20,000 or 30,000 years ago, prehistoric China entered

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the period of clan society. The Upper Cave Man, discovered in the Longgu Mountains of Zhoukoudian, to the southwest of Beijing, is a representative site of early clan society in China. It is about 18,000 years old. From evidence excavated, it can be concluded that our ancient ancestors had already formed relatively fixed groups through blood ties—that is, clans. Members of the same clan had common ancestors. During the early period, intermarriage of close relatives was banned because of the risk of inbreeding, while a comparatively fixed marriage relationship was gradually established between different clans. The emergence of the clan system marked the beginning of human social organizations. Many prehistoric sites belonging to the period of clan society have been found in China. Owing to the different locations and levels of development, the cultural sites in the north and the south of China reflect different social and cultural states. However, generally speaking, as time went by, the clan organization became more sophisticated. Thus, the slow evolution of human society from barbarism to civilization is a common phenomenon. The middle and lower reaches of the Yellow River provide good examples of the process of social evolution. Many of our ancestors’ gathering places have been discovered at the sites of Yangshao Culture, which date back about seven thousand to five thousand years. The Banpo clan village site near Xi’an, Shaanxi Province, for example, caused a stir when it was unearthed. An examination of its remains reveals that the people at the time did settle in one place, and built public places and public graveyards in addition to living quarters for clan members. Social organization was relatively sophisticated, but there were no signs of the division between wealth and poverty. Members of the clan were equal— they worked together and ate together. At the sites of the mid and late Dawenkou Culture in Shandong Province, marked evidence of social polarization between rich and poor appeared. Wealth gradually went into the hands of a few people. In the graveyard of the clan, a rather luxurious tomb of the time was unearthed, in which a hundred pieces of burial jade wares were found. In the four smaller tombs in the same graveyard, only a dozen simple pottery pieces were buried. The polarization between the rich and the poor marked the different social strata of clan members. Archeological discoveries indicate that big gathering places appeared during this period and that social organization became increasingly

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sophisticated. The nature of these villages has been a hot topic of discussion. The tribal theory and the clan theory, for example, involve the stages of developing social organization. It can be seen that some of these villages were similar to the early cities, with the distinctive features of military defence. War became part of man’s struggle for survival. Pillaging wars accelerated the speed of social polarization and led to the gradual change of social organization. In order to strengthen themselves, many clans began to unite into tribes. Along with the acceleration of wars, many tribes began to form alliances according to blood ties and geographical locations. Military tribal chiefs became part of the former social organization system. Although the centralization of power was still restricted, the principles of the former primitive democratic system were gradually broken up and a new political order was gradually established. Chinese society gradually began to form into states.

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史 CHAPTER TWO

Ancient China

Legendary Ancient China

21

Xia, Shang and Western Zhou Dynasties

24

The Spring and Autumn Period and the Warring States Period

34

Free-style calligraphy of“史”(shi) means “history” in Chinese

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Timeline Dynasty

China’s major events

World’s major events

1200 BC 4000 BC Pottery Symbols were used

3100 BC First Dynasty of Egypt established

2700 BC Pyramid 2400–1900 BC started to build 2017 BC Longshan Culture Period Old Babylonian Period started

World’s major events

Shang Dynasty (1600–1066 BC)

5000 BC

China’s major events

Timeline Dynasty

2700 BC Silk was used

2000 BC The Neolithic Age ended

1066–771 BC Bronze inscriptions and great seal script were formed and used

Western Zhou Dynasty (1066–771 BC)

2000 BC

1000 BC

922 BC King Solomon in reign

800 BC

600 BC

1500 BC Ancient India Veda Period started

200 BC

1280–1250 BC Departure of Hebrews from Egypt

AD

700–476 BC Silk manuscripts were used. 650 BC Iron tools were used 604–531 BC Laozi

750 BC Homer's Epic was composed

565–486 BC _ Siddhartha Gautama

551–479 BC Confucius 427–347 BC Plato

344–256 BC Stone-Drum Inscriptions (great seal script) were used

356–323 BC Alexander the Great

Western Han Dynasty

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Qin Dynasty (221–206 BC)

1200 BC

400 BC

The Warring States Period (476–221 BC)

1600 BC Alphabets was developed (West Asia)

Shang Dynasty (1600–1066 BC)

1400 BC

1600–1066 BC Oracle inscriptions, seals, anastatic words, inscriptions, and bronze tools were used

Eastern Zhou Dynasty (770–256 BC)

1600 BC

The Spring and Autumn Period (770–476 BC)

Xia Dynasty (2070–1600 BC)

1800 BC

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Legendary Ancient China The Origins of Chinese Civilization Although it is not a new claim that China has enjoyed five thousand years of civilization, it is only recently that it has been substantiated. Until now, many scholars, especially historians in the West, would only accept the claim that Chinese civilization originated in the Shang and Zhou dynasties, or in the Xia Dynasty at the earliest. With Neolithic Age cultural sites being continuously excavated, the belief that Chinese civilization originated in prehistoric times has gained wide acceptance. As early as the late Neolithic Longshan Culture period, there emerged indications of a developing civilization, such as primitive agriculture, bronze-casting, pottery and jade handicraft, cities, large sacrificial sites and an eruption of writing. Cultural sites typical of ancient state organizations and central authority have also been discovered, such as central villages, early cities and big sacrificial sites. As a result, the majority of scholars now recognize that ancient China was on the threshold of civilization about four thousand years ago. Some optimistic scholars even believe that the origins of Chinese civilization date back five thousand years, or even earlier. According to the archeological evidence available now, however, the origins of primitive agriculture, discovered at the Yangshao cultural site date back between seven thousand to five thousand years; vivid inscriptions unearthed at the Dawenkou and other cultural sites in Shandong Province date back six thousand years; and a large number of elaborate jade wares and sacrificial altars, dating back six thousand years, have been excavated at the Hongshan and Liangzhu cultural sites. The discovery of numerous Neolithic archeological cultural sites across the country sheds new light on our understanding of early Chinese civilization. We used to be influenced by the theory of the Central Plains as the center of Chinese civilization and believed that Chinese civilization had a monistic origin, that is, that the Yellow River is the cradle of Chinese civilization. For a long period of time, from the discovery of Yangshao Culture to the excavation of Longshan Culture, archeological evidence has virtually reinforced this belief. With fullscale archeological work under way, came the spectacular discovery of numerous Neolithic cultural sites from the Yellow River valley to the Yangtze River valley, down to the Pearl River valley and up to the Liao

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River valley. The cultural contrast revealed by each site is particularly striking. For example, jade ware discovered in the Hongshan and Liangzhu cultural sites did not exist on the Central Plains and their sacrificial altars and temples were far superior to those of the Central Plains. This helps prove that the sites were developed independently, and their unique and colorful contents demonstrate that there existed more than one cultural circle at that time. Prehistoric Chinese civilization exhibits diverse origins. Archeologists defined the sites in different places with different cultural implications as different districts and put forward a district theory of cultural development. Denying the monistic origin of civilization and proposing the pluralistic theory are significant to the research of the origins of Chinese civilization in recent years. However, sprouting of civilization is not the same as the birth of civilization. Although each cultural district reveals a rough outline of its civilization, compared to the long history of China, no matter where they were, in the northeast, in the southeast or in any other areas, none of them developed into a dynasty or shaped the general course of Chinese history as did the settlements in the Central Plains, in spite of the fact that they preserved their unique cultural features. In contrast, the other areas beyond the Central Plains evolved into a civilized society much later. The sprout of early civilization did not grow to be a big tree. As it happened, only the Central Plains settlements, assimilating civilization in various areas, took advantage of the richly endowed geographical conditions and pioneered the transition from prehistory to civilized society.

Legendary Ancient China The Chinese classics recorded many ancient Chinese legends. For example, Youchao people learned to build shelters using trees; Suiren people used fire by drilling wood; Fuxi people used ropes to make fishing nets; Shennong people planted five kinds of grains and tested hundreds of medicinal herbs; and there were three emperors and five kings. Throughout the years, these legends have become to be regarded as being historical events by the Chinese people. These ancient legends are obviously mixed with many bizarre myths and stories. Although they are not entirely convincing, such stories handed down from generation to generation nevertheless do contain some nuggets of truth about the lives of our ancient ancestors. When we

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return to recent archeological finds to examine these legends, we should pay special regard to their contents. For instance, in regard to the origins of civilization, new ideas might be generated by reading stories about the Yellow Emperor, the Yan Emperor and Yao, Shun and Yu.

The Yellow Emperor and the Yan Emperor The legendary Yellow Emperor was a famous tribal chief who lived on the Central Plains about five thousand years ago. To the south and west lived the tribes of Chiyou and the Yan Emperor. According to legend, in order to seize more land, the Yellow Emperor fought and won two major wars against each of them. Thereafter, the tribes of the Yellow Emperor and the Yan Emperor formed a confederation and became the strongest and the steadiest political power on the Central Plains and its surrounding areas for a long period of time. Following the years of discord, the establishment of this impressive tribal alliance is considered to be an epoch-making event in the history of ancient China. The Yellow Emperor era is related to many civil inventions, such as Cangjie’s invention of writing. At the time when Sima Qian wrote The Records of the Historian, the Yellow Emperor era was recognized as the official beginning of Chinese history, the Yellow Emperor being the first monarch in ancient China. In the Spring and Autumn Period at the latest, the ethnic groups, still in the evolutionary course of the Chinese nation, boasted themselves as the descendants of the Yan Emperor and the Yellow Emperor to facilitate assimilation. Moreover, when scholars discussed the legends several decades ago concerning the Yellow Emperor and others, they concluded that early Chinese culture did not develop from a monistic origin. The Yellow Emperor, the Yan Emperor and Chiyou are more likely to have represented three different kinds of ancient culture, which coincides with the cultural district theory based on modern archeological findings. The legends, thus, are a reflection of historical truth. The “Five Kings” era which began with the Yellow Emperor saw the development of civilization and the evolution of an early state. This is worth further exploration.

Yao, Shun and Yu Yao, Shun and Yu are household names in China. The most well-known story about them is the legend of their succession to the throne because of their virtue and achievements. The three best-known figures after the

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Yellow Emperor, they became the chiefs of the tribal confederation in the Yellow River valley on account of their noble virtues and outstanding achievements. What is notable is that they passed their thrones to people of virtue, rather than to their sons. This was extraordinary in a tribal society where kinship was a critical element. Nevertheless, what is more noteworthy is that if succession by virtue did in fact exist, it reflects a form of political transition in ancient China—that is, the bases of political organizations started to transform from pure kinship organizations into geographical regions. Within the enlarged political entity, various tribes had to form new political and military alliances, which were in fact close to being early states. If this was the case, the Yao and Shun era should be regarded as the dawn of civilization in Chinese society. Since there are many other reasons for regarding the Xia Dynasty as marking the dawn of civilized society, for the reasons above the eras of Yao from the Taotang clan and Shun from the Yu clan should also be seen as being at the threshold of civilization in China. This understanding matches exactly with the belief that Chinese civilization dates back four thousand years. In archeological terms, the late Longshan Culture occurred roughly at the same time as the legendary Yao and Shun era. Reconsidering the legends of Yao, Shun and Yu from the perspective of archeology, we can draw the conclusion that the succession story might have reflected the exploration and practice of our ancient ancestors in building a civilized society.

Xia, Shang and Western Zhou Dynasties Xia, Shang and Zhou are the three earliest dynasties in Chinese history, still in the early stages of the country’s development. The Zhou Dynasty can be divided into the Western Zhou and the Eastern Zhou dynasties. The history of the Eastern Zhou Dynasty will be introduced in the next section.

In Search of the Xia Civilization According to ancient classics, the Xia Dynasty, the first dynasty in Chinese history emerged approximately in the 2100 BC . There is no historical doubt that the Xia Dynasty existed. In fact, in the eyes of many people, the establishment of the Xia Dynasty marked the beginning of civilization in Chinese society. The word “Xia” was

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interpreted as “Elegance” by the ancient people, with the figurative meaning of “Civilization.” In the twentieth century, many historians were skeptical about the details of the past recorded in the Chinese classics. With no archeological data or written documents to prove otherwise, they suspected that the history of the Xia Dynasty was based on legends, rather than on fact. It is known that a number of written records about the Xia Dynasty appeared in the classics during the pre-Qin period and in the Western and Eastern Han dynasties. Furthermore, each time the Xia Dynasty was mentioned, it was linked with the Shang and Zhou dynasties in the phrase “the three dynasties.” Of the records of “the three dynasties” in ancient literature, the history of the Shang and Zhou dynasties has been confirmed by archeological excavations. It therefore seems unlikely that the recorded history of the Xia Dynasty is sheer fable. In addition, Sima Qian related the history of the Xia Dynasty in a way quite different from the legendary history, by clearly tracing the heredity of Yu the Great to the tyrant Jie. Considering that the reliability of The Records of the Historian in recording the hereditary system of the Shang Dynasty has been confirmed by the oracle inscriptions, and the history of the Zhou Dynasty reveals nothing to be skeptical about, there is no reason to suspect that the same book could have fabricated the history of the Xia Dynasty. Of course, the best way to prove that the Xia Dynasty did exist is to look for archeological evidence. Over the decades, Chinese archeologists have put a lot of effort into fulfilling this task. Since the 1950s, guided by clues about the capital of the Xia Dynasty, they have discovered several cultural sites contemporary with the Xia Dynasty in the present Luoyang in Henan Province and in the south of Shanxi Province. The Erlitou site in Yanshi in Henan Province and the Dongxiama site in Xia County in Shanxi Province are the most important of these sites. The lower layer of the Erlitou site, in particular, happens to date exactly between 2000 BC to 1600 BC , coinciding with the chronicle of the Xia Dynasty. A number of scholars now believe that the discovery of the Erlitou site provides enough proof for the existence of the Xia Dynasty. Since no written records pertaining to this period have been unearthed so far, the exploration of the Xia civilization is far from complete. Despite the fact that the Erlitou site coincides with the Xia Dynasty in time, the question remains whether it contains the remains of the Xia civilization or the remains of another culture from the same period— perhaps the pre-Shang culture.

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An Outline of the History of the Xia Dynasty Although archeological evidence is yet to be excavated, the existence of the Xia Dynasty should not be doubted. According to the chronological table released by the “Xia, Shang, and Zhou Dating Project”, the Xia Dynasty commenced in 2070 BC . Xia was the name of a tribal confederation with Si as their surname, who lived in the areas from Songshan to Yishui and Luoshui of Henan Province and in the south of Shanxi, according to ancient records which called them Xiahou. After the establishment of the Xia Dynasty, Xia was adopted as the name of the dynasty. It is said that after the death of Yu, his son Qi launched a war against Yi, who was the chosen successor of Yu, to contend for the throne. In the end, Qi killed Yi and won the war, then took his father’s place and became the new ruler. From then on, the hereditary system of the throne replaced succession by virtue. When Qi came to power, it marked the official establishment of the Xia Dynasty. As recorded by the ancient history book Bamboo Annals, the Xia Dynasty, counting from Yu, had seventeen kings within 471 years, with father passing the throne to a son or to a brother in a system of succession. Ancient legends tell us that Yu built many major cities, appointed officials, set up administrative posts and introduced the earliest criminal law. He also, in the course of attempting to prevent flooding, formulated the policy of tribute. It is reasonable to say that Xia began to evolve towards the early country model in the time of Yu. According to the ancient classics, after the Xia Dynasty was established, it took such measures as building up an army, setting up prisons, and mapping out a calendar to further improve the administration of the region. As the first dynasty in the history of China, the country system of the Xia Dynasty still belongs to the primitive model of a country. With the Xia Dynasty as the central authority, there existed a number of relatively independent political groups in its surrounding areas. Some of these were also evolving towards the primitive country model. These political powers either submitted themselves to the rule of Xia, or revolted against Xia. To make matters worse, they kept swapping between these two positions. As a result, the Xia Dynasty did not enjoy a consolidated sovereignty. The same situation was true of the following Shang Dynasty and even the early Western Zhou Dynasty. The early

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dynasties did not realize “centralized power” as the subsequent Qin Dynasty did. The relationship between those early dynasties and their surrounding domains or other political powers might well be said to have been built on a kind of “confederation,” which, in fact, reflects the features of the transition from a primitive tribal society to a country. Ancient writings record that since the time of Taikang, son of Qi, the Xia Dynasty suffered internal conflict and external threats. The sovereignty of Xia in the reign of Taikang was taken over by Yi, the chief of the Youqiong clan from the eastern tribes, and his follower Hanzhuo. In the following decades, the Xia Dynasty remained a nominal state. It was not until the reign of Shaokang that Xia managed to regain its power. In the reign of Zhu, son of Shaokang, the various tribes in the east became subjects of Xia and this period is regarded as the most powerful and prosperous period of the Xia Dynasty. Social upheavals intensified in the late Xia Dynasty. In the 1600 BC , Jie was in power. A notorious tyrant, his behavior caused people to openly defy him and plot to bring about his downfall. The Xia Dynasty was coming to an end. When the Xia Dynasty was beset with crisis, the Shang tribe in the east, led by its chief Tang, took advantage of this opportunity to revolt against Jie. Jie was defeated and the Xia Dynasty collapsed.

The Rise of Shang and the Downfall of the Xia Dynasty The Shang was an old tribe from the middle and lower reaches of the Yellow River. The tribe’ surname was Zi and its ancestor was Qi, who is said to have been an official in charge of water control projects for Yu in the Xia Dynasty, when Shang was one of the tribes that submitted to the Xia Dynasty. The Shang people migrated frequently from Qi to the Shang Dynasty when it was established by Tang. It is said that there were as many as eight major migratory periods, although the areas of which they moved were confined to the present Henan and Shandong provinces. The legend is that Xiang Tu and Wang Hai, the most famous ancestors of the Shang people, made great contributions to the development of the Shang tribe. Towards the end of the Xia Dynasty, the Shang tribe gradually prospered. Their chief, Tang, taking advantage of the upheaval in the Xia Dynasty, wiped out or subdued quite a few small domains and tribes in the east. It is said that after eleven expeditions, Tang finally dominated

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the area and launched a war against the Xia Dynasty. He fought a battle in Mingtiao (near the present Kaifeng in Henan Province) against Jie, defeated him and overthrew the Xia Dynasty. Tang overthrew Xia and established the Shang Dynasty at approximately 1600 BC . He is said to have built his capital at Bo (the present Shangqiu in Henan Province), although some historians believe that the capital was Xibo (the present Yanshi in Henan Province). Over seventeen generations, thirty one Shang kings sat on the throne. The hereditary system of the Shang Dynasty mainly involved passing the throne to a brother in the beginning, then to a son in the late Shang period.

From the Time when Pangeng Moved the Capital to Yin to the Collapse of the Shang Dynasty After Tang established the Shang Dynasty, the Shang tribe moved its capital five times. When Pangeng was in reign, he settled the Shang capital at Yin (the present Anyang in Henan Province) at about 1300 BC . It remained there until the collapse of the Shang Dynasty more than two hundred years later. Consequently, the Shang Dynasty, after Pangeng moved its capital to Yin, was called Yin. The sovereignty of the Shang Dynasty was consolidated after Pangeng moved its capital to Yin. Great progress was made both in politics and in economics. During the several decades of Wu Ding’s reign, the country reached the peak of its power. Wu Ding launched many campaigns against neighboring tribes and greatly expanded his territory. According to The Book of Poetry, the Shang Dynasty in the time of Wu Ding was able to govern directly an area as large as thousands of “li” (a traditional Chinese unit of distance, equivalent to about five hundred meters) around, while its influence could reach “the four seas,” a remote place in the eyes of the ancient people. When Wu Ding’s reign came to a close, the Shang Dynasty began to decline. At the time of King Zhou, his brutal rule led to the intensification of social conflicts and the increasing contention within the ruling class. In order to maintain superior authority, King Zhou had his loyal ministers, such as Bigan, Weizi and Qizi, killed or expelled and trusted other cruel ministers, which severely undermined his own power. Seizing this opportunity, some small domains broke away from Shang and joined forces with the rising Zhou tribe. This changed the balance of

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power between Shang and Zhou and, thus, it was only a matter of time before Shang was overthrown by Zhou.

Political Institutions in the Shang Dynasty Thanks to the discovery of the oracle inscriptions, the history of the Shang Dynasty, in contrast with the Xia Dynasty, is more easily traceable and verifiable. Differing from the political institutions of the later dynasties, there existed many obvious primitive tribal elements in the political institutions of the Shang Dynasty. As a country, it was still in the primitive stage. The Shang kingdom was mainly made up of two parts: one was the internally governed area with the Shang king as the central ruling authority; the other included the external areas, which, although under the king’s influence were not under his direct control. He had to appoint officials or employ the original chiefs of the domains to govern on his behalf. In addition to the subdued external areas, there were other domains where the Shang government was not truly effective and they remained dependent only in name. Thus, the political patterns of the Shang Dynasty consisted in the strict ruling of the internally governed areas and relatively loose governing of the externally subdued domains. Within the internally governed areas, a hundred officials were appointed to form the central institutions; in the externally subdued domains, officials equivalent to dukes and marquis were in power. They were subject to the Shang king in name only and were so independent that they became lords in their respective areas.

The Early History of the Zhou Tribe The Zhou tribe, whose surname was Ji, rose from the loess plateau in the middle reaches of the Wei River and claimed to be the descendants of Houji, surnamed Qi, who was good at planting crops and was appointed Minister of Agriculture in the time of Shun. This supports the view that the Zhou tribe adopted agriculture as a way of living from the very beginning. At the time Gongliu acted as the tribal chief, the Zhou tribe moved to Bin (to the west of the present Xunyi in Shaanxi Province); nine generations later, under the leadership of Gugong, they moved to Zhouyuan in Qishan in Shaanxi Province. After that, great changes took place in Zhou society. They began to establish cities, build palaces, set up governing institutions, divide the tribal members into local units

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called Yi and were on their way to the primitive stage of a country. Subsequently, the Zhou people crowned Gugong as their Great Grand King and respected him as the founder of the Zhou Dynasty. When his son Wang Ji ascended the throne, the Zhou became increasingly powerful and gradually became the strongest political power in the west of Shang. This made the Shang king so uneasy that he had Wang Ji killed. After Wang Ji’s death, his son Zichang was established as the new chief and was known as King Wen. During his reign, King Wen attached great importance to internal reforms and agricultural development, which further strengthened the Zhou clan. He also launched a series of attacks against the neighboring barbarians and subdued Rong, Di and some other small domains in the west. He then moved the Zhou capital to Feng (to the west of the present Xi’an in Shaanxi Province). However, the Zhou people did not overthrow the control of the Shang Dynasty until the death of King Wen.

The Political Situation in the Early Zhou Dynasty In approximately the 1100 BC , King Wu, son of King Wen, ascended the throne. Before long, he led thousands of Zhou people, in confederation with other domains and tribes, in revolt against King Zhou of the Shang Dynasty and fought a fierce battle against the Shang army at Muyan, beyond the suburbs of the Shang capital Chaoge (to the southwest of the present Qi County in Henan Province). The Shang army turned against King Zhou, who fled to Chaoge and committed suicide by setting himself on fire. Down fell the Shang Dynasty and up rose the Zhou Dynasty, which is called Western Zhou in history books. It was in about 1046 BC that Gaojing (to the west of the present Xi’an in Shaanxi Province) was established as its capital. The Western Zhou ruled for eleven generations, with twelve kings over a period of more than two hundred years. In the beginning, the Zhou rulership was not stable. The remaining influence of the Shang people still constituted a threat to the Zhou Dynasty. In order to consolidate its ruling, King Wu fiefed Wu Geng, son of King Zhou, to the capital of the Shang Dynasty in the hope of governing the remaining Shang through him. King Wu also sent his halfbrothers Guanshu, Caishu and Huoshu, the so-called Three Supervisors, to supervise Wu Geng. After the death of King Wu, his son King Cheng succeeded the throne. However, Guanshu and Caishu rebelled against

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King Cheng in alliance with Wu Geng, and the tribes in the east also rose up in rebellion against the Zhou. At that time, Duke Dan of Zhou, who was assisting the young ruler King Cheng in government, led the army in person and put down the rebellion by Wu Geng and others. Then he led his army in an eastern expedition and consolidated his rule over the eastern territory, thus expanding his influence to the lower reaches of the Yellow River and the Huai River valley. To prevent similar incidents from recurring, Duke Dan built a city thirty li from Luoyang in the east, which became the most important political and military center to control the east. At the same time, he forced the remaining people of Shang to settle down there and set up the Eighth Division of his army to defend the city. Together with the Sixth Division, they became a significant military force in the Zhou Dynasty.

The Fiefing System and the Clan Hierarchical System The Zhou systems of government adopted quite a few of the political patterns of the Shang Dynasty, retaining and modifying their methods of controlling the internal and external areas under their sphere of influence. The central area where the Son of Heaven of Zhou lived was called King’s Land, the environs of the capital city, beyond which were the areas governed by the lords on behalf of the Son of Heaven. Of course, many Zhou institutions differed from those of the Shang Dynasty in a number of aspects. The establishment of those new institutions was significant in the history of the Zhou, and even influenced the entire course of development in Ancient China. To strengthen their power, King Wu and King Cheng enfiefed their sons and other people they considered suitable as lords and dispatched them across the country to act as a protective screen for the Zhou royal house. This kind of feudal system was called the feudal fief system. An important model of Zhou governance, the feudal fief system was close to the Shang system of appointing officials to outer regions to subdue barbarians, but was also quite different from it in that the fief system was built on close clan and blood relationships. The Zhou royal house, the supreme ruler in the name of the Son of Heaven, was the head of all the people in the country. The enfiefed lords with the same surname or different surnames would have to defend the Zhou Son of Heaven and his territory, send periodic tributes and pay periodic attendance at court. When the Zhou clan was at war against neighboring tribes, the lords would have to be ready for service at any time, ready to lead their own

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Lord Yan Ji

Yellow River

Bohai

Lord Jin Quwo

Gaojing (capital of Western Zhou)

Lord Qi Yingqiu

Lord Wei Mo

Luo (political and military center established by Zhou to control the east)

Lord Lu Qufu

Lord Song Shangqiu

Yellow Ocean

Lord Wu Fanli

Lord Chu Danyang Yangtze River

Map of Western Zhou Dynasty

armies alongside the Son of Heaven on his military expeditions. Of the enfiefed lords in the early days of the Zhou Dynasty, the most important were Lu, Qi, Yan, Song, Wei and Jin. The Zhou Dynasty mainly enfiefed descendants with the same surname, which was quite closely related to the clan system practiced in those days. According to the principles of the Zhou clan system, Zhou Son of Heaven was the supreme head of the Zhou people, and his sons were sub-heads, fiefed across the country, defending the territory of Zhou. The fiefed lords gave themselves the title of head of their respective clans. They then enfiefed their land to their sons, who became ministers and senior officials, who, in their turn, enfiefed their land to their sons, called intelligentsia. Subsequently, from the Son of Heaven to lords to ministers and senior officials to intelligentsia, a strict hierarchical system based on blood relationships constituted the essential basis of the Zhou rulership.

The Square-Field System In the time of the Zhou, both the land and the people were considered to

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be possessions of the king. The Son of Heaven of Zhou allocated part of the environs of the capital city as a royal field, in the charge of a minister of civil administration and land affairs, with the rest bestowed to the ministers. The areas beyond the environs of the capital city were granted to the lords, but the Son of Heaven had the power to take back all the land. The laborers on the land were called common people and were at the bottom of the social ladder. According to ancient annals, the Zhou Dynasty adopted the square-field system. Research by modern scholars has verified that the square-field system was adopted before the Spring and Autumn Period. However, there is no consensus yet as to exactly when the square-field system appeared and what the system meant. As the Mencius goes, under the so-called square-field system, the land was divided into square units, which included land for the nobles and for the peasants. The peasants tilled the land for the nobles without being paid before they took care of their own small lots of land. Though what Mencius said should be wellgrounded, it cannot be ruled out that there was an idealized element in his writing. As a kind of labor and rent system, the emergence of the square-field system made sense in its time. It was not until the Spring and Autumn Period that the square-field system was replaced by the new land system.

The Decline and Fall of the Western Zhou Dynasty The Western Zhou Dynasty was initially very powerful. When Kings Cheng, Kang, Zhao and Mu were on the throne, the Western Zhou flourished. However, from the reign of King Yi, because of frequent internal conflicts and external threats, the Western Zhou was in decline. King Li monopolized the mountains and rivers, which led his subjects to revolt and resulted in his expulsion. The nobles took over the sovereignty, which was named the Gonghe Administration. The first year of the Gonghe Administration, 841 BC , saw the beginning of meticulously recorded historical chronicles. When the lords returned power to King Xuan fourteen years later, the Zhou Dynasty regained some of its strength, but frequent military expeditions intensified internal and national conflicts. After King You, son of King Xuan, succeeded the throne, a series natural disasters and man-made calamities made the people rebellious. King You bestowed so much favor on the beauty Baosi that a conflict

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concerning the succession of throne occurred in 771 BC , when Duke Shen attacked Gaojing with the support of the army of the Quan and the Rong and killed King You at the foot of Mountain Li. The Western Zhou Dynasty collapsed.

The Spring and Autumn Period and the Warring States Period After the Western Zhou Dynasty was overthrown, the Eastern Zhou Dynasty was set up. The Zhou Dynasty was able to rule in name, but the dominant political power began to shift into the hands of the lords, a fundamental change in the nature of the society. The five hundred years of the Eastern Zhou Dynasty can be divided into two stages—the Spring and Autumn Period and the Warring States Period.

King Ping Moves East and the Lords Contend for Supremacy The years between 770 BC and 476 BC were the Spring and Autumn Period in Chinese history. Towards the last years of the Western Zhou Dynasty, the northwestern nomadic people, like the Quan and the Rong, pushed eastward in waves, increasingly threatening the central area of the Zhou rulership. The Zhou territory became smaller and smaller. After King You was killed by the Quan and Rong armies, the Zhou royal house found it difficult to remain in the Guanzhong area. King Ping, with the help of lords like Jin and Zheng, moved the capital to Luoyi (to the east of the present Luoyang in Henan Province) in 770 BC , and founded the Eastern Zhou Dynasty. After the Zhou moved their capital to the east, the Zhou royal house controlled an area much smaller than before, and its influence was limited to several hundreds of li around Luoyi, a small domain always at the mercy of the lords. The declining Zhou royal house was so weak that the lords were no longer obedient to its orders. Consequently, the Son of Heaven lost the status of being the common head of the people in the country. The decline of the Zhou royal house provided an opening for the lords to contend for political supremacy. In the Spring and Autumn Period, some large states became hegemonous through a policy of annexation. Those who called themselves “Hegemon” or “Overlord” were Duke Huan of the Qi, Duke Xiang of the Song, Duke Wen of the Jin, Duke Mu of the

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Qin, and Duke Zhuang of the Chu. Together they were entitled “The Five Hegemons of the Spring and Autumn Period.” Duke Huan of the Qi and Duke Wen of the Jin, the most famous of the group, united the lords in the Central Plains by invoking the slogan “loyalty to the king of Zhou and repel the barbarian invaders.” Together, they fought lengthy wars against the Rong and the Di in the north and the state of Chu in the south, which in fact saved the well-developed civilization of the Central Plains. The battle for supremacy between the Jin and the Chu lasted almost the entire Spring and Autumn Period. By the end of the Spring and Autumn Period, King Fuchai of the Wu and King Goujian of the Yue were dominant for a period. Some histories co-list Duke Huan of the Qi and Duke Wen of the Jin as the hegemons of the Spring and Autumn Period.

Politics, State and the Economy During the Spring and Autumn Period, the royal house declined while the lords became increasingly powerful, constituting a political situation in which “the ritual, music and military campaigns are initiated by the nobles.” The authority of the Son of Heaven of Zhou was no longer critical to the shaping of the social political process. Although the lords remained subject to the Zhou royal house in name, they enjoyed great political sovereignty. With the territorial expansion of each fiefdom and the increasing alienation from the kinship of the Zhou royal house, their independency became more and more apparent. Within each fiefdom, the overall political structure was mainly an evolution from the Zhou system. The internal governing and external control systems from the time of the Shang and the Zhou evolved into the town-and-country system. The monarchs of the fiefdoms mainly relied on the principles of the fiefing system to control their nobles and officials. The monarchs bestowed land on their nobles as fiefs, which was taken as emoluments by the nobles, whose descendants enjoyed hereditary privileges. There was a whole set of bureaucratic structure within the fiefdoms. In the fiefs, the nobles employed vassals to control the people. By the late Spring and Autumn Period, in some fiefdoms, the nobles increased their power and gradually took over from the ruling power, with their vassals holding such high status that they could interfere in the state affairs of the fiefdom. The situation might be described as “the ministers usurped the state affairs while the vassals controlled the fate of the state.”

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Yan

Yellow River

Bohai Qi

Wei Jin

Qin

Lu

Zhou

Yellow Ocean

Song Wu

Chu

Yangtze River

yue

The Five Hegemons of the Spring and Autumn Period Map of Eastern Zhou Dynasty and The Five Hegemons of Spring and Autumn Period

In the time of the Spring and Autumn Period, both society and the economy developed further. With the expansion of the territory came newly developed areas, many of which were privately cultivated land. The cultivation of private land had a great impact on the old square-field system. Increasingly discontent with their toil on the square-fields and with the distribution of the land, the people resented having to cultivate the land for the nobles. As the peasants often concealed their income from private landowners, the national revenue was severely affected. Therefore, from the middle of the Spring and Autumn Period, some states began to change their rent and tax systems. For example, “the tax-by-land system” adopted by the state of Lu in 594 BC ruled that the division between the nobles’ land and private land was removed, and taxes were collected in proportion to the size of the land. The reform of the tax system not only increased the country’s revenue but also made the peasants more enthusiastc about their work. It was a sign of social progress. The collapse of the square-field system was a matter of time. The change to the agricultural system also promoted the development of industry and commerce.

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The Change of the Social Structure For many years, nobles, commoners and slaves were the three major classes in ancient societies. The rulers appointed officials mainly on the basis of their births. There were the so-called hereditary minister and emolument systems in the Zhou political and social structure, by which the nobles could enjoy the privilege of becoming officials for generations without making any contribution or having any ability. By contrast, the humble minor nobles and commoners had little chance of pursuing a political career, while the slaves could not even enjoy freedom. In the late Spring and Autumn Period, the situation in which social status was determined by birth began to change. Along with the practice of appointing people according to their birth, there evolved an increasingly common practice in which people were appointed according to their ability. Some average or minor nobles, even some commoners, through talent and ability, won favor with the monarch and were trusted with important posts. The so-called intelligentsia class gradually became the pillar of society, and the nobles began to lose their monopoly over social political power. With the continuing development of society, the commoner class also disappeared. Social status was no longer unchangeable—commoners could become nobles, and nobles could be reduced to commoner status. People working in agriculture, industry and commerce, together with the intelligentsia, had a respectable social status. Not only did the professional officials enter political circles, but also rich merchants quickly gained social status. Even freeing slaves who had served in the military was no longer a rare event. This new social structure was further entrenched during the time of the Warring States Period.

The State of Affairs in the Warring States Period and the Reform by Shang Yang The Warring States Period in Chinese society lasted from 476 BC to 221 BC , when the Qin Dynasty united the country. In the early Spring and Autumn Period, there were more than a hundred and forty fiefdoms. After years of contention for supremacy and annexation, only around ten fiefdoms remained. The bigger ones were the Qi, Chu, Yan, Han, Zhao, Wei, and Qin fiefdoms, the so-called “Seven Powers of the Warring States Period.” During the Spring and Autumn Period, the larger state Jin split into the three states of Han,

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Yan

Yellow River

Bohai Zhongshan Qi

Zhao Lu Wei Qin

Han

Song

Yellow Ocean

Yue

Chu

Yangtze River

Map of the Warring States Period (350 BC)

Zhao, and Wei, which were also called the “Three Jins.” These bigger states were rivals over the control of the land and its people for several hundred years, hence their name, the “Warring States.” During the Warring States Period, great changes took place in society, with the old political and economic systems becoming increasingly outdated and unable to meet the needs of the evolving social development. The increasing intensity of conflict between the fiefdoms forced the states to seek a way to enrich their country, to strengthen their army, and to adopt reforms. Among the Seven Powers of the Warring States Period, the reforms by Shang Yang were the most thorough and effective. In 356 BC , Duke Xiao of Qin appointed Shang Yang to enforce reform. Shang Yang advocated government by rule of law, with definite rules for reward and punishment. In his measures of reform, he focused on encouraging agriculture, rewarding military credit, restricting business and trade practices, nullifying the nobles’ privileges of title and emolument, and dividing bigger families into small families to increase the revenue. Later on, he also abolished the square-field system, standardized weights and measures, and divided the land into thirty-one counties to replace the feudal fief system in place since the Western Zhou Dynasty. His obvious

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motivation was to enrich the country and strengthen the army, but, inevitably, his reforms adversely affected the interests of the original nobles of Qin. After Duke Xiao of Qin died, Shang Yang was killed. However, later Qin rulers adopted the measures taken by Shang Yang in his reforms and the Qin gradually grew more prosperous.

Social Development in the Warring States Period The reforms introduced by the states in the Warring States Period encouraged the fast development of the social economy. Iron tools were widely used in agriculture; in some areas, cattle were used for ploughing; each state built water conservancy works; iron-smelting, bronzecasting, weaving and porcelain-molding techniques were improved; metal currency was widely used; the variety and number of various commodities increased, and the number of commercial cities increased. Fundamental changes also took place in the social structure during the Warring States Period. The newly emerging land-holding peasant class gradually became the major force of agricultural production. The landowner, labor hiring class put in an appearance. The social status of handicraft workers and businessmen also improved to the extent that big, wealthy merchants could obtain political power through their immense wealth. At the same time, when the original noble class began to disintegrate, salary-earning bureaucrats and various intellectual officials increased in number. During the Spring and Autumn Period, private schools prospered, and lecture tours became popular. By the time of the Warring States Period, the intelligentsia class grew bigger. The monarchs appealed for talented people from all over the country, and the practice of patronizing intellectuals prevailed. Social reforms further stimulated various philosophies and several schools of thought emerged. The major ones were the Schools of Confucianism, Mohism, Taoism, Legalism, Sophists, Military Treatises, Yin and Yang, Divine Farmer, Coalition Persuaders and Selecticism. There emerged a golden age in the Chinese history of thought—the “Contention of One Hundred Schools of Thought.”

The Wars of Annexation at the End of the Warring States Period and the Unification of China by Qin The ceaseless contention for supremacy between the bigger states in the Spring and Autumn Period and the Warring States Period brought great

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suffering to the populace, as well as seriously damaging the fabric of society. People longed for the fighting to cease and for the country to be unified. In view of the fact that only around ten fiefdoms survived to the Warring States Period, the wars of annexation were an essential step in ending the division and moving towards unification. By the end of this Period, social economic development and the reforms introduced reinforced the potential power of each state and ignited their desire for annexation, with everyone hoping to build an empire. Wars between the major states became increasingly frequent and intense, with each war lasting from several months to several years. Losses were high—in the battle of Changping between the states of Qin and Zhao in 260 BC , the Qin deployed an army of 600,000 soldiers, while up to 400,000 Zhao soldiers who surrendered after being defeated were buried alive. The state of Qin quickly improved after the Shang Yang reforms. Its national power increased and it emerged from years of annexation wars to become the most powerful state. The strength of Qin was a matter of serious concern for the other states and they decided to unite to control its expansion. However, the Qin adopted a strategy of divide and conquer—they made allies of more distant states and attacked neighboring states, breaking them up one by one. This policy was known as the Coalition Persuaders. The Qin expedition wars were the key to the shaping of the political situation in the late Warring States Period. After thorough preparation, King Yingzheng of the state of Qin, in 230 BC , began to launch military attacks against the six states of Han, Zhao, Wei, Chu, Yan and Qi. Ten years later, in 221 BC , he finally fulfilled his dream of uniting China, putting an end to years of chaos with fiefdoms tearing apart the nation and contending for supremacy. The establishment of the Qin Dynasty marked a new phase in the history of China.

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史 CHAPTER THREE

China from the Qin Dynasty to the Tang Dynasty The Qin and Han Dynasties

44

The Wei, Jin, Southern and Northern Dynasties

55

The Sui and Tang Dynasties

61

Free-style calligraphy of“史”(shi) means “history” in Chinese

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China’s major events

Timeline Dynasty

China’s major events

Timeline Dynasty

100 BC 922 BC King Solomon in power.

Western Han Dynasty (206–25 BC)

1066–771 BC Bronze inscriptions and great seal script were formed and used

after 115 BC The Silk Road became a trade route 87 BC Emperor Wu died 79 BC Sima Qian died

800 BC

AD

750 BC Homer’s Epic was composed 650 BC Iron tools were used 604–531 BC Laozi 551–479 BC Kongzi

100 565–486 BC Siddhartha Gautama

427–347 BC Plato

300

The Three Kingdoms (220–280)

356–323 BC Alexander the Great

AD 33 Jesus Christ’s crucifixion

AD 65 Started to have Buddhist followers AD 91 Han defeated the Hun Empire

Western Jin (265–316)

344–256 BC Stone-Drum Inscriptions (great seal script) were used

59–44 BC Julius Caesar in reign

AD 25 Emperor Guangwu established Han’s capital in Luoyang

200

The Sixteen States (304–439)

Eastern Jin (317–420)

400

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AD 8 Wang Mang established the New Dynasty

Eastern Han Dynasty (AD 25–220)

Qin Dynasty (221–206 BC)

200 BC

The Warring States Period (476–221 BC)

Eastern Zhou Dynasty (770–256 BC) 400 BC

The Spring and Autumn Period (770–476 BC)

600 BC

World’s major events

200 BC

Western Zhou Dynasty (1066–771 BC)

1000 BC

Shang Dynasty (1600–1066 BC)

1200 BC

World’s major events

105 Cai Lun invented paper 208 The Battle of Red Cliff 220–265 Translation of Tripitaka (Buddhist canon of scriptures)

200–450 Development and differentiation of Christianity

280–337 Roman Emperor Constantine

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China’s major events

Timeline Dynasty The Sixteen States (304–439)

Eastern Jin (317–420)

400

World’s major events

499 Emperor Wen of the Northern Wei died

500

445 The end of Roman Empire

584 The Grand Canal building

Sui Dynasty (581–618)

600

Northern Zhou (690– 705)

700

Tang Dynasty (618–907) 800

627–649 Zhenguan Administration 635 Luminous Religion introduced to China 645 Monk Xuanzang brought Sanskrit texts back to Chang’an and printed pictures of Buddhas 701–762 Li Bai

710–791 Nara Period of Japan 742–814 Charles the Great

712–770 Du Fu 713–743 The Prosperity of the Kaiyuan Era 750 Invention of gunpowder in China

900

570–632 Muhammad

763 An–Shi Rebellion settled

800 Charlemagne crowned Emperor of Rome

890 The Vikings invaded Anglo-Saxon

772–846 Bai Juyi

1000

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884 Huang Chao Rebellion settled

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The Qin and Han Dynasties The Establishment of the Qin Dynasty The First Emperor of the Qin Dynasty, Yingzheng, founded the Qin Empire. It was Yingzhen who introduced the concept of centralized power, which lasted for more than two thousand years. In his reign, the economic potential and military superiority of the Qin reached an unprecedentedly high level, as they conquered the six eastern states— the Han, Zhao, Wei, Chu, Yan and Qi—and put an end to the chaotic political situation where numerous overlords and small states competed for supremacy. A powerful, unified empire covering a vast territory was established. Civilization and social progress in China, indeed in the whole Eastern Asian area, entered a new historical era. With Xianyang as its capital, the territory of the Qin Empire extended in the east to the ocean, in the west to the west of Gansu Province, in the north to the Great Wall behind the Yanshan Mountains, and in the south to the coastline of the Southern Sea. Throughout this vast territory, the First Emperor implemented autocratic centralized government and set up a centralized administration based on the theory

Xianyang (capital)

Territory of the Qin Dynasty

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Currencies used in the Qin Dynasty

of the Legalist School. He gave himself the title of “August Emperor” to emphasize his supreme authority in the political system of the bureaucratic empire by assuming the role of the highest law-maker, the highest arbitrator and the chief executive. After the Qin Dynasty collapsed, the title of August Emperor continued to be used by later dynasties until the Revolution in 1911. The Qin Empire established central and regional institutions different from those of the previous states. The central government consisted of the Chancellor, the Imperial Inspector, the Military Commander and senior officials (three lords and nine senior officials), responsible for assisting the First Emperor in handling military and administrative matters. The regional institutions were made up of commands and counties, where the civil governor and the magistrate enforced government decrees, governed the people, collected taxes, and conscripted unpaid laborers and soldiers for military service. Through this bureaucratic system, which extended from the central government to local offices, the First Emperor took into his hands complete control of the country. In order to consolidate this unified political power, the First Emperor introduced a series of political, economic and cultural measures. Politically, he reinforced the centralization system, intensified military attacks against the Hun Empire in the north and built the Great Wall; he launched a military campaign in the south of the Qinling Mountains, pushing further south the frontier of commands and counties. Economically, he adopted such measures as standardizing

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weights, measures and currencies. Culturally, he unified styles of writing by taking the simplified small-seal script of Qin as the standard shape of character to be enforced throughout the country and abolishing the writing styles widely used in the six former states. Moreover, to strengthen his control over culture and ideology, the First Emperor resorted to political measures to suppress the schools of thought which burgeoned in the Warring States Period by burning archives—except those writings on medicine, agriculture, divination and mathematics— and burying alive 460 Confucian scholars.

The Collapse of the Qin Dynasty and the Competition for Power between Chu and Han In 221 BC , the Qin state was united with the other six states. Ten years later, the First Emperor died on an inspection tour to the east. Only three years later the Qin Dynasty crumbled. How could the once powerful Qin Dynasty collapse so suddenly? The answer lies in its ruthless government, which resulted in unbearable hardship for the populace, especially for the people in the six former states. Those who had suffered the chaos of the Warring States Period now found that the combined burdens of taxation, military service, forced, unpaid labor and the new harsh laws made life even more miserable. In spite of the fact that social production had been seriously damaged, the Qin Dynasty continued to exact high taxes during times of war and forced the peasants to turn in the greater part of their harvest. Although the unification wars were over, the Qin Dynasty went from bad to worse in conscripting soldiers and forcing labor. An enormous amount of manpower went into building massive construction projects, such as palaces, tombs and the Great Wall. Harsh laws such First Emperor of the Qin Dynasty (260 BC–210 BC)

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as clan responsibility and other cruel penalties were enforced as part of the legal system. This meant that all members of a family unit would be killed if one of the family committed an offence; even their neighbors would be held responsible for an individual’s wrongdoing, by being related to or being friendly to him. In 210 BC , the Second Emperor of the Qin Dynasty ascended the throne. He maintained the Qin Dynasty’s harsh ruling system, immediate conscription and ruthless taxation. In July in the following year, in the Daze village in Jin County (in the southeast of the present Suzhou in Anhui Province), a group of peasants who arrived late for their military service of defending the frontier, under the leadership of Chen Sheng (?–208 BC) and Wu Guang (?–208 BC), first raised the flag of fighting against the Qin Dynasty. In the name of Zhang Chu, Chen Sheng first gained the sympathy and support of the people in the former state of Chu, then the support of people country-wide, including those in the six former states. Although Chen Sheng rebellion was put down by the Qin army, the various other rebel armies which formed throughout the land grew bigger, stronger and more determined to overthrow the Qin. Among them, the armies led by Xiang Yu (233 BC–202 BC), a descendant of an aristocratic family from the Chu state and by Liu Bang (256 BC–195 BC) from Pei County (in the northwest of the present Xuzhou in Jiangsu Province) gave the Qin the most to fear. In 207 BC , the Chu army led by Xiang Yu, filled with hatred for the ruthless Qin Dynasty, fought a brave battle against the out-numbered Qin army in Julu (in the southwest of the present Pingxiang County in Hebei Province) and completely wiped out its main force. In the following year, Liu Bang led his army into the Guanzhong area through Wuguan and pressed on to Xianyang, where Emperor Ziying of the Qin Dynasty was forced to surrender the capital. The Qin Dynasty had totally collapsed. Though the Qin Dynasty had been overthrown, the political situation was still not clear. Subsequently, in the course of rebuilding a unified political power, the Chu–Han War, which lasted for nearly four years, broke out between Liu Bang and Xiang Yu. In the beginning, Xiang Yu, with his exceptional military talent, had the upper hand. However, the politically more astute Liu Bang later reversed this position by gaining support from such outstandingly talented men as Zhang Liang (?–189 BC), Xiao He (?–193 BC) and Han Xin (?–196 BC). His army gradually penetrated into Xiang Yu’s territory and defeated the

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Chu army in Gaixia (in the southeast of the present Lingbi County in Anhui Province) in 202 BC . Xiang Yu subsequently committed suicide at the Wujiang River (in the northeast of the present He County in Anhui Province). Liu Bang proclaimed himself emperor, established the Han Dynasty, made Chang’an its capital and became the Exalted Founder of the Han Dynasty. The unification of the country, begun by the First Emperor of the Qin Dynasty, was further consolidated.

Rehabilitation and the Administration of Emperors Wen and Jing The Han Dynasty founded by Liu Bang inherited the administrative structure of the Qin Dynasty, retained many of the Qin systems and continued to implement the policy of government by law. However, in view of the lessons drawn from the sudden collapse of that dynasty, the rulers of the early Han Dynasty felt that the ideological basis of government had to be modified. As a result, the Huanglao (the Yellow Emperor and Laozi) tradition and the Confucian ideals popular in the society ever since the Warring States Period were considered afresh by the new rulers. As the Han Dynasty came into being during a time of war, its primary concern was to revive the economy and to stabilize the social order. The Han rulers adopted the Huanglao tradition of putting into practice the policy of rehabilitation by demobilizing soldiers, allocating titles and land and favoring independent farmers. The national policy of “giving people a peaceful life and governing with moderate measures” had a great impact on the recovery of social production. In the early years of the Western Han Dynasty, there occurred a series of dramatic political incidents—the removal of such honored ministers as Han Xin and Ying Bu by Liu Bang and Empress Lü; Empress Lü’s usurpation of power and oppression of the lords of the Liu clan after Liu Bang’s death; and the expulsion of the Lü clan by the clique of ministers after the death of Empress Lü. However, these Chang’an court intrigues did not hinder the recovery of the economy. With the gradual stabilization of government in the early years of the Han Dynasty, especially in the reigns of Emperor Wen and Emperor Jing, came a relatively long period of political stabilization. The Emperors Wen and Jing advocated frugality, light corvée and low taxes, reduced penalties and abolished many harsh laws. The accumulation of social wealth, the improvement of productivity and the enlightened government enabled the country to flourish and develop.

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Hence, this period was honored as the “Administration of Emperors Wen and Jing” in Chinese history.

Emperor Wu and the Golden Age of the Han Dynasty After more than seventy years of development in the early years of the Han Dynasty, by the time Emperor Wu came to the throne, the economy flourished and national power was strengthened. The Han Dynasty reached its pinnacle to become the most powerful country in the world at that time. Emperor Wu, a man of superior talent and vision, reformed the internal affairs of the country, further consolidated the centralized bureaucratic administration, financed expeditions abroad and continued to extend and intensify Han influence over the country’s peripheral areas. Domestically, Emperor Wu’s most important reform was to abolish feudal lords, thus eliminating their potential to cause political discontent. He accepted the advice of the Great Confucianist Dong Zhongshu (180 BC–115 BC), “rejecting other schools of thought and only respecting Confucianism,” and officially adopted Confucianism as the ideological

Hun Empire

Fuyu

Chang’an (capital)

Tangmao

Western Han

Faqiang

Ailao

Territory of the Western Han Dynasty (AD 2)

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A painting showing Emperor Wu’s blessing on Zhang Qian’s expedition to the Western Regions (Tang Dynasty)

creed of the Han Dynasty. The political tradition of centralized power tradition was finally established in China. In the political and economic systems, Emperor Wu also carried out some important reforms. Emperor Wu launched wars against the Hun Empire in the north. After the collapse of the Qin Dynasty, the Huns took the opportunity to raid the northern border. In the early days of the Han Dynasty, the country was so weak that the Exalted Emperor of Han, Liu Bang, was trapped by the Hun hordes near Pingcheng (to the northeast of present Datong in Shanxi Province). The rulers prior to Emperor Wu had followed the policy of marrying princesses to the Hun rulers and giving lots of gifts. Emperor Wu put an end to this by launching long and fierce wars against the Hun Empire. The Han army drove deep into the Gobi desert and broke the Hun Empire, pushing the frontier of the Han Dynasty further north and northwest, bringing the Hexi Corridor (in the northwest of the present Gansu Province) under its control and setting up four commands in the area. In the war against the Huns a number of outstanding generals came to the fore, the most famous of whom were Wei Qing and Huo Qubing. The war against the Huns also created an opportunity for the Han Dynasty to gain a better understanding of the outside world. In order to seek allies against the Hun Empire, Emperor Wu sent an envoy,

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Zhang Qian, to the Western Regions (mainly in the present Xinjiang Autonomous Region). Zhang Qian endured great hardship during his two commissions as ambassador and, although he failed to persuade Dayuezhi to form an alliance with the Han Dynasty in fighting the Hun Empire, he came back with a complete and accurate report of the Western Regions. This prompted the Han Dynasty to divert significant manpower and resources to annexing the Western Regions. Despite the general exhaustion of the populace and the drainage of the treasury, the Han Dynasty incorporated the development of the Western Regions into the mainstream of the unified Chinese history—the history of the Western Regions became part of the history of China. The campaigns against the Western Regions and the annexing of the area turned over a new page in the history of cultural contacts between China and the West. A great variety of exquisite Chinese goods, silk in particular, was transported to the West through the Hexi Corridor and the Western Regions. This route was to become known as the Silk Road. Emperor Wu also undertook military campaigns in the southwest and in the southeast, which brought more areas and ethnic minority groups under the central control system of the Han Dynasty. In the reign of Emperor Wu, the primary scale and range of the Chinese political map was set; the influence of Chinese civilization reached its height. This was the Golden Age of the Han Dynasty.

Wang Mang’s Reform and the Mid-prosperity of Emperor Guangwu As society and the economy developed, however, more and more problems arose. The most serious of these were land annexation and the increasing poverty of the independent peasants. Big landowners, such as aristocrats and bureaucrats, frequently annexed land from small peasants. As a result, the rich became richer and the poor became poorer, often losing all their land. Those small peasants who were stripped of their land either became itinerants or were reduced to the status of slaves. With the deterioration of the land problem, social crises intensified, and the central government of the Han Dynasty focused its attention on instituting reforms. However, to curb land annexation and to reduce the number of slaves and servants would be against the interests of the privileged class, so it was likely that any reforms would only be enforced with difficulty.

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Wang Mang, a relative of the empress dowager of the Han Dynasty, was in his youth influenced by intellectuals and subsequently lived his life according to the tenets of Confucianism. In the court struggle for power towards the end of the Western Han Dynasty, Wang’s excellent reputation as a reformer won him wide support from all levels of society. He easily seized power and, eventually, the throne. He established the New Dynasty and proclaimed himself emperor. However, the reforms he initiated to ease the current social crises ended in failure. One of the most important of Wang Mang’s reforms was designed to address the problem of land ownership and the use of slaves and servants. He prohibited the buying and selling of land, slaves and servants and restricted the amount of land and the number of slaves and servants that could be owned by individuals. Wang Mang also put into practice a number of related reform measures, such as introducing new currency, improving the bureaucratic system and changing place names. His reforms, based on The Rituals of the Zhou Dynasty, attempted to turn contemporary society into the ideal old model depicted in the book. However, society at the end of the Western Han Dynasty was too sophisticated to change back to the old model. A further drawback for Wang was that he frequently changed his mind when attempting to implement his reforms and was at a loss when he encountered opposition. As a result, many of his reforms ended in failure. Wang Mang’s lack of success in reforming the social order resulted in a number of crises. Faced with famine and an unsympathetic government, the peasants rose up in rebellion. In the ensuing uprising, the Green Woodsmen and the Red Eyebrows rebel groups proved to be better organized and more powerful than Wang Mang’s supporters. When the royal family of Liu, who hated Wang Mang for usurping the throne, also joined the uprising, the Han Dynasty was restored. Wang Mang was killed and his New Dynasty disintegrated. Liu Xiu, a descendant of Emperor Jing from the Nanyang (6 BC–AD 57) command and a man of distinguished political and military talent, won the final victory over his rivals. He unified the country and established the central government of the Han Dynasty in its capital Luoyang. This dynasty was named the Eastern Han Dynasty and the era known as “Mid-prosperity of Emperor Guangwu” began. Liu Xiu became the first ruler of the Eastern Han Dynasty and was entitled Emperor Guangwu.

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The Recovery and Development of Society and the Economy in the Eastern Han Dynasty Emperor Guangwu was a commoner and was well aware of how the poor suffered. After he ascended the throne, he issued nine imperial edicts to free and to forbid the abuse of slaves and servants. He stressed that “in the nature of Heaven and Earth man should be the most precious,” and worked hard to solve the many social problems he had inherited. He also gave orders to reduce taxation and to abolish the exorbitant taxes and excessive levies of the reign of Wang Mang. He reformed the bureaucratic system and advocated frugality. After more than a decade’s unceasing effort, a relatively stable situation emerged across the country. The early Eastern Han Dynasty was politically enlightened; it acknowledged the importance of agriculture; it constructed irrigation systems; and it improved various technologies. Over seventy years of recovery and development, the society and economy of the Eastern Han Dynasty caught up with and exceeded the achievements of the Western Han Dynasty. The accumulation of social wealth and the improvement of production skills saw the population increase; more arable land was farmed and the national revenue was increased. It was due to the government’s strong financial standing that the Eastern Han Dynasty could fight a lengthy war against the Huns and the West Qiang, in addition to running the Western Regions in a manner comparable to that of the Western Han Dynasty. Important changes took place in the political situation on the northern prairies. The Hun Empire, after repeated military attacks by the Han armies, split into the Southern Huns and the Northern Huns. The Southern Huns submitted to the Han Dynasty; the Northern Huns were no longer strong enough to rival the Han Dynasty. However, in the east of the Qinghai–Tibet Plateau, as well as along the Yellow River to the west of the Long Mountains, the Eastern Han Dynasty faced fierce and long lasting revolts by the Qiang tribes. The Eastern Han Dynasty incurred huge expense in the fight against the Qiang tribes and the defence of its frontiers in other areas. In the Western Regions, the Eastern Han Dynasty gained the support of many other states and maintained a lasting political dominance over the area. In the course of overseeing the affairs of the Western Regions, there emerged a number of men who were experts on the area. One of these was Ban Chao, who worked for thirty years in the Western Regions, strengthening the link

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between the Western Regions and the inland. He is renowned for having sent an envoy to the Roman Empire. The envoy traveled as far as the Persian Gulf. In the colorful history of the Silk Road, Ban Chao deserves his own chapter.

Political Corruption by the End of the Eastern Han Dynasty and the Yellow Turban Rebellion By the late Western Han Dynasty, many great families and clans had grown very powerful. The main political power on the basis of which Liu Xiu founded the Eastern Han Dynasty was that of big landowners in the area of Nanyang and Hebei. During the Eastern Han Dynasty, many great families spread to other commands and counties. They annexed land and became overlords in the new areas. In their big estates they conscripted dependent peasants to work for them and increase their wealth and kept private armies to enhance their position. They were so powerful that the government decrees could not be implemented. Heavy tax losses, in particular, could not be curbed. The arrogance of the great landowners directly threatened the solidity of the Eastern Han Dynasty. Liu Xiu, therefore, took measures to weaken the great families. He issued the land-measuring order to check the amount of arable land and registered people across the country in order to control and dismantle the private armies of the great families. Although these measures were to some extent effective, the influence of the great families was not restricted. On the contrary, it so intensified towards the end of the Eastern Han Dynasty that it finally resulted in the dissolution of the empire. From the mid-Eastern Han Dynasty on, for various reasons, many emperors had short lives. When the young, inexperienced emperors came to the throne, the relatives of the empress dowagers and the court eunuchs took advantage of the situation to take control of state affairs. Widely regarded as corrupt and incompetent, they used any means to extort money from the populace and would stop at nothing to increase their material gains. The representatives of the scholar-officials, men of talent and integrity, who had previously governed the country, were attacked and suppressed. Eventually, the Dynasty descended into corruption and social and political conflict intensified. From the time Emperor Wu established the imperial college, the standard of higher education in the Han Dynasty had improved to

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the extent that there were now many excellent scholars and officials. The emperors of the early Eastern Han Dynasty greatly respected Confucianism. The system of the imperial college, the official local schools and the private schools guaranteed a gradual improvement in the national education. In the late Eastern Han Dynasty, many Confucianists who had graduated from, or were studying at, the imperial college were highly critical of the political situation at the time. They voiced their criticisms publicly and, with the support of the general public, became a social force not to be underestimated. However, the eunuchs used the imperial power they had usurped to suppress them. Many popular scholar-officials were killed, and their relatives and supporters were imprisoned. This became known as the notorious “Disaster of Party Sanction.” The incident of the Party Sanction exposed the corruption of the Eastern Han Dynasty, in which the intellectuals and common people no longer had any confidence. It was obvious that the situation could not continue and it came as no surprise when the “Yellow Turban Rebellion” occurred. Zhang Jiao and his brothers from Hebei, in the name of the religion “Greatest Peace Taoism,” organized peasants all over the country and began their revolt in February 184. The participants all wore yellow kerchiefs and were known as the “Yellow Turbans.” They had widespread support in the valleys of the Yellow River and the Yangtze River. Although the Yellow Turbans were eventually suppressed by the combined forces of the government army and local powerful families, the central authority of the Eastern Han Dynasty was irrevocably weakened. The bureaucratic intellectual class who seized political and military power during the Yellow Turban conflict was no longer loyal to the imperial family. This further contributed to the eventual downfall of the Eastern Han Dynasty.

The Wei, Jin, Southern and Northern Dynasties The Tripartite Confrontation The Eastern Han Dynasty existed only in name to the indifferent local military cliques, which were vigorously expanding their own forces in addition to annexing other cliques. This resulted in lengthy period of turmoil as warlords competed for power. The most powerful warlords

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in the north of China and the Central Plains were Yuan Shao (?–202) and Cao Cao (155–220). Yuan Shao dominated a bigger part of the territory and had a numerically superior army, so he was contemptuous of Cao Cao. In fact, however, Cao Cao was so talented that he became a renowned politician and militarist. In 196, Cao Cao gained the political initiative, by welcoming the homeless Emperor Xian of the Han Dynasty to Xuchang before embarking on expeditions to annex the territory of other warlords in the name of Chancellor of the Han Dynasty, the so-called “hold the Son of Heaven to order the other lords” campaign. In 200, in the Battle of Guandu, Cao Cao defeated Yuan Shao, in spite of his army being outnumbered. Before long, Cao Cao had unified the whole of North China. In the middle and lower reaches of the Yangtze River, two strong military cliques emerged. One was the Sun Quan clique, in the lower reaches of the Yangtze River; the other was the Liu Bei clique, in the Jianghan area. Liu Bei, who originally fled to Jingzhou from the north to seek shelter from Liu Biao, formed an alliance with the Sun Quan clique to resist Cao Cao when the latter led his strong army to the south. In the Battle of Red Cliff in 208, their allied army shattered Cao Cao’s dream of unifying the country and thus prolonged the period of disunity. Soon afterwards, Liu Bei marched into the Shu area in Sichuan, Sun Quan controlled the middle and lower reaches of the Yangtze River, and Cao Cao was stationed in the north. In 220, Cao Pei, son of Cao Cao, usurped the throne of the Han Dynasty, proclaimed himself emperor, made Luoyang his capital, and named his Dynasty Wei. In 221, Liu Bei claimed that he was the legitimate Emperor of Han and established his kingdom, known as Shu in history. In 222, Sun Quan assumed the title of king; seven years later, he enthroned himself emperor and named his Dynasty Wu. The country became a tripartite. Among the three kingdoms, Wei had the largest population, a bigger territory and was the strongest power. Then came Wu from the Sun family, followed by Shu, the weakest. Zhuge Liang, an outstanding politician in the Shu-han kingdom, proposed forming an alliance with Wu to fight against Cao Cao. He also reformed the civil affairs system, developed the economy and used offence as a means of defence, by launching expeditions to the north. However, with the gradual consolidation of the political situation and the recovery of the agricultural economy in the north, Wei from the family of Cao became increasingly powerful. In 263, Sima Zhao, who had virtual control of the

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Fuyu

Xianbei Wusun

Qianghu Wei

Congciqiang

Shu

Wu

The Tripartite Confrontation (262)

Wei kingdom, undertook campaigns to exterminate Shu. Two years later, Sima Yan (265–290) ascended the throne, founded the Jin Dynasty, known as the Western Jin Dynasty, and became Emperor Wu of the Jin Dynasty. In 280, the Jin army marched south and conquered the Wu kingdom. The tripartite ended and China was reunified.

The Short-lived Unification by Western Jin and the Yongjia Rebellion Shortly after it unified the country, court intrigues resulted in the end of the Western Jin Dynasty. The successor to Emperor Wu, Emperor Hui of the Jin Dynasty was mentally retarded. In 290, Jia Nanfeng, empress consort of Emperor Hui, came into conflict with Yang Jun, grandfather of Emperor Hui, over control of the throne. Consequently, the royal family and relatives of the empress dowagers were all involved in this cruel slaughter. “The Rebellion of Eight Princes” was a political disaster, which dragged elite troops and outstanding politicians and scholars into

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the turmoil. Production was sabotaged, the economy went into recession, and famine became widespread. The internal conflict pushed the Western Jin Dynasty to the brink of extinction. In the meantime, instances of revolt by ethnic minorities increased. Since the Eastern Han Dynasty, ethnic minority groups, including the Huns, Xianbei, Jie, Di and Qiang tribes, had settled in large numbers in the agricultural and semi-agricultural areas of the north and northwest. Immigration to the commands south of the Great Wall, where conditions were much better, contributed much to the prosperity and evolution of the tribes. However, the upper classes of the tribes were unwilling to submit to ruthless government by corrupt officials in the commands and the counties, so they planted the seeds of hatred in the commoners of the various ethnic minority groups, which resulted in the estrangement of the ethnic minorities. When the power of the Western Jin government was undermined during the savage internal conflict, the chief of the Huns, Liu Yuan, took the opportunity to revolt against the Western Jin Dynasty. Famine and warfare brought serious suffering to north China. The Western Jin regime was essentially dissolved in the year of Yongjia, during the reign of Emperor Huai of the Jin Dynasty. The disaster was called the “Yongjia Rebellion.” In the time of Liu Cong, son of Liu Yuan, the Hun hordes conquered Luoyang and Chang’an. They captured and later slew the last two emperors of the Western Jin Dynasty, Emperors Huai and Min. The Western Jin Dynasty collapsed. China fell into a long period of division.

The Eastern Jin Dynasty and the Sixteen States In 317, the year after the Huns captured Chang’an, with the support of the great northern families, such as Wang Dao from Langye, who had fled south, and the many refugees, Sima Rui (276–322), a member of the Western Jin imperial family, re-established the regime of the Jin Dynasty in Jiankang (the present Nanjing in Jiangsu Province), known historically as the Eastern Jin Dynasty. Sima Rui was Emperor Yuan of the Jin Dynasty. The Eastern Jin regime organized the northern refugees to open up the south of the Yangtze River and to prevent turmoil in the ethnic minority from spreading to the south. This resulted in the preservation of Chinese culture and its further developed south of the Yangtze River. Some Eastern Jin officials even organized several northern expeditions in an attempt to recover the lost land in the north. Among whom the most famous were Zu Ti and Huan Wen.

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In North China, such ethnic minority groups as the Huns, Xianbei, Jie, Di and Qiang, who rose up in arms, produced many chiefs skilled both in military and civil affairs. Each chief aimed to build a regime centered around his ethnic minority group. Over a hundred years, more than ten such ethnic minority regimes appeared successively in the north—the Former Zhao, the Later Zhao, the Former Yan, the Former Qin, the Later Yan, the Later Qin, the Western Qin, the Later Liang, the Southern Liang, the Northern Liang, the Xia Kingdom, the Western Yan and the Southern Yan, in addition to a few warlord-led Han ethnic groups like the Former Liang, the Western Liang and the Northern Yan. That is, sixteen states of some importance appeared in the north, and were known historically as the Sixteen States. The minority regimes all adopted and inherited the political and other related Chinese systems initiated by the Qin and Han dynasties, and undertook the task of unifying the country and establishing a unified autocratic government. Among the sixteen states, only the Former Qin of the Di tribes in the reign of Fu Jian (338–385) unified north China. In 383, Fu Jian who had succeeded in unifying the north launched a war against Eastern Jin in the hope of unifying the country. The Prime Minister of the Eastern Jin Dynasty, Xie An, organized the resistance. The Jin army defeated Fu Jian and his troops when Fu Jian’s soldiers fled the Battle of Feishui. Shortly after this, the Xianbei and Qiang tribes took the opportunity to revolt and overthrew the Former Qin. North China was again plunged into chaos.

The Confrontation between South and North and the Assimilation of the Ethnic Minority Groups The Eastern Jin regime was long under the control of the hereditary aristocratic families. When they were on the decline, the second-class scholar official Liu Yu, who had a military background, took over power. In 420, Liu Yu usurped the throne and established the Song Dynasty. Over the next 160 years, south China was ruled by four dynasties— the Song, Qi, Liang and Chen dynasties, which all made Jiangkang (the present Nanjing in Jiangsu Province) their capital and established succession by virtues. These four dynasties are known as the Southern Dynasties. The relative social stability of the Southern Dynasties, together with the economic development south of the Yangtze River, saw the southern economy gradually approach the level of the northern economy. There

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existed a special class, scholar-officials, in the society of the Southern Dynasties. This class, as well as its related systems, came into being during the Wei and Jin dynasties. They had a special tradition of cultural education, a long family history of learning and becoming officials and the special privilege of enjoying a political and economic status high above the other social classes. The higher posts of the civil service in the Eastern Jin Dynasty were almost all monopolized by the scholar-officials. This class of scholar-officials was an important base on which to build up the Southern Dynasties after the Eastern Jin, the chief supplier of the executive personnel of the country and the main creator of the cultural achievements of the Southern Dynasties as well. For a long period, the scholar-officials formed the base of the Eastern Jin and Southern Dynasties. In the late Southern Dynasties, the class of scholar-officials lost their integrity and became corrupt. This signaled the imminent end of the Southern Dynasties. In the north of China, the Tuopa group of the Xianbei ethnic group slowly conquered the other warlords, putting an end to the division and turmoil of the Sixteen States and established the kingdom of Wei, known as the Later Wei or the Northern Wei in history. In the early sixth century, the Northern Wei split into the Eastern Wei and the Western Wei, which was replaced respectively by the Northern Qi and the Northern Zhou. The five kingdoms were called the Northern Dynasties in history. The Northern Dynasties and the Southern Dynasties existed simultaneously, confronting each other in the north and in the south, hence its name the Southern and Northern Dynasties. During the Northern Dynasties, a large number of ethnic minority groups settled down among the inhabitants of the Central Plains. The royal families and the aristocratic class mainly came from the Xianbei group, as did the majority of the army’s recruits. Such ethnic minority groups preserved many of their traditions, which had a strong impact on social life in the north. Meanwhile, Chinese civilization exerted its own influence on the ethnic migrants. The monarchs of the Northern Dynasties, deeply attracted by traditional Chinese civilization, vigorously promoted Sinification, thus accelerating the social progress of various minority groups. Through the experience of the Northern Dynasties, northern settlers from different ethnic minority groups with their different religions and different languages, gradually combined into one group, which accepted the historical tradition of Chinese civilization. In this process, the Sinification policy of Emperor Xiaowen of the Northern

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Wei, Yuan Hong, is the most noteworthy. He moved his capital from Pingcheng to Luoyang and forced the Xianbei nobles to speak Chinese, which played a significant role in stabilizing northern social structure and promoting the Sinification of various northern minority groups. With the recovery of the agricultural economy and the stability of the political order in the north, the reconstruction of northern society strengthened its overall social power. By contrast, the scholar-officials in the Southern Dynasties were corrupt and their power was weak; the Southern Dynasties could no longer rival the north. In 577, Emperor Wu of the Northern Zhou Dynasty began a military campaign, conquered Northern Qi and unified the north of China.

The Sui and Tang Dynasties The Reestablishment of Centralized Power Shortly after the Northern Zhou unified the north, a boy ruler ascended the throne. A relative of the empress dowager, Yang Jian (541–604), was the regent. In 581, Yang Jian seized power, established the Sui Dynasty, made Chang’an the capital and became Emperor Wen of the Sui Dynasty. In 589, when the Sui army marched south, the last monarch of the Southern Dynasties, that is, the last emperor of the Chen Dynasty, was forced to surrender. The Chen Dynasty came to an end. Emperor Wen of the Sui Dynasty not only put an end to the Southern and Northern Dynasties, but also ended the long-lasting divisions caused by the warlords and the confrontation between the Southern and Northern Dynasties in China. The ethnic assimilation in the north and the economic development in the south played a key role in the quick prosperity of the Sui Dynasty after the unification. The economic development of the Sui Dynasty mainly manifested itself in the enormous increase of arable land and agricultural yields. As people’s living standards improved, the national tax revenue greatly exceeded that of the past. In the official granaries in Chang’an and Luoyang, enormous amounts of grain were stored, enough to last the government for many years. Handicrafts assimilated foreign technologies, and commerce boomed, if only for a while. In order to consolidate the unification and to strengthen the link between the south and the north, Emperor Yang of the Sui Dynasty directed the building of the Grand Canal. The Grand Canal, the longest

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Tong command (present Beijing)

Yellow River

Yongji Channel

Guangtong Banzhu Channel Tongguan

Jingshi Daxing

built in AD584

Eastern Capital (Luoyang)

Tongji Channel built in AD 605

Shanyang

Kan Trench Jiangdu

Yanling built in AD 610

Yangtze River

River South of the Yangtze River

Yuhang (present Hangzhou)

The Grand Canal connecting southern and northern China

man-made canal in the world at the time, measured four to five thousand li in length and linked southern and northern China. It started from the eastern capital Luoyang, ran to the Tong command (the present Beijing) in the northeast and to Yuhang (the present Hangzhou) in the southeast, and was composed of four sections—the Yongji Channel, the Tongji Channel, the Kan Trench and the River south of the Yangtze River. The opening up of the Grand Canal, comparable to the construction of the Great Wall, had a profound impact on the shaping of Chinese history. In the reign of Emperor Yang, a series of enormous public works was undertaken. However, the subsequent exploitation of manpower, and draining of resources undermined the social economy and threatened political stability. The war between the Sui Dynasty and the Koryos brought great suffering to the people. Excessive military service and corvée labor led to social upheaval. To avoid military service and corvée labor, peasants were forced to leave their land and move to other parts of the country. Famine, caused by the under use of farmland and natural disasters, destroyed the previously stable economy. In 611, the peasants in the Changbai Mountains in Shandong

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Province were the first to rise in revolt, followed by people everywhere. The political order of the Sui Dynasty soon crumbled. The rebellious peasants slowly converged into several big groups, mostly because of the Wagang Rebellion on the Central Plains. They sacked and raided cities, opened the state granaries as well as the barns in Luoyang, and thus directly threatened the city of Luoyang. In 618, Emperor Yang was killed in Jiangdu by his general. The Sui Dynasty collapsed after only thirtyseven years of reign.

The Establishment of the Tang Dynasty and the Zhenguan Administration When the upheaval at the end of the Sui Dynasty became more and more intense, many Sui officials and aristocrats joined the revolt against the Sui Dynasty. Of these, the most famous was Li Yuan (566–635), a commander of the Taiyuan Garrison. In May 617, Li Yuan, together with his eldest son, Li Jiancheng, and his second son, Li Shimin (599–649), rose in rebellion in Taiyuan. They conquered Chang’an in November. In the following year, Li Yuan proclaimed himself emperor and established the Tang Dynasty, made Chang’an the capital and became Emperor Gaozu of the Tang Dynasty. Soon afterwards with the assistance of Li Shimin and over nearly ten years of hard campaigning, Li Yuan wiped out the warlords in the country and restored a unified political order. In 626, Li Shimin staged a mutiny at the Xuanwu Gate to the Palace, killed the crown prince Jiancheng and forced Emperor Gaozu Li Yuan to designate him crown prince. Li Yuan soon abdicated the throne to Li Shimin, who became Emperor Taizong of the Tang Dynasty and adopted Zhenguan as the title of his reign. In the years of Emperor Gaozu’s reign, the political situation in the country gradually improved and the agricultural economy in the north, which had been devastated by war, also slowly recovered. In addition, Emperor Gaozu laid down the basic framework of the political institutions of the Tang Dynasty during the last years of his reign. All this laid a solid foundation for the best years of the Tang Dynasty. The Tang Dynasty retained the Three Departments and Six Ministries. The central government consisted of the Imperial Secretariat, the Imperial Chancellery and the Department of State Affairs, with their respective directors making up the central decision-making institution. The Imperial Secretariat and the Imperial Chancellery were responsible

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for the draft and review of the state doctrines, while the Department of State Affairs was in charge of the Six Ministries, including the Ministries of Officials, Register, Rites, Military Affairs, Justice and Public Works, which functioned as administrative institutions responsible for implementing central decisions. From its beginning, the system of the Three Provinces and Six Ministries was frequently modified as the political situation developed and social conditions changed. The Zhenguan era of Emperor Taizong saw the birth of the historically renowned “Zhenguan Administration.” Emperor Taizong Emperor Taizong was a monarch of great talent (Tang Dynasty) and vision, who lived through the sudden collapse of the Sui Dynasty; he was deeply impressed by the people who refused to tolerate the harsh government and who rose in revolt. In his reign, he paid special attention to the lessons of history and stressed the importance of benevolent government. He believed that the masses related to the ruler in much the same way as a vessel does to water, in that “the water can both float and capsize a vessel.” He employed virtuous officials and widely solicited opinions. At that time, a number of outstanding officials in the royal court dared to offend the emperor by giving frank advice, the most famous one of whom was Wei Zheng (580–643). The book Essentials of Government of the Zhenguan Era records many anecdotes and arguments between Emperor Taizong and his ministers over state affairs, which reflected the enlightened political atmosphere in the Tang imperial court at the time. In the Zhenguan era, the reform of national policies aimed to meet the practical needs of the society; the system of equal land allocation initiated in the Northern Wei Dynasty was retained as the land system; and the system of payment in kind and labor was put into effect for taxation—each peasant was given an equal amount of land and had to pay three kinds of taxes—in grain,

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in corvée labor and military service and in textiles or other materials, which contributed to the revival and growth of agricultural production. Emperor Taizong enforced an open policy in such fields as religion and arts and made a great effort to assimilate aspects of foreign culture, which resulted in the flourishing of both culture and the arts in the Tang Dynasty. During this period, social stability, political enlightenment, a booming economy, increased national strength and prosperity and the defeat of the Eastern Turks who had long threatened the northern borders—all these won the esteem and appreciation of contemporary and later generations.

Empress Wu Zetian After Emperor Taizong died, the crown prince Li Zhi (628– 683) succeeded the throne. Li Zhi became Emperor Gaozong of the Tang Dynasty. Wu Zetian was the second empress of Emperor Gaozong. She was a woman of beauty and shrewdness. After many setbacks, she won the internecine court wars for power and was entitled Empress. As Emperor Gaozong was often ill, Wu Zetian often handled state affairs on his behalf. With her extraordinary political talent, she gradually gained dominance over court Empress Wu Zetian politics. (Tang Dynasty) After Emperor Gaozong died, Wu Zetian put two of her sons, one after another, on the throne, holding the power for state affairs in her own hands. Eventually dissatisfied with this situation, she deposed them and made herself empress. In 690, Wu Zetian publicly proclaimed herself as empress, changed the name of the Dynasty to Zhou and made Luoyang its capital—the Divine Capital. After consolidating her power, she reformed the system of recruiting officials; strengthened the civil service

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examination system created in the Sui Dynasty (which had a great impact on the development of the examination system); focused attention on the production of agriculture; constantly gave orders to free slaves; and suppressed and destroyed the hierarchical official system in the north. In her reign, society was stable, the economy continued to develop, national strength was greatly improved, culture bloomed, and the registered population greatly increased. Empress Wu Zetian is renowned worldwide as being a ruler of remarkable ability. Wu Zetian’s Zhou Dynasty lasted fifteen years. In 705, supported by the ministers, the descendants of the Li family forced the aged Wu Zetian to abdicate the throne and restored the Tang Dynasty.

Emperor Xuanzong of the Tang Dynasty and the Prosperity of the Kaiyuan Era Several years after Wu Zetian died, her grandson Li Longji (685–762) ascended the throne and became Emperor Xuanzong of the Tang Dynasty. The early years of Emperor Xuanzong’s reign, the Kaiyuan era, saw the Emperor Xuanzong try every possible means to rule effectively. He employed virtuous chancellors, simplified administrative structures, cut down expenses, strengthened the supervision of local officials, reformed their administration and took a series of innovative and effective measures to solve political, economic and military problems. In the Kaiyuan era, the national strength of the Tang Dynasty reached its acme, with its military and political influence over the border areas and the ethnic minority groups exceeding any previous period in history. A highly developed material civilization and a flowering culture created a centripetal force appealing to the ethnic minority groups in the border areas. The Tang Dynasty was the strongest country in the world, as well as the bridge to, and center of, economic and cultural exchange among the Asian countries, occupying a prominent place in the contact between China and the West. Cultural growth, unprecedented economic prosperity, political enlightenment, a greater variety of goods and wealthy people marked the grandeur of the time, known as the “Prosperity of the Kaiyuan Era”— a second splendid period in Chinese history, after Emperor Wu of the Han Dynasty.

The Frontier Ethnic Minority Groups in the Tang Dynasty In the Tang Dynasty, the northern grasslands were controlled by

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the Turks and the Huihes. The Turks emerged in the late Northern Dynasties and had split into the Eastern Turks and the Western Turks by the time of the Sui Dynasty. They frequently marched south to raid the agricultural areas of the Tang Dynasty. Emperor Taizong restored his political control over the northern grasslands after defeating the Eastern Turks. Later, the Western Turks also accepted the ruling of the Tang emperor. The Tang Dynasty set up the Anxi Protectorate and the Beiting Protectorate in the Western Regions, effectively controlling the area south and north of the Tianshan Mountains and west of the Amur River, the Altay Mountains and the Balkhash Lake. The Huihes originally lived along the Selun’ge River and prospered in the mid-eighth century, when they almost controlled the grasslands extending from the Heilongjiang River in the east to the Altay Mountains in the west. The Huihe chief Gulipeiluo accepted the title of Huairen Khan, which means “a Benevolent Khan” conferred by the Tang emperor. Soon afterwards, the Huihes changed their name to “Huihu.” In the middle of the ninth century, the Huihus migrated to the west, forming the Huihus in the Western Prefecture around the Turpan area and the Huihus in the Gansu Prefecture in the Hexi Corridor. The Huihus are the ancestors of today’s Uygurs ethnic minority group. In the valleys of the Heilongjiang River, the Songhua River and the Wusuli River lived the Mohe tribes. After the mid-seventh century, the Mohe tribes in Heishui and Sumo grew more powerful. The Heishui Mohe lived in the north and began to send tributes to the Tang Dynasty in the reign of Emperor Taizong. In the early eighth century, the Tang Dynasty set up the Heishui Protectorate. At the end of the seventh century, the chief Da Zuorong united the various groups of the Sumo Mohe in the south. In 713, he accepted the title King of the Bohai Prefecture conferred by the Tang Dynasty and established the Bohai State. Around the Erhai Lake in Yunnan Province gradually emerged Nanzhao, one of the important frontier ethnic minority groups in the Tang Dynasty. The Nanzhao was the ancestor group of the Yi and Bai ethnic minorities. Originally there were six groups, known as the Six Zhaos, with the group in the southernmost called Nanzhao. With the aid of Emperor Taizong, the chief of the Nanzhao united the other five Zhaos, and was conferred the title King of Yunnan. Under the influence of the advanced inland culture, Nanzhao’s economy and culture were rapidly transformed.

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Tubo was the ancestor group of the present Tibetans. In the early seventh century, the Tubo Zambo (king) Songzan Gambo united the Qinghai-Tibet Plateau, made Losha (the present Lhasa) the political center and established a powerful Tubo regime. In 641, Emperor Taizong sent an envoy to accompany Princess Wencheng to Tubo to marry Songzan Gambo. Princess Wencheng took vegetable seeds, handicraft products and books on medicine and technology to Tubo. Soon, various types of craftsmen moved into Tubo in a steady stream. This stimulated Tubo’s economic progress. Later, many wars broke out between the Tubo regime and the Tang Dynasty and the Tubo army marched as far as Chang’an. The intermittent outbreaks of war and peace between the Tubo regime and the Tang Dynasty deepened their understanding and promoted economic exchange. In the early ninth century, the Tubo regime and the Tang Dynasty formed an alliance. The treaty stressed that the Tang Dynasty and the Tubo regime would “share hardships and avoid violence.” The monument to this alliance still stands in front of the Dazhao Temple in Lhasa today.

Foreign Relations in the Tang Dynasty Economic and cultural exchanges between the Tang Dynasty and Asian and European countries grew, with the Silk Road over land and communication and trade by sea unusually busy. By the land route, people could reach the Korean Peninsula in the east, and India, Iran and the Arabian countries in the west by way of Dunhuang, overpassing the Chongling Mountains. By the sea routes, people could travel to Korea and Japan in the east, to the Malaysian Peninsula in the south from Guangzhou, and west to India and the Persian Gulf area. Chang’an was one of the most important cosmopolitan cities in the world. Other important centers of traffic included Yangzhou, Guangzhou and Dunhuang. Silla (an important country on the Korean Peninsula) and Japan maintained very close ties with the Tang Dynasty. Both countries sent a number of students to China during the Tang Dynasty to study its advanced culture and technology, among whom the Japanese “envoys to the Tang Dynasty” were the best known. The famous Tang monk Jianzhen sailed east to Japan and greatly influenced the development of Buddhism there. Tang culture also had an impact in Japan and Korea, especially in politics and economics, city architecture, writing, and everyday life. Since the introduction of Buddhism during the Han

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Dynasty, economic and cultural contacts between China and South Asia, particularly India, had grown more frequent, in part due to the Indian monks who came to China and the Chinese monks who journeyed west as pilgrims. The renowned monk Xuanzang, in the reign of Emperor Taizong, overcame many obstacles and endured much hardship to journey to India to study Buddhism. He traveled across India and won respect from the Buddhist aut hor it ie s t here for h i s outstanding learning. He took over six hundred Buddhist texts back with him to China and translated some of them into Chinese. He was one of the Monk Xuanzang most outstanding travelers and (Tang Dynasty) translators of the Buddhist texts in Chinese history. The Tang Dynasty was also very close to Persia (present day Iran) and Dashi (present day Arabia). A large number of Persian and Dashi merchants had business in the interior of China. They brought with them many goods from the West and introduced religions from Central Asia and the West Asia into China (including Nestorian Christianity, Zoroastrianism and Manichaeanism). Chinese goods were very popular with the people in Persia and Dashi. Merchants, monks and envoys continuously traveled on the Silk Road, which was an important arena for foreign relations during the Tang Dynasty.

The An–Shi Rebellion and the Warlord Culture of Military Commands In the Tianbao era, Emperor Xuanzong slowly transformed into an emperor who indulged himself in lavish spending. Worse, he showed

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Turks

Beidu (Taiyuan)

Tubo

India

Western Capital (Chang’an)

Silla

Eastern Capital (Luoyang)

Tang

Territory of the Tang Dynasty (741)

special favor to fraudulent and treacherous ministers. The corruption in the royal family and the relatives of the empress led to political upheaval. Behind the prosperity of the Tang Dynasty a serious crisis was developing. The An–Shi Rebellion was the turning point for the decline of the Tang Dynasty. An Lushan (?–757) and Shi Siming (?–761) were originally frontier generals during the Tang Dynasty. As a consequence of the failure of recruiting professional soldiers, the Tang army relied too heavily on the generals and soldiers from the frontier ethnic minority groups, whose dependency on the head of the military commands and the regional military governors, increased. The power of the regional military governors was so great that they gained control over the local military and administrative and financial affairs and began to ignore the central government. In 755, An Lushan, the regional military governor who was in charge of the area in the present Hebei Province, Shanxi Province and Liaoning Province, took advantage of the political turmoil and the weak inland military force, to rise in rebellion in Fanyang (the present Beijing).

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The rebellious army soon conquered the two capitals of the Tang Dynasty, Luoyang and Chang’an. Emperor Xuanzong was forced to flee and organize counter attacks from other areas. Two years later, with the assistance of the Huihe soldiers, the Tang generals Guo Ziyi and Li Guangbi regained the capital. After An Lushan died, his lieutenant, Shi Siming, rose in revolt once more. It was not until 763 that the rebellion was put down by the Tang army. The An–Shi Rebellion seriously sabotaged agricultural production in the north of China. Many people were made homeless. Within several hundred li around Luoyang, many prefectures and counties were laid waste. As a result, the Tang Dynasty went from prosperity to decline. Another serious political consequence of the An–Shi Rebellion was that it resulted in the warlordism of military commands. During the An–Shi Rebellion and later, the regional military governors took the opportunity to enlarge their own domains and armies, which led to the emergence of a warlord culture. Many regional military governors were, in name, head of the Tang military command, but in effect, lords of these “independent kingdoms.” They passed none of the collected taxes to the imperial treasury, appointed local officials in their own domains and installed their sons and generals as successors after they died. In face of this, the imperial court was powerless. The warlordism of military commands lasted for over a century. Political and military conflicts often broke out between the military commands, and between the military commands and the central government. This further weakened the national power of the Tang Dynasty and was one of the main reasons why the Dynasty was doomed.

Adjustments Plus Reforms and the Revival in the Yuanhe Era After the An–Shi Rebellion was suppressed, the Tang government, beginning with Emperor Daizong, began to adopt measures to stabilize the situation and to restore law and order. Liu Yan, a famous financial expert in the late Tang Dynasty, made some positive contributions to reform the national finance and economy after the An–Shi Rebellion. However, since the mid-Tang Dynasty, with the development of the economy and the accumulation of social wealth, land had been frequently sold and bought; worse still, too much land had been annexed—the system of equal land allocation had been violated. The system of payment in kind and labor could not be sustained. The country

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was faced with a financial crisis, which was intensified after the An– Shi Rebellion. To solve the crisis, the Tang government accepted the advice of Prime Minister Yang Yan in 780 and adopted the Double-tax System. According to this system, taxes were collected twice a year, in summer and in autumn, mainly on the basis of the amount of land and property owned—hence its name. The Double-tax System differed from the previous taxation standard, which was mainly based on the number of people in a family. It was an important innovation in the taxation system and had a far-reaching effect in subsequent Chinese history. The enforcement of the Double-tax System secured the Tang government a basic flow of revenue, thanks to which it managed to survive various difficulties. In the later years of his reign, Emperor Dezong implemented policies to appease the warlords in the military commands. At the same time, he weakened the military command of governors who aspired to be warlords. As a result, the relationship between the central government and the regional military commands was changed to some extent. Great progress was made in reinforcing the imperial army, strengthening defenses in the border areas, and increasing the central fiscal reserve. Due to the rise of the middle and lower classes, the examination system was adjusted in the later reign of Emperor Dezong. Numbers of scholars, who cared about the common people, understood the importance of quality of life, and who worked for the long-term interests of the Tang Dynasty, were recruited. The efforts of these scholars stimulated political reform and encouraged the growth of literature and the arts. The reign of Xianzong, in the early Yuanhe era, saw the reforms of the Two Princes and Eight Ministers, which included further reforms to the political system. In the Yuanhe era, politics was relatively enlightened, production improved and, in particular, the warlord culture in Hebei was destroyed. This was the time of the Revival of the Yuanhe Era.

The Monopolization of Power by the Eunuchs and the Dissention between Parties The Revival of the Yuanhe Era did not last long. After Emperor Muzong succeeded to the throne, the military commanders in Hebei revolted once again. This time, the Tang Dynasty could not suppress the rebellion and the situation reached deadlock. The power struggle within the ruling class intensified. The evolution of the relationship between court

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officials, eunuchs and military commanders constituted the mainstream of late Tang politics. Eunuchs were the side-products of the autocratic imperial power. During the process of reforming the political system and strengthening the autocratic power of the emperor in the late Tang Dynasty, the eunuchs grew increasingly powerful. They not only controlled the state power, but also took charge of the imperial forbidden army, formulated national policies, appointed or removed court officials and, ultimately, deposed or appointed emperors. The monopolization of power by eunuchs drove the politics of the Tang Dynasty further into turmoil and corruption. “The Dissention between Parties” referred to the two groups of aristocrats in the Tang Dynasty who plotted against each other in the struggle for power. From the reign of Emperor Xianzong, serious splits had occurred among the aristocrats and scholar-officials in the court, with one group headed by Niu Sengru (the Niu Party), and the other group led by Li Deyu (the Li Party). Their actions resulted in the disintegration of the ruling class and accelerated the final downfall of the Tang Dynasty.

Peasant Uprisings at the End of the Tang Dynasty and the Collapse of the Tang Dynasty The political chaos at the end of the Tang Dynasty intensified the social conflicts which had been building up for some time. The Tang rulers were so obsessed with the power struggle that they paid no attention to the brewing conflict. The enforcement of the Double-tax System resulted in many new problems; for example, land annexation became more serious and, as the new taxation rules were not forcefully implemented, the exploitation of the peasants worsened. Those peasants who had lost their land began to air their grievances in the form of violent action. In 859, Qiu Fu led a peasant uprising in the east of Zhejiang Province. In 868, frontier soldiers’ mutiny, which was led by Pang Sun, evolved into a large-scale peasant uprising. At the end of 874, Wang Xianzhi led thousands of peasants in Shandong and Henan in a rebellion in Changyuan, which was quickly followed by Huang Chao’s uprising. After Wang Xianzhi died, Huang Chao led his great army in battles across more than half of China, becoming more and more powerful. In 880, his army occupied Luoyang and entered Chang’an early the next year. Huang Chao set up a regime called Daqi.

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But the remaining army of the Tang Dynasty began to fight back. In 883, Huang Chao was forced to retreat from Chang’an and committed suicide near Mountain Tai after he was defeated in the following year. However, Huang Chao’s army deeply undermined the Tang Dynasty. Soon after Huang Chao’s death, the Tang Dynasty, which has a glorious chapter in Chinese history, came to an end, thanks to the military warlords.

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史 CHAPTER FOUR

China During the Song, Yuan, Ming and Qing Dynasties The Song Dynasty

78

The Yuan Dynasty

89

The Ming Dynasty

95

The Qing Dynasty

103

Early Modern China

109

Free-style calligraphy of“史”(shi) means “history” in Chinese

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China’s major events

Timeline Dynasty

World’s major events

Southern Song (1127–1279)

Ten Kingdoms (902–979) Five Dynasties (907–960)

950

1200

947 Establishment of Liao

Liao, Western Xia, Jin (902–1234)

900

China’s major events

Timeline Dynasty

1250–1533 Inca Civilization (Peru)

960–1127 Rise of trademarks, advertisements and paper currencies

1038 Establishment of Western Xia

1001 The Vikings arrived at Newfoundland of North America from Greenland 1350

1096 First Crusade

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1127 Jingkang Incident; downfall of Northern Song 1142 Yue Fei died

1200 Zhu Xi died

1100 Medieval universities founded in Europe

1150 First papermaking workshop established in Europe (Spain) 1189 Paper mill built in France

1500

1320 Renaissance began in Europe

1298 Metal (tin) movable type 1337 printing system Hundred invented Years’ War began

1404–1408 The largest ancient encyclopedia Yongle Encyclopedia was compiled

1400

1450

1275 Marco Polo visited China

1348 Europe devastated by the Black Death

Ming (1368–1644)

1125 Jin conquered Liao

1200

1279 Song Emperor, Zhao Bing, committed suicide; Southern Song collapsed

1069 Wang Anshi’s Reform

1100

1150

Yuan (1271–1368)

Liao, Western Xia, Jin (902–1234)

Northern Song (960–1127)

1050

1300 1023 Banknotes issued by central bank

1204 Fourth Crusade

1250

1000

World’s major events

1405–1433 The Seven Voyages of Zheng He

1452–1519 Leonardo da Vinci 1492 Christopher Columbus discovered America 1498 Vasco da Gama explored a sea route from Europe to India

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Timeline Dynasty

China’s major events

World’s major events 1520 Ferdinand Magellan sailed across the Pacific Ocean

1500

1521 Martin Luther initiated the Protestant Reformation 1564–1616 William Shakespeare

1550 Ming (1368–1644) 1650

1596–1650 Rene Descartes 1609 Tokugawa bakufu was established and started ruling Japan

1733–1880 Industrial Revolution

1700

Qing (1644–1911)

1723–1735 Yongzheng Period 1735–1795 Qianlong Period

1750

1782 Completion of Vol.1 of Si Ku Quan Shu 1800

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1850

1564–1642 Galileo Galilei

1596 Li Shizhen’s 1610 medical book, Scientific Revolution The Great began Pharmacopoeia 1645–1660 1603–1607 Cromwell and the Translation and English Revolution publication of 1685–1750 a geometry book by Matteo Johann Sebastian Bach Ricci and Xu Guangqi 1687 Isaac Newton wrote “Philosophiae Natwralis Principia Mathematica” 1662–1722 1724–1804 Kangxi Period Immanual Kant

1600

1800

1791 Publication of A Dream of Red Mansion (120 chapters)

1756–1791 Wolfgang Amadeus Mozart 1769 James Watt invented steam engine 1770–1827 Ludwig van Beethoven 1776 United States Declaration of Independence 1789 The French Revolution began

Qing (1644–1911)

1529 Wang Shouren died

Timeline Dynasty

China’s major events

World’s major events

1810 British missionary Robert Morrison printed The Arts of the Apostles in Canton

1804 Napoléon Bonaparte became the Emperor of the French

1840 The outbreak of Opium War

1818–1883 Karl Heinrich Marx

1842 1821 Signed the Treaty Michael of Nanjing Faraday invented motor 1850–1864 and generator Heavenly Kingdom of Great 1848 Peace The Manifesto of the 1898 Communist Publication of Party “Evolution and

1900

1950

Ethics”

1989 Hundred Days’ Reform launched and failed at last 1900 Allied Army of the Eight Powers invaded China at Beijing 1911 The Revolution of 1911 succeeded and built the Republic of China 1919 The outbreak of May-Fourth Movement 1921 The Communist Party in China was established

1859 Evolutionism, by Charles Robert Darwin 1861–1865 American Civil War 1868 Meiji Restoration of Japan 1876 Alexander Graham Bell invented telephone 1894 Outbreak of First Sino– Japanese War

1905 Albert Einstein proposed the Theory of 1937-1945 The Second Sino- Relativity and Law of the Japanese War Photoelectric 1949 Effect The establishment of 1914–1918 People’s Republic The First World War of China 1939–1945 The Second World War 1945 The atomic bombings of Hiroshima and Nagasaki

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The Song Dynasty From the Mutiny at Chenqiao to Disarmament over a Cup of Wine From 907 to 979, China fell again into a period of division, historically known as the Five Dynasties and the Ten Kingdoms. This period covered the five small courts and ten small warlord regimes between the Tang and Song dynasties. The Five Dynasties included the Later Liang, the Later Tang, the Later Jin, the Later Han and the Later Zhou. Except for the Later Tang, which made Luoyang its capital, the rest established their capital in Kaifeng. The Ten Kingdoms were the regimes of Wu, Southern Tang, Wuyue, Min, Southern Han, Chu, Nanping, Former Shu, the Later Shu and Northern Han. With the exception of the Northern Han in the north, the other nine kingdoms were all in the south of China. In 960, Zhao Kuangyin, the Later Zhou’s general, led a mutiny at Chenqiao station northwest of Dongjing (the present Kaifeng, Henan Province). His army marched to Dongjing, seized the throne of the Later Zhou and established the Song Dynasty, known as the Northern Song Dynasty. Zhao Kuangyin became the first emperor, Emperor Taizu, of the Song Dynasty. It took Emperor Taizu and his brother Emperor Taizong over ten years to gradually exterminate the other warlords and put an end to the turmoil caused by warlords during the Five Dynasties and the Ten Kingdoms. In the early years of the Northern Song Dynasty, in order to consolidate his power, Emperor Taizu took several measures to strengthen the central authority. First, he removed the military generals from power. He did this by holding a banquet, during which he hinted that warlords such as Shi Shouxin should hand over their military power. Shi Shouxin and the other generals, recognizing Taizu’s superior military strength, heeded his hint and resigned from office, claiming to be ill. This was the famous “Disarmament over a Cup of Wine” incident. Second, the emperor removed the regional military governors from office. Third, he sent civil officials to the prefectures to take charge of regional administrative affairs. Fourth, he assigned finance commissioners to manage regional financial affairs. Last, he chose the strongest soldiers from the regional forces to form the imperial guards, who were under his direct control. Through these measures, the regional administrative, financial and military power was again under the control of the central

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authority. However, this did lead to the expansion of bureaucratic institutions as well as significantly increase the size of the military. This, in turn, meant that more money had to be allocated from the treasury to both the administration and the military. Another effect of centralization was that regional governors’ power was weakened.

The Advancement in Economy and the Prosperity of the Cities The Northern Song Dynasty saw big advancements in social economy, notably in agriculture, industry and commerce. In agriculture, some crops were more widely planted, for instance, millet, wheat, broomcorn millet and beans, introduced from the north of the Huai River and planted in the south of the Yangtze River, as well as in Guangdong and Guangxi. The Champa strain of rice, introduced from Vietnam, was already being grown in Fujian in the time of the Northern Song Dynasty, when the government encouraged the people of Jiangsu, Zhejiang and the Huai River valley to grow it. Tea production also increased; many new tea plantations were established in the hills of Fujian and in the middle and lower reaches of the Yangtze River. In the handicraft industry, Sichuan still led the country in silkweaving techniques, though the silk weaving industry south of the Yangtze River had already overtaken that of the north. The styles and varieties of silk products also increased and further progress was made in dyeing techniques. The porcelain-making industry was so advanced that more than thirty kilns were operational. The white porcelain from the Ding kilns and the white-blue porcelain from the Ru kilns were famous. Porcelain made in Jingdezhen was smooth in texture and rich in color and it, too, was renowned. The mining and metallurgy industries were further developed; at this time people in both cities and the country in Shanxi and Dongjing were using coal as fuel. The use of coal to smelt iron increased; there were over thirty smelting workshops, employing approximately four thousand craftsmen, in the iron-smelting center in the northeast of Xuzhou alone. Iron-smelting techniques and quality improved, which meant that agricultural tools were stronger and more durable. Commerce flourished, as the agricultural and handicraft industries developed, and the cultivation of cash crops such as tea and sugar cane expanded and cities in the Northern Song Dynasty grew prosperous. At this time, villages in both the south and in the north, regular village fairs

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Heihan

Tubo Tribes

Xizhou Huigu

Hangzhou

Jiangning Fu

Guangzhou

Quanzhou

Mingzhou (Ningbo)

Yangzhou

Nanjing Yingtian Prefecture

Northern Song

Liao and Northern Song Dynasties (1111)

Dali

Chengdu Prefecture (Chengdu)

Dongjin Kaifeng Prefecture

Xijing (Henan Fu)

Nanjing (Xijin Fu)

Beijing (Daming Fu)

(Beijing)

Dongjing (Liaoyang Fu)

Shangjing (Barin Left Banner)

Zhongjing (Dading Fu)

Liao

Xijing (Datong Fu)

Jingzhao Fu (Xián)

Xingqing Prefecture (Yinchuan)

Western Xia

Dali

Xiajiasi

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Part of the painting “Along the River During the Ching Ming Festival,” work of artist Zhang Zeduan (Northern Song Dynasty)

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were a common event. In the cities, business sections and living quarters were no longer strictly segregated, as craftsmen and businessmen opened shop houses on the main streets, doing business whenever convenient and forming a cityscape similar to that in cities today. Rice, grains, wheat, beans, chickens, fish, vegetables, fruit, wood, charcoal, chinaware, bamboo products, silk, cotton, cloth, silk fabrics, clothes, shoes, pigs, sheep, horses, cattle, monkeys and mules were all sold there. Copper, iron, gold and silver coins were widely used in the markets. In the early Northern Song Dynasty, jiaozi, the world’s first easily carried paper money, was introduced in Sichuan. It also encouraged the growth of commerce.

The Establishment of Liao, and Western Xia and their Relationship to the Northern Song Dynasty In the early stages of the Northern Song Dynasty, two regimes established by the Liao and the Western Xia, ethnic minority groups in the north, posed serious threats to the stability of the dynasty. The Khitan, a nomadic tribe, originally settled along the upper reaches of the Liao River and lived by fishing and hunting. In the Northern Wei Dynasty, they were in close contact with the inhabitants on the Central Plains, exchanging horses and leather with the Han people. Towards the end of the Tang Dynasty, the Khitans continued to expand their influence. From the Han people, the Khitans learned to cultivate land, to spin and weave, to smelt iron, to produce salt, and to build cities and houses, beginning an agrarian and settled way of life. At the beginning of the tenth century, the Khitan chieftain Yelü Abaoji, unified the Khitan groups. In 916, Abaoji proclaimed himself emperor, established the Khitan Kingdom, with its capital in Shangjing (south of the present Barin Left Banner in Inner Mongolia). In 947, the Khitans changed the name of their regime to Liao. The Northern Song Dynasty launched two campaigns against Liao, but was twice defeated. In the autumn of 1004, the Liao army launched a large-scale attack on the Northern Song Dynasty, with its front army reaching Chanzhou (the present Puyang County in Henan province) along the Yellow River, threatening Song’s capital city Kaifeng. In the following year, Song and Liao formed the Chanyuan Alliance—Liao agreed to withdraw its army, and the Northern Song Dynasty agreed to send an annual tribute of 100,000 liang (or tael, Chinese system of weights, one liang equals about 40 grams) of silver and 200,000 bolts (a standard unit of length for the fabric industry, 1

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bolt of cloth equals about 36 meters) of silk. Thereafter, Song and Liao maintained a lasting peace and engaged in both economic and cultural exchanges. Western Xia was a regime set up by the Dangxiang tribe, one branch of an old ethnic minority group, the Qiang from west China, who settled in Ningxia, Gansu and northwest Shaanxi, maintaining a nomadic life style. By the time of the Five Dynasties at the end of the Tang Dynasty, the Dangxiang tribe was powerful. At the beginning of the Northern Song Dynasty, Dangxiang’s chieftain assumed the title of king over the Xia Kingdom. In 1038, the Xia king, Yuanhao, proclaimed himself emperor of Great Xia, with its capital in Xingqing (the present Yinchuan in Ningxia Hui Autonomous Region), known then as Western Xia. Yuanhao’s assumption of the title of emperor set off years of war between Xia and Song, with heavy losses on both sides. Later, the two sides signed a peace treaty—the Northern Song Dynasty sent an annual tribute to Western Xia and reopened the border to trade; Western Xia nullified the title of emperor, while the Song Dynasty conferred on its chieftain the title of king.

Qingli New Policies and Wang Anshi’s Reforms As a result of the expansion of the bureaucratic institutions, the evergrowing military and the years of warfare, a series of political crises faced the mid-Northern Song Dynasty. Military spending and the financial needs of the bureaucracy reached such heights that the state revenue could not meet the demand. This was exacerbated by the fact that many of the bureaucrats were corrupt, state levies and taxes were exorbitant and the bulk of the land was once again in the hands of the powerful landowners. With the political and social situation deteriorating, peasant uprisings were frequent. Liao and Western Xia continued to threaten the Northern Song Dynasty, which had to pay burdensome annual tributes. To try to resolve the political crises, from the third year of Qingli (1043) in the reign of Emperor Renzong of the Song Dynasty, Fan Zhongyan, Ouyang Xiu, and other statesmen attempted to reform the administration. However, because of resistance from the conservative faction, the “Qingli New Policies,” as they were known, were not as effective as had been anticipated. In 1069, Emperor Shenzong of the Song Dynasty appointed Wang Anshi to put his reform measures into

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practice in the hope that they would alleviate the conflicts in society, increase revenue and strengthen the army. The reform mainly involved the Young Shoots Law, the Farmland and Hydraulic Projects Law, the Service Exemption Law, the Land Survey and Equitable Taxation Law and the Baojia Law. The new laws of Wang Anshi, which were enforced for more than ten years, produced some positive results. For example, after the Farmland and Hydraulic Projects Law was implemented, over ten thousand irrigation systems were built and a huge amount of farmland was irrigated, leading to an increase in state revenue. However, owing to inappropriate employment of certain officials, the interests of the common people were adversely affected in the course of this reform. The new laws also reduced the privileges enjoyed by the big landowners and bureaucrats, who strongly opposed the laws. After Emperor Shenzong died, Sima Guang, who was appointed Prime Minister in 1086, abolished almost all the new laws. But when Emperor Zhezong, the son of Emperor Shenzong himself attended to state affairs, he reintroduced such major new laws as the Young Shoots Law and Exemption of Services. However, his actions resulted in factional struggles, which took no account of such goals as restraining the powerful from annexing land and reviving agricultural production.

Political Corruption Towards the End of the Northern Song Dynasty The first twenty-five years of the twelfth century saw the reign of Emperor Huizong of the Song Dynasty. The emperor promoted calligraphy, painting and the arts, but was himself debauched and tyrannous. His favorite ministers and eunuchs tried every possible means to extort the people to pay for his extravagant desires. They also accepted bribes and conferred official titles for money, acting in defiance of the law and public opinion. The spending on luxury and extravagance meant that the state revenue was depleted, with the annual revenue lasting only eight or nine months. In order to raise fiscal income, the government began to take over unoccupied land and deem it to be public land. In fact, they often used violence to seize fertile land, the original owners of which were forced to become tenants and pay rent and taxes to the government. Many bureaucrats and powerful landowners also took advantage of this opportunity to wantonly seize other people’s land.

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As a result, social and political unrest intensified. It was under such circumstances that peasant uprisings, led by Fang La in the south and Song Jiang in the north, broke out towards the end of the Northern Song Dynasty.

The Rise of the Nüzhen and the Crush of Liao by Jin When the Northern Song Dynasty was challenged by peasant uprisings, the ethnic minority regimes in the north once again became a threat. After the Khitan Kingdom was established, it subdued the Heishui Mohe, who used to live along the Heilongjiang River and the Songhua River and in the Changbai Mountains. They were known to the Khitans as the Nüzhens. The Khitan Liao extorted hunting eagles and other local goods from them. In the eleventh century, the Wanyan tribe of the Nüzhen group prospered and gradually unified the other Nüzhen tribes. Together, they launched armed attacks against Liao and conquered much of Liao’s territory. In 1115, the Nüzhen chieftain Wanyan Aguda proclaimed himself emperor and established the Jin Dynasty. Thereafter, Jin, in collaboration with Song, launched attacks against Liao from the north and the south. In 1125, the Jin army captured Liao’s emperor, and so ended the Liao Dynasty.

The Jingkang Incident and the Anti-Jin Wars in the Early Southern Song Dynasty After ending the Liao Dynasty, the Jin Dynasty turned its attention to the Northern Song Dynasty, which was both corrupt and badly defended. Therefore, in the winter of the year when Liao was defeated, Jin marched south and launched a large-scale attack against the Northern Song Dynasty. In the following spring, the Jin army crossed the Yellow River and closed in on Dongjing. Emperor Huizong was so panic-stricken that he hurriedly gave the throne to his son, who became Emperor Qinzong. In 1127, the Jin army sacked Dongjing and took up to three thousand prisoners, including Emperor Huizong, Emperor Qinzong, concubines, members of the royal clans and ministers. The Northern Song Dynasty collapsed. The title of Emperor Qinzong’s reign was Jingkang, so the event came to be known as the “Jingkang Incident.” In the same year as the Northern Song Dynasty ended, Emperor Qinzong’s brother, Zhao Gou, crowned himself emperor in Yingtian Prefecture (the present Shangqiu, Henan Province) and later made Lin’

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Xiliao

Dali

Dali

Guangzhou

Southern Song

Shangjin (Huining Fu) Dongjing (Liaoyang Fu)

Quanzhou

Lin’an Prefecture (Hangzhou)

Yangzhou

Nanjing Kaifeng Prefecture

(Beijing) Zhongdu (Daxing Fu)

Beijing (Dading Fu)

Jingzhao Fu (Xián) Chengdu Prefecture (Chengdu)

Zhongxing Fu (Yinchuan)

Jin and Southern Song Dynasties (1208)

Tubo

Xijing

Western Xia (Datong Fu)

Mongolia

Jin

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an (the present Hangzhou, Zhejiang Province) his capital. This period is known as the Southern Song Dynasty. Zhao Gou became Emperor Gaozong of the Song Dynasty. When the Jin army arrived at the Yellow River valley, people rose up in arms in resistance. They organized themselves into armies and dealt heavy blows to the Jin forces. The Jin army was unable to hold its ground on the central plains for a long time, and its march south was delayed. When the Jin troops crossed the Yangtze River in 1129, the generals of the Southern Song Dynasty fought back with determination and persistence. Han Shizhong held the Jin army at bay at Huangtiandang for as long as forty-eight days. Yue Fei recaptured Jiankang from the Jin forces. In 1140, the Jin force undertook another attack against the Southern Song Dynasty, which negotiated for peace. In 1142, the Southern Song Dynasty and the Jin Dynasty signed a peace agreement, which stated that the Southern Song Dynasty would submit itself as a vassal to the Jin Dynasty; the two parties delineated a boundary extending from the Huai River in the east to the Dasan Pass in the west, with the area north of the line becoming Jin territory; the Southern Song Dynasty would send an annual tribute of 250,000 liang of silver and 250,000 bolts of silk. The title of Emperor Gaozong’s reign was Shaoxing and the treaty is historically known as the “Shaoxing Peace Agreement.” Later, however, the Jin Dynasty and the Southern Song Dynasty would once again be in conflict.

The Economic Growth of the Southern Song Dynasty and the Economic Recovery in the North Though its territory was reduced to barely more than half of that of the Northern Song Dynasty, the Southern Song Dynasty was content to retain the south of the Yangtze River, which covered the economically most developed Jiangsu, Anhui, Hunan, Hubei and Guangdong region. With the southward migration of the northern population and the promotion of economic growth by the Southern Song government, the natural resources of the south were soon developed and the economy grew rapidly. In agriculture, within the territory of the Southern Song Dynasty, the water conservation and irrigation systems were already well developed. To increase financial income, the Southern Song government rewarded regional officials for repairing the water conservation and irrigation

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projects. In the first fifty years of the Southern Song Dynasty, the significant water conservation projects built or repaired in its territory included the Guitang Dyke in Tanzhou, Hunan Province, Shanhe Dam in Xingyuan Prefecture, and the seventy-two sources of the Lianhu Lake in Zhengjiang Prefecture, which were capable of irrigating ten thousand qing (1 qing equals to 66,670 square meters), over 9,300 qing and over ten thousand qing of farmland respectively. In addition, the old lakes in Huiji and Shanyin in Shaoxing Prefecture and in various counties in Zhuji Prefecture were all repaired. As the irrigation systems were repaired and developed, the number of paddy fields increased and yields were further raised. In areas like Suzhou and Huzhou around Taihu Lake, rice yields were so abundant that this proverb became very popular: “When the rice in Suzhou and Huzhou is ripe, it is enough for the people in the whole country to consume.” Cotton was more widely grown, covering areas from Guangdong and Fujian to the valleys of the Yangtze River and the Huai River. Tea cultivating areas also outnumbered those of the Northern Song Dynasty. Sugarcane was grown in large quantities in some areas in Fujian, Zhejiang, Sichuan and Guangdong. In handicraft industries, cotton weaving gradually became the major side occupation in the villages of the cotton growing areas. At that time, a set of cotton-weaving tools to roll, fluff, spin and weave were in use. A cotton blanket from Southern Song Dynasty, unearthed in Zhejiang Province, was closely woven, thick but soft, with a very high level of craftsmanship. The shipbuilding industry also experienced a marked progress in technology. Ships built at this time were equipped with compasses and were capable of sailing against strong winds. In fact, merchants from other countries preferred to use ships of the Southern Song Dynasty. In commerce, overseas trade flourished. Among the major sea ports were Quanzhou, Guangzhou and Mingzhou (the present Ningbo in Zhejiang Province). Near Quanzhou can be found the remains of ports and docks, sites of Islamic temples, Arabian tomb stones and monuments which recorded exchanges between China and foreign countries. At that time, China traded with Japan and Korea to the east and some African countries to the west. As the economy grew in the south, the Jin Dynasty also took measures in the north to revive agricultural production. For instance, in the reign of Emperor Shizong, the government recruited peasants to open up the original

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course of the Yellow River for cultivation. When some areas experienced famine, the court would reduce or exempt rents and taxes. Through such measures, the northern economy began to revive and develop.

Yuan Dynasty The Rise of the Mongols and the Expansion by the Mongol Khanate The confrontation between Song and Jin lasted for about half a century before the Mongols rose in the northern Mongol plateau. The Mongols were an old ethnic group in the north of China, who originally roamed to the east of the Ergun River before spreading over the vast Mongol plateau. In the twelfth century, the Mongols began to develop their contacts with border ethnic groups. The Mongol tribes were frequently bitter rivals over wealth. During these tribal wars, along the Onon River slowly rose above the others a Mongol tribe, whose outstanding chieftain, Temujim, built up a powerful army. After fighting that lasted more than ten years, he defeated the surrounding tribes and unified Mongolia. In 1206, the Mongol aristocrats assembled near the sources of the Onon River and proclaimed Temujim as their Khan, Genghis Khan (Universal Ruler) of the Mongol regime. After the Mongol regime came into being, Genghis Khan and his successors started large-scale wars of expansion and conquered and crushed many regimes within China’s territory. The Western Xia, Tubo and Uygurs submitted themselves to the Mongols. In 1227, the Mongol incorporated Western Xia. In 1234, the Mongols, in collaboration with Southern Song, crushed Jin.

The Establishment of the Yuan Dynasty and the Collapse of the Southern Song Dynasty After Jin was overthrown, the Southern Song Dynasty acted to regain the areas south of the Yellow River. It dispatched troops from the west of the Huai River to seize the city of Kaifeng, where some of their forces were sent on to Luoyang. Unfortunately, soon after the Song army occupied Luoyang, the Mongol army marched in to capture the city. In the end, the Song army was defeated and had to withdraw from Luoyang. The forces left in Kaifeng also had to abandon the city because their food

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Yunnan Province

Jiangxi Province

Zhejiang Province

Henan Jiangbei Province

Huguang Province

Sichuan Province

Territory of the Yuan Dynasty (1330)

Political Council (Council of Buddhist Affairs)

Central Secretariat

Dadu Road (Beijing)

Shaanxi Province

Gansu Province

Lingbei Province

Liaoyang Province

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supply was insufficient and the Mongol army breached the dykes of the Yellow River to flood the city. Thereafter, the Mongol forces launched a full-scale attack against the Southern Song army in Sichuan, Xianghan and Jinghuang, along the Yangtze and Huai Rivers. In 1260, Kubla inherited the Mongol title of Khan. In 1271, he officially established Yuan as the name of the country. In the following year, he made Dadu (the present Beijing) his capital. Kubla became Emperor Shizu of the Yuan Dynasty. In 1276, the Yuan army conquered Lin’an, capital city of the Southern Song Dynasty, and took the emperor prisoner. The armed forces and the people of the Southern Song Dynasty, under the leadership of Wen Tianxiang, continued to fight against the Yuan troops. Even after he was captured, Wen Tianxiang remained faithful, leaving the well-known lines of poetry “Since olden days, which man has lived and not died? I’ll leave a loyalist name in history!” In 1279, surrounded by the Yuan army, the Prime Minister Lu Xiufu, carrying Zhao Bing, the little young emperor-in-exile of the Southern Song Dynasty on his back, jumped into the sea from Yashan Mountain. Both drowned and the Southern Song Dynasty came to an end.

The Territory of the Yuan Dynasty and Its Foreign Relations The Yuan Dynasty occupied a territory vaster than any previous dynasties. When the Yuan Dynasty was established, the Mongol Khanate, covering the Euro–Asian continent founded in the time of Genghis Khan, had gradually split into the Kipchak Khanate (Golden Horde), the Chagatai Khanate, the Il Khanate and others, though the emperor of the Yuan Dynasty was still, in name, the Khan of the other Khanates and they still maintained some contact with each other. The Yuan Empire in the thirteenth century was the most powerful and most wealthy country in the world, with its influence extending to Europe, Asia and Africa. A steady flow of Western envoys, merchants, travelers and missionaries made their way to China. In the reign of Emperor Shizu of the Yuan Dynasty, the Venetian merchant Marco Polo, who traveled to all the big cities in China, served as an official in China. In his Travels of Marco Polo, he gave a vivid and detailed description of Yuan’s vast territory and prosperous commerce, which inspired European interest in Chinese civilization. Thanks to the frequent contacts between China and the West, the Chinese compass, gunpowder and printing were introduced, via Arabia, to Western Europe, while Arabian astronomy,

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medicine and mathematics were also gradually introduced into China.

The Ethnic Assimilation and Oppression Policy The unification of the Yuan Dynasty promoted the assimilation of the various ethnic groups. Many Han people migrated to the frontier, which contributed to the opening up of the border areas. The frontier ethnic groups, including the Mongols, immigrated in large groups to the Central Plains and the south of the Yangtze River and settled among the Han people. The Khitans and the Nuzhens, who had moved into the Yellow River valley and cohabited with the Han people, had lived there for so many years that both groups were now known collectively as the Han. From the Tang Dynasty onward, many Persians and Arabians who believed in Islam also settled down in some areas in China, and more arrived during the Yuan Dynasty. They lived among and intermarried with the Han people, the Mongols and the Uygurs. The slow assimilation resulted in a new ethnic group—the Huis. As a regime set up by the Mongols, the Yuan Dynasty tried every means to consolidate the Mongols’ ruling position while adopting a divide-and-rule policy towards the other ethnic groups. The Yuan Dynasty divided the people in the country into four classes—in the top class were the Mongols, from various Mongol tribes; next were the Semus (People with Coloredeyes), the people from Western Xia, the Huis, the Western Regions and a group of Europeans living in China; third were the Han, referring to the Han people originally Stone engravings in Mogao Caves of Dunhuang under the rule of the Khitans, showing six kinds of Chinese characters the Nuzhens and Jin; in the (Yuan Dynasty)

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lowest class were the Southerners, subjects of the Southern Song Dynasty and people in southwest China. The four classes held different political and legal status. In the political and military systems, the Yuan Dynasty also implemented a policy of ethnic hierarchy and oppression.

The Provincial System and the Administration of Tibet and Taiwan The Yuan Dynasty administered the country through the institution of provinces. The Central Secretariat was set up, in the central government, as the highest executive institution of the country, in charge of Dadu as well as its adjoining areas, called Fuli (the hinterland). Field Secretariats were also set up in other areas as Provinces, governed by officials appointed by the central government. Except for Fuli, the whole country was divided into ten provinces, including remote areas like Yunnan. The establishment of Lingbei Province, in charge of the areas north of the Gobi desert, was particularly significant to the centralization of power and the consolidation of the unified, multinational China. The provincial system had such a far-reaching effect on the later generations that the highest regional administrative area today is still called a province. The Yuan Dynasty commissioned officials, stationed military forces, surveyed registered households and levied taxation in Tibet. Meanwhile, the Political Council (Council of Buddhist Affairs) was set up in the central government and was mainly responsible for administrating the political affairs of Tibet. Kubla conferred on Phagsba, the Lama leader in Tibet, the title of Imperial Tutor, thus Lamaism became the national religion of the Yuan Dynasty. All this proved that Tibet became an official district of the Yuan Dynasty. The Yuan Dynasty also established the Penghu Inspecting Office, which demonstrates that Yuan already exercised sovereignty over the Penghu and Liuqiu Islands, including Taiwan.

The Society and Economy of the Yuan Dynasty The Yuan Dynasty witnessed an important new development in society and the economy. The fact that cotton was planted over a vast area created favorable conditions for the growth of the cotton textile industry, which boomed in the area of Songjiang (Shanghai), where the widely known “the Wunijin Quilt” was produced. A local peasant woman, Huang Daopo, who had learned advanced cotton weaving technology

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from the Li ethnic group, introduced it in her home town and also improved cotton weaving tools, which contributed to the development of the cotton textile industry. As Dadu of the Yuan Dynasty was quite populous, it mainly relied on the south for its food supply. To solve the transportation problem, in the reign of Emperor Shizu, the Yuan Dynasty had the Huitong canal from Dongping to Linqing, Shandong Province, opened up. Later, the Tonghui canal from Tongzhou to Dadu was built and linked with the original Grand Canal so that the state ships transporting grain to Dadu straight from Hangzhou. The Yuan Dynasty also opened new sea routes. Grain ships could set out from Liujiang port at the mouth of the Yangtze River, cross the Yellow Sea and the Bohai Sea, and arrive at Zhigu (Tianjing), where the grain would be transported again to Dadu. The sea route became an important line of grain transportation. Commerce flourished in some big cities during the Yuan Dynasty. Dadu was not only the political center of the Yuan Dynasty, but also a well-known cosmopolitan commercial city throughout the world. Huge quantities of commodities were shipped into Dadu by sea, by canal and overland. Caravans and envoys from Asia, Eastern Europe and the coast of Africa streamed into the empire. Quanzhou was the biggest port of overseas trade in the Yuan Dynasty, where hundreds of sea vessels often moored and enormous quantities of goods were gathered and shipped. The Liusheng Tower, still standing near Quanzhou today, was the lighthouse that guided ships in and out of the port.

The Uprisings of the Red Turbans and the Overthrow of the Yuan Dynasty From the beginning of the Yuan Dynasty, various ethnic groups continued to resist the government and its policy of ethnic oppression. In the north, as the Mongols maintained a stabilized rule, the Han people carried out anti-Yuan activities in secret. In the south, the anti-Yuan uprisings came one after another. The main forces of the uprisings first gathered in Fujian, and later spread to other provinces. The leaders of the uprisings were mostly the remaining troops of Zhang Shijie, an antiYuan general, and appealed to the common people to help restore the Southern Song Dynasty. Towards the end of the Yuan Dynasty, political corruption, economic breakdown, the breaching of the Yellow River and years of

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natural calamities gave rise to uprisings which swept across China. In 1351, the peasants, led by Liu Futong, rose up at Yingzhou (the present Fuyang, Anhui Province), where the rebel soldiers wore red turbans, and were known as the “Red Turbans.” The peasants responded enthusiastically everywhere—Xu Shouhui rose in rebellion in Jingshui (the present Xishui County, Hubei Province), and Guo Zixing rose in rebellion in Haozhou (the present Fengyang County, Anhui province). As Liu Futong’s army grew, he launched a northern expedition over a variety of routes, conquered Shangdu (east of the present Right Blue Banner, Inner Mongolia) and closed in on Dadu. However, the lack of a unified leadership and the dispersion of the forces led to the failure of the expedition. Zhu Yuanzhang, who was born in a tenant family, joined Guo Zixing’s Red Turbans, from which he emerged as a leader. His influence continued to grow as he gradually brought the middle and lower reaches of the Yellow River valley under his control. In 1367, Zhu Yuanzhang issued his anti-Yuan proclamation to the people and sent his army north to take the Central Plains. In the following year, Dadu was conquered, and so ended more than ninety years of rule by the Yuan Dynasty.

The Ming Dynasty The Establishment of the Ming Dynasty and the Reinforcement of the Autocratic Monarchy In 1368, Zhu Yuanzhang proclaimed himself emperor in Yingtian (present day Nanjing, Jiangsu Province), and established the Ming Dynasty. Zhu Yuanzhang became Emperor Taizu of the Ming Dynasty. After its establishment, Emperor Taizu spent nearly twenty years removing the warlords before the country was finally unified. The Ming Dynasty adopted a series of measures to reinforce the autocratic monarchy. First, the Central Secretariat and Chancellor were abolished to reinforce the power of the monarch. After the power of the officials was weakened, Emperor Taizu abolished the post of Chancellor and appointed Six Ministries to be responsible for their respective court affairs. They were headed by ministers directly responsible to the emperor. Second, a surveillance section, the Chambers and Brocade Guards, was set up to intensify the court’s supervision of officials and the suppression of people. Emperor Taizu authorized the Brocade Guards

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to take charge of investigations, arrests and trials. The Brocade Guards were under the direct command of the emperor, instead of the Board of Justice. Later, the Ming Dynasty set up institutions like the Eastern Chamber, which spied on and were in charge of the eunuchs. They, too, were under the direct control of the emperor. Third, the “eight-legged essay” was used to recruit officials. The Ming Dynasty had retained the civil service examination system to recruit officials. According to the government, the subject matter of the examinations was confined to the “Four Books” and “Five Classics;” the examinees could only develop their essays according to the assigned notes, instead of their own interpretation; and the style of the paper had to conform to the set eightlegged essay, which restricted freedom of thought. Fourth, the regional administration was conducted by three offices. Emperor Taizu repealed the field secretariats, installed the Administrative Commissioner’s Office, the Judicial Commissioner’s Office and the Military Commissioner’s Office. The Administrative Commissioner’s Office was responsible for civil affairs; the Judicial Commissioner’s Office was in charge of penalty, imprisonment and supervision; and the Military Commissioner’s Office was responsible for military affairs. The three offices were of equal status and subject directly to the court, which enhanced the central control over the country.

Transferring the Capital to Beijing and Constructing the Great Wall After the Ming Dynasty was founded, the Mongols retreated beyond the Great Wall. However, they were still a force to be reckoned with. They sent their troops southward many times to raid the border areas of the Ming Dynasty. Soon after Emperor Chengzu ascended the throne, he decided to transfer the capital to Beijing so as to strengthen the military defense. In 1417, the Ming government undertook the task of building Beijing. Three years later, the project was over. In 1421, the Ming government transferred its capital to Beijing. To consolidate the defense of the northern border, the Ming government, beginning with the early Ming Dynasty, spent nearly two hundred years building the Great Wall. The Wall extended from the Yalu River in the east to the Jiayu Pass in the west, zigzaging six thousand kilometers, spectacular and awe-inspiring. It was one of the greatest projects in the world.

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Yarkand

Wusizang

(Yining)

Kirigizes Yili Bali Kazakh

Jiangxi

Guangzhou Leizhou

Fuzhou Quanzhou

Fujian

Zhejiang

Nigbo

Hangzhou

Nanjing Yingtian Prefecture

Shandong

Guangdong

Huguang

Henan

Shanxi

Guangxi

Guizhou

Sichuan

Shaanxi

Jingshi (Shuntian Fu)

Territory of the Ming Dynasty (1582)

Yunnan

Xuanweishi

Tumote

Tulufan

Tartars (Dada)

Oirats (Wala)

Governorate of Nu’ergan

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New Economic Developments in the Mid-Ming Dynasty Since the rehabilitation policy carried out at the beginning of the Ming Dynasty, the economy had gained new impetus. By the midMing Dynasty, agricultural production exceeded previous levels. Rice was more widely cultivated—double harvest rice was developed to the south of the Yangtze River and triple harvest rice south of the Qingling Mountain. Maize, tomatoes, potatoes and tobacco originally grown in America were introduced into China in the late Ming Dynasty and were widely grown in some areas. The plantation areas of the traditional cash crops like mulberry, hemp and cotton were also enlarged, and cotton cultivation spread to the south and the north of the Yangtze River. Cotton became popular material for people’s clothes. The handicraft industries thrived. As cotton was now widely available, the cotton weaving industry developed quickly. Songjiang was still the center of the cotton industry, where cotton production was extensive and of excellent quality. The silk weaving industry continued to flourish, especially in Suzhou and Hangzhou. For the porcelain industry, Jingdezhen in Jiangxi Province was the most famous center, where nearly one thousand kilns operated. With large-scale kilns and a sophisticated division of labor, its output was sold throughout the country. The ironsmelting industry used charcoal as fuel, which improved the quality of the smelted iron. Iron-smelting centers included Zunhua in Hebei Province. In the mining industry, gunpowder was used to blow open the mines. With the development of agriculture and handicraft industries, the economy boomed. Up to two hundred different types of product were marketed in large quantities. Over thirty big cities in the country became famous as either centers of the handicraft industry and commerce, or as ports for overseas trade. By the late Ming Dynasty, the regional and trade division of commodities further widened, land buying and selling increased, and silver coins were widely circulated.

Invasion of the Mongols and their Cultivation of Cordial Relations with the Ming Dynasty In the fourteenth century, the Mongols split mainly into the Tartars (Dada) and Oirats (Wala). Later, the Oirats rose in power and defeated the Tartars. In 1449, the chieftain of the Oirats marched south with a great army and fought against the Ming army at Tumubao. The

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Ming army was defeated and Emperor Yingzong was captured. As the Oirats closed in on Beijing, the military force and the people of Beijing prepared to resist. In the end, the Oirats withdrew. Later the power of the Oirats declined, while the Tartars prospered. The Tartar Anda Khan was reconciled with the Ming Dynasty. The Ming government opened a market in the border area, where the two sides exchanged goods they needed. Anda Khan built Huhehot, which soon grew into a city of commerce, where the Mongols traded with the inland people.

Qi Jiguang’s Resistance against the Japanese Pirates In the mid-Ming Dynasty, Japanese pirates began to harass shipping along China’s southeast coast. Japanese samurai, merchants and pirates colluded with Chinese smugglers and pirates to pillage the coast and divide the spoils. They threatened the lives and livelihoods of people along the coast, who eventually took up arms to fight the pirates. The Ming government also dispatched forces to the coastal areas to wipe out the Japanese pirates. Qi Jiguang and his private army, the Qi army, played a big part in expelling the Japanese pirates. In 1561, the Qi army won nine victories in nine battles along Taizhou, Zhejiang Province, rapidly clearing out the Japanese pirates there. Later, Qi Jiguang led his army into Fujian and Guangdong, where he cooperated with another general, Yu Dayou, to inflict heavy losses on the Japanese pirates. In the meantime, the Ming government relaxed its ban on sea trade. By 1565, the Japanese pirates were by and large eliminated along the southeast coast of China.

The Arrival of Western Colonizers and Missionaries in the Orient In the sixteenth century, the Portuguese and the Spanish sailed to the east from Europe. In 1511, the Portuguese appeared off the southeast coast of China and behaved aggressively. In 1557, they pillaged the residency in Macao, in Guangdong. In the seventeenth century, the Dutch reached the east. In 1603, Dutch colonizers invaded the China’s Penghu Islands but were defeated by the military forces and the people in Fujian. They turned instead to Taiwan, which they occupied in 1624, later building the city of Chiqian. As the colonizers were busy plundering the southeast coast of China, European missionaries also arrived. In 1580, a group of Jesuits arrived in Macao. They were followed by more missionaries, such as Matteo

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Ricci (1552–1610), Diego de Pantoja (1571–1618), Niccolo Longobardi (1559–1654) and Sabbatino de Ursis (1575–1620). Matteo Ricci reached Beijing in 1601 and received permission from Emperor Shenzong of the Ming Dynasty to build a church there. While preaching religion, these missionaries also introduced the Chinese to the tenets of Western philosophy and discoveries in the natural sciences.

Intensification of Social and Political Conflicts in the Mid- and Late-Ming Dynasty In the fifteenth and sixteenth centuries, the Ming Dynasty was plunged into deep social and political conflict. The Ming royal families annexed such a large amount of land that the estates established by the princes, dukes, ministers, nobles and eunuchs surpassed those of any previous dynasties. In the process of annexation, they robbed people of their property, burned their houses, leveled off or filled in family tombs, cut down trees and forced many people to flee their hometowns. They levied heavy taxes on their tenants, and even personally abused them. The aristocrats and the great families also recklessly annexed land, reducing many peasants to tenants, who had to rent land from the landowners and pay very heavy rents. Meanwhile, government levies and taxation also reached new high levels. The “never-to-be-taxed” land was completely taxed. The Ming government also converted the majority of the land taxes of the provinces south of the Yangtze River into silver, which became known as “rent silver.” Large numbers of refugees appeared as more land was annexed and taxation increased. Except for a small number who moved to the cities, or went abroad to make their living, the majority of the refugees was reduced to becoming hired hands, tenants, slaves and servants of the landowners. A few went into the mountains and managed to sustain themselves by reclamation or mining. However, the Ming government stopped that by either levying taxation, forbidding access to the mountains, or by sending armies to suppress the refugees. Unsurprisingly, large-scale peasant uprisings began in the mountains where Zhejiang Province, Fujian Province and Jiangxi Province had a common boundary, and in the Yunyang mountains where Henan Province, Shaanxi Province, Sichuan Province and Huguang Province were contiguous.

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The Single-Whip Taxation System The intensification of social and political conflict, together with the peasant uprisings, impelled the Ming government to introduce some appropriate political reforms. In the beginning of Jiajing Period, during the reign of Emperor Shizong, the Ming government enacted successive measures, such as reducing the rent silver, reforming the taxes and corvée, restraining the eunuchs and surveying the estates of the royal families and the nobles. However, by the mid-Jiajing Period, the internal struggles within the ruling class intensified, political corruption increased, and bureaucratic embezzlement prevailed. The reforms vanished like soap bubbles. The wars of resistance against the Oirats in the north and the defense against the Japanese pirates in the south resulted in a huge increase in military spending. The Ming government faced a political crisis. In the early Wanli Period, during the reign of Emperor Shenzong, Zhang Juzheng, Chief Councelor of the Inner Chancery, initiated a series of reforms, the most important of which was financial reform. In order to increase the revenue, the government began to survey the land on a large scale, check how much land people owned, and amalgamate the original land taxes, corvée and a variety of other taxes into one, which was then converted into silver before it was apportioned according to the amount of land. This was the so-called “Single-Whip Taxation System,” which was eventually applied country-wide.

The Rise of the Manchus and the Establishment of the Qing Dynasty In the mid-Wanli Period, the Ming Dynasty once more faced a serious political crisis. The land annexation spread again; military activities, such as assisting Korea in fighting the Japanese invaders, drained the national treasury; heavy taxation and corvée once again overwhelmed the peasants; and within the court factional struggles increased in ferocity. Worse still, the rise of the Manchus in the northeast presented a serious threat to the Ming Dynasty. The Manchus originated from the Nüzhen in the northeast. In the early Ming Dynasty, one branch of the Nüzhen migrated to the east of Liaoning Province beyond the Great Wall, exchanging their horses, sable, ginseng and pearls for iron tools, grain, salt and silk products with the Han people. In the late Ming Dynasty, an outstanding chieftain of

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the Jianzhou Nüzhen, Nurhachi, gradually unified the Nüzhen tribes and established the “Eight Banner System”—the Nüzhens were organized under eight banners, with members hunting or farming during times of peace, or going into battle as militia during wars. In 1616, Nurhachi ascended the throne of Khan, established a regime, and made Hetuala (west of the present Xinbin, Liaoning Province) the capital. The regime was named Jin, known historically as Later Jin. From 1618 on, Nurhachi led the army of Later Jin in constant attacks on the Ming army stationed in the east of Liaoning Province. He seized a large piece of land east of the Liao River, and moved the capital to Shengyang. After Nurhachi died, his son Huang Taiji succeeded the throne and changed the name Nüzhen to Manchu. In 1636, Huang Taiji enthroned himself as emperor, adopting Qing as the title of his reign. After the Qing Dynasty was founded, they continued to fight the Ming Dynasty in the east of Liaoning Province. In addition, they broke through the pass from the Great Wall several times and raided the provinces of Shanxi and Shandong, capturing a large group of people, livestock and property. In 1642, the Ming Dynasty lost control of several military forts in the east of Liaoning Province, following a Qing attack. The east of Liaoning was on the verge of a complete breakdown.

The Uprisings of the Dashing King and the Demise of the Ming Dynasty Towards the end of the Ming Dynasty, the north of Shaanxi suffered years of plagues. The local authorities still pressed the peasants to pay taxes and levies as usual. The peasants were driven beyond endurance and rose up in a series of rebellions. The peasant uprisings gained headway as several peasant armies, led by Gao Yingxiang and others, emerged. Gao Yingxiang assumed the title Dashing King. After he died, the army named Li Zicheng the new Dashing King. The main force of the army of the uprising was divided into two branches, one led by Li Zicheng, the other by Zhang Xianzhong. In 1640, Li Zicheng led the army into Henan, where the army, in view of land concentration and heavy taxation situation, adopted the slogan “Equalization of Landownership and Freedom from Taxation,” which won them the support of the peasants and caused tremendous social upheaval. In 1641, Li Zicheng conquered Luoyang, and put to death the greedy and ruthless Zhu Changxun, Prince of Fu. In 1643, Li Zicheng sacked Xi’an. Early

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the next year, Li Zicheng founded a peasant regime, entitled Dashun. The Ming Dynasty was caught between the horns of domestic unrest and foreign invasion. Soon after the regime of Dashun was set up, Li Zicheng led his peasant army towards Beijing, which he occupied in 1644. Emperor Chongzhen of the Ming Dynasty hanged himself in Coal Hill (the present Jing Hill, Beijing). The Ming Dynasty was overthrown.

The Qing Dynasty The Entrance of the Manchus into the Shanhaiguan Pass and their Domination over the Country When Li Zicheng seized Beijing, the Qing army outside the Shanhaiguan Pass marched south. The Ming general stationed in the Pass, Wu Sangui, surrendered to the Qing Dynasty. Li Zicheng led his army on an eastern expedition, and engaged in a fierce battle in the Shanhaiguan Pass with Wu Sangui’s army and Qing’s army. The peasant army lost the battle and Li Zicheng had to withdraw to Beijing before retreating to Shaanxi. Shortly after the Qing army entered the Shanhaiguan Pass, the Qing Dynasty transferred its capital to Beijing. The Qing army continued to pursue and attack the peasant army. In 1645, Li Zicheng led the peasant army far and wide, until they finally arrived at Jiugong Mountain, Hebei Province, where he was attacked by the local armed forces and killed. Another peasant army, under the leadership of Zhang Xianzhong, had a long fight in the middle reaches of the Yangtze River before they finally conquered Chengdu and established the regime of Daxi. Later, the Qing army captured Sichuan and killed Zhang Xianzhong. Even after Li Zicheng and Zhang Xianzhong were killed, the remnants of the peasant army kept on fighting for nearly twenty years. At the beginning of the Qing Dynasty, the bureaucratic system of the Ming Dynasty was retained, and the Inner Chancery and the Six Ministeries in the central government were established. Later, Emperor Yongzheng organized the Council of State, which was made up of trusted followers and under the direct command of the emperor. The Council of State became the imperial confidential secretariat, and military affairs were brought under the complete arbitration of the emperor, further reinforcing the authority of the emperor. The basic regional systems of

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the Ming Dynasty were also maintained in the Qing Dynasty, though the Military Commissioner’s Office was replaced by Governors-General and Governors, who were responsible for military affairs. The GovernorsGeneral and Governors were also directly in charge of the Administrative Commissioner’s Office and the Judicial Commissioner’s Office. As a result, central domination over the local areas was strengthened. To try to control the minds of the people and suppress any anti-Qing sentiments, the Qing Dynasty ruthlessly enforced literary inquisitions and ran a cultural dictatorship. A case in point was “The Collection of Nanshan,” a relatively large case at the beginning of the Qing Dynasty. The literary inquisitions prevailed in the reign of Emperors Kangxi, Yongzhen and Qianlong. In the reign of Emperor Kangxi, the biggest literary inquisition was the case of “The History of Ming” and the case of “The Collection of Nanshan.” Zhuang Tingrui in Zhejiang Province bought the manuscript of The History of Ming, written by Zhu Guozhen at the end of the Ming Dynasty, and enlarged it before passing it off as his own work. In the book were found some lines condemning the Qing Dynasty, so he reported to the Qing government. Zhuang Tingrui’s coffin was opened and his body was desecrated. His brother Tingyue was executed, and of the more than two hundred people also implicated, over seventy were killed and the rest were exiled. The Hanlin Academy edited and revised The Collection of Nanshan by Dai Mingshi, which recounted anti-Qing incidents at the end of the Ming Dynasty, as well as at the beginning of the Qing Dynasty. Emperor Kangxi made his displeasure clear. Dai Mingshi was killed on government orders and hundreds of people were implicated.

The Economic Recovery and Growth in the Qing Dynasty At the beginning of the Qing Dynasty, pursuing and attacking the peasant armies and clearing out anti-Qing forces sabotaged production in many areas. The Qing rulers gradually changed their policies and adopted measures to encourage the clearing and cultivation of wasteland. Regional officials were rewarded or punished according to their achievements in supervising waste land cultivation. In 1669, Emperor Kangxi again declared that the land of the original princes of the Ming Dynasty belonged to the present cultivators. Emperor Yongzheng implemented the system known as “Apportioning the Poll Tax into Land,” that is, amalgamating poll and land tax, so that only one tax

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would be levied. This was “the land and poll tax in silver.” The poll tax long levied in China was abolished, thus relaxing the control over the peasants. From the mid-reign of Emperor Kangxi, agricultural production gradually recovered and prospered. The peasants cultivated vast wasteland across China. In the first hundred years of the Qing Dynasty, the cultivated areas increased by more than forty percent. The handicraft industry in the early Qing Dynasty was even more developed than that in the Ming Dynasty. In the silk-weaving industry, Suzhou alone had more than ten thousand looms and it was overtaken later by Nanjing and Guangzhou. As for the porcelain-making industry, the production in Jingdezhen reached unprecedented levels. In the mining and metallurgy industries, the copper mine in Yunnan employed more than ten thousand miners, while the iron-melting furnaces in Guangdong could produce iron sheets up to more than six thousand jin (catty) per furnace per day.

The Consolidation of the Country The first years of the Qing Dynasty were an important stage in the evolution of a unified China. At the end of the Ming Dynasty and at the beginning of the Qing Dynasty, the Mongols split into three groups— the Southern Mongols, the Northern Mongols and the Western Mongols. Before the Qing entered the Shanhaiguan Pass, the Southern Mongols had already pledged allegiance to the Qing Dynasty. Later, the other two groups followed suit. At the beginning of the Qing Dynasty, the Western Mogul Junggars, who roamed along the Ili River valley, gradually rose to power. Under the rule of Galdan, the influence of the Junggars extended to south of the Tianshan Mountains. Galdon’s ambition was such that he even assumed the title of Khan. In 1690, with the support of Tsarist Russia, Galdan, using the pursuit and attack of the Northern Mongols as an excuse, openly marched into Mongolia. Emperor Kangxi personally led his troops to meet the invaders. The Qing forces defeated Galdan’s army in Ulanbutung (the present Chifeng, Inner Mongolia). Later, Galdan prepared for another big invasion. In 1696, Emperor Kangxi personally led the expedition again. The Qing army beat Galdan in Jao Modo (south of the present Ulanbatuo, Inner Mongolia). In the end, the Qing Dynasty brought the Northern Mongols under control, in addition to dominating the south and north of the Tianshan Mountains. The Turgots of the

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Tibet

Xinjiang

Yunnan

Fujian

Zhejiang Jiangxi

Hangzhou

Jiangsu Anhui Jiangning

Guangzhou

Aberdeen (Hong Kong)

Guangdong

Hunan

Hubei

Wuchang

Guangxi

Guizhou

Sichuan

Shengjing

Shandong

Zhili

Shaanxi Henan

Gansu

Shanxi

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Qinghai

Mongolia

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Heilongjiang Jilin

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Western Mongols migrated to the lower reaches of the Volga River at the end of the Ming Dynasty and at the beginning of the Qing Dynasty, but eventually were controlled and oppressed by Tsarist Russia. In 1771, under the leadership of their chieftain Wobaxi, they broke through the encircling Tsarist army and traveled a distance of five thousand kilometers to return to their native land, where they were warmly welcomed by Emperor Qianlong. In the early Qing Dynasty, the people who lived to the south of the Tianshan Mountains in Xinjiang were mainly Uygurs, who believed in Islam and were called the Huis. In the mid-eighteenth century, the Uygur Big and Small Hojos staged a rebellion, which was put down by an army sent by Emperor Qianlong. Large numbers of Big and Small Hojos were killed after their defeat and the Qing government reunified the Xinjiang area. The Qing Dynasty also reinforced its administration over Tibet. At the beginning of the Qing Dynasty, Emperor Shunzhi received Dalai Lama VI, the Lama leader in Tibet, and officially conferred on him the title of Dalai Lama. Later, Emperor Kangxi conferred on another Lama leader, Bainqen VI, the title of Bainqen Erdini. The Qing government ruled that the titles Dalai and Bainqen in later generations had to be conferred by the central government. In 1727, the Qing government appointed a High Resident Commissioner, with the Dalai and Bainqen, to administer affairs in Tibet on behalf of the central government. China’s unification was further consolidated.

The Territory of the Qing Dynasty In the early Qing Dynasty, the territory of China reached from the Chongling Mountains in the west to the northern bank of Balkhash Lake in the northwest, adjoined Siberia in the north, extended to the OuterKhingan Mountains and the Kurile Islands in the northeast, faced the Pacific in the east, stretched to Taiwan and its adjacent islands, such as the Diaoyudao Islands and Chiweiyu Islands, and covered the Southern Sea Islands in the south, thus becoming the biggest country in East Asia. In the Qing territory, there lived more than fifty ethnic groups, including the Han people, the Manchus, the Mongols, the Huis, the Tibetans, the Uygurs, the Miaos, the Yis, the Zhuangs, the Bouyeis, the Koreans, the Yaos, the Kazaks, the Lis, the Gaoshans, the Jingpos, the Daurs and the Lhobas. These ethnic groups, with their different cultures and customs, contributed significantly to the evolution of Chinese civilization.

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The Pacification and Unification of Taiwan In 1661, Zheng Chenggong, who continued to fight the Qing Dynasty armies along the southeast coast of China, set out from Jinmen in command of his ships, crossed the Taiwan Strait and landed on Taiwan. With the support of the local people, he defeated the Dutch colonists who had controlled Taiwan for thirty-eight years. Early next year, the Dutch colonists surrendered to Zheng Chenggong. In 1683, the Qing army entered Taiwan, which officially became part of the Qing territory. In the following year, the Qing government established the Taiwan Prefecture, which was under the jurisdiction of Fujian Province. The establishment of the Taiwan Prefecture strengthened the link between Taiwan and the mainland, promoted the development of Taiwan and consolidated the coastal defense of China.

The Invasion of Tsarist Russia and the Treaty of Nerchinsk In the northeast, Tsarist Russia invaded Chinese territory. Tsarist Russia was formerly a European country, with no borders in China. In the late sixteenth century, the Tsarist Russians crossed the Ural Mountains and began moving towards the east. When the Qing army entered the Shanhaiguan Pass, the Russians took the opportunity to seize places like Yacsa and Nerchinsk. The Russian troops burned, killed, plundered and robbed without compunction. The Qing army and various local ethnic groups carried out a determined fight against the Russians. In 1685, Emperor Kangxi twice ordered the Qing army to attack the Tsarist forces who invaded Yacsa. The Russian forces suffered heavy losses, and had to agree to settle Sino-Russian border disputes by negotiation. In 1689, the representatives of both sides met at Nerchinsk. After the Chinese government made some concessions, the two parties signed the first official border treaty—the Treaty of Nerchinsk. The treaty confirmed by law that the vast area of the Heilongjiang River and the Wusuli River valleys, including the Kurile Islands, are territories of China. Tsarist Russia agreed to withdraw the army which invaded Yacsa, and the Qing government agreed to cede the area around Nerchinsk east of Balken Lake, originally Chinese territories, to Russia.

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Early Modern China In the first half of the nineteenth century, the Industrial Revolution made Britain the world’s leading capitalist country. France and the United States quickly followed with their own industrial revolutions. The resulting increase in production of goods and the need for raw materials propelled the three nations to expand their overseas territories. British gunboats and smuggling ships appeared off the southeast coast of China and raided and invaded up and down the coast.

The British Opium Trade and the Burning of Opium in Humen From the mid-eighteenth century onward, Britain led the world in trading with China. Britain mainly sold woollen fabrics, cotton cloth and cotton to China, while China sold mainly tea, raw silk and medical herbs to Britain. China enjoyed an export surplus. To redress the trade deficit, the British began smuggling opium to China, thereby robbing China of large amounts of silver. According to a rough estimate, in the forty years prior to the Opium War, Britain shipped 400,000 chests of opium to China and took in exchange three to four billion dollars worth of silver. The opium shipped into China seriously undermined the Qing Dynasty. Ministers like Lin Zexu sent letters to the court, requesting that opium be prohibited. Emperor Daoguang appointed Lin Zexu imperial commissioner to Guangdong and charged him with banning opium. On his arrival in Guangzhou, Lin started a vigorous campaign against the use of opium. In June 1839, Lin Zexu had over 1.1 million kilograms of opium, which he had seized from British and American smugglers, burned in public on the beach at Humen.

The Opium War and the Nanjing Treaty No sooner did the news that China had banned opium reach London than the British government decided to declare war against China. In June 1840, more than forty British battle ships blockaded the mouth of the Pearl River near Guangdong and launched the Opium War. During this war, the Chinese armed forces and the people rose up and courageously opposed the enemy. However, the Qing government had conflicting opinions about the war and failed to devise a successful

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The burning of opium in Humen (1839)

strategy to fight the invaders. The Qing army lost one battle after another. In August 1842, the British fleet arrived at harbor of Xiaguan in Nanjing, guns at the ready, and declared that they would attack Nanjing city. The Qing government yielded and pleaded for peace, finally signing the humiliating Treaty of Nanjing and surrendering China’s sovereignty. After the Treaty of Nanjing was signed, the Western powers such as Britain, Russia, America and France forced China to sign a series of unequal treaties, which further encroached on her sovereignty. From the 1850s to the early 1880s, Russia profited from China’s misfortune by annexing 1.5 million square kilometers of territory in the north of China.

Hong Xiuquan and the Heavenly Kingdom of Great Peace After the Opium War, the Qing government accelerated its steps to extort taxes from the people. Greedy and corrupt officials, local tyrants and villainous gentry also took the opportunity to exploit the commoners. The peasants, who could no longer tolerate such exploitation, again rose in rebellion. In 1851, the Great Peace Army, under the leadership of Hong Xiuquan, rose in rebellion at Jintian village in Guiping County,

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Tianjin Bohai

1840.8

1840.9 Back to Guangdong

Yellow Ocean

1840.8 Signed Nanjing Treaty

Nanjing Ningbo 184 0.7

Xiaman Guangzhou

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Attack on China at the Opium War

Guangxi Province, known as the “Heavenly Kingdom of Great Peace.” In 1853, the Great Peace Army occupied Nanjing, which was renamed Tianjing and made the capital, officially founding a regime in opposition to the Qing government. Around 1856, the Great Peace Army reached the height of its military powers. After 1860, the Qing government concentrated its effort on attacking the Great Peace Army. In 1864, the Qing army conquered Tianjing and the Heavenly Kingdom of Great Peace was defeated. The Heavenly Kingdom of Great Peace lasted for fourteen more years and its influence spread to eighteen provinces, seriously undermining the corrupt government of the Qing Dynasty.

The Westernization Movement In the Opium Wars, the British invaders, with their strong ships and powerful guns, woke the people from their dream of a Heavenly Kingdom. They abandoned this conceit and turned their attention instead to the real world, reading up on scientific discoveries and theories, follwing current affairs, and looking at ways to make the country resist the invaders. A new philosophy of learning from the West emerged. Lin Zexu and Wei Yuan, advocates of the new trend, proposed

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that people should “employ the techniques of the Westerners to bring the Westerners under control.” Under their influence, books about Western understanding of the world and about the technology used to produce Western firearms, mines, gunpowder, bombs and warships were published. After the Second Opium War, trapped in a political vacuum of internal conflict and external invasion, the Governorsgeneral and Governors with virtual regional administrative power in the Qing government, such as Li Hongzhang and Zhang Zhidong, once again advocated “employing the techniques of the Westerners for selfstrengthening,” and began to undertake the Westernization Movement, which centerd on the military. In order to ease the difficulties of funding, fueling and transportation for the military, they started up ship-building, coal-mining, iron factories and machine-weaving in the Westernization Movement. At the same time, in some trading ports, some bureaucrats, landowners, merchants began to invest in modern machinery. Thus emerged a new national industry.

The War of 1894 and the Treaty of Shimonoseki In 1894, the Sino-Japanese War began. The Northern Navy, built in the Westernization Movement, was convincingly defeated. In 1895, the Qing government signed with Japan the Treaty of Shimonoseki, the most damaging treaty since the Treaty of Nanjing. In it, China acknowledged Japan’s control over Korea, paving the way for Japan to use Korea as a stepping stone for the invasion of northeast China. The secession of the vast territory of Taiwan and the Penghu Islands removed Taiwan from China’s control and encouraged the great powers in their plans to carve up China. After the War of 1894, the Qing government borrowed large sums of money overseas to pay the agreed war reparations to Japan and to cover the expense of taking back the Liaodong Peninsula. The Western powers competed to lend money to China on the understanding that it gave them the right to demand territorial, rail and mining concessions; this set off a general scramble for concessions in China.

Kang Youwei, Liang Qichao and the Reform of 1898 As China was challenged by the invasion of the great powers and the national crisis worsened, a group of patriots, including Kang Youwei and

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Shanghai

Sphere of foreign influences in China before the Revolution of 1911

Britain & France’s sphere of influence

Wuchang

Nanjing

Germany’s sphere of influence

Beijing

Japan’s sphere of influence Japan’s sphere Guangzhou of influence France’s sphere of influence Britain’s sphere Hong Kong of influence

Britain’s sphere of influence

Russia’s sphere of influence Japan

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Liang Qichao, began to publicize the idea of reform. They believed that only reform could save and vitalize the country. In the spring of 1895, Kang Youwei led several thousand successful provincial examination candidates in submitting a memorandum proposing that the peace treaty with the Japanese be rejected, that the capital be transferred inland and that reforms be initiated. Thenceforth, the desire for reform became a patriotic political movement to save the country. In June 1898, Emperor Guangxu decided to enact the Reform of 1898. Lasting a hundred and three days, from June 11 to September 21, the reform was known as the Hundred Day Reform. On September 21, the Empress Dowager Cixi led a coup d’etat, had Emperor Guangxu imprisoned at Yingtai in Zhongnanhai and announced that court affairs were under her control. She also ordered the arrest of the reformer Kang Youwei and the execution of the men known as the “Six Sages of 1898”—Tan Sitong, Yang Rui, Lin Xu, Liu Guangdi, Yang Shenxiu, Kang Guangren. More than forty people who supported the reform or took part in the reform were removed from office, sent to the border or imprisoned. Apart from retaining the Imperial University of Peking, the reformative measures were all abolished.

The Boxer Rebellion and the Allied Army of the Eight Powers Since the nineteenth century, there had existed along Shandong, Zhili and Henan a secret anti-Qing folk society, who, because thay taught boxing and practiced martial arts, were known as the “Boxers.” After the SinoJapanese War of 1894, Japanese, British, German imperialists penetrated deep into Shandong, where foreign missionaries were converting the people to Christianity. Unable to tolerate the behavior of the imperialist powers, the Boxers turned from anti-Qing to anti-Christian activities. In 1898, the Boxers in Guan County in Shandong Province attacked a local church—the prologue to the “Boxer Rebellion.” In the following year, in Pingyuan County in Shandong Province, the Boxers carried out several anti-Christian campaigns and won the Victory of Pingyuan. Thereafter, the Boxers changed their name to the Boxing League; their prestige and power were greatly increased. Under the banner of supporting the Qing and expelling all foreigners and foreign influences, they burned churches and sacked foreign compounds. The Qing government changed its policy of extermination of the Boxing League to pacification; it conferred the legal status on the Boxing League, in an attempt to control the League.

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In the spring of 1900, the Boxing League marched into Beijing and made it the center of its activities. In the summer of 1900, the Eight Nation Alliance—Britain, Russia, Germany, France, the United States, Japan, Italy and Austria—sent an international army from Tianjin to protect their legations in Beijing. This act of aggression infuriated the Chinese. The Boxers joined with the Qing army to try to stop the invaders and the Qing government declared war in late June. In August, the international army sacked Beijing. Empress Dowager Cixi fled to Xi’an with Emperor Guangxu. The invading soldiers entered Beijing, plundering and looting. Many Chinese were tortured, raped and killed. The Empress Dowager Cixi issued an edict on her way to Xi’an, ordering the Qing army to suppress the Boxers. Jointly attacked by forces both domestic and foreign, the Boxers Rebellion ended in failure.

Sun Yat-sen and His Three Principles of People As the common people set up secret societies and founded party organizations to undertake anti-Qing activities, some democratic intellectuals also began to engage in anti-Qing revolutionary activities. In 1894, Sun Yat-sen founded the first revolutionary organization in Honolulu—the Society for the Revival of China, which was determined to overthrow the Qing government and found a republic. In 1904, overseas Sun Yat-sen students in Japan, such as Huang Xing and Song Jiaoren, set up the Society for the Revival of the Chinese Nation. In the winter of the same year, some overseas students in Japan formed the Restoration Society. In 1905, Sun Yat-sen met with Huang Xing, Song Jiaoren and other members of the Society for the Revival of China, the Society for the Revival of the Chinese Nation and the Restoration Society in Tokyo and decided to found a unified revolutionary party— the League of Common Alliance of China. The League adopted as its political doctrine Sun Yat-sen’s “overthrowing the Manchu Dynasty, restoring the Chinese government, establishing a republic, and equalizing land rights.” Its official magazine was the People’s Journal. In the first issue, Sun Yat-sen summarized the manifesto of the League in three

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principles: “the Principle of Nationalism, the Principle of Democracy and the Principle of People’s Livelihood”—the Three Principles of the People.

The Uprisings of the Revolutionists and Railway Rights Protection Movement In December 1906, the League of Common Alliance of China contacted the revolutionaries in Pingxiang, Liuyang and Liling, and staged an armed uprising. Following its success, further uprisings began. At the same time, people across China fought fiercely against the Qing government and the international powers over the rights to build railways and open mines. The people in Hubei Province, Hunan Province and Guangdong Province started a campaign to recover the rights from the United States to build the Yuehan railway. Meanwhile, the people in Sichuan Province sought to raise money to build the Chuanhan railway, and the railway rights protection movement was underway. In September 1911, a bloody battle occurred in Chengdu, Sichuan Province, when the Qing Dynasty suppressed the railway rights protection movement. The people in Sichuan launched an anti-Qing uprising. Under the leadership of the revolutionaries, the Rong County of Sichuan declared independence and set up a revolutionary government. The Qing government was on the brink of total collapse.

The Revolution of 1911 and the Collapse of the Qing Dynasty On October 10, the new Revolutionary Army in Hubei Province staged an armed uprising. After fierce overnight fighting, the uprising army occupied Wuchang. On October 12, three towns in Wuhan were liberated. This was the start of the epoch-making Revolution of 1911. The Wuchang uprising was echoed by provinces right across China. By late November, fourteen provinces had broken away from the Qing Dynasty and declared independence. The Qing government fell apart. Over two thousand years of imperial rule finally came to an end. The republic era dawned on China.

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藝 CHAPTER FIVE

The Art of Ancient China The Art of Painted Pottery

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The Art of Bronze-casting

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The Art of Jade-carving

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The Art of Lacquerware

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Free-style calligraphy of“藝”(yi) means “art and craft” in Chinese

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Relics of painted pottery, bronze-casting, jade carving and laquerware unearthed in numerous archeological sites reveal that craftsmanship developed at a very early stage in Chinese history. Many of these relics show an advanced aesthetic perception.

The Art of Painted Pottery The Making of Painted Pottery and Its History It was not until the Neolithic Age that pottery was made, usually items useful in daily life, like the basins, plates, bowls, ewers, bottles and kettles, which have been used throughout China’s history and which are still in use today. Not all pottery was painted. Although decorated pottery at this time constituted only a small part of what was available, it was nonetheless widely produced. Painted pottery has been unearthed in the valleys of the Yellow River and the Yangtze River, in the northeast, northwest and along the southeastern coast of China. Most was unearthed in the middle and upper reaches of the Yellow River, where the pottery was most developed. The painted pottery ware excavated in the different sites reveal unique artistic features, both in shape and in design. The craft of ceramics has a long history. The earliest painted pottery unearthed in the Dadiwan Cultural site in the middle and upper reaches of the Yellow River dates back to around 6000 BC . Ceramic production reached its peak in the Yangshao Culture (5000 BC–3000 BC), Majiayao Culture (3600 BC–2000 BC) and Longshan Culture (2400 BC–1900 BC) periods. Later, around 2000 BC , bronze-casting took over and the production of ceramics slowly declined. Ceramic manufacturing was marked by exquisite workmanship that was achieved by a process of material selection, moulding and firing. The material used for pottery was not the common plain loess but rather meticulously selected red clay with sufficient plasticity or other clay soil. The chosen clay soil was mixed into earth before it was moulded into pieces of pottery, which were kiln fired at 800 degree Celsius to 950 degree Celsius, with a highest temperature of up to 1050 degree Celsius. The various patterns on the pottery were painted on the pieces after they were shaped but prior to firing. After being fired, the beautiful, bright colored patterns made a striking contrast with the pottery.

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The early painted pottery was made using red clay and black paint. Some of the later pottery was first coated with a layer of paint—that is, the surface was usually painted all over in shades of light yellow, white and red. Then the painted surface was decorated with double-colored patterns. The paint came from natural minerals mixed with animal blood or plant juice. The black paint was made from a kind of red clay rich in iron ore. The white paint was kaolin clay mingled with other substances.

The Shape of Painted Pottery and its Ornamental Patterns Ceramics were made into a variety of shapes, the majority of which were storage vessels—ewers, bowls, basins, small basins, bottles, kettles and plates. Various patterns were painted on the outside walls and the edges of the pottery ware, as well as on the inner walls. Some pottery shapes are unique, such as that of a small-mouthed bottle with a pointed bottom. The bottle’s neck is decorated with black wave patterns, and its belly has two rings on both sides so a cord could be attached; it was used as a water pitcher. A boat-shaped kettle unearthed at Beishouling in Baoji has a body wide horizontally, narrow vertically and pointed at the two sides, a mouth with a ring on each side for a cord, and the middle of the body decorated with the painting of a black fishing net. A great number of patterns were used in in decorating the ceramics, including shapes, animals, plants and human faces. These patterns were painted in different colors, mostly in black, red and white, and a few in purple and gray. Among the various patterns, triangles, saw teeth, wide belts, waves, nets, checks, whirlpools and arcs were the most common. Not all these patterns were used separately. Numerous pottery pieces featured a combination of several patterns and were esthetically pleasing. For example, the painted pottery kettle found at Lintao, Gansu Province, with its attractive flowery patterns of checks, arcs, nets and waves. The major animal decorations on the painted pottery were figures of frogs, fish and birds. A variety of fish figures was painted on the surface of pottery ware unearthed at the Banpo site in Xi’an, Shaanxi Province, though the fish figures were in pattern form. Vivid patterns of birds and frogs were painted on the pottery unearthed at Jiangzai in Lintong and Quanhu Village in Hua County. On a colored pottery basin, there is a unique decorative pattern of a vivid picture of a human mask and fish figures. The human mask is

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Colored pottery small basin (Majiayao Culture, 3600–2400 BC)

Painted pottery basin showing human mask and fish figures (Yangshao Culture, 5000–3000 BC)

Painted pottery basin showing dancing pattern (Majiayao Culture, 3600–2400 BC)

Pottery jar showing a large fish and a stone hammer (Yangshao Culture, 5000–3000 BC)

round with a triangular hat ornament, fish figures are drawn beside each ear and at the right and left sides of the mouth, and the human forehead, eyes, nose and mouth are all patterned. Scholars believe that this might be a portrait of prehistoric shamen. The fishing net and the swimming fish next to the mask portray the longing to catch large quantities of fish. It is possible these decorations might be a record of primitive sorcery. In addition to the various patterns, pottery ware was also decorated with simple pictures. A painted pottery basin from the Majiayao Culture, unearthed at Shangsunjiazai in Qinghai Province, is painted in black pigment with three groups of girls dancing hand in hand. Each group consists of five naked girls, heads tilted, two pigtails hanging down, and a pointed tail trailing behind, possibly imitating animal or bird tails.

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This painting may also have implications of primitive sorcery. Another example is the pottery jar from the Yangshao Culture period, discovered at Lingrutu Village in Henan Province. On the left outer walls is painted a white stork, whose long beak holds a large fish, and on the right outer walls is painted a stone hammer with a round arc blade standing upright, its handle tied with fabrics or thin thread. The figures on this piece are much bigger than those found on other contemporary pieces and some scholars believe the jar may have been the funeral vessel of a tribal chief. The stone hammer in the picture is the sign of power, the stork is the tribe totem of the deceased, and the fish is the enemy tribe totem. In the Longshan Culture period, thanks to progress in ceramics technology, pottery could be made both light and thin, which in turn led to some changes in its shaping and esthetic design. In addition to the colors painted on the inner and outer walls, more importance was attached to the quality and esthetics of the object itself. Eggshell-thin black pottery and exquisite white pottery were produced at this time. For example, unearthed at Sanlihe in Shandong Province was a black pottery cup with a high handle, the shell of which is less than 0.5 milimeter and which weighs less than fifty grams. It has exquisite piercings in the high handle and decorations of fine circular lines at the top of the cup, which is polished a shining black all over. Another advance made in the shaping of pottery in the Longshan Culture period was the appearance of cooking vessels with tripod bases, which overcame the limitations of spheroid and round tube shapes. Examples are a cooking tripod with hollow legs, a cooking vessel with an inside grid and a clay cooker with three hollow feet, the most beautifully shaped of the three. The small tripod clay Eggshell-thin black pottery (Longshan Culture, 2400–1900 BC) cookers from the late Dawenkou

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Culture period (4300 BC–2400 BC) and the Longshan Culture period resemble a rooster stretching its neck to crow and are very beautiful. The white pottery ware represented by the white pottery cooker was so exquisitely formed that it was the acme of prehistoric ceramic technology.

The Art of Bronze-casting The History of Bronze Vessels Copper was used to make vessels prior to bronze. The former is pure while the latter is an alloy of copper and tin or lead. So far, the earliest bronze vessel discovered in China is a bronze knife unearthed at the Linjia Village site, which dates between 3280 BC –2740 BC . This proves that as early as around five thousand years ago, bronze vessels were used in China. Some bronze vessels from a slightly later date have also been excavated, but they are far fewer in number and small in size. By the time of the Xia Dynasty, bronze vessels increased in number. To date, the Xia bronze vessels unearthed include tripod cooking cauldrons, wine goblets, battleaxes, arrowheads, fishing hooks, chisels, adzes and bells. These bronze vessels exceeded those previously unearthed in number, variety and manufacturing technique. Bronzemaking techniques further developed and reached their acme in the time of the Shang and Zhou dynasties. The Xia, Shang and Zhou dynasties are known historically as the Bronze Age. By the late Warring States period, bronze-casting techniques were in decline.

The Variety and Use of Bronze Vessels A great variety of bronze vessels and implements was produced in the Shang and Zhou dynasties—food, wine and water containers, musical instruments, weapons and tools. Each type was made into various shapes and could be put to different use. For example, wine containers included goblets, tripod wine cups, beakers and round-mouthed tripods. Food vessels included three-legged tripod cauldron, hollow-legged tripods and stemmed cups or bowls. Musical instruments included small and large bells, cymbals, and percussion instruments. Weapons included daggeraxes, halberds, spears and battleaxes, while tools included shovels, pickaxes and hammers. The most important food and wine bronze vessels were ritual vessels

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Simuwu cauldron (Shang Dynasty)

which had political and religious significance. Nine monumental food cauldrons cast in the Xia Dynasty were said to symbolize state power and divine power; they were passed down through the Shang and Zhou dynasties. In the Spring and Autumn Period, “To enquire about the Nine Cauldrons” was used to imply ambition to seize monarchical power.

The Shaping and Designs of Bronze Vessels The shapes and designs of bronze vessels in the Shang and Zhou dynasties reveal unique features — they are generally imposing, elegant and mysterious. Many are large, heavy vessels, the largest and heaviest being the Simuwu Cauldron, which stands at 1.33 meters and weighs 875 kilograms. Its belly is ringed with patterns of ferocious mythical animals

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Bronze wine goblet (Xia Dynasty)

Bronze elephant cauldron (Shang Dynasty)

and each of its four corners is decorated with a cow head. The outer surface of its two handles is cast with two tigers facing each other with a human head in their mouths. Inside the cauldron are inscribed the three Chinese characters which mean Simuwu Cauldron. With its unusual size, elegant shape and mysterious patterns, the Simuwu Cauldron is a perfect example of Shang Dynasty bronze vessels. Reliefs were carved on many Shang and Zhou bronze vessels to create a stereoscopic effect. Animal figures in high relief or round relief are found on the handles, lids, ears, legs, beaks and bases of the vessels. Apart from their decorative aspects, some may have had political and religious significance. The designs often included dragons, phoenixes, cattle, sheep, tigers, female rhinoceros, elephants, monsters and human figures as masks. Many of these Shang and Zhou bronze vessels were delicately shaped and exquisitely crafted. For example, the square kettle with lotus and crane from the Spring and Autumn Period, unearthed in Xinzheng in Henan Province, is ringed in low relief and lined patterns of dragons and phoenixes. On the front and back neck of the kettle are small dragons, on the two ears on the side of the body are some corollahorned dragons looking back, and around the belly are small winged dragons. All these dragon-like animals appear to be climbing up, and the eye is drawn to the top lid, where double lotus petals hold a wing-spread crane ready for flight. The crane looks very vivid, fresh and handsome. The bronze cauldron unearthed from the tomb of Marguis Yi of Zeng,

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Bronze cauldron of Marguis Yi of Zeng (Warring States Period)

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Bronze square kettle with lotus and crane (Spring and Autumn Period)

in the Warring States Period, is cast in the lost-wax method. Its neck is decorated with four ears in the shape of dragons looking back, its belly and round base are each cast with four floating coiled dragons. Around the edge of the cauldron is some unusually elaborate stereoscopic fretwork, made up of layers of fine and closely-woven coiled snake patterns, leaving visitors with an impression of magnificent, floating beauty. Large numbers of the Shang and Zhou bronze vessels used for holding wine are in the shape of birds and animals. Some are realistically shaped; others are completely covered in exaggerated patterns, for example, the Fuhao owl cauldron discovered in Anyang, in Henan Province. The cauldron, which is exaggeratedly shaped, consists of an owl, with a high crown and protruding eyes, with a lid on the back of its head, on which stand a small bird and a small dragon. The owl’s body is covered with masks of more than ten different patterns, including animal faces, cicadas and snakes. The vessel looks mysterious and majestic. The most common patterns of the Shang and Zhou bronze vessels are in the form of mythical dragons, cloud, thunder and stringed beads, and are mainly composed of lines. The concave lines carved in relief match contrast well with the concave lines engraved in intaglio. Some

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of the mythical dragons are brightly colored and others feature carved dragon figures with animal heads, big eyes, buck-teeth, horns, long bodies and curled tails. Some have no feet; others have animal or finshaped feet. By the late Shang and early Western Zhou period, new patterns appeared, such as pictographic patterns in the shape of human faces, deer, tigers, elephants, coiled dragons, snakes, cicadas, silkworms, fish and frogs. After the mid-Western Zhou period, typical ornaments were S-shaped patterns and wave designs. Between the late Spring and Autumn Period and the Warring States Period, the most popular patterns were those thick and unusual patterns in the shape of Panchi, a hornless mythological dragon, and Panhui, a poisonous snake mentioned in ancient books. These patterns evolved from Kui dragon patterns and S-shaped designs.

Cauldron of Duke Mao (Late Zhou Dynasty)

Inscriptions on the cauldron of Duke Mao

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With the developments in metallurgical technology in the Spring and Autumn Period and the Warring States Period, bronze vessels took on a new look. In addition to the lost-wax method, tableware was plated with gold dissolved in mercury and inlaid with gold and silver. The sword of Goujian, King of the Yue Kingdom, unearthed from a tomb of the Chu Kingdom in Hubei Province, has inscriptions inlaid with gold and silver. In addition, brass was also used for decoration on bronze vessels. For example, the bronze mirror, which was unearthed from the tomb of the Warring States Period in Shanbiao in Henan Province, is decorated with pictures of battles on land and water. Some of the Shang and Zhou bronze vessels have inscriptions ranging from a hundred words to several hundred words. The inscriptions are known as bronze inscriptions or “inscriptions on the bells and cauldrons.” For example, the well-known cauldron of Duke Mao, the bronze vessel with the most inscriptions, is cast with 497 inscribed characters. The inscriptions cover a wide range of topics and are rich in content. As they represent the handwriting of the time, they are of significant historical importance.

Bronze Human Figures In 1986, from the two sacrificial ritual pits of the ancient Shu Kingdom (contemparary to the late Shang Dynasty) in Sichuan was unearthed a group of bronze human figures, human heads and human face masks. One bronze figure is 1.72 meters tall standing alone and 2.62 meters when standing on its base. It wears a tall hat and its large, prismatic eyes have a ridge protruding from the middle but with no eyeball carved. The eyebrows are very wide and the two ears are in the shape of curled clouds with pierced holes. The mouth is wide open. The figure has a long pony-tail and wears a long robe on the upper body and a skirt on the lower body, covered in exquisite patterns of clouds, thunder and dragons. The two arms are raised with the right arm higher and the two hands making a large circle with the inner sides of the fists facing each other. Around the wrists are three bracelets. It is bare-footed with ankle Bronze human face mask (Late Shang Dynasty) bracelets, and stands on a square base.

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Four inter-connected pierced animal facemasks are carved on the four corners of the base. Scholars believe that this bronze figure might have been the image of a monarch, or a chief shaman in the ancient Shu Kingdom. More than fifty human head masks have been discovered, with heads close to real human size and shaped in the same style as the bronze human figure. The bronze human figure sculptures discovered at Sanxingdui are both beautiful and significant in the history of Chinese sculpture and bronze art.

The Art of Jade-carving Chinese jade-carving techniques were developed at an early stage. Two jade penannular rings and a piece of dagger-shaped jade ware with a drilled hole, which date back around eight thousand years, were unearthed at the Xinglongwa site in Aohan Banner in Bronze human figure Inner Mongolia and are the earliest jade (Late Shang Dynasty) ware excavated so far. By four thousand to five thousand years ago, jade-carving techniques in China had become more sophisticated. A large number of jade pieces unearthed from the Liangzhu Culture site in Zhejiang Province, include bi (discs), rings, cong (long hollow pieces of jade with rectangular sides, cylindrical within and cube-shaped outside to symbolize earth), yue (ancient broad axe-shaped weapons), huang (usually worked in black jade and shaped like half of a disc), bracelets, belt hooks, birds, rabbits and cicadas. Among them, one large-sized jade cong, which is 8.8 centimeters tall, 4.9 centimeters in diameter and weighs 6.5 kilograms, is engraved with a combined figure of a human body and an animal mask, delicately crafted. Another crown-shaped jade ornament is carved with a variety of patterns, through the combined technique of fretwork and incised carving. Its

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elegant carving makes it the masterpiece of the jade ware discovered at the site. By the time of Shang, Zhou, the Spring and Autumn Period and the Warring States Period, the art of jade-carving had further developed. Jade ware occupied a very important position in the esthetic perception of the people at the time. Its color, hard texture and colored veins, together with the sound made when it was struck, were much appreciated. Indeed, as jade is scarce and difficult to process, jade ware has always been so highly valued that one jade disc might be worth several cities.

Ritual Ware and Decorative Jade Ware Jade ware can be classified into two categories— ritual ware and decorative ware. Ritual ware was mainly used in offering sacrifices to the God of Heaven, the Earth, the Sun and the Moon, as well as in such ceremonial events as having an audience with the monarch, honoring somebody’s engagement, forming an alliance and when the nobles visited each other. From the Yin ruins at Anyang were excavated large quantities of Shang Dynasty jade ritual ware. For example, approximately 172 pieces of jade of ten different kinds were unearthed from the Fuhao tomb, including cong (tubes), gui (jade tablets with pointed tops and square bases held Large-sized jade cong by kings, dukes and princes on ceremonial (Liangzhu Culture) occasions), discs, fine jade, rings, yuan (round, flat jade with a big hole in the centre), huang and jue (penannular jade rings worn as ornaments). By the Zhou Dynasty, ritual jade was so cherished that it was categorized into Five Rui (propitious jade) and Six Qi (honoring jade). The Five Rui referred to discs, gui, cong, huang and zhang (jade tablets like half a gui). The Six Qi were dark green or blue discs (to honor Heaven), yellow cong (to honor Earth), light blue gui (to honor East), red zhang (to honor South), white hu (to honor West), and black huang (to

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Hanging ornament in the shape of a dragon and a phoenix (Warring States Period)

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honor North). Among them, the jade disc was most valued as the symbol of status, identity and wealth. Jade was also popular as ornaments in the time of the Shang and Zhou dynasties, with nobles wearing jade rings, penannular jade rings (round, used as earrings), hairpins, jade bracelets, jade beads and eardrop pendants. Another kind of ornament was small sculptures in the form of humans or aimals. The jade ornaments unearthed from the Fuhao tomb include human figures and various animal figures, such as dragons, tigers, bears elephants, cranes, hawks, owls, fish, frogs, cicadas and mantises. All of these jade ornaments could be worn as pendants. The jade used for the jade ware in the Fuhao tomb was mainly Xinjiang jade, a large part of which was soft jade—blue jade, blue and white jade, yellow jade, black jade and brown jade. After the late Spring and Autumn Period, Hetian jade was widely used in the Central Plains. Meanwhile, the use of iron led to an improvement in jadecarving tools, which would be used to carve hard jade. In combination with the fretwork technique, ornamental jade ware became even more bright and colorful. Typical of the jade ornaments in this period are varieties of unusually beautiful and sophisticated jade pendants, belt hooks and sword parts. Some 528 jade ornaments have been unearthed from the tomb of Marquis Yi of Zeng in the Warring States Period, the most elegant of which are a hanging ornament in the shape of a dragon and a phoenix and four sections of a jade pendant in the form of a dragon and a phoenix.

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These jade ornaments and pendants are skillfully carved and colored and show that the jade-carving technique in the Warring States Period was moving towards an exquisite style.

Jade Human Figures The Shang jade human figures, mainly excavated from the tomb of Fuhao in the Yin ruins, total thirteen pieces, six of which are round sculptures of human facemasks and human heads; the rest are projecting sculptures. The seven-centimeter high jade human figure, with a wide-handle dagger stuck around the waist, is kneeling on the ground, with the torso straight and two hands touching the knees. The 8.5-centimeter tall jade human figure with a short pigtail is carved with animal mask patterns on the chest and snake patterns on the four limbs, marking the prevailing Jade human figure custom of tattoo at the time. Some (Shang Dynasty) jade figures with imaginative and mysterious features were also unearthed from the tomb. One jade human head has a human head on one side and a cattle head on the other. Another double-faced jade human figure is naked and ornamented with designs, one side being the body of a male, the other side being the body of a female. From the tombs of the capital city of the Zhongshan Kingdom at Pingshan in Hebei Province have been unearthed a group of little jade human figures, which are important works of the Warring States Period. The eight pieces are exquisitely carved. The jade pendant with dancing girls and gold chains as ornaments, unearthed from the Han tomb of the Jin Village in Luoyang in Henan Province, ranks as the most elegant work among the jade human figures of the Warring States Period. On the pendant, there is a pair of dancing girls linked together, their graceful posture and flowing costumes fresh and lifelike.

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Jade Animal Figures Among the Shang and Zhou jade work, the jade animal figures rank first in quantity and variety. Around twenty different kinds of jade animal unearthed from the Fuhao tomb are all small and simple in outline but with the features of various animals vividly portrayed. For instance, the pair of jade elephants with big heads and short feet, the nine fierce marching jade tigers, the pair of jade bears squating on their heels with their arms around their knees, and the jade phoenix turning sideways and looking backward all exhibit humour and vitality. Some of the Shang and Zhou figures exhibit the use of the smart color technique, that is, using the natural color and veins of the jade to show the different colors of an animal’s body. A good example is the jade pendant in the shape of an osprey holding a small fish in its beak, which was unearthed at Liutaizi in Jiyang in Shandong Province. The osprey is in light blue and light yellow, while the small fish is in black. The jade Chinese soft-shelled turtle discovered in the north room site at Xiaodun Village is carved in black and gray veined jade, with the black part carved into the turtle shell and the gray part into the head, neck and belly of the turtle. The use of the natural color and lustre is ingenious.

The Art of Lacquerware Lacquerware from the Warring States Period to the Han Dynasty Lacquerware is another traditional Chinese artwork with a long history, which can be traced back to the Neolithic Age, around 6,000 to 7,000 years ago. One wooden bowl with a layer of dark red pigment painted on its outlayer was unearthed from the Hemudu site in Zhejiang Province, dates back to 4500 BC –4000 BC , and is the earliest piece so far discovered. Its pigment has been ascertained to be similar to the coating used on lacquerware in the Han Dynasty. Little lacquerware from the Xia, Shang and Zhou dynasties has been unearthed and what has been found suggests they had fewer types and styles. Far more lacquerware of the Warring States Period has been unearthed, showing a notable development in lacquer-coating techniques at that time. Everyday lacquerware utensils of the period include stemmed cups or bowls, cups, plates, kettles, ladles, cauldrons, toiletry cases

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and mirrors. Musical instruments include drums, zithers and bamboo flutes. Weapons unearthed include shields, armor, crossbows, bows and sword sheaths. That lacquerware was used widely and for a variety of puroposes indicates that the lacquercoating technique of the time was well developed. It was during the Han Dynasty that the ancient lacquerware industry bloomed. Of the laquerware unearthed from the Western and the Eastern Han Dynasties most has come from the early Western Han Dynasty. For instance, more than seven hundred pieces of lacquerware have been unearthed from three of Marquis Dai’s family tombs at Mawangdui in Changsha in Hunan Province.

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Lacquerware unearthed from a tomb (Warring States Period)

Progress Made in Lacquerware Techniques More improvements were made in lacquerware production in the Warring States Period. Initially, the materials for making roughcast varied. Prior to the Warring States Period, the roughcast lacquerware was mainly woodwork. In the time of the Warring States Period, however, lacquerware with roughcasts of bamboo, bone, horn and leather appeared. In addition, lacquerware with roughcast mingled with ramie (vegetable fibers) was also developed. This procedure formed hemp and lacquer ash into roughcast before it was coated with a layer of lacquer. This type of lacquerware was light and delicate and showed craftsmanship. The lacquerware with a wooden roughcast was more exquisitely made than before, using a combination of manufacturing technique and carving expertise. For instance, the small colored wooden screen unearthed from a tomb in Wangshan, in Hubei Province, is 15-centimeter high and 51.8-centimeter long and has a rectangular outer

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frame with fretwork carvings of fifty-one animal figures. The pythons, snakes, frogs, deer and sparrows depicted are so vivid in posture that the screen is a work of art. Great advances were made in lacquerware-making in the Han Dynasty. The major decorative techniques were inlaying jade stones, pearls, bamboo chips and tile pieces, inlaying mother-of-pearl, gold and silver exposing, inlaying the edge with metals, and spraying gold.

Decorations and Paintings on Lacquerware The lacquerware of the Warring States Period and the Han Dynasty was mainly black and red. On the black or dark red surface, dark red, bright red, gold, dark yellow, silver white, milk white, pink green, dark green, deep green, blue purple and other colors were employed to make various designs. For example, the lacquerware unearthed from the tomb of Marquis Yi of Zeng in Sui County in Hubei Province include coffins, clothing cases and mandarin duck boxes. The inner wall of the inner coffin of the tomb owner is coated in dark red lacquer, while the outer wall is of black lacquer, on which red lacquer is coated. On the red lacquer are painted thick patterns of dragons, snakes, birds, deities, and people. On the two side walls of the coffin are painted some windows, next to which are painted ten warriors, weapons in hand, who look like both man and animal. Some 895 animals, such as dragons, snakes birds, deer, phoenixes and fish appear on the coffin. On the lid of a clothing case is drawn a big Dou (斗) character, symbolizing the Big Dipper, around which the names of twenty-eight stars are inscribed and next to which pictures of a blue dragon and a white tiger are drawn. This is not only an important lacquerware picture, but also Painting of the inner wall of the coffin of Marquis Yi a picture significant to the of Zeng history of astronomy in China. (Warring States Period)

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Colored lacquerware toiletry case (Warring States Period)

Double lacquerware cups in the shape of phoenix (Warring States Period)

A colored lacquerware toiletry case and double lacquerware cups in the shape of a phoenix unearthed from a tomb of the Warring States Period are both delicately colored. On the outside of the toiletry case, red, yellow and gold are used in a variety of designs and “The Greeting Ceremony of the Engagement” is painted in orange red, sea blue, dark yellow, dark brown and cloud white on a black surface. Some twentysix human figures, four vehicles and ten horses appear in the picture. Flying birds, yellow dogs and pigs are drawn next to the people. Willow trees sway in the wind and wild geese fly across the sky. The toiletry case is painted red inside and black outside. The picture of “The Greeting

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Ceremony of the Engagement” is drawn in orange red, sea blue, dark yellow, dark brown and cloud-white on the black surface. The cups are delicately shaped in the form of a phoenix carrying two cups, its head and neck being the front and its tail being the back. The two cups are positioned side by side in the middle with two intercurling dragons drawn on the central outer walls. The phoenix seems to be ready for flight, with its spreading wings carved on the outer walls of the two cups, its beak holding a bead and its head slightly raised.

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字 CHAPTER SIX

The Chinese Language and Chinese Characters The Formation of the Common Han Language

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Free-style calligraphy of“字”(zi) means “character” in Chinese

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The Formation of the Common Han Language Language appears as a society comes into existence and develops as it evolves. The history of the Chinese language coincides with the long history of the evolution of Chinese nationality. The Chinese language in its earliest period had a basic, not extensive, vocabulary; its grammar was simple but the basic sentence patterns had been formed. As society advanced, so did the evolution of the Chinese language. As early as the Spring and Autumn Period, a common dialect had already emerged. In The Analects, Confucius defined elegant language as the language used in The Book of Poetry, The Book of Documents and in conducting ceremonies and rituals. This “elegant language” was the common dialect at the time. The “common language” or the “ordinary language” mentioned in the Dialects by Yang Xiong of the Han Dynasty (53 BC–AD 18) referred to the common dialect of the Han Dynasty. In 1153, Jin removed its capital to Yanjing (the present Beijing). Thereafter, the Beijing dialect became the representative dialect in the north. The common dialect in the Ming and Qing dynasties were called the “official language,” with variations between the south and the north, based respectively on the dialects of Nanjing and Beijing. When the Republic of China was formed, “the national language” referred to the common dialect of the time. In 1924, the pronunciation of the Beijing dialect was adopted as the standard. Today, the official language of China and Taiwan is Putonghua (Mandarin). Standard modern Chinese pronunciation is based on that of the Beijing dialect, the dialects of north China are its basic dialects and representative works from modern written vernacular Chinese (baihuawen) form the basis for its grammatical rules. The modern Chinese language has a spoken form and a written form. The spoken Chinese is Putonghua while the written Chinese is the modern vernacular Chinese. The written form of ancient Chinese was literary Chinese (wenyanwen). Literary Chinese used to be based on the spoken form of ancient Chinese but, as the language evolved, the two drifted apart. One of the aims of the May 4th New Cultural Movement was to advocate replacing literary Chinese with modern written vernacular Chinese. Modern written vernacular Chinese is fundamentally the same as spoken Chinese, but has more variety in vocabulary and grammar.

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Features of the Chinese Language Features of Pronunciation The syllabic structure is precise. Syllables are the phonetic-phonological units most easily differentiated audibly. The syllables in Chinese are made up of initial consonants (shengmu) and simple or compound vowels (yunmu). For example, Syllable

Initial Consonant

Compound Vowel

ren (人 man)

r

en

min (民 people)

m

in

guo (國 country)

g

uo

Jia (家 home)

j

ia

The initial phonemes are all consonants—r, m, g, j—while the compound phonemes are all vowels—i, u, o and a—with the exception of “n,” a consonant. Each syllable has a tone, signifying different meanings. For instance, in Putonghua, the initial consonants and simple vowels of the four syllables “mā” (mother 媽), “má” (hemp 麻), “mǎ” (horse 馬) and “mà” (scold 罵) are alike, but their tone differences imply different meanings. Features of the Vocabulary First, words are composed of morphemes, the smallest phonological and semantic element. For example, the word “guojia” (country 國家) has two morphemes, “guo”(country 國), “jia” (home 家), and “tushuguan” (library 圖書館) are composed of three morphemes “tu” (picture 圖), “shu” (book 書), “guan” (building 館), while “ren” (man 人) has only one morpheme. The majority of words in modern Chinese are composed of two morphemes. Second, compounds made up of two roots play a bigger role in Chinese pronunciation. For example, “shiwu” (food 食物), “jiaocai” (textbooks 教 材), “baicai” (Chinese cabbage 白菜), “reqing” (passionate 熱情), “changtan” (talk 暢談). Words composed of a root and an affix (suffix) constitute a smaller portion of words in Chinese, for example, “zhuozi” (table 桌子) “yizi” (chair 椅子), “shitou” (stone 石頭), “shetou” (tongue 舌頭), “zuojia” (writer 作家) and “huojia” (painter 畫家). Among these “zhuo” (table 桌), “yi”

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(chair 椅), “shi” (stone 石), “she” (tongue 舌), “zuo” (write 作), “hua” (paint 畫)” are roots, and “zi” (子), “tou” (頭) and “jia”(家) are suffixes. Features of Grammar As grammar in the Chinese language doesn’t have the inflection changes that are found in languages such as English and Russian, word order and functional words occupy a very important position. The order of words in a sentence indicates the grammatical relationship between words. “Honghua” (red flower 紅花) is formed by an adjective and a noun: “hong” (red 紅) classifies “hua” (flower 花), from the perspective of color; “huahong” (花紅 the flower is red) is made up of a subject and a predicate, “hong ( red 紅)” is an account of the flower as it is now. In the sentence “renlaile” (The man has come. 人來了), “ren” refers to someone the speakers both know; while in the sentence “lairenle” (here comes a man 來人了), “ren” is an object, whom neither of the speakers know. The functional words in Chinese are very important in the sense that using or not using them, or using one instead of another, directly influences the structure and semantics. “Xiezi” (write a word 寫字) indicates the structural relationship of a verb and its object; “xiedezi” (the word written 寫的字) is the combination of an adjective and a noun. “He” (and 和) in “woheni” (you and I 我和你) represents a combination, while “huo” (or 或) in “wohuoni” (you or I 我或你) indicates an alternative relationship.

The Evolution of the Chinese Language The Evolution of the Pronunciation Generally speaking, Chinese pronunciation is becoming increasingly simplified. On one hand, the old voiced consonants have evolved into voiceless consonants in the same position in the Beijing dialect. On the other hand, the entering tone in old Chinese has disappeared from the modern Beijing dialect and has been replaced by other tones. In modern Chinese, the high level tone, the high rising tone, the falling-rising tone and the falling tone can be called the “four tones.” The Evolution of the Vocabulary Old Chinese was mainly formed of monosyllabic words, middle Chinese saw the introduction of a large number of polysyllabic words, with

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polysyllabic words exceeding monosyllabic words in modern Chinese. Among the polysyllabic words, disyllabic words make up the biggest part. Monosyllabic words in old Chinese have been replaced by disyllabic words. For example, “ai” (衷) “beiai” (悲衷 sad); “po” (迫) “bipo” (逼迫 force); “bi” (鄙)—“bibo” (鄙薄 look down upon); “bin” (溺)—“binke” (賓 客 guest); “ce” (策)—“cehua” (策劃 plan).

Dialects in the Chinese Language For historical and geographical reasons, there are various dialects, spoken in the following major areas: (i) the Northern dialect, mainly spoken in the vast area north of the Yangtze River, the valleys between Zhengjiang and Jiujiang, south of the Yangtze River, as well as Hubei Province, Sichuan Province, Yunnan Province and Guizhou Province; (ii) the Wu dialect, also called the Jiangsu-Zhejiang dialect, spoken in the south of Jiangsu Province and in Zhejiang Province; (iii) the Gan dialect, also called the Jiangxi dialect, spoken in most of Jiangxi Province and in the southeastern area of Hubei Province; (iv) the Xiang dialect, the so-called Hunan dialect, spoken in Hunan Province (in the northwestern area of Hunan Province the Northern dialect is spoken); (v) the Hakka dialect, spoken in Guangdong, Guangxi, Fujian, Jiangxi and Sichuan; (vi) the Min dialect, also known as the Fujian dialect, spoken throughout Fujian, Taiwan, Hainan and Chaozhou and Shantou in Guangdong Province; and (vii) the Yue dialect, also known as Cantonese, spoken in most of Guangdong Province and part of the Guangxi Zhuang Autonomous Region. These dialects differ from each other to some extent in pronunciation, vocabulary and grammar. The Pronunciation of the Dialects The variations between the dialects manifest themselves mainly in pronunciation. For example, the old entering tone had the final consonants -p, -t, and -k, which are still used in the Yue dialect. For instance, the words “li” (立 stand ), “li” (栗 millet ), “li” (history 歷) have

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a final consonant of -p, -t, -k respectively. The entering tone in the Wu dialect is a glottal stop instead of being divided into three systems. The words “li” (立 stand), “li” (栗 millet), “li” (history 歷) in the Shanghai dialect are all pronounced as “[li].” The entering tone has disappeared completely in most Northern dialects. The Vocabulary of the Dialects The vocabulary of written Chinese is reasonably consistent in most dialects, while everyday spoken Chinese in the different dialects shows great variation. For example, the word “yumi” (corn 玉米) in Putonghua is called “baomi”(苞米) in the northeast, “yujiao” (玉茭) in Shanxi, “baogu” (包 谷) in Kunming, “yumai” (俞麥) in Suzhou, “sumi” (粟米) in Guangzhou and “maisui” (麥穗) in Xiamen. The numbers of old Chinese words in the different dialects also vary. Generally speaking, there are more old Chinese words in the northern dialects than in the southern dialects. Grammar The Chinese dialects are grammatically different from Putonghua, too, especially in word order and use of the functional words. Take the major differences in word order between Cantonese and Putonghua as examples. First, when used as adverbs, some adjectives are put after the verb they modify. “Wo xian zou” (I first go 我走先) would turn to “wo xing xian” (I go first. 我行先) in Cantonese; “duo mai san jin rou” (more buy three jin meat 多買三斤肉) would be “mai duo san jin rou” (buy more three jin meat 買多三斤肉) in the Yue dialect. Second, as far as double-object structure is concerned, the object closer to the verb refers to people in Putonghua, while the object farther from the verb refers to things: “Gei ta shi kuai qian.” (Give him ten yuan 給他十塊錢). In Cantonese, the object closer to the verb refers to things while the object farther from the verb refers to people: “Bi shi ge yin qian qu.” (Give ten yuan him 畀����� 十個銀錢佢). Third, in the comparative sentences, “guo” (over 過) is used instead of “bi” (than 比) in Cantonese. “Mao bi gou xiao” (The cat is smaller than the dog 貓比狗小) would be “Mao xi guo gou” (The cat is thinner over the dog.)

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The Chinese Characters The Origins of Chinese Characters Chinese characters are one of the oldest writing systems in the world. The earliest Chinese characters are the oracle bone inscriptions, which date back roughly more than three thousand years. However, the oracle bone inscriptions belong to a well-advanced writing system, which suggests that there existed an earlier system. How did the oracle bone inscriptions evolve? What is the history of the Chinese writing system? These are questions that have troubled scholars of ancient Chinese culture and writing systems for many years. In recent years, excavations have uncovered pottery, dating back to an early period and with marks inscribed on the sides and rims. The pottery are interesting in that they give rise to a question: are they one of the earliest writing systems? Some scholars believe that the marks are indeed examples of an early writing system, while others believe that

Inscriptions of pottery from Jiangzhai in Shannxi Province (Yangshao Culture)

Inscriptions of pottery from Banpo in Xi'an (Yangshao Culture)

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Inscriptions of pottery from Liuwan in the Qinghai Hui Autonomous Region (Majiayao Culture)

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Inscriptions of pottery from Lingyang River in Shandong Province (Dawenkou Culture)

Oracle bone scripts (Shang Dynasty)

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they are simply signs recording an event, similar to the practice of tying knots to record an event. However, writing is used to record language, while event-recording signs are used to help people memorize something. For instance, in The Commentary to the Book of Change, tying knots in string and writing were already clearly separated from each other. Some scholars do regard the pottery marks as true symbols of writing. For example, on four pottery jars unearthed at the Lingyanghe River site there are some insciptions, two of which look like a big hammer with a long handle and an adze with a short handle, which have been interpreted as “yue” (a battleaxe 戉 or 鉞) and “jin” (a logging tool 斤), respectively. Two other symbols appear to be ideographs, which can be interpreted either as “dan” (dawn 旦) and “ling” (soul 靈). More pottery shards were excavated in Ju County, some with marks similar to “ling”(soul 靈) and some with marks never before seen. Some appear to show a square block of earth being planted, which may be interpreted as the word “feng” (封) indicating “mu” (tree 木) and “tu” (earth 土). Other symbols have not yet been interpreted. Scholars believe that the nine marked pottery shards are different from the event-recording signs on the pottery of Yangshao Culture because the strokes are neat and systematic. They also show traces of the writing systems of the oracle-bone scripts and inscriptions on bronze vessels. While most scholars believe that the marks are a primitive writing used in China’s late Dawenkou Culture, dating back to 2800 BC –2300 BC (or 2500 BC –2000 BC), some 4,000 to 4,500 years ago, some scholars still believe that the symbols are only event-recording signs. It is a controversial issue which requires further exploration and research.

The Evolution of Chinese Characters The earliest ancient Chinese characters found to date are the oraclebone scripts inscribed on tortoise shells or animal bones belonging to the Shang Dynasty. More than 100,000 pieces of oracle bones have been excavated, revealing over 3,500 Chinese characters, one third of which are recognizable.The inscriptions are unusually pictographic: for example, the word “xiang” (elephant the word “ma” (horse

) highlights the nose of the elephant and

) portrays the distinctive feature of the hair on

the horse’s neck. Some words are not fixed in style. For example, the word “che” (cart ) was written in more than ten ways in the early

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oracle-bone inscriptions. From the Shang Dynasty on, inscriptions appear on bronze vessels. Compared to the oracle-bone inscriptions, the shape of the bronze inscriptions in the Shang and Zhou dynasties reveals a clear trend towards straight lines. Thick strokes grew thinner and blocks changed into lines. Cursive pictographic lines were straightened and unconnected lines were linked into one stroke. Chinese characters were no longer as pictographic as they had been in the past. In 221 BC , the Qin united the six former states and adopted the “books to be written in the same script” policy. The small seal script was enforced as the standard form of writing and the scripts used in the six former states were discarded. The small seal characters were round and balanced in shape, with strokes of the same thickness. Apart from the small seal script, there was a less refined style of script, called the chancery script, which changed the round and cursive lines in the small seal script into straight and square strokes. This script looked flat and square, with each stroke in the form of a light wave rising and falling (the left-falling and right-falling strokes in Chinese calligraphy). The form and structure of the Chinese characters underwent great changes during the shift from the small seal script to the chancery script, losing almost all the pictographs. Examples of the Evolution of Chinese Characters Fish

Bird

Sheep

Oracle-bone Scripts

Bronze Inscriptions

Small Seal Script

Chancery Script

Regular Script

Cursive Script

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Chancery script was adopted as the official script of the Han Dynasty. Its cursive script form was called Zhangcao. By the time of the Eastern Jin Dynasty, the cursive script had lost its chancery script features and had evolved into modern cursive script. After more than two hundred years of use during the Wei and Jin dynasties, the script style gradually matured into the dominant style which has been in use ever since. Between the cursive and the regular scripts there existed the running script, whose strokes were linked in the same way as the modern cursive script, but which were more easily differentiated, and thus very practical.

The Nature and Features of Chinese Characters The basic unit of Chinese characters is an individual word, which is the morpheme of the Chinese characters. The morpheme is also called “lexeme,” the smallest phonological element of language, “ren” (man 人), “da” (big 大), “mei” (beautiful 美), “li” (pretty 麗), “yan” (study 研), “jiu” (explore 究), “liao” (over 了), “zhe” (着), “a” (啊), and “ba” (吧) are all morphemes. In most cases, one Chinese character represents one morpheme: the word “mei” (beautiful 美) represents the morpheme “mei,” and the word “ba” (吧) represents the morpheme “ba.” Chinese characters can not only differentiate between morphemes with different pronunciation, but also contrast morphemes with the same pronunciation: “yi” (implication 義, different 異, meaning 意, overflow 益, discussion 議, change 易, service 役, translation 譯). Chinese characters indicate both sound and sense, while letters only represent sound without sense, and thus Chinese characters are also called ideographs. For over three thousand years, the Han ethnic group has produced an enormous number of texts in Chinese, which have played a positive role in the development and diffusion of Chinese culture. Chinese characters are not dialect specific; Chinese who speak mutually unintelligible dialects can still communicate by using Chinese characters. The basic unit of English is letters, while the basic unit of Chinese is individual characters. By comparing English letters with individual Chinese characters, it is clear that: (i) There are more Chinese characters. The English alphabet has twenty-six letters, while Chinese characters, both ancient and modern, exceed 60,000;

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(ii) Chinese characters are complex in structure and English letters are simple. The average number of strokes in commonly used Chinese characters is 10.75, but the word “nang” (a nose snuffle 齉) has as many as thirty-six strokes; and (iii) Chinese characters are a combination of form, sense and sound. The English letters only have form and sound, with no sense. What the Chinese characters indicate is a morpheme, whose sound and sense constitute the sound and sense of the Chinese characters.

The Constituents of Chinese Characters The structure of Chinese characters is traditionally interpreted by the theory known as “Six Types of Character Composition,” which first appeared in the “Local Officials” of The Rituals of the Zhou Dynasty. When Xu Shen compiled his Explanation of Single Component Graphs and Analysis of Composite Characters, he defined the six types of character composition through illustrations, which may be regarded as the systematic theory of character composition. According to Xu Shen, the six types are “pictographs, symbols, compound ideographs, pictophonetic compounds, notatives and phonetic loans.” (i) Pictographs are characters formed on the basis of the outline of objects. For example, “niao” (bird ) looks like a bird. “Shui” (water ) appears to be flowing water. (ii) Symbols are characters constructed by combining pictographic signs and abstract marks. For instance, “mu” (mother ) is formed by adding two dots above “nü” (woman 女) to symbolize a woman feeding a child. “Zu” (soldier ) is composed by adding one left-falling stroke above “yi” (clothes 衣) to mark the clothes worn by soldiers. (iii) Compound ideographs are a combination of several ideographs to represent new meaning. For instance, “yi” (overflow ) shows water which seems to be overflowing from a container, so later it is written as “溢”. “Jian” ( mirror) presents a picture of two eyes looking into a water container, that is looking into a mirror, so it was later written as “鑑”. (iv) Picto-phonetic compounds are a combination of ideographs and phonetic signs. For example, “ling” (bell

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) follows the sound

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of a gold bell, indicating bells. “Jiang” (river ) follows the sound of water power, representing the Yangtze River. From the perspective of the modern academic viewpoint, the theory of “six types of character composition” was not fully developed in its true sense, although it did have a strong impact on the palaeography of China.

The Books on Characters in the Qin and Han Dynasties and Xu Shen’s Explanation of Single Component Graphs and Analysis of Composite Characters As Chinese characters became an essential part of social life, the early people started to research them; In the Qin Dynasty, Li Si and others wrote three books in small seal script: Cangjie, Yuanli and Boxue, which were combined into one book with the title of Cangjie. The book contained fifty-five chapters covering 3,300 characters, sixty characters being divided into one chapter. People in the Han Dynasty also compiled books on characters, for example, Fanjiang by Sima Xiangru, Jijiu by Shi You and Yuanshang by Li Chang. The characters covered in these three books did not exceed the range of those in Cangjie. By the time of the Yuanshou Era of Emperor Ai of the Han Dynasty, Yang Xiong had compiled a book, Xunzhuan, with thirty-four chapters covering 2,040 characters, which had not been included in Cangjie. In the era of Yongyuan of Emperor He of the Eastern Han Dynasty, Jia Fang compiled Pangxi, with thirty-four chapters covering 2,040 characters, which surpassed the range of Cangjie and Xunzhuan. Cangjie, Xunzhuan and Pangxi altogether covered 7,380 characters, including the majority of characters used in the Chinese classics. None of these books has survived, except for the Jijiu, which has thirty-four chapters covering 2,144 characters. It is a reading primer for children, introducing everyday characters arranged according to object categories. For example, “dao” (rice 稻), “shu” (broomcorn millet 黍), “shu” (sorghum 秫), “ji” (broomcorn millet 稷), “su” (millet 粟). In the reign of Emperor He of the Former Han Dynasty, Xu Shen finished compiling the Explanation of Single Component Graphs and Analysis of Composite Characters, the earliest dictionary to give a description of a character’s form, sound and sense. Xu Shen (AD 58–148) was born in Yongping era of Emperor Ming of the Han Dynasty, and died in the second year of the Jianhe era of Emperor

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Explanation of Single Component Graphs and Analysis of Composite Characters by Xu Shen Printed in Qing Dynasty

Huan of the Han Dynasty. In the twefth year of the Yongyuan era of Emperor He (100), he began to compile his palaeography, which has endured to this day. It took Xu over twenty years to fulfill his dream. There are fourteen chapters in Explanation of Single Component Graphs and Analysis of Composite Characters. According to Xu Shen, the dictionary covered 9,353 characters, with another 1,163 variants, totaling 10,516 characters. Later generations both added to and reduced the number of characters, so the copy we can see today does not include the exact number of characters mentioned by Xu Shen. It has seventythree more radicals in the seal script and 112 more variants. Xu Shen interpreted every character basically in the order of listing the seal characters, interpreting their meaning, analysing their form and giving their pronunciation. At times he also provided examples. Explanation of Single Component Graphs and Analysis of Composite Characters preserved systematically and completely the word form of the small seal script and some of the seal script of the Zhou Dynasty, a large amount of data about ancient pronunciation and information on dialect at the time and in previous dynasties. In the preface to the book, Xu Shen gave a systematic account of the origin, evolution, usage and constitution of the Chinese characters, an

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unparalleled achievement at the time. He also wrote two other books, Alternative Interpretation of the Five Classics and Annotation to the Book of the Prince of Huai Nan, neither of which has survived.

The “Four Fixations” of Chinese Characters In order to popularize standard Chinese and make it easier to learn and use Chinese characters, modern Chinese has to fulfill the “Four Fixations”, that is, to fix the number, form, sound and order. First, to fix the number of the Chinese characters, the main task is to fix the exact number of the commonly and currently used characters. The commonly used characters are the highfrequency words to be mastered at the elementary education level. In January 1998, the State Language Commission and the Education Committee of China prescribed together The Table of the Commonly Used Characters in Modern Chinese, covering 3,500 Chinese characters. The characters were classified into two levels: the first had 2,500 characters, which were the most frequently used characters; the second included 1,000 characters, which were secondary common characters. Investigation revealed that the table covered 99.48% of common, everyday words. The currently used characters referred to those characters used in print, which were the ordinary words used in social communication. In March 1988, the State Language Commission and the Education Committee of China and the Administration of News and Press of China prescribed The Table of the Currently Used Characters in Modern Chinese, covering 7,000 characters, including 3,500 commonly used characters in The Table of the Commonly Used Characters in Modern Chinese. Second, to fix the word form of the Chinese characters, in the 1950s, the Chinese government directed a large scale project to sort out and simplify the word form of Chinese characters, which resulted in the present standard form of the characters. The characters were mainly organized by first, sorting the variants of the Chinese characters. (Variants refer to other forms of a character apart from its standard form. For example, “徧” (bian) is a variant of “遍” (bian), “桮” (bei) and “盃” (bei) are variants of

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“杯” ((bei) cup).) On December 22, 1955, the Ministry of Culture of China and the State Language Reform Commission prescribed The Table of the First Group of Sorted-out Variants of Chinese Characters, which discarded 1,055 variants. Next, the typeface of Chinese characters was sorted. Before the 1960s, disagreements over the typeface of characters led to the use of different typefaces of the same character. For example, “研” (yan) (study) could also be typed as “ ,” “真”(zhen) (real) as “眞,” “黃” (huang) (yellow) as “黃.” On January 30, 1965, the Ministry of Culture and the Language Reform Committee of China prescribed The Table of the Typeface of the Currently Used Chinese Characters as the standard form, covering 6,196 characters with their standard form in print. In the 1950s, China also simplified Chinese characters. On January 28, 1965, the State Affairs Department passed The Plan for Chinese Character Simplification, covering 515 simplified characters and 54 simplified radicals. In 1964, on the basis of the enlarged simplified radicals, The General Guide to the Simplified Chinese Characters was compiled and printed; it was reprinted in 1986. This general guide included all the simplified characters adopted by the Chinese government, totalling 2,235 characters. It ruled that standard simplified characters would have to be used under all circumstances except in reprints of classical texts, calligraphy and other art works. The simplified characters in their complex form could no longer be used. Third, to fix the pronunciation of the Chinese characters, in 1932, the Ministry of Education of the Republic of China published the Dictionary of the Commonly Used Chinese Characters, setting the standard pronunciation of more than nine thousand characters, the majority of which are still in use today. However, some characters have undergone some changes in their pronunciation. The pronunciation of Chinese characters now has to be based on The New Dictionary of Chinese Characters and The Contemporary Chinese Dictionary. For example, “癌,” “法” and “垃圾” used to be read as “yán,” “fā, fá, fǎ, fà” and “lèsè,” but they are pronounced “ái,” “fǎ” and “lājī” respectively. Words that are similar in meaning but different in pronunciation are called variant reading characters. (When

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polyphonetic characters have the same meaning, they are simply variant reading characters.) In December 1985, the State Language Commission prescribed The List of Authorized Pronunciations for Heterophonic Words in Putonghua, setting the standard pronunciation for this group of words while discarding the variant reading characters. For example, “隘” is standardized as “àí” instead of “áǐ,” “凹” as “āo” instead of “wā.” Fourth, to fix the order of the Chinese characters, they have to be arranged in a certain order, which is done in two major ways: the classifier/radical approach and the pronunciation approach. The former is a traditional way, which was reasonably popular, represented by The Kangxi Character Dictionary listing 214 radicals. Since the 1980s, the traditional radicals approach has undergone some modification. The Sea of Words (revised edition) lists 250 radicals, while The Large Chinese Characters Dictionary and The Large Chinese Dictionary both list two hundred radicals. In 1983, The Standard List of the Radicals of Chinese Characters (Draft), released by the Language Reform Committee of China, listed 201 radicals. The pronunciation order approach adopts the order of Chinese Pinyin. Many recently published reference books have adopted this approach, for example The New Dictionary of Chinese Characters, The Contemporary Chinese Dictionary and The Great Chinese Encyclopaedia.

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易 CHAPTER SEVEN

The Book Of Change

The Book of Change

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The Commentries on The Book of Change

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Free-style calligraphy of“易”(yi) means “change” in Chinese

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The Book of Change of the Zhou Dynasty, one of the most important ancient Chinese classics, is open to a number of interpretations. The Book of Poetry, The Book of Documents, The Book of Rites, The Spring and Autumn Annals and The Book of Change of the Zhou Dynasty are referred to as the “Six Classics.” The Book of Change of the Zhou Dynasty has been required reading for the literati since the Western Han Dynasty and has had far-reaching influence on the shaping and evolution of traditional Chinese culture. In one interpretation, the title The Book of Change of the Zhou Dynasty refers only to The Book of Change. However, in addition to the The Book of Change, The Book of Change of the Zhou Dynasty also includes The Commentaries, an interpretation of The Book of Change. The Book of Change and The Commentaries are not from the same era, nor are they the same in nature. Nevertheless, the two books were not clearly differentiated and were published under one title. In this book, the title The Book of Change of the Zhou Dynasty is used in its broad sense and The Book of Change is introduced prior to The Commentaries, in accordance with their historical order.

The Book of Change The Meaning of the Title The Book of Change and Its Nature The Book of Change, originally called Change, was used as a book of divination in the Zhou Dynasty. “Change” was a common title for books of divination in ancient China. One explanation for the title is that the word “change” (易 yi) is a pictographic word imitating a chameleon, famous for its ability to change, and appropriate for the mystery of divination. Another interpretation is that the word has three senses (simpleness and easiness, transformation and change, invariability) or four senses (the above three senses in addition to exchange). The Book of Change of the Zhou Dynasty consists of sixty-four hexagrams. Probably from the Warring States Period, people divided The Book of Change of the Zhou Dynasty into first and second books. The former covers the first thirty hexagrams, while the latter the remaining thirty-four. The origin of the word hexagram (卦 gua), is also open to interpretation. Zhang Huiyan, a scholar in the Qing Dynasty, suggested that “the word hexagram (卦 gua) comes from the lines drawn on the

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ground during divination.” According to Zhang, when a seer divined a line, he memorized it by marking it on the ground. The word hexagram (卦 gua), therefore, is formed by two “土” (tu) (soil) and one “卜”(bu) (divination). This explanation is popular because is practical and reflects the contents of The Book of Change of the Zhou Dynasty.

The Eight Trigrams and the Sixty-four Hexagrams Why does The Book of Change of the Zhou Dynasty have sixtyfour hexagrams? Generally speaking, the sixty-four hexagrams are combinations of the eight basic binary elements. The eight basic elements are the eight trigrams: qian, kun, zhen, gen, kan, li, dui and xun. They are all trigrams, whose symbols and images are:









(qian)乾 heaven

(kun)坤 earth

(zhen)震 thunder

(kan)坎 water

(li)离 fire

(dui)兌 (xun)巽 lake (marsh) (wind)

Positioning and direction of eight trigrams

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(gen)艮 mountain

Sixty-four hexagrams

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In order to help beginners understand the images/symbols of the hexagrams, Zhu Xi, a scholar in the Song Dynasty, composed “The Song of the Images of the Eight Trigrams:” Heaven three solid lines, Earth three broken lines; Thunder two broken lines above, Mountain two broken lines below; Fire a broken line in the middle, Water a solid line in the middle; Lake a broken line above, Wind a solid line below.

It is much easier to memorize the eight trigrams by using this rule. The eight trigrams in The Rites of the Zhou Dynasty are called classic hexagrams; the sixty-four hexagrams are named the alternative hexagrams. The former are also entitled monograms or trigrams, while the latter are diagrams or hexagrams. Judging from the image, the most basic element of the eight trigrams is the solid line and the broken line , which are tripled in the eight trigrams, as can be seen from the following:

As recorded in “The Appended Judgements of the Commentaries” on The Book of Change, “in the Change, there is the Supreme Ultimate, which produces the Two Modes. The Two Modes produce the Four Emblems, and these Four Emblems produce the eight trigrams,” an

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illustration of the above. The eight trigrams double into the sixty-four hexagrams (each trigram is combined with another, one upon another, thus making sixty-four hexagrams). According to the interpretations of the ancient Chinese, the eight trigrams represent eight kinds of major natural elements: qian is heaven; kun is earth; zhen is thunder; xun is wind; kan is water; li is fire; gen is mountain; and dui is lake. These are the images of the eight trigrams. In addition, each trigram represents a different quality and sense. For example, qian represents health, kun smoothness, zhen activity, xun bending, kan the pit, li brightness, gen to stop and dui pleasure. The images and meanings were meant to meet the needs of divination, but have gradually incorporated philosophical concepts.

The Image, the Text and the Name of the Hexagrams Each of the sixty-four hexagrams includes four constituents—the image, the name, the text of the hexagram and the lines. In addition, the qian (heaven) and kun (earth) hexagrams each have one more constituent, nine (when all the lines are nines) and six (when all the lines are sixes) respectively. This is due to their images (formed by pure yang lines and yin lines) and the principles of divination. The qian hexagram is an example: The qian hexagram—supremacy and success, potentiality and perseverance (i) (ii) (iii) (iv) (v)

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The dragon is lying in wait. The time for action is not ripe. The dragon appears in the fields. It is time for the great man to emerge from obscurity. The gentleman strives hard all day long. He is vigilant even at nighttime. By so doing, he will be safe in times of danger. The dragon will either soar to the sky Or remain in the deep. There is nothing to blame in either case. The dragon is flying in the sky. It is time for the great man to come to the fore. The dragon has soared to the zenith.

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(vi) It will regret sooner or later. None of the dragons claims to be the chief. It is a sign of good omen. Among them, is the image of the hexagram, formed by combining two qian trigrams. To stress this point, later generations sometimes wrote the following four characters “the upper qian and the lower qian” after . Each hexagram is made up of two trigrams, which can be divided into the lower trigram and the upper trigram. The lower trigram is also called the inner trigram or zhen (perseverance); the upper trigram is also called the outer trigram, or hui (regret). Thus in the qian hexagram:

The upper trigram (the outer trigram, regret) The lower trigram (the inner trigram, perseverance)

The images are not a form of writing, but in the eyes of the ancient Chinese they were more fundamental than writing, as the attached texts are subject and complimentary to the image of the hexagrams. The word qian following is the name of the hexagram. The names of the hexagrams must have appeared later than the images of the hexagrams, and the texts of the lines. The majority of the hexagram names is derived or summarized from the texts of the lines. For example, the qian hexagram gets its name from the phrase “qianqian” in the third line; the dachu hexagram gets its name from such animals as horses, calves and boars; the daguo hexagram gets its name from some events that were considered unusual, such as: A withered poplar tree sprouts; An elderly man marries a young wife; A withered poplar tree blossoms; An elderly woman marries a young husband.

Of course, the names of a few hexagrams, which have no reference to the texts, must have originated from other sources. The words “supremacy and success, potentiality and perseverance” following qian are the text of the hexagram. The text was originally called a statement; the name changed after the Tang Dynasty, with

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the function of the text being to interpret the overall features of the hexagram. As The Book of Change has sixty-four hexagrams, there are sixty-four lines.

The Texts and Statements of the Lines Between “Supremacy and Success, Potentiality and Perseverance” and nine is the text of the lines. The qian Hexagram is made up of six lines, which are called yao (爻). The texts of the lines are used to interpret the nature and meaning of each line. As each hexagram is composed of six lines, there are six items of line texts, all different from each other. The Book of Change has sixty-four hexagrams and 384 line texts. The line texts of nine at the beginning, in second to fifth places, and at the top (chujiu, jiuer, jiusan, jiusi, jiuwu and shangjiu) in the qian hexagram are called statements, the function of which is to point out the position and nature of each line. Since each hexagram has six lines, there are six positions from the bottom up: the first (chuyao), second (eryao), third (sanyao), fourth (siyao), fifth (wuyao) and sixth lines (shangyao). The lines also differ from each other in being yin or yang. The solid line is yang, and the broken line is yin. In The Book of Change, is symbolized with an odd number nine, while with an even number six. As the image of the qian hexagram consists of solid lines, its line statements all include the number nine, as seen below: Nine Nine Nine Nine Nine Nine

at the top in fifth place in fourth place in third place in second place at the beginning

(shangjiu) 上九 (jiuwu) 九五 (jiusi) 九四 (jiusan) 九三 (jiuer) 九二 (chujiu) 初九

In the kun Hexagram, the six lines are all formed by broken lines , thus each of the statements of the six lines contains the number six, as follows: Six Six Six Six Six Six

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at the top in fifth place in fourth place in third place in second place at the beginning

(shangliu) 上六 (liuwu) 六五 (liusi) 六四 (liusan) 六三 (liuer) 六二 (chuliu) 初六

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The images of the kun and qian hexagrams are relatively simple, as are their statements. The other sixty-two hexagrams contain both the yang solid lines and the yin broken lines. As a result, their statements are complicated. For instance, the statements of each line in the Sun Hexagram are listed below: Nine at the top Six in fifth place Six in fourth place Six in third place Six in second place Nine at the beginning



(shangjiu) 上九 (liuwu) 六五 (liusi) 六四 (liusan) 六三 (liuer) 六二 (chujiu) 初九

All in all, the sources of the statements are the nature (yin and yang) and the position (first, second, third, fourth, fifth and upper) of the lines. Compared with other hexagrams, the qian and kun hexagrams each have one extra item, that is, nine and six. The so-called number nine or number six means that all the lines contain nine or six (are all solid lines or broken lines). In divination, when the six lines are all solid lines or broken lines, nine or six would be used for determining good or bad fortunes.

Judging Good and Bad Fortunes from the Image and Line Texts of the Hexagrams According to The Book of Change, receiving the image of the hexagram is the first step in divination. Judgment is made on the ground of the image and the line texts of the hexagram. The way of conjuring the image of the hexagram is related to numbers. As The Commentaries on the Book of Change state, “numbers are used to define an image,” implying that the images of the lines and the hexagrams are determined by numbers. The specific contents and procedures are recorded in “The Appended Judgments,” called “the yarrow-stalk oracle.” Generally speaking, one takes fifty yarrow stalks, puts one aside, then goes through the procedure three times so that an image of a line is gained prior to the image of a hexagram, which could be gained through eighteen performances. (As recorded in “The Appended Judgments—eighteen performances produces a hexagram.”) As the actual process is very complicated, no detailed explanation will be given here. The text of the hexagram and the lines are used to interpret the good or bad fortunes of the lines or the hexagram; it thus contains many

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words pertaining to luck, such as: “good luck,” “ill omen,” “regret,” “grief,” “good (beneficial),” “bad (harmful),” “success,” and “nothing to blame.” Sometimes, however, these words are not used and other methods are employed to imply good or bad fortunes. The Zuo Commentary contains stories of people telling good or bad fortunes on the basis of the image of the hexagrams and the texts of the lines. For example, The Zuo Commentary—Duke Xi of Lu (64 BC) records that before the Duke of Qin attacked Jin, he asked the diviner Tu Fu to consult the yarrow oracle. Tu Fu saw the gu hexagram . His analysis was that the inner trigram was xun, which is wind, represented their side, and the outer trigram was gen, which is mountain, represented the enemy side. As it was then autumn, when the wind blew over the mountain, it would blow the fruit and wealth of the mountains to their side, and therefore they were sure to win. He also explained that the outer trigram (representing the enemy side) of the gen hexagram was an inverted zhen hexagram, which represented a carriage. This implied that the Duke of Jin’s chariot would be upended. The hexagram was considered to be auspicious. Indeed, several days later, when Qin and Jin fought a battle in Hanyuan, the Jin chariots toppled over in the mud as predicted and the Duke of Jin was captured by the Qin army.

The Order of the Sixty-four Hexagrams Kong Yingda, a scholar in the Tang Dynasty, discovered an important characteristic of The Book of Change. He pointed out that, as can be seen from the image of the hexagrams, the sixty-four hexagrams are arranged in pairs, that is, every two hexagrams is a pair, supplementing each other in one of two ways: they either invert or contradict each other. (To invert is to turn the image of the hexagrams upside down, such as the zhun hexagram and the meng hexagram ; to contradict refers to the completely opposite nature of the hexagrams, like the qian hexagram and the kun hexagram . Some paired hexagrams can be classified as both inverted hexagrams and contradictory hexagrams (for example the Jiji Hexagram and the Weiji Hexagram but they are few in number. This arrangement indicates that people were aware of the laws of change in the universe. The order of the hexagrams in The Book of Change was not limited to one kind, just as the order of The Book of Change written on silk unearthed from the Han tombs of Mawangdui is different from that

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of the commonly distributed one. The common version of The Book of Change begins with the qian hexagram and ends with the weiji hexagram, while The Book of Change written on silk begins with the qian hexagram and ends with the yi hexagram. Some scholars believe that The Book of Change written on silk an adaptation of the common edition and aimed to make the order of the hexagrams a true reflection of the contradictory concept of yin and yang.

Editing of The Book of Change The ancient Chinese believed that The Book of Change was the work of different people. In the beginning, Fu Xi conceived the eight trigrams, then King Wen of the Zhou Dynasty doubled the eight trigrams into sixty-four hexagrams, and attached a text to each hexagram. Some people believed that the texts of the hexagrams were composed by the Duke of Zhou. This explanation is reasonable in that it accounts for the gradual evolution of The Book of Change, but the details are not necessarily true. Some modern scholars have discovered that the texts of the hexagrams contain stories from after the time of King Wen and the Duke of Zhou. It is now generally believed that the texts were compiled by officials responsible for divination in the Western Zhou Dynasty, when The Book of Change was in the charge of the chief diviner. Judging from their origins, the texts of The Book of Change are related to the texts in divination. However, when the texts of the hexagram or lines were attached to each hexagram or line, it is possible that the editors might have made some adaptations. This may explain why some texts seem systematic and interrelated. For instance, the texts of the qian hexagram mentioned above are quite coherent. From the bottom up, they are the dragon lying in wait, the dragon appearing in the fields, the dragon soaring to the sky or remaining in the deep, the dragon flying in the sky and the dragon soaring to the zenith.

The Historical and Cultural Data in The Book of Change As a book of divination, The Book of Change was mainly used during the Spring and Autumn Period. However, the texts of the hexagrams and the lines in The Book of Change are a mine of historical and cultural data, which have attracted the attention of many scholars. Modern research reveals that The Book of Change records the activities of historical figures lost to the records. For instance, the

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dazhuang and lü hexagrams give accounts of Shang’s ancestor Wang Hai; the jiji and weiji hexagrams describe a descendant of Wang Hai, King of yin, who warred against the Devil’s Land; and the tai and guimei hexagrams record Emperor Yi, father of King Zhou of yin, who married his daughter to King Wen. These records are an important resource for research into ancient Chinese history. The Book of Change also reflects the social life of the Xia, Shang and Zhou dynasties. For instance, its text lists the various titles used by the rulers—Son of Heaven, monarch, king—and their subjective dukes, marquis, generals and warriors, as well as the division between superior men, sages and inferior men and young servants. Also recorded in the text of the hexagrams and the lines is information about rituals and wars, some of which were lengthy and large in scale. There are also over twenty accounts of jurisdiction, penalty and imprisonment in the texts of the hexagrams and the lines. (Penalties ranged from fettering ankles to chopping off noses or feet.) The Book of Change contains data reflecting the social economic life in ancient China—livestock breeding (cattle, horses, sheep and pigs), agriculture, handicrafts, business trips and trade are all mentioned. The texts of the hexagrams in The Book of Change are not only of historical value, but also of literary value. Some of the texts are poems, embodying the three styles of fu (description), bi (metaphor) and xing (allusion). For example, “The enemy is ours. Some feel elated, others tired. Some are weeping, others singing” (zhongfu hexagram—six three). This is the direct style of “fu.” “A withered poplar tree sprouts; An elderly man marries a young wife” (daguo hexagram—nine two), and “A withered poplar tree blossoms, An elderly woman marries a young husband” (daguo hexagram—nine five) are metaphors. The lines, “When the crane sings in the shade, its companion will echo the song; When I have good wine, you will share the drink” (zhongfu hexagram—nine two) exemplify allusion. These texts are very similar to the poems in The Book of Poetry.

Life is the Center between Heaven and Man The Book of Change investigates all natural phenomena from the perspective of human activity in an effort to determine the meaning and source of life. The belief that natural phenomena are closely related to the life of man is apparent from the eight basic trigrams of Heaven,

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Earth, Thunder, Wind, Water, Fire, Mountain and Lake, without which life would not exist. None of the hexagrams in The Book of Change is unrelated to human life, nor is there any hexagram which tells about human activities which do not involve nature. All hexagrams in the book, whatever their image, refer to the relationship between heaven and man, centered around daily activities. The relationship between heaven and man as described in The Book of Change signifies the first appearance of a philosophical approach to life. The Book of Change also includes other philosophical concepts. For example, the texts of the tai hexagram—nine three state, “There is no plain without bumps; there is no going without return. Perseverance in adverse times will not invite blame. There is no level place without a bank and no departure without a return, perseverance leaves nothing to blame.” This is a reflection on man’s perception of the alternation between opposites. The change from “the dragon is flying in the sky” to “the dragon has soared to the zenith. It will regret sooner or later” in the texts of the qian hexagram implies that the opposite will be true when events reach their conclusion. There are also some life lessons in the text of the hexagrams. For instance, of the sixty-four hexagrams, only the text of the hexagram and the six lines in the qian hexagram predict good fortune. It appears that the ancient Chinese prized the virtue of modesty, which meant that the text of the hexagrams was likely to be interpreted from the perspective of a philosophical concept. The philosophical interpretation of The Book of Change began in the Spring and Autumn Period. However, it was not perfected until the appearance of Commentaries on The Book of Change.

The Commentaries on The Book of Change The Commentaries on The Book of Change is a general description of all the works which annotate and interpret The Book of Change of the Zhou Dynasty with the aim of discovering its meaning. However, the Commentaries discussed in this book have a specific connotation as it draws together only ten chapters from seven sources. As each of the sources interprets The Book of Change of the Zhou Dynasty from a different perspective, they are both related to, and different from, each other. From the Han Dynasty on, these ten chapters have been called “the ten wings,” or supplements, to assist people in understanding The Book of Change.

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Sima Qian, author of The Records of the Historian, believed Confucius, who lived at the end of the Spring and Autumn Period was the author of the Commentaries, although some scholars expressed reservations. These comments were written down and edited by his disciples before they were inserted into the main part of Commentaries. It is generally held that Confucius commented on the reasoning used in the book. Of course, although the main ideas in Commentaries were those of Confucius, it was not until some generations later that it was finally completed. Scholars believe that some of the text was finished as early as the middle of the Warring States Period and some as late as the end of that Period, or even at the beginning of the Han Dynasty. In the Commentaries, “Commentary on the Decision” is found at the beginning; it appeared earlier, too. According to the text of The Book of Change, this commentary is divided into two chapters which interpret the images, the names and the texts of the sixty-four hexagrams without referring to the text of the lines. This may be due to the fact that “Commentary on the Decision” is mainly an interpretation of the text of the hexagram, also called the text of Tuan. The date of its appearance is at least earlier than Xunzi, or almost in the mid- to late Warring States Period, as Xunzi quoted its interpretation of the xian hexagram. “Commentary on the Images” is also divided into chapters one and two according to The Book of Change. It interprets the image and meaning of the hexagrams and the texts of the lines. This commentary is also divided into two sections—“Great Images” and “Small Images,” with the former explaining the images and meanings of the hexagrams and the latter explaining the images and texts of the lines. “Commentary on the Images” may have been so named because it mainly focuses on the images of the hexagrams and lines to interpret the meaning of the hexagrams, while maintaining the theory of representation. That is, each of the eight trigrams represents one of the eight natural phenomena of heaven, earth, wind, thunder, water, fire, mountain and lake. It is generally believed that “Commentary on the Images” appeared later than “Commentary on the Decision” and is a product of the late Warring States Period. As far as fundamental interpretation is concerned, “Commentary on the Images” is very much influenced by “Commentary on the Decision.” For example, when “Commentary on the Decision” explains the kun hexagram, it says “the earth is thick, so it can hold many things; when virtues are joined, they know no boundary.” “Great

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Images” says, “The mode of earth is kun. The sage holds things through great virtues.” Differing from “Commentary on the Decision” and “Commentary on the Images,” “Commentary on the Words of the Text” only interprets the text of the qian and kun hexagrams. Its name might have come from its accounts of the predecessors’ comments in words. Judging from the words, this commentary should have been the record of the interpreter’s comments of the qian and kun hexagrams, a demonstration of the special attention paid to these hexagrams. It contains three paragraphs, more or less the same, of interpretations of the six lines of the qian hexagram. Short as it is, this commentary was not done by a single person, but was compiled by different people. Judging from the contents, “Commentary on the Words of the Text” may have been finished in the late Warring States Period, but later than “Commentary on the Decision” and “Commentary on the Images.” “Appended Judgments” differs from the above three commentaries, which interpreted The Book of Change word by word, by being less systematic, although it does contain some words explaining the meaning of the text of the hexagrams and the lines. It offers a general survey of The Book of Change of the Zhou Dynasty and the main principles of the divining method and is also referred to as “Great Commentary on The Book of Change.” The term “appended judgments” has two connotations: one being the texts attached to the images of the hexagrams and the lines, the other referring to the The Commentary attached to the end of The Book of Change of the Zhou Dynasty. “Appended Judgments” is probably so named because it mainly relies on the text of the hexagrams and the lines to give a general survey of The Book of Change of the Zhou Dynasty. Also divided into two chapters, this commentary is considered to be very important. The silk Book of Change is similar in content to the present edition of “Appended Judgments.” By comparing the two books, it can be seen that the present version of “Appended Judgments” might have been based on the silk book edition which was not the work of one person at one time. The compilation might have been done at the beginning of the Han Dynasty but the main part of the work must have occurred in the late Warring States Period. “Discussion of the Trigrams” mainly interprets the images and meanings of the hexagrams. As far as the contents are concerned, it is, obviously, closely related to the method of divination. But it makes

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use of philosophical principles in its interpretation of the evolution and nature of the eight trigrams. It might have come into existence during the mid- or late Warring States Period. “Sequence of the Hexagrams” interprets the order of the sixty-four hexagrams of The Book of Change (the common edition). “Miscellaneous Notes on the Hexagrams” do not depend on the order of the hexagrams, but pick out the opposite names of the hexagrams and turn the sixty-four hexagrams into thirty-two opposite pairs.

The Nature of The Commentaries on The Book of Change As an interpretation of The Book of Change, Commentaries on The Book of Change is related to, but different from, The Book of Change. Generally speaking, The Book of Change appeared during the Western Zhou Dynasty, while The Commentaries was written during the Spring and Autumn Period and the Warring States Period when many schools of thought flourished. The Book of Change is a book of divination, while The Commentaries is a book of philosophy. Different from the usual philosophical books, Commentaries explores principles of philosophy through interpretations of The Book of Change. For instance, Commentaries also covers divination and its methods, but theorizes that divination is used as a way of expressing views on the universe, society and life. On account of this, the major portion of The Commentaries could be approached from the viewpoint of divination and philosophy. As a result, there are two sets of languages in Commentaries, the language of divination and that of philosophy. In most cases, the two sets of languages are joined to embody the concepts of philosophy in the form of divination. This is one of the most important features of the language of Commentaries. This use of linguistics in The Commentaries shows that its authors did not consider The Book of Change simply as a book of divination. In their eyes, The Book of Change is more a book on Tao; it “covers the Tao under Heaven” and “embraces the Tao of Heaven and Earth.” “Cover” and “embrace” both mean “include,” which is to say that The Book of Change includes the Tao of everything under the Heaven. This kind of Tao could be approached from many perspectives. For instance, The Commentaries state that as each hexagram in The Book of Change has six lines, every hexagram embodies the Tao of the triad of Heaven, Earth and Man. “Appended Judgements” says, “The Book of Change is quite comprehensive. It contains the Tao of Heaven, the Tao of Man

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and the Tao of Earth. Each hexagram embraces the triad and doubles it. Therefore, each hexagram is symbolized with six lines. The six lines are no other than the Tao of Heaven, Earth and Man.” Discussion of the Trigrams also contains similar sayings: the six lines in a hexagram symbolize the three powers—lines six and five, Heaven; lines four and three, Man; and lines two and one, Earth. Therefore, each hexagram in The Book of Change embraces the Tao of Heaven, Earth and Man.

The Alternation between Yin and Yang is called the Tao In interpreting The Book of Change, The Commentaries incorporated on a large scale the tenets of Confucianism, Taoism and the theory of yin and yang. For example, the Taoist believes that Tao is empty/hollow and formless, while “Appended Judgments” also says, “the way prior to form is called ‘Tao,’ the way after form is taken is called things/product.” “The way prior to form” means “emptiness.” The Commentaries also accept the concept of yin and yang to interpret the image of lines and hexagrams and the essential nature of things, and state that “the alternation between yin and yang is called Tao.” “Yin and yang” means that “yin and yang are intertwined.” Only yin or only yang is not the Tao, while the combined harmony of yin and yang is called Tao. This concept is a summary and extension of the content of The Book of Change. For instance, the odd and even numbers in The Book of Change and the yin and yang lines are all pairs of one yin and one yang. The same is true of qian and kun, zhen and gen, kan and li, xun and dui. The sixty-four hexagrams, which are pairs of opposite nature, are all composed of one yin and one yang. The Commentaries pushed this statement further as a universal principle applicable to nature and society. They employ yin and yang to interpret natural and social phenomena: Heaven is yang, Earth is yin, the Sun is yang, the Moon is yin, the Monarch is yang, the subjects are yin, man is yang and woman is yin. The concept of yang and yin shows that The Commentaries believe that things should be approached from opposite perspectives to find both humaneness and wisdom, lest people adopt such a biased standpoint as “the man of humanity sees it and calls it humaneness, the man of wisdom sees it and calls it wisdom.” Through the principle that “the alternation between yin and yang is called Tao,” The Commentaries express understanding of the nature

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of change and believe it is based on the alternative interplay between opposites. “Appended Judgments” says, “the intertwining between Hardness and Softness produces change.” From the viewpoint of divination, hardness and softness refer to the lines of yin and yang respectively, while the interchanging of position of these two lines leads to the change of the image of the hexagram. For instance, if line one (a broken line) in the kun hexagram turns into a solid line, the kun hexagram will turn into the fu hexagram. Nevertheless, The Commentaries put forward the concept of hardness and softness intertwining to produce change because they regarded it as a universal principle governing nature and society. For instance, “After the sun goes, the moon comes. After the moon goes, the sun comes again. The sun and the moon interchanges, then light appears. After the winter goes, the summer comes. After the summer goes, the winter comes again. The winter and the summer push each other, then the cycle of a year is completed.” Based on this principle, “Appended Judgements” also posits the idea that “the interaction between Heaven and Earth gives rise to all the transformations in the universe; the intercourse between male and female gives birth to everything under Heaven.” From the viewpoint of divination, Heaven, Earth, men and women belong to the qian and kun hexagrams, while everything else under heaven belongs to the other hexagrams. The qian and kun hexagrams are, therefore, the basis and source of the other sixty-two hexagrams. Philosophically speaking, that the correspondence of heaven and earth generates everything in the universe is part of the theory of cosmology. It is reasonable that The Commentaries regard change as the alternation between opposites. From them come such proverbs as “The man who keeps danger in mind is the one who is secure; the man who keeps ruin in mind is the one who survives. The man who has disorder in mind is the one who rules.” On the basis of “the alternation between yin and yang being called Tao,” The Commentaries advocate the fundamental concept that the Tao of man is humaneness and righteousness. Discussion of the Trigrams says “the Tao of heaven is yin and yang; the Tao of earth is softness and hardness; the Tao of man is humaneness and righteousness.” This concept shows the influence of the ideas of Mencius. The Commentaries also attach great importance to the concept of the golden mean. In the image of a diagram, Lines No. 2 and No. 5 are

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called the mid-line as they lie between the upper and lower trigrams. The mid-lines are usually very auspicious, so The Commentaries advocate that people keep to the golden middle to enjoy a fruitful life. This concept of neither too much nor too little is advocated by the followers of Confucius and was explored systematically in The Mean.

Production Plus Reproduction is Called Change The Commentaries develop the concept of life valued in The Book of Change; they believe that nothing in the universe is static, and everything is in the process of constant change. “Appended Judgments” says, “Production plus reproduction is called change.” Kong Yingda of the Tang Dynasty explained that “production plus reproduction means ceaseless change.” “Change” is “the birth of all things,” that is, everything in the universe is in the process of ceaseless production and reproduction. Therefore, “Appended Judgments” says, “The interaction between Heaven and Earth gives rise to all the transformations in the universe; the intercourse between men and women gives birth to everything under Heaven” and “The great virtue of heaven and earth is called production.” Kong Yingda believed that “all the things in the universe are frequently born,” known as the Great Virtue. If production decreases, so does virtue. This concept of The Book of Change was further developed by the disciples of Neo-Confucianism in the Song and Ming dynasties, who regarded “production” as the basic feature of the universe. In An Explanation of the Diagram of the Great Ultimate, Zhou Dongyi wrote, “the alternation between yin and yang gives birth to everything in the universe, then everything produces and reproduces other things, thus change is ceaseless.” In The Remaining Books of Mr. Cheng in Henan (Volume Two, Book One), Cheng Ying said, “That production and reproduction is called ‘change’ is the reason why heaven contains Tao. Heaven takes production as Tao. Understanding this principle of production is called benevolence.” In Quotations from Zhu Xi (Volume One) Zhu Xi said, “I believe that heaven and earth are nothing but a vitality which centers around life and alternates ceaselessly with the result that all the things in the universe are produced.” According to The Commentaries and the viewpoint of the Neo-Confucianists, the universe is filled with a form of healthy and positive vitality. This is the way of universe as well as the way of human life. Therefore, “Great Images” says, “The mode of heaven is health.

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The sage should constantly strive to improve himself.” For thousands of years, this optimistic view of the universe and life has helped the Chinese to learn to live in harmony with the laws of change.

Investigating the Tao of Heaven to Deal with Human Affairs According to The Commentaries, the reason why The Book of Change can embrace the Tao under heaven is that it is, on its own, the result of the writers’ exploration of astronomy, geography and anthropology, as well as general research in their fields of interest. This is consistent with the saying in the “Appended Judgements”: “The Book of Change is harmonious with heaven and earth, thus it can cover the Tao of heaven and earth.” Thus, The Commentaries encourage people to imitate the Tao of heaven and earth because “The great man measures his own virtues against those of heaven and earth, his brightness against those of the sun and the moon, his order against those of the four seasons, his fortunes against those of ghosts and spirits. He may act preceding heaven, but not in contradiction with heaven; he may act behind heaven, but he will follow the Tao of heaven.” This concept is an important feature of The Commentaries and is why later generations often describe The Book of Change of the Zhou Dynasty as a book investigating the Tao of heaven to deal with human affairs. For example, Great Images interprets the qian and kun hexagrams as: “The mode of heaven is health. The sage should constantly strive to improve himself. The mode of earth is kun. The sage holds things through great virtues.” “Health” and “Kun” are both names of the hexagrams. They discuss the Tao of heaven first, which is the mode of heaven and earth, and then move on to the way a sage behaves, which refers to human affairs. Human affairs should be based on the Tao of heaven. “The Commentary on the Decision” gives the following interpretations of the qian hexagram: “Qian indicates progress and success. It is the way of heaven to send down its beneficial influences below, where they are brilliantly displayed. It is the way of earth, lying low, to send its influences upwards and there to act. It is the way of heaven to diminish the full and augment the humble. It is the way of earth to overthrow the full and bless the humble. Spiritual beings inflict calamity on the full and bless the humble. It is the way of men to have the full and love the humble.” This proves that modesty is regarded as an important virtue, just as

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the Tao of Heaven shows. The way The Commentaries deal with human affairs requires people to base their conduct on the Tao of Heaven. This concept had a strong impact on the later development of philosophy and natural sciences in China.

The Influence of The Book of Change of the Zhou Dynasty The Book of Change of the Zhou Dynasty influenced politics, military affairs, literature, esthetics, architecture, science and technology in ancient China. Many scholars devoted themselves to the study of the book and produced a significant body of work. As “A Brief Preface to The Works on The Book of Change” in The Annotated Catalog to the Imperial Library says, “The Tao of The Book of Change is so comprehensive that it includes everything such as astrology, geography, music, poetry, the art of war, and mathematics. It can be used to solve almost any problem. Many stimulating views have added to its interpretation. Therefore, it has a variety of interpretations.” Since the 1980s, Chinese cultural circles have experienced another wave of interest in The Book of Change of the Zhou Dynasty. People approached the book from the perspectives of philosophy, esthetics, literature, history, religion, medicine, astrology, mathematics, physics and folk customs, and further interpretations have been made. . The Book of Change of the Zhou Dynasty has also been influential outside China. At the end of the Ming Dynasty, the Italian missionary Matteo Ricci translated the first two hexagrams—the qian and kun hexagrams. Later, the French missionary Nicolas Trigault translated The Book of Change of the Zhou Dynasty into Latin, and published it in Hangzhou in 1626. In 1687, The Great Learning, The Mean and Analects, translated into Latin by Philippe Couplet, a Belgian Jesuit who preached for twenty-three years in China, were published in Paris along with the sixty-four hexagrams of The Book of Change of the Zhou Dynasty and their interpretations. Between the end of the seventeenth century and the beginning of the eighteenth century, the German philosopher and mathematician G. B. Leibniz discovered the secret of the binary arithmetic system within the sixty-four hexagrams, based on The Book of Change sent to him by the French missionary Joachim Bouvet. In 1697, Joachim Bouvet gave a lecture in Paris, praising The Book of Change as a book of perfect philosophy. Thereafter, a missionary JeanBaptiste Regis translated The Book of Change of the Zhou Dynasty

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into Latin. His three-volume translation was published in 1834 and 1839, a hundred years after his death. The earliest English version of The Book of Change of the Zhou Dynasty was translated by the English missionary the Reverend Canon McClatcher and published in Shanghai. The earliest French version was translated by the French General P H F Philastre and published in the second (1885) and the twenty-third (1893) issues of the Annales du Musée Guimet. The German version of The Book of Change was published in 1924, with a preface by Carl Jung. There are also versions of the book in Russian, Spanish, Italian, Dutch, Danish and Yugoslavian. The Book of Change of the Zhou Dynasty is regarded as one of the treasures of world literature.

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詩 CHAPTER EIGHT

The Book of Poetry

Outline of The Book of Poetry

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Historical Narrative Poems and Poems of Lamentation in The Book of Poetry

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Poems Depicting Social Life, Love and Marriage in The Book of Poetry

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Artistic Features of The Book of Poetry

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Free-style calligraphy of“詩”(shi) means “poetry” in Chinese

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The Book of Poetry, the first anthology of poems in the history of Chinese literature, represents the oldest achievements in Chinese poetry. As a great classic and a time-honored children’s primer, it has exerted a far-reaching impact on the thoughts and culture of the Chinese nation for thousands of years.

Outline of The Book of Poetry The Time and Nature of The Book of Poetry The Book of Poetry contains 305 poems composed within roughly five hundred years between the early years of the Western Zhou Dynasty and the middle of the Spring and Autumn Period (11 BC–6 BC), in addition to six poems without texts (which only exist in the table of contents), called “pipepoems.” Originally called Poems or Three Hundred Poems, this anthology of poetry was later honored as one of the Confucian classics, hence the name The Book of Poetry. The four-character poems were popular in the Zhou Dynasty, and poems in The Book of Poetry are usually four-character verses, with every two characters forming a beat and each line having two beats. The poems in The Book of Poetry were originally songs accompanied by music, sometimes by dance, as Mozi says: “The Confucians recite the Three Hundred Poems, play the Three Hundred Poems, sing the Three Hundred Poems and dance by the Three Hundred Poems.” (Chapter 48)

Zuo’s Commentary on the Spring and Autumn Annals also records many scenes of singing and performing the poems of The Book of Poetry. Later, the music score was lost, while the words of the songs were preserved. As a result, The Book of Poetry we read today is essentially a collection of the words of songs.

Regional Songs, Odes and Hymns The poems in The Book of Poetry are classified into three categories— regional songs, odes and hymns. The regional songs contain a hundred and sixty songs from fifteen states in different areas; the odes can be divided into major odes (thirty in all) and minor odes (seventy-four in all); and the hymns include hymns of Zhou, Lu and Shang, totalling forty pieces. It has long been a controversial issue as to what the regional songs,

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the odes and the hymns refer. Modern scholars tend to interpret them from the perspective of the differences between the musical tones. The regional songs refer to folk songs, called “guofeng,” which means the local music of the states. Some of them originated from the south of the present Shaanxi and the north of Hubei, while most of them came from the Central Plains and the Yellow River Valley of north China, the majority being folk songs. Unlike the regional songs of local music, the odes were musical compositions from the area near the capital city of the Son of Heaven of the Zhou Dynasty and the area directly governed by the Zhou Dynasty, among which the more traditional odes were called “major odes,” while the newer odes influenced by local music of various places were entitled “minor odes.” Most of the hymns were songs for sacrificial ceremonies in honor of ancestors and for prayers to the deities in the ancestral temple of the court. The ancient sacrificial ceremonies in the ancestral temples were great occasions in court life, during which hymns and dances were performed to praise the virtues of the kings and to inform their divine ancestors of their achievements. The date of the works in The Book of Poetry, an anthology of songs of the Zhou Dynasty, can be roughly ascertained. Among them, “The Hymns of the Zhou Dynasty” are recognized as ancient songs from the early Western Zhou Dynasty, followed by “The Major Odes”, the majority of which were composed in the early Western Zhou Dynasty. Next come “The Minor Odes”, most of which were composed in the late Western Zhou Dynasty, some as late as the time when the Zhou capital moved east. Most of the regional songs as well as the “Hymns of Lu and Shang” are generally believed to have been composed in the early Spring and Autumn Period.

The Authorship of The Book of Poetry The authorship of The Book of Poetry is mostly untraceable. Only a few poems have exact accounts of their composers. Based on the contents and form of the works, a rough judgment can be made as follows: most of the folk songs in the Regional Songs were composed by the common people, the Odes were composed by the literati, while the Hymns for sacrificial purposes were probably composed by the court witches and musicians. In general, The Book of Poetry was not created by one person at one time in one place, but is rather a collection of works from a period of five hundred years.

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The Compilation of The Book of Poetry How could works so different in their years of creation, distribution and authorship be compiled into one anthology? As to the early compilation of The Book of Poetry, it is traditionally believed that the poems were “collected” and “presented.” It is said that there was a tradition of collecting poems in ancient China, when the government assigned people to the countryside to collect poems and present them to the emperors, so the emperors could learn about the everyday circumstances of the people. The presented poems were those dedicated to the Son of Heaven by the dukes, senior court officials and literati to eulogize the virtues and achievements of the Son of Heaven, or to offer advice to the Son of Heaven indirectly. Scholars guess that these poems might have been edited and polished after they were brought to the court. From The Records of the Historian comes the saying that “Confucius picked out some poems,” which implied that Confucius chose 305 poems from more than three thousand poems and compiled The Book of Poetry available today. However, most scholars of later generations believe that this saying is unreliable. Instead, they believe that what Confucius did was “revise the music,” instead of “picking out poems,” by adjusting the tunes of the poems to restore them to their original state, as is recorded by Confucius himself: “After I returned to the state of Lu from the state of Wei, I began to revise the music so that the Odes and Hymns each regain their own features.” (Analects, Chapter 9)

The Impact of The Book of Poetry on the Social Life of the Pre-Qin Society In pre-Qin society, The Book of Poetry was primarily used for expressing a person’s ideas and hopes on political, diplomatic and social occasions and as a textbook for educating the children of noble families. The Book of Poetry was once widely employed on political, diplomatic, social ceremonial and ritual occasions. The envoys or the men of verses often “composed poems to express their dreams,” that is, quoted from The Book of Poetry to show their own opinions and wishes. The hosts or guests chose a poem to be sung by the musicians (sometimes the hosts or the guests might sing themselves, but this was rare.) This kind of “poem composition” usually took no account of the content and implication of the original work, as it only placed the composer’s viewpoints and wishes on certain lines of the poems as an analogy or implication; thus it was

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kind of “quotation out of context.” Yet this quotation out of context could play an important and delicate role in the diplomatic exchanges of the time. For example, Zuo’s Commentary on the Spring and Autumn Annals (The Twenty-sixth Year of Duke Xiang) records the following: On account of an apostate from the state of Wei, the Duke of the State of Jin put the Duke of the State of Wei into jail. The Duke of the State of Qi and the Head of the State of Zheng went to the State of Jin to plead for mercy for the Duke of Wei. At the banquet, the Duke of Jin composed “Happiness” (The Major Odes) to welcome and honor the two monarchs from the states of Qi and Zheng through the lines “Respected is our happy king, of whose virtue all men sing. Fit to rule o’er high and low, He gets his blessings in a flow.” In return, Guo Jingzi of Qi composed “The Mugwort” (The Minor Odes) to praise the virtues of the Duke of Jin, and Zizhan from Zheng composed “The Black Robe” (Songs of Zheng), which implied that the State of Zheng dared not betray the State of Jin. The initial greetings were soon replaced by the real discussion. The two visitors conveyed the idea that it was not appropriate for the Duke of Jin to imprison the Duke of Wei on account of an apostate from the State of Wei. The Duke of Jin defended himself by saying that other causes also accounted for the imprisonment of the Duke of Wei. Then Guo Jingzi composed “The Soft Bridle” (a type of leisure poem), using the analogy of driving horses with soft bridles to advise the Duke of Jin to be forgiving to the small states. Zizhan from Zheng also composed “Prithee” (Songs of Zheng), which included lines such as, “what people say may also make you worry.” This implied that even though the Duke of Jin had his own reasons for imprisoning the Duke of Wei, what people said would also bring trouble to him because in the eyes of others he had imprisoned the Duke of Wei because of one apostate from Wei. The Duke of Jin then promised to set the Duke of Wei free.

This story illustrates that the ability to compose poems was an effective diplomatic skill at that time and a poor knowledge of it could lead to misery. By the late Spring and Autumn Period, poems and music developed separately, and the old music was gradually replaced by the new music.

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Due to such factors, composing music went out of style. In the end, The Book of Poetry distinguished itself in character-training, and its social role was particularly stressed by Confucius and the school of Confucianism initiated by him. Confucius said, “Thrive with The Book of Poetry, establish stands with The Rites, and accomplish with The Music.” (The Analects, Chapter 8) He also said to Bo Yu, “Have you studied The Zhou Nan and The Zhao Nan? A man who has not studied The Zhou Nan and The Zhao Nan is like a man who stands with his face towards a wall.” (The Analects, Chapter 17) In the eyes of Confucius, a person could start to build his character from The Book of Poetry and accomplish with The Rites. A person who did not study The Book of Poetry could not advance in society. Confucius also said, “Why is it that my young ones do not study The Book of Poetry? The Book of Poetry can enhance inspiration, observation, socializing, complaint, etc; be it to serve your fathers on one hand, be it to serve your lords on the other hand or to gain knowledge of names of birds and animals, plants and trees.” (The Analects, Chapter 17) According to Confucius, The Book of Poetry could inspire you, help you learn about prosperity, decline, the gains and losses of society, politics and customs, promote communication and mutual understanding and expose your inner feelings. Learning The Book of Poetry helped one fulfill one’s social obligations (such as “serving your father” and “serving your lord”). Moreover, Confucius believed that people could learn a lot from The Book of Poetry (“gain knowledge of names of birds, animals, plants and trees”).

Historical Narrative Poems and Poems of Lamentation in The Book of Poetry Historical Legendary Poems Some historical narrative poems in The Book of Poetry reflect important events in the early history of the Shang and Zhou Dynasties. “The Swallow in Hymns of Shang” recounts the legendary birth of Shang’s ancestor Qi and the historical data that Cheng Tang established himself as lord over the land. Other works in The Major Odes, such as “Long Trains,” “Magnificence and Brilliance in The First Birth,” “Gongliu” and “Lord Wen” and “Other Odes” record the important events in

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the origins and pioneering processes of the Zhou tribes, praising their achievements in reclaiming wasteland and setting up a home of their own along the Yellow River Valley. For instance, “The First Birth” tells of the legend of the mythical birth of Houji, ancestor of the Zhou tribes, his invention of agriculture and his teaching of sacrificial rites to the people. The story goes that Houji’s mother trod in the footprints of God, became magically pregnant and later gave birth to a child—Houji. But the birth of this child was so odd that his mother felt bewildered and tried to abandon him. However, the child was full of vitality and was protected by a mysterious force, so he was rescued no matter whether he was left in a lane, in the wood or on the ice: When the son was left in lanes, The sheep and cows fed him with grains. When the son was left on plains, Woodcutters sheltered him from rains. When the son was left on ice, The bird protected him so nice. When the bird began to fly, Houji began to wail and cry, His cry resounded far and wide, Attracting strangers on the roadside.

As soon as he learned to crawl, he was able to look for food by himself. Soon he was able to grow crops and became an expert in planting, growing luxuriant crops. God bestowed on him a variety of excellent seeds, so the agricultural production of the Zhou tribes began to flourish. He led the Zhou tribe to Tai (to the west of Wugong County in Shaanxi Province), where they worshipped God, and God also gave special blessing to the production and peace of the Zhou tribes. According to “Gongliu,” the descendant of Houji, Gongliu, led the Zhou tribes from Tai in search for a better place to settle. The pioneers climbed mountains and crossed rivers before they finally reached a vast high land with mountain streams—Bing of the Weishui Valley (to the west of Xunyi County in Shaanxi Province). Gongliu led others to open up the wasteland and build their homes. As is recorded in “Long Trains,” the descendant of Gongliu, Gugong Danfu, grandfather of King Wen of the Zhou Dynasty, led his tribe to Zhouyuan at the foot of Mountain Qi to avoid harassment by the tribes of Rong and Di. There they ceased their custom of living in caves and

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began to build houses, fortresses, gates and temples, establishing various basic institutions and vigorously developing their society. The two poems “Magnificence” and “Brilliance” praise the merits and achievements of King Wen and King Wu in commanding their army to defeat the enemies and the Shang Dynasty and in establishing the Zhou Dynasty.

The Poems of Lamentation A number of poems in The Book of Poetry, “The Odes” in particular, expose and criticize the dark side of the politics of the time, the result of chaos in the middle of the Western Zhou Dynasty caused by some nobles, servants in the court, or other middle or minor officials. Born in an era of decline, and having experienced the conflicts and evils in society, the writers were so dissatisfied with the corrupt rule of those in power that they were extremely worried about the future of their country. They resorted to poetry to express their criticism of the misgovernment of the King of the Zhou Dynasty and his ministers, hoping that they would be inspired to take steps to improve the political situation. At the “Turn of October in The Minor Odes” was composed at the time of a solar eclipse at the end of the Wetsern Zhou Dynasty. Shortly before this, there had also occurred big earthquakes and eclipses of the moon. These uncommon phenomena were regarded as a warning from heaven about the abnormal political situation. Thus, at the beginning of the poem, the poet noted the time of the solar eclipse and, by relating natural disasters to political affairs, he criticized the ruler for his failure to govern humanely and to employ virtuous people. One of the stanzas goes as follows: Lightning flashes, thunders roar; Disturbance and unrest uproar. The flood overflows the rills; The crags roll down the hills. The hills subside into vales; The vales rise into hills. Alas for those who hold the power, Why are they not alert now!

Through the description of a series of frightening phenomena, the poet uses the severe natural disasters as a warning towards the rulers in

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the hope that they would devote themselves to governing the country and to act prudently. Another lyric poem, “January,” in “The Minor Odes,” also begins with warnings from heaven. Between the Western and Eastern Zhou dynasties, seeing that the climate was abnormal and rumors prevailed, the poet relates his sadness and regret at his life experiences and sufferings and permeates the poem with the sense of “I feel so sad in my heart.” He regrets that the people in his time were born between high sky and thick earth, yet they could not even find a place to settle down, as they had to be extremely cautious in the evil political situation. Who says the sky is high? We have to bow under the sky. Who says the earth is thick? Our steps can ne’er be quick. That’s what the people have to say; The truth is as clear as broad day. Woe to those people of this time, Like lizard and rapine!

Through repeated sighs, the poet succeeds in permeating the poem with a lonely, sad, humiliated and lost ambience. This kind of deep and strong sentiment, though personal, is closely related to the overall political situation. Thus, though the poem contains nothing that directly condemns the specific dark political situation of the time, nor comments on social evils, it clearly exposes the depression of the people and the complaints of the poet. In these poems, with their strong sense of warning and advice, the poet expresses his sadness for the evils of the time directly, which demonstrates an apparent spirit of realistic criticism. The ancient Chinese regarded such poems as “lamentations.” With their relatively rich cultural background, these poets created many long poems of a high artistic value, which consequently exerted a far-reaching influence on the poems of the later literati. Some of the works in “The Regional Songs” are also satires. Unlike the poems in “The Odes”, these poems originated from the folk songs of the lower social class, which frankly state their dissatisfaction with the rulers’ exploitation of the people, as illustrated in the well-known poems “Cutting the Sandalwood” and “The Field Voles in Songs of Wei.”

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Poems Depicting Social Life, Love and Marriage in The Book of Poetry A Panoramic Picture of Social Life Through their truthful and vivid descriptions of the lives of the people at the time—their work, housekeeping, wars, banquets, etc.—many poems in The Book of Poetry express our ancestors’ true feelings about life and reflect their happiness and sadness. A case in point is “July” in the “Songs of Bin,” which vividly portrays the four seasons of farming life in simple words: from winter to spring, from summer to autumn, from field work, mulberry-gathering, silkworm-breeding, weaving, sewing, hunting, wine-making, building, and ice-boring to the hard life of clothing, feeding and housing the farmers. The poem also records the almanacs of the time. It resembles a magnificent fresco and is of high historical value. In “Picking Vetches” in “The Minor Odes,” a soldier, who has been away from home in service for many years, recalls on his way back home his life in the army and the hardship of being away from home for such a long time. The last part of the poem has been repeatedly recited by later generations: When I set out so long ago, Fresh and green was the willow. When now homeward I go, There is a heavy snow. The homeward march is slow; My hunger and thirst grow. My heart is filled with sorrow; Who on earth will ever know!

“The Millet in Songs of Wang” is the sorrowful song of a wanderer, who has nowhere to complain to but to heaven: The millet grows so dense; The sorghum’s in the sprouts. I walk at ease from hence; My heart is filled with doubts. Those who know my mind Say that I’m sad at heart;

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They fail to know my mind Who say I strain my heart. Gracious Heavens, oh! Who’s brought all this woe? The millet grows so dense; The sorghum’s in the ears. I walk at ease from hence; My heart is filled with tears. Those who know my mind Say that I’m sad at heart; They fail to know my mind Who say I strain my heart. Gracious Heavens, oh! Who’s brought all this woe? The millet grows so dense; The sorghum’s in the grain. I walk at ease from hence; My heart is filled with pain. Those who know my mind Say that I’m sad at heart; They fail to know my mind Who say I strain my heart. Gracious Heavens, oh! Who’s brought all this woe?

“The Rivers in Songs of Zheng” records the enjoyable custom of having a picnic in the spring and looking for the new green growth. According to Commentary on Han Yu’s Poems quoted in The Imperial Overview of the Era Taiping, “There was a custom in the state of Zheng: on the Shangsi Festival in March, along the two rivers people called back the spirits of the dead to help them ward off evil.” This was a folk custom for the young men and women to have fun and present each other with peonies along the Zhen and Wei rivers: The rivers Zhen and Wei Roar onward all the way. Watch the boys and girls, All wearing thoroughworts. Says girl, “Let’s join the crowd.”

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Says boy, “I’ve walked around.” “Shall we go there once more? By the Wei, on the shore, There’s lots of fun outdoor.” Side by side they walk; Heart to heart they talk. Picking peonies from a stalk. The rivers Zhen and Wei Run smoothly all the way. Watch the boys and girls, Who set the shore astir. Says girl, “Let’s join the crowd.” Says boy, “I’ve walked around.” “Shall we go there once more? By the Wei, on the shore, There’s lots of fun outdoor.” Side by side they walk; Heart to heart they talk. Picking peonies from a stalk.

The scenery is so fresh and pure, and the dialogue between the young man and woman is so emotional that the poem makes the festival very appealing to people. Later, Wang Xizhi and Du Fu wrote about the festivities and scenery during the Shangsi Festival in March in Preface to the Lanting Collection of Poems and “A Song of Fair Women,” respectively. The poems in The Book of Poetry reveal the living conditions of our ancestors in the Zhou Dynasty from various perspectives, embodying a strong flavor of life and emotions. Subsequently, The Book of Poetry not only became a classic for later poets, but also provided important data for later generations to learn about the lives of the ancient people. “July” In July the Fire Star is hardly spotted; In September winter coasts are allotted. In January the north wind blows cold; In February severe weather will hold. Without a cloth coat coarse or fine, How can we last through the winter time!

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In March we repair the plough; In April we begin to mow. Women and children leave the house And carry food to the field down south; The surveyor takes the food to his mouth. In July the Fire Star is hardly spotted; In September winter coats are allotted. When the weather turns warm in spring, The orioles wake and start to sing. Carrying deep baskets in their hands, The maidens walk to the farmland To gather mulberries by the strand. As the spring sun goes its course, They pick baskets of wormwood outdoors. Yet they are worried when they are alone, For fear the dandies will take them home. In July the Fire Star is hardly detected; In August we have reeds collected. When we trim mulberries in March, We use both axe and hatchets To cut the long boughs and branches, And pick the leaves from soft branches. In July the shrikes shriek overhead; In August we twist the hempen thread And dye it black, or yellow instead. We may dye it red, which is so bright, To make skirts for the young knight. In April the milkworts are in seeds; In May the cicadas chirp in the trees. In August we gather in the crops; In October leaves from the trees drop. In November we hunt the raccoon-dogs And in December we skin the fox To make fur coats and frocks. In December we have a grand chase, To complete the hunt with good grace. We keep the yearlings for our hoard; We present the old boars to the lord.

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In May the grasshoppers hop about; In June the crickets start to skip out. In July they live in the fields; In August they stay under the eaves; In September in the room they keep; In October under the bed they sleep. We smoke the mice and stop the holes; We seal the doors and the windows. Wretched are our children and spouses; Not until the new year comes around Can they move into those small houses. In June we eat plums and wild grapes; In July we cook mallows and beans. In August we knock down the dates; In October we take in the grains. With the grains we make rice wine; Drinking the wine grants us long life. In July we eat the melons; In August we cut the gourds; In September we collect the hemps. We pick wild herbs and cut firewood; These things make our livelihood. In September we prepare the threshing floor; In October we put the crops in store. There’s rice, sorghum and glutinous millet, Also sesame, beans, wheat and millet. We farmers have much to deplore; As soon as we put the crops in store, We must build houses for the lord. We gather thatch grass in the morning And twist ropes in the evening. When we are finished with the houses, We are busy again at the ploughs. In February we chop the ice with hammers; In March we move it to the cellars. In April we use it in sacrifice, To preserve the lamb and the chive. In September it is cold with frost;

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In October we clean the threshing floor. With two pitchers of wine in our hands, We then begin to kill the lambs. Together we go to the lord’s hall, And raise the horn cups above us all, Wishing a long life to our lord.

Poems on Love and Marriage The poems on love and marriage in “The Regional Songs” are particularly popular because of their richness and diversity—courtship and longing; happy reunions and secret assignations; the ups and downs of being in love; the misery of imposed marriages and strong resistance to interference from outside; happiness in new marriage; harmonious married life; and humiliation and desertion. For instance, “A Quiet Maiden in Songs of Bei” describes how a young man deeply in love goes to meet his sweetheart only to find that she is mischievously hiding from him: A maiden quiet and fair Awaits me by the Gate. She hides herself somewhere; I fidget while I wait. The maiden chaste, demure, Gives me a flute all red. The flute with notes so pure Puts dances in my head. The maiden in the fields Brings me exotic grass. I love what nature yields When it comes from the lass.

A flute and a piece of exotic grass turn into treasure for the young lad when they are presented by his sweetheart. His appreciation of the common objects comes from his deep love and strong passion for the girl. By contrast, “The Reeds in Songs of Qin” shows the sadness and longing for a beloved girl who is unattainable: Green reeds are thick and dense; Clear dews become frost thence. My love lives far away;

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She lives across the bay. Seeking her up the stream. The way is hard and long, I deem. Seeking her down the streams, She’s in the water, it seems. Green reeds are thick and high; Clear dews are not yet dry. My love lives far away; She lives along the bay. Seeking her up the stream, The way is hard and steep, I deem. Seeking her down the streams, She’s on an isle, it seems. Green reeds grow thick over there; Clear dews remain everywhere. My love lives far away; She lives beside the bay. Seeking her up the stream. The way is hard and crooked, I deem. Seeking her down the streams, She’s on a bar, it seems.

In the morning of a cool autumn in a water-bound village, the poet feels bewildered, because the “beauty” with whom he is deeply in love and whom he seeks constantly is not far away, yet it is almost impossible to approach her. The descriptions of the thick and high green reeds, dews and frost in the early morning at the beginning of each section, together with the description of such scenery as the zigzagging rivers and the small piece of land in the water reflect a kind of melancholy atmosphere and doleful mood, coinciding with the hero’s heartfelt regrets. “My Man in Songs of Wei,” a long ballad, records how a woman willingly took on the burden of housekeeping after she fell in love with and married the man who courted her so vigorously, but who subsequently deserted her. The first two sections of the poem describe how the man courted her and married her: Here comes a man genteel, With cloth to make a deal. It’s not silk he wants;

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My house is where he haunts. Toward home I walk with him Until we cross the stream. “Your wife I’ll gladly be If you find a go-between. Please do not be vexed! We’ll marry autumn next.” Upon the lofty wall, I look till eyes are sore. As I can’t see my dear, My eyes are wet with tears; As soon as he appears, I smile and tell my dear: “When I the omens sought, Auspicious news I got. Homeward turn your carriage; My dowry’s set for marriage.”

With deep love and because of the auspicious omens, the sentimental girl brings her dowry and marries the man, who seems honest and reliable and who wants to marry her. However, the promising beginning does not guarantee eternal love: The mulberry leaves are green Before they leave the tree. Get away, turtledove; Leave the mulberry I love. A maiden young should never Devote herself to her lover. A man in deep affection Is able to find solution; For a maid in deep affection, It’s hard to find solution.

These lines reflect the deep regrets in her heart. Faced with such a drastic change in her married life, she is troubled and remorseful. She condemns her husband’s unfaithfulness and expresses her determination to part from him. Poems on love and marriage in The Book of Poetry are mostly simple, passionate, and frank, with neither shallow dazzling flavor,

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magnificent tone, nor deliberate hesitation, yet between the lines there flows an elegant emotion, as illustrated in “The Cooing in Southern Zhou,” the first poem in The Book of Poetry: The waterfowl would coo Upon an islet in the brooks. A lad would like to woo A lass with pretty looks. There grows the water grass The folk are fond to pick; There lives the pretty lass For whom the lad is sick. Ignored by the pretty lass, The lad would truly yearn. The day is hard to pass; All night he’ll toss and turn. There grows the water grass The folk are fond to choose; There lives the pretty lass Whom the lad pursues. There grows the water grass The folk are fond to gain; There lives the pretty lass The lad would entertain.

The poem begins with the cooing of the waterfowl upon an islet in a brook and moves on to the yearning of a young man for the girl with whom he is in love and his dreams about their mutual harmony and joy if they were to marry. Touching as it is, the poem does not dwell on emotional attachment, nor does it use any shallow expressions for the joy of love.

Artistic Features of The Book of Poetry Having sprung from the hearts of the common people, the folk songs in The Book of Poetry are full of strong local flavor and sentiment and show a high artistic attainment.

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Fu, Bi and Xing (Enumeration, Comparison, Evocation) As far as the artistic style is concerned, the ancient Chinese summarized the techniques in The Book of Poetry as “fu,” “bi” and “xing,” which, together with the regional songs, the odes and the hymns, are referred to as “the six categories.” They are fully employed in the folk songs. Thanks to the classical status of The Book of Poetry, fu, bi and xing greatly influenced the literary creation of later generations. There have been many controversial arguments regarding the connotations of fu, bi and xing. Comparatively, the interpretation by Li Zhongmeng in the Song Dynasty is closest to the esthetic significance of Fu, Bi and Xing. He said, “Describing things to express one’s feelings is called “fu,” in which feelings and things integrate into each other; employing things to analogize emotions is what “bi” means, when emotion becomes part of the things; becoming emotional when one is touched by the things is regarded as “xing,” that is, one is moved by something.” (From “A Letter to Li Shuyi,” Collection of Pei Ran, Volume 18, by Hu Yin)

This explanation focuses on the different relationships, such as interaction and cooperation between image and emotion in poems. “Describing things to express one’s feelings” shows that fu is a direct expression of the things and one’s mind. “Employing things to analogize emotions” shows that bi is a purposeful metaphor with thinking preceding the things. Becoming emotional when one is touched by the things reveals that Xing is a natural sentimental flow of emotions with things preceding the mind. Fu, bi and xing have something in common; that is, they all pay particular attention to the portrait of image, and its influence on the readers’ reactions. Fu is a narration, as illustrated in “July” in “The Songs of Bin,” which gives a full account of the yearly pastoral life and expresses the sadness of the singer. Bi is an analogy, just as the field voles are used as an analogy for the wicked ruling class in “The Field Voles.” That the thick and dense mulberry tree leaves wither is used as an analogy for the emotional change from strong affection to the rejection of a wife by her husband. Xing basically refers to something used at the beginning of a poem, the function of which is no more than to lead to the major part of the poem, and thus is not directly related to the meaning of the poems. However, some well-begun xing are often linked to the content of the poems, analogizing, associating, reflecting and exaggerating the whole poem, as is shown in “The Wild Geese” in “The Minor Odes:”

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In flight are the wild geese; Their wings flap in the breeze. Officials are busy on the way, Working on the mission every day, We give help to the sick and the poor, To the widowers and the insecure. In flight are the wild geese; They stop by the marsh in peace. Officials set tramps to the building chore; Walls and roofs rise more and more. Building houses they have been, They will have houses to live in. In flight are the wild geese; So melancholy are their screams. In the eyes of men of wit, We have accomplished quite a bit. In the eyes of stupid men, We are showing off again.

Beginning xing with the wild geese, the poem describes the hardships of the common people. Here the hardship of the wild geese is related in meaning to the sufferings of the corvée labor. People of the later generations often used the phrase “moaning wild geese are everywhere” to refer to the unfortunate experience of homeless people.

Integration of Scenery and Emotions When natural scenery and the setting of the story are referred to in The Book of Poetry, they tend to be in the suburban field, at the corner of the city, along the river, at a mountain, in the wood or in the field. Those familiar country scenes not only serve as a background to the subjects’ activities, but also vividly reflect their emotions, attaining an artistic effect of integrating scenery and emotions. “Serving the King” in “The Songs of Wang” describes a woman who is touched by watching livestock returning home around sunset, and cannot help but miss her husband who is away in service, with no set date for his return. My husband serves the King, No word to me does bring

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When he’ll be home coming. The sun’s set in the west; The hens are in their nest; The cattle come home to rest. My husband serves the King; My heart to him so clings. My husband serves the King, No hope for his homecoming To have a cozy living. The sun’s set in the west; The hens stay in their nest; The cattle are home to rest. My husband serves the King; Hunger’s no rare thing.

The daily living situation at sunset in the village highlights the woman’s melancholy mood. The three lines: “The sun’s set in the west; The hens are in their nest; The cattle come home to rest” are purely descriptions of the scenery, yet they contain deeply-felt sentimental attachment. Sunset is the time for families to gather, even cattle, sheep and other livestock return to their shelters for the night, so a longing woman appears even lonelier.

The Beauty of Rhythm and Rhyme As the poems in The Book of Poetry were originally songs, special attention was paid to their rhythm and musical features. One of the features of The Book of Poetry is that many poems adopt the form of repetition. For example, in “The Reeds” in “The Songs of Qin,” the verses in the three sections are basically the same, repeated and sung again and again, with only a few characters replaced. This kind of structure embodies changes within repetition and repetition within changes, and highlights the theme, when the emotions deep in the heart are expressed thoroughly and impressively, yet are easy to memorize and recite. “The Plantain Seeds” in “Southern Zhou” is an appropriate example: The plantain seeds are green; Pick up the seeds in haste! The plantain seeds are green; Store up the seeds in haste!

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The plaintain seeds are green; Collect the seeds in haste! The plaintain seeds are green; Harvest the seeds in haste! The plantain seeds are green; Carry the seeds in haste! The plantain seeds are green; Bring home the seeds in haste!

This is a song about work, sung by a woman, lively and rhythmic, with only six words replaced in three sections. Like a piece of rondo, the words are simple, yet full of poetic taste within a clear-cut rhythm. Fang Yurong of the Qing Dynasty said, “When I tried to read the poem quietly and peacefully, I seemed to feel that the women of the countryside, three or five in group, were singing on the plains and in the fields on a sunny day, with their sound spreading far and near, here and there. I wonder how their emotion was transferred and why their spirit was so vast.” (Origination of The Book of Poetry)

Another important linguistic feature of The Book of Poetry is that a large number of reduplative words and lines as well as alliterative compounds and rhyming couplets are used. The reduplative words are mostly used to describe things and imitate sound. For example, Guanguan is used for the cooing of birds; gaogao for sunrise; yaoyao for peach branches; zhuozhuo for peach flowers; yangyang for rivers; and fafa for leaping fish. The alliterative compounds include cenci, qingkuang, xuanhuang, chichu, while yaotiao, zhanzhuan, cuiwei and huikui are examples of rhyming words, which all add to the music of the poems. Li Zhonghua in the Qing Dynasty said: “the rhyming couplet is like two pieces of jade struck against each other, when the rhythmic and sonorous sound is valued; the alliterative compounds are similar to the beads linked, when the sweet cadence is appreciated.” (Comments on Poets and Poetry by Zhen Yiqi) Take “The Moonrise” in “The Songs of Chen” as an example: How fair the moon shines in the sky! How lovely is the lady passing by! The sight of her tender grace Sets my troubled heart apace.

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How clear the moon shines in the sky! How pretty is the lady passing by! The sight of her gentle grace Sets my agitated heart apace. How bright the moon shines in the sky! How elegant is the lady passing by! The sight of her delicate grace Sets my miserable heart apace.

This poem uses alliterative and rhyming words, words similar in consonants or vowels, to describe the fairness, clearness and brightness of the moon, the lovely, pretty and elegant facial features of the girl, and her tender, gentle and delicate grace. In addition, a rhyme in every three sections is created, adding beauty of rhyme to the poem.

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楚 CHAPTER NINE

The Chuci Poetry

The Chu Culture and Chuci Poetry

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Qu Yuan

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The Nine Songs, The Nine Elegies, Sky-vaulting Queries and the Requiem

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Song Yu and the Nine Apologies

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The Influence of Chuci Poetry

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Free-style calligraphy of“楚”(chu) means “a state in the Spring and Autumn Period” in Chinese

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In the late Warring States Period, following The Book of Poetry, a new form of poetry appeared—chuci (songs of Chu)—whose representative figure was Qu Yuan (?340 BC–278 BC), the first great poet in the history of Chinese literature.

The Chu Culture and Chuci Poetry What is Chuci? The term “chuci” (songs of Chu) first appeared during the reign of Emperor Wu of the Western Han Dynasty. In “The Lives of Merciless Officials” in The Records of the Historian: “(Zhu) Maichen won the favor of His Majesty for his knowledge of ‘chuci’ and served the court in the powerful position of Chief Minister.” The term chuci in this passage refers to the poetry of the Chu poets represented by Qu Yuan. During the reign of Emperor Cheng, Liu Xiang organized the ancient works and edited an anthology of poetry entitled Chuci, which included the works of Qu Yuan, Song Yu and the imitative works of some Han poets. The term, chuci refers to a form of poetry as well as to the title of an anthology of poetry. In the Han Dynasty, chuci was also called fu (prose-poetry), as fu in the Han Dynasty was a literary genre that grew into shape under the influence of chuci. Thus people in the Han Dynasty generally equated the chuci by Qu Yuan and Song Yu with the fu by Mei Cheng and Sima Xiangru. In fact, chuci relates to poetry while fu relates to prose-poetry. They differ from each other in syntactic form, structural organization and rhyming patterns. Later, some people referred to chuci as sao (sorrow) because Lisao (“Sorrow after Departure”) was its representative work. The “sao style” is another term for the “chuci style.”

The Impact of Deity-worshipping Sacrificial Rites upon Chuci Poetry The State of Chu, on the Yangtze River and the Hanshui River, initiated contact with the northern states during the Shang Dynasty. Xiong Yu, the ancestor of the Chu people, who had served King Wen of the Zhou Dynasty, was later made a lord of the fiefdom of Chu. During the Spring and Autumn Period, the State of Chu developed rapidly and eventually emerged as a powerful state that could contend with the states

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on the Central Plains. It was a vast territory, rich in natural resources and with favorable terrain, scattered with rivers, ponds and forests. In the process of its relatively independent development, the State of Chu gradually nurtured a culture with its own characteristics, competing with the Zhou Dynasty on political and military grounds and keeping some distance from Zhou culture. According to “The Annals of Chu” in The Records of the Historian, two kings from the State of Chu (Xiong Qu and Xiong Tong) told men from Zhou, “We are barbarians.” This shows that the kings of Chu laid great stress on the distinctions The Variorum of Chuci between Zhou and Chu. Printed in the Southern Song Dynasty (1213) Within the realm of Chu there were many aboriginal minority groups, who lived deep in the mountains. “They believed in deities and stressed the sacrificial rites.” (“The Annals of Geography,” History of the Later Han Dynasty) Wang Yi wrote in his Textual Studies on Chuci, “In the ancient south fiefdom capital between the rivers Yuan and Xiang, the people believed in deities and carried out sacrificial rites, in which they would sing and dance to entertain the deities.” Deity worship and the aboriginals’ sacrificial rites of singing and dancing were absorbed into Chu culture, which distinguished itself from the culture on the Central Plains. The kings of Chu were active in promoting this practice. “Conceited and arrogant, King Ling of Chu ignored the sages but respected the deities, believing in witchcraft and sacrifices. After fasting and bathing, he would hold sacrificial rites to worship the lord of heaven and honor the deities, bowing with feathers in hand and dancing before the altar.” (“On Styles,” New Commentaries) “By holding grand sacrificial rites to pay tribute to the deities, King Hui of Chu hoped that he would obtain blessing and assistance in defeating the Qin troops.” (“The Annals of Sacrifices,” History of the Han Dynasty)

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The prevailing practice of deity-worship in the State of Chu had a profound impact upon the writing of chuci. Qu Yuan once held the position of “Left Minister” or Mo’ao, which was, according to some scholastic research, probably the religious chieftain of a clan, who was well versed in astronomy and history, or a pontiff who was both a shaman and a historian. It follows that Qu Yuan must have been very familiar with the ancient patriarchal culture and witchcraft of the State of Chu, and that his literary output was closely linked with the deityworshipping sacrificial rites. “Qu Yuan adopted the melodies from Chu and refined the sacrificial folksongs into ‘The Nine Songs’, which were in turn adapted into such masterpieces as ‘Sorrow after Departure’ and ‘Sky-vaulting Queries.’” (Nie Shiqiao: A Draft History of Literature in the Pre-Qin Period and the West and East Han Dynasties) Brief commentaries will be made in the following introduction to these works.

The Impact of Chu Ballads and Melodies upon Chuci Poetry Huang Bisi of the Song Dynasty said, “The poems by Qu Yuan and Song Yu were written in the Chu dialect and sung in the Chu melody, recording what happened and existed in Chu, hence the term chuci. For instance, the words ruoxie, zhi, qiang, zhu, qian, fen and chachi were from the Chu dialect; the solemn rhythms and rhyme patterns were from the Chu melody.” Chuci was greatly influenced by the folk songs from the State of Chu, some of which were recorded in the ancient classics. “Song of the Young Men” in Chapter Seven of Mencius and “Song of the Yue People” in “Eloquence” in Speech Garden were both prototypes of chuci. The latter reads: What night is this, oh, That I steer in the mid-stream? What day is this, oh, That I share the boat with the lord So attached am I to you, oh, That I care not of the humiliation. Eagerly I yearn, oh, To be acquainted with my lord. Trees grow on mountains, oh, And boughs on trees,

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But why don’t you, oh, Know my mind?”

The practice of the southern folk songs to have an exclamation particle xi (oh) at the end of alternate lines became a noteworthy stylistic feature of chuci. Chuci was affected by the Chu melody, the local music of the State of Chu. During the Spring and Autumn Period, the music played by Zhong Yi, the court musician of the State of Chu who was taken prisoner by the State of Jin, was called “the southern tune.” During the Warring States Period, the local music in the State of Chu was further enriched by such tunes as “Over the Stream,” “Picking Water Chestnuts,” “Busy Merchants,” “Evening Dew,” “Bright Spring” and “White Snow” which left their traces in chuci. The luan (conclusive lines), chang (transitional lines) and shaoge (short songs) found in many chuci poems are component parts of tunes handed down from the Chu melodies. The words peculiar to the Chu dialect, amply used in chuci poems, for example, hu, yu, ping, qiang, chachi and chanyuan, likewise add to the strong local flavor of chuci poetry.

Qu Yuan The Life of Qu Yuan Qu Yuan (?340 BC–278 BC), with the given name of Ping and courtesy name of Yuan, was born into an aristocratic family, which had the same surname as the King of the State of Chu. Wide in knowledge and with an excellent memory, he used tact to quell riots and was adept in diplomacy. In the earlier reign of King Huai, he was so trusted that he was assigned the position of Left Minister, counseling the king on domestic affairs and royal orders on the one hand and entertaining guests and fiefdom chiefs on the other. King Huai later fell under the influence of corrupt ministers who slandered Qu Yuan and he was banished to the north of the Hanshui River for a period of time. The Chu government gradually became more and more corrupt. King Hui of the State of Qin seized the opportunity and sent Zhang Yi to the State of Chu to alienate the relationship between Chu and the State of Qi. Zhang Yi made a false promise to cede territory near Shangyu to the State of Chu on condition that they broke off relations with the State of Qi. However, King Huai

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did not get a single inch of land after he severed his relationship with the State of Qi. He flew into a rage and sent troops to attack the State of Qin, which resulted in him losing both his troops and his territory. He had to reinstate Qu Yuan and send him on a diplomatic mission to the State of Qi to resume relations between the two states. Hoaxed time and again without learning from his mistakes, King Huai was eventually taken to the State of Qin and died there three years later. On his succession to the throne, King Qingxiang appointed his brother, Zilan, as prime minister. Qu Yuan was slandered by Zilan and exiled again to the south of the Yangtze River. During his long exile, he constantly worried about the state affairs and wrote many major poems. Under the control of the decadent ruling clique, the State of Chu was in decline and on the verge of final downfall. Witnessing the decline and fall of his birthplace and the miseries of his countrymen, Qu Yuan was filled with such despair and resentment that he committed ritual suicide in the Miluo River.

The Works of Qu Yuan According to “The Roll of Art and Letters” in History of the Han Dynasty, Qu Yuan wrote twenty-five poems in all, but the titles are not listed. According to Wang Yi’s Textual Studies on Chuci, Qu Yuan wrote “Sorrows after Departure,” “The Nine Songs” (eleven poems), “Sky-vaulting Queries,” “The Nine Elegies” (nine poems), “The Faroff Journey,” “Divination” and “The Fisherman,” which make up the twenty-five poems. As for “Requiem,” Sima Qian thought that it was written by Qu Yuan while Wang Yi believed that it was written by Song Yu. People of later generations have held various views on the authorship. Nowadays, many scholars think that “Divination” and “The Fisherman” were not written by Qu Yuan, whereas “Requiem” was. There are still two opposing views as to whether or not “The Far-off Journey” was written by Qu Yuan.

Sorrow after Departure “Sorrow after Departure,” Qu Yuan’s magnum opus of 373 lines, or 2,490 characters, is the longest lyrical poem in ancient Chinese literature. The spirit of “Sorrows after Departure” is “lamentation over his departure” (“The Lives of Qu Yuan and Jia Sheng,” The Records of the Historian) or “lamentation over his sufferings” (Ban Gu: “Preface of Praise for Sorrows after

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Departure”) .

This poem might have been written during the period when Qu Yuan was estranged from King Huai, or when he was in exile. At that time, the State of Chu was on the verge of downfall and the poet in exile could find no way to save his country. In memory of the past and in contemplation of the present, Qu Yuan wrote this stirring poem to express his love for his state and his sorrow for his failure to realize his ideals after years of striving. This poem might be regarded as the poet’s autobiography as we can find in it his life story, his meditations and his personal experience. In the first half of the poem, the poet looks back on the past. He begins by relating his pedigree, his birth and his virtue and talent, then recalls his assistance to the King of Chu in his political reforms and his subsequent exile. From the early years of his life, he worked hard on cultivating his virtue and talent, determined to shoulder the task of serving as the path-breaker for the king. However, his efforts to achieve political reform and a “laudable government” went against the interests of the aristocracy and incurred their joint attack and persecution. In the end, not only was he exiled, but he also saw the talented people whom he had patronized fall under the influence of the corrupt aristocrats. The poet shows his bitter antipathy to the aristocrats in the lines: “Their lust is never gratified,” “They are jealous-minded and green-eyed,” “They reject common rules with pleasure,” and “They liked the crooked and not the square.” He points out that their shameless interest in personal gain has pushed their country to the brink of disaster: You partisans love stolen pleasure, oh! Their way is dark, with perils sown.

He vents his disappointment in the King of Chu for his inability to discern loyalty from evil: To my loyalty you’re unkind, oh! You heed slander and burst in ire.

He bluntly criticized the King of Chu for his caprices: The Word you’ve given still remains, oh! But you go back on it and stray. Departure causes me no pains, oh! Of your fickleness what to say.

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He sighed in regret for the degeneration of the talented: I am not grieved they’re withered, oh! But they decay ’mid weeds in view.

He stuck to his ideals despite all the blows and disappointments: My heart tells me it’s good and meet, oh! I won’t regret to die nine times.

He would not give up in face of persecution: I would rather in exile die, oh! Than mingle with the vulgar throng.

In the second half of the poem, the poet anticipated his long journey ahead, ready to seek high and low in the glow of the setting sun: My way ahead is a long, long one, oh! I’ll seek my Beauty high and low.

What kind of path should the poet follow now that he had been ostracized? Should he change his original intent and maintain his integrity in seclusion? Or should he take his sister Nü Xu’s advice and drift with the tide? After thinking over his past, he gave up the idea of escaping from reality. He attempted to regain the trust of the King, but failed again. Then he asked the sorcerers to use divination and epiphanies so that they could show him the way to follow. One sorcerer, Lingfen, advised him to go abroad to achieve his aims, while the other sorcerer, Wuxian, advised him to remain in Chu for the time being and wait for new opportunities. Qu Yuan felt that time and tide would await no one and thus made up his mind to go abroad. He wrote of his home country as was about to leave: I rise to see the splendid sky, oh! I bow to find my home below. My horses neigh and my grooms sigh, oh! Looking back, they won’t forward go.

When affection for his home state eventually overcame all other feelings, he decided to stay behind, ready to sacrifice his life for his ideal: Since I can’t rule my kingdom’s fate, oh! I’ll drown myself like an ancient sage.

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Through the depiction of the poet’s lifelong struggle and his decision to sacrifice his life for his ideals, “Sorrow after Departure” is the incarnation of the poet’s idealism, spirit and patriotism right to the end. The poem is noteworthy for its artistic merits. It is the epitome of the use of romanticism in Chinese literature for its numerous instances of romantic devices of expression, for example: From magnolia I drink the dew, oh! And feed on aster frail. I’ll make a coat with lotus leaves, oh! And patch my skirt with lilies white.

Virtuous and talented, Qu Yuan did his utmost for his country and remained undaunted in the face of many setbacks. The romantic devices of expression are best found in his description of his spiritual journey— soaring imagination, marvellous spectacles, grand scenes and exquisite diction. There are numerous instances of metaphor and symbolism in the poem. There is a world of images of the various fragrant herbs used in witchcraft rites. Altogether, eighteen fragrant herbs are mentioned in “Sorrow after Departure”—gracilaria confervoides, angelica, orchid, rank grass, prickly ash, fungus, cinnamon, fragrant thoroughwort, faber cymbidium, calamus, tender bud, asarum forbesli maxim, chrysanthemum, Chinese iris, lotus and cotton-rose hibiscus. In “The Nine Songs,” eleven out of sixteen herbs are the same as those mentioned in “Sorrow after Departure.” There is a scene in “The Almighty Lord of the East in The Nine Songs” in which witches make offerings of fragrant thoroughwort, orchid, laurel and pepper as they sing and dance, holding fragrant herbs to entice the deities. In “Sorrow after Departure,” the hero’s robe and the hat are decorated with fragrant herbs and fragrant herbs are picked and presented as gifts. To those who are familiar with witchcraft culture, this world of fragrant herb images not only represents virtue and beauty but also hints at a world that is pure, mysterious and surreal. In this sense, the symbolism of fragrant herbs in “Sorrow after Departure” is closely related to the tradition of deity-worshipping sacrificial rites, a poetic device essentially different from the devices of metaphor and analogy employed in The Book of Poetry. As a lyrical poem, “Sorrow after Departure” contains elements of narration and commentary, interwoven with a well-knitted structure. Qu

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Yuan adopted the form of folk songs but employed the prose style as well, with longer lines used to enrich the content and express strong emotions. The lines are of different lengths—there are usually six or seven syllables in each line, three syllables in the least and ten syllables in the most. There are two parts in each sentence, the first part ending with the exclamation particle xi (oh). Most of the sentences begin with a one-syllable word and functional words are used very flexibly. The poem follows the rhyming pattern of xaya and moves in a harmonious and elegant rhythm. In the poem, in addition to the poet’s monologues, there are also questions and answers between the “host” and the “guest,” plus elaborations in parallel structures. All these devices exerted a great influence upon the chuci poems and the prose-poetry of future generations.

The Nine Songs, The Nine Elegies, Sky-vaulting Queries and Requiem The Nine Songs “The Nine Songs” is a sequence of lyrical poems adapted from the folksongs used during deity-worshipping sacrificial rites. “The Nine Songs” is said to consist of tunes handed down from the Xia Dynasty and Qu Yuan adopted this title for his poems. In fact, Qu Yuan wrote eleven poems for this sequence instead of nine. “The Last Sacrifice” at the end is a song to farewell the deities, which can accompany all the other poems, while each of the other poems depicts the deity to whom the sacrifice is made. “To the Almighty Lord of the East” depicts the Lord of Heaven; “To the God of the Sun” depicts the God of the Sun; “To the God of Cloud” depicts the God of the Cloud; “To the Lord of River Xiang” and “To the Lady of River Xiang” depict the two gods on the Xiang River; “To the Great Lord of Fate” depicts the God in charge of the human life-span; “To the Young Goddess of Fate” depicts the Goddess in charge of off-spring, “To the God of the River” depicts the God of the River; “To the Goddess of the Mountain” depicts the Goddess in charge of the mountain; and “For Those Fallen for the Country” depicts those who die for their country. Although the keynote of “The Nine Songs” is to laud the deities, love is constantly mentioned. Both the love between gods and the love between gods and humans are tinged with worldly affection. “To the

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Lord of River Xiang,” “To the Lady of River Xiang,” and “To the Goddess of the Mountain” are three exquisite love poems. Just like human beings, the deities yearn for a happy love life, full of passion. When they are full of hope, their love is sentimental; when a lover fails to appear, they are depressed and disappointed, filled with woe and suspicion. In these poems, Qu Yuan personifies the gods and goddess, thus filling the emotional gap between deities and human beings. With their lingering charm and fine phrases, most of the poems in “The Nine Songs” present a perfect unity of scenery, atmosphere, behavior and feelings. “To the Lady of River Xiang” is a good example: Descend on the northern isle, oh! My lady dear, But I am grieved, oh! To see not clear. The autumn breeze, oh! Ceaselessly grieves The Dongting waves, oh! With fallen leaves.

To the Goddess of the Mountain” offers another good example: Thunder rumbles, oh! Rain blurs the eye; At night apes wail, oh! And monkeys cry. Winds sigh and sough, oh! Leaves fall in showers, Longing for you, oh! How to pass lonely hours.

In plain and natural language, the poet integrates woeful affection with dreary scenery to present a poignant image. “Those Fallen for the Country,” a poem with a peculiar style, is an elegy lamenting the death of soldiers; it is intense and forceful, solemn and stirring. Through a vivid description of the battles, this poem exalts the death-defying spirit of the Chu soldiers.

The Nine Elegies “The Nine Elegies” was the title given by Liu Xiang of the Western Han Dynasty when he compiled the anthology of chuci. These nine poems were neither written at the same time, nor in the same place. According to scholastic research, “I Make My Plaint,” the earliest of the nine poems, was written after the poet was slandered and banished. “Sad Thoughts Outpoured” was written during his exile, hence the lines, “A bird comes with the southern breeze, oh! And perches on the northern riverside trees.” The other seven poems were written during his exile to the south of the Yangtze River in the reign of King Qingxiang.

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“Lament for the Chu Capital” was written in the twenty-first year of King Qingxiang (278 BC) when the capital Ying was seized by the State of Qin. The pain of exile and worry for his country can be clearly seen in this poem. As the place names and the seasons in “Crossing the River” succeed those in “Lament for the Chu Capital,” this poem must have been written when the poet went up north along the Yangtze River to Huxiang. “Hymn to the Orange Tree” contains the line “In the southern land you lived, oh!” and so it might have been written during a trip in the south. There is no definite conclusion as to the date of writing “Longing for Changsha” and “The Whirlwind Grieving,” but these two poems were undoubtedly written during his exile. “The Nine Elegies,” a collection of political lyrics, resembles “Sorrow after Departure” in content and form. Except for “Hymn to the Orange Tree,” which portrays the poet’s noble character, all the poems are about the plight of exile. Qi Yuan’s strong patriotism is obvious throughout the poems. Take “Sad Thoughts Outpoured” for example: Though summer nights so short appear, oh! They seem to me as long as a year. The capital’s so far away, oh! My soul haunts it nine times a day. I know not the road’s twists and turns, oh! For southern moon and stars my soul yearns. In vain I dream to go there straight, oh! My soul is busy early and late.

In his exile to the north of the Hanshui River, the poet never ceased to yearn for the capital Ying. He would lie sleepless throughout the night, staring at the starry sky and missing his home. After the capital Ying was captured by the enemy, he wrote the following lines in “Lament for the Chu Capital:” Gazing with longing eyes, I stand; oh! When may I come back to my homeland? A bird flies nowhere but home-bound; oh! A dying fox turns its head to its mound. Guiltless but banished, I take flight; oh! How can I forget you day and night!

Here the capital Ying becomes a symbol of the State of Chu, which the poet missed so much.

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“Over the Streams” describes in detail the poet’s harsh life and exile and reiterates his moral integrity and his determination to fight against evil to the end of his life. Full of indignation, the poet’s despair is deeper here than in “Sorrow after Departure.” The same mixture of feelings can be seen in “Longing for Changsha” and “The Bygone Days Regretted,” which were written shortly before he drowned himself. “The Nine Elegies” contains more detailed realistic writing and direct expression of feelings than imagination or overstatement. In this sense, it is more realistic than “Sorrow after Departure.” Its most unique feature is a perfect combination of strong political enthusiasm and rich lyricism.

Sky-vaulting Queries and Requiem Of Qu Yuan’s writings, “Sky-vaulting Queries” ranks second in length, next to “Sorrow after Departure.” A succession of 170 questions flows from the beginning to the end of the poem, covering such fields as fairy tales, historical legends, heaven and earth, hill and rill, fate and destiny, life and reality. Learned as he was, the poet was not content with conventional ideology. With a sceptical and critical attitude toward authority, he advocated rationality and showed his determination to seek after truth. The lines of “Sky-vaulting Queries” are permeated with his zest for political affairs and his depression over the decline of his country. Referring to “Sky-vaulting Queries,” Wang Yi wrote in his Textual Studies on Chuci, “In his exile, Qu Yuan bore worries and cares in his mind. He wandered over hills and dales, by land and water, crying to the sky and sighing to the heavens. In the memorial hall for the former kings, dukes and princes, he saw the paintings of earth and heaven, hills and rills, ghosts and spirits, sages and saints, ogres and monsters. When he was tired and took a rest, he looked up at the paintings and wrote queries on the wall to vent his indignation and to relieve his woe.” According to contemporary scholars, the paintings of spirits and ogres in Wang Yi’s writing are part of the literature of the history of witchcraft. The official position that Qu Yuan had held enabled him to gain such a profound knowledge of witchcraft history that these paintings roused his interest. In the form of interrogations (a common practice in the literature of witchcraft history), he expressed his doubt about the will of heaven and his worries about the destiny of his country. This explains Wang Yi’s words “to vent his indignation and to relieve his woe.”

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“Sky-vaulting Queries” makes an extraordinary contribution to literature in that it has preserved information about ancient legends, history and philosophy. Each stanza has four lines, with four syllables in most lines and with a harmony of different rhymes and various rhythms. Unlike Qu Yuan’s other poems, which are mainly lyrical, “Sky-vaulting Queries” and “Requiem” give priority to reasoning and argument, which is very unusual for most chuci poems. “Requiem” is also a remarkable piece of writing. After his exile to the south, Qu Yuan had mixed feelings as to whether he should leave his homeland. So he wrote this poem in the form of a folk requiem to express his determination to remain in his country and his profound love for his country: “enumerating the ugliness outside his country and the beauty of the State of Chu.” (Wang Yi: “Preface to Requiem,” Textual Studies on Chuci) “Requiem” exerted a direct influence on the fu (prose-poetry) of the Han Dynasty for its elaboration, euphuistic style, bizarre imagination and strong elements of romanticism.

Song Yu and the Nine Apologies “After Qu Yuan’s death, Song Yu, Tang Le and Jing Chai in the State of Chu were good at chuci poetry and renowned for their fu.” (“The Life of Qu Yuan,” The Records of the Historian) Of the three, Song Yu’s works alone have been passed down the generations. Song Yu was a noteworthy writer after the time of Qu Yuan, and their names are on a par. He was born to a lowly family in the State of Chu. As a minor official in the court of King Xiang, he felt constantly depressed because he had not attained his ideals. “The Rolls of Arts” in The History of the Han Dynasty recorded sixteen pieces of his fu, his magnum opus being “The Nine Apologies,” recorded in Textual Studies on Chuci. Like “The Nine Songs,” “The Nine Apologies” was originally the title of a sequence of ancient tunes. Song Yu wrote an excellent sequence of long poems in this title to air his woe and grievance for not having the opportunity to realize his ambitions. To a certain extent, this poem exposed and criticized the dark side of society at this time. As Song Yu lacked Qu Yuan’s passion, this poem hits a depressive note. However, as a master at expressing his strong emotions through the description of natural scenery, Song Yu created in his poem a fusion of feelings and settings. Especially popular is the beginning section of Sadness in Autumn in “The Nine Apologies:”

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Ah! Sad as death Is Autumn’s breath. What a bleak day, oh! Leaves shiver, fade, fall and decay! Forlorn and dreary, oh! Sad on a journey weary, Climbing the hill, oh! To see a friend off the rill. Empty and bare, oh! The sky is high with chilly air. Silent and drear, oh! The river sinks with water clear. Grieved, I heave sigh upon sigh, oh! Penetrated with the cold drawing nigh. Heart-broken at the view, oh! I leave the old for the new. Rugged the way, oh! The jobless poor are discontent with the day. Lost in space endless, oh! I stay on my journey friendless. So desolate, oh! I secretly pity my fate.

Song Yu contrasted the sorrow of the “rugged way” and the “discontent” of the “deposed poor scholar” with the natural scenery, blending his feelings into the settings. Intelligentsia through the ages has read his poems with empathy. Song Yu made a special contribution to Chinese poetry by extending the poetic images of space and enhancing the expressive and declarative functions of poetry.

The Influence of Chuci Poetry Chuci style poetry opened a brilliant page in the history of Chinese literature. Qu Yuan greatly influenced the development of Chinese literature. He made his impact on future writers by his patriotism and political idealism, his indignant and sentimental feelings, his tragic personality, his artistic devices of romanticism, his depictions of the love between human beings and deities, and his bitter irony in his lyrical poems. Sima Qian, for example, said, “Qu Ping bore bitter grudges

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because the king shut his ears to good advice, because the flatterers blurred the distinction between right and wrong, because the vicious people persecuted the just officials, because the upright people were not allowed in the court. That was why he wrote ‘Sorrow after Departure’ out of sadness and meditation. . . How could he avoid bitterness at heart when he was suspected for his loyalty and slandered for his faithfulness? It was out of his bitterness at heart that he wrote ‘Sorrow after Departure’.” (“Lives of Qu Yuan and Jia Sheng,” The Records of the Historian) Following Sima Qian, many famous figures in literature wrote poems to exalt Qu Yuan, for example: Officials from Han would sob in Changsha While men from Chu would weep in Chenyang. Though past and present may not be the same, I’d likewise have deep sorrow for Qu Yuan. (Jiang Yan, “Home Bound”)

When hills add beauty to the river scene, A lonely boat is drifting in the sinking sun. With stick in hand, I’m pleased to walk And watch dense clouds when the sun is down. The Mountain Goddess loves the spring bamboos While the Lady of Xiang smells the fading flowers. Across the scenic land of Hunan, A lengthy sigh is heard all through the ages. (Du Fu, “A Dusk View in the South of the Temple”)

When I peel green bamboo to write a chuci poem, The fragrant plant is smeared with dark-black ink. Who can see my endless indignation at heart? Countless shoots spring up in dew and cloud. (Li He, “Fresh Bamboo Shoots in the Garden, No. 2”)

Wearing a lotus dress Strewn with an orchid pendant And holding fragrant grass, The Lady of Xiang dances with a smile And plays a clear tune with the zither. When I read the poems of Qu Yuan With the indignation of The Nine Songs

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That shines over the world, I’ll keep away from my children For I enjoy the poems so much. (Zhang Xiaoxiang, “Drifting along the Xiang River, to the tune of Shuidiaogetou”)

For Qu Yuan’s infinite grievance in Sorrow after Departure, The warriors have wept all through the generations. (Lu You, “Lamenting the Capital Ying”)

From the many poems like the above, we can see why Qu Yuan serves as a model for Chinese scholars to this day.

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儒 CHAPTER TEN

The Confucian School in the Pre-Qin Period The Founding of the Confucian School

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The Life and Teachings of Confucius

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Mencius

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Xunzi

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Free-style calligraphy of“儒”(ru) means “confucian” in Chinese

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The Chinese Confucian School, from its inception in the pre-Qin Period, lasted for more than three hundred years. The Confucian School has exerted a profound influence on the characteristics and direction of traditional Chinese culture and Chinese life and thought.

The Founding of the Confucian School The Meaning of “Ru” (The Confucian School) Ru (the Confucian School) originally referred to the intellectuals who left the early religious professions such as witchcraft and fortune telling. In the etymological dictionary Shuo Wen Jie Zi (Notes on Language and Characters, usually abbreviated to Shuowen) compiled by Xu Shen in the Han Dynasty, “Ru means gentleness—title for shushi (intellectuals).” Qian Mu explained in his On the Ancient History, “Gentleness is the general practice of ru (Confucians), while shushi (the intellects of the school of the learned) is just another title of ru (Confucianism).” That is, the word ru has two meanings—one is “gentleness” (tenderness and mildness); the other is “intellectuals”: people with professional knowledge and skills. In fact, according to the annals of time, the “profession” of the intellectuals was “to assist the rulers in educating the common people to follow the natural laws.” Therefore, ru originally refered to the intellectuals in the fields of religion, politics and education. The early Confucian School also abandoned ancient rituals and witchcraft to develop in two directions. Some Confucians, with their knowledge of rituals and religion, became ministers or assistants to various kings and dukes. After retirement or resignation, they often took on the task of educating young people for the government. Yet others used their knowledge and experience to oversee the rituals of the aristocrats. Confucian teaching also entails moral education, so the Confucians were associated with teachers in the “Earthly Ministry” of The Rites of Zhou. The responsibility of the Confucians, or teachers, was to pacify people and stabilize society through education. This education put an emphasis on teaching about morals but did include the impartment of knowledge.

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The Background of the Founding of the Confucian School It was no coincidence that the Confucian School was founded at a time of social reform, when old ideas were replaced by new ways of thinking. In the late Spring and Autumn Period, as the feudal land system developed and the working conditions changed, the aristocratic system collapsed. State power was transferred downward from the king to the dukes, from dukes to senior officials and from senior officials to lower officials. As Confucius observed, “When tao (just government) prevails in the realm, then ritual, music and military campaigns are all initiated by the emperor. When tao declines in the realm, then ritual, music and military campaigns are initiated by the nobles. When these things are initiated by the nobles, the ruling house will usually lose its power within ten generations. When these things are initiated by the high ministers, the ruling house will usually lose its power within five generations. When they are initiated by the lower officials, the ruling house will lose its power within three generations.” (Book Sixteen, Jishi of the Analects) That is, the faster state power is transferred to the lower classes, the more chaotic the country will be. The time for maintaining state power was shortened from ten generations to five and then to three and this change speeded up the irreversible collapse of the aristocratic system in the Spring and Autumn Period. It was due to this downward transfer of state power that the lower classes were introduced to culture—to avoid trouble, or due to unemployment, the intellectuals and professionals who formerly worked for the government, wandered the countryside as itinerant teachers. The tradition of “learning in the government” gave way to “learning among the common people,” which was the product of social reform in the Spring and Autumn Period. Confucius also followed this trend and is considered to be the forerunner of private education. He studied the rites and ceremonies of puberty, marriage, funeral and sacrifice practiced by aristocratic families since the Western Zhou Dynasty, and incorporated them into a philosophy focused on ethics and education, the two cornerstones of the Confucian School. Confucius is typical of the transition from old ru to new ru. In his later life, Confucius re-directed his energies to compiling and editing the classics from the Shang and Zhou dynasties and initiated the practice of private education. According to “The Biography of Confucius” in The

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Records of the Historian, “Confucius educated his disciples with poetry, classics, ritual and music, and the number of his disciples reached three thousand, among whom there were seventy-two well-versed in the six arts.” And “The Chapter of Strategies” in The Book of the Prince of Huai Nan records: “Confucius studied the practice of King Cheng and King Kang and lectured about the sayings of Duke Zhou to educate seventy disciples, acquainting them with proper dressing and with the classics, and making them the disciples of ru (Confucians).” Confucius’s thoughts were developed into the system of philosophy known to later generations as the Confucian School.

The Division of the Confucian School in Pre-Qin Days After Confucius’s death, his Confucian School split into several different branches. The division was first recorded by Han Fei, a representative of the Legalist School in the late Warring States Period. According to the chapter “On Learning” in Master Han Fei, the Confucian School was divided into eight branches which differed from, and even contradicted, one another in thoughts and opinions. However, they all claimed to represent Confucius and said their ideas came in a direct line from the master. In fact, each branch inherited and developed one aspect of the multi-dimensional Confucian thought. According to Han Fei, the eight branches were—Zizhang, Zisi, Yan Hui, Mencius, Qidiao, Zhongliang, Xunzi, and Yuezheng. The representatives of the eight branches held different opinions and criticized and argued with one another. The arguments among different branches were as intense as those between the Confucian School and other schools. For example, the Branch of Zizhang was relatively radical and expanded the idea of “benevolent governing” to advocating “accepting the talented and tolerating the common people.” They expanded the range of benevolence advocated by Confucius and for this they were criticized and opposed by other branches. Another example is that Xunzi once criticized the Branch of Zisi and the Branch of Mencius by labeling them “numerous talents with huge ambitions and diverse learning and opinions.” Xunzi even accused them of being “nondescript while trying to establish something new; being vague in reasoning and being difficult

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to understand.” (“Contra Twelve Philosophers,” Xunzi). In Xunzi’s opinion, the Branch of Zisi and the Branch of Mencius regarded themselves as the infallible, pretending to be talented, ambitious and learned. The theory of “five elements” that they fabricated was heretical and nondescript; in addition, it was too vague to reason out and too obscure to understand. Despite their differences, however, the eight branches of the Confucian School shared four similarities—they all hailed Confucius as the master; they upheld the Six Classics; they all advocated benevolence and propriety; and they were all committed fully to the precedents set in the times of Yao, Shun, King Wen and King Wu of Zhou. The Han Dynasty Confucian pundit Liu Xin’s summing up of the Confucian School reads, “The Confucians were all from the officials of Situ, assisting the kings and emperors, instructing yin and yang and making the concept of benevolence understood. They all concentrated on the Six Classics, and were fully committed to the precedents set in the times of Yao, Shun, King Wen and King Wu of Zhou; they all hailed Confucius as the master, respecting his remarks and holding tao as the highest ideal” (“The Roll of Art and Letters,” History of the Han Dynasty) This is considered to be the summary of the Confucian School in Chinese history. The development of the Confucian School was enhanced by the different branches in the pre-Qin days, which criticized, complemented and blended with each other.

The Six Classics of the Confucian School The Six Classics are also known as the Six Arts. There are two historical definitions of the Six Arts. One holds that the Six Arts refer to rites, music, archery, charioteering, reading and writing, and arithmetic, the mastery of which was required by the descendants of the aristocratic families. Confucius started the trend for private education by teaching his disciples according to the precepts of the Six Arts. The other definition holds that the Six Arts refer to the major classics of the Confucian School of the pre-Qin Period—The Book of Poetry, The Book of Documents, The Book of Rites, The Book of Music, The Book of Change and The Spring and Autumn Annals. The term “Six Classics” was first mentioned in Zhuangzi. In “The Movements of Heaven” in Zhuangzi, Zhuangzi recorded in a fable what

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Confucius said to Laozi, “Qiu (the name Confucius called himself) had been studying the six classics: The Book of Poetry, The Book of Documents, The Book of Rites, The Book of Music, The Book of Change and The Spring and Autumn Annals.” In fact, it was scholars in the Han Dynasty who named them the Six Classics. Documentary evidence shows that representatives of the pre-Qin Confucian School often cited The Book of Poetry, The Book of Documents, and The Spring and Autumn Annals, which indicates that these documents could be regarded as the major classics of the pre-Qin Confucian School. As recorded in Zhuangzi and The Records of the Historian, the specific contents of the six classics were: “The Book of Poetry describes aspiration; The Book of Documents describes events; The Book of Rites speaks of conduct; The Book of Music speaks of harmony; The Book of Change describes yin and yang; The Spring and Autumn Annals describes hierarchy and strata.” The Six Classics are important documents of the pre-Qin Period, which have been passed down to the present because of revisions by Confucius, propagation by his disciples, the annotations of the Han scholars and their inheritance by scholars through the ages. Of the six, The Book of Music is said to have been burned in the Qin Dynasty, while the other five became the central documents of the Confucian School and traditional Chinese culture. However, some scholars believe that The Book of Music never existed and that knowledge about music was included in The Book of Poetry and The Book of Rites. Although the identities of the authors are a matter of debate, the Six Classics reflect the ability of the people of the time to organize and administer society, their understanding of life and the universe, their rationality, their social relationships and their strong humanism. The Classics have played an important role in the development of Chinese culture. Apart from the Six Classics (now the Five Classics), the Four Books are also major documents of the Confucian School. Han Yu and Li Ao of the Tang Dynasty held the books The Great Learning and The Doctrine of the Mean in great esteem. When Zhu Xi of the Song Dynasty combined them with The Analects of Confucius and Mencius, they were known as the Four Books. After the Southern Song Dynasty, the Five Classics and the Four Books became required reading for imperial examinations and Zhu Xi’s The Variorum of the Four Books was regarded as the authoritative edition. Since then, the Four Books and the Five Classics have become the basic classics of the Confucian School.

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The Life and Teachings of Confucius The Life of Confucius Confucius (551 BC–479 BC), whose given name was Qiu and whose courtesy name was Zhongni, was a thinker, politician, educator and social philosopher in the late Spring and Autumn Period. He was born in the State of Lu, to the southeast of the present Qufu, into an impoverished noble family which had fled from the State of Song. His father, He, also named Shuliang He, was a well-known warrior. “Guliang” in The Spring and Autumn Annals recorded, “Confucius was born in October, the year (according to the Chinese calendar) of Geng (the seventh of the ten Heavenly Stems) Zi (the first of the twelve Earthly Branches).” Therefore, in the Gregorian calendar Confucius’s birthday is believed to be September 28, 551 BC . Young Confucius led a straitened life after his father’s early death. He once said, “I was poor and lowly when I was young, so I am apt at many petty things.” He used to be a clerk in charge of granary and cattle. Poor as he was, Confucius “had his mind bent on learning” at fifteen. He was good at learning from others and once said, “When three men are walking together, there is one who can be my teacher. I pick out the good in people and follow it. When I see their bad points, I correct them in myself.” It is said that, instead of following one particular teacher, Confucius learned about rites from Laodan, music from Changhong, and musical instruments from Shixiang. He acquired knowledge extensively and had an insatiable desire for learning; so others praised him for his immense erudition. At the age of thirty, Confucius “took his stand,” calling together his disciples to give them lectures and engaging in political activities. At the age of fifty, Confucius was nominated as Zhongdu (administrator of Zhongdu, the inner city of the capital of State of Lu), “holding the position for one year and setting the example.” He was promoted to Zaiqiansikong, minister in charge of land, irrigation works and construction projects and then to Dasikou, minister in charge of criminal punishment and security, representing the prime minister. After several years, Confucius resigned because he disapproved of the politics of the King of Lu. He left the state with some ten disciples and spent the next fourteen years journeying around the kingdoms of north-central China. He returned to Lu at the age of sixty-seven.

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The Analects of Confucius Printed in the Tang Dynasty

After going back to the State of Lu, though hailed as the “Father of the State,” Confucius failed to convince the people in power of the wisdom of his political beliefs. In his later years, he devoted himself to education and editing ancient documents, such as The Book of Poetry and The Book of Documents. He also abridged and revised The Spring and Autumn Annals, the first recorded annals, which were written by the official historians of Lu. Confucius died in the sixteenth year of the reign of Duke Ai of Lu and was buried in the north of Lu, on the Si River. His major work is The Analects of Confucius, which was compiled by his disciples many years after his death.

Benevolence and Propriety The concepts “benevolence” and “propriety” are not only central to Confucius’s thought but also essential to Confucian philosophy and ethics. The concept of benevolence comes from “I am benevolent and skillful” in “The Metal-Bound Coffer” in The Book of Documents and refers to such values and virtues as kindness, obedience, skillfulness and ability. In the Confucian ideological system, the core of benevolence is “loving people,” which not only expresses ethical and moral values but is also the succinct generalization of many other virtues. As recorded in Book Twelve of The Analects, “Fan Chi asked about the good ruler. The master said, ‘He loves people.’” Confucius stressed that love begins at home—loving people should be regarded as a moral

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principle that one should practice by loving one’s parents first. Confucius is quoted in The Doctrine of the Mean, “Benevolence is the characteristic element of humanity, and the great exercise of it is in loving relatives.” Other of his teachings further demonstrated this concept: “You yourself desire rank and standing; then help others to get rank and standing. You want to turn your own merits to account; then help others to turn theirs to account.” (Book Six, The Analects); and “Do not do to others what you would not like yourself.” (Book Twelve, The Analects) “Helping others to get rank and standing” and “helping others to turn theirs to account” both aim to bring benefit to others, which is “faithfulness;” what you would not like yourself should not be applied to others, which is “forgiveness.” That is, one should consider others in one’s own place, from one’s own relatives to strangers, from the close to the far, from one’s own family to the wider society, so as to achieve the universal love of “having kindly feelings towards everyone, but seeking the intimacy of the Good” (Book One, The Analects) and “not only conferring wide benefits upon the common people, but also compassing the salvation of the whole State” (Book One, The Analects). Confucius identified the five virtues of reverence, generosity, truthfulness, diligence and kindness and the eight sub-virtues of mildness, goodness, frugality, tolerance, uprightness, directness, respectfulness and sincerity, the practice of which would make people benevolent. “Propriety” is another central idea in Confucian thought. Before Confucius, rites were the decrees and regulations which underpinned the rule of the king. They were often included with religious rituals, such as offering sacrifices to the gods or ancestors, but they did not have implications of morality or value. The concept of propriety originally referred to the religious activities of serving gods and praying for happiness, always associated with sacrificial utensils and rituals. Confucius was the first thinker to examine the essence of propriety and to attach a moral implication to it. In his view, rites are a means to standardize people’s behavior and to regulate inter-personal relationships, making them harmonious and orderly: “The function of propriety is to achieve harmony.” Confucius attached special importance to the relationship between benevolence and propriety, believing that one can practice benevolence only by doing the right thing for the right reason. Benevolence should be the essence of propriety—propriety is only meaningful when it is in

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accordance with benevolence. Confucius said, “If a man does not have benevolence, how can he have propriety?” (Book Three, The Analects) He also said, “He who can himself submit to rites is benevolent. If a ruler could for one day ‘himself submit to rites’, everyone under Heaven would respond to his benevolence, for benevolence is something that must have its source in the ruler himself; it cannot be got from others.” Confucius firmly opposed turning propriety into sheer form, maintaining that people should take the initiative to conform to social norms, thereby attaching the moral implication of benevolence to external propriety. This is the most important contribution that Confucius made to Chinese ethics.

Destiny, Ghosts and Gods Fatalism is a very important concept in the pre-Qin Confucian School, but it appeared early in Chinese history. In ancient times, people could not understand the laws of nature or control their own destiny, so they attributed everything to the will and order of heaven or god. Fatalism was very popular in the Shang Dynasty. The rulers of the Zhou Dynasty inherited this belief in fate, believing that it was god’s will that the king of Zhou should rule the world. The Duke of Zhou, however, believed that god or heaven could change their chosen agent in the human world. The ruler in the human world had to practice virtuous government and yield to public opinion so that he could be permitted by heaven to continue his rule, thereby keeping his divine position. He believed, “The choice of heaven is not certain; the choice of heaven is not connected with relatives; the only thing that matters is benevolence,” and stressed the importance of virtue and the good opinion of the people. His opinion is progressive and of historic significance, but he cannot break away from the belief in the personification of heaven. Confucius expanded the fatalism of the Shang and Zhou dynasties, changing the personification of heaven into the heaven of destiny. So he sometimes regarded heaven as the dominator with his own will, believing that “life and death are a matter of destiny; wealth and honor depend on heaven” and that “He who has put himself in the wrong with heaven has no means of expiation left.” But more often he equated heaven with nature, saying, “heaven does not speak; yet the four seasons run their course thereby, the hundred creatures, each after its kind, are

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born thereby.” Confucius also talked about destiny and considered it as an alien power that could not be resisted, saying, “If it is the will of heaven that tao shall prevail, then the way will prevail. But if it is the will of heaven that tao will perish, then it must perish.” Although fate is inevitable, Confucius did not believe in attempting nothing and accomplishing nothing. He pointed out, “At fifty, I knew what the biddings of heaven were.” (Book Two, The Analects) and, “He who does not understand the will of heaven cannot be regarded as a gentleman.” (Book Twenty, The Analects) —after finding out one’s destiny, one should accept it on the one hand and work hard on the other. Confucius modernized traditional ideas about ghosts and gods and adopted a realistic attitude towards them. When his disciples asked him questions about ghosts, gods, life and death, he answered, “Till you have learned to serve men, how can you serve ghosts?” and, “Till you know about living, how are you to know about the dead?” (Book Eleven, The Analects) He did not approve of the traditional theocracy of the Shang and Zhou dynasties, maintaining, “He who devotes himself to securing for his subjects what is right they should have, who by respect for the Spirits keeps them at a distance.” (Book Six, The Analects) He opposed the superstitious activities of praying for happiness and blessing and introduced the realistic traditions of the Confucian School.

Theory of Education Confucius started private education in China and devoted himself to educational causes; he was styled Master Kong or The Ultimate Sage of China by later generations. Confucius was first and foremost an educator, whose theories and principles of education exerted a great influence on Chinese history. Confucius’s theory of education embraced many aspects, but on the whole, moral education took priority. The general principle of his educational thoughts is, “Set your heart upon tao, support yourself by its power, lean upon Benevolence, seek distraction in the arts.” (Book Seven, The Analects) He believed that the purpose of education is to give people ideals and principles; the aim of education is to cultivate people’s sentiment, to develop its noble character, and to improve awareness of benevolence. The specific courses of education are the six arts of rites, music, archery, charioteering, reading and writing, and arithmetics. He put equal stress on benevolence and loftiness and regards them as the highest

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state of moral education. The main tenets of his moral education are benevolence, propriety and such items as, filial piety, love and respect (for one’s elder brothers), faithfulness, forgiveness, trust and righteousness. Intellectual education is to impart knowledge and develop intellect, both of which must be based on the love for learning. Confucius said, “Love of benevolence without love of learning degenerates into silliness. Love of wisdom without love of learning degenerates into utter lack of principle. Love of keeping promises without love of learning degenerates into villainy. Love of uprightness without love of learning degenerates into harshness. Love of courage without love of learning degenerates into turbulence. Love of courage without love of learning degenerates into mere recklessness.” (Book Seventeen, The Analects) These so-called “Six Sayings” and “Six Degenerations” reveal the stress that Confucius put upon intellectual education. By “love of learning,” Confucius also meant both practice and application. At the beginning of The Analects, he pointed out, “To learn and at due times to repeat what one has learnt, is that not after all a pleasure?” Learning requires the application of knowledge, but it should also be combined with thinking. In Confucius’s view, “He who learns but does not think is lost. He who thinks but does not learn is in great danger.” (Book Two of The Analects) Learning, going hand in hand with thinking, can improve knowledge and develop intellect. Confucius especially favored a method of teaching which embodied the integration of learning and thinking. Confucius said, “Only one who bursts with eagerness do I instruct; only one who bubbles with excitement, do I enlighten. If I hold up one corner and a man cannot come back to me with the other three, I do not continue the lesson” (Book Seven, The Analects) Confucius believed that esthetic judgment and the arts can play a special role in people’s self-cultivation to reach the spiritual state of benevolence. He said, “To prefer it is better than only to know it. To delight in it is better than merely to prefer it.” (Book Six, The Analects). He believed that the arts occupies a very important position in education. Confucius was the first thinker in Chinese history to emphasize and advocate esthetic education.

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Confucius’s Contributions to Chinese Culture and his Place in History Confucius made three significant contributions to Chinese culture. First, he organized and revised the Six Classics. Before Confucius, the contents of the Six Arts or the Six Classics had been used as political guides by the aristocrats but these were neither well-organized nor systematic. The sorting and revisions by Confucius made them systematic and complete, which in turn provided theoretical support for traditional Chinese politics and ideology. Second, Confucius established a precedent for private education and spread to the common people the ancient documents and traditional academic ideas which were formerly monopolized by the upper class. This in turn created favorable conditions for the appearance of the intelligentsia class and the dissemination of education. Third, Confucius followed the precedents in the Six Arts and broke away from the belief in ghosts and gods. He was enthusiastic and concerned about social reality and moral ideals, which laid the foundation for the Confucian tradition of attaching importance to benevolence and realism. Confucius was an erudite thinker and educator in the Spring and Autumn Period and is now considered a great sage. However, before China was united in the Qin Dynasty, Confucius and the Confucian School were not appreciated by the rulers of that time. Confucius spent his whole life “rushing around in a state of anxiety and not being able to sit long enough to warm the seat.” However, after the Han Dynasty, the position of Confucius and the Confucian School changed. Emperor Wu of the Han Dynasty adopted Dong Zhongshu’s cultural policy and decreed that all the non-Confucian schools be proscribed and that the Confucian School be espoused as the orthodox state ideology. This established Confucius’s position as the most honored and revered sage in Chinese history. The thoughts of Confucius greatly influenced ancient Chinese philosophy, literature, history, education, arts, ethics, estheticism, political system and political theories. As early as the third century BC , The Analects, which recorded his sayings and activities, was read outside China. Since the eighteenth century, it has been translated into dozens of foreign languages and has exerted influence world-wide.

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Mencius The Life Story of Mencius Mencius (?372 BC–?289 BC), had the given name Ke and the courtesy name Zixing. He was a thinker, politician and educator in the Warring States Period as well as a representative of the pre-Qin Confucian School. He was born in Zou city in Shandong Province and received instruction from the students of Zisi. In his early years, he went to Jixia and served in the court of King Xuan of the State of Qi. However, he left for the State of Liang, because his proposals were not accepted. After teaching King Hui of Liang the concepts of “the benevolent and the right,” he left Liang. In his middle age, he traveled to such states as Qi, Song, Teng and Wei, promoting his thoughts and doctrines. At that time, Shang Yang occupied an important position in Qin, Wu Qi in Chu and Sun Bin in Qi. All these states were preoccupied with forming alliances with states far and near, with warfare central to their policies. However, as Mencius followed the virtues of the peaceful and prosperous ancient dynasties of Tong Rao, Yu Shun and Xia Yu, his teachings were unpopular. In his later years, together with his disciples Wang Zhang and Gongsun Chou, he was engaged in writing and compiling books, founding new doctrines, teaching his disciples and giving lectures. He claimed, “But what I wish to do is to learn to be like Confucius” by “writing prefaces for The Book of Poetry and The Book of Documents to express what Confucius meant.” He wrote Mencius, which has seven books in all. Later, Mencius, taken as one of the most important classics of the Confucian School, entered the list of the “Four Books” and the “Thirteen Classics.” In his lifetime, Mencius held Confucius in great esteem and spared no effort to spread and to promote the thoughts of Confucius. He was respected as the Second Sage (second only to Confucius), enjoying sacrifices together with Confucius in the Confucius Temple. The doctrines of the Confucian School were called “the doctrines of Confucius and Mencius.” Mencius held a very important position in the Confucian School and his doctrines exerted a great influence on later generations. The main feature of the Mencius doctrine is to explain his heartfelt concept of benevolence and to practice benevolence righteously.

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He established a more systematic theory of benevolence than that of Confucius, bringing the Confucian School to a new phase of development.

On Benevolent Government Mencius developed and improved Confucius’s theories of ruling through propriety and benevolence, and introduced the concept of benevolent government, which is regarded as the center of his political thought. Concerning the economy, Mencius proposed that every farmer should have land of his own and proposed that the square-field system should be implemented through “the boundaries that have been defined correctly.” He also believed in the concept of public land—that is, each farming household should have its own land and a group of households should join together to farm the public land. (The land of one square li (traditional unit of length, one li equals to five hundred meters) was regarded as nine hundred mu (unit of land measure, one mu equals to 666.67 square meters). The one hundred mu in the middle was the public land and the rest eight hundred mu was distributed to eight farming households. The people in one household cultivated one hundred mu their own land and the eight households cultivated the one hundred

Mencius Printed in the Song Dynasty

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mu of public land together, provided that they should finish the public land first and then work on their own land. “The farmers had the land of their own, being able to set their minds to production so that they would have enough to support their parents and their own children. In good years they would eat their full, and in bad years they would never starve.” (Book One, Mencius) In politics, Mencius bore in mind the public will of the people. He wrote, “If Your Majesty will indeed dispense a benevolent government to the people, being sparing in the use of punishments and fines, and making the taxes and levies light, so causing that the fields shall be ploughed deep, and the weeding of them be carefully attended to, and that the strong-bodied, during their days of leisure, shall cultivate their filial piety, fraternal respectfulness, sincerity, and truthfulness, serving thereby, at home, their fathers and elder brothers, and, abroad, their elders and superiors—you will then have people who can be employed, with sticks which they have prepared, to oppose the strong mail and sharp weapons of the troops of Qin and Chu.” (Book One, Mencius) Mencius compared Heaven’s favorable weather and Earth’s advantageous terrain with human unity, believing that civic unity is the decisive factor in the success of a ruler. In order to win the goodwill of the public, liberal political policies must be introduced and despotic rule must be replaced by benevolent government. He suggested, “When you use your power to force people into submission, they will never submit with their hearts; it is only because they don’t have enough strength to resist. When people submit to virtue, they are happy from the bottom of their hearts, and they submit sincerely.” (Book Two, Mencius) Mencius denounced those ruthless rulers who did not practice benevolent government as tyrants and enemies of the people. He fully realized the importance of the goodwill of the people and put forward the thought of prizing the people and belittling the kings by saying, “The people are the most important element in a nation; the spirits of the land and grain are the next; the sovereign is the lightest.” (Book Seven, Mencius) This laid a foundation for the humanism of the Confucian School. Later, the Confucians attached great importance to the inclination of popular will, which originated from the doctrine of benevolent government advocated by Mencius.

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Human Nature Is Good The Confucians in the pre-Qin Period were preoccupied by the problem of whether human nature is good or evil. Mencius maintained that man is good by nature, that human beings are born with a common quality— “goodness of nature” or a “heart that is sensitive to the sufferings of others,” so we can pity and sympathize with others. To illustrate his point, he argued that anyone who suddenly saw a child about to fall into a well would feel alarmed and concerned. It would not be because he wanted to improve his relations with the child’s parents, nor to win praise from his friends and neighbors, nor because he disliked hearing the child’s noisy crying. Rather, it would be because all humans have a heart-mind that feels for others. The four basic qualities of the heart-mind—sympathy, shame, deference and judgment—are known as the four cardinal virtues upon which Mencius’ theory of the goodness of human nature is based. For Mencius, man differs from other animals because he has these virtues. In his opinion, if a person is not good, we should not say that he was born without a good nature, but that he has lost it. If a person behaves badly, he should examine himself to see whether he has lost his basic heartmind qualities and try to restore his human nature. If a person reflects upon his behavior and finds that everything he has done is in accordance with inherent moral principles, he will have the greatest happiness. As Mencius said, “There is no greater delight than to be conscious of sincerity on self-examination.” Mencius’s theory of the goodness of human nature exerted a great influence on traditional ideology, and “man is born well” is in the first sentence in Three Character Classic, which was the textbook in common use in private schools for children after the Song Dynasty. The theory of the goodness of human nature is considered to be the basic concept of the Confucian School.

Unity of Man and Heaven Mencius believed that the heart plays a key role in advocating inherent moral principles and in enhancing the innate ability to tell right from wrong and good from evil. His theory was that man and Heaven are united in this regard.

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As for what the “heart” is, Mencius believed: “To the heart belongs the office of thinking.” The function of the heart is to think. It is different from the organs like ears and eyes in that “the senses of hearing and seeing do not think, and are obscured by external things.” Our knowledge and understanding of reality depend on the thinking of the heart, “By thinking, it gets the right view of things; by neglecting to think, it fails to do this.” (Book Six, Mencius) In Mencius’s view, if a person fully utilizes the function of the heart, he will understand his own nature and in turn understand the God’s will and Heavenly laws: “He who has exhausted all his heart knows his nature. Knowing his nature, he knows heaven.” (Book Seven, Part One of Mencius) In this way, Mencius expounded on the unity of man and nature from the angle of epistemology. According to Mencius, heart, nature and heaven can be united as a whole, because the goodness of human nature is given by heaven. One can understand the ways of heaven by means of understanding one’s own good nature, and eventually reach the highest state of “flowing abroad, above and beneath, like that of heaven and earth,” through “exhausting all one’s heart,” cultivating one’s moral character and nourishing one’s inborn nature. Mencius believed that there is a great moral force between heaven and earth: “It is exceedingly great, and exceedingly strong. Being nourished by rectitude, and sustaining no injury, it fills up all between heaven and earth.” (Book Two, Part One of Mencius) With the help of this force, one can foster in oneself the spirit of a virtuous man with these characteristics: “not to be dissipated by the wealth and rank, not to give up his ambition in poverty and humble circumstances, not to to be intimidated by force.” Mencius pursued the moral force and unity of man and nature persistently, which provided a cultural heritage for benevolent and righteous persons and helped them to establish moral principles and develop a noble character.

Xunzi The Life Story of Xunzi Xunzi (?313 BC–?238 BC) was a thinker and educator in the late Warring States Period and is another representative of the pre-Qin Confucian

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Xunzi Printed in the Qing Dynasty

School. He was born in the state of Zhao and named Kuang; his courtesy name was Qing. When he was young, he studied in the State of Qi and took part in academic and political consultative activities in the institute in Jixia; he was highly regarded by the other scholars. After being maliciously accused, he left for the State of Chu in the last years of the reign of King Min. In the forty-fourth year of the reign of King Zhao (266 BC), he went to the State of Qin upon the invitation of the king. He lavished praise on the phenomena that “the customs and mores of the Hundred Clans were unspoiled and the Hundred Officials sternly attended to their functions,” saying that “these are the perfection of government.” (“On Strengthening the State,” Xunzi) He spoke highly of the simple and sincere customs of people, the clean administration of the local officials and the superb government of the country. After that, he returned to the State of Zhao and debated the principles of warfare with Sir Linwu, a general from Chu, saying that “it was a general principle that the fundamental requirement to be met before using the army in attacks and campaigns was the unification of people, and hence to be good at winning the support of the people is also to be expert in the use of the army” (“Debate on the Principles of Warfare,” Xunzi). He stressed that the decisive element in the success or failure of a war lies in the unity and inclination of the populace, holding that “the army commanded by the humane man” should be used.

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Soon after, Xunzi left Zhao for Chu, where he was favored by the Prime Minister, Sir Chunshen, given the name Huang Xie, and appointed as county magistrate of Lanlin in Shandong province. He left office and stayed in Lanlin after the death of Sir Chunshen, devoting his remaining years to writing books. There are thirty articles in the extant Xunzi, which follows the Confucian School while also incorporating the merits of the Daoist, Mohist, Logicians and Legalist schools. The book is regarded as a summary of academic thought in the late Warring States Period and it occupies an important position in the histories of Chinese philosophy, ideology and the Confucian School.

Exalting Ritual Principles and Stressing Law While Mencius devoted his major efforts to improving and promoting Confucius’s ideas of benevolence, Xunzi concentrated on his notions of propriety. At the same time, he took in the Legalists’ ideas of stressing law and put forward the proposal of attaching due importance to both ritual and law, in favor of ruling by both benevolence and military force, which laid a theoretical foundation for the emergence of a unified country in the late Warring States Period. Different from the propriety of Confucius, his ritual became the class system of feudalism, after being modified with the addition of some new ideas. It conformed to the way China was developing at that time. From Xunzi’s viewpoint, it is absolutely imperative to establish a unified social system and to set moral standards because “a man without ritual will not live; an undertaking lacking ritual will not be completed; and a nation without ritual will not be tranquil” (“On self-Cultivation,” Xunzi). As the class system and social norm, ritual is indispensable to life, society and country. The function of ritual is to distinguish the rich from the poor, the noble from the humble, the old from the young, and men from women and at the same time it is also the ruler’s criterion for judging his officials. Xunxi said, “Ritual principles are the inch, foot, double yard, and great yard to the ruler of men for the measurement of his servants; and these grades encompass all the grades of men.” (The Teachings of Confucianism)

As for the law, Xunzi, after absorbing the Legalists’ ideas, considered it to be the necessary tool for governing the country. Only after the law is perfected can it supplement and complement ritual principles; and with the help of the two, the country and society can be kept on the right

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track—“if the ritual principles are exalted and law is stressed, the state will last long.” Xunxi also stated: “The law is the first manifestation of order” and “(A lord of men) who exalts ritual principles and honors worthy men will become a true king; one who stresses law and loves the people will become lord-protector” (“On Strengthening the State,” Xunzi). Only after ritual and law are combined together can the country become prosperous and strong. Regarding the relationship between ritual and law, Xunzi believed that ritual served as the basic principle and foundation of law. He said, “The ritual contains the model for the primary social distinctions and the categories used by analogical extension for the guiding rules and ordering norms of behavior” (“An Exhortation to Learning,” Xunzi) here, “the primary social distinctions” refer to the general principles and the “analogical extension” to analogy and analogizing. That is, ritual provides the general principles for instituting the law and detailed outlines for the rules and regulations derived from law. It can be seen that Xunzi attached great importance to law, but he differed from the Legalists in that he did not focus solely on law and neglected everything else. On the contrary, he put law under the command of ritual, which shows clearly his Confucian stand. Xunzi emphasized the importance of grouping and division in human society. He asked why human beings could control and drive cattle and horses while having neither the strength of cattle nor the speed of horses. The reason, he believed, is that humans form social groups, dividing themselves according to class and professions. They can make this division because they have the social system and moral codes to protect and restrain themselves. Xunzi inherited the Confucian ideas of being human-oriented, as his well-known metaphor shows: “The lord is the boat; his subjects the water. It is the water that sustains the boat, and it is the water that capsizes the boat.” (“On the Regulations of a King,” Xunzi) People are to the rulers what water is to the boat. Water can carry the boat, but when big waves surge on the sea, water can submerge the boat.

Human Nature Is Evil As for human nature, Xunzi disagreed with Mencius’s belief in the inherent goodness of human nature, arguing instead that human nature is bad. This was the basis of his philosophy that ritual roles and practices

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are necessary for a stable society. First, Xunzi proposed that “human nature is what heaven supplies” (“Man’s Nature is Evil”) and “what from birth is effortless and spontaneous is called nature” (“On the Correct Use of Names”). “Human nature” refers to the behavioral traits shared by all humans: “What characterizes a man from birth is called his nature” (“On the Correct Use of Names”) . Nature includes everything that is associated with human physiological needs, Xunzi said: “Now, it is the inborn nature of man that when hungry he desires something to eat, that when cold he wants warm clothing, and that when weary he desires rest—such are essential qualities inherent in his nature” (“Man’s Nature is Evil”). In his view, humans lack an innate moral compass and, without ritual, their desires will be uncontrollable and they will fall into disorder and conflict; therefore, human nature is bad. If human nature is evil, then how can we explain moral behavior? Xunzi said, “It is plain that human nature is evil and that any good in human beings is acquired by conscious activity,” (“Man’s Nature is Evil”) and here “conscious activity” refers to human exertion. Xunzi thought, like Mencius, that nobody is born with moral principles and it is individuals themselves who have to make the effort to reform. To counter Mencius’s argument that human nature is good, Xunzi illustrated the relationship between human nature and social morality by classifying them respectively as inborn nature and human exertion. He stressed the differences between inborn nature and human exertion, stating that human nature is based on the physiological functions of the human body and reflected as the desire for material comfort, while social norms are to limit and regulate this desire; therefore, the two are the opposites in unity. “If there were no inborn nature, there would be nothing for conscious exertion to improve; if there were no conscious exertion, then inborn nature could not refine itself. . . when inborn nature and conscious activity are joined, the world is made orderly.” (“Discourse on Ritual Principles”) That is, if human beings had no nature, they would not have to be transformed with social norms and in turn human nature could not be turned from evil to good. The sage should play a key role in combining inborn nature and human exertion to make them a unity. Xunzi expounded on this opposing but unified relationship between nature and human exertion, and laid special stress on the transformation of human nature. He put forward his ideas that “(the sage) by transforming his original nature develops his acquired nature” and that

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“A man in the street can become a King Yu”—that is, everyone has the opportunity to transform his nature and become a sage. At the same time, it is necessary to emphasize the importance of ritual principles and law to counter innate human nature; thus, Xunzi’s argument that human nature is evil was the foundation for his social and political ideas.

Regulating and Using What Heaven has Mandated Regarding the relationship between heaven and man, Xunzi reworked Confucius’s idea of fatalism, summarizing the debates over the relationship between heaven and man from the pre-Qin Period. His greatest contribution was to put forward such ideas as, “understanding the division between nature and mankind,” “constant principles underlying heaven’s behavior” and “regulating what heaven has mandated and using it.” He said that constant principles underlie heaven’s behavior. Heaven does not prevail because you are the sage Yao or disappear because you are the tyrant Jie. (“Discourse on Nature”) Rather, it means that behind the behavior of heaven, there is a law, which exists objectively, independent of human will. He is opposed to the idea that heaven is the dictator with its own will and that heaven can interfere in human affairs. He maintained that we should “understand the division between Nature and mankind,” meaning that heaven and man have their respective jobs and features, so they cannot replace each other. Heaven is a natural phenomenon without consciousness and, “heaven does not suspend the winter because men dislike cold weather. Earth does not reduce its broad expanse because men dislike long distances.” (“Discourse on Nature”) And, “heaven possesses a constant way; earth has an invariable size;” human beings have ideas, purposes and wills. Therefore, as for the relationship between man and heaven, Xunzi firmly believed that we should “regulate what heaven has mandated and use it,” meaning that we should fully exert our subjective initiative so as to come to understand and make use of the objective law to bring benefit to man. This saying of Xunzi’s, for the first time in Chinese history, gave expression to the idea that man is able to conquer nature. In addition, Xunzi proposed the epistemology of “the mind knowing the way by its emptiness, unity and stillness,” the educational thought that “though blue dye comes from the indigo plant, it is bluer than indigo,” the historical outlook of “following the example of the present

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rulers” and a series of logical ideas. He absorbed all that was good in the different philosophies of the pre-Qin Period and his influence upon later generations is manifold. He considered ideas from exponents of different schools of thought and was not hampered by one particular doctrine or statement. His version of Confucianism is comprehensive and systematic, covering political theory, ethics metaphysics, language and education, and is still of interest today.

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道 CHAPTER ELEVEN

The Taoist School in the Pre-Qin Period A Brief Account of the Taoist School in the Pre-Qin Period

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Laozi

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Yang Zhu and Liezi

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The Huang–Lao Tradition

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Zhuangzi

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The Position and Influence of the Taoist School in the Pre-Qin Period

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Free-style calligraphy of“道”(tao) means “origin of the universe” in Chinese

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Traditional Chinese culture is often generalized as the three schools of Confucianism, Buddhism and Taoism, among which Taoism refers to both the Taoist School and the Taoist Religion. The Taoist School and the Taoist Religion differ from each other in that the former is a school of philosophy while the latter is a religion, but both originated from the Taoist School in the pre-Qin Period. In the contention of the “hundred schools of thought” in the pre-Qin Period, Taoism neither won over as many disciples as the Confucian School or the Mohist School nor became a famous school of thought. However, it understood and explained the cosmos, society and life in a unique way, with its value and vitality ever present in the course of historical development.

A Brief Account of the Taoist School in the Pre-Qin Period The Branches of the Taoist School Taoism originated with Laozi in the late Spring and Autumn Period, but the Taoist School did not come into being until the pre-Qin Period. In the early Han Dynasty, the word “Taoism” was first applied to the school of thought started by Laozi. At that time, the Taoist School was also called the School of Morality. Sima Tan, a historian in the Western Han Dynasty and the father of the famous historian Sima Qian, wrote an article entitled “A Gist of the Six Schools of Thought,” in which he summed up the schools of thought in the pre-Qin Period as the Taoist School, the Confucian School, the Mohist School, the Logician School, the Legalist School and the Yin and Yang School. He also elaborated on their essential ideas, as well as their merits and demerits. He spoke highly of the Taoist School because Taoism was enjoying great popularity at that time, and also because he was a follower of Taoism. According to him, the Taoist School embraced the merits of the other five schools but avoided their demerits, so one could achieve twice the result with half the effort if one ruled over the state and cultivated one’s moral character with Taoism. The Taoist School mentioned by Sima Tan actually refers to Huang– Lao, which is one of the branches of the Taoist School. Generally speaking, each school of thought in the pre-Qin Period split into different branches. It is said in “The Famous School of Thought” of

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Han Feizi that the Confucian School split into eight branches; while the Mohist School split into three; and the Taoist School is no exception. There are thirty-seven Taoist works, altogether 993 articles, contained in The Roll of Art and Letters of History of the Han Dynasty compiled by Ban Gu in the Eastern Han Dynasty, most of which were written in the pre-Qin Period. By classifying the articles, we can identify such branches of the Taoist School as the Laozi branch, the Zhuangzi branch, the Huang–Lao Tradition, the Yang Zhu branch and the Liezi branch. In fact, this classification was made by later generations rather than by people at the time. Different branches laid special emphasis on different aspects, such as ruling over the states and cultivating one’s moral character; since they all belonged to the Taoist School, they naturally had something in common, which contained the general features of the Taoist School. The main features are such ideas as taking tao as the origin of all creation and force, non-action, an intense affirmation of life and rejection of external concerns, for which different branches had different understandings and interpretations.

Tao as the Origin of All Creation and Force The reason the Taoist School acquired its name is that it takes tao as the core of its thought. Although other schools also talk about tao, they all attach special importance to human affairs, namely, the “way of the human.” The tao of the Taoist School is unique in that it evolved from the way of heaven but differs from it. Generally speaking, the way of heaven refers to the orbits and rules of the movements of the celestial bodies, such as the sun, the moon and stars, while tao is the origin of all creation and force in the universe. This idea, with Laozi’s exposition, was adhered to by all the branches of this school and eventually became one of the essential principles of Taoism, although different branches differed somewhat in their interpretation of this principle. It was because of the Taoist School’s reflections on the origin of creation that the concept of metaphysics was introduced to Chinese philosophical scholars.

Following Nature and Taking Non-Action The concept of tao was put forward to solve the problems of society, politics and life; thus with specific elaborations, all the branches of the Taoist School insist that non-action should be one of the major characteristics of tao. In terms of the different problems concerned, non-

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action can be considered both as a way of ruling over the state and as an attitude toward life. As a way of ruling a state, non-action requires that the ruler should disregard his own will and desire but let the people follow their own paths. With this as a prerequisite, different branches of the Taoist School had various interpretations of the concept of nonaction. As an attitude toward life, non-action has the same implications as the “wandering” of Zhuangzi, referring to a free and unconstrained life.

Affirmation of Life and Rejection of External Concerns All the branches of the Taoist School valued life above external concerns, especially above high official positions and wealth. From Laozi onward, Taoist scholars stressed the importance of life over fame and wealth and advised the rulers to value and cherish life. Later, all the branches respectively developed the idea of the affirmation of life and the rejection of external concerns. The Yang Zhu branch pushed the idea to the extreme by advocating that “I would not try to benefit the world if I have to pluck off one hair for that,” while the Zhuangzi branch gave priority to the pursuit of spiritual freedom. In terms of their doctrines, the Taoist scholars were all committed to self-cultivation and state-ruling. Although all the Taoist branches sought the harmony and unity of these two aspects, each emphasized one particular aspect; generally speaking, the Huang–Lao Tradition paid more attention to state-ruling, whereas the Zhuangzi branch tended to focus on self-cultivation and the pursuit of spiritual freedom.

Laozi The Life Story of Laozi There are different views in academic circles concerning the life story of Laozi and when the book Laozi was written; the following introduction is based on the accounts in The Records of the Historian. Laozi (?604 BC–?531 BC), a contemporary of Confucius, is the founder of Taoism. He was born in Li Town, Ku County (in the present Henan Province) and was given the name Li Er, although people preferred to call him Lao Dan in the Warring States Period. Later, he went to Luoyang, the capital of the Zhou Dynasty, to be an official historian. There he

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Laozi, written on silk (Han Dynasty)

met Confucius, who consulted him on his knowledge of rituals. Laozi, therefore, could be considered one of the teachers of Confucius. Laozi served as an official historian for many years but eventually resigned because of his disappointment in the decline of the Zhou Dynasty. It is said that before he set off westward out of the Tongguan Pass, he wrote the five-thousand-word book Laozi at the request of Guan Yin. The book was called The Classic of Tao and Virtue (Dao De Jing) by later generations. Originally, the book was not divided into different sections and scholars did not determine the arrangement of the sections until the Han Dynasty. Later, it was common practice to divide the book into eighty-one sections and that is the Laozi we read today. The life of Laozi could roughly be divided into the periods of life as an official historian and life as a hermit. As an official historian, he accrued an extensive knowledge of nature, society and life because his job was closely related to the laws of Heaven, rules of etiquette and the study of history. His wide knowledge led him to become a consultant to the king and the aristocrats, and this led to his involvement in politics. His experience of a hermit-style life helped him break away from the bounds of his profession and gave him the intellectual ability to reflect freely on social reality. Thus, the profound thoughts reflected in The Classic of Tao and Virtue could be attributed to his extensive knowledge,

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his free thinking and the experience of living in a turbulent society. Some scholars used to think that Laozi may have been written in the late Warring States Period; however, in recent years, Laozi was found inscribed on the bamboo strips excavated in a Chu tomb of the middle Warring States Period in Jingmen, Hubei province, which proves that it was written earlier.

Tao Tao, one of the most important concepts in Laozi’s philosophy, is rich in its connotation. First, tao, as the origin of the Universe, came into being before heaven and earth; and from tao came the whole of creation. Laozi sometimes described tao as the mother of all things and at other times called it a mysterious female. Second, tao is the blending of being and non-being, or the union of the two. Third, tao is mobile and changeable, and during its movement, being and non-being give birth to each other and are transformed into each other. Laozi also at times called this transformation “reversal,” which means both opposition and return. Finally, tao has the qualities of non-action and softness, both of which can be followed by human beings.

“Taking No Action” and “Following Nature” Laozi considered non-action both as a quality of tao and as the highest state of moral integrity. However, no specific definition is given as to what non-action is in The Classic of Tao and Virtue; its implication can be inferred from the sentence: “He helps everything to stay in its natural way, and constantly refrains from any interference.” “Helping everything to stay in its natural way” means to let things take their own course; while “refraining from any interference” requires people to restrain their desires and not destroy the natural condition of all the things of creation, the basis of Laozi’s idea that “tao patterns itself after its own nature.” In ancient China, the word “nature” did not mean the natural world, which was then considered to be heaven, earth and the whole of creation. The general opinion is that nature in Laozi refers to the original state of creation. Thus, “tao patterns itself after its own nature” means that tao lets itself take its own course. In The Classic of Tao and Virtue, “nonaction” and “nature” are closely related and the two concepts are often applied to politics. “Non-action,” as a requirement for the ruler, means that the king should check his own desires and refrain from interfering

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in people’s affairs; “nature” refers to the independent state of the people under the condition that the king takes no action. Therefore, if the ruler “takes no action,” the people will “follow nature.”

“Being Soft and Weak” and “Avoiding Competition” When later generations commented on the thoughts of Laozi, they frequently stressed that he advocated being soft and weak, which is entailed in non-action. Unlike most people, who consider that being hard and strong is a virtue, Laozi recognized the value of being soft and weak. In The Classic of Tao and Virtue, Laozi said, “Weakness is the strength of tao,” regarding weakness as the quality and function of tao. Tao can persist and endure because it is soft and weak; being soft and weak is the symbol of life, instead of being hard and strong. For example, humans are born supple and soft but are still and hard at death. When alive, grass and trees are limber and lithe but they are withered and dry at death. Again, the tongue can last long because it is soft while the teeth are easy to break because they are hard. Laozi tried to prove that the soft and weak can overcome the hard and strong by using the example of water: “Nothing is softer and weaker than water; yet nothing surpasses it in attacking the hard and strong; nothing is its equal.” From the proposition of valuing the soft and weak, Laozi went on to put forward his political strategy and his belief in staying in the background and avoiding competition. In The Classic of Tao and Virtue, the statement about the “three treasures” refers to “compassion,” “restraint” and “humility,” but these three are the means instead of the end. Laozi said, “From compassion comes courage; from restraint comes generosity; from humility comes leadership”—courage, generosity and leadership are the goals to be achieved. The fact that Laozi valued the soft and weak and avoided competition does not imply that he was cowardly or passive; instead, he retreated in order to advance and discover the hard in the soft and the strong in the weak, which he believed to be the wisdom of life and the strategy for progress. In The Classic of Tao and Virtue, he said, “The sage withdraws but still shines forth; he denies himself and thus is saved; is it not because of his selflessness that he has attained his purpose?” That is to say, the sage lives in society by choosing to stay in the background but by doing so is, in reality, in the foreground; he saves his own life by disregarding it and accomplishes his personal goals by being selfless.

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This is the dialectical wisdom which tells us that “being” itself is the product of “non-being” and teaches us to make apparent concessions in order to gain actual advantages. Laozi held that the two opposites that make up a contradiction, such as being and non-being, early and late, good fortune and bad fortune, soft and hard, weak and strong, are mutually transformable. This was his understanding of the wisdom of life, although it appeared to contradict common sense, which values strength and hardness. In Laozi’s view, however, “the soft and weak overcomes the hard and strong.” Some scholars used to think that Laozi’s philosophy was essentially about the art of ruling and therefore The Classic of Tao and Virtue was a book for the rulers; others thought it was a book on the art of war. Both opinions are reasonable in that parts of the book are indeed concerned with the art of state ruling and the art of war. But taken as a whole, The Classic of Tao and Virtue is a book on philosophy because instead of being confined to rule and war, the wisdom in the book is universal. Thus, in the course of historical development, people can illustrate the thought of Laozi from a variety of angles. The different interpretations of the Taoist School present different aspects to different people.

Yang Zhu and Liezi Yang Zhu and Liezi, important representative figures of the Taoist School after Laozi, were born in the states of Wei and Zheng respectively, and lived on the Central Plains in the early Warring States Period. One anecdote identified Yang Zhu as a disciple of Laozi, but it may not be reliable. Liezi was once a disciple of Guan Yin and was greatly influenced by his ideas.

The Selfishness of Yang Zhu Yang Zhu’s thought centered around the notions of “affirmation of life and rejection of external concerns,” and “preserving one’s nature, maintaining one’s essence and not exhausting one’s body for wealth.” “To reject external concerns” and “not to exhaust oneself for external concerns” is to disregard such worldly concerns, as official positions and wealth; “to affirm one’s life” and “to preserve one’s nature and maintain one’s essence” is to value one’s own life and nature. One of his most

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famous quotations is, “I would not try to benefit the world if I have to pluck off one hair for that”: that is, he would not lift a finger to benefit the world if that damaged a hair on his body. Yang Zhu expounded on this proposition—one hair is negligible, but the skin is built up of numerous hairs and the bones are built up on the skin. Thus, if a person sacrificed one hair for external concerns, he might lose his life as well. This attitude of valuing life and personal interests to the extreme is also called “self-centeredness” or “selfishness,” which is the opposite of Mozi’s theory of “universal love.” Contrary to Yang Zhu, Mozi advocated that we should learn from King Yu who wore himself out serving the interests of others. These are two entirely different attitudes towards life. Viewed from the tradition of the Taoist School, the notion of “affirmation of life and rejection of external concerns” can be dated back to Laozi and in The Classic of Tao and Virtue, Laozi tried to show that life is more important than name and wealth by asking the questions: “Which is more precious, your name or your life? Which is more valuable, your life or your wealth?” Yang Zhu pushed this notion further by emphasizing the concepts of “self-centeredness,” “selfishness,” “preserving one’s nature and maintaining essence” and “not exhausting one’s body for external concerns,” which have the implications of both valuing life and personal interests and cherishing self-independence. Mencius accused Yang Zhu of not recognizing the authority of his ruler, which may indicate that Yang Zhu was anti-authoritarian. Yang Zhu’s ideas had so great an influence in the Warring States Period that Mencius said that quotations from Yang Zhu and Mo Di “filled the whole world” and that all the popular sayings were either from Yang or from Mo. Among Yang Zhu’s disciples were Zihuazi, Zhan He and Wei Mou who developed and continued Yang Zhu’s philosophy, although they focused more on the meaning of life. Zihuazi evaluated the quality of life by the degree to which one’s desires are satisfied. He believed that a wholesome life refers to one in which all six desires are properly satisfied; if none of them is satisfied, then one suffers a “stricken life,” which is no better than death. The ideas of Zihuazi show that the scholars of the Yang Zhu branch led a reflective life as they tried to find the meaning of life in its relationship with the outside world.

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Liezi’s “Cherishing Emptiness” Liezi, a contemporary of Yang Zhu, had the given name of Yukou. According to the books of the pre-Qin Period, he learned from Guan Yin, believed to be one of Laozi’s disciples. “Cherishing innocence” is the essential feature of Guan Yin’s thought which requires that a person’s heart should remain pure and modest in his contacts with the outside world. This idea influenced Liezi, whose extant works are the eight chapters of Liezi, although there are still arguments among scholars concerning the authenticity of the book. According to the established view, Liezi’s central thought is “cherishing emptiness.” Emptiness is equal to nothing, which is the feature of tao on the one hand, and is the requirement for the human heart on the other. Liezi stressed that the energy of life (qi) plays a vital role in the relationship between the heart and tao, and he believed that the unity of the heart and tao can be achieved through conserving the energy of life. In addition, the energy of life is also a key link in the course of creation of all things by tao in the world. These ideas had a great influence on Zhuangzi. Liezi was equally concerned about the social and political problems of the time. In “The Strategies of Han” (in Strategies of the Warring States), Shi Ji of the State of Han claimed to study the thought of Liezi. He thought that Liezi’s philosophy was to “value genuineness”—“stressing the importance of true name”—and this demands matching reality to the name, which is very close to the philosophy of jurisprudence of the Huang–Lao Tradition. In fact, Liezi and the Huang–Lao Tradition share many common points in the “cherishing emptiness” and “valuing genuineness” concepts. This has led scholars from ancient times to the present to regard Liezi as being part of the Huang–Lao Tradition.

The Huang–Lao Tradition The Huang–Lao Tradition was the mainstream of the Taoist School in the Warring States Period. “Huang” (yellow) refers to the Yellow Emperor, who is said to be the father of the Chinese nation, and “Lao” refers to Laozi. The Huang–Lao Tradition is the branch which carried on the thought of Laozi in the name of Yellow Emperor. It began in the early Warring States Period and flourished in the middle and late periods. The scholars of the Huang–Lao Tradition mainly concerned themselves with social and political problems, as well as with self-improvment. Their

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major works are The Yellow Emperor’s Four Treatises and Guanzi. The Yellow Emperor’s Four Treatises disappeared for many centuries until it was rediscovered in books copied on silk which were unearthed from a Han Dynasty tomb at Mawangdui in 1973.

“Emptiness” and “Conformity” The central idea in the Huang–Lao Tradition can be summed up in a quotation from Sima Tan: “taking emptiness as the foundation and taking conformity as the application.” The foundation of emptiness is tao, and like Laozi, the Huang–Lao Tradition also regarded tao as the origin of all creation. Differing from Laozi, who considered tao as the unity of “being” and “non-being,” the Huang–Lao Tradition stressed the emptiness and invisibility of tao. In The Yellow Emperor’s Four Treatises, tao is called the “great void” and is described as being “empty and invisible.” From Guanzi: “Tao is what is empty and intangible.” Furthermore, the Huang–Lao Tradition explained the emptiness of tao through the concept of the energy of life. For example, the book Guanzi put forward the concept of the essential energy of life. The growth of creation depends upon this energy of life which is also the origin of life and wisdom. It said that this “essential energy of life” is the essence of tao. The Huang–Lao Tradition prized the notion of “conformity,” which is related to Laozi’s notion of “nature.” In cosmology, tao should conform to the nature of creation; in politics, the ruler should conform to the nature of his subjects. This is why the Huang–Lao Tradition emphasizes the emptiness of tao. It is because of its emptiness that tao will never be in conflict with anything in the world and it can “flow into everything without changing itself.” Similarly, the ruler should keep an empty and calm mind in ruling over a state so as to give free rein to his subjects’ initiative. This idea is summed up in Guanzi as “the principle of calmness and conformity.” Here “calmness” means that a person should preserve an empty and calm mind and disregard bias, while “conformity” teaches people to conform to the nature of all things and give full play to their strengths.

Monarch’s Doing-nothing and Subjects’ Doing-everything The ideas of emptiness and conformity are reflected in politics as the principle of “Monarch’s Doing-nothing and Subjects’ Doing-everything,”

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which stated that the ruler should not attend to specific political affairs but should assign them to his subordinates. This was in the belief that the ruler himself could not solve every problem because of his limited wisdom. If he forced himself to do so, mistakes would be inevitable and, through overwork, the ruler would be under a constant strain, which is against the affirmation of life advocated by the Taoist School. As for the conduct of the subordinates, the Huang–Lao Tradition advocated the philosophy of jurisprudence, which requires that the ruler should assign appropriate jobs to his subordinates according to their abilities and then appraise their performances according to rules and regulations set for their respective positions. Those officials who performed well would be rewarded, while those who performed poorly would be punished. Within the Taoist School, the major contribution of the Huang– Lao Tradition was a set of applicable principles, which later exerted a profound influence on the Legalist School. The doctrine of the Huang– Lao Tradition was adopted by the king in the early Western Han Dynasty, when production was severely damaged during years of war and, as a result, “the common people were extricated from the sufferings of the war and the rulers and officials were all eager to take a break by practicing non-action” (“Basic Annals of Queen Mother Lu,” The Records of the Historian). Both the prime minister Xiao He and his successor Cao Can practiced “ruling through non-action,” with the result that “people in the whole state praised their virtues” (“The Hereditary House of the Chief Minister Cao,” The Records of the Historian) .

Zhuangzi The Life and Works of Zhuangzi Zhuangzi (?369 BC–?286 BC) carried on and developed the doctrine of Laozi. Later generations considered Laozi and Zhuangzi the original masters of the school of thought and referred to them as Lao–Zhuang. Zhuangzi, named Zhou, was born in the State of Song; he was a contemporary of Mencius and lived two hundred years later than Laozi and Confucius. He lived in a chaotic period in Chinese history, in the middle of the Warring States Period. As is recorded in The Records of the Historian, Zhuangzi was at one time a lacquer-tree garden clerk, a petty official in charge of a garden, but for most of his life he chose to be a hermit. Zhuangzi

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lived in reduced circumstances; his clothes were old and patched and he sometimes had to borrow grain from others to appease his hunger. It was said that King Wei of the State of Chu, hearing that Zhuangzi was virtuous and able, sent two emissaries to invite him to take up a post as a minister, Zhuangzi refused. He said that he would rather live in the mud like a pig than be the sacrificial ox in the Imperial Ancestral Temple, well cared for and fed but likely to be killed at any minute. In other words, Zhuangzi valued life above anything else. Zhuangzi was tired of everyday life, and loved to get close to nature. He often traveled over mountains and rivers. “Zhuangzi fishes on the Pu River,” “Zhuangzi and Huizi visit Haoliang,” “Zhuang Zhou travels among the hills” and “Zhuangzi walks in the mountains” are all accounts of his wanderings and reveal his real interests. Zhuangzi was not only a great thinker, but also “the truest poet.” Wen Yiduo (New Interpretation of the Old Classics: Zhuangzi) said, “His idea itself is an ingenious poem.” Zhuangzi stood out among the thinkers in the pre-Qin Period because of his estheticism. The thoughts of Zhuangzi are mainly preserved in the book Zhuangzi, which originally had fifty-two sections; it was later abridged to thirty-three sections by Guo Xiang in the Jin Dynasty. These thirtythree sections were then divided into three parts—the Inner Books,

Zhuangzi Printed in the Guangxu period of the Qing Dynasty

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the Outer Books and the Miscellany. Not all of them were written by Zhuangzi; it is generally believed that he wrote the seven sections in the Inner Books, while the Outer Books and the Miscellany were written by later scholars. The complete Zhuangzi is regarded as the literature of the Zhuangzi Branch. In his book, Zhuangzi’s philosophical beliefs are revealed through a series of intriguing and imaginative fantasies, symbols and images— a seamless combination of ideas and literature, philosophy and poetry. Wen Yiduo (New Interpretation of the Old Classics: Zhuangzi) said, “At any rate, this acme of perfection in Zhuangzi could not be reached in any book before and it is still hard to find after.”

Longing for His Spiritual Home The central idea in Zhuangzi’s thought is the pursuit of spiritual freedom. He believed that human beings often lose their spiritual freedom and even their human nature by putting too much importance on external possessions—“risking one’s life for something.” Human beings created wealth and civilization, but, ironically, are controlled and enslaved by their own creations. Zhuangzi said, “Everyone in the world risks his life for something.” (“Webbed Toes”), which means that man may sacrifice his inborn nature in seeking “fame and wealth.” Zhuangzi also said, “Since the three dynasties of Xia, Shang and Zhou, everyone in the world has been affected by external things and thus has changed his inborn nature. Inferior men sacrifice themselves for the sake of gain and wealth; superior men sacrifice themselves for the sake of name and fame; high officials sacrifice themselves for the sake of their families; sages sacrifice themselves for the sake of the kingdom. In spite of their different occupations and reputations, these people have one thing in common—damaging their inborn nature and sacrificing themselves.” In short, the sacrifices people make for things external result in the separation of body and soul and the disconnection between man and the world. The book Zhuangzi is permeated with lamentations against the hardships and worries of life. In Zhuangzi’s view, life is like a long separation from home, and that life away from home is depraved, oppressed, lonely, miserable and depressing. Wen Yiduo (New Interpretation of the Old Classics: Zhuangzi) said again: “Men are born into this world together with worry and care.” (“Perfect Happiness”) And “Once we assume human bodily form, we keep this form till the end of our lives.

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By either confronting or conforming to the world, we race through our life in a gallop that nothing can stop. Isn’t it sad indeed! We toil all our lives without seeing our accomplishment; we wear ourselves out without knowing our purpose. Isn’t it sorrowful indeed! What’s the use, even if we say we are not dead yet?” (“Discussion on Making All Things Equal”) Zhuangzi saw through this difficult position. He aspired to break away and return to the spiritual home. Wen Yiduo commented, “The works of Zhuangzi are less the works of philosophy than the weeping and wailing of a person living in a foreign land; he would rather mourn his hometown and ruminate on old dreams than apply his mind to the pursuit of truth.” (New Interpretation of the Old Classics: Zhuangzi) The philosophy of Zhuangzi is the impulse to look for his home because of his deep nostalgia.

Letting the Mind Wander in Tao Zhuangzi believed that man could not extricate himself from his predicament until he reached the state of “having no self,” that is, transcending self. Commonly, people are in a state of “having self.” As a result, they give thought to life or death, living long or dying young, poverty or wealth, high position or low class, gain or loss, and praise or blame. Only the “perfect man,” “holy man” and “sage” can overcome this state; “The Perfect Man cares for no self; the Holy Man cares for no merit; the Sage cares for no fame.” (“Wandering in Absolute Freedom”) If a person cares for “no self,” “no merit,” and “no fame,” he can go beyond the division between the subjective and the objective to overcome the disconnection between man and the world. This state is referred to by Zhuangzi as the state of “incorporating tao into oneself,” or “letting the mind wander in tao.” That is the state of “the unity of man and nature” because, “The heaven, the earth and I came into existence at the same time; all things in the world and I are one uniformity.” Zhuangzi thought that one has to go through the process of selfcultivation to achieve the state of going beyond oneself. The first step is to “put the world outside oneself,” or to discard worldly cares; the second step is to “put things outside oneself,” or to give no thought to poverty or wealth and gain or loss; the third step is to “put life outside oneself,” or to have no regard for one’s own life or death. After man has put life outside himself, he will be able to achieve “the brightness

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of dawn” and his state of mind will be as bright and transparent as the rising sun. If he achieves “the brightness of the dawn,” he will reach the state of “letting his mind wander in tao,” thereby obtaining “the perfect beauty and perfect happiness.” Zhuangzi considered this state to be the utmost freedom, which he called “wandering.” “Wandering” means “non action” and “having no goals or destinations,” to move freely without worrying about the pursuit of fame and wealth, or concerns over gain and loss. When man is in such a state, he can “grow by himself” and “transform by himself” so as to regain his inborn nature and eventually return to his spiritual home.

The Position and Influence of the Taoist School in the Pre-Qin Period In the contending schools of thought in the pre-Qin Period, the Taoist School developed a knowledge system of distinctive features based on the culture of official historians and the interpretation of real life in society. The Taoist School occupied an important position in the history of ideology in the pre-Qin Period. From the late Warring States Period, whenever scholars reviewed the academic studies of the previous period, the doctrines of the scholars of the Taoist School were always the focus of discussion. For example, Sima Tan in the early Western Han Dynasty spoke highly of the Taoist school. Ban Gu in the Eastern Han Dynasty lived at a time when the doctrine of the Confucian School was the orthodox view ranked the Taoist School as the second among all the schools of thought in The Brief Account of Different Philosophers and Authors. In content, the Taoist School probed into the origins of creation through the concept of tao. It introduced metaphysics to Chinese philosophers and exerted a profound influence on other schools of thought and the later development of Chinese philosophy. For example, Confucius and Mencius never mentioned the Way of Heaven. Discussions concerning this are found both in The Book of Change and in Xunzi, in which some specific statements obviously related to the ideas of the Taoist School. Later, in the Han Dynasty, the cultural heritage of the Taoist School was absorbed, by scholars such as Dong Zhongshu of the Confucian School in the Han Dynasty, and by Zhou Dunyi and Zhu Xi of the Confucian School in the Song and Ming dynasties. In addition,

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the philosophy of politics (especially that of the Huang–Lao Tradition) exerted a great influence on the Legalist School in that the proposition that “tao giving birth to law” provided a structural basis for law and set a theoretical foundation for the ideas of the Legalist School. When discussing the major figures of the Legalist School, Shen Dao, Shen Buhai and Han Fei, Sima Qian emphasized that they all “learned the arts of tao and virtue of the Huang–Lao Tradition,” or “took the thought of Huang–Lao Tradition as the basis,” indicating that he realized that the Legalist School inherited the traditions of the Taoist School. The Taoist School was revived during the Wei and Jin dynasties, after the reign of Emperor Wu in the Han Dynasty, who “proscribed all non-Confucian schools of thought and espoused the Confucian School as the orthodox official ideology.” The scholars of metaphysics in the Wei and Jin dynasties took Laozi, Zhuangzi and The Book of Change as the major classics and built up an ideological system of neo-Taoism, which was concerned with the problems of “the fundamental and the accidental, being and nonbeing” and “the natural Confucian ethical code.” In this system, the Taoist School philosophies of politics and life are enhanced and developed. This was most noticeable when cosmology was replaced by the doctrine of noumenalism (knowledge can only be apprehended by intuition), which was a turning point in the development of Chinese philosophy. The influence of the Taoist School gave birth to a native Chinese religion—the Taoist religion, which took hold in the late Eastern Han Dynasty. From the beginning, the Taoist religion took the ideas and beliefs in Laozi as its religious doctrine, and also deified Laozi, the founder of the Taoist School, as its hierarch. In the Tang Dynasty, the Taoist religion enjoyed a further development by adopting Taoism as its basis and simultaneously incorporating the doctrines of Buddhism; moreover, a theoretical system was established which stressed metaphysics. In addition, when Buddhism first arrived in China, people often interpreted its theories with the help of Taoism. At the same time, in the process of its development, Buddhism continuously incorporated the ideas of Taoism, especially the Zen sect, which was enlightened by the thoughts of Zhuangzi. The Taoist School exerted a great influence on Chinese estheticism, literature and art. Imagism, the theory of artistic mood, the theory of esthetic conception and a set of important concepts, categories and propositions all originated from the thoughts of Laozi and Zhuangzi.

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For example, owing to the influence of Laozi’s idea that tao is the origin and life of all creation in the universe, artists in ancient China did not pay much attention to the description of the separate and limited images; instead, they strove to grasp and present the origin and life of the universe— tao (the energy of life). Also, under the influence of Laozi’s idea that tao is the unity of being and non-being, or void and fullness, the combination of void and fullness was set as a principle in Chinese classical estheticism and is also one of the important features of Chinese classical art. In the ancient Chinese poems or paintings, void and blank space are the indispensable parts, and the artistic mood of the poem or painting cannot be created without them. In addition, Laozi also put forward the concept of “mystery” (miao), which can reflect the anarchy and infinity of tao. Mystery is derived from nature and will eventually return to nature and it paves the way to the origins of the universe and life. Therefore, the movements of mystery are not confined to the behavior of common objects (which is the so-called “mystery beyond the limited behavior of objects”) and mystery cannot be defined (for it is “too wonderful for words”). Owing to the influence of Laozi, mystery became not only a term in estheticism, but also an esthetic category in the Han Dynasty. During the Wei and Jin dynasties, the word “mystery” was used so widely that there emerged an endless stream of “mysteries.” Again, Laozi proposed that people should disregard personal interest and eliminate personal desires and stressed that in order to examine tao closely, the examiner must preserve a modest and tranquil mind. Zhuangzi later developed the ideas of Laozi and put forward the propositions of “fasting” and “sitting and forgetting.” The theory of esthetic conception based on the thoughts of Laozi and Zhuangzi gradually took shape—a tranquil and contemplative mood is the prerequisite for esthetic appreciation. One cannot fully understand and grasp the features of ancient Chinese estheticism without studying Taoism (and also metaphysics in the Wei and Jin dynasties).

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法 CHAPTER TWELVE

The Legalist School in the pre-Qin Period A Brief Account of the Legalist School in the Pre-Qin Period

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The Three Stages of Formation and Development of the Legalist School

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Shang Yang—The Most Famous Legalist Reformer

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Han Fei—The Legalist with Greatest Attainments

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The Historical Position of the Legalist School

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Free-style calligraphy of“法”(fa) means “law” in Chinese

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The Legalist School is one of the important schools of thought in the preQin Period. It originated in the Spring and Autumn Period, developed in the early Warring States Period and thrived in the middle and late Warring States Period. The First Emperor of the Qin Dynasty used Legalism to unify the whole country. At its zenith, Legalism was deemed the orthodox ideology of the Qin Dynasty. However, with the collapse of the Qin Empire, the Legalist School was soon replaced by the Confucian School. The Legalist School played a key role in the founding of the powerful Qin Empire but also speeded up its downfall. The success and failure of the Legalist School has been of interest to scholars for more than two thousand years.

A Brief Account of the Legalist School in the Pre-Qin Period The Legalist School, as its name implies, was a school of thought which stressed the enforcement of law, a doctrine which goes back to ancient times. Sima Tan, a historian in the Western Han Dynasty, pointed out, “The Legalist School makes neither distinction between close and distant followers nor discriminates between the noble and the humble; they judge everything in accordance with law.” (“A Gist of the Six Schools of Thought” in Volume 130: “The Preface by the Senior Historian Himself” in The Records of the Historian)

That is to say, the Legalists did not bend the law to help their friends and relatives or to flatter the distinguished and the noble. They proposed to regulate everything through law, which was the central idea of the Legalist School. However, as a school of thought, the Legalist School had a complete set of doctrines on ruling over states, rather than confining itself to the idea of stressing the enforcement of law. The emergence of the Legalist School conformed to the social reform and development of the Spring and Autumn Period and the Warring States Period. The notion of Legalism fully reflected the spirit of the time. In addition to stressing the enforcement of law, there were other basic features of the Legalist School: (i)

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Advocating Social Reform and Opposing Old Conventions—The Legalists initiated social reforms, thinking that “the situation has changed, so a new way should be followed,” while they opposed upholding the old systems and regulations. Most of the scholars

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of the Legalist School acted as the pioneers of the social reforms of their times. For example, the renowned Legalists Li Kui, Wu Qi and Shang Yang are all famous social reformers in Chinese history. (ii) Developing Agriculture and Building up a Powerful Army to Make the Country Prosperous—The Legalists believed that there were only two aspects on which a prosperous state could rely:agriculture and warfare. The development of agriculture would result in abundant supplies of grain and cloth and would make the country and the people prosperous and wealthy. The Legalists emphasized warfare, holding that building up a powerful army would strengthen the power of the state and make it dominant. These are the ideas of enriching the country and strengthening the army of the Legalist School. (iii) Upholding Strict Laws and Severe Punishment; Being Strict and Fair in Meting Out Rewards and Punishments—The Legalists believed that only the implementation of strict laws and severe punishment, even for petty crimes, could discourage people from committing crimes. Only in this way could social stability be guaranteed. Those deeds which benefited other people or the state would be bountifully rewarded, while those deeds that harmed people or the state would be ruthlessly punished; thus the rulers must be prudent in meting out rewards and punishments. (iv) Advocating the Centralization of State Power but Opposing the Enfeoffment and Hereditary Systems—The Legalists opposed the old feifdom and hereditary systems, which they thought would inevitably lead to feudal division and the rise of warlords. They proposed in its place a system of prefectures and counties, where centrally chosen governors standardized local administration. The Legalists held that a strong and centralized state power should be built up and the rulers should bring the subjects under control by combining law, strategy and power. In sum, the Legalist School was characterized by its emphasis on the importance of law and agriculture and their proposal to make the country prosperous by establishing a strong army and a centralized government. While the Confucian School held that human behavior could be formed or reformed through education and the Taoist School

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devoted itself to discussing matters of philosophy, the Legalist School believed that state power should be ordered by laws that would be administered with regularity and impartiality.

The Three Stages of Formation and Development of the Legalist School The Legalist School emerged and developed along with the evolution of social reforms in the Spring and Autumn Period and the Warring States Period. It moved through three stages.

The Sprouting Stage The first stage was during the Spring and Autumn Period, when the seeds of Legalism began to sprout after a long preparatory period. Along with social development, some advanced feudal states began to carry out some social reforms. For example, in the economy, these states started to levy taxes on private land, while, in politics, they carried out legal reforms to promulgate criminal law. Meanwhile, in the Spring and Autumn Period, a group of early social reformers appeared, such as Guan Zhong in the State of Qi, Guo Yan in the State of Jin, and Zichan and Deng Xi in the State of Zheng. To some extent, they all put forward innovative ideas and concepts for social reforms—for example, enriching the country, strengthening the army and stressing the rule by law. These ideas and concepts later evolved to become the major doctrines of the Legalist School and these reformers were considered the forerunners of the Legalist School.

The Shaping and Thriving Stage The early and middle Warring States Period witnessed the second stage in the development of the Legalist School—the shaping and thriving stage. Enlightened by the social, economic and political development in this period, people started to change the old system to carry out social reforms; political reforms flowed from one feudal state to another. It was in these great tides of social reforms that the Legalist School gradually thrived and prospered. Among the feudal states, the State of Wei was the earliest to carry out political reforms, as early as during the reign of Marquis Wen in the early Warring States Period. Marquis Wen cultivated

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the wise and scholarly; he recruited men of worth and treated the disciples of Confucius, such as Zixia, as masters. He appointed Li Kui and Wu Qi, the early Legalists, to carry out reforms. Li Kui incorporated the statutes of all the feudal states in The Book of Law, which outlined his proposals for political and economic reform, such as reinforcing the law, giving priority to agriculture and “putting the fertility of the soil to the best use.” Li Kui wrote Lizi to explain his ideas for making the country rich and building up a strong army. He was the first Legalist politician and thinker in the Warring States Period, when the Legalist School formally came into being. It was because of the reforms of Marquis Wei that the Legalist School first started in the State of Wei. Later, Wu Qi went to the State of Chu and was appointed by Lord Dao of Chu to carry through political reforms. He “promulgated the laws and decrees” in the State of Chu, promoting the rule by law. He was also one of the key representative figures of the early Legalist School. Renowned Legalists in the middle Warring States Period included Shang Yang, Shen Dao and Shen Buhai. Shang Yang went to the State of Qin to carry through the political reforms which laid the foundation for Qin to unify China. Shen Dao, born in the State of Zhao, later went to Jixia in Qi and wrote Shenzi, of which only fragments remain. The main feature of his thought was to emphasize “power.” Once appointed prime minister by Marquis Zhao of the State of Han, Shen Buhai “consolidated politics and education within the state and established diplomatic relations with other feudal states.” He “brought order and peace to the state and built up a strong army, so that nobody attempted to invade the State of Han.” The main focus of his thought was on strategy.

The Legalist Schools in the States of Jin and Qi With Li Kui, Wu Qi and Shang Yang all appointed to government positions in the State of Wei, it is clear that the State of Wei was a birthplace of the Legalist School. The political activities of another Legalist, Shen Buhai, were centered mainly in the State of Han. Han Feizi, a prince of Han, combined and refined the teachings of the Legalists, making the State of Han another important center of Legalist activities. As both Wei and Han originally came from the State of Jin, scholars referred to the above Legalists “the Legalists of Jin.” At that time, King Wei of the State of Qi in eastern China entrusted the senior official Ji Mo with the task of ensuring that “wasteland was

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reclaimed and the people had ample food and clothing” and “the State of Qi was stable and peaceful.” King Wei of Qi also appointed Zong Ji prime minister; he “prudently amended the law and supervised the treacherous officials” so as to “make the State of Qi the strongest among all the feudal states.” King Wei and King Xuan of Qi recruited scholars from far and wide and opened an academic institute to encourage intellectual thought. Legalism occupied an important position in the academic institute. On the one hand, it was a further development of the thought of Guan Zhong, a pioneer Legalist in the State of Qi in the Spring and Autumn Period, and on the other hand, it reflected the needs for social reforms in the State of Qi. This group of Legalists is referred to as “the Legalists of Qi” by scholars. The “Legalists of Jin” and the “Legalists of Qi” constituted two major branches of the Legalist School in the Warring States Period. Generally speaking, their doctrines coincided, despite some differences. First, the Legalists of Jin proposed to encourage agriculture and discourage trade, believing that “people engaged themselves in trade and go in for craftsmanship so as to evade agriculture and war.” (“Farming and War,” The Book of Lord Shang) The merchants were hard to control because they secured and carried with them their money and goods and traveled around the world, whereas “the ignorant farmers knew nothing and they were not fond of learning” (“The Reclamation Order,” The Book of Lord Shang) and “the benighted people were easy to control” (“The Prescription of Status,” The Book of Lord Shang) . The farmers were easily governed because they were so attached to the land that it was unlikely they would be on the move. The farmers cultivated the land during times of peace to increase the supply of grain, while during war, they could be drafted to protect the state. Following the tradition of the State of Qi, the Legalists of Qi emphasized industry and trade, believing that “our ancestor kings made the scholars, farmers, artisans and merchants exchange their specialized knowledge and supply each other’s needs.” Therefore, they thought that agriculture should be encouraged to ensure the well-being of the state; however, trade should not necessarily be repressed. Second, the Legalists of Jin thought that it was irreversible human nature to “love benefit and hate harm.” They refused to credit the importance of moral education and believed that the state should be “ruled by law instead of by virtue” (“The Famous Schools of Thought,” Han Feizi) . The Legalists of Qi inherited Guan Zhong’s idea that “propriety, righteousness, honesty and a sense of shame should be upheld as the

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four social bonds of the state,” thus recognizing the function of moral education. They deemed that state rule could not rely solely on law. Because there were so many different opinions about human nature, the Legalists of Jin opted for a blind faith in force and believed that when severe punishments were enforced, crime would disappear. The Legalists of Qi, however, thought that the power of penalty was limited. Third, the Legalists of Jin maintained that the ruler should promulgate the laws and decrees in order to best administer the state. They did not believe that the knowledge of the scholars and masters would be of any use and instead proposed “educating the people with law and regarding the officials as teachers” (“The Five Vermin,” Han Feizi) and “burning the books of poetry and making public the laws and regulations” (“Mr He,” Han Feizi) . On the contrary, the Legalists of Qi made no such proposals, because the State of Qi was opening to the outside world and different doctrines of diverse nature were tolerated and incorporated. In addition, the academic institute in Jixia had been set up as a center for scholars from different schools of thought. The Legalists of Qi followed this tradition, so they adopted an open attitude towards differing thoughts and doctrines.

The Concluding Stage The third stage was the concluding period for the doctrines of the Legalist School, when the Legalists began to systematize and theorize their thoughts. Simultaneously, during the period which spanned the late Warring States Period and the Qin Dynasty, Legalist politics first achieved a dominating position and soon after ended in complete failure throughout China. The representative figures of this period were Han Fei and Li Si. The former synthesized and refined all the previous teachings of the Legalist thinkers; the latter, Li Si, was a great politician who actually implemented the doctrines of the Legalist School under the First Empire of the Qin Dynasty. At the climax of the social changes during the early and middle Warring States Period, most of the Legalists, such as Shang Yang, Wu Qi, Li Kui and Shen Buhai, were busy carrying out the actual reforms. Therefore, they should first of all be regarded as practical politicians. As a result, the discussions on the political reforms of that period were given priority in their works, although their thoughts were not systematic and theorized and had no philosophical foundation. Han Fei, who lived in the late Warring States Period, was a great Legalist

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thinker and theorist. It was he who synthesized and systematized the Legalist doctrines in the pre-Qin Period, thereby bringing them to the peak of development. However, Han Fei was a theorist who did not put his ideas into practice, while the First Emperor of the Qin Dynasty and Li Si implemented Legalist politics all over China. The establishment of the Qin Dynasty resulted from the implementation of Legalist policies, while the downfall of the Qin indicated their failure.

Shang Yang— The Most Famous Legalist Reformer Shang Yang and Han Fei are two leading figures of the Legalist School, whose thoughts had a profound influence on the history of Chinese culture and ideology.

Shang Yang In the history of ancient China, the most prestigious and influential Legalist reformer was Shang Yang, whose measures for reform laid the foundation for the Qin unification of China. Shang Yang (?390 BC–338 BC) was a prince of the State of Wei who was born to a concubine. He first became one of the mentor-advisers to the prime minister Gongshu Cuo, handling the affairs of the clan. Gongshu Cuo recognized Shang Yang’s talents and recommended him to King Hui of Wei (who came to the throne in 370 BC). However, King Hui did not respond and did not consult Shang Yang even after the death of Gongshu Cuo. After King Xiao ascended the throne, “Gongsun Yang heard that King Xiao of Qin sought after men of worth and ability within the state so as to restore the glory of the reign of King Miao and recover the lost land in the east; therefore, he went westward to the State of Qin.” (“Biography of the Lord of Shang,” The Records of the Historian)

Shang Yang went to Qin and was presented to King Xiao by his favorite official. King Xiao summoned him four times. The first time, Shang Yang tried to persuade King Xiao with the Way of the Five Emperors, but King Xiao “would not listen and dozed off from time to time.” The second time, Shang Yang attempted to convince King Xiao with the Way of the Three Wise Kings, which was not to the king’s taste either. The third time, however, Shang Yang talked about ruling by

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military force and then the King changed his mind. He arranged a fourth meeting with Shang Yang, during which the two found common ground and “talked for days without feeling tired.” Soon after, King Xiao entrusted Shang Yang with the task of instituting political reforms through the use of military force, which coincided with Shang Yang’s Legalist ideas. Shang Yang twice launched political reforms in Qin, abolishing the old systems and implementing new ones. His reforms enabled Qin to become the most powerful state in the Warring States Period. However, Shang Yang fell victim to the plotting of conservative aristocrats and was sentenced to death by being torn apart by chariots pulling in five different directions.

Shang Yang’s Reforms Shang Yang went to the State of Qin carrying Li Kui’s The Book of Law, on which his political reforms were based. His broad reform strategy covered the fields of economics, politics, military affairs and administrative organizations and affected all levels of society. He proposed: (i)

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Abolishing the Old Square-field System and Recognizing the Private Ownership of Land—One of the important measures in the reform was to “eliminate the paths and earthen banks that formed farmland borders and collect the taxes fairly.” By doing so, the old square-field system would be abolished and the private ownership of land established. The “paths and earthen banks” referred to the bordering lines in the land and according to the square-field system, a stated ownership of the land, the King of Zhou awarded the fields to his dukes and senior officials as fiefdoms. Therefore, “The Roll of Food and Goods” in History of the Han Dynasty stated “King Xiao of the State of Qin appointed Shang Yang to abolish the square-field system and to eliminate the paths and earthen banks.” According to “The Table of the Six States” in The Records of the Historian, in 348 BC, when Shang Yang was carrying out political reforms, the State of Qin “started to introduce taxes and levies.” After the private ownership of land was adopted, taxes were imposed according to the quantity and quality of land and “eliminating the paths and earthen banks” would result in “collecting the

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taxes fairly.” Due to the fundamental reform of the land and tax systems, land was owned privately; thus the buying and selling of land were allowed and the transference of ownership was permitted. “The Roll of Food and Goods” in History of the Han Dynasty stated that “(The State of Qin) adopted Shang Yang’s measures and abolished the square-field system practiced by the former kings and emperors. Therefore, people could buy and sell land, which led to the phenomenon that the rich obtained several units of land while the poor did not even have a single lot as small as a pin-point.” After private ownership was established and the buying and selling of land were allowed, most of the land was obtained by a small number of rich people (the landlords) while the majority of people, deprived of their land, were impoverished. One of the distinctive characteristics of ancient Chinese society was the polarization of the rich and the poor which, in turn, brought about economic and political struggles; this was closely related to Shang Yang’s reforms. (ii) Replacing the Territorial and Hereditary System with the System of Prefectures and Counties to Reinforce the Centralization of State Power—Another important move of the reform was to “re-organize the State of Qin into thirty-one prefectures administered by the officials appointed by the king.” Shang Yang established the system of prefecture and county by redividing the state into administrative regions and combining the small villages into counties administered by county magistrates and their assistants. In this way, the territorial and hereditary privileges enjoyed by the officials were abolished. As the county magistrates were appointed by the central government, state power was centralized; (iii) Stressing the Fundamental and Restricting the Incidental— “The fundamental” referred to farming, while “the incidental” referred to handicraft and trade. “Stressing the fundamental and restricting the incidental” was to encourage the development of farming and discourage handicraft and trade, which was a policy to promote agriculture. (iv) Rewarding Military Achievements and Prohibiting Fighting over Personal Grudges—It was stipulated in one of Shang Yang’s reforms that “the people with military achievements should be

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awarded honorary titles of the first rank accordingly; the people fighting over personal grudges should be punished according to the seriousness of the cases,” which was a measure to award military exploits and prohibit fighting and quarreling. This reform dealt a heavy blow to the old hereditary system. Shang Yang maintained that “members of the nobility should own their positions according to their military achievements” and only the people who achieved military success could enjoy rank and wealth. These measures made people happy to join the army and serve the state; at the same time, they ensured that army commanders had actual combat experience because all of them reached their rank because of their military successes. (v) Implicating Others Related to the One Charged or Found Guilty—The law organized the people into groups of fives (five families) or tens (ten families) and they were obliged to report one another’s crimes; if they failed to do this, they were forced to share the punishment. Whoever did not denounce a culprit would be punished by being cut in two; whoever denounced a culprit would receive the same reward as someone who had killed enemies of the state in battle. This reflected Shang Yang’s ideas of harsh laws and severe punishments, “dealing with a minor offence as a major one” and “using punishment as the antidote against punishment.” This practice of punishing those who were related to, or friendly with, somebody who committed a crime kept the people of Qin under the net of justice and everyone’s behavior was put under close surveillance. It was a very forceful and effective way of controlling people and many other rulers adopted the practice to prevent resistance and stop criminal behavior. Shang Yang’s Legalist ideas can be summarized as encouraging farming, awarding military achievements and stressing the law. Shang Yang said, “Both the stability of the state and the dignity of the ruler depend on farming and war.” (“Farming and War,” The Book of Lord Shang) His theory was that “everything could be attributed to farming” and “everything could be attributed to war.” He deemed that the ruler should “judge everything according to the law.” Harsh laws and severe punishments should be enforced, while rewards and punishments should be strict and fair. Shang Yang upheld the idea of solving social problems with the penal code but he

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dismissed the idea of Confucian moral education. He thought that focusing on the cultivation of morals violated the goal of making the state rich and the army strong and would neither increase the production of grain nor build up a strong army; it could only “weaken and impoverish the state.” Shang Yang completely denied the social function of cultivating morals on utilitarian grounds and this military-force-only idea sowed the seeds for the abrupt downfall of the State of Qin.

Han Fei— The Legalist with Greatest Attainments The Life and Works of Han Fei Han Fei (?280 BC–233 BC) was born a prince of the royal family in the State of Han in the late Warring States Period. A habitual stutterer, he was not adept at speaking and concentrated his energy on writing. He, together with Li Si, once learned from the great Confucian Xunzi. Han Fei saw the gradual but constant decline of the State of Han; he tried on several occasions to persuade the King of Han to follow his reform policies, but the King proved incapable of following his advice. Therefore, Han Fei redirected his energy to his theoretical studies and “made an overall study of the gains and losses of the people before him,” producing such brilliant works as “The Solitude Anger,” “The Five Vermin,” “The Inner and Outer Passage of the Reserves of Anecdotes,” “The Forest of Anecdotes” and “The Difficulties of Persuasion.” (“The Biography of Laozi and Han Fei,” The Records of the Historian)

Master Han Fei Printed in the Song Dynasty

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He was regarded as the Legalist with the greatest attainments. Ultimately, his works made their way to the State of Qin and the King of Qin after reading them said, “How I wish to

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meet this person and travel with him and then I will die without regret.” (“The Biography of Laozi and Han Fei,” The Records of the Historian)

At that time, the King of Qin attacked the State of Han, and the King of Han sent Han Fei, whom he had not previously employed, to the State of Qin as a goodwill ambassador. Even though the King of Qin was pleased with Han Fei’s advice, he did not fully trust him. Li Si thought that it was entirely natural and normal that Han Fei, being a member of the royal family of Han, would always work for the interests of his homeland Han and not for those of Qin. He suggested that Han Fei should be sentenced to death to avoid any future trouble, since they could not use his counsel. The King of Qin was convinced; he gave the order to punish Han Fei. Li Si sent some poison to Han Fei so he could commit suicide. Han Fei wanted to defend himself before the king but, unable to get an audience with him, he eventually committed suicide in the Qin prison.

The Three-in-one Legalist Doctrine of Law, Strategy and Power The Legalists before Han Fei developed three different doctrines on state rule—the doctrine of stressing law represented by Shang Yang, the doctrine of stressing strategy proposed by Shen Buhai and the doctrine of stressing power put forward by Shen Dao. Han Fei proposed the three-in-one theory. First, “strategy means to confer official position in accordance with a person’s ability and expects that reality corresponds to its name. It holds the power over one’s life and property and it is the only criterion to evaluate the competence of the officials. Therefore, it should be mastered by the ruler.” (“Fixing the Law,” Master Han Fei) That is, “strategy” refers to the ruler’s way of controlling his subjects and it demands that official titles should be conferred according to the persons’ ability and the officials’ deeds should be consistent with their words in order to justify their positions. The ruler should appraise the officials’ achievements by this standard, dismissing the unqualified ones and awarding and promoting the qualified and competent ones; that is why the ruler could “hold the power over one’s life and property and evaluate the achievements of the officials.” The idea of stressing strategy was put forward by Shen Buhai, who effectively assisted Marquis Zhao of Han in governing the state with this strategy. Second is “power” which refers to the “favorable condition of holding great power and influence and occupying a respected position.”

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Shen Dao was the Legalist who emphasized power, saying, “The flying dragon rides the clouds and soaring snake mounts the mist. If the clouds vanish and the mist disappears, the dragon and snake will lose what they ride and are reduced to being the same as the earthworms and ants. A person of virtue is inferior to the unworthy one because he neither holds power nor occupies an important position. An unworthy person is obeyed by the person of outstanding worth because he possesses both power and position. If the Emperor Yao is only an ordinary man, he is not even able to control three people, while the tyrant Jie possesses the power of throwing the whole world into disorder. Therefore we know that power and position are enough to fall back upon; while virtue and wisdom are not worth admiring.” (“The Queries of the Queries,” Master Han Fei) It is thus clear that the Legalists attached great importance to power and position and they believed that as long as one kept a tight grip of the power, “his order would be carried out and his prohibition would be heeded.” As far as the Legalists were concerned, “law” referred to decrees, regulations and orders which were promulgated to the public and to which the ruler, officials and common people would be subject. One of the fundamental propositions of the Legalist School was to rule by law, which could not be implemented without the help of power. In addition, because the law of the state must be enforced by officials at all levels, selecting and evaluating the officials was particularly important. Therefore, Han Fei believed that the ruler must combine law, strategy and power together so as to govern the state well, and should not emphasize one at the expense of the others. This was the doctrine of combining law, strategy and power as proposed by Han Fei, after he synthesized the ideas of Shang Yang, Shen Buhai and Shen Dao. The essence of the doctrine was the theory of the centralization of the state power, which exerted a great influence on the autocratic monarchy and the practice of centralization of state power in China for many years.

Parochial Utilitarianism Han Fei was greatly influenced by his teacher, Xunzi, who preached the doctrine that “Man is born evil” and considered that physiological and psychological desires were man’s inborn nature. These inclinations would lead man to evil behavior. Han Fei accepted Xunzi’s theory of “natural evil,” on which his doctrine of self-interest or selfishness was based. He believed that it was human nature to “be fond of interests and

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afraid of harm;” therefore it was normal for a person to pursue what he desired. Han Fei considered that personal interests were vital in interpersonal relationships and that the ruler and his subjects, and parents and children would all be influenced by gains and losses, which was a narrow utilitarian attitude. Since people were only concerned with self interest, then how should the ruler maintain social order and govern the state? Han Fei proposed “to cater to human feelings so as to run the state well.” “Catering to human feelings” meant to reward people with what they wanted and punish them in ways that caused fear. Since it was human nature to be self-interested, the ruler could use bonuses to encourage merit; since it was human nature to try to avoid harm, the ruler could employ penalties to repress crime. Therefore, Han Fei emphasized, “The rewards must be generous so that people will benefit; the compliments must be charming, so that people will feel honored; the punishments must be harsh so that people will be intimidated and the condemnations must be relentless so that people will feel shamed.” (“The Eight Principles,” Master Han Fei) All in all, the state should be governed by catering to the self-interest of the people and by putting reward and punishment into effect. The narrow utilitarian doctrine that Han Fei preached set the theoretical foundation for his proposals of rule by law.

The Idea of Employing Force Instead of Moral Cultivation Han Fei adhered to the idea of utilitarianism and rule of law and further developed Shang Yang’s idea of upholding military power and “employing force instead of moral cultivation.” Although different from Confucius and Mencius, his teacher Xunzi proposed employing both propriety and law, and even valued moral education above all else. However, Han Fei put forward the idea that “moral education was not only useless but also harmful” and went on to expound his view by saying, “Now there is an unruly child; however, the anger of his parents cannot make him mend his ways, the criticism of his neighbors cannot move him to correct his mistakes and the education of the teachers cannot transform him. . . . The official of the prefecture leads the soldiers to enforce the law and seek out evildoers and the unruly child is so frightened that he improves his moral conduct and changes his behavior.” (“The Five Vermin,” Master Han Fei) This showed that “the harsh punishments and severe penalties of the government, instead of the love of the parents, would result in their children being well-behaved,” from which Han Fei drew

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the conclusion that, “There are no ferocious servants in a family with strict rules; while the loving mother will bring up wastrels. Therefore, we know that military force can prevent violence, while benevolence is not effective in stopping turbulence.” (“Eminence in Learning,” Master Han Fei) Han Fei thought that moral education was not only “useless but even harmful” and if benevolence and kindness were upheld, people would neither bravely kill the enemies of their state, nor be active in farming, which would eventually lead to the downfall of the state. Therefore, Han Feizi completely negated the functions of morality and culture in that he proposed to “use the laws for instruction” and “employ officials as teachers.” He even went on to suggest that “there should be no discussions of the early kings or literature written in books or on bamboo slips.” These were the amoral and anti-culture ideas, according to which, the effect of moral education should be completely denied. While historical experience shows that in ruling over the state, moral education and law are the two instruments which supplement and complement each other, the implementation of moral teaching and the enforcement of law depend on the cultural advancement of the people in the society. Han Fei, however, denied the educational effects of culture and morality and upheld the one-sided view that military power and the rule by law could solve all problems.

The Historical Position of the Legalist School The Legalist school played an important role in Chinese history. The Legalists implemented a series of economic, political and military reforms by force, abolished the old square-field system and established the private ownership of land. All this helped make the state of Qin strong and prosperous; Qin in turn unified China through a series of conquests and established a giant feudal empire. This unification greatly pushed forward economic and political developments in China and laid a solid foundation for the later growth of Chinese society. The Legalist doctrines exerted a great influence on the politics, economy, ideology and culture of later societies. Although the old dynasties espoused Confucianism as the orthodox official ideology, they also took in the ideas of the Legalist School by combining Confucianism and Legalism, or by practicing Confucian doctrines overtly and Legalist doctrines covertly. The idea of the rule by law was regarded as an important

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part of the ideology of all the dynasties and the rulers laid equal stress on punishment and benevolence. Benevolent government and military power were two indispensable means for the rulers to keep control. The reformist ideas of the Legalist School were also inherited and absorbed by progressive thinkers and reformers. However, just as the founding of the Qin Dynasty marked the success of the Legalist politics, the downfall of Qin declared its failure. The fatal weakness of the Legalists lay in their blind worship of severe punishments and strict laws and disregard of the benefits of moral education and benevolent government. They did not understand that strict laws and severe punishments are only temporarily effective, while only benevolent government can create a long period of peace and stability. The Legalists destroyed culture and cultural heritage by such extreme methods as burning books, burying Confucian scholars alive and denying the benifits of education, all of which did great damage to Chinese culture. Such extreme measures ensured that the Legalist policies adopted by the Qin Dynasty were short-lived and their failure was irreversible. The success and failure of the Legalist politics practiced by the Qin Dynasty had a profound influence on Chinese history.

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兵 CHAPTER THIRTEEN

Sunzi —The Art of War The Author of Sunzi—The Art of War

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Free-style calligraphy of“兵”(bing) means “soldier” in Chinese

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Sunzi—The Art of War, the earliest classic on military affairs in Chinese history, is the most comprehensive summary of the theories of the wars before the Spring and Autumn Period. It not only outlines the universal rules of war, but also contains philosophical ideas. It is referred to by scholars as the crystallization of the intelligence of ancient oriental military studies.

The Author of Sunzi—The Art of War The Life of Sun Wu Sun Wu, the author of Sunzi—The Art of War, is sometimes called Sunwuzi or Sunzi. His family name was Sun, his given name was Wu and his courtesy name was Changqing. He lived in the late Spring and Autumn Period and is believed to have been born between 550 BC and 540 BC . Born into a well-known military family, Sun Wu’s ancestral home was in the State of Chen, a minor state in the Spring and Autumn Period. His father subsequently moved the family to the State of Wu. Chen Wan, his seventh-generation ancestor, was originally the son of King Li of Chen, who fled to the State of Qi to stay away from the calamities due to the internecine strife within the royal family. At that time, King Huan was in power in the State of Qi, and he appointed Chen Wan as Gongzheng, an official in charge of the handicraft industry of Qi. Just during that period, Chen Wan changed his own family name into Tian, for the reason that Chen and Tian used to share the same pronunciation and meaning. Wuyu, the great-great-grandson of Tian Wan, had two sons—one was Heng, and the other Shu. Tian Shu, whose fief was in Le’ an (the present Huimin County of Shandong Province), was granted the family name Sun on account of his battle achievement. Thereby, the wellknown military family of Sun came into being. Sun Ping, father of Sun Wu, was the grandson of Sun Shu. When there was a civil strife in the State of Qi, Sun Ping went south to the State of Wu with his family to stay away from the commotion. At that time, Sun Wu had accomplished much in his studies of warfare. In Wu, Sun Wu became the bosom friend of Wu Zixü (? BC–484 BC), principal adviser to King Helü of Wu (? BC–496 BC). Wu Zixü recommended Sun Wu many times to King Helü, who appreciated his knowledge of the

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art of war. “Biography of Sun from Wu” in The Records of the Historian said, “Sunzi, whose name was Wu, was from the State of Qi. He presented King Helü of Wu with his book The Art of War. Helü said, ‘I have read all thirteen chapters of your book.’” This suggests that the thirteen chapters in The Art of War must have been written by Sun Wu himself and the book must have been compiled before he went to see King Helü of Wu. The earliest surviving block-printed edition of Sunzi— The Art of War is The Seven Classics of Military from the time between Emperors Xiao Sunzi—The Art of War and Guang of the Southern Song Annotated by the Eleven Schools from the Time of Emperor Ning Dynasty, and Sunzi—Annotated (Southern Song Dynasty) by the Eleven Schools from the Time of Emperor Ning of the Southern Song Dynasty. There was once doubt whether The Art of War was written by Sun Wu and even whether Sun Wu really existed. It was also suggested that the author of The Art of War was Sun Bin, who, according to The Records of the Historian, once wrote about the art of warfare, yet Sun Bin—The Art of War was nowhere to be found at the time. The authorship of The Art of War was a controversial issue, which was not solved until 1972, when some bamboo strips of both Sunzi—The Art of War and Sun Bin—The Art of War were excavated in the Western Han Dynasty tomb in Linyi County, Shandong Province.

The Great Battle of Baiju Recommended by Wu Zixü, Sun Wu was recognized as a genius at commanding troops and fighting battles. He was appointed Shanjianjun (Senior General) by the King of Wu, who ordered him to attack the State of Chu.

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Bamboo strips of Sunzi—The Art of War (Western Han Dynasty)

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The State of Chu was a superpower in the south in the Spring and Autumn Period. According to Zuo’s Commentary on the Spring and Autumn Annals, King Zhuang of Chu once launched a northward expedition, with the intention of controlling the central plains. Due to the strategy of “allying with the State of Wu to check the State of Chu” adopted by the State of Jin in the north, the two states of Wu and Chu fought each other over a long period of time. In 5 BC , King Zhao of Chu ascended the throne, when the State of Chu had declined in strength and was engaged in continuous warfare with neighboring states, such as Tang and Cai. King Helü of Wu seized the opportunity to start a decisive battle against the State of Chu. He and Wu Zixu led the Wu navy westward along the Huai River to join the troops of the states of Tang and Cai. When the allied troops were assembled, Sun Wu surprisingly decided to change the route and landed at a cove of the Huai River, where the allies broke through the front lines of the Chu army and swept through the passes between the Dabie and Tongbai mountains deep into the heart of the Sate of Chu. Sun Wu’s change of route took the enemy by surprise. After a decisive battle at Baiju in Hubei Provice, the Chu troops were badly beaten and fled. The allied troops pursued the retreating enemy troops and, after winning a further five battles, eventually seized Ying, the capital of Chu. King Zhao of Chu deserted the capital and fled to the south. The Great Battle of Baiju, in which 30,000 Wu soldiers fought against 200,000 Chu has gone down in history as a famous example of a small army trouncing a much bigger force. Wei Liao, a militarist in the Warring States Period, said, “Who can fight all in the world with 90,000 men? King Huan of Qi can. Who can fight all in the world with 70,000 men? Wu Qi can. Who can fight all in the world with 30,000 men? Sun Wu can.”

The Military Thoughts in Sunzi—The Art of War There are thirteen sections in Sunzi—The Art of War, with about six thousand characters. Starting with “Making Assessments” and ending with “Using Spies,” the book presents a profound and careful analysis about all the aspects and every stage of war. The major principles of strategy proposed in it are still of great value.

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Know Your Enemy and Know Yourself and You Can Fight a Hundred Battles without Peril As is written in “Attacking by Stratagem” in Sunzi—The Art of War, “Know your enemy and know yourself and you can fight a hundred battles without peril.” These household sayings mean that it is a precondition of winning a battle for the commander to know and evaluate the situation on both sides. Sunzi believed that the factors that decide victory and defeat, such as military strength, advantages and disadvantages for both sides and the terrain and weather conditions, must be determined before the war. He said, “To know that your troops are capable of striking at the enemy but not to know that they are invulnerable to attack reduces your chances of victory by half. To know the enemy is vulnerable to attack but not to know your troops are incapable of striking at them again reduces by half your chances of victory. To know that the enemy are vulnerable to attack and that your troops are capable of attacking, but not to know that the terrain does not favor you in battle once again reduces your chances of victory by half. So it is that those who are well versed in warfare are never bewildered when they take action and their resourcefulness in overcoming the enemy is limitless. Therefore, it is said: Know your enemy and know yourself, victory will not be at risk; know both heaven and earth, and victory will be complete.” (“The Terrain,” Sunzi—The Art of War)

To determine the enemy’s military strength, Sunzi described the different ways and methods that could be adopted; for instance, “One must analyze the enemy’s plan in order to have a clear understanding of his strong and weak points. Provoke the enemy into action so as to ascertain his pattern of movement. Lure them into the open so as to find out the vulnerable spots in their disposition. Probe them so as to learn where their strength is abundant and where deficient.” (“Weakness and Strengths,” Sunzi—The Art of War)

Of all the methods of assessing and knowing the enemy, Sunzi attached great importance to using spies. In fact, the last section of Sunzi—The Art of War is solely about the importance and ways of using spies.

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Apart from “knowing,” Sunzi emphasized the importance of “assessing” (computing and planning). He said, “He who makes full assessment of the situation at the pre-war council meeting in the temple is more likely to win. He who makes insufficient assessment of the situation at this meeting is less likely to win. This being the case, what chance has he of winning if he makes no assessment at all?” (“Making Assessment,” Sunzi—The Art of War)

“Assessing” can be viewed as the improvement and extension of “knowing.” In his view, to have an overall knowledge of both sides is only a necessary condition, not sufficient condition to win the war. In order to achieve the final victory, one must know the actual situation, by “examining” (investigating and studying) and “assessing,” so as to decide on the specific strategies and tactics of war. Then one should try to create all the conditions in action to place the enemy in an unfavorable position, in order to defeat them. The reason why Sunzi stressed “assessing” is because he recognized that war is a game of deception. “War is a game of deception. Therefore, feign incapability when in fact capable; inactivity when ready to strike; appear to be far away when actually nearby, and vice versa. When the enemy are greedy for gains, hand out a bait to lure them; when they are in disorder, attack and overcome them; when they boast substantial strength, be doubly prepared against them; and when they are formidable, evade them. If they are given to anger, provoke them. If they are timid and careful, encourage their arrogance. If their forces are rested, wear them down. If they are united as one, divide them. Attack where they are least prepared. Take action when they least expect you.” (“Making Assessment,” Sunzi—The Art of War)

Herein lies a strategist’s subtlety of command which is impossible to codify in hard-and-fast rules beforehand. Again “Momentum” reads, “Generally, in battle, use zheng (normal) to engage the enemy and use qi (sudden) to score victory. The resourcefulness of those skilled in the use of qi is as inexhaustible as heaven and earth and as unending as

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the flow of rivers.” “Zheng and qi constantly change from one to the other, like moving in a circle with neither a beginning nor an end. Who can exhaust their possibilities?” The commanders of both sides are constantly assessing and deceiving each other in order to attain victory with qi. Therefore, the wits and strategies of the commanders are the key elements in determining victory or defeat.

Tao, Heaven, Earth, Commander and Rules and Regulations Though wit and strategy are crucial in determining victory and defeat, war is after all a confrontation of military strength. Therefore, Sunzi maintained that one should adopt specific tactics according to the actual military strength of both sides: “Consequently, the art of using troops is—when you outnumber the enemy ten to one, surround them; when five to one, attack them; when two to one, divide them; and if equally matched, stand up to them. If you are fewer than the enemy in number, retreat. If you are no match for them, try to elude them. No matter how stubbornly a small force may fight, it must in the end succumb to greater strength and fall captive to it.” (“Attacking by Stratagem,” Sunzi—The Art of War)

Sunzi was opposed to the reckless courage of the weak confronting the strong. Sunzi proposed to assess the military strength of a state from different aspects or wholescale. In “Disposition,” he pointed out that in order to assess the military strength (including the potential) of a state, one should bear in mind the five elements: “measurement” (of land), “estimation” (of grain quantity), “number” (of soldiers), “comparison” (of strength), and “assessment” (of the chances of final victory). In “Making Assessment,” he put forward his famous “five fundamental factors” which determine the result of war: “Tao,” “Heaven,” “Earth,” “Commander” and “Rules and Regulations.” First, the decision-maker should persuade people to his way of thinking; that is “moral influence or what causes the people to think in line with their sovereign” (Tao). Second, weather conditions must be favorable (Heaven). Third, the terrain must be suitable for battle (Earth). Fourth, the commander must

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be competent (Commander). Finally, military rules and regulations, as well as military provisions, must be guaranteed (Rules and Regulations). If one has gained advantage over the enemy in all these five aspects, then one can send troops to start the war and the chances of victory in the war are high. If one or two of these five fundamental factors cannot be achieved and there is no way to do so, the troops should not be sent, since defeat would be likely.

Making Oneself Invulnerable First Sunzi had a unique understanding about the purpose of war, that is, “to be able to protect oneself and to win complete victory.” (“Disposition,” Sunzi— The Art of War) One should first of all make sure never to lose a battle, and then try to seize the opportunity to defeat the enemy. He said, “The skilled commanders of the past first made themselves invulnerable, then waited for the enemy’s moment of vulnerability. Invulnerability depends on one’s own efforts, whereas victory over the enemy depends on the latter’s negligence. It follows that those skilled in warfare can make themselves invincible but they cannot be sure of victory over the enemy.” He believed that the decisive factors for not being defeated by the enemy lay with one’s own side, whereas one had to wait for the enemy’s negligence to obtain victory. Therefore, in warfare, he emphasized “protecting oneself” first, and then “winning victory.” For this reason, he again stressed, “Hence, it is a rule in war that you must not count on the enemy not coming, but always be ready for them; that you must not count on the enemy not attacking, but make yourself so strong that you are invincible.” (“Varying the Tactics,” Sunzi—The Art of War)

To Break the Enemy’s Resistance without Fighting “To break the enemy’s resistance without fighting” is one of Sunzi’s important ideas. As is pointed out at the beginning of “Attacking by Stratagem” in Sunzi—The Art of War, “Generally in war, the best policy is to take the enemy state whole and intact; to destroy it is not. To have the enemy’s army surrender in its entirety is better than crushing it; likewise, to take a battalion, a company or a five-man squad intact is better than destroying it. Therefore, to fight a hundred battles and win each and every one of them is not the wisest thing to do. To break the enemy’s resistance without fighting is.”

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It is better to force the enemy to truckle to your demands than to fight destructive battles. By so doing, there will be no loss of either your military and material resources or the enemy’s; “the harm done by resorting to troops” can be largely avoided. In this strategy, it is not the best choice in war to resort to military confrontation. Therefore, in “Attacking by Stratagem” of Sunzi—The Art of War, he said, “The best policy in war is to thwart the enemy’s strategy. The second best is to disrupt their alliances through diplomatic means. The third best is to attack their army in the field. The worst policy of all is to attack walled cities.”

The best policy in war is to achieve goals through stratagems and diplomatic means. It is the last choice to fight in the field and to seize the city. Closely related with the idea of “breaking the enemy’s resistance without fighting,” another idea of Sunzi was “to be careful before starting a war.” He maintained that a great deal of manpower and material resources were required to fight battles, which may claim many soldiers and civilians. Therefore, the king or commander of a state must be careful when deciding to use troops. At the beginning of Sunzi—The Art of War, he stressed, “War is a question of vital importance to the state, a matter of life and death, the road to survival or ruin.” (“Making Assessment” in Sunzi—The Art of War) He said before concluding Sunzi—The Art of War, “To win battles and seize land and cities and yet fail to consolidate these achievements is fraught with dangers as it means a drain on your resources. Therefore, it is said that a wise sovereign makes careful deliberations before launching a war and a good commander handles it with care. Do not go into battle if it is not in the interest of the state. Do not deploy the troops if you are not sure of victory. Do not send them into battle if you are not in danger. The sovereign should not start a war simply out of anger; the commander or general should not fight a battle simply because he is resentful. Take action only if it is to your advantage. Otherwise, do not. For an enraged man may regain his composure and a resentful person his happiness, but a state which has perished cannot be restored, nor can the dead be brought back to life. Therefore, the enlightened sovereign approaches the question of war with utmost caution

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and the good commander warns himself against rash action. This is the way to keep the state secure and the army intact.” (“Attacking by Fire,” Sunzi—The Art of War)

Sunzi taught how to be successful at warfare while advocating a policy of breaking the enemy’s resistance without fighting. Making people cautious of war reflects his policy of “benevolent militarisism.” Later, this policy was adopted by Sun Bin, who strongly emphasized in Sun Bin—The Art of War that “those who love war will lead the country to destruction,” that “he who exhausts all resources to build up military power will perish” and that “when you win all ten battles, that is because the commander is so adept at employing the troops that he secures results far exceeding the blessings of heaven.” The writings of both Sun Bin and Sunzi reveal the ancient Chinese militarists’ humanitarian spirit. What Sunzi and Sun Bin advocated can apply just as well today: “For an enraged man may regain his composure and a resentful person his happiness, but a state which has perished cannot be restored, nor can the dead be brought back to life.” And, “when you win all ten battles, that is because the commander is so adept at employing the troops that he secures results far exceeding the blessings of heaven.” Sunzi’s words should be borne in mind by those decision-makers who control the buttons of nuclear weapons, to save us from the shadow of nuclear war.

The Philosophical Thoughts in Sunzi—The Art of War Sunzi—The Art of War is not only a military work but also a work full of rich philosophical thoughts. The simple holistic and dialectical thoughts of the ancient Chinese thinkers’ are vividly presented in this famous military work. Sunzi’s reflections on the art of war are so general that they can be applied not only to the military arena but also to other human social activities in the fields of politics, diplomacy and business. We can call this kind of highly generalized and philosophicallysummarized stratagem “tactic philosophy.”

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The Simple Holistic and Dialectical Thoughts Sunzi—The Art of War represents the characteristic of emphasizing holistic thinking in ancient Chinese philosophy. Sunzi summarized the key factors in war as “Tao,” “Heaven,” “Earth,” “Command” and “Rules and Regulations,” which he called the “five fundamental factors.” These five major factors represent respectively the five aspects of war as a whole. Assessing the strength and weakness of war will decide whether a battle can be launched or not; the result of the battle will not be determined by weakness and strength in only one or two aspects but by the weakness and strength in all the aspects and the way they are combined. This reveals Sunzi’s way of thinking, which can be called simple holistic thought. It tells people to analyze and assess military strength and weakness by considering all the related factors; when you want to strengthen your defence, lay stress on holistic thinking so that you can pay attention to strengthening each factor and coordinating every factor so as to build up the stable holistic unit which meets the standards. In order to predict the future of war, you should rationalize all the possibilities caused by strength and weakness so that you can achieve what you aim for. Apart from the five fundamental factors, Sunzi’s holistic thinking is evident in other aspects. For example, he pointed out in “Disposition” that one should take the matter as a whole when measuring the military strength of a state, which involves five elements; that is, “measurement of space,” “estimation of quantity,” “calculation of number,” “comparison of strength” and “assessment of chances of victory.” In “Making Assessment,” he proposed to evaluate a commander by his wisdom, trustworthiness, benevolence, courage and firmness. In “Using Spies,” he classified spies into five types—the native, the internal, the converted, the expendable and surviving agents. They serve different purposes and complement one another.

Dialectical Thinking Dialectical thinking is another striking feature of Sunzi—The Art of War. Sunzi put the proposition that “military operations resemble the flow of water,” stressing that when it comes to using troops, all the changing factors of both sides must be considered. He said,

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“Now the law governing military operations is as that governing the flow of water, which always evades high points, choosing lower ones instead. To operate the army successfully, we must avoid the enemy’s strong points and seek out his weak points. As water changes its course in accordance with the contours of the terrain, so a warrior changes his tactics in accordance with the enemy’s changing situation. There is no fixed pattern in the use of tactics in war, just as there is no constant course in the flow of water. He who wins modifies his tactics in accordance with the changing enemy situation and this works miracles. None of the five elements of nature (wuxing) is ever predominant, and none of the four seasons lasts forever. Some days are longer and some shorter. The moon waxes and wanes.” (“Weakness and Strengths,” Sunzi—The Art of War)

There is no doubt that the world is constantly changing. In war, situations can change extremely quickly and complicate matters and make it difficult to predict enemy’s response. Sunzi believed that one can be considered adept at using troops when “he who wins modifies his tactics in accordance with the changing enemy situation.” Sunzi paid special attention to the transforming relationship between two opposing factors. In “Momentum,” he said, “To simulate disorder, there must be strict organization. To simulate fear, there must be great courage. To simulate weakness, there must be strength.”

These opposite pairs of factors, such as, “disorder” and “organization,” “fear” and “courage” and “weakness” and “strength,” are not fixed and static, but alive, transforming from one to the other. In war, it is fairly common to win victory at the point of defeat, and vice versa. Therefore, he emphasized, “The wise commander or general, in his deliberations, will take into account both favorable and unfavorable factors.”

That is, one must approach from both positive and negative perspectives to measure the loss and gain in deploying troops. Approaching the problem from this angle, he offered many warnings to those who use troops. For instance,

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“There are roads one should not take, armies one should not attack, walled cities one should not assault, and territories one should not contest.” (“Varying the Tactics,” Sunzi—The Art of War)

“Do not intercept an enemy returning home; in surrounding the enemy, leave them an escape route; do not press a cornered enemy.” (“Contest to Gain the Initiative,” Sunzi—The Art of War)

These words have become famous as quotations for military commanders of later generations. Sunzi’s dialectical thinking stressed transformation, especially transformation of opposite factors. He made elaborate and pointed analyses about the conflicting phenomena in war, such as enemy versus oneself, hosts versus guests, being dynamic versus being static, advance versus retreat, tardiness verus speed, weakness versus strength, safety versus danger, and victory versus defeat. These constitute the philosophical elements of intelligence in Sunzi—The Art of War.

Attack versus Protection and Advance versus Retreat as Defined by Sunzi You are certain to take what you attack if you attack a place the enemy cannot protect. You are certain of success in holding what you defend if you defend a place the enemy find impregnable. Therefore, against the expert in attack, the enemy do not know where to attack; against the expert in defence, the enemy do not know where to attack. So subtle is the expert that he leaves no trace, so mysterious that he makes no sound. Thus, he becomes the arbiter of his enemy’s fate. His advance is irresistible because he takes advantage of his enemy’s weak position; and his withdrawal cannot be overtaken because it is so swift. Thus, when we wish to give battle, the enemy cannot but leave their position to engage us even though they are safe behind high walls and deep moats, because we attack a position they must rescue. When we wish to avoid battle, we may simply draw a line on the ground by way of

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defence and the enemy cannot engage us because we have diverted them to a different target. (“Weakness and Strengths,” Sunzi—The Art of War)

More versus Fewer as Defined by Sunzi The enemy must not know where we intend to give battle, for if they do not know where we intend to give battle, they must prepare to fight in many places and, when they do that, those we have to fight in any one place will be few in number. Thus, if the enemy make preparations by reinforcing their front, their rear will be weakened; and if they make preparations by reinforcing their rear, their front will be weakened. If they do this to defend their left, their right will be weakened; and if their right, their left will be weakened. To be prepared everywhere is to be weak everywhere. One who has to prepare against the enemy everywhere is bound to be weak; one who makes the enemy prepare against him everywhere is bound to be strong. (“Weakness and Strengths,” Sunzi—The Art of War)

Tactic Philosophy Tactic philosophy refers to the common methods and principles generalized from the wisdoms and strategies of winning victory over the enemy. Due to the severity of warfare, both sides involved in battles are liable to exhaust all the human and material resources that are required to determine life and death within a limited time and space, which calls for comprehensive planning and serious consideration. In this sense, war is a competition of wits on both sides, which is the very birthplace of tactic philosophy. As an outstanding work of military philosophy, Sunzi—The Art of War is praised for its thoughts on the use of tactics in particular. Some quotations have become household words: “War is a game of deception.” “Making full assessment results in victory.” “The best policy in war is to thwart the enemy’s strategy.” “Attack the enemy when they are not prepared; and deal with the enemy when they are unconscious.”

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“Know your enemy and know yourself and you can fight a hundred battles without peril.” “There is no fixed pattern in the use of tactics in war, just as there is no constant course in the flow of water.” “Make the strong and the weak achieve a uniform level of courage.” “The people of Wu and the people of Yue in the same boat would come to each other in a storm.” “Break the enemy’s resistance without fighting.”

From generation to generation, the tactic philosophy in Sunzi—The Art of War has been applied not only to war but also to political and diplomatic struggles and sporting competitions. In today’s society, it has been applied to the field of economics, especially to the management of modern enterprises and to trade wars. It was Japanese entrepreneurs who first applied tactic philosophy to the management of modern enterprises and to trade wars. In 1951, the Japanese entrepreneur Ouhashi Takeo took over the rundown Koishigawa factory, which was transformed into Toyo Seiko Co. Ltd., one of the most prestigious companies in the world. He pointed out in such works as The War Art of Sunzi and Managing by the Art of War that his success lay in the application of such tactics as “making full assessment,” “having a clear picture of the enemy’s situation,” “the responsibilities of the commander,” “making use of qi,” and “breaking the enemy’s resistance without fighting.” Sony Electronics Inc. of Japan admitted that the reason for their tremendous development was that they adopted Sunzi’s tactics of “qi and zheng” by “using zheng to engage the enemy and using qi to score victory,” and constantly introducing new products of high quality and low price. Japanese automobile-makers such as Toyota, Nissan and Honda all exercised such strategies and tactics to win victory over their business rivals in Europe and America: “gathering all the strength of the army,” “winning by striking only after the enemy had struck,” “moving the enemy rather than being moved by him,” “changing according to the enemy,” “taking the enemy when he is not prepared,” and “knowing oneself and knowing the enemy.” Sunzi’s tactic philosophy is also acknowledged in business circles in the United States. How to Win Victory in the Battle of Seizing the

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Market, written by the American scholar Henderson and adapted from Sunzi—The Art of War, is recognized by business leaders as being a definitive work.

The Position of Sunzi—The Art of War at Home and Abroad Sunzi—The Art of War has has been widely studied, both at home and abroad. Sun Wu is recognized and honored as the originator and patron saint of the Oriental art of war.

Sunzi—The Art of War at Home Sunzi—The Art of War was widely read in China after it was compiled into a book. According to “The Five Vermin” in Master Han Fei, in the Warring States Period, “There were families which collected the works of Sun and Wu.” The Art of War was cited in such classics as Strategies of the Warring States, Weiliaozi, Master Lü’s Spring and Autumn Annals, Xunzi and The Book of the Prince of Huainan. During the period of the Three Kingdoms, Zhuge Liang highly praised Sunzi’s use of tactics, saying, “Cao Cao is different from others in that he has plenty of wit and ideas and uses his troops just like Sun and Wu.” (The Complete Works of Zhuge Liang)

Different editions of Sunzi—The Art of War

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Cao Cao himself annotated Sunzi—The Art of War, and wrote, “Among all the books and bamboo strips on war I have ever read, Sunzi’s works were the most profound.” (“The Preface to Sunzi,” The Complete Works of Cao Cao) In the Tang Dynasty, Li Shimin said when he was talking to the famous commander Li Jing, “There is no book of military tactics which can exceed that of Sun Wu.” He particularly admired Sunzi’s unique approach to problems and his ability to assess advantages and disadvantages. Mao Yuanyi, the military attaché and scholar in the Ming Dynasty regarded Sunzi—The Art of War as the fundamentals of the Chinese classics of war, saying, “Among the six pre-Qin military strategists, Sunzi left none unnoticed, and of those after him, no one can leave Sunzi unnoticed.” (“Comments on Formula of War,” Treatise on Military Preparations)

Sunzi—The Art of War Abroad Sunzi—The Art of War has exerted great influence abroad. Since the eighth century (the Tang Dynasty in China), this book of military tactics was widely distributed after it was taken to Japan by an overseas student, Kibino Makibi. In the fifteenth century, Sunzi—The Art of War was taken to Korea of Lee. By the seventeenth century, there were more than a hundred and seventy different works on Sunzi—The Art of War in Japan, among which Sayings from Sunzi by Yamaga Sokou and Wind, Woods, Fire and Mountains—Banners of Sunzi by the military officer Takeda Shingen were the most famous. In the Russo-Japanese War of 1905, Nogimare Suke, the commander of the Japanese troops, won a victory over the Russians by applying tactics from The Art of War. After the victory, he published at his own expense Sayings from Sunzi and gave the books to his relatives and friends. In 1772, a priest named Amio took the book to France and a French translation appeared in Paris. In 1860, it was translated into Russian, then into such languages as English, German, Italian, Czech, Vietnamese, Hebrew and Romanian. The first English version was published in Tokyo in 1905. In 1910, Lionel Ciles’s version was published, which was reasonably faithful to the original. In 1963, Samuel B. Griffith, an American brigadier, published his English version in the United States; this is generally recognized as one of the best translations in the West. After the Second World War, famous militarists and scholars became increasingly conscious of the value of the tactic philosophy in Sunzi—The Art of War. The Russian scholar Professor Radzin said,

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“Sunzi played as great a role in the ancient Chinese military theoretical development as Aristotle did in many other fields.” (New Discoveries about Sunzi: Discussions from Chinese and Foreign Scholars) Marshal Montgomery, the British militarist, once said that Sunzi—The Art of War should be listed as one of the compulsory courses in military schools and colleges worldwide. (New Discoveries about Sunzi: Discussions from Chinese and Foreign Scholars) James Clavell, an American translator of Sunzi—The Art of War, said, “Were I in the position of the highest commander or elected as the president or premier, I would prescribe in law that all the officers, especially the generals, should be tested on Sunzi—The Art of War, twice each year, one oral and one written examination, in which the passing score shall be 95. Any general who failed in these examinations should be dismissed with no right to appeal. Other officers should be demoted in rank if they failed.” Today, there are numerous new translations and works on Sunzi— The Art of War. According to one scholar, there were as many as seven English versions in the West in the twentieth century. According to another source, by the end of December 1992, there were twenty-nine versions in different languages, among which were six versions translated in China, twenty-three in other countries, including one in Swahili and one in Tamil. Another reason for the popularity of Sunzi—The Art of War is that although it is a military work, its influence goes far beyond the military field to guide people in economics, politics, culture, diplomacy, sports and other aspects of everyday life. This is particularly evident in the field of economics, in the management of modern enterprises and in the competition between modern businesses. The Japanese scholar Murayama Mako said that there were two backbones for the survival and development of Japanese enterprises—one, the American modern management system, the other, the tactics and strategies in Sunzi—The Art of War. The famous Japanese entrepreneur Mutsushi Takounosuke claimed that it was Sunzi—The Art of War that helped him establish his “Matsushita Kingdom” of over a hundred and thirty factories on all five continents. He said, “Sunzi, the ancient Chinese sage is the number one god. All employees are supposed to prostrate themselves in his worship and to memorize his art of war in earnest so as to use it at ease. Only in this way, will the corporation flourish and grow prosperous.” Oumae Kenichi, president of the Makenki Company wrote an article entitled “Sunzi’s Influence

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on the Management and Administration,” which pointed out that the advantage Japanese enterprises had over those in Europe and the United States was “the Japanese adoption of the Chinese art of war to guide management and administration, which ensures greater efficiency than that in management and administration in the American enterprises.” He cited Sunzi—The Art of War several times in his The Wits of a Strategist, maintaining that it is “the textbook of the highest level” for Japanese entrepreneurs. Roger Smith, president of the board of General Motors, on taking first place in world sales of automobiles in 1984 (8,300,000 cars), said that the secret of his success was that he “had learned so much from Sunzi—The Art of War, written by a Chinese strategist two thousand years ago” that he had acquired the “brain of a strategist.” Courses on Sunzi—The Art of War being offered in colleges of business administration at both Harvard University and Colombia University require students to memorize the book. Sunzi’s words of wisdom are heeded worldwide. Just as the famous scholar of Land Company Bragg commented, “Sunzi’s wisdom possesses as immortal a value as Confucius’s, which belongs to the world.”

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漢 CHAPTER FOURTEEN

The Records of the Historian and The History of the Former Han Dynasty

Sima Qian and The Records of the Historian

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Ban Gu and The History of the Former Han Dynasty

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Free-style calligraphy of“漢”(han) means “Han Dynasty or Chinese people” in Chinese

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Sima Qian and The Records of the Historian The Life of Sima Qian and the Writing of The Records of the Historian The Records of the Historian is a comprehensive history in annalsbiographical style by Sima Qian of the Western Han Dynasty. Sima Qian, whose courtesy name was Zichang, was born in Xiayang, in the south of the present Shaanxi Province in either 145 BC or 135 BC in the Western Han Dynasty and died around 90 BC , near the end of the reign of Emperor Wu of the Han Dynasty. Sima Qian’s father, Sima Tan, held the office of Grand Historian at the beginning of Emperor Wu’s reign, in charge of astronomical affairs, the calendar and divination rituals as well as the imperial library and annals. Sima Qian received such a good education that he was wellversed in classical Chinese texts by the age of ten. Later, he learned from such masters of Confucianism at the time as Dong Zhongshu and Kong Anguo. At the age of twenty, he set out on a tour of the country and traveled extensively, visiting a lot of places of historical signifigance. His travels and business tours around the country, after he was appointed an official, not only broadened his views, but also enriched his knowledge. He visited the sites where many historical events occurred, and collected a large quantity of historical and current data, which gave him important background for writing The Records of the Historian. When he began to serve at court as an attendant to Emperor Wu, Sima Qian was commissioned to go to the southwest to carry out a survey. In 110 BC , his dying father told him that he wished Sima Qian would write a comprehensive history. Three years later, Sima Qian inherited the post of Grand Historian. In addition to helping the Han court amend the calendar, Sima Qian began his preparations for the writing of The Records of the Historian. In 104 BC , when the new calendar was finished, Sima Qian devoted himself to writing. In 98 BC , Sima Qian was imprisoned because of “the Li Ling incident.” Li Ling, grandson of Li Guang, a famous general in the Western Han Dynasty, was forced to surrender to the Huns when his army was overwhelmed by their superior numbers. When Sima Qian subsequently defended Li Ling in front of Emperor Wu, he was punished by being castrated. Only his determination to write his book of history gave him the strength to endure the humiliation. After he was set free,

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Sima Qian was appointed Edict Announcer and concentrated on writing The Records of the Historian, which was completed before 93 BC .

The Style and Contents of The Records of the Historian The Records of the Historian contains a hundred and thirty chapters in twelve basic annals, nineteen tables, eight treatises, records of thirty hereditary houses and seventy collected biographies, totaling over 500,000 characters; it covers events from the time of the legendary Yellow Emperor down to Sima Qian’s time, when Emperor Wu of the Han Dynasty reigned. It is a comprehensive, systematic historical record. Originally, the book was titled The Book of the Grand Historian. Later scholars in the Western and Eastern Han dynasties named it The Grand Historian, The Records of the Grand Historian and Records of the Grand Historian. It was not until the end of the Eastern Han Dynasty that the title was abbreviated to The Records of the Historian. While writing The Records of the Historian, Sima Qian incorporated the compiling methods of the pre-Qin historical texts and classified the book into basic annals, tables, treatises, hereditary houses and collected biographies. The basic annals were devoted to the emperors. They were written in the court annals tradition and covered the rise and fall of dynasties from the Yellow Emperor down to Emperor Wu of the Han Dynasty and some other important historical events in dynastic and chronological order. The tables were divided into generations, yearly and monthly tables, which listed complicated historical events in summary form. Treatises were histories of various subjects, concerning the institutions and The Records of the Historian situations of social politics, Printed in the Southern Song

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economy, rituals, music, calendar, astrology, hydraulic projects, and so forth. The records of the hereditary houses were written in the form of annals to give accounts of the feudal families who were conferred titles and passed them on to later generations. The collected biographies are memoirs of dukes, senior officials, generals, ministers and the important people of various social classes. A few chapters recorded the history of the minority ethnic groups of China and those countries which maintained some contact with China. Among the five parts mentioned above, the basic annals, hereditary houses and collected biographies are virtually biographies which centered around people to give accounts of history and take up eighty-six percent of the book. Written in the annalsbiographical style, The Records of the Historian brings to life the vivid, complicated and rich history of early China.

Sima Qian’s Historical and Literary Achievements In the pre-Qin era, historical texts were mainly written in chronological style, such as The Spring and Autumn Annals and Zuo’s Commentary on the Spring and Autumn Annals. Other compiling methods were also used. For instance, Discourses of the States and Strategies of the Warring States Period related historical events according to the states. Spring and Autumn of Yan Ying related the story of Yan Ying, Prime Minister of the Qi state. On the basis of incorporating the compiling methods of the pre-Qin historical texts, The Records of the Historian initiated the annal-biography genre. It is an important milestone in the development of ancient Chinese historiography. The Records of the Historian is a comprehensive history covering three thousand years and, although the history of the Han Dynasty from Exalted Emperor of the Han Dynasty to Emperor Wu lasted for only about a hundred years, it occupies half the book. The style of giving more space to the present than to the past greatly influenced the way comprehensive histories were later written. Generally speaking, the data to which Sima Qian referred in writing The Records of the Historian came from the imperial library books, archives, the materials collected and compiled by his father, the materials he collected from his tours of investigations and contemporary events that he saw, heard and experienced himself. In handling the collected materials, Sima Qian displayed careful judgment, using only records he

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considered genuine, based on authentic materials. Sima Qian was also critical, especially of the contemporary history of his time. His exposure of the dark side of society embodied the tradition of the faithful recording of history in ancient China. For example, he did not hesitate to recount the excesses of court life during Emperor Wu’s reign. In its recounting of historical characters, The Records of the Historian began with the name and hometown of the leading characters, moved on to family background, life experience, descendants and the rise and fall of families, and ended with a brief comment by its author. This type of structure guaranteed a full picture of the characters and created a new biographical style. The Records of the Historian selected typical experiences of the main characters to show their major characteristics, rather than taking the form of a journal. For example, Xiang Yu fought over seventy battles in eight years, from the time he took up arms to fight against the Qin Dynasty to his suicide in the Wujiang River. However, “The Basic Annals of Xiang Yu” only highlighted three key incidents—the Battle of Julu, the Banquet of Hongmen and the Battle of Gaixia—to show Xiang Yu’s charm, power, bravery and his tragic end. In addition, “The Collected Biographies of Wei Qi and Duke of Wuan” vividly portrayed figures like the sinister Dou Ying, the violent Guan Fu and the wicked Tian Fen by describing their jostling for power. Sima Qian was an expert at portraying characters through detail. He paid special attention to the psychology of the characters and was also adept at using words to highlight personality. For example, in “The Collected Biographies of Lian Po and Ling Xiangru” is this description of Ling Xiangru: In court, in order to return the Heshi jade disc intact to the state of Zhao, Xiangru “retreated to stand with his back to a pillar, his hair bristling with fury,” and then glancing at the pillar, he raised the jade disc and threatened to smash it against the pillar, saying “If Your Majesty forces me with your mighty power, I shall smash my head and the jade disc against the pillar today,” demonstrating his determination to live or die for the state treasure. In Mianchi, where the monarchs of Qin and Zhao met, the king of Qin wanted the king of Zhao to play the zither for him, though the monarchs of the two states were equal in status. So Xiangru also asked the king of Qin to play the crock to entertain the king of

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Zhao. The king of Qin refused. “Xiangru said, ‘I am only five steps from you. I can splatter on you, great king, the blood from my neck!’ The court attendants wanted to kill him, but Xiangru opened his eyes wide and shouted at them so fiercely that they all shrank. Thus, the king of Qin dipleased but he beat the crock once.”

This description vividly portrays Ling Xiangru’s bravery, courage and determination to uphold the dignity of his state.

The Historical Perspective of Sima Qian Sima Qian said that he wrote The Records of the Historian “to investigate the relationship between the tao of heaven and the tao of human affairs and to examine the evolution and shaping of history, thus forming the perspective of one school of thought.” He showed his sense of history by stating that he studied history by means of “examining everything from beginning to end, checking the course from prosperity to decline.” This explains why the descriptions of social life in The Records of the Historian are vivid and comprehensive. Not only details of political life, but also of economic life, agriculture, industry, commerce, currency, finance, hydraulic projects, etc. are contained in the book; not only the Han Dynasty, but also many neighboring countries and ethnic groups are included; there are not only emperors and ministers, but also many people of the middle and lower classes; not only great statesmen, thinkers and literalists, but also assassins, knights errant, entertainers and diviners; not only successful heroes, but also defeated heroes. The Records of the Historian contains such riches as the treatise on Rites, Music, War, Calendar, Astrologers, Rivers and Canals, Economy and collected biographies of Merchants, the Huns, the South Vietnamese, the East Vietnamese, Korea, the Southwestern Tribes and Dawan. The Records of the Historian is like a searchlight, illuminating every level and every corner of the social history of the time. The Records of the Historian is also a gallery of historical figures. Guan Zhong, Yan Ying, Confucius, Xunzi, Qu Yuan, Jia Yi, Lian Po, Ling Xiangru, Lu Zhongda, Tian Dan, Wang Zhu, Xinlingjun, Hou Ying, Jing Ke, Nie Zheng, Chen She, Xiang Yu, Li Guang, Guo Jie, and Chun Yukun are all on stage, each alive and vivid. Regarding the relationship between heaven and man, Sima Qian

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recorded many examples to show the correspondence between symbols of heaven and human affairs. However, he was also deeply influenced by Xunzi’s thought about the independence of heaven and man. In “Biography of Boyi,” he challenged the concept of the Mandate of Heaven: “Some people said, ‘The tao of heaven doesn’t show special favor to anybody, but it often helps good people.’ Weren’t Boyi and Shuqi kind? They were benevolent and virtuous, yet they were starved to death. As to the seventy disciples, Confucius particularly praised Yan Yuan for his diligence. However, Yan Yuan was often so impoverished that he did not have enough grain or millet to eat. As a result, he died early. Heaven rewards good people or does it? The thieves and robbers are killing people every day, taking out their livers and eating their flesh, being so violent and ruthless that they gather several thousands of followers and run wild everywhere, yet they are often able to enjoy a long life. What kind of virtue is followed here? These are the most representative examples to illustrate the point. As far as recent eras are concerned, those who always broke the laws instead of obeying them have enjoyed ease and joy, wealth and luxury, while those who (just as Confucius taught) carefully selected their dwelling place, spoke at the appropriate moment, walked only on the main road instead of the narrow paths and never gave vent to anger unless to maintain justice often end up suffering disaster. Such cases are countless and I feel extremely troubled. If this is the so-called tao of heaven, then, is this tao of heaven right or wrong?”

In accordance with this, Sima Qian stressed the importance of human activities in history. Before he died, Xiang Yu said, “Heaven is against me. It is not due to the mistake I have made in the war.” Sima Qian said, “Isn’t this a fallacy?” He believed that the strategies of man, the doctrines of a country, the appointment of people by the monarchs are all crucial to the survival of a country. He said again and again, “Doesn’ t the key to survival lie in strategies?” (Comment on the “Basic Annals of Emperor Jing of the Han Dynasty”) “It is true that ‘security lies in its orders, survival lies in its appointment.’” (“The Hereditary House of King Yuan of the State of Chu”) “The only key to the prosperity of a country consists in selecting appropriate generals and ministers! Appropriate generals and ministers!” (Comment on “Collected Biographies of the Huns”)

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Politically, Sima Qian was in favor of unification instead of division; of appointing virtuous people and practicing benevolence instead of violent government by ruthless officials. What did the unification of a country rely on? In early Chinese history, clan government relied on the clan system to maintain and consolidate power. When he was writing about the ancient history, Sima Qian first sorted out the legendary history as recounted by the pre-Qin scholars, then compiled a comprehensive genealogical system beginning with the Yellow Emperor as the remote ancestor, with Yao, Sun and the monarchs of Xia, Shang, Zhou and Qin belonging to the same genealogical clan. All the people in China share one ancestor and one origin, for they are all the descendants of the Yellow Emperor. This became a link to maintain the unity of the country, and has remained a traditional cultural concept, indestructible and full of implication, in reinforcing the cohesive force of the Chinese nation.

The Influence of The Records of the Historian on Later Generations The Records of the Historian had a strong impact on later generations, especially in the fields of historiography and literature. Centering around the emperors to give an account of history, the annals-biography genre reflects social life on every level. This genre won favor with the ruling classes of succeeding dynasties and was the only pattern used by historians of later generations to compile the official “standard history.” The twenty-four books of “standard history” of ancient China all adopted the annals-biographical form. The Records of the Historian is recognized as the premier of the twenty-four “standard histories” and a monumental work in the history of Chinese historiography. Sima Qian also set an example for later historians in being truthful and critical in his writing. This genre centers around characters to organize textual structures and employs a variety of descriptive approaches and the skillful use of language to narrate the plots of the stories and to portray the characters; this style was followed by literalists of later generations in writing biographical works. Prose from the ancient texts of the Tang and Song dynasties to the prose in the Ming and Qing dynasties, and novels from the legends of the Tang Dynasty to the novels of the Ming and Qing dynasties, were all greatly influenced by The Records of the Historian. Novels such as Annals of the States of the Eastern Zhou Dynasty and

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Popular Romance of the Western Dynasty and many dramas written in the Yuan and Ming dynasties all drew their data from The Records of the Historian. Lu Xun praised The Records of the Historian as “the masterpiece of historians and rhymeless counterpart of Chuci” in Outline of Chinese Literary History.

Ban Gu and The History of the Former Han Dynasty The Life of Ban Gu The History of the Former Han Dynasty is a history of the Western Han Dynasty in annals-biographical format by Ban Gu of the Later Han Dynasty. Ban Gu was born in Anling County (to the northeast of the present Shaanxi Province) in AD 32 and died in AD 92 at the age of sixtyone. Ban Gu was born into a noble family and was a relative of the empress. His father Ban Biao was a historian with a full knowledge of the Han Dynasty and was author of dozens of articles, as recorded in Supplement to The Records of the Historian. Ban Gu received a very good education; he was able to recite poems and proses and write articles at the age of nine. At the age of sixteen, he was enrolled in the Imperial School at Luoyang, where he read the classics of Confucianism and books of the Hundred Schools of Thought. When he was twenty-three, his father died. Ban Gu left school and went back to his hometown. While mourning for his father, Ban Gu made up his mind to carry on his father’s ambition and bring his father’s unfulfilled wish to completion. Thus, he began to write The History of the Former Han Dynasty at home. Before long, someone informed the court that Ban Gu was secretly writing a history of the country. Emperor Ming of the Han Dynasty issued an edict to have Ban Gu arrested and his manuscripts confiscated. Ban Gu’s brother, Ban Chao, sent a letter to Emperor Ming defending his case, saying that Ban Gu was writing the book to finish the history of the Han Dynasty begun by his father. Ban Gu’s manuscripts were also sent to the court. After he read the manuscripts, Emperor Ming was amazed at Ban Gu’s literary skill and historical talent. In the end, Ban Gu was summoned to the Department for Editing Books, where he was appointed one of the official historiographers of Lantai. Soon he was

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promoted to the post of court attendant, when he was able to concentrate on writing The History of the Former Han Dynasty. Lantai was the imperial library in the Eastern Han Dynasty and the court attendant was responsible for editing the imperial books. These were excellent circumstances for Ban Gu to write The History of the Former Han Dynasty. In Lantai, Ban Gu also participated in writing The Basic Annals of the Former Emperors. He also independently wrote twenty-eight chapters of the collected biographies and records of the meritorious ministers, including Pinlin, Xinshi, and Gongsun Shu, as well as “The Prose-poetry of the Two Capitals” in honor of the eastern capital Luoyang. Emperor Zhang of the Han Dynasty loved literary works, so Ban Gu won special favor from the emperor. It took him about twenty years to write The History of the Former Han Dynasty, which was completed in the seventh year (AD 82) of the era of Jianchu. In AD 78, Ban Gu was promoted to the position of Commander of the Xuanwu Gate to the palace, as a chief guard. In AD 89, he was employed at the house of Dou Xian, who was a relative of the empress dowager, and with whom he went on a military expedition against the Huns. The north Huns were badly defeated and the Yanran Mountains were conquered. In AD 92, Dou Xian was forced to commit suicide after being charged with treason. Ban Gu was implicated and removed from his post before being taken prisoner. He died in prison in Luoyang in the same year.

The Three Stages in Writing The History of the Former Han Dynasty The History of the Former Han Dynasty was written in three stages. First was, Supplement to The Records of the Historian by Ban Biao. The Records of the Historian by Sima Qian only covered the history of the Western Han Dynasty from the beginning to the era of Taichu of Emperor Wu, that is, around 100 BC. Volumes were lacking for the period from the era of Taichu to Wang Mang, who set up the New Dynasty. A number of later scholars attempted to continue the compilation of the history of the later Western Han Dynasty unrecorded in The Records of the Historian. Among them, Ban Biao collected the materials of the later Western Han Dynasty and wrote dozens of chapters in Supplement to The Records of the Historian, on the basis of which Ban Gu wrote The History of the Former Han Dynasty. It is

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impossible to determine today which parts of The History of the Former Han Dynasty were written by Ban Biao. Second were the works of Ban Gu himself. Ban Gu’s objective in writing The History of the Former Han Dynasty was to make up for the two deficiencies of The Records of the Historian. To begin with, as The Records of the Historian only covered part of the Western Han Dynasty, it was necessary to supplement it, which was his father’s unfulfilled ambition. Then, as The Records of the Historian adopted the genre of comprehensive history and listed the emperors of the Han Dynasty at the back of the book, Ban Gu felt that this could not lend legitimacy to the dynasty’s rule as a descendant of Yao. Therefore, it was necessary to rewrite the history of the Han Dynasty in the form of a dynastic history in order to highlight the legitimacy of the Han Dynasty. Third came the supplements written by Ban Zhao and Ma Xu. Ban Zhao was Ban Gu’s sister, Cao Shishu’s wife, who was nicknamed Master Cao; Ma Xu was the brother of Ma Rong, a well-known scholar in the Eastern Han Dynasty. The History of the Former Han Dynasty was not completed before Ban Gu died in prison. Ban Zhao supplemented the “Eight Tables,” Ma Xu the “Essays on Astrology,” and Ban Zhao reviewed and finalized the whole book. It was not until then that The History of the Former Han Dynasty was completed. The History of the Former Han Dynasty covered the span of one dynasty, the Western Han Dynasty. As to the history prior to the era of Taichu of Emperor Wu, The History of the Former Han Dynasty often copied, though sometimes added or cut out, the original texts of The Records of the Historian. In regard to the history after the era of Taichu of Emperor Wu, The History of the Former Han Dynasty often referred to Supplement to The Records of the Historian by Ban Biao. The uncompleted eight tables and the essay on astrology were completed by Ban Zhao and Ma Xu. In the Southern and Northern Dynasties, Liu Zhao of the Liang Dynasty of the Southern Dynasties said in Preface to the Annotations of The History of the Later Han Dynasty, “Sima Qian’s book was quoted, while Ban Biao’s notes were referred to, so that for the history preceding the era of Taichu, Ban Gu mostly adopted Sima Qian’s version. Nevertheless, the ten essays were more comprehensive than those of Sima Qian, thanks to over twenty years’ hard work in the Department for Editing Books. Ma Xu wrote the essay on astrology, while

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Ban Zhao composed the eight tables to complete The History of the Former Han Dynasty. What a job it is to fulfill the ambition of one’s father.”

The Style and Contents of The History of the Former Han Dynasty The History of the Former Han Dynasty followed the style of The Records of the Historian; it covers the history of a single dynasty, the Western Han Dynasty, and has been acknowledged as the first dynastic history in the annals-biographical format. It spans the first year of the reign of the Exalted Emperor of the Han Dynasty (206 BC) to the era of Dihuang of the New Dynasty of Wang Mang, a total of 230 years. It is divided into four sections—Annals, Tables, Essays and Biographies, numbering twelve, eight, ten and seventy respectively, a hundred chapters in all in a hundred and twenty volumes. Though The History of the Former Han Dynasty follows the style of The Records of the Historian, it has unique features. In the first place, The Records of the Historian is a comprehensive history in the annals-biographical format, while The History of the Former Han Dynasty initiated a dynastic history in the same form. In the second place, while inheriting the various forms of the annalsbiography genre in The Records of the Historian, The History of the Former Han Dynasty saw some innovations. As a result, The History of the Former Han Dynasty is richer in content than The Records of the Historian. For example, as far as the section on annals is concerned, each of the basic annals may include five emperors in one dynasty, or just one emperor. The History of the Former Han Dynasty set up the pattern of one emperor in each of the annals. In regard to the section of Tables, The History of the Former Han Dynasty had three more parts than The Records of the Historian— Relatives of the Empress, Administration and Famous Persons, among which the “Table for Administration” was most appreciated by people of later generations. Being a record of the institutions of administration, this Table was divided into two sections—the preface and the tables. The former initiated the form of “essays on officials” used in later historical records in annals-biographical form, while the latter set the pattern for later historical records with, for example, the “Table of Prime Ministers” and the “Table of Officials.”

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Regarding the section on essays, The History of the Former Han Dynasty substituted “The Treatises” in The Records of the Historian for “Essays.” Among the ten essays in The History of the Former Han Dynasty, those items similar to The Records of the Historian were more substantial in content. The other four essays “The Essay on Penal Code,” “The Essay on Five Agents,” “The Essay on Geography” and “The Essay of Dynastic Biographies” were new items. “The Essay on Penal Code” was a brief history of the penal codes from remote antiquity to the end of the Western Han Dynasty. “The Essay on Five Agents” was devoted to the interpretations by Dong Zhongshu, Liu Xiang and Liu Xin of Gongyang’s Commentary on Spring and Autumn Annals, Guliang’s Commentary on Spring and Autumn Annals and Zuo’s Commentary on the Spring and Autumn Annals from the perspective of yin-yang and the five agents, in addition to their and other scholars’ interpretations of the history of the Western Han Dynasty, in which peculiar natural occurrences were regarded as analogous to human affairs. “The Essay on Geography” recounted the changes in administrative divisions between the prefectures of the Han Dynasty, in addition to residence registration, products, folk customs, economic situations, location of mountains, sources and courses of rivers and mineral resources. It became the model for writing general essays on a national scale for later generations. “The Essay of Dynastic Bibliography” traced academic development from the pre-Qin period to the Western Han Dynasty and recorded the books available by classification. As the earliest comprehensive catalogue now available in China, it is of great significance to the understanding and research of the ancient academic culture in China. The treatises or essays modified by The History of the Former Han Dynasty roughly outlined the scope of historical records and official dynastic history. As for the section on “Collected Biographies,” The History of the Former Han Dynasty left out the section on hereditary houses in The Records of the Historian. Instead, it incorporated this part into the section on Biographies. Though The History of the Former Han Dynasty and The Records of the Historian both included the important figures of the early Western Han Dynasty, The History of the Former Han Dynasty contained much more valuable material. Ban Gu went to great lengths to collect material concerning politics, economy, military and academic matters, integrating them into his portrayals of his

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characters. For instance, in the “Biography of Jia Yi,” three memorials, for example, “The Memorial on State Affairs” were added; in the “Biography of Chao Cuo,” four memorials, for example, “The Memorial on Military Affairs” were supplemented; in the “Biography of Jia Yi,” one essay on “Admonition” was complemented; in the “Biography of Mei Cheng,” two essays of “Memorials on Advising the King of Wu” were supplemented; and in the “Biography of Dong Zhongshu,” three essays of “Strategies of Appointing Virtuous Officials” were added. Those memorials and essays by contemporary people described national strategies and frontier defenses, as well as employment skills. Important as they are as historical data, they were not recorded in The Records of the Historian.

The Historical Perspective and Literary Achievements of The History of the Former Han Dynasty Ban Gu wrote that he compiled The History of the Former Han Dynasty so as to “list all the historical events, imbue them with the spirit of the Five Classics and penetrate into all things above and below.” He also said that “The History of the Former Han Dynasty told of the lives of emperors, listed administrative institutions and recorded the names of marquises and princes. Based on the way of heaven and earth, in addition to the theory of yin-yang, it explored the supreme ultimate to interpret the relationship between heaven, earth and man. It divided the country into large areas, introduced their products, investigated their customs and covered everything possible. Adopting the Six Classics as the outline, it is dotted with the concepts of tao, while summarizing the Hundred Schools of Thought and complimenting the classical texts. Embracing elegant allusions, it incorporated both the present and the past, revising the words to build up a school of its own.” Emperor Wu accepted the advice of Dong Zhongshu, “rejecting other schools of thought and only respecting Confucianism,” and established Confucianism as the official ideological doctrine. Dong Zhongshu was the main advocate of the theory of correspondence between heaven and man, the divine power of the emperor and the cycle of five agents. Confucianism then was not the Confucianism of the time of Confucius and Mencius. Instead, it was an amalgamatation of Confucianism and cosmology. In the Western and Eastern Han dynasties, as belief in divination combined with mystical Confucianism prevailed, the

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yin-yang and five agents theories became an important part of Confucianism. As Ban Gu lived in the early Eastern Han Dynasty, this kind of Confucianism became his guiding principle, as reflected in The History of the Former Han Dynasty. For example, in the final complimentary words of “The Basic Annals of the Exalted Emperor of the Han Dynasty,” Ban Gu outlined the genealogical line from Yao to Liu Bang, the founder of the Han Dynasty, in order to prove that Liu Bang was a descendant of the ancient sages; he also employed portents The History of the Former Han Dynasty and omens to show that Yao Printed in the Northern Song Dynasty ruled by the virtue of fire, which was handed down to Han. In “The Essay on the Five Agents,” “The Biography of Liu Xiang” and “The Biographies of Gu Yong and Du Ye,” Ban Gu gave many accounts of using natural occurrences and catastrophes and the theories of yin-yang and the five agents to interpret social phenomena. Ban Gu often critically investigated and analyzed historical evolution and problems in social life. His description of the rise and fall of the Qin, Western Han and Wang Mang’s New Dynasty is a good example. The rise of the Qin Dynasty was due to the accumulated achievements of many generations for over a century, so that by the time of the First Emperor of the Qin Dynasty, he was able to wipe out the other original six states, unify the country and establish a unified dynasty with centralized power. After it was established, the Qin Dynasty, using the fall of the Zhou Dynasty as an example, came to believe that “Qin rose on account of the daring suggestions of the Qin ministers and its attack against those weak ones in the midst of struggles between the fiefdoms and aggression from the tribes around.” As a result, Qin selectively adopted some strong defensive measures and maintained a ruthless government. But it only survived for a dozen years before it was swept away by the anti-Qin

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rebellions. Qin’s inevitable fall provided an opportunity for Liu Bang, with no generations of achievement behind him, to exterminate the Qin Dynasty and defeat Xiang Yu. Rather, he dominated the country, established the Han Dynasty and assumed the title of Emperor through the power he gained during the revolt against the Qin Dynasty. In the late years of the Western Han Dynasty, since the time of Emperor Yuan, there had been signs of decline. By the time of Emperor Cheng, the empress dowager’s relatives—the Wang clan—usurped power. By the time of Emperor Ping, Wang Mang, with strong support from Emperor Yuan’s empress, finally succeeded in abolishing the Han Dynasty, established his own New Dynasty and proclaimed himself emperor. Wang Mang’s usurpation of power, and the unsolved social conflict, heavy taxation, cruel penal code, years of natural catastrophes and unjust wars against the border ethnic groups gave rise to anti-Wang Mang revolts. In the end, Wang Mang was killed, and his New Dynasty was overthrown. This narrative was based on historical fact and proved that the rise and fall of the Qin, Western Han and New Dynasties were not uncommon. The history of Emperor Wu is another example. On the one hand, Ban Gu fully acknowledged the talent, superior vision, cultured government and military achievements of Emperor Wu; on the other hand, he exposed and criticized Emperor Wu’s luxurious life style, excessive engagement in military ventures and use of cruel punishments. In regard to social situations, Ban Gu paid more attention to the economy and people’s living conditions. He believed that the principal task in governing a country was to develop the national economy and enrich people’s lives. Based on this, he often judged the merits and weak points of a political situation through the economic situation and the people’s living standard at the time. From the perspective of historical literature, The History of the Former Han Dynasty is not as vivid as The Records of the Historian, but it is well-conceived and concise. Fan Ye praised it as being “abundant but not unworthy, detailed but adherent to a style of its own” (“The Biography of Ban Biao,” Comment on The History of the Later Han Dynasty) . Liu Zhiji praised The History of the Former Han Dynasty as “full of concise words and well-conceived events,” and “full of elegant descriptions and reasonable analysis” (On Histography).

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The Impact of The History of the Former Han Dynasty on Later Generations The History of the Former Han Dynasty played a very important role in the history of Chinese historiography and literature. Ban Gu introduced the dynastic annals-biographical genre and transformed the five sections of Basic Annals, Tables, Treatises, Hereditary Houses and Collected Biographies in The Records of the Historian into the four sections of “Annals,” “Tables,” “Essays” and “Biographies,” setting the basic style for the writing of historical records. Ban Gu measured right or wrong through the tenets of Confucianism and was able to give a true record of history while maintaining the perspective of the divine power of the emperor. This style was followed by later historians and has had a far-reaching effect on the method of compiling the ancient history of China. Literarily, The History of the Former Han Dynasty is another representative work of biographical literature, following The Records of the Historian. Concise and elegant in dictation, The History of the Former Han Dynasty greatly influenced the development of classical Chinese writing in the Tang and Song dynasties and the writing and style of prose in later generations.

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Astronomy and Calendars

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Arithmetics

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Medicine

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Paper Making

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Free-style calligraphy of“科”(ke) means “science” in Chinese

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The Western and Eastern Han dynasties witnessed further developments in the economy and in science and technology. The four traditional major disciplines gradually took form, along with notable inventions and discoveries. In the 1970s, a number of silk books, bamboo strips and wood strips from the Han Dynasty were excavated, which provided new materials for the study of the achievements in science and technology in the Han Dynasty.

Agriculture and Agricultural Technology In the early years of the Han Dynasty, agriculture reached a new level due to the policy of “encouraging agriculture and suppressing commerce,” the increased use of iron farm tools, the use of cattle in plowing, and the building of irrigation works. People’s knowledge about selecting seeds, differentiating types of soil, fertilizing and managing crops was more advanced than in the pre-Qin Period. This can be exemplified in the “alternative farming” in the middle Western Han Dynasty and “regional farming” in the late Western Han Dynasty, and the use of Monthly Climate and the Four Walks of Life, the classic on agriculture, in the late Eastern Han Dynasty.

Alternative Farming “Alternative farming” was invented by Zhao Guo in the late years of Emperor Wu’s reign to preserve moisture and to protect against drought in the dry farming area in the north-west of China. According to Part I of “The Roll of Food and Commodities” in The History of the Han Dynasty, “Emperor Wu appointed Zhao Guo as the official in charge of grain production. Zhao Guo was an expert in alternative farming. He divided one mu of field into three furrows and three ridges which would be farmed every alternate year. The seeds would be sowed in the furrows and, as the seedlings grow, the field should be weeded a little. By ploughing, the soil would be attached to the seedlings. . . . By midsummer, the crops would be deeply rooted, grown taller than the ridges, strong enough to withstand wind and drought, and therefore, they would be flourishing.” Compared with the common way of farming, alternative farming makes the crops root much deeper. On the one hand, the soil is more fertile and the moisture in the soil is preserved to protect

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against drought; on the other hand, the crops are more able to withstand wind. In the following year, the positions of the furrows and ridges will be alternated, so the cultivation of the field is rotated, preserving the fertility of the land. It was said that people could “gain more grain with less pain.” Zhao Guo opted for the gradual spread of alternative farming. Being a military officer, he first ordered his soldiers to practice trial cultivation on vacant lots in the summer and winter palaces. As the method proved satisfactory, it was introduced to the regions within the three inner ramparts. Along with alternative farming, Zhao Guo also promoted the techniques of side-by-side plowing and animal-drawn plows. In side-byside plowing, “there were two buffalos and three men”: two buffalos drew the plow; one man led the buffalos; the second man controlled the shaft of the plow; the third held the plow to adjust the depth. Using this method, deep plowing, turning the soil and ridge building could all be completed at the one time to meet the requirements of alternative farming. When the farmers had difficulties in applying the alternative farming method because of the lack of buffalos, Zhao Guo, who listened to the advice of Ling Guang, the official of Qianping, ordered the farmers to exchange or hire labor to plow. In this way, the farmers could plow as much as thirty mu if they had enough hands; they could plow at least thirteen mu if they had fewer hands. Thereby, Zhao Guo not only solved the problem of the shortage of buffalos but also improved productivity and applied the advanced alternative farming method to more land. The animal-drawn seed plow was another invention of the time. As quoted in “Essential Techniques for the Common People” from On Politics by Cui Shi in the late Han Dynasty, “In this kind of farming, three plows were drawn by only one buffalo. One man could control the plows and sow the seeds at the same time.” With only one buffalo, a farmer could control the plow, sow the seeds, open the furrows and cover the soil at the same time. The quality and efficiency of plowing were both greatly improved.

Regional Farming “Regional Farming” is also referred to as “Regional Planting.” It was first mentioned in The Book of Fan Shengzhi, in which Fan Shengzhi summarized the techniques of protecting against drought and improving

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yields in the northwest regions. The book is the first complete work on agriculture in Chinese history. Fan Shengzhi believed, “The root of farming lies in catching up with the seasons, matching the soil, fertilizing, timely weeding and gathering.” The book recorded in great detail the scientific methods for selecting seeds, sowing, cultivating, gathering and the storing of such crops as rice, millet, wheat, soybean, small red bean, common perilla, sesame, foxtail millet, melon, edible gourds, dasheen and Chinese onion. Though there were differences in the handling of different crops, Fan Shengzhi advocated crop-rotation and intercropping so that people could make full use of soil fertility and the effect of sunshine and ventilation to increase the yield in a certain unit of field. There were two kinds of field-planting in the regional farming method. One was to open the furrows to broadcast the seeds, which was applicable to the regions in the plain; the other was to make pits to sow the seeds in regions with massifs and slopes. There were specific requirements for different crops as to the depth and size of the region, the quantity of base fertilizer and the distance between two crops and between two furrows. In addition, the importance of proper field management, such as weeding and irrigation, was emphasized. It was required that seeds should be soaked, that is, mixed with fertilizer and pesticide to promote growth. Regional farming was similar to alternative farming in its use of soil productivity and fertility, providing protection from wind and drought and in increasing the yield. However, it was difficult to popularize because it relied too much on technique and required too much human labor.

Monthly Climate and the Four Walks of Life Monthly Climate and the Four Walks of Life by Cui Shi in the late Eastern Han Dynasty is an agricultural work which records how the major landlords arranged the monthly agricultural activities. It was written in the form of the ancient genre of yueling (monthly climate). The author was a famous political critic who strongly believed that “agriculture is the foundation.” He was born into a prestigious family in Anping, in the present Hebei province, and he was familiar with the happenings on the country estates of the big landlords. The book records in detail the production of agriculture and the experience of managing

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country estates. It is classified as an agricultural work in “The Roll of Classics and Works” in The History of the Sui Dynasty. “The four walks of life” refer to scholars, farmers, artisans and merchants. Activities in the country estates such as the planting and gathering of grain, vegetables, fruit, medicinal herbs and other economic crops were arranged in accordance with the seasons and astronomical phases. For instance, the first lunar month should be the time for cultivating and fertilizing the fields; the ninth month should be the time for taking care of the upkeep of the threshing ground and gardens and whitewashing the storehouses; the tenth month should be the time for storing grains and cereals; the twelfth month should be the time for assembling farm tools and tending the buffalos. In addition, there were some sideline tasks, such as building irrigation facilities and houses, keeping silkworms, weaving and dyeing, food processing, brewing and drug making. It can be seen that the country estates of the time constituted a kind of self-sufficient natural economy, in which agriculture was fundamental and handicrafts etc. were the incidental. It was in Monthly Climate and the Four Walks of Life that the techniques to transplant rice and layer fruit trees were first recorded. The last years of the Eastern Han Dynasty also witnessed inventions in irrigation, such as waterwheels and keniao (“thirsty-birds”). These advanced water-drawing machines went on to be used by later generations.

Astronomy and Calendars Building on their knowledge of astronomy and the calendar in the PreQin Period, the Han Dynasty saw great advances in theories about the cosmos, astronomical observations, calendar compilation and instrument-making.

Astronomy In the Western and Eastern Han dynasties, there were three theories about the structure of the cosmos, namely “Xuanye” (the Ubiquitous Darkness Theory), “Gaitian” (the Celestial Lid Theory) and “Huntian” (the Celestial Sphere Theory), all of which date back to the Spring and Autumn Period and the Warring States Period. The Ubiquitous Darkness

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Theory claimed that the cosmos was composed of qi. The universe was colorless, had no tangible shape, and was of infinite size. The sky floated in the empty qi. The sun, moon and stars were all in constant motion with the help of qi. Among the advocates of this theory was Xi Meng, an astronomer contemporary of Zhang Heng. However, this theory failed to explain the law of the movement of the celestial bodies and, therefore, was not as influential as the other two theories. The Celestial Lid Theory was presented in Zhou Bi Suan Jing (Arithmetical Classic of the Gnomon and the Circular Paths), and held that “The sky looks like a bamboo-hat lid, while the earth is like an overturned plate.” Both the sky and the earth were in the shape of an arch and the distance between them was 80,000 li. The sun, moon and stars moved within the celestial lid without falling to earth. The orbit of the sun varied with the seasons. This theory was far removed from the concept of celestial phenomena; it was not adopted by the historiographers and was gradually discarded after the Eastern Han Dynasty. The Celestial Sphere Theory originated in the Warring States Period. It became the most influential school of thought in ancient China, after being promoted and developed in the Han Dynasty by such astronomers as Luo Xiahong, Geng Shouchang and Zhang Heng. It was described in Zhang Heng’s Notes on Armillary Sphere, according to which both the sky and the earth were round; the sky was outside and the earth inside; the sky was in movement and the earth was still; the sky surrounded the earth just as the white of an egg surrounds the yolk. The sky revolved from the east to the west around the earth, with the north and south poles as the axis; it could revolve even under the earth. The north pole was thirty-six degrees above the ground. The sun, the moon and the stars were each attached to the celestial globe. The intersection angle between the ecliptic of the sun and the equator of the celestial globe was twenty-four degrees. Though this theory has some obvious flaws, it did accelerate both the development of astronomy and the astronomical instruments in ancient China. The outstanding historian of the Western Han Dynasty, Sima Qian, was also an astronomer. When he took part in compiling the Calendar of the Beginning of the Universe, he observed the five planets and the locations of the twenty-eight zodiacal constellations with an armillary sphere and a sundial. He also made records of the other planets, comets, meteors, zodiacal lights and eclipses and the time of their orbits. “The

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The silk book Five Stars Astrology Unearthed in the Mawangdui Han Tombs, Changsha (Han Dynasty)

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Book of Astronomers” in The Records of the Historian recorded 558 stars, 350 more than those recorded in the pre-Qin Period. Sima Qian established a more comprehensive Zodiacal Constellation System which made astronomical observations easier and was used by astronomers long after his time. The silk book Five Stars Astrology, unearthed in Changsha, contained some early records about the movement of the five planets, Mercury, Venus, Mars, Jupiter and Saturn. “The Roll of Five Elements Part II” in The History of the Han Dynasty recorded in the first year of the reign of Emperor Cheng (28 BC): “On the second of the ten Celestial Stems and the eighth in the duodecimal cycle of the third month, the sun rose yellow with a black spot as big as a copper coin in the center.” This record of a sunspot is almost one thousand years earlier than that first made in Europe in 807. Zhang Heng (AD 78–AD 139) was an official historian in the reigns of Emperors An and Shu in the Eastern Han Dynasty. He was born in Nanyang, in the present Henan Province. A famous writer, thinker and scientist, he wrote Lingxian, a book about the origin and evolution of the universe and the movements of the sun, the earth and stars. He believed, “The universe was infinite in size.” In his opinion, the evolution of the universe followed three stages—first, was the empty Mingxing Stage; second, was the muddy Panghong Stage; and third, was Tianyuan Stage when the chaos was separated into two kinds of qi (yin and yang). Though this theory was obviously influenced by the theories of yin and yang and Taoism, it was a fresh discovery about the infinite universe, based on the latest observations of the time. The angular diameter of the sun and the moon was mentioned in the book: “Among all the unsolved phenomena, those about the sun and the moon were in the front rank. The measurement of their angular diameter was 1/736 of the celestial globe.”; 1/736 of 360° of the celestial globe was 29′ 24″ . As we know now, the average angular diameter of the sun is 31′ 59″ 26 and that of the moon is 31′ 05″ 2. It can thus be seen that Zhang Heng’s measurement was very close to the true measurement. He also said, “The moonlight came from the sunshine; the morning or evening moonlight came from the coverage of the sun; facing the sun, the moon is bright; absent from the sun, the moon is dark.” Scientifically, this accounts for the changes of the phases of the moon. For the first time, he pointed out that the cause of a lunar eclipse was the moon slipping into the shadow of the earth. The speed of the planets was related to the distance of the planets

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from the sun. Incoherence would occur when the planets changed from posigrade movement to retrograde movement after passing the stationary point. The number of stars that he observed was much greater than that recorded in the Western Han Dynasty; in his observation, there were as many as 2,500 stars in the sky over the central plains of China.

The Two-layer Clepsydra and the Seismograph Zhang Heng was also an inventor of astronomical instruments and devices. He invented the two-layer clepsydra, a more accurate timemeasuring device, by joining one clepsydra to another so the water level in the lower one would remain the same. He also invented a new armillary sphere or water-driven astronomical clock tower, based on the water clocks and armillary spheres made by astronomers such as Luo Xiahong and Geng Shouchang in the Western Han Dynasty. It was driven by the water drops from the water clock. The water power pushed the gears inside the armillary sphere, making the gears run one circle per day at an even speed. The appearance and disappearance of the constellation conformed to those seen from the upper observatory.

Model of Di Dong Yi (Earth Motion Device)

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In the first year of the Yangjia Reign of Emperor Shun (132), Zhang Heng invented the world’s first seismograph to alert people to the incidence of an earthquake and notate the direction of its epicenter. The Chinese name of the device was Di Yong Yi (Earth Motion Device). The device was cast with fine copper in the shape of a wine vessel with gears inside; the diameter was eight feet; eight dragons, each with a copper ball in its mouth, pointed in eight different directions. When an earthquake occurred in a certain place, the copper ball in the mouth of the dragon pointing in the direction of the earthquake would drop into the mouth of the toad under the dragon, to signal the alarm. Zhang Heng also duplicated and invented many other machines, including the compass chariot, drum chariot with an odometer and a wooden bird which could fly several miles. His inventions were so impressive that he was praised highly by his contemporary Cui Yuan in an inscription on Zhang’s tombstone, “His mathematics leads in the world; His inventions compete with the Creator’s.”

Calendars The developments in astronomy paved the way for the compiling of calendars. The Zhuanxu Calendar used in the Qin Dynasty was still in use at the beginning of the Han Dynasty. It was one of the six ancient calendars, which appeared in the late stage of the Spring and Autumn Period. It prescribed the length of a tropical year as 365 1/4 days and that of a synodic month as 29 499/940 days. The tenth month was the beginning of a lunar year and there were seven leap years in nineteen years, with the leap month coming after the ninth month and called post-ninth month. The Zhuanxu Calendar appears in the silk book Five Stars Astrology unearthed at the Mawangdui Han Tombs and in the Chart Calendar of the first year of Yuanguang (134 BC) unearthed at Yinqueshan in Shandong Province. It had been used for so long that there was a noticable discrepancy between the calculated date of the new and full moons and the real date. For example, “The moon appeared on the first and last day of each month, while the moon was never full on the fifteenth day of each month.” (“The Roll of Laws and Calendars,” The History of the Han Dynasty) Therefore, Emperor Wu of the Han Dynasty ordered the chief astronomer and historian Sima Qian, the astronomer She Xing, the historian Deng Ping, and such folk astrologers as Tang Du and Luo Xiahong to compile a new calendar. The compiling work went through

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the stages of selecting and making instruments, actual observations, calculations, checking and writing. In the first year of Taichu (104 BC), the Taichu Calendar was published. It set the winter solstice at midnight in the eleventh month of the seventh year of “Yuanfeng Reign” as the beginning of the calendar year. The gap in calculation was much smaller than that in the pre-Qin Period. Though there were still problems with the leap period of seventeen leap years out of nineteen years, the leap month was set into the months without the twelve or twenty-four solar terms. Therefore, the problem with the relationship between the tropical year and synodic month was in some way solved. The correspondence between the twenty-four solar terms and the order of the months was more scientific and made it easier to arrange farming activities. The Taichu Calendar further determined the ecliptic period of 135 months, namely “the Meeting of the Full and New Moon.” From then on, astronomers could correct the first and last day in each month and foretell a solar eclipse. In the late years of the Western Han Dynasty, Liu Xin transformed the Taichu Calendar into the Santong Calendar by applying the “Five Virtue Theory” to propagandize Wang Mang’s usurpation of the Han Dynasty. The statistics used were still from the Taichu Calendar. However, it was because the Santong Calendar was compiled into “The Roll of Laws and Calendars” in The History of the Han Dynasty that it has been preserved, while the Taichu Calendar has been lost. The tropical year and the length of a month were accurate enough so that some serious errors were found after it was used for over a century. In the second year of Yuanhe of Emperor Zhang of the Han Dynasty (AD 85), the Sifen Calendar, compiled by Bian Xin and Li Fan, was adopted. It recorded the time of jointing the full moons as 3/4 day earlier. The winter solstice point was changed to 21 1/4 degrees of Altair original degree to the Dipper. The new positions of the sun on the twenty-four solar terms were recorded and data about sundial grading and the length of the sundial shadow were also included. Some errors in the Taichu Calendar were corrected. However, the problem of the astronomical phenomena prior to the records in the calendar arose again because the latest and most accurate data were not adopted. Therefore, Liu Hong, an astronomer in the late years of the Han Dynasty, compiled the Qianxiang Calendar, which was finished in the eleventh year of the reign of Jian’an of Emperor Xian (206), and was based on his observations and calculations over twenty years. The length of a tropical year was

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365.2468 days and the accurate length of an anomalistic month was 27.5534 days in the Qianxiang Calendar. In addition, as it was recorded, the angle of intersection between the path of the moon and the eclipse was six degrees. Some methods of calculating solar and lunar eclipses were mentioned. The Qianxiang Calendar was superior to any other pre-existing calendars and it was a milestone in the development of the ancient Chinese calendar system. Despite this, however, it was not adopted by the imperial government of the time.

Arithmetics The Arithmetics Book and Zhoubi Scripture in Calculation The mathematical works recorded in “The Roll of Art and Letters” in History of the Han Dynasty include Xushang Arithmetics of twenty-six volumes and Duzhong Arithmetics of sixteen volumes, which came out in the late Western Han Dynasty but which have since been lost. At the beginning of 1984, archeologists located The Arithmetic Book of more than seven thousand words written on nearly two hundred bamboo strips in the tombs of the early Western Han Dynasty in Zhangjiashan in Hubei Province. The owner of the tomb was a lower-rank civil official and the burial time was presumably the second year of the reign of Queen Mother Lu (186 BC), or later. Therefore, some scholars assume that the publication date of The Arithmetic Book was at least two hundred years earlier than that of Nine Chapter Arithmetics, which came out in the early Eastern Han Dynasty. In The Arithmetic Book, there are more than sixty sub-titles, which can be classified into two categories—“calculation,” including multiplication, surplus multiplication, multiplication by one another, reduction of a fraction, reduction, plus and minus separation, divided multiplication, combined multiplication and warp separation; and “application,” including square field, miles field, tax field, interests, shaoguang (an ancient calculation for the length of the sides of a square), gujian (an ancient calculation for commerce), futan (an ancient calculation for carrying charcoal), jinjia (an ancient calculation for the price of gold or metal), tonghao (an ancient calculation for the cost of copper), and chenghe (an ancient calculation for the measurement of grain). The multiplication method is the relatively easy integer multiplication and the fraction method is not as difficult as that in Nine

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Chapter Arithmetics. However, in view of the fact that the chapter on “Shaoguang” can be found in both The Arithmetic Book and Nine Chapter Arithmetics and the ways of solving the problem are very similar, we believe that the former is one of the sources of the latter. In addition, the articles concerning the plus, minus, multiplication and division of integer and fraction can also be found in the Juyan and Dunhuang bamboo strips from the Han Dynasty, which shows that mathematical knowledge had spread extensively among common people in the Han Dynasty. Zhoubi Scripture in Calculation, a classic work on astronomy, was published in the middle of the Western Han Dynasty. The book was also considered an important mathematical work because much mathematical knowledge was put into practice—fraction operation, number queue, unfixed analysis, proportion in geometry, the Pythagorean theorem, etc.

Nine Chapter Arithmetics All the achievements in mathematics since the pre-Qin period are collected in the well-known work Nine Chapter Arithmetics, which had a number of authors. It was amended and supplemented, and eventually the authoritative edition came out in the reign of Emperor He in the Eastern Han Dynasty. The book is composed of 246 problems and solutions of applied mathematics appearing in daily life. It is divided into nine chapters. Chapter one is “Square Farmland,” which is concerned with the methods of working out the area of the land, as well as the four fundamental arithmetics operations of fraction. Chapter two is “Millet Rice,” which is about the calculations used in the exchange of all kinds of grain. Chapter three, “Grades and Distribution,” is about distributing goods and materials according to different grades and also the proportion of taxes to be paid. Chapter four, “Shaoguang” is concerned with the extraction of the square root and the cube root. Chapter five “Shanggong” teaches people to calculate the areas of different buildings and structures (such as city walls, ditches, moats, irrigation ditches, storehouses, kilns and cellars) as well as the cubic meters of earth and manpower needed in a construction project. Chapter six, “Equal Division and Transportation,” tells how to transport and then divide goods equally under the terms of the Law of Equal Division and Transportation in the Han Dynasty. Chapter seven is “Supplementing the Deficits,” which is concerned with calculating the profits and losses

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in business. Chapter eight, “Equation,” is about the linear equation group and the method of solving it as well as the positive number and negative number issue. Chapter nine, “Gougu Theorem” (Pythagorean Theorem), is mainly about the application of the theorem, as well as how to calculate height, depth, width and distance. Nine Chapter Arithmetics is complete and integrated in that it incorporates the knowledge of arithmetics, geometry and algebra in modern elementary mathematics and forms a system Nine Chapter Arithmetics with distinctive characteristics. Printed in Song Dynasty One of the important features of this knowledge system is that great emphasis is put on solving practical problems and calculation. Another characteristic of the book is the close association of numeric and spatial relations. Later in the Wei and Jin dynasties, the outstanding mathematician Liu Hui annotated Nine Chapter Arithmetics and it can be seen from his annotations that geometrical problems were often transformed into algebraic problems, and vice versa. These are considered to be the merits of the book. Nine Chapter Arithmetics also contains the definition and operation of fractions, proportion problems, the introduction of negative figures and the principle of calculation in the plus and minus of positive and negative numbers, etc. These made their appearance in India in the twelfth century and in Europe in the sixteenth century. In Nine Chapter Arithmetics, not only can the calculation principles of integer, fraction, positive number and negative number be found but there is also a description of the irrational numbers (which cannot be extracted) so it can be said that an embryonic form of the real number system actually appeared in this book. In the annotations by Liu Hui, the decimal fraction is employed to approximate the value of the inextricable number and the modulus of circles, which helped establish the system of

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real numbers in China. In Europe the system of real numbers was not introduced until the nineteenth century. Nine Chapter Arithmetics was introduced to Korea and Japan in the Sui and Tang dynasties and was used as a textbook. The knowledge in the book spread to Europe via India and the Islamic countries and significantly influenced the development of mathematics there. It can be seen from The Arithmetic Book and Nine Chapter Arithmetics that mathematics in the Han Dynasty was closely related to agriculture, taxation, water conservancy projects, civil engineering, business, trade, astronomy and the calendar; it was developments in these areas that spurred the developments in mathematics. Zhoubi Scripture in Calculation shows the significance of mathematics in astronomy and calendar systems. According to Liu Hui, two scholars of calendar systems took part in the revision and supplementation of Nine Chapter Arithmetics and astronomers such as Luo Xiahong, Liu Xin, Zhang Heng, Liu Hong and Cai Yong were all competent mathematicians.

Medicine In the Western and Eastern Han dynasties, the developments in medicine were reflected in the establishment of a complete Chinese medicine system and the appearance of a generation of famous doctors, among whom were official doctors, civilian doctors and alchemists with medical knowledge.

The Yellow Emperor’s Internal Classic Of the 216 medical works of seven schools from the pre-Qin Period to the Western Han Dynasty recorded in “The Roll of Art and Letters” in The History of the Han Dynasty, all have been lost except The Yellow Emperor’s Internal Classic (Huang Di Nei Jing). The oldest extant medical classic, The Yellow Emperor’s Internal Classic (often called simply the Internal Classics) is almost completely preserved. As nothing was mentioned about this book in The Records of the Historian or in other previous classics, it likely that The Yellow Emperor’s Internal Classic was compiled in the late Western Han Dynasty. It consists of two parts, “Plain Questions” and “Divine Pivot” (or Zhen Jing, “The Classic of Acupuncture”). Each part contains eighty-one articles written in dialogue form. To begin, The Yellow Emperor’s Internal Classic proposes the idea

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that “Man should adapt himself to heaven and earth.” It holds that man and nature should be taken as a whole. Only when man adapts himself to the changes of the four seasons, yin and yang and the five elements, can he understand the pathology of disease in order to cure the diseasese with proper treatment and medicine. “Discussion on Spirit Adjusting Relying upon Four Qi” in “Plain Questions,” reads, “As the root of life and death, the four seasons and yin and yang are the origins of all creation. Going against them may result in disaster, whereas if they are complied with, there will be no severe diseases.” “Discussion on Zang-Organ The Yellow Emperor’s Internal Classic Printed in the Song Dynasty Qi Abiding by Time,” reads, “The five elements are metal, wood, water, fire and soil. Their alternations of nobleness and humbleness could indicate life and death.” “Nobleness” and “humbleness” refer to the rise and fall of the five elements. The five elements are closely related to the five zang-organs, five fu-organs and the five sense organs of a human body, forming a dynamic rule of inter-overriding, inter-humiliation, inter-promotion and inter-curbing. This provides the theoretical basis for the structure of the human body, biology, pathogeny, treatment and prescription. Second, a theory of complexion on zang-organs is expounded in The Yellow Emperor’s Internal Classic, illustrating the biological and pathological aspects of zang-organs and fu-organs. In “Discussion of Differentiations among the Five Zang-Organs” in “Plain Questions,” it says, “The five zang-organs store the essence and ‘qi’ and prevent them from dissipating. Therefore, they might be filled but never be solid. The six fu-organs transform the substances but never store anything. Therefore, they might be solid but never be filled.” Among the five zang-organs, the heart is mainly responsible for the mental state and

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the circulation of blood; the liver is chiefly responsible for the storage of blood; the spleen commands the blood to carry the essence from the digestion of food to the whole body; the lungs are responsible for ‘qi’, which is combined with skin and hair; the kidneys are responsible for bone marrow. The six fu-organs (the gallbladder, the stomach, the large intestine, the small intestine, “triple-warmer” and the bladder) are the organs of digestion, transforming the useless elements. Among them, the gallbladder, attached to the outside of the liver, is the “middle-clear fuorgan.” The above descriptions are all based on anatomical knowledge. As is written in “Channels and Water” in “Divine Pivot,” “Just as for a man eight chi (one chi equals to 33.334 centemeters) tall, his skin and flesh can be understood by palpation and measurement on the outside. When dead, they could be seen by dissection.” It clearly details the vital functions of essence, “qi,” blood and fluids. Third, The Yellow Emperor’s Internal Classic also illustrates the routes of the twelve main and collateral channels, the zang-organs or fuorgans that they joint and their relationship with diseases. It also covers how the “eight extraordinary meridians” function in jointing the zang and fu organs and in adjusting blood and qi. Fourth, The Yellow Emperor’s Internal Classic discusses in great detail the methods of diagnosis—inspection, auscultation and olfaction, interrogation and pulse-taking. It also deals with the difference between the normal and the diseased symptoms of essence, look, qi and blood circulation, which were the foundation for diagnosis in Traditional Chinese Medicine in later generations. It attributes the development of disease to several aspects, such as the “Six Excesses,” the “Seven Feelings” and the strain caused by improper diet. It proceeds with the positive and negative methods of treatment, primary and secondary medicine, the different prescriptions for acute and chronic diseases and the various prescriptions for even numbers or odd numbers in a sequence. Fifth, it proposes that acupuncture should vary with yin and yang and with the four seasons, and that acupuncture points should differ accordingly. This serves as a guideline for the medical study of acupuncture. Sixth, the idea of “never wait to cure the diseased but take care of the healthy” is proposed as proactive medical thinking of preventing disease beforehand. It is further stressed that the disease should be treated as early as possible. “It is of the best skill to save a patient at the

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beginning stage of his disease.” “It is of the worst skill to save a patient at the fully grown stage of his disease.” Seventh, the concept of dissection of a human body is proposed in The Yellow Emperor’s Internal Classic: “Just as to a man eight ‘chi’ tall, his skin and flesh stay here and could be understood by palpation and measurement outside. When dead, they could be seen by dissection. In this way, it will be certain about the fitness of the zang-organs, the size of the fu-organs, the quantity of grain, the measurement of veins and the density of blood . . .” There are numerous statistics in the book concerning the dissection of a human body. The Yellow Emperor’s Internal Classic set down the theoretical basis for traditional Chinese medicine in general, serving as a guide for its clinical practice over millennia. Medical practitioners through the ages have emphasized the importance of the study and practice of The Yellow Emperor’s Internal Classic, absorbing its theories. It has been translated into many languages, such as Japanese, English, German and French, and is a compulsory reference book for any foreign scholar who aims to study traditional Chinese medicine.

The Classic of Difficulties The Classic of Difficulties (Nan Jing) is another important medical book from the late Western Han Dynasty. It is a collection of eight-one questions and answers seeking to clarify difficult passages or concepts within The Yellow Emperor’s Internal Classic. This explains why the book’s full title is The Yellow Emperor’s Classic of Eighty-one Difficulties. There are few specific symptoms of diseases mentioned in the book. It is devoted mainly to illustrating fundamental theoretical problems. First, it develops the pulse diagnosing method of “inch mouth” (cun kou). “Inch mouth,” also called “qi mouth” or “pulse mouth,” is found on the radial artery at the styloid process on the wrists (where doctors feel the pulse today). Little attention is paid to the inch mouth method in The Yellow Emperor’s Internal Classic, but it is especially emphasized in The Classic of Difficulties, because it simplifies diagnosis. It expounds why the inch mouth method alone could reflect all the biological and pathological conditions of the five zang-organs and six fu-organs. Then it further makes the distinction between the two points of “cun” (inch) and “chi” (foot), stressing the importance of the “chi pulse.” Finally, it points out that different pressure of the fingers should be employed to

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find problems in the zang and fu organs. Second, on the basis of the knowledge in The Yellow Emperor’s Internal Classic, the dissection of a human body is described in greater detail in The Classic of Difficulties. The size, shape, weight, position and capacity of the organs such as the heart, the liver, the spleen, the lungs, the kidneys, the gallbladder, the stomach, small intestines, large intestines, the bladder, the tongue, the pharynx, the throat and the anus are all discussed. According to The Classic of Difficulties, the human body has two kidneys; the liver has two lobes; the gallbladder is in the shorter lobe of the liver; there are “seven orifices and three pipes” (a description of valves, thecae, sinews and the openings leading to the aorta and the ventricles); and the liver sinks in water, while the lung floats in water. All these descriptions match, or are very close to, the reality. In this classic, the seven “passes” in the alimentary canal are called the “seven gates”: the lips are called the labial entrance; the teeth are the dental entrance; the epiglottis is the breathing entrance; the upper opening of the stomach is the cardiac entrance; the lower opening of the stomach is the pyloric entrance; the joint between the large and small intestines is called the ileocecal gate; and the end of the alimentary canal is called the distal orifice, or anus. The distances between each of the two “gates” are also recorded. The features of the alimentary canal were clearly understood at this time. The classic further enriched the theories of “eight extraordinary meridians” and “the gate of life located in the right kidney.” According to this classic, in addition to the twelve regular meridians, the three yin meridians and three yang meridians of hands and feet, the meridian system of the human body is composed of eight main meridians—the du, ren, chong, dai, yinqiao, yangqiao, yinwei and yangwei meridians. There was no detailed description of these meridians in The Yellow Emperor’s Internal Classic, but in The Classic of Difficulties the names, circulation, biological functions and the pathological variations were systematically explained. Thereafter, a complete system of meridians and collaterals was included in the theory of meridians and collaterals in traditional Chinese medicine. According to The Yellow Emperor’s Internal Classic, the five zangorgans were regarded as the center in the theory of zang-fu organs, with the heart being the dominating organ, whereas The Classic of Difficulties proposed the theory that “qi is stored between the kidneys,” holding that the left kidney served as a kidney and the right kidney as the “gate of life.” This theory stressed the importance of the kidneys in the

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human body and laid the foundations for the theory that “the kidneys are the origin of congenital constitution,” proposed by Li Zhongzi in the Ming Dynasty. The above theories in The Classic of Difficulties spurred further developments in traditional Chinese medicine and had a longterm influence on later generations.

Shennong’s Herbal Classic People’s knowledge of medicine was enhanced due not only to the advancements in medical practice over the years and the increasing numbers of renowned doctors, but also to the cultural exchanges with foreign countries during the Han Dynasty and the different kinds of medicinal materials imported from countries in Southeast Asia, Middle Asia and Western Asia. According to “The Annals of Sacrifices” in History of the Han Dynasty, there was a position titled “official of materia medica” in 31 BC . According to “The Biographies of the Wandering Knights” in History of the Han Dynasty, Lou Hu “could recite thousands of lines from the medical classics, materia medica and arts of necromancy.” It was recorded in “The Imperial Biography of Emperor Ping” in History of the Han Dynasty that decrees were issued to recruit specialists in materia medica and the arts of necromancy. All these reveal that there were specialized institutions for the study of medicine in the government and that there were many talented practitioners of medicine among the populace. Shennong’s Herbal Classic, which appeared in the Eastern Han Dynasty, synthesized all aspects of medical knowledge to the highest level. It is also the earliest existent medical book in China. All told, there are 365 medical items recorded in the book, among which are 252 types of medicinal herbs, sixty-seven animal parts and forty-six minerals, including safflower, benne (sesame) and garlic from the Western Regions and rhinoceros horn and muskiness from other remote areas. For each item, there were general descriptions about places of origin, gathering times, quality, processing methods and the main symptoms to be treated. There are as many as over a hundred and seventy different curable diseases mentioned in the book, including internal, surgical, gynecological, pediatrical, ophthalmological, laryngological, otological and dental diseases. The effects of medicines recorded in the book are accurate in most cases. For instance, mercury could be used to cure scabies; ephedra could be used to relieve asthma; radix dichroae could be used to stop malarial attacks;

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coptis root could be used to stop dysentery; rhubarb could be used as a purgative; belladonna could be used to treat manic-depressive psychosis; liquorice could be used to counteract toxicity; and sargassum could be used to deal with goiters and tumors (struma). All have been tested and proved in clinical practice and modern scientific studies. In the preface to Shennong’s Herbal Classic, the basic pharmaceutical theories of the time were generalized. For example, the “monarch, minister, assistant and guide” theory, concerning the relative roles of the principle and associate drugs in a prescription. And the theory of “the four properties of drugs and their five kinds of flavors,” that is, the four properties of Chinese medicine—cold, hot, warm and cool and the five flavors—acid, salt, sweet, bitter and pungent. It was also proposed that the forms of prepared drugs should vary with the different properties of medicine. Shennong’s Herbal Classic was another medical text which greatly influenced later generations.

Chun Yuyi and His “Collection of Case Records” Chun Yuyi (?205 BC) was a noted physician of the early Western Han Dynasty. He was born in Linzi, in the east of the present Shandong Province. He was at one time appointed an official of Taicang, with the title Lord of Taicang. When he was a young man, he developed an interest in the arts of necromancy. “He studied the books written by the Yellow Emperor and Bian Que on impulse and read about the diagnosis of illness by inspecting the five colors of the face. He could predict a patient’s life and death; he made decisions about suspected cases; he could identify cases that were curable cases; and he was particularly well versed in medical theories.” (“The Biographies of Bian Que and Lord Cang,” The Records of the Historian)

The Records of the Historian lists twenty-five Lord Cang’s cases which covered internal, surgical, gynecological, pediatric and stomatologic diseases. In these case records, the names, sex, profession, addresses, cause of illness, symptoms, diagnoses and prescriptions were all recorded. They are the earliest medical records; they were a source of valuable information for later medical practitioners and illustrated the importance of keeping records. It is worth noting that not only successful cases are recorded but also the cases in which no treatment was effective and the patients died. Emperor Wen of the Han Dynasty once asked Chun Yuyi, “Could you make sure that no error will occur when you make a diagnosis to

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determine the life and death of a patient?” Chun Yuyi showed his realistic attitude towards science by answering, “My good will cannot avoid the errors which may occur once in a while.” (“The Biographies of Bian Que and Lord Cang” in The Records of the Historian)

Zhang Zhongjing and His Treatise on Febrile Diseases and Other Internal Diseases In the late Han Dynasty, the renowned doctor Zhang Zhongjing completed his Treatise on Febrile Diseases and Other Internal Diseases, which laid the foundation for the practice of therapeutics in traditional Chinese medicine. Zhang Zhongjing was born in Nanyang. He is said to have been a magistrate in Changsha for many years and was, therefore, also known as Zhang Changsha. In the Jian’an reign of Emperor Xian of the Han Dynasty, society was in a state of constant warfare, and the many epidemics resulted in hundreds of thousands of deaths. According to the preface to Treatise on Febrile Diseases and Other Internal Diseases, two thirds of Zhang Zhongjing’s clan (two hundred people) died, and seventy percent of these deaths were due to febrile diseases. It was this situation that prompted Zhang Zhongjing, who in his youth had learned medicine from the famous doctor, Zhang Bozu, to this book. He made a thorough study of the theories in The Yellow Emperor’s Internal Classic and The Classic of Difficulties, collected folk remedies and summarized what he had learned from his medical practice. Some parts of the book were lost in the time of the wars but the remainder was preserved by Wang Shuhe, a famous doctor in the Jin Dynasty, who arranged and rewrote the book. It was not widely read, however. In the Song Dynasty the book was revised by Treatise on Febrile Diseases Printed in the Ming Dynasty Lin Yi and others in the Bureau

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of Revising Medical Works. It was divided into two books titled Treatise on Febrile Diseases and Summary from the Golden Chest; the former dealt solely with acute epidemic febrile diseases, and the latter with other common internal, surgical and gynecological diseases. The theory of meridians and collaterals proposed in The Yellow Emperor’s Internal Classic was expanded in Treatise on Febrile Diseases, which proposed that febrile diseases due to exopathy could be analyzed and treated through the principle of differentiation of syndromes, according to the theory of six meridians (three of yang and three of yin). There were different cardinal remedies for different syndromes and the quantities of the drug in a prescription could be increased or decreased with changes in the syndromes. The four diagnostic methods (inspection, auscultation and olfaction, interrogation and pulse-feeling) were applied in diagnosing the diseases. The syndromes could be grouped into the eight principle syndromes (called “differentiation of syndromes according to the eight principles”). Accordingly, eight therapeutic methods (diaphoresis, emesis, purgation, mediation, warming, heat-reducing, elimination and tonification) could be employed in the treatment. There are over forty kinds of miscellaneous diseases and 262 different prescriptions recorded in Summary from the Golden Chest. The differentiation principles employed in Summary from the Golden Chest were in accordance with those proposed in Treatise on Febrile Diseases. The principle was clearly stated that different diseases could be treated with the same method and that the same kind of disease could be treated differently. Both of the books became classics in the study of traditional Chinese medicine and Zhang Zhongjing is known the Medical Saint in Chinese history.

Hua Tuo’s Surgery and His Use of Anesthetics In the late Han Dynasty, there was another outstanding doctor Hua Tuo, who was roughly contemporary with Zhang Zhongjing. It can be seen from his work that surgery and the use of anesthetics were highly developed at this time. Hua Tuo (?–208) was born in Qiao, in the present Anhui Province. According to “Biographies of Alchemists” in History of the Later Han Dynasty, he was well versed in the use of Chinese drugs; his prescriptions were limited to a few kind of medicine; when he made up a prescription of Chinese herbal medicine, “he could make out the difference between ounces,” which revealed his experience. He once diagnosed an illness for Chen Deng, a magistrate in Guangling. He cured the “dizziness due to

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wind pathogen” suffered by Cao Cao by using acupuncture. Before each operation, he would give his patients “mafei san” (“numbing powder”) to anesthetize them, and then he would open up their abdomens or backs to remove the affected parts. Ideally, four or five days after being sutured and with the application of topical drugs the wound would heal and the patient would fully recover one or two months later. His was by far the most advanced use of anesthesia in surgeries at that time, showing that anatomizing, blood-arresting and diagnosing had already reached a high standard. In order to prevent disease, Hua Tuo attached great importance to physical exercise. He promoted the practice of “frolics of the five animals,” in which the actions of tigers, deer, bears, apes and birds were imitated. Wu Pu of Guangling, one of his disciples who practiced this exercise, lived to over ninety, with “acute hearing, clear sight and firm teeth.” Wu Pu and Fan’a of Pengcheng, another disciple, continued Hua Tuo’s work; they were adept at acupuncture and were renowned for their practice of medicine.

Excavated Medical Works At the end of 1973, a number of silk books, bamboo strips and wood strips were excavated at the Han Dynasty Tombs at Mawangdui, Changsha. Among the silk books, eleven were about medicine and drugs, subsequently organized and listed by the Mawangdui Silk Book Team as: The Classic of Acupuncture and the Eleven Meridians on Arms and Feet; The Classic of Acupuncture and the Eleven Yin-yang Meridians (I); The Classic of Acupuncture and the Eleven Yin-yang Meridians (II); The Approaches of Pulse-taking; The Signs of Death of Yin-yang Meridians; The Fifty-two Prescriptions; Book of Fasting and Taking Qi; Picturing Inducing and Conducting Qi; Prescriptions for Health Preservation; Prescriptions for Several Diseases; and the Book of Gynecology and Obstetrics. Among the bamboo strips and wood strips, there were four medical works, which were sorted and titled: Ten Questions (bamboo strips); Regulating Yin and Yang (bamboo strips); Several Secret Remedies (wood strips); and Discussions on Zhidao in the World (bamboo strips). These medical works, after being briefly annotated by the silk book team, were compiled into Silk Books from the Han Dynasty Tombs at Mawangdui, which was published in March 1985, by the Cultural Relics Publishing House.

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The Han Dynasty Tombs at Mawangdui date to the twelfth year of the reign of Emperor Wen of the Han Dynasty (168 BC); the time the works were copied was approximately the early Western Han Dynasty or the period between the Qin and Han dynasties, based on the style of the scriptures. The Classic of Acupuncture and the Eleven Meridians on Arms and Feet and The Classic of Acupuncture and the Eleven Yin-yang Meridians mainly focus on the circulation routes of the eleven meridians, diseases related to these meridians and acupuncture methods employed. They are by far the earliest existent medical works about meridians. They are often regarded as the first editions of “On Meridians” in Divine Pivot. The Approaches of Pulse-taking and The Signs of Death of Yinyang Meridians are the earliest existent medical works on the pulse and diagnoses, but because they exist only in fragments, an overall view is impossible. The contents of The Fifty-two Prescriptions are substantial. There are fifty-two types of diseases recorded, over seventy percent of which are surgical diseases. Sixteen types of remedies for traumatic symptoms were recorded. There were detailed descriptions about pathogenic factors and symptoms of tetanus caused by wounds and lepra. What is noteworthy is that there was a treatment for hemorrhoids complicated by anal fistula. Hemorrhoids were divided into five types, which could be cured by the combination of oral medicines, topically applied drugs, drugs steaming and several different operations. The standard of skill used in the operations was comparable to standards in nineteenth century Europe. The Book of Gynecology and Obstetrics is by far the oldest book in this field, covering such topics as pregnancy seeking, nourishing the fetus and postpartum care. A method of month-by-month care of the fetus was advocated in the book, which required the expectant woman to live a regular life, follow a proper diet, pay attention to the living environment and abstain from sexual intercourse. Many of these requirements are still of value today. The Book of Fasting and Taking Qi is devoted to the theory of inducing and conducting qi, which was popular in the early Han Dynasty. Forty-four full-length drawings are included in the silk book, illustrating the processes of induction and conduction of qi. It is titled Picturing Inducing and Conducting of Qi. Prescriptions for Health Preservation, Prescriptions for Several Diseases, Ten Questions,

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Silk book of The Fifty-two Prescriptions (Han Dynasty)

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Regulating Yin and yang and Discussions on Zhidao in the World are all about sexual techniques and their relationship to health and longevity. Some of the content is still valuable. At the end of 1983 and the beginning of 1984, the Book of Conducting Qi, a work on inducing and conducting qi, was unearthed in the Early Han Dynasty Tombs in Hubei Province. It contains detailed descriptions about the actions of inducing and conducting qi and the different methods of inducing and conducting qi employed for different diseases. The discovery of the Book of Conducting Qi gives credence to the book Picturing Inducing and Conducting Qi, excavated in Mawangdui. In November 1972, ninety-two strips with prescriptions inscribed were excavated in one of the early Han Dynasty tombs in Wuwei County, Gansu Province. They were sorted and labeled The Wuwei Medical Strips of the Han Dynasty. The hundreds of prescriptions preserve over thirty formulae and record the names of diseases, pathological symptoms, pathogeneses and the functions and effects of herbal drugs. They show the great advancements made since the time of The Fifty-two Prescriptions.

Paper Making From the Shang and Zhou dynasties, people had been using first tortoise shells and then copper, bamboo and wood as well as fine silk as materials for writing and painting. From the Warring States Period to the Han Dynasty, bamboo strips and silk were used but the former were cumbersome while the latter was expensive; neither of them could meet the demands of the developing culture and increasing popularity. Eventually, after a long period of experiment, paper was invented in the early Western Han Dynasty. Since the 1930s, archeologists have unearthed fragments of the paper of the Han Dynasty in such places as Luobunao’er in Xinjiang, Baqiao Bridge in Qi’an and the Shuijin Pass in Juyanjian. The paper of that time was made of rough and yellow linen which suggests that the invention of paper was closely related to the technique of linen weaving. Paper was produced by compressing linen into thin pieces and airing it to dry. It is recorded in “The Life of Empress Xiaocheng of Zhao” in History of the Han Dynasty that a type of thin paper called “heti” was used in the imperial court in the late Western Han Dynasty.

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In the twentieth century, archeologists discovered inscribed paper in Xinjiang, Gansu, Dunhuang, Wuwei and Inner Mongolia, and the quality of this paper is a considerable improvement on that of the Western Han Dynasty. Historical records of paper making have also been found. Cai Lun, a eunuch in the reign of Emperor He of the Eastern Han Dynasty made great contributions to paper making. He learned from the experience of earlier generations and improved the technique. Other than raw materials as well as the traditional linen ends, he introduced the use of bark, old cloth and discarded fishing nets. The craft was more sophisticated in that the material used was boiled together with lime after it was washed, chopped into pieces and soaked in water. In this way, the plant fiber was made thinner, making production more efficient and greatly improving the quality of paper. The technique of making paper out of plant fiber spread quickly and output was greatly improved. This type of paper was known as “the paper of Marquise Cai.” Cai Lun’s paper making technique was further developed and perfected over the next two hundred years and, by the time of the Eastern Jin Dynasty, the cost of paper making had decreased and the paper was smoother. It was then that paper replaced silk as the popular material for writing and painting. The Chinese technique of paper making was introduced to Korea and Japan in the third and fourth centuries and later spread to MiddleAsia, North Africa and Europe, greatly enhancing cultural development around the world.

(Left) The Jinguan paper of Juyan (Western Han), unearthed in 1973. (Right) The Maquanwan paper of Dunhuang (Western Han), unearthed in 1979.

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玄 CHAPTER SIXTEEN

Metaphysics During the Wei and Jin Dynasties A Brief Account of Metaphysics during the Wei and Jin Dynasties

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The Zhengshi Metaphysics Represented by He Yan and Wang Bi

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The Bamboo Grove Metaphysics Represented by Ji Kang and Ruan Ji

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The Guo Xiang Metaphysics in the Western Jin Dynasty

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The Position of Metaphysics in the History of Chinese Philosophy

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Free-style calligraphy of“玄”(xuan) means “mystery” in Chinese

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Metaphysics (Xuanxue) during the Wei and Jin dynasties was a branch of philosophy which advocated the Taoism of Laozi and Zhuangzi. Although regarded as the official philosophy in the Wei and Jin dynasties, Confucianism had lost its authoritative position and was no longer taken as the orthodox ideology as it had been in the Han Dynasty. Metaphysics took its place. Taoist philosophy replaced Confucianism in the ideology of the intellectuals. The philosophy of metaphysics reached its zenith in the Zhengshi reign of the Wei Dynasty, becoming the most influential school of thought of the time.

A Brief Account of Metaphysics during the Wei and Jin Dynasties What is Metaphysics? Why are the doctrines of Laozi and Zhuangzi in the Wei and Jin dynasties called metaphysics “the study of mysteries”? The word “mystery” comes from the first chapter of Laozi, which says that “from mystery to mystery leads this gateway to all wonders.” Mystery is used to describe the abstruse and profound tao, which is the origin of the universe. The philosophy of Laozi is the study of tao—the abstruse and profound origin of the universe—so the people in the Wei and Jin dynasties elaborated on the doctrines of Laozi and Zhuangzi and referred to the theories as metaphysics. At that time, scholars not only delved into Laozi and Zhuangzi, but also applied thoughts of Laozi and Zhuangzi to annotate The Book of Change, which in turn became one of the subjects of the study of metaphysics. Scholars grouped Laozi, Zhuangzi and The Book of Change together and called them “three mysteries;” therefore, metaphysics is the study of the “three mysteries.” In contemporary academe, some people claim that the metaphysical branch of philosophy is divorced from reality because it deals with abstract concepts, but this actually is not the case. There is no doubt that metaphysics aims at probing the nature and reality of the universe, which seemingly have no contact with social reality and people’s lives. In fact, metaphysics aims at solving the problems of life and society by examining the nature of being. Metaphysics during the Wei and Jin dynasties covered a wide range of issues but, fundamentally, it attempted to clarify the relationship between the theory of the universe in Taoism

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and the laws of the Confucian ethical codes, that is, the relationship between nature (which is worshipped by the Taoists) and Confucian ethical codes (which are upheld by the Confucians). This is the problem underlying the ideological conflicts between Confucianism and Taoism. The metaphysicians attempted to base the laws of Confucian ethical codes on the philosophy of nature-worship in Taoism, thereby combining the tenets of the two schools to form the basis of the metaphysical doctrines. Thus, it can be seen that metaphysics during the Wei and Jin dynasties was not divorced from reality; instead it could be applied to a variety of problems in society, politics and life.

The Causes for the Rise of Metaphysics From the ideological aspect, the gradual decline of Confucianism and the upsurge of the nature-worship of Taoism gave rise to metaphysics. Confucianism was the orthodox doctrine in the Han Dynasty, but it gradually degenerated into a rigid, superficial doctrine in the Eastern Han Dynasty. At that time, Confucianism was exploited by people in their scramble for power, fame and gain, and no longer fulfilled its function of maintaining social order. In the Wei and Jin dynasties, Taoist metaphysical doctrines took its place. From the social aspect, the emergence of metaphysics conformed to current economic and political developments. The Wei and Jin dynasties witnessed the split of the country and the chaos caused by the many wars. The nation was torn apart by the separatist armed forces; disputes and killings were rampant among the ruling class; the people could not live in peace and the scholars did not know at dawn what might happen at dusk. The Confucian ethical codes of the Han Dynasty had lost their function of maintaining a proper social order, which gave the officialscholars the impetus to explore a new way to “run the state well” in order to “settle down and get on with their own lives.” Eventually, they found the strategies of government in Laozi, which advocated tranquility, non-action and simplicity. They found their peace of mind in Zhuangzi, which preaches that everything has its own value and advocated free and easy wandering without a fixed destination. The social problems of the pre-Qin period and the Western and Eastern Han dynasties led to Taoism’s rise in popularity.

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Three Stage Development of Metaphysics Having developed and grown in popularity over the previous two hundred years, metaphysics was dominant throughout the Wei and Jin dynasties. Although all the metaphysicians centered their thoughts on the relationship between nature and Confucian ethical codes, they differed in their opinions towards this basic issue due to their varied social conditions, characters, experiences and the periods they lived in. This difference marked the three stages of development in the metaphysical movement and resulted in a variety of schools of thought with their own characteristics. In the following sections, we will take a brief look at the development of these three branches—Zhengshi Metaphysics (with He Yan and Wang Bi as the representative figures), Bamboo Grove Metaphysics (with Ji Kang and Ruan Ji as the representative figures) and Western Jin Dynasty Metaphysics (represented by Guo Xiang).

The Zhengshi Metaphysics Represented by He Yan and Wang Bi He Yan and Wang Bi were leading figures in the field of metaphysics and they introduced the metaphysical theory which was prevalent in philosophical forums during the Wei and Jin dynasties. He Yan (190–249) was born in Nanyang, in today’s Henan Province, in the first year of the Chuping reign of Emperor Xian of the Eastern Han Dynasty. He was killed by the Sima clique in the tenth year of the Zhengshi reign. He Yan’s father died when He Yan was young and his mother married Cao Cao. Known as a genius at an early age, He Yan was “fond of the words of Laozi and Zhuangzi” and keenly read The Book of Change and Laozi. He married Princess Jinxiang of the Wei Dynasty and was held in high repute. During the Zhengshi reign, when Cao Shuang was in power, he appointed He Yan to an important position with the aim of countering the Sima clique. He Yan wrote the book On Tao and Virtue and started the metaphysical movement with Wang Bi. Wang Bi (226–249) was born in Gaoping, now Shangdong Province, in the seventh year of the Huangchu reign of the Wei Dynasty and died at the early age of twenty-four in the tenth year of the Zhengshi reign of the Wei Dynasty. Wang Bi enjoyed a great reputation as a well-known metaphysical theorist at a young age. In his biography of Wang Bi, He

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Xun of the Jin Dynasty wrote, “Wang Bi was a keen observer when he was very young. He took delight in reading Laozi when he was in his teens. He also had a ready and eloquent tongue.” He Yan also thought highly of Wang Bi, saying, “Confucius said that the younger generations were a newly rising force, tending to surpass their elders. If I meet this man, I can talk about the relationship between heaven and man with him.” Indeed, young as Wang Bi was, he greatly surpassed He Yan in the quality of his thought. In the Zhengshi reign, Cao Shuang and He Yan were in power but they appointed Wang Bi to a comparatively low position. Wang Bi was a person of sensible views and outstanding ability, who could elaborate on metaphysical theories with skill but “his strength did not lie in achieving success in politics.” He did not aspire to official rank or position, but preferred to study metaphysics. He devoted his short life to the writing of such influential works as Commentary on Laozi, Commentary on The Book of Change, A Glimpse of the Main Ideas in Laozi, A Glimpse of The Book of Change and Annotations of The Analects, which laid a theoretical foundation for metaphysical studies in the Wei and Jin dynasties.

Non-being and Being The idea of “taking non-being as the fundamental and taking being as the incidental” is the essence of the Zhengshi Metaphysics represented by He Yan and Wang Bi. In order to understand that idea, we have, first, to clarify the terms “being” and “non-being.” “Being” refers to the concrete material entities that exist in the world; thus all the things of creation are called “all the beings.” According to He Yan and Wang Bi, the concept of “being” can be applied not only to material phenomena but also to all kinds of rules and regulations, the Confucian ethical codes, rituals, etiquette and traditions. How beings with form and image were created was the problem that fascinated Laozi. He believed that the “non-being” without form and image gave birth to all the beings with form and image. In the metaphysics of He Yan and Wang Bi, different problems were discussed. For example, what sets the foundation for the existence of the beings with form and image, what brings order to the world, and what is the essence behind the appearances of all the beings? They tried to answer these questions in an attempt to solve the problem of the unity of the multi-faceted world.

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He Yan and Wang Bi believed that the things existing in the world (“beings”) cannot be the foundation on which a unified world is built, because all the items have their respective rules to follow. For example, “Nothing can be both warm and cool at the same time; nobody can be both an official and a merchant simultaneously.” Just as black cannot be white and vice versa, everything has its unique quality. If any specific object is to be the basis of existence, the beings cannot make up a diversified world; therefore “being” cannot be the principle which unites everything in the world. Wang Bi said, “Yin cannot be yang and soft cannot be hard. Only the thing that is neither yin nor yang can be the ruler of yin and yang; the thing neither soft nor hard can rule over the soft and the hard. Therefore ‘tao’ has neither direction nor form and it is neither yin nor yang.” Yin and yang cannot be united in one being, and neither can the soft and the hard, because they all have their specific principles and none of them can represent the unity of the diversified world. Only the one that cannot be differentiated by binary concepts, such as yin and yang, soft and hard, will not be bound by direction, location or any other regulations; therefore it can be the basis of the unity of the all-being world. That concept can be named either “tao” or “non-being” (“tao is the name of non-being”) because it will not be limited by any specific rule. Only this non-being can “lead to everything and give birth to everything;” thus it is the principle that underlies and unites the whole world. This theory of He Yan and Wang Bi can be summed up as the philosophical idea of “taking non-being as the fundamental and taking being as the incidental.” That is to say, non-being is the reason for the existence of all beings and being is the subsidiary which is based on the primary non-being. Thus non-being is the prerequisite for the existence of all the beings, which is the theory of “upholding the fundamental and maintaining the incidental.” He Yan and Wang Bi’s theory of “non-being and being” can be placed in the category of form and function, namely “taking non-being as the form and taking being as the function.” Function cannot be separated from form and form is the precondition of function. All in all, this theory is generally known as the theory of the ontology of the universe, rather than the theory of the origin of the universe. In addition, He Yan and Wang Bi maintained that “non-being,” as the noumenon of the universe, is the basis of everything, so the He–Wang branch of metaphysics is known as the doctrine of cherishing non-being.

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He Yan and Wang Bi probed so deeply into the basis of existence and the foundation of the unified world that they refined Laozi’s ideas. Laozi’s thoughts were confined to the theory of the origin of the universe, or the theory of the evolution of the universe, and proposed that “Non-being gives birth to being and being gives birth to all things in the world.” He Yan and Wang Bi moved a stage further to discuss the nature of the universe and the basis of existence. The move from probing the origin of the universe to probing the noumenon of the universe marks a considerable advancement in the theory of traditional Chinese philosophy. Thus it can be seen that the appearance of metaphysics marks a new epoch in the history of Chinese philosophy.

The Confucian Ethical Codes are Based on Nature The reason that He Yan and Wang Bi advocated the philosophical idea of “taking non-being as the fundamental and taking being as the incidental” was to solve the theoretical problem of the relationship between the Confucian ethical codes and nature. Non-being is the noumenon of the universe and the essence of nature while the Confucian ethical codes, as “an incidental” phenomenon, should be placed in the category of being. Therefore, it ought to be established on the basis of nature; otherwise, the groundless codes will become false and ostentatious and wither as fast as the rootless grass. Since there is no principle behind it, “non-being” is without action, name and desire and is the simplest and most primitive thing—“simplicity.” Thus the Confucian ethical codes cannot be true and well-founded until they start to motivate people to be inactive, nameless and without desire; otherwise, the codes become the tool for people to seek fame and wealth. Therefore, Wang Bi said, “Contain it in the great tao and awe it with namelessness. Then nothing will be worshipped and nobody will try to secure personal gain. People will keep their moral integrity and remain honest and sincere in dealing with others. Benevolence and generosity will be observed; correct and proper behavior will be the norm and the rules of etiquette will be clean and just.” That is to say, rule by the Confucian ethical codes (benevolence, justice and respect) should be based on “non-being;” they call for honesty and tolerate no sophistry. In this way, we can “safeguard the mother so as to protect the son and uphold the fundamental so as to advocate the incidental. Then both the form and the name can be kept while evil can be prevented.” Thus it can

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be seen that He Yan and Wang Bi advocated the metaphysical philosophy of cherishing non-being so as to combine Taoism and Confucianism and based the Confucian ethical codes on the Taoist philosophy of natureworship. They believed this philosophy would overcome the defects inherited from the Han Dynasty.

Comprehending the Meaning after Losing the Image and Perceiving the Image after Forgetting the Word A significant methodological problem was also discussed in Wang Bi’s theory of metaphysics. Since the noumenon of the universe is not only shapeless, imageless and inexpressible, but also adheres to no rule, then how can people perceive and grasp it? Wang Bi thought that “nonbeing” could neither be perceived by rational cognition nor explained in words since it is nameless; therefore, we can only approach it with the help of our senses and intuition. As for how to sense “non-being,” Wang Bi proposed the theory of “comprehending the meaning after losing the image and perceiving the image after forgetting the word,” that is, meaning comes after the image and the word are lost. Wang Bi elaborated on the relationship between word, image and meaning in his commentary on The Book of Change. He thought image (the “image” in The Book of Change) was the expression of meaning (“tao” or “nonbeing”) and word was employed to depict image; therefore, people choose the right word to describe the image so as to grasp the meaning. Here the word and the image are both tools to understand the meaning; thus they can be abandoned after the meaning is known. “The rabbit is the reason for us to have the rabbit trap, so it can be abandoned after the rabbit is caught and the same is with the fish and the fish trap.” Just as we can throw away the rabbit trap and fish trap after catching the fish and rabbit, we can disregard the word and image after comprehending the meaning. Otherwise, we will only remain at the level of word and image without grasping the meaning because both word and image belong to the category of being, which is finite and adheres to certain rules, while tao is non-being (which is infinite and not confined by rules). Therefore, we will not discover the fundamental law of the universe until we go beyond the limits of word and image, which is the idea of “comprehending the meaning after forgetting both the word and the image.” This idea is of great significance in the methodology of Chinese philosophy and it influenced the development of traditional Chinese esthetics and arts. The

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idea that “image is created to convey meaning” is first put forward in The Book of Change, on the basis of which the relationship between “meaning” and “word” is further discussed. This idea also spurred the formation of “imagism” in Chinese esthetics and provided some revelations on how to grasp the features of esthetic examination. On the one hand, it enlightened people to the fact that esthetic examination goes beyond the finite image into the infinite universe, history and life. On the other hand, it made people realize that esthetic examination usually transcends the concepts (names and words), as is seen in these lines from Tao Yuanming: “The view provides some veritable truth, but my defining words seem to me uncouth.” The significance of the two revelations for the history of aesthetics cannot be over-estimated.

The Bamboo Grove Metaphysics Represented by Ji Kang and Ruan Ji Seven Sages of the Bamboo Grove and the Practice in the Grove The Bamboo Grove Metaphysics referred to the study of Laozi and Zhuangzi by the Seven Sages of the Bamboo Grove, the most prominent of whom were Ji Kang and Ruan Ji. The other five sages were Shan Tao, Liu Ling, Ruan Xian, Xiang Xiu and Wang Rong, and they often “banded together in the bamboo grove and drank to their hearts’ content, hence the name.” The sages who met in the bamboo grove were well-known not only for their literary accomplishments but also for their special qualities, distinctive temperaments and exceptional talents, which were reflected through their speeches, behavior and expressions. People of the times referred to their activities as “the practice in the bamboo grove.” Specifically, the phrase referred to their moral character, unconventional behavior, openly-expressed emotions and the belief in personal freedom; they followed their own inclinations instead of being confined by the Confucian ethical codes. Comparatively speaking, He Yan and Wang Bi were primarily philosophers and they preferred to theorize through reasoning, while Ji Kang and Ruan Ji were primarily poets and musicians and they tended to express their feelings and thoughts frankly. It is necessary to examine their historical background to understand why the sages began “the practice in the bamboo grove.” Ruan Ji and Ji Kang lived in the late years of the Zhengshi reign in the Wei Dynasty

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when state power was in the control of the Sima clique. In the Zhengshi reign, the struggle between the Cao and Sima political cliques reached its pitch; the Sima clique won final victory by wiping out their opponents. Ruan Ji and Ji Kang belonged to the Cao clique, who opposed the Sima clique because they used the Confucian ethical codes as an excuse for their misdeeds, such as discriminating against and even eliminating dissidents and usurping state power. Ruan Ji and Ji Kang despised rituals and etiquette, “belittle the kings of the Zhou Dynasty and Confucius,” and challenged the conventional views.

Ruan Ji and Ji Kang Ruan Ji (210–263) was at one time a military officer, and he was also called “military officer Ruan” by people of his time. He was well-read, spontaneous and courageous, and was famous for his independent character and his profound understanding of Laozi and Zhuangzi. He despised the Sima clique and showed contempt for the Confucian ethical codes by drinking alcohol and befriending Ji Kang. Ji Kang (223–262) was a person of extraordinary talent, especially in writing. He was related by marriage to the royal clansmen of the Wei Dynasty and was promoted to the position of “Zhongsan Minister,” and was known as “Zhongsan Ji.” He was well-read and said that “Laozi and Zhuangzi are my teachers.” He detested the Confucian rules of etiquette, “scorned King Tang of the Shang Dynasty and King Wu of the Zhou Dynasty and belittled the kings of the Zhou Dynasty and Confucius.” He was especially opposed to the Sima clique, who accused him of spreading dissolute remarks and mocking the Confucian classics and had him executed. Before the execution, “three thousand students from the Imperial College asked him to be their teacher. In the face of death, he remained absolutely calm and “asked for a musical instrument and played it.” He died a tragic but heroic death at the early age of forty, and “people throughout the country mourned over his death.” (“The Biography of Ji Kang,” History of Jin)

Attacks on the Confucian Doctrines of Propriety and Uprightness According to historical records, Ruan Ji “aspired to benefit the whole world,” but he lived during the Wei and Jin dynasties, a time of uncertainty and political unrest mainly due to the activities of the Sima

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Seven Sages of Bamboo Grove Printed on the bricks of the Southern Dynasty

clique, when few of the philosophers “could preserve their lives and reputation.” Although Ruan Ji held an official position, he refused to get involved in politics. He showed contempt for the Confucian rules of etiquette and liked to read Laozi and Zhuangzi. Ji Kang loathed the political world and did not want to be in the service of princes and marquises. When one of his friends, Shan Tao, tried to persuade him to hold an official position, he wrote an article titled “Breaking off Relations with Shan Juyuan (Shan Tao),” citing “seven unbearables” and “two cannots” as the reasons for his refusal and making clear his contempt of the propriety and uprightness advocated by the Simas. Ruan Ji and Ji Kang supported the contentions in Laozi and Zhuangzi because they despised the hypocritical Confucian doctrines. They enhanced and promoted the thoughts of Laozi and Zhuangzi, especially their attacks on false Confucianism. Ruan Ji said, “The crowning of kings gives rise to rampant abuse and the nomination of officials is the root of theft. The rules of etiquette are set to bind up the people. The stupid are bullied, the ignorant are deceived and the smart hide their wisdom to protect

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themselves. The strong ride roughshod over the people openly and the weak pine away from working for the rich. Greed and corruption are covered up by fake honesty, and uprightness and apparent benevolence is employed to hide treachery.” The rules of etiquette established by the rulers result in brutal robberies, calamities and even deaths.” Ji Kang considered the Six Confucian Classics to be disordered and clumsy as overgrown weeds and regarded benevolence and uprightness as stale and smelly as the rotting bodies. He did not believe that “the Confucian doctrines were the end to people’s dark days, and the Six Confucian Classics would bring sunshine to the world.” His writings exposed and attacked the hypocritical rules of etiquette, which shackled people’s minds and damaged their health.

Transcending the Confucian Ethical Codes and Following Nature Writing on the relationship between nature and the Confucian ethical codes, Ji Kang advocated “transcending the Confucian ethical codes and following nature.” Here “nature” is not the “non-being,” which is the noumemon of the universe, but one’s state of mind and inborn nature. He proposed that people should free themselves from the Confucian ethical codes and follow their own inclinations in the hope that they could shake off their shackles and develop their character. Ji Kang thought that man should be upright and selfless and should speak his mind. He was disgusted by fraud and trickery and weary of the inconsistency between words and deeds. Above all, he was opposed to restraining people’s minds with false Confucian ethical codes. The professed anti-Confucianism in Ji Kang’s philosophy is an example of the intellectuals’ pursuit of spiritual freedom although they still had an ambiguous attitude towards Confucian ethical codes. Basically, they were not opposed to maintaining social order through the rules of etiquette, but they proposed to replace false rules with simple ones, which would help change the prevailing habits and customs and reform the ways and manners of the people. But at that time, there was no likelihood that the “simple” rules of etiquette would be adopted and practiced, leaving Ji and Ruan with an insoluble dilemma.

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The Guo Xiang Metaphysics in the Western Jin Dynasty Guo Xiang (253–312) was a person with an excellent literary reputation in the Western Jin Dynasty. As a young man, he liked to read Laozi and Zhuangzi, and his eloquence in debate was such that “people of his time all considered him Wang Bi the Second.” In his early years, he led a quiet life in the countryside, although he once held an official post. Guo Xiang’s masterpiece was Commentary on Zhuangzi, which was based on Xiang Xiu’s book of the same title.

The Combination of Confucianism and Taoism Guo Xiang advocated the combination of Confucianism and Taoism or that of the Confucian ethical codes and nature, which directly opposed Ji Kang’s idea of “transcending the Confucian ethical codes and following nature.” According to Ji Kang, nature and the Confucian ethical codes were mutually exclusive and it was the latter which should be followed to take society to a higher moral standard. However, the way Confucian ethics were practiced at that time led to a lack of morals and a flagrant violation of the rules of etiquette, which is regarded as the practice of “not being restrained by customs or rites.” Guo Xiang was staunchly opposed to this violation and put forward his ideas to counter it. According to Ji Kang’s idea of “transcending the Confucian ethical codes and following nature,” people could not really observe the rules of nature and gain spiritual freedom unless they broke away from the Confucian ethical codes and social conventions. More specifically, people could only enjoy spiritual freedom (or wander) if they shook off the bonds of the Confucian ethical codes and ceased worrying about the concerns of the mundane world. Guo Xiang, however, believed that people could obtain spiritual freedom by abiding by the codes because the two are inseparable and should therefore be combined with each other. For this reason, Guo Xiang proposed the idea of “wandering after one’s desires are satisfied” and further explained that man could attain spiritual freedom after all his desires were satisfied. For example, the roc soars high to the sky while the small bird flies in the elm grove. Despite the obvious difference between them, their desires are equally satisfied; both wander freely. Thus, to “wander after one’s desires being satisfied,” means spiritual

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freedom can result from having one’s desires satisfied and people do not have to distance themselves from the Confucian ethical codes and “wander” above the earthly world. Even if a person takes up an official post, he still can be free spiritually; and this is the so-called “a sage inwardly and a king outwardly.” In Guo Xiang’s view, “wander” does not contradict devotion to worldly affairs (especially affairs concerning the Confucian ethical codes) and “being a sage” (and reaching the state of spiritual freedom) is not at odds with “being a king” (who devotes himself to the affairs concerning the Confucian ethical codes). A sage can become a king and engage in worldly affairs. Thus man should devote himself to the affairs concerning the Confucian ethical codes to satisfy his desires, obtain spiritual freedom and eventually reach the ideological level of a sage. For this reason, Guo Xiang said that even though he was physically sitting in the imperial court, a sage’s spirit could still wander in the mountains and forests. He could attend to the everyday affairs of state but he could still detach himself from everything. The combination of Confucianism and Taoism was advocated through the ideas of “wandering after one’s desires are satisfied” and “Confucian ethical codes and nature are the same,” which countered the dissolute social tendency of violating the rules of etiquette.

Being Giving Birth to Itself and Changing by Itself Regarding the noumenon of the universe, Guo Xiang held a different opinion from those of He Yan and Wang Bi and upheld being instead of non-being. First, he disagreed with Laozi’s idea of “non-being giving birth to being,” and thought that the formless and imageless “nonbeing” was nothing and zero. He questioned how the formless and imageless “non-being” could give birth to being since it is non-existent. At the same time, he also questioned the existence of the “creator” and expressed doubt that the one creator could make such a variety of things (“all things of creation”). Then how did “all things of creation” come into being? To answer this question, Guo Xiang put forward the theory of “being giving birth to itself and changing by itself,” maintaining that “being” does not have to rely on any external factor—it appears by itself, exists independently and changes on its own. This theory then paved the way for his idea that “one can wander after all his desires are satisfied.” Being is defined and decided by its own nature since it can come into existence by itself. Therefore, a person can wander (or become absolutely

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free) after all his proper desires are satisfied. Thus it can be seen that Guo Xiang based his philosophy of life on his metaphysical theory. But the defect in his theory is evident in the emphasis on “being giving birth to itself and changing by itself,” thereby denying the inter-dependence of all things in the world.

The Position of Metaphysics in the History of Chinese Philosophy The study of metaphysics in the Wei and Jin dynasties marked an important phase in the development of Chinese philosophy and ideology. It perpetuated the philosophical ideas of the pre-Qin Period and the Western and Eastern Han dynasties and, at the same time, amalgamated the political and ethical theories of Confucianism and the philosophical theories of Taoism. Metaphysical philosophical studies led to the birth of Neo-Taoism. Neo-Taoism influenced Buddhism in the Eastern Jin Dynasty, the Northern and Southern dynasties, and the Sui and Tang dynasties, while its effect on the rationalistic Confucian philosophical school in the Song and Ming dynasties cannot be overlooked. In the philosophy of the pre-Qin Period and the Western and Eastern Han dynasties, particular stress was put on the theory of the origin of the universe, while the ontology of the universe was the focus of metaphysical thought during the Wei and Jin dynasties. More importantly, the notion of spiritual freedom was advocated through the idea of “transcending the Confucian ethical codes and following nature and people’s inclinations,” which encouraged people to shake off the bonds of false and rigid doctrines. The people in the Ming and Qing dynasties were also influenced by the philosophy of the metaphysicians of the Wei and Jin dynasties. The emergence of Neo-Taoism was a major turning point in the history of Chinese philosophy and ideology.

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道 CHAPTER SEVENTEEN

The Emergence and Development of the Taoist Religion The Origin of the Taoist Religion

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The Formation of the Taoist Religion

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The Taoist Religion in the Song and Yuan Dynasties

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Free-style calligraphy of“道”(tao) means “origin of the universal” in Chinese

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Taoism is a religion native to China. It centers on the belief of immortality. Taoism took hold in the late Eastern Han Dynasty, based on the cult of gods and immortals in the pre-Qin Period, and incorporated similar beliefs from different regions into Taoist thinking. Later, it amalgamated some elements of Buddhism and Confucianism. After two major changes in its development in the Southern and Northern Dynasties and in the Song and Yuan dynasties, it became a widely popular religion with a rich philosophical content.

The Origin of the Taoist Religion There are two aspects of Taoist belief—one of thoughts, concerning mainly the cult of gods and immortals in ancient times and the doctrine of qi; the other of action and activities, including ancient witchcraft and its practice of invocations, setting up altars for prayer rituals, ceremonies of worship and other miscellaneous divinations.

The Cult of Gods and Immortals It is difficult to determine the origin of the cult of gods and immortals. The only sources of reference are the historic works written in the Han Dynasty. In the pre-Qin Period, there were two tales—one was the tale of “Kunlun,” about a group of holy men who lived in the Kunlun Mountains. They fed on the essence of boulder and became immortal beings. The other was the tale of “Penglai,” which told of the immortals who lived on the three holy mountains in the middle of the Bohai Sea. The tale of “Penglai” is based on the tale of “Kunlun.” In the middle and late Warring States Period, these two tales were combined to form a new one, in which a united world of the immortals came into being. Some material about the cult is preserved in the works written in the preQin Period. For example, the desire to become immortal was reflected in “The Far-off Journey” in Chuci. There were descriptions of the immortals’ elegant demeanor, amazing skills and lifestyle in “Wandering in Absolute Freedom,” “On the Uniformity of All Things” and “A Strained Mind” in Zhuangzi. The numerous alchemists (fangshi) of the time advertised prescriptions for immortality. From King Wei of Qi to Emperor Wu of Han, many kings and emperors sent men to hunt for these prescriptions and to search for the three holy mountains in the sea.

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The Theory of Qi The theory of qi, which appeared in the pre-Qin Period, played an important role in the development of the cult. It is reflected typically in chapters such as “The Inner Business” and “The Intention in the Mind” in Guanzi, and this theory is the doctrine of one sect of the Taoism. Qi was employed by the Taoist School to illustrate the existence of all activities related to life in the world. “The birth of all the mortal beings was owing to the essence (jing) from the heaven and the form from the earth; the combination of these two became man.” (Guanzi) Essence and qi are spread between heaven and earth and can be referred to as tao. Human wit and intelligence arose from this “essence and energy of the heaven and the earth.” As long as a man lived, he would need to get qi from heaven and earth. The way to get qi is to meditate in retreat and to limit his own desires: “If he can empty his own desires, the spirit will be with him. If he cannot have a thorough cleaning, the spirit will stay where it was.” And, “After a thorough cleaning in his house, the spirit will come by itself. He should think it over and read it in retreat to govern it.” The “spirit” is also a kind of qi. In general, the terms of the “essence” and the “spirit” are the same in their connotation as both are a kind of qi. The ancients believed that the essence and qi could provide the energy of life and supernatural forces. The essence is called by some as the “essence of objects.” After the amalgamation of the theory of qi with that of yin-yang and the five elements, the essence of objects had more specific titles, such as the essence of yin, the essence of yang, the essence of the five elements, and the essence of the five directions. The heart, the liver, the spleen, the lung and the kidneys corresponded to the five elements and the five directions. They were, therefore, also granted the essence of the five elements. Some holy animals also received the corresponding essence. For example, the tiger received the essence of fire, the kylin (one of the four sacred animals of China) the essence of wood. Some gods also received some kind of essence. The essence of material entities became one of the most influential notions in the history of Chinese ideology. The ancient people believed that everything could be changed into a monster or an immortal by techniques and exercises. The essence served as the medium for communication between man and other creatures in the world. The concept of “spirit” has three implications—change, spirit (or

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divinity) and god, all of which are considered as the essence of spirit, and thus related to qi. Influenced by the theory of qi, the ancient Chinese re-interpreted the gods as divinities endowed with certain spirit. The essence and qi enter and remain in certain parts of the human body, hence becoming the gods of the organs. According to the historical records of the pre-Qin Period and Qin and Han dynasties, it was in ancient times that the theory of qi was integrated into the cult of gods and immortals. “Let Be and Let Alone” of Zhuangzi reads, “The essence of perfect tao is profound and obscure while the extremity of perfect tao is dim and silent. Do not listen and do not look. If you keep your spirit in quietude, you will keep your body in perfect order. If you keep silent and calm, and refrain from tiring your body and wasting your energy, you will be able to live a long life.” In “Xianji” in Master Lü’s Spring and Autumn Annals, it reads, “The qi of essence increase day by day while the qi of evil will be totally removed. A person who can realize this will become an immortal.” More relevant material can be found in Master Huainan. It also can be seen from the historical relics excavated at the Han tombs in Mawangdui (such as The Jade Plate Maxim of the Practice of Qi and Picturing Inducing and Conducting of Qi) and other historical records that at the time there were many ways to conserve vital power so as to regain health and prolong life.

Witchcraft and Other Miscellaneous Divinations Some ideas of the Taoist religion are derived from ancient witchcraft practice, invocation of deities, setting up altars for prayer rituals, and worship ceremonies. According to the Taoist historian Xu Dishan (1893– 1941), “The practice of the Taoist Religion is based on the crafts of the witches and shamans, medicine, divination and similar arts while the philosophy of Laozi and Zhuangzi set its theoretical foundation. By the time the ‘Three Zhangs’ (Zhang Lin, Zhang Heng and Zhang Lu) and ‘Two Ges’ (Ge Xuan and Ge Hong) were born, the Taoist religion was well established.” In ancient times, witchcraft enjoyed great popularity; the work of the witches included calling forth gods, interpretating dreams, prophesying, praying for rain, the practice of medicine, reading horoscopes and, above all, invoking spirits and ghosts with the aim of warding off calamities and praying for blessings. The Taoist spell or symbols and

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medical practice are also ways of fending off disasters and misfortunes, thus becoming the work of the witches and shamans. “Treatises about Ceremony of Worship” in The Records of the Historian says that the witches in the state of Yue preferred to ward off evil spirits with magic figures. While according to “The Biography of Xie Nugu” in History of the Later Han Dynasty, “There is the sage Qu in Henan, who is adept at folk prescription and Taoist spell, therefore shouldering the responsibility of warding off evil spirits. Before that, during the reign of Emperor Zhang, there was a Marquise Shouguang, who was able to avert ghosts and goblins.” In addition to the Taoist spell, water was also used to ward off evil influences and cure fatal diseases; mirrors were used to keep evil creatures away; the stems of peach tree and pictures of tigers were used to fight against ghosts; and the “Nuo” dance was used to drive away evil spirits and epidemics. All in all, witchcraft and other miscellaneous divinations were integrated into the Taoist religion and then evolved into the practices of that particular religion. The Taoist religion aims at the achievement of immortality and thus incorporates some theories from ancient medical practice and health-care which are related to witchcraft, such as the Taoist breathing exercises, sexual practices and the adding metal and stone to Taoist drugs.

The Formation of the Taoist Religion The publishing of The Triplex Unity and Scripture of Great Balance and the emergence of the Great Balance sect and the Five-Bushel Grain sect mark the formation of the Taoist religion.

The Triplex Unity The Triplex Unity is the earliest work on alchemy and is a summary of the techniques of making the pills of immortality and Taoist magic water. The Triplex Unity refers to the combination of the theory of changes, the Huang–Lao Tradition and furnace fire. The author of The Triplex Unity is Wei Boyang, an alchemist of the Huang–Lao branch in the Han Dynasty; nothing else is known of his life. In the book, he gives detailed descriptions of such matters as the making of tools for alchemy, the types and doses of medicine, the regulation of furnace fire, the expected reaction to medications, as well as the correct way

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to take the medicine and the effect of medication. The Triplex Unity is an illustration of Chinese alchemy from the theoretical aspect, and the concepts, theories and practice outlined in the book were the criteria met by later generations. The Triplex Unity explains alchemy processes with the help of the theory of changes and is thus a combination of the two. According to the book, among the sixty-four divinatory symbols in The Book of Change, heaven, earth, water and fire are the four basic symbols, which are the foundation for making pills of immortality. Heaven and earth are the furnace; the former is the upper cauldron and the latter the lower cauldron, which accords with the perception that heaven is above and the earth is below. Water and fire are drugs; the former is lead and the latter is mercury. Fire refers to the distillation of the drugs and water refers to the melting of the drugs. The divinatory symbols of heaven and fire are yang while those of earth and water are yin. Mercury is yang while lead is yin and fire is yang while water is yin. The law of the inter-changes of yin and yang is adhered to in the design of the furnace and the changes of the drugs. Therefore, it is said that “latitude and longitude should be decided by the position of the sun.” During the alchemy process, the duration and degree of heating have to be measured according to the growth and decline of the yin and yang powers in the natural world. “The four divinatory symbols of heaven, earth, water and fire can be classified into the two categories of female and male. The human body, which is like a bellows, is seemingly still but actually mobile. The essence of making the pills of immortality is to practice the way of yin and yang.” In The Triplex Unity, the functions of water and fire are stressed, and it is said that “water and fire cause all the changes.” The whole process of alchemy depends on the changes of drugs, water and fire. Lead is yin, therefore melting into white liquid in fire; mercury is yang, thus distilling in fire. Water is yin and fire is yang and the two have to be united in making the pills of immortality; therefore, it is said that “water and fire cause all the changes.”

Scripture of the Great Balance Scripture of the Great Balance is one of earliest classics of the Taoist religion and its history can be traced back to the Western Han Dynasty. It is recorded in History of the Han Dynasty that Gan Zhongke of the Qi state wrote Tianguan Calendar and Baoyuan Scripture of the

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Great Balance during the reign of Emperor Cheng in the Western Han Dynasty, but the book is lost. The present Scripture of the Great Balance was written by Yu Ji et al. during the reigns of Emperor An and Emperor Shun. It is said that there were a hundred and seventy chapters in the original version and the one included in Taoist Canon of the Zhengtong Reign is the incomplete version of fifty-seven chapters. The contemporary scholar Wang Ming compiled The Revised Scripture of the Great Balance. The content of Scripture of the Great Balance is concerned with two aspects; on the one hand, heaven, earth and human beings are united to reach the great balance; and on the other, essence, qi and spirit are combined to achieve immortality. According to the book “taking the three ones as the principal aim” is the principle in both politics and cultivating oneself to attain immortality. The “three ones” refers to the combination of yin, yang and neutral, and specifically the three can be embodied as heaven, earth and man; ruler, subjects and people; and essence, qi and spirit. The ideal state refers to the combination of yin, yang and neutral (the three kinds of qi) and is called “great harmony,” from which the qi of great balance derives. The qi of great balance is the required condition for a peaceful society and people’s self-cultivation. In Scripture of the Great Balance, politics is viewed from the angle of the qi theory; it is maintained that if people can abide by the principle of the combination of three kinds of qi in regulating interpersonal and political relationships, “all things of creation will flourish, people will live in harmony and a proper social order will be kept.” Scripture of the Great Balance also explains human activities and longevity with the help of the qi theory. The tenth chapter of The Collection of Scripture of the Great Balance says that “the combination of the three kinds of qi set the foundation for immortality. The three are respectively essence, spirit and qi and should be united. Qi is fundamental to heaven, earth and human beings. Spirit derives from heaven, essence originates from earth and qi comes from neutral. The three remain in harmony with one another. Spirit rides on qi and essence stays in the middle; the three supplement and complement one another. Therefore if one desires longevity, one should care for qi, value spirit and cherish essence.” The idea of “bestowing and bearing” put forward in Scripture of the Great Balance evolved into a very important concept in the Taoist religion. A question is raised in the book: “why is he who does good

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often punished, while he who does evil is often rewarded?” The writer attributes this to the effect of “bestowing and bearing,” which says that one’s fate is affected by the deeds of earlier generations and thus one’s behavior will affect later generations. “The earlier generations bestow while the later generations bear. The earlier generations should behave in accordance with the rule of heaven and their own consciences. Some slips are even unknown to themselves. However, small errors will accumulate over a long period of time and the innocent later generations will suffer from them and bear the evil effects. Therefore, the later generations bear whatever the earlier generations pass on to them. Bestowing refers to all that the earlier generations pass on to the later generations.” The idea of bestowing and bearing exhorts people to do good for the sake of later generations and save them from the evil consequences of their own wrongdoings. At the same time, a person can be exempted from the punishment brought about by bestowing and bearing if he himself does well and attains tao. The idea of bestowing and bearing differs from the Buddhist concept of retribution in that the former prescribes that later generations must bear the bad effect while according to the latter, a person will suffer from his wrongdoings in the afterlife.

The Great Balance Sect As far as we know, the earliest organizations of the Taoist religion were the Great Balance sect and the Five-Bushel Grain sect of the late Eastern Han Dynasty. No Taoist organizations existed before that, according to both official records and Taoist classics. The Great Balance sect members were the Yellow Turban Army, led by Zhang Jiao (?–184) and his brother, which took Shangdong as its base. It is recorded in History of the Later Han Dynasty that “Zhang Jiao of Julu claims to be ‘Master of Virtue and Ability’ and advocates the Huang–Lao Tradition. He recruits disciples widely and also has many sworn brothers. Magic water and incantations are used to cure diseases and a number of sick people recover; therefore, people believe and support him.” Thus it can be seen that the Great Balance sect upheld the Huang–Lao Tradition; their major religious activity was to treat the sick with magic water and they put forward the slogan that “The former god is dead and the Yellow God should be worshipped.” The leaders of the Yellow Turban Army based their uprising on the theory of the beginning

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and end of the five elements, which is related to Yellow God worship in the Han Dynasty. The Great Balance sect not only make use of but also amended Scripture of the Great Balance, in which Yellow God worship also can be found.

The Five-Bushel Grain Sect While the Great Balance sect flourished in Shandong, the Five-Bushel Grain sect was active in the Hanzhong prefecture. It is generally accepted that the Five-Bushel Grain sect was founded by Zhang Ling (Zhang Daoling) (AD 34–AD 156). He studied the Taoist religion in Mount Huming in Sichuan and later wrote and distributed Taoist books. A person who followed him had to offer five bushels of grain, hence the name the FiveBushel Grain sect, later also called the Heavenly Teacher sect. After the death of Zhang Ling, his son Zhang Heng succeeded him to be the Heavenly Teacher, followed by his son, Zhang Lu. However, a different academic view holds that a man named Zhang Xiu (?191) founded this sect; he was killed by Zhang Lu, who seized power. The followers of this sect offered five bushels of grain as a token and the Five-Bushel Grain sect worshiped the Most Exalted Lord Laozi and revered Zhang Daoling and his successors as Heavenly Teachers, hence the name “Heavenly Teacher sect.” They considered their religion to be “the way of Orthodox Unity,” which was passed down from the Most Exalted Lord Laozi. The religious stand of the Heavenly Teacher sect was the opposite of Confucianism, in that they were opposed to offering slaughtered beasts as sacrifices and condemned official sacrificial rituals for giving people heavy economic burdens. In their opinion, the sacrificial rituals “disturb people and force them to offer sacrifices to temples. The three domestic animals are slaughtered as sacrificial offerings. The expense is reckoned by ten thousands and the financial resources are exhausted. Instead of blessings, people get misfortunes from the rituals.” Therefore, they set up “the rule of a simple life,” which said that “gods do not drink or eat and teachers do not accept money.” The common people could offer sacrifices to their ancestors on the five sacrificial days and to the kitchen god on the two sacrificial days in spring and autumn; all other sacrificial activities were forbidden. The gods in the Taoist religion were all made up of qi; thus they could not enjoy sacrificial beasts. Today, in some villages of China, vegetarian food is offered to the gods of heaven and earth in the sacrifice while a meat dish is offered

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to the ancestors, which shows that the two different sacrificial systems have coexisted for centuries. There were many restrictions in the religion of the Heavenly Teacher sect and it was opposed to practicing divination, fengshui and all the other gods outside the Taoist religion.

The Religious Organizations and Activities of the Heavenly Teacher Sect The Heavenly Teacher sect was a typical religious and political organization; its parish was called zhi. In the beginning, there were twenty-four zhis in the charge of jijius and later their sphere of influence was expanded. The jijius were of different ranks; those of the highest ranks were those in “Yangping zhi,” “Lutang zhi” and “Heming zhi.” The zhi center was the location of the religious and social activities of the Taoist followers; all of the followers were registered for permanent residence, which was the so-called “record of residence.” Births and marriages in the Taoist families were registered, and the residence registrations of those who died were canceled. The records had both administrative and religious significance, for on the three meeting days (the seventh day of the first lunar month, the seventh day of the seventh lunar month and the fifth day of the tenth lunar month) of each year, the Taoist followers would gather in the zhi centers. On those days, the gods would also arrive and check the records of residence. If the household registration was inaccurate, the Taoist followers would neither obtain the protection of the gods nor become immortal. The Heavenly Teacher sect was a non-governmental organization; instead of being religion-oriented, its rules and regulations were mostly the moral principles and norms which were closely related to the life and work of the people. Some of the important days of this sect later became the traditional Chinese festivals, for example, the Dragon Boat Festival evolved from the Shangyuan Festival of the Taoist religion. After Zhang Lu’s death, the Heavenly Teacher sect was less organized and relaxed its rules and regulations. However, this did not prevent it from spreading. Contemporaneous with the Taoist religion were some sorcerers’ groups, such as the Lijia, Bojia and Yujun sects, whose influence reached other parts of China in the Han and Wei dynasties. They spread the Taoist religion by imparting and inheriting some Taoist classics and making pills of imortality. In the south, the Taoist religion was adopted by the upper class, including aristocratic

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families in the Western and Eastern Jin dynasties and the Northern and Southern Dynasties, such as the Wang family in Liangya, the Xu family and Ge family in Danyang.

The Taoist Religion in the Transitional Period from the Northern and Southern Dynasties to the Sui and Tang Dynasties The spreading of the Taoist religion among the aristocrats was a turning point in its development. It gradually gave up its stand of opposing government and was transformed into an official religion. Ge Hong played an important role during this process.

Ge Hong and Master Who Embraces Simplicity Ge Hong (284–364) was the first intellectual to systemize the Taoist doctrines. He was born into a family of government officials, who advocated the three cardinal guidelines, the five constant virtues and the Confucian ethical codes but he was converted to the Taoist religion at the early age. His great-grandfather, Ge Xuan, was a well-known scholar of the supernatural who followed Zuo Ci to practice Taoism. Ge Xuan passed on his learning to Zheng Yin, who in turn taught Ge Hong. Ge Hong’s father-in-law was a famous alchemist. Ge Hong produced a large number of works, which occupied an important place in the history of chemistry and medicine. One of his most famous works, Master Who Embraces Simplicity, was generally divided into two parts—the inner treatises and the outer treatise, the former of which were concerned with the doctrines of the Taoist religion and Taoist crafts. It can be seen from Master Who Embraces Simplicity that people of that time, especially the literati, doubted and questioned the theory of immortality in the Taoist religion and that such people were by no means rare. Therefore, in his works Ge Hong devoted a large amount of space to the discussion of the theory of immortality from different angles. He attempted, on the one hand, to prove its credibility and, on the other hand, to show that practicing Taoism and seeking immortality do not contradict the three cardinal guidelines, the five constant virtues and the Confucian ethical codes. Ge Hong spared no effort to show that “one can achieve immortality by practice” and opposed the view that “some

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Master Who Embraces Simplicity Printed in the Ming Dynasty

people are born immortal” in his attempts to convert more people to the Taoist religion. Ge Hong summed up the ideas of immortality and Taoist crafts as follows: “one should build up his form and cultivate his moral character within, so as to cure himself of diseases and to prolong his life;” “one has to resist the influence of the evil spirits without, so as to ward off misfortunes and disasters.” We can “build up our forms and cultivate our moral characters” by taking pills of immortality and the golden liquid (Taoist magic water), conserving sperm and practicing qi. He said, “One has to grasp the essentials if one wants to attain immortality. It is vital to conserve sperm and practice qi and one pill is enough.” (“Clearing out the Obstructions,” Master Who Embraces Simplicity) Conserving sperm referred to sexual practice, a way of conserving the vital powers. At Ge Hong’s time, there were many theories on sexual practice which advised that “moderation and harmony should be advocated in sex life and in this way, one’s health will not be ruined.” Ge Hong believed that a sex life was necessary so that people would not “be sick from obstruction” and would live a long life. However, “if one indulges in sensual pleasures, his health will be ruined and his life shortened.” This conclusion was regarded as the traditional view on sexual practice and sex life, while qi practice should complement and supplement each other.

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As a renowned alchemist, Ge Hong collected many prescriptions for making immortality pills in Master Who Embraces Simplicity. He believed that the best way was to take pills of immortality and the golden liquid (Taoist magic water) and that herbal tea could not help achieve immortality, even though it could prolong one’s life. There were many ways of warding off evil influences, such as meditation, the Taoist magic figures, repelling or driving off evil, and changes, whose purpose was to prevent aggressions from the outside world. Meditation preserved the spirit in one’s thinking; the Taoist magic figures warded off evil spirits; repelling or driving off evil referred to the methods of repelling the ghosts and monsters; and changes referred to the magic power with which one was endowed after practicing the Taoist religion.

The Emergence and Spreading of the Taoist Classics The Taoist religion reached its zenith in the Eastern Jin Dynasty and the Northern and Southern Dynasties; its rapid development was due to the support of the government and the stimulation from Buddhism. The aristocrats who believed in it gradually transformed it into an official religion and in the one thousand odd years thereafter, the Taoist religion was upheld by government officials, who promoted the nation-wide spread and development of this religion. At the same time, a large number of Taoist classics were produced and a complete religious system was established. From the Han and Wei dynasties, Taoist priests wrote a number of books. As is recorded in Master Who Embraces Simplicity by Ge Hong, 257 different kinds and altogether 1,179 volumes of Taoist books were collected by Zheng Yin. From the Eastern Jin Dynasty, large-scale campaigns to produce Taoist classics were launched. The new works were classified into three categories—the “Sanhuang” (Three Gods) series, the “Lingbao” (Spiritual Treasure) series and the “Shangqing” (Consummate Purity) series. The Sanhuang series mainly included Eulogies to Three Gods and The Real Shapes of the Five Sacred Mountains, which were popular even before the campaigns. The former related the legends of three gods (the god of heaven, the god of earth and the god of man) and was divided into three sections, which had their respective functions. For example, one had to write To the God of Earth when one planned to build a house or a tomb and To the God of Man before a burial. The articles could call forth the gods to protect people from evil spirits, epidemics and

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disasters. The Real Shapes of the Five Sacred Mountains performed the same function. Lingbao Scripture of Five Magic Figures was mentioned several times in Master Who Embraces Simplicity, and a large number of Lingbao classics was written during the time of Ge Chaopu, who was one of the grandsons of Ge Hong’s clan. The Five Articles in the Lingbao Red Book by Ge Chaopu is a masterpiece of the Lingbao writings; it can be seen from the existing Preface to the Five Lingbao Magic Figures that the whole set of the Lingbao writings related to the five-direction worship in the Qin and Han dynasties. It created a model of the structure of the world with a series of fives, such as the five directions, the five gods, the five colors and the five organs; meanwhile, “Lingbao magic figures of the five directions” were fashioned to avoid disaster and misfortune so that people could achieve immortality. In the later stages of the dynasties, The First-Class Lingbao Scripture of Redeeming People came to be regarded as a more important work in the Lingbao series, and the idea that “Gods and Taoist priests value life and try their best to convert people” exerted great influence on the history of the Taoist religion. The Lingbao series was also later influenced by the Great Vehicle Buddhism and absorbed some of its ideas. Most of the Shangqing classics were published in the middle of the Eastern Jin Dynasty, except The Huangting Classic, which was published in the transitional period from the Wei Dynasty to the Jin Dynasty. Produced through the help of the Xu and Ge families, this series of classics covered a variety of subjects. Chanting scriptures and incantations were stressed; meditating on gods and preserving the combination of essence, qi and spirit were regarded as important; and above all, the crafts of the gods existing in the body and the mind were further illustrated. These three sets of classics spread rapidly through society. They were called the classics of three caverns and to some extent speeded up the formation of the whole system of Taoist doctrines. Thus it can be seen that the development of the Taoist religion in the Northern and Southern Dynasties and Sui and Tang dynasties was reflected in the emergence and spread of the Taoist classics.

Kou Qianzhi Of the thinkers in the Northern and Southern Dynasties who enhanced the development of the Taoist religion, Kou Qianzhi, Lu Jingxiu and Tao Jinghong were the most famous.

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As a Taoist reformer in the early Northern Wei Dynasty, Kou Qianzhi (365–448) consolidated and reorganized the Heavenly Teacher sect in the north and transformed it into an official religion. With the aim of maintaining social order and safeguarding the interests of the ruling class, Kou Qianzhi condemned the farmers’ uprising led by Zhang Jiao and Li Hong. He abolished the old organizational system of the twenty-four zhis, the economic system of levying taxes by local governments and demolished the structure of the combination of politics and religion in the Heavenly Teacher sect. Kou Qianzhi rectified the Taoist practice of combining the qi of man and woman so that many social evils inherent to it could be eradicated and the Taoist organizations could be purified. Regarding Taoist practice, he stressed that “the rituals and etiquette should be regarded as fundamental, which should be complemented by taking pills and practicing in seclusion” and at the same time, traditional sexual practices would also be followed. The Lord Laozi Scripture of Precepts included in The Taoist Canon of the Zhengtong Reign is one of his works, in which the reforms he implemented are recorded. He reaffirmed a number of the traditional rules and rituals of the Taoist religion and added some detailed regulations. All in all, his works are a valuable resource for the study of the Heavenly Teacher sect in the Northern and Southern Dynasties. Kou Qianzhi’s reforms were appreciated by the government of the Northern Wei Dynasty. The rulers adopted the Taoist religion as advocated by Kou Qianzhi and accomplished the task of unifying the north with the help of this religion. Later, all the emperors of the Northern Wei Dynasty personally accepted the Taoist magic figures and became Taoist followers when they ascended the throne; in this way, the Heavenly Teacher sect of the Taoist religion gained the status of a state religion.

Lu Jingxiu A renowned Taoist priest who was accorded a courteous reception by the government in the Southern Dynasty, Lu Jingxiu (406–477) made his contributions to the Taoist religion in the fields of Taoist classics and rituals. He was the first to catalogue and systematize the Taoist classics, and his works greatly influenced later generations. In 437, he published The Catalogue of Lingbao Classics and in 471, he wrote The Catalogue of the Three Caverns Classics by imperial order. All in all, he catalogued 1,228 volumes of Taoist classics. His method of classifying the classics guided later

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generations and the “three caverns, four supplements and twelve types” classification was gradually established. This classification was regarded as part of the Taoist doctrines. More importantly, the Taoist classics were systematized by the criteria of this classification and the orders and positions of the Taoist followers were also decided and explained accordingly. All the Taoist sects could practice in accordance with different classics and in turn achieve different results. The Taoist followers had to practice step by step and could not skip any stratum. Obviously, the classics of the three caverns were positioned above the others, which reflected the dominating status of both the classics and their sect. The main part of the system of setting up altars for prayer rituals devised by Lu Jingxiu came from the Lingbao (Spititual Treasure) sect; it was supplemented with the traditional methods of the Shangqing (Consummate Purity), Dongshen (the cavern of the spirit) and the Heavenly Teacher sects. The system was called the “three grades and twelve methods,” altogether twelve types, and the nine Lingbao (Spiritual Treasure) fasts occupied an important position in Taoist religion. Lu Jingxiu published many books on setting up altars for prayer rituals and also expounded on the religious implications and precepts. He expressed his disapproval of the chaotic state of the Heavenly Teacher sect and made clear its religious stand, rules and ceremonies. However, it is unknown whether or not his books influenced the activities of the Heavenly Teacher sect.

Tao Hongjing Tao Hongjing (456–536), Lu Jingxiu’s disciple of the second generation, was talented and knowledgeable. With a good understanding of the three religions of Confucianism, Taoism and Buddhism, from the age of thirty-six he led a secluded life in the mountains to make pills of immortality. Emperor Wu of the Liang Dynasty sent an emissary to the mountains to ask for his advice during certain important events; thus he was called the “Prime Minister in the Mountains” by people of his time. It was said that he also practiced Buddhism in the mountains and set up a Taoist hall and a Buddhist hall, praying in both of them. He was very productive and his works covered all aspects of Confucianism, Taoism, astronomy, the calendar, mathematics, geography, medicine, the art of war, and divinatory practice. The Taoist works included Admonishment, The Rhymed Formula for Attaining the Truth and The Positions and

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Functions of Gods. Tao Hongjing synthesized all the previous doctrines and took them to their highest level. Admonishment gave an account of the doctrines and history of the Shangqing sect in its early stage and was valued by people both inside and outside the Taoist organizations. In The Rhymed Formula for Attaining the Truth, the Shangqing craft of meditating on gods was summarized, while the materials concerning the rules and regulations of the Heavenly Teacher sect were preserved. Tao Jinghong sorted out for the first time in history the pedigree of the Taoist gods and in The Positions and Functions of Gods, classified the gods into seven grades, ranging from heaven to the underworld. In this list of pedigrees, there were not only gods worshipped by the Taoist followers but also figures in the history of the Taoist religion, the legendary emperors, and historical figures, such as Confucius and Zhuangzi. The prototypes of the officials in charge of the ghosts in the netherworld were the ghosts and spirits in the sixth layer of heaven, which were previously worshipped by the Confucians and criticized by the Taoist followers. Tao Jinghong placed them in the pedigree list, which shows that they were also regarded as part of the Taoist pantheon and shouldered the responsibility of evaluating the merits and demerits of the people in the human world. In this system, the god in the highest position was changed from the Most Exalted Lord Laozi in the late Han Dynasty to the Celestial Worthy of the Original Beginning. Tao Jinghong practiced Taoism on Mount Maoshan for decades; it became the center of the Shangqing sect and spurred the establishment of the Maoshan sect. Another name for the Shangqing sect for a period of time, the Maoshan sect usually required its followers to renounce the family and stay in a Taoist temple to practice the religion. As Tao Jinghong and his disciples built many Taoist temples on Mount Maoshan, a large number of renowned Taoist priests and Taoist thinkers appeared on the scene between the Northern and Southern Dynasties and the Song Dynasty; this, to a great extent, enhanced the development of the Taoist religion.

The Integration of the Southern and Northern Sects and the Relationship between Buddhism and the Taoist Religion During the period of the Six Dynasties, the Taoist religion underwent great development in the south, while the three caverns classics spread to the north through the Louguan sect. This was a small Taoist

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organization in the Wei and Jin dynasties which upheld The Classics of Going Up to the Western Paradise and The Classics of Enlightening the Hu People. The Louguan Taoist priests Chen Baochi, Wei Jie and Wang Yan adopted The Catalogue of the Three Caverns Classics on Mount Songshan and Mount Huashan, which spurred the integration of the southern and northern sects. Wang Yan was accorded a courteous reception by the imperial government of the Northern Zhou Dynasty. With government support, he set about synthesizing and arranging the three caverns classics, eventually compiling The Gems of the Three Caverns. The Taoist priests in the Northern Wei Dynasty, encouraged by government policy, made a comprehensive summary of the Taoist doctrines, the fruit of which was the first encyclopedia of the Taoist religion, The Book of Supreme Value. The development of the Taoist religion in the Northern and Southern Dynasties was associated both with its struggle with Buddhism and with the influence of Buddhism. In the north, the argument between the Buddhists and the Taoists focused on the tao belief that Laozi had enlightened the Hu people, which caused the imperial government to launch two large-scale campaigns to abolish the Taoist religion. In the south, the struggle between Taoism and Buddhism derived from their different opinions concerning the conflict between the foreign (yi) and the Chinese (xia) and the conflict between life and death, form and spirit. During this time of contention, Buddhist doctrines and theories exerted a profound influence on the Taoist classics and, what is more, the late Northern and Southern Dynasties and the zenith of the Tang Dynasty witnessed the emergence of a large number of Taoist works, in which the Buddhist concepts and theories were adopted to illustrate the doctrines of the Taoist religion. Many Taoist scholars were also very accomplished students of Buddhism. The Classic of Taixuan Zhenyi Benji by the Taoist priest Liu Jinxi was chanted in all the Taoist temples by the imperial order of Emperor Xuan of the Tang Dynasty during the transitional period between the Sui and Tang dynasties. Some of the Buddhist terms were accepted in the comprehensive Taoist books published in the Tang Dynasty, which shows that some Buddhist concepts and theories had become an organic part of the ideological system of the Taoist religion.

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The Metaphysics of Double Mysteries of the Tang Dynasty The developments in the Taoist religion in the Sui and Tang dynasties led to the arranging of the various Taoist theories and doctrines during that period. The policy of upholding the Taoist religion practiced by the imperial governments of the Sui and Tang dynasties spurred its development; what is more, the Tang government actively preached the Taoist classics and, as a result, The Pronunciation and Meaning of Taoist Scripture and An Outline of the Three Cavern Classics, the first Taoist historical canons, were compiled. The study of metaphysics was established in the reign of Emperor Xuan of the Tang Dynasty, and Laozi, Zhuangzi, Liezi and Wenzi were added to the book list for Daoju, the Taoist imperial examination. Emperor Xuan himself annotated Classics of the Way and Virtue, followed by a large number of Taoist priests, who annotated and developed the Taoist classics, turning the Taoist doctrines into a philosophy. During the process of expounding on the theories of Laozi and Zhuangzi, the metaphysics of double mysteries, which was a combination of Buddhism and Taoism, began to be practiced by such representative figures as Liu Jingxi, Cheng Xuanying, Wang Xuanlan, Sima Chengzhen and Wu Jun. However, all these works were actually a summary of the research and study done in the Northern and Southern Dynasties. The summation was brought to a peak by Du Guangting in the late Tang Dynasty and the Five Dynasties, which marked the end of the early stage of Taoist development. Therefore, it can be seen that the achievements of the predecessors were summed up in the Tang Dynasty, while there was no major breakthrough in Taoist practice. It was the emergence of the Inner Alchemy sect in the late Tang Dynasty and the Five Dynasties and other new Taoist sects in the Song and Yuan dynasties that took the Taoist religion to a new phase of development.

The Taoist Religion in the Song and Yuan Dynasties The Rise of the Inner Alchemy Sect The rise of the Inner Alchemy sect was regarded as a great development in Taoist religious practice in the Song and Yuan dynasties. A few

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scholars think that the craft of inner alchemy appeared as early as the time of The Triplex Unity, but most believe that it came into being after the time of Su Xuanlang in the Sui Dynasty. Some ideas about inner alchemy could be found in the thoughts of such Taoist priests in the Tang Dynasty as Sima Chengzhen (?647–735). In making inner pills, the human body was employed as the furnace while the human essence and qi were used as raw materials, which were smelted by supernatural fire and eventually holy pills of immortality would form in the pubic region. The whole process was usually divided into the four stages of building up the foundation, smelting essence to obtain qi, smelting qi to obtain spirit, and smelting spirit to reach the state of emptiness. The early works concerning inner alchemy were all written in the technical terms of making pills of immortality, thus known as inner alchemy. Awaking to Truth by Zhang Boduan (984–1082) in the Song Dynasty was considered the most important work on inner alchemy. The Inner Alchemy sect incorporated the Buddhist idea of examining one’s heart to know one’s nature and maintained that one had to conserve both life and nature. After the rise of the Quanzhen sect, the Inner Alchemy sect split up into the southern sect and the northern sect; the former was represented by Zhang Boduan and advocated placing life above nature, while the latter maintained that nature should be valued above life. At the early stage, the Taoist followers who practiced the inner alchemy craft did not form an organization but later sects integrated themselves with new and old Taoist organizations in the north and south. The inner alchemy craft was the major Taoist practice to attain immortality in the later period and works concerning the craft were published until the late Qing Dynasty.

The New Taoist Sects and Taoist Classics Emerging in the Song and Yuan Dynasties The Taoist religion enjoyed rapid development in the Song and Yuan dynasties, with new sects emerging both in the south and in the north. In the south, Mount Longhu, Mount Hezao and Mount Mao served as the bases for the three Taoist sects of Zhengyi, Lingbao and Shangqing, from which some small sub-sects were derived. The three new sects of Shengxiao, Qingwei and Jingming began to exercise influence immediately after they were formed. The sects of magic figures in the Song and Yuan dynasties mainly availed themselves of thunder power

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to preach their doctrine and to benefit mankind, while at the same time they also absorbed the idea of inner alchemy. All of them advocated the idea that “pills of immortality should be made inside the body, but Taoist crafts should be practiced outside.” The Jingming sect was distinguished for its incorporation of some Confucian ideas about faithfulness and filial piety. The new sects emerging in the north included the Zhenda sect, the Taiyi sect and the Quanzhen sect, with the founder of the Quanzhen sect, Wang Chongyang, and his seven disciples making great advancements in the preaching of Taoist doctrines in the north. The Baiyun temple in Beijing has served as the center of the Taoist religion for hundreds of years. After Emperor Shizu of the Yuan Dynasty united China, the Quanzhen doctrines were introduced to the south and this sect was combined with the Inner Alchemy sect, thus becoming the most influential sect in the country. At its early stage, the Quanzhen sect was composed of associations formed by the common people. For instance, some societies were set up in Shandong to advocate the idea of combining the three religions of Taoism, Buddhism and Confucianism. The doctrines were composed of the theories of inner alchemy and Confucian ethics, while, in terms of practice, the Buddhist concept of life coming after nature was adopted. The Taoist religion had been supported by the imperial governments from the Song Dynasty to the early Yuan Dynasty and the policy of supporting the Taoist religion in the Northern Song Dynasty greatly spurred its development. In addition, in the Song and Yuan dynasties, many scholars and men of letters were closely related to the Taoist organizations and became involved in the work of sorting through the Taoist classics, especially those concerning rituals and ceremonies. As a result, a vast literature concerning the prayer rituals was contained in The Golden Book of Relieving and Redeeming of the Lingbao Sect, and increasing numbers of Taoist books were included in the bibliographical books written by the official-scholars. A large number of aristocrats joined Taoist organizations, which enhanced the integration of the three religions of Confucianism, Buddhism and Taoism. In the Song and Yuan dynasties, many renowned Taoist scholars produced a great quantity of important works, so that Taoist doctrines and theories were further developed. Through the ages, the Taoist canon was compiled and amended by scholars in the Taoist organizations under the supervision of the imperial governments. The existent canon was published during the Zhengtong

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reign of the Ming Dynasty and was supplemented during the Wanli reign. From the middle of the Ming Dynasty, the central government no longer supported the Taoist religion. By the time of the Qing Dynasty, the importance of the Taoist religion in the political system had significantly decreased. Despite this, however, the activities in the Taoist organizations continued as before. In the late Qing Dynasty, for example, ceremonies were held in the Baiyun temple to ordain more than four hundred people as Taoist priests. In the Ming and Qing dynasties, the Taoist religion split into different sects but the structure established in the Yuan Dynasty was maintained and Zhengyi and Quanzhen became the two leading sects.

The Taoist Religion and Folk Culture The Taoist religion originated from, and was also deeply rooted in, the beliefs of the common people and its development in society depended greatly on the spreading of rituals and ceremonies. The ceremonies and rituals still preserved in some parts of the mainland, Taiwan and Hong Kong are mainly held to pray for blessings, ward off disasters and redeem the souls of the deceased. The Taoist rituals are closely related to the life of the common people and are thus an indispensable part of folk culture. Many theories and practices in Chinese operas, painting, music, literature, dancing and architecture are incorporated in Taoist rituals and ceremonies and are thus kept intact. To a great extent, Taoist culture is also reflected in folk customs because festivals, diet, marriage, farming, trade, birth, aging, sickness and death are all integrated into the Taoist religion. From the Tang Dynasty, the crafts and rituals popular among the common people were first adopted by the Taoist priests, then entered the Taoist canon compiled by the Taoist organizations. The Taoist priests in the lower class were very adept at these rituals and crafts and even took to practicing them as their profession. It can be seen that almost all the elements in Chinese folk culture have been absorbed into the Taoist religion, which is therefore full of vitality. The different characteristics of worship and rituals in the different regions can be attributed to the local flavors of the Taoist religion; Mazu worship in the coastal regions is a typical example. As a native religion in China, Taoism had a profound influence on the cultures of the minority groups. It was also introduced to other parts of the world along with the migration of Chinese people; for example, the cultures of Vietnam, Japan and Korea were to different

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degrees influenced by this religion. Today, Taoism has a large number of followers in all parts of the world.

The Taoist Religion and Medicine The Taoist followers and priests made great contributions to Chinese medicine, pharmacy and the study of how to preserve health. For example, the methods of conserving energy discussed in the Taoist classics are concerned with regulating the breath and body, breathing, food and massage and are often used in the treatment of diseases and as a way of prolonging life. To take another example, Sun Simiao, the Taoist priest in the Tang Dynasty, compiled the thirty-volume Essential Prescriptions Worth a Thousand Pieces of Gold, which covers such subjects as medical prescriptions, acupuncture, diet, and techniques to preserve health; it is considered the earliest encyclopedia of clinical values.

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Chinese Buddhism and Zen Buddhism in China—The Early Stage

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Free-style calligraphy of“佛”(fo) means “Buddha” in Chinese

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Buddhism first emerged in the Ganga River Basin of India in the 6 BC and later gradually developed into a major world religion. Indian Buddhism evolved continuously as it was integrated into the cultures of different regions and nations and, as a result, many factions, beliefs and ideological systems with local characteristics were derived from it. This cultural integration enriched Buddhism. Moreover, Buddhism also penetrated into all aspects of local life and exercised profound and longlasting influence, thus becoming an organic part of the cultural tradition in each particular region. The development of Buddhism in China is a typical example of this cultural integration, and this religion has become an important part of Chinese culture.

Buddhism in China—The Early Stage The Introduction of Buddhism It is commonly acknowledged that Buddhism was first introduced into China from middle Asia but it is difficult to determine exactly when. There are two historical records to which we can refer: First, in 2 BC , namely the first year of the Yuanshou reign of Emperor Ai in the Han Dynasty, an emissary named Yicun from India passed on Buddhist scripture orally to his disciple Jinglu, who was a court academician. Second, Emperor Ming in the Eastern Han Dynasty dreamed about a gold man flying across the palace yard. Following History Minister Fu Yi’s interpretation of the dream, he sent General Cai Yin, Qin Jing, court academician Wang Zun and eighteen other officials to the Western Region to search for Buddhist scriptures. In India, they encountered two Buddhist monks, Jiayemoteng and Zhufalan, and obtained statues of Buddha and volumes of Buddhist scriptures, which were carried to Luoyang on the back of a white horse. The White Horse Temple was later built in Luoyan, where The Classic of Forty-two Chapters was translated in the tenth year of the Yongping reign of Emperor Ming (AD 67) . This legend has been handed down through the generations. It is commonly believed that Buddhism spread to China in the Eastern and Western Han dynasties. Buddhism came to China when the Huang–Lao Tradition was at the height of its popularity, with such arts as medicine, divination and alchemy. Common people either considered Buddhism to be a philosophy

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which cherished emptiness and non-action, or regarded Buddha as a god who could avert disasters and bring happiness. Naturally, the monks from the Western Region were associated with the shamans. Therefore, at first Buddhism was practiced by the emperors. For example, Emperor Huan of the Han Dynasty and Prince Ying of Chu worshipped and offered sacrifices to both Buddha and Huang–Lao. Also in this period, many Buddhist temples and statues of Buddha were erected in the south.

Search for and the Translation of Buddhist Scriptures One of the most striking features of Chinese Buddhism is that a lot of effort has been put into the translation of the scriptures from Sanskrit into Chinese. This becomes one of the most important reasons for Indian Buddhism to take root and then to develop into an entirely new Buddhist tradition in China. The translation of Buddhist texts was initially undertaken by the monks from the Western Region; most of whom were widely learned and possessed a good understanding of Buddhist philosophy. For example, Anshigao Zhi Chen (?147) in the Eastern Han Dynasty, Zhufahu Kumarajiva (343–413 or 305–409) in the Western and Eastern Jin dynasties, and Bodhiruci Zhendi (499–569) in the Northern and Southern Dynasties were all eminent monks and great scholars. With the help of the monks and Buddhist devotees in China, the translators from the Western Region introduced into China main Buddhist scriptures as either on the basis of the original manuscripts or drawing on their memories. They overcame many difficulties in their unremitting efforts to lay a solid foundation for the development of Buddhism in China. At around the same time, some Chinese monks, who were dissatisfied with the current translations, went on pilgrimages to the west to search for Buddhist scriptures. One of the volunteers, Zhu Shixing in the Wei Dynasty, made light of traveling thousands of li and went to Yutian, Xinjiang to search for the canon of Prajnaparamitahrdayasutra, thus starting a tradition in the translation of Buddhist manuscripts in China. Later, the renowned monks who went to the west to seek Buddhism the Law included Faxian (?340–?422) in the Eastern Jin Dynasty, Yijing (635–713) and Xuanzang in the Tang Dynasty, the most prominent of the monks. Xuanzang (?602–664), with the secular surname Chen, was born in Goushi County, Henan Province. His family was poor, so when he was young he lived in the temple and studied Buddhist scriptures. After

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he was ordained as a Buddhist monk at the age of twelve, he studied diligently, meditated and made rapid progress. But after many years of lecturing on Buddhist teachings, he came to realize that the conflicting interpretations of the different schools made it almost impossible to gain a thorough understanding of the subject. He determined, therefore, to go to India to seek the scriptures. At that time, the journey to India was filled with hardship and danger. It was recorded in The Biographies of the Eminent Monks that “One should set off from Chang’an and go west to cross the Shahe River. There are neither birds in the sky nor animals on the land. Looking around, one finds nothing and nobody in sight, thus having no way to know where one is. One can only look at the sun to tell the direction and the bones of the dead to know the way. If he comes across typhoons or evil spirits, Xuanzang is doomed to die.” He arrived in India after innumerable trials and tribulations. He not only visited the sacred places of Buddhism but also sought knowledge everywhere and applied himself with great concentration to the study of Buddhist scriptures in order to achieve a mastery of Buddhism. Xuanzang was honored as one of the Ten Virtues who understood the Threefold Canon (consists of doctrinal records, writings on disciplines and writings on metaphysics) in the Nalanda temple and was respected both by the king and Buddhist affiliations. King Siladitya once held a Great Debate in Kanyakubja for him, and he was given the honorary titles of Mah-y-nadeva and Vimukta in acknowledgement of his great learning. When Xuanzang returned to China after finishing his studies, Emperor Taizong of the Tang Dynasty asked him to resume secular life and go into politics. Xuanzang declined the offer and devoted himself to the translation of the Buddhist manuscripts he had brought back from India. With the sponsorship of the state, he solicited help from more than twenty eminent monks from all over the country and established a wellorganized translation temple (which was moved to the Yuhua temple after the year 658), translating seventy-five books of such Buddhist Scriptures as Prajnaparamitahrdayasutra and Metaphysics of Mere-Consciousness, totaling 1,335 volumes. The translation work Xuanzang directed was of a very high standard due to the support of the government and his great attainments in Indian Buddhism. The translations presented a panorama of Indian Buddhism of that time in accurate, clear and coherent writing. In the “new version,” many errors in the old translations were corrected. Thus Xuanzang is considered one of the four great translators in the history of Chinese Buddhism, together with Kumarajiva, Zhendi and Bukong.

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Chang’an Start journey in 629, Back in 645.

China Qinghai-Tibet Plateau Kannauj (642)

India

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Burma Thailand

Route of Xuanzang seeking Buddhist scriptures

Monk Organizations in Relation to Politics and Economy Initially, Chinese Buddhism developed around the monks from the Western Region. In the Eastern Han Dynasty, the Han began to renounce their families to become monks according to the Precepts. The first one of these was Zhu Shixing. By the time of the Wei and Jin dynasties and the Northern and Southern Dynasties, Buddhist monasteries had been established throughout China and the translations of the texts resulted in the spreading of the Precepts. Two monks namely Dao’an and Huiyuan greatly contributed to the process. In addition to proofreading, annotating and compiling catalogues of the classics, Dao’an also educated thousands of disciples in the turbulent world of the time, which was troubled by natural disasters, plagues of locusts and rampant robberies and thefts. What is more, he set up detailed rules and regulations for practicing Buddhism and gathered his disciples to form a highly-disciplined monk organization. For this reason, he was trusted by Emperor Fu Jian of the Former Qin Dynasty and respected by the people of his time, which in turn improved the position of Buddhism in society. His disciple Huiyuan exercised great influence in the south with the setting up of the White Lotus Society.

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According to the Precepts of Indian Buddhism, monks were not allowed to possess private property other than the necessities for life and practice, such as “three mantles and one alms bowl,” but temples and monk organizations could own money and land legally. When Buddhism was first introduced to China, monks tended to follow a life of religious wandering and begging, but by the time of the Eastern and Western Jin dynasties and the Northern and Southern Dynasties, the lifestyle of the monks changed, along with the development of Buddhism and the expansion of monk organizations. They either till the land together with farmers or compete for benefits with traveling merchants; so the temple economy gradually took shape. Some monk organizations were sponsored by the government and obtained large amounts of land donated by the emperors, aristocrats and landlords. The phenomena of Sengshihu (people who offered grain to the temples) and Fotuhu (people who worked for the temples) appeared in the north, and the common people were made to toil for the temples. The wealth accumulated by monasteries was used to cover the living expenses of the monks and to pay for religious services and ceremonies. The remainder was either used for charities or invested in profit making businesses, such as storehouses, shops and pawnshops. For a long time, the monks were exempt from taxes and corvée, which spurred the development of the temple economy. On the one hand, this created favorable conditions for the spread of Buddhism; on the other hand, it made a tremendous impact on the feudal economy and resulted in increased ordainments and non-standard ordainments. During this period, Chinese Buddhism was closely related to politics in that the rise and fall of Buddhism depended to a great extent on the likes and dislikes of the rulers both in the north, which was ruled by minority groups, and in the south, where state power was still under the control of the Han people. For example, Fotucheng (232–348) was respected and worshipped as one of the gods and spirits by Shi Le and Shi Hu of the Late Zhou Dynasty, so Buddhism in northern China was preserved and then developed; and the reason why Dao’an and Kumarajiva were so successful was their close association with Fu Jian and Yao Xing. Emperor Wu of the Liang Dynasty was the most famous of the rulers who believed in Buddhism in the Southern Dynasty. As a pious Buddhist, he frequently withdrew from temporal life to become a monk. He was also actively involved in the internal affairs of Buddhism and presided over the establishment of the rules and regulations, such

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as the rule that Buddhist monks were forbidden to eat meat. Dao’an summed up this experience in the sentence “It’s hard to practice religious service without the support from the emperor.” That is to say, at times of war, the existence and development of Buddhism relied on the support of the rulers, even though a price had to be paid. Specifically, Buddhist doctrines had to be amended to cater to the interests of the rulers; otherwise, Buddhism would be suppressed and attacked. Along with the translations of Buddhist manuscripts and the rapid increase in the numbers of Buddhist monks, the conflict between the non-native Buddhism and the traditional culture of etiquette and Confucian ethics manifested itself in the Northern and Southern Dynasties. Against this background, Emperor Taiwu of the Northern Wei Dynasty and Emperor Wu of the Northern Zhou Dynasty waged large-scale campaigns to weaken the influence of Buddhism in the north; while in the south the argument that “the Buddhist monks should respect and honor the rulers” was put forward in an attempt to subordinate Buddhist monks to the monarchical power. The Confucian followers also condemned the Buddhist monks for their improper behavior, such as violating feudal ethical codes, renouncing the family, reaping without sowing and wasting state property. Huiyuan in Mount Lu wrote a large number of articles countering the Confucians’ accusations and expounding his view on the ideal relationship between Buddhist monks and the monarchical power. In his opinion, Buddhism could enlighten and influence the people so as to serve the ruling class; at the same time, the Buddhist monks should remain comparatively independent, in keeping with their identity. Huiyuan’s theories were an attempt to gain a comparatively independent social position for Buddhism, but the government strengthened control over the monk organizations through the monkofficial system. When it came to the Tang Dynasty, the management of the Buddhist monks was subsumed into the bureaucracy so that, to some extent, Buddhism had to serve the government.

The Flourishing of Buddhist Sects in the Sui and Tang Dynasties Buddhism had gone through a complicated process of evolvement and development in India and the sect of Great Vehicle exercised a decisive

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influence on Chinese Buddhism. The Chinese people’s understanding of Buddhism grew, along with their gradual acceptance of it. For the most part, the two cultures were integrated, even though there were still some contradictions and political conflict. Buddhism was not awkwardly transplanted to China and its spread in China was actually a process of recreation, which can be seen in the development of Chinese Buddhist sects.

Buddhist Sects in the Early Stage The earliest Buddhist sect in China was the Prajna sect, which enjoyed rapid growth in the Wei and Jin dynasties. The Buddhist thinkers compared the concepts of traditional Chinese philosophy (especially those of Laozi and Zhuangzi) with those of Buddhism to explain the Buddhist doctrines. The six or seven trends of thought that gradually took shape were called the “six schools and seven sects of Prajna.” The famous translator, Kumarajiva, came to China in the Qin Dynasty rule by the Yao family. His rigorous approach and the writing style reflected in his translations appealed to a group of prominent monk-scholars and drew them around him. They worked together to acquire a better understanding of Indian Buddhism, especially the Madhyamika of the Great Vehicle. Later in the Northern and Southern Dynasties, based on the translations done by Tanwuchen (385–433), Buddhabhadra (359–429), Bohdiruci and Zhendi, a group of theoretical schools of thought arose and developed gradually, for example, the Niepan, Pitan, Chengshi, Dilun and Shelun sects. Their theoretical studies were still at the level of annotations and commentaries on Buddhist scriptures, but their work laid the foundation for the flourishing of Buddhist sects in the Sui and Tang dynasties. In the Sui and Tang dynasties, Buddhism developed at an unprecedented rate along with the rapid growth of economy. Several large Buddhist sects gradually took shape with the support of the government and the sponsorship of the temple economy and Buddhism reached the height of its power and splendor in China. Chinese Buddhism and Indian Buddhism differed from each other in many ways and we can find the features of the former in both theory and practice through studying the Tiantai, Huayan and Pure-land sects and Zen.

Tiantai Sect The pioneers of the Tiantai sect can be traced back to Huiwen (6 BC) and Huisi (515–577) in the Northern and Southern Dynasties. The sect’s founder

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was Zhiyi (538–597). Zhiyi, whose secular surname was Chen, renounced his family to become a Buddhist monk at the age of eighteen. To start with, he learned from Huisi, and then later discoursed on Buddhist scriptures and wrote books of his own. With the support of the imperial governments in the Chen and Sui dynasties, he took Mount Tiantai as his center and set up the Tiantai sect, the first Buddhist sect in China. The Tiantai sect worshipped the Fahua Sutra as the sacred object and based its doctrines on it; therefore, it was also called the Fahua sect. The doctrine of the Tiantai sect centers around the idea that “everything presents itself truthfully.” That is to say, all objects and phenomena exist naturally and they are perfect and self-sufficient. The phenomena of the world differ from each other in thousands of ways, but basically they are the truthful presentations of themselves. Each phenomenon depends on its presentation for its existence, and the existence of all things and phenomena rely on many conditions and nothing is ever-lasting. Therefore, everything is “empty.” However when all the conditions are satisfied, all the objects and phenomena will appear before our eyes, distinct and clear; therefore, everything is “false.” “Emptiness” and “falseness” are the nature of all things of creation, and they develop naturally without any artificial interference. We have to take into consideration both the emptiness and the falseness and should not be stubbornly biased in favor of one and against the other. Therefore, we should be detached from both sides and be neither empty nor false. The Tiantai sect was split into the two branches of Shanjia and Shanwai in the Song Dynasty, and the Shanjia branch went on to exert great influence on later generations. In the Tang Dynasty, in the early ninth century, a Japanese monk traveled to China to look for scriptures, and he established the Tiantai sect after his return to Japan. In the thirteenth century, another Japanese monk established the Rilian sect, based on the Tiantai sect, which went on to become the major Buddhist sect in Japan. In the Song Dynasty, in the eleventh century, a Korean, Yitian, arrived in to pursue his studies and, on his return, he introduced the Tiantai sect to Korea.

The Huayan Sect The Huayan sect focused on expounding The Huayan Sutras, hence its name. The doctrines of this sect can be traced back to Du Shun (557–640) and Zhiyan (602–668). Its actual founder, Fazang, was conferred the title of Master Shouxian by Empress Wu Zetian; thus it is also called the

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Shouxian sect. The ancestors of Fazang lived in the Kangju state in the Western Region, while he was born in Chang’an. He devoted himself to the studies of The Huayan Sutras and wrote many commentaries on it. The doctrines of the Huayan sect were centered upon the idea of “the origin of all things and objects.” All things and objects in the world can be classified into different categories, while they can also be added up to one. At the same time, all things and objects have reasons for their existence. The Huanyan sect placed much stress on the origin The Huayan Sutras and noumenon of all things and Printed in Yuan Dynasty objects. They believed that “every being innately has a clean and clear heart, which gives rise to everything in the universe, but it is buried deep in worries and cares.” As the reason and origin, “the clean and clear heart” does not exist outside all the things of creation; instead, it penetrates into everything and every object, thereby becoming the nature shared by all. The clean and clear heart acts on everything; thus all things of creation depend on each other and interact as cause and effect. One is related to everything and everything is contained in one; therefore, we can say that everything is one and vice versa. Everybody is contained in and embodied by everybody else. All in all, everything and everybody associate with each other and mix together so as to weave themselves into the net of an entity. For this reason, “the origin of all things and objects” is also called “the origin of the endless.” The Huayan sect also used such binary concepts as reason and result, body and function, fundamental and incidental, nature and appearance, and one and many to explain the relationship between the object and its noumenon, saying that the two can be united with each other and become one. The Huanyan sect posited the idea that truth (noumenon) exists extensively within all things of creation; therefore, they can associate with

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and integrate into one another. This idea had a tremendous influence on the development of Chinese Buddhism and even on Chinese philosophy.

The Pure-Land Sect The object of Pure-Land Buddhism was to be reborn into the realm of ultimate bliss, and the followers of the Pure-Land sect mainly believed in Maitreya pure land and Amitahba pure land. Dao’an, in the Eastern Jin Dynasty, started the branch of Maitreya pure land, which enjoyed great popularity in the Northern and Southern Dynasties, but gradually declined later. The branch of Amitahba pure land became the main branch; one of its best-known followers in the early period was Huiyuan, in Mount Lu. He believed that the people who lived in the Western Paradise after death were all reborn in the “lotus land.” He named his organization the White Lotus Society, and the Pure-Land sect was also called the Lotus sect. In the doctrines of the Pure-Land sect, the idea of life after death in the Western Paradise is based on the vows Bodhisattva Dharmakara made in The Buddha of Infinite Life Span Sutra, especially the eighteenth promise: “after I attain Buddhahood, all beings will be granted the wish of living in the land of ultimate bliss as long as they worship the pure land sincerely and pray to Buddha. If I cannot do this, I promise not to become a Buddha.” But praying to Buddha is only the external condition for rebirth and the piety of the Buddhist practitioner is the more important internal cause. Therefore, the two must supplement and complement each other to combine together belief, will and action so that eventually people will be reborn in the land of ultimate bliss. Originally, there were many ways of praying to Buddha in the sutras of the Pure-Land sect, while the followers of Huiyuan in Mount Lu often adopted the method of “observation.” That is to say, one has to concentrate on thinking, observing and cherishing the memory of Buddha and the land of ultimate bliss. Later the tradition of “chanting incantation” began with Tanluan (?476), was developed by Daochuo and taken further by Shandao, who systemized the ideas of the Pure Land sect. From that time, chanting the name of Buddha was considered especially important. It was also believed that chanting “Amitabha” wholeheartedly was the most appropriate and direct way for ordinary people to reach the land of ultimate bliss. Compared with chanting, other practices such as recitation, observation, religious service, praise

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and making offerings were considered indirect practices and only of supplementary value. Differing from the doctrines of other Buddhist sects which stressed salvation through one’s own power, this theory proposed redemption by an outside force. This method is very simple and practicable and no special requirements are expected of the believers; this theory grew in popularity and further stengthened and expanded. To date, it is still followed by many people.

Zen The Zen sect rose to become an important Buddhist sect much later than other sects. Zen, a word transliterated from Sanskrit, means quietude and emptiness or peaceful and serene meditation. The practice in Indian Buddhism evolved to Chinese Zen through a gradual and complicated process.

The Early Zen Masters As early as the initial spreading of Buddhism, An Shigao and Zhichen introduced the Great Vehicle and the Little Vehicle to China. During the Eastern Jin Dynasty, the Zen sutras were translated on a large scale and Zen became independent from other Buddhist doctrines. At the same time, a number of Zen practitioners appeared in society, where they either practiced quietly by themselves or assembled to learn from each other. Some of them obtained the support of the government and became official Zen practitioners while others led a wandering life and passed their theories to the people they met along the way. In the Northern and Southern Dynasties, the turmoil of war produced a large number of refugees; some of them were roving monks who made up a large body of pioneering Zen practitioners. The early leaders of the Chinese Zen sect were also very active during this period and it is said that Bodhidarma (?–535), the forefather of the Zen sect, came to Guangdong from the south of India in the Putong reign of the Liang Dynasty. The following year, he met Emperor Wu of the Liang Dynasty, but they did not agree on many matters. Therefore, he crossed the river to Luoyang, sat in silence and read silently, facing the wall in the Shaolin temple at Mount Songshan. People of the time called him the “secluded Brahma.” Stories of “picking a reed to cross the river” and

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“Bodhidharma facing the wall” were handed down from generation to generation. Among his disciples, the most prominent was Huike (487–593), who taught Sengcan (?–606); both upheld the Lankavatara Sutra and were called the Lankavatara masters. From the time of Sengcan, the Zen monks shifted their sphere of influence to the south; his disciple Daoxin (580–651) first reached Mount Wangong in Shuzhou, then traveled to Mount Lu in Jiangxi and finally settled in Mount Shuangfeng. He gathered people around him and gave lectures, and played an influential role in society. According to the records, he stressed the importance of meditation, persuading people to “exert themselves in sitting in mediation because it is the fundamental.” In addition, he encouraged labor and advocated carrying on working and sitting in meditation at the same time. His disciple Hongren further developed this idea and introduced daily work to Zen, believing that walking, living, sitting and lying are all alternatives of sitting in meditation in the monasteries. They were later regarded as the real founders of the Zen sect and their school was called the “sect of Mount Dongshan.”

Shenxiu and Huineng Hongren attracted many capable people to be his disciples; the most eminent were Shenxiu and Huineng, whose work resulted in a new phase in the further development of Zen. Shenxiu (605–706), with the secular surname Li, was born in Weishi, Kaifen. He renounced his family to be a Buddhist monk at an early age and gained a thorough understanding of Laozi, Zhuangzi, The Book of Change as well as various Buddhist texts. He became a follower of Hongren when he was nearly fifty. After Hongren’s death, Shenxiu went to the Dumen temple at Mount Yangshan of Jingzhou to give lectures and drew a large number of followers. His influence was noticed by the imperial family and he was invited to the capital by Empress Wu Zetian and granted the title of “The Great Master of Two Capitals.” He was also courteously received by the Emperors Rizong and Zhongzong, and was hence known as “Master of the State for Three Emperors.” Due to the efforts of his two disciples, Puji and Yifu, the Shenxiu branch grew steadily and its influence extended to the area of the capital. Huineng (638–713), whose secular surname was Lu, is said to have been an illiterate woodsman who overheard others reciting the Diamond Sutra and was inspired. He left for Mount Fengmu to visit Hongren and did odd jobs around the monastery until Hongren told his disciples one

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day to express their opinions through the Buddhist hymn by Shenxiu: Body is the bodhi tree Heart is like the clear mirror stand Strive to clean it constantly Do not let the dust mote the land.

Huineng heard about it and composed a hymn to be written on the wall: Bodhi really has no tree The clear mirror has no stand Nothing is there initially So where can the dust mote the land?

Hongren thought that Huineng’s comprehension was more profound than that of Shenxiu and therefore secretly passed his “Buddhist garment” (the token of Zen impartment and inheritance) to Huineng. After going back to the south, Huineng lived a secluded life for fifteen years. He was then invited to give lectures on Zen and imparted the theory of no-precepts in the Dafan Temple of Shaozhou. His disciple Fahai compiled Platform Sutra of the Sixth Patriarch by recording his words and deeds.

The Dispute between the South and the North

Statue of Huineng in Nan Hua Temple, Guangdong

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During the initial development of the Zen sect, impartment and inheritance was not confined to the direct lineage f ro m B o d h id h a r m a to Huineng. Other schools and sects appeared and spread throughout the country; they communicated with and competed against each

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other. The policy of support, control and utilization by the imperial government of the Tang Dynasty also gave rise to disputes among the different branches the of Zen sect. When the Shenxiu branch achieved great success in the north, Huineng’s disciple Shenhui (668–760) spared no effort in preaching the doctrines of his master. He held a grand meeting in the Dalin temple of Huatai and debated the rights and wrongs of the southern and northern sects in an attempt to establish the orthodox position of the southern sect. He asserted that the northern sect was a collateral branch in terms of impartment and inheritance, and gradualism in terms of doctrines of practice. Shenhui argued that it was Huineng who carried forward the tradition started by the founder of Zen because he upheld the Diamond Sutra and founded “suddenistic.” Moreover, the token of Zen impartment and inheritance—the Buddhist garment was passed on to Huineng, so he should be considered the sixth patriarch of the Zen sect. He launched his campaign but had little success and suffered persecution. Later, the temples and monasteries were severely damaged in the north during the An–Shi turmoil, which dealt a heavy blow to the northern sect. Shenhui was credited with helping the government to set up the platform to ordain Buddhist monks and to increase revenue. By then, his efforts had gradually paid off and the southern sect replaced the northern sect to be the orthodox sect of the state. The dispute between south and north had a great influence on the development of the Zen sect. In the time of Shenxiu and Huineng, the theories of Zen gradually matured, and the sect was finally recognized by the government. The success of the southern sect helped establish the leading position of the Huineng branch, both in theory and in impartment and inheritance. Later, in the middle period of the Tang Dynasty, although there were many branches of Zen, most of them submitted to the authority of the Huineng branch, including the Qinyuan Xingsi sub-branch and the Nanyue Huairang sub-branch.

The Baizhang Regulations Huaihai (720–814) was born in his ancestral home, Changle, Fuzhou, and later moved to Mount Daxiong in Xinwu. With the religious name Master Baizhang, Huaihai was a disciple of Daoyi and played an important role in the history of the Chinese Zen sect as he set up the Rules and Regulations of Zen.

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In the early period, except for the very few who left the temples to stay in their own homes, most of the Zen monks were constantly on the move, living a wandering life. In view of this situation, Huaihai founded a separate Zen residence so as to offer the Zen monks a comparatively stable life and a special place for their practice. What is more, he laid down a set of strict rules and regulations. First, Huaihai inherited and further developed the tradition of carrying on meditation and work at the same time and laying equal stress on Zen and farming. In the Zen residence, he adopted “the policy of equal treatment,” which maintained that all the monks were supposed to participate in physical labor despite their posts and positions, and he “who spent one day idle would spent it hungry.” Second, he introduced detailed rules governing life in the temple and established special posts to guarantee the implementation of the rules. Third, the layout of the temple was changed to demolish the hall for worshipping Buddha and to open “a hall for preaching Buddhist doctrines.” It showed that the Zen set was opposed to idolatry and preferred to replace the worshipping ceremony with self-cultivation. This set of rules and regulations spread widely after being revised several times and was eventually abided by all over the country.

The Five Sects and the Seven Branches A large-scale campaign to repel and destroy Buddha was the first blow dealt to Buddhism in the Huichang reign of Emperor Wuzong (841–846). This was followed by farmers’ uprisings in the south and warfare among the warlords in the north. All the scholastic sects whose economy was based on the official or temple manors collapsed after the setbacks, while the Zen sect made considerable progress because of the increasing number of refugees. What is more, they built up a special economy by dwelling in the mountains and engaging in farming and religious practice at the same time. Up to the late Tang Dynasty and the Five Dynasties, a large number of Zen branches with their own characteristics gradually took shape. Linyou, a disciple of Baizhang Huaihai, and his disciple Huiji founded the Weiyang sect; Huangbo Xiyun and his disciple Yixuan set up the Linji sect; Liangjie, a disciple of Qingyuan, and his disciple Benji started the Caodong sect; Xuefeng Yicun and his disciple Wenyan founded the Yunmeng sect; and Yicun’s third-generation disciple Wenyi established the Fayan sect. Among the five sects, Weiyang, Yunmeng and

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Fayan did not last long and disappeared after the Song Dynasty, while Caodong and Linji spread extensively and lasted for a long time. What is more, when the Linji sect went on to the time of Shishuang Chuyuan, one of his disciples set up the Huanglong branch and Fanghui, another of his disciples, founded the Yangqi branch. These two branches, together with the five sects above, were called “the five sects and the seven branches.”

The Spirit of Zen During the development of the Zen sect, a number of sutras were advocated, such as Lankavatara Sutra, Diamond Sutra, The Sutra of Perfect Enlightenment and Lengyan Sutra, and later a Chinese sutra Platform Sutra was compiled. However, most of the Zen monks followed their own interpretations of the sutras. The central ideas of Zen can be found in The Awakening of Faith of the Great Vehicle, passed down from the Northern and Southern Dynasties, and Platform Sutra written by Huineng. The two books are considered the theoretical foundation of Zen. In The Awakening of Faith of the Great Vehicle, human existence in this world and human salvation are both attributed to the “heart,” which is owned by all lives in the world, and the concept of “heart” can be understood from two aspects. On the one hand, “the heart is as everlasting as the truth,” namely, “heart” is subject neither to birth nor death and is absolutely still and lasts forever. On the other hand, “the heart fluctuates between life and death,” that is to say, the life and death of heart is unpredictable as reckless action. The Awakening of Faith says that the nature of heart is basically clean and peaceful, for it is not burdened with worries or cares; thus the heart is peaceful and “conscious.” However, once the heart is perturbed by personal considerations, it will be turned “unconscious” and human lives will transmigrate eternally within the six realms. The inborn nature of the heart is clean and peaceful as long as it is not disturbed by worldly considerations. Therefore, provided we prevent our emotions from being aroused and our hearts from being perturbed, we will recover our lost wisdom or “consciousness.” In The Platform Sutra, Huineng proposed the concept of “prajna practice” and advocated reaching the state of Buddha through sudden enlightenment. He said,

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“Common people are born with Bodhi’s prajna wisdom. Since they are obsessed by lust and desire, they cannot awaken to truth by themselves and have to resort to good and wisdom so as to find again the inborn nature.” “Both stupid man and wise man are bestowed with the Buddhist nature. The former is unconscious, thus being stupid; and the latter is conscious, thus being wise.” “Everyone is good-natured and kind-hearted as long as we recover our inborn nature. Lit up with wisdom, our hearts are bright and transparent. Thus our inborn nature will lead the way to salvation.”

That is to say, as everyone is born with prajna wisdom, they are pure and noble by nature. However, their hearts are buried deep in the clouds of vain hopes, and hence become unconscious. Once all the vain hopes are cast aside and prajna wisdom emerges, we can see our nature clearly. Therefore, “sudden enlightenment will lead us to the state of Buddha.” Huineng maintained that, “the principal aim is to dispel personal considerations. Therefore, we should not depend on words and concepts to be the carriers of our ideas and should attach to nothing so as to be rootless.” According to Platform Sutra, “no personal considerations means to dispel all the selfish ideas even though he is thrown into the mortal world” and “preserve his own purity in whatever situations.” That is to say, when situated in this confusing and complicated world, we should not be restricted or influenced by it; instead, we ought to subjectively smooth over the differences between pairs of opposites, such as good and evil, right and wrong, love and hate, and joy and sorrow, so as to reach the state of complete detachment and indifference. We should also not depend on words and concepts. We should attach to nothing and persist in nothing, for it is against human nature to be preoccupied by one single object. And in practice, the Zen monks should “attach to nothing whatever it is or whatever he does.” Thus he “who attaches to nothing is bound by nothing.” That is to say, Zen practitioners should not persist in anything no matter whether they are walking, living, sitting or lying. One should not be moved by anything so as to correspond to the natural state of the heart. Then wisdom will result, which makes salvation possible. The Platform Sutra states that “one should examine his heart in order to know his nature and then he can become a Buddha himself;”

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therefore, idolatry and pure land worship are criticized. The unconscious say their prayers to Buddha, but something different occurs to their minds; the conscious can purify their own hearts. The Platform Sutra also says that pure land is neither in the east nor in the west, but in people’s minds. As long as we can obtain peace of mind, pure land will appear before our eyes. What is more, “One does not have to stay in the temple to practice Buddhism because one can achieve the same result by practicing at home.” Thus we do not have to renounce the family to be Buddhist monks in order to “purify our hearts.” In a word, the essential ideas of Zen do not go beyond the two sutras, The Awakening of Faith of the Great Vehicle and The Platform sutra.

The Characteristics of Zen and Its Influence Founded and flourishing in the Tang Dynasty and the Five Dynasties, Zen showed its unique characteristics in comparison to the scholastic sects, such as Tiantai, Huayan and Faxiang. Zen laid emphasis on internal enlightenment and the independence and freedom of one’s spirit; thus, its striking features of anti-idolatry, anti-dogma and anti-authority are noticable. For example, were somebody to ask, “What is Buddha?,” one Zen practitioner might answer, “The stone tortoise in Huayang cave;” while another might say, “Dry dung.” In another example, Dazhu Huihai said, “All classics are words written on paper, hence empty talk.” When Shenzan saw a man reading the classics and a bee creeping on paper pasted in the window, he sighed, “He would not like to get into so vast a world; instead, he chooses to waste his time burying himself in old papers.” Linjiyixuan was bolder in that he not only swore at but also proposed to kill Buddha, saying that “I will kill Buddha when I see him and kill the arhat when I meet one.” (The Record of Passing on Light in the Jingde Reign, volume fifteen). Danxia Tianran felt cold in the Huilin temple, so he burned the wooden statue of Buddha to warm himself. (The Assemblage of Five Lights, volume five) By these words and behavior, the Zen practitioners meant to overthrow external authority and idols and replace the dogmas with inner enlightenment. Just as Huineng said, “all the laws of the world actually lie in one’s heart, so why don’t we search for the truth by studying our hearts?” Zen also stressed the individual’s first-hand experience and attempts to break down the barriers of language and logic. Thus, the Zen verse

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says, “No written record should be kept; impartment is done outside the sect. Practice is directed towards one’s heart; Buddhahood is attained when nature remains.” In Zen, personal experience can explain everything; as the saying goes, “only the one who drinks the water can know whether it is cool or warm without being told.” The Platform Sutra says, “The Western Paradise emerges before your eyes, so you can arrive there in an instant.” Linji Xuanyi said, “One cannot be separated from the present so that one can understand everything.” The immediate experience of every individual is special, while language and logic are commonplace and rigid. In many quotations from Zen, language and logic are denied, for example, “Misfortune comes out the mouth;” “Seeing requires instant looking, for everything slipped after a second thought;” “Thinking and planning diverge greatly from the fact.” The utterances are designed to persuade people to surmount the obstacles of language and logic and to experience the real world personally. According to the ideas of Zen, it is language and logic that cover the vivid and vigorous world and prevent it from blooming in a riot of color. In Zen, it is maintained that enlightenment can be obtained through everyday activities, such as eating, walking, carrying water and chopping firewood. The spirit of Zen can be embodied in anything full of life and vigor, including a single tree or a blade of grass. Thus, Zen stresses that “tao is contained in an easy mind” and “there is no selfish consideration in an easy mind.” Without “selfish consideration,” one will neither persist in anything nor be burdened by anything and can thus have peace of mind. Once enlightened, we will realize that the nature of Buddha is reflected through normal life, which is the most natural and simple. Somebody asked Zen monk Dazhu Huihai, “Do the Buddhist monks practice diligently?” He answered, “Yes.” The man asked again, “How diligent are they?” Dazhu Huihai answered, “They eat when they are hungry and go to bed when they are sleepy.” “Is their life different from that of the common people?” The Zen monk answered, “Yes.” The man asked, “In what way do they differ from others?” Dazhu Huihai answered, “They would not eat at dinner time

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but to make demands of every description; they would not sleep at bed time, but to create difficulties by every possible means. In this way they are different.” (The Record of Passing on Light in the Jingde Reign, volume six)

It shows that after being enlightened, one eats and sleeps as one did before, but one does not persist in, or attach to, anything, which is the so-called “giving free rein to one’s destiny.” The Zen spirit gradually evolved into a philosophy of, and attitude towards, life, which were popular among the ancient intellectuals. They could shake off the anxiety and trepidation brought about by their worldly pursuits and immerses themselves in the mood created by Zen. They quietly watched the blooming and withering of the flowers and the changes in the world and enjoyed peace and quietude. Therefore, Wang Wei said in his poem, “I will walk till the water checks my path, then sit and watch the rising clouds.” Su Dongpo also said, “There is nothing in my broad breast while all things between heaven and earth including mountains, rivers, grass, trees, insects and fish, are for me to enjoy. . . . The peaceful heart is my harbor.” This philosophy of, and attitude towards, life can only be acquired through Zen practice. According to Zen, one will be filled with immeasurable joy when one experiences and comprehends the everlasting, quiet and deserted noumenon through one’s observation of daily phenomena, especially natural scenery. After reaching the state of Zen enlightenment, one will be bathed in a special atmosphere, which is serenely quiet, refreshingly pure, unconventionally graceful and transparently clear. Therefore, this exceptional esthetic mood can cater to special esthetic tastes. The question and answer between the Zen master Tianzhu Chonghui and his disciple are recorded in The Assemblage of Five Lights. The disciple asked, “What is the state of Tianzhu like?” The master answered, “The vast sky lasts forever while the wind and moon remain for one day.”

“The everlasting vast sky” means that the sky and earth are vast and everlasting, while all things of creation are still and lonely, which shows the quietness and emptiness of the noumenon. “The wind and moon of one day” represents the vigor of the universe and the changes on earth, which is the mobility of the real world. Zen encourages people to see through the dynamic universe to reach the quietness and emptiness

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of the noumenon. Thus, Zen is opposed to renouncing life in the real world and ignoring the vitality of the universe because we can only come to realize “the vastness and eternity of the sky” after being aware of “the transience of the wind and moon.” Conversely, we cannot really appreciate and cherish the fleeting beauty of “the wind and moon” until we perceive “the vastness and eternity of the sky.” Thus it can be seen that the transcendence of Zen teaches people to go beyond the temporality mentally while clinging to it physically. This transcendence helps to create a poetic flavor, an esthetic mood and an esthetic taste, or in other words, the mood and delight of Zen, which are reflected in the poems of Wang Wei and many other poets in the middle and late Tang Dynasty. Zen is the result of the integration of Indian Buddhism and Chinese culture; thus it reflects the wisdom of the ancient Chinese people in philosophy, creativity and the spirit of Chinese culture. Simultaneously, Zen also exerted a profound influence on Chinese scholars and Chinese culture; we cannot really understand traditional Chinese culture (including philosophy, literature and the arts) without grasping the essence of Zen.

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絲 CHAPTER NINETEEN

The Silk Road

Ancient Chinese Civilization from the Perspective of Silk

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The Birth and Development of the Silk Road

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The Silk Road and Cultural Exchanges between the East and the West

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Free-style calligraphy of“絲”(si) means “silk” in Chinese

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In a somewhat isolated geographical environment, a nation was growing and developing. This was ancient China. Bounded by lofty mountains, harsh deserts, vast plateaus and oceans, the nation was practically cut off from the outside world. However, the ancient Chinese civilizations advanced and China’s contact with other countries continued regardless of the natural barriers. In addition to a close relationship with the East Asian regions, such as the Korean Peninsula and the Japanese archipelagos, China also had some association with Central Asia, South Asia, West Asia, and other regions in Africa and Europe through politics, economy and culture. During its long history of development, ancient China had a profound influence on the development of other countries because of its highly advanced material achievements and cultural civilization. Meanwhile, Chinese civilization was also enhanced by knowledge from the outside world, especially the civilizations of Central Asia and South Asia. What worked the wonder was the legendary Silk Road, which facilitated the long-lasting communication and interaction between East and West, despite the formidable natural obstacles.

Ancient Chinese Civilization from the Perspective of Silk Characters in the writing system have always been regarded as an important sign on the human route to civilization. With this yardstick, Professor G. Daniel from Cambridge University identified the “Six Ancient Civilized Nations”—Mesopotamia, Egypt, India and China in the Old World, and Mexico and Peru in the New World. As proved by modern archeology, the ancient Chinese civilization, as did the other five, had a distinct independent cultural system and origin. It also influenced the other ancient civilizations in the Old World. The most valid proof for this was a remarkable representative of Chinese civilization—silk, and its spread over the world. European civilizations developed at a much later date, the earliest being the Bronze Age civilizations of Greece and the Aegean during 1900 BC –1500 BC , referred to as the Aegean civilization. As the Mediterranean areas had established trade routes since ancient times, the ancient Greeks and their descendents used wool and linen as the raw material for weaving cloth. Their spinning technology was believed to have been introduced from the Near East.

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Wool as a type of weaving fiber was used first in Mesopotamia, as was discovered at the ancient Babylonian remains in Iraq. The use of linen originated in Egypt, which was also discovered in the ancient Egyptian remains. Ancient Indian spinning and weaving had its own distinct characteristics, obtaining the raw material from both the common cotton plant and the ceiba tree. Large amounts of fabric were found at Mohenjo-daro, a city of the Indus Valley Civilization. The Mayan people also used cotton and wool, though different in type from that in the Old World. Of the six ancient civilized nations, China was the only country that used silk as the raw material for weaving cloth. As early as the mid-Neolithic Age, people living by the Yellow River and the Yangtze River had domesticated silkworms and mastered the technique of silk weaving. Yangshao Culture pottery ware unearthed at Banpo Village has a grain pattern at the bottom of the pottery, which looks exactly like those printed on silk. If this proves to be true, the history of silk would extend back further to 5000 BC to 3000 BC . Silk material does not lend itself to preservation, so the earliest silk objects excavated from the Liangzhu Culture remains in Qiangshanyang, Zhejiang Province, including scraps of silk ribbons, silk threads and a piece of silk kerchief, were estimated to be produced in 3000 BC . According to an inspection of a cut section, the fiber measured about forty square microns, triangular in shape, and was completely made from domesticated silkworms. Similar objects were found in other sites, such as those of the Yangshao Culture in the Yellow River region, Xiyin Village in Xiaxian County, Shanxi Province and Qingtai Village in Yingyang City, Henan Province. In the Shang Dynasty (1600 BC–1066 BC), silk production in China reached a high standard. However, even in the highly developed areas along the Yellow River and the Yangtze River, because of the extremely complicated techniques used in the process of spinning and weaving, silk products were luxuries that could be afforded only by high-ranking nobles. In ancient China, common people could only afford plain clothes made of coarse arrowroot or hemp fiber. This is believed to be the etymologic origin of Buyi, which literally means “plain clothes,” in references to the lower classes. In the Shang Dynasty, bronze utensils were also appreciated as objects of value. Among the treasures buried alongside the wealthy or nobles, bronze wares were often found wrapped in silk materials, which often left traces on the surface of the excavated ware. Chinese scholars

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also found some silk traces on the collections of bronze daggers and jade knives from the Shang Dynasty in the National Palace Museum. There were large varieties of different silk materials produced in the Shang Dynasty. In addition to thin silk and gauze, there was also embroidered silk. All these exhibit the highly advanced standard of Chinese textile spinning and weaving technology in the Shang Dynasty. During the Warring States Period, another silk product, brocade, entered the big Chinese silk family. During the 1980s, at the Chu Tombs of the Warring States Period in Hubei Province, elegant pieces of brocade and embroidery were unearthed. Both brocade and embroidery were regarded as silk materials of high value, hence the Chinese idiom “Mountains and rivers made up of brocade and embroidery,” to depict beautiful landscapes. During the 1940s, embroidery products with the phoenix pattern of the Warring States Period were found in the Pazyryk Tombs in the Altaic mountainous area of South Siberia. Also during the 1940s, similar silk materials were discovered inside the Celtic burial sites in Europe’s Hallstat Culture, an indication that Chinese silk had traveled around the world even before Zhang Qian made his journey to the Western Region. The silk produced in the Han Dynasty followed strictly the tradition of the Warring States Period. A large quantity of beautiful silk materials from the early West Han Dynasty was excavated in 1972 from the two Han Tombs at Mawangdui, Changsha, which included, in addition to plain silk, thin silk, satin and charmeuse, some superior ring-patterned brocade with flowery prints and some embroidered gauze brocade in jacquard weave. In this period, China began to export large amounts of silk to the West. Since the beginning of the twentieth century, western expeditionary parties have found in the ancient remains of the Tarim Basin a quantity of Han silk products. Silk products of the Han Dynasty were also discovered in the eastern province of Palmyra and the hinterland of the Roman Empire.

The Birth and Development of the Silk Road The Definition of the Silk Road The Silk Road was the most important economic and cultural link between China and the outside world in the ancient times and the Middle Ages. The route started in the areas by the Yellow River and the

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Yangtze River in China and stretched through India and West Asia to North Africa and Europe, with silk as the essential trading commodity. Departing from China’s ancient capital Chang’an or Luoyang, the Silk Road ran through the Tarim Basin in Xinjiang to the Iranian Plateau, the east coast of the Mediterranean Sea; and eventually ended in Rome, the capital of the Ancient Roman Empire; or Constantinople, the capital of the Eastern Roman Empire. Since the road traversed some formidable deserts, including the hostile Taklamakan Desert in Xinjiang, the Karakum Desert in Central Asia and the Syrian Desert in the Middle East, it was also known as the Desert Road. As well as the above route, the Silk Road also had several important branches such as the Jiaozhi Road, the Grassland Road and the Tangfan Ancient Road, to name only a few. The Silk Road was first named by Ferdinand Von Richthofen, a nineteenth century German geographer, in his book China. In his research, Von Richthofen noticed that in the Han Dynasty there existed a transportation route between China and South Asia on the one hand, and, on the other hand, between China and the middle region of the Amu Darya River in Central Asia (which today is the Fergana Basin in southeast Uzbekistan), with silk-trading as its main business. So he named the road the Silk Road. In 1910, the German historian A. Herrnmann pointed out in his book The Ancient Road of Silk between China and Syria that the Silk Road should be further extended to the remote West, covering Syria. Today, with our increased knowledge of the Silk Road, it is widely recognized that the route was much more than just an ancient trade route for the silk business. It also played an important role in facilitating cultural, political and economic exchanges between East and West.

Commander Chang Ch'ien, Founder of the Silk Road It is generally believed that Commander Zhang Qian’s mission to the Western Region (Xiyu) as the Han Emperor Wu’s envoy marked the inauguration of the Silk Road, and may be evidence of the political perspective in the original intention to open the road. The Western Region refers to Xinjiang and the further western area of Central Asia, the area on the west of China’s agricultural region in the east. In fact, prior to the Han Dynasty, business relations already existed between Central Asia and China’s northern and central regions. Excavated items from the tombs and relics in Xinjiang and Central Asia, dating earlier than the Han Dynasty, revealed some silk products and lacquer

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wares that were made on the Central Plains. Similarly, in the tombs and relics of the Shang and Zhou dynasties in the Central Plains and the Central Shaanxi Plain, jade artifacts made out of the crude Xinjiang and Khotan jade were discovered. These prove that prior to Zhang Qian’s mission to the Western Region, some nomadic hordes on China’s northern steppe had mediated in the contacts between East and West, though such commercial transactions were indirect and small in scale. At the beginning of the Western Han Dynasty (200 BC), the Hun horsemen of the northern steppe often plundered the border of the Han Empire, robbing and killing. They even attacked the hinterland a number of times, posing constant threats to the Han Empire. Owing to their lack of military power and economic strength, the Han emperors had to resort to offering large amounts of gold, lacquer wares and valuable silk clothes to the Huns to obtain a temporary peace. In order to forge ties with the barbarians, the Han Emperors even resorted to offering a princess to the Hun chief. During the Han Emperor Wu’s reign, however, after six decades of recovery, the nation regained its strength. Emperor Wu decided that it was time for the country to use force to settle the border troubles. People from all walks of life were enlisted, and both human and material resources from all over the country were ready to be deployed. A long lasting war against the Huns was launched. The Han troops first attacked the enemy at places not far from their capital in today’s northern Shanxi, northern Shaannxi, Erdosi, Hetao, and the Yinshan Mountain regions, with some regional victories. But the Han Dynasty soon realized that, to defeat the Huns effectively, they had to cut off the Huns supply routes from the Western Region and to end their contact with other northwest hordes, such as the Qiang. With this in mind, the Han Empire pinned its hopes on seeking allies from the distant Western Region “to break the Huns’ right arm.” With the Huns being attacked and pressed from both sides, the Han Empire would gain the advantage. It was for this very purpose that Zhang Qian set out his mission to the Western Region. Zhang Qian (?164 BC–114 BC) was born in Chenggu County, Shaanxi Province. In the second year of the Jianyuan Period under Emperor Wu, Zhang Qian was recruited by the imperial court as a diplomatic official to the Western Region. In effect, Zhang Qian was the first official emissary sent by the Chinese government to Central Asia. His specific objective was to find the Da Yuezhi Tribe, who had been driven away by the Huns from the Hexi Corridor to the west. Zhang intended

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to persuade them to join forces with the Han army to fight against the Huns. With this critical mission, he crossed the Yellow River through Litao to the west followed by his entourage up to a hundred people. Unfortunately, the area to the west of the Yellow River was completely under the control of the Huns. Shortly after their arrival, Zhang Qian and his entourage were captured and then imprisoned for eleven years. During this time, however, Zhang Qian never forgot his task. He finally escaped and trudged his way westward to reach Dayuan (the present Fergana Basin in Uzbekistan), Kangju (the south bank of the present Syrian River), and Da Yuezhi (the upper reaches of the present Amu River). Having failed to persuade the Da Yuezhi Tribe to return with him, Zhang Qian had to return to the east, bringing with him important knowledge about Central Asia. On his way home, Zhang Qian was captured again by the Huns. After being imprisoned for more than a year, he succeeded in escaping, taking advantage of the Huns’ civil strife, and arrived in Chang’an in the third year of the Yuansu Period under Emperor Wu. By then, thirteen long years had passed since Zhang Qian first left Chang’an with his entourage, and only one attendant and Zhang Qian himself survived the ordeal. Even though the original purpose of his mission to the Western Region was not fulfilled, Zhang Qian’s return was of unsurpassed importance for the Han Empire in Chang’an. Zhang Qian gave a detailed account to Emperor Wu of all that he had seen on his journey to the Western Region, telling him that on the other side of the vast deserts and the forbidding Gobi, beyond all the lofty snow-peaks, there located some prosperous countries, populous towns, lush pastures, picturesque landscapes, unknown treasures and rare fauna and flora. He vividly described the grand Turkestan, ten thousand miles away from Chang’an. The new geographical knowledge excited Emperor Wu and his officials. At that stage of its devopment, China was eager to know more about the outside world. Now with the knowledge brought back by Zhang Qian, the emperor was encouraged to explore the Western Region, expanding the Han Empire’s rule and cultural influence. In 121 BC , the Gansu Corridor was finally under the complete control of the Han troops. Soon afterwards, in the south of the desert, the Hun forces suffered heavy losses. With the Huns out of the way, the Western Region on the other side of the Taklamakan Desert seemed to be nearer. Under these circumstances, Zhang Qian embarked on his second expedition westward. His main purposes this time were to join with the

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Wusun people to further weaken the Huns and to open a road leading to and beyond the Western Region. In 119 BC , Zhang Qian set off with a large delegation of three hundred staff, six hundred horses, ten thousand sheep and cattle, and with money and valuable silk products as presents. Upon his arrival at the Wusun Kingdom, Zhang sent his assistant envoys to Dayuan, Kangju, Da Yuezhi, Bactria, Anxi (the present Iran) and Shendu (the present India). Zhang Qian’s delegations were warmly received. The political system and culture of the Han Dynasty were spread on an unprecedented scale. With its prosperous economy and oriental treasures, China became a great attraction to all the nations in the Western Region. On his journey back to Chang’an, Zhang Qian was followed by emissaries from the Western Region, who brought with them not only the wish for a friendly relationship with China, but also some special local products. On their returns, they took with them not only greetings from the emperor but also fine Chinese silk and brocade, which later became the major commodity traded on the Silk Road. Through the private or official trading organizations of these countries, Chinese silk and brocade were exported to other countries in West Asia and even to Europe. The strong desire for more of the beautiful Chinese silk fabrics triggered the opening of the long trade route from Chang’an, the capital city of the Han Dynasty, all the way through Central Asia and West Asia to Europe. When more nations on the route got involved in the trading, the Silk Road began to thrive. In 1908, a batch of documents from the Han Dynasty was excavated from the Xuanquanzhi Relics at Xiaoxian County in the suburbs of Dunhuang Prefecture. These documents showed that thirty-six nations in the Western Region were once in close and constant relationship with the Han Dynasty. Zhang Qian brought back from Central Asia superior breeds of horse, such as the Dayuan Steed, and also clover as a feedstuff. This had a revolutionary impact on the Chinese cavalry. Emperor Wu was so thrilled with the precious Dayuan Steeds that he praised them highly in the poem “Eulogy to the Celestial Horse from the West”: From the west end the Celestial Horses gallop, Bouncing ten thousand miles to bring us hope. With holy power they surge far and wide, Across the flowing sand to sweep the enemies aside.

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By the Eastern Han period, the cavalry were all equipped with the excellent breeds of studhorses from Central Asia. Followed by his cavalrymen, the renowned Eastern Han commander Dou Xian launched three overwhelming attacks upon the Huns, driving them far back to the west. The victory owed much to Zhang Qian, for it was he who introduced the high-quality studhorses. The Dayuan Steeds were eulogized by many writers in the Han Dynasty and Han artists created a number of vivid artistic images of these brilliant horses. Zhang Qian’s two journeys to the Western Region took over fifteen years, in the course of which he trudged more than ten thousand miles, experiencing hardship, pain and setbacks. He acquainted the nations in the Western Region with China and supplied the Han court with detailed information about the Western Region, thus bridging East and West for the first time in history, promoting mutual understanding and cooperation. In the grand chronology Records of the Historian written by Sima Qian, Zhang Qian’s heroic deeds were honored for opening China to the West. Likewise, Zhang Qian was acknowledged by later generations as the greatest contributor in the history and development of the Silk Road.

The Silk Road and the Great Wall of the Han Dynasty It was not until Zhang Qian’s missions to the Western Region that the Chinese people discovered the exciting world to the west of the Pamir Mountain. As a result, the ancient trade route between the East and the West for non-governmental commercial exchanges was given a new priority by Emperor Wu, who decided to make it an artery for the official commercial transactions between the Han Dynasty and the western countries. In 117 BC , Emperor Wu organized 600,000 soldiers for the construction of the Great Wall as a fortress to defend the Silk Road from the Huns. The Great Wall was extended westward to reach Dunhuang, where stood the well-known Yumen and Yangguan Passes. From 1906 to 1908, a British archeologist M. A. Stein made his second expedition to China. First, he tried to find sites of the ancient cities in the interior of the Taklamakan Desert. Then he proceeded to Loulan, Dunhuang and other places. While exploring the Shule River to the northwest of Dunhuang, he came across relics of the Great Wall, where seven hundred and five bamboo slips from the Han Dynasty were excavated. From 1913 to 1915, another batch of eighty-four bamboo

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slips was found when Stein resumed his search for the Great Wall in Dunhuang. Adding to the discovery, a hundred and five more bamboo slips were unearthed in the Han fortress in Jiuquan. The Han Great Wall was rediscovered. In 102 BC , Li Guangli (?–88 BC) set off on an expedition to the Dayuan Kingdom in Central Asia, returning triumphantly with the precious “Sweat-and-Blood Horse.” From then on the exchanges and transactions between the nations of the Western Region and China increased steadily. Meanwhile, Emperor Wu further strengthened the protection of the Silk Road by assigning a large number of military forces to guard it. It is written in “Records of the Western Region” in History of the Han Dynasty that along the Great Wall from Dunhuang westward to Yanze (the present Luobupo Moor in Xinjiang), there lay a chain of pagodas or beacon towers. This chain of beacon towers stretched all the way to Gumo, one of the thirty-six kingdoms in the Western Region, somewhere around today’s Aksu in Xinjiang. The Great Wall from the Jiayu Pass to the Shanhai Pass, which was constructed in the Ming Dynasty, has a history of no more than six hundred years. The Han Great Wall was larger in scale, and stretched eastwards across the Liaodong Peninsula up to the Chongchon River in Korea, while its farthest west beacon tower was constructed as far as Aksu in Xinjiang. The history of the Han Great Wall can be traced back more than two thousand years.

War and Peace on the Silk Road Emperor Wu’s reign saw the beginning of China’s official relationship with the Western Region. During that time, China introduced its administrative system of prefectures and counties to the Gansu Corridor, and established suzerain relationships with most of the oasis states in the Western Region. The sovereign reign of the Han Empire was thus set up as a conventional model of the relationship between the Chinese governments of different dynasties and those of the Western Region. From Zhang Qian’s first mission to the west, the Silk Road fulfilled its role as a link between Central Asia and West Asia and East Asia. Such political exchanges enhanced the relationships between the dynasties of the Central Plains and the kingdoms of the Western Region, which built up the foundation for the establishment of a new political order in the Western Region. Of the political activities, some were peaceful and friendly, while others ended in warfare.

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During the later years of the Western Han Dynasty, the severe internal rebellions in China almost completely ended contact with the Western Region. It was not until the Eastern Han Dynasty, when the country regained its national power and advantage over the Huns in warfare, that trade with the Western Region was resumed. During Emperor Min’s reign in the Eastern Han Dynasty, the court official Ban Chao (AD 32–AD 102) was sent, together with a entourage up to thirty-six, on a diplomatic mission to some southern kingdoms in the Western Region, which were located in the regions along the present Tarim Basin in Xinjiang. Their first stop was the Shanshan Kingdom, where they were received with great hospitality. But the almost simultaneous arrival of the Hun emissary caused a dramatic change in the king’s attitude towards Ban Chao, thus throwing the Han delegation into a dangerous situation. In the face of this crisis, Ban Chao made a courageous decision. Exclaiming, “Nothing ventured, nothing gained,” he commanded his troops to launch a sudden attack on the Huns and quickly overcame them. This victory left Shanshan no alternative but to befriend the Eastern Han Dynasty. Ban Chao took advantage of this and proceeded westwards. He made wise use of the oasis kingdoms’ internal conflicts and their irritation with the Huns and eventually succeeded in bringing all the southern kingdoms under the control of the Han Dynasty. After that, Ban Chao and his son Ban Yong were stationed for some time in a garrison in the Western Region. Time and again they defeated the Huns and their supporters with a comparatively smaller force and thereby contributed to the prosperity and development of the Silk Road. During the Wei and Jin dynasties, the administrative system of prefectures and counties was also implemented in the East Tarim Basin and the Turpan Basin. The Tang Dynasty further reinforced its centralized regime, hence ensuring the domination of the central government and the subordinate position of the kingdoms in the Western Region. Over a number of dynasties, this established system gradually matured and consolidated to finally become the set political norm in the Western Region (mainly referring to the area east of Pamir, the present Xinjiang Province). From the Western Han Dynasty to the Qing Dynasty, the central government often resorted to violence if any kingdoms attempted to establish their own regional hegemony or to get out from under the control of the central government. As mentioned above, General Li

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Guangli under Emperor Wu led his armies to Dayuan. Battalions of the Tang Dynasty, too, fought against some Arabian armies at the Talas Valley. In the Qing Dynasty, Emperor Qianlong employed a huge military force to attack Mongolian soldiers in Zhunge’er, succeeding in absorbing Xinjiang formally into China’s territory. Nevertheless, in most cases, the political exchanges between the central government and the Western Region were undertaken in peace. It was a political goal of the central government to maintain a peaceful and friendly relationship with the Western Region. Only under such a favorable environment could the Silk Road be kept open and prosperous.

The Rise and Decline of the Silk Road During the 1,500 years between the two Han dynasties and the Ming Dynasty, the Silk Road played a vital role in bridging the hinterland with the Western Region and in maintaining close contacts between China and the European countries. But owing to the changing political climate in different periods, the Silk Road also experienced its ups and downs through the centuries. Generally speaking, during the two Han dynasties, the Silk Road acted as a link, connecting the four great advanced civilizations—China, Kushan, Persia and Rome, whose highly developed economies and culture endued them with a strong attraction to one another, leading to a booming period on the Silk Road. During the period from the third to the sixth century, namely, the period of the Wei, Jin and the Southern and Northern dynasties, China advanced culturally and economically even though the country was in a state of constant political disruption. The Silk Road was an artery for both commercial and political international transactions. It was during that period that China’s silk spinning technology spread to the West. The Tang Dynasty witnessed the zenith of the Silk Road and Chang’ an, the Tang capital, was a flourishing international metropolis. However, in the later part of the dynasty, the northwest was controlled by Tufan and Huihu alternatively. Soon afterwards, the rise of minority nations in the northeast caused long-term confrontations during the Song, Liao, Jin and Xia dynasties, resulting in blockades of the Silk Road for more than four hundred years. During this period, trading on the road regressed to the old days, when all business had to be done through intermediaries. With the rise of Mongolia and the establishment of the Mongolian Yuan Empire, the Silk Road entered another boom period.

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During the Ming Dynasty, the northwest border was relocated to the western area of the Gansu Corridor, but interaction between China and the Western Region was still quite active, and China maintained commercial relations with Central Asia, West Asia and the Tiemuer Empire. However, the economic center in China then began to shift southwards. Meanwhile, the Western world was on the eve of the industrial revolution. As navigation technology developed in the West, the Silk Road was no longer the paramount trade route. As far as its significance to transportation between East and West was concerned, the Silk Road lost its former glory.

The Transportation System on the Silk Road The Silk Road played a pivotal role in connecting China to Central Asia, West Asia and Europe. But the road was by no means a straight and smooth highway running directly from the East to the West. Instead, it was a transportation network combining several complicated crisscross routes. With the hinterland of China as its starting point, the Silk Road meandered through the Longxi Plateau, the Gansu Corridor and the Western Region. Then, it traversed high mountain passes and deep valleys to enter the Iranian Plateau. Further westward, it penetrated Asia Minor and the Arabian Region. Eventually, the Silk Road crossed the Mediterranean Sea to reach Europe. As a giant network, the Silk Road was in fact made up of trunk lines, which connected a number of important metropoli, and which ensured the stability of the transportation routes. The passages in between these trunk lines were subject to complex changes in accordance with the political situations and the geographical environment. It is commonly accepted that the Silk Road was divided into three major sections—the East Section, covering the part inside the territory of China; the Middle Section, covering the route within the Western Region, and the West Section, leading further west and south beyond the Western Region. During the Han and Tang dynasties, the Silk Road, originated in the ancient city of Chang’an, went through the Weihe Valley in the Longxi Plateau and the Gansu Corridor to reach the Yang Pass and the Yumen Pass. This segment of the East Section was stable for a thousand years. The Middle Section in the Western Region, which was constantly changing and developing, covered the segment from the west of the

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Yumen Pass and the Yang Pass, to the east and south of the Pamir Mountain area and the Balkhash Lake. This section was sub-divided into the northern passage and the southern passage, to traverse the Tianshan Range. The two passages, each made up of a number of intersecting bypaths, functioned alternatively as the major route in accordance with the changing situation. The West Section referred to the segment across the Pamir Mountain Area westward to Europe, and southward to India. The changes of route in this section were also rather complex. In addition, there was a grassland “silk road” traversing horizontally across Eurasia, which was maintained mainly by nomadic herdsmen. Though never clearly marked geographically, this road often played a major role in the trade between East and the West when the Silk Road was obstructed in the southern areas. Generally speaking, the selection, formation and development of the routes in different segments resulted from the geographical layout and the distribution of towns and villages on the way. The east segment is a good example of this. The basic challenge was to find a route over the Yuelong Mountain (the present Liupan Mountain). The second challenge was to cross the Yellow River. Then in the Gansu Corridor and the Western Region, the route had to go through the oases and towns. All these factors had to be taken into consideration when the route was selected and constructed. The development of the Silk Road, in turn, always had a significant impact on the civilizations and the environment along the route: mountain cols and river ferries, mountain passes and many famous towns. Within China’s territory, there were numerous renowned cities along the Silk Road, spreading from east to west. They included Chang’an (the present Xi’an, Shaanxi Province), Tianshui, Baohan (in the present Linxia, Gansu Province), Jincheng (the present Lanzhou, Gansu Province), Yutian (the present Hetian, Xinjiang), Guizi (the present Kuqar County, Xinjiang), and Shule (the present Kashi, Xinjiang), to name only a few. All are famous scenic spots. The famed mountain passes included the Dazhen Pass, the Anyi Pass, the Yang Pass, the Yumen Pass, and the Tiemen Pass. These names are often found in poems about mountain passes in the Tang Dynasty. The towns along the route served as bases for travel on the Silk Road, and the passes guaranteed safe crossing. Today, most of the towns and passes on the Silk Road are still attractive tourist scenic spots and historical sites.

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The remains of ancient city Guizi

The Silk Road and Cultural Exchanges between the East and the West The Silk Road and Silk Just as its name suggested, the Silk Road was a commercial route used mainly for trading Chinese silk products. For a long period in history, from the Han Dynasty, silk produced in China was the most important commodity. In his first visit as an envoy to Bactria in Central Asia (today’s Afghanistan), Zhang Qian noticed that there was neither lacquer nor silk in that country. So he took along a quantity of silk on his second visit as gifts for royal members of the kingdoms there. This is recorded in “Biography of Dayuan” in Records of the Historian, which is the earliest record of the transport of silk from China to the West. Zhang Qian’s journey to Bactria started from Chang’an, via Loulan. So the Loulan Route was regarded as “the number one route on the Silk Road.” As the main pivot between East and West, Loulan soon developed into one of the most important commercial distribution centers for the export of Chinese silk. That huge quantities of silk were imported and exported via Loulan can be seen from the bamboo slips discovered by Stein in an ancient city in Loulan, which recorded “stocked 319 bolts of Chinese silk” and “today 4,326 bolts of chromatic brocade were purchased.” Another commercial distribution center in the Han Dynasty

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Africa

Alexandria

Mediterranean Sea

Red Sea

Damascus

Palmyra

Antioch

Black Sea

Bodou

Persian Gulf

Tehran

Arabia Peninsula

Silla

Aman

Caspian Sea Mashhad

Aral Sea

Xuandu Peshawar Gandhara

Karachi

Kabul

Karshi

India

Hetian

Luolan

Turpan

Tingzhou

Tianshui Chang’an

Lanzhou

Yizhou

Linzhao

Ledu

Guyuan

China Jiuquan Zhangyi Wuwei Fusicheng Dunhuang

Yumen Pass

Hami

Bengal

Ruoqiang

Urumqi

Qiemo

Kuche Aksu

Yuecheng

Shache Tashkurgan Pishan

The Silk Road

Arabian Sea

Herat

Balkh

Suiye

Balkhash

Capital Guishan

Daluosi

Samarkand

Bukhara al-Sughd

Russia

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was Palmyra, an oasis city located halfway between the east coast of the Mediterranean Sea and the Euphrates, about a hundred and thirty miles north of a central Syrian city “Holmes.” The urban civilization there dates to the later half of the first century BC The special geographical position of Palmyra soon made it a trading hub, connecting the Persian Gulf to the countries in the East, and connecting the Mediterranean countries to the West. Its prosperity lasted for three hundred years. Consequently, Palmyra was long fought over by the Roman Empire and Persia. In 273, another large-scale invasion by the Roman Empire severely devastated Palmyra and caused its sad decline. The only extant historic relics of Palmyra include the Imperial Palace, the Triumphal Arch, the pole veranda with its full length of 1,600 meters, the Temple of Bel and some other stone buildings. Some of the stone at these sites was from quarries in Aswan, Egypt. In the 1930s, a French archeological team discovered a quantity of silk in Palmyra. And in the 1990s, a German archeological team discovered Chinese characters woven into Han Dynasty silk. These discoveries proved that soon after Zhang Qian’s visit to the Western Region, Chinese silk was taken into Europe. The silk materials were so prized by the Romans that they soon became fashionable all over the Roman Empire. In fact, a Roman city, Vicus Tuscus, traded Chinese silk as its only commodity. As is obvious from their sculptures, the people of ancient Greece and the Roman Empire prized physical beauty. Unfortunately, the only raw materials available for spinning and weaving were wool and flax, which, with the primitive techniques of the time, could hardly produce any lightweight and body-fitting clothes to fully display the charm of the human figure. The delicate and beautiful dresses made in silk were highly valued and appreciated. The ancient Greek and Roman poets wrote poems in praise of Chinese silk. Eulogies can be found in Virgil’s pastorals, Horatirs’ canticle carol, and Ovid’s dirges and madrigals. However, the Romans’ ever increasing demand for Chinese silk resulted in serious financial overspending by the empire. The ancient Roman writer, Pliny the Elder (AD 23–AD 79), expressed his shock in The Natural History: “Each year we have at least a hundred million sestertia (about a hundred thousand ounces of gold) flowing to India, China and Arabia!” Therefore, the Romans were extremely eager to learn from China how to raise silkworms and produce silk. The technology was kept top secret by the traders and the Romans refused to believe that silk was spun by worms. Instead, they believed

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that silk was harvested from a certain type of tree and was soaked in water to become the final fabric. It was not until the Sixteen-state Northern Dynasty period that the technology of silk extracting, spinning and weaving finally spread to Yutian, then to Persia and the East Roman Empire. It took even longer for the technology to reach West Europe, in the twelfth and thirteenth centuries. During the long process of more than a thousand years of silk trading to the west, the direct demand for silk further enhanced the booming trade on the Silk Road, which brought huge profits to the merchants in Arabia and the many other countries in Central and West Asia which were engaged in the trade. Ever since, the luxurious palaces in the Arabian and Persian countries have impressed people with their decorations of gold, silver and jewels. This wealthy image owes much to the silk trade on the Silk Road.

Merchants and Buddhists on the Silk Road Those who traveled the Silk Road were mainly traders in pursuit of profit, for which they had to endure various hardships and difficulties. They joined trade caravans drawn by horses and camels, crossing high mountain passes, trekking across deep valleys and struggling through the Gobi Desert to carry goods from East and West. Throughout the history of the Silk Road, traders from many nations contributed to the commercial business on the road, the best known of whom were the Persian and Arabian merchants. However, it was the Sogdians (the Sute Nationality) from Central Asia who played the most important and positive role and constituted the majority of the Silk Road traders during medieval times. As their business associations covered almost every clan in the Eurasian mainland, this nation’s language and writing system, its religion and beliefs, and its traditions and customs all had an impact on the Silk Road and beyond. A good case in point was the spread of its writing system. Alphabetic script was first adopted by the Uighurs and developed into the basic writing components of the Uighurs’ language, which in turn was taken over by the Mongolian language; and Mongolian was later incorporated into the Manchu language. So it is justifiable to say that the writing system used by the northern nationalities today originated from the Sogdian race. Apart from the merchants, Buddhists and travelers formed another group of people on the Silk Road. Among them, was Kumara Jiva who

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A painting showing a robbery against merchants (Tang Dynasty)

traveled thousands of miles eastward to China during the Sixteenstate period and he was the first person to translate a large number of Buddhist sutras into Chinese. Other famous figures included Fa Xian, a Buddhist monk in the Southern and Northern Dynasties, and Xuan Zhuang (Tang Sanzang), a rabbi in the Tang Dynasty, both making pilgrimages westward to obtain Buddhist scriptures. Still another wellknown person on the Silk Road was the Italian traveler, Marco Polo, who toured eastwards to China in the Yuan Dynasty.

Gifts from China Numerous other treasures apart from silk were spread to Central Asia and several countries and regions to its west via the Silk Road, such as lacquer utensils, iron ware and Chinese herbal medicine. In addition to the essential foodstuff for silkworms, the mulberry bush, many other Chinese botanic species including bamboo, pear, poplar, mallow, hollyhock, rose, tea, and many herbs such as cinnamon, ginger, goldthread, rhubarb, and Tuckahoe were also exported westwards. What was the most significant contribution of the Silk Road to the West was the Chinese advanced technology in areas such as language,

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medical science, music and architecture. Among them, the most important were three of the four world-famous Chinese inventions— paper-making technology, printing and powder. The introduction of these treasures to the West via the Silk Road profoundly enhanced the development of world civilization. The technique of manufacturing paper was introduced to the Western Region no later than the Eastern Han Dynasty. In the middle of the Tang Dynasty, after the famous battle on the Talas River, the captives from the Tang army took the paper making technology to the Arabian countries, and it gradually spread further west. In the twelfth and thirteenth centuries, paper mills could be found in many European countries, such as Spain, France, Italy and Germany. China’s woodblock printing technique also found its way from the interior to the Gansu Corridor and then further to the West. It reached the Arabian countries in the Five Dynasties and Ten-State period. In the Yuan Dynasty, many travelers came to China by way of the Silk Road. They saw with their own eyes how the Chinese used woodblock printing to print books and banknotes. They were so impressed that they took the technology with them back to Europe. In the fourteenth century, this special printing technique began to be applied widely in Europe. Gunpowder had been used in wars since the Song Dynasty. In their three westward expeditions, the Mongols took with them the powdermaking technique to Central Asia and Western Asia in the late thirteenth century. From the books written by the Arabians, the Europeans soon learned about gunpowder and then, in their battles against the Islamic nations, they learned to manufacture and use both the gunpowder and firearms. Having obtained the above technologies from China, the West soon improved them and eventually overtook their Chinese teachers. Largely owing to these technologies, the European countries made a huge leap forward in military conquests and the spread of their cultures after the fifteenth century. It is reasonable to say that the four Chinese inventions have contributed greatly to the development of the world civilization as a whole, largely due to the success of the Silk Road, which played such an important part in introducing the achievements of the ancient Chinese civilization to the West.

Presents from the West The contacts and exchanges between China and the West via the Silk

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Road were mutually beneficial. The Silk Road offered China, for the first time in history, a window to the outside world to learn from other civilizations, which largely enriched and changed the physical and spiritual life of the Chinese people. The most remarkable imports were new plant species, religious beliefs and different forms of art. After Zhang Qian’s journey to the Western Region, new plants were constantly brought back to China from Central Asia. The major ones included grape vines, clover, pomegranate, red orchids, wine-cup rattan, herb bennet, linseed, walnut, horse-bean, cucumber, coriander, scallion, garlic and olives. Though many of these plants are now taken for granted as native Chinese products, they were in fact all of foreign origin, imported into China from the West through the Silk Road. These new botanic species contributed greatly to China’s medicinal production, stockbreeding, craft-making, and agricultural development. Later, some became daily necessities for the Chinese people. In addition to plants, many exotic animal species such as camels, lions, rhinoceros, peacocks and ostriches were also introduced into China, together with the special Dayuan steed taken back as a trophy by the military commander Li Guangli. Apart from the animals and plants, large numbers of other precious goods also flooded in, including glass, colored glaze, coral, woolen cloth, mercury, amber, agate, and tortoise shell. China’s traditional treasures of gold, silver, jade and cowry jewelry seemed less lustrous compared with these glittering, new objects. Glass and colored glaze greatly enhanced the development of China’s porcelain industry. Foreign furs and haircloth made a big impact on China’s textile industry. If the most precious Chinese gift to the West was advanced technology, then what China got in return was something spiritual—the cultural wealth from Central Asia, West Asia and distant Europe. The most important imports were various religious beliefs—in particular, Buddhism.

Persian silver coin

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Arabic gold coin

Roman gold coin

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The birthplace of Buddhism was South Asia and it spread first into Central Asia. By the end of the Western Han Dynasty, Buddhist ideas had spread to the hinterland of China by way of the Western Region, where the monks played a leading role. With Kumara Jiva as their representative, the monks from India and the Western Region traveled eastward in a continuous stream. Through their efforts large numbers of Buddhist sutras that they brought with them were translated into Chinese. The Buddhist sutras spread rapidly from place to place in China during the wars in the Southern and Northern Dynasties. In the Sui Dynasty, the Buddhist sutras had a profound impact on Chinese traditions, customs, values, philosophy, literature, painting, sculpture and architecture, eventually becoming an importance component of Chinese culture. Western religions were also assimilated through the Silk Road. For instance, the ancient Persian religion Zoroastrianism, introduced during the Sixteen-state Dynasty, became quite influential in the Tang Dynasty. Another religion was Nestorianism, which reached China in the early Tang Dynasty and led to the establishment of a number of monasteries in different areas of China. Still another religion, Manicheism, came to China in the Tang Dynasty and enjoyed general popularity for an even longer period. Not only was Manicheism taken as their doctrine by the two large-scale peasants’ rebellions—the Peasants’ Rebellion led by Fang La in the late Northern Song Dynasty and the Peasant Revolt in the late Yuan Dynasty—but its influence on Chinese local religions and folk songs lasted until the end of the twentieth century. Islam entered China’s Tarim Basin in the tenth century and had a profound impact on the northwest areas in the Yuan Dynasty, completely changing the ancient Western Region in terms of society and culture. Apart from religion, other forms of foreign culture, such as acrobatics, drama, dance and music, also found their way into China via the Silk Road. Exotic melodies, operas and musical instruments came from Central Asia, dramatically revolutionizing traditional Chinese music. For example, the famous ancient Guizi music and Sumozhe were from the Western Region. Many well-known ancient musicians were of Central Asian origin, and some were their descendants. Persian musical instruments such as konghou harp, an ancient plucked string instrument, and pipa, a plucked string instrument with a fretted fingerboard, have long been traditional Chinese musical instruments.

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In recent decades, more archeological discoveries have revealed the riches of the ancient Silk Road. In 1997, the tombs of noblemen of the Moshan Kingdom were discovered. The Moshan Kingdom was one of the thirty-six states in the Western Region in the Han Dynasty. It was located near the present Peacock River and Mount Quruqtagh in Weili County of Xinjiang, bordering on Loulan in the east. The tombs were discovered near the ancient city of Panying, on the north bank of the Peacock River. From the tombs were excavated numerous funerary objects, such as brocade from the Han and Jin dynasties, an iron mirror from the Han Dynasty, leather masks from Central Asia, gold crown accessories, some gold utensils in the Greek and Roman artistic style, some Syrian glassware and Persian diamond artworks like brass rings and bracelets. Nobleman of the Moshan Kingdom It may well be regarded as a panoramic (Han Dynasty) display of the world’s precious treasures. The tombs were 2.5 meters long, one meter wide and 1.5 meters deep. The children’s tombs were comparatively smaller. The wooden coffins inside the tombs were rectangular in shape, some painted with colorful patterns. Despite their small size, these tombs yielded an astonishing number of relics. In one, for instance, the body was wrapped in closely-knit tunic with the Greek style; under its head was a luxurious jimingzhen, a sort of satin pillow shaped like a crowing cock embroidered on both sides. The body was covered on the face with a mask decorated in gold. There were also large quantities of unusual precious brocade and damask woven with gold thread. Such satin woven with gold thread and silk was an important innovation of the Romans. According to “Records of the Western Region” in History of the

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Late Han Dynasty, “Daqin fabricated satins with gold thread and silk to make the golden and colourful brocade.” The term “Daqin” in the literature of the Han Dynasty referred to the Roman Empire. The luxurious golden brocade mentioned in the documents was practically never seen by anyone even in its native Rome. So the lavish funerary golden brocade cloth excavated from the Moshan tombs gave people the opportunity to see with their own eyes the splendid style and features of the Ancient Roman silk fabrics. In another tomb was stored a perfectly preserved glass cup. What made the cup special were the oval shaped decorative brands on its surface. Similar glass shards were once found by Stein in the relic of Loulan City. The glass was produced in Syria, the eastern colony of the Roman Empire. Among the unearthed copperware, three brass pieces were made from the alloy of zinc and cupper. It was known that traditional ancient Chinese metal utensils were made of bronze. And brassware, which was called “hard gold stone” in ancient times, was crafted in West Asia, particularly in Persia. Since the Moshan Empire was a pivot in the traffic between East and West, the Silk Road commerce made the high officials and nobles there extremely wealthy. Thus they could afford expensive funerary objects, such as satin pillow jimingzhen made of brocade from the Central Plains, masks in the artistic style of Central Asia, robes made of Roman brocade, decorations of Persian brass artworks and glassware transported from Syria. All are evidence of the breadth of international trade on the Silk Road in the Han Dynasty. The Silk Road was a trading route to connect the East and the West in ancient times. It also served as an important lever to enhance the development of the world with the help of advanced Chinese technology. On the other hand, the road also functioned as a major route leading the rest of the world to ancient China and nurtured the nation with their cultural contributions. The formation of China’s unique culture is closely related to the Silk Road.

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詩 CHAPTER TWENTY

The Shi -Poetry of the Tang Dynasty

The Versification of the Modern-Style Poetry

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Poems in the Early Tang Period

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Poems in the High Tang Period

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Poems in the Mid-Tang Period

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Poems in the Late Tang Period

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Free-style calligraphy of“詩”(shi) means “poem” in Chinese

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During the three hundred years of the Tang Dynasty there emerged a large number of outstanding poets. In addition to richness in theme, image and style, their poems were popular because they perfectly combined ideological content with artistic qualities. Chinese poetry bloomed throughout the period. The anthology Complete Tang Poems compiled in the Qing Dynasty included over 48,000 poems written by more than 2,300 poets, among whom were emperors, members of the royal families, officials, literati, monks, Taoist priests, Buddhist nuns and even geishas. Poetry was the most popular literary form in the Tang Dynasty. The prosperity of Tang shi-poetry was caused by a number of factors. First, the ability to write poetry was used as a means to select and assess officials in the Tang Dynasty. Moreover, the love, advocacy and awards for it from all the monarchs also motivated the literati, as well as the rest of society, in their constant efforts to improve their techniques. Through the imperial civil examination system adopted during the dynasty, some literati from the lower classes were selected for official positions, where they were able to participate in the country’s political and cultural activities. Their life experiences, together with the maturity of the versification and systems, contributed greatly to the production of many excellent poems. The flourishing of poetry also owed much to a liberal social, economic and political environment. The early Tang Dynasty enjoyed a stable society, thriving economy and strong national power. This resulted in reigns titled “the Powerful Zhenguan Era” (Emperor Taizong), and “the Prosperous Kaiyuan Era” (Emperor Xuanzong). During these periods, commercial trade and cultural exchanges with foreign countries were in full swing. The emperors of the Tang Dynasty, especially Emperor Taizong (the second sovereign of the dynasty), adopted a fairly open policy in regard to art, religion and other cultural matters. All these explain why Tang shi-poetry reached such artistic heights. Poetry underwent a process of constant development within the three years of the Tang Dynasty, which was conventionally divided into the four periods of early, high, middle and late stages.

The Versification of the Modern-Style Poetry In terms of versification, Chinese poetry as a whole can be categorized into classical-style poetry (also named “ancient type”) and modern-style

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poetry (also named “present-day type”). A great leap forward in the form was the maturity of modern-style poetry represented by the strictly ruled eight-line verse. The modern-style poetry fell into three categories—the eight-line verse, the long verse and the quatrain. An eight-line verse was composed of forty characters in a penta-character verse, and fifty-six characters in a hepta-character verse. The first two lines were called “the head couplet;” the third and fourth lines were called “the chin couplet;” the fifth line and the six lines were called “the neck couplet;” and the last two lines were called “the tail couplet.” The first line in each couplet was called “the given sentence” and the second line “the answering sentence.” A long verse had more than eight lines, each with five characters. A fourline verse contained four lines, which meant a penta-quatrain contained twenty characters and a hepta-quatrain twenty-eight characters. For all categories, particular rules on diction, tone and rhyme have to be followed.

Poems in the Early Tang Period Poem Styles of the Early Tang Period and Their Development The time between the first year of the Emperor Wu’s period under the reign of Emperor Gaozu (618) and the early years of the Kaiyuan Period under the reign of Emperor Xuanzong (713–741) in the Tang Dynasty, historically called the Early Tang Period, lasted for about fifty years. The poets of this period were mainly politicians, officials and literati who had lived through the Chen Dynasty and the Sui Dynasty to the Tang Dynasty. Their writings were mainly in the form of correspondence to each other, with the topics limited to banquets, travel, delightful scenery and love affairs. The literary world was still greatly influenced by the dispirited and flashy style inherited from the Chen and Sui dynasties.

Four Distinguished Poets of the Early Tang Period Changes in the poetry style of the Early Tang Period appeared with the four distinguished poets, Wang Bo, (649–676), Yang Jiong (650–?), Lu Zhaolin (634–686 or 635–689) and Luo Binwang (?–684). Born into lower class families, the “Distinguished Four,” as they were called, were talented

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and brilliant. They tried hard to break away from the flashy poetry style of the Southern Dynasties. Through their efforts, the thematic subjects of poetry were largely expanded and innovations to the rules were made. The hepta-character verses introduced to the public by Lu Zhaolin and Luo Binwang were on the basis of imperial-style verses for the court and royal families. The pattern of the penta-character verse was formulated by Wang Bo and Yang Jiong, who moved their creative settings from the elegant royal palace to the ordinary streets and lanes. So Lu Zhaolin and Luo Binwang were regarded as the reformers of the imperial-style verse. Wang Bo and Yang Jiong, on the other hand, were credited as the founders of the penta-character verse, since the whole set of rules was finally settled by them, and the thematic subjects were also broadened from the narrow sphere of pavilions and pagodas to the vast desert out to the frontier. The poems by the “Distinguished Four” not only broadened the horizons and content of poetry, but also uplifted the emotions and moods of the time in accordance with the exciting new age. Lu Zhaolin’s “Recalling the Past in Chang’an,” Luo Binwang’s “On the Imperial Capital,” Wang Bo’s “On the Tengwang Pavilion” and “Farewell to Magistrate Du for His New Post,” Yang Jiong’s “I Would Rather Fight” and “The Piebald Horse” are all well-known masterpieces. The following is Wang Bo’s “Farewell to Magistrate Du for His New Post”: By this wall surrounding the Three-Qin, Into one the Five Fords mistily join. We bid each other a brotherly farewell; Two posts we hold with a long distance in between. Yet, when the native land links our feeling, Even the moon seems a neighboring inn. Why should we linger at the fork of the road, Wiping tears like heartbroken lovers?

This poem sweeps away the sentimental and sad mood often felt at a departure and shows inspiring optimism and enthusiasm. The same heroic mettle can be sensed in Yang Jiong’s “I Would Rather Fight”: When the beacon fires shine o’er the capital, My agitated mind cannot be calmed down. By royal road we leave palace hall; Our armored steeds besiege the Dragon Town. Snow darkens pictures sewn on banners red;

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The howling winds are mingled with our drumbeats. I’d rather fight as a hundred men's head Than pore o’er books without performing feats.

The lofty feelings and aspirations conveyed in the poem can be perceived throughout the lines. Obviously, such a positive spirit was a reflection of the current social situation. The Ming Dynasty commentator Wang Shizhen reviewed positively the Distinguished Four for their “unyielding spirit” and their vivid imagination as “surmounting their former counterparts in the previous dynasties” (Criticism on Arts and Literature). The works of the four poets represented the direction in which the early Tang shi-poetry shifted and progressed. Other noteworthy poets in this period include Liu Xiyi (651–680), Zhang Ruoxu (660–720) and Chen Zi’ang (661–702).

Poems in the High Tang Period The Blooming Tang Spirit The High Tang Period refers to the time from the first year under Emperor Xuanzong’s reign (713) to the first year of the Dali Period under Emperor Daizong’s reign (766). The open political policy, prosperous economy and national power all contributed to the overall cultural flourishing. Consequently, poetry writing entered a golden age. The atmosphere of the era greatly affected the poets’ outlook and nurtured their positive and optimistic characters. They were encouraged to break away from obsolete convention and pursue spiritual freedom. The poets of this great age had high aspirations and great expectations. Their enthusiasm for heroic feats for the nation and their rejection of the royal power embodied the nation’s spirit and the poetry of the times. The following lines are an illustration: (i)

The sun breaks the night to rise from the waves, The spring melts the winter to kiss the show. (Wang Wan, “Stopping over at the Foot of Beigu Mountain”)

(ii) You will enjoy a grander sight, If you climb to a greater height. (Wang Zhihuan, “Climbing the Stork Tower”)

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(iii) One day when the lone roc rides on the wind, Nine thousand miles it rockets up to the heavens. (Li Bai, “To Li Yong”)

(iv) When shall I reach the very top and behold, All mountains dwarfed under my glance? (Du Fu, “A View of Mount Tai”)

(v) Turn once to mark where the vulture fell, The plain sweeps far off to the evening clouds. (Wang Wei, “Watching the Hunting”)

(vi) All feats are won fighting on horseback, The title belongs but to you, a true hero! (Cen Shen, “Seeing General Li off to Pass Qixi”)

(vii) With my country and gratitude in heart, I’d devote myself willingly to the front. (Gao Shi, “The Border-Fortress”)

(viii) Our golden armor gets pierced by sand in battles, We pledge not to return until the foe is defeated. (Wang Changling, “Army Life”)

(ix) Clearly I know the harshness of the front; Valiance would remain when I die a hero. (Wang Wei, “Song of Young Chivalrous Men”)

The optimism and positive value of life in the first and second verses, the vigorous spirit in the third and fourth verses, the aspiring ambition in the fifth and sixth verses and the heroism in the others all represent the typical style of the age. Readers are always touched and uplifted by the passionate appeal, which was exactly the spirit of the High Tang Period. Some of the greatest shi-poetry are from masters for this period, including Wang Wan (active between 712–752 as a poet), He Zhizhang (659–744), Meng Haoran (689–740), Wang Wei (701–761), Cui Hao (704–754), Wang Zhihuan (688–742), Wang Changling (?698–757), Wang Han (active between 710 and 744), Gao Shi (?703–765) and Cen Shen (715–769), Li Bai (701–762) and Du Fu (712–770).

Wang Wei Wang Wei (701–761) was a remarkable poet who excelled at describing landscapes like mountains and rivers. He was talented and versatile as a poet, a musician and a painter. His poems cover a wide range of subject matter, especially frontiers and landscapes. “Song of Young Chivalrous

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Men,” “Out to the Frontier,” “To Turkistan,” etc, belong to the frontier poems, which are filled with heroic spirit. “Chant on The Riverhead” and “Song of An Old General,” however, are tinged with sorrow and indignation. “My Mission to the Frontier” gives a vivid picture of the frontier scene, impressing readers with two very popular lines “In the great desert rises one straight plume of smoke, by the long river hangs the ball of a setting sun.” Apart from the above, Wang Wei composed many quatrains, as well. For example: When those red beans come in spring, Flushing on your southern land branches, Take home a handful, for my sake, As symbols of our ardent feelings. (Wang Wei, “Love Beans”)

Wang Wei’s poems on landscapes are always delicate and original, giving a kind of soothing pleasure. “An Autumn Evening in the Mountains”: Stands autumnal in the evening, Moonlight in its groves of pine, Stones of crystal in its brooks. Bamboos whisper of washer-girls bound home, Lotus-leaves yield before a fisher-boat— And what does it matter that springtime has gone, While you are here, O Prince of Friends? (Wang Wei, “After Rain the Empty Mountain ”)

The idyllic setting displays the poet’s love and expectation of an ideal life. “Paintings in poetry” like those cited above are a unique feature of Wang Wei’s poems. Many poets in the Tang Dynasty were deeply influenced by Zen ideas, which, when reflected in their poems, gained a special esthetic flavor and mysterious tone, commonly referred to as “Zen interest” and “Zen state.” Wan Wei’s poetry is representative of this type. Many of his poems portray a pure, detached, profound and tranquil Zen world, revealing the poet’s personal percipience of the eternal emptiness of Zen. The following poem is regarded as typical: There seems to be no one in the cove, And yet I think I hear a voice across,

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Where sunlight, entering a grove, Shines back to me from the green moss. (“The Deer—Park Hermitage”)

The poem describes the transience of sunset in the woody mountains. “There seems to be no one in the cove,” emphasizes the “emptiness.” Then there came the voice. What could be heard without being seen made the scene even emptier. Only the setting sun scattered its glowing rays on the dark green moss. But even this was transient, and would vanish into eternal emptiness. The poet felt the “emptiness” through the “colors” and sensed the “nothing” through “something.”

Li Bai and Du Fu Li Bai (701–762) and Du Fu (712–770) were the most outstanding representative poets of the Tang Dynasty. Li Bai lived through the forty prosperous years from the Kaiyuan Period to the Tianbao Period under the reign of Emperor Xuanzong. Li Bai’s poems were full of vigor and grandeur as well as having a natural elegance. His unrestrained enthusiasm, romantic ideals, persistent aspirations, generous persona and chivalrous manner reflect the style of the time. Li Bai’s genius was best shown in his long verses, which poured out his poetic passions like a torrent rushing down for thousands of miles on end with a diversity of images and a rosary-like splendor. The lines of his verses are unrestricted, with different lengths, and he often switches tones and rhymes. All these, just as “pearls big and small dropping jingling onto jade plates,” contribute to, rather than destroy, the harmony and fluency of his poems. His masterpieces “The Hard Road to Shu,” “A Visit to Heavenly-Mother Mountain in Dream,” “Bringing in the Wine” and “Chant of Liangfu” are magnificent and stimulating. Li Bai’s extraordinary imagination endows his poems with creative metaphors and vivid hyperbole, which further intensified their magnetic attractions. Impressive lines describing natural views such as “Traveling in Shu is harder than scaling the blue sky,” “the Yellow River is rushing down from the heaven,” and “Snowflakes in Yanshan area are large as mats” draw vivid pictures in the reader’s mind. Some of his poems never fail to evoke an emotional echo: “The gale blows my heart away, to hang it on a tree on my land,” and “I send my heart to the bright moon, to accompany my exiled friend along the way.” All the poems composed by Li Bai, either yuefu poems or four-line verses, conveyed the pure charm of “Lotus flowers above clear water, a beauty free from any artifice”:

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So bright a gleam on the foot of my bed— Could there have been a frost already? Lifting myself to look, I found that it was moonlight. Sinking back again, I thought suddenly of home. (“In the Quiet Night”)

Her jade-white staircase is cold with dew; Her silk soles are wet, she lingered there so long . . . Behind her closed casement, why is she still waiting, Watching through its crystal pane the glow of the autumn moon? (“A Sight from a Staircase of Jade”)

The birds have flown away on pinions high, A cloud in heedless mood goes floating by. The two have never changed their fixed regard, And yet, fair Jingting Hill and I, your bard. (“Alone on the Jingting Hill”)

For rowing and drinking Junshan is just the place, The Xiangjiang River paves a smooth surface. The wine we enjoy goes well with the scenery, Intoxicated also by the Dongting autumn space. (“Drinking Heartily with My Uncle on Dongting ”)

From the walls of Badi high in the colored dawn To Jiangling by nightfall is three hundred miles, Yet monkeys are still calling on both banks behind me To my boat these ten thousand mountains away. (“Set off Early from Baidi”)

You have left me behind, old friend, at the Yellow Crane Terrace, On your way to visit Yangzhou in the misty month of flowers; Your sail, a single shadow, becomes one with the blue sky, Till now I see only the river, on its way to heaven. (“A Farewell to Meng Haoran to Yangzhou”)

All the above quotations have a lingering freshness and purity which has been highly regarded by critics through the ages. Du Fu, sharing Li Bai’s reputation as a leading poet, experienced the vicissitudes of the Tang Dynasty from its heyday to its decline through the Kaiyuan Period, the Tianbao Period and the “An–Shi Turmoil.” His personal experience was associated closely with the turbulent era, which lasted from the Anshi Turmoil for more than twenty years. A large number of his works are lamentations for the past glory and his

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worry about the nation’s future. Du Fu’s poems are about social affairs, signaling the changes of the time and the political tendency, and are imbued with the poet’s passionate love of his nation and his spirit of selfsacrifice. His best-known poems, “The Journey North,” “Song of the RoadGoing from the Capital to Fengxian,” “The Qiang Village,” “Spring the Broad View,” “The Baidi City,” “Ballad of the War-Chariots,” “A Song of Fair Women,” “Three Officials” and “Three Farewells” reflect the mood of the time. This is especially true of the “The Journey North” written in August of 757 on his way from Fengxian to Luzhou. The poem narrates the tough journey, telling stories about family life, commenting on current court affairs, and displaying his inner feelings, merging perfectly all the genres within one extensive outlook and insightful allusion. Ye Mongde (a critic of the Song Dynasty) compared this imposing poem to The Record of the Historian, praising it as “the very peak of poetic perfection in history.” Esthetic value was another priority for Du Fu. From his splendiferous diction and voluble sentences to his wonderful rhetoric skills such as parallelisms and rhymes, his painstaking endeavor to “leave no room for regret” in writing was largely realized. Many of his verse lines have been widely read and admired through the ages: (i)

The waters divide State Wu from Chu in the southeast, The universe of sun and moon floating on their breast.

(ii) The stars descend, rimming the land vast, The moon emerges, flowing the river wide. (iii) In dewdrops my worried eyes see the tears of flowers, At the chirps of birds my war-tossed heart shudders loud. (iv) (v)

From tonight on, dews will become frost, At home alone, moonlight is the brightest. Near dawn, the mountains suddenly spit out a bright full-moon, At the night end, the moonlit water flashes back at the pagoda.

(vi) In the drizzles, small fish seem jumping out; With the breeze, swallows look flying awry. (vii) Spring colors by the Jinjiang River are a gift from the heaven, Flying clouds over the jade mount are like the shifts of history. (viii) Waves of the river seem to rise up onto the sky. Dark clouds look as if driving down to the land.

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(ix) Stark sounds the fifth-watch with clanking drum and bugle, Stars and Heavenly River pulse over the three mountains. (x) But before he could conquer, he was dead; Heroes have tears on their armor ever since.

Credited as his highest artistic accomplishment are Du Fu’s heptacharacter eight-line verses, as in “Climbing a Terrace:” The wind so swift and sky so high, apes wail and cry, Water so clear and beach so white, birds wheel and fly. The boundless forest sheds its leaves shower by shower, The endless river rolls its waves hour after hour. A thousand miles from home, I’m grieved at autumn’s plight, And now and then for years, alone I’m on this height. Living in times so hard, at my frosted hair I pine, Cast down by poverty, I have to give up wine. (“Climbing a Terrace”)

Crystallizing the poet’s ebullient emotions and majestic momentum, this poem embodied an exquisite dexterity in various aspects. Du Fu’s “On Autumn” (eight poems) and his “Upon Hearing of the Government’s Troops Recovering Henan and Hebei Provinces” are regarded as masterpieces of hepta-character verse. Du Fu’s poems achieved an incorporation of substantial contents with supreme genre, on the basis of which shaped Du Fu’s distinctiveness of a noble and somber style.

Poems in the Mid-Tang Period The Characteristic of the Poems in the Mid-Tang Period The mid-Tang Period refers to the seventy years or so from the first year of Dali Period under the reign of Emperor Daizong (766) to the first year of the Kaicheng Period under the reign of Emperor Wenzong (836). Since so many outstanding poems covered the spectrum of schools and styles in these years, the era is often referred to as the re-flourishing of poetry in the mid-Tang Period. With the outbreak of the An–Shi Turmoil, the social framework underwent a series of changes. Although the country was in a relatively peaceful state after the turmoil, people still suffered social evils. Military governors tried to establish their own regimes in defiance of the imperial court, and the corrupt and imperious eunuchs

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abused their powers. With all the factional conflicts, the country was in crisis. As a result, the romantic poetic style of the High Tang Period was no longer popular and people’s enthusiasm for poetry faded. Meanwhile, poets, with their sensitive natures, were wandering in bitter agony and confusion. The grim reality forced them to see the world objectively and with less passion. This explains why sorrow, vacillation and depression are the keynotes of the poems in the mid-Tang Period. The common themes range from important social issues to daily trifles, and the verses give vent to their frustration and loneliness. Likewise, the heartfelt eulogies to the natural attractions also degenerated into a mere means of reposing their depression for relief and self-alleviation. Among the renowed poets are: Qian i (?710–782), Lu Lun (748–?798), Han Hong (active from 754 to 780), Liu Changqing (?726–?787), Wei Yingwu (737–?792) and Liu Zongyuan (773–819), Liu Yuxi (772–842), Bai Juyi (772–846) and Yuan Zhen (779–831), Han Yu (768–825) and Meng Jiao (751–814), and Li He (790–816).

Bai Juyi As the leading figures of the Yuan-Bai poetry school, Bai Juyi (772–846) and Yuan Zhen (779–831) showed great concern for the sufferings of the people. They faced reality and bravely exposed social ills. Li Shen’s, Bai Juyi’s and Yuan Zhen’s “New Yuefu” (Yuefu—folksongs and ballads or their imitations in the Han style) and Zhang Ji’s and Wang Jian’s “Old Yuefu” both embody their belief that poems should “eulogize virtue and assail vice.” What they advocated was an esthetic value closely integrated with real life to fulfill its social function. Bai Juyi’s yuefu poems are outstanding in this respect, as his “The Old Charcoal Seller” shows: What’s the old man’s work for living fare? He cut the wood in southern hills and fires his ware. His face is grimed with smoke and streaked with ash and dust, His temples grizzled and his fingers all turned black. The money made by selling charcoal is not just Enough for food and clothing for his mouth and black. Although his coat is thin, he hopes winter will set in, For weather cold will keep up the charcoal’s good price. At night a foot of snow falls outside city walls, At dawn his charcoal cart crushes ruts in the ice. The sun is high, the ox tired out and hungry he,

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Outside the southern gate in snow and slush they rest. Two riders canter up, alas! Who could they be? Two places heralds in the yellow jacket dressed. Decree in hand, which is imperial order, one says, They turn the cart about and at the ox they shout. A cartload of charcoal a thousand catties weighs; They drive the cart away. What dare the old man say! Ten feet of silk and twenty feet of gauze deep red— That is the payment they fasten on the ox’s head.

In the preface to this poem, Bai Juyi declares that this is a bitter story about “court purchase,” which during the mid-Tang period meant foraging for goods by exerting the imperial court power. The eunuch in the story did no less than rob the poor old charcoal seller. By using the word “bitter” he shows not only people’s resentment and helplessness, but also his indignation at such corrupt behavior. The other two of Bai Juyi’s famed long ballads “Song of Everlasting Sorrow” and “Song of a Pipa Player” were popular then and have been appreciated ever since. He once said: “Wherever it is, even at local schools, temples, inns or bamboo rafts thousands of miles away from Chang’an, my poems are read and copied; whoever they are, even craftsmen, monks, widows, and young maids read my poems aloud.” In honor of Bai Juyi, Emperor Xuanzong of the Tang Dynasty (Li Chen) once wrote in his poem, “Even children can recite ‘Song of Everlasting Sorrow,’ and minority nationalities love to read ‘Song of a Pipa Player’.” Bai Juyi was indeed a most beloved and highly praised poet of the people.

Poems in the Late Tang Period The Basic Tone of the Late Tang Poetry The Late Tang Period referred to the seventy or so years between the first year of the Kaicheng Period (836) under the reign of Emperor Wenzong to the fourth year of the Tiangyou Period (907) under the Emperor Zhaoxuan. Owing to the weakness and corruption of the government, the dynasty was under increasing pressure from both domestic crises and external threat, which drove it to the brink of decline. Sentimental poets yearned for the glory days of the High Tang Period but realized that cruel reality ensured no such realization. “How nice the setting sun

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does look, Only it ushers in the dooming dusk” (Li Shangyin, “On the Plain of the Royal Tomb”) is an example of the sad and despairing tone of the Late Tang poems. Poets during this period can be roughly divided into the two groups of the pre-Late Tang and the post-Late Tang. The former included Xu Hun (?791–?858) , Du Mu (803–853) and Li Shangyin (811–859), and the later group was mainly represented by Pi Rixiu, Lu Guimeng, Du Xunhe, Nie Yizhong, Luo Yin, Zheng Gu, Si Kongtu, Wen Tingyun, Wei Zhuang and Hang Wo. The sentimentality of these poets is voiced either through their reminiscence of history and reality, or through the expression of their emotions. This promoted the genres of epic and lyrical poetry. In terms of artistic quality, poems during this period are also more profound and elaborate. Representative figures in this period include Xu Hun (?791–?858) , Du Mu (803–853) and Li Shangyin (811–859).

Li Shangyin Li Shangyin (811–859) was the most outstanding Late Tang poet, who took Tang shi-poetry to its final peak. His poems touch upon various topical subjects, especially his political poems, including “Thought in the Cold,” “Another Thought in the Cold,” “A Hundred Rhymes on What Was Seen at the Western Suburb,” “The Sui Palace,” “The Jasper Pool,” and “Going Eastward with the Army.” Some of them openly comment on current affairs, some use past events to attack the present situation, and all expose the cruelty, corruption and inefficiency of the ruling classes. The poem “Scholar Jia” is a case in point: When the Emperor sought guidance from wise men, from exiles, He found no wisdom calmer than that of young Jia And assigned him the foremost council-seat at midnight, Yet asked him about gods, instead of about people.

Through the mouth of a Han-Dynasty scholar Jia Yi, Li Shangyin describes his own gloomy future and his disappointment at the government on behalf of all the gifted men who failed to get appointed to positions to serve the country because of the befuddled imperial court. Some of Li Shangyin’s untitled poems are written from the perspective of disfavored beauties to show his frustration at not being

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able to find a position where he could use his intelligence and patriotism. However, most of his untitled poems are about passionate romance and affectionate love, in lines like the following: And the silk-worms of spring will weave until they die And every night the candles will weep their wicks away. Though I have no wings like the bright-colored phoenix, Yet I feel the harmonious heart-beat of the Sacred Unicorn. But far beyond my reach is the Enchanted Mountain, And you are on the other side, ten thousand peaks away. Must human hearts blossom in spring, like all other flowers? And of even this bright flame of love, shall there be only ashes?

The Post-Late Tang Poets The post-Late Tang poets, such as Pi Rixiu, Nie Yizhong, Du Xunhe, Luo Yin, Zheng Gu and Cao Ye shared a common disapproval of social reality. They all followed the new yuefu style advocated by the midTang poets Yuan Zhen and Bai Juyi. They exposed the corruption of the government, described people’s misery and reflected the uneasy social situation. But their work lacks depth and breadth, compared with their predecessors. Another group of post-Late Tang poets, such as Wen Tingyun, Wei Zhuang, Hang Wo and Zheng Gu, on the other hand, stressed the sweetness and charm of poetry. Wen Tingyun (?813–?870), for instance, wrote many poems describing the grandiose excitement of the royal families and people in power enjoying their feasts and tours. The gorgeous and flowery dictions gave his poems a flossy and fragrant style. In spite of this, his poems on historical retrospection, nostalgic travel and natural scenery are charming. His “Early Walk in the Shangshan Mountain” is a good example: Departing at dawn, carriage bells jingle— The traveler grieves for his ancestral home. Roosts crow at the moonlight over the thatched teahouse, Folks’ steps print in the frost on the planked bridge. Betel leaves fallen by the mountain road,

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Orange blossoms bright on the station wall— And so I dream a dream of Chang’an, Where ducks and geese settle, crowding the pond.

The freshness and perceptivity are clearly sensed between the lines. The couplet “Roosts crow at the moonlight over the thatched teahouse, Folks’ steps print in the frost on the planked bridge” give a lifelike picture of a wanderer’s life; it is loved and and has been widely quoted down the ages.

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樂 CHAPTER TWENTY ONE

Ancient Music and Dance Ancient Musical Instruments

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Ancient Dances

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The Imperial Court Music

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Guqin Music

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Religious Music

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Free-style calligraphy of“樂”(yue) means “music” in Chinese

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Chinese music and dance enjoy a long and glorious history. Evidence of this can be seen from the ancient bone flutes unearthed in 1986 and 1987 from Jiahu in Wuyang County, Henan Province. The eighteen bone flutes have either with seven or eight holes. Some of them can still produce beautiful melodies. Archeologists estimate that these ancient flutes date back some eight thousand years which may be the dawn of Chinese music. A colored pottery basin with patterns of dancers was excavated at Shangsun Village in Datong County, Qinghai Province. It is believed to be a cultural relic of the Neolithic Age, and the patterns on it are the earliest recorded primitive dancing images. Both archeological discoveries are evidence of the long artistic history of music and dance in China.

Ancient Musical Instruments The Musical Instruments of the Pre-Qin Period According to historical records, ancient Chinese musical instruments consisted of seventy different types as far back as the early Western Zhou Dynasty. They were classified into eight categories, referred to as “Eight Sounds”—the earliest instrumental classification in China, based on the instruments’ raw materials of metal, stone, silk, bamboo, gourd, clay, leather and wood.

Five-stringed qin (The Warring States Period)

Se (The Warring States Period)

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Musical instruments were richer in variety, better crafted and could cater to a range of different musical performances in the Spring and Autumn Period and the Warring States Period. Larger-scale bands were established in addition to solos played with a single instrument and some small-sized instrumental ensembles. The most conventional ensemble mode was the “bell-and-drum music” played with chimes and drums. Chamber music was only occasionally played, with qin and se as the most representative musical instruments. In 1978 at Leigudun, about two kilometers northwest of Suixian County in Hubei Province, 124 musical instruments were unearthed from the Tomb of Marquis Yi (Zenghou Yi). The instruments include bian zhong, bian qing, ten-stringed qin, five-stringed qin, se, sheng, panpipes, chi, jian gu and small drums. This discovery is the most valuable so far and gives a clearer picture of ancient Chinese music. The excavated bian zhong (chimes) consist of sixty-four bells, representing the largest set of chimes in the world. The bells are hung in three parallel levels, with nineteen niu bells on the upper layer and fortyfive yong bells on the middle and lower layers. Six handsome bronze warrior figurines stood as pillars supporting the layers. The chimes were found on the west and south sides of the Marquis’s burial chamber. The total weight of the set is approximately 2,500 kilograms. The smallest bell is 20.4 centimeters long and 2.4 kilograms in weight, while the biggest one is 153.4 centimeters high and weighs 203.4 kilograms. The chimes cover roughly five octaves and twelve scales, and can produce the entire semitones in three octaves, which meant that the chimes can make melodies in seven musical scales with modulation.These indicate the completed musical systems and complicated modes of note composition at that time. In addition, gold inscriptions of 2,828 words are carved on the body of the bian zhong to mark which scale, octave or musical pitch each bell belonged to. It was confirmed through tests that that each bell was capable of producing two tones, usually a major or minor third apart, when struck on both the front and the flank sides. This illustrates that the ancient people had mastered the musical principle of roundshaped objects. The whole set of chimes is extremely elaborate and finely cast, and shows how advanced musical skills and bronze production were in ancient China. Apart from bian zhong and bian qing, there were other musical instruments in the central chamber (the ceremonial hall) of Marquis Yi’s tomb, such as drums and sengs of different sizes and shapes. Beneath the

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Chimes (bian zhong) unearthed from the Tomb of Marquis Yi (Longshan Culture, 2400–1900 BC)

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east wall in the central chamber lay some drinking vessels, positioned opposite the musical instruments. It is assumed that this hall was where the Marquis entertained his guests. In the east chamber of the tomb (the master bedroom), were found instruments like qin and se, mainly for playing chamber music at the imperial court. From the arrangement of the musical instruments in the central and east chambers, it appears that a variety of instruments was used to produce the increased range of musical styles of the Spring and Autumn Period.

Musical Instruments in the Han and Tang dynasties The Han Dynasty and the Tang Dynasty, four hundred years apart, were two most important periods in the development of Chinese musical instruments. With increased contact with foreigners, different instruments were introduced from other nationalities and regions. Musical exchanges between the different cultures enriched the musical skills of the Han nationality on the Central Plains of China. The following were some of the most representative new instruments. Bili—From ancient Persia, the bili became popular in Quici (the present Kacha County in Xinjiang Province) in the Western Regions. When General Lu Guang of the Eastern Jin Dynasty conquered Quici, he brought back with him some Quici musicians and musical instruments including the bili. The word bili is the transliteration of its Persian name. It was played by all the nationalities in the Western Regions. When brought to the Central Plains, the bili was commonly referred to as guan (pipe); it was popular in the Sui Dynasty. Later, the bili was introduced to Japan, where it became a major instrument in the Japanese yayue (elegant music) performance. Pipa—By the time of the Han and Wei dynasties, musicians from the kingdoms of Quici, Shule and Yutian in the Western Regions traveled to the Central Plains along the Silk Road, bringing with them the crook-necked pipa from India. This instrument was very popular in the Northern Dynasties and spread to the south of the Yangtze River. By the time of the Sui and Tang dynasties, pipa had become a major instrument on all sorts of musical occasions, and played an important role in the development of singing and dancing in the Tang Dynasty. The word pipa was first used during the Qin and Han dynasties and generally referred to such plucked instruments as the Qin Han Pipa and the Ruan Xian Pipa. The shape of the former (the present qin qin) was based on the sistrum (a small sided drum with a handle, used by

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children as a toy or by peddlers to sell goods). Strings were added to make the drum into a round-shaped, long-necked musical instrument with leather surfaces. The latter (the present ruan) was constructed on the basis of zheng, zhu and horizontal kong hou. It was round in shape with a wooden surface and a long neck. It was played vertically, with four strings and twelve frets. When a crook-necked plucking instrument from the Western Regions appeared on the Central Plains, it was also classified as a type of pipa. As a result, pipa was adopted as a general term to refer to several different musical instruments. It was not until after the Tang Dynasty that the definition of pipa was narrowed to mean a specific instrument. Only the half-pear-shaped plucking instrument with a crooked neck from the Western Regions was called pipa. The popularity of the pipa in the Tang Dynasty is clearly shown in the impressive Tang poems, many of which give vivid descriptions of the origin, construction, playing techniques and repertoires of pipa music. The following is from the well-known poem “The Song of Pipa” by Bai Juyi: Resounding, the thick strings prompt a sudden shower; Trailing, the thin strings whisper softly in your ear. When resounding and trailing join in a concerto, Pearls, big and tiny, are falling on a jade plate. A few plucks produce tremor enough To touch the delicate strings of my heart. Like water spraying out of a silver vase, Or horsemen riding among a forest of spears.

This prosperous dynasty also produced some famous pipa players. More than ten pipa soloists such as Duan Shanben, Kang Kunlun and Fei Luo’er are mentioned in the Tang poems and other historical records. After the Song Dynasty, with the emergence of new performing genres like comic dialogues and dramas, corresponding changes took place in the playing techniques and combinations of musical instruments. Old instruments like bian zhong, bian qin, zhu, and chi were restricted to ritual ceremonies and imperial court music. Pipa, ruan, kong hou and bamboo flutes underwent constant alteration and, as a result, their artistic appeal was greatly enhanced. In addition, some new instruments appeared, such as the xi qin (the archetype of the present erhu). These relative newcomers occupied a more significant position in music

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performances, bringing significant changes to instrumental arrangements in the Chinese music system.

Ancient Dances Dances in Primitive Times Legends on the origin of dance are abundant in ancient Chinese literature. Such tales are also recorded in the chapter “Ancient Music” in “Mid-Summer Records,” Annals of Lü Buwei. One story is: When the ancient king Zhuan Xu was enthroned, he ordered his musician the Flying Dragon to design actions to accompany a piece of music titled “Bearing the Cloud.” The second story concerns an ancient emperor, Ku. When he asked his musician Chui to play music, the pleasant melodies inspired phoenixes and pheasants to dance. The third story tells of Yao, a king of ancient China. He ordered his musician Zhi to produce music. Zhi imitated natural sounds and the singing of animals and birds. On hearing such pleasant tunes, all the animals started to dance. During the long prehistoric period, primitive dances imitating physical actions gradually evolved into totem dances, sorcery dances and ritual dances. By the end of the prehistoric times, these dances were further developed to collaborate with music in forming yuewu (musical dance), a most important form of performance art in ancient China. In the chapter on “Ancient Music” in Annals of Lü Buwei (a collection of essays by scholars during Lü’s patronage in the Qin Dynasty, completed in 239 BC), the following story is recorded: There was an ancient tribe called Getianshi. The people in this tribe had a special dance in which three persons formed into a team, singing and dancing, holding ox tails in their hands. Yuewu, as an art form, reflected the aspirations of the ancient people when they entered into a settled agricultural life, and gave a picture of their daily experiences in the remote past. In 1973, a pottery basin with patterns of dancers was excavated in Sunjia Village, Datong County, Qinghai Province, a relic of the Majiayao Culture. The fifteen dancing figures painted on the inside upper rim of the basin show three groups of five-person teams of dancers dancing hand-in-hand. They wear the same costumes and are all in the same posture. According to some scholars, it might be a traditional yuewu performance of a ritual dance, and the dancers are imitating animals

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closely related to their daily life—the images of their totems. This relic throws new light on Chinese ancient dance. A similar discovery was made in 1991, when a colored pottery basin was excavated from a tomb of the Neolithic Age at Wuwei, Gansu Province. In 1995, another colored pottery basin was unearthed from an ancient tomb in Qinghai Province. It is similar in shape and structure to the previous one, but there are more dancing figures on it, exhibiting a variety of postures. All these archeological discoveries confirm the corresponding evidence in the Annals of Lü Buwei. Primitive dances were associated with sorcery. In the etymological dictionary The Origin of Chinese Characters by Xu Shen, the original shape of the pictographic character “wu” (sorcerer) was a person with two long sleeves dancing. So, wu referred to someone who made dance a means of communication between gods and human beings. That was why sorcerers were always associated with dance. Today, there still exist some local folk dances which relate in various degrees to primitive sorcery, such as the Shaman Dance in the northeast regions, the Nuo Dance of the Han Nationality and the Dongba Dance of the Naxi Nationality. Among them the Dongba Dance is a good case in point. This dance has a long history as well as developed techniques. What deserves particular attention is that the Dongba Dance scores from the Dongba Sutra were recorded in an ancient Dongba hieroglyph language. As its characters bear a close resemblance to pictures, they offer such a vivid description of the dance that they undoubtedly contributed to the preservation and continued popularity of the Dongba Dance. The Dongba Dance covers a rich variety of content and form—The “God Dance” demonstrates people’s respect and esteem for the gods; the “Battle Dance” shows how demons are defeated and overpowered; the “Instrument Dance” manifests the power of ritual instruments and weapons; the “Animal Imitation Dance” portrays various birds and beasts. These are a precious record for the study of the history of Chinese dances.

Dances in the Han Dynasty Two different types of primitive yuewu (musical dance) gradually took shape in the early Western Zhou Dynasty. One was the yayue dance (an elegant musical dance), which was performed mainly at rituals, parties, shooting rites, victory celebrations, and ceremonial military parades. The yayue dance declined at the end of the Spring and Autumn Period.

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Drawings on the painted bronze pot with pictures of fishing and hunting (Warring States Period)

Dancing scene shown in a Han Dynasty brick

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The other type was jiyue dance, which was a spectacular performance by professional singers and dancers. According to The Origin of Chinese Characters by Xu Shen in the Eastern Han Dynasty, the character “ji” in jiyue was generally used to refer to “woman.” Some time later, the denotation of the character was specified to mean a woman whose profession was singing and dancing. Only with the appearance of such professional dancers did dances discard their primitive restrictions to develop into a phase when priority was given to refined artistic taste. From this perspective, the jiyue dance, performed by professional musicians and dancers, contributed greatly to the development of music and dance in ancient China, and it embodied the highest artistic level in the history of ancient Chinese dances. For some time, the jiyue dance maintained its status as the mainstream of Chinese dance. A glimpse of such dances during that period can be obtained from a number of cultural relics. For example, a painted bronze pot from the Warring States Period, with pictures of fishing and hunting, shows a woman musician playing a stone instrument, qin, at a yanyue (an entertaining performance at banquets). On another bronze pot from the same period, a women dancer is painted on its cover. The Han Dynasty witnessed a splendid era of jiyue dances. First, dances in this period were freed from the restriction of rituals to become an art reflecting ordinary people’s daily lives. Some new forms of performance appeared in this period, such as the famous xianghe (songs sung by one person, with chorus joining in as the song proceeded), daqu (big tunes, referring to xianghe performed in a grander scale), jiaodi (a kind of wrestling dance, performed by dancers wearing ox horns and imitating wild oxen), and baixi (multiform plays, combining songs, dances, acrobats and magic performances to tell stories). In addition, there appeared many well-known professional jiyue performers and representative repertoires in this period. The most famous dancer then was Zhao Feiyan. She was favored by the Han Emperor Cheng, became an imperial concubine and then his empress, all due to her superb dancing skills. According to historical records, “nimble and light as a flying swallow, she was able to dance on a person’s palm.” This description matches an image carved on a Han Dynasty brick excavated from Zhengzhou, Henan Province. The dancer has both sleeves floating in the breeze. Standing on one foot, the dancer has the other foot raised like a swallow flying in the sky. Another renowned woman dancer who won the favor of Emperor Wu in the Han Dynasty was Madame Li. She

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was born into a family of musicians and dancers—her brother was the famous musician Li Yannian. Like Zhao Feiyan, Madame Li was also of humble origin but was eventually made an imperial concubine because of her irresistible charm and superb dancing skills. Thanks to the opening of the Silk Road in the Han Dynasty, many kinds of foreign music and dance found their way to the Central Plains in China. It is recorded that people in the Han Dynasty had a special liking for some hu (alien) objects, such as hu dresses, hu nets, hu beds, hu chairs and hu dances. These foreign art forms were entirely different from those of the Chu Dynasty and the yayue in the previous dynasty, which was greatly favored by the people at that time. Exotic and attractive, they had a profound influence on the development of the dances of the Han people. In addition, an obvious feature of dance as an art form in the Han Dynasty was the grandness of scale and superior expertise. In the course of contact between the Central Plains and the Western Regions, some western acrobats and magic performances came to China, along with the music and dance. A new performance, baixi, gradually appeared which also had an impact. Some new actions, such as head standing, jumping and rolling were absorbed into the performances of the Han people, making yuewu in the Han Dynasty an incorporation of martial arts, acrobatics and dances. This can clearly be seen in the Plate and Drum Dance. Dancers in the Plate and Drum Dance had to vary their dancing steps according to the rhythms and movements of the music. First, they needed to move the upper part of their body to throw loose their long sleeves. Sometimes they even had to perform highly skilled actions such as bending a hundred and eighty degrees backwards to cover the plate drum. They were also required to twist their legs, stamping their feet in turn to tap the tops of several drums in time with various rhythms and tempos. This was highly demanding on the dancers’ suppleness, nimbleness, self-control and sense of rhythm. The dancers were also required to excel in coordinating the bodily movements in different parts of their body, such as the waist, the arms and the feet. With such a dexterous combination of dance and acrobatics, the Plate and Drum Dance is regarded as a milestone in the history of Chinese dance. Another special feature of dances in the Han Dynasty was the appearance of dances with many splendid props. In the “Dance of Kerchiefs” and the “Dance of Sleeves,” dancers, holding kerchiefs or wearing a dress with two long sleeves, had to make good use of their

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wrists and arms to wave the kerchiefs or sleeves into various bows and flowers, with “skirts whirling like flying butterflies and sleeves floating like fluttering snowflakes.” Such traditional actions can still be seen in the present classical dances and the Dance of Red Bows. During the Wei, Jin, Southern and Northern dynasties between the period from the Han Dynasty up to the Sui and Tang dynasties, dances highlighted not only beauty in form, but also freedom of spirit. A new style of fresh, refined and graceful dances gradually took form. This style was best demonstrated in the White Silk Dance, where the dancer performed in a beautiful silver costume with long sleeves, dancing with such grace that she seemed to roam breezily on the clouds. With her sleeves a rosy glow, she appeared to the audience like a fairy from paradise.

Dances in the Tang Dynasty The Tang Dynasty was a golden age in the development of ancient Chinese music and dances. Yanyue, the music and dance entertainment at banquets, which was performed mainly by professional actors and actresses, marked the highest standard of dancing in this period. According to “History of Rites and Music” in The New Tang Annals, when the Tang Dynasty was at its peak, the number of jiyue performers reached tens of thousands, most of whom specialized in performing yanyue. The repertoires of the royal court yanyue were divided into the NinePart Jiyue and the Ten-Part Jiyue (made up mainly of foreign music and dances), the Sitting Part Jiyue, the Standing Part Jiyue, and the original palace performance of the Singing and Dancing Daqu. The Sitting Part Jiyue performers, playing in the main hall of the palace, were smaller in number. The Standing Part Jiyue was not restricted to the main hall and so was larger in scale. The Singing and Dancing Daqu was a grand performance, combining instrumental music, dances and songs. Its repertoire was large and over sixty have been preserved to the present day. To sum up, the jiyue dances of the Tang Dynasty profoundly influenced social life with their power of expression and outstanding techniques, and have left a valuable cultural heritage in various literary and artistic works, such as poems, tales, paintings and sculptures.

Dances in the Song Dynasty In the Song Dynasty, the traditional yuewu of the Tang Dynasty was not performed indiscriminately. Instead, a few well-known pieces were

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preserved, which underwent some changes to evolve into a new art form with unique features—the Team Dance. There were a number of dancers in a Team Dance, each playing a specific role, such as a leading dancer called Flower Center, a presenter called Bamboo Pole, some background dancers and musicians. Generally speaking, the choreography of the Team Dance was comparatively fixed, incorporating the different artistic techniques of singing, dancing, monologue and dialogue. This comprehensive art form was rich in content and colorful in performance. One unique feature of the dances in the Song Dynasty was the newly added narrative element, apart from the original focus on expressing emotions. For example, the Sword Dance included a story about the historical Hongmen Feast. This indicates a move from the emotion-oriented format to the narrative type. However, different from what happened in the West, this shift in the ancient Chinese dance style didn’t lead to dramatic dances. Instead, it turned to the direction of xiqu operas, resulting in a major new technique in the artistic performance of xiqu on the stage.

The Imperial Court Music The imperial court music refers to the music played in various rituals and ceremonies at the royal court throughout Chinese history.

The Scale of Imperial Court Music Approximately from 2100 BC , there appeared on the Central Plains a special music performance for the ceremonies (such as sacrificial rites) and celebrations at the royal court. Records of this kind of music performance are found in the classical works The Book of Documents, The Book of Change and Mozi. The imperial court music was usually grand in scale. It is recorded in the chapter on “The Imperial Music Bureau in The Spring Ministry” (from The Rites of the Zhou) that in the Zhou Dynasty the imperial court set up the Imperial Music Bureau to collect and edit ancient melodies and folk songs. It had on its staff a number of musicians, senior and junior musical officers, senior and junior masters, drum players, tuners, qing players, sheng players, fu players, dancers, apprentices and errand boys, numbering 1,463 people. The bureau had as its three main divisions the Section of Music Administration, the Section of Music

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Education and the Section of Music Performance. The scale was large and the constitution was elaborate and systematic. The Han Dynasty witnessed another peak in the development of imperial court music, when an official administrative institution called Yuefu (the Ministry of Music) headed by Director Li Yannian was established in 112 BC. It had 890 musicians as its staff members, responsible for collecting and editing folk songs and ballads, composing and revising music pieces, giving performances and concerts. The scale of musical performance was biggest in the Sui and Tang dynasties, with their specific music sectors such as Da Yueshu (the large music bureau), Guchushui (the piping and drumming instrument bureau), Jiaofang (the conservatory) and Liyuan (the Pear Garden Musical Academy). Da Yueshu was in charge of yayue (elegant music) and yanyue (music and dance for banquet entertainment). The responsibility of Guchuishu was to manage all ceremonial musical performances, while Jiaofang and the Pear Garden Musical Academy taught students folk music and ritual music for Buddhist and Taoist practices. There were strict disciplines and regulations for training and testing, hierarchical classifications and corresponding social positions and treatment in these institutions. According to “History of Rites and Music” The New Tang Annals, when the Tang Dynasty was at its zenith, the number of music performers reached tens of thousands. These musicians, singers, dancers and their apprentices were all under the administration of the court sectors named Taichang Temple and Guchuishu. Court musical performances in the Song, Yuan, Ming and Qing dynasties were more or less the same in scale. The musical institutions in these dynasties, however, became even more specific and elaborate in their divisions, although the number of staff was smaller as compared with the Sui and Tang dynasties. For instance, in addition to the administrative institutions and all the music troupes, there were also administrative organizations in charge of music management, music study and music composition in the Qing Dynasty. During the sixth to the tenth years of Emperor Qianlong’s reign in the Qing Dynasty (1741– 1745), Prince Zhuang Yunlu personally headed the special harmonics academy, Lulu Zhengyi Guan, and collected and compiled all the music repertoires played at the ceremonies of altars and morning practice into The Lulu Zhengyi Harmonics (Continued). This book is an integrated magnum opus of imperial court music, providing valuable references for the study of court music culture in the Qing Dynasty.

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Classification of Imperial Court Music In accordance with their functions and natures, imperial court music can be classified into two major kinds—court ritual-ceremonial music and music for entertainment. The former was played at different ceremonies, such as sacrificial rites, morning practice at temples and honor guard parades; the latter included banquet music, the music played for the emperor’s inspection tours, and pipe and drum music. In the Zhou Dynasty, the chief compositions of yayue were chamber music, lyric music and the Six Dynasty music, covering “yunmen” (from the Yellow Emperor Period), “daxian” (from the Emperor Yao Period), “dashao” (from the Emperor Shun Period), “daxia” (from the Emperor Yu Period), “dahuo” (from the Emperor Tang Period of the Shang Dynasty), and “dawu” (from the Emperor Wu Period of the Zhou Dynasty); all belong to court ritual-ceremonial music. The Six Dynasty music amalgamated all sorts of performing arts like poetry reciting, singing, dancing and instrument playing. The dance movements were slow and extending, the tunes of the songs were soft and harmonious, producing an atmosphere of majesty, harmony and serenity. The choreography included paying tribute to heaven, earth, mountains and rivers, or complimenting certain monarchs on the prosperity and liberal-mindedness of their reigns. Chamber music here refers to the musical performance given inside the court, with the major part made up of folk songs, accompanied solely with qin and se (lute and zither) and performed by imperial concubines for the double purpose of entertaining the emperor and informing him of the situation of the nation under his reign. As for lyrical music, it was mainly composed of lyrics accompanied by music, revised and edited by professional musicians on the basis of folk ballads. Influential foreign music was also incorporated into the imperial court music in the Sui and Tang dynasties. In the Sui Dynasty, the socalled “Nine-part Music” was established with nine constituent parts— Kangguo Music (from the present Samarkand of Uzbekistan) and Anguo Music (from the present Bukhara of Uzbekistan) both from the west of Congling Mountain; Shule Music (around the present Kashgar) and Quici Music (around the present Kucha) from the northern part of the Silk Road; Xiliang Music (in the present Gansu Province), Qingshang Music, Tianzhu Music (from the present India), Gaoli Music, and Libi Music (the music marking the ending of a certain ceremony). On the basis of the Nine-part Music, yanyue and Gaochang Music were added

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while Libi Music was removed to form the Ten-parts Music in the Tang Dynasty. It is clear from these musical pieces that music from outside China played a big role in imperial court music, the most popular being Qingshang Music, Xiliang Music and Quici Music, representing three different styles respectively. Qingshang Music was the traditional court music of the Han nationality, and it played the predominant role in the court musical performances. Xiliang Music was a combination of the music from the Western Regions and the Central Plains, while Quici Music was of typical music from the Western Regions. In the Song Dynasty, imperial court music was divided into three types—yayue (elegant music), pipe and drum music, and music played for entertainment at banquets. The Song Dynasty yayue was played at ceremonies and festivals such as sacrificial rites and court audiences, grand feasts such as gatherings at local areas, and banquets to honor those who passed the highest imperial examination. There was a set of strict performing rules covering pitches, scales, ranges, tunes, instruments and performance forms, which could never be violated. The pipe and drum music of the time could also be used as martial music and as part of the music played during court audiences. The music played for entertainment at banquets covered the miscellaneous forms of dramas, songs, dances, instrument performances and baixi. The history of the imperial court music in the Ming and Qing dynasties was similar to that of the preceding dynasties, although, comparatively speaking, the Qing Dynasty attached more importance to court music.

Guqin Music In ancient China, a style of instrumental music that won special favor among the aristocrats and scholar-bureaucrats was the so-called guqin (ancient lute) music. To be able to play the guqin well was regarded as one of the essential attributes of artistic accomplishment for the literati, and offered them a means to express their emotions and ideals.

The Shape, Structure and Playing Techniques of Guqin There is little written evidence of the precise origins of the guqin, also called qin or seven-stringed lute. Nevertheless, several legends relate this musical instrument to Shennong (the legendary god of farming), Fuxi

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(one of the earliest legendary rulers), Yao and Shun (the emperors in ancient China). It is mentioned in a number of ancient classic works, such as The Book of Documents and The Book of Poetry. The original guqin was not unified in shape and string number. According to the records from relevant documents, the guqin popular in the Zhou Dynasty was mostly five stringed. By the time of the Han Dynasty, the string number had increased to seven. In the Three-kingdom Period, guqin with seven strings and thirteen inlaid jade markers gradually became the accepted model, which is till used today. In the process of about two thousand years, the changes mainly focused on its size— the guqin prior to the Tang Dynasty was bigger, in the Song Dynasty it became smaller, and reached its current size in the Ming and Qing dynasties. Generally speaking, a guqin is a hundred and thirty centimeters long by twenty centimeters wide, with a thickness of about five centimeters. A plank of paulownia or China fir is planed into an arc to make its surface. Another plank of harder texture is used for the base. The two planks are glued tightly before the application of a thick coat of lacquer. The instrument has to be played with two hands, the right hand picking and plucking the strings to produce the sounds, and the left hand pressing the strings. The right hand techniques include hacking, pushing, pressing, plucking, ticking, picking, beating and raising. The left hand techniques cover reciting, grabbing, rubbing, pouring, stopping, bumping, advancing and receding. With the nimble use of both hands, the guqin can produce charming melodies in numerous ways.

Vocal Solos Accompanied by Guqin Among the ancient Chinese literati and imperial aristocrats, a number excelled at guqin songs. They would sing along while playing the guqin. This practice can be traced back to the early Qin Dynasty, when the stringed instruments qin and se were regarded as of the same importance. It is recorded in the Analects of Confucius that: “approaching Wucheng City, the master Confucius heard the melody from the stringed instruments together with somebody’s singing.” The Book of Documents also mentions that “both qin and se were played to accompany recitals.” Similar sentences can also be found in The History of Guqin, stating that singing and playing the qin can never be separated. These illustrate that the ancient literati would always sing in the accompany of qin and se. Some of the qin songs were based on folk music, others were the expressions of real life experiences and feelings, the latter being larger in number.

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The Tablature of Guqin The musical scores of guqin were divided into two types in their developing stage. One was the “character tablature” in the Han and Wei dynasties, and the other was the “simplified character tablature” in the Tang and Song dynasties. The extant “Elegant Orchid” in the Mode of Jieshi created by Qiu Ming in the Liang Period of the Southern Dynasty was in character tablature, where all the techniques of string-setting, the sequence to press the strings in playing, the position of marks, the position of fingers of the right and left hands and the essential rhythms were all recorded in Chinese characters. The transition from character tablature to simplified character tablature was realized in the Tang Dynasty. Based on the old character tablature, an outstanding musician in the Tang Dynasty, Cao Rou, created special simplified and abbreviated figures and characters to record notes, fingerings and paces. As recorded in the existing historical documents, during the 1,500 years from the Southern and Northern dynasties to the end of the Qing Dynasty, more than a hundred and fifty tablatures were created and approximately 2,800 musical scores have been preserved to the present day. Excluding the repeated scores and canzonette, there are still about 650 pieces of music left, which constitute a treasure trove of traditional Chinese music.

Religious Music Buddhist Music Buddhist music in China was composed of two major categories—Han ethnic Buddhist music and Tibetan Buddhist music. Han ethnic Buddhist music was widely popular among people on the Central Plains. It can be subdivided, in terms of content and genres, into ritual music (or temple music), and Buddhist folk music (or Buddhist folk tunes). The ritual music was played at various kinds of Buddhist ceremonies, such as cultivating rituals, memorial rituals and salvation rituals. The practice rituals were the routine daily Buddhist assignments at temples. The memorial rituals were for the celebration of the divine birth and nirvana of Buddha Sakyamoni, conversions to the religion, and the ordination of a lay monk. The salvation rituals were practiced

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to bring peace to the dead and to bring about renewal of their souls. This included offering food to the fire-spitting hungry ghosts, and the Buddhist Ulabhama Festival Fair. Rituals like those would combine vocal intoning and instrumental music. The vocal intoning was often referred to as chanting music, covering odes, exhortations, liturgies, hymns and other melodies. The instrumental music varied in accordance with geographical locations. In north China, the music was more often played with piping or percussion instruments like flutes, sheng, cymbals hand-drums, dungs and bellcymbals. Wind and string instruments, such as zither, pipa, san xian and erhu joined in for similar temple activities in the south. As for specific music tunes, what was conventionally played among the laity was also popular for temple rituals under the same or changed names. The three major ingredients of Tibetan Buddhist music were chanting, temple instrument playing and Qiangmu dancing. Chanting here refers to monks’ sutra reciting, the intermezzo during the interlude and the accompanying music throughout the process. The chanting melody had a narrative feature with even rhythms and a narrow sound range. When chanting in chorus, a cantor usually took the lead, accompanied by a band of trombones, long horns, oboe-like cylinders, conch horns, long-handled double-pelt drums, large cymbals and bells. The Qiangmu dancing was a liturgical activity performed by monks at important religious festivals. It was practiced to promulgate a sublime religious tone and to dismiss evil spirits. Buddhist doctrine was adapted into stories as content messages. Performers wearing masks of weird creatures or god guardians and gaudy costumes often put on short plays of the Buddhist stories at qiangmu dancing rituals, accompanied by a band with trombones and large cymbals as leading instruments.

Taoist Music Taoist music was an indispensable element in any Taoist ritual activities, which likewise constituted three parts—cultivating rituals, memorial presenting rituals, fast and offering rituals, each calling for different musical arrangements. The cultivating ritual was the most essential part of daily Taoist practice. The importance of music marked itself clearly in the morning and evening rituals (also referred to as “morning and evening altars” or “morning and evening lessons”).

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The memorial ritual was for the celebration of the divine birth and ascension of the Jade Emperor and the Perfect Warrior High Emperor Zhenwu God, as well as for the Shangyuan Festival. Different canons, vocal melodies and instrumental performances were conducted, depending on the content of the rituals. To celebrate the Jade Emperor’s birthday on the ninth day of the first lunar month, The Original Deeds of the Lofty Jade Emperor would be chanted as a rule, and “Ritual Commencement,” “Invoking the Sages,” “The Hymn on Sanbao” and “The Hymn on Wild Geese” would be played. The third day of the third lunar month, the fifteenth day of the seventh lunar month, and the fifteenth day of the tenth lunar month were observed respectively as Shangyuan (upper) Festival, Zhongyuan (middle) Festival and Xiayuan (lower) Festival. For these occasions, The Triple Origin Canon would be chanted, and the libretti “The Five Offerings,” “The Ode for Yang,” “The Incense for Rebirth” and “The Gorge Incantations” were always played. The fast and offering ritual was for the deceased, the activities of which involved praying for peace for their souls and their release from purgatory. Like that of Buddhism, Taoist music also consisted of vocal and instrumental genres, with the former as the main body. The vocal tune was commonly referred to as yunzi—melodies developed through all the ritual activities. The instrumental music consisted of folk tunes, orthodox tunes and ritual tune devices. When classified according to activities and styles, Taoist music was of two kinds—household and shrine-bound. The household music was used mainly at local fairs for civil Taoist rituals of fasts and offerings. The tunes were given a buoyant and joyous sound, with tangible worldly merriness. The shrine-bound music was restricted to ceremonies and rituals conducted in temples and monasteries. Such pieces were characterized with a serene solemnity and an elegant ease, capable of cultivating an ardent religious atmosphere. The ancient Naxi music in Lijiang of Yunnan Province was a special type of Taoist ritual music. The “Purple Subtle Eight Diagrams,” a wellknown repertoire from the Naxi music, was said to have been composed in twenty-ninth year of the Kaiyuan Period (741) by the Tang Emperor Li Longji, and became a very popular ritual music at that time. The Naxi music we hear today is almost entirely adopted from the ancient scores of poetry, set to music according to the old tablature, though the music was preserved through a mouth to mouth tradition.

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塑 CHAPTER TWENTY TWO

The Art of Sculpture The Mausoleum Sculptures

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Free-style calligraphy of“塑”(su) means “sculpture” in Chinese

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China has a rich sculptural heritage. As early as the Neolithic Age, Chinese pottery sculpture had reached a high artistic level. Likewise, bronze sculpture in the Shang and Zhou dynasties also exhibited superb techniques. Significant achievements were made in the art of sculpture after the Qin and Han dynasties, and today we can still see and appreciate a number of exquisite ancient Chinese sculptures. In the process of their development, Chinese sculptors learned from and absorbed techniques from foreign cultures, such as the craft employed by the ancient Indians in making Buddhist sculptures. A distinct Chinese style was formed by incorporating different foreign trchniques. The bronze and jade sculptures are illustrated in Chapter Five of this book—The Art of Ancient China. The following sections focus on the mausoleum sculptures, the grotto sculptures, and the sculptures in Buddhist temples and Taoist monasteries. The latter two are categorized as religious sculptures. Generally speaking, the mausoleum sculptures mainly include large stone memorial carvings in front of mausoleums, decorative sculptures in the vaults (such as engraved slates and tiles) and the pottery figurines and wooden figurines buried in the graves. Other sculptures, such as the decorations on the architecture, practical artistic engravings and some small ornaments, will not be introduced in detail here.

The Mausoleum Sculptures Emperor Qinshihuang’s Mausoleum and the Terracotta Warriors & Horses In 1974, the famous terra-cotta warriors and horses were excavated from the mausoleum of Qinshihuang, the first emperor of Qin, in Lintong County, Shaanxi Province. This discovery proved groundless the assumption that the Qin Dynasty had made no achievements in sculpture. In fact, a huge number of pottery statues was buried with Emperor Qin in his mausoleum. So far, it appears that there are three burial pits for the terra-cotta warriors. The largest is 230 meters long and 62 meters wide, and contains around six thousand terracotta infantry, archers, cavalry and chariots arranged in battle-line formation. The terracotta warriors and horses are impressive not only as an

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ensemble, but every one of the sculptures is beautifully shaped. Each sculpture is life-size, with the figurines 1.85 meters and the horses 1.6 meters in height. All the carvings are colored (though the pigment has mostly faded, having been buried so long). It seems unlikely that colored pottery sculptures of such size would be found elsewhere in the world. Although most of the soldiers and horses are in standing posture, to give the overall effect Terracotta warriors of an orderly pattern, no two (Qin Dynasty) images are exactly the same. The warrior figurines are ranked into generals, officers and armored warriors. The armored warriors in turn are made up of infantrymen, cavalrymen and charioteers. All the figurines are carved true to life, without any exaggeration or understatement. Because of this realistic authenticity, subtle differences in the age, status, experience and personality of each figurine are revealed. Such delicacy can be seen most clearly in the faces, as well as in the hairdos, eyes, eyebrows, noses, lips, ears and beards. All the figurines are uniquely carved, showing the characteristics of each soldier. The pottery horses, though similar in posture, are of two different types. Those excavated from the first pit are all steeds pulling chariots in battle array, and those from the second are mainly horses with saddles and bridles for riding. Fashioned as though they are neighing, the horses look vigorous and valiant. So vividly molded are the horses that they look real not only in shape, but also in expression and manner. According to preliminary investigations, the warriors and horses were molded and carved by hand, and to produce them in such detail and such number must have required an enormous number of craftsmen. At the beginning of 1980s, a large bronze carriage unearthed from Emperor Qin’s mausoleum is evidence of the consummate sculptural skills and techniques in the Qin Dynasty. The carriage is about one

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third the size of a real one, and the soldiers and horses are of similar appearance to the pottery figurines, but much more delicately carved. The gold, silver, pearls and jade inlaid on the saddle and the colorful appliqué patterns give the entire carriage a magnificent appearance.

Stone Carvings in Front of General Huo Qubing’s Tumulus The best-known sculptural relics of the West Han Dynasty are the stone carvings in front of General Huo Qubing’s tumulus. The tumulus is located in the vicinity of the Maoling Imperial Mausoleum of the Han Emperor Wu in Xingping County, Shannxi Province. Stone statues of horses, cows, tigers, pigs and other animals were built there to accompany the heroic general, who had led the successful expedition against the Huns. There are still a dozen statues in fairly good shape. According to historical records, General Huo was an expert horseman and archer. During the five years from the sixth year of the Yuanshuo Era (123 BC) to the fourth year of the Yuanshuo Era (119 BC) under the reign of Emperor Wu, he led his army to repel the Huns six times. A significant battle was his decisive victory at Hexi in the second year of the Yuanshou Era, which gave the empire a temporary respite from the Hun military threat. This victory was highly esteemed by Emperor Wu. In the sixth year of the Yuanshou Era, the General died of illness at the age of only twenty-four. In memory of his military feat, Emperor Wu decided to bury Huo Qubing in the Maolin Imperial Mausoleum and make his grave a memorial in the shape of the Qilian Mountain, which is strewn with rocks that resemble wild beasts and which was where the Huns pastured their cows and sheep. The statues of animals and grotesque rocks were placed around Huo Qubing’s tumulus to make it appear more like the mountain range where he achieved his first victory. A horse statue in front of the tumulus is considered to be the icon of all the sculptures. The muscular steed holds its head high, looking steadfast. The solider trampled under its hoofs is struggling desperately with a bow and arrow in his hands. This monumental sculpture symbolizes General Huo Qubing’s great feat in conquering the Huns, and is well-known as “The Horse Trampling on the Huns.” A remarkable feature of the stone carvings in front of General Huo Qubing’s tomb is their naturalness of the craftsmanship. Most of the sculptures simply draw on the original shape of the stones, with merely

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a few carvings bringing to life the different animals. A typical example is “The Lying Stone Elephant” carved out of a single block of natural granite. A happy and innocent-looking baby elephant is brought to life with only a few chisel marks. A rock with sharp edges was chosen for “The Wild Stone Boar” carving, which, with its bristles and pelt, conveys a ferocious spirit. Another piece, “The Lying Stone Cow,” is carved so vividly and true to life that it gave a pastoral feel to the scene.

Engraved Slabs and Molded Bricks in the Han Dynasty A special type of mausoleum sculpture in the Han Dynasty is the engraved slabs and molded bricks used as architectural decoration for vaults. What differentiates them from the above sculptures is the raw material used and the way they were made. Instead of being engraved, they are molded. The best known engraved slabs are those excavated from the area around Nanyang, Henan Province, most of which were made in the middle of the East Han Dynasty. The common theme of the engraved pictures is, in most cases, fierce fights between men and wild animals, or between beasts, which display a dynamic beauty of physique and posture. The artistry is bold and vigorous, representing the powerful and robust esthetic taste of the time. Molded bricks include the large hollow bricks used as prefabricated structures for the mausoleums (mainly unearthed from the provinces of Henan and Shaanxi), and the rectangular tiles used to cover the walls of the mausoleums (mostly excavated from the area around Chengdu, Sichuan Province). The patterns and designs on the hollow bricks were made by pressing a copper mold on the clay before it dried, which is why most of the bricks have the same pattern in rows. Others were decorated by using two different molds alternatively to make the pattern. Pavilions, twin towers, drum performances, dancers, carriages, horsemen and archers, fencing, tiger-hunting, white cranes and phoenixes are the common themes of the pictures. Sometimes, the same patterns were pressed repeatedly one after another to produce a scene of lengthy carriage processions or series of lively drum performances, giving a rhythmic, decorative effect. In contrast to the use of engraving, the East Han molded bricks excavated around Chengdu in Sichuan Province often employed the craft in relief. The work “Dancing, Orchestra and Pageantry,” for example, incorporated both the craft in relief and colored drawings, depicting a variety of performances of music-playing, dancing

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“Dancing, Orchestra and Pageantry” molded brick (Eastern Han Dynasty)

and acrobatics, such as ball-throwing, drum-beating and long sleeve dancing. A jubilant atmosphere can be felt from the drawing. Many bricks from Sichuan are also decorated with lively work scenes, such as salt-abstracting, wine-brewing, crop-growing, mulberry-leaf-picking, lotus-collecting, harvesting, fishing, and the like. All have a high esthetic value.

The Ballad-Singing Entertainers Unearthed in Sichuan Province and the Bronze Galloping Horse Unearthed in Gansu Province Han pottery figurines have been excavated in different places. Among them, those unearthed from Sichuan Province are the most vividly sculpted, with the sculptors ingeniously capturing the motions and facial expressions of each individual. Two typical representatives are the Drum-

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beating Storyteller from Chengdu’s Tianhuishan in 1957, and the BalladSinging Entertainer from Pixian County in 1963. The ballad-singer is barefoot, with his sleeves rolled up. He is holding a drum in his left arm and the drumstick in his right hand. His right foot is positioned forward in an animated manner, which goes well with the comic expression on his face. All these reveal the balladsinger’s lively and amusing acting. This is a perfect Drum-beating storyteller illustration of the figural Unearthed from Chengdu’s Tianhuishan expressions created in the (Eastern Han Dynasty) Han Dynasty. In 1969, a large number of bronze figurines and horses was excavated from a mausoleum of the late Eastern Han in Leitai, Wuwei City of Gansu Province. One bronze galloping horse exhibiting a peculiar molding technique is a rare treasure in the history of ancient Chinese sculpture. The horse is racing, with all four hooves in the air, one hoof rests on a flying swallow, the horse’s head is held high as if it is neighing loudly, and its tail flows high. These dynamic gestures combine to produce an impressive heavenly steed, soaring across the sky. The startled swallow looking back at the horse underscores the lightning swiftness of the steed. This masterpiece embodies not only superb workmanship but also the distinctive imagination of the craftsmen in the Eastern Han Dynasty.

The Mausoleum Stone Sculptures in the Southern Dynasty Mausoleum stone sculptures and vault engravings were highly developed in the Wei, Jin, Southern and Northern dynasties. Besides the group sets in front of General Huo Qubing’s tomb, the items preserved in the imperial mausoleums of the Southern Dynasties also illustrate this style.

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Bronze Galloping Horse unearthed from Gansu’s Wuwei city (Eastern Han Dynasty)

All the imperial and aristocratic mausoleums in the Southern Dynasties were located around Nanjing and Danyang—eighteen mausoleums were found in Nanjing and twelve in Danyang. The statues there have the honorable status of “auspicious animals,” by taking the rough shapes of lions, tigers and other beasts, and by the use of exaggerated carving to transform them into imagined animals. Most of the statues in front of the imperial mausoleums were kylin, a mythical animal with shining scales, and the statues for the aristocratic graves were bixie, a mythical guardian creature which wards off evil spirits. Such auspicious animals were placed at the imperial graves was to avert evil and protect the mausoleums. The well-preserved representatives of this type of statue include the extant kylin in the Mausoleum of Emperor Jingdi (Xiao Daosheng) of the Qi Dynasty. In the shape of a lion, the sculpture has two horns on its head and a pair of wings in the front of its body. Its notably elongated body with a protruding chest is twisted forward into an “S.” The wide-

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Auspicious animal “Kylin” in the Mausoleum of Emperor Jin (Qi Dynasty)

goggling eyes and flicking tongue intensify the majestic look of the stone beast.

The Mausoleum Stone Sculptures of the Tang Dynasty The art of mausoleum sculpture reached its peak in the Tang Dynasty. There were eighteen imperial mausoleums in the Tang Dynasty, located not far from each other around the regions of Weibei and Guanzhong, these mausoleums were surrounded by a great many stone sculptures which made a spectacular show. As well as the sculptures, other architectural features made the Tang imperial mausoleums magnificent—there were soul towers, sacrificial halls, and west and east pavilions in front of the tombs, which were

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surrounded by a square partition with a tower at each corner. On the four sides of the partition there were four entrances, named respectively Green Dragon on the east, White Tiger on the west, Red Swallow on the south and Black Tortoise on the north, each with an arched gateway, twin watch towers and a pair of stone lions. Apart from the stone lions, there were three pairs of stone horses in front of the north entrance. Outside the south entrance, there was a long sacred passage (a road for imperial carriages) stretching up to about seven or eight miles. Awardciting steles, stone figures, horses, ostriches, winged horses, ornamental columns and twin watch towers lined both sides of the passage to the south for about two or three miles to the very gate of the mausoleum, on both sides of which were erected the magnificent architectural complexes of satellite palaces.

Six Steeds at the Zhaoling Mausoleum The Zhaoling Mausoleum for the first Tang Emperor Taizong (Li Shimin) was the first mausoleum constructed upon a hill. Among the remaining sculptural relics, the Six Steeds are perhaps the most famous pieces. The Six Steeds refer to six steeds and glorious military feats in Emperor Taizong’s wars to establish statehood. Their legendary names were Saluzi (Purpose Wind), Quanmaogua (Curly Hair), Telebiao (Muscular White), Baitiniao (White Hoof Bird), Shifachi (Red Conqueror) and Qingzhui (Black Dapple Hair). As a memorial to the six steeds, Li Shimin assigned Yan Liben, a famous palace painter, to make drawings of each of them and to select the most skillful craftsmen to carve the horses in stone reliefs only slightly smaller than reality. On the top right corner of each relief was engraved a eulogy composed by the emperor himself and written by the famous calligrapher Ouyang Xun. After the death of Li Shimin, the six horses were placed as his attendants in the chambers by the west and east sides inside the north entrance of the mausoleum. The steeds were carved true-to-life. Their well-built bodies and composed air bring life to these steeds. They deserve the honor of being representatives of the early Tang sculptures. Taking the drawing of Saluzi as an example, it depicts General Qiu Xing-gong pulling out an arrow from the steed. The sculptor has reproduced the panic of the steed as it flinches backward in pain and fear. It is a great shame that the six steeds have been stolen or damaged by foreign antique smugglers. Saluzi and Quanmaogua, the best two

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horses, were smuggled abroad and are at present exhibited in Pennsylvania Museum in Philadelphia in the U.S.. The other four horses were rescued as they were smuggled out. They are now preserved in the Shaanxi Provincial Museum, although the smugglers had already broken the steeds into smaller pieces for convenient transportation and irretrievably damaged the precious statues.

The Giant Stone Lions in the Shunling Mausoleum The Shunling Mausoleum at Biyuan on the northeast of Xianyang was constructed for Empress Wu Zetian’s mother, Madam Yang. In front of each of the three entrances of the Shunling Mausoleum— the East Gate, the West Gate and the North Gate, there is a pair of squatting lions. The pair by the West Gate are the bulkiest stone lions among all Chinese sculptures, about three meters in height. The artisans exaggerated the lions’ forelegs and claws, and their chests with big muscles, to convey thickness and power. To intensify the effect, the mouth of each lion is a wide open roar. All these characteristics portray an ostentatiously awesome beast. In front of the South Gate are two lions walking, both holding their heads high and expanding their chest muscles. Their mouths are carved wide, as if in a loud roar, and their eyes are wide, as though staring into the distance. By exaggerating the features of the head, chest and legs, the artisans skilfully exhibit the lions’ boundless energy. Justly defined as the cream of the art form, these lion statues are regarded as classics of China’s ancient mausoleum sculptures. What impresses a visitor most is the spirit rather than the physical size of the lions. This esthetic splendor can also be perceived in other artistic forms in the early Tang Dynasty, such as the calligraphic works by Yan Zhenqing. These artistic achievements offer the world a glimpse of the Tang Empire in its prime, which in turn represents the enthusiasm and vitality of the Chinese nation.

The Stone Sculptures in the Qianling Mausoleum The representative imperial mausoleum of the Tang Dynasty is the Qianling Mausoleum shared by Emperor Gaozong (Li Zhi) and Empress Wu Zetian. The layout of its grounds duplicates the capital city, Chang’an, with its broad landscapes and magnificent layout displaying the prosperity of the early Tang Empire.

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The Giant Stone Lion in the Shunling Mausoleum (Tang Dynasty)

At each of the four entrances of the square wall there sits a pair of squatting lions. In front of the Red Swallow entrance, stand the stone stele of the Holy Deeds of Emperor and the Wordless Tablet of Wu Zetian. Lining both sides of the sacred passage is a spectacular array of stone sculptures, which include a pair of squatting lions, sixty-one ethnic minority officials in exotic costumes, ten pairs of civil and military

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guardians, a pair of winged horses, a pair of ostriches, five pairs of horses and a pair of ornamental columns. Each of the sculptures is spirited and has special artistic value. But the overall esthetic beauty lies not as much in the exquisiteness of individual items as in the whole array as an overwhelming panoply. Merging harmoniously with the lofty mountains, the sculptures have a sense of heavenly greatness being fused into the earthly beings. Together, they symbolize the Tang Empire’s open embrace of the outside world. Visitors experience a strong sense of nostalgia when viewing the vista, especially at dawn and dusk, when a forlorn feeling imbues every inch of the mausoleum.

The Tri-Colors of the Tang Dynasty The pottery ware and figurines of the Tang Dynasty were often glazed with bright yellow, green and blue colors. Such glazed pottery is generally referred to as Tangsancai, meaning the “Tri-colors” of the Tang Dynasty, or simply the Tang Tri-colors. An outstanding representative of the use of the three colors is the Camel Carrying Musicians, excavated from a Tang mausoleum in Zhongbao Village in the western suburb of Xi’an in 1959. The sturdy camel holds its head high, bleating with its mouth open wide. On its back is a colorfully decorated round rug underlaying a rack, which in turn is covered with a rectangular tartan rug. A joyful scene is created with as many as seven figurines on the camel, a girl singing and dancing in the middle, surrounded by six male musicians sitting cross-legged and playing a sheng (a reed pipe wind instrument), xiao (a vertical bamboo flute), pipa (a plucked string instrument with a fretted fingerboard), harp, clappers and panpipes. The perfect design, harmonious proportion and lively expressions of the figures and the camel, as well as the brilliant coloring, all give this artistic work a Tri-colors figurines of court lady special charm. (Tang Dynasty)

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Camel Carrying Musicians (Tang Dynasty)

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Among the excavated Tang Tri-colors, there are numerous figurines of court ladies. Posing gracefully with gentle smiles and contented looks, they reveal a heartfelt cheerfulness, which illustrates the style of the great Tang Empire.

The Grotto Sculptures With the advent of Buddhism, the carving of Buddhist statues became increasingly popular in China, with the majority taking the form of grotto sculptures. The grottos in Yungang, Longmen, Dunhuang Mogao, Maijishan and Dazu contain the best known grotto sculptures.

The Yungang Grottos According to the texts, the practice of sculpting Buddhist statues was introduced into China gradually from the late Eastern Han Dynasty to the Western Jin Dynasty, though very few relics of these periods have been discovered. During the Sixteen-state Period of the Northern Dynasties (386–581), the carving of Buddhist sculptures developed rapidly, and many works of that time have been well preserved. The carving techniques then were obviously influenced by the Gandhara style of ancient India. India having once been under the sovereignty of Alexander the Great of Macedonia, Gandhara art was influenced by the late Hellenistic sculpture style. The chief features of the Gandhara style are the close-fitting, flimsy dresses which outline the human figure, and the serried pleats on the dress. The Yungang Grottos contain typical Buddhist sculptures of northern China during that period. Located in the west suburbs of Datong in Shanxi Province, the Yungang Grottos stretch about one kilometer from east to west. More than fifty grottos, big and small, were indentified and assigned in numbers, while unnumbered ones amount to a thousand with about fifty thousand statues. The excavations at the Yungang Grottos are roughly divided into the early, middle and late phases. The five grottos numbering sixteen to twenty (also known as Tanyao Five Grottos) belong to the early works dating back to the mid-fifth century. Most of them have U-shaped ceilings, with a huge statue of Buddha at the rear center of the grotto and two smaller figures of Buddha standing on each side. The Trinity

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Grotto Six of Yungang Grottos (Northern Wei Dynasty)

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Buddhas of varied sizes are known as the Buddhas of Three Eras, meaning the present Sakyamuni, the past Prabhutaratna and the future Maitreya. Since the present Sakyamuni is the principal, the image is extremely large. Apart from the Trinity Buddhas, there are many smaller statues and figures from Buddhist tales on the walls of the grottos. The influence of the Gandhara style can be perceived clearly in the early Buddhist statues in the Yungang Grottos. For example, the statues are all dressed in Indian style robes, flimsy and skin-tight, with serried pleats and the upper right shoulder exposed, though the faces of these sculptures have been given Chinese features. The Grottos’ early Buddhist statues have elliptic faces, broad foreheads, prominent noses, long eyebrows and plump cheeks. These facial traits, together with their wellbuilt figures and dignified and kind expressions, depict the looks and manners of China’s northern nomadic people. The middle phase of the Yungang Grottos refers to the time between Emperor Wencheng’s death to the eighteenth year of the Taihe of Emperor Xiaowen (494), when the capital was moved to Luoyang. The construction of the Yungang Grottos’ sculptures reached its peak during this period. The late phase, after the capital moved to Luoyang, has yielded only a few small grottos. The most impressive Buddha image in the middle phase is the one in Grotto Twenty. Because of the collapse of the enclosure, this image was exposed to the air and became a Buddha “in the open,” whose divine charm can be felt through the gigantic stature, serene manner, limpid eyes and broad chest.

The Longmen Grottos Having incorporated the style of Buddhist sculpture, traditional Chinese sculptural art developed a style with strong Chinese national characteristics. The close-fitting dresses became loose and the figures were more Chinese-like. This stylistic adaptation is noticeably obvious in the grotto sculptures of Yungang, Dunhuang, Maijishan, Bingling Temple and Longmen, the last of which in particular underpinned the Buddhist sculptural style of the late Northern Wei Dynasty. Located at the Longmen Mountain and the East Mountain along the Yishui riverbanks about fifteen kilometers south of Luoyang in Henan, the Longmen Grottos are also known as Yishui Watch Tower, since the river runs right through the gorge between the two mountains.

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Fengxian Temple of Longmen Grottos (Tang Dynasty)

The Longmen Grottos are even larger both in size and in number of statues than the Yungang Grottos. Statistics reveal that there are more than two thousand grottos and niches housing over ten thousand statues of different sizes, as well as large numbers of epigraphs and stele inscriptions. Compared with the Yungang Grottos, the history of the Longmen Grottos is more complicated, as they were under continuous construction in each dynasty from the moving of capital to Luoyang under Emperor Xiaowen’s reign in the Northern Wei Dynasty (494) to the Tang Dynasty. In terms of number, about thirty percent of the extant grottos and niches belong to the Northern Dynasties. Due to the special flinty and fine texture of the limestone of the Longmen Mountain and the well-developed craftsmanship and experience gained from the engraving practices of the early Northern Dynasties, the statues in the Longmen Grottos are even more exquisite than those of the Yungang Grottos. Greatly influenced by the art of the Southern Dynasties, the figures of Buddha underwent a transformation from the former rough and forceful mode to a more comely and delicate mode. Such a sculptural style is typified by the slim stature, narrow and sloping shoulders, delicate face and loose clothes of the statues, all of which mirror the elegant demeanour of the Wei and Jin scholars. The most famous of the Yungang Grottos is the Fengxian Temple, constructed under the command of the Tang Emperor Gaozong (Li Zhi)

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and his Empress Wu Zetian and completed in the second year of Shangyuan Era (675). The colossal statues in the temple are believed to be the largest in scale, and are commonly referred to as the Nine Niches. The nine Buddhist statues are sculpted on a cliff thirty-six meters in width from south to north and forty meters in height. The main image is the Grand Vairocana Buddha with the Kasyapa Buddha and the Ananda Buddha on each side, and with Manjusri and Samantabhadra further outwards. Along the left wall, there are Vaisravana and Vajras; along the right wall, are Virudhaka and Vajras. The Grand Vairocana Buddha is believed to be the enshrined Sakyamuni, meaning “pure and perfect.” This gigantic statue sitting cross-legged on the pedestal is 17.14 meters in height. The fine chiseling of the head of the statue is unsurpassed. With a round hair-bun, plump cheeks on a round face, eyes looking ahead and eyelids drooping and the corners of the mouth slightly raised, the Buddha fuses the innocence of a virgin and tenderness of a mother, offering a wonderful combination of graceful charm, liberal humanity, grand dignity and sagacious kindness. In praise of both eternity and vitality, the sculptures in the Tang Dynasty manifest a realm of heavenly peacefulness and solemnity, free from any worldly cares.

The Maijishan Grottos The Maijishan Grottos are scattered among the mountains about forty kilometers southeast of Tianshui City in Gansu Province, and are named after the haystack-like shape of the peaks. The project was inaugurated in the Late Qin State of the Sixteen-states in the Eastern Jin and lasted from 384 to 417, with most of the work completed during the Northern Dynasties. The yielding texture of the rocks in that region made it impossible for the artisans to carve, so they switched to painted clay sculptures. The same is true for most grotto sculptures around the areas in Dunhuang and Xinjiang. The colored clay figurines with drawings on the back wall turned out to possess a glittering artistic effect. Grotto Forty-four is representative of such sculptures of the Maijishan Grottos in the Northern Dynasties. The Buddha statue sitting in the lotus seat is modeled exquisitely, wearing a towering, flower-like hair bun. The plumpish face is chiselled with special care, and the lower hem of the loose monastic robe is decorated profusely, contrasting sharply with the simple treatment of the upper part.

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The Mogao Grottos in Dunhuang Dunhuang is in the west of Gansu Province, bordering the Xinjiang Autonomous Region. The Mogao Grottos are sited twenty-five kilometers to the southeast of Dunhuang county, a fairyland-like oasis emerging unexpectedly from the vast desert, with shady trees and streams purling from the hills. The grottos were constructed against the west side of the valley cliff between the Sanwei Mountain and the Mingsha Mountain. So far, some 492 grottos with murals and statues have been preserved, with murals covering over 45,000 square meters and up to 2,100 painted clay figurines. According to the Tang records of The Reconstruction of Niche Steles for Mogao Grottos, early in the second year of the Jianyuan Era under the reign of King Fujian of the early Qin State in the Sixteenstates Period (366), Monk Lezun began the carving of the grotto statues. The construction proceeded continually from the Sui and Tang dynasties to the Yuan Dynasty, authenticating that China’s modeling techniques developed over approximately ten centuries. Among them, the works of the Tang Dynasty are the most numerous and of the highest quality. Different from the comely and delicate style of the Northern and Southern Dynasties, the Tang statues show an esthetic taste for a full and well-developed image, such as the two attendant Bodhisattvas built in the peak of the Tang Dynasty in Grotto Seventy-nine. One seated and the other standing, the two statues are both typical examples of the “curving eyebrows and plumpish elegance of the Tang Dynasty.” Their chubby bodies, bare breasts and feet have an elegant poise. The overall illustration of the work is typically Chinese, except for the still perceivable trace of Indian influence in their dress. These statues are considered excellent artistic works in Chinese Buddhist sculptures. The painted clay figurines of the Tang Dynasty show the great attention that was paid to the depiction of their characters. The statues of Kasyapa Buddha and Ananda Buddha are a case in point. Ananda Buddha, one of the Ten Great Disciples of Sakyamuni, is the foremost in intelligence and memory, and is thus known as “the most learned.” As a royal family member, Ananda appears buoyant and naive. As a disciple of Sakyamuni, he looks shy and timid. Without a developed opinion of his own and still influenced by worldly concerns, he is chided by Kasyapa for not yet being free from the bonds of a layman’s worldliness.

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His statue in Grotto Forty-five depicts in detail these features of his personality. Leaning on one side with two hands casually folded in front of his abdomen, Ananda appears to chuckle good-naturedly, almost as if he were alive. In contrast to Ananda is the figurine of Kasyapa, the first of the Ten Great Disciples. So rigidly did he obey the ascetic practices regulated by the religious discipline that he was titled the First Patriarch. As the first follower, Kasyapa was esteemed by Sakyamuni, though others considered him rather headstrong and conceited. The The Bodhisattvas in the Mogao Grottos figurine of Kasyapa in Grotto (Tang Dynasty) Forty prominently portrays his upright and solemn posture with his brows tightly knit on an uncompromising face. With his scrawny chest and down-turned mouth, the image of a stern and forbidding ascetic is brought to life.

The Dazu Grottos Constructing Buddhist Grottos against cliffs remained a popular practice in the Song Dynasty, resulting in the most famous works along Buddha Bay on the Beishan Mountain and the Great Buddha Bay Baoding Mountain in Dazu County, Sichuan Province. The grottoes and niches on the Beishan Mountain number 262 pieces, with Avalokitesvara Gazing at the Reflection of the Moon in Niche 113, Avalokitesvara with a Rosary in Niche 125 and Cart of Mental Divinity in Niche 136 credited as possessing the highest esthetic value. The Bodhisattva Avalokitesvara (commonly called Guanyin) in Niche 125 ties a long skirt from her chest, leaving her bust half nude. She is counting the beads in her right hand, raising her right wrist gently

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Scene of Hell (freezing in the ice), Niche Twenty of the Dazu Grottos (Southern Song Dynasty)

in her left hand. The smile on her face, though blurred by weathering, is still perceivable now, exhibiting the Bodhisattva wisdom and beauty in full. In Niche 136 (Cart of Mental Divinity) are housed the statues of Sakyamuni, Mamiusri, Smamntabhadra, Seal-holding Bodhisattva Avalokitesvara, Beads-holding Bodhisattva, Musical instrument-holding Six-hands Bodhisattva Avalokitesvara, Rosary-counting Bodhisattva Avalokitesvara, Kasyapa, Ananda, Vajras and other venerable figures. Among them, the statues of Mamiusri, Smamntabhadra and the Rosarycounting Bodhisattva Avalokitesvara perfectly convey a sublime graceful charm, and are the acme of sculptural craftsmanship. In the Great Buddha Bay on the Baoding Mountain, the largest group of Esoteric Buddhist statues is located. They were carved along the valley cliffs 280 meters long and about fifteen meters in width and finished in seventy years in accordance with a general plan. The statues

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were carved to preach the dharma power of Esoteric Buddhism, karma and the means of practicing asceticism. Many of the works are of high artistic value. For example, The Scripture on Parental Kindness in Niche Fifteen depicts touching scenes of a mother helping a baby make water and washing its dirty clothes and diapers. A Scene of Hell in Niche Twenty displays sins and vices, such as alcoholic abuse and murder in earthly life and the corresponding punishments in hell, ranging from climbing the blade mountain, wading in boiling water, freezing in ice, to passing through the forest of swords. Many of them reflect real life and impress spectators with their authenticity.

The Sculptures in Buddhist Temples and Taoist Monasteries Apart from the grotto sculptures, a number of statues of Buddha, Bodhisattva and Arhats were also constructed in temples, many of which became valuable works of art. Temple-construction was a prevalent practice in the Tang Dynasty, and the skills and techniques in carving stautes for the temples constantly improved. Though a number of the products have been destroyed or lost, a general picture of the temple sculptures is still perceivable from the remaining few pieces. The east hall of the Foguang Temple at Wutai Mountain in Shaanxi is a timber-framed structure built in the Tang Dynasty. There are thirtyfive Buddha statues, every one of which bears obvious trace of the Tang style. Two life-sized figures among them are skilfully and realistically duplicated. One of them is the image of Monk Yuancheng, who took charge of the reconstruction of the Foguang Temple in the eleventh year of the Dazhong Era in the Tang Dynasty (857); the other is the image of a female patron, Ning Gongyu, who donated money for the building of the hall. In the Nanchan Temple, which was built in the third year of the Jianzhong Era (782), there are seven Buddha statues highly appreciated as gems of Tang art. In 1959, a statue of a standing Bodhisattva from the height of the Tang Dynasty was excavated near the railway station of Xi’an. Although the head, right arm, left forearm and the part under the knees have all been damaged, its charming stance can still be appreciated. The curvy

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S-shaped figure with velvety skin clothed in a graceful robe portrays a distinctive female beauty. As in the previous dynasties, temple sculptures also abounded in the Song Dynasty. A special example is the bronze-cast clay statue of Bodhisattva Avalokitesvara in the Hall of Great Mercy in the Longxing Temple in Zhengding. With a height of twenty-two meters, this eyecatching work was assembled after being cast in seven parts, combining the high production standards, well-developed metallurgy, casting and sculptural techniques of that time. Another example is the 7.4-meter bronze statue of Samantabhadra at the Wannian Temple on the Emei Mountain. With its serene countenance, its eyelids slightly drooping, the statue seems to be imbued with a profound spirituality. Arhat statues are a feature of Song Temple sculptures. It is recorded that more than ten temples containing Arhat sculptures were built in the Song Dynasty. Among them, the five hundred wooden Arhat statues in the Nanhua Temple, eighteen Arhat statues in Baosheng Temple and the clay statues of Arhats in the Lingyan Temple are the best known. Such a form of religious art was still popular after the Song Dynasty, as can be seen from the distinguished eighteen Ming Arhat statues in the Shuanglin Temple and the five hundred Qing Arhat statues in the Qiongzhu Temple. There are outstanding Taoist sculptures from various dynasties in China. For Standing Bodhisattva (Tang Dynasty) example, the great attainments

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of the Jin Dynasty were reflected in the sculptures in the Goddess Hall and the Nanlao Water Goddess Pavilion in Taiyuan, Shanxi Province.

The Five Hundred Wooden Arhat Statues in the Nanhua Temple The Nanhua Temple in Qujiang, Guangdong Province is the birthplace of Zen (the southern sect); and Huineng, the sixth Patriarch of Zen, was once in charge of it. His lacquer-coated mummy from the Tang Dynasty is still kept in this temple. There were originally five hundred wooden Arhat statues from the Northern Song Dynasty, and 360 of them have been preserved. All the Arhats statues are carved from whole blocks of wood, which explains the overall column-shaped modeling of the statues, their clothes clinging tight without many folds. The carving is done in a bold and precise style, vividly portraying the respective mental state of each Arhat.

The Eighteen Arhat Statues in the Baosheng Temple Legend has it that the eighteen Arhat statues in the Baosheng Temple at Luzhi in Wuxian County, Jiangsu Province were made by Yang Huizhi in the Tang Dynasty. However, they were in fact sculpted in the Song Dynasty; only nine have been preserved. One statue is known as the Dragon-Subduing Arhat; another statue in deep meditation, with its eyes closed, is named Dharma. Still another statue, somewhat damaged, is known as the Scripture-preaching Arhat. All these statues manifest an internal mental force. The Arhat statues in the Baosheng Temple have the mural bassorelievo background of a deep and serene mountain forest. According to the records, this art form of mural basso-relievo was created by a famous Tang sculptor, Yang Huizhi, and was further developed by a Song painter, Guo Xi.

The Clay Arhat Statues in the Lingyan Temple Located in Changqing County in Shandong Province, the Lingyan Temple houses forty Arhat statues, twenty-seven of which are recognized as works from the Northern Song Dynasty. The twenty-seven statues are a little larger than the average man, bare-headed in most cases and wearing white-bottomed black-covered shoes, with the shoe tips pointing upward. They have varied looks and postures—some stand in samadhi,

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The Arhat statue in the Lingyan Temple (Northern Song Dynasty)

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some are deep in meditation, some are engaged in preaching scriptures and some are in heated debate. One meditative Arhat, for example, is depicted so vividly that his contemplation is conveyed in subtle details—his brows are slightly knitted, a few blood vessels stand out in his forehead, and he appears to be rubbing together three fingers of his right hand. A statue depicting a young Arhat, who is pulling a thread through a needle is another lifelike work of genius.

The Eighteen Arhat Statues in the Shuanglin Temple The Shuanglin Temple in Pingyao County, Shanxi Province, was built in the second year of the Wuping Era (571) in the Northern Qi Dynasty and was reconstructed several times during the Ming Dynasty. Now some 2,056 painted figurines, Ming products in most case, are preserved in the temple. The eighteen statues in the Arhats Hall have bright facial expressions that mirror their noble and kind nature. In terms of the artistic style of these statues, their garments resembled the Tang painter Cao Jiaxiang’s style of painting “closely-fitted shirts but loose robes with very wide sleeves.” This group of sculptures has been highly appreciated throughout history.

The Five Hundred Arhat Statues in the Qingzhu Temple The five hundred Arhat statues in the Qingzhu Temple in Kunming in Yunnan Province were carved during the period from the ninth to the sixteenth year during the reign of the Qing Emperor Guangxu (1883–1890) by a Sichuan lay Buddhist Li Guangxiu and his five disciples. Before starting the sculpting he designed a detailed draft for each statue. Due to his rich life experience, his Arhat statues are diverse in posture and expression; they are models of common people from all walks of life. The five hundred statues are regarded as masterpieces of secular images.

The Goddess Mother Hall and the Nanlao Water Goddess Pavilion in the Jinci Temple The Jinci Temple in Taiyuan Shanxi Province was built in the first year of the Yuansheng Era (1023) in the Northern Song Dynasty and reconstructed in the first year of the Congning Era (1102). The main statue of Goddess Mother Yijiang (daughter of Jiang Taigong in the Kingdom of Qi) is placed at the central niche of the hall, with forty-two maidservants for

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the Goddess Mother standing in two rows on both sides. Five of them are disguised as eunuchs in men’s costumes, four are female officials, and the other thirtythree are court maidservants. These maidservants hold all kinds of items of daily use, for catering to and dressing the Goddess and cleaning the chambers. The differences in age, figures, stances and manners are depicted exquisitely. Special attention is given to their facial expressions to reveal their subtle and complicated inner feelings. Statue of Maidservant for the Goddess Mother Some of the maids seem to be (Northern Song Dynasty) smiling if viewed from sides, while they betray their worry and distress if they are viewed from the front. The sculptors of the Song Dynasty produced an artful group of maids, leaving us a work of talent and eternal charm. The sculptures in the water goddess pavilion in the Jinci Temple are works of the Ming Dynasty. In the middle of the niche stand the statue of the water goddess, with six maidservants on both sides. These pretty and graceful maidservant statues look slightly flat in shape, with their clothes flowing as if they are stepping forward. Viewed from the back, they look like carp leaping in the water. The carving is so beautiful that the maids are locally known as mermaids. In fact, the sculptors may have deliberately carved these figurines in the shape of mermaids to give them with a fairytale feel, a wonderful esthetic concept in itself.

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體 CHAPTER TWENTY THREE

The Art of Calligraphy Chinese Calligraphy—A Unique Form of Art

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Calligraphy in the Ming and Qing Dynasties

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Free-style calligraphy of“體”(ti) means “style of calligraphy” in Chinese

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Being one of the most distinctive forms of Chinese art, calligraphy is an exceedingly important component of the Chinese culture. Throughout a history of almost four thosand years, numerous outstanding calligraphers have produced precious calligraphic works.

Chinese Calligraphy—A Unique Form of Art The Artistic Features of Calligraphy Calligraphy (called shufa in Chinese), can be understood literally as the methods, principles and regular patterns of character writing, with a general focus on the practical aspects of correctness, clarity and neatness for the convenience of reading. However, as a unique artistic form of traditional Chinese culture, the meaning of calligraphy extends far beyond the rules for hand-writing. Instead, it stresses esthetic appreciation, requiring the quintessence of beauty. In addition, one’s esthetic inclination, personal disposition and even heart and soul are involved. That is why Liu Xizai (a scholar in the Qing Dynasty) wrote in his The Outline of Art: A Survey of Calligraphy that calligraphy is the learning of the mind, and that it has many analogies: “Your calligraphy reflects your knowledge, your talents and your ambition. In a word, your calligraphy is but you yourself.”

The Two Prerequisites for Calligraphy to Become an Art As a unique art, Chinese calligraphy has much to do with the formal and structural characteristics of Chinese characters and their writing tools. Chinese characters can assemble different strokes in such a rich and variable way that they are capable of producing countless forms and structures. This is extremely rare in the writing systems of various nationalities the world over. Originating from ancient pictographs, Chinese characters still preserve certain pictographic, symbolic and ideographic features, instead of having evolved totally into simple phonographic symbols like the writing systems of many other nationalities. Although they have undergone a great many changes, some of the features are still retained to some extent. Such a characteristic constitutes the foundation of Chinese calligraphy as a form of art. The tools for character writing are “the four treasures in the study”—writing brush, ink-stick, ink-slab and paper. The writing brush

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made of animal hair is soft, flexible, and it absorbs Chinese ink. Such qualities enable its user to produce different effects of ink shades ranging from thick to thin. Proper manipulation of such writing tools makes the already varied and complex writing of Chinese characters even more colorful and dynamic, expressing wit and humor. As Cai Yong, a calligrapher in the late Han Dynasty, said: “It is the softness of the writing brush that works wonders.” Obviously, the tools serve as the other requisite for calligraphy to become a form of art.

The Three Basic Elements of Calligraphic Works The production of calligraphic work embodies basic elements correlated with each other—the manipulation of the writing brush (including the use of ink), the construction of the characters, and the overall arrangement of the text (including the autograph and the use of seals). The first element is the manipulation of the writing brush, or “the brush technique.” Calligraphy is the art of assembling lines and strokes, which are the essential components for creating calligraphic images. Therefore, the quality of each line and stroke is in itself the foremost concern, the very point from which calligraphy is different from ordinary handwriting and the key to its potential esthetic appeal. Calligraphers throughout the ages have attached particular importance to this quality, ensuring every dot and stroke has the appropriate weight and strength to give a sense of substance and rhythm. Wei Shuo of the Jin Dynasty illustrated the point with the analogies: a dot should be like “a stone falling from a lofty cliff;” a horizontal stroke should be like “clouds scudding from afar;” a vertical stroke should be “a seasoned cane of longevity.” In order to write dots and strokes with such quality, a set of rules for how to manipulate the brush is called for. This includes writing with the center tip of the brush, namely, trying to hold the brush stick perpendicular to the paper. Cai Yong of the Han Dynasty said, “Always keep the central brush tip to the center of the dot and the stroke.” In this way, the ink can be concentrated to increase the thickness of the strokes. In writing the characters, the calligrapher should know well the subtle changes in curving or pressing the brush in order to write with a sense of flexibility and rhythm, thus demonstrating the writer’s personality and taste. Shen Yinmo, a modern calligrapher, once pointed out: “The proper handling of the writing brush can reveal the temperament of the

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calligrapher and therefore make the dots and strokes meaningful.” In addition, the manipulation of the brush in the process of writing should be firm and slow, or stop at some points when appropriate, as if the paper were resistant. Liu Xizai of the Qing Dynasty further elaborated the point: “There seems to be an adverse force and you have to fight against it.” In addition, the amount of ink absorbed in the brush and the thickness of the ink can also allow the strokes to produce different esthetic effects. The second element is the structure of the character, which means the correlation between the strokes in a character. Although the varieties of writing styles make it impossible for calligraphers to apply a unified criterion, certain esthetic rules still work; that is, special concern should be paid to the overall structure of the character, such as the relations between the major and the minor, the supporting and the opposing, the concessive and the corresponding. This principle guides the length, width, angles and inclination of certain strokes and decides the size, breadth, height, direction and spacing of the construction of each character. Calligraphers over the centuries have established special tips on character writing in traditional calligraphic books, such as “the Thirty-six Techniques,” “the Eighty-nine Techniques” and “the Ninetytwo Techniques,” with the single purpose of making the characters well balanced and harmonious in construction, neither spacious nor cramped, neither plain nor strange. The third element relates to the overall arrangement of the text, buju or bubai in Chinese, which underscores the beauty of all the characters in a joint layout. Actually, this refers to the extension from the construction of each single character to a text comprising many characters, and eventually to the whole work of art. (In modern times, though, there are some calligraphic works made up of only a few characters or even a single character.) To guarantee the overall effect, the calligrapher needs to “conceive before writing” (saying of Wang Xizhi, a famous calligrapher of the Jin Dynasty) . To conceive a clear picture in the mind before starting to write requires picturing the space between characters, the amount of strength to be assumed and the subtle modification of ink shades. Other elements to be taken into consideration are the density between the lines, the artistic asymmetry and picturesque disorder. In addition, special attention should go to the balancing between “black and white,” that is, the blank part and the place painted in ink. Xiaoyan, Emperor Wu of Liang in the Southern Dynasties, summarized this

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perception as “to create wonder beyond the characters.” Deng Shiru of the Qing Dynasty vividly illustrated the same idea: “to make the blank space in the characters or paintings spacious enough to run a horse, and the painted place tight enough to block the wind. As a result, the white and black parts could work out collaboratively an unusual charm.” In addition, the overall arrangement also includes the author’s autograph outside the main body and the use of seals. Properly selected position and style of the scripts should be in harmony with and complement the main body to achieve an integrated esthetic effect and artistic style. If the success of brush handling in calligraphy comes from constant practice, the assembling of strokes or the construction of each character, and the whole arrangement of a calligraphic work in particular, depend more on the calligrapher’s artistic talent and personal temperament, and embody his esthetic understanding and feel. Behind such aptitude and insight are the calligrapher’s life experience and internalized knowledge, which are referred to as “the capability beyond the calligraphic skills.” Chinese calligraphy dates back to the earliest days of history, but its establishment in its real sense and its development to perfection dates approximately to the period from the Qin and Han dynasties to the Sui and Tang dynasties. Calligraphy was categorized into five styles in terms of form and structure—seal script, clerical script, regular script, running (semi-cursive) script and cursive script. The following is a brief introduction to the history of Chinese calligraphy and some renowned calligraphers, as well as their representative works, in chronological sequence.

Calligraphy before the Qin Dynasty Oracle-bone Inscriptions Oracle-bone inscriptions, also called qiwen (engraved scripts), buci (divinatory scripts), “tortoise-shell scripts” and “scripts from the Yin relics Yinxu,” were scripts engraved on tortoise shells and animal bones in the Yin and Shang dynasties. During the Shang and Zhou dynasties, witchcraft activities such as practicing divination were prevalent, especially among the people of Zhou. They resorted to augury for almost everything, big or small, to seek advice from their ancestors and divinities for solutions to their problems. The sorcerers usually engraved their predictions on tortoise shells and animal bones, thus the oracle-

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bone inscriptions. Such inscriptions laid the foundation for Chinese calligraphy in the three aspects of character construction, overall arrangement and manipulation of the writing brush. Seen from the first perspective, oracle-bone inscriptions were square-shaped characters of simple dots and strokes. They had grown out of the primitive drawing writing, while different from the horizontally expanded alphabetic writings in linearity. The symmetrically balanced and square-shaped structure running from up to down, from left to right and from inside to outside has remained the basic form of Chinese characters for thousands of years. From the point of view of the overall arrangement of the text, oracle-bone inscriptions had established the top-down structure. In the general top-down and leftright construction there were some Inscriptions on bone intended disorders to generate an (Shang Dynasty) impressive beauty. As far as the manipulation of the writing brush was concerned, the strokes and lines of oracle-bone inscriptions had already exhibited a diversity of thickness, thinness, squareness and roundness, even though they could not compare in variety with those developed in later calligraphy.

Inscriptions on Bronze Ware and Characters Inscribed on Steles The Shang and Zhou dynasties also saw the appearance of inscriptions on bronze ware. Since such inscriptions were often epigraphs engraved on bronze ware like bells and ding (the ancient cooking vessel), they were also termed “bell and ding inscriptions.” Their golden age was in the Zhou Dynasty, the period to which the majority of unearthed

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inscribed bells and vessels belong. In most cases these wares were used at sacrificial ceremonies and thus needed to accommodate the general requirements for such occasions—the characters were tidier, more elegant, dignified and refined. Thanks to the increased standardization of structures, the overall arrangement and exquisitely furnished decoration, the artistic value of the inscriptions on bronze wares improved accordingly. The representative works include: “Inscriptions on Dayu Tripod Vessel,” “Inscriptions on Sanshi Tray,” “Inscriptions of Maogong Vessel” and “Inscriptions on Guo Jizi White Tray.” From the early Qin Dynasty, there also came the world-famous calligraphic pieces called “Stone Drum Inscriptions,” which were engraved on ten drum-shaped steles with more than two thousand characters in the form of four-character verse. They were later in time as compared with the above-mentioned inscriptions on bronze ware (generally regarded to have been written in the early years of the Warring States Period), and closer in style to the small seal script of the late Qin Dynasty, though they were generally categorized as the large seal script.

Calligraphy in the Qin and Han Dynasties The Small Seal Script Upon the establishment of the Qin Dynasty, a new writing mode, “small seal script,” gradually came into being, with some creative transformation on the basis of the original typeface in the Qin State. It was said that the reform was mainly conducted under Prime Minister Li Si (?–208 BC). Not many examples of the small seal script of the Qin Dynasty have been handed down to the present, and the few that have survived are mainly engraved on stone tablets in different places to commemorate Emperor Qin’s inspection tours. The original preserved rubbings are “Stone Inscriptions on Mountain Tai,” “Stone Inscriptions on Langya Terrace” and the reproductions made by later generations, such as “Stone Inscriptions on Mount Yi” and “Stone Inscriptions on Mount Huiji.” Compared with big seal script, small seal script was narrow in shape and the lines were smooth and well balanced. No matter how many strokes a character had, it was always written into a longish rectangle, with vertical strokes extending downward, resulting in a crowded image in the upper part of the characters. Long or short,

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Reproduction of stone inscriptions on Mountain Tai (Qin Dynasty)

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A diagram showing the evolution of Chinese characters. (From left: oracle-bone inscriptions, great-seal script, small-seal script, clerical script and regular script.)

each stroke was identical in thickness, looking pliable and flowing. The structure of the script was neat and tidy, linear both horizontally and vertically to produce a clean and concise beauty. Because of these characteristics, small seal calligraphy has been a favorite of calligraphers through the ages. In the Qing Dynasty especially, the art of seal calligraphy reached an unprecedented height owing to the efforts of Deng Shiru, Yi Bingshou and He Shaoji. Later, there emerged a large elite group which excelled in this writing style. Such a great leap forward after a long stagnant period is unique in the history of calligraphy.

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The Shift to Clerical Script From oracle-bone inscriptions to inscriptions on bronze ware and then to small seal script, Chinese calligraphy underwent a remarkable evolution. However, the writing had not completely broken away from the pictographic stage, while the strokes and forms of Chinese characters were still not quite at a fixed standard. This situation was dramatically changed in the Han Dynasty with the emergence of clerical script. Kept in a subordinate status in the Qin and early Western Han dynasties, this new mode began to take the place of seal script as the dominant form of Chinese writing. The standardizing process of the clerical script was referred to by philologists as clericalshifting, which was the foundation from which the later cursive script, running script and regular script rose one after another. Clerical script on bamboo strips The greatest distinction between (Warring State Period) clerical script and seal script or other ancient typefaces was its simplified components and more fixed structure.

Calligraphy on Bamboo Strips and Silk Fabrics The development of clerical script is clearly seen in the bamboo and wood strips (jian) and silk fabrics unearthed in recent years. Bamboo strips were long and narrow strips of bamboo; when there was a shortage of bamboo, wood would be used instead. The wooden and bamboo strips are jointly called “scripts” in calligraphy. Another term “copy” was used when strips were strung together. And “fabric” was

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the universal designation for silk-woven textiles. Before the invention of paper, bamboo strips and silk fabrics were the two most commonly used materials to write on, and the so-called bamboo strips and silk fabric calligraphy meant such writings during the Qin and Han dynasties. Among the bamboo strip and silk fabric calligraphic works excavated in recent years, the most famous are those written in the Qin Dynasty, unearthed from Shuihudi in Yunmeng Court, Hubei Province in 1975, and the Han silk manuscripts found in Mawangdui in Changsha, Hunan Province in 1973. Clerical script used to be regarded as an accomplishment of the Han Dynasty by many who studied calligraphic history. However, the excavation of Qin jian (bamboo strips made in the Qin Dynasty) disproved this assumption. Another contribution of bamboo strips was that they clearly exhibited the development of Chinese writing from seal script to clerical script.

Steles of the Han Dynasty Stele engraving was very popular in the Han Dynasty, and works of this period were preserved or unearthed in large quantity. Apart from some common characteristics of the Han clerical script mentioned above, each stele seemed to possess a certain unique style of its own. Famous stele included the Yiying Stele, engraved in the third year of the Yuanjia Period under the reign of Emperor Huandi in the Eastern Han Dynasty (153); the Cao Quan Stele engraved in the second year of the Zhongping Period under the reign of Emperor Lingdi of Eastern Han (185), etc. Other famous steles of the Han Dynasty include “The Encomium of the Stone Gate,” “The Zhang Jing Stele,” “The Stele of the Confucius Temple,” and “The Stele of Mount Huashan,” each with its distinct charm.

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Sample of stele engraving (Han Dynasty)

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Semi-Cursive Script As well as clerical script, zhang cao, semi-cursive script, also owes much to the Han Dynasty. The cursive script (also known as jin cao) appeared during the Qin and Han dynasties, spurred by the need to write more quickly and conveniently. In the Han Dynasty, a fine merge of cursive and clerical styles came into vogue. It was called semi-cursive script, or zhang cao in Chinese. More disciplined and restricted than jin cao, zhang cao had commonly accepted rules for the simplification of different radicals, strokes, components and structures. This new mode had apparent wave-like lifts and flattened square frames; the strokes were horizontally extended, with a “swallow tail” in most characters. Zhang cao was all the rage in the Eastern Han Dynasty. The most famous calligraphers of this fashionable mode were Du Du (dates unknown), Cui Yuan (78–130), Zhang Zhi (?–192) and Huang Xiang (dates unknown). According to legend, Zhang Zhi was the most accomplished, while Huang Xiang perfected the calligraphic model “Ji Jiu Zhang” (model to be learned within a short time) which is the best prototype of the script; almost all zhang cao novices imitate it for practice. Grand and imposing in manner, the style of Han calligraphy is closely related to the imperial mien of the time. In addition, Han calligraphy paid more attention to the overall arrangement of the texts and the manipulation of the writing brush than in the previous dynasties. Compared with oracle and animal bone inscriptions, bronze vessel and bamboo strips, the media of stone stele and paper provided broader space for writing, giving calligraphers more freedom to conceive. As a result, calligraphy attained a more comprehensive perspective to assume the status of an integrated art. The invention of paper in the Eastern Han Dynasty offered an ideal base for the writing of Chinese characters and made a significant contribution to the development of calligraphy. On the one hand, the light, cheap and convenient material enabled general scholar-officials to experience and savor the art of writing through constant practice, enhancing the calligraphic art both in depth and breadth. On the other hand, the essence of this special art lies chiefly in the diversity of brush and ink manipulation, which is best practiced on paper. Consequently, a radical shift in Chinese calligraphy occurred, from stressing form and structure to emphasizing brush and ink techniques.

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Calligraphy in the Wei and Jin Dynasties The collapse of the Han Empire saw the rise of the Wei and Jin dynasties when Chinese calligraphy took on a new look. Regular and running script emerged and gradually replaced clerical and cursive scripts, and two masters known as Zhong and Wang—Zhong You (151–230) and Wang Xizhi (321–379), took their place in Chinese calligraphic history.

Zhong You Zhong You was the key figure in Chinese calligraphy when the Qin and Han dynasties were replaced by the Wei and Jin dynasties. Prior to the two new dynasties, cursive script was subordinate to the prevailing styles of seal and clerical scripts, and the standard and running typefaces were at the germination stage. However, during the Wei and Jin dynasties, the three minor scripts jumped to the dominant position, leaving clerical script in second place and seal script almost in oblivion. Discerning the trend, Zhong You wisely decided to make use of the newcomers for his writing, while most of his contemporaries remained loyal to the outmoded seal script. This insight helped him establish himself out as an outstanding calligraphy master who ushered in the innovative styles. However, Zhong You’s style of running script was still at the beginning stage and constantly regressed to zhang cao and regular script. Accordingly, it often took on the form of a combination of running script and the other two typefaces. It was nevertheless his ground-breaking efforts that paved the way for the more mature running script of Wang Xizhi and his son. Zhong You’s extant calligraphy copybooks in running script include “Bai Sui Nei,” “Chang Lei,” “Xue Han” and “Chang Feng.” Zhong You’s highest achievement was his regular script writing. He is justifiably credited by later generations as the father of regular script— zheng shu or zhen shu in Chinese. The two Chinese characters “zheng” and “zhen” mean “neat and square,” indicating a modification from the thin and long mode of seal script and the horizontally extended shape of clerical script. In the process of such a change, Zhong You played a crucial role. First, he changed the character shape from flat to square. In terms of the overall writing arrangement, he adjusted the previous “narrow margin between lines and wide space between characters.” As for brush manipulation, he rejected the clerical script trait of “silkworm head and

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swallow tail.” Due to these dramatic transformations, a new form of writing came into being, which was afterwards developed into regular script (kai shu). His writing helped switch from the dignified and solemn style of Han stone stele to a more elegant and graceful style, which later assumed dominance in the calligraphic works of the Wei and Jin dynasties.

Wang Xizhi and Wang Xianzhi The clan of Wang was not only celebrated in the Eastern Jin Dynasty, but also boasted the largest number of calligraphers with the highest achievements in Chinese history. Among them, Wang Xizhi and his son Wang Xianzhi (344–386) were the two most brilliant stars. Wang Xizhi initiated his study of calligraphy under the guidance of a renowned woman calligrapher, Wei Shuo, generally referred to as Madam Wei (272–349), who herself was taught by Zhong You. Zhong You’ s writing nontheless carried some influence of the old typeface, especially the obvious wave-like strokes, though he basically changed the clerical script to regular script. Wang Xizhi was courageous enough to change Zhong You’s way of brush manipulation while inheriting his regular script style. He kept the lines brief, where his teacher would have chosen to use wave-like strokes, and thus completely freed the writing from the shadow of the clerical script to nudge the art of calligraphy into a brand new stage. Wang Xizhi’s representative works include “On Enjoyment and Perseverance in Calligraphy,” “Huangting Classics” and “Cao’er Tablet.” The first work enjoyed the reputation of being “the Number One regular script under heaven” by later generations. His highest achievement, however, was his development of running script. Records have it that this script was created by the calligrapher Liu Desheng in the late Eastern Han Dynasty, though there are no extant works. After the Wei and Jin dynasties, running script won increasing numbers of admirers and learners, and reached a new stage of perfection with the successive efforts of Wang Xizhi and his son Wang Xianzhi. The best-known running script work by Wang Xizhi is “Lanting Xu (Preface to the Orchid Pavilion),” commonly acknowledged as “the number one running script the world over.” It perfectly embodies the special free and forthright features of running script that entitle it to be the model copy for this script through the ages. It is said that the original is buried with Emperor Li Shimin in the imperial Zhaoling Mausoleum. The copies we have today are duplicates by Feng Chengsu, Yu Shinan,

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Running script work Lanting Xu (Preface to the Orchid Pavilion) by Wang Xizhi (Eastern Jin Dynasty)

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Chu Suiliang and other calligraphers, with Feng’s copy recognized as the best. On this copy are stamped the small seal of “Magic Dragon,” the reign title of the Tang Emperor Gaozong, and it is thus named “the Model Calligraphy of Magical Dragon.” Most of the characters of this work kept the tradition of “the brush moving in the middle of the stroke.” Occasionally the lateral part of the brush was used to make the lines steadier and graceful. In structure, every character was appreciably fresh and charming. In terms of the overall arrangements, the spacing between characters appeared picturesquely irregular, as did the uneven margin between lines. On the whole, its esthetic style was a revolutionary departure from the restrained norm; its free-willed easiness and natural elegance clearly reflects the freedom, relaxed attitude toward life, and the esthetic inclination of the scholars in the Wei and Jin dynasties. Wang Xizhi’s other highly regarded works include “Model Calligraphy on Chaos” and “Model Calligraphy of Snowy or Fair Weather.” The latter was praised by Emperor Qianlong of the Qing Dynasty as the first among “The Three Rarities,” the top three calligraphic treasures in the country. The other two are “The MidAutumn Model Calligraphy” of Wang Xianzhi and “The Model Calligraphy of Boyuan” of Wang Xun. Although his calligraphy could not be ranked as highly as that of the top calligrapher in the Wang family, Wangxun’s “The Model Calligraphy of Boyuan” was considered to possess sufficient artistic merit to be one of “The Three Rarities”. This is an example of the calligraphic achievements of the Wang family. The second greatest calligrapher of the talented clan was Wang Xianzhi. He had studied calligraphy under the guidance of his father since childhood, and shared the title of Two Famous Wangs with his father. Because of his ability, the junior Wang won special favor and tutoring from the senior Wang. The father’s regular script works, “On Enjoyment and Perseverance in Calligraphy” and “On the Manipulation of Writing Brush,” were both compiled exclusively for the calligraphic practice of his son. With the solid foundation of the comprehensive mastery of his father’s writing technique and style, Wang Xianzhi was able to develop his own writing style. Wang Xianzhi advocated and practiced poti—the breakdown of the boundary between the regular script and the cursive script, with an inclination either towards the former to make xing kai (running-plusstandard), or the latter to form xing cao (running-plus-cursive), which differed from the orthodox running script. As a result of this movement

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The Mid-Autumn Model Calligraphy by Wang Xianzi (Eastern Jin Dynasty)

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away from the restrictions of standard, cursive, orthodox running, and all the other fixed modes, calligraphers enjoyed a free hand at writing as they felt inclined to, giving them much broader horizons and greater convenience. Running script such as “The Model Calligraphy of the Duck Head Pills” by Zhongqiu Tie, and “The Model Calligraphy of Glutinous Rehmannia Decoction” by Wang Xianzhi are in the xing cao style, though they are probably replicas by later scholars instead of authentic works. Calligraphic theorist Zhang Haiguan of the Tang Dynasty commented on Wang Xianzhi’s writing in his “On Calligraphy”: “The inspiration gallops, the soul soars. Together they wander all the way, moving the writing brush at free will. Like a breeze blowing up buds and raindrops moistening petals, Wang Xianzhi’s writing does surpass all the others to be the most charming in its brush manipulation, overall arrangement, the control of strength and everything else.”

Stone Steles of the Wei Dynasty While the running script represented by the Wang family became very popular in southern China, the “Wei stele-styled regular script” prevailed in northern China. During the Northern and Southern Dynasties following Eastern Jin, five dynasties were successively established in the north. They were the Northern Wei, the Eastern Wei, the Northern Qi, the Western Wei, and the Northern Zhou. The calligraphic works preserved from this period are mainly large groups of regular script engraved on steles, with unique attributes. Most of these works were produced in the Northern Wei period, and have the most representative features. Therefore, such a Calligraphic works carved on stone stele writing style was classified as (Northern Wei Dynasty)

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the “Wei stone-stele style,” or simply “stele style” by later generations. The different prevailing fashions in the north and south during the Wei, Jin and the Northern and Southern dynasties were mainly due to the writing materials and the content of texts. Calligraphy in the south was written on raw-silk paper, facilitating the movement of brush and the flow of ink. In addition, the writing was mainly of correspondence, suitable to be written in the casual form of running-script. In the north, on the other hand, calligraphic works were mainly carved on stone steles, whose hard quality disallowed the flexibility of brush and ink. Furthermore, the comparatively momentous and solemn content of the Buddhist sutra and complimentary epitaphs for ancestors better matched the regular script. The typical character shape of the Wei stele was the choice of quadrangle strokes, flatly extended in structure, round inside and square outside. This style conveyed a bold and passionate mood, corresponding closely to the climate, terrain, and vigor of the people in the north. To sum up, during the period of the Wei, Jin and Northern and Southern dynasties, there existed two different calligraphy styles—the southern copybook and northern stone stele styles. The southern one was soft, while the northern one was vigorous; the southern one emphasized rhythm while the northern one emphasizeds strength. The two schools, with their distinct identities, are a pleasing contrast. The close correlation of the artistic style to the natural environment and the temperament of the people are distinctly shown in the differences between the northern and southern calligraphic works in this period.

Calligraphy in the Tang Dynasty Following the developments in the Wei and Jin periods, Chinese calligraphy reached its heyday in the Tang Dynasty, which is regarded as one of the best periods in ancient China because of the economic and cultural advances. As a result of the stable society and highly advanced economy, the calligraphers had the optimum material resources and cultural environment to ensure further progress. With the establishment of the system of the imperial examination and calligraphic scholars in the Sui and Tang dynasties, all the intellectuals at that time became experts in calligraphy, which significantly contributed to the popularity of both calligraphy and the unified script style. The emperors of the Tang

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Dynasty such as Taizong, Wu Zetian, Gaozong, Ruizong and Suzong were all known to be fond of calligraphy, which also had an important impact on the growth of this art form in the Tang Dynasty.

Regular Script in the Early Tang Dynasty The most distinctive characteristic of calligraphy in the Tang Dynasty was the pursuit of regulations, since only unified regulations could allow the assessment of the artistic level of calligraphic works. As the regular script best embodied the regulations, it developed to reach its peak of perfection in the Tang Dynasty. The prevalence of regular script also attributed to the imperial examination system. As the writing styles of running script and cursive script tended to be free at one’s own proposal, the clear and tidy regular script was naturally preferred as the standard typeface in the examinations. Regular script, introduced by Zhong You, developed by the two famous Wangs and in the Wei stone Regular script by Ouyang Xun steles, needed to be comprehensively (Tang Dynasty) overhauled, especially to unify the two completely different regular script styles of south and north. This work was undertaken by the four most famous calligraphers of the early Tang Dynasty—Ouyang Xun (557–641), Yu Shinan (558–638), Chu Suiliang (596–658) and Xue Ji (649–713). The unification of style was more than a mere mechanical combination of different typefaces. Instead, the writing features were compromised to result in the creation of a brand-new regular script, with horizontal lines literally even and vertical lines upright, each dot and stroke being governed by strict rules. Because of this, many people believe that genuine regular script came to maturity only in the Tang Dynasty. Ouyang, Yu, Chu and Xue were all respected as master

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The Duobao Pagoda Stele by Yan Zhenqing (Tang Dynasty)

calligraphers of regular script. However, they had different styles of their own—Ouyang’s writing was precise and meticulous, Yu’s smooth and fluent, Chu’s graceful and free, and Xue’s vigorous and charming.

Regular Script at the Peak of the Tang Dynasty The varied styles of the four famous calligraphers of the early Tang Dynasty were integrated again in the calligraphic works of Yan Zhenqing (709–785) . The Yan Style took its final shape and reached the peak of the regular script. He acknowledged Chu Suiliang and Zhang Xu as his teachers in his study of the regular script. Zhang Xu’s writing feature was similar to Yu’s style, steady in brush handling and smooth and full in character construction. While absorbing the strong points of the former worthies, Yan Zhenqing blended his upright and magnanimous personality into his calligraphic work, creating yet another fresh style in calligraphy.

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Bending the tip of the brush to the opposite direction in the beginning of any stroke and folding the tip of the brush back to finish the stroke, Yan’s writing was full and stately, the framework dignified and grand, and the overall arrangement solid and powerful, presenting the beauty of the regular script to the extreme. The following are a few of the representative works in Yan’s regular script: “The Duobao Pagoda Stele,” “The Encomium Inscription of Dongfang Shuo,” “The Calligraphy of Magu Altar” and “The Yan Weizhen Clan Temple Stele.” After Yan Zhenqing, a great calligrapher, Liu Gongquan (778– 865) , in the middle and late Tang, The Mysterious Pagoda Stele by Liu Gongquan (Tang Dynasty) developed another style of regular script. The two masters shared equal popularity in the field of calligraphy and were commonly known as the “Muscle of Yan and Bone of Liu.” This shows that Liu’s regular script is famous for its special strength and vigor. The neat and standard writing of Liu’s style, highly praised by the emperors, was influential at that time. It was considered a coup for the privileged nobles to own Liu’s works and so they competed to obtain original writings. Due to this wide recognition, Liu’s style was the foundation for the later development of Chinese characters. The form and structure of the present Chinese characters basically evolved from the Liu style. The representative works of his regular script are the copybooks “Diamond Sutra,” “The Mysterious Pagoda Stele” and “The Superb Military Strategy Stele.”

Wild Cursive Script in the Tang Dynasty Another important calligraphic achievement in the Tang Dynasty was the creation of cursive script, of which the best known representative

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is the wild-cursive script of Zhang Xu (dates unknown) and Huai Su (725–785). Prior to the Tang Dynasty, cursive script had already been subdivided into the two schools of zhang cao and jin cao. The cursive script of Tang mainly inherited the two famous Wangs’ style of jin cao. The works of Sun Guoting, He Zhizhang and several other calligraphers generally took the style of xing cao (running-cursive script), close to that of the two Wang masters. But Zhang Xu and Huai Su pushed the cursive script of jin cao to a new height and remolded it into the excellence of wild-cursive script. The difference between running-cursive script, xiao cao in Chinese (small cursive script), and wild-cursive script, or da cao (large cursive script), is that each character of the running-cursive script was independent, namely, they did not fuse with other characters in the text, while adjoining characters in the wild-cursive script text were often linked. The size of characters might vary greatly in proportion. Sometimes, one character could cover the space of several characters, or even a whole column, rendering an extremely sharp contrastive effect. As well, the manipulation of the writing brush was wild and spontaneous, the dots and strokes running wayward like flying dragons and dancing phoenixes. The emergence of the wild-cursive script mostly intensified the expressive power of calligraphy, taking this special form of art to a more advanced stage. Zhang Xu and Huai Su are accredited as such great contributors to Chinese calligraphy that some people claim that Chinese calligraphy reached its acme in them. Zhang Xu was uninhibited by nature, outstanding in artistic talent and addicted to drinking. In A New History of the Tang Dynasty, he is described thus: “Each time he got drunk, after crying and rushing madly for sometime, Zhang Xu would hold the brush or his ink-soaked hair to write. He was so amazed at his own uncanny workmanship when he sobered up that he exclaimed that these works were magic and insurmountable.” Consequently, Zhang Xu was nicknamed “Erratic Zhang.” Almost all the calligraphers have been praised and disparaged by calligraphic critics throughout the ages. The only exception is Zhang Xu, who is unanimously appreciated. During the period of Emperor Xuanzong in the Tang Dynasty, the calligraphy of Zhang Xu, Li Bai’s poems and Pei Min’s swordsmanship were known as “The Three Perfections.” Zhang Xu was also known as “the sage of the wild-cursive script.” Contrary to the grandiosity and imagination exhibited in his handwriting, Zhang’s manipulation of the

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The Calligraphy of the Four Poems by Zhang Xu (Tang Dynasty)

The Autobiography by Huai Su (Tang Dynasty)

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Lament for a Nephew by Yan Zhengqing (Tang Dynasty)

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brush and the assembling of characters were ordered and well controlled. In such a perfect state of “following one’s spontaneity while adhering to the rules” lay the salient charm of Zhang Xu’s wild-cursive script. The works handed down to the present include “The Calligraphy on the Prescription of Stomach Ache,” “The Calligraphy of Four Poems” and “The Broken Stele of Thousand-Character Essay.” After Zhang Xu came another master of wild-cursive script, Huai Su. He was also addicted to alcohol, and his writing style, with all its scrawny strokes and galloping characters, was even more vigorous and whimsical than that of his predecessor—hence the reference to Erratic Zhang and Crazy Su. Huai Su left behind a comparatively larger number of calligraphic works, such as “On Calligraphy,” “The Autobiography,” “Bitter Bamboo Shoots,” and “Thousand Characters.”

Seal Script and Running Script in the Tang Dynasty As well as regular script and cursive script, the seal script and running script of the Tang Dynasty also reached new heights, with Li Yangbing’s seal script regarded as a transitional point in calligraphic history. Running script was highlighted by the writings of Emperor Taizong of the Tang Dynasty, Yan Zhenqing and Yang Ningshi. Emperor Taizong’s mode of writing, mainly following that of Wang Xizhi, contributed a lot to the spread and popularization of this style. In fact, it was owing to his commendation and appreciation that Wang Xizhi’s calligraphy was more positively received. Being a master in calligraphy, Yan Zhenqing, too, achieved extremely high attainments in running, cursive and regular scripts. His writing of “Lament for a Nephew” was regarded at that time as the second best running script work in the world. Another master of calligraphy, Yang Ningshi (875–954), who lived from the late Tang to the Five dynasties, broke away from the conventional Tang style of seeking for discipline. He created a batch of running script works with a unique style of posing ugliness against beauty, clumsiness against elegance, and vulgarity against decency, winning for himself the fame of “forerunner of calligraphic style in the Song Dynasty.”

Calligraphy in the Song and Yuan Dynasties Chinese calligraphy reached its peak in the Tang Dynasty. Since then, calligraphers throughout the ages have striven continuously to find new genres.

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Literati’s Calligraphy The calligraphy of the Tang Dynasty was perfected within prescribed calligraphic rules, and further development seemed almost impossible for later generations. However, once an artistic style reaches its peak, dissolution will follow. Liu Xizai, a scholar of the Qing Dynasty, explained in “A Survey of Calligraphy (The Outline of Art)”: “A learner of calligraphy often moves from irregularity to regularity, then from regularity to what seems to be irregular. The irregularity at this stage is the extremity of regularity.” This saying properly describes the procedures of learning calligraphy. It is also in line with the historical development of Chinese calligraphy. The Song calligraphy was no longer as regular as the Tang calligraphy, since it surpassed the conventional rules and made an innovation—the so-called “scholarly attainments” or “bookishness,” a special temperament possessed by literati to define their esthetic taste, inclination and emotions. Prior to the Song Dynasty, calligraphy had not yet become the privilege of intellectuals. A large number of artisans and folk artists, other than literati, practiced the art of calligraphy. There was no clear-cut distinction between calligraphy and other forms of crafts and techniques. In the Song Dynasty, due to the invention and development of printing technology, calligraphy gradually distinguished itself from folk art to become an artistic form specially adopted by literati or scholar-officials to convey their emotions and ideas— thus the designation “literati’s calligraphy.” The literati’s calligraphy in the Song Dynasty radically changed the Tang Dynasty convention of seeking perfect esthetic form to demonstrate the calligraphic rules and norms, and switched to expressing the calligraphers’ personal feelings and preferences. Therefore, the regular script of the Tang Dynasty, which had best represented calligraphic norms, was no longer suitable for the new esthetic requirements. Most of the literati adopted the style of xing cao (a style between running script and cursive script), for it was not constrained to fixed rules as were the other styles and could better satisfy the calligraphers’ need to express their emotions and ideas. As different calligraphers had their own emotions, temperament and inclinations, the literati’s calligraphic work often demonstrated strong personal artistic features.

Su, Huang, Mi and Cai “Su, Huang, Mi and Cai” were Su Shi (1037–1101), Huang Tingjian (1045–1105), Mi Fu (1051–1107) and Cai Xiang (1012–1067) in the Northern Song Dynasty. They are

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regarded as the greatest calligraphers of the time and as the “Four Masters of Song” in Chinese calligraphic history. Their reputation came from their calligraphic works, which collectively reflected the turning away from seeking the norm in the Tang Dynasty to emphasizing personal taste in the Song Dynasty, which highlighted the characteristics of the literati’s calligraphy. Cai Xiang was competent at several writing styles, and was most famous for his xing cao, which was lively, natural and unconstrained. He is regarded as the forerunner of Song calligraphy. Su Shi highly praised him as the top Song calligrapher, “highly talented and profoundly learned, with his hand perfectly corresponding to his mind.” Cai Xiang left behind him many works, among which are the well-known calligraphy pieces “On Living in the Mountains,” “On Meditating and Chanting,” “On Happy Life,” and “On Leaving the Capital.” As a typical literary calligrapher, Su Shi resorted to calligraphy only as a medium to express his feelings and thoughts. Therefore, his writings as a whole are the products of his aspiration, without much consideration for calligraphic rules. Most of his works are composed of majestic thickpainted strokes, with the horizontal line stretched and the vertical line restrained. Greatly different from the thin and formal style of the Tang Dynasty, Su Shi’s writings showcase his personality and pioneering spirit. His most famous works are “The Poem on the Cold Food in Huangzhou,” “The Ode to the Spring Scenery in Dongting,” “The Ode to the Pines in Zhongshan Mountain,” and “Letter in Response to a Teacher.” Huang Tingjian was Su Shi’s equal in calligraphy. His writing style (the running script in particular) features in the strokes radiating from the middle, which was consequently summarized as “radial style” by later calligraphic critics. Huang Tingjian’s work “The Poem on Pine Wind Pavilion” created in his later days, typically embodies the characteristics of such a style. Besides the running script, he also achieved much in the arena of wild-cursive writing. While acknowledging Zhang Xu and Huai Su as his teachers, Huang Tingjian was resolute in renovation. He emphasized the importance of brush manipulation in lifting and pressing, supporting or opposing, bending or twisting, while writing with the tip of the brush in the center of the strokes. In this way, the lines and strokes in his calligraphy are much more diverse and imposing. “On the Seats of the Honor” is representative work of Huang Tingjian’s reformed wild-cursive writing.

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Calligraphy by Cai Xiang (Song Dynasty)

Calligraphy by Su Shi (Song Dynasty)

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Mi Fu, another master in the Song Dynasty, had a distinctive personality, and is described in “History of the Song Dynasty” as an erratic genius of calligraphy and painting, “dressed in the Tang costume, behaved in an aloof and free way, spoken in a melodious voice, and surrounded by people wherever he went.” His eccentric and unruly characters made his writing fresh, unconventional and unique. Mi Fu was inclined to use the side of the brush, with frequent lifts and presses, pauses and transitions. His calligraphic works include “The Poem on the Tiaoxi Stream,” “Shu Su,” and “Zong Zheng.”

The Slender Jin Style In Chinese calligraphic history, there is another special style—the “Slender Jin Style,” the work of an unusual calligrapher, Zhao Ji (1082–1135), Emperor Huizong of the Northern Song Dynasty. The emperor made two contributions to the development of calligraphy. One was his establishment of the imperial institute of calligraphy and painting, at which many famous calligraphers, painters and connoisseurs gathered for artistic creation and study. The other was his own commitment to calligraphic practice that generated the idiosyncratic Slender Jin Style. This style was known for its thin, firm and thrusting strokes and distinctive angle and bent. According to historical records, while mastering the writing styles of Huang Tingjian, Xue Ji and Chu Suiliang, the emperor made some comprehensive alterations and personal creations to form his own style. His works include “The Thousand-Character Essay Written in Slender Jin Style” and “The Summer Day Poems.”

Zhao Mengfu Zhao Mengfu (1252–1322), another versatile genius like Su Shi, was well read, and possessed music, painting, calligraphy and seal-carving skills. He also had a profound knowledge of Buddhism. The first person to attach poems to paintings, he was credited as having “a perfect hand in poetry, calligraphy and painting” by succeeding artists. The Song literati, emphasizing the expression of ideas, tended to ignore forms and writing rules. Such malpractice was obvious in the Southern Song Dynasty. In order to remedy this situation in the Song Dynasty, Zhao Mengfu spared no effort to advocate “returning to the old times,” and stressed the need to learn from the manner and rules of the calligraphy styles of the Jin and Tang dynasties. With painstaking

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Calligraphy by Huang Tingjian (Song Dynasty)

Calligraphy by Mi Fu (Song Dynasty)

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study and practice in the styles of such master calligraphers as the two famous Wangs and Yan and Liu, he absorbed and integrated the merits of each master and formed a style of his own. Zhao Mengfu’s running script was derived from the two famous Wangs, with the running of brush tactful, skilful and full of variations while strictly following the calligraphic rules. His works include “On Wang Xianzhi’s Baomu Tablet,” “A Speech on the Returning with Preface,” “A Song on Xundu Altar” and “On Pines.” Zhao Mengfu also created his own regular script, with unusual qualities. The Zhao Style, regarded by calligraphic historiographers as one of the four most important regular scripts ranking with the Ouyang, Yan and Liu styles, became another major writing style to study and copy in later generations. His representative works are “Danba Stele,” “Miaoyan Temple Stele,” “On Reconstructing the Gate of Temple of Mystery,” and “The Epitaph to the Late Manager Mr Zhang.”

Calligraphy in the Ming and Qing Dynasties Despite Zhao Mengfu’s efforts to return to the old times and to stress the importance of adhering to the rules and manners of the calligraphy in the Jin and Tang dynasties, Chinese calligraphy never did restore the meticulousness and disciplines of the peak of the Tang Dynasty.

The Calligraphic School of Wu With the rapid development of the economy and culture in the Ming Dynasty, there emerged a few prosperous cities, where literati were likely to gather. The Three-Wu Region (the present area around Wu County in Jiangsu Province) was such a place. As all the scholars were proficient at calligraphy, a large group of outstanding calligraphers decided to form the Wu school, a milestone in Chinese calligraphic history. A saying at the time was “the best calligraphic works under heaven could only be found in the Wu.” Among the celebrated calligraphers then were Shen Zhou, Tang Yin, Zhu Yunming, Wen Zhengming, Wang Chong, Chen Daofu, Lu Shidao, Zhou Tianqiu and Wang Zhideng. Zhu Yunming, Wen Zhengming and Wang Chong were the most celebrated of the group. Zhu Yunming (1460–1526) advocated a holistic strategy to combine the rules of the Tang Dynasty with the free expression of ideas of the Song Dynasty. He was opposed to both adhering to convention at the expense

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of individuality and to over-stressing individuality at the expense of rules. Adept at all writing styles, he adopted the brush techniques of using both the central point and the side of the brush. He was celebrated also for his special cursive script, which tended to the horizontal in structure. On the one hand, the dots and strokes were forceful and unimpeded. On the other hand, the structure was comfortably casual and the spaces were sparse. His representative cursive scripts include “The Former Ode to the Red Cliff,” “The Ode to Peony,” “Poems by Dufu” and “Poems in the Cursive Script.” Wen Zhengming (1470–1559), another representative calligrapher of the Wu school, was proficient in all kinds of styles, and especially expert at small regular script. Having modeled himself on the writings of Zhong You and Wang Xizhi and having adopted the style of Ouyang Xun, Wen Zhengming developed his own style—strict in rules, rich in meaning and charming in shape. His small regular script was upright and stable in structure, delicate and graceful in stroke writing. His horizontal stroke started from the needle-like point of the brush and ended with a round return of the brush point, giving it a sharp but full look. His representative works are “Qu Yuan’s Lament” and “Gu Chunqian’s Biography.” Wang Chong (1494–1533), another master of the school of Wu after Zhu Yunming and Wen Zhengming, was especially good at cursive script and small regular script. While modeling himself on his predecessors, Wang Chong made some innovations and gradually formed a new writing style. His cursive script, originating from the great master Sun Guoting, combined with the brush technique and the charm of zhang cao to show a crude and primitive beauty. Quite the opposite of Wen Zhengming’s small regular script with its scrupulous attention to the arrangement of dots and strokes and to every transition, joint and turn, Wang Chong’s regular script had the unique feature of loose and sparse character construction, with strokes broken in form but related in meaning, bringing to light an implicit and poised style.

Dong Qichang Dong Qichang (1555–1636) was an authority in calligraphy in the Ming Dynasty. He studied the works of previous calligraphers and followed the natural orders as rules. These, together with his reflective learning of calligraphic history and his profound understanding of Buddhism,

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contributed to his creation of a superb calligraphic style, which exhibited majesty and tranquility. Hence he is acknowledged as one of the masters of calligraphy. Dong Qichang achieved much in his work on regular, semicursive and cursive script. On the basis of the works of all the master calligraphers of Tang and Jin, he made innovations in terms of the brush technique, the construction of character and the overall arrangement. His regular script was full, smooth and forceful in brush technique, slightly slanting in the form of the character. His attainments in developing semi-cursive script and cursive script were even greater and more highly praised by succeeding calligraphers.

Romantic Calligraphy in the Late Ming and Early Qing Dynasties Under the influence of the romantic estheticism of Li Zhi and Tang Xianzu, there emerged a group of romantic calligraphers, such as Xu Wei, Zhang Ruitu, Huang Daozhou, Ni Yuanlu, Wang Duo, Fu Shan and Zhu Da. Xu Wei (1521–1593), founder of the romantic style, developed his wild, unconstrained, and cynical personality as a result of a series of frustrations in his life. Likewise, his calligraphy revealed his disdain of the aristocratic scholars’ gorgeous style. Xu Wei was skilled in cursive and semi-cursive scripts. Different from Zhang Xu and Huai Su’s erratic style of calligraphy, Xu Wei’s cursive script was grotesque and revealed his passion, misery and hatred. His representative works of cursive script include “On Ci-poems,” “Song on the Blue Sky,” “Ci-poems on Ink,” and “Clear Night in Autumn Breeze.” Wang Duo’s (1592–1652) style was regarded as the backbone of the romantic calligraphic style in the late Ming and early Qing dynasties. Due to his dissatisfaction with the delicate calligraphic style of Zhao Mengfu and Dong Qichang, he proposed the “grotesque,” “unscrupulous” and “racy” esthetic criteria, turning out a large number of strongly individual calligraphic works. All for originality as he was, Wang Duo never stopped learning from and following the fine traditions of former master calligraphers. It was said that he stuck to model copying and creating alternatively every other day for ten years continuously, thus reaching magical heights in brush manipulation. He was known as “Wang Duo of the magical brush.”

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Fu Shan (1607–1684), like Wang Duo, was vigorously opposed to the gaudy style of Zhao Mengfu and Dong Qichang, and took an opposing esthetic stand of “being ugly, broken and natural, rather than artful, superficial and factitious.” His calligraphy promoted the romantic style to extremes, both in theory and in practice.

The Model Calligraphy School and the Stele Calligraphy School The practice of calligraphy in the Qing Dynasty was highlighted by the alternative dominance of the school of model calligraphy and the the

Calligraphy by Fu Shan (Qing Dynasty)

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Calligraphy by Deng Shiru (Qing Dynasty)

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school of stele inscription. As early as in the Wei, Jin and the Northern and Southern dynasties, there existed the distinction between model calligraphy and stele calligraphy. At that time, the elegant model calligraphy of the Two Famous Wangs was popular in south China, while the muscular Wei stele inscription prevailed in the north. Therefore, in calligraphic history, these two schools are known as the south school and the north school. The competition between the two was, in fact, the confrontation between two distinctive calligraphic styles in China. The tie had been in fashion in the calligraphic world since the Song Dynasty, and it developed to its zenith with Dong Qichang in the Ming Dynasty and Zhang Zhao, Wang Wenzhi and Liu Yong in the Qing Dynasty. Liu Yong (1719–1804) assimilated all the merits of model calligraphy in the Qing Dynasty, impeccably combining the mellowness of Zhao Mengfu with the comeliness of Dong Qichang. Liu’s running script possessed internal vim and vigor, and impressed with its cool splendor. After Liu Yong, the model calligraphy school began to decline. In the reigns of Jiaqing and Daoguang, a new upsurge inspired literary scholars to study Han and Wei stele inscriptions. For a while, in the stele calligraphy sphere that had remained static for centuries, there emerged a large number of outstanding stele calligraphers, such as Jin Nong, Zheng Xie, Deng Shiru, Yi Bingshou, He Shaoji, Zhao Zhiqian and Wu Changshuo. Having mastered the Han stele calligraphy, Zheng Xie pooled the essence of regular script, cursive script, seal script and clerical script to generate his unique calligraphic handwriting style, “liu fen ban” (the improved bafen of clerical script combined with the styles of regular script, seal and cursive script). Deng Shiru (1743–1805), who achieved the highest attainment in stele school calligraphy, incorporated clerical script technique to his seal script brush technique, and greatly enriched the toolmanipulating art in clerical script with the lines round, thick and heavy to look potent and seasoned, thus promoting the development of small seal script to its highest stage.

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學 CHAPTER TWENTY FOUR

Schools and Imperial Civil Service Examinations Various Kinds of Schools

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Free-style calligraphy of“學”(xue) means “learning” in Chinese

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Various Kinds of Schools The concept of schools as institutions to impart knowledge is believed to have appeared in China as early as the Xia Dynasty, and the words “teaching” and “learning” were found in oracle inscriptions of the Shang Dynasty. In the Western Zhou Dynasty, educational institutions were divided into national colleges and local colleges, both set up and sponsored by the imperial government for the youth of noble families. During the Spring and Autumn Period, private institutes began to emerge, and Confucius initiated Confucian private schools. By the Han Dynasty, both public and private institutes had extensively developed and an educational system from the central government to local administrations had been established gradually. This laid the foundation for the development of various kinds of schools in later dynasties.

Central Government Institutes Since the Han Dynasty, central government institutes had been classified into Taixue (the national university), Guozixue (the imperial school for children of high ranking officials), Simenxue (the Four-Gate School, an elite school established first at the four gates of the capital), Zongxue (the aristocratic clan school), Wuxue (the martial arts school) and some special colleges of law, philology, mathematics, painting and medicine. Taixue (The National University) In the fifth year of the Jianyuan Period under Emperor Wu in the Han Dynasty (136 BC), the imperial government introduced an official scholastic title—Mentor of the Five Classics. In the fifth year of the Yuanshuo Period (124 BC), fifty students were enroled and tutored by the mentors. That was the beginning of Taixue. In the Sui Dynasty, Guozijian (the Imperial Ministry of Education) was in charge of all the national educational institutions, and Taixue was then taken in as one of its five attached schools. In the Tang Dynasty, Taixue became one of the six schools, together with Guozixue, Simenxue, Lüxue (the law school), Shuxue (the philology school) and Suanxue (the mathematics school). All the students enroled in Taixue were children of officials above Rank Five. The teaching staff included three mentors and three assistant lecturers for the five hundred students. At the beginning of the

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Song Dynasty, Guozijian was re-established as an imperial college and enroled a few children of officials above Rank Seven. During the reign of Emperor Renzong, Taixue was established to recruit children of civil and army officials below Rank Eight and talented youth from civilian families. At the time of Emperor Shenzong, the imperial government enlarged Taixue and adopted the rule of Three Houses Standard to place the students into the Upper House, the Inner House and the Outer House. The number of students gradually increased from 1,000 to 2,400. At the time of Emperor Huizong, there were altogether 3,800 students. Generally speaking, the students enjoyed subsidies from the government. The Confucian classics were used as the main teaching and learning materials. The students were assessed on their performance at the yearly test, monthly test and a final examination at the end of each year. Upgrading from the Outer to the Inner and then to the Upper House depended on the students’ academic grades and skills. According to their achievements, the students of the Upper House could be granted the privilege either to skip the provincial examination or the ministry examination. Some of them could even be directly appointed to official positions. In the Ming Dynasty, Guozijian was reformed into the most advanced institution of higher learning, called Guoxue for short and commonly known as Taixue. The Guozijian students were elite students selected from schools of every county, prefecture and province. The Qing Dynasty adhered to the system of the Ming Dynasty in setting up six lecture departments named Hall of Frankness, Hall of Fortitude, Hall of Integrity, Hall of Justice, Hall of Ideals and Hall of Careers. Teaching officials included the president, the vice-president, the director of teaching, the mentors, the lecturers, the teaching assistants, the junior assistants, the bursar and the boarding manager. The teaching materials were largely the Confucian Four Books and Five Classics, used to prepare the students for the imperial examination. In the thirty-first year of the reign of Emperor Guangxu (1905) in the Qing Dynasty, the Ministry of Education was formally founded. Guozijian was thus abandoned. Guozixue (The Imperial School) During the reign of Emperor Wu in the Western Jin Dynasty, an imperial school, Guozixue, was set up in addition to the national university Taixue, to teach the children of officials above Rank Five. In the Tang

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Dynasty, Guozixue was the first of the six central schools under the administration of Guozijian. The three hundred privileged students were children of high officials above Rank Three. At the beginning of the Song Dynasty, the title Guozijian was adopted again for the most advanced institute of higher learning, which opened its doors to the students of officials above Rank Seven. In the second year of the Ruigong Period (989), the name Guozixue was once more given to the institute, though only for a few years. In the Ming and Qing dynasties, Guozixue was merged into Guozijian as “Guoxue” and the name Guozixue was no longer used. Simenxue (The Four-Gate School) In the twentieth year of the Taihe Period in the Northern Wei Dynasty (496), the official scholastic title Simen Mentor was taken for an elite school, Simenxue, at the four gates of the capital. In the Tang Dynasty, Simenxue was one of the six schools under Guozijian, with mentors and assistant lecturers as its teaching staff. The students were either from families above official Rank Seven, or outstanding youth of humble origin. Those who had failed in the imperial civil examinations for government positions could also register with this school. In the third year of the Qingli Period of Emperor Renzong in the Song Dynasty (1043), Simenxue was re-established. Children of civil and army officials below Rank Eight and children of common origin could all enrol. But the elite school did not last long before it was abolished. Zongxue (The Aristocratic Clan School) Zongxue was a elite institute where the children from royal clans received their education. During the reign of Emperor Ping in the Han Dynasty, aristocratic professors were assigned as teachers. The Northern Wei Dynasty reserved Zongxue for royal clans. In the Song Dynasty, Xiaoxue as a kind of Zongxue for young children was set up in all the palaces. Emperor Huizong reformed the system by dividing Zongxue into Daxue (for the youth) and Xiaoxue (for younger children), both of which were staffed by mentors, assistant lecturers and junior assistants. The Three Houses Standard was once again adopted. In the twentyfourth year of the reign of Emperor Jiajing in the Ming Dynasty, such clan schools were set up in all the royal residences. The required readings

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covered in the curriculum were Instructions of Ancestors and Former Emperors, Deeds of Fealty, the “Four Books,” the “Five Classics,” “Comprehensive Mirror Providing Material for Government” and Great Compendium on Nature and Pattern. The system of the Ming Dynasty was inherited by the Qing Dynasty, when all the royal Eight Banners had their own clan schools, teaching the Manchu and Han languages, equitation and archery. Wuxue (The Martial School) In the third year of the Qingli Period in the Northern Song Dynasty (1043), a school specializing in martial arts was set up, but was closed some time later. In the fifth year of the Xining Period (1072), Wu Xue was restored. Instructors and other officials were assigned there to teach the hundred students about the different schools of military tactics and strategies as well as the practical skills of infantry, equitation and archery. In the third year of the Chongning Period (1104), the imperial government adopted the Three Houses Standard of Taixue. In the Ming Dynasty, Wuxue was usually set up in the court garrison and other royal garrisons, enroling military officers above the age of twenty-five and children above the age of ten from official families. The students were required to study the Analects of Confucius, Mencius, Seven Military Classics and Biographies of a Hundred Generals in addition to the practice of shooting, horse riding and martial arts. Students with excellent academic records could be sent directly to the Ministry of War and were appointed to official positions after certain tests. The other students could choose either to take the imperial examination or to enter Guozijian, after donating a sum of money. The Qing Dynasty also had Wuxue as its martial schools, which had similar rules to those during the Ming Dynasty. Shuxue (The Philology School) During the reign of Emperor Wu in the Western Jin Dynasty, Mentor of Calligraphy was an official title given to those who taught the art of calligraphy to the students of Shuxue. In the Tang Dynasty, Shuxue was one of the six schools under Guozijian, whose students were the children of civil and military officials below Rank Eight and commoners. In the third year of the Chonginng Period (1104), the Song Dynasty set

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up Shuxue to train students in the arts of seal script, clerical script and three different styles of running script. The five required textbooks were Shuowen (a dictionary with detailed explanations and analyses of the Chinese characters), Zisuo (a dictionary with detailed explanations of the Chinese characters), Erya (a proto-dictionary in the form of a collection of early glosses and explanations of words appearing in Zhou texts), Boya (a broadened and refined thesaurus, complementary to Erya) and Fangyan (the first dictionary of dialectology in China). The students were also required to have a good understanding of the general ideas in Analects of Confucius and Mencius. The students numbered five hundred, and they could be upgraded by the same procedure of the Three House Standard. Suanxue (The Mathematics School) At the beginning of the Sui Dynasty, a mathematics school Suanxue was set up in Guozi Temple. In the Tang Dynasty, Suanxue was one of the six schools under Guozijian with students from the families of civil and military officials below Rank Eight and commoners who were expert at arithmetic. In the third year of the Chongning Period (1104), the Song Dynasty founded its Suanxue with 210 students, who were taught from books such as Nine Chapters on the Mathematical Arts, Classics of Zhou Bi’s Calculation and other books of the Five Classics of calculation. The Book of Change or Books of History were also listed as optional readings. The Three House Standard was used here as well. Suanxue was abandoned in the Yuan and the Ming Dynasties. In the fifty second year of Emperor Kangxi (1713), the Qing Dynasty reestablished Suanxue with a batch of sixty students. Lüxue (The Law School) During the period of the Three Kingdoms, Emperor Ming of the State of Wei initiated the official position of Mentor of Law and recruited students for the first law school, Lüxue. In the Tang Dynasty, Lüxue was one of the six schools under Guozijian, with the first batch of fifty students being sons of civil and military officials below Rank Eight and commoners. At the beginning of the Song Dynasty, Guozijian assigned mentors of law to teach laws and decrees. In the sixth year of the Xining Period (1703), the imperial government established Lüxue. All the court

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officials and juren (people who passed the ministry examinations) could register to take courses at the different halls. Their tasks included the study of laws and decrees and the procedures to settle lawsuits. Yixue (The Medical School) In the twentieth year of the Yuanjia Period (443), the Southern Song Dynasty established the first medical school, Yixue, but closed it not long after. The Sui Dynasty set up the specific position of medical mentor to train disciples at the Imperial Physicians Bureau. The Tang Dynasty followed this system and divided the specialty into four medical branches of medicine, acupuncture, massage and incantation, each staffed by mentors and assistant lecturers with a fixed number of disciples. At the beginning of the Song Dynasty, the imperial government established the Imperial Physician Section under the supervision of the Taichang Temple, recruiting trainees in different branches. In the second year of the Chongning Period (1103), Emperor Huizong opened a medical school, Yixue, and placed it under the administration of Guozijian. The teaching staff included mentors, lecturers and teaching assistants. The subjects included pulse-checking and prescription, acupuncture and surgery. The compulsory books included Questions of Fundamental Nature, Classics of Medical Questioning, Classics of Pulse, Chao’s Treaties on Sources of Diseases, Supplement to a Thousand Golden Prescriptions (an encyclopaedia of traditional Chinese medicine), and Notes to Treatise on Febrile Diseases. The students were tested, selected and promoted according to the Three House Standard formulated by Taixue. Huaxue (the Painting School) In the third year of the Chongning Period (1104), Emperor Huizong in the Song Dynasty set up the first painting school, Huaxue. The students studied paintings of Buddhist portraits, figures, landscapes, birds and animals, houses and gardens, flowers and bamboo. They also needed to have a good mastery of the Confucian classic books, such as Shuowen, Erya, Fangyan, and Shiming (a semantic dictionary of the Han Dynasty). The number of students was not rigidly limited. Students were divided into officials and commoners according to their different family backgrounds, and stayed in their respective dormitories. Huaxue also used the Three House Standard to test, select and promote students.

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Local Public Institutes Emperor Wu of the Han Dynasty mandated that all the states appointed educational executives. All the states in the Northern Wei Dynasty established schools. In the Sui and Tang dynasties, prefecture schools and county schools also appeared. In the first year of the Qianxing Period (1022) in the Song Dynasty, schools were also set up in prefectures. The fourth year of the Qingli Period (1044) witnessed a blossoming of schools. Imperial decree stated that schools should be set up in all the provinces, prefectures and districts. Counties were also entitled to set up schools if the enrolment surpassed two hundred. Emperor Shenzong attached great importance to education and he was enthusiastic about establishing schools. Under his reign, all the capital cities, provinces and prefectures had their own schools. Learned scholars in each district were appointed as official professors. The reign of Emperor Huizong ushered in the third wave of education. The Three House Standard was retained as an accepted system. Prefecture and county schools became increasingly popular. Enrolments in schools all over the country reached 167,622. In the second year of the Hongwu Period (1639) in the Ming Dynasty, all the prefectures and counties were officially ordered to set up institutes soon after the national Taixue was established. At the beginning of the Ming Dynasty, bright children of the common people and the officials above the age of fifteen could go to state-run public institutes with the requisite that they had already learned the Four Books. Later, it was made a rule that examinations (also called Tongzishi) at three levels of county, province and ministry had to be organized and presided over in person by the county magistrates, provincial governors and the minister of education respectively. Only those who passed all the examinations could be accepted into public institutes. Students from the counties and prefectures were divided into three groups—the boarding group was called “Linsheng,” the extra-enrolment group was called “Zengguang” and the off-campus group was called “Fuxue Shengyuan.” All were entitled to the privilege of exempting themselves and two other family members from the government’s compulsory service. Students from the boarding group could also receive a monthly grant for board. The curricular focus of students in the public institutes was the Four Books and the Five Classics. As a rule, the students had to pass monthly examinations and seasonal examinations. The minister of education

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conducted the annual examination to decide whether the students were dismissed or promoted, according to their grades. The Qing Dynasty inherited the system from the Ming Dynasty, which further enhanced the public institutes.

Shuyuan (The Academy of Classical Learning) The academy of classical learning (shuyuan) was an educational institution which was tasked with cultivating talent, carrying out academic research and spreading culture. The academy of classical learning made its first appearance in the prime of the Tang Dynasty. Originally, it referred to a specific government agency for bookcompiling, book-collecting and proofreading. By the late Tang Dynasty, private academies of classical learning followed suit, with the additional functions of private studying and collective teaching. From then until the Five Dynasties, the chaos resulting from the continuous wars brought an end to the public institutes. Scholars usually went to famous mountains and scenic spots to set up academies and studies for research and collective teaching. Such kind of academies evolved into educational organizations with lecturing as their major function. At the beginning of the Song Dynasty, there were few public institutes. Many scholars established their own academies. The well-known ones were Bailudong Academy, Yingtianfu Academy (Suiyang), Yuelu Academy and Songyang Academy—the Four Grand Academies. After the reign of Emperor Renzong, public institutes grew in number, while academies of classical learning became less popular. In the Southern Song Dynasty, academies were rejuvenated. Since Emperor Xiaozong, officials were enthusiastic about setting up academies, spreading them throughout almost the whole country. The majority of the Song academies were academic societies run by local people. Mentors employed as teaching staff were addressed as Hill Master or Cavern Host according to the geographical location of the academy. Regulations stipulated that scholars be invited to give lectures and that students be allocated to different classes to study mainly on their own. Academies provided the students with dormitories, desks and food and assessed them using the credit system. In the Song Dynasty, academies were often the places where famous scholars gave lectures, but in most cases they were places where students occupied themselves in preparing for the imperial examination. In the Yuan Dynasty, all levels of administrative districts established

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Bailudong Academy (Song Dynasty)

their academies, the ownership of which shifted from the local people to the central government. The imperial court appointed a Hill Master to each academy. At the beginning of the Ming Dynasty, the public Guanxue regained its prevalent position while the academies gradually disappeared. After the Zhengde Period (1506–1521), the academies again became popular and the Jiajing Period (1522–1566) witnessed a

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mushrooming of academies. The Academic Sect headed by Wang Yangming and his disciples had an enormous impact on the development of such educational institutions and played a guiding role in education during the mid-Ming Dynasty. The number of academies then is estimated to be more than 1,200, among which the Jishan, Bailudong, Yuelu and Donglin Academies were regarded as the most famous. Wang Yangming was the founder of the Jishan Academy. The revival of the Bailudong and Yuelu Academies also owed a lot to the Sect headed by Wang Yangming. The Donglin Sect founded the Donglin Academy in the late Ming Dynasty. Gu Xiancheng, Gu Yuncheng, Gao Panlong and some other figures of the Donglin Sect lectured at this academy, commenting on the merits and demerits of government affairs. Their lectures resulted in the Donglin Academy becoming a center for political activities. In the middle and the late period of the Ming Dynasty, the Donglin Academy was closed by the authorities four times (in the sixteenth and seventh years of Jiajing’s reign (1537 and 1538), the seventh year of Wanli’s reign (1579) and the fifth year of Tianqi’s (1625)) for its leading role in opposing the orthodoxy of Zhuxi School and the monopolization of the eunuchs. In order to prevent scholars from forming cliques and interfering in imperial affairs in the name of giving lectures, the authorities prohibited the establishment of academies of classical learning at the beginning of the Qing Dynasty. When Emperor Kangxi was in power, however, academies regained favor and emerged in greater numbers. In the eleventh year of his reign, Emperor Yongzheng (1733) ordered that funds be granted to provincial governments for the establishment of academies. All the capital cities, prefectures and counties started founding academies as special places for people to prepare for the imperial examination. In the first year of the reign of Emperor Qianlong in the Qing Dynasty, an imperial decree declared that “in regards to talent cultivation, the system of academy outmatched that of schools.” In the late Qing Dynasty, the New Policy was adopted by the imperial government. In the twentyseventh year of his reign (1901), Emperor Guangxu issued an edict that changed all the academies of classical learning into a comprehensive educational institution called xuetang.

Private Educational Institutions The private educational institutions, the general term for all the miscellaneous educational systems that were privately run, began in the

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Spring and Autumn Period and became popular in the Han Dynasty. Their names reflected their functions—Xueguan (learning society) for illuminative education and Jingshe (intensive reading house) for teaching Confucian classics. Paternal family teaching also went on down the generations. After the Sui and Tang dynasties, the numbers and types of private schools increased. There were household schools called Jiashu, private schools called Sishu, rural schools called Cunshu, commune schools called Sexue, classics study houses called Jingguan, intensive reading houses called Jingshe, illuminative primary schools called Mengxue, charity schools called Yixue, and winter schools called Dongxue. Mengxue (The Illuminative School) Mengxue was also called “Xiaoxue” (elementary school). It was a general term for private schools where young children received their illuminative education. It included household schools, rural schools, winter schools and charity schools. In the Han Dynasty, illuminative schools were usually called Xueguan, learning houses, and the teachers were addressed as Shushi (master of books). The teaching materials consisted of the Essays of Cang Jie (Cang Jie is the legendary figure who is credited with inventing Chinese characters), Jijiu Pian, Classic of Filial Piety and the Analects of Confucius. During the Tang and Song dynasties, illuminative schools gave priority to reading, literacy and writing to ensure the students were well prepared to enter public schools or academies of classical learning, or to take the imperial examination. The teaching materials covered Three Character Maxims, Hundreds of Family Names, Thousand Character Verse, Poems by a Thousand Masters, and the Four Books and Five Classics. Three Character Maxims and Hundreds of Family Names, compiled in the Song Dynasty, are famous in the history of Chinese education. They served as models for the many books for illuminative readers written by later generations. In the Ming and Qing dynasties, illuminative schools were sometimes called Mengguan, meaning illuminative houses. Sishu (The Private Household School) Sishu was a type of private primary school, usually at the household level. Some tutors opened Sishu in their own homes, while some businessmen and landlords engaged tutors to teach their children in their

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homes. Similar schools were also established by villagers, by raising funds. Generally speaking, Sishu were small in scale, from a handful to a dozen or so pupils at the most. Most Sishu functioned as illuminative schools to teach basic reading and writing. Yixue (The Charity School) A type of private charity school, Yixue (sometimes called Yishue) was established in most cases by officials or squires, using public funds or sponsored money. It offered free education for children of a clan or rural area. The famous Song scholar, Fan Zhongyan, for instance, once set up Fan’s Yixue in the Tianping Mountain of Suzhou to teach children from his clan free of charge. In the Qing Dynasty, schools were founded by local governments to offer free education to children who could not afford to pay tuition. These schools were another category of Yixue. In the forty-first year of Emperor Kangxi (1702), the Emperor gave permission for a Yixue to be set up outside the Chongwen Gate of the capital. He also had a stele erected at the school, which bore his handwritten inscription “Cultivating Talents Widely.” The budget of this school was supplied by the provincial government each month. Shexue (The Commune School) Shexue was a form of school established in certain communities. It is said that She Xue already existed in the Song Dynasty, but the Shexue established by government mandate were not opened until the seventh year of the Zhiyuan Period (1270), the reign of Kublai Khan in the Yuan Dynasty. During that time, the imperial government stipulated that every fifty families be made into a community and every community be equipped with a school. People well versed in Confucian classics were engaged as teachers. It was decreed that children of the commune were to study in the school between the busy seasons. The elementary course books were Classic of Filial Piety, The Great Learning, Analects of Confucius and Mencius. After Emperor Kublai Khan, the collapse of the communes meant that Shexue existed in name only. In the eighth year of the Hongwu Period in the Ming Dynasty (1375), Emperor Zhu Yuanzhang ordered the magistrates of each administrative level to establish Shexue. He also commanded them to continue the practice of inviting Confucian scholars to teach the children about the Three Character Maxims, A Hundred Family Names, Thousand

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Character Verse, and the Four Books and Five Classics. At the beginning of the Qing Dynasty, it was the rule that every town in the provinces directly under the central government had to establish a She Xue. People of excellent character and learning were engaged as teachers; they were provided with free room and board and were exempt from compulsory military service. Local children over the age of twelve could attend the school.

The Imperial Civil Service Examinations The imperial civil service examination (keju) was basically an assessment system. The subjects were decided by the imperial court, and the students’ results determined who would be selected for government service. Scholars could register for the examination at their will. This imperial examination system originated in the Sui Dynasty, was developed in the Tang Dynasty, and was perfected in the Song Dynasty. It continued up to the Yuan, Ming and Qing dynasties, covering a period of 1,300 years. It played an important role in Chinese history and had far-reaching consequences. The imperial examination mainly included the categories of Gongju (the examination for candidates recommended by local governments), Zhiju (the examination specially set up by the emperor), Wuju (the examination of martial arts) and Tongziju (the examination for juveniles). Gongju was held at regular periods, so it was also called Changke (regular examination); it survived the longest and the number of officials selected through it was the largest. Consequently, its influence on society was considerable.

Gongju (The Examination for Candidates Recommended by Local Governments) The Examination Subjects of Gongju Throughout the history of the Chinese imperial examination system, the examination subjects of Gongju constantly changed. In the Sui Dynasty, there were four subjects—Xiucai (political and economic issues), Jinshi (poetry and current affairs), Junshi (designed for candidates of humble origin) and Mingjing (Confucian classics). The Tang Dynasty, which inherited and developed the Sui examination system, added three more

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Imperial examination hall in Beijing

subjects—Mingfa (philosophy), Mingshu (calligraphy) and Mingsuan (arithmetic). Mingjing was subdivided into the Five Classics, Three Classics, Two Classics, One Academic Classic, Three Rituals, Three Biographies, Three Histories and Kaiyuanli (ceremonial and ritual regulations). The subjects Junshi and Xiucai were abolished before long, and Mingfa, Mingshu and Mingsuan were used only for selecting the especially talented. Therefore, in the Tang Dynasty, the examination subjects were mainly Jinshi and Mingjing. The early Northern Song Dynasty followed the Tang and the Five Dynasties in retaining Jinshi and Mingjing for the imperial examination. The Song Dynasty inherited Mingjing for the imperial examination, with its subdivisions of the Nine Classics, Five Classics, Three Rituals, Three Biographies, Three Histories, Academic Classics, Philosophy and Ritual Regulations. In the fourth year of the Xining Period under Emperor Shenzong in the Song Dynasty (1071), Wang Anshi reformed Gongju. As a result, Mingjing and some other subjects were abolished while the subject Jinshi was singled out for choosing scholars. The Yuan, Ming and Qing dynasties followed the lead of the Song Dynasty in reserving Jinshi for recruiting officials.

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Qualifications for Candidates of Gongju Gongju candidates were not chosen by either family background or referral. Except for those in mourning for their parents, any honest, healthy and well-behaved scholar could sit for the imperial examination held each year. This was referred to as “recruiting elites regardless of their family background.” This policy greatly broadened the range of talent for selection and strengthened the foundations of the imperial government. Selective Examinations In the Sui, Tang and the Five dynasties, Gongju was divided into the two levels of Jieshi (the prefectural examination) and Shengshi (the ministry examination). The first emperor of the Song Dynasty added Dianshi (the palace examination), and thus began the three-level selective system of provincial, ministry and palace examinations, which were transformed into Xiangshi (the provincial examination), Huishi (the ministry examination) and Dianshi (the palace examination) in the Yuan, Ming and Qing dynasties. In the Tang and Song dynasties, the examination to assess the qualifications of the examinees for the higher level of the ministry examination was Jieshi (the prefectural examination). In the Sui, Tang and Five Dynasties, Jieshi was held yearly, but it was reduced to once every three years from the mid-Northern Song Dynasty. In the Yuan, Ming and Qing dynasties, the name of the examination was changed to Xiangshi, which was held in the government agencies of Shuntian (Beijing), Yingtian (Nanjing) and the imperial examination hall in the capital city of each province. In the Tang and Song dynasties, the examination rooms were similar to those of the present. But in the Ming and Qing dynasties, a separate room was prepared for each examinee, in which he answered the papers, ate and slept during the whole examination process. Both Jieshi and Xiangshi were held in August. Each district had an enrolment quota. Those who succeeded in passing Jieshi or Xiangshi were titled Dejie Juren and Juren, meaning successful candidates in the imperial examinations at the provincial level. The top candidate was titled Jieyuan. In the Tang and Song dynasties, the retrial of Juren was held in the Ministry of Education, thus the name Shengshi (ministry examination). In the Tang Dynasty, those who passed Shengshi would be given the title of Jinshi. In the Song Dynasty, when the palace examination was

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established, Shengshi was the intermediate rung for taking the palace examination. In the Yuan, Ming and Qing dynasties, Shengshi was renamed Huishi, and was held by the Ministry of Rites in January or February. It, too, had an enrolment quota. Dianshi (the palace examination), the highest of the three-level imperial examination, was a re-examination of the successful candidates in Shengshi or Huishi. It was presided over by the emperor in person, usually at the central hall of the imperial palace. In the Song Dynasty, for example, Dianshi was held in the Chongzheng Dian (the Imperial Hall of Administration); in the Qing Dynasty, it was held in Baohe Dian (the Imperial Hall of Preserving Harmony). The examination was generally held in March in the Song, Yuan and Ming dynasties. Under the reign of Emperor Qianlong of the Qing Dynasty, the examination date was set as April 21. After the mid-Northern Song Dynasty, all qualified Dianshi candidates (the palace examination) would not fail. They would only be re-ranked according to their examination scores. In the Song Dynasty, the Dianshi results were classified into five levels. Those who entered the first two levels were called Jinshi Jidi (Imperial Scholars), those in the third and fourth levels were called Jinshi Chushen, and in the fifth level Associate Jinshi Chushen. In the Ming and Qing dynasties, the five levels of the Dianshi result were reduced to three. The first three Level One winners were all honored as imperial scholars, with the top one called Zhuangyuan (champion), the second and third finishers Pangyen (runner-up) and Tanhua (the second runner-up) respectively. The Level Two winners were given the title Jinshi Chushen, and the Level Three winners, Associate Jinshi Chushen. The names of these successful candidates were exhibited on a golden billboard to be admired by the public, which was regarded as the greatest honor. Rules of the Examination Rooms Since the recruitment of the government civil officials and the corresponding ranks depended totally on the scores from the proficiency tests, it was necessary that the imperial examination should be open, valid and fair. To prevent favoritism and fraud, every government in all the dynasties introduced examination rules, such as the following: First, the doors to the imperial examination hall had to be locked. The rule was established from the time of the Song Emperor Taizong. It demanded that the major examiner stay inside the hall from the moment

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The golden billboard showing the winners of examination

he was assigned the mission until the result of the examination was published. In this way, communication between the examiner and other officials was cut off. Second, the non-kin examination system was set up to avoid suspicion caused by kinship between the examiner and the examinees. To ensure fairness, separate test papers and rooms were arranged for the offspring and relatives of the examiner. But this system, established at the time of Emperor Xuanzong in the Tang Dynasty, was not fixed until the Song Dynasty. In the Ming and Qing dynasties, the imperial government made even stricter rules that the offspring and relatives of the chief examiner were not allowed to take the examination under his invigilation. Third, seats in the examination room were allocated according to the name list, which permitted no adjustment. From the Song Dynasty, seats were prearranged and announced on the bulletin board before the examination. Examinees were required to take seats accordingly and no changes were allowed. Fourth, examinees were forbidden to bring books, transmit notes or ghost-write. To prevent cheating, from the Song Dynasty on, inspectors and patrolmen were assigned to check on the examinees at the entrance

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of the examination hall and to patrol in the hall during the examination. Any examinee found cheating was punished severely. For example, in the seventh year of the Hongwu Period (1374), the first emperor of the Ming Dynasty ruled that if an examinee took books into the examination room, he would be compelled to wear a cangue for a whole month in front of the examination hall and would be demoted to commoner status at the end of the month. Rules for Paper Marking Regarding paper marking, a set of rigorous rules was formulated after the Song Dynasty. As the first step, the two Tang Dynasty practices of Gongjian (court official recommendation) and Gongjuan (showing examinees’ writings to those in charge of the ministry examination in advance) were abolished. Imperial examination papers became the only determinant for assessment. In the words of the Southern Song Dynasty poet, Lu You: “The selection is decided by nothing but the examination papers.” The second measure was the adoption of Fengmi (paper-sealing) and Tenglu (paper-transcription). Fengmi, also called Huming, involved sealing the examinee’s name, age, native place and information about three generations of his family. Numbers were also used instead of names to prevent favoritism in marking. But examiners could still identify the papers of their favored examinees by recognizing their handwriting. To solve this problem, Tenglu was implemented during the reign of Emperor Zhenzhong in the Song Dynasty. This was the practice of employing government clerks to transcribe what had been written in the sealed and numbered papers before they were sent to the examiners for marking. The cover of examination paper Fengmi and Tenglu played a key (Qing Dynasty) role in preventing cheating.

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Re-marking at several levels constituted the third measure in the system. In the ministry examination of the Song Dynasty, for example, each paper was given an initial score by the first official scorers, and was then passed to an inspector to check if the given score was reasonable. Finally, the officials in charge of the ministry examination made the final decision. Such a three-level marking system contributed greatly to guaranteeing fair play in the imperial examination marking system. The above methods did reflect, at least to a certain degree, the principles of “open examination, equal competition and first-rate selection,” which were effective in both choosing talented scholars and pleasing examinees. Components of the Examination After the Sui and Tang dynasties, Jieshi or Xiangshi (the provincial examination) and Shengshi or Huishi (the ministry examination) shared a lot in common. At the beginning of the Tang Dynasty, the only subject in Jinshi tested “ce” (the examinee’s ability to comment on current affairs). In the reign of Emperor Gaozong, writing in various genres and “tiejing” (filling blanks with missing phrases from the Confucian Classics) were added to the examination. In the first year of the Shenlong Period under Emperor Zhongzong (705), the three-session examination system was formed, with tiejing in the first session, writing in various genres in the second and ce in the last. The writing in various genres could be zhen (essay on aphorism), ming (essay on famous inscriptions), lun (argumentative essay) and biao (essay on memorials), prior to Emperor Zhongzong. After the Tianbao Period of Emperor Xuanzong, poetry appreciation and writing replaced the other genres to become the only form for the subject. At the beginning of the Song Dynasty, the imperial government followed the examination system of the Tang Dynasty and the Five Dynasties. The standard papers included a poem, a rhymed essay, a debate, five questions for expressing views, and knowledge on classics such as the Spring and Autumn Annuals or Book of Rites. The decisive part of the examination was the poems. In the Ming Dynasty, both the provincial examination and the ministry examination contained three sessions—the first had three questions on the gist of the Four Books and four questions on the Five Classics; the second included an essay written in the genre of debate, five

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true or false questions and one question on the writing of court edicts, prescripts, memorial to the throne and other court document forms; the third session consisted of five questions respectively from the classics, history and a debate on current affairs. The Confucian classics and historical records were assumed to be of primary importance, on their knowledge of which the imperial government determined scholars for official positions. The Qing Dynasty continued the general system of the Ming Dynasty, though with frequent alterations. The system was under constant change until the fifty-second year of Emperor Qianlong (1787), when it was more or less settled—the first session covered the composition of three essays on the Four Books and one five-character poem with eight rhymes; the second session, the composition of five essays on the Five Classics; and the third session, the writing of five essays about the Confucian classics, historical records and current affairs. From the twenty-seventh year of the reign of Emperor Guangxu, the system underwent another reform, with the first session covering five essay questions about China’s political and historical events; the second, five essay questions on the politics and arts of foreign countries; and the third, two questions on the Four Books and one question on the Five Classics. This new system was in place for only three years before the imperial examination was abolished. As for the palace examination, at the beginning of the Northern Song Dynasty it was composed of three poetry appreciation questions, three poem creations and three questions on administration. In the third year of the Xining Period of Emperor Shenzong (1070), the examination consisted of only one article about current affairs. This was carried on through the Yuan, Ming and Qing dynasties. Title Granting and Rank Conferring The famous poet Meng Jiao of the Tang Dynasty wrote in his poem “On Passing the Imperial Examination”: Forget past distress and today my heart Is filled with joy and wanders free. In the spring breeze, my horse gallops, With all the flowers in Chang’an for me to see.

Obviously, gaining the title of Jinshi was a high honor. The

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ceremony of the granting of the title was a pageant. First, the names of the successful candidates were proclaimed in the hall of the imperial palace. Then, a grand banquet was held to celebrate the success of the imperial scholars. Such banquets were specifically named Banquet by the Qujiang River in the Tang Dynasty, Good News Banquet and Qionglin Garden Banquet in the Song Dynasty and Enrong Banquet of Gratitude in the Yuan, Ming and Qing dynasties. Third, the record of enrolment was compiled. Fourth, the names of the imperial scholars were inscribed on a stone tablet. The earliest extant stone tablets were the three Yuan Jinshi tablets in the Confucius Temple in Beijing. Seventy-seven Ming Jinshi tablets and 112 Qing tablets were also in the Temple. Fifth, ranks were conferred and the candidates were appointed to official positions. In the Tang Dynasty, the Jinshi title could only allow appointment to official positions. To become officials, these scholars still had to pass the examination given by the Ministry of Personnel. However, after the reign of Emperor Taizong in the Song Dynasty, Jinshi could take an official position directly. The top imperial scholars could be conferred the title of Tongpan (official under district magistrate who administers lawsuits) or Zhixian (district magistrate). Other successful candidates would be appointed prefecture officials, such as Pan (assistant to a magistrate), Si (in charge of lawsuits), Bu (in charge of documents) and Wei (in charge of soldiers). In the Ming and Qing dynasties, Zhuangyuan (the top candidate in the palace examination) was appointed Xiuzhuan (compiler of the Hanlin Academy). Bangyan and Tanhua, the second and third candidates, were appointed Bianxiu (editor of the Hanlin Academy). Outstanding scholars of the second and third ranks (Jia) would be chosen as Shujishi (probational editor of the Hanlin Academy). Even the lowest official rank conferred to Tang imperial scholars was magistrate, much higher than in the Song Dynasty.

Wuju (The Examination on Martial Arts) Wuju, an imperial examination designed to select talented martial artists, was introduced in the second year of the Chang’an Period of the Tang Empress Wu Zetian (701). In October of each year, the candidates for Wuju selected from each prefecture through local examinations were sent to the capital city to take the examination at the Ministry of War in November. The tests in Wuju involved archery, shooting from horseback, shooting on foot, swordsmanship, weightlifting, language proficiency

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and an interview to check the examinee’s physical health. Those who passed the examination were awarded posts according to their results. Some were assigned to the Ministry of Official Personnel Affairs to be allocated duties according to their qualities. Others were conferred certain official titles without fixed duty. During the reign of Emperor Dezong, Wuju was abolished until the third year of the Yuanhe Period of Emperor Xianzong (808). The Tang Dynasty system was inherited by the Song Dynasty, and Wuju was introduced in the seventh year of the Tiansheng Period (1029). It was repealed again in the first year of the Huangyou Period (1049) and restored once more in the first year of the Zhiping Period. Government officials without criminal records or with minor misdeeds were allowed to register with the Ministry of War to take the examination. Commoners could also take the examination with the recommendation of officials in the imperial government. Wuju was divided into four levels—local, provincial, ministry and palace examinations. The general procedure was—shooting and equestrian skill were tested first, followed by writing comments on current affairs and answering questions concerning the military classics of “Sunzi” and “Wu Qi.” Those who passed the examination were granted the title of “Wuju Jidi” or “Wuju Chushen.” In the Northern Song Dynasty, successful candidates with excellent grades in both martial arts and ce were nominated to the position of assistant chiefofficial in the royal court; others were made officials, assistant officials and junior officials in local government agencies. In the Southern Song Dynasty, the Wuju system became increasingly similar to that of Jinshi. In the Yuan Dynasty, Wuju was abolished until the eighth year of the Tianshun Period in the Ming Dynasty (1464), when children of army officials were required to take the examination in each province. In the fourteenth year of the Changhua Period (1478), rules were set that both the provincial and ministry martial examinations of Wuju should emulate Wenju (the imperial examination). In the sixth year of the Hongzhi Period (1493), it was ruled that Wuju would be held every six years; in the seventeenth year (1504), it was changed to every three years. In the fourteenth year of the Zhengde Period (1519), it was stipulated in Rules of Provincial Martial Examination that in September every year local authorities should send examinees to the provincial governors and every prefecture and county government agency should send its examinees to the Government Secretariat to sit the provincial examination. The

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examination was presided over jointly by the provincial censor and the provincial governor. The examiners for Beijing and Nanjing were specially nominated by the Ministry of War. The examination included three sessions—shooting from horseback, shooting on foot, and a test on military strategies or a commentary on current affairs. Those who passed the examination were honored as Wu Juren (Imperial Martial Scholar) and sent to the Ministry of War to take the examination at ministry level the following April. In the first year of the reign of Emperor Jiajing (1522), the Rules of Ministry Martial Examination stipulated that the test components were shooting from horseback, shooting on foot, two essays to comment on current affairs (ce) and a topic to debate. Two officials from the Imperial Academy were the examiners, while four officials from the court and relevant ministry were associate examiners. The enrolment quota was decided according to need, and candidates were selected in sequence from the top down. In the fourth year of the Chongzhen Period (1631), the palace examination was added to Wuju. Imperial martial scholars thus selected were conferred titles such as Wu Jinshi or Wu Jinshi Chushen, just as in the Wenju system. The Qing Dynasty followed the Ming Dynasty in matching Wuju with Wenju at each level and the correspondent titles for the champion, runner-up and the third place, with the prefix “wu” (martial) to mark the difference between civil and martial. For the first three scoreholders, the champion (Wu Zhuangyuan) was conferred Assistant General (in Rank Three), the runner-up (Wu Bangyan) was given the title Youji (in Sub-rank Three, similar to Lieutenant General) and the third place (Wu Tanghua) was titled Dusi (in Rank Four, similar to Major General). The score-holders at the second level were all titled Shoubei (in Sub-Rank Four) and those at the third level were titled Associate Shoubei (in Rank Five). The rest of the Wu Jinshi were slotted into Sub-Rank Six and assigned to the Ministry of War for future appointment. Emperor Yongzheng simplified the stipulation. Under his reign, Wu Zhuangyuan would be titled first-rank imperial bodyguard (in Rank Three), and both Wu Bangyan and Wu Tanghua, second-rank imperial bodyguards (in Rank Four). Ten persons from the second level scoreholders were appointed third-rank imperial bodyguard (in Sub-rank Four). Similarly, sixteen persons from the third level score-holders were appointed “blue feather imperial bodyguard” (in Rank Six). When Emperor Qianlong was in power, he ordered the imperial government commanders to resit the Wu Jinshi registered in the Ministry of War and

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ranked them according to their results. The candidates with first and second proficiency levels were made battalion commander in charge of the garrison and the ones with the third level were made commander in charge of palace guards. In the twenty-seventh year of Emperor Guangxu, the martial imperial examination was abolished.

Zhiju (the Examination for Specific Talents) and Tongziju (the Examination for Juveniles) Zhiju (meaning Great Subject) was the general term for the imperial examinations temporarily set up by the emperor for the purpose of selecting special talents. Zhiju was highly popular in the Tang Dynasty and covered a number of subjects—over a hundred, according to the Tang records. The major ones were for talented scholars “with upright character and good at giving frank and constructive proposals to the court” and “with profound knowledge and practical skills.” In the Song Dynasty, the number of the subjects in the imperial examination was reduced to nine at the most. In fact, only the two subjects mentioned above and the one for scholars “with outstanding aptitude” were really used in practice. In the seventh year of the Xining Period under Emperor Shenzong (1074), Zhiju was abolished. Emperor Zhezong reintroduced the subject “with upright character and good at giving frank and constructive proposals to the court” in the second year of the Yuanyou Period (1087). However, the system underwent another fall and rise in the sixth year of the Shaosheng Period (1094) and the first year of the Shaoxing Period of Emperor Gaozong in the Southern Song Dynasty (1131). However, by the end of the Southern Song Dynasty, only one person managed to pass the tough test. In the Song Dynasty, scholars with or without official positions were all entitled to participate in Zhiju. By the end of the dynasty, the examination was divided into two levels— Geshi (the examination at the central library of the imperial court) and the palace examination. During Geshi, examinees were required to write six commentaries, the scores from which were streamed into five grades. The upper four grade holders were eligible to go to the imperial court for the palace examination. There the examinees were asked to write a commentary on current affairs. Those who passed the second examination were further placed into five levels. The first two were never really granted to anyone, so the third level was actually the highest. For

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the successful examinees without official position, the ranks conferred would accord with the Jinshi in Gongju. The official examinees were promoted according to their results. A total of twenty-two palace examinations in Zhiju was held during the Northern and the Southern Song Dynasties, though only forty candidates succeeded in passing the trial. The examination nevertheless helped identify a number of elite scholars for important positions. In addition to the above subjects, the imperial government of the Song Dynasty also designed a literary subject, Cike, to select officials for drafting imperial edicts and other documents. This subject included Grand Diction, Language Aptitude and Knowledge, Learnedness and Eloquence and Rhetoric and Semantics. No similar subjects existed in the Yuan and Ming dynasties. In the Qing Dynasty, however, Learnedness and Eloquence, Filial Piety and Devotion, Economics and the like were irregular subjects for Zhiju, but they were no longer held as crucial, nor did they develop into a fixed system. Tongziju (or Tongzike) was an examination designed specially for juvenile examinees. It was introduced in the Tang Dynasty. Juveniles under ten years of age who were well versed in one classic plus the Classics of Filial Piety and the Analects of Confucius could participate in the examination. Tongziju was abolished in the second year of the Guangde Period (764), only to be resumed in the third year of the Dali Period (768). The system was used in the Song Dynasty and it was made a rule that any juveniles under fifteen years, with adequate understanding of the classics and talented in composing poems, were entitled to take the Tongziju examination. In the second year of the Xianchun Period (1266), this examination was abolished.

Historical Functions and Defects of the Imperial Civil Service Examination The imperial examination system played a positive role in Chinese history. This view is upheld by making a comprehensive survey of Chinese history, where three different systems for selecting government officials were adopted—the hereditary, recommendation, and imperial examination systems. The last one placed no importance on family background or recommendations and the examinees’ results were the only decisive criteria. Such a selective approach embodied the principle

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of equal competition and selection of the best. It is acknowledged as the most advanced and most important system for selecting officials in ancient China. This can be seen from the following two aspects. First, the implementation of the imperial examination system gave all sectors of society the opportunity to work in government service, ending the aristocratic monopoly of high official positions and promoting the upward mobility of the entire society. As a result, a number of elite scholars experienced the “toiling in the field as laborers in the morning, and sitting in the imperial hall in the afternoon.” The second aspect was that the officials thus appointed were more knowledgeable and of higher quality than those who were appointed because of their parents’ influence, or those who purchased their positions with money. Another merit of the imperial examination lies in its enhancement of the development of culture and education. The imperial examination greatly stimulated people’s enthusiasm for learning. A rhyme of the time was: “The emperor favors only the talented; the classics alone cultivate the elites; everything appears inferior, when compared with books.” Such fervor encouraged a great number of scholars and the demand for books about Confucian classics, history, philosophy and literature increased dramatically. This, in turn, spurred the development of the papermaking industry and printing techniques. The central government institutes, public schools at different levels, academies of classical learning and various other forms of private schools likewise saw an unprecedented growth. All these were a powerful impetus on the development of the society as a whole. The imperial examination system in China embodied the principles of open and fair competition for the best candidates. The principle has been applied to modern civil service systems in some western countries, with good effect. As to contemporary China, elements of the ancient system are still evident. The examination system carried out at present, for example, has retained the procedures of sealing up papers, arranging seats according to examination numbers, forbidding any kinds of cheating, and assessing the examinees according to their examination results. The imperial examination system, which once played a positive role in Tang and Song dynasties, began to show its multiple flaws. These flaws became increasingly obvious and made the system less and less capable of meeting the demands of social development in the late

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period of the Qing Dynasty. However, owing to the corruption and incompetence of the Qing Dynasty, the imperial government was too weak to carry out badly needed reforms to the system. As a result, the imperial examination system never evolved into a system similar to the national civil services of the West. Rather, it was simply abolished in 1905.

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創 CHAPTER TWENTY FIVE

The Development of the Four Great Inventions in the Song Dynasty The Development of Papermaking Technology in the Song Dynasty

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The Development of Woodblock Printing and the Invention of Movable Type

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The Invention of Gunpowder and Firearms in the Song Dynasty

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The Invention and Application of the Compass

578

Free-style calligraphy of“創”(chuang) means “innovation” in Chinese

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The Four Great Inventions of ancient China—papermaking, printing, gunpowder and the compass—had a far-ranging global impact. Papermaking can be traced back to the Han Dynasty, block printing and gunpowder to the Tang Dynasty, and the compass and movable type to the Song Dynasty. All four inventions owe their successful development to the cultural and economic flowering in the Song Dynasty. They were the quintessence of achievements in ancient China and occupy an important place in the history of science and technology, representing China’s significant contribution to world civilization.

The Development of Papermaking Technology in the Song Dynasty Further Advancement of the Papermaking Technology Papermaking originated in the Han Dynasty, and owed its development to the court official Cai Lun (see Chapter 15 “Science and Technology in the Han Dynasty”). In the Tang Dynasty, papermaking technology improved and many paper mills were built. Hemp paper remained popular and the output was significant. During the reign of Emperor Xuanzong in the Tang Dynasty, the Jixian Academy of Classical Learning alone needed a monthly delivery of five thousand sheets of paper manufactured in Sichuan Province. Paper made of rattan enjoyed a good reputation because of its fine quality. However, only government officials could afford to use this kind of paper. In the middle and late Tang Dynasty, bamboo began to be used as a raw material for papermaking in the south. Bamboo fiber was both stiff and liable to rupture, causing problems in its production. The appearance of bamboo paper indicates that in the Tang Dynasty such problems had already been solved. Other techniques in the papermaking process, such as the proper application of alum and glue, the coating of powder and wax, the sprinkling of golden scraps, and color dyeing were also improved. Consequently, new paper types became available, among which were the well-known jade-white xuan paper, the ten-color writing paper, the fivecolor damask-like paper with golden scraps, the delicate Xue Tao scarlet writing paper and fancy paper with multiple patterns of flowers, birds, fowls and animals. Papermaking technology further advanced in the Song Dynasty.

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The major production areas at that time were Huiji and Yanxi in Zhejiang Province, Huizhou and Chizhou in Anhui Province, Fuzhou in Jiangxi Province, Chengdu in Sichuan Province and Guangzhou in Guangdong Province. While paper for book printing and daily writing was manufactured in large quantities, many special paper types such as the jumbo roll paper and painting paper were also produced to cater for different demands. Papermaking practice was studied and summarized in monographs. For example, the four sections under “Pedigree of Papers” in Su Yijian’s work Four Treasures of the Study give an elaborate description of the processing and functions of various types of paper made from hemp, rattan, bark, bamboo and straw. With its comprehensive summary of papermaking technology in the Song Dynasty, this monograph has a very high academic value. Apart from bark, other common raw materials for papermaking in the Song Dynasty were bamboo and straw. Bamboo paper, invented in the Tang Dynasty and popularized in the Song Dynasty, was mainly manufactured in Jiangsu and Zhejiang provinces. In the early Northern Song Dynasty, however, there were still many problems with the quality of bamboo paper. As is recorded in Su Yijian’s monograph, in Jiangsu and Zhejiang, paper was usually made of tender bamboo. When thumbed, the fragile tissue of this kind of paper tended to fracture. Once fractured, it was really hard to paste. But the quality of bamboo paper rapidly improved in the ensuing years. This can be seen from the large number of calligraphy works on bamboo paper left by the Song people, affirming its high quality. Besides, from the perspective of its composition, bamboo is rich in fiber, which guarantees the superiority of bamboo tissue over hemp or rattan paper. In the Song Dynasty, bamboo paper gradually took the place of the other two kinds of paper to become the main paper in daily use. By contrast, similar paper did not appear in the West until the nineteenth century, about a thousand years later. In addition to bamboo paper, people of the Song Dynasty also refined the technique to make straw paper. From Su Yijian’s “Pedigree of Papers”: “The paper made of wheat and rice stalk in Zhejiang Province is very thin and crisp. With drier wheat straw and rattan, the quality could be even better.” This is the earliest record of straw papermaking. Just as with bamboo paper, straw paper was not used in the West until the nineteenth century.

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The Significant Improvement in Paper Dipping Technology In the Song Dynasty, the sizes of single sheets of paper grew increasingly bigger, with some even as long as three to five zhang (one zhang equals 3.12 meters). This is further evidence of the significant improvement in paper dipping technology. In his book Annotation on Writing Paper, Writing Brush, Ink Stick and Ink Slab, the author Tu Long mentioned that in the Song Dynasty there were paper sheets three to five zhang in length. Tao Gu, a famous writer, kept several such sheets at home. The paper looked like stretches of shining silk hence the name “Poyang White” (silky and shining like the water of the Poyang Lake). According to Su Yijian’s book, paper sheets of that size were mainly produced in the south of Anhui Province. The dipping process was undertaken in a boatlike long flume, a most advanced technique at that time. Another point indicating the improvement of paper dipping technology in the Song Dynasty was the wide use of papermaking additive, the so-called “paper drug” in the Ming Dynasty. In fact, this was a kind of plant mucilage, added to the paper pulp in the dipping process as a suspending agent. Paper thus treated turned out to be smooth and even, of much higher quality. Accounts of the use of paper drug are found in The Miscellaneous Information from Gui Xin Street by Zhou Mi in the Southern Song Dynasty: “When paper is being torn off, newly-smashed leaves of hollyhocks must be applied, otherwise the paper would get stuck and cannot be separated. If hollyhock leaves are not available, carambola vines, leaves of rose of Sharon and wild grapes may also do. All these are applicable for their function against stickiness.” China’s papermaking technology spread first to neighboring countries. By the third century, Vietnam had mastered the technology. Between the third and fourth centuries, it was introduced to Korea. Via Korea the Japanese learned the technology early in the seventh century and began to make their own paper. It was not until the eighth century that the Arab world learned the techniques. In the tenth year of the Tianbao Reign (751) in the Tang Dynasty, General Gao Xianzhi led an army of thirty thosand soldiers in a westward expedition. They fought the Arabian army in Talas but were defeated. Many Chinese soldiers, including some papermaking craftsmen, were captured. These craftsmen were sent to Samarkand, where they helped to set up the first Arabian papermaking mill. From then on, native-made paper began to appear in local Arabian markets. Around 794, the second papermaking mill was

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Fez 1100

Spain 1151

Morocco

Danmark 1635

Africa

Italy 1255

Holland 1586 Germany 1390 France 1189

Britain 1494

Swedan 1573

Norway

Egypt

Cairo

Hungary 1473

Poland 1491

Finland

Iran

Pakistan India

Samarkand 751

Route of paper-making technology to the West

Damascus

Moscow

Russia

Beijing

Xi’an

Chang’an

Thailand

Bunma Vietnam

China

Dunhuang

Philippines

Taiwan

Ryukyu

Korea

Japan 400–500

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established in Baghdad, and soon paper took the place of sheepskin as the common writing material. Later, Damascus and Bambyn in Syria both became famous for their papermaking industry. In 986, the Arabs conquered Morocco and in 1100 a new papermaking mill was built in Fez, the capital of Morocco, which subsequently became a papermaking centre. By way of Fez, the papermaking technology spread to Europe. In the early twelfth century the first European papermaking mill was built at Xtiva in Spain, where the abundant flax ensured a rich supply of source material for papermaking. In the thirteenth century, Italy started its first papermaking mill in Fabriano, after which the technology was spread to Germany. In 1390, papermaking mills were built in Nuremberg, and by the late fifteenth century, paper was widely used in most areas in Europe.

The Development of Woodblock Printing and the Invention of Movable Type The Block Printing Technique in the Tang and Five Dynasties Woodblock printing was invented in the Sui and Tang dynasties early in the sixth century. This technology involved the engraving of characters on a wooden board, which then was inked and used for printing. At that time, the technique was employed mainly in printing Buddha portraits, Buddhist sutras, poetry anthologies, books on rhymes, and books on science and technology, such as almanacs and medicine. According to the records of Shao Jingbang, a scholar in the Ming Dynasty, the earliest record of printing was Empress Zhangsun’s Paradigm of Womanhood (Nu Ze) printed in the tenth year of the Zhenguan Period (636) during the reign of the Tang Emperor Taizong. In the middle of the seventh century, “Xuanzang, the well-known monk in the Tang Dynasty, printed portraits of Samantabhadra with huifeng paper and distributed them widely to the public, consuming five loads of paper each year.” (From The Pleasant Records of Monk’s Garden quoted in The Notes by Yunxian written by Feng Zhi) In 1974, printed Mantras of the Dharani Sutra were excavated from the Xi’an Diesel Engine Plant; they are believed to be the earliest printed materials found to date. The Diamond Wisdom Paramita Sutra, the printing of which was funded by a man named Wang Jie in the ninth year of the Xiantong Period (868), is the world’s first woodblock printed

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The Diamond Wisdom Paramita Sutra (Tang Dynasty)

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book. Its verifiable printing date suggests the maturity of the printing technology at that time. Similar Buddhist sutras were also found among the books printed in Chengdu by the end of the Tang Dynasty. According to the writings of Yuan Zhen, a poet in the Tang Dynasty in the fourth year of the Changqing Reign (825), many people in Jiangsu and Zhejiang provinces had his poems block-printed and sold at the markets. The poems written by another well-known Tang poet, Bai Juyi, were also printed and circulated. In the mid-ninth century, Zong Rui, a well-known Japanese monk touring in China, returned home in the sixth year of the Xiantong Reign with a printed copy of the five-volume Rhymes of the Tang Dynasty and a printed copy of the thirty-volume Yu Pian (China’s first dictionary in the standard script). This suggests that at that time it was already possible to print books in volumes. In the second year of the Changxing Reign (931) in the Later Tang Dynasty during the Five Dynasties, Feng Dao began a project to engrave and print the Confucian classics. Owing to his and some other people’s work of twenty years, a hundred and thirty volumes of the Confucian classics were published and issued from the third year of Changxing to the third year of the Guangshun Reign, in a course with the successive reigns of four dynasties—the Later Tang, Later Jin, Later Han, and Later Zhou Dynasties. Engraved and printed at the same period were a large number of Buddhist sutras.

The Prosperity of the Woodblock Printing Industry in the Song Dynasty In the Song Dynasty, remarkable developments were made in both scale and the number of plates quantity in the woodblock printing industry, of which official printing (guanke), printer printing (fangke), and private printing (sike) were the three constituents. The so-called guanke was the industry operated by the government. The printing institution of the central government in the Song Dynasty was the National Ministry of Education, called Guozijian, the highest educational administration in feudal China. In May of the second year of the Jingde Reign, Emperor Zhenzong made a tour of inspection at Guozijian. He inquired about the quantity of the engraved plates and was informed: “At the beginning of the Song Dynasty, no more than four thousand plates were engraved. Now the number has surpassed a hundred thousand plates, covering mainly classics, biographies and rectified interpretations.” This meant

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that the number of plates engraved for printing in the National Ministry of Education had increased by twenty-five times during the forty years from the founding of the Song Dynasty to the second year of the Jingde Period. In addition to the many classics, sutras and historical records, a number of books on medicine was also engraved and printed in the National Ministry of Education. Fangke referred to the printing trade run by printers. Two such printeries at that time were very well-known, one run by Chen Qi and his son in the Song capital of Lin’an, and the other by the Yu family, an eminent clan with a long history of engraving craft in Jian’an. Sike meant to engrave and print books by personal funding. Books produced in this way were always edited and bound with great care and many such as The Collected Works of Han Yu and The Collected Works of Liu Zongyuan engraved and printed by Liao Yingzhong, enjoyed the reputation as masterpiece copies through the ages. Certain categories of books, mainly concerning Buddhism and Taoism, were produced in large numbers in the Song Dynasty (and also in the Liao and Jin dynasties). The printing of The Chinese Tripitaka, for instance, was begun in Chengdu in the fourth year of the Kaibao Period (971) in the reign of Emperor Taizu. This great sutra was composed of up to 1,076 categories in 5,018 volumes, and took twelve years and 130,000 plates to complete. In 1132 in the Southern Song Dynasty, Wang Yongcong in Huzhou sponsored the printing of 5,400 volumes of Buddhist books and finished the work within only one year. Without doubt, huge numbers of highly skilled workmen were involved. According to the records, usually about a hundred and twenty to a hundred and sixty craftsmen were assembled to engrave such colossal works. In the Liao Dynasty, the whole set of The Chinese Tripitaka was block-printed, among which five volumes were given to Koryo (now Korea) as presents. The Buddhist scriptures of the Liao Dynasty were also called Khitan Buddhist scriptures, reproduced in the Song edition. At that time, these books were printed with glutinous rice paste mixed with ink, an innovation in printing history. In the Jin Dynasty, the rare edition of Buddhist scriptures printed by the renowned Buddhist Cui Fazhen was presented to the court. The Taoist scriptures were also printed, with six or seven woodblock sets being done successively. In the Song Dynasty, woodblock printing flourished all over the country, with four areas as the most developed hubs—Chengdu and Meishan (in Sichuan Province), Kaifeng (the capital of the Northern Song Dynasty), Hangzhou (in Zhejiang Province), Jianyang and Masha

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(in Fujian Province). The Sichuan, Zhejiang and Fujian style were the distinctive styles. It is evident that in the Song Dynasty woodblock printing advanced rapidly, books were produced in huge quantities, and the techniques reached a high level. A number of block-printed editions exhibited high proficiency in all the aspects of craftsmanship.

The Invention of Bronze-plate Printing It is a belief held by many scholars in the academic field that bronze-plate printing was invented during the Five Dynasties, though there is so far no convincing evidence of this. What wins consensus is that bronze-plate printing was already in wide use in the Song Dynasty. In the Song Dynasty, many products were made by using the bronze-plate printing technology. Take the paper currency “Huizi,” for example. A bronze plate from the Song Dynasty for printing Huizi is preserved in the Shanghai Museum. It is rectangular in shape, with the denominational value engraved on the upper right and the printing number on the upper left. In the upper middle are the rules of punishment and reward that read: “Imperial Order: anyone who counterfeits Huizi will be beheaded; anyone who reports the crimes could be rewarded with one thousand strings of coins.” In the middle of

Bronze-plate printed commercial advertisement (Northern Song Dynasty)

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Paper currency “Huizi” (Southern Song Dynasty)

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the bronze plate there are five large characters engraved: “Issued by the Huizi Bank.” Flowery patterns at the bottom decorate the note. Among the collections in the National Chinese History Museum, there is a bronze-plate printed commercial advertisement from the Song Dynasty that reads: “Liu’s Gongfu Needle Shop in Ji’nan.” In its upper middle is printed the picture of a jade hare pounding medicine with a pestle, on both sides of which are the characters: “the trademark of a white hare can be found in front of the shop.” At the bottom there is a note, claiming that they “purchase high quality steel bars for the needles.” According to experts, this advertisement was printed in the Northern Song Dynasty. All these prove that in the Song Dynasty bronze-plate technology was already used in printing.

The Invention of Chromatic Printing It is believed that the use of chromatic printing technology in papermaking also began in the Song Dynasty. In The Pedigree of Sichuan Paper written by Fei Zhu in the Yuan Dynasty is the following piece of information: “In May of the first year of the Daguan Period, the local government treasury department Jiaozi Wu (Department of the Paper Money) was changed into Qianyin Wu (the Money Voucher Department). The printing set designed for Jiaozi (paper money) consisted of six plates. The four in black ink were—the imperial order, the printing number, the time of issuing and the back official stamp. The other two were the front seal in blue, and the bell-shaped grain in red. All the six plates bore decorative patterns, with the front seal and the bell-shaped grain engraved with stories.”

This record indicates that the widely circulated Jiaozi in the Sichuan area in the Song Dynasty was chromatically printed in three different colors of black, blue and red. The colored block-printed prints, such as “The Buddha of Brilliant Light with the Nine Luminaries” produced during the reign of the Tonghe Period in the Liao Dynasty and discovered in a wooden pagoda in Ying County of Shanxi Province in 1974, are the earliest chromatic prints found in the world.

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The Invention of Movable Type by Bi Sheng During the Qingli Period in the Northern Song Dynasty (1041–1048), a man named Bi Sheng invented movable type. Detailed records in The Dream Pool Jottings by a Song scholar named Shen Kuo read as follows: “Each piece of movable type has on it one Chinese character, which was engraved on a small block of moistened clay and was baked hard like earthenware. Each character has several pieces in store, with the frequently used characters such as zhi, ye made more than twenty pieces in case of repeated need in typesetting. When not used, the clay character pieces with the similar thickness of a copper coin were covered with paper and placed in wooden cases sequenced in the order of rhymes. When setting types, the typesetter will first coat a layer of agglutinant of mixed rosin, wax and paper ash in an iron plate. Then the needed clay characters will be taken from the wooden cases and laid out one by one in the iron plate until each vacancy is fully occupied in the iron plate, which then is framed with an iron hoop. The plate is then heated on fire to melt the agglutinant at the bottom. After that, the clay pieces are punched with a wooden board to guarantee the fastness of the glued bottom and the evenness of the surface side. As a last step, the surface of the layout characters is brushed with Chinese ink. Then everything is ready for the printing process. If a character is needed but is unprepared, it could be engraved offhand, baked hard and filled in the vacancy. This proves to be convenient and not at all timeconsuming. Higher efficiency is achieved when two iron plates are used simultaneously. While the first one is being used for printing, the second one is getting typeset. When the printing of the first one is finished, the typeset of the second one will be ready for printing. When it is the second plate’s turn for printing, the clay characters in the first plate are detached and reassembled for the new page. In this way, the printing could be done at a very high speed. To detach the clay characters from the iron plate, the worker will heat the iron plate again on the fire until the agglutinant melts, to allow the clay characters to be taken away easily from the plate. Owing to the nature of clay, the pieces will not get stained with the

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agglutinant. So the movable characters can be used repeatedly, with great convenience and efficiency, especially when there is much to be printed.”

The invention of movable type by Bi Sheng was a watershed in printing history. With Bi Sheng’s invention, the movable type technique was constantly upgraded. In the Yuan Dynasty, Wang Zhen invented the wooden movable type. He had more than thirty thousand wooden blocks of characters engraved in 1298 to start printing the sixty thousandcharacter book Shengde Gazetteer, finishing a hundred copies in less than one month. They are the first recorded prints with wooden movable type. Wang Zhen also designed the revolving typesetting shelf, where woodblocks of characters were put in the order of rhymes, with each rhyme and each character numbered and registered. When typesetting, one person read the registered numbers while another picked out the needed characters, enhancing the efficiency enormously. In 1319, a man named Ma Chengde in Fenghua in Zhejiang Province made 100,000 wooden block characters and printed such great works as The Extended Meaning of the Great Learning. In 1773, the Qing government had

Clay Movable Plate (Northern Song Dynasty)

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253,000 character woodblocks made out of Chinese jujube trees and 138 books of The Collection of Rare Editions at the Hall of Military Eminence were printed successively, totaling 2,300 volumes. Besides using clay and wooden movable types, many people in the Yuan and Ming dynasties succeeded in making characters using metals, such as tin, copper and lead. China’s printing technology spread abroad from the Tang Dynasty, first to Japan and Korea, then to other countries in East and South Asia. It also went westward to Persia, where it was adopted in paper currency printing. Through Persia, the technology spread further to Egypt and Europe. In the later years of the fourteenth century, there appeared in Europe woodblock printed playing cards, saints’ pictures, classics and textbooks on Latin grammar. In 1456 in Germany, John Gutenberg used the movable type technology to print the Bible. Within twenty years, printing technology was widely spread throughout Western, Middle and Southern Europe. The spread of printing technology to the West played a prominent role in the Renaissance and the Reformation Movement in Europe.

The Invention of Gunpowder and Firearms in the Song Dynasty Further Development of Gunpowder Technology in the Song Dynasty The invention of gunpowder was closely related to the craft of alchemy. Sulphur, saltpetre and charcoal were the three basic ingredients. In the ancient practice of alchemy, the chemical properties of sulphur and saltpetre were gradually discovered, as recorded in The Divine Farmer’s Materia Medica Classic: “Sulphur, an intriguing substance, can melt gold, silver, copper and iron.” In the process of their work, alchemists found that sulphur is highly flammable and is “hard to control.” Saltpetre was also called the “eliminating stone” in ancient times. Its flammability and its ability to react with many other chemicals were also discovered by the ancient alchemists. Saltpetre was discovered and used in China far earlier than in any other countries; the Arabs and Egyptians called it “China snow” and the Persians referred to it as “China salt.” Charcoal was an even more frequently used material in the process of alchemy.

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Chapter on gunpowder in the Collections of Military Classics (Northern Song Dynasty)

Gunpowder was invented in the period of the Wei, Jin, Southern and Northern dynasties. In the later years of the Tang Dynasty, gunpowder was applied to the military field. Later, gunpowder-making technology developed rapidly to meet the needs of warfare, making a considerable impact on the military technology. The government of the Northern Song Dynasty set up special workshops in Kaifeng (in He’nan Province) to produce ammunition. The workshops constituted eleven units, one of which was the “gunpowder sector.” The firearms produced in the Northern Song Dynasty mainly included bow-propelled fire arrows, crossbow-propelled fire guns and fire caltrops, all of which were shot with bows and arrows. The charcoal and saltpetre content in these firearms were relatively low. In addition, there was no fuse. So they were merely a kind of combustible firearm, rather than explosive ones, possessing limited destructive power. In the Southern Song Dynasty, there appeared jet-propelled fire arrows and tube-shaped firearms, containing more saltpetre and charcoal in the gunpowder, and also fuses, so the explosive power and the corresponding capacity to kill or injure were largely intensified.

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The Production and Application of Firearms in the Song Dynasty The firearms produced and used in the Song Dynasty mainly included bow-propelled fire arrows, crossbow-propelled fire arrows, flying fire cannons, jet-propelled fire arrows and tube-shaped firearms. The first two were fire weapons propelled by bows and crossbows. According to the Collections of Military Classics, “fire arrows refer to arrows with gunpowder attached to the head, which then are discharged from bows and crossbows. The amount of gunpowder on the arrowhead depends on the power of the bows.” Similar records of firearms can also be found in the “Military Annals” in The History of the Song Dynasty. For example, in the third year of the Kaibao Period (970), “the Ministry of War ordered Feng Jisheng to improve the techniques of bow-propelled fire arrows and experiment with gunpowder. Clothing and silk were offered as rewards.” In the third year of the Xianping Period (1000), “the captain of the Magic-Defence Navy Tang Fu presented his fire arrows, fire balls and grenades . . .” Flying fire cannons first appeared in the late Tang Dynasty. According to the records in the “Biography of Zheng Fan” in the Annals of the Nine Nations by Lu Zhen in the Song Dynasty, when Yang Xingmi led his troops to attack Yuzhang (the present Nanchang in Jiangxi Province) in 904, a man named Zheng Fan under his leadership ordered his soldiers to “operate guns and open fire to burn the Longsha Gate.” Following his lead, the gallant soldiers climbed up the gate through the fire and arrived at the city. He was burnt all over.” This is the earliest record of the flying fire cannons, which were widely used in the Song Dynasty and became one of the most common firearms on the battlefields. By the Southern Song Dynasty, those weapons were further developed. The iron packs of gunpowder and fuzes were in wide use, which greatly intensified the explosive power of the fire guns. The jet-propelled firearm was invented in the twelfth century, using the same principles as today’s carrier rocket. The following procedure was followed—gunpowder with relatively high saltpetre content was put into a tube-shaped paper container, leaving some room in the middle for the fuse; after the fuse was inserted, the upper part of the container was sealed with clay and fastened onto the shaft of the arrow. After the fuse was ignited, the air current and high temperature would blast off the paper container at high speed towards the enemy. This kind of firearm was no longer dependent on the mechanics of bows and crossbows.

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Instead, it was launched on the counter-force generated when the air met the hot fire current and the air current. This progress marked another milestone in the manufacture of firearms. The tube-shaped firearms were the predecessor of modern guns. Writings in the “Military Annals” in Chapter 11 in The History of the Song Dynasty record that in the first year of the Kaiqing Period (1259) in Shouchun City (the present Shou County in Anhui Province) “fire guns were manufactured, with the tubes made of thick bamboo, within which zike (an embryonic form of bullet) pellets were charged. When ignited, the zike pellets burst out and the explosion could be heard more than a hundred steps away.” This kind of fire gun was the earliest known tube-shaped fire guns. Because they were made from bamboo, the tubes were not durable. Soon afterwards, tube-shaped fire guns made of metal appeared in China. The bronze gun unearthed in A’cheng County in Heilongjiang Province in 1970, for example, is a piece of a tubeshaped firearm made before 1288, which was a very advanced weapon at that time. In the early thirteenth century, gunpowder was introduced into the Arab world via India. In their westward expeditions, the soldiers of the Yuan Dynasty carried firearms, such as fire arrows, fire guns and thunder grenades. The Europeans and Arabs learnt to make gunpowder and firearms during wars. Records of the use of gunpowder and firearms appeared in Western Europe in the mid-fourteenth century.

The Invention and Application of the Compass The Invention of the Compass China was the first country in the world to discover the magnetic polarity of loadstone. As early as the Warring States Period, the first direction-pointing device, sinan (pointing to the South), was invented. Records about sinan are found in “Having Regulations” in Master Han Fei. The predecessor of the present compass, the sinan was made of lodestone and looked like a ladle with a spherical bottom. When placed on a smooth, direction-carved bronze plate called the “earth-plate,” its handle would point to the south. In the Han Dynasty, Wang Chong wrote in Discourses Weighed in the Balance—On Constellation: “The moment the sinan ladle was put on the earth plate, its handle turned south.” The magnetic power of the sinan, however, was rather weak, and

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First direction-pointing device, “sinan” (Han Dynasty)

the frictional force generated from the turning on the plate was relatively strong, and it was not widely used . In the Song Dynasty, the artificial magnetizing method was discovered, resulting in the invention of the compass. The earliest records are found in a book on tomb physiognomy, Comprehensive Records of Graveyards (1040). It suggests that to locate the directions of east, west, south and north, a magnetic needle pointing to south must be used: “Place the needle in the middle of a compass dial, the due south should be a bit leftward to where the needle points.” Judging from these words, it appears that the magnetic needle was already in use with the compass dial at that time as an instrument to locate positions, and that the magnetic declination by 7.5 degrees to the east was known. The same phenomenon was noticed by the Europeans four hundred years later, when Columbus undertook his voyage of exploration in 1492. In Collections of Military Classics by Zeng Gongliang et al. in the Northern Song Dynasty, there are records of the “south-pointing fish,” magnetized by applying the strong magnetic field effect. The procedure was: Shape a thin iron sheet into a fish; burn it red on a fire; dip the

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fishtail into water with the tip pointing due north and downward a little bit. When taken out, the fish would be magnetized. Float the fish on the surface of water, and it is able to indicate directions. Another method of artificial magnetization is illustrated in Shen Kuo’s Dream Pool Jottings: “the geomancers would rub the tip of a needle with magnetite, so that the needle could point south, though slightly eastward. It can float on water, but is unstable when the water ripples. It can also be put on the fingertip or on the verge of a bowl, where it tends to turn even faster to the south, but it is liable to slip down. Suspending the needle with a thread might be the best choice. Put mustard seed wax on a piece of silk floss, and then attach the thread to the middle of the needle. Place the device in some windless place, and needle will always point to the south. Some needles may be made to point to the north instead. Both kinds of needles are available at my home.”

Magnetizing the needle by rubbing the needle-tip with magnetite was a simple and effective method.

The Application of the Compass The compass was used by geomancers as a tool in the practice of geomancy. According to the records in Essays on the Pingzhou Islet by Zhu Yu and The Envoy’s Maps and Records of Koryo in the Xuanhe Period by Xu Jing, the compass was being used in navigation by the end of the Northern Song Dynasty. The second volume of Essays on the Pingzhou Islet, records navigation between 1099 and 1102: “The captain had a good command of geography. At night he would observe stars; in the day, he would observe the sun; and on cloudy or rainy days, he would observe the compass.” The thirty-fourth volume of The Envoy’s Maps and Records of Koryo in the Xuanhe Period records: “The ocean cannot be voyaged unless constellations can be observed to lead the way. When it is cloudy or rainy, the floating needle should be used to tell the directions.” By the Southern Song Dynasty, the compass was in extensive use for navigation, and the practice of “observing stars at night and the sun in the day” was gradually abandoned. It was the common practice then to set a special place named the “Compass Cabin” in a ship for the compass, where it was in the charge of the captain and no other persons

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were allowed to enter the cabin. Similar information is found in Records in the Golden Dream by Wu Zimu in the Southern Song Dynasty: “On windy, cloudy or rainy days, nothing but the compass could guide the ship, which was in the charge of the captain who had to be extremely responsible to avoid any mistake in a matter of life and death for all the people on board.” In his preface to the Annals of Western Foreign Countries, Gong Zhen in the Ming Dynasty also wrote: “The boatmen who were experienced at sea (the so-called “huozhang”) were selected as captains to take charge of the compass. The task was so crucial that no slight negligence was ever allowed.” The wide application of the compass in navigation made feasible all-weather sailing, which ushered in a new era in the history of and contributed greatly to maritime transportation, as well as to the economic and cultural exchanges between China and other countries. Thanks largely to the fast development of navigation technologies during the Song and Yuan dynasties, Zheng He made seven epic voyages to the western ocean, which symbolized China’s nautical triumphs in the early Ming Dynasty. Sometime between the twelfth and thirteenth centuries, the compass (the magnetic needle floating on water) spread to the Arab world, and then gradually to Europe, making a significant contribution to the development of navigation in Europe and subsequently to the discovery of the New World.

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瓷 CHAPTER TWENTY SIX

Chinese Porcelain and the Maritime Transportation and Trade Ceramics and Porcelain in the Tang Dynasty

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Ceramics and Porcelain in the Song and Jin Dynasties

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Ceramics and Porcelain in the Yuan, Ming and Qing Dynasties

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Maritime Transportation and Trade in the Qin and Han Dynasties

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Maritime Transportation and Trade in the Tang Dynasty

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The Prosperity of Maritime Transportation and Trade in the Song and Yuan Dynasties

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Zheng He and His Voyages in the Early Ming Dynasty

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Free-style calligraphy of“瓷”(ci) means “porcelain” in Chinese

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Silk and porcelain were the two most important exports in Chinese history and both came to symbolize and embody Chinese civilization. Silk went westward via the Silk Road, while porcelain mainly took the trading route over the sea. This chapter will first give the history of ceramics and porcelain in China, and then focus on the development of China’s maritime transportation and trade.

Ceramics and Porcelain in the Tang Dynasty The development of China’s ceramics and porcelain can be roughly divided into three periods—crockery, glazed pottery and porcelain. The Sui and Tang dynasties ushered in the more developed third period, when articles were baked at high temperatures to obtain an ideal hardness. During the Sui Dynasty porcelain wares were already being used by the common people, though the word “kiln” was not coined until the Tang Dynasty.

The Resplendent Tang Tri-color The Tang Tri-color (also known as Tangsancai) began to appear during the reign of the Tang Emperor Gaozong (650–683). The basis of the porcelain items was a special kind of white clay, and minerals containing elements of copper, iron and cobalt were painted on as colorants for the glaze. Metal lead was used as the melting agent. The bases were put into a kiln and baked at a low temperature of eight hundred degree Celsius. When they were taken out of the kiln, the Tri-color ware shone with a bright tint of iron brown, copper green, and cobalt blue. In addition, the natural lead flux enriched the effect with fluently smooth tones. Tang Tri-color was just a general term for a variety of colored glazes, which were used to cover items with two or in most cases more than three colors. Popular initially in the area of Chang’an and Luoyang, Tang Tricolor products were mainly of two categories—human figures, horses and camels, usually used symbolically as burial objects; and utensils such as cups, plates and pots, which, though mostly found among burial objects, have also been excavated from sites in residential areas. It is reasonable to suggest that they were of practical daily use. While the fashioning of the manes is an example of the influence of the Sassanian Persian Dynasty, the Tri-color porcelain technology in turn enhanced the ceramic industries of Persia and other countries. This

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Tri-color porcelain horse (Tang Dynasty)

can be clearly seen in the Persian Tri-colors and the Japanese Nara Tricolors in the Nara Period.

White Porcelain from the Xing Kiln and Blue Porcelain from the Yue Kiln Judging from the perspective of tea drinking, Lu Yu (the author of the Tea Lection) made a comparison of the porcelain ware produced in Yuezhou (in Zhejiang Province), Dingzhou (in Shannxi Province), Hongzhou (in Zhejiang Province), Yuezhou (in Hunan Province), Shouzhou (in Anhui Province), Hongzhou (in Jiangxi Province) and Xingzhou (in Hebei Province). Though all the porcelain wares were processed at high temperatures, two types in the middle and late Tang Dynasty were superior to the rest—the white porcelain from the Xing Kiln and the blue porcelain from the Yue Kiln, both of which were held in high repute. In Tea Lection, Lu Yu showed his appreciation by comparing Xing porcelain to silver and Yue porcelain to jade. “The snow-white tea sets and the jade-blue tea sets each possessed distinctive beauty, both matching well with the lovely color of tea.” Products from

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White porcelain from the Xing Kiln (Late Tang Dynasty)

Under glaze color porcelain­ with dragon decoration (Late Tang Dynasty)

the two kilns were also tailored to meet the needs of the market with various shapes and ornaments similar to those of gold and silver ware. The Geography in The New Tang History reveals that the Xing and Yue kilns, together with kilns in Henan Province, were once responsible for supplying porcelain ware to the imperial court. The unearthed white porcelain from Daming Palace of the Tang Dynasty and the blue celadon porcelain from the underground palace of Fufeng Famen Temple in Shannxi Province provide further proof of this. More remarkably, the cultural relics from the Famen Temple were mainly sacrificial items from the imperial concubines in the fifteenth year of the Xiantong Period (874) . According to the palace account book, which contains detailed information of all the tributes, such high-quality objects were mentioned frequently in official documents as “Mise Imperial Porcelain.” Their reputation was so widespread that the term is found in the Record of Japanese History of Japan’s Hei’an Dynasty.

Under Glaze Color Porcelain from Changsha Kiln Among the kiln industries in the late Tang Dynasty, the Changsha Kiln alone turned out a special product with unique appeal, which distinguished itself from the monochromatic wares such as white and

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blue porcelain. The technique involved applying under glaze pigments of copper and iron to produce calico-printings of exquisite patterns, calligraphy of poems and advertisements before the wares were glazed and put into the kiln for baking. Strangely, except for those excavated from a few sites in Yangzhou, very few Changsha porcelain objects have been found elsewhere in China, though a number has been unearthed in Northeast Asia, Southeast Asia and the Middle East. This suggests that Changsha under glaze color porcelain wares were mostly exported. However, one particular type of Tang porcelain, Tangqinghua­— a flowery celadon using cobalt as the painting pigment, has been excavated time and again in the Yangzhou area. This has become an academic focus in recent years. Preliminary tests have revealed that this porcelain probably came from the Gongxian Kiln in Henan Province, another important production location for Tang Tri-colors.

Ceramics and Porcelain in the Song and Jin Dynasties In the Song Dynasty, ceramic kilns flourished all over China. In addition to those in the coastal areas which produced export goods, a number of local kilns imitated the popular ceramic ware of the first class manufacturers, and made similar products. Such kilns included those in Ding, Yaozhou, Jun and Cizhou from the north and Jingdezhen, Longquan and Jian from the south. Among all the kilns, the Ding Kiln’s specialty was ivory-like white porcelain. Its unique beauty was subtly different from the gorgeous blue-andwhite ware from the Jingdezhen Kiln. Kilns in Yaozhou, Jun, and Longquan were likewise noted for their distinctive celadon ware. The Jian Kiln won fame with its peculiar lustrous black glaze of

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Porcelain vase from kiln in Yaozhou (Song Dynasty)

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mysterious translucent glittering oil-drop spots and rabbit fur patterns. Cups with such designs were most preferred for tea ceremonies. In contrast to the above kilns and the imperial kilns, which mainly produced monochromatic wares, the Cizhou Kiln system located in Henan, Hebei, Shanxi and Shannxi provinces manufactured bright color-glaze wares with varied expertise, singling themselves out as the most outstanding northern civilian kilns.

The Decoration Motif of Cizhou Kiln The decoration motif of the Cizhou Kiln had a rich folk flavor of everyday life, as exemplified by the porcelain pillows with paintings of playing children, circus performances and beautiful poems. On some pillows, the seal marks of the potter families, like the Zhang family, indicate the manufacturers. The Cizhou Kiln in the Song Dynasty boasted of its techniques in porcelain decoration, the leading one being the use of a white clay starch, called making-up starch. The application of the making-up starch proved a quick and effective way of embellishing the roughcasts, since the dark and coarse frames painted with a layer of such starch looked much finer. This was the first step in the decoration of the popular white ware with black drawings. They were then painted with iron colorant, covered with transparent glaze, and finally baked at a high temperature.

Porcelain ware from kiln in Cizhou (Song Dynasty)

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Porcelain vase from Imperial Kiln­ (Song Dynasty)

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Another kind of ware with embossment patterns was produced when the starch on the unpainted parts was peeled to expose the underneath coarse roughcast. This decoration technique resulted in a unique style with a sharp contrast between black and white, highlighting the effect of the embossment. Still another type of black embossed ware had one more layer of black coloring on the white making-up starch. This time it was the black color on the unpainted part that was carefully removed, while the white ground was left intact. Such items, having been covered with translucent glaze and baked, had a glittering effect similar to that of gilt silver ware.

The Artistic Quality of Celadon (Blue Porcelain) from the Imperial Kilns The celadon from the imperial kilns (sometimes referred to as the Guan Kilns) monopolized by the court had an elegant, jade-like, velvet appearance, which won for it a prominent status in history. The imperial kilns in the Song Dynasty were divided into the Northern Song kilns and the Southern Song kilns. The relics of the former have never been found, though some specialists assume that they were in fact the renowned Ru Kiln system. The latter were the imperial kilns set up in Zhejiang Province after the imperial court of Song moved to the south, including the Xiuneisi and Jiaotan Kilns. With few exceptions, celadon items from the imperial kilns had a stylish simplicity, without any design patterns. Some wares had the characteristic feature of “iron stand and purplish rim” resulting from the exposed dark frame at the bottom and the thin glaze on the brim. However, a large number of wares were baked, after being glazed, on kiln brackets with spurs. After baking, the entire vessel would be wrapped in glaze, except the parts standing on the spurs of the bracket. The same approach was adopted by Ru Kiln in the firing process. The resulting appealing sesame-seed-sized spur marks on the base made the products greatly favored by people over the ages. An ideal goal pursued by the imperial kilns in the Song Dynasty was to produce porcelain ware of perfect shape, coated evenly with high-quality blue glaze, without any exposure of the roughcasts. The same effect was used in the Ding Kiln to produce tribute goods for the imperial court. Bowls and dishes were baked in kilns head down, leaving the rimming parts bare of glaze. This flaw was removed when a band of metal was put around the rims. Vessels with such metal covered rims

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were fashionable, at that time, with their overall look fully glazed. As for the white porcelain from the Ding Kiln, white porcelain from the Yao Kiln, and the blue-and-white ware from the Jingdezhen Kiln, though they were often decorated with carved designs or printed designs, their perfect harmony with the color of the glaze helped highlight the pureness and elegance of the porcelain. Such an esthetic effect was the unanimous aim of all the first-class kilns.

Ceramics and Porcelain in the Yuan, Ming and Qing Dynasties The Renowned Blue-and-White Porcelain of the Yuan Dynasty Of all the ceramics produced in the Yuan Dynasty, the blue-and-white porcelain ware enjoyed an unparalleled reputation. All the roughcasts were painted with cobalt patterns and coated with a translucent glaze before they were put in kilns at a high temperature in a single baking. Jingdezhen in Jiangxi Province was the major source of such beautiful products, and their fame was established during the late Yuan period. A pair of long-necked vases bearing the seal mark of the eleventh year of Zhizheng (1351) from the collection in the Percival David Foundation of Chinese Art in the United Kingdom is a representative masterpiece of Jingdezhen porcelains. However, for what reason did almost all the producers decide on cobalt-blue as their primary painting pigment? Answers to this question vary in academic circles and so far no consensus has been reached. One view which is unanimously accepted is that the advent and large-scale manufacturing of blue-and-white porcelain indicated a shift of esthetic taste from the monochrome of the Song Dynasty. The dazzling blue patterns became the focus, leaving the pure white ground and transparent varnish as the less important foil. The blue-and-white porcelain of the Yuan Dynasty was also produced for export, together with the Longquan celadon from Zhejiang and products from other coastal areas. The most renowned items are the large quantity of blue-and-white porcelain found in Turkey and Iran.

The Imperial Kilns in the Ming Dynasty and their Developmental Stages In the early Ming Dynasty, the imperial kilns were established at Jingdezhen to produce ware for the royal court and were strictly supervised

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A blue-and-white procelain vase­ (Ming Dynasty)

by officials assigned by the court. According to what is recorded in the literature, such as the Laws and Regulations of the Ming Dynasty, together with relics handed down to the present day, the court had specific requirements down to the smallest detail as to the shaping, decorating, and even the cost of raw material of the porcelains. The practice of printing the production date on products during the Xuande Period became one of the essential customs, which, along with the distinct styles, has enabled academics to obtain a general idea of the developmental stages under the reigns of Yongle and Xuande (1403–1435), Chenghua, Hongzhi and Zhengde (1465–1521), and Jiajing, Longqing and Wanli (1522–1620).

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The blue-and-white porcelain ware maintained its dominant role in the imperial kilns in the Ming Dynasty, although the under glaze red porcelain with copper as its pigment, various monochrome items and over glaze color porcelains were also the products of the imperial kilns. A type named Doucai (polychrome porcelain) during Emperor Chenghua’s reign was especially favored. It was produced with a special artifice similar to that of the copper-bodied enamel. Firstly, a sketch of blue patterns was drawn on the cast before it was coated with glaze and put in the kiln for the first high-temperature baking. Then color drawing was added inside the sketch before the second baking at low temperature. A most valuable archeological discovery of the imperial kilns in the Ming Dynasty, the Zhushan Relics in Jingdezhen, yielded a considerable number of Doucai porcelains. The large scale of the imperial kiln productions compensates for the shortage of relevant documents and extant collections. In addition, the tablet in the Note of Yixiu inscribed during Emperor Chongzhen’s reign may serve as another reference that the imperial kilns in the Ming Dynasty closed down in the thirty-sixth Year of Wanli’s reign (1608). However, porcelain was still exported from the Jingdezhen civil kilns.

A Panorama of Ceramic and Porcelain in the Qing Dynasty

A blue-and-white porcelain vase in the Qianlong Period (Qing Dynasty)

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The Qing Dynasty followed the Ming Dynasty in keeping the imperial kilns in Jingdezhen, the only difference being that craftsmen were paid, instead of being free laborers. There were many different types of imperial kilns; the number of ceramic specimens recorded in The Pottery Account Book, written by the renowned pottery supervisor Tang Ying (1682–1755) in the early years of Qianlong’s reign, already amounted to fifty-seven. The craftsmen, especially those in the Qianlong Period, had outstanding skills. They could reproduce all the famous porcelains of the different ages, as well as making ceramic items emulating bronze-ware, lacquer-ware and bamboo and wood objects, exhibiting a special ingenuity.

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The Qing imperial kilns made their greatest achievements under the reigns of Kangxi, Yongzheng and Qianlong. The over glaze color drawings incorporated the Western oil-painting techniques of perspective and contrast of light and shade. With the participation of court painters, the drawings of landscapes, flowers and bird feathers were particularly vivid. The motifs of the drawings grew increasingly diverse, including even the plots of stories and characters from the West. In addition, the civil kilns in Jingdezhen also accepted orders from the Dutch East India Company to produce large quantities of porcelain for European countries. The shapes of the vessels were enriched to include Western tableware and human figurines. The most distinctive features of the decorative designs showed patterns of clan heraldries of Western countries and Christian themes such as the birth, suffering and resurrection of Christ, mostly on the Christian Church Porcelains. However, both the imperial and civil kilns after Qianlong’s reign simply inherited the conventional techniques of the previous periods. Consequently, their products lacked originality and, as a result, began to show signs of decline.

Maritime Transportation and Trade in the Qin and Han Dynasties The Search for the Elixir of Immortality and Maritime Transportation in the Qin Dynasty In the late Warring States Period, the emperors started sending Taoist alchemists overseas to search for the elixir of immortality. In “The Book of Fengchan” (the worship of heaven and earth), a chapter from The Records of Historians, it is recorded that Taoist alchemists were sent by Prince Wei, Prince Xuan and Prince Yan to the three Fairy Mountains of Penglai, Fangzhang and Yingzhou in the Bohai sea. But the Fairy Mountains seemed to float away whenever the ships got close to them. However, if the alchemists did manage to land, they would find both the immortals and the elixir. Alchemists in the Warring States Period took the lead in building ships to take them on sea-faring missions and such practice became increasingly popular. In 219 BC and 210 BC , the first emperor of the Qin Dynasty sent an alchemist, Xu Fu, to the sea with his fleet. On his second voyage, Xu Fu took with him three thousand virgin boys and girls and eventually arrived in Japan. A legend went that Xu took to

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Japan with him five species of grain and the technology of agriculture, bronze and iron manufacturing, which greatly enhanced the development of Japanese civilization. The practice of searching for the elixir of immortality spread quickly from Shandong in the northern region of China to Guangzhou in the south. Persuaded by Lu Sheng, an alchemist from Prince Yan, that the Qin Empire might be subverted by certain northern nations, the Qin Emperor launched a campaign against the Huns in the north, and explored five high mountains in the south. Large numbers of merchants were sent southwards to Nanhai and Xiangjun. The capital of Nanhai prefecture was Fanyu, the present Guangzhou city. Though it is not recorded what navigation device was used at that time, an indication of the navigation methods used by an Eastern Jin alchemist Ge Hong are found in the Taoist Canon, The Supreme Clarity, Gold Liquid Divine Elixir Scripture, (in the Pervasive Divinity). According to the story, Ge Hong and his fleet sailed afar towards the Funan Kingdom, somewhere around the Indochina region, steering their ships according to the position of the constellations. Legend has it that Ge Hong went to Funan “with his back to the north and his face to the south,” a method termed as “celestial navigation,” which had been widely applied before the invention of the compass. For instance, as recorded in the book Tansou (Forum): “In Runan of the Liang State, there lived a

Hepu

Kanli

Yilumo

Xuwen Leizhou Peninsula

Rinan Huangzhi Funan Sri Lanka

To and from Daqin (Rome)

Duyuan

Routes of sea trade setting off from Leizhou Peninsula, Han Dynasty

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young man, Zhou She, who was noted for his diligence and eloquence. One day, a diplomat, Gu Xie, was to be sent on a mission to Gaoli (the present Korea). Worried about the rough sea voyage, he went to Runan for advice. Zhou She told him that he could make good use of the sun for guidance during the day, and make good use of the constellations at night.” The celestial navigation method remained an important means of navigation even after the compass was invented.

Maritime Transportation in the Han Dynasty It was during the Han Dynasty that the China-centered trade routes to the West Pacific were opened. At that time, the Silk Road was frequently impassable because of warfare between the nomadic peoples in Central and West Asia, and the monopolistic practice by some powerful kingdoms. The situation made it imperative to find an alternative maritime route. Historical records and archeological discoveries have verified that the Mediterranean nations at that time were also trying to find a sea route eastwards to China. In 1945, an ancient international trade port was discovered at Arikamedu, on the east coast of south India. The excavation of large numbers of Roman style depots as well as Hellenic and Roman pottery and coins, demonstrate that this Roman commercial port was in its peak in the first and second centuries. It is commonly believed that merchants from Mediterranean countries at that time had attempted to reach China, using the east coast of India as their base. At the beginning of the Christian era, merchant vessels that sailed into the Red Sea from Egypt reached a total number of a hundred and twenty per year. At the same time, the Han Empire, too, was focusing its efforts on opening a maritime trade thoroughfare. Emperor Wu of the Han Dynasty dispatched Zhang Qian to open up the Silk Road. After the suppression of the rebels in the south, the emperor sent his men from the Leizhou Peninsula to explore maritime trade routes both to the south and the west. These explorers and merchants from the Han Empire set off from the Leizhou Peninsula and landed successively in the Duyuan Kingdom (the present Sumatra), Yilumo (around the present Pegu in Myanmar), Kanli (along the present Irrawaddy River in Myanmar), and Huangzhi (around the present Madras in India), exchanging gold and silk for pearls and other exotic treasures. According to relevant scholastic studies,

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their route probably went from the present Vietnam, Cambodia and Thailand to the Gulf of Siam. After landing in Myanmar, they continued their journey on land until they reached the Gulf of Bangladesh. After crossing the Coromandel Coast in India to reach the final destination of Sri Lanka, they took their journey homeward. Owing to their limited knowledge and navigational technology, such long journeys to strange seas involved using the merchant ships of Southeast Asian countries in most cases, which was referred to as “foreign merchant vessels’ relay to the destination.” It is evident that this maritime trade route was established through the joint efforts of the different nations along the route. Among what were referred to as “foreign merchant vessels,” the Funan junk gained a world-renowned reputation. Located around the present Cambodia, the Funan Kingdom was the major superpower in Southeast Asia. The Funan junk was described as being “shaped like a fish from prow to stern,” and “large enough to carry up to a hundred passengers on board.” The shipbuilding industry in the Qin and Han dynasties was no less prosperous. For example, the Bohai Fleet of Han warships could carry fifty thousand soldiers. Based on what was discovered from the relics of the Guangdong Shipyard, it is estimated that the shipyard was able to build wooden vessels six to eight meters wide by thirty meters long, with a loading

Stering silver vessel, Shandong Province (Western Han Dynasty)

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capacity of fifty to sixty tons. Vessels of such size were adequate to make long trips. In 1987, the tomb of Prince Qi of the Western Han Dynasty was discovered in Linzi, Shandong Province. From Pit One was excavated a sterling silver vessel of obvious exotic origin. It has a height of 11 centimeters, and a diameter of 11.4 centimeters. The vessel appears to have been altered from a sterling silver box in typical Western artistic style, with its copper stand and the three crouching animals on the lid attached later. Similar wares were found from ancient tomb relics in Greece, Rome, Persia and Scythia, in the shape of lid-covered utensils to hold liquid. According to research, this Han tomb was that of Prince Qi Emperor Liu Xiang, and the date of the burial pit can be traced back to 179 BC. This suggests that as early as in the middle of the second century BC , there was already contact between the Roman Empire and the Han Empire on the Shandong Peninsula. In 1983, the tomb of Nanyue King Zhao Mei was excavated in Xianggang, Guangzhou. The tomb was built in the Western Han Dynasty, between the end of Yuanshuo’s reign and the beginning of the Yuanshou’s reign (122 BC). The items found in the tomb include not only a Roman sterling silver box strikingly similar to that from Prince Liu Xiang’s tomb, but also ivory from Africa and frankincense from the Red Sea coastal area. The sterling silver box has a height of ten centimeters and a diameter of thirteen centimeters; its stand and cover with its inscription of Chinese characters are likewise a later addition. In the west wing pit of the tomb, more colophony-like frankincense was found in a lacquer box, with a net weight of twenty-six grams. Such frankincense was mainly produced in the coastal area of the Red Sea, where Roman merchants played an active role in commercial transactions. The frankincense in the box probably came from those Roman merchants, eventually reaching Guangzhou after several transactions. The Roman glassware discovered since the 1980s along China’s southeast coastal areas provides further evidence of the contacts between the Roman Empire and the Han Empire. In addition, some glass bowls unearthed from a Western Han tomb at Hengzhigang in Guangzhou are believed to be from a Roman goblet production center on the south coast of the Mediterranean Sea in the first century BC . The Han tomb at Hengzhigang dates from the mid-Western Han period, which is around the first century BC . The glass bowls were the first Roman glass ware to be found in China. Items like Roman gold coins, pottery, silverware and

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glass ware were frequently found in tombs in the southeast coastal areas, providing sufficient evidence of the maritime trade route between Rome and the Han Dynasty. The route was supposed to start from the city of Rome, via Alexander Port and up the Nile River. The route then went by land to the Red Sea from Berinike Port, via Kanchipura Port (also called Huangzhi in the Han Dynasty) on India’s east coast, and Xuwen Port at the Leizhou Peninsula to reach the final destination of Guangzhou. The zenith of this ancient sea route connecting Rome and China was reached during the reign of the Roman Emperor Antoninus. As was noted in the “Book of the West Region” in History of the Late Han Dynasty, “in the ninth year of Yanxi (166) of Emperor Huan, Daqin (Roman) Emperor Andun dispatched emissaries to sail across the Indochina Peninsula to offer ivory, rhinoceros horns and tortoiseshell to the court, thus setting up the relationship.” Andun is the Chinese transliteration of Antoninus, who ruled from 161 to 180. These words are the first record of the official contact between China and the West. In the late Eastern Han Period, the sea route was on the decline. However, the prosperity of the Arabic maritime industry revived the route in medieval times.

Maritime Transportation and Trade in the Tang Dynasty With the breakdown of the Eastern Han Empire, China entered into a period of political disorder during the Wei, Jin, Southern and Northern dynasties. This was a time when the national economy moved southwards. The Wu Kingdom in the Three Kingdoms Period and the later reigns in the south (the Eastern Jin, Song, Qi, Liang and Chen) in the Southern and Northern Dynasties assumed the dominant role in the West Pacific trade and transportation. Guangzhou and Jiaozhou became important centers for international trade. The maritime trade and transportation route is recounted in detail in the book Biography of the Eminent Monk Faxian. The division and separation on land somehow stimulated transactions on sea. During this disorderly period, trade with the Northeast Asian countries of Japan and Korea and many countries in the south was further developed.

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The Great Tang Empire and the Development of Maritime Transportation and Trade The advent of the great Tang Empire, with its impressive power and world-renowned reputation, had a considerable impact upon the development of trade and transport by sea. The empire stressed the importance of trade with foreign countries, both overland and across the sea. In terms of the latter, the Tang Empire took advantage of the unprecedented unification of China to regulate and develop the West Pacific trade network. First, its northern route between China, Japan and Korea was greatly improved during this most prosperous time, leaving a shining page in the history of cultural and economic exchanges in Northeast Asia. The rise of the Silla (Xinluo) Kingdom on the Korean Peninsula and the need of Taika Reform (645–650) in Japan to bring civilization from China added more impetus to the maritime trade and transport network in this area. According to approximate statistics, during the 280 years of lasting bilateral relationship between the Tang Empire and the Silla Kingdom on the Korean Peninsula, envoys were exchanged 161 times,

Bohai

The Silla Kingdom

Chang’an

The Great Tang Empire

Luoyang

Heiankyo

East China Sea

Trade network of the Tang Empire on the western Pacific region

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mostly through the sea route. Silla’s maritime links with China covered the Shandong Peninsula in the north and the Yangtze River area in the south. The kingdom’s contact with Japan was impressive, too. In 813, Japan established at Wumajima Island “a translation chamber of the Korean language,” which indicated the need for the two countries to have transactions across the sea. As for the Sino–Japanese maritime exchange, the increasing scale and frequency of Japan’s delegations to China illustrate the close ties. So it is clear that a tightly interwoven trade network on a considerable scale was formed during the zenith of the Tang Empire in the Northeast Asia, covering the Shandong Peninsula, the Liaodong Peninsula and many ports of the Yangtze River in China, the Korean Peninsula and the Japanese Archipelago (especially the ports between Hongxyu and Kyuxyu). This trade network could be known as the north branch of the ancient West Pacific trade network, and resulted in communication between the three countries of China, Korea and Japan, which in turn gave an overall promotion to the advancement of Northeast Asia. The prestige and influence of the great Tang Empire attracted people from many nations in Southeast Asia and even the more distant states along the Indian Ocean, enhancing the prosperity of the Silk Route on the Sea. Meanwhile, the mighty Arab world adopted a positive attitude towards Chinese culture. In making the decision to set up the new capital in Baghdad, Caliphate Mansur of the Abbasid Dynasty (749–1258) said: “Here we have the Tigris River, which can connect us with remote China.” In the seventh century, maritime transportation and trade on the South China Sea were in full swing. This is obvious from the frequent visits and pilgrimages of envoys from countries in the southeast Indian Ocean areas to the Tang court. Persian merchants used to travel to the South China Sea before they turned north to China’s seaports for business. Later, the Persian and Arabian merchants gradually took on the role of middlemen in the South China Sea trade, whose vessels became the essential transport for the merchants from the South China Sea and Indian Ocean areas to do business in China. This situation attracted the attention of the Tang government. At the beginning of the eighth century, the Bureau of Maritime Affairs, a special bureau in charge of the relevant affairs of maritime trade, was set up. It was not incidental that the Tang Dynasty gave increasing priority to the maritime trade. Having conquered the Persian Sassanian Dynasty,

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the Arabs increasingly provoked conflicts with the Tang Dynasty, which badly interfered with transportation by land. Meanwhile, the Chinese shipbuilding industry was turning out such huge vessels as Picang, a huge junk fifty to sixty meters long, which could carry up to six hundred passengers. By then China’s vessels were sound enough to embark on oceanic voyages, putting to an end China’s dependence on foreign merchant vessels. In 851, the Arab merchant Suleiman wrote in his book A Description of China and India that Chinese merchant vessels often anchored at Shiraf on the Persian Gulf. A famous Arabian traveler, Masudy, observed in his historical masterpiece Golden Campo and Precious Stones that Chinese junks often voyaged to “Oman, Shiraf, Obolla and Basra.” The foreign merchant vessels coming to China for commercial purposes during that period were likewise of better quality, larger in scale and with improved navigation techniques. The Kunlun Vessels and Ceylon Vessels in particular enjoyed a worldwide reputation. In the midTang Dynasty, the Ceylon Vessels were believed to be the largest from abroad, with a length of around twenty-two meters and the capacity to carry six hundred to seven hundred passengers. The Egyptian Karimi Merchant Guilds alone had hundreds of merchant vessels sailing everywhere in the Indian Ocean. Their vessels as a rule “never used any iron nails in the bulk, but had the parts doweled tightly together with gomuti fibers. Olive sugar was applied as glue, which became extremely tough when dry and airtight in water. About eight hundred years ago, the Tang official Jia Dan gave an account of the South Sea Route, which was then referred to as the “Guangzhou Route Leading Abroad.” The sea route started from Guangzhou, crossed the South China Sea, passing the Malacca Straits to reach a large state named Srivijaya (an ancient country in the Indonesian Sumatran areas), then went along the west coast of Malaya to arrive in the Lion State (today’s Sri Lanka) and India, where it stretched through the Oman Gulf to reach the important merchant port Barshira (in today’s Iraq) at the end of the Persian Gulf, whereupon it extended further to reach the ultimate destination, Baghdad. Such a distance would take the Chinese merchant vessels about three months to cover. The route joined together China, Southeast Asia, South Asia, and the Arabian areas, and was another important channel of communication between China and the West. During that period, Guangzhou in South China became a world-

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famous port. Ships from Barshira, Shiraf and Oman in the Persian Gulf, India, Java, Vietnam, Cambodia and other countries all sailed to Guangzhou. Thousands of vessels assembled at the port, with their masts and sails looking like clouds covering the sky. Cargo such as spices and jewellery was piled hill high. Obviously, the Silk Route on the Sea was booming. Mingzhou (the present Ningbo in Zhejiang Province), Jiangdu (the present Yangzhou in Jiangsu Province) and other ports and cities developed along with the thriving overseas trade route.

Foreigners Coming to China by Sea Many foreign envoys and merchants journeyed to China in the Tang Dynasty, along with slaves. The images of these foreigners can be seen in some cultural relics and paintings. In the “Dunguang Grottos,” for example, there is a picture of a foreign prince in mourning, a figure with typical foreign traits living in China in the Tang Dynasty. Yan Liben’s “Pictures of Foreign Envoys Presenting Gifts to the Court” vividly depicts foreign envoys offering tributes to the Tang emperor. Where did these foreigners come from? There is no clear evidence, except for two groups of people­—the Kunlun slaves and the Sengzhi servants. According to “The State of Linyi” (Old History of Tang), people from the south of Linyi with frizzy hair and dark skin were called Kunlun, referring to a race living in the Southeast Asian region south of Cambodia. As recorded in “On Linyi” (The Book of Southern Qi): “the Kunlun people regarded their dark skin as beautiful, as did many other southern nations.” The Tang poet Zhang Ji wrote: The Kunluns are from isles in the brine, They sail to China by sea as alien. Speaking a language like birds chirping They end their voyage and land on Yulin. The rings of gold in their earlobes heavily hang, Woolly hair worn loose but not in a bun. Their jade-black skin is cherished as fair, When they walk, their kapok robe on one side do wear.

This poem accurately portrays the appearance of the Kunlun people and their way of dressing, which tallies well with certain Tang tomb figurines. A case in point is a tri-colored figurine unearthed from a Tang tomb in Henan Provice. It wears the Indian costume of robe

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and frilled scarf, with heavy earrings in its earlobes and gold loops on both wrists and ankles. Curly-haired and barefooted, the figurine is in a dancing posture. The Kunlun slave figure preserved at the Shanzhou Grotto Temple was molded in the twelve year of Dali’s reign in the Tang Dynasty (777). Traces of the Kunlun people in China were found at a very early time, and the earliest Kunlun figurine, excavated from Yuanshao’s mausoleum, was a slave in the Northern Wei Dynasty. In addition to the Kunlun slaves, another race of bondsmen called Sengzhi servants were also presented to the Tang court from other Southeast Asian countries. As is recorded in the “State of Srivijaya” (New Tang History), during the reigns of Xianheng and Kaiyuan (670–741), Srivijaya “offered two Sengzhi girls as vassal maids.” In the “Hundredth Volume of Tang Hui Yao” (Issues in the Tang Dynasty), in the eighth year of Yuanhe (813), the Keling State offered “some Sengzhi servants.” In the thirteenth year of Yuanhe (818), the Keling State offered “two Sengzhi maids.” Another note in the “The State of Keling” (Old Tang History), says that in the tenth year of Yuanhe (815), “The Keling State offered five Sengzhi servants.” The name Sengzhi was sometimes transliterated as Cengqi. In his book Knowledge About South China and Beyond Kunlun Cengqi State, the Southern Song writer Zhou Qufei described the Cengqi people as so: “. . . And the islands were inhabited by many savages. They had frizzy hair and jade-black skin. Tempted by food, they would come in thousands. The Cengqi natives thus captured were sold as Fannu (foreign slaves).” Relevant research reveals that the word Sengzhi was derived from the Arabic language. The Arabs addressed the black people as Zanqi. Other scholars believe that Sengzhi in the Tang Dynasty was in fact the present Zanzibar in East Africa, meaning “Land of the Black People.” If that is the case, Sengzhi could possibly mean the coastline of East Africa. According to another scholar, the Tang figurine excavated from Madam Pei’s tomb at Jiaguo Village in the south suburb of Xi’an corresponded to the image of a Sengzhi servant. This alien figure was molded wearing nothing but a pair of shorts, nor is he wearing any ornament. It has black skin, curly hair and very big eyes. The last feature conforms with Marco Polo’s comment in The Travels of Marco Polo that the people of Zanzibar had “awfully big eyes.” A similar Sengzhi servant figurine, also in a pair of shorts, was found in a Tang tomb in Xinjiang Province. It has almost all the same characteristics as its counterpart from Madam Pei’s tomb in Xi’an.

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The Prosperity of Maritime Transportation and Trade in the Song and Yuan Dynasties The Sea Route as the Major Means of Communication between China and the West in the Song Dynasty The Song Dynasty witnessed leaps and bounds in the development of maritime transportation and trade. At the very beginning of the Song Dynasty, there rose two powerful nomadic tribes in the north and the west. They were the Liao and Western Xia regimes, founded respectively by the Khitan and Dangxiang ethnic groups. It is justifiable to say that the Song had never held power over the access to the west overland from the very beginning of the reign. Consequently, with the development and prosperity of urban industries and business, the Northern Song Dynasty attached greater importance to maritime transportation and trade. After retreating to the south, the Southern Song Dynasty suffered a grave shortage of funds, and maritime transportation was resorted to as the only source of income. The dynasty, whose territory grew smaller and smaller, had only Southeast China under its control. The imperial court had to depend wholly on sea vessels to maintain the economy. This was why an open policy in overseas trade was adopted by the government, and great efforts were made to attract more merchants from afar and exchange more commodities with foreigners. The average annual income from overseas trading averaged only half a million guan in the Northern Song Dynasty, while in the Southern Song Dynasty, the figure reached two million guan, which was two to five percent of the GDP. Against such a background, sea transportation gradually became the major means of contact between China and the West. Meanwhile, the advantages of the sea route over the land route were obvious from several different perspectives. Ever since the Tang and Song dynasties, ceramic objects had played an ever important role in China’s export trade. However, the heavy and fragile porcelain ware was easily broken when transported over land. The treacherous states in central Asia constituted another threat to the security of trading overland. In addition, the limited quantities which could be carried posed another obstacle to the promotion of international trade. It is estimated that a mercantile caravan of thirty camels could carry no more than nine thousand kilograms of goods, while the loading capacity of a vessel was 600,000

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to 700,000 kilograms, equal to two thousand camels. All these made evident the superiority of maritime transport. The Mongolian expansion westwards subdued Europe and Asia, and trade on the ancient Silk Road was resumed. Though an inland nation “rising on the horse,” the Mongolian had had extensive and constant contacts with outside civilizations in the process of their expansion to the east and west. So, upon the establishment of the Yuan Dynasty, considerable attention was paid to transport and international trade by sea as well as by land.

The Porcelain Route on the Sea From the end of the eighth century till the nineteenth century, ceramic objects remained the major Chinese exports via the sea route. In the ninth and tenth centuries, celadon made up the largest percentage of porcelain exported abroad. And the underglaze chinaware produce from the Changsha Kiln was the most popular in the world. By the Song Dynasty, porcelain began to play a leading role in the international commodity trade. It is recorded in the book Pingzhou Ke Tan by the Song writer Zhu Yu that “The vessels were several dozens of zhang high by similar width. Every merchant had a loading place of several square feet for himself, where he slept on his hoarded cargo at night. The cargo was mostly chinaware, with each smaller piece embedded inside a larger one to save space.” The celadon objects exported in the Song Dynasty were mostly from the Yue and Longquan kilns. In the Ming and Qing dynasties, the amount of Chinese porcelain sold overseas was further increased. For instance, in the year 1637 alone, China exported to Japan some 750,000 pieces of porcelain ware. In recent centuries, porcelain produced in the five reigns of the Tang Dynasty and the dynasties of the Song, Yuan, Ming and Qing has been unearthed in all the countries along the porcelain route past Korea, Cambodia, the Philippines, Malaysia, Brunei, Indonesia, India, Pakistan, and Sri Lanka, up to Iran, Iraq, Syria, Lebanon, Egypt, Sudan, Somalia, Kenya and Tanzania. For example, on May 12, 1999, an Australian treasure seeker named Mike Hatcher found the Chinese junk “Tek Sing” in the deep sea between Sumatra and Java Island. The junk sank there in 1822 (during Daoguang’s reign). “Tek Sing” was fifty meters long by ten meters wide, and more than a thousand tons in weight. The junk was traveling from Xiamen to Java, when she hit a reef and sank. The ship

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Dadu Korea Mizhou

Heiankyo Kyushu

Xiuzhou Hangzhou

Mingzhou

Wenzhou Quanzhou Guangzhou Silk Road on the Ocean (to Indian Ocean, Arabia and East Coast of Africa, etc.)

The porcelain route on the sea at the Song and Yuan dynasties

was also carrying more than 1,800 passengers, of whom only a hundred and eighty were rescued. Some 350,000 items of porcelain found from the wreck are still in very good condition. They were products from Dehua, Fujian Province, including cups, plates, bowls, pots, vases and other items. Such a great discovery of ancient Chinese porcelains, together with chinaware unearthed or from the sea, prove the dominant role of porcelain in ancient China’s maritime trade. Because of its importance in China’s export history, some scholars suggest that the sea route linking China and East Asia, West Asia, and the Mediterranean countries be named the Porcelain Route. Others propose that it be called the “Silk Route on the Sea,” or the “Spice and Porcelain Route on the Sea” (at that time spice was the major cargo imported from abroad).

Imported Goods in the Song Dynasty According to the books An Institutional History of Song (Song Huiyao), Records of Foreign Peoples (Zhu Fan Zhi) and Yunlu Manchao, the

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imported goods via the sea route in the Song Dynasty consisted of twelve main categories: spices, rhinoceros horns, ivory, jewels, glass, furs, textiles, foods, bamboo, copper, iron and minerals. The following were the five major items. Incenses and Spices—Incenses and spices were by far the most important of the imported goods. As they were imported in such large quantities, the commercial trading in the Song Dynasty might be literally referred to as the trade in incenses and spices. These mainly included frankincense, borneol, myrrh, storax, gharu-wood, dalbergia wood, sandalwood cloves, nutmeg, cardamon, aloe and ambergris. Among them, frankincense, which was primarily produced in Arabia, Sofala (called Fragrant Shore then) and Somali, made up the bulk of the imports and was used chiefly in candles, incense, medical and military sector. In 1974, an early Song Dynasty sunken ship was discovered, which had carried as its cargo frankincense, ambergris, dalbergia wood, sandalwood and gharu-wood with a total weight of 2,350 kilograms. Rhinoceros horns and Ivory—In the middle ages, China was the largest consumer of the two objects. Ivory was mainly used in manufacturing horizontal beams on the chariots, scepters, belts, ivory carvings, ivory boxes and tableware of the royal nobles, bureaucrats and other wealthy people. As well as being an ingredient in medicine, rhinoceros horn was used to make belts, underlay, cups, plates and other wares. Jewelry—The pearls and precious stones came mainly from Arabia and India. Timber—This came from Japan, Vietnam, Cambodia. Cotton goods—Cotton cloth was called Fanbu or foreign cloth.

The Ship Management Policy in the Song Dynasty The Song and Yuan dynasties attached more importance to maritime transport and trade. This was not only embodied in the policy of “attracting merchants from afar” but also in the establishment of the corresponding systems. In 971, the first emperor of the Song Dynasty set up the Maritime Office in Guangzhou. Later, similar agencies were established in succession in such coastal cities as Quanzhou, Hangzhou, Mingzhou, Wenzhou, Xiuzhou (the present Jiaxing in Zhejiang Province) and Mizhou (the present Zhucheng in Shandong Province). In order to guarantee the government’s commercial tax revenue from

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the overseas trade, the government introduced a strict ship management system. Smuggling was severely forbidden. Whoever wanted to go abroad by sea to do business had to apply in advance before he was permitted with official testimonial documents and validity. A primary officer and a secondary officer were assigned to each ship with officially conferred seals and were in charge of all the crew and affairs on behalf of the government. Before being allowed to sail, the ship’s cargo was examined, verified and taxed by the government officials. Upon their return, all the ships, from home and abroad, should first declare to the customs officials and ask them to check up the people and goods on board and tax the goods. Only when all these procedures were passed could the merchants be allowed to undertake their trading business. The government set different tax rates on different imports, generally ten to twenty percent. Besides taxing imported goods, the customs officials also confiscated any goods which were banned or limited by law. For example, frankincense, rhinoceros horns, and ivory could not be above thirty kilograms in weight. As for other goods, part of them would be bought by the government. The official prices were always lower than those of the market. The export of copper coins and copper products was also strictly banned, as was the export of foodstuff in the late Southern Song Dynasty. To prevent bribery, the Maritime Office forbade any officials from buying merchandise from foreign businessmen personally. In order to facilitate the management of such affairs, the government set up a special zone in Guangzhou called Fan Fang, meaning Foreign Quarters, specifically for the foreign businessmen and overseas Chinese. The post of head administrator was held by either foreign businessmen or overseas Chinese. In the mid-eleventh century, a head administrator from Oman was given the title Huaihua General because of his contribution to “guiding various races and improving commercial exchanges.” According to the records in Knowledge about South China and Beyond by Zhou Qu Fei, Records of Foreign Peoples (Zhu Fan Zhi) and The History of Song: Survey of Foreign Countries by Zhao Rushi, the number of foreign countries doing business with the Southern Song Dynasty was over fifty, and Chinese merchants had made business trips to around twenty countries. By the Yuan Dynasty, the countries and regions trading with China increased to more than a hundred. The court of the Yuan Dynasty appointed an Arab, Pu Shougeng, whose family had lived in China for several generations, as the chief officer in Fujian Province, in charge of

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offering preferential policies to businessmen from the South Seas and the Western Regions.

The Advancement of Ship-building and Navigation in the Song and Yuan Dynasties China reached a peak in naval technology and ship building during the Song Dynasty. The ocean-going ships then were “level as a board on the deck and sharp as sword at the bottom,” well constructed and stable. China was the first in the world to adopt watertight compartments, water-breaking board and perfect loading technique. Great emphasis was given to the construction of ocean-going ships capable of sailing safely through high seas. Ships built at Quanzhou at that time were narrow at the bottom and broad at the upper part, with bows tilted high. Such ships had a water gauge of four meters and a loading capacity of several hundred tons. Meanwhile, the sternpost rudder and balance rudder were widely used, the latter functioning efficiently in reducing the weight when the rudder was turned. This made it possible for an ocean-going vessel in the Song Dynasty to be the size of a building and sail all the way to the South Seas with thousands of people’s lives dependant on one rudder. In the eleventh century, the ships in the Song Dynasty took the world lead in using the magnetic compass in navigation. As the saying went, “the steersman is knowledgeable in geography, who can steer the ship at night by observing the stars, in the daytime, the sun, and on cloudy days, the compass.” All the advanced navigation technologies guaranteed the quality of the Chinese ships at that time, which were highly praised by foreign shipdealers and sailors for “never fearing strong winds and billows,” and never going off course. It was written by Idris, an Arab geographer, in his World Map, completed in 1154, that Chinese ships had often visited the ports of Euphrates and the Aden area. Stouter and more reliable than their counterparts from Arab and other countries, they were preferred by foreign merchants going to trade in China. So it was the turn of “the Chinese ships” to relay “the foreign merchants.” By the time of the Yuan Dynasty, the shipbuilding industry had advanced further. The following are recorded in historical documents: “The ocean-going ships in China are by far superior the world over in structure, rigging, and loading capability.” “The

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larger ships are capable of carrying thousands of passengers on board.” “The ocean-going ships can have thousands of Dan (litres) of load on board.” “The large-sized ships are four-decked.” “There are approximately fifty or even sixty cabins in each ship.” “The ordinary ship is four-masted, while others might be five, six or even twelve-masted.”

Such an advanced ship-building industry laid a solid foundation for the Yuan Dynasty to develop its commercial sea trade on a grand scale. It was just with this background that China’s maritime enterprise developed rapidly in the western Pacific Ocean and the Indian Ocean from the tenth to the fourteenth centuries. Chinese knowledge of the world overseas was much improved. Accordingly, some important works on navigation and alien lands were published during this period. Knowledge about South China and Beyond (Lingwai Daida) was written by Zhou Qufei (a law officer in Guilin in Southern Song) in 1178, and Records of Foreign Peoples (Zhu Fan Zhi) by Zhao Rushi (Quanzhou’s Maritime Official) in 1225. These books broadened people’s horizons. The famous traveler Wang Dayuan in the Yuan Dynasty, having traveled abroad twice by ship, visiting a dozen foreign countries from 1330 to 1334, and 1337 to 1339 respectively, wrote the book Records of Overseas Countries and Peoples (Daoyi Zhilue) based on his life experiences. It recorded more than 220 names of different countries and regions, covering a range from the Philippines in the east to the coast of East Africa in the west, some of which were listed for the first time in a Chinese history book.

Zheng He and His Voyages in the Early Ming Dynasty The Top-ranking Oceanic Fleets in the Ancient World The beginning of the Ming Dynasty was especially famous for its sea route transportion to the west. This was the time when Zheng He made his seven epic voyages to the western ocean, from 1405 to 1433. Zheng He (1371–1435) was born to a poor ethnic Hui (Chinese Muslim) family in Kunming, Yunnan Province. His original family name was Ma, and his given name was Sanbao (three-jewels). Later, as a reward for his feat in following the king of the Yan State (the Ming Emperor Chengzu), he was given the surname Zheng and promoted to “eunuch in

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Aden

Sri Lanka

Cochin

Calicut

India

Sumutra

Malacca

Sunda Kelapa

Wu Humen

Nanjing

Java

Guangzhou

Champa

Thailand

China

Routes of the first (1405) and the fourth voyages (1413) of Zheng He, Ming Dynasty

Sub Route of Fourth Voyage

Main Route of Fourth Voyage

Route of First Voyage

Mogadishu Brawa Malindi

Indian Ocean

Sofala

Hormuz

Persian Gulf

Arabia Peninsula

East Africa

Egypt

Cairo

Damascus

Beijing

Liujia Harbor

Korea Japan

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the imperial court.” Therefore, “Zheng He to the Western Ocean” is also written as "Eunuch Sanbao to the Western Ocean". Here the Western Ocean refers to the area around Southeast Asia and the Indian Ocean. Zheng He’s first voyage was made in June in the third year of the Yongle Period (1405). He commanded a fleet consisting of hundreds of ships of different sizes, among which were sixty-two massive treasure ships, approximately 122 meters long and 49 meters wide, equipped with the most advanced navigation technology, such as nautical charts and the compass. With a crew of 27,800 men, this largest sea-going fleet in the ancient world carried on board large quantities of silk goods, brocades, porcelain, gold and silver ware, copper coins, iron implements and numerous other objects. Leaving from Liujia Harbor, Suzhou, the fleet sailed all the way from Changle in Fujian Province to Wu Humen port at the mouth of Mingjiang River. There the fleet took advantage of the trade winds to reach the deep ocean. After crossing the South China Sea, the fleet visited Champa (in the south of Vietnam), Java, Sunda Kelapa, or Old Harbor, Palembang in Indonesia, Malacca on the Malay Peninsula, Semudra, and continued to sail west through the Indian Ocean to Sri Lanka, Cochin, the present Kerala in India, and finally arrived at Calicut (the present Kozhikode) in India. Calicut was an important port at that time. An inscribed tablet was set up there by Zheng He in memory of the voyage. In the autumn of 1407, Zheng He returned home to report on his successful voyage. Zheng He’s second and third voyages (1408–1411) followed roughly the same route as that of the first. In 1911, a navigation monument erected by Zheng He was discovered in Galle, Sri Lanka. The tablet is carved in three languages—Chinese, Tamil and Persian—and marks Zheng He’s second visit to Sri Lanka. On the third voyage, Zheng He built warehouses at the important seaport of Malacca, as a transfer base to facilitate overseas trade in the Ming Dynasty. In the winter of 1413, Zheng He started on his fourth voyage. This time, the main fleet headed for the famous Iranian port of Hormuz, on the Persian Gulf. On route, the fleet stopped at Champa, Sumatra, and Calicut. Meanwhile, at Sumatra, Zheng He dispatched another fleet to sail directly west to Mogadishu and Brawa in Somalia and Malindi in Kenya, all on the east coast of Africa, and other African states. Then the fleet sailed to Aden, in southern Yemen, Sana in Northern Yemen, Sofala in Oman and then back to Hormuz. A significant mission of Zheng He’s fifth voyage was to take home

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some ambassadors to the Chinese court. Some Arabian historical documents record the stories of Zheng He’s smaller fleet reaching Aden. On his sixth voyage, Zheng He again sent a small fleet to some states in East Africa. Not long after Zheng He’s return from his sixth voyage, Emperor Yongle died on his way to the campaign against Mongolian tribes. That caused a halt in Zheng He’s exploring activities. It was not until 1430, when Emperor Xunde issued an edict, ordering a fleet to sail under Zheng He’s command, that he again went to sea. This time, the exploration was extremely large in scale and wide in range, covering all places in Asia and Africa. On the way back, Zheng He died of illness in Calicut.

The Historical Significance of Zheng He’s Seven Voyages In each of his voyages to the Western Ocean, Zheng He acted as a friendly ambassador of the Chinese people. No matter what country he visited, he called on the ruler or the sovereign, presenting to them valuable gifts of silk and porcelain to develop friendly relations as well as commercial trade. The fleet was warmly received wherever it went. On the return voyage, the fleet often brought back foreign emissaries to China. Zheng He also took back all sorts of staples from different countries and regions, such as ivory, spices and precious stones. In the seven voyages, Zheng He visited more than thirty countries and regions in South-east Asia, South Asia and East Africa, making cultural and commercial exchanges. In addition, these voyages largely enriched China’s navigational experience and opened the sea route between the East and the West. The world famous Zheng He Nautical Chart (completed between 1425 and 1430) detailed the route of his expeditions from the South China Sea through the Indian Ocean up to the East African coast, which was a magnificent contribution made by China to the world’s oceanographic knowledge. The seven voyages made by Zheng He greatly enhanced the cultural and commercial exchanges between East and West. During the Yongle Period, scores of foreign emissaries and merchants went to China. In the twenty-first year of the Yongle Period (1423), the number of emissaries from Iran and other countries reached 1,200. An apparent increase in the number of immigrants was also seen in the Ming Dynasty. Thanks to the voyages, China’s silk and porcelain were widely spread to countries

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in Asia and Africa, becoming the favorite commodities of the people there. And China’s markets were also enriched by the exotic imported goods from other Asian and African countries, the variety amounting to more than 180 in number. Shortly after Zheng He’s voyages, the Ming government forbade ocean-going travel, which meant China abandoned its overseas expeditions. Over half a century later, Portugal began to send its ships down to the Cape of Good Hope along the west coast of Africa. In 1498, Vasco da Gama’s fleet passed the Cape of Good Hope to reach the west coast of India. Not long before that in 1492, the Spanish fleet under the command of Christopher Columbus also crossed the Atlantic Ocean and reached the New World.

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理 CHAPTER TWENTY SEVEN

Neo-Confucianism in the Song and Ming Dynasties A Survey of Neo-Confucianism in the Song and Ming Dynasties

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Zhou Dunyi and Zhang Zai

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Cheng Hao, Cheng Yi and Shao Yong

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Zhu Xi and Lu Jiuyuan

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Wang Yangming

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Free-style calligraphy of“理”(li) means “patterned regularity of universal existence” in Chinese

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In the history of Chinese academic development, the Song and Ming dynasties ushered in a very important era in which Neo-Confucianism reached a prevalent position in the ideological realm. Taking shape in the middle period of the Northern Song Dynasty, Neo-Confucianism controlled the politics, economy and culture of the entire society after the Yuan Dynasty, generating a far-reaching influence on almost every aspect of Chinese society thereafter.

A Survey of Neo-Confucianism in the Song and Ming Dynasties The Definition, Schools and Representatives of Neo-Confucianism Neo-Confucianism, also called taoxue (the Tao orthodox tradition), can be understood in two senses. In its broad sense, it refers to the academic ideology in the Song and Ming dynasties that focused on the doctrine of li (the patterned regularity of universal existence), qi (the breath of universal existence), xin (heart and mind) and human nature, in order to achieve the ideal realm of the Confucian personality. In its narrow sense, Neo-Confucianism is concerned with a philosophical school represented by Cheng Yi and Zhu Xi, pursuing as its highest norm the universal order li in opposition to xin xue (philosophy of the mind) proposed by Lu Jiuyuan and Wang Yangming. Here, Neo-Confucianism will be introduced mainly in its broad sense. The development of Neo-Confucianism in the Song Dynasty was conventionally divided according to the living places of its representatives into the School of Lian represented by Zhou Dunyi, the School of Guan represented by Zhang Zai, the School of Luo represented by Cheng Hao and Cheng Yi, and the School of Min represented by Zhu Xi. Another traditional categorization of the Song and Ming Neo-Confucianism was made in accordance with their theoretical orientations on lixue (emphasizing the importance of universal laws) and xinxue (emphasizing the cultivation of heart and mind). The present way to analyze NeoConfucianism is to categorize it into four schools: qixue (represented by Zhang Zai), shuxue (represented by Shao Yong), lixue (represented by Cheng Hao and Zhu Xi) and xinxue (represented by Lu Jiuyuan and Wang Yangming). Such a division of different xue (branches of learning)

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helps reveal the intrinsic logic of the development of Neo-Confucianism. In contrast to the Buddhist and Taoist worship of nihilism which was prevalent in the Sui and Tang dynasties, qixue (the learning of the breath of universal existence) pointed out that nihilism was qi, and qi was the very essence of the universe. This definition shook the foundations of Buddhism and Taoism, establishing a cosmological metaphysics for Confucianism. Shuxue attempted to use shu (number, or limits of time) to explain the alternate rise and fall of everything on earth and the circular changes of the universe. Lixue developed the ethic principles of Confucianism into the rules of cosmological reality, offering a sounder ontological foundation for Confucianism. Xinxue criticized lixue for its disregard of man’s activities as the principal part of moral practice, insisting that the human heart was the practitioner of morality and constitutor of moral rules. Obviously, xin xue gave prominence to the performer in moral practice. The representatives of the Song and Ming Neo-Confucianism included the noted “five scholars in the Song Dynasty”: Zhou Dunyi, Zhang Zai, Cheng Hao, Cheng Yi and Shao Yong. The two famous scholars of the Southern Song Dynasty were Zhu Xi and Lu Jiuyuan. The most influential scholar in the Ming Dynasty was Wang Yangming. Since li xue and xin xue were the main philosophical schools in Song and Ming Neo-Confucianism, they were often referred to as “Cheng-ZhuLu-Wang.”

Neo-Confucianism as a Reversion of and Innovation to Traditional Confucianism After its introduction to China, Buddhism joined Taoism and Confucianism as one the three dominant religious sects during the period from the Eastern Jin Dynasty to the Sui and Tang dynasties. Although the traditions of Confucianism dominated the cultural system, ethic concepts and the guiding principles of the nation’s politics, the philosophies of Buddhism and Taoism prevailed in folk customs and were the spiritual preference of the scholar-bureaucrats. The Buddhist and Taoist tenets often clashed with the traditional ethic principles of Confucianism. In addition, there were frequent conflicts between the government’s financial expenditure and the funds for Buddhist temples

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and Taoist monasteries. All these, together with the turmoil from the middle and late Tang Dynasty to the period of Five Dynasties, prompted the Confucian scholars to propose ending the tripartite juxtaposition of the three religious sects and to re-establish Confucianism as the dominant ideology. As a result, a new philosophy appeared as a reversion of and innovation to pre-Qin Confucianism against a changed historical background—Neo-Confucianism. The development and innovation of traditional Confucianism were mainly reflected in the following aspects: (i) further combination of the moral norms proposed by Confucius and Mencius with the heavenly way, expounding various dimensions such as the nature of man, the role of man in the universe, and the relationship of man with the universe; (ii) full exposition of the ideal personality requested by preQin Confucianism, seeking spiritual pursuit with specific recommendations and tips on physical and mental well-being; and; (iii) absorption of ideas from Buddhism and Taoism, adding metaphysical implications to the original political ethics by reannotating traditional Chinese philosophical concepts.

The Neo-Confucian Concepts The concepts adopted by Song and Ming Neo-Confucians came mostly from the classics of Confucianism, especially The Book of Change, Analects of Confucius, Mencius, Great Learning and Doctrine of the Mean. The Neo-Confucian scholars expressed their views on the fundamental issues about the universe and the human life by annotating the classics. Most of the Neo-Confucian scholars were teachers by profession, so their philosophical ideas were often revealed in their lecture notes and letters about learning. The general range of NeoConfucianism concerned the way of heaven, human nature, sublimation of the mind, physical and mental cultivation, which covered the concepts of truth and vitality, soul and body, heart and nature, following the heart and self-restraint, righteousness and self-interest, studying natural phenomena critically and obtaining their rules. These concepts of NeoConfucianism often occurred in corresponding pairs and with the unique characteristic of harmony between heaven and man. They could be used to refer either to heaven or to man, and they were concerned with

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both learning and morality. The same concept might be endowed with different meanings.

Milestones in the Development of Neo-Confucianism Although Neo-Confucianism was established in the middle of the Northern Song Dynasty, the trend for its revival had already begun in the middle of the Tang Dynasty. Han Yu (768–824), prose writer and leader of the classicist movement in the Tang Dynasty, contributed greatly to Neo-Confucianism. By attacking Buddhist and Taoist ideas, he cleared the philosophical obstacles for the restoration of Confucianism. Han Yu indicated that the tao in Buddhism and Taoism clashed with the Confucian tao, which emphasized such social codes as ruler-subjects and parent-children relationship. In his opinion, Buddhist temples and Taoist monasteries occupied too much land. Monks and Taoist priests who roamed around seeking alms were no better than burdens to the country. Therefore, he advocated dismantling the temples and monasteries, burning the Buddhist and Taoist classics, and converting the monks and Taoists priests back to being bread-winners. Another of Han Yu’s contributions was his proposal of the Confucian orthodoxy that won appreciation and consensus from the later NeoConfucianists. The proposal stated that the tao of Confucianism had a traditional orthodoxy, which had been passed from one generation to another. This orthodoxy was derived from the Emperors Yao and Shun and handed down to later rulers like Yu, Tang, Wen, Wu, and the Duke of Zhou to the hand of Confucius, who in turn relayed it to Mencius, whose death cut it short—though later Cheng Yi declared that he and his brother had taken up the orthodxy. Han Yu highly praised Mencius for rejecting the philosophy of Yangzi and Mozi. He used Mencius as a good example for people to oppose the heterodoxy of Buddhism and Taoism. Li Xiang (772–841), a disciple of Han Yu, made a special contribution to the restoration of the heart and nature tenet of Confucianism. In his three famous essays “Letters on the Restoration of Human Nature,” he reiterated that human nature was the built-in foundation of human emotions, and human emotions were the ultimate manifestation of human nature. Nobody was born with an evil nature, though it might be blemished by emotion. In order to restore his pure nature, man had to get rid of the contaminants in his emotions. Just as clear water might become muddied with dirt, it would regain its purity when the dirt was

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eradicated. Li Xiang’s illustration conveyed the obvious influence of the Buddhist philosophy of the purity of human nature and the need to restore it by clarifying emotions. Li Xiang’s notion greatly affected the later development of Neo-Confucianism. The philosophical ideology of Neo-Confucianism lasted for over eight hundred years from the middle of the Northern Song Dynasty to the middle of the Qing Dynasty, through the Northern Song, Southern Song, Yuan, Ming and Qing dynasties. The Northern Song Dynasty fostered Neo-Confucianism and witnessed its rapid development. Famous philosophers such as Zhou Dunyi, Zhang Zai, Cheng Hao, Cheng Yi and Shao Yong endeavored to establish its foundation by proposing the relevant issues and concepts of Neo-Confucianism, and prescribing the orientation of its philosophical development. Neo-Confucianism prospered in the period of the Southern Song Dynasty with the appearance of many renowned philosophers. When the Song imperial court moved its capital to the south, Yang Shi, a disciple of Cheng Hao and Cheng Yi (the Cheng brothers), took the philosophy of Neo-Confucianism to the south. Representatives in this period mainly included Hu Anguo (living in the transitional period from the Northern Song Dynasty to the Southern Song Dynasty), Hu Hong (Hu Anguo’s son), Zhang Shi (Hu Hong’s disciple), Zhu Xi, together with his contemporaries Lu Jiuyuan and his brother and Lü Zuqian from Jiangxi Province. Around them gathered a group of Neo-Confucians with their disciples and many other philosophers. Neo-Confucianism saw great advances on the basis of the doctrines put forward by the two Chengs, especially Cheng Yi, with the assimilation of the philosophy of Zhou Dunyi and Zhang Zai, and the synthesis of the above two philosophical sources. The philosophy was further developed with constant discussions and debates among Zhang Shi, Lü Zuqian, Lu Jiuyuan and Chen Liang. With all these, Zhu Xi pushed Neo-Confucianism to its peak, greatly influencing the study of Confucian classics, history and literature. In the Yuan Dynasty, when the Mongolians controlled the Central Plains, a united country made it possible for Zhu Xi’s theory to spread from the south of the Yangtze River to the north. Philosophers like Zhao Fu, Liu Yin, Xu Heng and Wu Cheng were the prominent figures in this period. During the reign of the Yuan Emperor Renzong, the imperial examination focused its content on Zhu Xi’s Annotations on the Four Books; all the test questions quoted from it and the answers permitted

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no deviation from Zhu’s theories. With the advocation of the imperial examination, Zhu Xi’s philosophy soon spread throughout the country, and its dominant place in the philosophical world was thus firmly established. The development of Neo-Confucianism in the Ming and Qing dynasties can be divided into two stages. The first stage started at the beginning of the Ming Dynasty and lasted to its middle period, before the emergence of Wang Yangming. The Ming Emperor Chengzu mandated the compilation of The Collection of the Five Confucian Classics, The Collection of the Four Books, and The Collection of the Argumentation of Human Nature and Reason, advocating Neo-Confucianism as the prevalent philosophy of the imperial court. This was a time when the academic field did no more than adhere to Zhu Xi’s philosophy without much theoretical innovation. Representatives of this period were Cao Duan, Xue Xuan, Wu Yubi and Hu Juren. The second stage started with the predominance of Wang Yangming in the middle of the Ming Dynasty to the decline of his philosophy at the end of this dynasty. Having explored and assimilated many aspects from other theories, Wang Yangming constructed his own philosophy of “the performance of one’s extreme conscience.” Owing to its theoretical innovation, its pertinence to reality and the personal charm of Wang Yangming, this new philosophy attracted many scholars, who developed it with diversified features into the Middle-Zhejiang Sect, the Jiangyou Sect and the Taizhou Sect. The theoretical developments of “extreme conscience” by Wang Yangming and his disciples were the main ideological trend in the middle and late period of the Ming Dynasty. Chen Xianzhang, prior to Wang Yangming, and Zhan Ruoshui, a contemporary of Wang, also established their reputation as famous Neo-Confucians at that time. The outstanding disciples of Wang Yangming included Huang Wan, Wang Ji and Qian Dehong from the Middle-Zhejiang Sect, Zou Shouyi, Nie Bao, Ouyang De, Luo Hongxian from the Jiangyou Sect, and Wang Gen, Luo Rufang, Geng Dingxiang from the Taizhou Sect. Liu Zongzhou, the last philosopher in the Ming Dynasty, attempted to rectify the abuse of Wang’s philosophy by advocating the theory of “sincerity and self-discipline in solitude.” While Wang’s philosophy was fashionable throughout the country, the disciples of Zhu Xi also exerted a huge influence—for example, Luo Qingshun, Wang Tingxiang, and Lü Kun. The Donglin Party members Gu Xiancheng and Gao Panlong in the late Ming also proposed their

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own theories in an attempt to reconcile the clashes between the sects of Cheng–Zhu (represented by the two Chengs and Zhu Xi) and the sect of Lu–Wang (represented by Lu Jiuyuan and Wang Yangming). This was the most active period in the history of Neo-Confucianism, with multinomial schools or sects coexisting and their academic discussions and debates heated and diverse. At the beginning of the Qing Dynasty, with the decline of the Ming Dynasty, a group of active philosophers started to reflect critically on Neo-Confucianism. Books on the development of Neo-Confucianism such as The Orthodox Transmission of Neo-Confucianism by Sun Qifeng, Case Studies of the Confucians in the Ming Dynasty by Huang Zongxi, and Case Studies of Song and Yuan Confucians by Huang Zongxi and Quan Zuwang were published during this period. Yan Yuan, on the other hand, severely criticized this philosophy. After the reigns of Emperor Qianlong and Emperor Jiaqing, the academic field switched its focus to textual research, semantic studies and exegeses of classic works and canonical texts. Although there were still a few devoted NeoConfucians like Lu Longqi and Li Guangdi, they no longer exerted much influence. When the study of philosophy waned, people turned their attention to the social and political problems resulting from the invasion by foreign capitalist countries. Certain Neo-Confucianist ideas were adopted only as tools for the politicians to express their political propositions. At the end of the Qing Dynasty and in the early period of the Republic of China, Neo-Confucianism was severely criticized and attacked as being the fundamental root of the nation’s poverty and the very cause of the invasion by foreign powers. This negative attitude towards Neo-Confucianism lasted until the 1970s.

Zhou Dunyi and Zhang Zai Zhou Dunyi, Zhang Zai and the two Cheng brothers deserve credit for being the real inaugurators of Neo-Confucianism. They established various norms in different academic aspects for its later development.

The Explanations of the Highest Extreme Chart Zhou Dunyi (1017–1073), teacher of the two Chengs, left behind him two great works, namely Highest Extreme Taiji: Explanations of the Taiji Chart and A Comprehensive Translation of the Book of Change. Setting

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himself up by the Lianxi Stream at the foot of the Lushan Mountain, he named his philosophy the Lianxi Study. People used to address him as Master Lianxi or Zhou Lianxi, and the ideological school represented by him was called the Lian School. In order to explain his philosophical ideas, Master Lianxi revised the figures in the Taiji Chart (The Illustration of the Highest Extreme), which explained the practice of qi (breath) and health preservation. Although the treatise consisted of only around two hundred words, it covered a broad range from the origin of everything in the universe and their movements to human nature and the role of man in the universe. In his opinion, all creatures in the universe came from the transformation of yin and yang (the negative and the positive) and the Five Elements (metal, wood, earth, water and fire). The Five Elements originated from yin and yang, which in turn originated from taiji, the original qi in the universe. By “wuji (vacuity) gave birth to taiji,” he meant that the first qi in the universe came from vacuity. The qi of taiji were both active and inactive, which became the yin and yang of qi, the origin of all the movements of all creatures in the universe. As the highest form of all creatures, man should regard integrity and righteousness as the highest norm, which Zhou Dunyi termed as renji, “the ultimate state of man.” In his opinion, Confucian sages were perfect examples of renji. The way of self-cultivation for such a norm was to rid oneself of lust until one could reach a state of peaceful solitude. This peaceful solitude was the highest state which could lead to the harmonious combination with tao.

Confucius’s and Yan Hui’s Optimism about Life According to Analects of Confucius, Yan Hui, one of the disciples of Confucius, was always in a happy mood although he lived in poverty. When teaching the two Chengs, Zhou Dunyi required them to learn about the optimistic attitudes of Confucius and Yan Hui. He asked them to understand why Yan Hui could be happy even in poverty. In his opinion, Yan Hui’s happiness was not due to the poverty itself, but to the fact that Yan had reached a spiritual norm which surpassed any loss or gain. As a result, he was endowed with a great happiness that would never be spoiled by poverty. Zhou Dunyi, who himself was seeking this norm of spiritual happiness, was highly praised by Huang Tingjian for “his noble personal quality and broad mind, which was like a fresh breeze and crystal moonlight after rain.” His essay “Ode to the Lotus Flower” is

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a portrait of his own noble personality. Zhou Dunyi’s death did not draw an end to the search for Confucius’s and Yan Hui’s optimism about life; instead it became an primary focus of Song and Ming Neo-Confuciansim, indicating the far-reaching influence that Zhou’s emphasis on the elevation of human life and the seeking of spiritual happiness had on the development of Neo-Confucianism.

The Vacuity of the Universe Was Qi Zhang Zai (1020–1077), another famous Neo-Confucian, devoted his life to understanding the principles of the universe and man. Since he spent most of his time teaching in Guanzhong (the central plains in Shaanxi Province), his theory was known as the Guan School. It featured an emphasis on “cultivating a good nature by observing the rites”: to nurture and educate people with rites and music, to combine metaphysical philosophy with the cultivation of man’s integrity. Zhang Zai put forward a number of profound philosophical propositions, such as “the great vacuity of the universe was qi,” “everything had two sides,” “the heart and the mind should have control over human nature and emotions.” Here, the proposition “the great vacuity of the universe was qi” meant that the original state of the universe was vast space, which was by no means the same as absolute emptiness but which was permeated with a clear, limpid and original qi—the basic form of everything. With the movement of qi in vast space, all manner of things were formed. According to the chapter on “The Extreme Harmony” in his book Correcting the Ignorant, the gathering and spreading of qi in the great vacuity was like ice melting in water. If one accepts that the great vacuity is made of qi, then in fact there is no such thing as “nothingness.” Therefore, Zhang Zai refuted the Taoist belief that all things originated from nothingness and the Buddhist belief that everything on earth came from nothingness. In terms of the sources of knowledge, he differentiated “moral knowledge” from “informative knowledge.” The former referred to the understanding of the way of heaven through self-cultivation. The latter was the specific information man received via sensory activities such as hearing and seeing. Informative knowledge was not the direct source of moral knowledge.

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“People as My Siblings and Universe as My Body” Zhang Zai proposed daxin (broadening one’s heart and mind), which was to achieve a harmony with the universe through moral cultivation, thus transcending the limitations of specific information. Therefore, daxin was spiritual in nature, by which man could “experience and understand the real conditions of everything in the whole universe.” Only when a man reached this mental state was it possible for him to “regard himself as part of the universe and the universe as his body.” In this way, he could gain an understanding of the role of the individual in the universe. This mental state was what he called “harmony of self with the universe” in his “Western Inscription,” an essay he wrote for other scholars and which was originally titled “Dingwan” (Correcting One’s Stubborn Weakness). The Cheng brothers believed that this essay represented the most outstanding views on Confucianism during the post-Mencius period. “Western Inscription” aimed at solving the problems of how to look at the universe from the perspective of an individual, and how to view man’s life in society with such a cosmological philosophy. According to the essay, man was made up of qi, as was everything in the universe. Therefore, “heaven is my father, and earth is my mother; all the people are my brothers and sisters, and all the things on earth are my friends.” With this view as a starting point, man could have a higher understanding of his moral obligations and look at all the personal advantages and disadvantages, gains and losses from a different angle. Since everything in the universe was considered directly related to one’s self, such behavior as respecting one’s elders and taking care of infants or orphans was the immediate obligation to be fulfilled as a specific embodiment of “the universe as his body.” In this spiritual state of “all the things as one” and the “harmony and combination of heaven and man,” the individual’s consciousness of morality would be raised immensely, so the value of his behavior would gain boundless worth. As a result, the personal domains of living and death, poverty and wealth, dignity and humility would all become trivial when they were faced with the great flux of the universe to which life belonged. Poverty could stimulate determined efforts; wealth could help preserve health; life bestowed man the opportunity to fulfill his filial piety; death could bring ultimate tranquility. Based on the idea of “people as my sibling and universe as my body,” Zhang Zai wrote of his great ambition: “to cultivate a heart for the heaven and

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earth, to fulfill a life for the people, to rejuvenate the learning of the past sages, to realize harmony for everything.” This noble aspiration became the common pursuit of countless intellectuals of later generations. The tenet of “people as my sibling and universe as my body” inspired many idealists to take as their responsibility all the missions in the world, to save nations in jeopardy, to relieve the people from suffering, and to devote themselves to their good deeds without any concern about their own life and interest.

Cheng Hao, Cheng Yi and Shao Yong The two Chengs were the most prominent Neo-Confucianists in the Northern Song Dynasty. With their theoretical shift from the philosophy of Zhang Zai and due to their long-term lecturing in Luoyang, the Chengs’ theories were known as the Luo School. It was the most influential school with the largest number of supporters at that time. The Cheng brothers, however, were as different in character as in their theoretical ideas. Cheng Hao (the elder) was happy-go-lucky, while Cheng Yi (the younger) was strict and grave. In theory, Cheng Hao emphasized the realization of inward benevolence and the preservation of benevolence in integrity. Cheng Yi, on the other hand, stressed the study of the outward natural phenomena and the understanding of their rules, believing that the accumulation of such knowledge could bring about a thorough insight. With all their differences, they both believed in the importance of heavenly tao (spiritual principle) and heavenly li (heavenly justice), and they regarded li as the core of their philosophy.

Cheng Hao Cheng Hao (1032–1085) did not leave any philosophical works except for his lecture notes, which were compiled into a collection titled The Posthumous Writings of Mr Cheng in Henan Province. He also left a few volumes of poetry and essays. Since Wen Yanbo used the title “Master Mingdao” (Master Understanding-Tao) in his epitaph, all the later scholars respectfully addressed him as Master Mingdao. Cheng Hao proposed that li was the basis of “the harmony and combination between heaven and man” and “all the things as one”: where there was li, there was tao, in which heaven and man composed an

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integrated unity. He gave priority to the seeking of the highest spiritual state in Confucianism. In his eyes, the state of benevolence was to regard everything in the universe and one’s own self as a closely related whole, and to treat each part of the universe as a component of one’s own body, as is illustrated in his famous saying: “A benevolent man should merge himself with the universe, and regard everything as part of himself.” He believed that scholars with such an intrinsic state of mind would definitely be endowed with “great happiness,” the very mood possessed by Yan Hui. In terms of self-cultivation, he recommended the practice of concentration of human nature. In his letter “On Concentration of Human Nature,” Chen Hao argued that concentration of human nature was actually the concentration of heart and mind, which was a state of tranquillity either in motion or in solitude, either going or coming, either inside or outside. Sages were sages simply because they had lived up to the requirement of “understanding everything without feeling alien from them; accepting everything without attempting to be the owner of them.” The specific sign of “the concentration of xin” was a magnanimous response to the outside world. This meant an objective interaction with everything without any preoccupations or selfish desire, and an acceptance of the natural way that things acted without interference or artificiality. Even after the interaction with the outside world, xin was able to retain its selflessness. In respect of humanity, Cheng Hao insisted that “the human nature was qi,” which meant that human nature was determined by the qi inhaled by human beings; therefore, both good and evil were the components of human nature. The process of self-cultivation was to get rid of the evil part in human nature and to have li in control of xin.

Cheng Yi Cheng Yi (1033–1107) left many works. Most of the articles in the Collected Works of the Two Chengs were actually written by him. Among them Cheng’s Commentaries on The Book of Change is a representative work that applied the means of demonstration and annotation to explain The Book of Change. According to him, li was not the regularity shown in the movement of things, nor was it the changing process in the movement. It was the very reason that determined the direction of the movement and the state of everything. The positive and negative counterparts of qi were physical, while li, which manipulated or regulated the movement of

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positive and negative qi, was metaphysical. Since li had the function to regulate and limit qi, it should be regarded as a kind of ti (law), though subtle in representation. The movement of qi resulted in yong (function), which on the contrary was obvious in representation. However ti and yong were the two complementary parts of one unity, thus the saying: “Ti and yong were from one source and deep down they were closely linked in spite of the surface differences.” Anyway, li played the superior role and had higher value than that of qi. The above greatly influenced Zhu Xi’s theory of li and qi. In terms of human nature, Cheng Yi declared that “human nature was li, which, alongside anything else, was endowed by the li of heaven.” From the perspective of the substantial world, human nature was the power that moved it; from the perspective of man, human nature was the essence that divided man from other animals. The specific contents of human nature were benevolence, righteousness, rites and wisdom. Here, human nature could be defined as “the very root or the exact origin,” which was different from qizhi (physical nature). Some people’s qizhi was good, that of others might contain evil. But the qi discussed above was always good in everyone. As far as “human nature” was concerned, it always meant the combination of both human nature and qi to make sense, since the discussion of human nature could never be complete without considering qi, and vice versa. Cheng Yi’s tenet of “human nature was li” affected later research on the human heart and human nature. As for the methods of self-cultivation, Cheng Yi’s motto was, “To be selfrestrained, one should be full of respect to increase knowledge, one must be of extreme conscience.” The “respect” here encompassed a dignified appearance and serious facial expressions. Cheng Yi believed that respect was the means for the heart and the mind to cultivate the “unconscious state,” plus the “conscious state” in the process of self-restraint. The implication of “extreme conscience” was to get li by studying the specific phenomena of nature. Although there was a mass of li in the universe, man could grasp the general law of heaven once he had sudden enlightenment. Cheng Yi’s idea of “studying the general phenomena to obtain the li of everything” had a strong influence on Zhu Xi.

Shao Yong Shao Yong (1101–1077), alias Yaofu and with the posthumous name Kangjie, was known as “Master Kangjie” by later generations. His philosophical

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reputation resulted from his hypothesis that the hypostasis of the universe was number. Number regulated the cycle of the universe and the rhythmic changes in the development of history; it also modulated the number of species and the amount of every substance. He explained that the calendar in use measured merely the “small year” (twelve months a year, thirty days a month, and twelve double-hours a day). He designed a new calendar to measure the “big year.” Based on the division of twelve months a year, thirty days a month and twelve time intervals a day, Shao Yong concluded that the progression for a calendar should be 12, 30, 12, 30, 12 . . . with continuous alternation. Therefore, he proposed that thirty years should be a shi, twelve shi a yun, thirty yun a hui, twelve hui a yuan. One yuan constituted a big year (a cosmological year covering 129,600 years). Yuan was not the ultimate time limit for the big year, since thirty yuan was one “shi of yuan,” and twelve “shi of yuan” was one “yun of yuan,” thirty “yun of yuan” was one “hui of yuan,” and twelve “hui of yuan” was one “yuan of yuan,” which then became a even bigger cycle covering 129,600 yuan. According to Shao Yong, such calculation with a big cycle revealed the circular evolutionary law of the universe. The end of a “yuan of yuan,” with the expiration of 129,600 years, would be the death of the old universe and the birth of a new universe. The alternate circulation process would last infinitely. At the end of every “yuan of yuan,” that is, the expiration of 129,600 yuan, greater changes would take place in the universe. This theory was called Shao Yong’s shuxue (the learning of numbers). Shao Yong also posited the philosophical idea that the saints “do not view things from their own perspective. Instead, they consider everything from the perspective of the thing itself.” This idea highlighted the conformation to the original state of matters without the interference of personal likes or dislikes, which corresponded closely to Cheng Hao’s belief that “a sage feels happy with something because the thing itself inspires joy. A sage feels angry at something because the thing itself deserves blame. The mood of a sage does not originate from his xin (heart), but the very justification of certain things.” Shao Yong’s emphasis on viewing things from the perspective of things was to advocate an attitude to life and a spiritual state of selflessness. According to him, scholars should cultivate themselves into a spiritual state, the obtainment of which would bring a bliss of ease and freedom.

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Zhu Xi and Lu Jiuyuan Zhu Xi Zhu Xi (1130–1200) absorbed the doctrines of Zhou Dunyi, Zhang Zai and the two Chengs (especially Cheng Yi) to become the most influential scholar and the one who accomplished most in the development of NeoConfucianism. He spent a very short period working as a local official, and spent most of his life giving lectures and writing books. His copious production covered almost all aspects of Confucian classics, histography and literature, with such important works as The Collected Works of Zhu Xi, Zhu Xi’s Notes on Texts and Editions, The Variorum of the Syntactic and Semantic Analysis of the Four Books. Having lectured at Chong’an in Fujian Province, his school of learning was called the Min School after Min, the shortened name of the province. Zhu Xi’s theory about li and qi had two phases—in terms of their being indispensable elements of everything on earth, li and qi were the origins and roots of the world with no difference in importance; in terms of logic, li was more essential to be prior to qi. Li was the basis for the existence and movement of different things and the yardstick of their values. Specific things possessed diversified li, and could be viewed as diverse representations of li in different forms from the same rule of the universe. Such an understanding was summed up in the phrase “the same li in countless shapes.” This cosmological law was termed taiji (the highest extreme). Reasoning from this logic, everything had a taiji, so did every man. And the li represented in every man and thing determined the very nature of destiny, which might manifest itself in quite different forms due to the clear or turbid qi of its undertaker. The different forms manifested in each unique being or thing were referred to as qizhi (physical nature). Zhu Xi adopted the notion of “the control of xin over human nature and emotions” from Zhang Zai, specifying that human nature was the form of xin, while human emotions were the function of xin. Xin included and dominated human nature and emotions. Portrait of Zhu Xi Zhu Xi also proposed the notion of

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Writings of Zhu Xi (Southern Song Dynasty)

“taoxin (the center of tao) versus renxin (the heart of man).” According to him, taoxin was the feeling and understanding of li, and renxin was the desire and greed of man. The aim of practicing self-cultivation was to “make taoxin give orders and renxin take orders.” Zhu Xi also followed the ideas of Cheng Yi that in order to be selfrestrained, one had to be full of respect. He developed this view by suggesting that “while in solitude, one should practice self-restraint; while in action, one should learn to examine everything.” The priority emphasized by Zhu Xi was gewu zhizhi (to study natural phenomena critically and to obtain the li in them through extreme conscience). Gewu here meant the investigation of specific things, which might take many an approach to reach the required concentration, such as “examining something to write about it, or looking into a phenomenon to study its subtlety, or reading between the lines to get the points, or discussing with others to clarify ideas.” Zhizhi, on the other hand, meant to get the very li out of every phenomenon and try to expand one’s dimensions of understanding, which when accumulated to a certain degree, might give rise to a sudden illuminated insight. Zhu Xi’s gewu zhizhi was to go into the essence of li in things, and the exact li was the medium to understand the fundamental rules of the universe. So for Zhu Xi, to obtain knowledge was not simply an activity about knowledge; it was a moral behavior as well. In terms of the relationship between gaining ethical knowledge and practicing morality, Zhu Xi demonstrated that knowledge should precede practice in sequence, and practice

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should precede knowledge in magnitude. He meanwhile emphasized the simultaneous interaction of obtaining knowledge and practicing morality. As the most accomplished scholar of Neo-Confucianism, Zhu Xi was at the peak of Chinese philosophical history. His philosophical ideas spread to many countries around China, especially Japan and Korea, and have exerted due influence on their ideology.

Lu Jiuyuan Lu Jiuyuan (1130–1193), a contemporary of Zhu Xi, was also a famous scholar. He inherited the doctrine of Mencius, and regarded “faming benxin” (the recovery of the intrinsic conscience) as the tenet of his theory. According to him, benxin was man’s intrinsic consciousness. He also pointed out that if the fundamental law of the universe was li, the same was true with intrinsic consciousness. Therefore, intrinsic consciousness was equal to li. This idea was expressed in his aphorism, “the universe was our consciousness and our consciousness was the universe.” To be a true scholar, one had to adhere to the moral consciousness in oneself, that is, “to set up the highest requirement” and “to respect morality.” Self-cultivation activities such as “to study natural phenomena critically,” “to go into the very essence of li in things,” and “to commit one’s whole heart” all relied on how to recognize, maintain and expand the li in one’s heart. Since li lies in man, it was unnecessary to look for it from the outside world. But if man’s heart were contaminated by selfish desires, so the li in it might become obscure. To gain more knowledge was the process of eliminating those desires and making the intrinsic li emerge. This in fact was the expounding of the concept “the recovery of the intrinsic conscience.” Lu Jiuyuan argued against Zhu Xi in the famous “Goose Lake Monastery Debate” about how to gain knowledge. The way recommended by Zhu Xi was to study the phenomena of nature and to gain insight in order to be illuminated by the understanding of the heavenly laws. As a contrast, Lu Jiuyuan advocated his “recovery of the intrinsic consciousness” as the first step before “studying the phenomena of nature.” Zhu Xi saw Lu’s method as not sufficiently elaborate, while Lu Jiuyuan found Zhu’s method slack. Putting the priority of “morality respect” over “obtaining tao in the study,” Lu Juyuan’s studies of the intrinsic consciousness inspired many scholars to join in the research, though it did not have as broad an influence as that of Zhu Xi.

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Wang Yangming The Emergence of the Wang School Wang Yang ming (1472–1529) was the central figure in the NeoConfucianism of the Ming Dynasty, when the academic focus of the age was the Movement of Studying the Intrinsic Heart, led by him and his disciples. With yet another autonym, Wang Shouren, he preferred to call himself “Yangmingzi,” while later scholars often addressed him as “Mister Yangming.” In his youth, Wang Yangming was well trained in Portrait of Wang Yangming archery and equitation in addition (Ming Dynasty) to the art of war. He also acquainted himself with Buddhism and Taoism. Because of his opposition to the eunuch Liu Jin, he was demoted to a remote post in the backward Longchang County, Guizhou Province, where he gained a thorough understanding of the essence of the intrinsic heart. Later, he helped pacify the roving rebellious bands in the provincial borders of Fujian, Jiangxi and Guangdong. He also suppressed the rebellion of Marquis Zhu Yuanhao in Nanning. In his old age, he went to fight a battle at Sitian in Guangxi Province and died on his way back. Wang Yangming was a great educator in the Ming Dynasty, who taught between his government service. When he grew old, Wang Yangming lectured at home with more than a hundred disciples. His main philosophical works handed down to the present include mainly Records of Instructions, and letters to his friends discussing philosophical issues. Traditionally, Wang Yangming and Lu Jiuyuan were often mentioned together and their philosophy was called “Lu–Wang Studies of the Intrinsic Heart.” In fact, Wang Yangming did not directly inherit Lu Jiuyuan’s philosophical ideas. Instead he first followed the doctrines of Zhu Xi, whose ideas he later found incompatible, and only began to formulate his own theory after years of exploration.

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Reaching One’s Conscience Before he formally proposed the idea of “reaching one’s conscience” in his later years, Wang Yangming already proposed such theories as “there is no li outside the heart,” “there is no wu outside the heart,” and “the parallel advancement of knowledge and practice.” “No li outside the heart” indicated that the ultimate essence of moral behavior was motivation, and that anything without motivation would have no morality. Therefore, no effort should be spared in rectifying one’s moral motivation. The idea of “no wu outside the heart” was a proposition liable to misunderstanding. The wu used by Wang Yangming was not the external “object” as opposed to the internal “subject.” It referred to the ethic behavior. Gewu did not concern the study of the external objects but the rectification of ideas which strayed from the moral track in certain behavior. As indicated by the parallel advancement of gaining knowledge and doing practice, the two were the twin components in the same activities, just like the two wheels of a cart and the two wings of a bird. Therefore, once one gained certain knowledge, one should put it into practice. Without practice, the knowledge could not be of any real value. In his old age, Wang Yangming summarized all his philosophical propositions into the epigram “reach one’s conscience.” He analyzed the connotation of the epigram exhaustively. “Reach” contained both the meaning of expanding one’s conscience and the meaning of implementing one’s conscience. In terms of “expanding one’s conscience,” he believed that each behavior was an action to expand one’s morality and intelligence as well as one’s conscience, whatever level of morality and intelligence one might start with. The terms of “implementing one’s conscience,” meant to put into action with determination the cultivated conscience, so as to bring every behavior under moral norms. The “conscience” referred to by Wang Yangming covered several meanings, though it highlighted first the awareness of moral norms in one’s mind, and second one’s capability to tell right from wrong and virtue from vice in real practice. The “reaching” in “reach one’s conscience” referred to “finding,” and the behavior to put one’s conscience into practice was the performance. So, “reaching one’s conscience” was “the parallel advancement of finding conscience and putting it into practice.” Credited as the greatest NeoConfucianist after Zhu Xi, Wang Yangming did not have Zhu Xi’s erudite style. His ideas shone with a practical spirit, showing the distinctive features of his age.

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Wang Yangming’s Disciples In his later years, Wang Yangming introduced his famous Four-Sentence Teaching: “To be born neither good nor evil is human nature; to be touched with both good or evil was man’s action at will; to be able to tell good from evil is man’s conscience; to repel evil to preserve good is the investigation of natural phenomena.”

An understanding of the above involves the issues of noumenon and personal efforts, which constituted one of the major topics discussed by scholars in the middle and late Ming Dynasty. Wang Yangming’s disciples held two different views on how to understand this issue. Some held that good conscience was born by nature and occurred in the heart constantly. Therefore, the efforts for self-cultivation were simply to be aware of the good conscience directly rather than to modify the good conscience to eliminate the evil conscience. The believers of this view based it on the original nature of man’s heart, so they were called the Inborn Justice Sect. The general understanding of “efforts” by this sect was the process of “growing aware of noumenon.” Another group believed that conscience was contaminated by man’s desires when they appeared in his heart, pure as it had been. Therefore, it was necessary to exert one’s efforts to get rid of the evil for the good. With selfish desires eliminated, the good conscience would be restored to its true value. The believers of this view started from the integrity acquired by man, so they were called the Acquired Integrity Sect. The connotation they gave to “efforts” was the process of “reaching for the noumenon.” Wang Ji (alias Longxi), the disciple of Wang Yangming from the Zhejiang School, and Luo Rufang from the Taizhou School represented the Inborn Justice Sect. Zou Shouyi, Nie Bao, and Luo Hongxian from the Jiangyou School were the representatives of the Acquired Integrity Sect. Approaching the end of the Ming Dynasty, there appeared some radical contra-traditionalists from the Taizhou School. Against this background, Liu Zongzhou proposed the idea of “sincerity and selfdiscipline in solitude.” Liu Zongzhou (1578–1645) exerted himself to refute the proposition of “inborn justice.” He detested diluting the significance of Confucian ideas with Zen Buddhist concepts. In his opinion, there was no good conscience in human nature because human nature was

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born neutral. It was only the assumption of the Inborn Justice Sect that everything from man’s innate heart was good in conscience. As for the Zen Buddhist denial of good conscience, Liu Zongzhou held that the rejection of the fundamental point of this argument in Confucianism could lead to nothing but a sterile emptiness with extinction as its destiny. The new theory Liu Zongzhou proposed was the concept of “will,” the innermost decision-maker of the heart, which was not an occurrence from man’s heart, but an inborn dominator deciding the orientation of the heart. Therefore, will was also called “root.” Bearing the characteristic inclination of “liking the good and disliking the evil,” will acted in “man’s solitary self,” and watched over one’s actions with others in public or in solitude. The much recommended “vigilance in solitude” meant the integrity of one’s will. What Liu Zongzhou suggested was to preserve the innate and decisive will from being shaded by selfish desires. He proposed to dominate and regulate one’s conscience in specific activities with a will so as to protect it from wandering. Liu Zongzhou was a sharp critic of the Wang School when different sects evolved at the end of the Ming Dynasty. He was also recognized for summarizing the general academic thoughts of the entire Ming Dynasty. His doctrine showed a tendency to reverse to Zhu Xi’s theory, and represented the trend of combining Wang’s Learning and Zhu’s Learning.

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詞 CHAPTER TWENTY EIGHT

The Ci -Poetry of the Song Dynasty The Features and System of Ci-Poetry

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The Flourishing of Ci-Poetry in the Song Dynasty

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Important Artistic Characteristics of Ci-Poetry of the Song Dynasty

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Free-style calligraphy of“詞”(ci) means “lyric” in Chinese

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The Features and System of Ci-Poetry Ci-poetry, originally called quzi ci (lyric) or qizi (ditty) and later “poetry branch” or “long-short line,” is a type of musical song composed to existing tunes in strict tonal patterns and rhyme schemes with a fixed number of lines and words. Due to its close relationship with music, Cipoetry in the Song Dynasty was given other pertinent labels, such as “yuefu” (collection of songs), “movement,” “descant,” “ditty words” and “music-bound.” In terms of genre and form, the chief features of Cipoetry are all relevant to its musical nature.

The Tunes and the Tune Title Each ci-poem has to fit into a preset tune pattern bearing such titles as “Shuidiaogetou,” “Manjianghong,” “Niannujiao” and “Pusaman” (which originally had other certain meanings, such as “Prelude to Water Melody,” “The River all Red” or “Bells in the Rain,” and which later became required form names rather than suggesting the content of cipoems). Instead of being the topic of a ci-poem, a tune title represents a certain tune pattern with a fixed number of lines, each line containing a fixed number of words, and each word a fixed tone or rhyme. Different tune patterns involve different requirements for rhythm, rhyme, meter and melodic style. The tunes of ci-poetry are classified as ling, yin, jin and man, each being a component part of a grand melody called daqu from the Tang Dynasty, where it was originally a large-scale performance containing a number of songs and dances to the same court music tune, with musical accompaniment. The shortest tune is ling, possibly derived from drinking wordgames in the Tang Dynasty. Yin and jin are both longer tunes extracted from the grand melody. Yin is the prelude chant, as in “Yin of the Sunny Pass.” Jin is also called jinpai (musical beat), which usually appears when the rhythmic pace accelerates after a slower melody. As for the slow tune man, it is of leisurely beat and lasting melody as opposed to the quick tune. A ci-poem accompanied by such a slow tune is called man-ci. The tunes of ci-poems are divided according to their length. In the Qing Dynasty, ci-poems of less than fifty-eight words were usually considered short tunes, fifty-nine to ninety words middle tunes, and

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more than ninety words, long tunes. Though the actual boundary is not so precise, the classification has long been accepted.

The Structure of Ci-Poetry According to its differences in stanzas, ci-poetry can be divided in another way into mono-tune, double-tune, tri-tune and quadra-tune. Mono-tune poems are mostly made up of a single stanza. The doubletune with a pause between its two stanzas is the most commonly applied form. The upper stanza (shangque) and the lower one (xiaque) can be the same or different tunes. Most double-tune ci-poems with different stanzas belong to man-ci. Those of three or four stanzas are unanimously man-ci with corresponding stanza numbers, which are relatively rarely used. The stanza division of ci-poems is determined by the music. The basic and most typical feature of ci-poetry is its fixed patterns of unequal verse lines, which are constructed to various tune titles with required meters and rhymes. The length of each verse line is preset to match the music tone, undulation and beat of a certain melody. Such variety has given a rich diversity to ci-poetry, distinguishing it from the regular shi-poetry of the Tang Dynasty.

The Tones and Rhymes of Ci-Poetry Like many other aspects of ci-poetry, its tone, rhyme and meter are also closely related to music. Different tune patterns require different tones and rhyming positions. Stricter and more complicated than regular shipoetry, ci-poetry has to follow four distinctive tones (level, ascending, departing and entering) in addition to discriminating between level tones and oblique tones. The reason for such strict tonic rules is that cipoems have to be “music-bound” to corresponding melodies. Though most music scores of ci-poems have been lost, later ci-poets still have to observe the rules in tones and rhymes to maintain the standard. With the works of ancient poets collected and analyzed, the patterns and schemes have been worked out for writers to “fill in.” Such tonic rules are called “ci-poem scores,” as elaborated in Wan Shu’s Rules of ci-Poetry, and Shu Menglan’s Baixiang ci-Poetry Scores. Both music books were compiled in the Qing Dynasty.

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The Rise and Development of Ci-Poetry in the Tang Dynasty and the Five Dynasties The Emergence of Ci-Poetry Ci-poetry in its broad sense belonged to poetry, though it is more closely linked to music than to shi-poetry. It follows a score, so logically its tune precedes its words as the predominant component. That is why writing a ci-poem was often referred to as to “matching the tone,” or “filling in the scheme.” As a body of musical literature, ci-poetry has musical elements imbued through the whole process from its emergence, development, production and distribution. The music which accompanies ci-poetry is called yanyue or “banquet music,” usually with the accompaniment of pipa. Becoming popular in the early Sui Dynasty at banquets and places of entertainment, yanyue was a new form of music. It originated in the Northern Zhou and Sui dynasties as a combination of music from the Western Regions and Chinese folk tunes. Other scholars believe that ci-poetry developed from the “modern style” poems (quatrain and eight-line verses) of the Tang Dynasty, suggesting that it was initially the five-character and seven-character regular poems that Tang singers sang in melody, and that it was not until the late Tang and the Five dynasties that these regular verses gradually gave way to unequal long and short lines and ci-poetry came into being. However, this theory was rejected on the grounds that because cipoems had to match certain tunes, the words had to follow the preset requirements of the tune formats. From this perspective, ci-poetry at its very beginning had to draw on the “long and short lines” which appeared during the Sui and the Tang dynasties. Reckoned with the time, ci-poems should have appeared earlier than the “modern style” Tang shi-poetry. Therefore, it is groundless to assume that ci-poetry is the successor of the quatrain and eight-line shi-poetry of the Tang Dynasty. Another view is that ci-poetry derived either from the yuefu songs of the Han and Wei dynasties or those of the Six Dynasties. However, this theory has also proved groundless. The word yuefu came originally from an official music institute established by Emperor Wu in the Western Han Dynasty, and later became the name of a certain type of poem composed in this institute. As a result, all the poems that could be sung to melodies in the Han and Wei dynasties and the Six Dynasties were

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classified as yuefu songs. Ci-poems in the Tang and Song dynasties were given tunes and can therefore be categorized as yuefu songs. It was for this reason that some literati poets in the Song Dynasty titled their cipoem anthologies as yuefu. However, ci-poems had no direct kinship with yuefu of the Han and Wei dynasties or the Six Dynasties, since the music for yuefu of those early dynasties was yayue (an elegant music form prior to the Han and Wei dynasties) and qingyue (ballads and folk songs from the Han and Wei dynasties and the Six Dynasties). By contrast, the music which accompnaied the Tang and Song ci-poetry was yanyue, totally new and different tunes from the West Regions (Mid-Asia and India). Further, the words of yuefu poems were meant to be put to suitable melodies later, whereas the words of ci-poems were applied to existing tunes in fixed formats, rhyming positions and tones. This is yet another striking difference between ci-poetry and yuefu.

The Ci-Poems by Poets in the Tang Dynasty Ci-poetry appeared in the Sui Dynasty, and became popular in the Tang Dynasty. The booming commerce, economy and international trade in the Tang Dynasty led to the rise of a number of flourishing towns and cities. Such a favorable social environment in turn contributed significantly to the flourishing of ci-poetry. The first Tang poet to write ci-poems by filling in the music schemes is reputed to be Li Bai (701–762), though there is still no consensus among experts as to whether those ci-poems were definitely written by him. The following are two of the best known ci-poems, to the tunes of Pusaman and Yiqin’er respectively: Woody plains loom a vast haze, Chilly Hill trails a bluish lace. Twilight palls to the chamber high, A girl waits there with deep sigh. On jade steps she gazes around, Scurrying birds are home bound. Where is him she holds so dear? There are but watchout posts far and near. (Li Bai, “To the Tune of Pusaman”)

Flute tunes sore, Pulling the dreamboat to the moonlit shore.

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To the moonlit shore, Willows green again as before, Parting recalled, her heart does gnaw. Across the plain, cooling days restore, Letters from the old road come no more. Come no more, Only chilly spells in the setting sun, Deplore at the Han Tomb’s cold door. (Li Bai, “To the Tune of Yiqin’er”)

As the Song Dynasty critic Huang Sheng commented: “Li Bai’s Pusaman and Yiqin’er could be credited as the prototypes of ci-poetry for hundreds of succeeding generations.” (Excellent Ci-poems by Tang and Song Talents). From the second half of the eighth century, filling in ci-poems to tunes became very fashionable. An example is this Yuzige composed by Zhang Zhihe, who wrote a number of poems between 758 and 774: Xisai Hill is where white egrets hover about, Brooks flow peach petals and trout grow stout. A green bamboo hat, A grassy straw mat, Wind or drizzle won’t stop him fishing out. (Zhang Zhihe, “To the Tune of Yuzige”)

In the book An Outline of Art, this ci-poem was highly praised by Liu Xizai as possessing “graceful charm throughout the ages.” Two other examples quoted below are by Bai Juyi and Liu Yuxi, both to the tune of Yijiangnan: The south does inspire! Of the Yangtze River I went to admire: Rising glow shone ripples redder than fire, Vernal wind put waters in a green attire. Could such a memory ever retire? (Bai Juyi, “To the Tune of Yijiangnan”)

The spring pines away! Though Luoyang folks invite her to stay. Supple willows waft in wind as sleeves sway; Orchid tufts hold dews like tears in pray.

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Smiling alone while frowning in dismay. (Liu Yuxi, “To the Tune of Yijiangnan”)

The descriptions in the two ci-poems are vivid and lively and have had a remarkable influence on later poets.

Wen Tingyun and the “Ci-Poem School Amid Flowers” Wen Tingyun (812–?870) enjoyed a high reputation in the late Tang Dynasty when the composition of ci-poems became even more popular. His cipoems were included in The Old History of the Tang Dynasty as a poet who could “create ci-poems to match any musical tunes, and depict with gorgeous words any scene of beauty.” The following is one of his most renowned works:. Mounds fold behind the golden screen, Silky hair cuddles her sweet and fair chin. Lazily she rises to pencil her cute brows, Idly she makes her primp in the cozy house. To and fro fancy pins are put in the right place, In the mirrors more charming is the rouge face. Pausing to sighs at the broidered robe she wears, Where loving birds are merrymaking in pairs. (Wen Tingyun, “To the Tune of Pusaman”)

Crystal pillow coves hind drapery screens. Dreamy mood the sweet quilt gently brings. Riverbank outside looms a willow veil long, Moony sky pales where wild geese wing along. Like ripe lotus her robe soft and fair, Hand-made flowers deck her fluffy hair. Rosy cheeks half hidden in silky tresses, Hairpins tremble slightly in the breeze. (Wen Tingyun, “To the Tune of Pusaman”)

Under the influence of Wen Tingyun, the “School amid Flowers” came into being during the Five Dynasties. This school consisted of a group of lyrical ci-poets in the Kingdom of Late Shu, its chief members being Wei Zhuang (836–910), Xue Shaoyun, Niu Qiao, Zhang Mi (930–?), Mao Wenxi,

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Niu Xiji, Ouyang Jiong (896–971), Gu Xiong, Lu Qianyi, Yan Xuan, Yin E, Li Xun (?855–?930), He Ning (898–955) and Sun Guangxian (900–968). In the third year of the Guangzheng Reign in the Kingdom of Late Shu (940), Zhao Chongzha collected the ci-poems of the above poets into an anthology, the Collected Ci-poems amid Flowers, which included five hundred poems by eighteen authors. The group was given the name “the School amid Flowers.” Most of the poems followed the style of Wen Tingyun, describing mainly the manner, experience and love of beautiful women through the use of ornate and elaborate diction. These poems have a luscious, feminine charm. However, Wei Zhuang’s ci-poems were an exception, with his subtle and cool style: Everyone says that the South of Yangtze is good. Wanderers as well stay there as long as they could. Spring water riffles clearer than the azure sky, Painted boats doze in the drizzle’s sweet lullaby. Barmaids are fair as if from fairylands, Holding wine pot with snow-white hands. So stay on and return home only when you are old, Or in everyday recall your heart would be sad and cold. (Wei Zhuang, “To the Tune of Pusaman”)

This poem lauds the loveliness of the south, although the writer, forced to live there because his hometown was in a war zone, is evidently nostalgic for his birthplace.

Li Yu and Other Poets in the Kingdom of the Southern Tang In the war-stricken Five Dynasties period, the Kingdom of Southern Tang was another relatively peaceful area as in the Late Shu Dynasty. The important lyric ci-poets at that time were Li Jing (916–961), the second monarch of the Southern Tang, Li Yu (937–978), and prime minister Feng Yansi (903-960). Among them, Li Yu is representative of the lyric ci-poets in the Tang and Five Dynasties and his works were the most influential. The early days of this former monarch were spent in luxury, which made his later suffering and humiliation more miserable when his kingdom was lost to the Song Dynasty and he himself became a captive. At the age of forty-two, he was poisoned by the second emperor of the Song Dynasty.

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Following the drastic twists and turns in his life, his style changed dramatically. His early poems were similar to those in The Collected Poems amid Flowers. Later, he shifted his focus to the endless sorrow that followed his fall from emperor to prisoner. The passion in his poems touches on the universal human condition and they have been popluar through the ages. The following are some of his famous poems: The vernal prime in the wood fades away, With too brief a stay! Helpless to cold rains at dawn and bitter wind to end the day. Tears down her rosy face, Soak my heart in euphoria. Such a memory never decays Sorrow in life is like spring flood in rushing pace. (Li Yu, “To the Tune of Wuyeti”)

Quietly, I mount the west tower alone, The moon hangs like a bow. With autumn locked deep where the Wutong tree stands in woe, Even sword won’t cut it apart, Sorted, still in mess and smart. That’s the feeling of nostalgia— An unspeakable taste known only to my heart. (Li Yu, “To the Tune of Wuyeti”)

Outside the curtain, rain trickles on; With the wind, springtime will be gone. Sicken quilt can’t resist the chill in the morning, Forgetting no longer a king, Of pleasure for a while I’m still dreaming. Lean alone on railings, I dare not! The once boundless land Is easier to leave than to meet. Water with fallen flowers flows away, Gone with spring and the paradise of yesterday. (Li Yu, “To the Tune of Wuyeti”)

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How long will spring buds and autumn moon last? Countless, countless has happened in the past! East breeze whispered again in my attic last night, Reminded me of my lost land in a wan sight. Carved railings and jade steps might be retained; Only rose on those fair cheeks have been stained. How much sorrow, pray, can a person carry? Like torrent in spring flowing east, it runs with no tarry. (Li Yu, “To the Tune of Yumeiren”)

Wang Guowei said: “Li Yu’s poems were endowed with a superb soul. It was only with his pioneering work that lyric poets expanded their horizon and deepened their reflections. Consequently, what used to be for music performance and entertainment was gradually promoted into a scholarly creation.” Li Yu’s poems had a remarkable influence on poets in the Song Dynasty and on later generations.

The Flourishing of Ci-Poetry in the Song Dynasty During the Song Dynasty there emerged a large number of ci-poets, and the composition of ci-poems entered an era of countless poems written in a variety of styles. The Complete Collection of Song Ci includes nearly twenty thousand ci-poems composed by more than 1,330 poets, which indicates the popularity of ci-poetry during that period. As a result, ci-poetry is considered the representative literary genre of the Song Dynasty, as shi-poetry is for the Tang Dynasty.

The Reason of the Flourishing of Song Ci The flourishing of Song ci was closely related to the century-long economic prosperity in the Northern Song Dynasty. Meng Yuanlao’s A Record of Dongjing’s Heyday describes the affluence of the capital city Bianjing (the present Kaifeng): Piping time of peace lasts long and the population is growing large. Gray-haired old folks have never experienced wars, and children learn to sing and dance when they are toddlers. There are many festive occasions with all kinds of entertainments to

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be appreciated, whether it is a lantern-lit evening or a moonlit night, a snowy winter or a budding spring, the Lover’s Day or the Mountain-climbing Festival, in theaters or in gardens. Singing girls’ bowers and painted pavilions with embroidered screens and pearl-strung curtains can be seen everywhere. Plush carriages park on grand avenues, and brawny horses run along imperial streets. Accessories of glittery gold and crystal gems please people’s eyes, and clothes of soft silk and gorgeous damask smell fragrant. Music resounds in willowshaded lanes and flower-decorated neighborhoods, and instruments are played at teahouses and wine shops. Since the capital is the hub of the country and is closely allied with foreign states, goods from both home and abroad are available at its fairs, and all kinds of delicacies can be enjoyed in its restaurants. Vernal sceneries are everywhere at any time for people to enjoy other than in excursion seasons, and melodies of flutes and drums are echoing pleasantly at merry feasts of each household. New tunes excite all the ears, and every one appreciates the rainbow life.

This description reveals the growth of industry and commerce and the prosperity and improved living conditions of nobles and common people alike at that time. Due to its close link to music, ci-poetry was sung at a wide range of social occasions, such as grand ceremonies at court, the banquets held by scholar-bureaucrats, farewell parties at wayfarers’ stations, and singing houses. The rich social life contributed greatly to the development of this art form. The keen interest of both the monarch and the aristocrats in ci-poem composition also contributed to the flourishing of Song ci-poetry. Moreover, ci-poetry as a new literary genre provided a new orientation for artistic creation, attracting more and more scholars to display their talents.

Some Examples of Song Ci Representatives of Song ci-poets include Yan Shu (991–1055), Fan Zhongyan (989–1052), Ouyang Xiu (1007–1072), Liu Yong (985–?1053), Su Shi (1036–1101), Yan Jidao (1038–1110), Qin Guan (1049–1100), Zhou Bangyan (1056– 1121), Li Qingzhao (1084–?1155), Xin Qiji (1140–1207), Jiang Kui (?1155–?1221), Wu Wenying (?1200–?1260) and Zhang Yan (1248–?1320). The following are some of their most famous works:

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I compose a new song over a cup of wine, As in the bower last year with whether fair and fine. But, will everything return like sunrise after its decline? Flowers fall fading, I sigh though sighing in vain. Swallows fly back, are they the same group again? Loitering on the garden’s scenting path, lonely I remain. (Yan Shu, “To the Tune of Huanxisha”)

In the blue sky clouds float, Yellow leaves coats the earth into gold. Autumn mood touches the waves cold, Over the ripples, chilly mists unfold. The sunrays lean over the hills, sky and water merge, Apathy grass extends fragrantly beyond the sun in verge. Missing my distant native town, A heavy heart yearns homebound. Every night, resorting to dreamboat, I hate to be ashore and stand on the ground. In moonlight, never stay alone to expect around, Wine into sad heart turns into tears abound. (Fan Zhongyan, “To the Tune of Sumuzhe”)

At last year’s Lantern Festival, The flower fair was illuminated as day. The moon climbed to the willow wigs. In twilight he came to with no delay. This year again comes the same day, Moonlight and lanterns shine bright and gay. But my love comes no more to me, My spring dress is wet with tears of dismay. (Ouyang Xiu, “To the Tune of Shengchazi”)

Mournfully chirr the cicadas, As the shower of rain stops And we face the roadside pavilion at dusk. We drink without cheer in the tent outside the city gate; It is the moment when we are loath to part

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But the magnolia-wood boat beckons me on. Hands clasped together we see our tears, So overcome, unable to utter a single word. Ahead lies a journey a thousand li of misty waves, And the vast sky of Chu hangs with heavy evening haze. Since time immemorial, lovers have grieved at parting, Made more poignant in the fallow season of autumn. What is this place where I have sobered from my drunken stupor? The riverside is strewn with willow trees, The morning breeze wafts in with a waning moon. Our parting will last for years, Fine hours and scenes of beauty have no appeal, Even though my heart is filled with tender feelings, But, with whom can I share them? (Liu Yong, “To the Tune of Yulinling”)

On the night of the Mid-Autumn Festival of 1076, I drank happily till dawn and scribbled this in my cups while thinking of my brother Ziyou. Bright moon, when was your birth? Wine cup in hand, I ask the deep blue sky; Not knowing what year it is tonight In those celestial palaces on high. I long to fly back on the wind, Yet dread those crystal towers, those courts of jade, Freezing to death among those icy heights! Instead I rise to dance with my pale shadow; Better off, after all, in the world of men. Rounding the red pavilion, Stooping to look through gauze windows, She shines on the sleepless. The moon should know no sadness; Why, then, is she always full when dear ones are parted? For men the grief of parting, joy of reunion, Just as the moon wanes and waxes, is bright or deem: Always some flow—and so it has been since of old. My one wish for you, then, is long life And a share in this loveliness far far away! (Su Shi, “To the Tune of Shuidiaogetou”)

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To east you huge river rush along, Grinding sand with your violent flow, And for ages and ages, many a gallant hero. West of the old rampart, legends go, About the Red Cliff and General Zhou. Sharp rocks pierce the flying clouds, Thundering waves rip the banks low, Rolling up a thousand heaps of white foam. What a wonderful view of this great land, How many heroes does she endow! Visualize the dazzling bride with General Zhou, What a brilliant couple. Silk-capped and a feather fan wafting blow. Over his chat and laughter, Into smoke and ash the enemy fleet did glow. Wandering over the ancient land in awe, I might be laughed at being that sentimental. Without much feat, already my hair dyed with snow. Life is but a flashy rainbow, Here is my toast, to the moon and the rushing flow. (Su Shi, “To the Tune of Niannujiao” On the Red Cliff)

Fragrant and warm sleeves poured wine into my bowl, I’d like to flush for you and the sweet bubble. You danced till the moon hung below the willow. You sang till the breeze from the peach turned slow. Ever since we bid farewell, I yearned for the rendezvous. How many times I have dreamed of you! Tonight I look at you holding the silver candle, For fear that our reunion is but a dream. (Yan Jidao, “To the Tune of Zhegutian”)

Clouds float, shifting colors and silhouettes; Stars trail, conveying feeling at our yearning heart. Across the Milky Way these two stars of love date; When autumn comes, Golden Wind embraces Dew of Jade, With them, all the romance on earth would dwarf and fade.

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The fondness flows like autumn water, loft and soft. Their meeting fleets like a dream, sweet and swift. How can they bring themselves away from the Magpie Bridge? But, so long as precious love will forever stay, Need they be bound up every night and day? (Qin Guan, “To the Tune of Queqiaoxian”)

Dressed lightly, I sip the newly brewed wine, Far away from home, the golden time is spent in pine. How I wish that spring could linger its stay. Yet like a flying bird, it wings without delay, Leaving little trace on its way. Where are the pink souls’ home, I wonder? Last night’s wind and rain gave no answer. The petals, like hairpins with faint aroma, Flying over peach-lined trail below, Falling on field lined with willow. Any tears for the fading red, I’d like to know? No one, no, but busy bees and butterflies, In their ardent errands often flap my window. The eastern garden ceases bustle, Green grows darker as a lush veil. Silently I rove along the rosy row, Growing from heart are sighs of deep sorrow. The slim branches seem to hate to let me go, I hitch my gown as if in parting woe, Which stirs pangs of my sentiment. I pick up a tiny bud to pin on my garment. But, alas, it is vigorous no more, Unlike those adored on girls’ hair before. I hope the petals won’t drift with ebb and flow, For if it is inscribed with emotional yearn Who’d have a chance to echo the love song? (Zhou Bangyan, “To the Tune of Liuchou,” Written on Fading Roses)

Last night, the wind was fierce, and rain was drizzling; Deep sleep did not dispel the lingering wine. I ask the maid to roll up the curtains: How the crab-apple blossoms have been.

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“Just the same, they remain.” “Oh, No. Haven’t you seen? Fading is the red, growing is the green.” (Li Qingzhao, “To the Tune of Rumengling”)

In 1179, before I was transferred from Hubei to Hunan, I wrote this poem at a farewell party given by my college Wang Zhengzhi at the Little Hill Pavilion. How much more wind and rain can spring sustain? Hastely, it will disappear once again. Cherishing it, I hate to see flowers fading too soon, Let alone the fallen petals widespread on their own. Spring, please stay here, My plea is sincere. Lush grass may lead homebound you astray. Yet, the vernal fair leaves with little to say, Only the webs spiders weave Catch flying catkins by the painted eave. The sad queen longs for the favour to retain. But no more her wished reunion comes again For beauty would always be envied by green eyes, Even looks could be paid at high price. Though the love once so true and deep, To whom could she burst her bitter weep? Don’t dance with that joyful smile! Haven’t you seen the once favored exile? A heart choked and void is such a pain, So lean not against the high rail waiting in vain For the setting sun is shinning on shady willows, Where once weaved the heart-breaking sorrow. (Xin Qiji, “To the Tune of Moyuer”)

On the Winter Solstice of the third year of Emperor Chunxi’s reign (1176), I passed by Yangzhou. The snow over night has just stopped and it turns fine. A stretch of field with wild wheat and weeds caught my eyes. When I entered the ruined city, all around was a desolate scene and blue cold water. As dusk deepened, mournful bugles began to blow.

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Feeling sad at the past glory to the present desolation, I composed this lyric to a tune created by myself. In the opinion of Xiao Dezao (my uncle-in-law), this poem bears a grief specific to a ruined country. This is a famed city, east of the Huaihe River, Good place west of a stretch of bamboo forest, The first time to pass here, I dismount to stay for a short rest. Ten miles of road was once full of warm vernal breezes, But now overgrown with green wild wheat and weeds. Since the incursion of Jurchen troops into the Yangtze region, Even abandoned ponds and tall trees hate any war information; As dusk is gradually approaching, The chilly horn blows, raising Cold atmosphere in the empty city. The poet Du Mu, who had praised Yangzhou in his poem, If visiting here again, he would not be as gay. However magic was his verse on cardamom spray, And his dream in blue chamber, however sweet, He could not express his deep feeling and thought. The twenty-four bridges remain there; And adrift in ripples the cold moon makes no sound. Pitiful are the peonies near the bridges, Year after year, for whom should they grow red? ( Jiang Kui , “To the Tune of Yangzhouman”)

Ci-poetry in the Ming and Qing Dynasties The popularity of ci-poetry composition waned somewhat in the Ming Dynasty, though it rose again in the Qing Dynasty with the works of a large group of ci-poets. This period was thus called “the Resurgence of Ci-Poetry.” The important figures included Chen Weisong (1625–1682), Zhu Yizun (1629–1709), Nalan Xingde (1654–1685), Zhang Huiyan (1761–1802) and Zhou Ji (1781–1839). Great achievements were made in the theoretical aspects of ci-poetry in the Qing Dynasty, with the publication of several commentaries and collections of earlier poets, such as Zhu Yizun’s Collection of ci-poetry, Zhang Huiyan’s Selected ci-poems, and Zhou Ji’s Anthology of Song Ci by Four Poets.

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Important Artistic Characteristics of Ci-Poetry of the Song Dynasty Due to the influences of prevailing social customs, esthetic taste, the cultural mentality of the scholars, and the people’s recreational habits, the art of ci-poetry found its distinctive features in the Song Dynasty and the term Song ci came into use. Since it was originally composed to be sung, Song ci had a strong musical orientation and its unique esthetic appeal was related, directly or indirectly, to the musical source.

Song Ci’s Vocal Features and Musical Quality The literary critic Yu Wenbao records in his book Continuation of Humble Records that the famous poet Su Shi once asked a singer: “What’s the difference between Liu Yong’s ci poems and mine?” The girl answered: “Those of Liu Yong are suitable for a girl singer in her charming teenage years, red clappers in hand, singing on a willowed riverbank for the ‘cool morning breeze and hooklike moon’. But songs from a scholar like you are more proper for a vigorous and strong male singer chanting verses like ‘To the east you huge river rush along’ with the accompaniment of a brass lute and iron clappers in his hands.”

This anecdote reflects the yin (female gentleness) and yang (manly heroic) difference in Song ci styles. What should be noticed in the comment is that it focuses on the “singing” aspect when comparing Su Shi’s poems with Liu Yong’s. Only by matching different contents and styles with appropriate singers and accompaniment in actual singing could cipoetry’s esthetic features be fully projected. This view also mirrored the widely accepted consensus on the relations between ci-poems and music. As a general rule, poets in the Song Dynasty first considered the musical features of ci-poems when composing. Li Qingzhao, in her book on ci-poems, held that ci-poetry had its unique characteristics with strict requirements in rhymes and meters. Obviously she gave priority to the musical flair of ci-poetry. Wang Yan said in “Preface to the Author’s Twin Creek ci:” “With the verse line uneven, ci-poetry is more suitable for singing than for reading aloud.” It was the vocal features that

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determined Song ci’s unique development. The vocal features of ci-poetry highlighted its unique esthetic appeal. However, most of the music scores have been lost over the years, leaving Song ci somewhat independent of its original musical sources, though its relevant features remained apparent. This maintained chic is revealed mainly in its fixed system of sounds and tones, arrangements of sentence patterns, melodious modulation, and the placing of rhyming words for a particular tune. Song ci is indeed rich in tune patterns and diverse in format and rhyming. Altogether some 826 tune patterns and 2,306 formats were compiled and published in the Authorized Version of ci Scores under the reign of Emperor Kangxi in the Qing Dynasty. ci writers had a wide choice of tune patterns to harmonize with different contents and feelings. Compared with the regular verses of Tang poems, Song ci allowed richer and more colorful changes with the musical rhymes and rhythms.

Ci as an Amorous Art Another point revealed in the anecdote in Continuation of Humble Records is that different singers were selected to perform ci poems with diverse styles. Like the musician’s answer to Su Shi’s question, cipoems of the heroic style called for a strong and vigorous voice, while the gentle verses were to be sung by a pretty, young girl. However, the conventionally accepted rule about ci singing in the Song Dynasty tended to be more female-oriented. Li Zhi of the Northern Song Dynasty said in his ci-Poem “Appreciation of Short Tunes”: “ci poems ought to be sung by a charming lass endowed with a ‘slim figure and sweet breath, white teeth and fair skin; expressive looks to convey the soul of the poem, pleasant voice to match the tune; clear articulation to produce the words like pearls’.” Liu Kezhuang (1187–1269), another ci-poet of the Southern Song Dynasty, stated in his “Preface to Weng Yingxing’s Yuefu:” “The only means for ci-poems to be communicated thoroughly is to look for pretty girls to sing them.” Wang Yan also stated in his “Preface to the Author’s Twin Creek ci:” “Only girls with ruby lips and silvery teeth can do justice to the subtle beauty of ci-poems.” The same idea prevailed until the end of the Southern Song Dynasty. Volume twenty of Wu Zimu’s Records of the Millet Dream records the custom in Hangzhou: “Short tunes have to be sung in a soft and sweet female voice.” This social convention had so great an influence

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on shaping the style of Song ci that the first volume of Wang Zhuo’s Random Records in the Biji Lane contains the following: “People prefer female singers, which seems natural. However, scholars who compose Ci-poems tend to advocate similar feminine grace and charm.” This shows that even scholars featured a tender and elegant tone in their cipoems. It became the most striking characteristic of ci-poetry, and explained the accepted traditional remarks on ci-poetry: “solemn Tang poems and charming Song ci;” “an amorous art,” and “a sentimental beauty.” To have a better understanding of the style of ci, this feminine feature must be taken into special consideration. Most ci-poems of the Song Dynasty described romantic love between man and woman, which was an important reason for their charm. The topic as a rule focused on heartbreaking love and parting sorrow; spring regret and autumn gloom; enticing breeze and snowy night; the nostalgia of a wanderer on road; and of a lonely woman in her boudoir, which could all expressed in the refined style of ci. Poems about personal experience were also unavoidably tinged with the yearning between lovers. For instance, Liu Yong’s “Yulinling” describes the feelings of a wandering traveler who suffered bitter pain after parting from a singing girl. Another example is Qin Guan’s “Mantingfang,” which is regarded as a perfect romantic poem, reflecting personal experience. There are many such examples. Even poems expressing ambition and personal history, which have nothing to do with amorous feelings, have a romantic flavor. Xin Qiji’s poem “Shuilongyin” (On River Tower at Nanjing) is a typical example. In it, Xin Qiji voices his grief and indignation at the unfulfilled political ambitions and setbacks of the hero. However, he ends this poem with the words: “for whom may I ask, to wipe away my tears, with her pink handkerchief and her green sleeves.” His hero needed the heartfelt consolation of his close female friend to reveal his solitude and disappointment. In the poems describing natural objects, the sentiments of ci are indispensable, too. For example, in Jiang Kui’s “Gloomy Fragrance,” the poet uses plum blossoms to recollect his lost love. Su Shi describes the willow catkins in “Suilongyin:” Their tender hearts are knotted in woe, Their lovely eyes are drunk and lids low, Wanting to open but staying closed. In dreams, it’s the long wind that they follow, Seeking the place their lovers stayed, Only to be wakened by orioles’ crow.

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In this poem, he uses the metaphor of a tender female image to draw vivid pictures of the willow catkins. What he depicts goes beyond a description of the flowers, which is only a means for him to convey lingering female affection. In A Guide Book of Yuefu, Shen Yifu, a critic living at the end of the Southern Song Dynasty, says about the method of composing ci-poems about natural objects: “The composition of ci-poetry is not similar to that of Tang poetry. Images of flowers and plants are unanimously carriers of emotions and feelings, or as colorful metaphors for girls’ boudoirs. . . . Descriptions of the natural vegetation without charming and graceful romance will not justify them as cipoems.” Even poems portraying a substance were to be be written like this, let alone those with more sensitive themes. Poems written in the heroic and bold style of Su Shi and Xin Qiji, however, broke through the boundary of ci-poetry as an “amorous art.” They broadened the expressive horizon and function of ci, giving it a more vigorous, masculine beauty. Although this breakthrough marked a great step forward in ci-poetry, at the time their powerful works were regarded as “an unconventional register of Shi-poetry,” or a “variant of ci-poetry.” This viewpoint, rigid and conservative as it was, reflected the belief that only the charming and graceful style was the acceptable prototype of ci-poems in the Song Dynasty. Most ci-poets in the Song Dynasty focused on women, imitated women’s tones, assumed feminized images, viewed the world from a woman’s outlook, or simply acted as spokesmen for women. This is another important explanation for the womanish style of Song ci. Liu Yong’s famous poem “Bashengganzhou” expressed the feelings of a lonely traveler. At first only narrating his personal experience, he focuses on his lover to end his poem: My fair lady must be looking for me, head high, from her chamber, How often has she mistaken a returning boat on the horizon for mine? How would she know that I, Leaning here against the railings, Should be so grieved with longing?

From his lover’s actions, the yearning feeling between them is revealed and the sorrowful mood of the poem is intensified. In Ouyang Xiu’s “Tashaxing” (Faded Plum Blossoms by the Lonely Post House), the first stanza concentrates on the traveler, while the second stanza turns to a nostalgic description of his sweetheart. From these two angles, the yearning

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and parting grief between lovers is vividly reflected. Xin Qiji, well known as a heroic poet, compares himself to a woman in his poem Moyu’er: The sad queen longs for the favor to retain. But no more her wished reunion comes again For beauty would always be envied by green eyes, Even looks could be paid at high price. Though the love once so true and deep, To whom could she burst her bitter weep?

Xin Qiji uses a queen, envied for her beauty and currently out of favor, to convey his depression at being deprived of the opportunity to serve his country. This approach is more suitable to reflect the implicit and profound features of ci-poetry than the straightforward and explicit styles. Typical ci-poems in which the authors view the world from a woman’s outlook, or simply act as spokesmen on behalf of women, are also found in Yan Shu’s “Dielianhua” (Doleful Mist Veils Chrysanthemums and Orchids Sob in Dew), Liu Yong’s “Dingfengbo” (Since the Spring), and Li Chongyuan’s “Yiwangsun” (The Lush Grass Recalls the Prince). These poems reveal a deep sympathy toward women. Though the poets are men, the feelings they reveal are sincere and natural, rather than artificial. As a musical literary genre sung by women, Song ci naturally took a feminine standpoint and an expressive manner. Still, misunderstanding was unavoidable with male poets’ subjective mimicry. Even poets expressing their innermost feelings ran the risk of losing the original nature, rendering their style affected and pretentious. Some people in the Song Dynasty quipped that “everyone imitates the female voice in composing poems,” and “man’s independence and masculinity are neutralized.” Those who rejected this style were poets like Su Shi and Xin Qiji, who advocated using true feelings and opinions. As Yuan Haowen says in his Introduction to the Lofty Yuefu: “The moment Dongpo (Su Shi) appears, no other styles deserve the name of poetry. This uplift could be described as ‘sweeping away all the petty tastes throughout the ages . . .’ since then, later poets like Huang Tingjian, Chao Wujiu, Chen Qufei and Xin Qiji tend to express their true selves. Their free admiration of the great nature and their vigorous masculinity arouse enthusiastic echoes and inspiration in readers.” One important effect of the dramatic

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revolution in Song ci promoted by Su Shi and Xin Qiji was the revelation of their natural inclination and their rejection of the feminized mode. Corresponding to the traditional content and expressive manner, the diction of Song ci likewise featured feminine characteristics, reflecting the charming spirit of ci-poems. Typical words such as “small garden” “deep courtyard,” “boudoir,” “young girl’s bedroom,” “colored sleeve,” “silken gown,” “winding path,” “carved railing,” “incense burner,” “red candle,” “painted screen,” “sparse curtain,” “delicate willow branch,” and “lonely meditation” have a special, feminine aura.

Implicit and Delicate, Remote and Profound Wang Yan, a critic of the Song Dynasty, maintained that a particular feature of ci-poetry was “the charming and graceful style, which is most suitable to express one’s feelings.” Zhang Yan said in his Origin of ci-Poetry: “In depicting romantic love and conveying emotions, cipoetry is a better medium than shi-poetry.” The well-known lines in Yan Shu’s “Huanxisha:” “Flowers fade away despite my helpless pain; Swallows fly back like old pals again” reappear in one of his regular shi poems. However, critics agreed that these two sentences were not appropriate in Shi poetry. This was the opinion held by Wang Shizhen when he commented on the boundary between ci and shi in his book Casual Thought On Flowers and Grass. In the third volume of Records of the Ci Circle, Zhang Zongsu analyzed the above lines as “lingering and touching with affection, graceful and melodious in tune, so they definitely belong to ci.” Lines like this in shi poetry seem too delicate and fragile. Another case in point is Yan Jidao’s “Zhegutian,” which the poet ends with this sentence: “Tonight I look at you holding the silver candle, for fear that our reunion is but a dream so,” which was adapted from one of Du Fu’s three poems titled “The Qiang Village:” “Tonight in the high-held candle beam; We behold each other as in dream.” Liu Tiren compared Yan Jidao’s ci verses and Du Fu’s shi verses in his Inference of Ci from Qisong Hall as a landmark of the boundary between ci and shi. In his opiinion, Yan’s ci has more interwoven layers and is more indirect and implicit than ci typically is. Such characteristics were expressed in different ways by different poets. Liu Yong’s flowing narratives, Zhou Bangyan’s delicate portrayals, Ouyang Xiu’s implicit symbolization, Li Qingzhao’s subtle lamentations, Qin Guan’s affectionate recollections, and Jiang Kui’s constrained metaphors all reflect the graceful beauty of Song ci in their respective

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ways. For example, in Wu Wenying’s “Fengrusong” (I Spend the Tombsweeping Day Listening to the Breeze and Drizzle), the line, “Each inch of wicker reveals each inch of my tender feeling” in the first stanza and the line “The shaded stairs grow moss overnight ” in the second stanza have an implicit, tone, either from the poet’s feelings or his description. Two other lines: “On the ropes of the swing bees often linger, for the sweet aroma left by your finger” invoke a dreamlike scene and vividly portray the poet’s adoration of and longing for his lover. Another example is Qin Guan’s “Huanxisha” (In the Misty Chill I Step on the Little Pavilion), in which images like “slight cold,” “little pavilion,” “painted screen,” “flying flowers,” “fine threads of rain” and “silvery hook-like moon,” sound soft and subtle. And the similes which compare flying petals to dreams and drizzling rain to sorrow create a hazy and dreamy image, which harmonizes with the poet’s gloomy mood. It can be seen, therefore, that ci poetry’s implicit and refined style is closely related to its deep-embedded emotions. Liu Tiren said in Inference of ci from Qisong Hall: “There is a certain mood that can be accessed only in ci-poetry. Even shi-poetry cannot function well in this aspect.” This “certain mood” is believed to be this implicit and fine mood. Because of this, Song ci has the unique feature of reflecting the deep inner world of the poets, as well as their complex and intangible sentiments.

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曲 CHAPTER TWENTY-NINE

The Yuan Qu -Poetry

Zaju of the Yuan Dynasty

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Free-style calligraphy of“曲”(qu) means “song” in Chinese

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Yuan qu-poetry, a literary genre of the Yuan Dynasty, can be categorized into zaju and sanqu. Zaju is a form of musical drama, in which actors tell the story through singing and speaking, while sanqu is a form of lyric poetry, similar to Tang shi-poetry and Song ci-poetry but with distinct artistic features. The following is a brief introduction to Yuan qu-poetry— zaju and sanqu.

Zaju of the Yuan Dynasty The Emergence and Development of Zaju Zaju of the Yuan Dynasty evolved from zaju of the Song Dynasty and yuanben (a type of opera) of the Jin Dynasty. Zaju in the Northern Song Dynasty had two forms. In the broad sense, it included a variety of dramas, such as zaxi (miscellaneous forms of plays) and baixi (a hundred forms of plays). In the narrow sense, it referred to various stage arts, including low comedy, music and dance dramas, puppet plays and the like. By the end of the Northern Song Dynasty, zaju gradually separated from the other dramatic forms and developed its own system. Zaju was known as yuanben in the Jin Dynasty, literally meaning the script used by actors. Wu Zimu mentioned in his Records of the Millet Dream: “Zaju is mainly composed of stories interesting and amusing to the audience, with singing and speaking going through all the performance.” This, to some extent, illustrates that zaju in the Song and Jin dynasties was a comprehensive art, covering singing, speaking, dancing and acrobatic fighting, in which amusement and raillery played a major role. Music was also an important aspect, as singing needed accompaniment. Performed in most cases in bustling squares, zaju had to be accompanied by loud percussion instruments, such as drums, plates, gongs, and instruments that could produce clear and melodious sounds, such as the flute and bili. Nai Deweng’s Entertainment of the Capital records that zaju in the Song and Yuan dynasties had several character types—moni, yinxi, fumo (the secondary male role), fujing (the secondary role of a clown or devil with a painted face), zhuanggu (the role of an official), zhuangdan (the role of a female impersonator) and so on, with four or five characters in one act. Moni and yinxi were similar to playwrights, directors or supervisors in modern dramas, playing no actual roles on the stage. Zaju plays of the Yuan Dynasty underwent two significant changes during their development from the Song and Jin zaju. One change was

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that in Yuan zaju music corresponded to particular scenes, while the music of the Song and Jin zaju was unsystematic. Therefore, the music rhythms of Yuan zaju could integrate singing, dancing and acting into a concordant whole. In this transition, zhu gongdiao (all modes of keys and tunes) played a decisive part, which served to connect all the tunes of the same gongdiao in a short set and then incorporate several short sets of different gongdiao in a long suite. The singing followed the change of gongdiao and the change of rhyming sounds. Such a music form could match any story in the drama, long or short. Composer Dong Jieyuan’s Zhu Gongdiao of The West Chamber, which was produced under the reign of Emperor Zhangzong (1190–1208) of the Jin Dynasty, is representative of zhu gongdiao. The other major change was that fujing acted as the leading role in Song and Jin zaju, while in the Yuan zaju, the leading role shifted to zhengdan (the first female role). This change was also of great importance to Yuan zaju. The development of Yuan zaju can be roughly divided into the early, middle and late phases. The first phase covered the time from the Mongols conquered the Jin regime to the thirty-first year under the reign of the first Yuan Emperor Shizu, Kublai Khan (1234­–1294); the middle phase lasted from the first year of the Yuanzhen Period under the reign of Emperor Chengzong, Temur Oljeitu, to the third year of the Zhishun Period under the reign of Emperor Wenzong, Tugh Temur, (1295–1332); and the late phase covered the period under the reign of Emperor Shundi, Tohan Temur of the Yuan Dynasty (1333–1368). The first phase took place during a time of social upheaval after the Mongol conquest of the Jin and Song regimes. These social changes had a profound influence on Yuan zaju. When Kublai Khan became the first emperor of the Yuan Dynasty, zaju entered its golden era, with the rise of such renowned playwrights as Guan Hanqing, Bai Renfu (Bai Pu), Ma Zhiyuan and Ji Junxiang. Having suffered during the social upheaval and turmoil, these playwrights focused their critical thinking on society and human life. They wrote dramas which revealed and reflected social life and the fate of the people: The Injustice Done to Dou E, Rain on the Chinese Parasol Tree, The Zhao Family Orphan and Autumn of the Han Palace. The flourishing of folk arts at that time guaranteed a rich supply of excellent actors for zaju performances, for example, Zhu Lianxiu. Well educated in literature and arts, she composed poems and sanqu, and she

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played various roles on stage. In addition, she was an associate of Guan Hanqing and other famous playwrights and poets at that time. All these factors made the thirteenth century the first golden age in the history of Chinese drama and opera. In the middle phase, Yuan zaju developed some new features. Love affairs, the Taoist belief in immortal life and anecdotes of the literati became important themes of zaju. Different from writers of the previous phase, who used love affairs to reflect society, writers in this phase gave priority to love itself. They also frequently wrote about Taoist immortal life as a means of expressing their desire to live in an Arcadian paradise removed from the earthly world. Likewise, the anecdotes of the literati were a means of expressing their own bitter feelings of nostalgia and frustration at not being able to fulfill their ambitions. Zaju began to decline in its late phase, when few great writers appeared to equal those from the early and middle periods. However, zaju still played an important role in stage arts, though its center of influence started to move to the south. Most of the leading playwrights at the turn of the Yuan and Ming dynasties lived in the present Zhejiang Province and the south of Jiangsu Province. As a result, zaju and nanxi (southern opera, popular on the southeastern shore) began to influence each other. The plays and music tunes of both zaju and nanxi were assimilated, giving further impetus to the development of Chinese drama. Zaju in this period focused more on preaching feudal morality and pursuing fantastic plots. In its language style, the use of common and popular expressions constituted the mainstream. The Yuan zaju works extant today number as many as 237, which vividly depict the social life of the time. Hu Qiyu, a renowned writer of the Yuan Dynasty, summarized in his work “Preface to the Departure of Mr. Song”: “Zaju may cover so rich a content that the topic may be as grand as the political events at the royal court or as trivial as the relationship among neighbors or in family life. It may also tell the story of doctors, fortune-tellers, Buddhists, Taoists and businessmen, as well as the different customs and languages of alien lands. In a word, zaju mirrors every corner and every thing in society.”

The System and Performance of Yuan Zaju Yuan zaju comprised the following: plot, quci (singing), binbai (speaking) and kejie. Kejie was the prompter in an act, functioning to

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suggest coming actions and stage effects. For example, bazhan ke meant that the following action was to drink, and neizuoqifeng ke meant that the following action was to blow wind from behind the stage. Binbai was the talking part, while quci referred to the singing part. Each of the Yuan zaju dramas was usually made up of four scenes, named zhe. Each zhe covered one set of centos in the same gongdiao. In this sense, zhe was not only a unit of the music, but a unit of the plot as well. Apart from the four zhe, there was an additional part, xiezi, put on at the beginning of a play as a prelude (although it was sometimes put between two acts as a transitional part). A play usually ended with one or two pairs of couplets named “topic of the title,” as a summary of the whole plot. The last sentence of the couplet was commonly quoted as the title of the play. For example, the couplet in the play The Injustice Done to Dou E is: Topic: Fair and righteous, the judge eventually brings the criminals to justice Title: Heaven and earth, both are so touched by the Injustice Done to Dou E

The leading roles in Yuan zaju were called zhengse, in which the first male actor was zhengmo and the first female zhengdan, who took the singing part in the drama. In addition to zhengmo and zhengdan, there were other role-types, such as fumo (the secondary male actor), tiedan (the secondary leading female role), jing (the role of clown or devil), gu, bu’r, bolao, banglao and lai’r. These terms were common social titles at that time, each representing an identity in society. For instance, gu meant officials, bolao old men, bu’r old women or bawds, lai’r little children and banglao robbers or hooligans. The term qiemo in zaju referred to stage properties. In the middle period of the Ming Dynasty, zaju almost vanished from the stage, so only a brief introduction is given here, according to existing documents and extant drama relics. Yuan zaju was usually performed in popular theaters called goulan, in temples or on some sort of provisional stage in teahouses or bars. Some temples and stages from the Yuan Dynasty have been preserved, together with some relics related to Yuan zaju in the southeast of Shanxi Province. From these relics, we can see that the stage for zaju had a one-meter high base and four columns at each corner of the stage to support a wooden roof. The sunken panel of the roof was designed to improve the acoustics. The stage was approximately square in shape (usually about fifty or sixty

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Theater of the Yuan Dynasty

square meters) with the front, left and right sides open to the audience and a wall at the back with its two sides curved slightly forward. During a performance, a big curtain was hung in front of the wall to provide an area backstage. A well-known mural “Zhongduxiu Is Being Put On,” in King Mingying’s Palace in the Guangsheng Temple of Hongdong County, Shanxi Province, shows a curtain hung as a screen to divide the backstage from the front stage. In the left corner, an actor peeks out from behind the curtain. The dramas performed in temples had two simultaneous functions— sacrificing to the gods and entertaining the people. Goulan was the theater where zaju was staged in cities and towns. It was a round-shaped enclosure covered by a roof. The play was performed on the stage, behind which the backstage area was separated from the front stage by a curtain. A music bed on the stage gave the female musicians somewhere to sit while playing their musical instruments. The theater seats were divided into two parts, shenlou and yaopeng. Shenlou denoted the seats facing the stage directly on a higher stand, while yaopeng referred to seats in the front, left and right sides of the stage, reached by steps. The language used in zaju was colloquial.

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A painting showing “Zhongduxiu is Being Put On”, in King Mingying’s Palace Shanxi Province

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Guan Hanqing Although Guan Hanqing is acknowledged as the earliest writer of zaju and sanqu in the Yuan Dynasty, there is little of biographical record available to give other than a sketch of this important figure in the history of Chinese drama. Guan Hanqing was born either in the final years of the Jin Dynasty or at the turn of the Jin and Yuan dynasties, and died in the Dade Period under the reign of Emperor Chengzong, approximately between 1210 to 1300. He spent most of his time in the capital Dadu (the present Beijing), but occasionally traveled to Bianliang (the present Kaifeng, Henan Province) and, later, to Lin’an (the present Hangzhou, Zhejiang Province) when the Southern Song Dynasty was conquered by the Yuan regime. Guan Hanqing had experienced misfortune in his life and he cared little about climbing the social ladder. He had a versatile talent, and was romantic in outlook and unbending in character. His personality is revealed in his well-known tunes entitled Do Not Give in to Old Age: [To the tune of Coda] I'm a tough old bronze bean that can still go boiling, steamed but not softened, stewed but not mushed, whacked but not flattened, baked but not popped. Who let you boys worm your way in to the brocade noose, of a thousand coils, that cannot chop off, that cannot cut down, that cannot wriggle out, and that cannot untie? The moon of Liang’s park is what I enjoy, Kaifeng wine is what I drink, Luoyang’s flowers are what I like, Zhangtai’s willows are what I pick. Me, I can recite poems,

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write ancient script, play all stringed instruments— woodwinds too; and I can sing “The Partridge,” and dance “Dangling Hands,” I can hunt, play soccer, play chess, and shoot craps. You can knock out my teeth, scrunch up my mouth, lame my legs, and break both my hands; but Heaven bestowed on me this gift for vice in each assorted kind, so still I'll never quit. Not till Yama the King of Hell himself gives me the call, and demons come and nab me, my three souls will sink to Earth below, my seven spirits will float away into the murky dark, then, Heaven, that’s the time I’ll walk the lanes of misty flowers no more.

Of Guan Hanqing’s sixty zaju plays, eighteen are still performed on stage. Whether the drama The Atrocious Luqi Man should be credited to him is still in dispute. Guan’s existing zaju plays can be divided into three groups in terms of their themes. The first group is about lawsuits, including The Injustice Done to Dou E and The Butterfly Dream; the second group is about love stories, such as The Rescue of a Courtesan and The River-Viewing Pavilion, and the third group is about historical events, such as Lord Guan Goes to the Feast Alone and West Sichuan Dream. Guan Hanqing’s biggest achievement was his portrayal of characters in his dramas, especially those of oppressed and maltreated women. Dou E in The Injustice Done to Dou E, Zhao Pan’er in The Rescue of a Courtesan and Tan Ji’er in The River-Viewing Pavilion are all characters acknowledged as outstanding roles in Chinese drama.

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Dou E was a young widow; a local tyrant, Zhang Lü’er, tried to force Dou E to become his wife. Deeply offended when Dou E rejected his proposal, Zhang brought a false charge against her and she was unjustly sentenced to death. At her execution, Dou E proclaimed her innocence and made three vows, all of which came true. Later, Dou E appeared in a dream to her father and made a request. Her father had been promoted to a high official position; he managed to conduct a retrial of this lawsuit and eventually cleared Dou E of the false charge. In this story, Dou E was a tragic character. She followed tradition and was dutiful to her parents and her husband, only to be betrayed by the feudal society. Guan Hanqing portrayed Dou E as a kind-hearted and strong-willed woman. Her kindness and steadfastness were seen in the conflicts between life and death, good and evil. When Zhang Lü’er threatened to sue Dou E for the crime of murder, Mistress Cai, Dou E’s mother-in-law, was so frightened that she urged Dou E to give in. However, Dou E, although filial, was determined not to yield. At her execution, Dou E made three vows in front of the headsmen. Though she was going to die, she was unyielding. She intended to prove her innocence and avenge the wrong done to her. Dou E was also a compassionate woman. Even on the way to her execution, she asked to be taken on a route where she would not be seen by Mistress Cai lest she should make her feel sad at her pitiful appearance. The stories in Guan Hanqing’s plays were known for being exciting and touching, with tight and dramatic plots. In The Injustice Done to Dou E, Mistress Cai goes to demand repayment of a debt. The old lady is tricked into going to the suburbs, where she is threatened by Sai Luyi. When she is on the verge of being molested, Zhang Lü’er and his father rescue Mistress Cai. However, as one ruffian is then replaced by two, the situation goes from bad to worse. Zhang Lü’er conspires to poison Mistress Cai to force Dou E to be his wife, but by mistake, he kills his father instead. Failing in his conspiracy, Zhang brings the false charge against Dou E, and the court unjustly sentences her to death. With one climax after another and its unpredictable and appealing plot, the play grips the audience’s attention. The language used in Guan Hanqing’s zaju plays is plain and natural. The dialogue was colloquial and even the words in the songs are easy to understand. The famous critic Wang Guowei commented on Guan’s dramas in his A History of the Dramas of the Song and Yuan

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Illustration of The Injustice Done to Dou E Printed in the Ming Dynasty

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Dynasties that, “Guan Hanqing’s works are grand and sublime while his language is pure and natural, full of ordinary people’s emotions. Consequently, Guan Hanqing should be counted as the greatest playwright in the Yuan Dynasty.” The following is a song from Dou E as she is taken to the execution ground: [To the tune of Gunxiuqiu] With no fault of mine I am called a criminal, And condemned to beheadment. I cry out to Heaven and Earth against this injustice! I reproach both Earth and Heaven For they would not save me. The sun and the moon give light by day and by night; Mountains and rivers watch over the world of men; Yet Heaven cannot tell the innocent from the guilty, And confuses the wicked with the good! The good are poor and die before their time; The wicked are rich and live to a great old age. The gods are afraid of the mighty and bully the weak; They let the evil take its course. Ah, Earth! How can you be Earth if you cannot distinguish good from bad, And, Heaven! How can you be Heaven if you impose injustice! Alas! Tears pour down my cheeks in vain!

In this aria, Dou E condemns the injustice of a society which cannot tell right from wrong, where it is impossible for ordinary people to vindicate themselves. Without any embellishments, the plain words accurately convey her discontent and indignation. The historical drama Lord Guan Goes to the Feast Alone, a story of the Three Kingdoms Period (220–280), eulogizes the famous general Guan Yu’s heroic spirit through the description of his courageous deeds in attending the banquet at Lu Su’s invitation. The story reaches its climax in Scene Four, when Guan Yu boards a boat to cross the river. Facing the waves in midstream, Guan Yu calmly enjoys the panoramic view of the river while singing the following aria: [To the tune of Shuangdiao] This great river is a noble sight! A thousand billows flow eastwards, A few dozen rowers are with me in this small craft;

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I’m not going to a nine-storeyed dragon-and-phoenix palace, But to a lair, ten thousand feet deep, of tigers and wolves. As a stout fellow is never afraid, I ‘m going to this feast as if to a country fair. (Sign:) What a magnificent fiver! [To the tune of Zhumating] Wave upon wave, hill after hill— Where is young Zhou Yu today? He has turned to dust! General Huang Cai suffered much; The warships that conquered Cao Cao are no more! Yet the waves are still warm from past battles— This wrings my heart! This is no river water, (Sing) But the blood of heroes Shed for these twenty years.

This aria expresses the general’s majestic spirit, comparing his broad-mindedness to the open river. Guan Hanqing enjoyed so high a reputation among playwrights that his name represented a standard of honor. A dramatist was usually assessed by comparison with him. Titles such as “Junior Hanqing” or “Southern Hanqing” were coined to denote some extraordinary writers, which indicates Guan Hanqing’s significant influence at that time. Other famous writers included Bai Pu (1226–1306), Ji Junxiang, Ma Zhiyuan (?1250–?1321), Wang Shifu and Zheng Guangzu.

Nanxi In addition to zaju plays, popular in the northern part of China, dramatic forms in the Yuan Dynasty also included nanxi (southern opera) in the south. The following is a brief introduction to nanxi. Nanxi was the shortened form for nanqu xiwen, which was also known as xiwen, Wenzhou zaju or Yongjia zaju. It was a kind of folk drama, composed of prose in the local dialect and folksongs. Nanxi appeared after the Xuanhe Period of the Song Dynasty, when the emperor crossed the Yangtze River and made Hangzhou capital of the dynasty. Based on the zaju plays of the Northern Song dynasty, nanxi assimilated the pronunciation, linguistic expressions and folksongs of

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the south and formed its own style. After the country’s unification in the Yuan Dynasty, nanxi developed rapidly, although zaju maintained its dominant position. At the turn of the Yuan and Ming dynasties, nanxi reached its peak with the appearance of a number of famous nanxi plays, such as The Bramble Hairpins, The Story of the Rabbit, The Moonlight Pavilion, Killing of the Dog and The Tale of the Lute. The so-called chuanqi plays of the Ming and Qing dynasties (romance plays) evolved from nanxi. Generally speaking, nanxi was relatively longer in length, with dozens of scenes in each opera, and all the roles could be sung in the performance. The early nanxi, according to the books Records of Nanxi and Bawdry Talks, included such plays as The Chaste Virgin Zhao and Wang Kui. Others, such as Wang Huan, A Sad Parting at Lechang, Scholar Zhang Xie also appeared in the early period. Very few nanxi operas are extant, the few survivors being the Scholar Zhang Xie, Official’s Son Falls from Grace, Butcher Sun and The Tale of the Lute. The northern zaju and southern nanxi represented two major musical systems. In general, the northern music was robust and vigorous, more emotional in prose than in song, while the southern music was soft and sweet, more sentimental in song than in prose. The major tunes of nanxi, such as haiyan, yuyao, yiyang and kunshan, had a great influence on the development of Chinese drama. Although zaju and nanxi gradually disappeared from the stage after the Ming Dynasty, they were, as a literary style, carried forward by the literati to become an important literary genre. The best Yuan dramas have been adapted and staged time and again and are now considered to be classics.

Sanqu of the Yuan Dynasty The Form of Sanqu Sanqu was a type of lyric poetry which could be sung according to certain tunes. Consequently, each sanqu poem had its unique gongdiao (mode of tunes and keys) and qupai (titles of tunes). Gongdiao was a specific term used to distinguish different musical tunes and keys. Yanyue in the Tang Dynasty had four tunes (gong, shang, jue, yu), and twenty-eight keys (with seven in every tune). When it came to the Song Dynasty, however, only seventeen gongdiao remained and by the Yuan Dynasty, merely twelve gongdiao, which included zhenggong,

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zhonggong, nanlügong, xianlügong and huangzhonggong, yuediao, dashidiao, shuangdiao, xiaoshidiao, shangdiao, banshediao and shangjiaodiao. Several qupai were covered under each specific gongdiao. Each qupai had its strictly fixed number of words, lines, tones of each word and the end rhyme. As recorded in A Collection of Songs from Singing Girls, sanqu was sung in various forms, for instance, singing accompanied by action, dancing or musical instruments. It is recorded that one actress, Xie Yuhua, “sings the song ‘Raindrops Beating on Lotus’ with a lotus flower in her left hand and a cup in her right hand.” Another actress, Lian Zhixiu, sang the song “The Clear Sky” while dancing, accompanied by dancing girls. Sanqu in the Yuan Dynasty had two major forms—xiaoling and taoshu. Xiaoling, also known as ye’er (leaves), consisted of short-metered lyrics with the tune based on local folk ditties, free and lively in style. It was generally composed of one qupai, similar to the one que (stanza) in a ci-poem. The following is Liu Bingzhong’s sanqu to the tune of nanlügong. [To the tune of Ganheye] Dry lotus leaves, Dark and brown, Shaking in the wind its bony stalk, Her color is deepened and balm gone. As a frost fell last night, She lonely shivers in the autumn stream.

Taoshu, also called santao and taoqu, was a suite of several tunes in the same gongdiao. The shorter ones could be composed of two qupai and the longer ones may have had as many as twenty or thirty tune titles. The tunes in one suite were of the same rhyme, usually the end rhyme. The change of lines from short to long or vice versa in sanqu was less restricted than those in ci-poetry, with the shorter line containing one or two words and the longer twenty or thirty words. Chenzi (additional words) could also be inserted outside the melody to make the song more vivid and easier to understand. The songs and lyrics in zaju were allowed to have more chenzi than in sanqu. The use of these additional words added more colloquial features to the songs, thus making the meaning livelier and clearer. The use of rhymes in qu-poetry was relatively strict. Aside from the level tone and the oblique tone, there was also a distinction between yin and yang, and voiceless and voiced sounds. Some qu-poems had end

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rhymes from the beginning to the end. Generally speaking, the level and oblique tones could not be rhymed all through in shi-poetry or ci-poetry, but this was not the case with qu-poetry. Different tones of level, rising and falling could all be harmonized to answer the call for rhymes (there is no entering tone in Yuan qu-poetry). With this advantage, writers could include a large amount of spoken language and make good use of high or low, rising or falling tones to match well with the poem and the song and make them more pleasing to the ear. This technique, together with the use of additional words, helped to rid the qu-poetry of the restriction of the ancient poetry, enabling Yuan qu-poetry to develop into a popular literary form in China.

Writers and Works of Sanqu Sanqu appeared in the Northern Song Dynasty, matured in the Jin Dynasty and reached its apex in the Yuan Dynasty. According to statistics, the writers of Yuan sanqu numbered as many as 270. A Collection of Sanqu in the Jin and Yuan Dynasties collected 3,800 pieces of xiaoling and more than four hundred sets of taoqu. The themes of these sanqu poems were varied and colorful—expressing emotions, recalling the past, depicting scenery, praising objects, telling stories, discussing Buddhism or even making jokes. But the main subjects were the reclusive life and romantic affection between lovers. Some sanqu poems reveal unfairness in society and satirize corrupt politicians and the ruling class. Many more were used to give vent to the poets’ feelings of oppression and indignation under the reign of the Yuan government. Literary historians commonly divided the development of sanqu into two phases, with the fourth year of the Dade Period (1300) under the reign of Emperor Chengzong in the Yuan Dynasty as the demarcation line. The noted writers of sanqu in the former phase were Guan Hanqing, Ma Zhiyuan, Bai Pu, Lu Zhi and Zhang Yanghao. Ma Zhiyuan was the most outstanding playwright, who lived and worked in Beijing. Works of this period were generally simple and natural in style, with vivid language, featured through the use of folk songs. Zhang Kejiu, Qiao Ji, Guan Yunshi, Xu Zaisi and Liu Shizhong are considered writers of the later phase, with Zhang Kejiu as their representative. They attached more stress to sounds and poetic rules such as rhythms and rhymes, and their language was more elegant and delicate, and less colloquial and vivid.

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神 CHAPTER THIRTY

The Introduction of Christianity and Islam into China and the Cultural Exchange The Introduction of Christianity to China

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Free-style calligraphy of“神”(shen) means “god” in Chinese

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From ancient to modern times, religion has always been an important aspect in the cultural exchange between China and the rest of the world. The first religion introduced to China was Buddhism from India, which was followed by Christianity from the West and Islam from the Arabic regions. Christian missionaries and their evangelizations played an indispensable role in the whole process of contact, impact, exchange and dialogue between China and the West during the Ming and Qing dynasties.

The Introduction of Christianity to China The Introduction of Christianity in the Tang and Yuan Dynasties Nestorianism, a branch of Christianity, was introduced to China during the peak of the Tang Dynasty. Nestorius, the Patriarch of Constantinople in the fifth century, contended that Christ possessed the dual nature of deity and humanity, claiming that Mary was the mother of Christ, but not the mother of God. As a result, Nestorius was banished to Upper Egypt as a heretic in 431. Nestorianism, nevertheless, still had a considerable number of followers in Syria and had protection in Persia, where the religion was preached far and wide. According to the record in the “Memorial of the Propagation in China of the Luminous Religion from Daqin (Rome),” a Nestorian bishop called Alopen went to Chang’an with a group of followers in the ninth year of the Zhenguan Period of the Tang Dynasty (635). Emperor Taizong told Prime Minister Fang Xuanling to receive them and arrange for them to translate the Holy Scriptures in his Imperial Library. In the twelve year of Zhenguan Period (638), Emperor Taizong promulgated an edict: “As Tao has no common name, so the Saint has no definite form, but the belief spreads naturally and saves all living creatures everywhere. The Saint Alopen from Daqin brought the Holy Scriptures from afar and expounded the doctrines, which were abstruse and mysterious. By studying the origin of the Scriptures, one can find the essence, with no wordy expressions but beneficial truths. Therefore, the Holy Scriptures should be practiced across the country since they relieve hardships and benefit people. The Daqin Monastery is to be built in the Yining Quarters of Chang’an with twenty-one resident priests.”

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Memorial of the Propagation in China of the Luminous Religion from Daqin (Tang Dynasty)

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Upon their arrival in China, Alopen and his group called Nestorianism “Jingjiao,” meaning a “luminous religion.” Thanks to the protection of the emperors in the Tang Dynasty, Jingjiao once was so popular that its doctrines were prevalent and its monasteries dotted the country. Yet in 845 when Emperor Wuzong of the Tang Dynasty banned Buddhism (known historically as the Huichang Buddhist Disaster), Jingjiao was implicated and consequently banned on the Central Plains (comprising the middle and lower reaches of the Yellow River) of China. With the advent of the Yuan Dynasty, Jingjiao regained its popularity and Catholicism was introduced to China for the first time. The various sects of Christianity were not differentiated by people at that time, who simply gave them one joint name—Erkeun, or “Ten Religion” (the Chinese letter for the number ten resembles a cross). In the Yuan Dynasty, a special department called Chongfusi was established under the Ministry of Rites to manage the affairs of Jingjiao and all the disciples of Erkeun were well accepted. Threatened by the Mongolian cavalry marching westward on their expedition, the Vatican Court in Rome had to send envoys time and again over a century to negotiate with the Mongolian royal house, to protect Western Europe from military invasion. In 1245, the Italian Franciscan friar Giovanni de Plano Carpini was sent to China, and was received by Kuyuk Khan the following year. His book Liber Tartarorum (The History of Mongolia) gave Europeans a glimpse of the Orient. In 1275, three members of the Polo family of wealthy Italian merchants, came to China. They were granted a courteous reception by Kublai Khan. Marco Polo, one of the members stayed in China for seventeen years and even worked as an official in the Yuan Dynasty. After his return to Europe, he wrote The Travels of Marco Polo, which made a big impact in Europe. This book became an indispensable reference for those medieval Europeans who wanted to know about China. In 1293, Pope Nicholas IV sent the Italian Franciscan friar Giovanni da Montecorvino to Quanzhou and then up north to Dadu (now called Beijing), where the friar was warmly received by the emperor of the Yuan Dynasty and permitted to preach his doctrines. Giovanni da Montecorvino evangelized in Dadu for over thirty years until his death in 1328. He built two churches, baptized six thousand converts by 1305, and translated part of the Bible into Mongolian. Among other Franciscans who came to China in the Yuan Dynasty was Odorico da Pordenone, whose book The Travels of Friar Odoric made a big impact in Europe.

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However, with the fall of the Yuan Dynasty, Jingjiao and Catholicism practiced by the Mongolians faded into oblivion for more than two hundred years.

The Jesuits in China in the Ming and Qing Dynasties Saint Francis Xavier (1506–1552) was the first Jesuit to attempt to enter China. He landed on Shangchuan Island in Guangdong Province in 1552 in the hope of entering the hinterland of China to preach Catholicism. However, due to the strict ban on maritime trade with foreign countries implemented by the Ming Dynasty, he had to give up his plan and died suddenly on the island at the end of the year. He spoke highly of the Chinese civilization in his six letters to Europe: “China is a country of justice, stressing justice on every occasion and making itself known for its justice, which no Christian countries can match. According to what I have witnessed in Japan, the Chinese people are much Matteo Ricci wiser than the Japanese. They (Ming Dynasty) are good at reasoning and they attach great importance to knowledge.” In 1557, the Portuguese, who enjoyed some special privilege in preaching in the East, leased Macao by force and made it one of the bases for Catholic missionaries in the Orient. Matteo Ricci (1552–1610) arrived in Macao in 1582 and entered Guangdong Province with another Jesuit, Michele Ruggieri, the next year. They bribed the magistrates and gained the right to reside and preach in Zhaoqing, Guangdong Province. Upon his arrival in China, Matteo Ricci began his attempt to sinicize Catholicism. He hoped that Catholicism would be accepted by the Chinese people if it was reconciled with Chinese culture. At first, he and Michele Ruggieri accepted without hesitation the monk’s robes

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granted to them by the magistrates, assuming that by so doing they would be identified with the native monks. As time went by, he found through his observation of Chinese society that it was the Confucian literati who were the mainstay of social and cultural life in China, as these literati took it as their holy mission to carry on Confucianism. Therefore he started dressing himself in the same attire and saluted others in the Confucian way. He studied the Confucian classics and befriended the scholar-bureaucrats, seeking to win their sympathy. He was fond of being addressed as a “xiru,” meaning “Western Confucian.” He allied himself with the Confucian scholars and tried to influence the high officials to exclude Buddhism. This was his special strategy in his missionary preaching. Matteo Ricci found that the Western technology he had brought along was very attractive to the Chinese scholar-bureaucrats, and he made good use of the advanced Western science as a means of spreading his religion. In 1601, after a hard journey, he reached Beijing, where he was allowed to stay after presenting a chiming clock to Emperor Wanli. Soon he attracted to his side a number of high officials eager to learn about the new technology, such as Xu Guangqi and Li Zhizao. Matteo Ricci found that books worked well in influencing the Confucian literati, so he adopted a method of “mute preaching,” that is, writing and distributing some works of high quality in Chinese, such as Treatise on Friendship, The Wisdom of the West, The True Meaning of the Lord of Heaven and Ten Discourses by a Paradoxical Man, in which he preached Western ethics and Christian doctrines. While introducing and expounding the Christian doctrines, Matteo Ricci tried to Confucianize them, by showing that the Christian God and the Heavenly God in the Confucian classics were actually one and the same. By citing the Confucian historical views of restoring and respecting the ancient ways of living, he tried to show that revering the heavenly god worshipped by the ancient Chinese conformed to the Confucian orthodox. By verifying the immortality of soul and the inevitability of rewards and punishments in heaven and in hell respectively, he attempted to combine the analogy organon used habitually by the Confucian literati with Thomas Aquinas’s rational theological theory and methods, thus preaching the general principles of Christianity to the scholar-bureaucrats by way of analysis and reasoning. In order to avoid alienating the literati who believed in Confucianism, he seldom mentioned a quote from the Bible. Meanwhile, Matteo Ricci criticized from the Christian perspective some Neo-Confucian theories, for

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example, “Taichi gave birth to the multitudes of life,” and “All things came from the same origin.” His attitude toward Confucianism was evidently threefold: “making some revisions of the Catholic doctrines so that they would concord with the Confucianist ones,” “using the Catholic doctrines as a complement to Confucianism” and “making in some respects the Catholic doctrines transcend the Confucian ones.” His ultimate purpose was to substitute Confucianism with Catholicism in the mainstream of Chinese culture. As to Chinese rites, Matteo Ricci adopted a lenient attitude. He believed that, instead of being a type of idolatry, the ancestor-worship rites in China were no more than a convention for observing filial duties. Therefore, they should not be regarded as a heathen practice that must be discarded. As to the memorial ceremony to Confucius, it was only a way to express gratitude to Confucius for his teaching and instruction, and which had no religious bearings. Consequently, he did not prevent his Chinese followers from observing these rites. Emperor Kangxi spoke favorably of such attitudes, calling them “Matteo Ricci’s Regulations.” Matteo Ricci’s respectful and lenient attitude towards Confucian culture brought much favor from the scholar-bureaucrats in the late Ming Dynasty. He was given the honorific title of “Lizi,” meaning “Master Ricci” and many people wanted to befriend him. With long and persistent efforts, Matteo Ricci made considerable headway in his missionary work. By the year of his death, there were 2,500 Catholic disciples in China and Catholic missionaries were preaching in Beijing, Shanghai, Hangzhou, Nanjing, Nanchang, Shaozhou and many other cities. In 1613, Niccolo Longobardi (1559–1654), Matteo Ricci’s appointed successor, sent Nicolas Trigault (1557–1628) back to Europe on a mission. On his way there, Nicolas Trigault translated Matteo Ricci’s book The History of Christianity in China from Italian into Latin and had it published in Europe, where it had a considerable impact. He canvassed in many places on the Continent, gathering donations for the churches in China and recruiting new missionaries to preach in China. In 1629, he arrived in Macao with another eight missionaries, bringing along with them more than seven thousand books in Western languages. Among the eight missionaries, there were Jean Terrenz (1576–1630), an outstanding scientist, and Johann Adam Schall von Bell (1592–1666), who later gained a significant reputation. The books brought by them played an important role in spreading Western learning in China.

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Three Pillars of Early Catholicism Of all the scholar-bureaucrats in the late Ming Dynasty, Xu Guangqi (1526–1630), Li Zhizao (1565–1630) and Yang Tingjun (1557–1627) made considerable contributions to the circulation of Western learning in China, and were thus known as the “Three Pillars” of early Catholicism. Xu Guangqi was Minister of Rites, Reviser in the Histographical Board, and Supervisor of Instruction for the Prince; Li Zhizao was Assistant Minister of the Reception Bureau; and Yang Tingjun was Vice Mayor of Beijing. After making comparisons with Western learning, Xu Guangqi and his peers criticized traditional Chinese culture from several perspectives. In Xu’s opinion, Western learning, more superior and more effective than Confucianism in cultivating one’s morality and creating ethic norms, could inspire people to “do good deeds sincerely and remove all evil deeds completely” and bring about “honest souls and honest actions.” Both Xu and Li believed that Western learning would help to make China a prosperous country with a stronger military force, which in turn would help China compete with the increasingly powerful Western world. In Yang Tingjun’s view, a man without faith would be confused and lost; only by converting to Catholicism could people gain true meaning and value in life. Together with other missionaries, Xu and Li translated many books on Western science and technology. Moreover, they participated in revising the Zhongzhen Calendar and promoted the introduction of Western firearms during the war against the Qing army. By doing all this, they made great contributions to the development of science and technology in the late Ming Dynasty. The political situation at that time and the need for Western ideological learning were also important reasons why Catholic missionaries could remain in China after the “Anti-Catholic Xu Guangqi Incident.” (Late Ming Dynasty)

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The Calendar Case After the fall of the Ming Dynasty, some missionaries immediately swore their fealty to the Qing regime. In the first year of the Shunzhi Period, Johann Adam Schall von Bell was appointed chief of the Astronomical Bureau, owing to his accurate prediction of a solar eclipse. This was the first time that a Jesuit held a high position in the imperial court in China. He was highly respected by the Qing royalty, promoted several times and even conferred the title of “Tongxuan Jiaoshi” (the Religious Te ac he r who C ompre he nd s the Mysterious). As a result, Catholicism was highly acclaimed for a period of time. In 1652, with Johann Adam Schall von Bell the completion of the South Church (Ming Dynasty) inside Xuanwu Gate sponsored by the royalty, the Catholic missionaries saw their best days. However, this happy situation did not last long. A man named Yang Guangxian from Anhui Province felt greatly saddened to see the Datong Calendar and the Hui Nationality Calendar being replaced by the Western calendar. He said he would rather there be no good calendar in China than allow the Westerners to stay in China. He presented his case several times to the Ministry of Rites, accusing Schall of using his calendar and his theories to deceive the masses and to usurp the sovereign power. In 1644, Adam Schall, Ferdinand Verbiest and some other missionaries were put into prison while some missionaries in other provinces were also detained. Adam Schall was sentenced to death by strangling but had a narrow escape as an earthquake happened to strike Beijing at that time. Catholicism suffered great losses with the Western calendar abolished and missionary work strictly banned. He died from depression in 1666. After taking over the reign in person, Emperor Kangxi found

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numerous mistakes in the calendar presented by Yang Guangxian. He commanded Yang and Ferdinand Verbiest to carry out a series of tests on such solar periods as the “Beginning of Spring” and “Rain Water” at the astronomical observatory. Verbiest was successful in each of the tests; as a result, Yang Guangxian was dismissed and sent back to his hometown, Verbiest was appointed assistant chief of the Astronomical Bureau, and Schall’s reputation was restored. Religious activities in both North and South Churches in Beijing were also resumed. The above incident shows how advanced Western technology played a significant role in helping missionaries consolidate their position in China. Emperor Kangxi, a man of great talent and broad vision, was extremely interested in Western technology. In his limited spare time, he asked Fernidand Verbiest, Father Thomas Pereira, Philippe Maria Grimaldi and other missionaries to instruct him on astronomy, geography, mathematics, music and other academic subjects. He often stayed up late at night, practicing calculations. He also asked Ferdinand Verbiest to write to Europe to recruit for China some missionaries proficient in science and technology. In 1689, Emperor Kangxi permitted Fathers Thomas Pereira and Joan Franciscus Gerbillon to participate in the process of negotiating and signing of Treaty of Nerchinsk between China and Russia, which was the first treaty in the history of the Chinese–Western relationship. In 1692, he issued the decree Kangxi’s “Edict of Toleration,” permitting Catholic evangelisation in China. Thereafter, Catholicism flourished in China. Up to 1701, there were a hundred and thirty missionaries preaching in China and approximately three hundred thousand Catholic faithfuls all over the country.

The Rites Controversy The Rites Controversy is short for the “Great Controversy on the Chinese Version of Divine Names and Rites.” The essence of the controversy was whether Catholicism should be naturalized in China; its focus was on how to translate the name of the Creator into Chinese and whether the Chinese converts should be allowed to participate in such rites as ancestor worship and Confucius worship. Starting from within the Catholic faithfuls to non-Catholics, from China to the West, this controversy lasted over a hundred years and eventually escalated into an argument between the Roman Pope and the Chinese Emperor. The Rites

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Controversy and its aftermath had a far-reaching impact on the history of cultural exchange between China and the West. Matteo Ricci once identified Deus, the creator in Catholicism, with God or Heaven in the five Confucian classics. However, his successor, Niccolo Longobardi, objected to this view after Ricci’s death in 1610. The split among the Jesuits was the topic of two religious conferences, one in Macao in 1621 and the other in Jiading in 1628. Letters of inquiry were sent to Europe for further clarification. Feuds were continually fomented by the Order of Friars Minor and the Order of Preachers, both of which came to China after the 1630s, who submitted the problem of the Chinese version of the Creator to the Pope for arbitration. In opposition to Matteo Ricci’s regulation and in the belief that allowing converts to attend memorial ceremonies was succumbing to heathen practice, the Order of Preachers repeatedly denounced the Society of Jesus in China to the Pope. As a result, Pope Innocent X issued a decree in 1645 to forbid Chinese converts to participate in the worship rites for their ancestors and Confucius. However, Martinus Martini, a member of the Society of Jesus, went to Rome to present their opinions. His defence resulted in a new decree from Pope Alexander VII in 1656 that permitted the Chinese converts to attend the worship rites. Inconceivably, the two contradictory decrees were both judged to be equally valid by Pope Clement IX in 1669, leaving the missionaries in China puzzled and at a loose end. The Jesuits in Beijing presented the case to Emperor Kangxi, hoping to obtain an authoritative verdict from him. The reply from Emperor Kangxi, compatible with Matteo Ricci’s explanation about the Chinese rites, was then submitted to the Vatican Court by the Jesuit Louis le Comte. The missionaries were reproached for seeking authority from outside the Catholic Church. In 1704, Pope Clement XI issued another decree, banning the Chinese converts from worshipping their ancestors and Confucius. He also sent his envoy, Thomas Maillard de Tournon, to China to declare the decree. To avoid a direct confrontation with Emperor Kangxi, who received him in Beijing, he declared the decree in Nanjing. This irritated Emperor Kangxi, who expressed his indignation at the Pope’s interference in China’s internal affairs and gave the order to throw Tournon into prison in Macao. Meanwhile he declared that the missionaries could stay in China on the condition that they should follow Matteo Ricci’s regulation, obtain “Permanent Resident Cards” and promise never to return to Europe.

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In 1715, when Pope Clement XI issued Ex illa die and reiterated the ban on worship rites, Emperor Kangxi retorted him tit for tat. He gave the command to ban Catholic preaching in China in order to avoid further trouble. The two successive emperors, Yongzheng and Qianlong, tightened the ban, causing the decline of Catholicism in China. The controversy as to whether the Chinese converts should be allowed to attend the worship rites and how the name of the Creator should be properly translated was long lasting and far reaching. Eventually, the Chinese people, who worshipped and revered their ancestors, were compelled to close the gates of the country once more.

Missionaries and Modern China The first Protestant missionary to China was Robert Morrison (1782–1834), an Englishman who was dispatched by the London Church and arrived in Guangzhou in 1807. From 1809 on, he held a post in the East India Company in Macao. Meanwhile, he was engaged in the translation of the Bible and completed translating the Old and New Testaments in 1819. Later, he spent seven years compiling his magnum opus, the Chinese– English Dictionary, which functioned as a convenient bridge between the Chinese and English languages and cultures. It was Robert Morrison who appointed the first Chinese pastor, Liang Fa, who wrote a book titled The Benevolent Words to Advise the World, which provided a main source of revolutionary ideas for Hong Xiuquan, the leader of the Taiping Heavenly Kingdom. America’s first Protestant missionary to China was Elijah Coleman Bridgman, from the American Board of Commissioners for Foreign Missions, who reached Guangdong in 1830. He helped Karl Friedrich Guslaff publish the East–West Monthly Examiner, the first Christian periodical in Chinese, and the English journal, the China Records Project Miscellaneous Personal Papers Collection. Banned by law from preaching in China, the missionaries before the Opium War had to adopt Matteo Ricci’s “mute preaching” strategy, that is, to preach through their writings in Chinese. They also set up schools and hospitals, mainly for commercial and religious purposes. However, some of them worked directly to promote the policies of the Western powers including Guslaff. A strong advocate of conquering China by military force, he gathered military intelligence for Britain’s war against China, and served as an interpreter for Charles Elliot, a commander of the British

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invaders. Furthermore, he worked as an adviser for the invaders in the signing of the Treaty of Nanjing in 1842, which badly humiliated the Chinese people. Peter Parker, Elijah Coleman Bridgman and Samuel Wells Williams also played a role in drawing up the Sino–U.S. Treaty of Wangxia in 1844, with Parker even claiming that only by war could China be made to open to the Bible. After the Opium War, the Western powers compelled China to agree to a series of unequal treaties. Benefiting from these treaties, missionaries from Britain, France and America obtained permission to build churches in the coastal cities, ignoring the ban on Christian missionaries issued during the reigns of Emperor Kangxi and Emperor Qianlong. In 1846, under pressure from the French envoy Theodese de Lagrene, Emperor Daoguang promulgated an edict that all the Catholic churches built during the reign of Emperor Kangxi be returned to the Catholics. In 1858 and 1860, the allied forces, made up mainly of British and French soldiers, occupied the Dagukou Battery Fort and Beijing and forced the Qing regime to sign the Treaty of Tianjin and the Treaty of Beijing, which both contained the “articles of free proliferation of Christianity.” From then on, the missionaries were free to preach their religions in the hinterland of China. Under the banner of these unequal treaties, the Catholic, Protestant and Eastern orthodox religions spread rapidly in the second half of the nineteenth century. Almost every sect of Catholicism permeated into the hinterland of China. By the end of the nineteenth century, Catholicism had some 400 missionaries and 740,000 converts; the Protestants established sixty-one religious groups with about 1,500 missionaries and had some 95,000 converts in China. The most influential missionaries in the second half of the nineteenth century were the Englishmen Hudson Taylor and Timothy Richard and the Americans Young John Allen and William Alexander Parsons Martin. Taylor established a cross-sect and international group, the China Inland Mission and by the end of the nineteenth century, 270 mission stations had been set up in the remote mountainous areas catering to approximately five thousand converts. Timothy Richard from the Baptist Church held that nothing could work more effectively than the written language in converting the Chinese. Therefore, he took the approach of preaching in rapport with Chinese culture. For more than twenty years, he presided over the Christian Literature Society established in China in 1887. With the aim of introducing new knowledge and developing people’s intelligence so as

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to facilitate trading and preaching, this society published 246 different kinds of books, 730,000 copies in all. Among them were A New Outline History of European History translated by Timothy Richard and The Sino-Japanese War compiled by Young John Allen. In addition, Martin and Allen acted as instructors-in-chief in the Tongwen School and the Imperial University (the present Peking University) respectively. Allen established Soochow University and also worked as editor-in-chief of the Chinese Globe Magazine for many years. In the Hundred Days of Reform movement, missionaries such as Young Allen, Timothy Richard and Gilbert Reid influenced the likes of Kang Youwei, Liang Qichao and Tan Sitong. They put forward a number of suggestions regarding the reform; many of which formed an important part of the Reform Guidelines. Their efforts made the reformers more tolerant and positive toward Christianity, which was exactly what the missionaries had been hoping for.

Missionary Schools and Charity Institutions In order to practice Christianity in China, the missionaries set up many missionary schools and charity projects. Among the first Christian schools in China were the Anglo–Chinese College, which was moved from Malacca to Hong Kong in 1843, and the Girls’ School in Ningbo, started by the Association for Women’s Education in the Far East of the English Presbyterian Church in 1844. The earliest Catholic school was the Xuhui High School (later known as the St. Ignatius High School). By 1875, the missionary schools in China totalled 800, with about 20,000 students; by the end of the nineteenth century, the schools numbered 2,000, with enrolments of about 400,000 students. In addition to high schools, universities were also set up, such as St John’s Academy (later renamed St John’s University) in Shanghai, the Chung-hsi Academy (later renamed Soochow University) in Suzhou, and the Christian College (later renamed Lingnan University) in Guangzhou. In the first two decades of the twentieth century, missionary schools grew rapidly. In 1914, there were 12,000 missionary schools with an enrollment of 250,000 students, while state-sponsored schools numbered 57,000 with an enrolment of 1.63 million. In 1918, there were 350,000 students in missionary schools, while there were 4.3 million students in state-sponsored schools. Obviously, missionary schools made up a large percentage of China’s schools at that time. Some fourteen

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Girl's School operated by the missionaries (Qing Dynasty)

missionary universities had been set up, such as Aurora University and the University of Shanghai in Shanghai, Soochow University in Suzhou, West China University in Chengdu, Nan King University in Nanjing, and Methodist Peking University in Beijing. As a contrast, China only had three national universities and five private universities at that time. 1922 and 1925 witnessed the establishment of two Catholic universities—Jingu College in Tianjin and Catholic Peking University in Beijing. In 1926, the total number of missionary schools in China reached 15,000 with 800,000 students. The establishment of missionary schools in China gave impetus to the development of modern Chinese education and produced a large number of talented people. Graduates from missionary schools accounted for a big proportion of the students studying in Japan at the end of the nineteenth century and studying in the US in the early twentieth century. Western churches also initiated many charitable projects, mostly hospitals and childcare institutions (orphanages, nurseries, schools for the deaf-mute, schools for the blind, etc.). The first hospital run by the Catholic Church was the French Hospital in Tianjin, and the first hospital run by the Christian Church was the Lester Hospital

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in Shanghai. In order to train medical students, the churches set up medical schools in the universities and nurse-training schools in the hospitals. In the first half of the twentieth century, most of the doctors of Western medicine were graduates of the missionary medical schools. The missionaries undertook such relief projects as setting up relief institutions, gathering donations and distributing food and necessities when northern China was struck with severe drought in 1870s and disastrous floods from the Yellow River and the Huihe River in 1911.

The Christian Missionaries and Cultural Exchanges between China and the West During their preaching in China, the missionaries played an important role in promoting cultural exchanges between China and the West. On the one hand, they brought Western science, technology, philosophy and religion into China. This was known as “Promoting Western Learning in the East.” On the other hand, they brought Chinese culture, especially philosophy and religion to the West. This was known as “Introducing Chinese Learning to the West.” They made vital contributions both ways.

The Spread of Western Science and Technology Missionaries such as Matteo Ricci hoped that Western science and technology would help authenticate Catholicism in China. To this end, Matteo Ricci co-translated with Xu Guangqi and Li Zhizao a number of books on science and technology, for example, Principles of Geometry, Euclid’s Elements, Complete Theory of Surveying and Hydraulic Methods of the Great West. The introduction of Western science and technology not only satisfied some scholar-bureaucrats’ aspirations to explore practical learning but also somewhat axiomatized and systemized such academic subjects as mathematics and astronomy in China. Matteo Ricci and his fellow missionaries were thus regarded as erudite scholars and their missionary work was largely facilitated. When Ricci died of disease, the prime minister Ye Xianggao braved opposition to argue on his behalf, saying that the book Principle of Geometry alone was worthy enough for him to have a permanent resting place in Beijing. Emperor Wanli listened to the pleas of the missionaries and scholar bureaucrats; Matteo Ricci was buried in Beijing.

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The Introduction of Aristotelian Logic and Medieval Scholasticism The Jesuits gave priority to the introduction of Western religious and philosophical ideas to China, especially Aristotelian philosophy and medieval scholasticism. First, they introduced Aristotelian logic to China. Matteo Ricci and Xu Guangqi co-translated Principles of Geometry with the major purpose of introducing Western logic to the Chinese people through this book of mathematics. The most comprehensive introduction to Aristotelian logic was made in the book Cosmology, co-translated by the Portuguese missionary Francois Furtado and Li Zhizao. However, they failed to complete the translation. Later, Ferdinand Verbiest completed the remaining part of the book and named it A Thorough Study on Logic. When he presented the book to Emperor Kangxi, he wrote in the memorial, “Logic is the rudiment of all learning.” As the first systematic introduction of Western logic to China, Cosmology greatly influenced the development of modern logic in China and remedied the scholarbureaucrats’ empty talk of “mind” in the late Ming Dynasty. In addition to Aristotelian logic, Matteo Ricci and other missionaries also introduced Aristotle’s theory of “Four Causes.” Aristotle summed up the world’s origin into four causes, namely, material, formal, efficient and final causes. Later on, he incorporated the last three causes into “Form Causes.” Aristotle’s theory reflected the thinking in Western philosophy, which stressed the exploration of the origin of substances in nature. The introduction of this theory into China had an impact on the traditional way of thinking in Chinese culture, which focused on the study of human relations. The medieval scholasticism introduced by Matteo Ricci and other missionaries mainly covered three areas: traditional metaphysics— the existence of God, immortality of the soul and freedom of will, etc.; Christian myths—Genesis, the loss of Eden, suffering and resurrection, Heaven and Hell, Doomsday judgment, etc.; and spiritual exercises— catechism, prayers, daily office, devotional exercises, liturgy, etc. All these concentrate on confirming the existence and uniqueness of God. Matteo Ricci demonstrated the existence of God in his book The True Meaning of the Lord of Heaven, in which he based his arguments on the thought of Thomas Aquinas, the medieval philosopher. Later, Giulio Aleni made a further exploration of Aquinas’s philosophy in his book,

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Graveyard of Matteo Ricci, Beijing (Ming Dynasty)

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Western Learning. During the reign of Emperors Shunzhi and Kangxi of the Qing Dynasty, Luigi Buglio translated Aquinas’s Summa Theologae from Latin into Chinese (Chaoxing Xueyao). Medieval scholasticism with Aquinas as its representative was an important link in the history of Western thought and the origin of modern Western thought. Therefore, Matteo Ricci’s introduction of Aquinas’s philosophy acted positively in acquainting the Chinese thinkers with Western religious philosophy and the Western way of thinking.

Matteo Ricci’s Introduction of Confucianism, Buddhism and Taoism to the West While bringing Western religious and philosophical ideas into China, Matteo Ricci and other missionaries also introduced Chinese philosophies and religions to the west. In his old age, Ricci wrote the History of Christianity in China (which was translated into Latin by Nicholas Trigault and published in Europe in 1615, and the Chinese version of which was titled Zhongguo Chuanjiaoshi). This work provided a detailed introduction to Confucianism, Buddhism and Taoism in China. Matteo Ricci introduced to the Western world Confucius’s life and social status in China. He wrote, “Confucius, the greatest Chinese philosopher, was born in 551 BC and lived more than seventy years. As he instructed others with a tireless zeal by means of his words, actions and writings throughout his life, he was respected as the greatest sage in the world. As a matter of fact, his words and his attitude to life were by no means inferior to those of our ancient philosophers. Many Western philosophers were not on a par with him. Therefore, all the Chinese people regarded his words and writings as the golden rules. All the emperors, from the past to the present, have paid tribute to Confucius and showed gratitude for the heritage he has left behind.” Ricci pointed out that temples to Confucius could be seen everywhere in China, where ceremonies to worship him were held. However, these ceremonies were not the same as regular religious rites, because people neither deified him nor prayed for boons from him. Nevertheless, Ricci looked on Confucianism as the most prevalent and conspicuous religion with the largest number of classics. He stressed the compatibility between Confucianism and Catholicism. He wrote, “our belief has been protected by Confucianism from the very beginning. The two beliefs do not collide

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with each other.” He also wrote, “I know no other non-Catholic people in Europe who can have purer and less erroneous concepts of religious problems than the ancient Chinese people.” He also gave a detailed description of the Confucian ethic codes, rites and conventions in China and described the religious concepts, activities and services in Chinese Buddhism and Taoism. Ricci kept in close contact with the scholar-bureaucrats of the Ming Dynasty, many of whom, such as Jiao Hong, Li Zhi, Yuan Hongdao, Yuan Zhongdao and Li Rihua, were celebrities of the time. His association with Li Zhi deserves particular mention. Li Zhi spoke highly of Matteo Ricci as a great person without equal. In The History of Christianity in China, Ricci presented Li Zhi to the West as an outstanding thinker of the late Ming Dynasty.

The Rites Controversy Roused Europeans’ Curiosity for Chinese Culture The Rites Controversy, which lasted longer than a century, had the unexpected result of arousing the Europeans’ curiosity about Chinese culture. In order to maintain their principles during the controversy, many missionary sects in China sent their representatives back to Europe to present their views to the Vatican Court. At the same time, they wrote books and made speeches on what they knew about China so as to win sympathy and support. As a result, the image of China as an oriental power with a long history and splendid culture was introduced to the Europeans. For a period of time, China became a hot topic in Europe. Alvaro de Semedo, the first missionary sent back to Europe by the Society of Jesus, published Imperio de la Chine, which introduced China’s history, geography and ideologies, such as Confucianism, Buddhism and Taoism. Soon afterwards, Martinus Martini (1614–1661) wrote Novus Atlas Sinesis, Sinicae Historiae Decas Prima and De Bello Tartarico Historia; Philippe Couplet (1624–1692) wrote Confucius Sinarum Philosophus (subtitled Annotation of the Four Books), a collective work co-authored by seventeen missionaries, prefaced and brought back to Europe for publication by Couplet; Louis le Comte (1655–1728) wrote Nouveaux memoires sur l’état de la Chine; and Bouvet Joachim (1656– 1730) wrote Portrait Historique de l’empereur de la Chine. Apart from those who returned to Europe in person, many other missionaries in China sent their books and reports on China to Europe

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for publication. Meanwhile, three periodicals were introduced to publish correspondence and essays written by missionaries in China: Jesuit Correspondence, A Complete History of Imperial China and Miscellanies about China (a collection of theses on Chinese history, science, art and conventions written by missionaries in Beijing). These books, reports and periodicals greatly aroused the Europeans’ curiosity about China and gave further impetus to the introduction of Chinese culture to the West.

The Impact of Chinese Culture on Leibniz, Pierre and Voltaire Having been introduced to Europe by the missionaries in China, Chinese culture exerted a significant influence in the seventeenth and eighteenth centuries on European thinkers, especially on the German thinker Leibniz and two French thinkers, Pierre and Voltaire. Gottfried Wilheim Leibniz (1646–1716) was a great German scientist and philosopher who kept in contact with such Jesuits as Grimaldi, Joachim, Gerbillon, Suarez, Thomas, Verbiest, von Bell, Terrenz and Longobardi. He also had access to their writings on China, such as Joachim’s Portait Historique de l’empereur de la Chine, Ricci’s The History of Christianity in China, Couplet’s Confucius Sinarum Philosophus, Le Comte’s Novus Atlas, and Longobard’s Traite sur Queleques Points (Notes on Certain Religious Problems in China). He also received material on The Book of Change from Joachim. In 1667 he compiled the reports and correspondences of seven missionaries into China Illustrata and had it published. In 1716, the year of his death, he wrote Discours sur la Theologie Naturelle des Chinois, which was an unsent letter to Sir Nicola Rémond. In this work he gave detailed, insightful comments on some Chinese philosophical concepts, for example, “li” (reason), “qi” (vital energy) and “taiji” (the Supreme Ultimate), and the Chinese views on God, deities and spirits. He also wrote about two hundred letters on China. Pierre Bayle (1647–1706), a pioneer of the French Enlightenment, was enormously influenced by Chinese culture, which he took as the grounds to support his argument for religious tolerance and atheism. After he read Ferdinand Verbiest’s report on how the Chinese Emperor permitted the Christian missions, he wrote in an article, “I wonder why Christians seldom give any thought to the tolerance prevailing in those pagan countries we took as unenlightened and barbaric.” He wrote

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that in spite of their insistence that the Jesuit religion was a pseudoreligion that was opposite to the religion they and his subjects advocated, the Chinese emperors treated the missionaries humanely, rather than tormenting them. In his view, there was a sharp contrast between the tolerance of religions in the East and the hostility toward other religions in Christianity. After the Rites Controversy broke out, he read several works by Jesuits in China and was severely reproached by the church for his theory that atheism was superior to idolatry, presented in his Ponsées deverses sur la comète. The book demonstrated the feasibility of a society consisting of atheists. In his mind, China was a good case in point, because it was a large country with a long history and the purest ethics, but it was also an atheist country, which helped it survive and prosper, instead of stunting the formation and existence of the Chinese nation. Pierre Bayle took China as an example to illustrate the viewpoint that ethics could be separated from religion rather than be dominated by it, as was the case of Europe. He pointed out that Confucius left behind him many excellent ethical codes, although he was an atheist. Under the influence of The Society of Jesus in China, FrancoisMarie Arouet de Voltaire (1694–1778), the standard-bearer of the French Enlightenment, was a proponent of Confucius and Confucianism. As a deist, Voltaire held that Confucius was a deist instead of an atheist, for Confucius did not deny the existence of gods but gave more emphasis to humanism in his doctrines. He said that Confucius neither preached revelation from gods nor called himself a prophet, but tirelessly exhorted others to faithfully follow his moral codes. Voltaire said, “Confucius was truly a man with a noble mind, a friend of rationalism, an opponent of fanaticism. Benign and composed, he never confused truth with falsehood.” He hung a portrait of Confucius in his room and called his residence “Confucius Temple.” He maintained a passion for Confucian doctrines, combining Confucianism with his own ideas.

Islam—Its Rise, Eastward Spread and Transformation Islam, one of the three predominant religions in the world, originated in Mecca at the beginning of the seventh century. Mohammad (570–632), founder of this new religion, was an Arab prophet, who succeeded in spreading Islam across the Arabian Peninsula within twenty-three years

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and uniting the Arabians into a unified and strong nation. After the death of Mohammad in 632, the four caliphs who succeeded him launched large-scale military excursions (632–661). The Muslim armies launched attacks almost simultaneously on the Persian Empire and the Roman Empire, the two superpowers of the time. To the east, they conquered and annexed Persia; to the west they drove the Romans out of the Middle East and Africa. In 651 (the second year of the Yonghui Period in the Tang Dynasty), the third caliph Uthman in Affan (644–654) sent an envoy to the Tang capital Chang’an, thus inaugurating the smooth migration of Islam into China. It is generally acknowledged that the Tang, Song and Yuan dynasties (651–1367) were the period when Islam was “transplanted into China,” that the Ming and Qing dynasties (1368–1911) were the period when it “grew in China,” and that the twenieth century was the period when it further developed. Islam was referred to as Dashifa in the Tang Dynasty, Dashifadu in the Song Dynasty, Huihui in the Yuan Dynasty, Huihui Jiaomen in the Ming Dynasty, Qingzhenjiao in the late Ming and early Qing Dynasties, and Huijiao in the Qing Dynasty and the Republic of China. Islamic mosques were called litang (tabernacle) in the Tang Dynasty, libaitang (bethel) in the Song Dynasty and libaisi (prayer temple) in the Yuan Dynasty. (610–632)

The Rise of Islam One day in 610 (the sixth year of the Daye Period in the Sui Dynasty) in the polytheistic city of Mecca, a forty-year-old man claimed that he had received revelation from Allah. He declared that there was no God in the world but Allah, and that he was one of the Messengers sent by Allah, and that he was the last of them (Seal of the Prophets). That man was Mohammad, the Islamic Prophet. In 613 he publicly proclaimed in Mecca the revelations he kept receiving from Allah. Mohammad’s grandfather was a presbyter of the city. Though never converting to Mohammad’s religious faith, he protected his grandson. However, because of the opposition and persecution by the upper classes in Mecca, Mohammad was forced to emigrate to Medina (in the present Saudi Arabia) in 622, which became the first year of the Islamic Calendar. Islam started a new life in Medina, where the Muslims grew stronger and stronger. When Mohammad died in 632, the majority of Arabians were united under the banner of Islam, becoming a consolidated national entity.

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Islam is the transliteration of the Arabic word al-Islam, literally meaning “submission,” “making peace” and “peacefulness.” As a religion, its doctrines require its disciples to: (i)

believe whole-heartedly that there is no God but Him, the unique Allah (in the history of Islam in China, Allah is generally translated as Zhenzhu, meaning “True God”); and (ii) believe that Mohammad is a Prophet and Messenger sent by Allah, the Seal of the Prophets. One who believes in Islam is a Muslim, a transliteration of the Arabic word al-Muslim, which originally meant “followers or disciples submitting to. . . ” The term is used exclusively to refer to the believers who follow Allah and the Prophet Mohammad. The Islamic prayers the Chinese Muslims usually chant are: (i) I testify that there is no God but Allah; and (ii) I testify that Mohammad is the Messenger of Allah. The first line stresses the Oneness of Allah, while the second line emphasizes the exclusive status of Mohammad as the Holy Prophet.

The Eastward Spread of Islam It is believed that Mohammad once asked his disciples to go to China to seek after knowledge, in spite of the long distance. According to historical records, transportation between China and Arab countries started in the first century, with commerce and trade as the main links. The two main trading routes were the Spice Route by sea and the worldrenowned Silk Road by land. For a hundred or so years between the Zhenguan Period and the Kaiyuan Period in the Tang Dynasty, China was at the height of her prosperity. Transportation from China to Central Asia or West Asia was expedited by sea or by land. Groups of Arabian and Persian merchants flocked to China and mostly lived in hinterland metropoli or seaside cities like Xi’an, Yangzhou, Guangzhou, Quanzhou and Hangzhou. They were frequently called Fanke (foreign guests). By the mid-Tang Dynasty, thousands of Fanke dwelled in Yangzhou alone. When the “An–Shi Rebellion” broke out, Emperor Suzong of the Tang Dynasty relied on Dashi (Arabic) armies to suppress the rebels led by An Lushan. After the recapture of the two capitals, the Emperor

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granted permission for the Arabian soldiers to live permanently in China and to marry women of other nationalities. As a result, Islam began to take root and sprout in China. During the Five Dynasties and the Northern Song Dynasty, Islam was introduced in the Xinjiang Region and became the faith of the entire Uighur nationality by the turn of the sixteenth century. In the Song Dynasty, the number of Fankes who chose to become permanent residents in China was much larger than in the Tang Dynasty. They enjoyed an escalated social status and had considerable economic strength. The overseas Fankes and their naturalized descendants were assimilated into China. They made due contributions to China’s prosperity and the cultural exchanges between East and West. In the Yuan Dynasty, increasing numbers of Muslim merchants came to China and mostly took their residence at important ports or famous commercial centers. In addition, many Muslim craftsmen, civilians and soldiers from the West migrated to China as the Mongolians started their westward expeditions. Consequently, the population of Muslims soared rapidly and there were mosques all over the country. Due to their contributions to the founding of the Yuan Dynasty, the Muslims were ranked second to the Mongolians and higher than the Hans in the social hierarchy. Their influence was felt in politics, the economy, military affairs and cultural activities. Some of their learned scholars and experts achieved success in such fields as astronomy, the calendar, medicine, architecture, artillery, arts and crafts, poetry, painting, and classical studies, thus promoting cross-cultural communication. A new ethnic group—the Hui Nationality—came into being at the turn of Ming Dynasty, because they shared the same religion and conventions. The fact that Islam had become the faith for the entire Hui Nationality marked a new stage in the eastward spread of Islam in China—the Muslim residents had become a solid constituent of the Chinese nation. During the Ming and Qing dynasties, some insightful Muslims began to write in Chinese to expound the fundamentals of the Islamic faith, with the dual purpose of clearing up the misunderstandings of the Hans and educating the younger generation. As a result, a generation of Islamic scholars emerged. Among them, the better-known were Wang Daiyu, Liu Zhi, Ma Zhu and Ma Dexin. And the most representative Islamic academic works during this period include Wang Daiyu’s Muslim’s Great Learning, Liu Zhi’s The Arabian Ethics, Ma Zhu’s Guidelines for the Muslims and Ma Dexin’s Essentials of the Four Canons.

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In order to adapt to the social circumstances, to cater for the development of Islam and to provide the talented religious scholars with a profound knowledge of both Islamic doctrines and Confucian classics, the Chinese Muslim intellectuals established a religious educational system with Scripture Studies as the main subject. In the period of the Republic of China, normal schools and middle schools were established in Muslim areas, and reforms were made to the curricula of Scripture Studies, with the addition of courses on culture and knowledge. Some schools even sent students to study in West Asian countries. At the same time, Chinese editions of the Koran were published, with Tie Zheng as the translator of the first Chinese edition of this holy Muslim book. Since the founding of the People’s Republic of China in 1949, several more Chinese editions of the Koran have been published, among which Ma Jian’s version is ranked the highest academically. Nowadays, there are about eighteen million Muslims in China’s mainland, located mainly in Northwest China, Xinjiang Province, Yunnan Province and North China, characterized by “small clusters over large areas.”

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書 CHAPTER THIRTY ONE

Novels of the Ming and Qing Dynasties The Romance of the Three Kingdoms

705

Outlaws of the Marsh

707

Journey to the West

711

The Plum in the Golden Vase

714

“Three Collections of Words” and “Two Collections of Amazing Tales”

718

The Scholars

720

A Dream of Red Mansions

722

Strange Tales from a Chinese Studio and Random Jottings at the Cottage of Close Scrutiny

727

Free-style calligraphy of“書”(shu) means “book” in Chinese

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Ancient Chinese novels had already been in existence for about a thousand years before the Ming and Qing dynasties, from the “zhiguai tales” (records of anomalies) and the “zhiren tales” (records of strange persons) of the Wei and Jin dynasties to the legendary and classical stories in the Tang Dynasty. In addition, the vernacular stories originating from the art of story-telling also budded in the Tang Dynasty and gradually evolved into storytelling-scripts in the Song Dynasty. A good foundation was laid for the development of novels in the Ming and Qing dynasties. The zhanghui novel (chapter-couplet novel) constituted the main form of the novels in the Ming and Qing dynasties. Their characteristic format was that each chapter was headed by a couplet giving the gist of the content. According to such books as Reminiscences of the Dreamlike Prosperity of the Eastern Capital and Excerpts from the Conversations of the Old Drunkard, stories with long chapters and couplets appeared no later than the Song Dynasty. These stories, especially the historical tales, were so long that they could not be read in one sitting. The extant copies of The Tale of How Sanzang of the Great Tang Dynasty Fetched the Scriptures and Collections of Fully Illustrated Plain Tales demonstrated the story-tellers’ ability to deal with long stories, which could be regarded as the rudiments of chapter-couplet novels. The Romance of the Three Kingdoms and Outlaws of the Marsh symbolized the maturity of such novels. There were many novels in the Ming and Qing dynasties, the most famous of which included The Romance of the Three Kingdoms, Outlaws of the Marsh, Journey to the West, The Plum in the Golden Vase, The Scholars, A Dream of Red Mansions, collections of short stories such as “Three Collections of Words” and “Two Collections of Amazing Tales,” and the collections of classical short stories of Strange Tales from a Chinese Studio and Random Jottings at the Cottage of Close Scrutiny. According to Feng Menglong, a noted writer of the Ming Dynasty, The Romance of the Three Kingdoms, Outlaws of the Marsh, Journey to the West and The Plum in the Golden Vase deserved the fame of being known as the Four Outstanding Novels.

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The Romance of the Three Kingdoms Compilation of the Novel The Romance of the Three Kingdoms is a panoramic epic of historical events over about a hundred and ten years, from the second year of the Jianning Period under the reign of Emperor Lingdi of the Later Han Dynasty (169) to the first year of the Tai Kang Period under the reign of Emperor Wu of the Jin Dynasty (280), focusing on the warfare among the three kingdoms of Wei, Shu and Wu. Early in the Song Dynasty, some professional story-tellers were already telling historical stories about the three kingdoms. The extant book The Three Kingdoms: A Historical Novella in the Zhizhi Period of the Yuan Dynasty (1321–1323), edited by a Mr. Yu in the Jianan Period, was used by the story-tellers as a reference. The language in this book was unrefined and simple. At the turn of the Ming Dynasty, Luo Guanzhong, a native of Taiyuan, rewrote the story into a historical novel, The Popular Tale of the Three Kingdoms. The preface to the book, written by Yong Yuzi, commented that Luo Guanzhong’s vernacular novel, based on Annals of the Three Kingdoms by Chen Shou (233–297), was more comprehensible in content, used more sophisticated language and recorded facts and events so realistically as to almost resemble a history book. The Popular Tale of the Three Kingdoms covered twenty-four volumes, each volume containing ten chapters and each chapter containing a seven-character headline. By the time of the Kangxi Period of the Qing Dynasty, Mao Zonggang from Changzhou, Jiangsu Province, revised the vernacular novel further and added to it his comments, honoring it as the work of a talented scholar. This version is the historical novel, The Romance of the Three Kingdoms, that is enjoyed today.

“Three Talents” and “Three Tiptops” The Romance of the Three Kingdoms features a number of historical figures and unique characters. The most outstanding figures are Zhuge Liang, Guan Yu and Cao Cao, referred to by Mao Zonggang as the “Three Talents” and “Three Tiptops.” Zhuge Liang was portrayed as the most talented among all the virtuous military counselors in history, Guan Yu as the most outstanding general, and Cao Cao as a cunning careerist.

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Illustration of the Romance of the Three Kingdoms Printed in the Ming Dynasty

The characters of these typical figures are vividly presented through the description of their special personalities. Take Cao Cao as an example. He is vividly portrayed via the narration of some sophisticated plots and details, driving home to readers his devious character as an arch-careerist whose policy was, “I’d rather betray all the people than be betrayed by others.” Chapter 17 of the novel recounts how Cao Cao led a troop of 170,000 soldiers to attack Yuan Shu, but his army was short of food. He commanded an officer in charge of provisions, Wang Hou, to issue a little food to tide over the emergency. However, the soldiers complained loudly. So Cao Cao secretly summoned Wang Hou and said to him, “Surely you will not grudge it if I borrow something from you to appease the soldiers, will you?” Wang Hou asked, “What do you want to borrow, Prime Minister?” Cao Cao replied, “I would like to borrow your head to demonstrate to the soldiers.” Wang Hou was startled, “But actually I haven’t committed any crime!” Cao Cao answered,

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“I certainly know that, but there will be a mutiny unless I put you to death. After you are gone, your wife and children shall be in my care. So you do not need to worry about them.” Then Cao Cao gave a signal to the executioners before Wang Hou had time to remonstrate further. Wang Hou was hustled out and beheaded. His head was exposed on a tall pole, which ended the soldiers’ complaints.

A follow-up story in this chapter is about another battle between Cao Cao and Zhang Xiu. On the way to attack Zhang, Cao Cao’s horse was startled and trampled on a big wheat field. Cao Cao immediately cut off his own hair as a symbol of his head to ensure his army did not trample on the farmers’ crops. Mao Zonggang remarked “In his life time, Cao Cao made use of everything to meet his own needs. He would keep the king under control to coerce a prince and to intimidate this prince to coerce that one. He would even bring a person’s head to mollify the soldiers, and loan his own hair to reinforce military discipline. Only a top arch-careerist like Cao Cao could have conceived such treacherous and crafty tactics.”

Outlaws of the Marsh Compilation of the Novel The editions of Outlaws of the Marsh fall into two general categories— complex and simple. In the Southern Song Dynasty, the stories from the book were popular among the people. Some thirty-six characters from the novel were recorded in Tales of the Xuanhe Period, and they were also portrayed by Li Song, an artist in the late Song Dynasty, with the literary criticism by Gong Shengyu attached to the portraits. During the Song and Yuan dynasties, some novellas focusing on these characters appeared, such as “The Blue-Faced Beast Yang Zhi,” “The Pilgrim Wu Song” and “The Tattooed Monk Lu Da.” At the turn of the Ming Dynasty, Shi Nai’an wrote the great novel Outlaws of the Marsh on the basis of the folk legends and novellas. There is little known about Shi Nai’an’s background. He is believed to have been born in the second year of the Yuanzhen Period (1296) under the reign of Emperor Cheng, and to have died in the third year of the Hongwu Period (1370) under Emperor Taizu of the Ming Dynasty. His

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Illustration of the Outlaws of the Marsh Printed in the Ming Dynasty

original name was Er, alias Zi’an, and his ancestral homeland was Suzhou. Gao Ru, an eminent scholar of the Ming Dynasty under the reign of Emperor Jia Jing, commented in his Hundred River Bibliographical Notes that the hundred-chapter novel The Patriotic and Righteous Outlaws of the Marsh was originally written by Shi Nai’an from Qiantang County, and was embellished by Luo Guangzhong. Accordingly, some scholars believe that Shi Nai’an’s manuscript was probably improved by Luo Guangzhong. During the Jia Jing Period, Luo’s version was further revised by Guo Xun to become a new one hundred-chapter novel, which was the chief source of the complex versions. After that, some booksellers enriched the book by adding to it some stories about Conquering Tianhu

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and Wang Qing, and published different versions of the novel with 110, 115 and 124 chapters respectively. The language in these books is comparatively terse, similar in style to Luo Guanzhong’s, so they are referred to as the simple versions. By the time of the Tianqi and Chongzhen periods, the unabridged 124-chapter novel of The Complete Story of the Patriotic and Righteous Outlaws of the Marsh edited by Yang Dingxian was published. Yang Dingxian adopted the version by Guo Xun and included in it the stories of Tianhu and Wang Qing, which he had revised. This new version could be called a combination of the complex version and the simple version. Then Jin Shengtan (1608– 1661), a renowned literary critic and editor, further revised the version. Apart from embellishing the wording, he cut the novel by half, with the latter part abridged after Chapter 71 and an introduction added at the beginning. For the past three hundred years, Jin Shengtan’s version has been the most popular.

“Every Character has His Unique Personality and Temperament” Peasant rebellions occurred frequently in China. Song Jiang and other outlaws like him were also referred to as bandits in Annals of the Song Dynasty. However, the author of Outlaws of the Marsh, through the description of the seamy side of the imperial government, showed that the rebellion was actually caused by the ruling monarchs. The novel revealed the social reality that the influential and treacherous court officials always cruelly persecuted the loyal and righteous ones. Thereby, the outlaws of Mount Liangshan were highly praised as being righteous heroes fighting against the corrupt and unjust, protecting their territory, assisting the weak and helping the poor. This, obviously, reflected the opinions of the lower classes. In Outlaws of the Marsh, the writer brilliantly describes several such heroes, including Wu Song, Lin Chong, Lu Da and Li Kui, who were all more than happy to help others in a just cause. Unanimously, they showed their valiant and heroic spirits in their varied experiences of being forced to revolt and eventually formed their brotherhood at the Marsh of Mount Liangshan. These stories are so fascinating and picturesque, full of appeal and mysteries that they are irresistible. The tales include: “Wu Song Kills a Tiger on the Jingyang Ridge,” “Lin Chong Shelters from the Snowstorm in the Mountain Spirit Temple,” “Lu the Tattooed Monk Throws Peach Blossom Village into Confusion,”

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“The Tattooed Monk Uproots a Willow Tree,” “Sagacious Lu Makes a Shambles of Wild Boar Forest,” “Pilgrim Wu, Drunk, Pummels Jiang Menshen” and “Wu Yong by a Ruse Captures the Birthday Gifts.” Great emphasis is put on the depiction of the specific personalities of the different heroes in Outlaws of the Marsh. Jin Shengtan held that it was the true-to-life presentation of the unique personalities of so many characters that made the novel fascinating and appealing. “It may be enough for you to read any other novels only once, but you can hardly bear to put down Outlaws of the Marsh even if you have read and reread it a hundred times. The reason for this desire lies mainly in the appeal of the a hundred and eight characters so impressively depicted in the novel.” Obviously, Jin Shengtan exaggerated a little in saying that the a hundred and eight characters represented a hundred and eight unique personalities. However, the natural dispositions of the main characters in the novel are truly distinct. Jin Shengtan made a thorough examination of the four heroic characters, Lu Da, Lin Chong, Yang Zhi and Wu Song, in Chapter 25. He pointed out that on the one hand, all were perfect heroes, but on the other hand, they differed significantly in their thinking, personality and appearance. Another point made by Jin Shengtan was that when shaping the characters of the heroic figures in the novel, the writer excelled at making their personalities stand out in their similar experiences. Jin Shengtan took Chapter 2 as an example to illustrate his point by comparing the personality of Shi Jin with that of Lu Da, both being bright and brave heroes of martial bearing. The description of Shi Jin was immediately followed by the description of Lu Da, Shi Jin’s roughness followed by Lu Da’s crassness, Shi Jin’s frankness followed by Lu Da’s outspokenness, Shi Jin’s integrity followed by Lu Da’s honesty. The author took the risk of writing in this way to display his excellent control of language. His painstaking efforts offer readers two well-defined images, superficially similar but essentially different. In his Reflections on the Fifth Talent’s Calligraphy, Jin Shengtan further clarified his point, “A number of diversified ways were exploited to depict a character’s ‘roughness’ in Outlaws of the Marsh: Li Da’s roughness came from his hot temper; Shi Jin’s from his youthful self-indulgence; Li Kui’s from his crudeness; Wu Song’s from his unconstrained temperament; Ruan Xiaoqi’s from his suppressed grief, while Jiao Ting’s came from his madcap nature.” It is thanks to the author’s fresh and vivid portrayals in Outlaws of the

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Marsh that so many of the heroic images are lifelike. This is acknowledged as the great contribution the book made to Chinese literature.

Journey to the West Wu Cheng’en and his Edition of Journey to the West Wu Cheng’en (?1500–?1582) had his ancestral home at Lianshui in Jiangsu Province. Later, his family moved to Shanyang in Huai’an (the present Huai’an in Jiangsu Province), where he was a junior official. Wu had been interested in weird stories ever since he was a child, and even wrote a collection of weird stories, Strange Stories of Yu Ding. Journey to the

Illustration of the Journey to the West Printed in the Ming Dynasty

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West was written in his later years. After his death, his relatives gathered his stories, edited them into a collection and published it as Posthumous Manuscripts by Hermit Sheyang. Journey to the West related the adventures of a Buddhist monk, Xuanzang, as he traveled west in search of Buddhist sutras, and was based on a historical event. There were many legends about Xuanzang’s journey to the west. The writer Li Rong of the Tang Dynasty, in his Fantastic Tales, records the legend that Xuanzang met an elderly monk who instructed him in the “Heart Sutra” during his journey to the west. Xuanzang’s disciple, the Monkey King, appeared in the legend in the Song Dynasty. In the novella of the Southern Song Dynasty, The Tale of How Sanzang of the Great Tang Dynasty Fetched the Scriptures, the Monkey King gradually developed into the protagonist of the story. The Monkey King claimed to be a king of the eighty-four thousand impregnable monkeys of the Purple Cloud Cave in the Flower-Fruit Hill. About two hundred and seventyfour thousand years before, he had been captured while stealing the flat peaches of longevity, and exiled to the Purple Cloud Cave of FlowerFruit Hill. He was so infinitely resourceful that he eventually defeated and killed all kinds of demons and monsters, such as the White-Bone Demon, on the way to the West Heaven for the sutras. The language of The Tale of How Sanzang of the Great Tang Dynasty Fetched the Scriptures is far from refined. On the whole, though, it gives a complete outline of the stories that later appeared in Journey to the West. A novella of The Story of Journey to the West appeared in the Song Dynasty. The script (though no longer in existence) was largely enriched, as can be seen in some extant fragments and materials concerning this book and a Korean textbook of the Chinese language, Paktongsa Onhae. For example, the episode “Chaos in the Heaven” as well as most of the fictional plots in Journey to the West was already developed into an independent chapter in the novella. At the same time, stories about Journey to the West were dramatized and acted on the stage. For instance, in the Jin Dynasty there were yuan ben (drama script) drama “Sanzang of Tang;” the Yuan Dynasty zaju (variety play) drama “Sanzang of Tang Seeks the Sutras from the Western Paradise,” and the variety play, “Journey to the West Zaju” at the turn of the Ming Dynasty. It was on the basis of the novella, The Story of Journey to the West and the variety play, “Journey to the West Zaju” that Wu Cheng’en reedited and published the mythological novel Journey to the West. While

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retaining the characteristics of the folk legends, story-telling novellas and variety plays, Wu Cheng’en added something new to the story. He made the Monkey King, Sun Wukong, the leading character in the novel. In addition, he inserted some social realities of the Ming Dynasty into the stories, which was commented on by Lu Xun as “drawing on the realities of the time and overstating them in a melodramatic description.” In this way, Wu Cheng’en gave the book a strong touch of humor. Of the extant copies, the earliest edition is the one published by Shide Hall in 1592 (the second year of the Wanli Period of the Ming Dynasty), the full title of which is The Newly Printed Big Character Official Journey to the West, with a total length of a hundred chapters. In the last year of the Wanli Period or during the Tianqi Period under the reign of Emperor Chongzhen in the Ming Dynasty, another edition, Mr. Li Zhuowu’s Evaluated Journey to the West, also of a hundred chapters, was published. At the beginning of the Qing Dynasty, appeared still another new hundred-chapter edition, A Newly Engraved Illustrated Taoist Interpretation of the Journey to the West. Based on the one published by Shide Hall, this new edition was further revised and polished, with its plot more coherent and logical, and the language more elegant. One more chapter was also added, giving information about Monk Xuanzang’s origin and family background. This edition made such a big impact that it became the most reliable source for all the following editions in the Qing Dynasty.

The Significance of the Image of Monkey King Sun Wukong Two kinds of conflicts were reflected in the image of Monkey King Sun Wukong. First of all, he embodied the conflict between people and society. Sun Wukong was created by the universe as a force of nature. He was unconstrained and thus free from all social regulations and the restrictions of life and death. Accordingly, he was regarded as someone beyond the control of heaven, earth and hell, and he was beyond the restrictions of the Five Elements of metal, wood, water, fire and earth. Nevertheless, it was still inevitable that he entered human society. And the conflicts between the monkey and social regulations and human relationships were predictable. “Chaos in Heaven” was a natural result. Sun Wukong was thus imprisoned under Mount Wuxing (Five Elements). The story goes that when he was set free by Monk Tang Sanzang

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(Xuanzang), Sun Wukong was forced to wear the “Golden Hoop,” which restricted his actions. Having experienced all kinds of trials and tribulations, he finally managed to help his master, Monk Tang Sanzang, to complete his mission and find the sutras in the West Heaven. And he eventually attained enlightenment and became a Buddha. This story goes alongside the saying that “Maturity deprives freedom, and vice versa.” With the shifting from a recklessly “fierce and tough monkey,” through the “Great Sage equaling to the Heaven,” to a member of society, the monkey personified an individual advancing from conflicts against society to harmony with society. Another conflict embodied by Sun Wukong was the struggle between justice and evil, and brightness versus darkness in social life. All the demons and monsters he met in the journey were symbols of the evil forces of the society. Sun Wukong displayed an indomitable spirit in fighting against them. He was unyielding and optimistic, which inspired people to fight bravely for just causes. With its appealing fantasies, convoluted plots and humorous language, the novel has an eternal charm for readers.

The Plum in the Golden Vase The Plum in the Golden Vase marked a significant turning point in the history of Chinese fiction—a switch from the historical novels (such as The Romance of the Three Kingdoms), through the heroic legends (such as Outlaws of the Marsh) and mythological novels (such as Journey to the West), to novels about human nature and human relationships. Many scholars believe that there could not have been A Dream of Red Mansions without The Plum in the Golden Vase.

The Year of Composition, Various Versions and Author of the Novel The Plum in the Golden Vase was probably written in the Wanli Period of the Ming Dynasty, as some historical events from that period are mentioned in the book. An expert on Ming Dynasty history, Wu Han, estimated that the novel was written no earlier than the tenth year of the Wanli Period (1582), the earliest time was no more than the second year of the Longqing Period (1568). According to the records in Sheng Defu’s Private Gleanings, in the second year of the Wanli Period, Yuan

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Illustration of The Plum in the Golden Vase Printed in the Ming Dynasty

Hongdao once saw a hand-written copy of this novel in the thirty-fourth year of the Wanli Period (1606). Thereby, it might be presumed that the novel was written approximately between 1568 and 1606.

A Novel about Human Nature and Human Relationships The protagonist in The Plum in the Golden Vase is Ximen Qing, a leading character in Chapters 23 and 24 of Outlaws of the Marsh, and the story is based on the rise and fall of the Ximen household. Comparing this novel with Romance of the Western Bower, Zhang Zhupo, a literary critic of the Qing Dynasty, concluded that the esthetic styles of the two were very different. While Romance of the Western Bower is a noble and elegant work, The Plum in the Golden Vase is story written in the common language of ordinary folks.

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In A Brief History of Chinese Novels, Lu Xun commented on The Plum in the Golden Vase, saying that the novel was about “human nature” and “human relationships.” In his opinion, the author of the book was so knowledgeable about the nature of society and so expressive in his writing that whatever he described, the meaning was clear: “The author’s language in the book was either sharply explicative for revealing, or humorously implicative for satirizing, or both harsh and connotative simultaneously to make contrast. Various techniques were woven wisely and capriciously throughout the whole book. In a word, the writer’s outstanding skill was indeed unsurpassable among his contemporaries.” An expert on the Chinese literatary history, Zheng Zhenduo, also spoke highly of The Plum in the Golden Vase from the same perspective. He comments in The History of the Chinese Literature with Illustrations that The Plum in the Golden Vase is an astonishingly realistic fiction based on social life: “Instead of being a legend, this novel is a completely realistic work in the true sense of the age. Different from fiction like Journey to the West, Outlaws of the Marsh and The Investiture of the Gods, the novel has no description of fights between gods and monsters, neither is it about heroes’ adventures, nor tales of warriors’ family backgrounds. It simply tells stories of people’s daily life in society. If there are still some traces of legendary tales in the stories from the Song and Yuan dynasties, then the author of this novel actually gets rid of them all. The Plum in the Golden Vase gives a true picture of human nature, without any exaggeration and overstatement.” He also said: “The merit of The Plum in the Golden Vase lies especially in its terse and vivid description of the complicated and vulgar human relationships at that time and the psychology of the common people. However, it is a pity that the author is somewhat restricted by the times, and he focuses on the pornographic scenes and the abnormal psychology, which inevitably spoils the great work. Except for the overstated depiction of sexual intercourse, the novel should be counted as a great literary work.” As “a novel about human nature” and “literature of the lowbrow people,” The Plum in the Golden Vase has some conspicuous features of its own. First, different from Outlaws of the Marsh and the Romance of Three Kingdoms, which tell the stories of more than one family or other than common people’s everyday life, The Plum in the Golden Vase spotlights a single household, telling of its daily activities in great

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detail. However, this household is not described as an isolated one, but as a representative household against a complicated social background. Through dissecting various relationships in the family, the author succeeds in disclosing the dark and dirty side of society. Second, the novel mirrors a wide range of social life even though the story focuses only on Ximen Qing’s household. It gives a vivid portrayal of ordinary people in various walks of life, such as adulterers and adulteresses, corrupt officials and vicious servants, the hirelings and prostitutes, Buddhist nuns and Taoist priests and so on, giving a colorful exhibition of worldly social life and customs. Third, unlike such charming and elegant works as Romance of the Western Bower, which focuses on the beauty in life and is thereby attractively poetic, The Plum in the Golden Vase shows the ugly and the morbid, so it lacks romantic charm. Different still from Outlaws of the Marsh and The Romance of the Three Kingdoms, whose leading characters are heroes, chivalrous persons, talented ministers and famous generals, the characters in The Plum in the Golden Vase, on the contrary, are vicious and mean. It is through the descriptions of the vulgar and means life reflected by these vicious characters that the book discloses the evil side of human nature, the corruption, chaos and darkness of society. The above features of The Plum in the Golden Vase mirror the esthetic trend of humanism and realism in the late Ming Dynasty. It marked the shift in Chinese fiction from classical to modern.

Straightforward Depicting to Reveal the Essence and Blunt Delineating to Vitalize the Characters The Plum in the Golden Vase gained a reputation for its portrayal of a variety of people and their unique characteristics. In The Postscript of The Plum in the Golden Vase, Xie Zhaozhe, a literary critic of the Ming Dynasty, remarked: “In a panorama, the book vivified all sorts of persons: the beautiful, the ugly, the old, the young, the human beings, the ghosts, whatever and whoever. All the persons were portrayed subtly and vividly, not only in appearance but also in spirit. . . The book was indeed a superior literary work by a perfect master of the language.” Another critic, Liu Tingji of the Qing Dynasty, comments in his Zaiyuan Miscellaneous Essays: “no literary work could beat The Plum in the Golden Vase in anatomizing human nature and life affairs in the world.

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The book is indeed unsurpassable, a literary wonder. . . ,” and “The image of each character is so distinctively coherent all through the book that a few words would clearly reveal to the reader who was being described.” The successful portrayal of individual characters in The Plum in the Golden Vase had a great influence on the grand literary work of A Dream of Red Mansions.

“Three Collections of Words” and “Two Collections of Amazing Tales” In the Song and Yuan dynasties, vernacular fiction was paralleled with historical stories as an independent category in the art of story-telling. Vernacular fiction focused on some short popular stories and gradually became scripts for folk tales which developed in the Ming and Qing dynasties. Eventually, the folk tales evolved into books written by men of letters, who imitated the format of the folk tales. Such books saw an upsurge in the late Ming Dynasty. Feng Menglong inherited the tradition of the vernacular fictions of the Song and Yuan dynasties, and compiled and published three collections of fiction, namely, Words to Enlighten the World, Words to Warn the World, and Words to Awaken the World, which were commonly known as “San-Yan” (Three Collections of Words). They included a hundred and twenty story books written in the Song and Yuan dynasties, a full representation of the popular short stories.

Feng Menglong Feng Menglong (1574–?1646) was born in Changzhou (the present Suzhou in Jiangsu Province). During the period of Emperor Chongzhen, he worked as a magistrate in Shouning County and took part in the movement against the Qing invasion. As an outstanding vernacular writer of popular literature, he revised some long novels such as Ping Yao Zhuan (The Sorcerers’ Revolt) and A New History of the States, compiled collections of short stories such as the “Three Collections of Words,” and printed and published collections of folk songs such as Gua Zhi’er and Mountain Songs. He also collected and compiled a collection of sanqu (opera music tunes drawn from folk music) A New Tune of Taixia, and carved ten versions of The Definitive Edition of Mohanqi’s Studio Legend. Feng Menglong wrote two legends, Legend of Two Heroes and

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Contentment for Everything, and edited and printed such books as The Hall of Laughter and Talks on the Ancient and the Present. In a word, Feng Menglong devoted all his life to the prosperity of Chinese popular literature through his compilation, revision, edition, research and publication. He made great contributions to the development of popular literature in the late Ming Dynasty.

“Three Collections of Words” The subject matter of the stories in the “Three Collections of Words” is different yet similar in that they all portray life in the Song and Yuan dynasties, with their thriving economy and urban prosperity. They illustrate the values of a newly emerged class of urban residents. This is more obviously seen in the works with love, marriage or the so-called “sudden gaining of fame and fortune” as the subject matter. For example, the marriage described in “Jiang Xingge Re-encountered His Pearl Shirt” broke the bonds of traditional attitudes towards chastity, exhibiting more complicated attributes of human beings; “Shi Runze Makes True Friends in Difficulty” depicts the humble handicraftsmen’s search for fame and fortune. Other works like “Magistrate Teng Settles the Case of Inheritance with Ghostly Cleverness,” “Prefect Qiao Made a Mismatch,” and “Du Shiniang Sinks the Jewel Box in Anger,” reflect the colorful life-style of townspeople from different aspects and angles. However, as its time span was huge and the stories were written by different writers, the “Three Collections of Words” are inevitably heterogeneous in theme and in quality.

“Two Collections of Amazing Tales” Ling Mengchu (1580–1644) was born in Wucheng (the present Wuxing) in Zhejiang Province. Deeply influenced by Feng Menglong, Ling Mengchu compiled two volumes of novels called “Two Collections of Amazing Tales”—Amazing Tales Volume I and Amazing Tales Volume II. Different from “Three Collections of Words,” “Two Collections of Amazing Tales” were all written by Ling Mengchu himself. Consequently, they were more consistent and coherent in both ideological tendency and artistic style. For example, “A Lucky Man Makes a Fortune Out of ‘Dongtinghong’ Oranges” and “Cheng’s Salvation by the Goddess of the Sea” describe the risks taken and pioneering spirit of the businessmen in conducting overseas trades for profits. Such stories

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well represent the features of the age. Other works in the theme of romantic affairs, such as “The Elder Sister’s Soul Fulfilled her Ideals” and “The Younger Sister Succeeded the Elder One’s Former Love,” were preoccupied with love and affection, praising the freedom to pursue love and marriage among the young people, which also give a glimpse of the urban people’s focus on individualism during the late Ming Dynasty.

The Scholars Wu Jingzi, Author of the Scholars Wu Jingzi (1701–1754) was born into a powerful bureaucratic landlord family in Quanjiao, Anhui Province. In the history of this prestigious household, there were three Dingjia (the top three candidates in the highest imperial civil examinations) and six cabinet ministers within four generations. But in his father’s generation, the family began to decline. As for Wu Jingzi himself, he regarded the Eight-part Essays (baguwen) required in the imperial civil examination as utterly worthless and refused to sit for the examinations. Therefore, he lived in extreme poverty in his later years, when he devoted himself wholeheartedly to the writing of The Scholars. The current version of The Scholars consists of fifty-six chapters, but according to Jin He’s epilogue, there were only fifty-five chapters in the original work and the fifty-sixth chapter was added later. Another version with sixty chapters appeared in the Tongzhi Period, and its last five chapters, assumedly, were added by later writers.

A Milestone for Satiric Literature The highlight of The Scholars is its sharp satiric rhetoric in revealing and ridiculing the decadence of the literati as a result of the civil examination system and the cannibalistic feudal ethics in the Ming and Qing dynasties. In this style, the author draws a true-to-life picture to mirror the ugly souls of pedantic scholars like the xiucai (the successful candidates in the imperial civil examination at the county level), the gongsheng (scholars of different levels recommended by local government for further studies at the national capital), the juren (successful candidates in the imperial examinations at the provincial level), and the hanlin (members of the Imperial Academy), literary pretenders to

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The Scholars Printed in the Qing Dynasty

culture and refinement, the Eight-part essays examination designers, salt merchants in Yangzhou and officials and squires. The most impressively described characters are those of Zhou Jin, Fan Jin, County Magistrate Fan, Gongsheng Yan, Butcher Hu, Juren Wang, Squire Zhang, Niu Buyi, Kuang Chaoren and Huan Wuyong. The author put his personal experience and feelings into the writing of the work, imperturbably exposing the pedantic scholars under the feudal examination system, noble or mean, detached or helpless. Wu Cheng’en dissected and criticized scholastic conventions and the whole of society. “Fan Jin Succeeded in the Imperial Examinations at the Provincial Level” is a brilliant episode in the book. The author mercilessly exposes the weak and empty souls of the candidates. There are many depictions of the enslaved candidates, who, having failed to pass the examinations, had to turn to other underhand and tricky ways to obtain their official positions, thereby making themselves a laughingstock as they strove desperately in the conflicts between the ideal and the reality, and the internal soul and the external appearance. On the whole, Wu Jingzi expressed his strong disappointment in the class to which he himself belonged, even though some of the scholars were portrayed positively.

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A Dream of Red Mansions Cao Xueqin and His A Dream of Red Mansions The author of the full-length novel A Dream of Red Mansions was Cao Xueqin (?1715–1763). His family, though the Han Chinese in origin, were later accepted by the Manchu Right White Banner of the Qing army. His ancestral home was in Liaoyang, Liaoning Province (although it is also said that he was from Hepei Province, and later moved to North China). From the second year of the Kangxi Period to the sixth year of the Yongzheng Period, Cao Xueqin’s great-grandfather Cao Xi, his grandfather Cao Yin, his uncle Cao Yong and his father Cao Fu held in succession the post of Textile Commissioner in Jiangning for nearly sixty years. On one or two occasions, they also held concurrently the position of supervisor in the Suzhou Textile Commission and in the Salt Commission, taking charge of both sides of the Huaihe River. Cao Xi and Cao Yin both enjoyed Emperor Yongzheng’s favor. The Jiangning Textile Commissioners then specialized in purchasing clothes, adornments and articles of daily use for the royal family and worked as the emperor’s informants. During four of his six tours of inspection to the South, Emperor Kangxi was accompanied by Cao Yan and stayed at the Cao household. Not surprisingly, the Cao at that time were a splendid noble house. After Emperor Yongzheng ascended to the throne, however, the Caos were severely attacked and their fortunes declined. Cao Fu was removed from his office and thrown into jail. Worse still, his family property was confiscated. When Cao Xueqin was thirteen, his family moved from Jinling to Beijing, where they lived in extreme poverty. Cao Xueqin’s close friends, Dun Min and Dun Cheng, once wrote in the poems dedicated to him: You sigh wildly in a market for your encounter, And keep in memory the prosperity and splendor in Qinhuai. With wild weeds along the path in your garden, You live on conjee all the time and borrow money for your wine.

This was a precise depiction of Cao Xueqin’s wretched existence in his later years. It was in such circumstances of dire poverty that Cao Xueqin completed his masterpiece, A Dream of Red Mansions. Cao Xueqin finished the first eighty chapters of A Dream of Red Mansions before his death, either in manuscripts or in handwritten

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copies which were widely circulated. Many of these copies had commentaries by Zhiyan Zhai or others attached to them and were, therefore, called the “Zhi Version.” Many of the extant copies belong to this version. Cao Xueqin also wrote part of the latter chapters, but these were unfortunately lost before copies were made. In the fifty-sixth year of the Qianlong Period (1791), Cheng Weiyuan and Kao E made a radical revision to the first eighty chapters, deleted the comments on them, combined them with the other forty chapters collected from various copies and eventually made them into a complete work of a hundred and twenty chapters. The version with a hundred and twenty chapters was in two editions—The one printed in movable wooden type was published in the fifty-sixth year of the Qianlong Period (1791), and is known as the “first Cheng edition.” The other was also printed in movable wooden type and was published in the fifty-seventh year of the Qianlong Period (1792); it is known as the “second Cheng edition,” and has more modifications to the original book. Some time later, an integrated new version emerged which adopted the eighty chapters from the original eighty chapter version (the one without the modification by Cheng Weiyuan and Kao E) and the final forty chapters from the hundred and twenty chapter version by Cheng Weiyuan and Kao E. There has been no verdict as to the identity of the writer of the last forty chapters in the version edited by Cheng Weiyuan and Kao E. Some deduced that it was Kao E himself, on the basis of a poem to Kao E by Zhang Wentao, Kao’s former schoolmate, which mentions in a footnote “the forty chapters succeeding the former eighty ones in A Dream of Red Mansions were all written by Lanshu (Kao E’s given name).” (The Sixteenth Volume of Poems by Chuanshan) However, in the preface and foreword to the book, Cheng Weiyuan and Kao E claimed that they had been working hard seeking and collecting various copies of the original version and its sequels to compile the final edition with a hundred and twenty chapters. This implies that Kao E was not the writer of the last forty chapters.

Penetrating Disclosure of the Corruption of the Feudal Nobility System A Dream of Red Mansions reflects in a realistic way the social reality and the relationships among the people in the early Qing Dynasty, with unprecedented breadth and depth. The novel discloses the corruption

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of the nobility system and unfolds before the readers’ eyes a wide perspective of social life in the Qing Dynasty through a vivid depiction of various economic, political and familial relationships inside and outside the Jia Mansion. The numerous characters are described in great detail and depth, which was, in this respect, truly unprecedented in the history of Chinese novels. In Chapter 53, for instance, Wu Zhuangtou called at the Jia Mansion to pay the rent at the end of a lean year. He brought with him 1,000 dans of rice; 16,500 kilograms of charcoal, 100 kilograms of dried shrimp, 20 pairs of bears’ paws, 50 deer tongues and ox tongues, 25 kilograms of sea cucumber, 1,200 chickens, ducks and geese, 200 pigs of various kinds; 160 sheep of various kinds. . . plus the money made by selling jowar shells and cattle, all together 2,500 tael. Wu Zhuangtou wept and kowtowed pitifully while complaining about the wretched harvest. However, frowning, Jia Zhen was greatly annoyed and scolded, “I counted on your bringing at least 5,000 tael, what use is this paltry sum? In all, we’ve only eight or nine manors left now, already two of which claim to have suffered from flood or drought. How are we to get through this New Year I’d like to know? And now you default like this.” And, “In recent years they’ve had so many unavoidable extra expenses, without acquiring any additional income or property, that in the last year or two they’ve made great inroads into their capital. And whom can they ask for money if not you?”

This paragraph gives a true depiction of the economic relationship between the feudal nobility and their tenants. Another example is Xue Pan, a “noble merchant” and a relative of the Jia family. Manslaughter seemed of little import to him, as he said, “It’s no big deal, won’t it cost but a little money!” Still another example is Jia Yucun, a greedy, mean person, who cruelly made Si Daitsi and his family broke up only to bear away their twelve fans in order to please the noble families. It was the same with Wang Xifeng, who broke up Zhang Jingge’s marriage and secretly caused the death of two people just to get the three thousand tael reward. Descriptions like these in the novel reveal the corruption in society, and the bloody crimes and tragedies underlying the superficially decent and scholarly noble families.

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The Ruin of “Affectionate World” At the beginning of A Dream of Red Mansions, Cao Xueqin pointed out that the novel intended to focus on affection, and that it was his esthetic ideal to give justification to the value of affection and the freedom to pursue love. He longed for a world of affection and a world of springtime, which was, however, nowhere to be found in reality. Consequently, he created the Grand View Garden in his novel as an idyllic world for pure virgins. In this garden, it was always springtime and there were many eulogies to youth and affection, as well as to the value of happiness for every maiden. The Grand View Garden was a beam of sunshine in the society of that time. However, the Grand View Garden, as an unearthly world, was surrounded, continuously attacked and ravaged by the wicked. The Grand View Garden, as a world of

Illustration of A Dream of Red Mansions Printed in the Qing Dynasty

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springtime, was wrapped inside a layer of “tragic mist” from the very beginning and withered like dying flowers in a chilly autumn. As Daiyu, the heroine, said: “Each year for three hundred and sixty days, the cutting wind blows and the biting frost contends.” This was not only a description of her miserable personal life and fate, but also a summary of the life and fate of all affectionate people and the world of affection as a whole. At that time, affection was regarded as a kind of sin by society. Simply because of love and affection, Baoyu, the hero of the story and Daiyu’s lover, was almost beaten to death by his father, Jia Zheng, and the girls in the Grand View Garden were driven to despair one by one: Jinchai drowned herself in a well; Qingwen was persecuted to death; Siqi struck her head against a wall; Fangguan ran away to become a nun, and Daiyu died when she exhausted all her tears. “The cold moon buries the spirit of flowers” (a line of poetry written by Daiyu) summarized the tragedy. The ruin of the world of affection was symbolic of the tragic end of Cao Xueqin’s esthetic ideal of a democratic and humanistic society at the last phase of the feudal society. A Dream of Red Mansions was a great success in many artistic aspects. Its major achievement was its dazzling array of some typical characters, such as Baoyu, Daiyu, Baochai, Xiangyun, Tanchun, Qingwen, Xiren, Ping’er, Yuanyang, Wang Xifeng, the Lady Dowager, Lady Jia, Jia She, Jia Zheng, Jia Zhen, Jia Lian, Jia Yuchun, Yu Erjie Yu Sanjie, Granny Liu and Jiao Da. In the novel, Cao Xueqin put great emphasis on the psychology of these characters and gave a vivid presentation of their actions and the manner of speaking, greatly extending the realm of character portrayal and depiction. With his versatile learning and profound literary knowledge, Cao Xueqin unfolded before his readers a panorama of social life in A Dream of Red Mansions, covering almost every aspect of China’s long traditional culture: the study of Confucian classics, history, philosophies of ancient scholars, prose, couplets, poems and odes, poetic songs, colloquialisms, dramas, brushworks, calligraphy, Eight-part essays, distich, poetic riddles, drinkers betting games, Buddhism, Taoism, astronomy, medicine and divination, etiquettes, rituals, food and drink, costumes and numerous traditions and customs. All these were given an exquisite, precise and detailed description, showing the author’s superb artistry and thorough understanding of the complicated social life. It is often said that A Dream of Red Mansions is an encyclopedia of Chinese

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tradition and culture, an intensive reading of which can greatly enhance our insight into the splendor of traditional Chinese culture.

Strange Tales from a Chinese Studio and Random Jottings at the Cottage of Close Scrutiny In the early Qing Dynasty, vernacular novels underwent another development. Meanwhile, the classical novels were resurrected, following their long decline. Pu Songling’s Strange Tales from a Chinese Studio took the lead in the rejuvenation.

Pu Songling and His Strange Tales from a Chinese Studio Pu Songling (1640–1715) was from Zhichuan (the present Zibo) in Shandong Province. He had been teaching most of his life and did not succeed in becoming a gongsheng (a scholar recommended by the local government for further studies at the national capital) until he was seventy-one years old. His works, apart from novels and folk songs, included collections of essays, collections of poems, collections of Ci-poems and other literary works such as Quotations for Introspection, Penalty Laws, Colloquial Characters, and Farming and Sericulture Scripture. His important position in the history of Chinese literature is due to his Strange Tales from a Chinese Studio, a collection of short stories in classical Chinese. It contains nearly five hundred stories covering a wide range of subjects, in which all kinds of social problems and life philosophies are reflected in different degrees. Its makes its most obvious point in the descriptions of the evil practices of the imperial examination system and its influence on society, especially its influence on the scholars, In Strange Tales from a Chinese Studio, many stories disclose the dark and corrupt official politics and people’s miserable sufferings under the autocratic government. Such stories include “Cheng’s Fighting Cricket,” “Rouge,” “Dream of Wolves,” “Shi Qingxu,” “Mrs Dou,” to cite only a few. What deserves special mention is that the author spoke highly of the oppressed people’s revolt in his works such as “Tale of Xi Fangping” and “Tale of Xiang Gao.” All in all, the most attractive parts of the book are the love stories, such as “Lian Cheng,” “Precious, Xiang Yu,” “Ying Ning,” and “Fox-girl Qing Feng.” The author delicately

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Illustrations of the Strange Tales from a Chinese Studio Printed in the Qing Dynasty

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molds the many sincere and honest male characters, whose sentimental attachment and devotion to love are very moving; and those young women transformed from the flower and fox spirits—smart, kind, beautiful and passionate, showing an obvious tint of idealism. While telling stories about spirits and ghosts, Pu Songling’s short stories were permeated with a strong fragrance of poetic sentiment.

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畫 CHAPTER THIRTY TWO

Chinese Ink-wash Painting The Ink-wash Painting of the Tang Dynasty and the Five Dynasties

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Free-style calligraphy of“畫”(hua) means “painting” in Chinese

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Traditional Chinese painting has a long standing history with its unique artistic characteristics, and is in a distinctive school of its own in the fine art of the world. Within a variety of categories, the ink monochrome painting, known as ink-wash painting, stands out as the most representative of Chinese paintings, with its main subject matter of landscapes, flowers and birds, and human figures. This chapter is a brief introduction to ink-wash painting since the Tang Dynasty.

The Ink-wash Painting of the Tang Dynasty and the Five Dynasties The Beginning of Ink-Wash Painting Ink-wash painting was first introduced in the Tang Dynasty, when Zhang Zao and some other painters began to paint in watered ink instead of other bright pigment colors. Brush and ink have long been regarded as the cardinal element in Chinese painting and, in combination, the two terms are used to mean the basic techniques in traditional Chinese paintings. However, brush and ink each has its specific connotations. The former refers to the manipulation of the brush in “gou” (delineating the outlines), “le” (sketching the contour), “cun” (drawing the shades and texture of rocks and mountains, by light ink strokes) and “dian” (stippling or dotting), all entailing light, heavy, slow and fast brushhandling techniques. The latter refers to the methods in using ink of different intensities such as thick, light, dry or moist to achieve different artistic effects by “hong” (“making contrast,” shading around an object in a painting to make it stand out), “ran” (coloring, applying watered ink to dye the painting), “po” (broken-ink, using different layers of thick and light ink to provide contrast), and “zi” (accumulating or soaking the ink on the xuan paper). Chinese traditional paintings prior to the Tang Dynasty used to be drawn by sketching the outlines before applying colors. This sketching-before-colouring procedure was similar to that of Western painting styles. In such a painting process, the figure was stressed instead of the brushwork. The shift of emphasis from figure-oriented to brushwork-oriented came in the Tang Dynasty, when painters like Wang Wei and Zhang Zao made an innovation to the traditional painting mode by painting directly with watered ink, and the effect of ink was highlighted. Jing Hao, a famous painter of the Tang

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Dynasty and the Five Dynasties, pointed out in Notes on Brushwork that applying various colors to the paintings according to their corresponding forms had been a common practice since ancient times, but the ink-wash painting took hold only in the Tang Dynasty. To explain this development, when watered ink took the place of the prominent colors of blue and green, we need to look at two aspects. On the one hand, many previous Chinese painters were strongly influenced by the Taoist idea that ink could be taken for colors. Zhang Yanyuan, an art critic of the Tang Dynasty, expressed this viewpoint clearly in A History of Famous Paintings: “Anything in nature created by the opposite forces of yin and yang could be depicted with the mysterious charm of ink and the painter’s exquisite skills. Vegetation may display its lushness without using green pigments; clouds and snow may swirl and float aloft without using white color; mountains may show vivid verdure without blues and greens; and a phoenix may look flamboyant without luxuriant dyes. For this reason, a painter may use ink alone and yet all the five colors may seem present in his painting. If one’s mind dwells only on colors, then the images of things might lose their essential charm.”

Zhang’s idea could be traced to the Taoist ideology represented by Laozi and Zhuangzi, which valued black rather than bright colors. Obviously, the Chinese ink-wash painting had a lot to do with this concept. On the other hand, Chinese painters believed that only by “ink” could the “brush” be visualized directly. The importance of brushwork had long been realized by Chinese painters. “The brushwork of firm strokes” was ranked second in the Six Essentials of Painting by Xie He in the Southern Dynasty. However, in the painting convention prior to the Tang Dynasty, sketching and brushwork had been listed as two separate steps, when painting was done by sketching the outline first and then applying tint to fill in the lines. The dyeing procedure could hardly reveal the techniques of brushwork. By contrast, ink-wash painting combined the brush and the ink into an organic whole. As a result, the variations of light, heavy, slow and fast brushwork could all be properly reflected through varied ink shades of thickness, lightness, dryness and wetness. While taking watered ink as color, painters could demonstrate their features by using a brush at the same time. This might be the decisive

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factor leading to the shifting of emphasis from color to ink in Chinese paintings. Nevertheless, pigment was not completely abandoned for those who adopted watered ink in painting. Painters might as well use colors if they believed that the color could produce better artistic effects than ink. The Qing Dynasty painter Wang Xuehao wrote in his Comment on Paintings: “Colors should be used only when they could remedy the imperfection of brushwork and make the merits of brushwork stand out. If the color is added for its own sake while contributing little to the effect of brushwork, it means nothing more than a mere smear on the picture.”

Zhang Zao, Zheng Qian and Wang Mo According to Dong Qichang, a painter of the Ming Dynasty, Wang Wei (701–761) was the first to paint in ink-wash in the Tang Dynasty. According to historical records, Wang Wei’s landscape paintings were of two types: one resembled the style of Li Sixun (651–718), a great painter of the Tang Dynasty, whose landscape paintings were known for the brightness of “blue waters and green mountains;” the other was called “broken-ink landscape” (the application of watered ink with different shades to make contrast). The renowned picture of The Wang-chuan Villa probably belonged to this style. It was said that in this picture the valley was chilly green and twisting, the clouds were floating and the water splashing, conveying a meaningful mood beyond the dusty world” (Famous Paintings of the Tang Dynasty by Zhu Jingxuan). The pity is that the original painting was damaged long ago and all the extant paintings are but reproductions, painted by others under Wang Wei’s name. In fact, the first painter to use watered ink to over-color his paintings was Zhang Zao (in the Jianzhong and Zhenyuan periods, dates unknown), who was proficient at painting mountains, waters, pines and rocks. He was the forerunner of ink-wash painting. Unfortunately, Zhang Zao’s work, The Artistic Mood of Paintings, has not survived. Nevertheless, his dictum of “externally, learn from nature; internally, gain from the source of feeling” was appreciated as the epitome in the esthetics of traditional Chinese paintings. The other Tang Dynasty painters noted for their ink-wash paintings were Zheng Qian and Wang Mo. Zheng Qian (685–764) was a versatile poet and calligrapher, as well as a painter. The Tang emperor Xuanzong once inscribed “A Tri-Superb Master” on Zheng Qian’s painting of

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The Sight of Cangzhou City, which brought him considerable fame and honor. Wang Mo (734–805) was a student of Zheng Qian and Xiang Rong. According to Jing Hao, Wang Mo was unique in using watered ink. Following the footsteps of Zheng and Xiang, he also became renowned for painting with “splashing-ink.” The ink-wash technique created by Zhang Zao and Wang Mo became increasingly influential in the later Tang Dynasty and the Five Dynasties, and gradually became the norm in Chinese painting.

Jing Hao and Guan Tong Jing Hao (dates unknown) and Guan Tong (dates unknown) were famous inkwash landscapists of the Five Dynasties. With Guan following Jing, the two artists are known by the joint name Jing–Guan in the history of Chinese painting. Jing Hao’s masterpiece, The Lushan Mountain, was a panoramic ink-wash landscape, which marked a new stage in ink-wash landscape paintings. Guan Tong’s masterpieces included Waiting to Ferry a Mountain Stream and Traveling in the Guan Mountain, both grand and imposing in style. Notes on Brushwork is an important theoretical book on Chinese painting, in which Jing Hao put forward six essentials: “qi (momentum), yun (mood), si (thought), jing (scene), bi (brush) and mo (ink).” This theory was a further development of Xie He’s “six rules,” where “ink” had been left ignored. This revealed that ink-wash painting was already included in the painting lexicon.

Dong Yuan and Juran Dong Yuan (?–962), a native of Zhongling (in the present northwest of Jinxian County, Jiangxi Province), worked as an administrative official in the Southern Tang Dynasty. Dong Yuan’s landscape paintings assimilated the merits of the blue and green color paintings and inkwash paintings of the Tang Dynasty, highlighting the expressive power of watered ink. He excelled in depicting a subject by round dots and “hemp-fiber” ink-lines, which seemed to be painted at random but were actually very subtly arranged. In addition to these dots and lines, he used the techniques of dry-brush and broken-ink naturally without any trait of artificial polish, to bring out a sense of boundlessness and tranquillity. Such lines and dots brought to life the scenery in the misty

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Part of The Summer Sight of a Mountain Pass and The River and Ferry by Dong Yuan (The Five Dynasties)

weather common in the south of the Yangtze River. In Mi Fu’s words, his work was “placid and naive.” Dong Yuan’s famous masterpieces handed down to the present included The Xiao and Xiang Rivers, Mountains in Summer, The Summer Sight of a Mountain Pass, The Sedan Chair Men and The River and Ferry. The Summer Sight of a Mountain Pass and The River and Ferry depicted the summer scenery in the south of the Yangtze River—the vast expanse of water, the smooth mountain tops, the verdant vegetation and the thickly-grown reeds, a few fishing boats dotted on the smooth water to create the right amount of dynamic effect to the serene and distant picture, producing a harmonious visual effect. Juran (dates unknown) was a monk-painter. He followed Dong Yuan especially in his brushwork techniques of ink-wash landscape paintings. The two painters shared the special feature of “a combination of light ink and soft brushwork,” so they are known jointly as Dong–Ju in history. After the fall of the Southern Tang Dynasty, Juran went to Bianliang (the present Kaifeng City). There, he produced many ink-wash landscape paintings, but only a few were handed down to the present. The famous ones include Dense Forests and Layered Peaks, The Mountain, Stream and Temple, and Seeking Tao in the Autumn Mountains. Mi Fu once said, “Juran’s paintings are peaceful and verdant, extremely refreshing.” Different from Dong Yuan’s moist and misty style, Juran’s refreshing genre revealed the other features of mountains and rivers in the south of the Yangtze River. For example, in Seeking Tao in the Autumn Mountains, Juran used long lines in light ink to depict the mountains, short lines to depict trees, thick-ink and broken-ink to dot the moss.

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Seeking Tao in the Autumn Mountains by Juran (The Five Dynasties)

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The complementary brushwork and ink techniques gave proper space to the subject matter. Mild as the strokes were, the paintings had a special appeal with their tranquil atmosphere. The artistic works by Dong Yuan and Juran exercised a great influence on later landscape painters, who held Dong Yuan and Juran in the highest esteem.

The Ink-wash Painting of the Song and Yuan Dynasties Li Cheng, Fan Kuan and Guo Xi Li Cheng (?919–967), who was greatly influenced by Jing Hao and Guan Tong, was a brilliant painter of scenes mostly set in the north—snowy landscapes and autumn woods. His paintings were impressive with their “bleak ambience and murky woods.” Unfortunately, hardly any of Li’s original paintings have been preserved. The only extant paintings ascribed to him were On Reading the Tablet Inscription, A Chilly Wood and A Traveler Tramping in Snowy Mountains. Fan Kuan (?–?1026) equaled Li Cheng in reputation and shared with him the joint title, Li and Fan. His paintings emphasized the firm brushwork and thick ink strokes. Mi Fu commented that Fan was “inclined to paint serried woods on mountain tops and towering rocks at watersides.” A Traveler Tramping in Snowy Mountains was Fan Kuan’s masterpiece, which portrays a rocky mountain peak with a waterfall cascading down. Fan Kuan utilized abundant bean-shaped and raindrop-shaped strokes to depict the profound magnitude and solidity of the crags, generating an overall sense of vigor and vastness as well as refinement in every detail. Guo Xi (1023–1085), a great landscapist of the Northern Song Dynasty, was credited as “having no match in his time.” His representative masterpieces were The Early Spring, A Hidden Valley and Rocks in the Distance. Guo Xi and his son, Guo Si, collaborated on a book Lofty Ambition of Forests and Streams an important theoretical work on landscape paintings in the history of Chinese paintings. In this book, Guo Xi proposed a theory of “three perspectives to view a mountain— from underneath in the distance, from above in the distance and from the horizon in the distance” in landscape paintings, which had a great impact on subsequent landscape artists.

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A Traveler Tramping in Snowy Mountains by Fan Kuan (Song Dynasty)

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The Early Spring by Guo Xi (Northern Song Dynasty)

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Traditionally, Chinese painters took mountains and rivers as their favorite subject matter, for such natural views could very well be used to harbor their souls. They longed to transcend the finite physical existence and pursue a spiritual infinity and eternity by creating an artistic concept of “distance” in landscape paintings. “Distance” here meant a breakthrough to a boundless immensity. Most Chinese paintings were delineated in different layers from the foreground to the background. In the foreground, there were thatched cottages, trees, a delicate bridge, a flowing stream and houses. Farther away, were water and fishermen, beyond them, meandering mountains and woods, and in the farthest distance was a trace of a shadowy hill partially hidden in the mist, which gradually vanished into the remote horizon.

Wen Tong and Su Shi Wen Tong (1018–1079) was a native of Yongtai, Xinzhou County (the present northeast Yanting County, Sichuan Province). Famed for painting bamboo with ink, he admired bamboo so much as to reach a state of “bamboo in me and I myself in bamboo.” So he could be surrounded by bamboo day and night and built his bungalow in a bamboo grove. He praised the characteristics of bamboo, saying: “In favorable conditions, it lives exuberantly without becoming conceited; in adversity, it grows slender but never looks humble; with numerous companions, it doesn’t lean on others for support; standing alone it shows no look of fear.” This was, in fact, a description of Wen Tong’s own personality. Because of this, later literati and gentlemen-scholars followed suit and turned to bamboo to express their strength of character. Thereafter, bamboo became the main motif for the literati ink-wash painters. Wen Tong’s painting “InkBamboo” was regarded as a precious masterpiece by later generations—an outstretched bamboo branch was painted slantwise on a silk sheet; the branch arched down before bending up in a curve. A vitality permeated the whole picture, touching viewers with its grace and naturalness. The bamboo leaves were painted in two different ink shades, with thick-ink for the leaf face and light-ink for the back. The proportion was perfect for the effect, with leaves dense but not tangled. Su Shi (1036–1101) enjoyed trying his hand at painting as a diversion over a cup of tea or over a glass of wine after composing poems and calligraphy works. He was good at painting withered trees, bamboo and rocks, aiming at their symbolic images rather than pursuing

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Ink-Bamboo by Wen Tong (Song Dynasty)

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The Withered Tree and Grotesque Rock by Su Shi (Northern Song Dynasty)

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likeness. The only surviving painting by Su Shi is The Withered Tree and Grotesque Rock, which portrayed a rock and a tree, with bamboo and some grass. The rock was shaped like a creeping snail and the old tree looked vigorous, though crooked. The bamboo stems managed to stand straight against the wind, although the grass was flattened. Besides ink-bamboo, other two favorite motifs of the Song painters were ink-plum and ink-orchid. Yang Wujiu (1097–1169), for example, was notable for painting plums, Zhao Mengjian (1199–?1267) and Zheng Sixiao (style-named Suonan) (1241–1318) was famous for painting orchids.

Mi Fu and Mi Youren In the Song Dynasty, great developments were made in ink-wash landscape paintings, especially in the Mi Landscape School, represented by Mi Fu and his son Mi Youren. The techniques of splash-ink, brokenink and accumulating-ink methods applied by these artists considerably enriched ink-wash coloring. These techniques occupied an important position in the development of the ink-wash landscape painting. The original landscape paintings of Mi Fu (1051–1107) were lost long ago; a glimpse of his style can only be found from the works by his eldest son, Mi Youren (1086–1165). He was referred to as Junior Mi. He inherited and developed Mi Fu’s painting method of freehand brushwork and produced a number of unique art treasures. His extant masterpieces include A Miniature Scene of Clouds and Mountains, The Marvellous Spectacle of Xiaoxiang, White Clouds in Xiaoxiang and Clouds and Mountains in Harmony. The Marvelous Spectacle of Xiaoxiang was an ink-wash landscape painted on a sheet of paper 289.5 centimeters in length. The meandering mountains were screened intermittently by thick clouds or thin mist. The upper part of the trees was painted with thick ink and the lower part with light ink; the trees drawn had branches but no twigs. With everything floating in a hazy mist, the whole picture looked filmy and milky. This was the exact rendering of the unique feature of mountains and waters in the south of the Yangtze River. Mi Youren’s inscription on the picture was: “This painting portrays the spectacular and varied views of mountains and rivers seen mostly at fair dawns and drizzling dusks, which people seldom perceive. All my life I have been grasping the rare spectacles of the Xiao and Xiang rivers. When I was appreciating the landscape, I felt its true sense of beauty, so I painted it on a long scroll to please the eyes.”

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Ma Yuan and Xia Gui Ma Yuan (1164–?) and Xia Gui (dates unclear) were representative painters of the Southern Song Imperial Art Academy. Their ink-wash paintings are both bold and vigorous. Comparatively speaking, Ma Yuan’s style was more solid, while Xia Gui’s was more delicate. The Ming painter, Wen Zhengming, stated, “Ma Yuan wins in profundity, as Xia Gui gains in subtlety.” Ma Yuan’s surviving masterpieces are Walking and Singing, Snow Scene, Facing the Moon, Pavilion in Moonlight and Angling on Chilly River. Walking and Singing portrayed four elderly farmers singing to one another by the field ridge and on the stream bridge. It was a combination of landscape painting and folk-custom painting. Ma Yuan also had a dozen paintings entitled Water that enjoyed a high reputation. This set of paintings depicted twelve water scenes with subtle nuances of different perspectives. Xia Gui’s extant masterpieces include A Clear Brook Mountain in Distance, The Gorgeous Homeland and The Willow and Yacht at the West Lake. A Clear Brook Mountain in Distance was a painting on a long scroll. When spread, the first thing in sight was the brook and the mountain enshrouded in a mysterious haze. The next thing in sight was a forest with hamlets dotted here and there. What came in sight then were a vast river surface where a few passenger-boats were moored and some hookers floating afar. Through the dense fog across the river, what was faintly visible was a town moat in the vicinity of lofty cliffs and peaks. Away from the mountains, the water and sky gradually merged into a combined background. At the foot of the mountain lay a long bridge on which two persons seemed to be chatting. The left end of the bridge led to a thatched cottage by the river, where a boat was pulled ashore, with some men unloading the cargo. At the other side of the mountain, there were small inns and thatched cottages with bamboo fences in the shade of trees. Away from the village were extensive ripples of waters, behind which were mighty mountains and dense greenery of woods-sprinkled chambers, pavilions and gardens. Running away from these mountains was a clear brook spanned by a wooden bridge, on which an elderly man with a walking stick was stumping along. A mountain village was located on the side of the brook and a donkey could be seen inside a wicker gate. There were towering age-old trees, thatched sheds and waterside pavilions in the village at the end of the scroll. This long scroll rendered a panoramic scene over several hundred li, tinged in a mood of tranquil solitude.

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Clear View of Streams and Mountains by Xia Gui (Southern Song Dynasty)

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The composition of Ma’s and Xia’s landscape paintings shared similar characteristics. They were thus respectively termed “One Corner Ma” and “Half Side Xia.” Ma Yuan’s landscape paintings were “either with mountains soaring straight into the sky to push the peak out of the scene, or with steep precipices dashing down only to leave the foot off the view; Some paintings showed the nearby mountains thrusting up while the distant ones were only vaguely visible; others depicted a lonely boat afloat, holding a forlorn soul appreciating the moon.” Such composition gave their paintings an exceptionally free range.

Liang Kai Liang Kai (dates unknown) was a figure painter of the Southern Song Imperial Art Academy. Unrestrained by nature, he won himself the nickname “Crazy Liang.” In his early years, Liang had studied Li Gonglin’s thin brush-line painting, but shifted to ink-wash freehand brushwork in his middle age. His famous painting of An Immortal in splash-ink was with peculiar charm emerged on the paper with only a few strokes. This special style of splash-ink figure painting was an invention by Liang Kai.

Zhao Mengfu Zhao Mengfu (1254–1312) lived in Wuxing (the present Huzhou, Zhejiang Province). A versatile talent in poetry, prose, calligraphy and painting, he excelled in drawing landscapes, birds and flowers, figures, bamboo and rocks, horses and the like, with the motifs expressed proficiently by finebrush, freehand brushwork, coloring and ink-wash. Most representative of his works are his ink-wash landscape paintings. In terms of painting skills, Zhao attached great importance to applying the calligraphy technique in painting practice. He initiated the technique of light-ink dry cun (drawing the shade and texture of rocks and mountains by light ink strokes) and hollow strokes to paint mountains and water on the halfraw xuan paper. Naturally, the technique was followed by a number of succeeding literati painters. Zhao Mengfu’s many masterpieces include A Village by the Water, which was most representative of his light-ink dry cun technique. His free and fine brushwork and his use of ink also contributed to the creation of a sublime and infinite mood. Dong Qichang commented that Zhao Mengfu’s landscape paintings: “Inherited the elegance of the Tang Dynasty while filtering away its frailty; possessing the Northern Song’s muscularity while discarding its toughness” (Essays from the Rongtai Studio).

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Guan Daosheng (1262–1319) , Zhao’s wife, usually addressed respectfully as Lady Wei, was a painter known for her rendition of bamboo. Her masterworks included Bamboo Grove Encircled by the Stream, The Ink-Bamboo and Bamboo and Rocks.

The Four Masters in the Yuan Dynasty The most famous ink-wash painters of the Yuan Dynasty were Huang Gongwang, Wang Meng, Ni Zan and Wu Zhen, known as the “Four Masters in the Yuan Dynasty.” The Four Masters were active in painting circles at approximately the same period and under the influence of Zhuangzi and Zen Buddhism. Their attitude towards life was likewise above worldly considerations, detached and aloof. Their outlook obviously influenced their painting style. Huang Gongwang (1269–1355) was born in Pingjiang in Changshu County (in the present Jiangsu Province) and was raised in Pingyang (in the present Zhejiang Province). He also called himself Yi Feng (A Mountain) and Dachi Taoist (A Great Idiot). Focusing mostly on Mount Yu and Mount Fuchun, Huang’s paintings emphasized the subtle changes of hills and woods in different seasons. As for the specific techniques, he used pithy strokes and brief wrinkling. His masterpiece was Dwelling in Mountain Fuchun. Wang Meng (1301–1385) had his home in Wuxing (the present Huzhou in Zhejiang Province). He was Zhao Mengfu’s grandson. His landscape paintings were mostly of mountains in South China, especially the moist emerald of the mountains and forests in the south of the Yangtze River. He was meticulous about brushwork, often applying light-ink before thick-ink, wet-ink before dry-texture strokes. His masterpiece, Dwelling in the Qingbian Mountains in Seclusion, was ranked as “the number one in the world” by the famous painter-calligrapher Dong Qichang of the Ming Dynasty. Of the Four Masters, Ni Zan (1301–1374) a native of Wuxi, Changzhou County, was admired most by succeeding literati painters. His wealthy family background ensured a carefree life in his youth; he did nothing but read and paint. Later, influenced by Zen Buddhism, he left home to live in seclusion beside mountains, woods and waters. Such experience was fairly typical of the ancient literati painters. Ni Zan painted landscapes with loose and succinct ink strokes, which very well expressed his inner sentiments. Take An Autumn Day in a Fishing Village, for example. It depicted a corner of the Taihu Lake with five withered trees on a hillock.

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Dwelling in Mountain Fuchun by Huang Gongwang (Yuan Dynasty)

Take an Autumn Day in a Fishing Village by Ni Zan (Yuan Dynasty)

Dwelling in Qingbian Mountains in Seclusion by Wang Meng (Yuan Dynasty)

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The brush-strokes were simple and the ink was light, creating a still and remote artistic world. Blank space often occupied half, sometimes even two thirds of Ni Zan’s paintings. Some of Ni’s paintings omitted the interim part and skipped directly from the foreground to the distance. Wu Zhen (1280–1354) came from Jiaxing, Zhejiang Province. Aside from writing poems, Wu Zhen was also adept at painting mountains, rivers, bamboo and rocks. His landscape paintings differed from those of Ni Zan and others in terms of painting techniques. Dry-ink strokes seldom appeared in his painting. Instead, he gave full play to watered ink, making good use of its saturated hue to offer an effect of overall murkiness. Later generations commented that his paintings were an “integral prototype of nature itself with complete mastery of all the five techniques in ink.” Wu Zhen’s painting style had a vital influence on the development of the landscape paintings of the Ming and Qing dynasties.

The Ink-wash Painting of the Ming and Qing Dynasties Dai Jin and Wu Wei In the early phase of the Ming Dynasty, the Zhejiang School landscape paintings were most prevalent. The Zhejiang School was a group of painters represented by Dai Jin from Hangzhou, Zhejiang Province. Dai Jin (1388–1462) was a Hangzhou native. His painting techniques were a holistic combination: he was skilful at landscape paintings, adept in flower-bird paintings and proficient in figure paintings. The main characteristics of his paintings were their vigor and elegance. Though spending his life in the Imperial Art Academy, Dai Jin exerted a significant impact on the academic circle. His masterpieces included Green Spring Mountains, Late Return from a Spring Outing and A Hermit Resting by a Stream. An eminent painter of the Zhejiang School was Wu Wei (1459– 1508) . His Ten Thousand Li Along the Yangtze River was a broad view of cloud-capped mountains with deep valleys, cottages in villages and sailing boats on the great Yangtze River. With the vast water and spacious sky, the brightness and the far-reaching scene have a charm beyond words.

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Green Spring Mountains by Dai Jin (Ming Dynasty)

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Ten Thousand Li Along the Yantze River (I) by Wu Wei (Ming Dynasty)

Ten Thousand Li Along the Yantze River (II) by Wu Wei (Ming Dynasty)

Ten Thousand Li Along the Yantze River (III) by Wu Wei (Ming Dynasty)

Ten Thousand Li Along the Yantze River (IV) by Wu Wei (Ming Dynasty)

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Shen Zhou and Wen Zhengming From the middle period of the Ming Dynasty, the Suzhou School of painters took the predominant position in the painting realm. The most renowned were Shen Zhou, Wen Zhengming, Tang Yin and Qiu Ying. “The Four Masters of the Suzhou School” inherited the painting tradition of the Yuan Dynasty and attached more importance to the overall expression of the brush-ink. Several factors contributed to the prominence of these painters. First, they gathered in the south of the Yangtze River, a region with a well-developed economy and culture. Second, they were all active in other academic fields in addition to painting, enjoying a big popularity in cultural circles as a whole. Third, they shared similar esthetic tastes with most of the literati at that time. Shen Zhou (1427–1509) was a native of Changzhou (the present Wuxing County in Jiangsu Province) and a founder of the Suzhou School of landscape paintings. Completely devoted to both calligraphy and painting, Shen Zhou never held an official position. He had made a thorough study of the painters of the Yuan Dynasty and the masters in the Northern Song Dynasty and the Five Dynasties. He had learned much from Dong Yuan, Ju Ran, Huang Gongwang, Wu Zhen and Wang Meng. Meanwhile, he experimented with what he had learned in an effort to develop his own style. The Lofty Lushan Mountain was a gift to his teacher for his seventyth birthday celebration, which was painted when Shen was forty-one. In this painting, the lofty Lushan Mountain represented his teacher’s morality and knowledge, and the evergreen Wulao Peak expressed his best wishes for his teacher’s longevity. Sitting at Night was painted when Shen Zhou was sixty-six years old. It depicted a night scene with several thatched cottages at the foot of a mountain, a dignified man sitting by the glow of a candle in the cottage. The four hundred words of the Thoughts at Night Sitting were inscribed in the upper part of the picture. With his philosophy of life and deep understanding of nature, Shen Zhou’s inscription transformed the painting into a profound prose poem. In his late years, Shen Zhou’s painting style turned more gallant, his brushwork more condensed. Another important painter of the Suzhou School was Wen Zhengming (1470–1559). He and three other artists, Zhu Zhishan, Tang Yin and Xu Zhenqing, were known as the “Four Bel-esprits of the Suzhou School.” In his early years, Wen Zhengming learned from Shen Zhou to form a refined and elegant style of his own. Rock and Lake

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The Lofty Lushan Mountain by Shen Zhou (Ming Dynasty)

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was one of his masterpieces, showing a watery region in the south of the Yangtze River. Wen’s painting style changed throughout his life, though the fresh and smooth nature permeated all his works. He enjoyed increasing popularity in his old age, when his house was often crowded with admirers seeking an original painting from him. During that period, Suzhou’s economy was booming, which attracted a number of wealthy merchants. As calligraphy and painting flourished, so too did counterfeit paintings. Shen Zhou was a good case in point. No sooner were his genuine works produced in the morning than the fakes appeared in the market in the afternoon. Within a few days, similar paintings could be seen everywhere. A man named Wang Lai was an expert in imitating Shen Zhou’s paintings exclusively. Another forger, Yuan Kongzhang, specialized in imitating Tang Yin’s paintings. Zhu Zhishan’s grandson Wu Yinglang also profited by imitating Zhu’s calligraphic works. Some painters, pressed by too many requests for their products, were obliged to make use of ghost-painters. For example, Wen Zhengming often employed Zhu Lang, his countryman, to ghost-paint landscapes for him, while Tang Yin often invited his teacher, Zhou Chen, to paint in his name.

Xu Wei Among the ink-wash paintings of the Ming Dynasty, there appeared a freehand brushwork characterized by vivid expression and bold outlines, clearly conveying the later Ming Dynasty painters’ pursuit emancipation of individuality. Xu Wei was an eminent representative of painters using freehand brushwork in flower–bird paintings. Xu Wei (1521–1593) was a native of Shanyin (the present Shaoxing), Zhejiang Province. He was truly versatile, being a painter, calligrapher, playwright and drama theorist all at the same time. His poems also had unique features. Xu Wei’s poem “Green Vine Sanctum” can still be seen in Shaoxing today. Xu Wei’s life was full of frustrations. Time and again, he failed to get an official position despite his outstanding performance in the imperial civil examinations. His temperament was unrestrained, proud and cynical. He used wild-cursive calligraphy strokes, wielding the brush freely and splashing the ink heartily to express his emotions. His seemingly random and slanting handwriting was virtually rule-governed and in good order. He sought the essence of rhythm rather than any

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The Ink Grapes by Xu Wei (Late Ming Dynasty)

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superficial looks, taking the Chinese freehand brushwork of birds-flower paintings to a higher level as a means to express one’s inner feelings. The Ink Grapes was Xu Wei’s extant masterpiece, in which he used watered ink to paint the hanging vines, drooping branches with leaves, and sparkling pearl-like grapes. On the picture, Xu Wei inscribed a poem: With half a lifetime in dire straits I am now old; Standing in my study in the night breeze I whistle alone. The pearls under my pen have nowhere to be sold; Into the wild creeping plant they are tossed and thrown.

The poem voiced his indignation at the unfair neglect. Ink Grapes was a perfect artistic work with poetry, calligraphy and painting as its ingredients. In the limited space of a picture, a profound meaning was successfully conveyed. Xu Wei’s style had a significant impact on future painters. The prominent painter Zheng Banqiao of the Qing Dynasty once paid fifty gold coins for a painting of a pomegranate by Xu Wei. He also engraved a seal with “Servile Follower of Green Vine” as his informal seal for calligraphy and painting, an indication of his high esteem. A modern painter, Qi Baishi, also highly regarded Xu Wei. He even said it was a great pity that he had not been born three hundred years earlier, when he could have had the opportunity to work as Xu Wei’s servant, grinding up the black ingot and setting up painting papers for him.

Dong Qichang Dong Qichang (1555–1636) was a master painter and calligrapher in the late Ming Dynasty. He learned widely from various styles of the Song and Yuan dynasties, and developed a smooth, cool and elegant artistic style of his own. Dong’s superiority lay in his mastery of applying the ink, his exquisite brushwork and his delicate charm in painting. Illustrated Albums of Eight Autumn Sceneries was painted in the forty-eighth year of the Wanli Period (1620). The mountain peaks overlooking the mysterious valley and the verdant vegetation in the hazy drizzle all gave a placid tinge to the paintings, bringing out the typical feel of the south of the Yangtze River with a mellow autumn flavor. Dong Qichang had a profound influence on painters in the Qing Dynasty. Dong’s significant status was also manifested in his painting theories, which included his emphasis on the importance of morale in

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painting, his criteria for literati painting, his classification of ancient landscape paintings into the Southern School, and the Northern School and his proposal of the latter school as the orthodox.

The Four Wangs The orthodox sect in the late Ming Dynasty, represented by Dong Qichang, and the anti-orthodox sect, represented by Xu Wei, were both inherited by the painters in the early Qing Dynasty, with the former clan signified by the “Four Wangs,” and the latter by the “Four Monks.” The Four Wangs were the painters of note in the early Qing Dynasty: Wang Shimin (1592–1680), Wang Jian (1598–1677), Wang Hui (1632–1717) and Wang Yuanqi (1642–1715). Taking Dong Qichang as their paradigm, they committed themselves to appreciating ancient paintings. In terms of brushwork style and inkwork, they advocated a higher stage of originality and independence. The elegant and serene artistic styles much pursued by the literati and scholar-bureaucrats were fully expressed in paintings by the Four Wangs. However, their divorce from reality and their focus on ancientry resulted in a stereotype, making their paintings dull in content and lacking freshness. Among the four painters, Wang Hui learned most widely from his predecessors in acquiring his artistic skills, thus gaining fame as a Painting Sage. One of his representative masterpieces, A Scene of the Stream and the Mountain after Snow, is an enchanting scene after a heavy snow—lofty mountains, deep valleys, emerald pines trees, ancient temples and cosy hamlets completely covered in snow. The dancing snowflakes curtained the world in pure white. In the background of the picture was a body of misty and rippling water, dotted sparsely with fishermen in small boats. The hills rolled afar on the opposite bank. The scroll was a magic work of a vast panorama in miniature. Wang Hui also imitated many predecessors’ famous works. While precisely maintaining their original looks, he enriched them with his unique style. Wang Hui claimed that his attainments owed much to the adapted inheritance of “the brushwork of the masters in the Yuan Dynasty, the techniques of the Song Dynasty and the styles of the Tang Dynasty.”

The Four Monks The Four Monks were Shi Tao (1640–?1718), Bada Shanren (1626–1705), Hong Ren (1610–1664) and Kun Can (1612–1673), the representatives of the

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unorthodox sect in the early Qing Dynasty. Shi Tao’s original name was Zhu Ruoji. A convert to Buddhism, he was also known by his monastic name, Yuanji. Bada Shanren’s original name was Zhu Da. Hong Ren was given a Buddhist monastic name, Jianjiang, when he became a monk. Kun Can’s alias name was Jie Qiu. They were all supporters of the former Ming Dynasty, with Shi Tao and Bada from the Ming imperial families. With a strong anti-Qing mentality, they became monks and hermits when the Ming Dynasty collapsed. In regard to the arts, they advocated creative originality rather than sticking to ancient conventions. Their proposal was that the brushwork should comply with the progress of the time, and that painters should make use of the brush and ink to cultivate and express their own ideas and emotions when they depicted the natural world. Streams and Mountains Echoing with a Waterfall was one of Shi Tao’s representative masterpieces. This work was rather idiosyncratic in its composition. Shi Tao was not only a great painter, but also a noted theorist. His Appreciation of the Bitter Gourd Monk’s Paintings was known as a most theoretical and systematic work in the history of Chinese painting. In addition to landscape paintings, the ink-wash flower–bird paintings by the Four Monks, especially by Bada Shanren, were also prized. Written in a cursive style with the strokes joining together, the four Chinese characters of 八大山人 （Bada Shanren） would look like the two Chinese characters of “笑”(laugh) and “哭”(cry) in connection. Thus, by signing his paintings, Bada Shanren implied his hopeless confusion and feelings of grief caused by the subjugation of his country and his home. The subject matter of Bada Shanren’s flower–bird paintings was rich in variety. He modeled his work on that of the ancient masters but had his own style. His animals such as fish, mynah birds, ducks and cats all held their heads high; their eyes exaggerated in a peculiar way, some even square in shape, with huge black eyeballs mostly glaring from the upper side of the eye-pit, giving a supercilious look in an uncompromising expression. The words “terse” and “pithy” might be proper in describing both the composition and the techniques of his paintings.

The Yangzhou Eight Eccentrics After Bada Shanren, it was the Yangzhou Eight Eccentrics who achieved the greatest success in ink-wash flower–bird painting in the Qing

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Streams and Mountains Echoing with a Waterfall by Shi Tao (Qing Dynasty)

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Flower–bird paintings by Bada Shanren (Ming Dynasty)

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Dynasty. The Yangzhou Eight Eccentrics were active in Yangzhou during the reigns of the Emperors Yongzheng and Qianlong. The commonly acknowledged members were Jin Nong (1686–1764), Huang Shen (1687– 1768), Wang Shishen (1686–1759), Zheng Xie (1693–1765), Li Chan (1682–?), Li Fangying (1695–1755), Gao Xiang (1688–1752) and Luo Pin (1733–1799). Apart from them, many other prominent Yangzhou painters undertook artistic activities concurrently with the eight painters, so some fine-arts historians preferred the term the Yangzhou Shool to refer to them as a whole. Though having their individual eccentric temperaments, the Yangzhou Eight Eccentrics did share some similar background. They either held no official positions throughout their lives, or were dismissed from low positions, or made a living by selling their paintings. They unanimously resented harsh reality, despised influential officials and sympathized with the sufferings of the common people. In respect to the arts, they followed the tradition of the freehand brushwork of Xu Wei, Bada and Shi Tao in ink-wash flowers–birds painting, with an emphasis on their own life experiences and individual personalities. Being versatile talents in literature, calligraphy and seal cutting, their poems, inscriptions and signets formed a perfect integrity with their paintings. This attribute had an enormous influence on modern and contemporary painting. Zheng Xie (also known as Zheng Banqiao) could be credited as the most influential of the eight with his remarkable attainments in poetry, calligraphy and painting. His excellent performance in the highest imperial examinations during the reign of Emperor Qianlong earned him the post of county magistrate in Shandong when he was fifty years old. However, Zheng was demoted from office not long after and went to Yangzhou to earn a living by selling his works. He was most skilled in painting orchids, bamboo and rocks, which he eulogized as having “fragrance” (orchid), “integrity” (bamboo) and “solidity” (rock). A shared feature to be found in the paintings by Xu Wei, Bada, and Zheng Banqiao was their buoyant animation, an embodiment of the supreme principle of Chinese painting. Chinese philosophy held that both the noumenon of the universe and the essence of life on earth were made of “qi,” which kept breathing and reproducing in an endless succession. So the supreme principle of painting is the “artistic resonance of life,” a state reflecting the vitality, vigor and verve of all the creatures on earth. By adhering to this principle, the lively flowers and birds in Chinese paintings are all endowed with vivid spirit. Zheng Banqiao once

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Orchid, Bamboo and Rock by Zhang Xie (Qing Dynasty)

said that whatever he depicted in his paintings, even a rock, was the quintessence of life. This conformed with the theoretical view. Therefore, the Chinese painting was an art that personified the artistic resonance of life, while Chinese painters were artists who had an ardent love for life. The ink-wash paintings of the Ming and Qing dynasties had a significant impact on the development of modern and contemporary Chinese paintings. Zhao Zhiqian, Wu Changshuo, Qi Baishi, Pan Tianshou, Zhang Daqian, Liu Haisu and many other outstanding figures inherited this tradition and made innovations, adding constant new glory to the treasure house of Chinese painting.

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園 CHAPTER THIRTY THREE

The Art of Chinese Gardening Two Systems of Chinese Gardening

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The Gardens in Suzhou

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Free-style calligraphy of“園”(yuan) means “garden” in Chinese

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Gardening practice all over the world could be roughly categorized into a few types. One may pursue the poetic natural beauty. One may take geometrical patterns as a means of expression. Chinese gardening belongs to the former and it boasts a glorious history and a rich cultural heritage. Gradually, the art of Chinese gardening formed a unique style and system during its long development.

Two Systems of Chinese Gardening Chinese gardening refers to royal gardens and private gardens, both of which were at their peak in the Ming and Qing dynasties.

The Royal Gardens The royal gardens originated in the ancient game reserves of the Chinese emperors. Early in the Shang Dynasty, emperors and aristocrats keen on hunting chose and enclosed areas where birds and beasts were plentiful as their hunting sites, where they kept animals, raised fish in ponds and built pavilions. Gradually, the royal parks took their shape, where emperors and aristocrats relaxed, enjoying the fish ponds, birds and beautiful natural scenery. “Da Ya” in The Book of Poetry describes one of the parks, Lord Wen’s royal park in the Zhou Dynasty, which was actually the embryo of the later royal gardens: Lord Wen surveyed the Magic Park, Where the animals lay in the dark. The deer and stags were fat and meek; The snow-white cranes were big and sleek. Lord Wen surveyed the Magic Pools, Where fish sprang and leapt in shoals.

The Shanglin Garden of the Qin Dynasty was one of the most famous royal palace gardens in ancient China. Immediately after the unification of China, Emperor Qin (the first emperor of the Qin Dynasty) launched an extensive civil engineering project to construct the grandiose Shanglin Garden on the south bank of the Wei River in Xianyang, in addition to numerous summer and winter palaces and their annexes for the imperial families to retreat from the capital residence. The E’Fang Palace, famed for its grandiosity and luxury, was part of the Shanglin Garden.

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Emperor Qin, following the advice given by alchemists and the socalled “immortals,” had pools and islands constructed in the Shanglin Garden to create a fabulous fairy island, Penglai, on the sea. (According to some fables, there are three fairylands on the sea—Penglai Island, Fangzhang Island and Yingzhou Island.) This was the first time in history that an imitation fairyland had ever been built in a garden. Since then, the practice of creating a fairyland was consistently followed in the designing of royal gardens, making the three fairy mountains indispensable and allegoric symbols. Many magnificent royal gardens have been built since the Qin Dynasty. The Shanglin Garden and the Ganquan Garden were products of the Han Dynasty. The Shanglin Garden contained a large number of animals, as well as rare flowers and exotic fruit trees. It also contained the largest pond, the Kunming Pond, which had a perimeter of twenty kilometers, and in which Emperor Wu of the Han Dynasty trained his navy. The Ganquan Garden housed more than a hundred palaces, altars and pavilions. One of the altars, the Tongtiantai Altar, was used for holding sacrificial rites to Heaven and meeting the gods. In the Tang Dynasty, splendid palaces were built in the cities of Chang’an and Luoyang. The Taiji, Daming and Xingqing Palaces were the most famous in Chang’an. The Taiye Pond was located in the north of the Daming Palace, with the imitation Penglai Mountain built in the pond and more than four hundred verandas around it. Many pavilions and verandas were dotted here and there in the Dragon Pond in the Xingqing Palace; they were connected to each another by walkways. In addition, the city of Chang’an had three other royal gardens—the Western Inner, Eastern Inner and Forbidden Gardens. The Forbidden Garden, the largest royal garden in Chang’an, with a perimeter of sixty kilometers, housed a variety of animals from other countries which had been sent as tributes. The major sights and buildings in the Forbidden Garden were the Yuzao Palace, the Wangchun Pavilion, the Linwei Pavilion, the Taoyuan Pavilion, the Xianyi Palace and the Pear Garden. The Pear Garden was where singers and dancers were trained to amuse the royal family. Emperor Xuanzong of the Tang Dynasty once gave instruction in person, which is why the Pear Garden was taken as the emblem of Chinese dramas and operas. Famous royal gardens in Luoyang City included the Jiuzhou Pond and the Shendu Garden. The artificial lake in the Shendu Garden contained three man-made hills. The

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northern bank of the lake was divided naturally by the meandering water flowing into the separate scenery areas, where sixteen courtyards with specific features were built, thus forming a smaller garden within the existing one. The emperors in the Tang Dynasty also had many summer and winter palaces built in the vicinity of Chang’an and Luoyang, and in many other places of interest. The most famous was the Huaqing Hot Springs, located at the northern foot of the Lishan Mountain in Lintong County, Shanxi Province. This was a royal garden noted for its hot springs. The well-known love story of Emperor Xuanzong of the Tang Dynasty and his concubine Yang Guifei was believed to have taken place in this sumptuous garden. In the Song Dynasty, the design of the royal garden, Genyue, in the city of Kaifeng marked the beginning of a new style in Chinese gardening, the emphasis being shifted to the stone landscape. Emperor Huizong of the Song Dynasty collected a large number of rare flowers and precious rocks from the interior of Zhejiang Province and had them transported to the capital in boats to make this garden, which was later known as Huashigang. The unique landscape of the garden was fashioned by piling up the Taihu Lake Rocks to form the shape of hills, valleys, ponds and islands. Outside Kaifeng was another royal garden, the Jinming Pool, where traditional entertainments and games such as boat-racing and dart-casting could be held. The street on the eastern bank of the pool was the site to watch horse-riding, enjoy food and drink, gamble and visit craftsmen’s workshops. Therefore, the royal garden contained a hint of a civilian amusement park. Royal gardens in the Ming Dynasty were mainly the Three Seas, in addition to the Imperial Garden at the back of the palace. The Three Seas were located to the west of the imperial palace, also known as the Western Garden at that time, and comprised the North, Middle and South Seas. They were long and narrow in shape, harmonizing naturally with the garden, contrasting sharply in style with the grand palace complex. The leading scene of the Three Seas was Qionghua Island. This island overlooked the whole garden, with a broad view over the rolling and far-reaching scenery of the Jingshan Mountain, the Imperial Palace and even the West Mountain outside the city. Different from the axial symmetric layout of the southern part, the northern part of the island was asymmetrical in pattern, with pavilions, verandas and walkways dotted here and there in accordance with the natural shape of the hills, and all the scenic spots were connected by zigzagging artificial hills,

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Wanshou Mountain (Qing Dynasty)

grottos and walkways, impressing visitors with its air of freshness, harmony and elegance. The royal gardens reached the peak of their splendor in the Qing Dynasty. During the time from the Kangxi Period to the Qianlong Period, the emperors had many gardens built on a grand scale. Besides the reconstruction of the royal garden of the Three Seas, there were also Three Mountains and Five Gardens: the Jingyi Garden in the Xiangshan Mountain, the Jingming Garden in the Yuquan Mountain, the Qingyi Garden in the Wanshou Mountain, the Yuanming Garden and the Changchun Garden. The Chengde Mountain Resort was another renowned royal garden completed in this period. The Yuanming Garden was the largest and underwent ongoing reconstruction during the reigns of Emperors Kangxi, Yongzheng and Qianlong. While inheriting the traditional style of the former royal gardens, they adopted some artistic characters of the private gardens in the Yangtze Delta in their ambition to gather in its embrace all the famous gardens and beautiful views of the country. During his six inspections of the south of the Yangtze River, Emperor Qianlong had his painters draw all the beautiful landscapes of the noted gardens as a reference when the Yuanming Garden was being designed. As a result, the Yuanming Garden contained the ten

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Painting of Yuanming Garden (Qing Dynasty)

scenes of the West Lake on the bank of the Fuhai Lake; Rocks by a Winding Stream imitated the Orchid Pavilion of Shaoxing City; the Stone Steps for Beckoning Cranes took after the Pavilion to Release Cranes of the West Lake; the Ruyuan Garden imitated the Zhanyuan Garden in Nanjing and the Anlan Garden was modeled after the Yuyuan Garden in Haining County, Zhejiang Province. In addition, Elegant West Peak imitated Lushan Mountain and the Stream and the Moon in Pine Breezes imitated the Rock of the Tiger Stream in Suzhou. It was not an exaggeration to say that the Yuanming Garden displayed all the artistic features of the gardens to the south of the Yangtze River. What was unique in the garden was the Ten Scenes of Great Fountains, also known as the Western Buildings, which imitated the Western baroque architectural style. That was the first time that Chinese gardens copied the layout and gardening techniques of classical Western gardening, such as fountains, sculpture and mazes. For this reason, the Yuanming Garden was considered to be the Garden of Gardens. Western preachers listed the Yuanming Garden in first place when introducing Chinese gardens to the Western world, praising it as a “Paradise on Earth” and a “Model of the Gardening Art.” Unfortunately, in the tenth year of the Xianfeng Period (1860), the garden was set on fire and burned to rubble by the British–French allied army. The conflagration, which lasted for three days, totally destroyed this renowned garden. All the treasures, curios,

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priceless paintings and calligraphy, as well as the precious handicrafts were either ruined by the fire or looted. It was a great loss to human civilization. In 1900, the Yuanming Garden was again plundered by the Allied Forces of the Eight Powers. The remaining treasures and restored parts of the garden suffered a disastrous looting for the second time. In 1904, the government of the Qing Dynasty repealed the management institution of the Yuanming Garden, and the garden was subsequently completely deserted and reduced to ruin. The Qingyi Garden was another victim of the invasion by the British–French allied army in the tenth year of the Xianfeng Period. During the Guangxu Period, Empress Dowager Cixi had the garden renovated with the twenty million taels that should have been used for building the Chinese navy, and changed its name to the Summer Palace. The Summer Palace was the largest imperial garden in China. The construction of the Imperial Summer Resort, known as the Chengde Mountain Resort, was started in the forty-second year of the Kangxi Period (1703) and extended in the sixteenth year of the Qianlong Period (1751). Covering about 560 hectares, the resort was chiefly composed of the palace, lake, plain and mountain zones. The palace zone consisted of four parts: the Former Palace, the Pine Crane Temple, the Pine-Soughing Valleys and the East Palace. The lake zone included seven lakes and two islands, the Happy Island and the Island for Water Songs in the Moonlight. This area featured water scenes. Many views imitated those of the gardens to the south of the Yangtze River. The Lion Grove Garden took after the shape and design of its famous namesake in Suzhou, while the Temple of Tianyu Xianchang imitated the Golden Mount Temple in Zhenjiang. The Misty Rain Pavilion on the Qinglian Island was modeled after its namesake in Jiaxing, and the Surging Waves Island took after the Surging Waves Pavilion in Suzhou. The plain zone was characterized by the Ten Thousand Trees Garden, covering a grassy area of fifty-three hectares and overgrown with thick evergreen pines and cypresses. This was where Emperor Qianlong entertained the chieftains of different nationalities and held banquets in the open air. The mountain zone was the largest of the four. Its feature was the natural scenery of the mountainous forest, with small architectural structures attractively spread over the hills and a vast stretch of forest to ensure quietness. The Imperial Summer Resort combined a great variety of gardening arts and forms in history. It also absorbed various types of architecture in people’s

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daily life into the holistic design, such as temples, nunneries, Taoist shrines, libraries and opera houses, making the resort an assemblage of all kinds of classical gardens in China.

Private Gardens According to historical records, private gardens in China made their appearance early in the Han Dynasty. For example, the wealthy merchant Yuan Guanghan and the aristocrat Liang Ji owned grand gardens, where rare and precious birds and beasts were kept. During the Wei-Jin and Northern-Southern dynasties, the beauty of natural landscapes became the highlight of private gardens. Private gardens in this style had certain spiritual functions. In the Tang Dynasty, private gardens were a means of expressing feelings and emotions. This was especially the case with the gardens owned by the literati and scholar-bureaucrats. For them, private gardens were the symbol of their leisurely and detached way of life. There were more than a thousand private gardens in the City of Luoyang at that time, and even more in the City of Chang’an. It was a fashion in the Tang Dynasty at that time for the bureaucrats and literati to have villas built in the suburbs and scenic spots. The most famous ones were Li Deyu’s Pingquan Manor, Wang Wei’s Wangchuan Villa and Bai Juyi’s Thatched Cottage in the Lushan Mountain. Bai Juyi’s Thatched Cottage was situated so he could enjoy the quiet and the natural views all year round. In spring, there was the vivid sea of rice; in summer, there were splendid clouds at the StoneGate Gully; in autumn, there was the golden moon shining over the Tiger Stream; and in winter, there was white snow on the peak of the Lushan Mountain. Either sunny or cloudy, bright or dim, at dusk or at dawn, implicit or explicit, whenever or wherever, the natural scenery was always there. In the Song Dynasty, Luoyang became a center of famous gardens. These gardens were generally large in size, with manmade pools and hills and a variety of flowers, trees and bamboo. At that time, garden designers had already learned to apply such techniques as borrowing scenes and contrasting scenes. Since the Southern Song Dynasty, stone appreciation had become fashionable, and many gardens had carved out the Taihu Lake Rocks to compose scenic spots. Scholar-bureaucrats of the Song Dynasty all attached great importance to the cultural connotation of the gardens in their possession.

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Surging Waves Pavilion, Suzhou (Ming Dynasty)

Chinese private gardens came into their prime in the Ming and Qing dynasties. They were mainly found in the cities of Beijing, Nanjing, Suzhou, Yangzhou, Hangzhou, Wuxi and Songjiang. According to historical records, there were more than fifty private gardens in Beijing in the Ming Dynasty, and more than 270 in Suzhou City. From the bank of the Slender West Lake to the Pingshan Pavilion in Yangzhou, private gardens could be seen, one after another. The most famous private gardens in Beijing were Li Wei’s Qinghua Garden and Mi Wanzhong’s Shaoyuan Garden, both of which designed to enjoy water views. The former was characterized by its splendid magnificence while the latter mainly emphasized simple delicacy. Later, Emperor Kangxi had the Changchun Garden built on the site of the previous Qinghua Garden. Famous private gardens in South China included the Humble Administrator’s Garden, the Lingering Garden, the Yipu Garden, the Lion Grove and the Surging Waves Pavilion in Suzhou, the Yuyuan Garden in Shanghai, the Jichang Garden in Wuxi, the Zhanyuan Garden in Nanjing, the Qiuxia Garden in Jiaqing, and the Gaoyuan Garden in Hangzhou. In designing these gardens, owners and designers tried hard to bring forth the natural beauty of mountains and rivers into the limited space, so as to feel close to nature while living in noisy cities.

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Yipu Garden (Ming Dynasty)

Private gardens in the Qing Dynasty tended to include regional features in their artistic design. They could be generally divided into three systems—the northern, southeastern, and southern systems. The northern private gardens were concentrated in Beijing. According to statistics, the number of private gardens inside Beijing City amounted to a hundred and fifty at that time, among which the most famous were the Cuijin Garden in the Prince Gong Palace, and the Half-Mu Garden. Outside Beijing City, private gardens centered around the Haidian District in the western part. The best known were the One-Mu, Weixiu, Shuchun, Xichun and Hanlin Gardens, most of which focused on water views. To the south of the Yangtze River, Yangzhou was where private gardens were found in the early Qing Dynasty, but soon afterwards in the Qianlong Period, private gardens began to blossom in Suzhou. The most famous included the Twenty-four Scenes (one garden for each scene) along the bank of the Slender West Lake in Yangzhou; the Xiaopan Gully, the Pianshi Mountain Lodge, the Heyuan Garden and the Geyuan Garden inside Yangzhou City; the Humble Administrator’s Garden, the Lingering Garden and the Fisherman’s Garden in Suzhou; and the Jichang Garden in Wuxi. Architectural constructions in these private gardens were generally small and exquisite or statuesque and elegant, with a

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Twenty-four Scenes along the bank of Slender West Lake in Yangzhou (Qing Dynasty)

circuitous design and a great variety in spatial arrangements. Plants in the garden were mainly deciduous and evergreen trees, supplemented with bines, bamboo, bananas and grapevines, so as to provide an evergreen and diversified view all year round. Stone views were mainly constructed with Taihu Lake Rocks and Yellow Stones. The southern private gardens were represented by the Qinghui Garden in Shunde, the Keyuan Garden in Dongguan, the Yuyin Mountain Lodge in Panyu and the Liangyuan Garden in Foshan. Some villa gardens in Taiwan also belonged to the southern system. The architectural features were tidiness and orderliness, as well as light and open conditions. Wall sculptures and delicate woodcarvings were widely used in these gardens, giving a pleasing ornamental effect. One more feature shared by the private gardens in the Qing Dynasty was the combination of dwellings and gardens. Increasingly, more of the requirements of daily life were incorporated in the gardens to make them suitable for residence. Since most of the private gardens were located in the downtown areas where space was largely restricted, many new ideas were adopted for the effective use and extension of the limited space. Meanwhile, corresponding artistic techniques were introduced to make the garden a complex of various arts and crafts such as artificial hills,

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ponds, flowers, trees, architectural structures, sculpture, calligraphy, paintings and handicrafts. The Temple Gardens, in addition to the Royal Gardens and the Private Gardens, formed the third category of the gardening art in the Qing Dynasty. As the ideal spiritual state of Taoism and Buddhism was closely related to nature, most of the Buddhist and Taoist temples and monasteries had gardens attached. Some had small gardens that naturally fitted the existing landscape inside the temples. The Spring Garden in the Temple of Azure Clouds and the Dagoba Garden in the Temple of Enlightenment were typical of this type. Some had gardens as adjuncts to the temples, such as the scattered gardens around the main buildings of the White Cloud Temple, the West Yard in the Temple of the Sleeping Buddha in Beijing, and the Jietan Garden in the Tanzhe Temple in Beijing. However, some temple gardens emphasized the surrounding environment. In such cases, the temple would be inside a huge park. The Ancient Changdao Temple in the Qingcheng Mountain and the Crouching Tiger Temple in the Ermei Mountain were of this type.

The Gardens in Suzhou The gardens in Suzhou deserved the honor of being the most outstanding representatives of Chinese private gardens. With its beautiful scenery, developed economy and large numbers of native literati, poets and painters, Suzhou provided favorable conditions for the creation and development of classical gardens. Many of the gardens benefited from the advice and suggestions of the famous literati and painters in their design and construction—for example, the Lion Grove Garden built in the Yuan Dynasty. This garden was designed and built under the direction of the great painter Ni Yulin, who modeled it after the Lion Rock in Tianmu Mountain. As a result, it possessed the charm and beauty of Tianmu Mountain as well as the artistic features of Ni Yulin’s landscape paintings. Another example was the Humble Administrator’s Garden, which was designed with the help of a great painter, Wen Zhengming, who painted thirty-one paintings for the garden. The following is a brief introduction to the esthetic features of Suzhou gardens, the representatives of China’s private gardens.

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“Enjoying the Natural Beauty without Leaving Your House” What was emphasized by the designers of the private gardens was the appreciation and creation of natural scenery. They pursued the special pleasure of “enjoying the beauty of nature without leaving your house,” and aimed for the standard of the “four fits” and “one effect” proposed by Gao Xi, a great landscapist of the Northern Song Dynasty, in his Lofty Ambition of Forests and Streams—fit for strolling in, fit for sightseeing, fit for amusement and fit for residence, and the effect of being “pleasing to the ears, with the sounds of apes and birds and being pleasing to the eyes, with the scenes of mountains and waters.” The Yongcui Mountain Lodge, a small garden outside Suzhou, was located to the west of Ermen Hill in the Huqiu Temple. Along the natural slope of the hill, the garden stretched upward and gradually blended into the mountain. Entering the garden and walking northward along the rustic stone steps, visitors would soon find a plain door frame, hidden in the green trees. There, among the shade of the ancient trees, stood a small three-room house on a hummock. On the west and the north, a small artificial hill, built with lake pebbles, gradually melded so naturally into the mountain, with flowers and trees like roses, pines and pomegranates dotted here and there, that it was hard to distinguish the artificial from the real. Nearby, the wall was half covered with rocks and plants, so the garden merged into the outside forests and mountains. Further up was the terrace of the main building of the garden, the Linglan Study, standing on the mountainside, which overlooked the green mountain scenery on which stood a lofty ancient tower. All in all, the artificial buildings were harmoniously integrated with the natural scenery. This kind of design on the one hand satisfied the needs of daily life, feasts and entertainment, while on the other, made itself part of nature, creating a man-made landscape with such great craftsmanship that “although it is made by man, it is as if formed by nature.”

Raising the Visitors’ Awareness of the Beauty of Space In general, private gardens in the cities were small in size, so the designers employed various architectural techniques to arrange the position and expand the visual space, such as winding and covering, hiding and revealing, closing and opening, separating and borrowing, to raise visitors’ awareness of the esthetic use of space.

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The most frequently applied techniques in garden construction were the masterly use of contrast between the straight and the winding, the closed and the open, and the light and the shade. The Lingering Garden was a good example: the entrance path to the garden was spiral and the Pavilion of Intertwined Old Trees was located partially in dark shadows beside the entrance. Then, all of a sudden, the view became open and bright at the Hanbi Mountain Lodge, where a clear pond was surrounded by artificial hills, with terraces winding on the left and pavilions standing on the right, forming a picturesque natural landscape. However, if visitors walked through the long and narrow corridors in the eastern Winding Brook Chamber and the West Building into the tremendous Enchanted Hall of Five Peaks, they would get the feeling of being indoors. Then, after walking through the small but airy gardens, such as the Crane Garden, the Small Courtyard of Stone Forests and the Peak House, visitors would arrive at the big gardens like the CloudCrowned Peak and the Hall for Eminent Elders; they would be inspired by the greatness and spaciousness and by the magnificent view. Frequent transitions between opening and shrinking in space, bright and dim in light, and large and small in size could effectively raise visitors’ awareness of the esthetic use of space. These techniques could also be seen in the design of the Humble Administrator’s Garden. Whichever directions the visitors looked, no matter whether it was from the west part of the garden into the eastward distance of the Lotus Pavilion, or from the east side of the middle area to the Green Shade Corridor in the west, they would see a screen of waterside willows, waving and dancing in the breeze, filmy and misty like silky green curtains, making the vista nearby only dimly visible from time to time. The charming beauty of such a borderland was created when trees and flowers were partially veiled and were a foil for each other. The advantage of this garden-making technique was also well illustrated in the Yipu Garden. A slim and statuesque lake rockwork stood at the entrance of the small Qinlu Court, half concealing the moon-shaped gate behind it. Therefore, both the rockwork and the gate were somewhat hidden from each other and were a foil for each other, adding a formal beauty and a deeper and more serene attraction to the scenery inside. The mysterious beauty of the scenery was created by being appropriately hidden behind the artificial hills and rockworks.

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Humble Administrator’s Garden (Ming Dynasty)

Qinlu Court of the Yipu Garden (Ming Dynasty)

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There were two moon-shaped openings in the boundary wall of the Qinlu Court of the Yipu Garden. The scenery there was mostly hidden behind the wall but was partially visible through the two moonshaped openings. This was a more-hidden-less-exposed scenic area. From different angles, visitors could get a tranquil view of the two moon-shaped openings either contrasting finely with each other or encircling each other. Meanwhile, the hills, flowers, trees, brooks and bridges dotted inside and outside these two openings made the spatial arrangement more complex and exquisite. Other important techniques for arranging and extending the spatial dimension in garden designs were “separating”, “partitioning” and “borrowing”. As a principle, waters must be devious and gardens must be separated. Without the dividing and hiding effects created by the winding corridors, trees or artificial hills, a small garden could only be a small enclosure. It was the masterly partitioning that prevented the garden from being seen at a single glance, thereby giving a small garden the potential to look larger and more elegant to visitors. That explained why the more partitions there are, the larger the garden looks. A successful application of this technique could be found in the Small Courtyard of Stone Forests in the Lingering Garden. There were two studies designed according to the concept of “serene and easy, deep and endless,” which created grand scenes in a small garden and illustrated intricate designs in zigzags. In this small area, measuring only twenty-nine meters in length and seventeen meters in width, there were as many as thirty-eight patios and side yards of with diverse forms and sizes, either connected or separate, either chained to or encircled by one another. This small and exquisite courtyard containing many architectural structures became representative of ancient private gardens of this kind. Borrowing referred to the technique of implying infinite space in a limited area by borrowing pleasant scenes inside or outside the garden. After thousands of years, this technique has developed a variety of forms, such as borrowing distant scenes, borrowing nearby scenes, borrowing adjacent scenes, concrete borrowing, abstract borrowing, mirror borrowing and seasonable borrowing. These techniques were finely exploited in the famous Tangan Garden in Huizhou City. To its north, there towered several peaks of the Huangshan Mountain, while the Pingding Mountain with its lofty ancient trees stretched like a screen to the north. These two mountains, one far away and the other

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nearby, set off the Tangan Garden, and made the best borrowed scenes for the garden. The Jingting Pavilion in the garden was also settled with these borrowed mountain views as its background, like an elegantly decorated boat on the lake. Looking afar, one could gain a good view of the beautiful green mountains surrounding Little West Lake, within which the pavilion was located. Climbing up to the platform in front of the pavilion, the plains and hills outside the garden would come into the visitors’ sight. A leisurely look at the mirror-like water-face would treat visitors to a fascinating view of inverted images of hills, trees, blue skies and white clouds. That was abstract borrowing. Taking advantage of the concrete borrowing of the distant and nearby mountains and the abstract borrowing of the mirror effect of the lake, all the beauty in nature was brought into the Tangan Garden. All these techniques were designed to give a far-reaching view within a restricted area through the arrangement, organization, creation and extension of space, thus adding to the visitors’ esthetic appreciation of the space.

Bring in the Bright Moon and the Fresh Breeze from Nature The artificial hills, pools, brooks, trees, flowers and architecture in the garden could only compose the framework of the scenery, the spirit and vitality of the garden had to rely on the effective use of ever-changing nature, such as rain, wind, clouds and sunshine. Therefore, every garden designer attempted to bring into the garden the shades of clouds, the sheen of sunlight, the changes of daylight from dawn to dusk and the variations in weather, enabling even a small garden to contain beautiful, diverse scenery. This technique was effectively applied in both private and royal gardens. All the famous Chinese gardens had their waterside scenic spots designed for viewing the moon. Among the Ten Scenes of the West Lake, two were designed especially for this purpose, Autumn Moon over the Calm Lake being one. At this scenic spot, a platform was constructed on the lake, with a small pavilion standing on it. This area was surrounded by water on three sides and thus became the best place for appreciating the moon in autumn. As the ancient saying went, “Whenever the autumn comes with fresh breezes, the water-face of the lake would ripple with silky dimples. The moon shines in the vast sky, and everything is bathed in its bright cast. You may feel as if you were in a fairy land of pearls and jade, the earthly land simply disappeared.”

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The Moon on the Rippling River in the Chengde Mountain Resort was another wonderful site to enjoy the moon. Whenever the bright harvest moon was shining in the dark blue sky, the water-face of the river would mirror its silver and pearl light, and a soft lullaby would be heard as the ripples lapped against the shore. The afterglow of sunset, just as with moonlight, was an indispensable sight in Chinese gardens. The Zhenzi Valley, located by the west side of the Chengde Mountain Resort, had a lookout pavilion on the peak of the lakeside hill to the north. This pavilion was specially designed for the sunset view on the opposite side, and was named “Afterglow on the Qingchui Peak.” At dusk, the setting sun would cast its lingering rays right on the towering Qingchui Peak, making it brilliant and dazzling and adding a mysterious charm to the eastern mountain views. The sight of rain, as with moonlight, could also evoke sentimental emotions and imaginings. The Haze-and-Rain Pavilion in Jiaxing City, Zhejiang Province was a well-known site for appreciating rainy scenes. This pavilion was built on an island in the middle of the South Lake. With haze and mist swirling around, it was even more attractive in the rain: the silver lake rippling, the haze steaming, the green trees swaying, the pavilion standing alone, a small boat barely seen in lotus flowers—in effect, a beautiful ink-painting of Southern China! In the Yuyuan Garden in Shanghai, facing a huge artificial hill, stood the Rain-Splashing Pavilion. With its eaves pointing upward, the pavilion looked like a flock of phoenixes flying towards the sky. This scene was especially beautiful in the rain, when the rainwater flowed along the steep roof, splashing far away at the curving eaves like huge pearls dropping down from the sky. This scene would perhaps remind visitors of the line by Wang Bo, describing the Pavilion of Prince Teng: “Pearly window curtains flutter in the evening rain of the West Hills.” The majority of gardens in and around Suzhou took viewing the moon and listening to the rain as their thematic concept: there was the exquisite Moon-Viewing Pavilion in the Tuisi Garden in Wujiang; the Beauty Xi Shi-Playing-with-the-Moon Pond at the Guanwa Palace relics in the Lingyan Mountain; and the Moon-embracing Pavilion behind Tiger Hill. The most evocative name might be the Moon-sound Porch in the Art Garden, almost as if one could hear the moon whispering. enhancing the mystery and charm of the landscape. Another example was the Rain-listening Room in the Humble Administrator’s Garden.

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With banana trees and bamboo lushly planted inside, the garden was full of the musical rhythm of raindrops patting on the banana leaves when it was raining.

The Charm of Rocks and Stone Artificial hills were a representative feature of the gardens in Suzhou. The Grand Lakeland-stone Rockwork in the Huanxiu Mountain Villa was the best-known man-made hill, and was designed by Ge Yuliang, an expert in constructing artificial mountains. This rockwork was regarded as a model of copying from nature. It occupied an area of merely half a mu, (about 333 square meters) but the rocks snaked and zigzagged, spiraling upwards and downwards, encircling, overlapping and embedded, giving a rich and complex feel to the structure. The remarks made by the famous painter Shi Tao about some traditional Chinese ink-paintings might well be paraphrased to describe the agglomeration of rocks: “some leaning upward and others leaning downward, some slanting and others leaning, some gathering and others separating, some near and others faraway, some inside and others outside, some false and others true full, some broken and others connected, some open and others closed, some vaulted and others standing, some squatting and others jumping, some majestic, some gorgeous, some steep, some precipitous, some hierarchical, some stripped, some charming and some barely discernible.” This rocky structure deserved the honor of being described as “one mountain possessing the forms of hundreds of mountains.” In addition, when seen from different angles and perspectives, that is, from mansions, houses, halls, pavilions, boats, bridges, cliffs, valleys, hills and caves, this hill took on diverse looks. In Su Shi’s words, “Lengthwise we see the ridges, sidewise the peaks. Different shapes of the mountain are seen at various heights and distances.” Besides being used to resemble hills, the Taihu Lake Rocks were also the raw material for the construction of peaks in the gardens in Suzhou. Peaks constituted another important element of garden views. Rare stones and unusual peaks could be found everywhere in the gardens in Suzhou. The most prized was the Cloud-crowned Peak in the Lingering Garden. Small wonder the Cloud-crowned Peak was considered to be the best rockwork to the south of the Yangtze River.

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Cloud-crowned Peak in the Lingering Garden, Suzhou (Ming Dynasty)

The Beauty of Flowers and Trees In addition to the pavilions, terraces, buildings, hills, brooks and rocks, the indispensable elements in traditional Chinese gardens were flowers and trees. The gardens in Suzhou provided a rich display of beautiful trees and flowers, which, in their various colors, pleasant fragrances, shape and special characteristics, greatly added to the charm of the gardens. Furthermore, different flowers were designed to bloom in different seasons, giving a changeable beauty. The Humble Administrator’s Garden was famous for its flowers all the year round: in spring, there were magnolia blossoms, pure as snow, in the Magnolia Yard; malus spectabilis blossoms, red as rosy sunglow, in the Court of Spring Crabapples; and peonies, pink with red and white petals, in the Xiuqi Pavilion; in summer, lotuses in the ponds looked beautiful and gave off a fragrant scent; in autumn, the highlight was the view of the crimson maple leaves surrounding the Waiting-for-the-Frost Pavilion on the northern hill; and in winter, the calyx against the snow were a highly appreciated spectacle in the Snow-and-Cloud Pavilion.

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The Master Fisherman Garden also offered an attractive floral show. The garden blossomed throughout the year with forsythia, magnolia and costustoot in spring, wisteria and lotuses in summer, sweet osmanthus and maple leaves in autumn and pines, cypresses, plum blossoms and bamboo in winter. In fact, almost all of the famous gardens in Suzhou were so full of flowers that anyone of them could have qualified as the realm described by the great poet Ouyang Xiu: “never have a day in the garden without blossoms.” Special emphasis was given to the appreciation of ancient trees in traditional Chinese gardens. The four giant ancient cypresses in the Minister Temple in Guangfu, Wuxian County, with their unique shapes, all implied a feeling of restiveness, lankness and ruggedness. They were said to have been planted in person by Deng Yu, a renowned minister in the Han Dynasty, and were named by Emperor Qianlong of the Qing Dynasty as elegant, quaint, antique and weird respectively, in accordance with their own characteristics. To the south of the pool in the Master Fisherman Garden, there was an antique Er-Qiao (Senior and Junior Sisters Qiao) magnolia, whose branches spread arrisways in the air and intercrossed. The blossoms were pure white in the upper part of the petals and light purple in the lower, one overlapping another, dense but not cluttered, demonstrating the great vitality of nature.

The Beauty of Black and White Shadows of Light All the royal gardens in Beijing looked as imposing and magnificent as the splendid Chinese landscape paintings by Li Sixun of the Tang Dynasty. However, the private gardens in Suzhou were of a totally different style. Architectural structures in Suzhou gardens were peculiar with their black tiles and whitewashed walls, simple and elegant, with the charm of a sharp contrast between black and white. White walls were of great importance in the composition of gardens, for without the foil or partition of the white walls, the charm and beauty of the trees, flowers, hills or rocks in the garden would be largely reduced. In Chinese gardens, great attention was paid to the beauty of the shadows from the light. Take the Joy Garden for example: in the southern courtyard of the Stone-Worshiping Hall, there stood a white wall facing west. At sunset, the rockworks, peaks, bamboo, cypresses and the other trees and flowers in the garden all cast the black shadows

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of their profiles onto the white wall, artistically abstract and deforming, overlapping and flickering in different shades and shapes, making up a picture of lingering attraction and artistic taste.

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戲 CHAPTER THIRTY FOUR

Kunqu Opera and Beijing Opera Kunqu Opera

790

Beijing Opera

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Free-style calligraphy of“戲”(xi) means “opera” in Chinese

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Kunqu Opera The Development of Kunqu Opera At the turn of the Song (960–279) and Yuan (1279–1368) dynasties, zaju (variety drama) was developed from yuanben (drama in written form) and zhugongdiao (all modes of tunes) in North China, while nanxi (southern opera) prevailed in the south. By the Ming Dynasty, drama evolved into two major types—chuanqi (romance play) and zaju (variety drama). In the Ming Dynasty, the term chuanqi was used to denote romance plays, incorporating the Yuan Dynasty plays like The Moonlight Pavilion and Tale of the Lute into this category. The Ming critic Lü Tiancheng analyzed the differences between zaju and chuanqi in his Appreciation of Dramas (1610) as: “Zaju has a northern accent, and chuanqi carries a southern tone. There are only four acts and a single singer in each zaju, while in chuanqi, there are more acts and more actors for different singing roles. Zaju narrates the process of one event and is usually short and concise. In contrast, chuanqi describes the entire life of the character and often leaves a lingering aftertaste. As time passes by, chuanqi grows more popular while zaju goes into decline. The orchestral instruments for zaju are not loud enough to spread far and wide, whereas the chuanqi music accompanied by drumbeats resounds lively to attract a bigger audience.”

In history, the term chuanqi underwent several changes in its connotations. For instance, the classical Chinese short stories in the Tang Dynasty were also called chuanqi. But in drama, this term was specified to mean a long play with standardized literary patterns and regular musical schemes. The scripts of chuanqi were often stories with intricate and fantastic plots and detailed descriptions of emotions and romances to achieve thrilling and dramatic effects. The scripts of chuanqi could be sung in diverse local tunes of different regions. At the end of the Yuan Dynasty and the beginning of the Ming Dynasty, the tunes prevalent in the south (the areas south of the Yangtze River) were the Four Major Tunes—the Yuyao, Haiyan, Yiyang and Kunshan tunes—after the names of the four areas. Although the Kunshan tune was applied to singing chuanqi scripts, the singers

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simply sang the arias without wearing make-up. Singing as a part of the dramatic performance came later. Kunqu opera developed into a mature opera genre only after the reform of the Kunshan tune, and the local tunes in the Haiyan and Yiyang areas used to be more popular than the Kunshan tune. The Haiyan tune used the official language, and its elegance catered well for the scholar-officials and the literati; The Yiyang tune was welcomed by the common people for its sonorous liveliness accompanied by gongs and drums. The style of the Kunshan tune was similar to that of the Haiyan tune, though not as exquisite. In the developmental process of the Kunqu opera, the reform of the Kunshan tune was a key step. The Kunshan tune, known as the Kun tune for short, originated in the Kunshan area at the beginning of the Ming Dynasty. Under the reign of Emperor Jiajing in the Ming Dynasty (1522), a large number of dramatists, including Wei Liangfu, Teng Quanzhuo, Liang Chenyu, Zheng Sili and Zhu Nanchuan devoted themselves to the study and improvement of the Kunshan tune. Wei Liangfu, the most influential, wrote a book, Rules for Kunqu Tunes, in which he summarized his experience in studying, improving and singing the Kunshan tune, making the book an important theoretical guide for the singing of Chinese operas. The reform of the Kunshan tune carried out by Wei Liangfu et al. covered three aspects. The first aspect was the improvement of its singing techniques. It was required that the modulation should abide by the rules of the level, rising, falling and entering tones—the four tones of the classical Chinese pronunciation and intonation. Wei Liangfu wrote in his Rules for Kunqu Tunes: “The five music notes are based on the four tones of the classical Chinese language. If an actor could not articulate the four tones correctly, he would not be able to sing the five music notes successfully. An actor should study the level, rising, falling and entering tones one by one to make sure that he could pronounce them precisely and properly. If he is not careful enough and makes mistakes on them, his singing would not be pleasant to the ear.” An actor should also be precise in articulating the consonant, the vowel and the last syllabic sound (designated respectively as the head, the end the tail by the Kunqu specialists) in each Chinese character

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in the three processing stages of producing, dragging out and ending the sound. Only by so doing could the actor reach the standard of “being suave and mellow when starting to sing and being melodious and smooth when drawing it to an end.”

The second aspect of the reform lay in the innovation of the original tune, processing the chanting with more elaboration to make it sound softer and finer. That was the reason the refined tune was referred to as the milling tune (as if being polished finely with a water mill) by people at that time. The third aspect was concerned with incorporating more vigorous elements into the Kunshan tune. A southern tune in origin, the Kunshan tune used to be more gentle than strong. As a result, it could not fully express ardent emotions. In the course of the reform, this defect was compensated for by the dramatists’ efforts in drawing on many elements from northern dramas to make the Kunshan tune more forceful and expressive. From the perspective of musical accompaniment, Wei Liangfu and other artists modified the traditional orchestra by picking the essence out of the various zithers, wood and bamboo pipes, drums and clappers from both the northern and southern dramas. A new form of the accompanying band was introduced, with string, wind, and percussion instruments. The reformed Kunshan tune captured people’s attention with its clear, soft, pleasant and harmonious effect, and soon became very popular. Before long, Liang Chengyu (?1521–?1592) tried the new tune on the stage in his play Washing the Laundries, which became the first chuanqi play sung in the reformed Kunshan tune. It was an instant success and spread all over the country. Thereafter, the Kunshan tune became all the rage and soon developed from a single tune into a nationwide major opera form. People then began to call the tune Kunqu or Kunqu opera. Following the success of Washing the Laundries, many famous chuanqi playwrights started to write scripts for Kunqu opera, which in turn improved both stage acting and aria-singing without stage makeup. The fifty years (1570–1620) under the reign of Emperor Wanli in the Ming Dynasty saw the flourshing development of Kunqu opera, during which a large number of writers and excellent works came to the fore. Great dramatists like Tang Xianzu, Shen Jing, Xu Fuzuo, Gao Lian and Zhou Zhaojun all emerged in this period. They produced many famous works,

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such as “The Four Dreams of the Jade Tea Studio” (the four romance plays of The Purple Hairpins, The Peony Pavilion, The Nanke Dream and The Handan Dream), The Tale of the Gallant Hero, The Tale of Red Pear Blossoms, The Tale of the Jade Hairpin, and The Tale of Red Plums. The total number of the drama scripts was more than two hundred. The participation of those celebrated writers greatly enhanced the literary value of Kunqu operas, and consequently the drama scripts became more insightful and interesting. By the Qing Dynasty, such famous works as Hong Sheng’s The Palace of Eternal Youth and Kong Shangren’s The Peach Blossom Fan made their appearance. According to the statistics in Comments on and Collection of Dramas by Lü Tiancheng, Drama Collection and Categorization in the Far Mountain Hall and Appreciation of Dramas by Qi Biaojia, Study of the Drama Today by Yao Xie and A Collection of Tunes by Wang Guowei, drama scripts for Kunqu opera in the Ming and Qing dynasties numbered more than 2,500. In the 1920s and 1930s, there were still more than six hundred scenes played by the Kunqu opera actors from the veteran troupes of New Yuefu and Xianni Association. All these indicated the abundance of Kunqu opera scripts, many of which were adopted and adapted for other drama genres. Many scholars who loved Kunqu opera not only watched the performance as fans, but also organized family theatrical casts to train actors by themselves and put on their own plays. Since these literary figures were of highly accomplished in many areas such as literature, music and art, their participation in stage performances gave a further impetus to the development of Kunqu opera.

The Performing System of Kunqu Opera The performance of Kunqu opera gave the utmost importance to singing. With the reforms of Wei Liangfu and others, the techniques used in singing the Kunshan tune were greatly enhanced. In addition, many important theoretical works on drama composition and phonation appeared. Great books such as Nine Music Notes and Thirteen Tunes of Naxi and Guide for Singing in Drama written by Shen Jing, Theories on Dramas by Wang Jide, Guides for Composing Music in Dramas by Shen Chongsui in the the Ming Dynasty, Yuefu Music by Xu Dachun, Yin Lu’s Talks on Drama Music by Wang Jilie, My View on How to Compose

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Kunqu performance of Li Hongliang (left) and Gong Yinlei (right) of Jiangsu Province Kunqu Opera in The Story of the Leaping Carps

Drama Music by Yu Sulu in the the Qing Dynasty were published. Gradually, a whole framework of the theoretical system for Kunqu opera was developed. In terms of performances, the original “five major role types of sheng, dan, jing, mo, chou” in Kunqu opera underwent further specification. During the reigns of Emperor Qianlong and Emperor Jiajing in the Qing Dynasty, the vogue for scholars’ families to perform opera scenes contributed greatly to the specialization and particularity of the roles. The so-called “scenes from the traditional plays” was the performance of a single scene out of a long play with dozens or even more than a hundred scenes. This practice made it possible for the characters in each role type to refine their unique performing techniques and characteristics. For the same reason, roles other than sheng and dan were subdivided as well. According to The History of Drama in Suzhou, the role types in modern Kunqu opera could be divided into the following specialized types:

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(i) Sheng (young male character): guan sheng (young male character wearing hat) jin sheng (young male actor with head-covering and fan in hand) ku sheng (young male character with humble status) jimao sheng (yong male character with feathers on hat) hua sheng (young boy character) (ii) Dan (female character): lao dan (old female character) zheng dan (married, middle-aged female character) zuo dan (little girl character) si dan (shrewish female character) wu dan (elegant young lady character) liu dan (vivacious young lady character) da erduo dan (named maid in an imperial palace) xiao erduo dan (unnamed maid in an imperial palace) (iii) Jing (male character with face painting,): hong jing (character with red face makeup) hei jing (character with black face makeup) bai jing (character with white face makeup) (iv) Mo (middle-aged or old male character): lao sheng (middle-aged male character with high social status, leading role) lao wai (elder character with experience of life, such as high court officials) fu mo (middle-aged male character with low social status, supporting role) (v) Chou (comedy character): fu chou (character of high social status with treacherous personality) xiao chou (character who was kind and funny, but of low social status) The specialization of characters led to the standardization of the performance. The standardization in turn required better portrayal of the characters’ dispositions described in the drama scripts to make the performance more exciting. In The History of Drama through Time and Essays on Singing Operas, Pan Zhiheng of the Ming Dynasty commented on the performance of the actors from a theoretical perspective. In the

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Stage of Kunqu opera in Suzhou (Jiangsu)

book Notes of Random Thoughts written by the dramatist Li Yu at the beginning of the Qing Dynasty, the section “Performing Practices” elaborated on what he had learned from the practice of performing. The book Origin of Drama (also named Mirror of the Heart), spread by handcopy during the reign of Emperor Qianlong, also summarized what the actors thought about their acting. That the art of Kunqu opera had already reached a rather high level could be seen from a paragraph of its prologue: It is said first of all that the script should be read and reread thoroughly, and the tones and rhymes be analyzed systematically. The oblique tones should be clearly distinguished into the rising, the falling and the entering, and two level tones into yin and yang. Efforts should be made to ensure a good understanding of the settings, arias, recitations, emotions and plots. All the tunes and words should be studied in accordance with the context. Actors should submerge themselves into the roles so as to perform naturally. Actors’ facial expressions such as smiles and frowns ought to go precisely with the plots. Successful performances should be true to life, bringing forth emotional echoes from the audience.

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Lianpu (face painting) of Kunqu Opera

The name of the book, Mirror of the Heart, indicated that an actor should take his own heart as a mirror, examining his performance in the “mirror” and trying to find out where problems lay. The chapter “Ten Defects of Acting” was of key importance. In addition, there were also chapters on the “Six Musts of Recitation” and “Eight Musts of Postures.” “The Treasure Mountain,” with six guiding principles, was a supplement. The thorough exposition gave a theoretical summary of the Kunqu opera performance from various aspects, covering singing, reciting, acting, dancing, hand gestures, eye movements, body postures, techniques of maneuvering the body and gait. During the Qianlong Period in the Qing Dynasty, the costumes and stage props of Kunqu opera were finally standardized. They were designed and formed into suites for the convenience of stage performance, which were symbolic rather than copying real life. In this way, the same costumes and stage props could be used at any time, no matter in which historical period the staged story took place. In addition, the makeup of Kunqu opera also became strictly standardized into junban (light makeup), lianpu (face painting), bianlian (rapid change of facial masks), and rankou (whiskers). As for the stage itself, it was usually shaped like the Chinese character “凸,” with three facets exposing to the audience. The backstage was separated from the exposed parts by a bulkhead. On the back wall of the stage hung a heavy decorative

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curtain called taiman or shoujiu. On each side of the stage there was a door used for entrances and exits respectively. Horizontal inscription boards and vertical boards of couplets hung not only on the upper part and both sides of the stage, but also on each pillar. In the acting area on the stage, a desk and two chairs might be the only props when the play intended to show an indoor setting. If the plot took place in an outdoor setting, there could be either nothing at all on the stage, or a feint bridge, pavilion, tower or city entrance signified with a few desks and chairs. Such a stage format was shaped out of the Chinese tradition of placing actors in the central position, highlighting an important feature of Chinese drama performance. The system was perfected in Kunqu opera. Kunqu opera reached its peak during the periods under the reigns of Emperor Kangxi and Emperor Qianlong. However, it started to wane in the periods of Emperor Daoguang and Emperor Guangxu. In the 1920s, the Suzhou Academy of Kunqu Opera Study was set up by drama artists Yu Sulu, Xu Lingyun, Mu Ouchu, and others. At the end of the Qing Dynasty, senior Kunqu actors such as Shen Yuequan, You Caiyun, Wu Yisheng and Shen Binquan were engaged in the training of more than sixty Kunqu actors belonging to the Chuan Generation (there was a Chinese character “Chuan” in the middle of their stage names, meaning “carrying on”). These actors could be regarded as the foremost successors of traditional Kunqu opera and the predecessors of modern Kunqu opera. Since the 1950s, four more generations of Kunqu actors have been trained through the efforts of Yu Zhenfei and other famous actors of the “Chuan’s Generation.” Nowadays, there are seven professional Kunqu opera troupes in the country, giving touring performances frequently around mainland China, Hong Kong, Taiwan, or even overseas. In May, 2001, Kunqu opera was placed in the list of “Master Piece of Oral and Intangible Heritage of Humanity” by the United Nations Educational, Scientific and Cultural Organization.

Beijing Opera The Formation and Growth of Beijing Opera In spite of its name, Beijing opera did not originate in Beijing. Based upon the local tunes of Anhui Province and the Han tunes of Hubei

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Province which spread into the capital city from southern China, it absorbed facets of other theatrical arts such as the popular local drama genres bangzi, the Beijing tune, Kunqu opera and native dialects to evolve into a totally new type of opera. In talking about the evolution of Beijing opera, it was necessary to start from the “Sanqing Troup” in Anhui which went to Beijing in the fifty-five year of the reign of Emperor Qianlong to celebrate the Emperor’s birthday. As the performance was warmly welcomed in the capital, many other Anhui opera troupes went to Beijing. Among them, Sanqing (Three Celebrations), Sixi (Four Blisses), Hechun (Vernal Spring) and Chuntai (Spring Stage) were the most renowned as the four best Anhui opera troupes. Anhui opera originated in the Anqing area in southern Anhui Province. Its flourishing was, to a great extent, due to the support of local businessmen. Apart from erhuang, a local Anhui tune, those opera troupes also used other tunes in their performance, catering for the tastes of different audiences. The plays these troupes put on the stage covered a wide range of subjects. Easy to understand, they soon grew very popular among the common people. The actors were not only good at adapting the merits of other operas, but also paid special attention to the needs of the audience. In Beijing, for example, the actors soon incorporated the Beijing accent in their singing and recitation to satisfy local residents. The Anhui opera performances in Beijing were the forerunners of Beijing opera. However, it was not until the arrival of Han opera from Hubei Province that Beijing opera was born. Han opera, also called the han tune, was a local opera popular around the Hanshui River in Hubei Province, which circulated into Beijing at the end of Emperor Qianlong’s reign. There had already been frequent mutual exchanges between Anhui opera and Han opera; so, when the Hanshui actors went to Beijing, they joined the Anhui troupes there rather than set up their own troupes for performances. The merging of Anhui opera and Hanshui opera created the conditions for Beijing opera to evolve. The major tunes of Han opera were xipi and erhuang. Xipi was derived from bangzi opera in Northwest China. Erhuang originated from Jiangxi Province, spread into Anhui Province, and extended further into the provinces of Hunan, Hubei and Guangxi. This explained why the two tunes were also jointly called the hu–guang tune. Xipi was a northern melody, whereas erhuang was from the south. Having been

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polished by actors from Hanshui and Anhui, the two were merged into pi–huang tune (sometimes referred to as han tune or chu tune). Ye Diaoyuan described the pi–huang tune in his Bamboo Branch Songs at Hankou (written in 1850, the thirtieth year of the reign of Emperor Daoguang): With instruments of yueqin, xianzi and huqin, What a perfect harmony they are reaching! The tune shifts so well with the plots, With joy it smiles, when sad, it deplores. For singing, fandiao’s sad tune sounds weeping, Erhuang chants slowly, and xipi goes sweeping; Daoban pitches high, and pingban falls down, Each sound is round, clear and dragged far and long.

Widely recognized around Hankou, the han tune began to circulate throughout China. Although the pi–huang tune did exist in Anhui opera, it was not fully developed. The merging of the Hanshui and Anhui troupes enriched and reformed the Anhui opera tunes. Under such an influence, the performance given by the Anhui troupes gradually changed from a jumble of different tunes into a new musical form with pi–huang as the main tune. As for the techniques of singing and reciting, the rules in the book Pronunciation in Central China became the standard. The local pronunciation in Hubei was maintained for the four tones, and some Beijing accents were assimilated to promote communication between the actors and the audience. Thus a received criterion for performances by the Anhui troupes was established. With fifty to sixty years of development from 1790, the years between 1840 and 1860 witnessed the birth of Beijing opera with its own characteristics in theatrical programs, tunes, articulation and performing arts. In respect to music, an integrated system had been worked out by the Anhui opera troupes. In this system, the pi–huang tune played a major role, and the auxiliary tunes were the Kunshan tune, the chui tune, bozi and nanluo. At that time, the tunes and beats of both xipi and erhuang had grown quite sophisticated. As for the pronunciation on stage, the acquisition and assimilation of the Beijing accent became a new feature. During the reigns of Emperor Daoguang and Emperor Xianfeng, the Beijing dialect was gradually absorbed into Anhui and Han operas in the

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capital, and finally became an integral part of the performances. At that time, some regular patterns of pronunciation became fixed, for example, “shisan zhe,” “yunbai,” “shangkou zi” and “jiantuan zi.” Shisan zhe was a set of thirteen rhyming categories for singing and reciting verses in dramas. They were based on the characteristics of the Anhui dialect, the Hankou dialect and some Beijing pronunciation. Yunbai was a unique way to articulate dialogues on the stage in the four tones of classical Chinese. It drew on the opera tunes of Anhui, Hankou and Kunshan (with the Hubei dialect as the strongest element). It also employed the characteristics of the Beijing dialect to sound more melodious and understandable to the Beijing audience. The term shangkou zi referred to a special way to articulate yunbai in Beijing opera. Actually, they retained traces of certain local pronunciation from Kunqu opera and Hankou opera during the development of Beijing opera, and some were the products of a blend of the three source dialects. In short, shangkou zi was a unique phonetic standard for stage. Jiantuan zi referred to another standard to pronounce the initial consonants of some Chinese characters. The correct way to pronounce jiantuan zi was mandated in Pronunciation in Central China, which was a phonetics book compiled in the Yuan Dynasty on pronunciation in the capital city, especially for the singing and reciting of northern dramas. In short, the combination of the Beijing accent and the hu–guang dialects finally brought about the standardization of singing and speaking in Beijing opera. In regards to the play programmes, many were designed exclusively for Beijing opera. The themes were broader, with politics and history as the favorite topics. As for the scripts, they were more abundant, vivid, and had some distinctive features as compared with the pi–huang scripts. For example, the language for Beijing opera scripts was clearer and more standardized, with fewer dialects. Beijing opera used standard stage settings and props, costumes and make-up. All these marked the independent status of Beijing opera. Three outstanding figures—Cheng Changgeng, Yu Sanshen and Zhang Erkui—made remarkable contributions to the development of Beijing opera, for which they were duly credited as “the former top three lao sheng in Beijing opera” and “the tripartite talents in Beijing opera.” Cheng Changgeng was born in Qianshan, Anhui Province. He went to Beijing in the twentieth year of the reign of Emperor Daoguang (1840), and was famous for his acting of Zhao Lian in the Famen Temple, Lu Su

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A galaxy of brilliant stars commonly known as “The Thirteen Peerless of Beijing Opera”

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in Borrowing Arrows, Wu Yun in The Wenzhao Pass and Liu Zhang in Yielding Chengdu. During the reign of Emperor Xianfeng, he took the lead in the four best Anhui troupes and was respectfully addressed as “Big Boss.” In his singing, Cheng Changgeng merged the Kunshan tune and the Yiyang tune into pi–huang, representing the Anhui style among lao sheng actors. Yu Sansheng (1802–1866), who came from the Luotian area in Hubei Province and went to Beijing during the reign of Emperor Daoguang, was the leading lao sheng (middle-aged or old male character) actor in the Chuntai Troupe. He excelled in playing the role of Huang Zhong in the play The Dingjun Mountain, Yang Silang in Silang Visits His Mother, Yang Linggong in Knocking against the Stele, and Chen Gong in The Capture and Release of Cao Cao. He mainly applied pi–huang from the han tune in his singing, merging it with polished erhuang from the Anhui tune. His innovation was adopted both in the xipi tune and the fandiao of the erhuang tune in Beijing opera, which won him the honor of the greatest contributor to the improvement of the singing tunes. Zhang Erkui (1814–?1860), a native of Zhili (today’s Hebei Province), was the chief lao sheng in the Sixi Troupe. He was famous for his performance in The Golden Water Bridge and The Taming of the Princess. Zhang Erkui represented the Beijing style at that time. His singing was mainly in the Beijing accent, magnetic and firmly articulated. Together with the emergence of the lao sheng, wind instruments in Beijing opera were finally replaced by string instruments; and on the stage, the three styles of Anhui, Han and Beijing became more harmonious and unified in pronunciation, rhyme, singing and chanting. During the reigns of Emperor Tongzhi and Emperor Guangxu, the “later three top artists” of Beijing opera—Tan Xinpei, Jiang Guifen and Sun Juxian were celebrated in Beijing. Their popularity also marked the greatest splendor of Beijing opera. Tan Xinpei (1847–1917) was a native of Wuchang in Hubei Province. He first learned to act wu sheng and switched to acting lao sheng. In the early years of the reign of Emperor Guangxu, Tan Xinpei joined the Sanqing Troupe. In the thirteenth year of the reign of Emperor Guangxu, he was transferred to the Sixi Troupe. He combined the hu–guang accent and the pronunciation in Central China to form his own articulation style, which gained wide recognition as a model tune in Beijing opera. Tan Xinpei incorporated the singing techniques of other role types into his arias, giving them a rich variety. His singing was sonorous in vocal inspiration and soft.

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Wang Guifen (1860–1906) was born in Hanchuan, Hubei Province. His voice was so resonant that it sounded as if it could shake the clouds. Sun Juxian (1841–1931), once an amateur actor from Tianjin city, became a professional in his thirties. His voice was rich and loud like thunder, and his singing was powerful, majestic and emotional. From about 1917 to 1938, Beijing opera advanced to its most splendid era, during which many new plays were performed. Performing techniques were honed, and many outstanding artists appeared: Yu Shuyan, Yang Xiaolou, Mei Lanfang, Shang Xiaoyun, Xun Huisheng and Cheng Yanqiu, to name only a few. A galaxy of brilliant stars shone on the stage in this golden period. The scripts of Beijing opera mushroomed as well; more than five thousand are still extant.

Role Types in Beijing Opera Beijing opera followed the traditions of classical Chinese operas, and was developed on the basis of Kunqu opera and many other local operas. Accordingly, the characters on its stage were divided into sheng, dan, jing and chou, the four major role types, according to their sexes, personalities, ages, occupations and social status (In the early phase of Beijing opera, there used to be sheng, dan, jing, mo and chou five major categories. Later, sheng and mo merged into one.). Different role types had their specific features in singing and other aspects of performance. Sheng—sheng was a type of male role subdivided into lao sheng, xiao sheng, wu sheng, hong sheng, and wawa sheng. Except for hong sheng and wu sheng, the others performers’ facial paint was very light to make the figures look good. Therefore, this type was called jun ban (handsome make-up). (i)

Lao sheng—also called xu sheng or huzi sheng (characters with whiskers). Lao sheng actors mainly played middle-aged or old male roles. In terms of performance, lao sheng specialized in singing, acting or acrobatic fighting, respectively.

(ii) Hong sheng—lao sheng with face painted red. (iii) Xiao sheng—actors played the part of young male characters. They did not wear whiskers, and their stage appearance was usually delicate and handsome. One distinguishing feature of

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their performance was the application of both true voice and falsetto in singing. Falsetto was a specially trained voice, which sounded shrill and high-pitched. Xiao sheng could be subdivided into wen xiao sheng (the civil role) and wu xiao sheng (the acrobatic role). The civil type could be further categorized into xiao sheng wearing gauze hats, who were usually young scholarly-officials. Xiao sheng holding a fan in his hand was usually a figure in a love story, impressing the audience with his easy and elegant bearing. Xiao sheng, with two long feathers on his head as decoration, was usually of handsome and martial bearing. As for wu xiao sheng, it could be further divided into those in long garments, wielding long-handed weapons, and those in short costumes, fighting at close range with short weapons. (iv) Wu sheng—actors played characters good at martial arts. It could also be subdivided into wu sheng in long garments and wu sheng in short costumes. Wawa sheng actors played the part of little boys. Dan—The dan actors played different types of female roles with different social status, ages and personalities. The roles of dan could be further divided into qing yi, hua dan, hua shan, wu dan and lao dan. (i)

Qing yi—also called zheng dan, played the part of young or middle-aged female characters, who were usually demure and dignified, such as understanding wives, loving mothers, chaste widows, etcetera. Most qing yi actors wore black garments, the reason why qing yi had the alias qing shan (black garment).

(ii) Hua dan—The cheerful young Most hua dan short trousers, colors.

actors of hua dan played the part of lively and females with witty mind, and quick motions. actors wore short costumes like short gowns, short coats and short skirts, always in bright

(iii) Hua shan—The hua shan actors combined the performance of qing yi and hua dan. Instead of emphasizing either singing or acting in the performance, hua shan actors paid attention to both aspects.

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(iv) Wu dan—The wu dan actors played the part of female characters good at martial arts. Wu dan could likewise be divided into two types: wu dan in short costumes and usually not riding a horse, and wu dan in long garments, helmets and armor, usually riding a horse. Since the character often held a short sword in her hand, a wu dan in a long garment could also be called dao ma dan (the dan character, riding a horse with a sword in hand). (v) Lao dan—actors played the part of old female characters. Jing—also called hua lian (characters with painted facial make-up), took the male roles. Jing could be further divided into zheng jing, fu jing and wu jing. (i)

Zheng jing—also called da hua lian (the firstrank hua lian), usually specialized in singing in their performance and were often addressed as singing hua lian.

(ii) Fu jing—included jia zi hua lian (minor painted face role) and er hua lian (the second-rank hua lian). The acting style of er hua lian was similar to that of the clown. Sometimes, fu jing also played the part of some humorous or cunning characters. (iii) Wu jing—also called wu er hua or shuai da hua lian, who specialized in acrobatic fighting. The actors might not be very good at singing or reciting.

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Performance of Jing

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Chou—the clown, also called xiao hua lian (little hua lian) or san hua lian (the third-rank hua lian). This was a lower rank than da hua lian (the firstrank hua lian) and er hua lian (the second hua lian) of jing actors. Chou could play both evil characters and kind figures. Their roles portrayed insidious, cunning and selfish persons, and upright people with sharp wits and good humor Performance of Chou could be depicted vividly as well. In traditional opera, the parts of people with low social status such as fishermen and messengers were usually acted by chou actors. Their individualities often shared the features of being humorous. Chou, too, could be subdivided into the civilian clowns and clowns with martial skills.

Lianpu in Beijing Opera “Lianpu” (painted face) was an important part of make-up in Beijing opera. It distinguished the dispositions of different roles and revealed their moral qualities via exaggerated colors and lines. Of the four roles, sheng, dan, jing and chou, only jing and chou roles had elaborate lianpu, while sheng and dan usually just wore light make-up. The origin of lianpu can be traced back to the Tang Dynasty, when actors in dances wore masks and in the roles of fu jing in the canjun comedy painted colorful patterns on their faces. Nanxi (southern opera) and zaju (variety play) inherited this tradition. But at the beginning, it was a very simple make up composition. For example, a white stain in the center of a face was used as a nose, two white rims as eyes, and a few black lines as wrinkles on the forehead. With the development of drama, lianpu became more elaborate, complex and varied. Lianpu could be classified into several major types, and more subtypes were developed in combination with the characters and

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dispositions of different roles. The composition of each lianpu was designed in accordance with the appearance and characters of the role in the play. The basic types were: whole-face, three-tile face, lopsided face, crown face and fabled face. The last type was used for the images of gods or monsters in fairy tales. These faces were so painted as to offer a vivid hint of what beings they were meant to represent. The monkey face in The Journey to the West was perhaps the most renowned face painting. Each different color for lianpu had its own symbolic implication. In general, color was a symbol of the character’s nature. For instance, red meant loyalty and bravery; black implied justice and Actor wearing lianpu power; yellow denoted cruelty and viciousness, though this did not mean that the colors had a definite one-to-one correspondence to their symbolic meanings.

Artistic Features of Beijing Opera Comprehensiveness—Beijing opera was a comprehensive artistic form covering chang (singing), nian (reciting), zuo (acting) and da (acrobatic fighting). Nian could be further divided into two categories according to different accents of its language, namely, yunbai (literally, rhymed speaking) and jingbai (literally, speaking with the Beijing accent). Yunbai developed from the accents of Hubei and Anhui—melodious, semi-classic and fairly elegant. Yunbai was usually used in roles from high social classes. Jingbai, on the other hand, was based on the Beijing accent. It sounded clear and straightforward, and was generally used in roles with low status. Zuo included body postures, eye expressions, solo dance,

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group dance, etc. As for the dances, some were real stage dances, but most were artistically transformed life routines. Da (literally, fighting), a mixture of martial arts and acrobatics, could be used in scenes of gongfu competition and fighting. Simulation—In Beijing opera, characters’ acting and stage settings were mostly simulated. Among these simulated acts, some were the imitation of reallife behavior such as door-opening, door-closing and drinking. Such acts were similar to real life. Others, a larger and more important proportion, were of generalized and exaggerated actions, quite different from those in real life. For example, the act of spurring a galloping horse on a Beijing opera stage could be implied through a sequence of actions, including running around, turning back, whipping the horse and reining it in. On the stage, actors used such actions to express the feelings and manners of the characters. Beijing opera also used pretend settings. For example, in acting dooropening and window-opening, there were no real doors or windows; a scene where boats floated along a river was conveyed through the characters’ acting. The settings were created and carried along with the actors when they came up and acted on the stage. By using their imaginations, the audience could grasp the situations and background of the story. In addition, the performance of Beijing opera could transcend the limitations of time and space. On stage, the most important parts were always highlighted: A flash of thought could be expressed in long singing, while walking around the stage could mean a journey covering thousands of miles. Two events that happened at different times and locations could appear on the stage simultaneously. Formalization—meant that many acts borrowed from real life gradually became fixed and standardized on the stage to be observed by actors and accepted by the audience. For example, if death, or fainting due to shock, sorrow or despair had to be expressed, the actor had to do a formalized act called “jiangshi dao” (dead-body fall). He would fall backwards (sometimes frontwards) like a corpse, with his whole body looking quite stiff. Exaggeration—Acting in Beijing opera also featured exaggeration. Even a simple act in real life, such as pointing with a finger, was embroidered into a series of acts with both fingers and eye expressions.

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The manner of speaking in Beijing opera was also overacted in diction, intonation and rhythm. It could be said that exaggeration was involved throughout the whole performance of Beijing opera.

The Four Famous Xu Sheng Actors The lao sheng role, from its early phase of Cheng Changgeng, Yu Sansheng and Zhang Erkui, was originally the three styles ranged by regions—Cheng’s Anhui style, Yu’s Hanshui style, and Zhang’s Beijing style. Not until the time of Tan Xinpei did the Tan style, characterized by individuality, come into being. In the 1920s, four famous lao sheng actors—Yu Shuyan, Yan Jupeng, Gao Qingkui and Ma Lianliang became very famous, each with his own style. Yu Shuyan (1890 –1943) , brought up in a family of Chinese opera artists, made his stage debut when he Yu Shuyan was only fifteen. His voice, though without the volume as Tan Xinpei’s, had a special charm and richness, strong and pleasant. In addition, his acrobatic fighting skill was well honed, and his performance was delicate and touching. Yu Shuyan’s many successes included Searching for and Rescuing the Orphan, The Battle at Taiping, Disturbing Official’s Mansion after Asking Woodman the Way, and The Undefended City Ruse. Yu Shuyan’s vocal technique influenced all the lao sheng styles developed since the 1930s. Yan Jupeng (1890–1942), of the minority Mongolian nationality, worked in the Mongolian–Tibetan Institute of the Qing government. Initially a renowned amateur, Yan Jupeng finally joined a drama troupe to become a professional. In the beginning, he was noted as “a genuine

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Yan Jupeng (right)

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xu sheng of the Tan style.” Later on, he developed a new tune of his own with fluent rises and falls and delicate expressiveness, building on Tan’s vocal style and his own voice style with the singing and reciting techniques of qing yi, xiao sheng, and the local art of jingyun dagu (monologue story telling in the Beijing dialect, accompanied with a special drum). He attached great importance to the small changes in singing modes to underscore different characters. He excelled in acting roles in Zhuge Liang Mourning Zhou Yu and Yielding Xuzhou. Gao Qingkui (1890–1942) began his career on the stage at the age of twelve. Born in a well known family of Chinese opera artists, he also inherited the Tan style in the beginning. Then, based on his own vocal style, he adopted singing techniques from Liu Hongsheng, Sun Junxian, etc. to form his special Gao style. His voice was loud and sonorous; his reciting had a clean and clear rhyme. With such advantages, he excelled in expressing intense and solemn sentiments. Another remarkable merit of Gao Qingqui was his continuous learning from other styles. His best roles included The Xiaoyao Stream, Crying at the Royal Court of Qin and Shi Kefa. The Ma style, so named because of the leading figure Ma Lianliang (1901–1966), was one of the most influential lao sheng styles. Succeeding Tan Xinpei and inheriting Yu Shuyan and many other artists of the older generation, Ma Lianliang developed his celebrated style. His voice was melodious and pure, and his singing was well-controlled and relaxed. Different from the styles of Yan and Yu, which insisted on the HuGuang accent and the modulation of Central China as the only accepted model for speaking on the stage, Ma Lianliang applied the Beijing accent, making his performance more lucid and lively. Zuo acting of his style was characterized by elegance and ease. Ma Lianliang also focused on innovating play scripts, not only presenting new programs but also upgrading traditional programs with adjustments and supplements. Moreover, he paid much attention to the costumes, props and stage decoration. Ma Lianliang’s tune was spread widely, and the roles he played were uanimously acclaimed, such as Kuai Che in The Barracks by the Huai River, Xiao En in The Fisherman’s Revenge and Zhuge Liang in Three Visits to the Thatched Cottage. Along with Yu, Yan, Gao, and Ma, there were other outstanding Beijing opera artists described in the saying—“Southern Qi, Northern Ma and Tang beyond the Great Wall,” “Southern Qi” referred to Zhou Xinfang, “Northern Ma” referred to Ma Lianliang, and “Tang beyong

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Ma Lianliang (right)

the Great Wall” referred to Tang Yunsheng. They represented the three major styles of lao sheng in Beijing opera formed in the three regions of Shanghai, Beijing and Northeast China. At the end of the 1930s, Yu, Yan and Gao left the stage, while Ma Lianliang, Tan Fuying, Yang Baosen and Xi Xiaobo took the lead in Beijing opera and were known as “the later four famous xu sheng actors.”

The Four Most Famous Dan Actors The various dan styles also underwent a long development process. During the reigns of Emperor Tongzhi and Emperor Guangxu, among “The Thirteen Peerless of Beijing Opera,” dan actors like Mei Qiaoling, Yu Ziyun, Shi Xiaofu and Zhu Lianfen had already gained great reputations. However, their styles were not then fully formed. It was not until the end of the Qing Dynasty and the birth of the Republic of China, that the acting of dan as an art form was enhanced thanks to the efforts of Wang Yaoqing. Under his guidance, famous dan actors such as Mei Lanfang developed into brilliant stars.

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In 1927, the Beijing daily newspaper the Shuntian Times held a readers’ poll to choose the best dan actors of Beijing Opera. The results placed Mei Lanfang, Shang Xiaoyun, Cheng Yanqiu, Xun Huisheng, Xu Biyun and Zhu Qinxin as the top six in the list. Not long after that, Zhu Qinxin and Xu Biyun left the stage. The remaining top four dan actors continued with their growth, gaining a solid position on the stage. In 1931, The Great Wall Record Corporation invited Mei, Cheng, Xun, and Shang to make a gramophone record— Si Wu Hua Dong. Their position as the top four dan actors gained nationwide recognition, which was praised by their contemporaries and celebrated throughout the country. The Mei style, the representative figure of which was Mei Lanfang, exerted an enormous influence on the acting of dan roles. Mei Lanfang (1894–1961), born into a family of famous opera actors, was the grandson of Mei Qiaoling, one of The Thirteen Peerless of Beijing Opera actors during the reigns of Emperor Tongzhi and Emperor Guangxu. Mei Lanfang’s voice was mellow and melodious, and his stage appearance dignified and charming. Naturally gifted and well trained, Mei Lanfang’s acting reached the very summit of the dan performing art. Mei Lanfang’s singing was relaxed and his reciting was very expressive; his poise was exquisite; his manner was graceful, elegant and natural. His performance fascinated audiences, thus overturning the dominance of sheng on the stage of Beijing Opera. In many aspects of the dan performing art, Mei Lanfang’s great contribution was to end the convention that qing yi stressed only the singing aspect, but body postures and facial expressions were often ignored. He composed a large number of tunes and melodies. He imported the Kunqu facial expressions, poise, gait, and simultaneous singing and dancing into Beijing Opera to enhance its expressive effect. He broke the traditional patterns of making up and worked out many new stage appearances for dan actors wearing ancient costumes, many of which are still in use today. He advocated the accompaniment of jinghu (a two-stringed bowed instrument with a high register) assisted with erhu (a two-stringed bowed instrument with a lower register than jinghu) for dan actors’ performances, to enrich the acoustics of Beijing Opera. During his lifetime, Mei Lanfang created a great number of stage images of classical women, gaining great fame for plays such as The Drunken Beauty, Farewell to the Concubine, The Cosmos Sword and The Goddess of the Luo River.

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Mei Lanfang (right)

Cheng Yanqiu (1904–1958) excelled at performing tragic female characters from the middle and lower classes, with tender natures and great underlying strength. Their emotions and sentiments were portrayed precisely. When his voice turned hoarse at puberty, he created a novel singing technique, pioneering a new sphere for dan singing. In terms of facial movements, Cheng Yanqiu excelled at using his eyes to deliver subtle feelings. His most successful plays were Tears on the Barren Hill, The Tale of Hong Fu, Estrangement between Father and Daughter and The Injustice Done to Dou E. Xun Huisheng (1900–1968) was trained for Hebei bangzi opera when he was young and transferred to Beijing opera later. His singing was soft and sweet, with enriched tonic flavors from other local dramas. In terms of acting and body postures, Xun Huisheng was accomplished especially in demonstrating the unique manners of young girls’ delicate acts such as bending one’s head, playing with one’s fingers, tapping one’s chest and various eye expressions. All helped enliven the acting of dan actors. Most of the roles Xun Huisheng played depicted the tragic lives of women, such as the characters in Miss Du Shiniang, The Phoenix

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Hairpins, Jin Yunu Beats Her Fickle Husband, and The Two You Sisters in the Red Mansions. Shang Xiaoyun (1900–1976) initially played the wu sheng role and switched to playing dan roles later. He could bring out a special female charm through his robust singing and acting. The plays he performed on the stage, such as Zhaojun’s Journey across the Frontier, The Red Silk, and Mad after Losing Her Son, mostly depicted rebellious female figures.

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