The Annals of Lü Buwei 9780804763981

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The Annals of Lii Buwei 8~-*:f~

He, therefore, wrote his prolegomena, And, being full of the caprice, inscribed Commingled souvenirs and prophecies. He made a singular collation. WALLACE STEVENS

The Comedian as the Letter C

The Annals of

Lii Buwei • A COMPLETE TRANSLATION AND STUDY BY

John Knoblock and Jeffrey Riegel

Stanford University Press Stanford, California

Stanford University Press Stanford, California © 2000 by the Board ofTrustees of the

Leland Stanford Junior University Printed in the United States of America on acid-free, archival-quality paper

Library of Congress Cataloging-in-Publication Data Lii shih ch'un ch'iu. Chinese and English. The annals ofLu Buwei /translated, annotated, and with an introduction by John Knoblock and Jeffrey Riegel. p.

em.

Chinese and English. Includes bibliographical references and index. ISBN o-8047-3354-6 (alk. paper) I. Lii, Pu-wei, d. 235 B.c.

II. Knoblock, John.

III. Riegel, Jeffrey.

PL2663.L8 E5 2000 I8I 1.II2-dC21 99-042242 Designed by Sandy Drooker and Typeset by Birdtrack Press Original Printing 2000

IV. Title.

This Book is Dedicated to

Albert E. Dien and David Shepherd Nivison ~mFfffl}gffi~l!:fZP!t' ~iiD=FWJBffi~\!:1 2. {'(§ •

~JH:! 1' FkJ ' ~±:k:K~mHt=FW ~

ffiP!t ZA '

- Xunzi, "Dalue"

·

In the last century there have come to light several bronze weapons bearing the name Lii Buwei that were cast during the time he served as Chancellor of Qin. Archaeologists digging in the vicinity ofBaoji in western Shaanxi unearthed some ofthese weapons. Others, such as the dagger-axe shown here, are of uncertain provenance but have long languished in the storerooms of famous museums. One side of the weapon's short dagger is incised with an inscription that reads: "Manufactured in the fifth year [242 B.c.] by State Chancellor Lii Buwei who officially commissioned Chief of Diagrams Zhi and Artisan Yin?' Two other inscriptions on the reverse side of the dagger's blade (not shown here), one cast and the other incised, identifY the weapon as "Officially Commissioned" and the "Property of the State?' Reproduced from Sandai jijin wencun (1936) 20.28.2-29.1.

Preface

The Liishi chunqiu is a work of unique importance in Chinese thought. The title literally means the "Spring and Autumn of Mr. Lii." "Spring and Autumn" derives from the name of the chronicle of the state of Lu that Confucius was generally thought to have written or compiled to express his judgments of history. The term really meant the activities of the year, and works with the title "Spring and Autumn" were generally Annals. The Liishi chunqiu was written under the direction ofLii Buwei, who began life as a merchant and became regent of Qin during the minority of the First Emperor. He envisaged the work as a philosophical manual for the universal rule of the coming dynasty. The work was intended to comprehend every aspect of philosophical thought that bore on the task of government, on the education and role of the ruler, and on the values that the government should practice and teach. He thus sought to show rulers how to govern well, knights and ministers how to act nobly and serve honorably, and everyone how to realize the endowment that Heaven had given them. Lii represented his work as a new philosophical path, the Dao ofZhuanxu, an ancient god euhemerized, by the third century B.c., into an ancient ruler. Lii was evidently proud of his achievement. A probably apocryphal story claims that he offered a thousand measures of gold to anyone who could add even a single word to it. Lii understood that the universe sets absolute conditions within which we must operate and that society and individuals can flourish only when they conform to the pattern of Heaven and Earth. In conceiving the Liishi chunqiu, he sought guidance from everyone and everything that had something to offer. But he did not promiscuously accept whatever was offered. [vii]

viii

PREFACE

Rather he accepted only those things that would help him meet the test he had set for himself: to write a philosophy for a universal state and society recognized as just and right by everyone. He endeavored to ground his ideas in the most difficult and abstruse speculations -"the teaching that does not instruct,/the lesson without words"-so that, like the ancient lords of the Dao, he might grasp the true nature of fate. While his work is often characterized as an "encyclopedia" that collects, and thus preserves, the thought of earlier philosophers, many of whom are otherwise unknown, a close study of the work demonstrates that from beginning to end there is a unity of conception. The disorganization of the text, which has been wrongly interpreted as evidence of its syncretism, is the result of its incompleteness. Lu finished only the ''Almanacs" section to which he wrote the Postface. The remainder of the work was hurriedly assembled during his exile, and its writing ended altogether with his suicide and the subsequent dispersal of his retainers. From the fragment that survives, however, the original design can be discerned and the richness of its philosophical thought amply demonstrates that the Lushi chunqiu belongs in the first rank of classical Chinese philosophy. In the introductory chapters we provide a biography ofLu Buwei and a summary of the major features of the text. We aim here to provide a complete translation in a convenient form that will serve the needs of the general reader while providing the scholar with the information necessary to understand the decisions we have made in translating the text. The ritual calendar, which is presupposed in the Almanacs, is described in Appendix C. To assist the reader in dealing with the many people mentioned in the text, we have provided a glossary that identifies every individual and have supplied additional notes that provide detailed information on certain passages, where this seemed advisable. We have also translated the portion of Gao You's Preface that describes his work on the text and the fragments of the Lushi chunqiu that Jiang Weiqiao collected in the final section of his Lushi chunqiu hui.fitW. As navigational tools for the further study of the text, a list intended to aid the reader in locating individual chapters and an appendix on textual parallels are included. While we reject the idea that the Lushi chunqiu is a syncretic text compiled largely or entirely from preexisting texts belonging to identifiable pre-Qin schools, we have outlined the views of Chen Qiyou regarding the schools with which individual chapters are affiliated so that the reader can form an independent judgment.

PREFACE

IX

In order to minimize the annotations, we provide a complete Chinese text of the original with annotations on the readings that we follow. The Chinese text is based on the critical edition of Chen Qiyou, who not only studied the work of virtually all previous scholars but contributed many original insights. We have generally adopted his text, but in every case of emendation we indicate the authority we have followed, and the exact reference can always be found in the notes in Chen's edition. We have therefore not repeated Chen's argument, on the assumption that scholars who wish to pursue the matter will naturally prefer to consult the original. The editorial conventions for textual emendation are adapted from those used by John Knoblock in his Xunzi volumes and are summarized in the list of abbreviations on p. xxi. We encourage readers interested in locating technical terms and other items in the text to avail themselves of the electronic database compiled by the Academia Sinica in Taiwan (http://www.sinica.edu. tw/ftms-binjftmsw3 ). At the Academia Sinica site, readers can search the entire text of the Chen Qiyou edition of the Liishi chunqiu we have adopted as the base text for our translation. Since we use Chen Qiyou's book, chapter, and paragraph divisions, search results can easily be identified with passages in our translation. Translating a work the size oftheLiishi chunqiu-some 120,000 characters, twice the size of the Xunzi, four times that of the Mencius, and ten times that of the Lunyu- posed a difficult challenge. Without the help and guidance of friends, colleagues, and librarians, this study could never have been undertaken, much less completed. Our basic research was carried out at the East Asian Library, University of California, Berkeley, and we are grateful to the library staff for their unfailing assistance. Much of the final production of the manuscript was done at the Dwindle Computer Research Facility of the University of California, Berkeley, and we are grateful to the director and technical staff for the use of their equipment and for providing us with technical assistance. Our research assistants-Xie Zaixin jf::(:EJVz, Yan Luguan ~Jftli!l, Daniel Garcia, and Imre Galambos- helped in the gathering of the secondary materials, the preparation of the Chinese text, and the compilation of the Bibliography. Other students who generously helped in the preparation of the manuscript are Attilio Andreini of the University of Venice and Eric Critser of the University of California, Berkeley. We are extremely grateful to Professor Francesca Bray of the University of California, Santa Barbara, for her valuable suggestions on the correct rendering of the many difficult passages in 26/5 and 26/6. To Professor Jane

X

PREFACE

Connolly of the University of Miami we owe special thanks for having painstakingly read and corrected the draft of the manuscript. We wish to thank Professor Sarah Queen, the Stanford reader, for many perceptive comments. We are also very much indebted to Deborah Rudolph for her careful copyediting of the entire manuscript. The University of Miami awarded John Knoblock two Orovitz Summer Fellowships, a sabbatical leave, travel grants, and research support grants. Jeffrey Riegel received from the University of California, Berkeley, a sabbatical leave and travel grants. The University's Center for Chinese Studies awarded him annual research grants during the several years required to complete this project. We are grateful to both institutions for their support. J.K. &J.R.

Berkeley March I?, I999

JOHN KNOBLOCK, co-author of this book, died on October 16,1999, in Miami, Florida. John was born in Ocala, Florida, on August 23, 1938, received his Ph.D. from Florida State University in 1962, and joined the faculty of the University of Miami that same year. Most of his thirty-seven years at the University of Miami were spent as a member of the Department of Philosophy and, at the time of his death, he was serving as Department Chair. John made a significant contribution to the study of early Chinese philosophy, most notably as the author of the three-volumeXunzi: A Translation and Study ofthe Complete Works. He did not live to see the page proofs of the present book, but his work on the book was complete and required no additions or corrections by me. He is fully this book's co-author: I recognize his voice on almost every page. John was a treasured companion, friend, and colleague. I shall miss him profoundly and feel orphaned and diminished without him.

J.R. Shanghai October 26) I999

Liishi chunqiu 12/4.I

. . . the sun shone As it had to on the white legs disappearing into the green Water; and the expensive delicate ship that must have seen Something amazing, a boy falling out of the sky, Had somewhere to get to and sailed calmly on. W. H. AuDEN,Musie des Beaux Arts

Contents

Conventions and Abbreviations

XXl

Introduction The Career of Lti Buwei The Lushi chunqiu

27

PART 1: THE ALMANACS, BOOKS l-12 Bookl I/I I/2 I/3 I/4 I/5

Meng chun :tihi': ''Almanac for the First Month of Spring" Ben sheng ::$:~"Making Life the Foundation" Zhong ji m. a "Stressing the Self''

59 6o 64 67

Gui gong :1:0 "Honoring Impartiality'' Qu si *fL "Dispensing with Selfish Partiality''

70

Zhong chun 1$i': "Almanac for the Second Month of Spring" Gui sheng it~ ''Valuing Life" Qing yu '['lllftlX "On the Desires and Natural Emotions" Dang ran 1it~ "On the Proper Kind of Dyeing" Gong ming J}J1'5 "Of Merit and Fame"

77

73

Book2 2/1 2/2 2/3 2/4 2/5

Book3 3/I 3/2 3/3

Ji chun *if: ''Almanac for the Third Month of Spring" Jin shu iU& "Fulfill the Number" Xi an ji :$t; "Placing the Self First"

a

So

84 87 91 94 95 99 I 02

CONTENTS

XIV

~A

3/4-

Lun ren

3/5

Yuan dao

"Assessing Others"

~it[

"The Circularity of the Dao''

Book4 4-/I

106 109 114-

Meng xi a ~ ~ "Almanac for the First Month of Summer" Ill~

"An Exhortation to Learning"

115 II8

4-/2

Quan xue

+13

Zun shi :@: gffi "On Honoring Teachers"

121

+I+ +Is

Wu tu illl61J:E "False Followers"

125

Yong zhong Jtj 1JA "Employing the Masses"

129

BookS

132

5/I

Zhong xia frp ~ ''Almanac for the Second Month of Summer"

133

S/2

Da yue ;k ~ "Great Music"

136

s/3 sl+ sis

Chi yue

1§;~

"Extravagant Music"

Shi yin 3@1 if "Balanced Tones" Gu yue

tJ ~ "Music of the Ancients"

Book6

14-0 14-2 14-6 I 52

6/I

Ji xia *~''Almanac for the Third Month of Summer"

I 53

6/2

Yin lii if'!$ "Notes and Pitch-Standards"

I 56

6/3

Yin chu iff)] "The Origins ofTunes"

160

6/+

Zhi le iM~ "Governing Pleasure" Ming li Bjj f_lll_ "Elucidating Patterns"

163

7/I

Meng qiu ~f;k ''Almanac for the First Month of Autumn"

172

7/2

Dang bing ;(i9;- "Rattling Weapons"

175

713

Zhen luan fw IL "Ending Disorder"

178

7/4-

Jin se

7/s

Huai chong 't~ft "To Cherish and to Favor"

6/s Book7

I7I

~~"Restrictions

and Impediments"

BookS 8/r

167

I 81 184188

Zhong qiu frj:lf;k ''Almanac for the Second Month of Autumn" ~ilffml(

''A Discourse on Inspiring Awe"

8/2

Lun wei

8/3

Jian xuan fJj~ "On Choosing and Selecting"

8/4-

Jue sheng

8/s

Ai shi

~

tR:!m ''Assuring Victory''

± "Loving Knights"

Book9

189 193 196 199 202 20S

9/I

Ji qiu *f:k ''Almanac for the Third Month of Autumn"

206

9/2

Shun min JllilR; "Being in Accord with the People"

209

CONTENTS

9/3 9/4 9/5

Zhi shi ~0± "Understanding Scholar-Knights" Shen ji ~ "Examining the Self" Jing tong fft~ "On the Communication Between Souls"

c

Book10 ro/1 10/2 10/3 ro/4 ro/5

Bookll n/1 n/2 II/3 n/4 n/5

12/1 12/3 12/4 I2/5

213 215 218 222

Meng dong :;"fu~ "Almanac for the First Month ofWinter" Jie sang fl'j~ "Moderation in Burials" An si 3(7[; "Giving the Dead Peaceful Repose" Yi bao ~ W''Alternative Treasures" Yi yong ~ ffl ''Alternative Uses"

223 227 230 23+ 236 240

Zhong dong f~~ "Almanac for the Second Month ofWinter" Zhi zhong :¥,,'&,"Supreme Loyalty'' Zhong lian ,'&,~"The Loyal and Honest" Dang wu ~ "On Being Appropriate to the Circumstances" Chang jian *Ji!. "Farsightedness"

m

Book12 12/2

XV

241 244 247 250

253 257

Ji dong*~ "Almanac for the Third Month of Winter" Shi jie ±f!'i "The Code of the Scholar-Knight" Jie li ff-JI. "Standing Alone" Cheng lian ~~"Sincerity and Purity'' Bu qin ::f~ "On Being Unassailable" "Xu yi" ,Ft; ~ "Postface"

258

261 263 265

268 272

PART II: THE EXAMINATIONS, BOOKS 13-20 Book 13 13/1 13/2 13/3 13/4 13/5 13/6 13/7

277

You shi 1Ha ''The Beginning" Ying tong~~ "Resonating with the Identical" Qu you '1i::. jL "Getting Rid of Prejudice" Ting yan ll)!! § "Judging Advice" Jin ting illlll!! "Carefully Listening'' Wu ben "Devotion to the Fundamentals" Yu da ilfttr-}( "Illustrating the Great"

m*

Book14

278 282 286 289 291 295

298 301

14/1

Xiao xing ~1T "Filial Conduct"

14/2

Ben wei

*19K "Fundamental Tastes"

302 306

xvi

CONTENTS

I4/3

Xu shi WIf-f ''Awaiting the Right Time"

3II

I4/4

Yi shang ~ 11: "Proper Rewards" Chang gong ~Jj( "Emphasizing Results" Shen ren tJ!.A "Being Mindful of the Human" Yu he :ll§i; "On 'Encountering' and 'Coinciding'" Bi ji 16, "Being Certain of Oneself"

3I5

I4/5 I4/6 I4/7 I4/8

Bookl5 IS/I IS/2 IS/3 IS/4 IS/5 IS/6 IS/7 IS/8

a

*

Shen da 't~ "Being Careful When the State Is Large" Quan xun ffllfj "Weighing Merit" Xia xian T if "Submitting to the Worthy'' Bao geng ~lUI! "On Repaying and Recompensing" Shun shuo }ilj! ~ "On Making Persuasions Agreeable" Bu guang/f JJi "On Not Being Negligent'' Gui yin :RIZSI "Esteeming the Principle of Relying" Cha jin ~4- "Examining the Present"

Bookl6 I6/I I6/2 I6/3 I6/4 I6/s I6/6 I6/7 I6/8

I7/2 I7/3 I7/4 I7/5 I7/6 I7/7 I7/8

I8/2

336 337 342 347 35I 356 360 364 367

373 377 38I 385 388 393 397 400 404

Shen fenlf?t "On Examining Divisions of Responsibility'' Jun shou :;g-"1' "What the Lord Grasps" Ren shu {ffi!: "Employing Technique" Wu gong mi5 "Never Personally" Zhi du ~0 J!t "Knowing the Measure" Shen shi 'tl~ "Heeding the Circumstances" Bu er /f "No Duality" Zhi yi ¥4- "Upholding Unity''

=

Bookl8 I8/I

327 331

372

Xian shi :$'(; ~ "Foreknowledge" Guan shi ft t!t "Observing the Age" Zhi jie ~D:Ji "Wisdom Apprehended" Hui guo'~~ "Regretting Mistakes" Yue cheng ~ ffl

D

Enclosed graph (usually excrescent) should be deleted from the text. Enclosed graph should be inserted into the text, usually from a different place in the text. Enclosed graph should be inserted into the text on the basis of the reading of a parallel text. Enclosed graph should be inserted into the text on the basis of sense of text or parallelism. No corroborative evidence is available for emendation. .Enclosed graph should be understood as the graph that follows. In these instances, GE = graphic error, GV = graphic variant, LC = loan character, SF = short form, 1V = text variant, and TA = taboo avoidance. This symbol indicates a lacuna of one character in the text.

Introduction

THE CAREER OF

LU

BUWEI

The Lushi chunqiu, or The Annals of Lu Buwei, was produced under the patronage of Lii Buwei. Lii was prime minister of the state of Qin on the eve of the founding of the Qin dynasty and the unification of China into the largest and most powerful empire in Asia. In hisAnnals, Lii Buwei aimed to encompass the world's knowledge in a great encyclopedia, compiled in 239 B.c. by a group of scholars retained by him. So delighted was Lii with the finished work that he is said to have offered a fabulous prize of gold to anyone who could add or subtract so much as even a single word. The Annals ofLu Buwei is an exceptionally rich and complete compendium that recounts in engaging, straightforward, and readable prose the great variety of beliefs and customs of its time, reveals the advanced state of Chinese technical knowledge, and sets forth a philosophy of government for the centralized control that the Qin empire would subsequently establish. Today, with most of the works of classical Chinese philosophy long lost, The Annals of Lu Buwei is indispensable as a summa of all essential wisdom and as a microcosm of the Chinese intellectual world of the late third century B.c. In the Chinese tradition, a work of philosophy and the life of the philosopher had only a tenuous connection. A life of thought was a private life, the concern of the individual who lived it, and of no great moment to those interested in understanding the ideas he expressed. The work enjoyed a splendid autonomy as a thing apart, a universal construct whose ideas and insights were independent of any particular place, person, or time. The proper interpretation of a work consisted in the reanimation of the spirit of (I]

2

INTRODUCTION

its ideas and insights through the application of their universal principles to specific situations. A work would be shown to condemn, reprove, or remonstrate against some contemporary examples of ill-conceived policies, stupidity, greed, or evil, or to commend, encourage, or exhort men to wellconsidered policies, wisdom, and the good. The private life became a matter of general interest only when it entered the political sphere. An audience with a king or important minister, a memorial that was adopted as policy, and appointment to office all entitled a philosopher to the notice of history. We know that Mencius met three kings, that Xun Kuang was appointed to office by the Lord of Chunshen, and that Shen Buhai and Hui Shi were important ministers. The political career of Lii Buwei was beyond anything that his immediate predecessors might have imagined. Lii engineered the succession of a minor prince to the throne of Qin; and when that prince died after a few months on the throne, Lii became regent for his young son, the future First Emperor of Qin. Lii thus occupied a central position in the events leading to the unification of China by Qin. Lii's efforts in assembling the vast number of scholars who labored to produce his Annals brought the high culture and learning of the Central States to the frontier area of Qin. In the West, we would regard Lii as a merchantprince, a patron of culture and literature, an eminent statesman and wise counselor, a kind of Medici prince who influenced not merely Florence and Italy, but all of European civilization. But in China the facts of Lii's life, together with the fact that he was from the despised merchant class, condemned Lii in the eyes of the Han literati. They considered Qin and its unification of China an unmitigated evil. So Lii was in their eyes a parvenu and a fraud whose schemes had made possible Qin's evil. He was a baleful figure, richly deserving of condemnation and eminently worthy of ridicule and calumny. The principal source of our knowledge ofLii's biography, the Shiji of Sima Qian, written about a century after Lii's death, exemplifies this tendency. It is, accordingly, a piece of the Han propaganda campaign to malign the Qin in every possible way, and is not to be taken at face value. The basic facts of Lii Buwei's life- his background, beginnings as a merchant, rise to the position of chief minister, patronage oflearning, and demise- are known reasonably well. We possess several near contemporary sources that enable us to reconstruct his life with considerable confidence: (1) the unflattering biography composed by Sima Qian, included in his Shifi, Records ofthe Grand Historian; (2) incidental references to Lii elsewhere in

INTRODUCTION

the Shiji, most importantly in the "Basic Annals of Qin:' which paint a more objective picture; and (3) anecdotes preserved in the Zhanguoce and Shuoyuan, two Han dynasty collections edited by Liu Xiang from much earlier materials. None of these sources is entirely reliable, but a cautious reading of all the material enables us to construct an account of Li.i's life that, in the main, is probably close to historical truth. This can be done by intercollating all the materials, by translating those passages that seem to preserve accounts of genuine events, even when they include obviously invented conversations, and by supplying connecting material reasonably inferred from the narrative.

Lii Buwei and Yiren, Prince Chu of Qin Lii Buwei, a native of Puyang in Lesser Wey, the sources tell us, was a great merchant ofYangdi who traveled about buying cheap and selling dear until he had amassed a fortune of thousands of measures of gold. Merchants were not held in high esteem and, had Lii not become politically prominent, he would never have been accorded a biography in an official history. Part of the antipathy evident in the Shiji and other sources is due to the traditional aristocratic disdain for merchants and craftsmen, who were often quite wealthy, whereas learned knight-scholars, who regarded themselves as gentlemen, were often poor. Lii was evidently ambitious and aspired to a higher position than his wealth as a merchant could ever provide. This could happen only by attaching himself to a person of political importance. For Lii the opportunity came when he met Prince Yiren of Qin, who came to be known as Prince Chu, gained his confidence, and successfully contrived to have him adopted by the crown prince ofQin with the promise that Prince Yiren would ultimately become king. His Shiji biography records: In 267, the fortieth year ofiZing Zhaoxiang ofQin, the crown prince died. In 265, the forty-second year, the king made his second son, the Lord ofAnguo, crown prince. Though the Lord of Anguo had more than twenty sons, he had established as his primary wife Lady Huayang, who had been a concubine, whom he loved deeply but who had no children. One of the Lord of Anguo's middle-ranking sons was named Prince [Yiren]. Because his mother, Concubine Xia, was not loved by the Lord of Anguo, Prince [Yiren] had been sent as a hostage to Zhao. But because Qin had several times attacked Zhao, the prince was not treated with much deference.

INTRODUCTION

Further, since he was but one of many grandsons of the Qin royal family serving as hostages in the courts of the feudal lords, his equipage was poor and his stipend inadequate; therefore he lived in difficult conditions that did not permit him to realize his ambitions. When Lii Buwei was trading in Handan, he met Prince [Yiren] and, taking pity on his plight, said to himself, "This is a rare piece of merchandise that should be saved for later:' (Sf Spsos-6)

We may assume that merchants and new landowners of the day wished to share in governmental power and acquire the social prestige such service alone provided, and that Lii is representative of a general development of his time. Changes in the economic conditions of China that permitted vast accumulations of wealth and the collapse of the old social order under the relentless pressure of Qin conspired to offer the newly rich the prospect of power and prestige. Handan, situated between the Zhang and Yellow rivers, lay at the crossroads of trade between Yan to the north and Zheng and Wei to the south. It was one of the most important commercial centers of its day as well as being the capital of Zhao. Li.i fixed his future course on government service, rather than continuing to be a merchant. The rationale for this decision is elaborated on in a conversation Li.i is purported to have had with his father after seeing Prince Yiren. On returning home, he said to his father, "What is the profit on investment that one can expect from plowing fields?" "Ten times the investment;' replied his father. ''And the return on investment in pearls and jades is how much?" ''A hundredfold:' ''And the return on investment from establishing a ruler and securing the state would be how much?" "It would be incalculable:' "Now ifl devoted my energies to laboring in the fields, I would hardly get enough to clothe and feed myself; yet ifl secure a state and establish its lord, the benefits can be passed on to future generations. I propose to go serve Prince Yiren of Qin who is hostage in Zhao and resides in the city of Jiao:' (ZGC, no. 109, 7.275)

Merchant-princes were ridiculed as unscrupulous, though cunning, ignoramuses, so the remark in the Shiji, that the prince is a "rare piece of merchandise:' is intended to show that Li.i's interests involved no concern for

INTRODUCTION

principles or ideals but were motivated solely by his concern for personal profit. The goals of "securing a state" and "establishing a lord:' however, undeniably demonstrate Li.i's vision. Although the conversation is undoubtedly invented to show his callousness, such goals, we may assume, probably do reflect his actual views. His biography grudgingly admits that Lii was shrewd, and shows that he was also obviously educated, adept in the political art of persuasion, a rhetorician of considerable skill, and an astute judge of the political scene. Each of these aspects ofLii's personality and character is evinced in the plan he develops to take advantage of the rare opportunity he sees in the prince, in the way he convinces the prince to accept his plan, and in the persuasions he uses to advance the prince's cause. He then went to call on Prince [Yiren] and offered him a persuasion: "I can increase the influence of your gate?' Prince [Yiren] laughed, saying, "For the time being, your lordship should increase the influence of his own gate, and thereafter he can increase mine?' Lii Buwei responded, "You have not understood me. The influence of my gate is dependent on yours becoming greater?' Grasping his point, Prince [Yiren] drew closer, sat down, and the two of them engaged in deep conversation. (SJ 85.2506)

The conversation would have been held in confidence, but the sources provide us with a "reconstruction" of its purport, naturally varying with the source. Lii Buwei, according to the Zhanguoce, proposed: "Prince Xi is in line to succeed to the throne. Moreover, his mother resides within the harem while your mother does not, and you yourself are a hostage in a foreign country, which places you in an untenable situation. If one day the treaty to which you are hostage should be abrogated, your dead body would be fertilizer for this state's soil. But now if you will heed my plan and let me seek your remrn to Qin, it will become possible for you to possess the state ofQin. On your behalf, I will make it so that Qin must come and request you?' (ZGC, no. 109, 7.276)

According to the Shiji, the conversation proceeded with Lii arguing: "The king of Qin is old and the Lord of An guo has been made crown prince. I have heard that Anguo dotes on Lady Huayang, who is without

6

INTRODUCTION

child. The only person who will be able to establish the Lord of Anguo's heir is Lady Huayang. Now you have more than twenty older and younger brothers, occupy a middling position among them, do not receive many favors, and have long been a hostage in a foreign court. Mter the great king dies and Anguo is enthroned as king, you will have no chance to become crown prince in the struggle with your older and younger brothers who are with him morning and evening." "That is so;' agreed Prince [Yiren]. "What should be done about it?" Lti Buwei continued: "You are poor and a stranger here. You have nothing you might present as gifts to relatives or use to bind retainers to you. Though I am poor, I ask your leave to use a thousand measures of gold to travel west on your behalf and, by serving the Lord of Anguo and Lady Huayang, to have you established as their heir." Prince [Yiren] therewith bowed his head, saying, "If things proceed according to your lordship's plan, I ask that I be permitted to divide the state of Qin and share it with you." (SJ 85-2506)

Lii Buwei thereafter presented Prince Yiren with five hundred measures of gold to be used to improve his position and support retainers. He set aside an additional five hundred measures for the purchase of exotic trinkets and baubles which he would use as introductory presents in Qin (SJ 85-2507). When he reached Qin, he persuaded the Lord ofYangquan, Lady Huayang's younger brother, saying: "Your lordship is guilty of an offense for which the penalty is death. Is your lordship aware of that? Everyone dependent on the influence of your lordship's gate lives in an exalted state and holds an honored position, but not one of those dependent on the influence of Prince Xi has such prestige. Your lordship's treasuries and storehouses are filled with precious pearls and valuable jades, your stables hold the finest steeds, and your inner apartments are supplied with the most beautiful women. The king is of advanced age and one day soon he will be placed in his burial mound. Then, when Prince Xi is in power, your lordship's position will be as precarious as a pile of eggs and your life will not last out the day! I have a plan that will make it possible for your lordship to retain his wealth and honor for a million years and be as secure as the four ridges of Mount Tai, making it certain that you will have no cause for anxiety over danger or loss." The Lord ofYangquan, leaving his mat in eager anticipation, asked to hear the persuasion. Lti Buwei continued: "The king is advanced in years, Lady Huayang has no son, Prince Xi is in line to succeed to the throne, and Shi Cang

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moreover will be assisting his cause. One day soon the king will be placed in his burial mound, Prince Xi will be enthroned, Shi Cang will be in power, and the threshold of the queen's palace is certain to sprout weeds of neglect. Prince [Yiren] is worthy and talented, but he has been cast aside to live in Zhao and his mother is not living within the palace. He cranes his neck looking westward, wishing only to return home. If Lady Huayang were sincerely to request that he be placed in line for the throne, then this Prince [Yiren] who now has no country would have one and Lady Huayang, who now has no son, would have one?' Yangquan responded, "So be it!" and went to persuade the Lady Huayang. (ZGC, no. 109, 7.277)

The Shi.ji biography offers another avenue of approach, through an elder sister. The conversations, however, are reconstructions, perhaps based on later court gossip, since secrecy was necessary to the success ofLti's plan. Subsequently, Lii Buwei sought an audience with Lady Huayang's elder sister and presented all his precious objects to Lady Huayang. He availed himself of the opportunity this provided to speak of the worth and wisdom of Prince [Yiren], of how the Prince had bound to him feudal lords and retainers throughout the world, and of how the Prince constantly said that "he thought of Lady Huayang as Heaven, and day and night tearfully longed for the crown prince and his lady?' Lady Huayang was greatly pleased by this. (S] 85-2507)

The Lady was right to be pleased, for the reconstructed conversation alludes to a passage in the Manual on Etiquette (Yili, n.Sb ), which says that the father is as Heaven to his son and the husband, as Heaven to his wife. In consequence, through her elder sister, Lii caused Lady Huayang to be persuaded, saying: "I have heard that in cases where one uses beauty to attend a man, 'when beauty fades, love slackens? Now your ladyship attends the crown prince, who loves you deeply even though you have no son. Should you not use this opportunity, while it is still early, to bind to you one of his sons who is worthy and filial, recommend that son be established as heir, and make him your son? Then while your man is still alive, your honor will be redoubled, and when his hundred years are over and your son has become king, you will still not lose power. This is known as 'one comment with benefits lasting a myriad of generations? If one does not use the time of profuse flowering to establish the tree, then when the beauty

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INTRODUCTION

has faded and the love slackened, though you may desire to initiate the 'one comment; could you still do so? Now Prince (Yiren] is worthy and realizes that as a middle-ranking son he cannot succeed in being made heir. Further, since his mother is not favored, he will attach himself to you. If you truly take this opporrunity to have him selected as heir, your ladyship will enjoy esteem in Qin to the end of your life?' (Sf 85.2507-8)

Having completed the first phase of his design through his several persuasions, Lii now faced two problems: arranging the adoption of Prince Yiren by the crown prince; and cementing the relationship between Prince Yiren and his adoptive parents. The first step was taken by Lady Huayang. Lady Huayang believed that Lii was right. Catching the crown prince at leisure, she would casually mention that Prince (Yiren ], who was a hostage in Zhao, was a man of uncommon worth and that all who came from there were filled with praise for him. Sometime thereafter, with tears streaming down her face, she said, "I have had the good forrune to occupy a place in the harem but have not been blessed with a son. I hope Prince (Yiren] will be established as your heir so that I might entrust him with my well-being." The Lord of Anguo consented to this and had a jade tally carved which he shared with Lady Huayang, pledging that Prince [Yiren] would be made his heir. (SJ 85-2508)

An unforeseen problem complicated the next step, the actual meeting between Yiren and his adoptive parents, the crown prince and Lady Huayang. Lady Huayang arranged that Zhao be asked to allow Prince Yiren to return home to Qin. For reasons that are understandable, Zhao was disinclined to release the prince whose presence guaranteed treaty relations with Qin. Lii, therefore, had to offer another persuasion. "Yiren is the favored son of Qin. He has no mother within the palace and the queen herself desires to make him her son. Were Qin desirous of butchering Zhao, it would not allow concern for a single son to delay its plans. You are holding fast to a worthless hostage. Suppose that you return the prince and that he is placed in line for the throne: Zhao's generosity in allowing him to return would beget a debt of gratitude that the prince could never forswear; it would constitute an act of kindness which he could not reject; and it would be a moral obligation that he must always consider. The king of Qin is old, and one day soon he will pass away. Then,

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though you still hold the prince, it will not be enough to bind Qin to your interests. (ZGC, no. 109, 7.279)

The persuasion evidently succeeded, for Zhao returned the prince to Qin. Li.i then took special steps to assure that the new relationship would prosper. When Yiren returned, for instance, Li.i Buwei had him dress in the native costume of Chu for his audience with Lady Huayang. She was delighted with his appearance and thought highly of his intelligence, saying, "I am a native of Chu, and I will make him my son!' She had his name changed to Chu. (ZGC, no. 109, 7.279)

Mter this, Prince Chu was apparently returned to Zhao. The Lord ofAnguo and Lady Huayang sent valuable presents to the prince and asked that Li.i Buwei tutor him. Because of this, his name and reputation flourished among the feudal lords. It is significant that Li.i was asked to be his tutor, for this implies that Li.i himself, far from being a cunning but ignorant merchant, was learned.

Lii Buwei and the Marriage of Prince Chu The second part ofLi.i's Shifi biography concerns the marriage of Prince Yiren, now known as Prince Chu, to a "dancing girl" in Li.i's household, over Li.i's objection. Interest in this period hinges on two questions: was Li.i the real father of the First Emperor, having impregnated the "dancing girl" before her marriage to the prince; and did Li.i and the girl continue their sexual relations illicitly after she married? Sima Qian makes Li.i both the natural father and illicit lover, assertions central to his biography and primarily responsible for Li.i's frequent caricature as an unscrupulous merchant and moral reprobate. We believe that the first assertion is patently false, meant both to libel Li.i and to cast aspersions on the First Emperor. The second is equally false, for the "dancing girl" was not a slave, but the daughter of a prominent family of Handan. Her family connections would later serve to save her life and that of her son during Qin's bitter siege of Han dan. As the story goes, Li.i Buwei had taken one of the most beautiful and skilled dancers among the courtesans of Handan into his household. Prince Chu was drinking with Li.i when he saw her, and he was so taken with her that he

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INTRODUCTION

rose, proposed a toast for long life, and asked for her. Lii was filled with resentment, but remembering that he had already ruined his family on Prince Chu's behalf and desiring to "hook something rare;' he presented the concubine. She bore the future First Emperor in Handan in 259, in the first month of the forty-eighth year of King Zhaoxiang of Qin. There was apparently some obvious, though now unknown, inconsistency between the date of birth and the theory that Lii was the real father, for the Shi.fi, in the view of some scholars, suggests that the length of the pregnancy was irregular, lasting a full year. This is, of course, absurd and points to the scurrilous falsity of the rumor. The child was given the personal name Zheng, after the month of his birth, and the family name Zhao, after the place of his birth (SJ 6.223). Mter the birth of the son, Prince Chu established his mother as his wife (SJ SpsoS). Just as Lii's plan for the advance of his and the Prince's positions appeared to be working perfectly, one of the most important events of the century almost destroyed it: the siege of the Zhao capital, Handan. In 257, the fiftieth year of his reign, King Zhaoxiang of Qin sent Wang Yi to lay siege to the Zhao capital, Handan. Faced with an urgent situation, Zhao wanted to kill Prince Chu. Prince Chu and Lii Buwei consulted together and had their jailers presented with six hundred catties of gold to arrange their escape. They fled to the Qin army and consequently were able to effect their return to Qin. Zhao wanted to kill Prince Chu's wife and son, but since Prince Chu's wife was the daughter of a prominent family, she was able to go into hiding, and in the end both mother and son survived. (SJ 85.2509)

Six years later, in 251, after a long reign of 56 years, King Zhaoxiang of Qin died. Having completed the mourning period, the Lord of Anguo, the crown prince, was installed as king on the day .fihai, in the tenth month of the year 250, and Lady Huayang was made his queen. In addition, Zhao sent Prince Chu's wife and son, Zheng, back to Qin. But because the new king of Qin died on the day xinchou, having formally ruled only three days, Crown Prince Chu now succeeded to the throne and would be known posthumously as King Zhuangxiang. His adopted mother, Queen Huayang, was made Queen Dowager Huayang; and his real mother, Concubine Xia, was honored as Queen Dowager Xia. His stepfather, the Lord of Anguo, was given the posthumous title King Xiaowen (SJ 5.219, 85.2509 ).

INTRODUCTION

I I

The Triumph of Lii Buwei The third period in Lii's career now begins. With the accession of Prince Chu, in 250, Lii became the de facto ruler of Qin; unfortunately, the events of this period are only briefly recorded in the historical sources. In 250, the first year of his reign, King Zhuangxiang made Lii Buwei Chancellor and enfeoffed him as Marquis ofWenxin with an income of a hundred thousand households in Luoyang, in Henan. (SJ 85.2509; cf. ZGC, no. 109, 7.281)

Lii evidently consolidated his power quickly. Popular opinion had it that his control of Qin surpassed even that of the great minister Fan Sui, who had been chancellor during the reign of King Zhaoxiang (ZGC, no. no, 7.283). It should be noted that Lii Buwei's going from being a successful merchant to regent of more than half of all China was an absolutely unprecedented event. It must have offended the traditional aristocracy of Qin as mightily as it offended conservative scholars of the day. During Lii's period of prominence, a string of stunning defeats was dealt the Six States-Han, Wei, Zhao, Chu, Yan, and Qi -whose continued existence stood in the way of Qin's unification of China. These battles paved the way for the final victory that enabled the First Emperor to declare the founding of the Qin dynasty in 22I. In 249, when the Lord of Eastern Zhou plotted with the feudal lords against Qin, Lii orchestrated the first of three extended campaigns through which Qin not only destroyed Zhou, but effectively ruined the Three Jin-Han, Wei, and Zhao- cutting off communication between them and establishing a common border with the easternmost state of Qi. In the first of these campaigns, troops personally led by Lii Buwei attacked the last remnant of the royal Zhou, destroyed its ruler, annexed the kingdom, and dealt the death blow to the dynasty. Under Lii's guidance, Qin did not put an end to the Zhou ancestral sacrifices but allowed the princes ofZhou the small territory ofYangren in which to conduct their ceremonies (SJ 5.219 ). The dynasty that had ruled eight hundred years was gone. It was a dramatic blow, like the fall of Rome, a blow from which the enemies of Qin in the east would not recover. In the second campaign, undertaken in 248/7 Zhao, Han, and Wei were attacked, many cities seized, and two new provinces created out of the territory annexed (SJ 5.219 ). In 244/3, Qin decimated Han, taking thirteen cities and further weakening Zhao and Wei.

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INTRODUCTION

Reviewing these events, the modern scholar Yang Kuan suggests that Lii's diplomatic skills are demonstrated in his "cooperating with Yan in attacking common enemies:' and in his arranging for one of his own retainers to become a minister in Yan (ZGC, no. no, 7.282 ). Yang further notes that the practice of measuring bravery in terms of the number of heads taken was ended as a result of Lii's policies. He thus concludes that the military doctrines opposing the killing of innocent people and advocating the practice of "righteous warfare:' incorporated in the military chapters of the Liishi chunqiu, derive from the actual military strategy employed by Lii (Yang Kuan, "Lii Buwei:' pp. 32ff). On the day bingwu, in the fifth month, 247, when King Zhuangxiang had been on the throne for only three years, he died, and Crown Prince Zheng, who was only thirteen, was installed as king (SJ 5.220 ). Because of his youth, administration of the internal affairs of the country was in the hands of the great ministers (SJ 6.223 ). The new king therefore honored Lii Buwei as state counselor and called him "Uncle:' bestowing on him the title that Duke Huan of Qi, the first lord-protector, had given his great minister Guan Zhong (SJ 85.2510; c£ 79.2416). Lii served the young ruler as ably as he had his father. During Lii's tenure as state counselor, the First Emperor ordered that common people who by enterprise had amassed enormous riches be granted the same prestige and the same titles as the nobility-one of many innovative policies that contributed to the wealth of the state. Two figures illustrate the results of these policies: Wuzhi Luo, a trader in silks and animals with the Rong barbarians, was given the honors of a feudal lord and allowed to join the ministers in audiences at court; the widow Qing, who carried on her family's cinnabar business after her husband's death, was celebrated for her virtue by the Emperor who treated her as his guest and built the NiihuaiqingTerrace in her honor (S]r29.326o).

The Composition of the Liishi chunqiu The third century witnessed a great florescence of patronage of learning in the feudal courts of the time. At this time in the courts of the feudal lords there were many scholars who engaged in discriminations, such as the followers ofXun Kuang, who wrote books that were disseminated throughout the whole world. (Sf 85.2510)

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In Wei there was the Lord of Xinling, in Chu the Lord of Chunshen, in Zhao the Lord ofPingyuan, and in Qi the Lord ofMengchang. According to the Shiji, All of them treated scholars with deference and delighted in entertaining guests who would test each other's abilities. Li.i Buwei was ashamed that Qin, for all its power, was not the equal of the other states in this; therefore he too recruited scholars, treating them generously so that his retainers came to number three thousand. (SJ 85.2510)

The number three thousand was the customary way of indicating extravagant patronage and should not be taken literally. Lti Buwei had been in Handan when the court of the Lord ofPingyuan was the intellectual center of China and thus witnessed personally the enormous prestige such patronage brought. It also made evident to Lti, as the Lord of Pingyuan himself admitted, that the tongue of a gifted scholar was "mightier than an army of a million men" (SJ 76.2368). Lti saw that his fortune was linked to the emergence of a new class, the scholar-knights, who would be his advocates and whose goals would be incorporated into his work. Originally, many of the scholar-knights were "men of good birth who lacked titles of nobility, who served as warriors, officials, and supervisors in the state governments and noble households, or who lived on the land, which in some cases they may even have cultivated themselves" (Bodde, Cambridge History I, p. 28 ). They had once been the lowest order of aristocrats, ranking behind the ministers and grand officers. Confucius himself had been "leader of the knights" in Lu and may subsequently have held the ministerial office of director of crime. But by his time, and largely due to his efforts, the word shi ±, "knight:' was coming to mean "scholar:' since the knights were gaining a greater reputation for their learning than their skill with sword or bow and arrow. Mo Di is generally thought to have been a commoner, perhaps even a craftsman, but certainly not an aristocrat. Both Confucius and Mo Di, by becoming famous teachers, attracted the scholar-knights of their day. Two centuries later, in the time of Lti Buwei, men of plebeian birth, such as merchants, whose wealth enabled them to acquire land and power, could be taught by the best teachers and join the emerging class of landlords and officeholders, thus becoming "the direct ancestors of that class of scholargentry which was to continue as the dominant elite throughout Chinese

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INTRODUCTION

imperial history" (Bodde, Cambridge History, I, pp. 28-29 ). Throughout the Annals the concerns, interests, and sense of integrity, honor, and loyalty that distinguished the scholar-knights are prominently represented, praised, and advocated. Lii's Shlj'i biography notes that in 247, the year King Zhuangxiang died, Li Si left his studies with Xun Kuang to seek his fortune in Qin under the patronage ofLi.i (Sf 87 .2539; 6.223). It seems probable that Li.i had begun to gather men of learning under his patronage while still in Handan, for the funds he provided Prince Chu included money for the maintenance of a body of scholars to advise the prince. He seems to have issued a further, general invitation for scholars to come under his patronage after his enfeoffment as Marquis ofWenxin in 250. Finally, he may have extended an even broader invitation in 247, when he became regent for the thirteen-year-old future First Emperor. To place Qin, and himself, firmly in the intellectual center of China, Li.i Buwei therefore ordered that his retainers write down all that they had learned and assemble their theses into a work consisting of eight "Examinations," six "Discourses," and twelve "Almanacs," totaling more then zoo,ooo words. (S] 85-2510)

The work was to "encompass the totality of the affairs of Heaven and Earth, of the myriad things, and of the past and present?' Once completed, it was displayed at the market gate in the Qin capital, Xianyang, with a thousand measures of gold hung above it. Traveling scholars and retainers from the courts of the feudal lords were told that if any of them could "add or subtract even a single character;' he might have the thousand measures of gold. The work was named theLiishi chunqiu, The Annals ofLii Buwei. In the official biography of an individual, Sima Qian sometimes presents a picture that differs markedly from the way he is portrayed in the various records of a person's activities scattered through the remainder of the Shiji. It is not surprising, then, that in his introduction to ''Table of the Twelve Feudal Lords;' Sima Qian offers a more flattering description of the character and value ofLi.i'sAnnals. Here Sima Qian presents the work as one in a series of important efforts to interpret Chinese history. Lamenting the decline of the Zhou dynasty, Sima Qian gives the standard account of Confucius composing his Chunqiu, The Annals ofthe State ofLu, as a warning to future ages:

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15

On account [of the decline of the Zhou dynasty following the reign of King Li], Confucius elucidated the Dao of true kingship and sought out more than seventy lords, none of whom was capable of employing him. Thus, he traveled to the west to observe the house of Zhou, assessing its historical documents and recording its old traditions. He initiated his work with Lu, putting in order The Annals of the State of Lu. Its records begin with Duke Yan ofLu and extend down to the capture of the lin unicorn in the reign of Duke Ai. He condensed its style, eliminating convolution and repetition in order to legislate moral rules, to develop fully the Dao of true kingship, and to show the influence of both in human affairs. The followers of his seventy disciples orally passed down his meaning in passages where he blamed, criticized, praised, passed over in silence, transposed, or abridged, although it was not possible to see this in the text itsel£ (SJ 14-.509)

Sima Qian then turns to the development of a standard interpretation of the message of Confucius: A gentleman from the state of Lu, Zuo Qiuming, feared that the various disciples might adopt divergent principles and that though each might be content with his own interpretation, they would all miss the true meaning of the text. Accordingly basing himself on the historical records of Confucius, he discussed the meaning ofevery phrase and thus completed his Zuoshi chunqiu, The Zuo Interpretation ofthe Annals ofLu. (S] 14-.509-10)

And he concludes with a discussion of three more recent works that continue this noble tradition, theDuoshi wei ~.Bd¥.&, the Yushi chunqiu g~_a.~ fj(, and the Liishi chunqiu. Duo Jiao was the tutor to King Wei of Chu. Because the king was incapable of inspecting The Annals of the State ofLu in its entirety, he selected examples of success and failure, totaling forty sections that constitute The Subtleties of Duo ]iao. In the time of King Xiaocheng of Zhao, the prime minister, Yu Qing, also first made selections from The Annals ofthe State of Lu and then surveyed recent events, writing the eight books that constitute The Annals ofYu Qjng. (S] 14-.510)

In the "Biography ofYu Qing;' Sima Qian repeats that in composing his books Yu selected past events from The Annals of the State of Lu and more recent events from personal observations. He records the titles of some of them: "The Restraints of Duty;' ''Titles and Privileges;' "Searches and

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INTRODUCTION

Explorations;' and "Statecraft and Diplomacy?' These books contained such trenchant and sardonic observations on the successes and failures of states that collectively they came to be known as Yu Qing's Annals. "What an artist was Master Yu;' exclaims Sima Qian in his eulogy, "in his shrewd judgments of affairs and searching examinations of circumstances and in the way he laid out a strategy to meet Zhao's difficulties!" The book, Sima Qian believed, was a personal testament that could not have been composed had Yu "not known the depths of sorrow?' (Sf 76.2375). The successor to the work ofYu Qing is that ofLi.i Buwei. Lii Buwei, who was prime minister of Qin under King Zhuangxiang, also first surveyed high antiquity, then selected and collected passages from The Annals of Lu, and ordered the events of the period of the Six States to produce his eight "Examinations;" six "Discourses;' and twelve "Almanacs" that together formed The Annals ofLu Buwei.

Li.i's work is the last compendium cited, for When we come to the followers of such writers as Xun Kuang, Mencius, Gongsun Gu, and Han Fei, we find they frequently sorted and arranged passages from The Annals of Lu, but they were unable to master the text. (Sf 14-.510)

Given this context, then, Sima Qian clearly suggests that the work of Li.i Buwei was not a hodgepodge of passages as implied in the Shifi biography, but rather a political testament in the tradition of his predecessors. Sima Qian reaffirms this view in his intensely personal letter to Ren An justifying his willingness to endure the humiliation of castration in order to finish his history: when a man is moved by higher principles, there are things he must do; each man must take his own path (HS 62.2733). In his letter, Sima Qian likens his own work to that ofLi.i Buwei, who ''was banished to Shu" but whose work "has been handed down through later ages?' He lists Li.i among a succession of noble men-King Wen, Confucius, Qu Yuan, Zuo Qiuming-whose works express "the rankling all these men had in their hearts, for they were not able to accomplish what they had hoped. They therefore wrote about past affairs to convey their thoughts to future generations" (Hanshu 62.2733). Li.i Buwei aimed for even more. He hoped to create a philosophy for the unification of the whole world, a philosophy for empire. A true empire,

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the Chinese believed, must embrace the whole world, all that is under Heaven. "Heaven, Earth, and the myriad things are like the body of one person; they are called the 'Great Identity'" (LSCQ 13/1.14-). Thus, there could be only one true ruler, who coordinates the affairs of Heaven, Earth, and Man. Coordination requires that the true emperor, who was the universal ruler and the Son of Heaven, possess a Dao, or Way, which enables him to keep everything in harmony and balance. This had been true, in the view of Chinese thinkers and rulers of the third century B.C., from the dawn of civilization when the Yellow Sovereign became the patriarch of the Chinese people and brought culture to humanity. Successive sages like Yao and Shun, who also ruled the whole world, each had their own Dao that was embraced by Mencius. The next sage, Great Yu, who stemmed the Deluge and founded the Xia dynasty, had his own Dao which was embraced by Mo Di. The Later Kings-Tang, who founded the Shang dynasty, and King Wen, who founded the Zhou dynasty-each also possessed a Dao and a model that defined the institutions of their governments. By the third century, the Zhou dynasty, which had been founded in the eleventh century, had long since ceased to rule and everyone recognized that a new ruler and a new Way should be anticipated. By the time of Lti Buwei, the house of Zhou had been annihilated, and the line of the Son of Heaven cut off. Lti observes that "No disorder is worse than lacking a Son of Heaven, for when there is no Son of Heaven, there is no end to the strong conquering the weak, the many tyrannizing the few, and armies destroying people" (LSCQ 13/5.3). History recorded that Heaven and Earth displayed extraordinary signs when a ruler with a universal Way lived, was worthy of the Mandate of Heaven, and deserved to be the Son of Heaven (LSCQ "Postface"; 13/2.1). Pious Ru thinkers believed that Confucius had been an "uncrowned" or unrecognized sage ruler who, if the opportunity had presented itself, should have been a universal ruler. The celestial sign, a major planetary conjunction, was known to occur about every 500 years. So the date of Confucius's birth was later calculated to have been the year when scholars believed that the planetary conjunction had been manifested. "Confucius drifted through all the lands within the seas seeking one ruler after another. Traveling from Qi to Wey, he saw more than eighty lords. Three thousand men offered gifts to become his disciples, seventy of whom became accomplished followers. Of these seventy, only one was employed by a ruler of a state of ten thousand chariots to be his tutor. It is not because there were no men. With this wandering search, Confucius was only able to

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reach the position of minister of crime in Lu. This is why the age of the Son of Heaven has ended and the feudal lords are in such great disorder'' (LSCQ 14/7.1).

In the fourth century, Mencius remarked that the time for a universal empire and ruler was already two centuries late. Other philosophers like Zou Yan speculated on the cosmological conditions of Yin and Yang and the Five Processes that should characterize the new rule. "Whenever an emperor or universal king is about to arise, Heaven is certain first to manifest good omens to the people below.... The successor to Fire is certain to be Water. Heaven has again first given signs that the ethers of Water are in ascendance. Since the ethers ofWater are ascendant, the ruler should honor the color black and model his affairs on Water. If the ethers ofWater culminate and no one grasps that fact, the period when it is effective will come to an end, and the cycle will shift to Earth" (LSCQ 13/2.1). In 288, the rulers of Qi and Qin proclaimed themselves "Sovereigns;' like Yao and Shun, over the east and west respectively, but were shamed into renouncing the titles because they so obviously lacked the Dao and the moral character required to be a ruler even ofhalfthe universe. Dozens of philosophers whose views are scarcely known today theorized about the proper Dao for the dawning era. Most sought to recover the Dao of some ancient worthy who had been dead for two or more millennia. It was evident that not much was known or could be known about such Early Kings. Xun Kuang criticized the practice and argued that one must follow what was best known and best documented, the Dao of the Later Kings. His student Han Fei rejected all arguments from ancient rulers and their various Ways, boldly declaring that a new Dao was required. Like Xun Kuang and Han Fei, Lii Buwei rejected adopting the Dao and laws of the Early Kings which "have been discredited" because to govern the state without having laws results in anarchy; to preserve the laws without modifYing them with the times results in rebellion and anarchy. And anarchy and rebellion cannot maintain the state. As generations change and the seasons replace one another, it is fitting that one reforms the laws. It is like being a good doctor. If he is to treat a disease that undergoes a myriad of transformations, he must have a drug that also undergoes a myriad of transformations. If the disease transforms but the drug does not, then those who lived long lives in the past will now die young. Hence, as a general principle, proposals and undertakings must comply with the

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law in order to be executed. In reforming the law, one relies on the times to make the modifications. If you follow this thesis, then you will not err in what you strive to accomplish. (LSCQ rs/8.2)

What was lacking, what must be missing, and what Lii Buwei grasped more clearly than anyone else, was a new Dao that was appropriate to the conditions of the worldofhis day. If this were supplied, then the nature of the new dynasty's rule, the character of its institutions, and the form of its laws would all naturally follow. He therefore set himself the task of creating a philosophy for a universal empire. To answer the need for a new Dao, Lii Buwei proudly proclaimed that he had "succeeded in studying what the Yellow Sovereign used to instruct the Zhuanxu Sovereign" (LSCQ "Postface"). This was the unique insight that informed all his actions, from the day he met a prince of Qin, to the day he was forced to commit suicide in disgrace by the First Emperor. His vision is recorded in The Annals ofLii

Buwei. In Sima Qian's view, Lii Buwei developed a political philosophy that flowed naturally from the form of his work, the events selected, and their juxtaposition within the text. In contrast, those who followed Lii, though students of major figures in philosophy, proved unable to master the text. It is important to note that when a "good man" asks about the "Twelve Almanacs;' Lii Buwei replies (in the "Postface" at the end of the "Almanac" section of the Liishi chunqiu) that the ''Almanacs" record the principles that lead to order and anarchy, to survival and destruction, as well as the knowledge that leads to understanding what determines old age or premature death, good fortune or calamity. They ascertain indications in Heaven above, conforming signs on Earth below, and what to look for among men, in the middle. (LSCQ "Postface")

This description of the work closely matches Sima Qian's and suggests that the "Almanacs," if not the whole work, are to be viewed as a unity. The "Postface" gives the date of completion of the ''Almanac" section as "in the eighth year of Qin, when the year-star was in Tuntan, in autumn, a jiazi day being the first day of the season?' The first question is, naturally, how does one calculate what is the eighth year of Qin; the second, does the text refer to the year-star Jupiter or to the imaginary Counter-Jupiter employed in Chinese calendrics? The traditional and obvious answer to the

20

INTRODUCTION

first question is that the "eighth year'' is the eighth year of the First Emperor, or 239. But Counter-Jupiter was not in Tuntan that year, given the traditional equation of Tun tan with the more familiar year terms (shen). David Nivison (in a private communication of March IO, 1989) argues that the year-star in this text is the planet Jupiter itself, that Tuntan is not a "chronogramatic term [ = shen ], but rather the longitudinal band in the zodiac where ... Jupiter normally is in a Tuntan year, that is, the [lunar] lodges Yi and Zhen?' The first day of autumn, by Chinese calculation, would have been August n, so the ''Almanac" section of the Lushi chunqiu was completed on that day in 239, the eighth year of the First Emperor.

The Lao Ai Mfair, Disgrace, and Suicide The last part ofLii's biography concerns his fall from power and suicide. Having become chancellor and regent in 247, Lii dominated the government until240. That year the First Emperor turned twenty, the age at which he might normally be expected to take on the full responsibilities of rule. It is entirely reasonable to assume, therefore, that the First Emperor was a party to the events that followed on his coming of age. At the very time Lii was exerting his greatest influence and his magnum opus was nearing completion, the seeds of his demise were sown. The Shiji records that in 240 a comet appeared first in the east, then in the north, then, in the fifth month, in the west, and finally, toward the end of the year, again in the west. The appearance of comets in the annals of the First Emperor is intended to portend the disasters about to occur, and the location of the comet is suggestive of the succession of events. In 239 the Lord of Chang'an, the king's younger brother, led an army eastward to Zhao, where he rebelled against the king; he died in the north, at Tunliu. All the military officers involved were beheaded and the people deported to Lin tao, to the west, in Gansu. Finally the history records that "fish moved upstream" (possibly an omen of rebels) and that the people along the Yellow River were forced to go to the river for food (Sf 6.224). At this very time, the Shiji biography of Lii Buwei tells us, the queen dowager became less cautious in her pursuit of illicit sexual activities. She was undeniably involved in an illicit affair with Lao Ai, a rival ofLii Buwei. But Sima Qian repeats the libel that she had also been having sex with Lii Buwei, who, it was also claimed, had previously impregnated her with the

INTRODUCTION

21

future First Emperor. The second libel is dependent on the first and, as we have seen, the relation between the future queen and Lii is chronologically plausible only if her pregnancy lasted a year, which is clearly impossible. Hence we concluded that it was a Han libel and Sima Qian knew it. The libel ofLii's continuing a sexual relation with the queen dowager is necessarily based on the truth of his having been the natural father of the First Emperor. In the ShiJi version, as the queen dowager's lechery did not cease, Lii Buwei, fearing that discovery would cause disaster to befall him, secretly sought a man with a large penis, Lao Ai, whom he made his retainer. Sometimes he would have music performed and order Lao Ai to put his penis through a wheel of paulownia wood and walk about, making certain that the queen dowager would hear about it to entice her. The queen dowager did hear about it and consequently secretly desired to obtain him. Lli Buwei thereupon introduced Lao Ai to her. Deviously ordering someone to accuse Lao Ai of a crime punishable by castration, Lli also privately told the queen dowager, "If we can fake the castration, we can make him a servant in the harem?' The queen dowager therewith covertly gave a generous bribe to the officer charged with castrations to falsely sentence him and to pluck out his eyebrows and beard to make him appear a eunuch. As a result, he was made a servant of the queen dowager.

This part of the narrative reveals itself to be a deliberate and not very skilled fake. Persons castrated after puberty continue to have beards; the ruse would have been idle and unconvincing. It is surprising that Sima Qian, who had himself suffered castration in adulthood and thus knew this, should choose to include so evidently false an assertion. Further, the queen dowager may have known Lao Ai in Handan when she was only the wife of a minor Qin prince, and the reason for her attraction to him is, perhaps, accurately reflected in the libelous story. It is also worth noting that ai i!f: is not, properly speaking, a name, but an appellation for "a gentleman who acts improperly" (Wang Shumin, ShiJi, 6.194 ). In a manner no longer known, the queen dowager did become reacquainted with Lao Ai as a courtier in Qin. It is possible that Lii Buwei assisted in the ruse to enter Lao Ai into the harem as a eunuch. However it was accomplished, the queen dowager did secretly have intercourse with Lao Ai and came to love him very much (SY9.28o).

22

INTRODUCTION

Perhaps at the instigation of the queen dowager, in the aftermath of the revolt of the king's younger brother, the Lord of Chang'an, Lao Ai came to enjoy great influence and power, which can only have diminished the power and influence of Li.i. But as the First Emperor was now twenty, affairs of state cannot have rested solely in the hands of the queen dowager. The promotion of Lao Ai, certainly not prompted by Lii, may well have been engineered by the First Emperor to diminish the power ofLii, not yet realizing the true nature of the relation between Lao Ai and the queen dowager. In 239, the eighth year, Lao Ai was enfeoffed as the Marquis of Changxin, was given Shanyang, and was ordered to reside there. Ai observed no restraint in his palaces and buildings, his dogs and horses, his clothing and robes, his gardens and parks, his hunts and chases. Affairs, whether great or minor, came to be decided by Ai himself. Further, he used the territories of the He:xi and Taiyuan Commandaries to create the kingdom of Ai. (SJ 6.227)

The preferments accorded Lao Ai are significandy greater than those received by Lii himsel£ This too was likely the work of the First Emperor. But the liaison could not last undetected, and as the influence of Lao Ai peaked, disaster loomed: Having gotten pregnant, the queen dowager became alarmed that others might find out. She falsified a divination which said that she should retire for the season and move from the palace to reside in Yong. Lao Ai was her constant attendant, receiving extremely generous gifrs and presents. Every affair came to be decided by Lao Ai. In his household were several thousand slaves and the guest scholars seeking appointments as retainers came to number more than a thousand. (SJ 85.25II)

The drama of the Shiji biography requires collaboration between Lao Ai and Lii as well as the ignorance of the First Emperor, but the facts were quite different. The reality of the conflict between the court faction favoring Lii and that favoring Lao is attested in a persuasion from the Zhanguoce: Qin attacked Wei. When the situation had become desperate, someone spoke to the king of Wei, saying: ''To abandon it is not as easy as using it; to die for it is not as easy as abandoning it. Being able only to abandon it, but not able to use it; being able only to die for it, but not able to abandon itthese are the greatest errors men can make. Now your majesty has lost

INTRODUCTION

23

hundreds of li in land and dozens of cities, yet has failed to extricate your state from its peril because your majesty has abandoned the land as a bribe [to your enemy] and not used it for your own defense. Today Qin's might has no peer in the whole world and Wei's weakness is extreme, yet your majesty uses this occasion to confront Qin. Your majesty has shown himself capable of dying for land but not able to abandon it as a bribe. This is a grave error. "Now, if your majesty is capable of using his servant's stratagem, the loss of land will not be enough to harm the state, nor will the indignity you suffer be sufficient to make your position unbearable; but it will suffice to extricate you from the present peril and to repay your grudge [against Lii Buwei]."

This grudge probably dates back to 242, when Qin attacked Wei during the first year of when King Jingmen would have been in mourning. The king of Wei blamed Lii who held full power then. "Within the four borders of Qin;' the persuader continued, "from those who hold power down to those who guide wheelbarrows, everyone asks the same question: 'Are you with the Lao Ai party or with the Lii Buwei party?' Whether by the gate of the lowliest village or outside the exalted corridors of the audience hall, it is always the same question. "Now, when your majesty cedes land to bribe Qin, let it be seen as the accomplishment of Lao Ai; and when you humble yourself to honor Qin, let it be seen to be because of Lao Ai. If your majesty uses the state to aid Lao Ai, he will be victorious; the debt of gratitude that the queen dowager feels toward your majesty will penetrate deeply, to the very marrow of her bones; and your majesty's relations with Qin will be the best in the world. In the hundred times Qin and Wei have had mutual relations, they have cheated each other a hundred times. Now, as a consequence of the Lao Ai party's gaining favor in Qin and your relations with Qin being the best, who in the world would not abandon the party ofLii Buwei to join that of Lao Ai? When the whole world must cast Lii aside and follow Lao, then your majesty's grudge will have been repaid." (ZGC, no. 380, 25.920)

As Lao Ai became dominant in the government he behaved ever more arrogantly and recklessly. According to the Shuoyuan, Lao Ai had sole power over the affairs of state and grew increasingly arrogant and extravagant. The high officials and honored ministers of government all drank and gambled with him. Once when he got drunk, he began to speak belligerendy. In a provocative fashion, eyes glaring with anger, he

INTRODUCTION

24-

bellowed: "I am the stepfather of the emperor. How dare some wretch oppose me!" One of those with whom he had quarreled ran to report this to the emperor, who was outraged. (SY 9.280)

This occurred in 238, the ninth year of the First Emperor's reign. In the fourth month of that year, the First Emperor, now twenty-two years old, was capped, as a sign of his majority, and he put on the sword of rulership. At the beginning of the year a comet again appeared, this time with its tail spanning the sky. At the end of the year, it reappeared first in the west and then in the north, with its tail pointing southward from the Dipper for eighty days (SJ 5.227). In this portentous atmosphere, the First Emperor received a report that Lao Ai was in truth not a real eunuch, that he was constantly having illicit relations with the queen dowager, who had borne him two sons whom they had hidden, and that they had plotted together, saying: "When the king dies, we will make our son his successor." On hearing this, the king sent investigators who established the true circumstances of the affair. (SJ 85.2512)

Lao Ai, fearing execution, plotted a revolt that was discovered. He forged the royal seal and that of the queen dowager in order to call out the capital militia, the palace guard, the officers' cavalry, and the dukes and lords of the Rong and Di barbarians, as well as his own retainers, intending to attack Qinian Palace as a way to create anarchy. The king, knowing about his plan, ordered the state ministers, the Lords of Changping and Changwen, to call out troops and attack Ai. They fought at Xianyang and beheaded several hundred rebels. Both generals were awarded preferments, and all those eunuchs of the palace who had participated in the battle were advanced one degree in the official hierarchy of honors. Ai and his followers, being defeated, fled. The king immediately commanded that throughout the country a reward of a million cash be offered for the capture of Lao Ai alive and half a million for him dead (SJ 6.227). In the ninth month, LaoAi and three classes of his relations were executed (SJ 85.2512). His accomplices-Commandant Jie, Historiographer of the Interior Si, Assistant Gamester Jie and Associate Magistrate Qi, among others, twenty men in all- were caught and beheaded, their bodies torn apart by chariots and their families extirpated. Those ofLao Ai's retainers who were less culpable were to be made wood gatherers for the ghosts, to be stripped of all official

INTRODUCTION

25

titles and preferments, and to be exiled to Shu. More than forty thousand families were established at Fangling. (SJ 6.227)

Lao Ai's two sons by the queen dowager were seized, put in sacks, and beaten to death. The queen dowager herself was seized and exiled to Yong. The enraged First Emperor sent down a decree, saying: ''Anyone who dares remonstrate with me concerning the matter of the dowager will be executed forthwith. Their flesh will be removed from their bones with the calthrop, and their limbs piled around the city gates like a curb around a well?' Twenty-seven men remonstrated and were put to such a death. (SY9.28o)

State Minister Lu Buwei had been implicated in the matter, possibly because he had facilitated the deception that made Lao Ai a eunuch. The First Emperor wanted to execute Lu, but in view of the great merit of his services to the previous kings, and because the traveling scholars and debaters who had become his personal guests were so numerous, the First Emperor forbore applying the full extent of the law (SJ 85.2512). But a year later, in 237, in the tenth month of the tenth year, he dismissed State Minister Lu Buwei. Subsequently, a man from Qi, one Mao Jiao, offered a persuasion that convinced the First Emperor to welcome the queen dowager back to Xianyang from her exile in Yong. At the same time he sent Lu, the Marquis ofWenxin, out from the capital to his fief in Henan (Sf 85 .2512-3; SY 9.280 ). But the removal of Lu from office did not eradicate his influence. Lu had created a tradition of scholarly culture that resided in the many officials he had recruited, in the scholars he had patronized, and in the conceptual framework that the composition of the Liishi chunqiu had created. "For more than a year;' according to the Shiji biography (85.2513), "when the guests and envoys of the feudal lords saw each other on the road, they asked about Lu Buwei?' The First Emperor, displaying the suspicion that would prove his own undoing, feared that Lu, like Lao Ai, might revolt, and he sent the Marquis ofWenxin a letter that said: What was your lordship's meritorious accomplishment for Qin that it should have enfeoffed you in Henan with an income from wo,ooo families? How were you related to Qin that it should call you "Uncle"? Take your family and possessions and move your residence to Shu! (SJ 85.2513)

26

INTRODUCTION

Lii Buwei determined that banishment to Shu was just the beginning and that the First Emperor would make him suffer ever-greater insult and injury. And so, fearing execution, he drank poison and died. Since both Lii Buwei and Lao Ai were now dead, the king then permitted the retainers of Lao Ai to return from their banishment in Shu (S] 85.2513): In 235, the twelfth year, Lii Buwei, the Marquis ofWenxin, died and was buried in secret. Those of his retainers who attended the funeral were deported if they were from Jin. Those who were from Qin and were above the rank of six hundred piculs were degraded and exiled. Those who were of the rank of five hundred piculs and below and did not attend, were banished, but did not lose their rank. From this day forward, anyone who managed affairs of state so wrongly as Lao Ai and Lii Buwei would have all his possessions confiscated. In autumn he permitted the remrn of Lao Ai's retainers who had been banished to Shu. (S] 6.231)

The First Emperor undoubtedly singled out the retainers from Jin, that is from the states of Han, Wei, and Zhao, because these scholar-knights likely would have been loyal followers ofLii's who had been with him since his days in Handan or who had answered his call of 247 to come to Qin. Further, as exemplars of the code of conduct praised in the Annals, he no doubt believed that they represented a threat to his personal safety. The most significant outcome of the Lao Ai affair was an intense xenophobic reaction that jeopardized the positions of the many gifted foreigners at the Qin court. The First Emperor even decreed that all ministers of foreign origin be expelled, because they were "acting on behalf of their own rulers and traveled to Qin merely to sow dissension" (S] 87.2541 ). Yet it was through the efforts of one of the most brilliant of Lii Buwei's retainers, Li Si, that this edict was rescinded. He argued that if Qin had earlier rejected and ignored foreign scholars instead of accepting them and using them, it would have never gained its reputation for might and greatness (SJ 87.2542). The tension between the new ruler and his party and Lii Buwei and his followers was based on conflicts between the old hereditary officeholders, largely the Qin aristocracy, who had been displaced by Lii and the men he patronized who were largely of foreign origin. Stories ofLii's personal failings served the interests of the Qin aristocracy and its new ruler in discrediting Lii, his ideas, and his advisors, just as they would later serve the interests of the Han in discrediting the Qin and all its accomplishments.

INTRODUCTION

27

THE LUSH! CHUNQIU The nature of the Liishi chunqiu's composition has been the subject of considerable dispute. What, if any, role did Lu Buwei play in its composition beyond providing the financial support and inspiration? The recruitment of the scholars who assisted in its preparation, as we have seen, must have occurred in stages. From the fact that the Lord of Anguo became crown prince only in 265 (SJ 5.213), we can infer that Lu probably first provided the money for retainers of Prince Chu after that date. He then developed the plan to have the prince made the heir of the Lord of Anguo, although it is entirely plausible that he had retainers of his own even before then. Since Lu's aim was to "secure the state" and "establish its lord:' it is conceivable that he had already begun to consider what factors were essential to produce the universal order of peace and stability that most scholars of his day believed had accompanied the founding of the great ruling houses of distant antiquity. Further, the presence of many scholars from Han, Wei, and Zhao among his retainers strongly suggests that they had served him since his days in Handan, the capital of Zhao. By 250, when he became effective ruler and was enfeoffed as Marquis ofWenxin with a huge income, Lu had acquired the means of recruiting the range of scholars whose opinions and expertise would have been necessary for him to create a work as massive as the Liishi chunqiu. We have seen that, in answer to an earlier call, Li Si left his studies with Xun Kuang to go serve Lu Buwei. We may assume that work on the Liishi chunqiu began by 250, although its conception may date to as early as 265. The "Postface" declares the completion of the ''Almanacs" on August n, 239. When Lu died in 235, leaving the work in its present, incomplete state, it had been perhaps thirty years since its original conception. In the "Postface:' the "good man" asks only about the twelve ''Almanacs:' which implies, in the view of Zhang Xuecheng (Wenshi tongyi, p. 22 ), that they constituted the entire work, the remainder having not yet been written. The opposite position is taken by Yang Shuda ("Du Liishi:' p. 245) who suggests that the "Postface" should come at the end of the work rather than in its middle, and that Sima Qian twice gives the order of the work as "eight 'Examinations: six 'Discourses: and twelve 'Almanacs"' (SJ 12.510; 85.2510 ). Taken together, these facts suggest that Sima Qian describes the original order of the work, which is now disturbed. To buttress this claim, Yang notes that the Chunqiu, The Annals ofthe State ofLu, begin with the word yuan :7C "first" and the Erya Lexicon begins with shi ~€3 "beginning?' Thus,

28

INTRODUCTION

since the title of the first chapter of Book 13 is "You shi" ::ff~€3 "On Having a Beginning;' it must originally have been intended as the opening chapter of Lushi chunqiu. Yang's argument has rightly been rejected as inadequate by such modern scholars as D. C. Lau (''Textual Problems," p. 53) who points out that the beginning of the "Postface" makes it clear that theAnnals must have begun with the "Almanacs?' Unfortunately, it is evident that the present text of the "Postface" is damaged. The last third of the text is a story concerning Viscount Xiang of Zhao, which is related to the final part of Book 12; and there is a transitional sentence that seems to be fragmentary. Thus Zhang's argument that the wording of the "Postface" shows that only the "Almanacs" were completed by 239 cannot be taken as proven, but the preponderance of evidence nonetheless favors Zhang's view. Further, Naito Toraziro ("Shosho;' p. 2) cites a number of events recorded in the "Examinations" and "Discourses" that occurred after Lii's death in 235, proving that these sections were completed only later. Finally, the observance of taboo characters in passages with parallels in the ''Almanacs" and "Examinations" "points to a separate transmission;' one that was continued down to Gao You, who provided the standard commentary to the received text (Lau, ''Textual Problems;' p. 85). By 239 Lii's power was already declining and Qin was confronted by the revolt of the Lord of Chang'an. Li Ao, Lii's rival, gained power about the time the "Postface" proclaims the ''Almanacs" complete. While work on the Lushi chunqiu probably continued during the turmoil that followed, it can hardly have been the central concern of Lii, who must have been anxious about his very survival. In the tenth month of 237, Lii was removed from office, but his influence continued through his supporters. This sufficiently alarmed the First Emperor that in 235 Lii was further degraded and subsequently committed suicide. That he had to be given a secret burial by his loyal retainers testifies to the constrained circumstances that followed his dismissal, so it is unlikely that much work could have been done after the announcement of the completion of the ''Almanacs." Nonetheless, there is internal evidence that at least the first book of the "Examinations" was begun. When we look at the character count of each of the books that compose the text, we see that the number of characters in each book within the ''Almanacs;' "Examinations;' and "Discourses" is about the same (see table). One book stands out as an obvious exception: Book 13, the first of the "Examinations;' has only seven rather than the expected eight chapters (pian ;Wi) and is noticeably shorter than any of the other

29

INTRODUCTION

Character Count oflndividual Books Book Number

Title

Number of Characters

ALMANACS

2

4

"Mengchun ji" "Zhongchun ji" "Jichun ji" "Mengxia ji" "Zhongx:ia ji"

2,632 2,830 2,754 2,732 2,726

"Jixia ji" "Mengqiu ji" "Zhongqiu ji"

2,699

9

"Jiqiu ji"

2,649

IO

"Mengdong ji" "Zhangdong ji" "Jidong ji"

2,861

6 7 8

II

12

2,598 2,557

2,848 2,820

EXAMINATIONS

"Youshi lan" "Xiaozing lan" "Shenda lan" "Xianzhi lan"

3,797

5,792

19

"Shenfen lan" "Shenying lan" "Lisu lan"

6,397

20

"Shijun lan"

6,269

21

"Kaichun lun" "Shenxing lun" "Guizhi lun"

13 14 15 16 17 18

6,339 6,317 6,157

6,305

DISCOURSES

22 23 24 25 26

"Bugou lun" "Sishun lun" "Shirong lun"

SouRCE: He Lingxu, p. 30.

3,176 3,426 3,216 3,327 3,383 3,359

INTRODUCTION

books of"Examinations." But the lack of one chapter is insufficient to account for the difference in size. It is obvious that the structure of Book 13 is unique among the "Examinations;' that it undoubtedly reflects the original plan for this section of the work, and that it is crucial for studying the original plan of the Liishi chunqiu beyond the 'Wmanac" books. In each of the seven chapters of this book, the particular usage of the phrase "the explanation is to be found in" (jie zai hu M:ft.l_¥) indicates that a further explanation, usually a story about an event or person, is to be found elsewhere in the text. At least Book 13, and possibly other books of the "Examinations;' were originally conceived to consist of a "canon" followed by an "explanation" which would elaborate on the significance of the canon. This format is familiar from such works as the Hanfeizi and Guanzi and from such archaeologically rediscovered works as the Mawangdui Wuxingpian E. f.f&. The plan suggested by the phrase "the explanation is to be found in" is not realized in the present work, however, for nowhere in the text are books to be found containing the expected explanations. While there are no books devoted to explanation, the following list, collected from D. C. Lau (''Textual Problems") and Kusuyama Haruki ("Ryoshi shunjii"), shows that apart from the ''Youshi lan;' there are "explanations" for other chapters elsewhere in the text. "You shi" 13/1.13 What gives Heaven and Earth shape

no explanation

In what produces thunder and lightning

no explanation

In the vital essences by which Yin and Yang create things In what comforts and pacifies humans and wild beasts

no explanation no explanation

"Ying tong'' 13/2.4 Scribe Mo and Viscount Jian of Zhao

explanation in "Zhao lei" 20/4.5

"Qu you" 13/3.5 Man of Qi desiring gold Qin Mohists Lao Dan

explanation in "Qu you" 16/7.3B explanation in "Qu you" 16/7.1 no explanation

INTRODUCTION

31

"Ting yan" 13/4-.3 Bai Gui criticizing Hui Shi

explanation in "Bu qu" 18/6.4-

Gongson Long persuading King Zhao ofYan

explanation in "Ying yan" 18/7.2

Gongsun Long's response to the encounter at Kongluo

explanation in "Yin ci" 18/5.2

Kong Chuan debating Gongson Long Di Jian refuting Hui Shi

explanation in "Yin ci" 18/5.3 explanation in "Yin ci" 18/5.7

"Jin ding" 13/5.4Sheng Shu persuading the Duke of Zhou Duke Huan of Qi and lesser minister Ji

explanation in "Zhong yan" 18/3.3 explanation in "Xia xian" 15/3.4-

Marquis Wen ofWei and Tian Zifang

explanation in "Xia xian" 15/3.6 [Duangan Mu instead ofTian Zifang]

"Wu ben" 13/6.4Lord of Zheng and Bei Zhan

explanation in "Wu da" 26/2.4-

Bo Yi and Lord Si ofWey

explanation in "Shen ying" 18/1.6

"Yu da" 13/7.4Bo Yi and Lord Si ofWey

explanation in "Wu da" 26j2.3A

Duo He and Lord Zhaowen of Zhou

explanation in "Wu da" 26/2.3B

Kuang Zhang refuting Hui Shi

explanation in '1\i lei" 21/5.4-

Furthermore, in a significant number of these passages, the parallels between this book and other parts of the Liishi chunqiu have commonalities that go beyond a "canon" and "explanation" relation. D. C. Lau and Kusuyama Haruki have collected the following parallels: 13/2 Ying tong

20/4- Zhao lei

13/3 Qu you 13/5 Jin ting

16/7 Qu you 16/2 Guan shi

13/6 Wu ben

26/2 Wuda

13/7 Yu da

26/2 Wuda

32

INTRODUCTION

The close textual relationship between the individual paragraphs of these chapters is demonstrated by the fact that their differences consist solely of "1) variant readings, 2) omissions, and 3) occasionally minor reversal in word order of no special significance" which means that the parallels are merely "variants of the same text" (Lau, "Textual Problems;' pp. 61ff). Kusuyama suggests that part of"Ying tong'' 13/2 and part of"Zhao lei" 20/4 originally constituted a single work that was later divided in the course of editing. Both Lau and K.usuyama note that the titles of chapters 13/3 and I6/7 are graphic variants of one another, synonymous in meaning. Chen Qiyou (LSCQ p. 1707), Lau, and Kusuyama concur that "Wu da" 26/2 is a compilation of materials from ''Wu ben" 13/6 and "Yu da" 13/7, which Kusuyama attributes to "hasty production" intended to "fill in the gaps that existed in the overall design of the text.'' In summary, the Lushi chunqiu in its present state is whole in terms of its actual execution by Li.i's death, but incomplete in terms of the execution of its original design. By 239 the Almanac sections were completed and Lii Buwei prepared an introduction for them that stated the intent of the whole work. Book 13, which was by then partly completed, contains important clues for the original design of the "Examinations"; but the remaining books of the "Examinations" consist of materials assembled without following the original design for the "Examinations." They do not represent a simple compilation of materials culled from other works, however, reflecting, as they do, elements of the original design and containing important statements ofLii's philosophical positions. Less complete still is the "Discourses;' whose numerological base and general theme are recognizable, but whose original design is unclear. Kusuyama is probably correct in suggesting that after 237 the difficulty of Lii's circumstances required that the unfinished portions of the work be produced in haste. The resulting incompleteness of the "Examinations" and "Discourses" has contributed to the common perception that the Lushi chunqiu is simply a compilation of preexisting texts, thrown together with little thought given to connecting them into a coherent whole.

The Layout and Order of the Text The received text is divided into three parts: 12 ''Almanacs"; 8 "Examinations"; and 6 "Discourses.'' The design of the text provides each of the 12 ''Almanacs" with 5 chapters (pian), for a totalof6o; each of the 8 "Examina-

INTRODUCTION

33

tions"with 8 chapters (except''You shi"with only 7), for a total of 64 (with one missing in the received text); and each of the 6 "Discourses" with 6 chapters, for a total of 36, for a total of r6o chapters. Significantly, the structure of the Liishi chunqiu refers to the cosmological thinking that underlies its philosophy: the tripartite division of the text into ''Almanacs:' "Examinations:' and "Discourses" corresponds to the cosmological Triad ofHeaven, Earth, and Man; the twelve ''Almanacs" books mirror the twelve solar months of Heaven, and the five chapters in each book symbolize the Five Processes that control each season's workings; the eight "Examinations" of eight chapters each reflect the sixty-four Hexagrams of the Changes and represent the affairs of Earth; and the six "Discourses" of six sections each are based on the number corresponding to Man and concern human affairs. The treatise portion of the "Wuxing:' book 41 of the Guanzi, explains the numerical basis of the organization of the "Examinations" and "Discourses" in the Liishi chunqiu: "In the sixth month the sun reaches its solstice, and this is why humans have the six yao lines of the hexagrams .... The Dao of Heaven uses the number nine to rule, the principle of order (li) of Earth uses eight, and the Dao of Humanity uses six.'' In the "Postface:' Lii Buwei says: Heaven is called "accordant." This accord is the guiding rope of the net of life. Earth is called "steadfast.'' This steadfastness is the guiding principle that leads to tranquillity. Man is called "trusting.'' This trust is the guiding force that leads to obedience. When these three are properly combined, everything proceeds with no assertive action. (LSCQ "Postface")

The twelve books of the ''Almanacs" provide the overall intellectual structure of the work, based on Heaven, arrange topics according to seasonal associations, and present the design of imperial activities performed in response to the requirements of Heaven and Earth. In the words of the "Postface:' "they ascertain indications in Heaven above, conforming signs on Earth below, and what to look for among men in the middle.'' How this is accomplished is discussed below. The "Examinations" are based on the "organizing principle" (li) of Earth. They elaborate on the topics introduced in the ''Almanacs:' offering more details about ruling and government. The first of the "Examinations:' Book 13, ''You shi:' mentions that the sage examines all things and orders them according to what he sees. The "Postface" makes a similar point, perhaps in anticipation of the topics of the "Examinations":

INTRODUCTION

"Proceeding according to the proper methods" consists in complying with principles of rational order and in normalizing individual biases. Biased vision will cause the eye to go blind; biased hearing, the ear to become deaf; and biased thinking, the mind to be deranged. If all three of these are applied in a biased fashion, then knowledge cannot be impartial. If knowledge is not impartial, then good fortune will each day decline and the threat of calamity will each day increase. This principle may be seen in the fact that once the sun's rays slant, it will inevitably set in the west. (LSCQ "Postface")

Lii Yi (p. 68) suggests that the design of the "Examinations" is prefigured in the topics of individual chapters. The first, ''The Beginning" (13/1), provides the macrocosmic overview: the shaping of Heaven and Earth, whose harmonious union produces all things, so that "the myriad things are like the body of one person;' and in this way are all similar to one another. "Heaven arrays the myriad things, and the sage observes them closely to discover their proper category" (13/1.14-). Each of the subsequent chapters of Book 13 prefigures one of the remaining books of the "Examinations": 13/2 "Resonating with the Identical" 13/3 "Getting Rid of Prejudice" 13/4 "Judging Advice"

13/5 "Carefully Listening" 13/6 "Devotion to the Fundamentals"

13/7 "Illustrating the Great"

Book 14 "Filial Conduct'' Book 16 "Foreknowledge" Book 18 "Examining Responses" Book 17 "On Examining Divisions of Responsibility" Book 20 "Relying on Rulers" Book 19 "Departing from Conventional Conduct"

Presumably, the now lost-or never completed-chapter 13/8 prefigured Book 15 "Being Careful When the State is Large?' Lii Yi further suggests that the content of the "Examinations" is based on the idea of the five affairs of government in the Documents: The Five Modes of Conduct: The first mode of conduct is called demeanor; the second, speech; the third, looking; the fourth, listening; the fifth, thinking. "Demeanor'' designates behaving respectfully; speech, according with nature; looking, seeing clearly; listening, hearing perceptively; and thinking, considering perspicaciously. Respectfulness produces gravity in the person; according with nature, orderliness; seeing clearly, wisdom; perceptiveness in hearing, deliberation; and perspicacity, sagacity. ("Hongfan," par. 6)

INTRODUCTION

35

"Looking" refers to the far-sightedness that allows the sage to recognize trends and see changes before they take place. In the more ordinary ruler, it means recognizing talent and ability when choosing ministers- the topic of books 16 and 18 in Lti Yi's view. Book 15 is concerned with demeanor, respectful behavior, and the personal gravity that follows from them. Maintaining the proper demeanor allows the ruler to associate with talented ministers and to use his own power but rarely. Book 17 is concerned with listening, which is illustrated by the portrait of the ruler who weighs his ministers' recommendations before adopting particular policies. Book 20 is concerned with thinking, as exemplified in the ruler who allows criticism for the good of the state. Book 14 is concerned with self-cultivation as a means of strengthening integrity and enlarging ambition. Book 19 is concerned with the relation of personal purity and nobility to public justice and morality (Lti Yi, pp. 65-68). The "Discourses" were originally conceived of as a systematic presentation of the elements of government, representing the Dao of Man. As might be expected from the circumstances of their compilation, the "Discourses" seem to be the most miscellaneous of the three major divisions oftheAnnals. The failure to carry out the original design of the "Discourses:' and perhaps other factors, has resulted in a somewhat awkward work, marred by repetitiousness and incompleteness. The level of repetitiousness is perhaps no greater than in other works of the classical period, but the very structure of the work leads us to notice it more than we might. The incompleteness is also a function of the structure, but here the division of materials, abrogating perhaps the original design, leaves the development of ideas fragmentary.

The Almanacs As we have seen, only the books of the ''Almanacs" realize the original design of the Annals in their present form. The first section of each of the ''Almanacs" records the activities to be undertaken in that month. These activities are defined cosmologically by the celestial coordinates of the sun, and the zodiacal constellations that culminate at dawn and dusk. They are refined by the Five Processes correlates, including the signs of the sexagenary Sovereigns, their assisting spirits, animals, musical tones, cycle, the di pitch-standards, numbers, tastes, smells, sacrifices, and bodily organs. Some of these vary with the month, most are defined by the season, but all reflect the influence of Heaven's operations through the movement of its celestial bodies and the influences of the Five Processes.

*

INTRODUCTION

There then follows a list of the earthly signs that mark the months and seasons. The phenology-that is, the record of periodic phenomena such as flowering, breeding, and migration-contained in the ''Almanacs" is common to folk wisdom the world over and survives in farmers' almanacs, which advise people even today about weather and agriculture. The essential observations of each month concern the weather, as well as the plants, birds, and animals that are reasonably reliable indicators of weather and therefore emblematic of the changes in the Yin and Yang qi ~ethers that account for seasonal variations in climate. These elements define the normal conditions ofHeaven and Earth which the emperor, the ritual assessor of Heaven and Earth as the Son of Heaven, is expected to maintain through carefully coordinated activities, conducted in response to the elements of the cosmological scheme. These activities determine where he should ritually take his position in the Hall of Light (ming tang). Instead of a temple devoted to ancestor worship, the ''Almanacs" make the Hall of Light a residence laid out so as to assure coordination between the spheres of Man, Heaven, and Earth, in accordance with the Five Processes. This is a significant innovation, one that stresses the central importance of the sacerdotal functions of the di, or emperor, as Son of Heaven. The text also specifies in conjunction with where he resides, what kind of vehicle the emperor should ride in, what kind of horses should pull it, and what kind of decorations it should have; how he should dress and adorn himself; what he should eat and what ritual vessels he should use. This material is noted consistently for each season. For each month, the text also designates the activities appropriate to that month, activities intended to mark the beginning of the year or the season, the beginning of planting, silkworm production, prayer and ritual, and policies, ordinances, and regulations. These vary with the month, some months being more filled with imperial activity and others less so. Finally, there are strictures warning of the disasters that will befall humanity if the wrong seasonal activities are put into effect. Behind the celestial and terrestrial signs to be coordinated with human activities lies an elaborate numerology. The ritual year, which contained 360 days, was divided into progressively more numerous and smaller periods: 2

periods of r8o days each, one with the Yang ethers ascendant and dominant, one with Yin ethers ascendant and dominant;

INTRODUCTION

37

4 seasons of 90 days each, defined by the four possible relations

between the Yin and Yang ethers; 5 periods of 72 days each, each dominated by one of the Five

Processes; 8 periods of 45 days each, defined by the prevailing winds; 12

solar months of 30 days each, defined by the position of the sun;

24

qi

36

xun ii] "weeks" of 10 days each, which defined normal court

*"

"fortnights" of 15 days each, which helped coordinate the solar and lunar calendars; activities; and

72

hou f~ "observations" of 5 days each, which defined the slight changes in nature that advised farmers and others what to do next.

All of these periods existed before the books of the Liishi chunqiu "Almanacs" were composed, and other texts refer to some of these periods together with some of the defining activities of the court; but in none of them is there the preoccupation with the proper role of government that we find in the Liishi chunqiu. There are six other works, all antecedent to the Liishi chunqiu, that contain some of the 'celestial and terrestrial signs recorded in the ''Almanacs.'' First, the Xia xiaozheng, or Lesser Annuary According to the Xia Calendar, now Book 47 of the Da Dai liJi, consists of a cryptic "canon" followed by an "explanation": Canon: The ringed pheasants shake and make a racket. Explanation: Its shake is its cry. The racket is made by the drumming of its wings.

Canon: In the first month there is certain to be thunder. Explanation: It is not inevitable that the thunder will be perceptible. Only the ringed pheasant is certain to hear it. Why is it called "thunder"? The excitement and racket of the pheasant is caused by its perception of the thunder.

Although Yin-Yang thinking is not immediately apparent in this passage, these phenomena were recorded for their significance to the change in the relationship between the Yin and Yang at this point in the yearly cycle. By

INTRODUCTION

the first month of the year, the Yang, weakest at the winter solstice, has developed considerably; this development is the pheasant's shaking which is associated with thunder. In the Yijing, the hexagram Zhen, "Shake" (no. 51), consists of thunder repeated, suggesting the terrifying sound that can be heard over a hundred li; the shock of the sound inspires fear and trembling in the gentleman, who accordingly engages in self-examination. But such thunder is not always heard, despite the requirement ofYin-Yang theory that it should occur in this month. So the theorists explain the regularly occurring cries and drumming of wings in the pheasant's mating ritual, which always occurs, as symbolic thunder: pheasants, like other animals, are stirred by the movement of the Yang deep within the earth, as yet too subtle to be detected by humans. Other observations are simply predictive signs of the season and should be understood as folk phenology of indeterminate and probably very ancient date. Two instances of this are the blooming of flag iris and chrysanthemums and the emergence of field rodents from their burrows (the latter perhaps akin to Groundhog Day in America). Examples of ordinary activities that are defined by the climatic conditions of the time would include the partitioning of fields, the binding and repairing of plows, and the cultivation of fields as far as snow and marshy conditions permit. Ritual matters such as the plowing ceremony and distribution of rice are mentioned but are not central to the text. Peculiar behavior of animals is noted, with distinctly anthropomorphic interpretations: otters offer up fish, young foxes plunder, wolves sacrifice animals. Certain recorded changes are clearly impossible: hawks becoming doves, field rodents becoming a kind of quail, and small birds entering the sea to become mollusks. These animal transformations are emblematic manifestations of the character of the prevailing ethers, Yin or Yang. It is evident that the author of the "explanations" knows that these transformations do not really occur, for he says with regard to the small birds, "Probably there are instances of this, but it is not the normal occurrence for them to enter the sea?' It is pointless to look for some hypothetical natural phenomenon, such as the sandpipers whose behavior might be misinterpreted as transformation. The relation is symbolic of the hidden influences of the Yin and Yang ethers and the far-reaching symmetries in things that share the same ethers. The LesserAnnuary assumes that the Yin is the "killing" ether, causing plants to set seeds and die; animals to prepare for hibernation and migration; and men to take appropriate military action and apply punishments, especially

INTRODUCTION

39

the death penalty. The Yang ether is the "life-giving" ether, causing plants to germinate and grow, animals to mate and bear young, and men to make appropriate bestowal of rewards and perform acts of generosity. There is no obvious Five Processes theory recorded in the text, but examples relating to color and the cardinal directions suggest that at least an early association was being made. Although the date of this work is disputed, there is no reason to doubt that the "canon" dates to pre-Confucian times, the "explanations" somewhat later. The Shixun, Instructions for the Seasons, now book 52 of the Yi Zhoushu, is built around the five-day hou observational periods and the fifteen-day qi fortnights. The system of using fortnight nodes and centers as a means of coordinating the solar and lunar calendars may be very ancient, possibly of Shang date. Within each fortnight there are characteristic signs which, while undoubtedly based on observation, are selected not merely because they regularly and reliably occur, but because they indicate the hidden, unobservable relation between the Yin and Yang ethers. Thus, the sight of otters offering up fish is confirmation that the relation between Yin and Yang is balanced: the wild geese will return as they should, and the plants and trees will sprout. But if the otters do not sacrifice fish, bandits will arise, and distant people will not submit to Chinese authority. Nor is it is the peculiarity of the idea- otters offering up fish- that accounts for its selection as a symbol, for the following fortnight period is signified by the first blossoms of the peach, an indication that the Yang ethers have begun to circulate. If the peach does not bloom, the Yang ethers must be obstructed and, being unable to circulate, will fail to produce the heat that stirs all life. At the vernal equinox swallows arrive; five days later the first thunder should occur, and five days after that the first lightning. These are emblematic events, for they symbolize, respectively, that wives will become pregnant, feudal lords will keep the allegiance of their people, and the majesty of lords will inspire awe. Many of the predictive events-reallike the peach blossoms or imaginary like the otter's offering of fish -are common to both the LesserAnnuary and the ''Almanacs?' The Instructions differ from the LesserAnnuary in making explicit use of the words yin and yang. The phenomena enumerated in both the LesserAnnuary and the Instructions are overwhelmingly related to agriculture. The date of the text is not evident, and there are no easy clues. It was found in A.D. 281 among a group of texts that included the Bamboo Annals. It has been considered suspect by scholars, although on inadequate grounds. We believe it to be a genuine document, probably pre-Confucian in date.

40

INTRODUCTION

The Sishi, Four Seasons, now book 40 of the Guanzi, contains an earlier almanac set into a later discourse about the need to keep commands proper to the season to ensure that life is not disrupted and that cosmic balance is maintained. The use of concepts like "principle of order'' (li f_l), "warp" (jing ~), and "punishment and blessing" (xingde lfut') suggests that the discourse dates to the third century, but even though Yin and Yang are prominent, there is no trace of the highly developed third-century Five Processes speculations. The earlier almanac contains correlations between the four directions and the central region, the seasonal, celestial bodies (stars, sun, earth/Jupiter, planets, moon), and the ether and the de 1~ Power which govern the period and determine the nature of its activities; warnings about the untoward effects of implementing the wrong seasonal regulations; and a statement concerning "five regulations" appropriate to the third month of the season, the days on which they are to be executed, and the promise of timely weather if they are properly implemented. The text is unfortunately garbled, and the emendations of scholars such as Guo Moruo have not succeeded in unraveling all the issues involved. Further, the emendations suggested are based on the Liishi chunqiu, which makes a careful comparison of the two texts problematic. Nonetheless, it is clear that the texts have little in common and belong to entirely different traditions. The Wuxing or "Five Processes;' comprising book 41 of the Guanzi, consists of three parts: a treatise, which gives a numerological and "historical" account of the factors that make it possible to correlate correctly the relations among Heaven, Earth, and Man; an almanac that uniquely divides the year into five 72-day periods during which, successively, one of the Five Processes is dominant; and a concluding section warning against transgressing the dominant element. The numerology of the treatise is, as we have seen, consonant with that underlying the Liishi chunqiu. The treatise relates Five Processes theory to divinational practices and Yin-Yang speculations, but not in a way consonant with the developed theories of the third century. The historical section of the treatise offers an account of the Yellow Sovereign's establishing the basic correspondences, between region, color, spirits, offices, and bells. The almanac provides indications of the beginning of each season according to the sequence of cyclical terms for the days, starting with the first jiazi day after the winter solstice, the traditional starting date for affairs of all kinds. This is not an agricultural almanac, not only because it speaks of five seasons, ignoring the farmer's reality of four seasons, but also because it focuses on the Son of Heaven and his subor-

INTRODUCTION

4-I

dinates. In this regard, it is closer to the "Almanacs" of the Liishi chunqiu than the other texts. The "Five Processes" shares with the other texts concluding warnings about the consequences of transgressing the Process in charge of its 72-day "season.'' Allyn Rickett notes that the yearly cycle and seasonal activities presented in the concluding warnings are slightly different from those contained in the "Five Processes" almanac, which may mean that these warnings belonged originally to an independent work (Guanzi, I, pp. 160-61). A fifth almanac is contained in books 8 and 9 of the Guanzi, the Youguan or "Dark Palace" and the Youguan tu or "Dark Palace Chart.'' Unfortunately, the text is extremely corrupt, and Guo Moruo's reconstruction, while an enormous improvement over earlier efforts, leaves many passages problematic. Nonetheless, the material shows that this work, however reconstructed, resembles the ''Almanacs" of the Liishi chunqiu quite closely, but with numerous differences of detail; it also contains some correlates absent from the "Almanacs" (conveniently summarized by Rickett, Guanzi, I, p. 161). Furthermore, it divides the year into thirty twelve-day periods, spring and autumn comprising eight each and summer and winter comprising seven each. This fundamental difference in numerological basis suggests that the "Dark Palace" belongs to a tradition, otherwise unrepresented in pre-Han works but found in the Sanshi shi or "The Thirty Periods:' discovered at Yinqueshan in 1972 in a Han tomb dated to 134 B.c. Aside from minor variations and the addition of two items of a distinctly Ru cast, the Yueling or "Monthly Ordinances:' comprising book 6 of the Liji, is identical to the present text of the ''Almanacs.'' It is generally believed that in fact the Yueling and the ''Almanacs" are one and the same work, though scholars dispute the relative priority of the two texts. The matter is further complicated by the fact that there was a now lost "Yueling" that comprised book 53 of the Yi Zhoushu. Early quotations from this work suggest that it differed from the ''Almanacs.'' The abundant variety of texts demonstrates the importance that the Chinese, like all ancient peoples, placed on coordinating their activities with the seasons, thereby assuring the success of the harvests on which their lives depended: Do not contravene the number indicated in the heavens, The use of things must accord with their season. (LSCQ8/r.6)

42

INTRODUCTION

But there is also a more profound, cosmological reason why ancient peoples studied nature so assiduously, albeit in a way we now judge to be superstitious. In The Order ofThings, Michel Foucault notes that until the end of the sixteenth century, speculations about the "resemblance" of things guided how texts were interpreted, knowledge of the world became possible, symbols were to be understood, and things should be represented in art. "The universe was folded in upon itself: the earth echoing the sky, faces seeing themselves reflected in the stars, and plants holding within their stems the secrets that were of use to man" (Foucault, p. 17). The problem for humans confronting a world rich in symbols and hidden connections lay in recognizing the signatures that were ultimately interpretable. As the alchemistParacelsus remarked," ... even though [God] has hidden certain things, he has allowed nothing to remain without exterior and visible signs in the form of special marks" [Die 9 Bucher der Natura Rerum in Suhdorff (ed), Works, IX, p. 393, quoted in Foucault, p. 26]. Thus, any kind of resemblance, however fanciful it appears to us, was until modern times, in China as in the West, conceived of as a secret affinity, a magical sign, a profound connection worthy of intense speculation that might uncover the key to its hidden meaning. Renaissance writings share with these Chinese texts an interest in "signatures:' the keys to unlocking the secrets of nature and discovering the invisible truth in the visible sign. What distinguishes The Annals ofLu Buwei from earlier texts is that it is the most systematic and the most sophisticated of all these documents: it aims at a total cosmological scheme, intertwining the world of man with the course of Heaven and the sequences of the seasons on Earth. In the ']\]manacs:' the seasons determine the actions of the Son of Heaven and of the population at large. Spring is the time of flowering, birth, and beginning; summer of growth and maturity; autumn of harvest, collecting, and restraining; and winter of storing, hiding, and concealing. The other chapters in each of the books of the ']\]manacs" elaborate on the government policies and individual practices to be implemented during each season. Spring meant planting and birthing, moderation of desire, respect for life (particularly young life), public-spiritedness, and above all leniency and benevolence. Summer meant growth; in human terms, this meant education- respect for teachers, following the good example of others, practicing virtue-and cultivation through music, which developed the mind and gave expression to the feelings. Autumn meant harvesting the year's work; in governmental terms, this implied increasing severity in the application of

INTRODUCTION

43

the law, the imperial chase and hunt, and the initiation of warfare. Winter meant storage and death; in governmental terms, it was concerned with burial and the moderation of excess therein, being ritually pure, and taking the long view.

The Syncretic Character of the Liishi chunqiu The Liishi chunqiu is often characterized as a "miscellaneous;' that is, "eclectic" or "syncretic;' text because the "Bibliographic Treatise" of the Hanshu classifies it as belonging to the zajia *tE*, or "Mixed School." Feng Youlan states this position most clearly: "The book was compiled by a variety of hands, each recording what he knew; thus, while its layout is systematic, its thought does not represent the viewpoint of any one school" (quoted in Xu Weiyu, Liishi chunqiu jishi, "Preface"). The Hanshu classification zajia does not mean a miscellaneous compendium that collects diverse views without reconciling them, but rather a work that presents a blending of materials, representing previously distinct positions. While theLiishi chunqiu borrows from a variety of philosophies, it resembles no one of them exactly. As the text itself says: "In the world there are no completely white foxes yet there are completely white fox fur coats" because only the white parts are gathered together ("Yongzhong;' +/s.6). By the third century, philosophic inquiry had developed to the state where "borrowing" from various predecessors was all but universal: the Xunzi, the Hanftizi, and the "Huang-Lao" texts all borrow from various sources without losing their distinctive philosophic identities. The Hanshu "Bibliographic Treatise" lists ten works of the Zhou, Qin, and early Han periods related to the Liishi chunqiu that belong to this school: Kong ]ia panyu fL Ej3fiE~, The Basins and Bowls ofKong ]ia, 26 books, now lost. A work said, according to a tradition cited by the Qilue of Liu Xin, to have included precautions and models and to have been authored by Kong Jia, court historian under the Yellow Sovereign. TheMozi repeatedly notes that the ancient kings, to make sure that their teachings would survive, had them written on bamboo and silk, inscribed on bowls and basins, and en-

graved on metal and stone. Da Yu 7:. ~' The Great Yu, 37 books, now lost. A tradition says that it was written by Sovereign Yu, but Ban Gu notes that its text appears to have originated in a later period. A short passage from this work quoted by Jia Yi fllllr in the early Han dynasty closely resembles passages quoted as

INTRODUCTION

++

z

*

from the Yu zhi jin f.ij ~(in Yi Zhoushu "Daju" ~) and as from the "Xia zhen" :1:~ (inn Zhoushu "Wen zhuan" X {f.). All these are probably variant titles of the same work. Wu Zixu ffi -T~, The Wu Zixu, 8 books, a questionable version of which survives. The work is not the same as Wu Zixu, but in 10 books, listed in the Hanshu bibliography's section on military texts (HS 30.1761). In his Dushu conglu ~IH!Hi~, Hong Yixuan lists the titles of eight books as: ''Taibo" 7,;::{8, "Jingping" :iftj~, "Wu" ~' "Jini" ~tf)C, "Qingtiao" ~" ll!i, "Jiushu" fLf;ley, "Bingfa" :%it, and "Chenheng" ~Jitt:lf (cited in Gu Shi, Hanshu, p. 158). Ziwanzi -T~-T, The Master Wan, 35 books, now lost. Ban Gu identifies the author as a native ofQi who was fond of debating military matters. He notes that its contents resemble the Sima fa ~~it. You Yu E8 ~' The Works ofYou Yu, 3 books, now lost. Ban Gu says that the author was a Rong barbarian who was made a grand officer by Duke Mu of Qin. Early texts give an account of the audience You Yu had with Duke Mu during which You Yu contrasted the governmental philosophy of the Yellow Sovereign with that of the Rong people (Zuo zhuan [Wen 2] and Shiji [5.192f]; cf. Hanfeizi, 10 "Shiguo;' pp. 186f). Wei Liao Jl\1*'-, The Works of Wei Liao, 29 books. Wei Liao, a native of Qi, is said to have studied the philosophy of Shang Yang and to have had an audience with the First Emperor in 237, the year Lii Buwei was dismissed from office and the government was placed in the hands ofLi Si (S] 6.230 ). There was a military treatise also named Wei Liao, in 31 books (HS 30.1758), which was perhaps a related book, now possibly conflated with this work, which survives. The 1972 discovery of a Weiliaozi at Yinqueshan has not only proved that the surviving work is genuine but has also renewed interest in this work (Yinqueshan, pp. 21-27). Shizi F -T, The Master Shi, 20 books, reconstructed by the Qing scholar Sun Xingyan 1*£ trr. The Song critic Wang Yinglin wrote that Master Shi was a native of Qin and a retainer of Shang Yang during the period Shang was prime minister of Qin; his work then consisted of more than 6o,ooo words. Lushi chunqiu, The Annals ofLu Buwei, 26 books. Huainan, nei $i¥_i, il'J, The Huainan, Inner Books, 21 books, extant; and Huainan wai $i¥_i, :9}, The Huainan, Outer Books, 33 books, now lost. The Huainan, nei, now known as the Huainanzi, was composed by Su Fei ~m, Li Shang '$Pli, Zuo Wu :0:~, Tian You H3 EB, Lei Bei ~!Hllt, Mao Bei =§flit, Wu Bei ffi flit, and Jin Chang if lff!J (called the eight dukes), with other Ru scholars, under the auspices ofLiu An jfj 3(, king ofHuainan, and was presented to Emperor Wu shortly after his accession in 139 B.C. (HNZ, Gao You, Preface; S] n8.3082.) The Hanshu biography ofLiu An

INTRODUCTION

+5

tells us that originally there were 21 Inner Books, many Outer Books, and Middle Books consisting of eight scrolls (HS 4-4-.2145 ). Gao You, the commentator of the extant text, says in his preface that there was another work in 19 books called the "Outer Books." Yan Shigu (HS 4-4-.2145) notes that the Inner Books "discussed the Dao'' (~Hii:ll!) while the Outer Books contained "general discussions" (~m).

What Ban Gu tells us about the school argues against understanding the word za in its usual sense of"miscellaneous?' Ban Gu surmises that the "Mixed School" developed out of the Office of Councilors (yiguan J!'§'). Gu Shi (Hanshu, p. 164-) points out that in using the word yi, "counsel, advise;' Ban Gu alludes to a discussion between Duke Huan and Guan Zhong on the nature of remonstrance in antiquity: "The Yellow Sovereign established the office of councilor of the Bright Tower to observe the worthy from above. Yao had the questioners of the Crossroads Room listen to the people from below. Shun had flags to announce the good, so that the ruler would not be obsessed. Yu established remonstrating drums in the court to arrange for reports. Tang had the courtyard ofZong market in order to observe the criticisms of his subjects. King Wu had the observers of the Magic Tower, so that the worthy would be promoted?' Duke Huan said, "I should like to emulate them in creating a special office, so what should I call mine?" ''The name should be 'Councilor of the Tumultuous Room' and I urge you to appoint Dongguo Ya to it." (Guanzi 56.883)

The strong points of this "school;' in Ban Gu's view, were that it "combined elements of the Ru 'Confucian' and Mohist thinking and conjoined the concepts of Logicians and 'Legalists; thereby to understand what was needed for the proper form of the state apparatus and to see that the government of a true king connected everything properly'' (HS 30.174-2 ). The scholars of the Jixia Academy in Qi had been appointed not to "govern" but to "deliberate and assess" (SJ 4-6.1895), that is, they were employed to analyze the goals, functions, and structure of a "royal government," the government of a "true king" who would govern the whole world; to develop a coherent political philosophy; to formulate a broader philosophical framework for the morality, epistemology and psychology that would form the basis for all knowledge and action; and to elaborate the cosmological

INTRODUCTION

conditions which controlled human affairs. The works of the "Mixed School" thus were not "miscellaneous," "eclectic;' or "syncretic"; they were not illconsidered mish-mashes of extracts culled from other works and displaying little originality of thought. Rather, they belonged to a class of philosophical speculation that dealt especially with the relation of the human realm to the cosmos, governance to cosmology, the ruler to Heaven and Earth. We can see this directly in the two most important works of the "Mixed School;' the Liishi chunqiu and the Huainanzi.

The Major Points of the Lushi chunqiu The philosophy of a work as long as the Liishi chunqiu cannot be summarized in a few paragraphs, but its principal positions can be indicated. I. Affirmation ofselfcultivation and impartiality. A sage becomes the Son of Heaven because he first cultivates himself, then brings equanimity to his family, order to his state, and finally tranquillity to the whole world. ''These four [self, family, state, world] occupy different positions but share a common foundation" (LSCQ 17/8.2). A great cook adjusts and blends the ingredients of his dishes, not presuming to partake of them himself, which is why he is properly considered the cook. So it should be with lords, who should punish the violent without partiality and enfeoff the worthy men of the world (1/5.6). Through impartiality, universal peace was established by the ancient sage-kings; it has been lost through partiality (1j4.1).

2.

Rejection ofhereditary rule over the empire. In the view ofLti Buwei,

because the devoted knight concerns himself with the long-term benefit to the whole world, he naturally shows no favoritism toward his own descendants, nor any preference for his own age (20/2.1). When Heaven established the position oflord, it "was not done out of partiality for lords, nor the establishment of Son of Heaven out of partiality for the Son ofHeaven, nor the heads of office out of partiality for heads of office" (20/1.3). Rather, Yao and Shun, the worthiest of rulers and the first lords, "both made other worthy men their successors, being unwilling to give their positions to their own descendants?' This, in Lti's view, entailed precisely "the same principle as establishing offices and invariably establishing them according to the square" (3/5·3·A).

INTRODUCTION

4-7

3. Stupidity as the cause ofhereditary rule.

Despite the disastrous example of King Kuai ofYan (r. 320-312) who, in imitation of sage-king Yao, relinquished his throne to the unscrupulous Zizhi, whom he imagined to be a worthy minister like Shun, the practice of hereditary rule is based on stupidity, grounded in selfishness, and reinforced by flatterers and sycophants. ''There is nothing more destructive than stupidity. The calamity of the stupid is that they insist on relying upon themselves. Since they rely on themselves, it is only the ignorant and backward who join them and congratulate them. It would be better not to possess a state than to possess it in this manner. It was because of this that the ancient practice of giving the state to the worthy was born. It was not that those who did so disliked their own offspring, or that they were seeking to magnify their reputations, they were only responding to the realities of the world" (26/1.4 ). Only with the decline of Power and virtue did rule become hereditary; chaos and difficulty have ensued ever since. 4. Need forgovernment to honor the concerns ofthe people. The fundamental principle on which all government must rest is that in all his undertakings the ruler "must first determine the wishes of the people and only then act" (9/2.5). "The Former Kings took being in accord with their people's hearts as their first principle" (9/2.!). There were "many kings in previous ages, and what they did was not always the same, but all were the same in meeting the crises of their age, in being concerned about what benefited the people, in eliminating what harmed the people:' and in doing what they could to "improve the situation of the people" (21/s.r ). This is why when a sage begins to rule, "he keeps in mind the goal of loving and benefiting the people"

(9/s.r).

s. The central importance of learning and teachers. The Liishi chunqiu shares with the Xunzi the view that teaching is crucial to the individual as well as to both society and government. As such, teaching "is the most important of our moral duties, and learning is the culmination of wisdom. The greatest of moral duties is to benefit others, and nothing is of more benefit to others than teaching'' (4/3.5.B). "The instruction of an accomplished teacher makes his disciples feel secure, causes them delight, puts them at ease, makes them happy, and affords them solemnity and dignity. When these six things result from their studies, the ways of evil and depravity

INTRODUCTION

are obstructed, and the methods of reason and morality triumph. When these six things do not result from their studies, lords cannot command them as their ministers, nor fathers as their sons, nor teachers as their followers" (4/4-.r.A). Becoming a scholar or sage was dependent on intense study. "There has never been a case of someone who did not study intensely and yet was able to become an eminent scholar and famous man" (+/z.r.C). Support and admiration for learning as the basis of rule. "The sage systematically cultivates himself and so completes the pattern in the world" (3/3.3). "Hence, what the sage does, considered in terms of its breadth, reaches to the ends of the universe, to the very limit of where the sun and moon shine, but when considered in terms of its essentials, it does not go beyond his own person" (17/8.2 ). "The culmination of wisdom is perfecting the person, and nothing perfects the person more than learning. When the person is perfected, the son is filial without being told, the subject is loyal without being commanded, and the ruler brings peace without resorting to force. If one had the influence of a great position, one could use it to rectify the whole world" (4/3.5.B). "The Dao of ruling is simple. The lord who safeguards it will find it near at hand. The supremely important first step is to find what you seek in yourself. The next step is to seek it in others. The farther away you search for it, the more you push it away. The more energy he expends in seeking it, the more it eludes him" (3/4-.I). "In the past, the first sage-kings perfected their persons, and the world was made complete. They governed themselves, and the world became well ordered. Thus, just as one who is good at producing echoes works not on the echo but on his voice, and one who is good at producing shadows works not on the shadow but on the shape that casts the shadow, one who exercises control over the world works not on the world but on his person" (3/3.2.A). 6.

The sagely ruler bases himself on the model ofHeaven and Earth. "Great Heaven lacks shape, yet through it the myriad things take form; the most subtle essence does not act, yet through it the myriad things are transformed; great sageliness has no official duties, yet the thousand offices function fully'' (17/z.r.C). Thus, the ruler must not actively participate in government; only then will he best use his officials. "The Former Kings used things that they did not themselves own as if they did own them because they understood the Dao of the lord. The true lord lives in a void, holds fast to the unadorned, and appears to under7. Non-assertion on the part of the ruler.

INTRODUCTION

+9

stand nothing; therefore he is able to employ the knowledge of the many. He is knowledgeable but unable; therefore he can employ the abilities of the many. He is able to hold fast to doing nothing; therefore he is able to employ the actions of the many. Understanding nothing, being able at nothing, and doing nothing are principles to which a lord holds firm" (2514.1). ''The trouble with the world's rulers is that they are ashamed of their ignorance and so work at being self-reliant. They are fond of persisting in their errors and dislike being corrected" (2511.4). "As to the true kings of antiquity, I The occasions when they acted on their own were few, I And those when they relied on others, many. Reliance on others is the technique of the lord; action is the Dao of the minister'' (17/3.2.D). 8. Primary task for a ruler is to select his ministers. ''An enlightened lord is not one who universally sees all the myriad things of the world, but one who is enlightened with regard to what a ruler should manage. The ruler who possesses techniques is not one who undertakes everything personally, but one who knows the essentials of managing his officials. Because he knows the essentials of managing his officials, problems are few and his state is well-ordered" (17l5-1). "It is a general principle that when a ruler knows something, he does not want to be the first to express it in words. 'Others sing the lead, I provide the harmony; others lead, I follow.' By what a man utters, you know what he will contribute; by what he advises, you determine the title he should bear; and by how he realizes what he has advised, you test whether he has lived up to that title. Then persuaders will not dare to make wild claims, and rulers will have a means to hold fast to what is essential" (18l1.1). "The Son ofHeaven, therefore, does not try to deal with things in their totality, nor to achieve perfection, nor to attain fullness. The total invariably is missing something, the perfected invariably suffers reversal, the full invariably begins to wane. Because the Ancient Kings understood that one person's achieving greatness in two things at once is impossible, they selected a task, and if it was suitable, they dealt with it" (2415.2 ). ''Thus, it is said: 'The worthy ruler takes pains in seeking men but is at ease in managing tasks'" (1212.1). ''A ruler who possesses the Dao, therefore, relies on others and does not act, assigns duties but does not inform. He discards conceptualization and imagination, and awaits results in quiescence and emptiness. He does not substitute his words for theirs, nor does he usurp their tasks; but he inspects the names and examines the reality, and the officials thereby manage things themselves" (1715.3).

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50

9.

Need for a ruler to trust the expertise ofhis advisors. Therefore, a good ruler Lacks responsibilities and, After that, he lacks tasks. He who has responsibilities may be unprepared; He who has tasks may not fully meet them. Unprepared for responsibilities, not fully meeting tasksThis is when officers resort to guesswork; This is the source from which evil comes.

Nowadays, even in constructing a chariot, one has to make use of the expertise of several different specialists before it is completed. How can governing a state be as simple as constructing a chariot? A state relies upon a large number of wise and able men. It cannot find security simply by using a single thing or a single method" (17/2.1.D). "In antiquity those who were most adept at ruling, therefore, were 'painstaking in evaluating men but lax in exercising control over their offices. They thereby attained the essential element. Those who are incapable of being rulers wear out their bodies, waste their spirits, tax their minds, and toil away with ear and eye, but their countries are placed in ever greater danger and they stand at ever greater risk of personal humiliation because they do not recognize what is crucial" (2j4.2.E).

ro. Need for a ruler to practice quiescence.

"One who has obtained the Dao is invariably still. One who is still lacks knowledge. When knowledge becomes the same as lacking knowledge, one can converse about the Dao of the ruler'' (17j2.1.A). "'Inventors suffer distress; those who rely on them enjoy tranquillity'" (17/2.3). ''As a general principle, a lord should dwell in tranquillity and quiescence and depend on the transforming influence of his Power in order to hear what is essential. In this way, his bodily frame and inborn nature will gather an ever greater harvest, and his ears and eyes will have ever more energy. The hundred officials will all be careful in their duties, and none will dare be lax or remiss. It is by doing his job that a man satisfies the meaning of his title" (17/4.3). II.

The attack on Qjn practices. Although many of the Liishi chunqiu

attacks on Qin practices have elements in common with the thinking ofRu and with other schools, the particular formulation in the Liishi chunqiu is directed against the school of Shang Yang, which was dominant in Qin. The

INTRODUCTION

51

harshness of Shang Yang's government, military practices, and penal sanctions is nowhere to be seen in the Lushi chunqiu. "Jie and Zhou Xin used the way of repelling things to attract things. Their penalties were heavy and their punishments severe, but what did it accomplish?" (3(5.3). "Severe punishments and generous rewards belong to ages whose government is in decline" (19(3-1 ). Thus, Qin, in resorting to severe punishment, showed that it "lacked the proper Dao" when it merely "multiplied severity?' The more severe such rulers' punishments become, "the less the people can be employed. The rulers of perished states have frequently magnified the severity of governing their people. Therefore, while it is true that one cannot do without severity, in itself severity is insufficient if it is the sole technique on which one relies" (19(4.7).

rz. Just warfare. Weaponry and use of the military is an issue on which there is an uncommonly wide range of opinion among the early philosophers. In the view oftheLaozi, weapons are ill-omened (par. 31) and invite disaster (par. 57, par. 76). Mencius contends that those skilled in warfare should suffer the most severe punishments, that a lack of arms is no disaster for the state, and that the empire is not kept in awe ofgovernmental authority by force of arms (Mencius 4A.15, 2B.1 ). Mo Di, who condemns all offensive warfare, is known to have defended Song against an attack by Chu and to have developed equipment and strategies for the defense of cities and states. Gongsun Long and Hui Shi both advocated pacifism. But Lti Buwei stresses the "righteous use of arms" and the practice of"just warfare?' The genuinely righteous use of weapons entails "punishing tyrannical lords" and "relieving suffering peoples" (7/2.4.B). "Only the use of weapons in a righteous cause can be considered proper. If weapons are raised in a righteous cause, then both aggressive and defensive warfare are proper'' (7/4.2 ). When armies are properly used, their coming means that the people will be rescued from death (7/5.3). "One must have moral right on one's side, one must be wise, and one must have courage" (8/4.1). Warfare is inevitable because it arises from our inborn nature, so we must look to restrain aggression through morality. ''As a general rule, weapons inspire fear, and they inspire fear because they are powerful. That the people become fearful when confronted with power is due to their essential nature as humans. Our essential nature is what we receive from Heaven. It is not something a man can contrive, a soldier overturn, or an artisan change" (7/2.I.B). The goal of the pacifists is impractical. "Fighting and conflict

INTRODUCTION

52

originated long ago, so they can be neither forbidden nor halted. Thus, the sage-kings of antiquity held to the doctrine of the righteous use of weapons, and none thought of abolishing weapons" (7/2.1 ). "The reason weapons cannot be abolished is analogous to the reason why water and fire cannot be abolished" (7/2.3)- even though some people get burned and others drown. IJ. Respect for civil arts. The many discussions of the teachers of the sages recorded in the Lushi chunqiu makes evident a profound respect for culture, civilization, and learning. "King Wu won the world through martial arts but held on to it through civil arts. He turned his spear point down and unstrung his bow to show the world that not using weapons was the means by which he would keep it" (23/6.1). Lii Buwei himself ended the cruel practices of Qin warfare, and his work advocates "righteous warfare." The Lushi chunqiu stands apart from the military treatises that deal with strategy and tactics, but does not agree with the idealistic views of figures such as Xun Kuang and Mencius, who believed that the armies of the sagekings had no need to fight at all.

I4. Emphasis on agriculture. The last of the "Discourses" of the Lushi chunqiu contains a number of works dealing with agriculture, technical

manuals as well as treatises on the importance of agriculture to prosperity of the state and the livelihood of the people. A work attributed to Houji is quoted to explain that the reason effort is devoted to plowing and weaving is because "they are considered the fundamental instructions" (26/3.2). Of all the methods used by the sage-kings of antiquity to guide their people, "the first in importance was devotion to farming. The people were made to farm not only so that the earth would yield benefits, but also to ennoble their goals" (26jp). IS.

Facilitating trade and commerce. To attract merchants and traders,

goods and commodities, to enter the markets and thereby facilitate the people's business, the Lushi chunqiu calls for modifYing the state policies regarding frontier gates and markets. When various kinds of traders come from the four quarters, When merchants arrive from distant regions, Resources and goods will not be deficient. Superiors will not want for the commodities they need; The hundred tasks oflife will proceed accordingly. (8/1.6)

INTRODUCTION

I6.

53

Encouraging economy and conservation. The doctrine of "keeping life

intact" refers to two different kinds of practices: the self-preservation to be pursued only by the sages and emperors; and preserving the livelihood of the ordinary people through maintaining the balance of the natural world. The multitude of regulations concerning the use of forests and marshes was intended to preserve wild animals and natural resources. The moderation of desires, especially among the aristocracy, served the multiple purposes of keeping individual lives intact, reducing the labors of ordinary people, and conserving resources. Such moderation was especially needed to check the extravagant burial practices of the age. "The burials of the Former Kings were invariably modest, invariably fit in, and were invariably indistinguishable. What does it mean to say that they 'fit in' and were 'indistinguishable?"' If one is buried in the hills or forests, the burial site should fit in with the hills and forests; if one is buried in slopes and valleys, it should be indistinguishable from the slopes and valleys. These practices are what we call 'loving others? Those who love others are numerous, but those who know the right way to love others are few'' (I0/3-+). I7. Lightening oftaxes and duties. The constant warfare of the late Warring States period resulted in a great escalation of demands by the state on its subjects. "Duke Wen presented gifts, promoted the downcast, gave aid to the impoverished, rescued those in trouble, expelled the wicked, lightened taxes, pardoned criminals, was moderate in the use of resources, employed the people only in the right season, defeated the Chu army at Chengpu, secured the position of King Xiang of Zhou, broke Chu's siege of the Song capital, expelled the Chu soldiers from the Qi town of Gu, brought to submission all those without and within; after these things had been done the disorders in Jin came to an end" (23/6.2.A). When King Zhuang of Chu contemplated attacking the state of Chen, he sent out a spy who returned with the warning that Chen's supplies were so abundant and its defenses so good that it could not be attacked, but Ning Guo advised the king otherwise: "Chen, being a small state, can be attacked. Its supplies are plentiful because its taxes are heavy-so its people resent their superiors. Its walls are high and its moats deep- so its people are physically exhausted. If you raise an army and attack, Chen can be taken?' King Zhuang heeded his counsel and thus took Chen (25/1.2). In theAnnals, Lii recommends that there be a "reckoning of the amount of the regular tribute due the government, fixed by regulation as appropriate to the distance and quality of the land and

INTRODUCTION

54

determined by the requirements of the suburban sacrifices and the ancestral temples, with no place allowed for private considerations" (9/L4).

Emphasis on filial piety and loyalty.

Lii places an almost Ru importance on the virtues of filial piety and loyalty, measured not by uncritical personal devotion but by allegiance to high ideals. "Of the teachings of the Former Kings, none was more glorious than filial piety and none more eminent than loyalty. Loyalty and filial piety are what rulers and parents hope for most. Eminence and glory are what sons and ministers most desire. Despite this, rulers and parents do not get what they hope for, and sons or ministers cannot get what they desire?' Rulers fail to employ loyal ministers and parents to raise filial sons because their ideals are not grounded in a proper understanding of reason and morality, and "their not knowing reason and morality is born of their lack of learning" (4/2.I.A). "If the ruler is filial, his name will be illustrious, those below will obey him, and the world will sing his praises. If a minister is filial, he will serve his lord loyally, manage his official duties honestly, and confront difficulties even though they might lead to his death. If knights and commoners are filial, they will tend to agriculture diligently, be stalwart in defending and doing battle, and never run from defeat. Filial piety is the root fundamental to which the Three August Ones and the Five Sovereigns devoted themselves; it is the guiding thread that runs through the myriad undertakings" (14/1.1). I8.

The Liishi chunqiu is one of the great monuments of Chinese thinking, a work of originality and cohesion, inspired by a vision of a universal empire, ruled by principles that assured harmony between man and nature and protected life- human and animal, that extolled learning and culture, promoted benevolence and kindness, and that were motivated by reason and morality. The work takes into account every philosophical trend of its day, sometimes adapting and sometimes combining ideas that previously had not been associated, sometimes rejecting and sometimes refuting positions that were in conflict with its basic vision. Despite the evident failure to execute the grand conception of the work's original design, the cohesiveness of its thought is unmistakable to the careful reader. Because Lii aimed at comprehensiveness, his work preserves a number of philosophical systems that would be otherwise unknown or scarcely known -the schools of Master Ji and Master Hua, and the school inspired by Yi Yin, now much better known since the discovery of original texts at Mawangdui. But we should not allow

INTRODUCTION

55

the text's usefulness in reconstructing controversies of the third century B.C. to blind us to its own sometimes highly original philosophical positions. Lii Buwei aimed to create an independent school. This he proclaims in his "Postface" when he declares that he is transmitting the instructions that Zhuanxu received from the Yellow Sovereign, thereby putting his philosophy in direct opposition to MoDi's "Way ofYu;' Mencius's "Way ofYao and Shun;' and Xun Kuang's "Way of the Later Kings.'' He encourages us to take the long view, to keep our vision and our thinking clear and free of bias.

Book 1

The purpose of the "Almanacs" is to correlate the activities of man with those of nature through the symbolic rituals performed by the Son of Heaven as the Assessor ofHeaven and Earth. Spring is the season of renewal and rebirth, preserving and nurturing of life is its fundamental task; it is therefore crucial that the individual and the government understand its task. The only way this task can be accomplished is by exhibiting the same impartiality Heaven and Earth evince. Performing unseasonal acts or issuing unseasonal commands that would interfere with Nature's springtime work of germination and birth must be forbidden. Works that will take the people from their duties of sowing, plowing, and planting must not be undertaken. The remains of winter's death, like bleached bones and decaying bodies exposed by the spring thaw, should be disposed of immediately. Spring is the time of the Wood process while summer is the time ofFire. Under the influence of the Power ofWood, laws should be magnanimous and benevolent, for if stricter summer ordinances, based on Fire, should be implemented, heat and dryness will interfere with germination, impede birth and alarm the people. Autumn is the time of Metal. Metal is associated with death, while spring is benevoethers lent and humane. If autumnal ordinances are implemented, then the qi will be so disrupted that the people will suffer illness. Metal produces water, to which it is opposed, resulting therefore in severe storms and the luxuriant growth of weeds that will stunt the development of the crops and may contaminate the grains. Spring is Yang while winter is Yin, so if Yin ordinances are implemented, Yin will supplant Yang, and floods and other calamities will result that will interfere with harvesting the early crops. The theme of individual "life" is the topic of chapters 2 and 3. "Making Life the Foundation" stresses that only the individual can guarantee whether he will live long by deriving benefits from material things and rejecting what is harmful. This means not overindulging the senses, avoiding carriages and other conveniences that decrease exercise, abstaining from rich foods, and above all eschewing the

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THE ALMANACS

6o

twin seductresses, beautiful women and lascivious music. A real Son of Heaven is true to the meaning of his title only if he can nurture life according to these principles. Because the rich and noble find it difficult to avoid such excess it is preferable, for the sake ofliving long, to be poor and lowly. "Stressing the Self" opens by reminding rulers that life is a treasure that must be protected because it is so easily lost and because the benefits it alone provides are without equal. Rulers should treasure their lives by acting in accord with the natural principles oflife rather than in contravention of them. These natural principles oflife express themselves in the spontaneous moderation we exercise when fulfilling our desires. A ruler's destruction is not something outside of his control and thus if there are signs that it is imminent, he should not merely study these signs, as diviners do, but realize that the course he is following is mistaken. The fundamental principles of fairness and impartiality upon which government should rest is the topic of chapters 4- and s. "Honoring Impartiality" advocates that the ruler make decisions on the basis of impartiality and public-spiritedness rather than personal preferences, asserting that the world does not belong to the king, but to everyone in the world. Thus, the ruler is obligated to see that the interests of all are served. "Dispensing with Selfish Partiality'' argues that a king who allows such family considerations as requiring an heir to interfere with adherence to these absolute standards is to be condemned. Rules and standards must come before personal preferences.

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CHAPTER 1 ALMANAC FOR THE FIRST MONTH OF SPRING I/1.1

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BOOK l

6!

C. The east wind melts the ice, dormant creatures first begin to stir, fish push up against the ice, otters sacrifice fish, and migrating geese head north. ~~®W-~OO·~WM··~···W~·~W~·mW~·*~W ~

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In this month occurs the period "Establishing Spring?' Three days before the ceremony marking the Establishing Spring, the grand historiographer informs the Son ofHeaven, saying: "On such-and-such a day begins Establishing Spring. The Power that is flourishing is Wood?' The Son of Heaven then begins his fast. On the day beginning "Establishing Spring:' the Son of Heaven personally leads the Three Dukes, the Nine Ministers, the feudal lords, and the grand officers in welcoming spring at the eastern suburban altar. On returning, he rewards the dukes, ministers, feudal lords, and grand officers in the court. He mandates that his assistants should make known the moral authority of his government, propagate his ordinances of instruction, execute celebratory commemorations, and bestow favors so that they reach down even to the millions ofhis subjects. Commendations and rewards are openly distributed so that everyone has what he should. He thereupon mandates that the grand historiographer preserve the [Six Governmental] Statutes, respectfully attend to the [Eight Bureaucratic] Laws, and preside over the movements of the sun, moon, planets and constellations, so that where they rest and what they pass through involve no transgression and so

THE ALMANACS

62

that there be no omission in the records of their movements in order that the commencement of the year be constant.

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In this month, on the first day, the Son of Heaven prays to the Supreme Sovereign for a good harvest. Mter the auspicious hour has been selected, the Son ofHeaven personally carries a plow handle and plowshare, arranging them between the man-at-arms and the driver who accompany him in his chariot. He leads the Three Dukes, Nine Ministers, feudal lords, and grand officers personally to plow in the Divine Sovereign's revenue field. The Son of Heaven pushes the plow three times, the Three Dukes each push the plow five times, and the ministers, feudal lords, and grand officers each push the plow nine times. When they return, the Son of Heaven grasps the pledge-cup in the Great Chamber, with the Three Dukes, Nine Ministers, feudal lords, and grand officers in attendance. The ceremony is called Wine Served for Labors. I/1.4· ~~fu·~-~-·~·L··~~ffi~•¥*S~o~~··:$E8

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In this month, Celestial ethers descend, Terrestrial ethers ascend, Heaven and Earth harmoniously unite, And grasses and trees begin to sprout and grow.

The king distributes the tasks of agriculture and commands that field inspectors lodge at the eastern suburban altar. They are to insure that everyone keeps boundaries and borders in good repair and that care is taken as to the straightness of the small pathways between fields. They are skillfully to survey the mounds, slopes, ravines, plains, and marshes to determine which

BOOK l

have soil and landforms suitable to grow each of the five grains. In all this they must instruct the people and personally participate in the work. When before tasks in the fields are announced, The boundaries have all been fixed, The farmers will harbor no suspicions. I/1.5

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In this month he commands the rectifier of music to enter the school to rehearse the dances. Then the Son of Heaven puts in order the statutes regulating sacrifice, commands that in making offerings to the mountains and forests, streams and marshes no female animals be used as victims. He issues orders to prevent the felling of trees; to prohibit the overturning of nests; to forbid the killing of very young creatures, creatures still in the womb, just-born creatures, fledgling birds, fawns, and eggs; to forbid the conscripting of large groups; to prohibit setting up inner and outer city walls; and to cover up bleached bones and bury decaying bodies. I/1.6 J!J=lti2·~~~M~·M~0~~~o~~~€·~~~~fi~o11\!i. ~;Llli

, 11\!im@tift;L:E.!I! , 11\!ii!LA;Lmc o

In this month, It is not appropriate to assemble military forces, For when they are assembled, natural calamities are certain to occur. When armed forces are not to be raised, It is not appropriate for us to originate warfare. Do not transgress the Dao of Heaven; Do not contravene the pattern of order in Earth; Do not disrupt the guiding principles of men. I/1.7 Jfu:ff1=J~-fl' JIUmffi~Jey '1j[*lf!;f;Wi' ~JJ~~

m4ffilt¥ , ~~~7ft.\JEJg o 1'1~11 , JIU7klft~~ '

o

1'Jf:k-fl 'JIU~*m:' ~ , §fi~ A o

~§:*~

If in the first month of spring the ordinances for summer are put into

THE ALMANACS

effect, then winds and rains will not be seasonable, grasses and trees will wither early, and the state will thereupon become alarmed. If the ordinances for autumn are put into effect, the people will suffer a great plague, severe winds and violent rains will frequently occur, and briars, darnel, brambles, and artemisia weeds will flourish together with the crops. If the ordinances for winter are put into effect, floods and heavy rains will cause ruin, frost and snow will do great damage, and the first-sown crops will not mature so that they can be harvested.

=a:zls:!t CHAPTER 2 MAKING LIFE THE FOUNDATION I/2.1

~~~~·~~:·~~~·A~o~-~~M~®~-~-~~o~ ~~~~·U~~~~~~o~g~ffi~~~o~g~u~~~o~@~~

~·~goo&UW~·~~M~~~~o•~~-~~·u•a~·~•~ ®RJ;J~rJ:

• ~1Jvt~J5JT~{~~~

o

Heaven is what first engenders life in things; Man is what fulfills that life by nurturing it. The person who is capable of nurturing the life that Heaven has created without doing violence to it is called the Son ofHeaven. The purpose of all the Son of Heaven's activity is to keep intact the life Heaven originally engendered. This is the origin of the offices of government. The purpose of establishing them was to keep life intact. The deluded lords of the present age have multiplied the offices of government and are using them to harm life-this is missing the purpose for establishing them. Consider the example of training soldiers: soldiers are trained to prepare against bandits; but if the soldiers who have been trained attack each other, then the original reason for their training has been lost. I/2.2

~*~ttM·±~ffi~·~~~MoA~tt··~~ffi~·~~~ •o~~~·mu•tt~·#Mutt•~o~@~A·~~~utt•~·~

~-~-~ ~~--~0~~--·~-~~···~~-~0~~· ~oU~~~~·U~~~R·U~~~ffo~~~fi-~··$~~ 0

BOOK 1

Although the true nature of water is to be clear, dirt will disturb this nature, and this is why it does not stay clear. Although it is the true nature of man to live to an old age, material things disturb this nature, and this is why people do not achieve longevity. Material things should be used to nurture our natures; we should not use our own natures to nurture them. That today most deluded men use their own natures to nurture material things shows that they do not understand insignificance and importance. When the difference between insignificance and importance is not understood, the important becomes insignificant and the insignificant important. When this situation prevails, every action ends in failure. On account of this, lords become perverse, ministers rebellious, and sons unrestrained. A state that has even one of these three, unless it has good luck, is certain to perish.

~~§~~·~~~~~·B~~~~AW·~~~o~~~~·§·

~&:'~ • Bff!W.~JIU~A~ • &:'~- o~'*~~ • D~~&:'it • B~~JlU~A fit • &:'~~ o~i!&~A~~§~~I9Ki:P. • fU~ti:JlUI&~ • ~~ti:JlU~~ • !It

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Were particular sounds certain to satisfy the ear but cause deafness when heard, men surely would not listen to them. Were particular colors certain to please the eye but blind those who gaze at them, men surely would not look at them. Were particular flavors certain to satisfy the mouth but caused those who tasted them to be struck dumb, men surely would not taste them. For these reasons, the sages selected those sounds, colors, and flavors that would benefit our natures, and they rejected what might harm them. This is the Dao that keeps our natures intact. The great majority of honored and wealthy people of today are deluded in regard to sounds, colors, and rich flavors. They seek these things every day and every night. If by good fortune they obtain them, they abandon themselves to them. If they abandon themselves to these things, how can their natures not be damaged?

-A~~~M-ffi·ffi~::f$o·~···~~-~·~~::f~;~~ -~·~~::f-o"i!&~A~--~ift·~~~~ifto~~~-~*•§M

* • ~ll!!!* • -~* • om!(* • 2137\+IP-riimfiJ* o tf!ltA~: ::f§W

THE ALMANACS

66

m·~•oo•·~•oo~:m~~~~·~·~~w:~~~-~~&·• ~·ili·~~~~:~-~~00~··~-~~00~M:~z~~-ZAo

When a myriad of men take up their bows and aim their arrows at a single target, then of course the target will be hit in its bull's-eye. When the myriad things splendid and beautiful, Are used to injure a single life, Life cannot but be harmed, But when used to benefit a single life, Life cannot but be prolonged.

Thus, in regulating the myriad material things the sages used them to keep intact the endowment Heaven gave them. When a person's natural endowment is kept intact, the spirit is harmonious, the eyes clear, the ears acute, the nose keen, the mouth perceptive, and the 360 joints of the body move smoothly. Such a person is trusted without speaking, acts exactly as needed without devising schemes, and succeeds without planning ahead. His vital essence circulates through Heaven and Earth, and his spirit covers the cosmos. Of material things, there are none he does not accept and none he does not encompass-in this he is like Heaven and Earth. If he rises to the position of Son of Heaven he is not arrogant. If he falls to the level of an ordinary subject he is not resentful. Such a man may be said to keep his inner power intact.

waoo~~m·•~~••·~~•aoaazR~&•·•~~z~

rn? ti:Hl!JtJ:$:, JdlUtJ1tf, ~.L-J. 131~, ap-za em LC>

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ili·~~~~ili·-~Wfuo~~-z~m~•fuo I.

Chen Qiyou.

If one is honored and wealthy but does not know the Dao [of nurturing life], this is tantamount to creating calamity. It would be better to be poor and humble, for it is difficult to acquire material things when one is poor and humble. In this case, though one's desires might lead one to excess, how could they be fulfilled? "Going out, one uses a chariot; returning home, one uses a sedan chair"-people love these for the comfort they provide, but they should be called "mechanisms that make one lame." "Fat meat and rich wine"- people are devoted to them for the strength they give one, but

BOOK l

they should be called "foods that rot the intestines?' "Languid limbs and gleaming teeth" and "the tunes ofZheng and Wey''-people are devoted to these for the pleasure they give, but they should be called "axes that hack at one's inborn nature?' These three calamities are brought about by honor and wealth. Some men of antiquity therefore were unwilling to accept honor and wealth because they held life to be more important. They did not pretend to be this way for the sake of acquiring a reputation, they actually held these views. Thus, these theses cannot but be examined.

=a:m:a CHAPTER 3 STRESSING THE SELF

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~**o•~•H·fiff.ib~~·~~utt•:•~••·•~~~·~~U sz:•~~~·-q~z·e~~~~o~~~·~m~zMm*o

A. Chui was the most skillful of craftsmen. Yet a man loves his own fingers more than he would Chui's because a man benefits from what he himself possesses. A man loves his own azure bi jade insignia and irregular pearls more than the jade of Mount Kun or the pearls of the Han and Yangzi Rivers because he benefits from what he himself possesses. Now my life is something that I possess, and the benefits I enjoy from it are indeed supreme. Were I to assess its nobility- even the rank of Son of Heaven would be insufficient to match it. Were I to assess its value- I would not exchange it even for the wealth of the whole world. Were I to assess the relative security it affords me-it is such that were I to lose it in a single morning, I could never again regain it. These three qualities of life are what one who possesses the Dao is especially attentive to. ~mzw&~z~,~~~tt$Zffl*o~~~tt$Zffl•mZ~~?~fi

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B. Although some people try to take care of life, they nonetheless do harm to life because they do not comprehend the essential qualities of inborn

THE ALMANACS

68

nature and natural endowments. If they do not comprehend the essential qualities of inborn nature and natural endowments, what is gained by being attentive? It is like the blind teacher's love for his son that does not prevent him from giving the child a pillow of grain husks on which to sleep or like the deaf man's effort to comfort his young child by taking him out of the house when it is thundering. Each man has a defect that makes him unable to recognize what one should take care about. ~R~•~·~~~~~m~m·*~§~&o*~§~~·~ffi~~*• ~·~ffi~~*•~·~~m~~·~~m~~·~~~*•o~~A ~·~~ffi~&o~~ffl•·~~~-;~~fflm·~R~~o

C. Those who do not recognize what one should be careful about have not begun to make the distinction between those things that lead to death and those that preserve life, what assures survival and what leads to destruction, and what is permissible and what impermissible. Not having begun to make these distinctions, what they call "right'' is never right and what they call "wrong'' is never wrong. Right they call "wrong" and wrong they call "right." This is called "great delusion." Such people are cursed by Heaven. Trying to govern one's own self this way invariably leads to death and ruination. Trying to govern a country in this way invariably leads to its destruction and annihilation. ~~-R~·~~~&·•B~&oWA~m~~o~§m~·~•m B·w•xB~~·~X~~m•*o~•~m~Ro

D. Death and ruination, destruction and annihilation, do not just happen. Delusion invites them. This is also true in regard to longevity. Thus, if those who possess the Dao do not examine what does the "inviting:' but rather what is "invited;' the coming of death and ruination cannot be prevented. This thesis cannot but be thoroughly considered.

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• ~~::I:JIJJ • Wtt-~mfi • ~& o~liRHri:JIX~ •

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Were the strongman Wuhuo to pull the tail of an ox so hard that the tail broke off and he exhausted all his strength, he would not be able to move the ox because he would be contravening the natural direction of the ox. But were a lad a mere five cubits tall to pull the ox by its nose ring, the ox

BOOK 1

would follow where he led because he would be according with the natural direction of the ox. The rulers and eminent men of the present age, whether worthy or not, all desire to prolong life and to see many days, yet each day they contravene the natural course of their lives; how will what they do increase what they desire? As a general principle, the prolongation of life results from one;s following its natural course and what causes one not to follow the natural course of life is desire. Thus, the sage is certain to give priority to making his desires suitable.

'¥::k~U~~~t. •~~u~~

• ~~~t~Ulll · ~~~um . .llt~~t~::f~z,!,fu o

~~~~::f~:k'¥:·1'·~-·~::f-~·~::f~-0~-~g-.g·

~•::f•:~-~~~~·~~~$:k~:$:k~w•::f•·~.llt~~m 1~-'.f?

A. If the house is large, there is an excess of Yin; if the tower is high, there is an excess of Yang. Excess of Yin causes lameness; excess of Yang causes paralysis. These are the harmful results of not moderating the Yin and Yang. This was why the Early Kings did not reside in large houses nor build lofty towers. Flavors were not concentrated, and clothes were not heavy and hot. If clothes are heavy and hot, the veins will be stopped up. If the veins are stopped up, the ethers will not circulate. If flavors are concentrated, then the stomach is stuffed. If the stomach is stuffed, one's innards will become greatly distended. If one's innards are greatly distended, the ethers will not circulate. In these circumstances, how can one succeed in one's endeavor to prolong life? ~~~~zm~~~~fu·~~-~~~WB*:~mg'¥:!EWfu•~~ m~~WB*:~m~g~~fu·~~~~m~WB*:~m~~~Rfu• ~~~~~•we*:~m§~fi~fu·~~~tt~•we*oliW·~ ~zm~•ttfu•#W•wu•fu·D-'fttfuo

B. In the past, the ancient sage-kings made animal parks and preserves, gardens and ponds sufficiently large to observe the sights and to exercise their bodies, but no more. They made palaces and chambers, towers and archery pavilions sufficient to protect themselves from dampness and heat, but no more. They made horse-drawn carriages, clothing, and furs sufficient to give their bodies ease and to keep them warm and dry, but no more. They made food and drink, millet spirits and sweet wine sufficient to moderate the flavors and fill the emptiness, but no more. They made spectacles

THE ALMANACS

70

and music sufficient to give repose to their inborn natures and to amuse, but no more. The sage-kings used these five ways to nurture their inborn nature. They did not act in this way because they loved frugality and hated waste, but because they wanted to moderate their inborn nature.

lmEI:R0 CHAPTER 4 HONORING IMPARTIALITY I/4.1 fi~~IZ~~T~·~~0'0~~T~*o~~~0oW~~~~

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Chen Qiyou.

2.

Sun Shucheng.

In the past, when the ancient sage-kings governed the world, they invariably made impartiality their first priority, because if they acted impartially, the world would be at peace. This peace was attained by acting with impartiality. When we examine the records of high antiquity we find a multitude of examples of the world's being won and lost. Invariably, those who won the world did so through impartiality, and those who lost it did so through partiality. As a general principle, the establishment of a ruler develops out of his impartiality. Thus the Hongfan says: Be neither partial nor partisan; The way of the king is all encompassing. Be neither partial nor biased; Adhere to the king's rules. Be not on good terms just with some; Cleave to the king's way. Be not on bad terms just with some; Keep to the king's road.

~T~-AZ~T~·~TZ~T~o~-Zffi·~~-M:tt•~ ffi·~U-~:~~Z:t·~~-Ao

BOOK l

71

A. The world does not belong to one person; it belongs to the whole world. The harmony of the Yin and Yang forces does not favor growth in only one species of thing, the sweet dews and seasonable rains are not partial to one thing, and so the ruler of the myriad people does not show favoritism toward a single individual. fll~JI~Hr

• mJ'iRPJ.m~ • Jl!fl0a:

rfiJffiJWfiJfu o J

B. When Boqin was about to leave, he inquired what principles he should employ in governing Lu. The Duke of Zhou said, "Benefit, but do not benefit?' (~!JTA> ~.A:fHii71!f

• ffij:>f'~* • a: r (~!JTA> ~.Allz • (~jTA> ~.A1~Z. • XfPJ*~? ~ flrMZ.a: r :*;It r (~J TA> ~J mfi:iJ* o J ~li!IJ:MZ.a: r :*;It rAJ lffl"BJ* o J t&~li!IJ:ff!U.¥.0* o C. A man of Chu who had lost his bow and was unwilling to search for it, said: "A man of Chu lost it and a man of Chu will find it, so why should I search for it?" When Confucius learned of this, he said, "Omit 'Chu' and the comment will be proper?' When Lao Dan learned of this, he said, "Omit 'a man' and it will be proper?' Thus, it was Lao Dan who attained perfect impartiality. ~~**•~ffiJR-T·~ffiJR~··~-·;!t•·m;tt~·ffiJK~;ttffi~ Ml•Jlt:=.~·li'WZ~fuo

D. Heaven and Earth are so great that while they give life they do not raise anything as their own, and while they bring things to completion they do not possess them. The myriad things all receive their blessings and obtain their benefits, but no one knows whence they first arose. So it is with the Power of the Three August Ones and the Five Sovereigns. I/4-3 ~f~~W9 • f1!0ttr..~Z. • a: rf~X:Z.m* • rlfilt • m.AR~ • -.A~ li!E!Wm? J ~f~tta: ~~"tf1!fE:!~:tJ~W • ~?If'"BJo~

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THE ALMANACS

72

A. When Guan Zhong was ill, Duke Huan went to inquire after him, saying, "Uncle, your illness has worsened and has become so grave that the people of our nation cannot observe the taboo against mentioning it. The Unworthy One must know to whom he should entrust the state?' Guan Zhong responded, "Earlier, ifl had exhausted all my strength and depleted all my knowledge, I still would not know who it should be. Now that I am sick, 'lying between morning and evening; how can I offer any such advice?" Duke Huan said, "This is such a momentous matter; I hope, Uncle, that you will offer the Unworthy One some instruction?' Guan Zhong respectfully consented, saying, "Whom does your grace want to make his prime minister?" The duke replied, "Would Bao Shuya be suitable?" Guan Zhong said, ''No, he would not be suitable. I am well acquainted with Bao Shuya. He is the kind of man who is pure, incorruptible, honest, and upright. He will not associate with anyone he sees is not the equal of himself. If he hears of another's transgressions, he does not forget it to the end of his life?' "If he will not do, would not Xi Peng be suitable?" "Xi Peng is the kind of man who 'remembers the high but seeks from the low.' He is ashamed that he is not the equal of the Yellow Sovereign, but shows compassion for those who are not as good as he. There are affairs of state he has not inquired about; there are issues he does not understand; and there are things about people he does not perceive. If you insist that I give an answer, Xi Peng is suitable.'' ~;f§ •

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B. Prime minister is the greatest office. Those who occupy the greatest office should not want to pursue inconsequential investigations nor acquire petty wisdom. Thus, it is said: The great carpenter does not carve the wood; The great chef does not carve the meat; The bravest hero does not provoke a fight; The great army does not engage in brigandage.

When Duke Huan acted with impartiality, set aside selfish interests and private aversions, and used Master Guan, he became the most important of

BOOK l

73

the Five Lords-Protector. When he acted in pursuit of selfish interests, showed favoritism to those he loved, and used Shudao, maggots crawled out from under his door. A~~ili-·XAiliWo~W~fflU·~~-~ffl0oBM~M&·U~ ~:lz:0' ~~~31

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Tao Hongqing.

As a general rule, Do not consume rich and fatty foods, Nor heavily spiced foods nor strong winesThese are said to cause the start of illness. When one can eat at regular intervals, The body will be certain not to suffer calamitous sickness.

As a general rule, The Dao of eating entails Neither going hungry nor engaging in gluttonyThis is called "comforting the Five Viscera?'

The mouth must find the taste sweet. Keep the vital essence in harmony and the demeanor correct; Guide them with the spirit and the ethers; Make the hundred parts of the body relaxed and comfortable, So that they receive the nourishment of the ethers. When drinking, be certain to take small swallows; Hold yourself upright; avoid abrupt movements. 3/2.6 ~@L~~~~·~~m~*oVz~M~·M®~$·&~Tm·~

a~$?~~-~···~~~·~~*~~~o~mu•~·~~~z· ~'i!:IZA~Zili.•:F.&~*ili.o

The reason disease and illness become ever worse is that superiors of the present generation divine and pray. Consider the case of archery. If when an archer shoots and misses the bull's-eye, he resets the target, how will he improve his ability to hit the target? If you use hot water to keep a pot from boiling over, not only will the boiling not stop, the pot will boil more vigorously. But put the fire out and the boiling will stop. Sorcerers and their purgative drugs treat sicknesses by expelling baleful influences. This is why the ancients held them in contempt. They treated the symptoms but not the causes ofillness.

THE ALMANACS

102

.=.a7'Ga CHAPTER 3 PLACING THE SELF FIRST 3/3-1 ~ro5:fn-ftl"ftEI:

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Tang interrogated Yi Yin: "I desire to seize control of the world. How shall I proceed?" Yi Yin replied, ''Though you may desire to seize control of the world, the world cannot be taken. Before it can, you must first gain control over your own person?'

As a general principle, the foundation of all undertakings rests in the necessity of first governing your person and being sparing of your "great treasure." Use the new and expel the stale, so that the circulation within your veins remains free-flowing. Then the vital essence and the ethers will be renewed each day, and evil ethers will be completely expelled, and you will reach your natural life span. If you attain this, you will be called a "True Man?' 3/3.2 ~~~~~·~~~®:7\:~~·~~~®:7\:~~o~~-~:f~W~

§·~~~=f~~~ID·~7\:~~=f~7\:~~~o {~)EI:r~A~r· ~-=f~o~-=f~·~~~~oJ§~~~fuo

A. In the past, the first sage-kings perfected their persons, and the world was made complete. They governed themselves, and the world became wellordered. Thus, just as one who is good at producing echoes works not on the echo but on his voice, and one who is good at producing shadows works not on the shadow but on the shape that casts the shadow, one who exercises control over the world works not on the world but on his person. An Ode says: The good man, the gentleman, His demeanor does not err.

BOOK 3

103

His demeanor does not err, He sets the example for the states of the four quarters. [Shi, "Caofeng," "Shijiu;' Mao 152]

This means he sets the example of rectitude in his own person. ~&~moo~~~:fi•~A~~:••~m·®§~B~~·•~e~ ~o~~Z~fu·~~--o•RzmaOO~··B~~·~B~~o~ ~'Iii!@

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Yu Yue, Chen Qiyou.

B. Thus, when the ruler reverts to the proper Dao, his person becomes good. If his conduct accords with his code of duty, then other men will approve of him. When he joyfully perfects the Way of the lord, all the hundred offices become orderly and the myriad people are benefited. The successful completion of these three principles depends upon not acting on behalf of some purpose. The Dao of not acting on behalf of some purpose is said to comply with natural endowment. A code of duty that does not entail acting on behalf of some purpose is said to benefit the person. The lord who does not act on behalf of some purpose is said to do nothing himsel£ Not doing anything himself, he listens neutrally. Benefiting his own person, he is imperturbable and serene. Complying with his natural endowment, he accords with his essential nature.

If he accords with his essential nature, His hearing will be sharp, his vision clear, and his old age prolonged. If he is imperturbable and serene, Tasks will be advanced and the people will happily turn to him. If he listens neutrally, The evil will be arrested and produce no misgivings. ~J:~;.ttm~U~1~~~' P'J~;.!t1'J' i5!ii!E!n:;J~..

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C. Thus, if a superior neglects the proper Dao, his enemies will encroach upon his borders. If within his domain he neglects his proper activities, then his reputation will be diminished in other realms. This is why when

THE ALMANACS

104

the roots of a pine that is a hundred yards tall are damaged, its branches will wither. The counselors of the states of the Shang and Zhou erred within their breasts, so they had difficulty commanding others. Thus, when the mind is right, judgments are accurate. When judgments are accurate, affairs succeed. When affairs succeed, a meritorious reputation is acquired. 1i1!Hc~ffiH&1j

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Yu Yue, Sun Shucheng; on basis of BTSC, TPYL, and YWL] quotations.

D. The Five Sovereigns put the Way first and Power second; thus, no Power exceeded theirs. The Three Kings put Power first and official undertakings second; therefore, no undertaking accomplished more than theirs. The Five Lords-Protector put accomplishments first and military might second; thus, no army was stronger than theirs. •4Zili•0a~fi·~~Bffl·~-~~·~~-~~~·M:lJ~*&o

E. In the present age, devious strategies are everywhere carried out and deceptive methods are constantly used. Offensive wars do not cease and ruined states and disgraced rulers grow ever more numerous, because they are concerned with effects and not with causes. 3/3-3 ~!§(tEl GE> ~ 3 ~1if'f'H~.-Z~i=t~ffiJ~im

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3. Bi Yuan.

Boqi, the Xia sovereign, did battle with the Youhu at Ganze but was not victorious. The six ministers entreated him to attack again, but Boqi replied, "It would not be proper. My lands are of not inconsequential size, my subjects are not few; if I have fought and not been victorious, it is because my moral power is slight and my teaching unappealing for lack of goodness;'' Thereafter, in his residence he rested upon a single mat and ate foods with simple seasonings. The lutes and zithers were not strung, the bells and drums were not arrayed, and the women did not adorn themselves. He treated his relatives with the kindness due relatives, and his elders with the respect due the old. He honored the worthy and employed the able. Mter one year, the ruling clan of Youhu offered their submission.

BOOK 3

105

Hence, a ruler who wishes to conquer others must first conquer himself; one who wishes to judge others must first judge himself; one who wishes to know others must first know himsel£ 3/3·4 {~)

8: r¥t\W~D*Ji. o J fL-TEI: r'J'Jlt§t!!"iiJPJJ~SRT o J -TffifEI: r fiiJ;l'trtJkt!!? J fL-TEI: r::;~F~I!J;!'trtJkt!! • ~I!J;!'t~Z.~Jlt • JffinJG:>t~fElt!! • ~ Am~;tt~·JffinlG:>t~::KT*oJ~-T¥-TEI:rn~nJGJffi~~~*'**

• • nJGJffiA~~*·~MnJGJffiMZABM*oJ AnOde says: He holds the reins as if he were plaiting silk cords. [Shi, "Beifeng," "Jianxi," Mao 38]

Confucius said, "Examine these words carefully, for they can be used to govern the world." Zigong exclaimed, "How urgent his movements are!" Confucius replied, "The poem does not describe the urgency of his movements. It describes how he works on what is close at hand and the pattern is completed farther away. The sage cultivates himself and his grand design is completed in the world?' Hence, our Master Huazi said, "Where hills and mounds are abundant, those who live in their caves are secure. Where waters in chasms and gorges are abundant, fish and turtles are secure. Where pines and poplars are abundant, the wayfarer is shaded?'

fL-T~:t-~0

• ~0-EI: r~mt'JJ;AEI: r~~*~ • ~z~_t)ffiB * o J 'JJ;AP)~ff§t!! o J fL-TB: r Jlt::;lpff§t!! onMZ.: r1~z~~~ 1~ZA • ~Z~~~~ZA o J 1'tfJ~F~J5Jffi::KT¥il~ • ;!'tPfHD&:~a~ ~->¥

!J When Confucius had an audience with Duke Ai ofLu, the duke said, "A man told me that 'those who govern the state should do no more than perform their duties from the head of the hall? I consider this a bizarre doctrine?' Confucius responded, "It is not a bizarre doctrine. I was taught that 'he who attains it in himself attains it in others, whereas he who loses it in himself loses it in others? Though he does not go out of his gate, the world

THE ALMANACS

106

is well-ordered- this I fear can be done only by one who understands reverting to his own person."

1Z:9

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CHAPTER 4 ASSESSING OTHERS 3/4-.I ~m~·~~llio*~&RB•X**RAoX~Z~~~·XmZ~

iffit ; X*Z~DI~

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The Dao of ruling is simple. The lord who safeguards it will find it near at hand. The supremely important first step is to find what you seek in yourself. The next step is to seek it in others. The farther away you search for it, the more you push it away. The more energy you expend in seeking it, the more it eludes you. 3/4-.2 ~M&RBili?-~§·~·~·-fiR·~0~·W~X~-RZ

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A. What does it mean to "seek it in yourself''? It means to moderate the ears and eyes, restrict appetites and desires, reject "wisdom" and "plans:' and abjure the "clever" and "established:' so that you can let your thoughts roam through the abode of the limitless and allow your heart to follow the path of spontaneity. If you become like this, then nothing can harm your natural endowment. If nothing can harm your natural endowment, you know the vital essence. If you understand the vital essence, you know the spirit. To "know the spirit" means to "attain the one."

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o ~ •~:jlf. ~cn~J 6 M

BOOK 3

107

,_ ' ::frt}1j1!:6 fu o ~Ai2l9~ ' Hf§-~!m ' ::fr!Jm'fu o i'&JDJD- ' J!U:E';Rfjg~ ' JI1JfilJ$Z.::ffl91' iilJ~;Z::fl!f;? VZ.:E'OOf§- ' &li~c 'J!IJ!I[~f!lL~:fiJ ' 3&~11l! *OO::fmofi~@;Z~~·~B~~A.·i'&B~&OO::f~·~¥~~00=1' Mo~«Z.Jmi·~B~~c·i'&B~OO::fa•~¥~Io 1.

2. Chen Qiyou. Wang Niansun, Xu Weiyu, Chen Qiyou. 5· Chen Changqi, Chen Qiyou.

+· Chen Changqi, rhyme.

3· Bi Yuan, rhyme. 6. Xu Weiyu, Chen Qiyou.

B. As a general principle, the myriad forms come to completion only after they have attained the one. Thus, if you understand "knowing the One;' Your responses to the metamorphoses and transformations of things Will be so broad and so profound That they cannot be fathomed. Your Power will be so dazzlingly beautiful That, like the sun and moon, It cannot be extinguished. Brave scholar-knights will regularly arrive, Coming from such distant quarters to serve you That they cannot be stopped. Your ambitions and vital energies will be broadcast so widely, With nothing to restrain them, That they cannot be shepherded.

Thus, if you understand "knowing the One;' you will be able to return to the state of original simplicity, Where appetites and desires are so easily satisfied, What you need to nurture yourself is so moderate and meager That you cannot be controlled by others. You will renounce the world and enjoy yourself, Your innermost feelings will be so pure and unblemished, That you cannot be corrupted. Majesty will be so unable to intimidate you, And severity to make you tremble, That you cannot be made to submit.

Therefore, if you understand "knowing the One;' then Your actions and initiatives will be suitable, According with the cycle of the seasons, You cannot be surpassed. Promoting and dismissing according to method,

THE ALMANACS

108

Taking and giving according to rational principles, You will not be confused. Your words lacking anything that is careless, Being as closely knit as muscle and skin, You will not be deceived. Slanderers, reduced to poverty and unemployed, The worthy, given free reign and flourishing, They will not be hidden from you.

Thus, if you understand "know the One:' you will be like Heaven and Earth- how could there be any task to which you would not be equal, or anything to which you could not respond? You will be like the driver whose carriage, when he reverts to himself, becomes so light and his horses so keen, that he traverses great distances without hunger or fatigue. In the past, the doomed rulers of previous ages blamed others when there was crime. Thus, each day they executed more and never stopped, so that to the very end, even as they themselves perished, they never grasped the reason. The ascendant kings of the Three Dynasties blamed themselves when there was crime. Thus, each day they accomplished more and suffered no reversals, so that in the end they become universal kings. 3/4-3

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&-P!T~~··z~~m·ff•zw#~o~~~~Z.P!T~~Afuo 7· Sun Yirang.

What is meant by "seeking it in others?" Though men belong to the same species they differ in regard to their wisdom. The worthy and unworthy are different even though both use artifices of speech, discriminations, and propositions to defend themselves against their opponents. This is how incompetent rulers are bewildered. As a general rule, there are eight examinations and six tests for evaluating men. The eight examinations are: when they are successful, examine whom they treat with ritual courtesy; when they are noble, examine whom they

BOOK 3

109

recommend; when they are rich, examine whom they support; when they hear advice, examine how they implement it; when they are in retirement, examine what gives them pleasure; when they are well versed in a matter, examine what they teach; when they are poor, examine what they will not tolerate; and when they are lowly, examine what they will not do. The six tests are: make them elated in order to test their self-control; make them happy in order to test their tendency to wantonness; make them angry in order to test their self-restraint; make them apprehensive in order to test their unique features; make them sad in order to test their empathy for others; and oppress them in order to test their resolve. These eight examinations and six tests are how a worthy ruler assesses the qualities of men. In assessing other men, one must also employ the six family relations and the four confidential relationships. What are the six family relations? They are father, mother, older brother, younger brother, wife, and son. What are the four confidential relationships? Friends, old acquaintances, fellow villagers, and colleagues. When the family is involved, use the six family relations and the four confidential relationships. When the outside world is involved, use the eight examinations and the six tests. Then one will never err about whether a man is being truthful or deceitful, greedy or honest, good or evil-error will be precluded. Running through the rain without getting wet is utterly impossible. This is how the sage-king comes to understand men.

EEl ill~ CHAPTER 5 THE CIRCULARITY OF THE DAO 3/S.I ~m~·~mn·~x~z·m~~L~ 0 w~~~mz~ili?m~­ L-~·~~~~·~m~W·~a~~~ow~~~mznili?~~~

-~~·-~fr~·~~m•·~a~mno~~~·§•n·n~~•· ~mJJ~o

The Dao of Heaven is circular and the Dao of Earth is square. The sage-king models himself after them to establish the high and the low.

THE ALMANACS

IIO

What is the explanation of the circularity of Heaven? The vital essence and ethers alternately rise and fall, revolving in a complex cycle that is never interrupted or impeded. Thus, we say the Dao of Heaven is circular. What is the explanation for the squareness of the Dao of Earth? Though the myriad things are distinct in category and forms, each has its own place and function, and these cannot be interchanged. Thus, we say the Dao of Earth is square. The ruler holds to the circular; The ministers take their places in the square. When the square and the circular are not interchanged, The state flourishes.

3/5-2 BW-~·~milio~•=+Am·•W~M·~milioMff~~·­

J::- T ~ W~ • ~ mili o~ iMIU EtEi • EtEiffiJ 1=. • 1=. ffiJ ~ • ~ ffiJ :k • :k ffiJ nlG • nlG ~~·~~~·~~~·~milio~~5ff•EE~~I~~;*~*~'

BW~f* : J::~iWJ • T~mi : 1N~:k • mffiU~ : ~mili o A. The complete cycle of day following night is an example of the circularity of the Dao. That among the 28 lodges of the zodiac through which the moon travels, Chariot Platform and Horn are connected is an example of the circularity of the Dao. The circulation of the vital essences during the four seasons, one rising, the other falling, each joining with the other, is an example of the circularity of the Dao. When things are stirred, they sprout; having sprouted, they grow; growing, they develop; developing, they reach their full size; reaching their full size, they complete their maturation; fully matured, they begin to wither; withering they die; and dying leads to their lying hidden- all this is an example of the circularity of the Dao. Clouds and vapors move to the west in great abundance, stopping neither in winter nor in summer; rivers and streams flow to the east resting neither day nor night; their source never drying up and their mouths never filling up; the small becoming large, and the heavy becoming light-all these are examples of the circularity of the Dao. ~"'ifE!

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BOOK 3

III

GE> ~2 ' ~JI±\~% o %1±\~.:f:D 'g~~ffflf=fZ' 13~ :ftt , w~T~ , ~~.B!A_., , ~:o~~m::tJ , ~ml1J:ii , ~n~.:t?fi, !llll-tn o %!1J1UPJ:fllfg:f\3'1!\!i?fi~* o 1!\li?fi~~' .:tlll~fu o 1'01:%~' ;\.::!::Z?fi ~J~$-fu' Jf:f fW~!TI:Z?JTJE:fu o

;Itt£'

1.

~J/E;!'t:ClE

Chen Qiyou:

I!' LC J'l:!j.

2.

Following old collation.

B. The Yellow Sovereign said: "A Sovereign has no constant position. By taking a position, he would lose that position." This passage advocates "not obstructing the body?' This is an example of the circularity of the Dao. It is characteristic of the nine orifices of the body that when a person concentrates on one of them, the other eight must stay empty. If they stay empty too long, the body will atrophy. Thus, if you start to listen while talking, you will have to stop talking; if you start to look at something while listening, you will have to stop listening. This passage describes "concentrating on the One?' The One had no desire to be detained. If detained, the circularity of its motion would be destroyedthis is an example of the circularity of the Dao. The One is the most valued of all things. No one knows its source. No one knows its first manifestations. No one knows where it starts or where it ends. Yet the myriad things take it to be their progenitor. The sage-king imitates it to keep his nature intact, to fix his life span, and to issue orders. When orders issue from the ruler's mouth, officers receive and enact them. Day and night they do not rest, communicating them to the lowest reaches of the bureaucracy, imbuing the people's hearts with them, and extending them to the four quarters of the world, until they come full circle and return to the ruler-such is the circularity of the Dao. If orders come full circle, then, they make the improper proper and the bad good; nothing impedes them. Nothing impedes them because the way of the ruler penetrates everywhere. Thus, the ruler devotes his life to his orders, for they determine his worth as well as his security. ;\.Z~~-Im~·;!t~~Zfu·~;!t·fffl~~-tn·•rm:f~·~~-lm~ :ff~*

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THE ALMANACS

112

C. A man has a body with four limbs. His ability to control them rests on his always being aware of when they are stimulated. If he were unaware of stimulation, he could not control his body and limbs. The role of ministers is like that of the four limbs. If the ruler's orders do not stimulate them, he will not be able to control them. To have ministers who cannot be controlled is worse than having no ministers at all. A true ruler controls what does not belong to his own person. This was true of Shun, Yu, Tang, and Wu. 3/5·3

$t£Z:lz:Crou) '§ift • &H~z:JJ o:JJJIU7t5E • 7tJE:JlUl'"/f;fEI!li o~,'!if: • 3

R~ili·~~w~m~·/f~W~r~·~~:lz:B'~~z:JJo 3· Jiang Weiqiao, Chen Qiyou; following BTSC.

A. When the Founding Kings established their bureaucracy, they invariably established it according to the square. If things are square, then the divisions have been fixed. If the divisions have been fixed, then subordinates will not conceal things from their rulers. Yao and Shun, who were the woru'liest of rulers, both made other worthy men their successors, being unwilling to give their positions to their own descendants. This is exactly the same principle as establishing offices and invariably establishing them according to the square. ~mzA~·~•m~~*·WWKr~·:lz:B"/fn~z:JJ·~u•az ili•WB?~m•~z•·wm~~z~-lfto

B. Rulers of the present age all desire that their posterity should not lose their positions, so they bequeath them to their descendants. Because of this, they cannot establish their offices according to the square, and their selfish desires create chaos in their states. Why is this? Because those they need are distant and those they know are near at hand. ~lifiZ·/f~ift·K7tWifto8·R~~·~~K~·fi~~~·/fm t.MEI~

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4. Chen Qiyou.

C. Not one of the five tones of the pentatonic scale fails to respond when its division has been carefully determined. Thegong, zhi, shang,yu, and jue notes each occupy a unique place in the scale. Their sounds can all

BOOK 3

Il3

be blended and harmonized but cannot intrude on one another; in this way they do not encroach on each other. The way the worthy ruler establishes the offices of his government resembles this. Each of the 100 offices has particular responsibilities and tends to particular duties in serving the ruler. When this principle is used to serve the ruler, he never fails to be at ease; when it is used to govern the state, it never fails to benefit; when it is used to prepare against calamities, they never occur.

Book4

The ''Almanac" of the first month of summer lists natural phenomena that mark the beginning ofsummer. Since in this month the Yin ethers are roused in the depths of the earth, creatures belonging to the Yang croak and earthworms emerge from the earth. The ''Almanac" prohibits anything that might take the farmers from their hoeing and weeding, interfere with the cultivation of crops, or damage the crops. If the ordinances of autumn, which are born of the process Metal and associated with killing, are implemented in the first month of summer, the time when the Yang reaches its apogee, the process Water, which is produced by the process Metal, will come in great floods, killing the grains and wiping out the harvest. The border regions will be troubled by roving bands of brigands and robbers, causing the people to seek safety within the walls of cities and towns. If the ordinances of winter, the season of confinement and imprisonment, are implemented, grasses and shrubs will wither early and floods will undermine city walls, giving evidence of the errors of useasonableness and misplaced practices. This is the month when everything grows larger and taller, so if the ordinances appropriate to spring are implemented, rousing insects from their torpidity, locusts will become a plague. Spring is the time of the ether Wood, which magnifies the winds. If the ordinances of spring are implemented, there will be violent storms that damage plants, preventing them from producing seeds. Education, the topic of chapters 2 and 3, belongs to the summer season, because the purpose of education-"perfecting the person"- is analogous to ensuring that crops grow to their full maturity, the principal activity of summer. Teaching is the most important of our moral duties, and learning is the fulfillment of wisdom. Chapter 3 supplements this argument, listing the various teachers whom sagely rulers of the past honored, and pointing out that the failure of their descendants to honor their teachers was responsible for the collapse of the historical dynasties. Confucius and Mo Di both accepted as students men whose social background was undistinguished or who were personally suspect. (II4)

BOOK 4

115

Chapter 4 "False Followers:' develops the theme, common in the Liishi chunqiu, that learning must be grounded in human nature, men must be exhorted to study, study cannot be pursued without steadfastness and constancy, and one cannot learn without following one's teacher exactly. These ideas are further developed in chapter s, which has the alternate title, "On Being a Good Learner?'

-EI~![

CHAPTER l ALMANAC FOR THE FIRST MONTH OF SUMMER 4/I.I ~~z~: Bft··~W$·H~~$o

A. During the first month of summer the sun is located in Net. At dusk the constellation Wings culminates, and at dawn the constellation Serving Maid culminates. ~B~To~-~-o~"fi~o~-~o~V-oW$#§o~~~o C~tl:ifl

o ~$ff!W. o )l~f9K1f o ~Ji~ o ~ffiEil o~5tiDIJ o

Mao Paulin, Chen Qiyou; excrescent addition from Liji, "Yueling" parallel, confirmed by absence of Gao You commentary. 1.

B. The correlates of this month are the days bing and ding, the Sovereign Yan, his assisting spirit Zhurong, creatures that are feathered, the musical note zhi, the pitch-standard Regulator of the Mean, the number seven (the element of human nature ritual propriety, the faculty vision), acrid tastes, burning smells, and the offering at the furnace. At sacrifice, the lungs are given the preeminent position. -·~~ 0 li~51tf:l 0 I:l%~ 0 1r*~ 0 C. The small green frogs croak, the earthworms come out, the royal vine develops, and the sow-thistle flowers.

~~®~~~m·•*•·•~•·•~M·~~~··~~·*•••o

~~r"Ut)~o

D. The Son of Heaven resides in the left apartment of the Hall ofLight. He rides in a chariot of cinnabar-red, pulled by vermilion horses with black tails and bearing vermilion streamers. He is clothed in vermilion robes and wears vermilion jade ornaments. He eats beans accompanied by fowl. His vessels are tall and large.

THE ALMANACS

II6

4/I.2 ~J=I-IQ

• tJ:lz:I o jt:lz:]t:=:B • :;t:~~~::RrEl:

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lit • ~~* o

f'Jfit±lffi!k • &,~Jtf:V: o

In this month occurs Establishing Summer. Three days before the ceremony marking Establishing Summer, the grand historiographer informs the Son of Heaven, saying: "On such-and-such a day begins Establishing Summer. The Power that is flourishing is Fire." The Son of Heaven then begins his fast. On the day beginning Establishing Summer, the Son of Heaven personally leads the Three Dukes, the Nine Ministers, the feudal lords, and the grand officers in welcoming summer at the southern suburban altar. On returning, rewards are distributed, fiefs are given out, congratulations and gifts are offered, and everyone is joyful and pleased. He then mandates that the music master should supervise the rehearsal for and the combined performance of ritual ceremonies and music works, that the grand pacifier make known outstanding and remarkable persons, and recommend the unusually worthy and good and those of exceptional stature and size. The conferral of rank and the dispensation of emolument must coincide with the position held. 4-/!.3

~J=I-IQ··~~~·-~··0·~±~·-·*~·-~*·0

In this month, things should be encouraged to continue to grow taller and to mature. Do nothing that will cause spoilage or injury. Do not initiate projects involving constructions of earth. Do not send forth large bodies of troops. Do not fell large trees.

~J=I-ti1•::Rr~Mo$fi••t±lfiffi~·~·~~·-~~~o$~

~·MfiM~·$R~~·-~~Wo

In this month, the Son of Heaven begins to dress in thin hemp clothes. He mandates that the foresters go out into the fields and plains to encourage the farmers and exhort the people; they should not allow anything to miss the season. He mandates that the director of education make a tour of

BOOK 4

II7

inspection through the counties and border district towns, charging the farmers to exert all efforts and not to evade them by hiding in the cities.

~~ili·~~~~n~o~*ffi~o·~~~o~r~~~-~·~~ @~o

In this month, to prevent injury to the five grains, wild animals are chased away; but there should not be any great hunting expeditions. The farmers then present the new wheat, which the Son of Heaven samples with pork, having first offered a portion in the apartment at the back of the ancestral temple.

~~ili·M·§~o·¥~o~~~o~·~·~~-·ffi~~oH.

B··§£~-o~~•m·~·-~··U~-~-·~M"~~-go

In this month, they collect and store the hundred medicinal herbs. Delicate grasses die, and the wheat matures. They decide cases involving light punishments and determine sentences for minor infractions, and they release those incarcerated for slight offenses. When work with the silkworms has been completed, the queen and principal concubines present their cocoons. Then the tithe on cocoons is collected in proportion to the number of mulberry trees. The tithe is one and the same for noble and mean, young and old, in order that materials might be provided for the robes used in sacrifices at the suburban altars and in the ancestral temple. 4/1.7 ~~

ili • ~rHX~t • ffliil~ o

In this month, the Son of Heaven drinks new spirits that have been made to ferment by older spirits, and he observes the ritual ceremonies and musical performances. 4/1.8 fi~~%·W~m~~~o~Ifi~%·~Nma*·n~~-·~~

A§ofi~%·~¥*•M·•~**·~a~RofiW%·~fi~·~· 4ll.*m•*¥~Jro

THE ALMANACS

118

With the implementation of these ordinances, the sweet rains arrive in each of the three decades of days. If the ordinances of autumn are implemented in the first month of summer, pitiless rains will repeatedly occur, the Five Foods will not mature, and the inhabitants of the four border regions will have to enter fortified areas to seek protection from bandits. If the ordinances of winter are implemented, then the grasses and shrubs will wither early and afterwards there will be great floods that will undermine the inner and outer city walls. If the ordinances of spring are implemented, then locusts will become a plague, violent winds will come in attack, and flowering plants will not bear seeds.

=EIIJJ~

CHAPTER 2 AN EXHORTATION TO LEARNING 4/2.1 %£Z~·~~~~·~~~~o~~·A~AmzffiK~fuo~~· ArA~ZffiK~fuo~WA~Am~m~ffi~·ArA~~m~ffim•

~~~~~-~0~~-··~~~·0 A. Of the teachings of the Former Kings, none was more glorious than filial piety and none more eminent than loyalty. Loyalty and filial piety are what rulers and parents hope for most. Eminence and glory are what sons and ministers most desire. Despite this, rulers and parents do not get what they hope for, and sons or ministers cannot get what they desire. This develops from their not knowing reason and morality. Their not knowing reason and morality is born of their lack of learning. ·~R-Wfi~·~*~~~REAoEAZffi~·~~~--o~~~

~-·~~~~-·~~~ZE£*fi~·-~fuo·R~~-~-~· ~*

o

;s:~~u;g;gm~*.

1!1=r';* o

B. A student whose teacher is widely learned and who himself has talent-I have never known of such a person's not becoming a sage. Where there is a sage, the world is provided with principles of rational order. If he is at the right, then the right becomes important; if he is at the left, then the left becomes important. For these reasons, all of the sage-kings of antiquity

BOOK 4

II9

honored teachers. When the sages honored teachers, they did not assess whether they were of noble or base origins, poor or rich. In this way, the reputations of the sage-kings became eminent and their virtuous acts were made well-known. ~~Z~fu·~~••••••·~~~mo~A~~·~--~~·ffi *•~·ffi··~·~~~~~Ao~A~~~~o~~~~~mM±~

A:'ffr•*Zll'lffuo C. Thus in offering instruction, teachers did not question whether a student was of slight importance or great, honored or lowly, rich or poor, rather they questioned whether the student could achieve the Dao. If the man himself is acceptable, instruction cannot but succeed. Whatever he seeks, he obtains, and whatever he desires is accomplished. This results from his becoming a sage, and becoming a sage is the product of intense study. There has never been a case of someone who did not study intensely and yet was able to become an eminent scholar-knight and famous man.

o~tt:~:'ffr~f~. =agm:'ffi~1~. 13 -:'ffr~Jt! • .gffioffr~Jt! o gffil*~f~~lt!Z Vltr~ tJJI~Z • •mz 11' • :!itZ .fu, ~11'3!-'f? ~:'ffr~~f~~Jt\Z~ • ~tJ!31'TCZJ 1 • -~z~, :!itZ ~~a~•~. gffi.JIU§f~~. m~ilii~

~fu·~·-~-Wfu·~A*~R-fuo 1.

Xu Weiyu; parallelism.

D. Intense study depends on honoring teachers. When teachers are honored, their doctrines are accepted on faith and their way is advocated. Therefore, a teacher who instructs in response to a summons does not transform the person who summoned him, and the person who summons the teacher is not transformed by his teachings. Those who debase themselves are not heeded, and those who debase teachers do not heed their teachings. If the teacher upholds methods that do not transform and are not heeded, yet insists that others be instructed in them, is this not far indeed from his desire to have his Dao practiced and his person honored! If the student lives in a situation where he can neither be transformed nor heed instructions, but does whatever suits him, then his hope of making his name eminent and his person secure is like "holding something rotten but wanting to smell perfume" or "hating to get wet and yet going in the water?'

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120

4/2.2 fL~~~

• ?FC~~ GV>'~ 3 ~-fu o~tit~~~ • ~9t~g • jffi[Z(~ GV> '1:5l~ ox9t~§(}t SF> ~jffi[Z(~ GV> '~ • ~:B$

• (}l SF>

(}l SF>~

~ 2 ~-fu

•rmm~UE-fu·~~~rm~~ummo~tft~R:~~~-~~·~~

:CJ:.*o 2.

Chen Qiyou.

3. Gao Heng.

A. As a general principle, those who offer persuasions should be sharply critical and not merely try to please their listeners. In the present age, those who offer persuasions, frequently being incapable of being sharply critical, try instead merely to please people. To be incapable of being sharply critical and try instead to please is like trying "to save a drowning man by sinking him with a rock" or "to cure a sick man by giving him poison?' Such persuaders make the age ever more chaotic; and yet incompetent rulers, being doubly confused, follow these masters. ~-~~R·~~-~·~~fi8o~g·~~~•*•I0*A9t~·

-fu • I.::f.li~~-T

• $3~rm~l'lft o

B. Thus, the task of real teachers consists in promoting reason and practicing morality. When reason is promoted and morality established, their positions will be honored. Kings, dukes, and great men will not presume to treat them with contempt. Men with positions as high as the Son of Heaven will be unashamed to welcome them at their courts. JL~ftm·ft~m~·•~••u~~m~·rm~AZ#~m·~~•~? ~gifi&,m~1=ra~1&#

o

C. As a general principle, in chance encounters and formal meetings, agreement cannot be guaranteed. But if you forswear reason and repudiate morality in search of an outcome that cannot be guaranteed, then will it not be difficult to realize your desire that others honor you? Thus, the teacher must promote reason and put moral principles into practice, for only then will he be honored. 4/2.3

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rm•~~·-~xWa!J~§•~~-•~mo•~~••·~Mrm~

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J

.fllt5B: r1m:!i\l:N • fJ $ 4 ~t!t ; ~~Hf::t • t&m~0tv • J§'~;J,fiJ • ~~~~~t:lX ; r"~$~U!VH&f§ '!'¥ • PJ!it~U1L~H.' • PJ.fm~U1H§&: ; lf!UU:fng-€1 • i?l~U~ngM • $~~U:f1Jg ~ , Jlt:fng~1!fz,'!-!Q 0

2. Gao You.

3· Wang Niansun, Chen Qiyou.

4. Chen Qiyou.

Those Unable to Learn: Those who study with an ineffective teacher yet desire to achieve distinction in learning; those who study with a shallow teacher, yet desire profundity in learning. One cannot scold and shame grasses and trees, chickens and dogs, or oxen and horses upon meeting them. If one does try to scold and shame them, they will repay in kind. How much less may one act so toward an accomplished teacher and his teachings about the arts of the Dao. Thus, one who cannot learn is disloyal in his treatment of his teacher. When he uses his mind, he does not concentrate. When his mind displays some inclination toward learning, he does not pursue it deeply. When he tries to follow through in his studies, he does not exert all his energy. When he makes discriminations and assessments, he is not conscientious. When he attempts to imitate others, he lacks adroitness. He is resentful of his teacher, embraces vulgar practices, and is fettered by his age. He brags about his power and is addicted to excess. Hence, he is steeped in deception and wiliness, blinded by petty advantage, and deluded by appetite and desire. If he inquires into things, beginnings and ends are confused. If something is explained fully, he interprets the meaning wrongly. If something is explained elliptically, he interprets it backwards. He can neither synthesize distinct elements into a unified whole nor dissect a unified whole into its parts. However hard he may work at the problem, he cannot resolve it. These are the calamities that befall those who cannot learn.

BOOK 4

129

.liEiffl~

CHAPTER 5 EMPLOYING THE MASSES 4/5.1 ~~~~~xz~~~·~~~ffi~fOO~~·B1'~·~~~ffio

One adept at learning is like the king of Qi who, when eating chicken, was satisfied only after he had eaten a thousand feet: if he were still unsatisfied, there would always be another chicken foot to eat.

~~-1'~~·K1'~moA~~o~~~~·®Az•~•~mo~ ®A~~~:;R~o

Assuredly, just as each thing has strengths and shortcomings, so too is it with men. Thus, the adept student borrows from the strengths of others to overcome his shortcomings. Those who borrow from others, therefore will ultimately possess the world. 4/5·3 MM1'n•MR1'~oft1'n·&1'~~*·1'ft1'n·1'&1'~~ *oB~·~~~~~~~~·OOR~fi~~?

Do not revile the incapable nor loathe the ignorant. Reviling the incapable and loathing the ignorant is a kind of sickness. Neither reviling the incapable nor loathing the ignorant is to be honored. Even Jie and Zhou Xin possessed some qualities that could inspire awe and others that could be emulated. How much more is this the case with the worthy! 4/5·4 ~~±B

:

r m~1'~C1')'m

o~

m~ml1j~m

• ~~~ o ~ • 7\.

~~om~m1'~m·~~mmlli·~mOOA 0 I.

Chen Changqi.

Thus, a learned scholar-knight said: ''You should not engage in discriminations and deliberations?' But, in teaching, you may engage in discriminations and learned debates. Teaching is a great deliberation. To engage in

THE ALMANACS

130

discriminations and deliberations when one should not is a case of "wearing coarse garments when going out and wearing embroidered silks at home?'

+/s.s ~A~~~·~~~W~§·~~~m~z:~A~~~·~~~w~ §·~~~m~Zo4~~A~~~·~A~~~·~~A~§·~A~

§~o~~•z·~*~~~Z~~~~~-~fu·~m~~%~~~ 0 i&?JT~~~~~~fu

0

A Rong man who is born and raised among the Rong barbarians speaks the Rong language, although he is unaware of how he learned it. A man of Chu who is born and raised in Chu speaks the Chu language, although he is unaware of how he learned it. Now if a man ofChu were to grow up among Rong, or a Rong man were to grow up in Chu, then the Chu man would speak the Rong language and the Rong man, the Chu language. From this perspective, one cannot know with certainty whether a ruler who had brought about the ruination of his state might not have become a worthy ruler had he been born in different circumstances. Thus, one cannot fail to examine carefully the circumstances in which someone was born and raised.

+/s.6 ~T•~ezw·w~~ez=·~Z~efuo~~~~·~~~·li mzm~*~m~fuoA~Zm~~·~~~fuo

A. In the world there are no completely white foxes, yet there are completely white fox fur coats. These are made by selecting the white parts from a large number of pelts. Now the principle of"selecting from a multitude" was used by the Three August Ones and the Five Sovereigns to establish their enduring accomplishments and reputations in a grand manner. As a general principle, everything that a lord establishes derives from the multitude. ~B~W*~~·~~~*W~~*o~~*W~~*·~OO~@oi'&~

~·~~~ ~~--~~-~·~~~--~~-~·~~~--~---~~·-~o~~~%·~~AZ*•fuo B. To try establishing oneself securely while ignoring the multitude is to "obtain the twig but lose the root?' I have never heard that "obtaining the twig but losing the root" allowed one to live in peace. Thus, if a man

BOOK 4

131

uses the courage of the multitude, he need not be in awe of Meng Ben. If he uses the strength of the multitude, he need not be in awe ofWu Huo. If he uses the vision of the multitude, he need not be in awe ofLilou. And if he uses the wisdom of the multitude, he need not be in awe ofYao and Shun. Such use of the multitude is the greatest treasure of the ruler. rna~•~a: r~am~E-·®~~~- 0 J~·RZ~·-~~~· ®~~8~~*·A±8~ffl*:~z~~o

C. Tian Pian said to the king of Qi: "Even a strongman like Meng

Ben had cause to worry, but the borders of Qi have no cause for alarm?' The kings of Chu and Wei did not take pleasure in propositions and theories, but within their borders preparations had already been made and the soldiers drilled. This came about because of relying on the multitude.

Book 5

In this month, the influence of the Yang ether reaches its culmination, and the Yin ether first begins to stir. Many of the various measures undertaken in this month are to protect against premature diminution or excessive increase of the triumphant Yang ether or untimely invigoration of the Yin ether. Thus, one does not light fires in the southern regions, for they might overcharge the force of the Yang; but it is acceptable to climb towers and pavilions to observe sights in the distance since the Yang is about to begin its decline. Other measures are purely practical: prematurely harvested indigo will not produce blue dye and cloth bleached in the midsummer sun will be damaged. Still others are intended to encourage good health, by avoiding activities that might be dangerous in the summer heat. Winter is the season of cold and ice and of closing and storing. If its ordinances are put into effect, hail and cold will damage the crops, and roads and highways will become impassable. Spring is when the process Wood rules. If its ordinances are implemented, the grains will ripen late, insects will consume the crops, famine will result. If the ordinances of autumn are adopted, then pestilence will result from the premature ripening of fruit and falling of leaves. Chapters 2 through 5 are concerned with music. Although in the pre-Qin period, it was the Ru philosophers, particularly Xun Kuang, who most stressed the importance of music, discussions of music in the Zuo zhuan, some long antedating Confucius, indicate that music was held to be of cosmic significance. There was an office of music in the courts of the king and the feudal lords which was associated with the ancestral cult and various court ceremonies. It was headed by learned music masters who could discourse on music in abstract, philosophical terms. Chapter 2 discusses the relation of music to human nature. What is inborn is done naturally and spontaneously and requires no cultivation. Music is born of man's nature, so the condemnation of music by scholars such as the Mohists is misguided. Nonetheless, music can be damaging to one's inborn nature.

[rp]

BOOK 5

133

Chapter 3, "Extravagant Music;' discusses musical instruments; chapter 4, "Balanced Tones;' discusses musical tones; and chapter 5, "Music of the Ancients," the dances which were often part of ancient Chinese music performances. Instruments induce moderation or extravagance; tones rectify or corrupt character.

- Bfi=PI CHAPTER l ALMANAC FOR THE SECOND MONTH OF SUMMER 5/1.1 #•~~=s~m#·~X~·H~~o

A. During the second month of summer the sun is located in the constellation Eastern Well. At dusk the constellation Neck culminates, and at dawn the constellation Rooftop culminates. ~BNTo~-~-o~~~mo~~~o~fi·o~~-·o~~to~ ~=a'

o~~~ o~ffrEH o~$tlliP o

B. The correlates of this month are the days bing and ding, the Sovereign Yan, his assisting spirit Zhurong, creatures that are feathered, the musical notezhi, the pitch-standard named Luxuriant, the number seven, acrid tastes, burning smells, and the offering at the furnace. At sacrifice, the lungs are given the preeminent position. ~-~o··~o~~·o&8AA§o

C. Slight heat arrives, the praying mantis is produced, the shrikes begin to cry, and the mocking bird ceases to sing. ~~g~~*•·•*•·•$~·8$m·~*~·U$~·••wmo ~~~tJm o ctt~±~)l

1. Chen Qiyou. Parallel passages in the ''Almanacs" for the second months of spring, autumn, and winter indicate that this is a fragment of a sentence that probably began paragraph s/1.2.

D. The Son of Heaven resides in the Great Temple apartment of the Hall of Light. He rides in a chariot of cinnabar-red, drawn by vermilion horses with black tails and bearing vermilion streamers. He is clothed in vermilion robes and wears vermilion jade ornaments. He eats beans accompanied by fowl. His vessels are tall and large.

THE ALMANACS

5/1.2

m~fu·~~~·~•n·•M••·~~•••·~~-~~·~ ¥r&:ilff!i. Wj&m~mW: o ~~~. ~lHvrmEI-L!Ili8JJ¥,. *~~. m~• o ~~8··~·~8BB±~~~~~·~~-·o~~~-o

In this month, he nurtures the strong and handsome. He mandates that the music master put the hand, small, and large drums in good repair, should adjust the lutes and zithers, the double-reed flutes, and the panpipes, construct the shields, poleaxes, lances, and plumes, tune the large reed organs, the reed organs, ocarinas, and seven-holed bamboo flutes, and put the bells, musical stones, sounding boxes and the tiger-box in order. He mandates that the several directors offer prayers on behalf of the people at sacrifices to the spirits of the mountains, streams, and all the hundred springs; perform the great summer sacrifice for rain to the Sovereigns; and make use of ritual ceremonies and musical performances. He then orders that in all the hundred prefectures sacrifices be performed for all the hundred leaders and hereditary officers who have benefited his subjects, praying for the grain harvest. The farmers thereupon present their panicled millet. 5/1.3

m~fu·~~~•••·•~~-·~-~~0~~-~~~•·•• Wt • M4~ o r~MMM • !mmM* ommllJ • ~;!ttt o7ffftt5JU;!t~ • ~U~/11 ~ • FJI~OE SF> !& 2 o 2.

Wang Niansun, Chen Qiyou.

In this month, the Son ofHeaven tastes the millet accompanied by young fowl, with cherries, having first offered a portion in the apartment at the back of the ancestral temple. He commands his subjects not to harvest the indigo plants to be used for dyeing, not to burn wood for charcoal, and not to bleach cloth in the sun. The city gates should not be shut, nor should duties be levied at the barrier gates and marketplaces. Leniency should be shown toward prisoners charged with serious crimes, and their food allowance increased. Pregnant mares should be separated out into their own herd, and fiery stallions should be tied up, and the regulations concerning horses should be published. 5/1.4·

BOOK 5

135

A. In this month, the longest day occurs, the Yin and Yang forces contend, and the realms of the dead and living are separated.

(~~·~··~····~·~·~§~···~···~··-~·~ • J:i:AA~\ • 8'§'~ • ~87fU • tJJE:~~z?finiG

~~~~

o )3

3· The discussion of the gentleman is entirely out of keeping with the "Almanacs" and is an interpolation of 43 characters displaced from elsewhere in the text.

B. A gentleman fasts and observes vigils, makes sure to stay deep inside his house, and keeps his body utterly still. He refrains from music and sex, eschews association with his wife, maintains a sparse diet, and avoids use of piquant condiments. He settles the vital energies of his mind, maintains quietude within his various bodily organs, and engages in no rash undertaking. He does all these things in order to assure the completion of the first traces of the Yin.

OOP3M oM'ltta~~ o*Jlj: •*m~ o C. Deer shed their horns, cicadas begin to sing, the midsummer herbs begin to grow, and the tree hibiscus blooms. 5/1.5 ~~fu·Mfflk*~o~~@~~·~~--~·~~~~~·~~­ §:fMo

In this month, fires should not be lighted in the southern regions. It is permissible to reside in high and sacred places, to observe the sights in the distance, to climb up mounds and mountains, and to occupy towers and lofty pavilions. 5/1.6

~Jlfi~%·~m~••·m•~~·•~*~ofiW%·~li•• ~·8~~m·~m~~ofi~%·~¥*••·•••n!G·~~~Qo

If in the second month of summer the ordinances for winter are put into effect, hail and cold will damage the crops, the roads and highways would not be passable, and predatory armies will arrive. If the ordinances for spring are implemented, the Five Foods will ripen late, all kinds oflocusts will continually appear, and the state will thereby be reduced to famine. If the ordinances for autumn are adopted, the grasses and trees will drop their leaves, their fruits will ripen prematurely, and the people will be affiicted with pestilence.

THE ALMANACS

=a*~ CHAPTER 2 GREAT MUSIC 5/2.1

(if) 1 ~ZffiEI3*=iji~' 1:~1Jrii' *~*- 0 :t:-I:Bfllli~' flllif51:B~ •0~-~~·-~-~·~w~•o••~~·•~m~·~~m•· ~-~~ 0 ~~-~·e~m~·~~m&·•~••os~£&·•~

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)t£J:E~•Ef3Jlt®1'_o Chen Qiyou; confirmed by QSZT quotation. Chen Qiyou; delete, interrupts the pattern of the poem. ;. Chen Qiyou observes that the double rhyme :R/IM!tl breaks the pattern of the poem. It appears that two four-character lines are missing. This follows Chen's reconstruction of the two lines. I.

2.

+· Chen Qiyou.

s. Bi Yuan.

The origins of music Lie in the distant past: Born of measurement. Founded by Grand One, Grand One brought forth the Dyadic Couple; The Dyadic Couple brought forth Yin and Yang. Yin and Yang metamorphize and transform, The one rising, the other falling, Joined together in a perfect pattern. Spinning and pulsing, If dispersed, they rejoin, And joined, disperse again. This is called the "Invariable Principle of Nature?' Heaven and Earth turn like the wheel of a carriage. Reaching the end, it begins again; Reaching its limit, it reverts again, Everything fitting the overall scheme. Sun, moon, planets, and constellations: Some move fast, others slow, In the completion of their movements. The four seasons alternately arise, Some hot, others cold; In some, the days are short; in others, long;

BOOK 5

137

Yin and Yang metamorphize and transform, Sometimes rising, sometimes falling, Sometimes are soft, the other times hard. The myriad things that emerged Were created by Grand One And transformed by Yin and Yang.

When the youngest sprouts were first stimulated, They were given shape through coagulation. Shapes and forms had their hollow places, So none was without its sound. Sound was produced by harmonious union, Harmonious union by agreement; When the First Kings fixed their music, They started from these principles. 5/2.2 ~T:i:ZJS ~1'0!$ SF> o

• ;g;¥;)3i.'$ • ~1t;ttl: • ~JJ"6JnlG o nJG~1lf Jl, &,@P~~ o ~ {!l$6 • ~JJ"6J~ o ~~1lfffq • &,ffizp:/:B o ZJSI:B~0 • 0/:B~m

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• ;tt"6JW§ ~-':¥

l

6. YuYue.

A.

When the world was in Great Tranquillity, The myriad things were peaceful and secure. When all were in agreement with the proper standard, Music could be perfect. The technique for perfecting music Lies in limiting appetites and desires. When appetites and desires are not licentious, Music can be developed. The method for developing music Must be emergence out of equilibrium. Equilibrium emerges from impartiality, Impartiality from the Dao.

Thus, only a man who has attained the Dao can discourse on music! ~~~&·#ft~ili·;lt~=i'~o~~#=i'~ili·DA#=i'a&·ff~#

=i'C:lf:tLC> j!ffu o liLt!!:~~ • 1lf1~~Jit o ~E:f*:f:V: • 5 :*1t nl(;9 o ijgtJ-~~""fW • ~~~ • mmlf-f • m~A. o ~Jio-J'WI!ij • l!ijMJ'W

ffo 9· Wang Niansun, Chen Qiyou.

B. Accordingly, The One orders and commands; The dual follows and listens. The First Sages, rejecting the dual, took the One as their model To understand the true nature of the myriad of things.

Thus, a man capable of employing the One to decide governmental matters Brings joy to ruler and subject, Harmony to the distant and near, Pleasure to the black-headed people, Concord to relatives.

A man capable of employing the One to govern his own person Avoids calamity, Lives out the full span of his life, Keeps his natural endowment intact.

A man capable of employing the One to govern his state Expels the evil and treacherous, Causes the worthy to come, Achieves the "great transformation."

A man capable of employing the One to govern the world Keeps cold and heat balanced, Wind and rain seasonal, And he becomes a sage.

Thus, He who understands the One is enlightened, But he who glorifies the dual is demented.

THE ALMANACS

14-0

-=Elf~~

CHAPTER 3 EXTRAVAGANT MUSIC 5/3-1 A-~~K~~·W~~Kffi~~oA·~~K~~·W~~Kffi~

~o~Kffi~~z·r~mJ o~~Kffi~~z•r•wJ o···~­

oi!tZA:±: • ~t)~.:ii::X;~UmW • CWJ 1 ~~W~~@ • m!CA) 2 ~frt • ~~Cfrt) 2 ,m • JlU9i;:WZ·f1j~ o

K~

1.

2.

Chen Changqi, Tao Hongqing, Jiang Weiqiao; on basis ofYWLJ, TPYL quotations. Chen Changqi, Yu Yue, Fan Gengyan, parallelism.

A. All men use their lives to live, yet they do not know what makes them live. All men use their faculty of understanding to know, yet they do not understand what makes them know. To understand how one comes to know is called "~owing the Dao?' Not to understand how one comes to know is called "discarding the treasure?' Anyone who discards the treasure is certain to meet with disaster. Many rulers of the present age regard pearls, jade, lances, and swords as treasures. The more they possess of these, the more their people resent them, the more their state is endangered, and the more uneasy is the person of the ruler. As a consequence, he will miss the true nature of"treasure?' Ri!tZ~W~~om*¥Z§~~•·m~EZ§~~~·mM~••z §JlU~~

otJ~.~{.'~ , i!Jlf E1 , m~~JlU'5J~ • tJ~m~JlU~~ ot&~

~§·W~~-·mi~R·:±:~$·M~9i;:~ZM~o

B. The music of a disordered age corresponds to this. If its tones are made by instruments of wood and skin, their sound is like the sound of rumbling thunder. If its tones are made by instruments of metal and stone, their sound is like the sound of claps of thunder. If its tones are made by instruments of string and bamboo or by singers and dancers, their sound is like the loud shouting of a crowd. If these sounds are employed to shock the mental energies, startle the ears and eyes, and agitate the inborn nature, it is permissible. If they are used to create music, there will be no pleasure from it. Thus, the more extravagant is the music, the gloomier are the people, the more disordered the state, and the more debased its ruler. As a consequence, he will also miss the true nature of music.

BOOK 5

141

R~~xzM~-~~·~~~fuoi~'~M~~~~·*~-~~ •z~·~~~~·~~~B·~~~~·~M*~~·§M*W~·~~ ffi~·~m~•o*zafu·~~~~o•zafu·~~*go~zafu• 1'F~l£~

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~o~~·~~~ZM•ffi~~~~~fuo

As a general rule, what the ancient sage-kings esteemed in music was the pleasure it created. But Jie of the Xia and Zhou Xin of the Yin created extravagant music. In the sounds ofgigantic drums, bells, lithophones, flutes and pipes, they regarded the large to be beautiful and the many to be wonderful. They first created strange and exotic things that ears had never before heard and eyes never before seen. They strove after ever greater effect, employing neither rule nor measure. When Song was in decline, the Thousand Bell set was cast; when Qi was in decline, the Great Regulator bell was cast; when Chu was in decline, the "Shamanka Tones" were created. Extravagance produced further extravagance. When those who themselves possess the Dao examine such music, they see that it is missing the true nature of music. "Missing the true nature of music" means that their music did not produce pleasure. When music does not produce pleasure, subjects are certain to be resentful, and this is certain to produce injury. The relationship between their lives and their music is like that of ice to the blazing sun: instead of using it properly, they use it to attack themselves. This is the result of not knowing the true nature of music and thus striving for extravagance. 5/3-3 ~z1§'1'~

• trz~!JJL/t'~lmz1§·[tf'lj:fu • 1§•ftf•lj:JlU£,1§•1j:fl* o ~r.&l.* ~~~ • ~7\~~l'~fu o Ritfu~ • Cl!t GV> ~ 3 ~l'~ffitJz~~fu o fjgt) 7-.~~~ • JlU~~* o ~fu~ • ;lt!rfi!ili!- • (~ GE> ~4 001&~0 • (~ GE> ~4 1Ji!Zfu o ~00~~ • l[jU·~~ • l[jU·~~C~il3) 5 JlU&:,*:~7-Z* o Hx~ ~~113 • JlU&:,1§1f~·!$~LZ{,- • ~~iH'FZil=* o ~~~M~~ • ~~~~ • Jj~~·t:t; ' II±~~JJJ' tt~~*

0

3· Chen Qiyou 4. This follows Bi Yuan and Xu Weiyu, rather than Chen Qiyou. s. Wang Niansun, Tao Hongqing.

Music possessing a true nature is analogous to the corporeal body's possessing an inborn and essential nature. Where there is such an inborn and

THE ALMANACS

14-2

essential nature, it is imperative that it be nurtured. Cold and heat, work and ease, hunger and satiation-these six are not of themselves in balance. As a general principle, nurturing involves overseeing which of the six is not in balance and then to put it into balance. If over the long term one can maintain balance, then life will be prolonged. It is characteristic of living that the body of itself is absolutely quiescent; only after there has been some stimulus is there awareness, awareness that has been occasioned by the stimulus. If this continues and if there is no reversal, then one comes to be governed by one's appetites and desires. If one is governed by one's appetites and desires, one is certain to lose one's natural endowment. Moreover, if one's appetites and desires know no limit, then it is inevitable that greed, pettiness, sedition and rebellion will come to characterize one's thought and that wantonness, debauchery, profligacy, and wickedness will come to characterize one's undertakings. Thus, the strong will plunder the weak, the many tyrannize the few, the bold violate the timid, and the vigorous bully the frail. All of these are the product of this.

[98~1§­

CHAPTER 4 BALANCED TONES 5/·P

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Chen Qiyou; excrescent, dittography.

It is the essential nature of the ear to desire sounds; but if the mind finds

no pleasure in them, the ears will not listen even to the Five Tones. It is the essential nature of the eye to desire colors; but if the mind finds no pleasure in them, the eye will not gaze even on the Five Colors. It is the essential nature of the nose to desire perfumed fragrances; but if the mind finds no pleasure in them, the nose will not smell them. It is the essential nature of

BOOK 5

the mouth to desire rich flavors; but if the mind finds no pleasure in them, the mouth will not taste even the Five Tastes. The locus of the desire is the ears, eyes, nose, or mouth, but the locus of pleasure or displeasure is the mind. Only when the mind has first attained harmony and equilibrium does it find pleasure in such things. Only after the mind has found pleasure in them do the ears, eyes, nose, and mouth come to possess the means to attain their desires. Thus, the task of finding pleasure in things consists in making the mind harmonious; and making the mind harmonious consists in effecting balance between things. 5/4.2 x~i'f~, ,c,,#i'f~

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Just as in pleasures there are balances to be kept, so are there balances to be kept in the mind. It belongs to the essential nature of man that he desires longevity and hates the prospect of dying young, desires security and hates danger, desires glory and hates disgrace, desires ease and hates toil. When these four desires are attained and the four aversions eliminated, the mind is kept in balance. Success in attaining the four desires consists in complying with the ordering principle of things. If one governs his person by complying with the ordering principle of things, life will be kept intact. When life is kept intact, the span oflife will be prolonged. If one governs the state by complying with the ordering principle of things, the model for law will be established. When the model for law is established, the whole world submits. Thus, the task of keeping the mind in balance consists in complying with the ordering principle of things. 5/4.3 xif#i'f~

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In musical tones as well there are balances that should be kept. If they

THE ALMANACS

14-4-

are too grand and large, the inner mind is unsettled. If while unsettled one listens to the large, the ear will be unable to accommodate it. If the ear cannot accommodate the sounds, it will become filled and blocked. If it is filled and blocked, it will be aroused. If a tone is too small, the mind will feel cheated. If while feeling cheated one listens to the small, then the ear will not be filled. If the ear is not filled, then it will be dissatisfied. If it is dissatisfied, then it will dismiss the sounds. If musical tones are too clear, the inner mind will feel threatened. If while feeling threatened one listens to the clear, then the ear will be pained. If the ear is pained, then it will be unable to hear distinctly. If it is unable to not hear distinctly, it will be strained. If musical tones are too muddy, the inner mind will be depressed. If while depressed one listens to the muddy, the ear will be unable to gather it all in. If the ear is unable to gather it all in, it will be unable to determine its distinctive character. If it is unable to determine its distinctive character, it will become frustrated. Thus, musical tones that are too grandiose, too small, too clear, or too muddy are all not kept in balance. 5/4-4

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A. What does "kept in balance" mean? It means that the sounds are kept at the Mean. What is meant by "kept at the Mean?" The amplitude of its pitch should not exceed that produced by the string of the seven-foot tuner. The weight of the bell should not exceed the 120-catty stone. This defines how amplitude of its pitch and weight of the bell are kept in check. The notegong of"Yellow Bell" is the standard for tones and the basis for determining clarity and muddiness. Whatever is consistent with this standard is "kept in balance.'' If one listens to what is kept in balance while one's self has been kept in balance, the result will be harmony. When musical instruments commit no excess, this is the correct standard of balance and harmony. ~~m~•~u~·~azr:fu;mm~••u•·~a~fu;~~z•e • ~a~fu JLfi~mt.>f-a. wc~)J!l,CZJS GE> ->¥ 3 fit~fu.

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B. Thus, the tones of an orderly age are peaceful and joyous because its policies are stable. The tones of a chaotic age are resentful and angry because its policies are perverse. The tones of a doomed state are sad and mournful because its policies are dangerous. It is a general principle that music is influenced by government and affected by customs. When customs are fixed, music adjusts itself to them. Thus, in an age that possesses the Dao one has only to observe its music to know its customs, to observe its customs to know its government, and observe its government to know its ruler. The First Kings were, therefore, certain to rely on music as a means of professing their teachings.

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C. In the performances of the "Pure Temple" ode, the zithers have vermilion strings and penetrating sound holes, and one singer intones while three others hum in harmony, because the significance transcends the sounds themselves. In the ceremonies of the Grand Xiang sacrifice, the dark liquid is offered up in the goblet, raw fish is placed on the offering table, and the grand broth is not seasoned, because the significance of the sacrifice transcends the flavors themselves. Thus, when the First Kings instituted ritual practices and music, they did so not solely to please the ear and eye or to satisfY the desires of the mouth and belly; rather, they intended thereby to instruct the people in how to maintain equilibrium between their likes and dislikes and how to conduct themselves with reason and morality.

THE ALMANACS

1iBr!:i"5!i!e CHAPTER 5 MUSIC OF THE ANCIENTS 5/5.1 •m~*~~~·~~m•o~W~*·~~~m*o•~U~·~~ ~,!;)[::

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Since music originated in high antiquity, of necessity it would be utterly wrong to discard it. Music can induce self-limiting or extravagance; it can rectify or corrupt. The worthy have flourished on account of it; The incompetent have failed because of it. 5/P

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In the past, when the ancient Zhuxiang clan ruled the world, there was an excess of wind that caused the Yang ether to gather and accumulate, the myriad things to disperse and scatter, and the fruits and nuts not to ripen. Knight Da therefore invented a five-string zither with which to attract the Yin ether and arrange the survival of the various living things. 5/5.3 fiS~~Z··~A·~~ffigU~A~: .~>

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Chen Qiyou.

The head of the Song barbarians had two lovely daughters and built the Terrace of Nine Tiers for them to live in. They had to have music played whenever they ate or drank.. The Supreme Sovereign ordered a swallow to spy on them. Its cry sounded like "jik-rik?' Loving this, the two girls struggled to catch the swallow. Putting it in a jade canister, they would take it out to look at it for a short time. The swallow, having laid two eggs, flew off to the north, never to return. The two girls wrote a song, with a refrain that went, "Swallow, swallow, flew away?' This marked the beginning of the tunes in the northern style. 6/3.5

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1J*o As a general rule, tunes are products of the heart and mind of man. When feelings are aroused in the heart, they are expressed in melody. Melody that takes shape without is a transformation of what is within. This explains how one knows the customs of a people from hearing their music. By examining their customs, one knows their intentions. By observing their intentions, one knows their Powers. Whether a person is ascending or declining, worthy or unworthy, a gentleman or a petty man is given visible form in music and cannot be hidden. Hence, it is said, "What is visible in music is profound indeed!" Just as when the soil is poor, trees and grasses will not grow tall, and when water is stirred up, fish and turtles will not grow large, when the age is befouled, its rituals are in disarray and its music debauched. The music of

BOOK 6

Zheng and Wey and the tunes of Sangjian are what chaotic states prefer, what pleases rulers whose Power is in decline. When drifting, frivolous, and reckless tunes develop, wild ethers and depraved thoughts become contaminating influences. When they become contaminating influences, a hundred evils and a host of perversities are produced thereby. Hence, the gentleman reverts to the Dao to cultivate his Power; he corrects his Power in order to give expression to his music; and he makes his music harmonious in order to become perfectly in accord with nature. People will face toward the source of harmonious music.

1ZY E1 tU ~ CHAPTER4 GOVERNING PLEASURE 6/4.1 ae~~·~~~~o~~w~~~~W·~~-~~~~•·•m~ ~~~~o~BM~~·~~~·-~ilio

A. If one wishes to observe perfect music, then one must go where there is perfect order. In ages when order is abundant, pleasures are ample. In ages when order is scant, pleasures are meager. If the age is chaotic, then its music becomes languid. Now, even though the doors and windows are sealed, from within a single room Heaven and Earth can be stirred. a~•~~·W~~~•·•w~·~HW*m·~~-~~ao•~~ ~B : r ftimiii!f~Wrii!~)t~ili • Jf.iii!fW~::f~~UWriii::f~ : ~~Wr19J~)t~ili • Jf.~W~~~Uffli9J::f~

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B. In the time ofTang the Successful, a [sang]gu plant grew in the courtyard. It sprouted at dusk and by dawn it was as big around as clasped hands. His officers requested that there be a divination to determine the cause. Tang withdrew and the diviner said, "I have heard that auspicious signs precede good fortune; but if upon seeing such signs, one commits evil, then no good fortune will come of them. Inauspicious signs precede disasters; but, if upon seeing such signs, one performs good deeds, then disaster

THE ALMANACS

will not come?' In consequence of this interpretation, Tang went to court early and retired late, he inquired after the sick and commiserated with mourners, pardoned crimes and gave alms to the poor, and protected and tended to the lives of the Hundred Clans. Mter three days, the sanggu plant disappeared. Disaster is what good fortune depends on; good fortune is where disaster hides. The sage alone perceives this truth; ordinary men recognize this outcome only after it has occurred. 6/4.2

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In the sixth month of the eighth year of his reign, King Wen of the Zhou dynasty was taken to his bed with illness. After five days, there was an earthquake that did not extend in any direction beyond the outskirts of the capital. His various officers all entreated him, saying, "We, your servants, have heard that the quaking of the earth occurs because of the ruler of men. Now five days after your majesty has taken to his bed because of illness, there has been an earthquake. In none of the four directions has it extended beyond the capital. Because all of your assembled ministers are afraid, we entreat you to take steps to avert further disaster." King Wen asked, "What steps do you suggest that I take to avert it?" They replied, "Initiate projects and encourage the multitude to enlarge the city walls. Surely this could avert it!" King Wen said, "No, I cannot permit that. Heaven exhibits inauspicious signs when it intends to punish the guilty. I must certainly be guilty of something, and that is why Heaven has done this-to punish me. Now,

BOOK 6

165

were I to initiate projects and encourage the multitude to enlarge the city walls, that would simply multiply my guilt. No, I cannot permit it!" They replied, ''Alter your conduct and multiply your good deeds in order to avert it. Surely this could evade such consequences?' King Wen replied, "I, Chang, am requested to alter my conduct and multiply my good deeds in order to avert it?' After this, paying careful attention to ritual precedence, he presented the feudal lords with gifts of skins and furs as tokens of friendship. Observing utter refinement in his formulations and commands, he increased the gifts of jade insignia and silk to be presented to his most eminent scholar-knights in accord with protocol. Promulgating his various titles and the distinctions among the various ranks, he had fields measured out as rewards for those with meritorious accomplishments. When he and his ministers had done this, it was not long before the king's illness was cured. When King Wen had been on the throne for eight years the earth quaked; after this happened, he ruled for another 43 years. King Wen had ruled his state a total of 51 years when he died. This is how King Wen halted further calamity and drove off inauspicious signs. 6/4-3 *~0Z~

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During the reign of Duke Jing of Song, when Mars, the Dazzling Deluder, rested in the zodiacal constellation Heart, the duke, becoming fearful, summoned Prince Wei and questioned him: ''What does it mean when the Dazzling Deluder rests in Heart?" Prince Wei replied, "Dazzling Deluder is Heaven's executioner. Heart is

!66

THE ALMANACS

the portion of the heavens that corresponds to Song. Some catastrophe awaits your lordship. Nonetheless, it is possible to shift the blame to your intendant minister." The duke replied, "But it is the intendant minister to whom I have entrusted the governing of the state. If by shifting the blame I bring about his death, it would be unlucky?' Prince Wei said, "Well then, you can shift it to the people?' The duke replied, "If the people die, then over whom would the Unworthy One be lord? Better it would be that I alone die?' Prince Wei said, "Well then, you can shift it to the harvest?' The duke replied, "If the harvest is harmed, the people will suffer famine and will certainly die. I am my people's lord; but ifl murder my people to assure my own survival, who will consider me a real lord? This means that the fated life span assigned the Unworthy One is exhausted. But you, sir, repeat this to no one?' Prince Wei turned to go. Then facing north, he bowed twice and said, "Your servant dares congratulate his lord. Though Heaven occupies a lofty position, it listens to those down below. Your lordship has said three things of supreme virtue. Heaven is certain thrice to reward your lordship. This very night Dazzling Deluder should move through three constellations, and my lord's lifetime should be extended by 21 years?' The duke asked, "How, sir, do you know that?" Prince Wei replied, "If you say three good things, you must be thrice rewarded. Thus, Dazzling Deluder must move through three lodges. Each constellation is composed of seven stars, with each star corresponding to one year. Three sevens are 21. This is why your servant says that your lordship's life will be extended by 21 years. Your servant requests permission to lie prostrate at the foot of the stairs to observe it. If Dazzling Deluder does not move, your subject requests death?' The duke consented and on that night Dazzling Deluder did, in fact, move through three constellations.

BOOK 6

1iEJfY3:Ell[ CHAPTER 5 ELUCIDATING PATTERNS 6/p li-~£~~~~~*oR~~~·*·~~~·~m~&o~~~· ~~~·W*~~~~-·~~m*mo~~~~~~&·~ffim~·~ =f~*o

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3. Yang Shuda.

As a general principle, life is not the result of the transformation of a single ether, growth does not occur from just one thing carrying out its tasks, and maturation is not the accomplishment of just one material form. Thus, where all that is upright collects, blessings cannot but come; where all that is evil gathers, disasters cannot but arrive. Storms will be unseasonable, the sweet dew will not fall, frost and snow will be untimely, and cold and heat will be excessive. The Yin and Yang will lose their order, and the four seasons will exchange their positions. The people will suffer miscarriages and impotence. Wild birds and beasts will be barren and infertile. The grasses and trees will have stunted buds and will not propagate. The Five Foods will wither and not ripen.

THE ALMANACS

168

How could a situation such as this produce music? Thus, in the transformation of extreme disorder, lord and minister rob one another, old and young murder one another, father and son forsake each other, younger and older brothers dupe one another, acquaintances and friends deceive one another, and husband and wife cheat one another. As they become more suspicious with each day, they unloosen the ties that bind men together. In their hearts they become like wild beasts. They dwell in evil and seek profit at any cost, for they lack awareness of morality and reason. 6/5-3

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The Sun: B. There are eclipses in which it is torn apart and eaten. There are occasions when it is surrounded by vapors on its side and top. There are vapors that surround it like a halo and dangle from either side like earrings. There are occasions when it does not shine, when it does not cause shadows, when it does not turn back, when many suns come out at once, and when it disappears in the daytime or appears at night. ~J=j~-~' ~B!llffl' ~~'&' ~IZ!3J=j}}ftl:f:l' :fr=J=j:ML~' ~/j\J=jffi:;k)=j' ~::k,i=jffi~J=j·~J=j~£·~1±1~·*0

BOOK 6

The Moon: C. There are occasions when it is eclipsed, when vapors surround it like a halo or dangle from its side like earrings, when it partially disappears, when four moons come out at once, when two moons appear at once, when a small moon connects to a large moon, when a large moon connects to a small moon, when the moon eclipses a star, when the moon appears but does not shine.

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The Celestial Bodies: D. There are the Dazzling Deluder Comet, broom stars, Celestial Club, Celestial Magnolia, Celestial Bamboo, Celestial Flower, Celestial Shield, assassin stars, fighting stars, and alien stars. ~~~L~S~·T~S~·~-L~T·~~*~~·~~w~m·~

JlUJi • ~~UJJ. • f:kJlU:t; • ~~U$ o The Ethers: E. There are those that ascend but do not touch the sky, those that descend but do not touch the ground, those that thicken at the top and diminish at the bottom, those that are like the waves in a river or like the trees on a mountain, and those that turn yellow in spring, or black in summer, or green in autumn, or red in winter.

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Inauspicious Signs and Evil Happenings: F. There are oddities of nature resembling the shape of belts; ghosts jumping over the parapets, rabbits giving birth to pheasants or pheasants giving birth to quails, caterpillars gathering in one's state and that Make a commotion that sounds like hyonghyong; Capitals with floating snakes moving east and west, Horses and oxen speaking, Dogs and pigs copulating, Wolves entering a capital, Men descending from the sky,

THE ALMANACS

170

Owls dancing in the marketplace, Insects marching through the capital, Horses sprouting horns, Roosters with five legs, Pigs born crying like infants, Chickens frequendy laying infertile eggs, Earth altars moving, Pigs giving birth to dogs. ~~~~·X~~~-S-¥·~~-~·~~~-oXB~~···~

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G. If these anomalies appear in a state, but the ruler is not sufficiently alarmed to change his ways quickly, then the Supreme Sovereign will send down misfortune, with catastrophes and disasters quickly following. The lord will cruelly perish and there will be no reprieve. The populace will flee, overwhelmed by starvation in less than a day. These things, all the products of a disordered state, will be beyond counting. Even if all the bamboo in Chu and Yue were used, all the anomalies could not be recorded.

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H. Thus, Master Huazi said: Among the people of a disordered age there are no rules, everything is confused, and hence, all manner of illness arises. The people suffer numerous illnesses and afilictions. On the roads are abandoned infants, the blind, the bald, hunchbacks, and swaybacks. A myriad of prodigies appears. Thus, how can the rulers of a disordered age have heard perfect music? Never having heard perfect music, their own music produces no pleasure.

Book 7 introduces the autumn season. The ether of process Metal is cold, so naked beings must wear fur clothing. The most noble of the hairy creatures is the tiger. The note shang is metallic and is placed in the western position. Sounds made by instruments of bamboo and reeds are harmonious with the pitch-standard Equalizing Rule. "Cooling Breeze" is the cosmic wind produced by the ocarina. This cosmic wind is associated with the eighth hexagram, Kun, which symbolizes Earth, the feminine, the inferior, and the moon. The western direction is associated with the summation and completion of the myriad things, displayed in all their brilliance; hence, the apartments on the west side of the Hall of Light are named General Manifestation Hall. White is the color of the process Metal, so all the Son ofHeaven's vestments and sumptuary tokens in this season are white. Winter is ruled by the process Water and is the season of the Dark Warrior; if its ordinances are put into effect, the Yin ether will triumph prematurely, resulting in the destruction of the harvest by insects with scaly armament. With the Powers ofWater and Metal combined, armies will make raids, producing great damage. In spring the Yang is strong and fierce; if its ordinances are put into effect, they will cause desiccation and drought. The crops will begin to grow again but will not attain maturity or bear fruit and seed. Summer is ruled by the process Fire; if its ordinances are put into effect, there will be frequent wildfires and conflagrations. With both the Metal ether and the Fire ether, cold and heat will contend against each other without moderating influences, causing the people to suffer disease, pestilence, and fever. Chapter 2 advances the thesis that weapons are inherently morally neutral, but there is the "righteous use of weapons;' so the thesis that "weapons should be abolished" must be rejected. "Righteous" means "employed in the cause of justice;' that is, "punishing tyrannical lords" and "relieving suffering peoples.'' The chapter further argues that weapons arise out of the inborn nature of mankind. Chapter 3 concerns rescuing the age from the chaos into which it has descended.

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The way to accomplish this is to employ weapons and armies in just wars, which will destroy those who lack the Dao and liberate the people from bitter oppression. This, argues this chapter, necessarily entails "attack" and "chastisement"; but some learned men condemn taking the offense and thus keep the people from being rescued. Chapter 4- continues the attack on the Mohist position that "attack" and "chastisement'' are wrong by demonstrating that the Mohist strategy of engaging in "defense" and in "relief operations" can protect those who lack the Dao, can rescue the immoral, and does not effectively protect those who possess the Dao or rescue those who are moral. Chapter 5 discusses the techniques of governing. To "cherish" means to use weapons on behalf of justice by executing the violent and oppressive, so that the people will enjoy peace and security. To "favor" means to promote the worthy and employ the able, giving the orphaned and widowed aid and comfort, and treating the elderly with respect. The basis of government implied in this chapter is aweinspiring authority, which is maintained by the threat of death, and profit, which encourages the people.

- El ~fj( CHAPTER l ALMANAC FOR THE FIRST MONTH OF AUTUMN 7/I.I ~~z~:

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A. In the first month of autumn the sun is located in Wings. At dusk the constellation Dipper culminates, and at dawn the constellation Net culminates. ~B-$o~-~-o~"-~o~~~o~fi·o·~~~o~~fto~

'*$ o ~~Di o ~ifrEr~ o ~)'[;Jlf o B. The correlates of this month are the days kang andxin, the Sovereign Shaohao, his assisting spirit Rushou, creatures that are hairy, the musical note shang, the pitch-standard named Equalizing Rule, the number nine, tastes that are bitter, rank smells, and the offering at the gate. At sacrifices, the liver is given the preeminent position.

BOOK 7

173

C. Cooling breezes begin to blow, white dew descends, and the cicada

of the cold chirps. Young hawks now sacrifice birds. Punishments and executions are used for the first time. ~~@••~m·~~n·•e•·•e~·~e~·~e~·*c•~> ~C=f~UW::k: 1.

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Chen Qiyou.

D. The Son of Heaven resides in the left apartment of the General Manifestation suite on the west side of the Hall ofLight. He rides in a war chariot, drawn by white horses with black manes and bearing white streamers. He is clothed in white robes and wears white jade ornaments. He eats sorghum accompanied by dog flesh. His vessels are angular and deep. 7/!.2 ~Fl-tl1

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In this month occurs Establishing Autumn. Three days before the ceremony marking Establishing Autumn, the grand historiographer informs the Son of Heaven, saying: "On such-and-such a day begins Establishing Autumn. The Power that is flourishing is Metal?' The Son ofHeaven then begins his purification. On the day beginning Establishing Autumn, the Son of Heaven personally leads the Three Dukes, the Nine Ministers, the feudal lords, and the grand officers in welcoming autumn at the western suburban altar. On returning, he rewards the commanding generals and military officers in ceremonies at court. ~~~$~~·m±R~·-··~:Wff~~·~~~-:~~·~· : C~ GE> JII!'Ff.Bz§!:!J o

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Tan Jiefu; HNZ and "Yueling" parallels.

The Son of Heaven then mandates that his generals and commanders should select men and sharpen weapons, choose and drill those of distinction and merit, and give their entire trust only to men of achievement, thereby correcting every immorality. He orders the interrogation and punishment of the oppressive and insolent, thereby making it plainly evident who should be cherished and who despised, and rendering obedient those in distant quarters.

THE ALMANACS

174

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In this month, the Son of Heaven orders his bureau directors to revise the laws and ordinances, put the prisons and stockades in good repair, provide manacles and fetters, forbid and halt villainy, be wary of crime and wickedness, and endeavor to capture criminals. He mandates that jailers examine wounds, inspect sores, and look for broken members, inspecting them particularly for dislocations. The resolution of civil and criminal cases Must be correct and just. Punish those who have committed crimes, Sternly deciding the penalty. As Heaven and Earth now begin their severity, It would be improper to be indulgent. 7/1.4·

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In this month, the farmers present their grain. The Son ofHeaven tastes the new grain, having first offered some in the apartment at the back of the ancestral temple. He mandates that the hundred bureaus begin to gather and store the collections from the farmers, finish constructing embankments and dikes, carefully inspect dams and barricades in preparation against flooding waters, put in good repair all buildings and houses, strengthen walls and enclosures, and repair inner and outer city walls. 7/I.S ~~~·~UM~'~*~·~~±~'hm~'lli*~o

In this month, there should be neither investiture of feudal lords nor any appointment to important offices. There should be neither partitioning oflands and fields, nor any important presentation of ceremonial gifts, nor any dispatching of important diplomatic missions.

BOOK 7

175

7/1.6 fiZ~%•®ME~~~o~~fi~%·~••*••k~···~~ ~*ofiW%·~~~~··~•w••liB~·ofii%·~~k~·· ~~rP·m~!il~o

If such orders are put into effect during this month, the cool breezes will arrive in each of the three decades of days. If, in the first month of autumn, the ordinances for winter are put into effect, the Yin ether will greatly prevail, scaly insects will destroy the harvest, and aggressive armies will be bound to come. If the ordinances for spring are put into effect, the state will suffer drought, the Yang ether will return again, and the Five Foods will not fruit. If the ordinances for summer are put into effect, there will be frequent calamities from fires, the cold and heat will know no limit, and the people will suffer many fevers and afflictions.

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CHAPTER 2 RATTLING WEAPONS

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A. The ancient sage-kings held to the doctrine of the righteous use of weapons, and none thought of abolishing them. Weapons originated in high antiquity, appearing at the same time as mankind. ~~fu~·•&:•&~·~fuomz~•~·ttfutt~ffi~~~fu·# AZMHmfu·~~~U¥•®I~~U8o

B. As a general rule, weapons inspire fear, and they inspire fear because they are powerful. That the people become fearful when confronted with power is due to their essential nature as humans. Their essential nature is what they receive from Heaven. It is not something a man can contrive, a soldier overturn, or an artisan change. ~pff~*~~*

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7- Chen Qiyou.

A. The heralds shout out and proclaim: "The soldiers have come to save the lives of the people. You, sirs, on high, lack the Dao. You are arrogant and decadent, Predatory and oppressive, Licentious and selfish.

You have cast out the institutions of the sages, slandered the First Kings, and reviled the old statutes. Above you disobey Heaven; Below you mistreat the people.

You tax without limit and make further exactions without tiring. You punish and murder the innocent and congratulate and reward the undeserving.

THE ALMANACS

!86

Such people are punished by Heaven, opposed by others, and are unfit to rule. Thus, now our army has come to execute the man who is unfit to rule, to eliminate the enemy of the people-all in compliance with the Dao of Heaven. Those people who disobey the Dao of Heaven and give aid to the enemy of the people will be killed and their families executed without mercy. Those who bring about a household's submission will be rewarded a household. Those who bring about a lane's compliance will be rewarded a lane. Those who bring about a village's submission will be rewarded a village. Those who bring about a town's compliance will be rewarded a town. Those who bring about a capital's submission will be rewarded with a capital." ~%~~~&~~·~~M~~B*o~~*±~M~~·~~~~~~

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B. Thus, in conquering a state, do not harm the people. Execute only those who deserve execution. Promote the accomplished scholar-knights and enfeoff them. Select the most worthy and able of their people and give them high and eminent positions. Seek out the orphaned and widowed and give them aid and comfort. Give audience to the senior and elderly and treat them with reverence and respect. In all instances increase emoluments and elevate ranks. Determine who has been judged a criminal and let these go. Divide the precious metals in the storehouses and distribute the grain in the granaries in order to pacifY the multitudes, keeping for yourself none of their wealth. Inquire about the altars planted with luxuriant trees and great shrines that the people do not wish to abandon, and restore them, thus regularizing the sacrificial offerings and augmenting the rites. Because of these actions, the worthy will glorifY your name, the elders will be pleased with your sense of ritual propriety, and the people will cherish your acts of virtuous kindness. 7/5-4 ~~A~~·~~~-A·~~~~~-~*o8A~~C-GE>~A Z!F~*' AfJ\~~ ?~8A.¥' JlU~~~~M~::S~'ftj_K' ~~~~~~::5

~m·fi~-~·~~-~·A~-~~~U;fi~o 9. Tao Hongqing.

BOOK 7

Now, were there a man who was capable of giving life to even one person who was to die, the whole world would surely struggle to serve him. Righteous soldiers who have held power of life and death over men are indeed numerous-which of those men is displeased? Hence, when righteous soldiers come, the people of neighboring states "rush to them like flooding waters?' The people of the state being chastised, "regard them as they do their parents?' The territory they cover is ever more extensive, and the people they win ever more numerous. Before the soldiers cross blades, the people submit as if transformed.

BookS

This month contains the autumnal equinox, which is signaled by the arrival of the wild geese and the departure of the swallows. In response to the impending winter, the various birds begin to store away food. The Yang ether declines and the old year decays; therefore, care is taken to provide for the aged among the population. If during the second month of autumn, the ordinances for spring are put into effect, the spring Yang force, being strong and fierce, will cause the rains not to descend and will make plants begin to grow again. With Metal and Wood in conflict, there will arise the specter of armies which will alarm the populace. If those of summer are adopted, then the summer ethers, being completely Yang, will reanimate insects as they are about to hibernate and renew growth in the Five Foods. If those of winter are put into effect, fierce and savage cold will bring frequent catastrophic winds and revive the slackening thunder. Chapter 2 argues that the relations between lord and minister, superior and inferior have their basis in moral principles. The notion of the righteous use of force, advanced in opposition to the Mohists, seems in particular to be based on the arguments of the Sima fa quoted in Gao You's commentary: "When there is reason to execute a person, even though a man is killed, it is proper to do so?' Chapter 3 contends that there is no substitute for well-trained and talented troops equipped with sharp weapons. The ignorant thesis that untrained people can defeat professionally trained and well-equipped armies must be rejected. But so must the theory of "responding to changing circumstances;' which seems to have been particularly associated with military theorists of the Yin-Yang school. Chapter + is concerned with what guarantees victory in battle: having moral right on one's side, being wise, and having courage. Courage is "physiologically'' based on an abundance of vital ethers. The ancient Chinese made a connection between the inhalation and exhalation of the vital breath and the vital ethers of nature. According to Liji (+7.8a), Confucius defined the vital breath in man as fullness of spirit. King Goujian of Wu once saluted a frog in order to inspire his [188)

BOOK 8

warriors, claiming that he did so because it had "spirit?' His warriors concluded that if the king were willing to salute a mere frog which had spirit, he would do much more for a man who exhibited a fighting spirit through his bravery. Within a year, ten and more men begged to offer their heads to the king. (HFZ9.554) Chapter 5 has the alternate title, "Taking Care Against Adversity," but its theme is better expressed in the present title, "Loving Knights."

- El flflfj( CHAPTER l ALMANAC FOR THE SECOND MONTH OF AUTUMN 8/I.I ~~z~: 8~~·••~$·R••$o

A. During the second month of autumn the sun is located in Horn. At dusk the constellation Herdboy culminates, and at dawn the constellation Turtle culminates. ~8~$o~m~Go~fi-~o~fi~o~W8o$$m§o~Rfto ~'*$

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B. The correlates of this month are: the daysgeng andxin, the Sovereign Shaohao, his assisting spirit Rushou, creatures that are hairy, the musical noteshang, the pitch-standard named Southern Regulator, the number nine, tastes that are bitter, rank smells, and the offering at the gate. At sacrifice, the liver is given the preeminent position. ~-~o••*o~·MoM···o

C. Cooling breezes arise, the wild geese arrive, the swallows return, and the various flocks of birds store up provisions. 7-Zr!a*l!!j(f::;t~ ec=~)'W::k

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D. The Son ofHeaven resides in the Great Temple in the General Manifestation suite on the west side of Hall of Light. He rides in a war chariot, drawn by white horses with black manes and bearing white streamers. He

THE ALMANACS

190

is clothed in white robes and wears white jade ornaments. He eats sorghum accompanied by dog flesh. His vessels are angular and deep. 8/!.2 ~J'H!!.th~::g,~JU:t' 1'T,.~5~~

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A. In this month, they nurture the decaying and aged, providing them stools and canes, and distribute congee for food. JJlitJI§]~~

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In this month, the Son of Heaven orders his officers concerned with slaughter and sacrifice to make the rounds among the sacrificial victims, examining them for wholeness and completeness, inspecting their fodder and grain, and assessing their weight, appraising their coats and general coloration, ascertaining whether they are characteristic of their kind, gaug-

BOOK 8

191

ing their size and examining their height, that both fit the required standards perfectly. When the five characteristics are exactly as they should be, the Supreme Sovereign will accept them. The Son of Heaven then performs the ceremonies to ward off pestilence and avert any occurrence of plague, to assure the proper circulation of the autumnal ethers. He tastes sorghum along with dog's flesh, having first offered some in the apartment at the back of the ancestral temple. 8/1.4

~~&·mu••R·••§·•••·•~*o~$~~·~~~ ~·~~~,~~~o~~~~·M-~~~·fi~M-~o

In this month, it is permissible to raise city and suburban walls, to found new cities and towns, to excavate underground passages and grain pits, and to repair square and round granaries. The Son of Heaven orders the several directors to hasten the people's gathering of the harvest, making them devote their attention to accumulating large stores ofvegetables and other provisions. He then urges the people to sow the wheat; They should not miss the proper time. Anyone who offends in this regard is to be punished without hesitation. 8/1.5 ~~&'

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begins to restrain its sounds. Insects stop up the entrances to their burrows. The killing ethers begin to increase in strength. The influence of the Yang ether diminishes day by day, and the waters begin to dry up. When day and night are equal in length, unify the weights and measures, balance the steelyard and its weights, rectify the stone weights, and adjust the dry measures for the peck and bushel. 8/1.6

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THE ALMANACS

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In this month, modify the charges at the frontier gates and in the markets, causing merchants and traders to come and goods and commodities to enter the markets thereby facilitating the people's business. When various kinds of traders come from the four quarters, When merchants arrive from distant regions, Resources and goods will not be deficient. Superiors will not want for the commodities they need, The hundred tasks of life will proceed accordingly.

As a general principle, when initiating undertakings, Do not contravene Heaven's law, The use of things must accord with the season; Rely on the qualities natural to their kind. 8/1.7 fi~~~·~a•=~o#~fiW~·~~m~•·•*~•·~~~ *~ofii~·~~~··~~~~·li~-~ofi$~·~-~~€•

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If such orders are put into effect during this month, the white dew will descend in each of the three decades of days. If in the second month of autumn the ordinances for spring are put into effect, the autumnal rains will not fall, the grasses and trees will blossom, and the state will therewith be thrown into a great consternation. If the ordinances for summer are put into effect, the state will suffer drought, insects will not retire to their burrows, and the Five Foods will begin to grow again. If the ordinances for winter are put into effect, calamities arising from winds will occur repeatedly, restrained thunder will occur before its proper time, and the grasses and trees will die prematurely.

BOOK 8

193

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Moral principles provide guidelines for every task. They give rise to the distinction between ruler and subject, high and low, near and far, and in them lies the difference between order and disorder, security and danger, error and victory. The Dao of error and victory should not be sought in others; rather, one must turn inward. 8/2.2 .A·tw~j:lffl~JE

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It is the essential nature of men to desire life and hate death, to desire glory and hate disgrace. If the Dao of death and life, glory and disgrace is one, then the knights of the Three Armies will be of one mind. 8/2.3 J'Ll![~;tU'Afu

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As a general principle, it is desirable that armies be large and of one mind. If the Three Armies are of one mind, then commands can be enforced without opposition. When commands have no opposition, their soldiers will meet no opposition in the world. In the supreme armies of antiquity, the people valued commands. What is valued by the world is honored by the Son of Heaven. What is stored in the hearts of the people penetrates into their muscles and flesh. Their deeply felt resolve cannot be shaken and

THE ALMANACS

194

therefore nothing can frighten them. How, then, could any enemy vanquish them? Thus it is said: When orders are strong, enemies are weak. When orders are faithfully carried out, enemies withdraw. If one first conquers those nearby, one is certain to be victorious over those far away.

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As a general principle, arms are the most baleful of tools in the world and bravery is the most baleful of virtues in the world. One should lift a baleful tool or act with a baleful virtue only if compelled to do so. If one lifts a baleful tool, then one must kill in order to allow others to survive. If one acts with baleful virtue, then one must overawe in order to frighten others. When the enemy is frightened, the people survive. This is what makes righteous soldiers so impressive. Thus, in the supreme armies of antiquity the soldiery never joined in battle, yet its awesomeness displayed itself and the enemy submitted of its own accord. What need did they have for mallets and drums, shields and halberds? Hence, expertise in displaying awesomeness lies in neither concretely exhibiting it nor directly communicating it. So mysterious is its dark obscurity, no one knows its true nature. This describes the true nature of supreme awesomeness. 8/2.5 R~~~~~~o~~~~~zm·~~~-~-~oo~~~~z* ~

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6. Tao Hongqing.

7· Shen Zumian.

8. Wang Niansun.

As a general principle, in military matters, prize "relying on?' "Relying on" means relying on the threat posed by the enemy to give oneself determination and on the strategies of the enemy to define one's own tasks. If one is capable of becoming completely familiar with the techniques of"relying on" and of extending them, one can never be defeated. Endless victory is descriptive of the divine, and what is divine is invincible. Now in military matters, one prizes not victory, but invincibility. The basis of invincibility lies within onesel£ Being conquered lies with others. The sage can be certain of what lies within him, but he cannot be certain of what lies within others. Hence, if one holds fast to the techniques of invincibility when encountering an enemy who can be conquered, one's armies will be without error. As a general principle, an army is victorious because the enemy makes errors. To gain victory because of the enemy's errors requires secrecy, subtlety, concentration, and unity. The secret conquer the open, the subtle the obvious, the concentrated the dispersed, the united the divided -like wild animals that use their fangs, horns, claws, and tusks to snatch, seize, gore, and gnaw their victims, yet must rely on lying low, and being subtle, secret and hidden-for this is how they bring about their victories.

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202

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One clothes a man because he is cold and feeds him because he is hungry. Hunger and cold are the greatest hardships suffered by mankind; to relieve its suffering is the greatest moral duty. But when a man is distressed and exhausted his situation is worse than when he is hungry and cold. A worthy ruler, therefore, will invariably have compassion on those who are distressed and grieve for those who are exhausted. Such a person will have an eminent reputation and win over the scholar-knights of his state. 8/p fi~-~0-•w••~·~-~W-AGzo~0~tt*Z.·~~A :tJ~~z~ll&:lliz~

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In the past, Duke Mu ofQin was riding in a horse-drawn chariot that had a mishap. The right team of horses got loose and was caught by some rustics. Duke Mu himself went to find them. He saw the rustics about to eat the horses on the southern slope of Mount Qi. The duke exclaimed, "If you eat the flesh of a piebald horse but do not follow it with a drink of liquor, I fear it will hurt you?' So, passing around some liquor, he left. A year later was the battle ofHanyuan. The army ofJin had surrounded Duke Mu's chariot. Liang Youmi had already seized the left horse of Duke Mu's team. Lu Shi, the spearman to the right of Duke Hui ofJin, was beating the

BOOK 8

203

armor of Duke Mu with such fierce blows that he had already pierced through six layers. At that moment, more than 300 of the rustics who had eaten the horsemeat on the southern slope of Mount Qi intervened, exerting their last ounce of strength for Duke Mu, fighting fiercely at the side of his chariot. In consequence, the duke won a great victory over Jin. Contrary to initial expectations, he captured Duke Hui and returned home with him. This is what the Ode means when it says: When ruling gentlemen be correct, And they will then act with kindness. When ruling commoners be lenient, And they will then exhaust their strength.

How can a ruler not strive to perform acts of kindness and love others? When he performs acts of kindness and loves others, the people are close to their superior. When the people are close to their superior, they will all be happy to die for their lord. 8/5·3

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2.

Tao Hongqing, Chen Qiyou.

The Former Kings took being in accord with the people's hearts as their first principle, and thus their accomplishments and fame were realized. In high antiquity there were many who won the people's hearts and thereby established great achievements and reputations. There has never been a case where someone, having lost the people's hearts, nonetheless managed to establish achievements and a reputation. There is a Dao to win the hearts of the people. In a state with w,ooo chariots or a city of one hundred households, everyone has something that will please him. If one takes hold of what the people find pleasing, the people themselves may be "taken?' How numerous are the things the people find pleasing! This is the essential point in "taking" the people.

THE ALMANACS

210

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In the past, when Tang conquered the Xia and put the world aright, there had been a great drought with no harvest for five years. Tang thereupon offered a prayer at Sanglin in which he offered his own body as the pledge, beseeching: "Ifl, the One Man, am guilty, let the punishment not reach the myriad peoples. If the myriad peoples are guilty, let it rest on me, the One Man. Do not let the One Man's lack of diligence cause the Supreme Sovereign and the ghosts and spirits to harm the lives of the people.'' Thereupon, he cut his hair, put his hands in manacles, and had himself prepared in lieu of the usual animals as the offering in a sacrifice to beseech the blessings of the Supreme Sovereign. The people were overjoyed, and the rains came as in a deluge. Thus, Tang influenced the transforming powers of the ghosts and spirits and the course of human events.

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5. Sun Shucheng; Liezi parallel. 4. Tan Jiefu, Chen Qiyou. 6. Yu Yue, Tao Hongqing, Chen Qiyou.

Master Liezi once hit the bull's-eye. He asked Master Guanyin about it, and the latter said: "Do you know why you hit the target?" He replied that he did not. Master Guanyin responded, "That is not acceptable." Master Liezi withdrew and studied for three years and again asked Master Guanyin about it. Master Guanyin said, "Do you know why you hit the center of the target?" Master Liezi replied, "Yes I do know." Master Guanyin said, "Good! Keep it and do not lose it." This does not apply to archery alone. The preservation and loss of a state, worthiness or unworthiness of a person, also have their reasons. A sage does not examine instances of preservation and loss or of competence and incompetence, but examines the reasons for both. Thus, when Zilu caught a ringed pheasant he released it.

BOOK 9

217

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Qi attacked Lu, seeking the mountain-peak tripod. The lord ofLu loaded a different tripod onto a cart and sent it to Qi. The Marquis of Qi did not believe it to be real and so returned it as a fake. He sent an envoy to inform the Lord ofLu: "I can accept it only on the condition that Liuxia Ji takes it to be real." The Lord ofLu requested that Liuxia Ji do this. Liuxia Ji replied, "Does my lord attempt this bribe out of desire for the mountain-peak tripod? Or is it to try to spare his state? Your servant also has a 'state' of his own. It would be a difficult matter for your servant to have to destroy his own state in order to spare his lord's state?' Thereupon, the lord ofLu sent the real mountain-peak tripod. Beyond his trustworthiness, Liuxia Ji may properly be called a capable persuader. Not only did he save his own "state:' he was also able to save the state of the lord ofLu. 9/4-4 -~£~@~M•W6~~·~0~flB: WfiB~~·OO~~X~o

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King Min of Qi had to flee his own state and go to live in Lesser Wey. All day long he paced about. He said to Gong Yudan, "I had to flee, but I do not know the reason why I was forced to do so. What, in the final analysis, was the reason? I should correct myself?' Gong Yudan replied, "Your servant thought that your majesty already knew this. Does your majesty really still not know why? What forced your majesty to flee was his worthiness. All the other kings of the world, being unworthy, hated your majesty's worthiness; therefore, they combined their armies to attack you. This is why your majesty was forced to flee?'

THE ALMANACS

218

King Min, with an air of melancholy sadness heaved a great sigh, remarking: "Must being worthy bring about such bitter travail?" This was certainly a case of not knowing the reason, and it was a transgression on the part of Gong Yudan. 9/4-5 ~~~~r~Ao~~Z~B~'~m~z·W~z~o~~~AW~

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King Shou of Yue had four sons. His younger brother, named Yu, intended to murder them all so that he might be Shou's successor. He slandered three of them and caused them to be executed. The citizens of the state were displeased and severely criticized their superiors. He then slandered the fourth, intending that he too should be executed, but this time the King ofYue would not listen to him. Fearing that he would surely die, the last son, availing himself of those citizens who wished to expel Yu, surrounded the king's palace. The King ofYue sighing deeply, said, "Because I did not heed Yu's words I have encountered this problem?' He, as well, did not understand the reason he perished.

nam® CHAPTER 5 ON THE COMMUNICATION BETWEEN SOULS 9/5.1 A~~j!i~**~~~

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Some people say that dodder has no roots. But it is not true that dodder lacks roots, its roots are not attached to it, but are the foling fungus. A lodestone attracts iron because something pulls it. Trees growing close together are slender because something squeezes them. When a sage assumes his position facing south, he keeps in mind the goal of loving and benefiting

BOOK 9

2!9

the people. Before his commands and proclamations are issued everyone in the world expectantly cranes his neck and stands on tiptoes. This is because the sage's refined essence has circulated among the people. The people respond similarly to those who prey upon and injure them. 9/5.2 4~~~·~Rli~·§~~*·BH~B*•m•~~~-·#~M ~ill, m$C~) 2 7t-ffill

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Chen Changqi, Chen Qiyou.

Now, an attacker sharpens the five types of weapons, dresses in fine clothing, and eats delicious food when intending to set out the next day. But those about to be attacked take no pleasure in such things, not because they have heard about it, but because a spirit has forewarned them. If you reside in Qin but the one you love lives in Qi, and that person dies, your mental ethers will be unsettled. This is because the refined essences will no longer travel back and forth between you. 9/5.3 t~ill~, ~~~*ill

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Power is the steward of the myriad peoples. The moon is the root of all Yin creatures. When the moon is full then oysters and mussels fill their shells and all Yin creatures expand. When the moon wanes, oysters and mussels become empty and all Yin creatures languish. Now, just as when the moon changes its shape in the sky, the multitude of Yin creatures transform in deep pools, so too when the sage gives form to the Power within him, all within the four quarters strive to be humane.

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A. When Yang Youji shot at a rhinoceros, he hit a stone instead and the

THE ALMANACS

220

arrow was swallowed, feathers and all. This happened because he was so intent on the rhinoceros. When Bole studied the physiognomy of horses, he saw nothing except horses. This was because he was so intent on horses. Cook Ding of Song was so devoted to butchering oxen that he looked at nothing except dead oxen. For three years he did not even see a live ox. He had used his knife for nineteen years, and the blade was as if had been just sharpened. This happened because he was in accord with its natural principles and was intent on the oxen. ~t-=fWI~r~rJ!·~~ffiJ?J; '1~ABffiJF"52.B: ~-=ffi!J-~Z.?J;ift? ~ ~B: ~b:I z~~¥m~A·~m~:E::Izam~·ffi1~0*~~:E::Iz~m~·m ~0*•~

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B. One night Zhong Ziqi heard someone playing on the musical stones, and he became filled with sadness. He sent someone to summon the man and asked, "Why is your playing so sad?" The man replied, "Your servant's father was unlucky and killed another man, and so did not get to live out his life. Your servant's mother did live out her life, but she became a wine server in your grace's noble house. Your servant himself has been able to live out his life by becoming the musician who plays the musical stones in your grace's noble house. Your servant had not seen his mother for three years, and then, last night, when I was at Sheshi, I saw her. I calculated how much was needed to purchase her but did not have the resources, since I myself am the chattel of your grace's noble house. This is the reason I am sad." Zhong Ziqi sighed and said, "How sad, how very sad! The heart is not the arm, the arm is not the hammer, and the hammer is not the stone. Yet since the sadness is in the heart, the wood and stone respond to it?' Thus, what the gentleman genuinely feels here is understood there. When emotions rise up within him, others feel them. What need does he have for forceful persuasion?

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+· Bi Yuan, Shokoen Usai, Xu Weiyu; TPYL quotations.

C. In Zhou there was a certain Shen Xi who had lost contact with his mother. He heard a beggar singing beneath the gate and was so saddened

BOOK 9

221

by the song that it showed in the expression on his face. He told the gatekeeper to admit the beggar who was singing so that he might see and question her. He asked, "Why are you begging?" When she spoke with him, it turned out to be his mother. ~~az~~fu·~Z~~Bfu·-Rffim~·~•oo~so~•~z~

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D. Thus, the relationship of parents to children and children to parents is like the two halves of a single body or different exhalations of a single breath. They are like plants that spring from the same fruit or trees that grow from the same root. Though they are in different places, they remain in communication with each other. If one has a hidden aspiration, it will reach the other. If one is suffering pain, the other will help. If one has anxieties and longings, the other is moved. If one is thriving, the other is happy. If one dies, the other is saddened. This is what being flesh-and-bone relatives means. The spirit that comes forth from such loyal devotion is echoed in the heart of the other. When the refined essence of each of them can reach one another, what need is there of words?

Book 10

The ''Almanacs" conclude with winter, the last season of the year, which begins with this month. Shelled creatures, the most important of which was the sacred tortoise, signifY winter because their coarse "hide" of shell secretes and encloses the animal. The musical note yu is watery and is situated in the northern region. The pheasant enters the Huai River, where it becomes a sea serpent. The rainbow, caused by the intercourse of Yin and Yang, no longer appears, since the Yin has now begun to flourish. The Dark Hall is the north side of the Hall of Light, whose left side faces west. The "dark" or somber color is black, the color of water, and symbolizes the north. Vessels that are "wide and deep" symbolize what is hidden and stored up. The "progenitors of nature" are Heaven, which creates the myriad things; Earth, which sustains them; spring, which stirs life in them; summer, which makes them grow; autumn, which matures them; and winter, which stores them. Spring is the season when the Yang ether disperses and rises up; if its ordinances are adopted in winter, the ice will not seal the Earth and the Yang ether will leak out, causing the people to rise up and scatter, in imitation of the Yang ether. Winter is the season of dormancy, concealment, and storing; if the ordinances of summer, when the Yang flourishes, are implemented, violent winds will result, and, being hot, will reanimate the insects, which emerge from their burrows. If the ordinances for autumn are used, the Metal ether will oppose that ofWater, resulting in frost, when there should be no frost, and snow, when there should be no snow. Military conflicts, appropriate for autumn, will continue into the winter. Chapter 2 distinguishes between what is important in caring for the living and what is important in caring for the dead. The living, it maintains, are to be nourished-supplied with food, clothing, and other things that meet their physical needs-and the dead are to be given peaceful repose. Modest burials ensure the continuing security of the dead, because unlike extravagantly furnished tombs they present no temptation to grave robbers. Those who construct elaborate burials to nurture the dead do so merely to make a public display and to avoid censure. Chapter [zzz]

BOOK 10

223

3 continues the argument. The Mohist affinity is indicated by the citation of the burials of the sages Yao, Shun, and Yu and by "definitions" of such terms as "fit in" and "indistinguishable." Chapter+ contends that what the whole world recognizes as beautiful is in fact ugly and what the whole world recognizes as good is in fact bad (LtWzi, par. 2 ). It also argues that the sage does not value goods that are difficult to obtain (LtWzi, par. 6+). By choosing lands with unattractive names that played on the superstitions of the peoples of Chu and Yue, Sunshu Ao followed the principles expressed in the LtWzi and was protected from the envy of others. The fundamental theme of chapter 5 is that though the myriad things are the same for everyone, people use them in different ways. The humane use things to give peace to the dead, and they flourish accordingly. The violent use things to injure the living, and so they perish. The principle holds true even for something as insignificant as a sweet: the humane will use it to nurture the sick and care for the aged, while thieves like Robber Zhi and Zhuang Qiao will use it to pick a lock.

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CHAPTER l ALMANAC FOR THE FIRST MONTH OF WINTER 10/I.I

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A. During the first month of winter, the sun is located in Tail. At dusk the constellation Rooftop culminates, and at dawn the constellation Seven Stars culminates. ~B£~o~*Mfflo~~~~o~ft*o~~Wo~~--o~-~o ~~-o~~~o~~fto~~-o

B. The correlates of this month are the days ren andgui, the Sovereign Zhuanxu, his assisting spirit Xuanming, shell-covered creatures, the musical note yu, the pitch-standard named Resonating Bell, the number six, salty tastes, putrid smells, and the offering at the path. At sacrifice, the kidney is given the preeminent position. *~~,~~-o·A**~gonM~~o

C. Water begins to freeze, cold starts to penetrate the earth, pheasants enter the great waters and become sea serpents, and the rainbow is concealed and does not appear.

THE ALMANACS

224

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D. The Son of Heaven resides in the left apartment of the Dark Hall in the Hall of Light. He rides in a dark-colored carriage, drawn by iron-black horses and bearing dark-colored streamers. He is clothed in black robes and wears dark-colored jade ornaments. He eats millet accompanied by pork. His vessels are wide and deep. rojr.2 ~~fu·~~~o~~~~B·X~~Z*~·B:

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1.

It was not that the ancients lacked treasures, but that what they treasured was different. When Sunshu Ao was ill and about to die, he warned his son: "Several times the king offered to give me a fief, but I would not accept it. When I die, the king will offer you a fief, but you must not accept any profitable land. On the border ofChu and Yue is Deformity Hill, which is the kind of land that others do not regard as profitable. On one side of it is Jealousy Valley and on the other Misery Hill. Both names people find repulsive. Because the people of Chu fear ghosts and the people of Yue believe in omens, you will be able to hold onto this land for a long time?' When Sunshu Ao died, the king did in fact offer to enfeoff his son with good land, but the son refused it and requested Deformity Hill, which is why even now his family has not lost it. Sunshu Ao's wisdom consisted in recognizing the benefits of what others considered unprofitable and knowing how to find joy in what others found repulsive. This is how those who possess the Way differ from the common lot of men.

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BOOK 10

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Chen Qiyou.

3· Sun Shucheng, Jiang Weiqiao; Gao You commentary, TPYL quotation. 5· Chen Qiyou; sr parallel.

+· Sun Shucheng, TPYL quotation.

When King Zhuangxiang of Chu was hunting at Yunmeng Marsh, he shot a charging rhinoceros and hit it. Zipei, the Duke of Shen, pushed the king aside and seized it. The king said, "Why should he be so impudent and disrespectful?" He commanded his officers to execute him. The grand officers of the left and of the right advanced and remonstrated with the king, saying, "Zipei is a worthy man. He is your majesty's subject a hundred times over; there must be a good reason for his behavior. We hope you majesty will look into it?' In less than three months, Zipei died of illness. Chu raised an army and did battle at Liangtang, where they won a great victory over Jin. Upon their return home the meritorious were rewarded. The younger brother of Zipei, the Duke of Shen, came forward to request a reward from the clerk, saying, "Whereas others were meritorious in the army, your subject's elder brother was meritorious at the foot of the king's chariot?' The king said, "What do you mean?" The man replied, ''Your subject's elder brother has a reputation for being impudent. and disrespectful. He committed a capital offense in the presence of your majesty. It was his stupid intention to be loyal to the person of his lord and king, to gain for him longevity of a thousand years. Your subject's elder brother had read an old record that said, 'Anyone who kills the charging rhinoceros is certain to die before three months are up? For this reason, your subject's elder brother was alarmed and fearful for the king. That is why he fought with your majesty over the rhinocerous. Thereby he assumed the offense of killing the beast, and he died for it?' The king commanded a man to open the Peaceful Repository and look for the document. There among the old records he found it; so the king richly rewarded the younger brother. The loyalty ofZipei, the Duke ofShen, can be described as a secret act. The motives behind secret acts are not provided by exhortations promising

THE ALMANACS

recognition from others, nor are they discouraged when there is no recognition. There are no acts loftier than these.

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6. Chen Qiyou.

7. Chen Qiyou.

The king of Qi suffered from a bad headache. He sent a man to Song to fetch Wen Zhi. Wen Zhi came and, after examining the king, said to the crown prince: "The king's illness can certainly be cured. When the illness is cured, however, he will certainly kill me?' The crown prince asked, "Why should he do that?" Wen Zhi replied, "Ifi don't taunt the king, the illness cannot be cured. If I do taunt the king, I am certain to die?' The crown prince bowed his head to the ground and pleaded with him, "If you go ahead and cure the king's illness, my mother and I will argue before the king that you should be spared. The king will certainly look kindly on my mother and me. I hope, Master, that you will not be troubled by this." Wen Zhi said, "I consent. I beg to die to cure the king?' He fixed a time with the crown prince, but on three occasions when he had arranged to go, he did not keep the appointment. The king of Qi was already angered by this. When Wen Zhi finally did arrive, he climbed up on the king's bed and trod on the king's robes without removing his shoes. He then inquired about the king's illness. The king was so angry that he would not talk with him, so Wen Zhi just departed, making the king doubly mad. The king got up, cursing, and as he did so, his illness was cured. The king was very angry and was going to boil Wen Zhi alive. The crown prince and

BOOK ll

the queen anxiously argued with him but could not dissuade him. In the end, he boiled Wen Zhi alive in a tripod. He cooked him for three days and three nights but Wen Zhi's appearance never changed. Wen Zhi said, "If you really want to kill me, why not turn the pot over and cut off the sustaining ethers of the Yin and Yang?" The king turned it over and Wen Zhi died. Thus, it is easy to be loyal in an ordered age but difficult to be loyal in a foul age. Wen Zhi did not bring about his death because he did not know how to cure the king's illness. It was because the crown prince did what was difficult that Wen Zhi fulfilled his moral duty.

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Hong Yixuan, Chen Qiyou.

According to the code of the scholar-knight, to be incapable of disgrace is the greatest of all things. Because the scholar-knight considers it great, it is more noble than wealth or honor. Profit does not provide him with sufficient pleasure to make him alter his convictions. Were he given the title of feudal lord and full possession of a myriad of chariots, they would not be sufficient to shake his mind. If he were truly disgraced, nothing could make him enjoy life. If he had power and influence, he certainly would never use them for selfish ends; if he held office, he would never be corrupted; and if he led an army, he certainly would not turn and run. A loyal minister behaves in just this fashion. If he can advantage his ruler and profit his state, he will not consider shirking or evading anything, even killing himself and abjuring life to accompany his ruler in death. When a state possesses such scholarknights it may be said to "have men?' But as such men are surely difficult to obtain, it is a calamity when they are obtained but not recognized.

THE ALMANACS

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+· Chen Qiyou; Wenzi, HNZ parallels. 3. Tao Hongqing. 5. Chen Qiyou; gloss entered into text.

If you overturn birds' nests and break their eggs, phoenixes will not arrive. If you cut open wild beasts and eat their fetuses, unicorns will not come. If you dry up marshes and strand the fish in them, dragons will not appear. All the ways in which things that agree may coincide cannot be recorded, yet the son is not restrained by his parents, nor the minister by his lord. Where there is agreement, they come together; where there is difference, they part. Thus, although the minister honors his lord, if he takes white to be black, it will be impossible for the minister to heed him. Although the son feels ties of kinship with his father, if he takes black to be white, his son cannot agree with him. The Yellow Sovereign said: "So vast! So limitless! I rely on the majesty of Heaven and share with the Primordial the same ethers." Hence it is said, Sharing the same ethers is worthier than sharing the same code of conduct; the same code of conduct, worthier than the same accom-

BOOK 13

plishments; the same accomplishments, worthier than the same circumstances; and sharing the same circumstances is worthier than sharing the same reputation. Sovereigns share the same ethers, true kings the same code of conduct, and lords-protector the same accomplishments. The diligent, sharing the same circumstances, lack generosity; and the doomed, sharing the same reputation, are coarse. The coarser one's awareness, the coarser what one can share; the more refined one's awareness, the more refined what one can share. Hence, as a general principle, realization of one's goals cannot be accomplished except through refinement. It was their refinement that produced the perfection of the Five Sovereigns and the Three Kings. When the categories are identical, everything is consistent. Hence, Yao did good, and everything that transpired was good; Jie did evil, and everything was evil. TheAdmonitions of Shang say:

Whether Heaven sends down a disaster or signals a good omen, there is something responsible for it. Hence, when a state is in disorder, it does not merely remain in disorder but attracts bandits. Were it to remain merely disordered, it would not necessarily perish, but because it attracts bandits, there is no way it can survive.

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2.

Tan Jiefu.

The grounds for judging the quality of advice cannot but be carefully investigated. If it is not carefully investigated, then the good and the notgood will not be properly characterized, and there is no greater disorder than when the good and the not-good are not properly characterized. Because the Three Dynasties properly characterized the good and the not-good, they became universal kings. Today the world is in ever greater decline, and the Dao of the sage-kings has been cast aside and broken off. Rulers of the present are for the most part concerned with increasing their pleasures and joys, enlarging their bells and drums, and creating extravagant terraces, pavilions, gardens, and parks; this is why they expropriate the resources of others. They think nothing of working their people to death and so stir up their indignation. The aged and weak freeze or starve to death. The young and frail, even the robust and vigorous, are exhausted, which will lead to their death or enslavement. These rulers attack guiltless states in their pursuit of territory and execute innocent people in their search for profit. And although they desire that their ancestral temples be secure and their altars to the soil and grain not be endangered, are they not placed in even greater difficulty?

THE EXAMINATIONS

290

Suppose someone were to say, "There is a certain party who has many goods, the rear wall of his house has collapsed, and his guard dog has diedgiven these circumstances, we can rob him." People would certainly reject this advice. But if someone were to say: ''A certain state is starving, its city walls are collapsing, and its defensive weapons are few-we should make a sneak attack and annex it?' People would not reject this advice. But if they do not, then they do not understand that both actions belong to the same category. A Document ofZhou says: We cannot retrieve those who have gone, nor can we wait for those who are to come. Thus, the worthy and enlightened person of the age is called the Son of Heaven.

Accordingly, in our own age, a person who has the ability to characterize the good and the not-good properly would surely become king without difficulty. Characterizing the good and the not-good is rooted in benefiting and in loving others. He who makes loving and benefiting others his Dao is great indeed! When a person has been wandering the seas for a full month, he is overjoyed when he sees anyone who looks familiar. When he has been gone a whole year, he is overjoyed when he sees anything he once saw in the Central States. The longer his absence, the more profound his longing! The people of our chaotic age have also been long separated from a sage-king. They hope to see a sage-king, ceaselessly, day and night. Thus, the worthy king and the eminent scholar-knight whose desire is to relieve the conditions of the black-haired commoners cannot but strive to hdp them.

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A. Achievement precedes a good reputation, effective policy precedes achievement, and good advice precedes effective policy. If a person does

BOOK 13

not recognize effective policies, how will he be capable of judging the quality of advice? If he does not understand the true nature of things, how will he be capable of determining whether the advice suits the circumstances? Between good advice and the chirping of fledgling birds, is there a difference or is there none? The charioteer Zaofu began his studies with Taidou. Archer Pangmen began his studies with Ganying. In driving with Taidou and shooting with Ganying, they did not vary from their methods and in this way took into account their own natures. Because they did not vary, the one was able to go great distances and chase the quick, while the other could eliminate harm and prevent violence. As a general principle, other men too must study their own hearts, for only then will they be able to judge persuasions. What you do not get by studying your own heart, study by learning and questioning. From antiquity to the present, there has never been anyone who did not learn yet was able to judge persuasions. m~~e~z~•~fu·0•nz~~~£~-~&•~mz~fu·R~ z•0~ft·SRZR.~Z$o~~±~Z··W~~*·~m~--o

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THE EXAMINATIONS

292

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In the past, during a single bath Yu once rolled up his hair three times and during a single meal once arose three times, thereby treating scholarknights who possessed the Dao with ritual courtesy, and coming to understand those things in which he himself was inadequate. If a person comes to understand those things in which he himself is inadequate, he will not compete over external things. Contented and in a state of repose, he awaits knights who possess the Dao, causing them to obtain what they want. Relying on what is so, he recognizes them as they are, inducing them to advise him as they wish. The rulers of doomed states are the opposite of this. Thinking themselves worthy, they belittle others. Since they belittle others, those who might offer persuasions keep their wisdom to themselves. Those who think too highly of themselves do not reach the truth, so even though they possessed the world, what benefit would it bring? They confuse dark with light, disorder with stability, failure with success, and danger with tranquillity. Thus, Yin and Zhou perished and Bigan died because rulers were perverse and proved incapable of making plans. Accordingly, the nature of rulers is such that none of them errs with respect to those whom they doubt, but they do err with respect to those whom they fail to doubt. They do not err with respect to those whom they do not know, but they do err with respect to those whom they already know. Accordingly, even though you are not doubtful about someone and even though you already know him, it is necessary that you examine him in light of the model, measure him using definite standards, and test him using the accepted methods. If you proceed in this fashion, you will not go wrong in regard to right and wrong and will not err in those you pick and reject.

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BOOK 13

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Gao Heng, Chen Qiyou.

2.

Zhang Binglin, Chen Qiyou.

How did Yao obtain worthy men in the empire and test Shun? How did Shun get worthy men in the empire and test Yu? They made their decisions simply by listening with their own ears. They could decide by listening with their own ears because they kept to the essential qualities of their inborn natures and natural endowment. Today those who are confused do not understand that they must keep to the essential qualities of their inborn natures and natural endowments. The second thing that they do not know is that they should examine the means the Five Sovereigns and the Three Kings employed to achieve success. How then could they personally understand the failures of their age or their own inadequacies? The highest state is to know something; the next is to know that one does not know it. If you do not know something, ask about it; if you are unable to do something, study how to do it. TheAdmonitions ofZhou say: If one thinks intently upon this, it is not too late to cultivate Power.

It was by learning from the worthy and questioning the wise that the Three Dynasties flourished. A person who does not know but thinks that he knows, is the progenitor of every kind of calamity. A reputation is not established by empty exertions, accomplishments are not completed by themselves, and a state is not preserved by nothingeach requires a worthy person. The Dao of the worthy person is difficult to know, being indistinct, and difficult to apprehend, being subtle. Hence, anyone who sees a worthy and is not respectful of him, feels no awe in his heart. If he feels no awe in his heart, his understanding will not be deep. Nothing presages greater calamity than not having a deep understanding of the advice of worthy men. 13/5-3 ~Jfiliffl~Jf~~~·~~~iliR~Jf~~To~m~~•·lffi~~B ~

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THE EXAMINATIONS

294

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A. When a ruler is worthy and the age is orderly, worthy persons occupy high positions. When a ruler is unworthy and the age is disorderly, worthies occupy inferior positions. Today, the house ofZhou has been annihilated, and the line of the Son ofHeaven cut off. No disorder is worse than lacking a Son of Heaven, for when there is no Son of Heaven, there is no end to the strong conquering the weak, the many tyrannizing the few, and armies destroying people. This is precisely what the present age faces. Hence, if those in the present seek scholar-knights who possess the Dao, let them go throughout the lands within the four seas, to the mountains and valleys, and to places faraway and remote. Perhaps they will be lucky and find them. If they should find them, then what desire will not be fulfilled and what undertaking not succeed? The Grand Duke fished at Zi Spring, living as he did in the age ofZhou Xin. Because King Wen obtained the Grand Duke's services, he became king. King Wen was the ruler of a small state with a thousand chariots while Zhou Xin was the Son of Heaven. The Son of Heaven missed the opportunity to use the Grand Duke while the thousand-chariot ruler obtained him. This is because the one recognized his worth and the other did not. Now, a ruler can use the masses of undistinguished commoners without appreciating their individual worth, and he can order them about without observing ritual courtesies. But with scholar-knights who possess the Dao, a ruler certainly must observe ritual courtesy and appreciate their worth, for only then will he obtain the full benefits of their knowledge and abilities. M:tE-'fllJJ:j:~§3t)j!fj0' ~~!'HJgll!!\*

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BOOK 13

295

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BOOK 14

309

A. When Tang got Yi Yin, he performed rites of purgation on him in the ancestral temple, lighting a bundle of wood to eliminate noxious influences, and smearing him with the blood of a sacrificial pig. The next day at his morning court, he gave an audience to Yi Yin with due ceremony. Yi Yin spoke to Tang about perfect flavors. Tang asked, "Can they be acquired and prepared?" Yi Yin replied, "The small size of my lord's state is insufficient to supply them. Only after he has become Son of Heaven can they be supplied. Now, there are three tribes of creatures: the water dwellers, which smell fishy; the carnivores, which smell rank; and the herbivores, which have a fetid smell. Although malodorous and evil smelling, they can be refined when each is properly used. As a general rule, the fundamental rule in preparing flavors is that Water is the first ingredient.

For the Five Tastes and the three materials, as well as the nine simmerings and nine transformations, Fire serves as the regulator.

At times quick and at times slow, it eliminates fishiness, removes rankness, and eradicates fetidness. One must be sure that while these are overcome, one Does not lose the inherent qualities of flavor.

In the task of harmonizing and blending one must use the sweet, sour, bitter, acrid, and salty. The balancing of what should be added first or last and of whether to use more or less, is very subtle, As each variation gives rise to its own effect.

The transformation within the cauldron is quintessential, marvelous, extremely fine, and delicate. The mouth cannot describe it; The mind cannot find an illustrative example.

It is like the subtle arts of archery and horsemanship, the products of the mixing ofYin and Yang, And the different methods practiced in the four seasons.

Thus, it keeps for a long time and does not ruin, is thoroughly cooked but not mushy, sweet but not cloying, sour but not excessively so, salty but not deadening, acrid but not caustic, mild but not bland, rich with fats but not greasy."

THE EXAMINATIONS

310

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B. "The finest of the meats are the lips of the xingxing ape; the feet of the huanhuan bird; the fleshy tail of the junyan bird; the paws of the shudang; the short tail the maoxiang. West of the Flowing Sands and south of Cinnabar Peak are phoenix eggs eaten by the Wo people. "The finest of the fish are the perch of Lake Dongting and the miniature fish of the Eastern Sea; a fish in the Li River called Pearl Turtle, which has six feet, has pearl-like nodules, and is jade-colored; and a fish in the Guan River called the 'flying fish: which is shaped like a carp with wings and which flies nightly from the Western Sea to the Eastern Sea. "The finest of the edible plants are the cress of Kunlun and the flower of the Longevity Tree; the leaves of the Vermilion Tree and the Black Tree that grow east of Zhigu in the state of Zhongrong; an edible plant colored like green jade, called the 'lucky tree: that grows to the south ofYumao, on a cliff at the edge of the southern limit; the fragrant cress ofYanghua; the celery of Yunmeng; the kale ofJuqu; and a grass ofJinyuan called 'flower of the soil? "The finest of the seasoning agents are the ginger from Yangpu; the cinnamon from Zhaoyao; the bamboo shoots from Yueluo; the vinegar made from zhanwei sturgeon; the salt from Daxia; the dewy waters from Zaijie, which have the color of white jade; and the eggs from Changze. ''The finest of the grains are the millet of Dark Mountain; the foxtail millet of Mount Buzhou; the panicled millet of Bright Mountain; and the black glutinous panicled millet of the Southern Sea.

BOOK 14

3II

"The finest of the waters are the dew waters of Sanwei Peak; the well water of the Kunlun; the spring named Jade Pond, located on a hillock by the Zhu river; the stream at White Mountain; the bubbling spring high on the Mountain of Lofty Spring; and the source in Jizhou. "The finest of the fruits are those of the Shatang tree; the hundred fruits eaten by all the Sovereigns, which grow north of Mount Chang, atop the Tou Gorge; the sweet berries found east of Mount Ji, in the nesting place of the Azure Bird; the tangerines from the banks of the Yangzi; the pomelos ofYunmeng; and the stone ears from the banks of the Han River. "For obtaining, these there are such fine horses as the Green Dragon and the Mount that Leaves the Wind Behind. "A man who has not first become Son of Heaven cannot have all these things supplied him. Since he cannot become the Son of Heaven by force, he must first know the Dao. The Dao leaves others behind and concentrates on the inner self. When the inner self is perfected, the position of Son of Heaven is realized. When the position of Son of Heaven is realized, the perfect flavors are supplied. Thus, by examining what is near, a person may know what is distant, and by perfecting the inner self, he may perfect others. The Way of the Sage is restricted to essentials; how could it involve supernumerary things!"

=EJWMJ CHAPTER 3 AWAITING THE RIGHT TIME

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312

THE EXAMINATIONS

Xin, he worked with unremitting effort day and night, but he did not forget the disgrace at the Jade Gate. In the twelfth year of his reign he finished the matter with the deed of the Jiazi day. The right time is not easily had. Grand Duke Wang, a scholar-knight of the Eastern Yi barbarians, wished to pacify the whole world but lacked a master. When he heard that King Wen was worthy, he went fishing in the Wei to observe his character.

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BOOK 14

313

arrows at the royal palace, opened the burial mound of King Ping of Chu, and whipped the corpse three hundred times. When previously he was plowing, he had not forgotten his father's enemies, but was waiting for the right opportunity.

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There was a Mohist called Tian Jiu who desired an audience with King Hui ofQin. He waited in Qin for three years but could not obtain an audience. A retainer spoke of him to the king of Chu, so he went and had an audience with the king of Chu, who was pleased with him. He gave him the tally of general of the army with which to call on Qin. Mter he arrived there, he had an audience with King Hui because of his office. He informed another man, "Has not the road to Qin turned out to be through Chu?" It is surely the case that the near are put at a distance, and those from far away get to come near. The right time is also like this. The worth of a Tang or Wu would never have resulted in any accomplishment had they not lived in the times ofJie and Zhou Xin. Then again, nothing would have been accomplished if in the times ofJie and Zhou Xin there had been no worthy like Tang or Wu. The sage can no more be detached from his time than a walking man from his moving shadow. Accordingly, if a scholar-knight who possesses the Dao does not encounter the right time, he goes into hiding in a cave of his own and works diligently while awaiting the right time. When that time comes, some men will go from being a commoner to becoming Son of Heaven, some men will go from ruling a small state of one thousand chariots to taking possession of the world, and some will go from being low and common to becoming assistants of the Three Kings. Thus, what the sage honors most is time.

THE EXAMINATIONS

314-

When frozen water was at its hardest, Houji would not plant for he invariably waited for spring. Hence, though a man may be wise, if the time is not right, his wisdom will accomplish nothing. At the point when leaves are their most luxuriant and beautiful, one can pick them all day and not be aware of any depletion. When the frost of autumn has descended, all the groves are bare. The difficulty or ease of doing something has nothing to do with its size. One must devote one's efforts to recognizing the right time.

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During the difficulties caused by Prince Yang ofZheng, a mad dog caused his defeat. During those caused by the Gao and Guo families of Qi, a lost ox caused their defeat. The multitudes relied on them to murder Prince Yang and the Gao and Guo. If at this time a dog and an ox could lead men, how much more could a man have led men! 14/3-5

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BOOK 14

315

used Shouling to cause trouble to its myriad peoples, and so Wey was able to take Jianshi from it. As small as Lu and Wey were, both were able to get their way with larger states. This is because the time was right. Accordingly, a worthy ruler or eminent scholar-knight who hopes to rescue the blackhaired people must take advantage of the disorder of the present. Heaven will not give him another opportunity, time will not remain right for long, his abilities will not be suited to some other task, and his task consists in taking advantage of the time.

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CHAPTER 4 PROPER REWARDS

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When the ethers of spring have culminated, grasses and trees propagate; when the ethers of autumn have culminated, grasses and trees die. Something external controls propagation and death; they do not happen on their own. When the controlling mechanism culminates, everything is affected. When it has not culminated, nothing can be affected. The ancients examined closely the means by which they could exercise control, and therefore everything was put to use. The handle of reward and punishment is a means by which superiors exercise control. If they add to their use of this handle moral considerations, then the Dao of loyalty, trustworthiness, devotion to parents, and love is made manifest. If it is made manifest for a long time and is extended fur-

THE EXAMINATIONS

3I6

ther, then the people become comfortable with it, as if it belonged to their inborn natures. We call this "discipline that has been perfected?' When such discipline is perfected, then though rewards are rich and restraints strict, nothing can interfere with it. Hence, a master of discipline is proper in his use of reward and punishment and so discipline is perfected. Neither reward nor punishment can interfere with perfect discipline. The improper use of rewards and punishments produces corresponding results. When the Dao ofevil, falseness, predation, disorder, greed, and violence arises and flourishes for a long time without any break, the people fight among themselves as if it were part of their inborn natures. They become people like the Rong, Yi, Hu, Mo, Ba, and Yue barbarians and neither rich rewards nor strict punishments can restrain them. The people of Chu's capital at Ying used two boards in constructing their walls. Wu Qi altered this practice but was despised for doing so. When rewards and punishments are eased, the common people are content and happy. When the people of the Di and Qiang barbarians were taken captive, they did not worry that they had been tied up and shackled but were quite concerned that their bodies would not be burned when they died. Both had become accustomed to heterodox ways. One must therefore be mindful of how rewards and punishments are applied. Moreover, success in the wrong use of the handles makes criminals of the people. 14-/4-.2 1Hf::st0JmWJ!A.!j!H~±m~' B~38rmr"~B:

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BOOK 14

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In the past, when Duke Wen ofJin was about to do battle with the army of Chu at Chengpu, he summoned his maternal uncle Fan and asked, "The Chu forces are many and we are few. What do you think I should do?" Uncle Fan replied, "Your subject has heard that a lord who is involved in the complexities of ritual formality never gets enough of civility, and that a lord who is involved in the complexities of warfare never gets enough of deception. My lord should simply deceive the enemy?' Duke Wen reported Uncle Fan's advice to Yang Ji. Yang Ji said, "If you dry up the marshes to fish, how could you not catch something? But the next year there will be no fish. If you burn the vegetation cover to hunt, how could you not catch something? But the next year there will be no wildlife. Although the Dao of deception and falseness would be effective in the present circumstances it cannot be employed a second time. It is not a far-sighted method." Duke Wen followed Uncle Fan's advice and defeated the Chu army at Chengpu. When he returned, he granted rewards and put Yang Ji ahead of all others. The duke's advisors to the left and right remonstrated, saying, ''The success at Chengpu is due to Uncle Fan's strategy. Our lord followed his advice and yet in giving rewards has put him last. Something is wrong!" Duke Wen replied, "Yang Ji's advice would benefit a hundred generations. Uncle Fan's advice would work only for a single occasion. How could I put what would work only for a single occasion ahead of what would benefit a hundred generations?" When Confucius learned about this, he commented: ''To use deception in the face of difficulty is a fit way to repel an enemy. To return from battle and honor the worthy is a fit way to recompense virtue. Although Duke Wen did not end as he had begun, he was fit to be a lord-protector?' When rewards are increased, people yearn for them more. When the people yearn for rewards, they can be disciplined. If they are disciplined to be deceptive, then success will become failure and victory defeat. There have been many victors in the world but only five became lords-protector, and Duke Wen was one of these. He understood how to build on his victories. Victors who do not know how to build on their victories are no different from losers. Qin was victorious over the Rang but was defeated at Yao Pass, Chu was victorious over the assembled Xia states but was defeated at Boju, yet King Wu succeeded entirely. Thus, with one victory he became king of the whole world. When a multitude of deceivers fills the state, it cannot be considered at peace. This is because troubles do not come only from the outside.

THE EXAMINATIONS

318

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+· Ma Xulun, Zhu Junsheng; Karlgren, Loan Character, #389. s. Jiang Weiqiao, Chen Qiyou; YWL] quotation. Niu Que was a great Ru from the highlands. When going down to Handan, he encountered bandits on the Ousha. The bandits demanded what he was carrying in his sack, and he gave it to them. They demanded his carriage and horses, and he handed them over. They demanded his robes and coverlets, and he handed them over. When Niu Que left on foot, the bandits noticed that he seemed content and showed no sign of anxiety or regret. The bandits ran after him to ask why. He said, ''A gentleman does not risk his life for mere possessions that are supposed to nurture life." The bandits said, ''Ah, what a worthy he is!" But afterward they talked it over, saying, "He is one of the world's most eminent men. Now that we have shamed him this way, he is bound to report us to a lord ofa ten thousand chariot state, who will undoubtedly use the power of his state to punish us. We will surely die. It would be best for us to form a group to go after him and kill him and thus erase any trace of him." They thereupon formed a group to run after him, and after going thirty li they caught up with him and killed him. This happened because he was recognized. Meng Ben was crossing the Yellow River. When he went to the head of a file of five men, the ferryman, angered, struck him on the head with his oar, not recognizing that he was Meng Ben. Having fallen in the river, Meng Ben fixed his stare on the ferryman, his hair standing on end, his eyes narrowed into slits, and his sideburns sticking straight out. All the people in the boat jumped into the river, thus causing the ferryman to recognize that he was Meng Ben and not to dare to look at him directly. None of those

THE EXAMINATIONS

33+

crossing would dare get ahead of him, much less shame him! This happened because he was not recognized. Neither being recognized nor not being recognized are sufficiently reliable; being harmonious and agreeable comes closer, yet even that cannot guarantee safety. Even if there is no separation between harmonious and agreeable, they do not allow escape from danger. Huan Tui, director of the horse in Song, owned a valuable pearl. He committed a serious offence and fled the state. The king sent someone to inquire about the pearl's location, and he said, "I tossed it into the pond." Hearing this, the king had the pond drained to search for it; but it could not be found, and all the fish died because of it. This describes how good and bad fortune entail each other. When Zhou Xin committed evil deeds in Shang, bad fortune filled the Heaven and Earth. What good would it have done to be harmonious and agreeable?

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Zhang Yi was fond of showing respect. If he saw anyone approaching when he looked through his gate or from behind a drawn curtain, he would jump up respectfully. Slaves, his wife's relatives, even children were all treated by him with the strictest respect. He thought thereby to give himself security. Yet he did not live to an old age but developed an internal fever and died. Shan Baa was fond of magical techniques. He avoided the vulgar crowd and detached himself from his age. He would not eat grains or fruit, or wear comfortable and warm clothes, but lived in a cave in the mountain forests. He did this for seventy years and still had the complexion of a small child. He used these means to keep intact the natural span of his life, but he did not use up all his allotted years, for he was eaten by tiger.

BOOK 14

335

Confucius was resting from his travels when his horse got away and began eating the grain of another man. An uncouth native captured the horse. Zigong asked that he be allowed to go and persuade the man to return it. Zigong used up all his fine phrases, but the uncouth native would not listen. There was a provincial individual who had begun his studies with Confucius, and he asked that he be allowed to go and persuade the man. He went and said to the uncouth native: "You, sir, plow from the Eastern Sea to the Western Sea, so how could our horse not eat your grain?" The uncouth native was very pleased and said: ''All explanations should be as logical as yours. How could anyone be as dense as that other man?" He released the horse and handed it over. But there is no method for making persuasions equal this. How can external things be guaranteed?

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In his personal conduct, the gentleman treats others with scrupulous, reverent care, but that does not guarantee t.hat he will receive reverent care. He loves others, but that does not guarantee that he will be loved. Acting with reverent care and loving others depends on the person who acts, but being loved and receiving reverent care depends on other people. The gentleman can be certain of what lies within him, but he cannot be certain of what lies in others. Being certain of what lies within him, there is no unexpected opportunity for which he is unprepared.

Book 15

Book 15 sets forth principles for achieving long-term success and prosperity. Chapter I advocates anticipating the possibility of a future threat even when at peace, a theme that appears as well in Xunzi, "Zhongni" (par. 7.3; Knoblock, II, p. 6o): "Accordingly, in the conduct of official duties, the wise man, when he is adequate, considers situations in which he might be inadequate, when progressing smoothly, he reflects on any rash action he might take. When secure, he ponders what dangers might arise, adjusting and repeating his precautions as though he were fearful that some calamity might overtake him?' Chapter 2 quotes several anecdotes to illustrate the necessity for the ruler always to be mindful of what is in the fundamental interest of his state's stability and prosperity. Chapter 3 stresses that the ruler should seek out and rely on men of talent, but condemns the controversies between the Mohists and Ru thinkers and poetically evokes the "King who possesses the Dao." Chapter + continues the theme of praising the worthy but it lacks the latter's references to the Dao. Chapter 5 suggests that persuaders should fashion their arguments to "accord with" (yin IZ9) the desires and wishes of the audience. Hui Ang, a persuader of whom the chapter approves, utilizes typically Mohist notions such as "benefiting others" (while at the same time equating the ideas of Confucius and MoDi). Tian Zan advocates "ceasing to use weapons and giving rest to the people;' a principle associated with the later Mohist school of Song Xing and Yin Wen. Chapter 6 elaborates on the idea introduced in I+/6 that, while success or failure is ultimately determined by Heaven, human effort is a necessary part of any undertaking and should not be neglected. At its conclusion the chapter comments that Guan Zhong "understood the great rituals." Chapter 7 counsels learning how to rely on external circumstances before proceeding with an undertaking. This involves knowing the will of the people as well as examining the heavens for the zodiac signs by which one knows the season and observing the moon to know its phases. Chapter 8 refutes the principle of"emulating antiquity" as a means to solve [336]

BOOK 15

337

problems and advocates instead changing one's methods so that they fit the present circumstances. There is a close connection between this chapter and Hanfeizi "Wudu." Some parts of it are based onMozi "Shangtong?' The final portions of the chapter seem to be part of a longer persuasion presented to a ruler of Chu.

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Chen Qiyou.

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Wu Chengshi.

J. Chen Qiyou.

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s. Ma Xulun.

Jie acted without the Dao, was violent and avaricious, and so the whole world was alarmed and distressed by him. Advisors disagreed among themselves, were contradictory and full of resentment, and the truth of their words was difficult to determine. Gan Xin encouraged Jie to indulge in awe-inspiring displays that maltreated and insulted the feudal lords and even the millions of people, so that the worthy and good were sad and resentful. Jie murdered Guan Longpeng in order to quell all opposition. The multitudes grew restive and were alienated. No one dared say an honest word, their lives having become so nightmarish. The great ministers shared their distress, did not remain true, and turned to open rebellion. Jie grew ever more convinced of his worthiness and ever more excessive in approving what should be condemned. The Dao of ruling was repeatedly obstructed, and the people of the state were about to undergo a great convulsion. It was then that Tang, growing uneasy and apprehensive about the unrest in the world, wanted to send Yi Yin to observe the disturbed situation in Xia. But fearing that Yi Yin would not be trusted by the Xia, Tang himself shot arrows at Yi Yin as if he had committed a crime. Three years after Yi Yin had fled to Xia, he returned to the Shang capital at Bo and reported, "Jie is entranced by Mo Xi and is devoted to the women Wan and Yan. He shows no compassion for his multitudes, who in their inner minds will no longer tolerate such treatment. Superiors and subordinates despise each other, and the people accumulate ever greater resentment in their hearts, all saying: 'May Heaven on high show no pity, The mandate ofXia will surely expire?"

BOOK 15

339

Tang said to Yi Yin, "From what you have reported to me, the disturbed situation in Xia is exactly as stated in this lyric?' Tang and Yi Yin swore a covenant to make plain their determination to annihilate Xia. Yi Yin once again went to obser re the disturbed situation in Xia, and when Mo Xi saw him, she said, "Just last evening the Son of Heaven dreamt that there was a sun in the east and a sun in the west and that these two suns fought. The sun in the west was victorious, and the sun in the east did not win?' Yi Yin reported this to Tang. Though Shang was suffering from a prolonged drought, under the terms of his covenant with Yi Yin, Tang was obligated to send out an army. Accordingly, he ordered the army to leave Shang from the east and enter Xia from the west. Without the crossing of any blades, Jie fled. Tang pursued him to Dasha where his body and limbs were tom apart and he was disgraced before the whole world. Because Jie could not be chastened and would heed no remonstrance, although he later regretted his actions, what alternative was there? Tang was established as Son of Heaven, and the people ofXia were elated, as if they had found a loving relative. Those at court did not exchange positions, farmers did not abandon their fields, merchants did not alter their places of business, and the people felt the same allegiance to the state ofYi that they had had to the Xia. This is what is meant by "supreme impartiality:' "supreme security:' and "supreme trustworthiness." Tang fully carried out the terms of his covenant with Yi Yin and did not try to renounce them because of the catastrophe of the drought. The descendants of Yi Yin for generations thereafter enjoyed offerings from the Shang.

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8. Sun Qiangming, Chen Qiyou.

340

THE EXAMINATIONS

A. When King Wu conquered Yin and entered its capital, before he even climbed down from his war chariot, he ordered that the descendants of the Yellow Sovereign be enfeoffed at Zhu, those of Sovereign Yao at Li, and those of Sovereign Shun at Chen. Mter he climbed down from his war chariot, he ordered that the descendants of the Xia house be enfeoffed at Lesser Qi, and he established the descendants of Tang the Successful at Song so that they could make offerings at Sanglin. King Wu then began to tremble with fright, sobbing heavily, tears flowing. He commanded Dan, Duke of Zhou, to bring forward the remaining elders of Yin so that he could inquire of them the causes of Yin's demise as well as what pleased the masses and what the people desired. The elders replied, "They want the government ofPangeng restored." King Wu thereupon restored the government of Pangeng. He dispensed the grain in the Giant Bridge Granary and distributed the cash kept in Deer Terrace in order to demonstrate to the people that he had not acted from selfish motives. He released the fettered, gave amnesty to criminals, distributed material goods, and forgave debts in order to aid those in distress and need. He sealed the tomb of Bigan, marked with a banner the palace of the Viscount ofJi, and identified with a standard the village of Shang Rong. Soldiers passing by on foot hastened their pace to show respect; those passing in carriages climbed down. During the next three days, knights who participated in laying the plan for the conquest were enfeoffed as feudal lords, and all the grand officers were given as rewards the title register to a village altar. The various ordinary knights were pardoned of offenses against Zhou Xin's prohibitions and exempted from taxes. Only after all this had been done did the king ford the Yellow River and return west to report his accomplishment in the ancestral temple of King Wen. Mter that he fed his horses at Mount Hua and his oxen at Peach Grove. The horses were never again ridden and the oxen never again yoked. He smeared with blood his war drums, banners, shields, and weapons, stored them in the armory, and did not use them again for the rest of his life. Such was the virtuous Power of King Wu. Thus, to teach the world not to hide things, the outer gate of the Zhou Hall of Light was not locked, for only those who do not hide can preserve that which is most hidden. :ltt.:Eim~' f~=l#lffiF"'~~' El: r:;s~:ff~"f? ~

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B. When King Wu conquered the Yin dynasty, he took two prisoners whom he questioned: "Were there omens of the impending disaster in your country?" One prisoner replied, "The country did have evil omens. A star appeared during daytime and the sky rained blood. These were omens of its impending disaster." The other prisoner replied, "These were indeed evil omens, but they were not the most important. The most important omens of impending disaster were sons not obeying their fathers, younger brothers their elder brothers, and the lord's orders not being carried out. These were the greatest evil omens?' King Wu pushed aside his mat and bowed twice before the man. This was not because he respected the prisoner, but because he respected his words. Therefore, the Changes say: Be as mindful as you would be treading on the tail of a tiger. In the end you will be fortunate.

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Chen Changqi, Wang Niansun, Sun Shucheng, Tao Hongqing; Liezi parallel.

13· Tan Jiefu.

Viscount Xiang of Zhao ordered Xinzhi Muzi to attack the Di. When he had conquered Zuoren and Zhongren, he sent a messenger to the viscount to announce the victory. When the messenger arrived Viscount Xiang was eating dumplings, but upon hearing the news, he pushed away his food

THE EXAMINATIONS

and had a worried look on his face. His attendants said, "In a single morning a pair of cities has fallen. This would normally make a man happy. Why, then, does your lordship look so worried?" Viscount Xiang answered, "The crest of the flood in the Yangzi and Yellow rivers does not last more than three days; whirlwinds and violent storms do not last out the morning; the sun is at high noon for no more than a moment. Now there has not been an accumulation of virtuous acts on the part of the house of Zhao, so if in one morning a pair of cities has fallen to it, ruin will surely come to us!" When Confucius learned this he said, "Will not the house of Zhao surely attain glory? Such concern is responsible for glory; Mere contentment leads to ruin.

To conquer is not the difficult task; it is holding on to what one has won that is difficult.'' Because of this, worthy rulers hold on to what they conquer, and their good fortune extends to later generations. Qi, Chu, Wu, and Yue all rewarded victory, and so in t.l}e end purchased defeat. None of them was accomplished in holding onto what it had conquered. Only a ruler who possesses the Dao is capable of holding what he conquers. Confucius was strong enough to lift the bolt on the gate of the capital, but he did not want to become renowned for his strength. Mo Di created strategies for defense that forced Gongshu Ban to submit, but he did not want to be known as a warrior. Those skilled at holding onto what they have won use the methods of weakness to become strong.

=EHIJ.JJ CHAPTER 2 WEIGHING MERIT 15/2.1

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Formerly, when Duke Li of Jin did battle at Yanling, the army of Chu was defeated, and its King Gong wounded. As he observed the battle in progress, Prince Fan, director of the horse, was thirsty and sought something to drink. His page boy, Yanggu, approached with a cup of spirits in his hand. Prince Fan shouted at him, "Fool! Go away! That's liquor?' The page boy said that it was not liquor. Prince Fan said, "Get out of here. Scram!"

The page boy insisted that it was not liquor, so Prince Fan took the cup and drank it. Prince Fan was the kind of man who, once he tasted the liquor, its sweetness made it impossible for him to stop drinking, so he got drunk. When the battle was over, King Gong wanted to make plans for another fight. He sent for Prince Fan, his director of the horse, who excused himself saying he had a pain in his heart. King Gong took a carriage to see him and, smelling the liquor as soon as he entered the tent, turned away, saying, "In today's battle, even I, the Unworthy One, was personally wounded and now the director of the horse on whom I must depend for help is in this condition. His actions betray a shameful disregard for Chu's altars of soil and grain and exhibit a lack of compassion for our soldiers. This Unworthy One will not do battle again with him on my side?' He thereupon disbanded

THE EXAMINATIONS

3+4-

the army and sent it away. He beheaded Prince Fan, the director of the horse, for the terrible crime he had committed. Thus, when the page boy Yanggu presented the liquor, he felt no enmity for Prince Fan. His heart was filled with loyalty and love for him, but it was just the same as murdering him. Therefore it is said, "Lesser acts of loyalty are the assassins of greater acts of loyalty.''

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Formerly, Duke Xian of Jin sent Xun Xi to request right of passage through Yu to attack Guo. Xun Xi said, "I propose that we bribe the duke of Yu with the jade disk from Chuiji and the team of horses bred in Qu. Then he will surely grant us our request to use the road.'' But the Duke Xian objected, "The jade disk from Chuiji is a treasure that belonged to my predecessor, and the team of Qu horses are my finest steeds! If they should take my gifts but not let us use the road, what could we do about it?" ''That will not happen;' Xun Xi replied. "If they do not intend to allow us use of the road, they will certainly not accept our gifts. If they accept our gifts and allow us use of the road, then we will be doing no more than taking the jade from an internal repository and storing it in an outer repository, taking the horses from an inner stable and placing them in an outer stable. What cause is there for my lord to be concerned about this?" The Duke, having agreed to the plan, sent Xun Xi with the team of horses bred in Qu as treasure of the court, to which was added the jade from Chuiji in order to get access to the road through Yu for the attack on

BOOK 15

34-5

Guo. The duke of Yu, overwhelmed by the lavishness of the treasure and horses, wanted to grant permission, when Gong Zhiqi remonstrated with him: ''That cannot be granted. Yu and Guo are like a carriage and its wheels. A carriage depends on its wheels, and the wheels depend on the carriage. The situation ofYu and Guo is of this sort. Our predecessors had a saying, 'When the lips are gone, the teeth get cold? That Guo has not perished is because it relies on Yu; that Yuhas not perished is because it relies on Guo. If you let Jin use the road, Guo will be gone in a morning and Yu will follow by that evening. Under no circumstances should you let Jin use the road?' The duke of Guo would not listen and allowed Jin use of the road. Xun Xi attacked Guo and conquered it. On the trip back he attacked Yu and conquered it as well. Xun Xi reported back with the jade in hand and pulling the horses behind him. Duke Xian, overjoyed, said, ''The jade is just as it was, and the horses are slightly longer in the teeth?' Therefore, it is said, "Small profit is the destroyer of great profit."

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Scholar-knights who possess the Way are consistently rude to rulers. Unworthy rulers respond in kind by being rude to such scholar-knights. Each day they are rude to one another; when will they cooperate? They are like the Mohists and Ru arguing with one another, or Qi and Chu, trying to subdue one another. Worthy rulers are not like this. Even when scholar-knights are rude to them, such rulers are even more polite to the scholar-knights; why, then, would the scholar-knights not turn to them. Those to whom scholar-knights turn, the world follows. A Sovereign is the one to whom the world comes.

THE EXAMINATIONS

A King is the one to whom the world travels. A man who has attained the Dao, Although honored as a Son of Heaven, Will not be rude or arrogant; Although rich by possessing the whole world, Will not be proud or boastful; Although so base, he wears coarse garments, Will not act weak or humble; Although so poor, he has no clothes or food, Will not be sad and fearful. How earnest! He truly has it himsel£ How certain! He does not doubt he has means. How heroic! He is sure he will not change. How concordant! He alters with Yin and Yang. How industrious! the steadfastness of his heart. How guileless! his not doing anything artful. How boundless! the farness of his goals. How dark! His depths cannot be fathomed. How solid! His moral principles cannot be demeaned. How tentative! He is unwilling to consider himself right. How grand! his shame at using his own wisdom and thoughts. How extensive! his treating blame and praise as inconsequential and crude. He takes Heaven as his model, Virtuous Power as the basis of his acts, The Way as his progenitor. He transforms and metamorphoses with things, But never reaches an end. His essence fills Heaven and Earth, But is not depleted. His spirit covers the cosmos And has no boundary. No one knows his beginning, Nor his end, Nor his gateway, Nor his starting point, Nor his wellspring. He is so great, nothing is outside, So small, nothing is inside. This is called "perfect nobility."

BOOK 15

349

Such scholar-knights could not be obtained as friends even by the Five Sovereigns nor as teachers by the Three Kings. Rid yourselves of the attitude of a Sovereign or King, Then perhaps you can obtain them. 15/P ~::ftJ'ffi'JE,~m~

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Dan, the Duke ofZhou, was the son of King Wen, the younger brother of King Wu, and the uncle of King Cheng; yet he paid court to seventy men who lived in impoverished alleys and beneath crude windows made from the mouths of jars. King Wen initiated the establishment of the mandate, but was unable to continue it; King Wu continued it but was unable to complete it; and Dan, the Duke of Zhou, protected the young ruler who completed it. This is why he was called King Cheng, "the completer?' Did he not personally bow down to scholar-knights?

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Duke Huan ofQi wanted to see Lesser Minister Ji but one day though the duke visited the man three times, he did not get to see him. An attendant said to him, "When the ruler of a state with ten thousand chariots who wants to see a coarsely clothed scholar-knight has been unable to see him three times in one day, surely he should desist?' "Not so:' said Duke Huan. "A scholar-knight who is contemptuous of salary and rank consistently treats his ruler with contempt, and a ruler contemptuous of becoming lord-protector or king would as a matter of course treat the scholar-knight with contempt. Ifl indulge that master's contempt for salary and rank, would I dare be arrogant about becoming a lord-protector or king?" He subsequently saw Lesser Minister Ji, for he could not be dissuaded from doing so. Our age frequently holds up to criticism the personal conduct of Duke Huan. Although his personal conduct was uncultivated, it was surely appropriate that he become a lord-protector. Few are those who, having sincerely acted on this premise and cultivated their personal conduct, became true kings.

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BOOK 15

351

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Earlier in his career, when Tian Wen, the Lord of Mengchang, resided in Xue, the army of Chu attacked the state. Chunyu Kun, who had been sent to Chu as an envoy of Qi, passed through Xue on his return trip. The Lord of Mengchang ordered his men to welcome him with full ceremony and went in person to greet him in the suburbs of the city, saying, "The army of Chu is attacking Xue. If you, sir, do not take pity on us, this will be the last time I, Wen, will be able to pay you my respects." "I reverently heed your command:' said Chunyu Kun. When he had arrived in Qi and finished his report, the king asked him, "What did you observe in Chu?" He replied, "Chu is extremely persistent and Xue, for its part, does not estimate its own strength accurately?' "What do you mean?" asked the King. "Because Xue had no true measure of its strength, it built the Ancestral Temple of Purity for the Early Kings of Qi. Because Chu is persistent in its attacks on Xue, the temple is definitely threatened. This is why I say that Xue had no true measure of its own strength and that Chu, for its part, is extremely persistent?' Realization of his import passed across the king's face, and he said, ''Ah! The temple to our Early Kings is there." He quickly raised troops to rescue it. As a result of this, Xue was subsequently preserved intact. If you prostrate yourself and plead, if you kneel and beg, you may get what you seek, but you will have devalued yourself.

THE EXAMINATIONS

356

.liBJI~~

CHAPTER 5 ON MAKING PERSUASIONS AGREEABLE 15/5.1

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3· Chen Qiyou: text).:). GE :;r;.

+· Ma Xulun, Chen Qiyou; Xunzi parallel.

Thus, the skilled persuader sets forth the facts and offers the remedy in such a way that as he observes the agitation of his audience, it is as if he himself were caught in their predicament. What need has he to employ any force? Those who must compel their listeners are demeaned. When persuasions are not heeded, the responsibility lies not only with what is said but also with the persuader himself. A skillful persuader is like a clever knight; He relies on the strength of others for his own strength, Relies on their coming to help them come, Relies on their going to help them go. He does not set forth his own forms or figures, But creates and develops in accord with those of others, Relies on them as he speaks, Like their shadow, like their echo. He expands or contracts with others; Through these means he reaches his goal. However great their strength, prodigious their talents, He controls their fate.

When you shout with the wind, your voice is no more intense; when you climb up high and gaze out, your vision is no clearer. The advantage comes from what you have relied on.

BOOK 15

357

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6. Chen Qiyou.

9. Xu Weiyu, Chen Qiyou.

Hui Ang had an audience with King Kang of Song. King Kang stamped his foot, coughed, and said fiercely, "Brave men with strength please this Unworthy One, not men who discuss humanity and morality. What does my guest intend to teach me?" "Suppose:' replied Hui Ang, "I knew the Dao that would cause men, however brave, to fail to penetrate the flesh when they stab and, however strong, to fail to hit when they strike; would the Great King have no interest in that?" "Excellent!" said the king. "That is something I want to learn about?' "But even if the man fails to enter when he penetrates and fails to hit when he strikes, you would still be humiliated," said Hui Ang. "Suppose your servant knew the Dao that would make a brave man dare not stab you or a strong man dare not hit you. Would the Great King have no interest in that?" "Excellent!" said the king. "That is something I want to know about.'' "But just because he does not dare stab you or does not dare strike you does not mean he lacks the will to do so:' said Hui Yang. "Suppose your servant knew the Dao that could make a man fundamentally lack any such will. Would the Great King have no interest in that?"

THE EXAMINATIONS

35 8

"Excellent!" said the king. "That is what I hope for." "He who lacks any such will may not yet have a mind to love or benefit others:' said Hui Ang. "Suppose your servant knew the Dao that caused all the men and women of the world joyously to desire to love and benefit others. This would surely be the fourth rank worthier than being brave or strong. Would the Great King have no interest in that?" "This is what I desire to obtain:' said the king. "The teachings of Confucius and Mo Di are exactly this:' replied Hui Ang. "Confucius and Mo Di were lords of no territory and supervised no offices, yet all the men and women of the world stretched their necks and stood on tiptoes hoping to be comforted and benefited by them. Now, the Great King is the ruler of ten thousand chariots. If he genuinely had the same goal as Confucius and Mo Di, then all within the four borders would enjoy his benefits, and he would be far worthier than either of them?' The king of Song was at a loss to reply. Hui Ang left with courteous haste. The king of Song said to his courtiers, "What a discrimination! The way my guest tamed me with his persuasion!" The king of Song was a vulgar ruler and so the way his heart could be tamed by Hui Ang is an instance of the technique of"relying?' By employing the technique of"relying:' the poor and lowly can vanquish the rich and noble and the small and weak can control the strong and big. 15/5·3

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+· Sun Shucheng; sr parallel. 6. Xu Weiyou, Chen Qiyou;

7· Chen Qiyou.

Tu Shu, Grand Historiographer of Jin, seeing the disorder in Jin and the arrogance and lack of virtue and propriety of the Duke of Jin, fled to Zhou with his maps and laws. Wei, the duke ofZhou, granted him an audience and asked him, "Of the states of the world, which will perish first?" When he replied, "Jin;' the duke asked why. "When your subject was in Jin, he did not dare speak forthrightly. He showed the duke ofJin celestial anomalies and the many irregularities in the movements of the sun, moon, planets, and constellations, but the duke said, 'What can these things do?' Your servant then showed him the many improprieties in the handling of human affairs, the gloominess and resentment of the entire populace, but the duke said, 'How can these be injurious?' Your servant then showed him how disobedient neighboring states had become, and how the worthy and good were not being promoted, but the duke said, 'How can those do any harm?' Being like this, the duke was utterly unaware of what causes states to survive or perish. This is why your subject said, 'Jin will be the first to perish? " In three years, Jin did in fact perish. Subsequently, Duke Wei had an audience with Tu Shu and asked of him, "Who will be next?" When he replied, "Zhongshan;' the duke asked him to explain. "When nature created humankind, it decreed that there should be separation of the sexes. To have such a separation is the moral ground of being human. It is what distinguishes humans from wild birds and beasts as well as the mi deer and lu deer and what provides a basis for distinctions between lord and subject, superior and inferior. The customs of Zhongshan allow people to make the day into night, and the night to continue into the day. Men and women are always kissing and hugging and never want to stop. They indulge in pleasures, revel in debauchery, and make music with a particular delight in mournful sounds. Their ruler does not recognize the evil in all this. All

THE EXAMINATIONS

376

these are the practices of a doomed state. Your subject therefore said, 'Zhongshan will be next.' " In two years, Zhongshan did in fact perish. Subsequently, Duke Wei had another audience with Tu Shu and asked of him, "Who will be next?" When Tu Shu did not reply, Duke Wei persisted and asked again. "Your lordship will be next.'' Duke Wei then grew fearful and sought out the elders of the state. Finding Yi Shi and Tian Yi, he treated them with respect. Finding Shi Lin and Zhao Pian, he appointed them remonstrating officials. He eliminated thirty-nine undertakings and reported this to Tu Shu who responded, "This will surely at least allow Your lordship to live out his life.'' Duke Wei asked his reasons, and Tu Shu replied, ''Your subject has heard that when a state is going to rise, Heaven sends it worthy men and scholarknights who will impart to it all their wise advice. When a state is going to fall, Heaven sends it rebellious men and scholar-knights who are good at flattery.'' When Duke Wei died his corpse remained unburied for nine months, and Zhou was divided into two small states. Thus, the advice of those who possess the Dao cannot but be valued. !6/1.5 ~~~W··~~-~·*A*~•W&~~·~~-~fuo·~~~ ~oa~~~w·~w~I~~~·a~~~·*~~*:Y~~·~I

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The tripods ofZhou are decorated with the Tcwtie. It has a head but no body. It devours people, but since it can never swallow them, its actions bring harm to itself. This expresses the principle of retribution. Acting contrary to the good is quite like this. When Bai Gui went to Zhongshan, its king wanted him to stay on. Bai Gui adamantly refused, mounted his chariot, departed, and went on to Qi. The king of Qi wanted him to stay on, but again he declined and left. When

BOOK 16

377

someone asked him to explain, he said, "Both those states will perish. I have learned that there are 'five depletions? " "What are these?" "If no one relies on you, your trustworthiness is depleted. If no one praises you, your reputation is depleted. If no one cherishes you, your loved ones are depleted. If when travelling you have no provisions and while at home you have nothing to eat, your resources are depleted. Ifyou can neither employ others nor use your own resources, your effectiveness is depleted. When a state has these five characteristics, it will not be spared and will surely perish. Both Zhongshan and Qi fit this description?' If only the kings of Zhongshan and Qi had learned of the "five depletions" and changed accordingly, they surely would not have perished. Their misfortune was that they had not learned of them; but even if they had, they would not have believed what they heard. Thus, the task of the ruler lies simply in being good at listening. It was to no avail that five times Zhongshan ceded land to Zhao and that Qi mobilized an entire army to counter the enemy forces on the Ji River. This is to cast aside what will save you and to create the means of your own destruction.

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THE EXAMINATIONS

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Though in the world there are scholar-knights who possess the Dao, within any state they are few in number. If in every thousand li there were one such scholar, it would be as if they were crowded shoulder to shoulder. If every several generations there were one such sage, it would be as if they were stepping on one another's heels. It is as difficult as this to cause scholarknights and sages to come of their own accord, yet good order requires them. How, then, is good order to be achieved? Though through good fortune there may be worthy men, that does not necessarily mean one will recognize them. Not to recognize a worthy man is the same as to lack him. This is the reason ages of order have been so short and ages of anarchy last so long. Accordingly, there have not been even four universal kings or six lords-protector, yet perished states can gaze one upon the other and imprisoned rulers can touch one another. If such a scholar-knight is obtained, these calamities do not occur. This is why more than four hundred fiefs created by the Zhou, as well as more than eight hundred dependencies, now no longer survive. Even those that still survive are all doomed. Worthy rulers realize that this is the truth. Hence, each day they become more careful and thereby last a generation. It is like climbing a mountain. When a mountain climber has reached a high place, he looks to left and right knowing that the loftiest peak is still above him. The worthy man looks at his associates in the same way. If he himself is already worthy and his actions already lofty, he looks to left and right knowing that there are still others more worthy than himself. Therefore Dan, Duke of Zhou, said, "I will not abide those who are not equal to me, for they will bind me nor those who are level with me, for they will do me no benefit. Those whom I will abide must be more worthy than I am?' Only the worthy always abide those who are more worthy than themselves. It is possible to get the worthy to abide one by treating them with courtesy.

BOOK 16

379

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Master Yan Ying went to Jin, where he saw a man dressed in animal skins and carrying fodder on his back taking a rest by the side of the road. Master Yan, recognizing the man to be a gentleman, sent one of his followers to ask him, "How did you come to this?" The man replied, ''A man of Qi enslaved me. My name is Yue Shifu?' Exclaiming ''Ah!" Master Yan quickly untied the left horse of his team and bought Yue Shifu's freedom with it. He rode together with him in his carriage, and when they arrived at the official lodging, Master Yan entered without a formal leave-taking. Yue Shifu became extremely angry and proposed to break off connections with Master Yan. Master Yan sent a man to respond for him: ''Ying has not yet established any formal relations with you, but he has kept you from misfortune. Is there still something wanting in his treatment of you?" Yue Shifu said, "I have heard that a gentleman will accept abuse from those who do not recognize him for what he is, but will stand tall before those who already do. On account of this, I propose to break with you?' Master Yan came out to see him and said, "Previously I had seen only my guest's face, but now I see his true inner strength of will. I, Ying, have heard that one who has seen the true worth of a man pays no heed to his voice, and that one who has examined the good acts of another does not criticize his words. May I apologize and not be cast aside?" Yue Shifu said: "My Master has now treated me with due courtesy and I dare not but respectfully follow." Master Yan then made him a retainer. If a vulgar man accomplishes something on behalf of another, he believes he is owed a debt of gratitude. When he believes he is owed a debt of

THE EXAMINATIONS

380

gratitude, he becomes arrogant. Now Master Yan performed the favor of saving another from his adversity, but in contrast he demeaned himself before this other man. How far he was from such vulgar men! This is the Dao of keeping intact what one has accomplished.

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7· Bi Yuan.

8. Chen Qiyou.

Our Master Liezi was impoverished and had the look of someone starving to death. A retainer mentioned him to Prince Yang of Zheng, saying, "Liezi is probably a scholar-knight who possesses the Dao. Since he dwells in your lordship's state and is impoverished, will it not be thought that your lordship is not fond of scholar-knights?" Prince Yang ordered an officer to take him several tens of measures of grain to eat. Master Liezi came out to see the messenger, bowed twice, and refused the gift. Mter the messenger had departed and Master Liezi came back in, his wife glared at him and beat her breast, saying, "I have heard that wife and children of men who possess the Dao always live comfortably and happily. But your wife and children have the look of starvation. His lordship has inquired after us and offered food, but my master would not accept it. How could this be our fate?" Master Liezi, smiling, said to her, "His lordship does not know me personally. On the basis of another man's words, he has sent me grain. If sometime later he should blame me, that too would be because of another man's words. That is why I did not accept his gift?' The final outcome was that the people in fact rebelled and killed Prince Yang. If you accept nourishment from another person but do not die for him when he is beset by troubles, then you are not moral; but if you die on

BOOK 16

account of his troubles, you die for a person who lacks the Dao. To die for one who lacks the Dao contravenes nature. Master Liezi removed the immoral and abjured anything that contravened nature-was he not far distant from such men! Furthermore, even when he was suffering from hunger and cold, he would not indecorously accept the gift because he foresaw how things might change. He acted only after having foreseen how things might change-how well-versed he was in the essential qualities of inborn nature and the workings of fate.

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Shen Zumian; parallelism.

If there is light a man's eyes can see, but if he closes his eyes he will not see. The eyes are still the same whether he apprehends what is to be seen or not; the difference is whether there is light or no light. Closed eyes never experience light and thus never experience seeing. If closed, the eyes have no means of apprehending. Not to apprehend and yet to say one is seeing is a wildly false claim. The situation is the same with knowing. The faculty by which one knows is the same whether one apprehends or not; the difference lies in those who do the apprehending. The wise can apprehend what is distant, but the stupid can apprehend only what is near. If you describe distant transformations to one who can only apprehend what is near, how can he grasp what you are saying? Since there is no reason that he can, then

THE EXAMINATIONS

a persuader, however skilled he might be, will not be able to provide him with appropriate illustrations. A Rong barbarian saw someone drying cloth in the sun and asked, ''What did you use to make the cloth so big?" When the man pointed to some hemp, the barbarian angrily said, "How can something in pieces be made into something big?" Thus, the reason states perish is not the lack of wise scholar-knights and worthies, but their rulers' inability to apprehend the wise and worthy. The calamity that comes from being unable to apprehend them is that one regards oneself as wise, while those truly wise are necessarily not apprehended. Now it is contradictory not to recognize those who are truly wise and yet to regard oneself as wise. In such cases, the state will be unable to survive and the ruler to enjoy peace. If there is no means for his intelligence to recognize the truly wise, and yet a man knows that he is not wise, then it would be unheard of for the state to perish and the ruler to be endangered. 16/3.2 'ilt{$ff~

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Formerly, when Duke Mu of Qin raised an army with which to make a surprise attack on Zheng, Jian Shu remonstrated with him: ''This would be wrong. Your servant has heard that in making a surprise attack on a state, chariots should go no further than one hundred li and foot soldiers no further than thirty li, for then they will be in full fighting spirit and at peak strength when they arrive. On account of this, when attacking the enemy, they destroy them and quickly pursue them. Now, your campaign involves going several thousand li, and you have to cut across the territory of the feudal lords several times in order to make your surprise attack. Your servant does not see how this is possible. Your grace should rethink his plans?' Duke Mu did not heed him. Jian Shu accompanied the army beyond the gates and cried, "0 men of the army! I see you leave but shall not see you return?' Now Jian Shu had two sons named Shen and Shi who were marching with the army. Jian Shu said to his sons, "IfJin presses its attack, it will undoubtedly be at Mount Xiao. If you do not die on the southern slope, you will certainly die on the northern slope. It will be easy for me to collect your corpses?' When Duke Mu heard of this, he sent a man to reprimand Jian Shu: "I have just raised an army and do not yet know what the outcome will be. Now you cry when sending them off. This is to grieve for my army!" "Your servant would not presume to grieve for the army," Jian Shu responded, "He is old, and both his sons are marching with the army. If they do not die, then your servant will surely die. It is for this reason that he grieves." When the army passed through Zhou, Prince Man locked the gate and, spying on the army, exclaimed, "They should take heed! This army is certain to meet with disaster. If it does not, I will never speak again of the Dao.

BOOK 16

Now, Qin is unlike other states in that the house of Zhou established it. When passing by the city of the Son of Heaven, its soldiers ought to wrap up their armor and sheathe their weapons. The left and right armored chariot guards should dismount out of courtesy to the Son of Heaven. Now, the entire army is all dressed in the same uniforms and the proper order of positions in the chariots has been reversed. The soldiers in the chariots on the left do not bow down and touch the crossbars, and those accompanying the chariots on the right indecorously leap into the five li.undred chariots. Their physical strength is certainly great, but such display diminishes ritual propriety. How could this army not suffer disaster?" Having passed Zhou, the army proceeded toward the east. Xian Gao and Xi Shi, two merchants of Zheng, were on their way west to do business in Zhou when they encountered the Qin army. Xian Gao exclaimed, ''Alas! This army has come a long way. It must be to make a surprise attack on Zheng." Forthwith he sent Xi Shi back to report to Zheng, while he, pretending to be acting on orders of the earl ofZheng, entertained the Qin army. "Long indeed has my unworthy lord heard of the imminent arrival of the army of your great state. When your army did not come, my unworthy lord and his soldiers humbly ventured to worry over the great state and were daily unable to be happy, since they were fearful that your soldiers had become fatigued and your supplies depleted. 'How long it has taken for you to arrive.' Your servant has been sent to reward your toils with a jade bi disk and to provide you twelve oxen for food.'' The three leaders of the Qin army replied, "Our unworthy lord, not having a proper emissary to send, has dispatched his three subjects Bing, Shu, and Shi to go to the eastern borders to examine the roads ofJin. We have gone farther than we intended and have thus lost our way and fallen into the territory of your great state.'' Not daring to persist in refusing the gifts, the army leaders bowed twice, knocked their heads upon the ground, and accepted them. Growing extremely frightened, the three plotted together: "Though we have marched several thousand li and have several times cut across the territories of the feudal lords to make this surprise attack, they knew about us even before we arrived. Surely their defenses are already fully deployed.'' They turned the army around and left. At this juncture, Duke Wen of Jin had died but not yet been buried. Xian Zhen advised Duke Xiang, "The army of Qin must be attacked. Your subject begs your leave to do so.''

THE EXAMINATIONS

Duke Xiang said, "My former lord has died, and his corpse is still in the hall. To attack the Qin army because we see a victory would surely not be the proper way for a son to act?' ''The Qin army is not concerned over our mourning, nor is it troubled by our grief;' replied Xian Zhen. "It is happy to see our lord dead and is treating his orphan as if he were a weakling. If we attack in these circumstances, we can become enormously powerful. Your servant requests leave to attack?' Duke Xiang, having no choice, permitted it. Xian Zhen rushed to Mount Xian, where he attacked the army of Qin and inflicted a great defeat on it. He captured its three leaders and brought them back alive to Jin. When Duke Mu ofQin heard this news, he dressed in mourning garb and went to the ancestral temple to cry out the defeat to his ancestors. To the masses he said, "Heaven does not help the state of Qin. Since it made this Unworthy Man not heed the criticism ofJian Shu, we have come to this catastrophe?' Thus, Duke Mu did not wish for the defeat at Xiao, but his wisdom was not far-reaching. When one's wisdom is not far-reaching, one does not trust others. It was because advice was not trusted that the army did not return. Therefore, the harm brought about by shortsightedness is great indeed!

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CHAPTER 5 PLEASURE IN SUCCESS 16/p

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BOOK 16

While Yu was digging channels for the rivers and streams, the common people were still futilely piling up potsherds for a dam. When Yu's task was completed and success achieved, a myriad of generations benefited. His vision was far-reaching, but the people were ignorant of what to do. He could not, therefore, include the people in his plans nor in the initial work, but he could enjoy with them the outcome and success. r6/5·3 R~~m~eoeA-~ZB: rB~W-·mZ-~:•w•~·m z•~oJffl~~·~~fi~~~·~~fi~~~·M~Z-~·&~Z

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King Wei of Chu studied the Documents with Shenyin Hua, a fact hated by Zhao Xi. The king was devoted to the regulations of his government. An official of the Middle Archery Bureau, who assisted the king in these regulations, said to the king at Zhao Xi's instigation, "Everyone says that your majesty has become Shenyin Hua's disciple?' Very displeased, the king expelled Shenyin Hua. Now, an assistant in the Middle Archery Bureau is a minor individual; yet with a single statement, he caused King Wei not to learn about the techniques of the Former Kings, cultured and learned scholarknights not to be promoted to office, and the private wishes of Zhao Xi to be enacted. Thus, even the advice of minor individuals cannot but be examined closely. Moreover, because such people frequently anger rulers, they depend on wicked people to smooth the path for them. But when the wicked have smoothed the path, is it not difficult to block the evil and undo its consequences? An arrow shot with great force flies far; constrained water flows fiercely; and an aroused lord does unreasonable things. If he is unreasonable, no gentleman will help him. Only a person who already has standards of his own is not susceptible to being aroused. I6j7.3 c~xJ 4 ~WA~~, ~ti!imt.m

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As a general rule, rulers must examine divisions of responsibility. Only

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THE EXAMINATIONS

4-06

share the same territory, his ministers will have a way to conceal their perversity, and the ruler will have no way to escape the entanglements of this. 17/1.2

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3· Yang Shuda, Ma Xulun.

+· Chen Changqi, Wang Niansun, Yu Yue, Chen Qiyou. As a general rule, being expert at something is difficult, but it is easy to

employ those who are expert. How do I know this is so? If a man were to race with the thoroughbred horse Ji, he could not win; but were he to ride in a carriage pulled by Ji, then another thoroughbred could not beat the man. A ruler who is devoted to managing the affairs of his officials is racing with Ji; inevitably he fails to catch up with him. Such a ruler also has a carriage in which to ride. If he does not discard the carriage, then skilled officials will devote their full effort and exhaust their abilities for him; men who slander, lie, and flatter will have no way to hide their treachery from him; and scholar-knights who are steadfast, guileless, honest, and loyal will all compete and strive on his behal£ The carriage of the ruler is how he carries things. Ifhe examines the principle of carrying things, then all within the limits of the four directions can be possessed. If he does not understand carrying things but relies on himself, he will strain his own wisdom and abilities, and multiply the number of instructions and directives he issues, out ofhis fondness for doing things himsel£ In such a situation, the bureaucracy of a hundred offices will be gready unsetded, junior and senior members will commit offenses against each other, a myriad of perversions will all arise at once, and the power and might of the ruler will be dissipated, but he will be unable to stop or redirect it. Such are the practices of a doomed state.

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The way that Wang Liang drove his horses was to bind them tightly, to have firm control of their reins; thus, none of the team dared not expend all of its energy. The way that a ruler who possesses the Dao employs his subjects also involves "reins;" What are these "reins"? The reins of good government are none other than rectification of names and investigation of divisions of responsibility. Scrutinizing the names they use, therefore, with a firm hand on the reality of the situation is the way to seek the truth in what subjects say; being mindful of the proper categories while listening to their advice is the way to prevent subjects from acting recklessly and contrary to all reason. It is because names frequently do not correspond to reality and because what is done frequently does not correspond to what is useful that the ruler must scrutinize names and divisions of responsibility. If he does not, it is the same as hating obstructions yet increasing impediments. The responsibility for creating obstructions and impediments lies, not with subjects, but with the ruler. The ministers ofYao and Shun were not uniquely moral, nor those ofTang and Yu uniquely loyal; rather, these rulers obtained the proper methods. The ministers ofJie and Zhou Xin were not uniquely wicked, nor those of Kings You and Li uniquely depraved; rather, these rulers lost the proper principles.

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BOOK 17

4-09

tation will spread without end. We call this "establishing inborn nature in the great void" and name it "Possessing Nothing?' Therefore, those who attain the Dao forget men and therewith win men even more- how could this not be due to the Dao? Those who know power forget knowledge and therewith obtain the greatest knowledge- how could this not be due to virtuous Power? Perfect knowledge does not concern itself with minute particulars but, being quiescent, clearly sees the particular-how could this not be due to clear-sightedness? The greatest clarity of sight does not deal with minor matters but avails itself of the principles of order natural to these mattershow could it not be due to "availing itself"! The silent man does not develop his abilities but by keeping himself intact becomes able- how could this not be due to keeping himself intact! For this reason, it is through keeping himself intact that he casts aside abilities, by availing himself of others that he casts aside tasks, and by his knowledge that he casts aside minutiae; yet what he knows is subde. Such a person has abilities that accord with the endowment Heaven has given him, mental energies that float in the still and silent empyrean, a bodily form and inborn nature that find ease in the home of the spontaneous. He keeps the myriad things intact but does not master them. His influence covers the world, yet no one knows his wogenitor. Although he is not perfect in his mastery of the five, he is one who is devoted to them.

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CHAPTER 2 WHAT THE LORD GRASPS 17/2.1 mm~~- 0 ·~·~·~~-~·~~i~m&o~a~-~w~~ ··~-~A~~Mofi.WXM:~~mm·~*~~~·~~~~~; ~~*W•BWWX$·~~~~~~ 0

A. One who has obtained the Dao is invariably still. One who is still lacks knowledge. When knowledge becomes the same as lacking knowledge, one can converse about the Dao of the ruler. Thus, it is said: "When inner desires do not get out, it is called "locking in"; when outer desires do not get in it is termed "blocking out?'

THE EXAMINATIONS

410

When one can both lock in and block out, The workings of Heaven take place in secret. Levels are not used to make things level Nor marking lines to make things straight. Such is Heaven's grand stillness: When one is still and adds tranquillity One can serve as the corrector of the world.

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B. The body serves to contain the mind, and the mind serves to contain wisdom. Wisdom is stored deep within; thus, its true nature cannot be espied. The "Hongfan" says: Only Heaven protects and secures the people below. That which protects them is what causes them to flourish. Thus, it is said: He leaves not his door yet knows the world, he looks not out his • window yet knows Heaven's Dao [Laozi 47]. The further one ventures out the less one knows. Hence, the man of broad learning and the scholar-knight of powerful memory are deficient; efforts to improve the faculties and deepen the thoughts are wasted; examinations of the "hard and white," discriminations on the "without thickness" are external to what matters. Not to venture out is the means by which one does venture out; not to act is the means by which one acts. This is called "using the Yang to summon the Yin and using the Yin to summon the Yang?' :!Jli!#lj~~

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BOOK 17

4II

transformed; great sageliness has no official duties, yet the thousand offices function fully. This is what is called The teaching that does not instruct, The lesson without words.

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THE EXAMINATIONS

414

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3. Chen Qiyou.

As a general principle, officers are entrusted with maintaining order and are to be faulted when there is disorder. Now, when no one is blamed for disorder, it continues to increase. If the ruler displays his abilities out of a fondness for exhibiting them or personally takes the initiative out of a fondness for singing the lead, his ministers will try to hold onto their positions by not contesting what he proposes, and they will try to curry favor by heeding instructions and agreeing with the ruler. This is a case of the lord's substituting himself for his officers and acting in the role of an officer, and of his ministers' following along behind in order to advance their own careers. When the relation between lord and minister is not fixed, then although the ear may hear, it cannot be used to listen; although the eye may see, it cannot be used to look; and although the mind be able to recognize, it cannot be used to select-because the circumstances overwhelm them. Silence is required for the ear to hear, light is required for the eye to see, and reason is required for the mind to recognize. When the roles of ruler and minister are interchanged, these three "offices" of the superior are rendered useless. It is not that the ears of the ruler of a doomed state cannot be used to hear, his eyes to see, or his mind to recognize. When the relation between ruler and minister is disturbed and the functions proper to superior and subordinates not kept properly distinct, although they may hear, what do they hear? Although they may see, what do they see? And although they

BOOK 17

415

may recognize, what do they recognize? Not really hearing but hearing something, not really seeing but seeing something, not really recognizing but recognizing something, they can do no more than scurry about for anything on which to rely. But the stupid do not reach even this point. Not reaching this point, they do not recognize that there is a problem; not recognizing that there is a problem, they do not recognize that there could be a problem. It is impossible for a summer insect to know about ice. If a lord who possesses territory proves capable of analyzing this advice, there will be no place from which disaster can come.

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A. Furthermore, the ears, eyes, intelligence, and creativity are inherently not sufficient to be depended on by themselves. Only cultivating proper techniques and implementing proper rational principles may be judged admissible. When Marquis Zhaoxi of Han looked over the sacrificial animals to be used in worship at the ancestral temples, the pig was too small, so the marquis ordered an official to substitute another. The official brought back the same pig. The marquis said, "Is this not the same pig that was here just before?" When the official had no response, the marquis ordered an officer to censure him. His followers asked, "How did your majesty recognize that it was the same pig?" The lord answered, "By its ears." $~W~~·B: r~u~KV?UK~~~fuo~U~KW?UK§~~

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THE EXAMINATIONS

By the clarity of his vision. By what do we recognize that he is mad? By the match between what he says and the facts.

Hence, it is said: If a person excludes listening and has no other means of hearing, then his hearing will be keen; if he excludes looking and has no other means of seeing, then he will see clearly; and if he eliminates intelligence and has no other means of recognizing, then he will be impartial. If these three faculties are not employed, there is order; if they are employed, there is disorder. This contends that the ear, eyes, mind, and intelligence are not sufficient to be depended on by themselves.

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C. In the case of ear, eye, mind, and intelligence, their means of recognizing and remembering are extremely deficient, and their means of hearing and seeing are extremely shallow. "One uses what is deficient and shallow to know the world broadly, be comfortable with diverse customs, and govern the myriad kinds of subjects"-this theory will definitely not work. The ear is incapable of hearing even to a distance of ten li, the eye is incapable of seeing behind a curtain or wall, and the mind is incapable of knowing what transpires in a compound of three-mou lots. What is to be made of the advice to use them to reach as far as Kaiwu in the east, pacifY Duoying in the south, cause Shoumi to submit in the west, and cherish Dauer in the north? Thus, the lord of men cannot but thoroughly investigate this advice. ~-3(~~~·;!tm~•=fuo~~'&·'&·~tZt·~-~-o-§

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BOOK 17

4I7

D. There are assuredly not two ways to turn disorder into order, danger into security, and destruction into survival. Thus, perfect knowledge discards knowledge, perfect humaneness forgets humaneness, and perfect virtue is not virtuous. Do not speak, do not think, Abide in quiescence awaiting the proper season; When the season comes, respond. The mind at ease is equal to its tasks.

As a general principle, The rational way to respond Consists in being clear, pure, impartial, and unadorned, Keeping end and beginning aright. Therewith these control the drawstring, Not leading the singing but providing the harmony, Not going first but accompanying. The true kings of antiquity, Seldom acted on their own, But often relied on others.

Reliance on others is the technique of the lord; action is the Dao of the minister. Acting by oneself entails disturbance; reliance on others, quiescence. Relying on winter creates cold; relying on summer creates heat-what need is there for the lord to act in these matters? Thus, it is said: The Dao of the lord is not knowing and not acting. Yet, because it is worthier than knowing and acting, it attains the truth.

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Guan Zhong reported to Duke Huan: "In cultivating new lands, enlarging cities, expanding territory, planting grains, and making full use of our land's resources, your subject is not the equal ofNing Su and requests that you make Ning Su grand minister of agriculture. In observing the proprieties of ascending and descending, declining and yielding, advancing and withdrawing, and training and rehearsing, your subject is not the equal of Xi Peng and requests that you make Xi Peng grand envoy. In attending to duties early and leaving late, risking angry facial expressions from your lordship, being invariably true to principles when offering remonstrances, as well as in not avoiding death and not valuing prestige and wealth, your subject is not the equal ofDongguo Ya and requests that you make Dongguo Ya grand remonstrater. When doing battle in the flat plains and broad plateaus, in not having war chariots cross paths or knights turn and retreat, but driving them on so that all the soldiers of the Three Armies regard

422

THE EXAMINATIONS

death as returning home, your subject is not the equal of Prince Chengfu and requests that you make Prince Chengfu grand marshal. In being just in judicial decisions, in not killing the innocent, and in not falsely accusing those without guilt, your subject is not the equal ofXian Shang, and requests that you make Xian Shang grand judge. If my lord wishes to put the state in order and strengthen its armies, these five masters are adequate to the task. If he aspires to be a lord-protector or king, then I, Yiwu, am here to serve him?' "Good:' responded Duke Huan, and he decreed that all five men should assume their duties and take their orders from Guan Zhong. In ten years, the duke had nine times assembled the feudal lords and had completely rectified the world. This was all due to the abilities of Yiwu and the five masters he recommended. Guan Zhong, as a subject, did not assume responsibilities when he lacked the ability to perform them, but relied entirely on the abilities of the five masters. How much more should a ruler follow this policy! When a ruler understands what he can and cannot do, he can be lord to his subjects. Then the advice of the secretive, the deceitful, the foolish and the dangerous does not enter his court, those responsible for tasks will not be found lacking in any responsibility, and the officers of the hundred bureaus will devote all their strength and exhaust their wisdom. When the Five Sovereigns and the Three Kings were lords to their subjects, their subordinates definitely did not err in devoting all their strength and exhausting their wisdom. Now, if in ruling others you know not to rely on your own abilities, courage, strength, genuineness, and sincerity, that is dose to the mark. As a general principle, a lord should dwell in tranquillity and quiescence and depend on the transforming influence of his Power in order to hear what is essential. In this way, his bodily frame and inborn nature will gather an ever-greater harvest and his ears and eyes will have ever more energy. The hundred officials will all be careful in their duties, and none will dare be lax or remiss. It is by doing his job that a man satisfies the meaning of his title. When title and reality match, This is called "knowing the Dao.''

BOOK 17

1i EJJ;O 1!t CHAPTER 5 KNOWING THE MEASURE 17/5.1 ~~~·#~~-~fu·~~A~~ffi~fuo~~~~~·#-~fi~ fu•~§~~~fuo~§~~~·~$~®~~fuo~~A~~ffi~·~

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An enlightened lord is not one who universally sees all the myriad things of the world, but one who is enlightened with regard to what a ruler should manage. The ruler who possesses the right techniques is not one who undertakes everything personally, but one who knows the essentials of managing his officials. Because he knows the essentials of managing his officials, problems are few and his state is well-ordered. Because he is enlightened with respect to what a ruler should manage, control is concentrated in his hands and treachery is ended. When treachery is ended, then even though persuaders do not come to his court, he understands the true nature of things. When the true nature of things is not glossed over, the reality of affairs is obvious. This is called "perfect order?' 17/5.2 ¥~~@·~&::f~~§~•·::f~m-~IDt·•::f~~&~Wofi~

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In an age of perfect order, people dislike empty words, vacuous phrases, wayward learning, and heterodox theories. Both the worthy and inept revert to their true characters, act on their true feelings, and do not embellish their

424

THE EXAMINATIONS

original simplicity. They serve their superiors with honesty and purity. In this situation, then, skilled and clumsy, stupid and wise, brave and cowardly can be convinced to exchange offices and in this way each finds the task for which he is suited. Therefore make those with offices feel secure in those offices and you will not have to listen to their complaints; and demand proof from those without offices as a way of testing their claims about themselves. When these two principles are fully understood, useless advice will not enter the court. If the lord submits to the true elements of his inborn nature and destiny, rids himself of the feelings oflove and hate, uses emptiness and non-assertion as his base, and then listens to purposeful words, this is called "holding court?' As a general principle, holding court involves a mutual attempt to summon up principles oforder and standards and a mutual attempt to implement laws and regulations. When a superior submits to the true elements of his inborn nature and destiny, scholar-knights versed in the rational principles and moral standards will come to his court and applications of laws and regulations will be implemented, while men who are corrupt, churlish, perverse, and bullying will withdraw, and the cliques of the avaricious and deceitful will keep their distance. Therefore, the essentials of ordering the world are to be found in eliminating treachery; the essentials of eliminating treachery are to be found in ordering officials; the essentials of ordering officials are to be found in according the Dao; the essentials of according with the Dao are to be found in understanding one's inborn nature and destiny. Thus, our Master Hua says: Seeking depth, not breadth, Reverently guarding one affairIt is an upright inborn nature that he delights in. With the masses not joining, But striving to perfect one ability. When this ability is utterly perfect, The barbarian Yi states of the four quarters are tranquil. Only he who possesses Heaven's tokens Attains universal agreement without seeking it. Such were the means by which Shennong prospered, And Yao and Shun became illustrious.

BOOK 17

4-25

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? 3· Wang Niansun, Sun Yirang.

When a ruler regards himself wise and others stupid, himself artful and others clumsy, the stupid and clumsy will ask directions, and the wise and artful will have to inform them. The more they have to inform, the more requests there will be for direction; and as these requests increase, there will be nothing about which the stupid and clumsy will not ask for direction. However clever and wise the ruler may be, he can never know everything. If one who does not know everything responds to every request, his Dao will assuredly meet its limitations. If a ruler meets the limitations of his techniques in dealing with his own subordinates, how then will he act as lord to others? Having met his limitations and failed to realize they are limitations increases the problems that burden him. This is what is meant by being "doubly impeded.'' A ruler who is doubly impeded will not keep his state. A ruler who possesses the Dao, therefore, relies on others and does not act, assigns duties but does not inform. He discards conceptualization and imagination, and awaits results in quiescence and emptiness. He does not substitute his words for theirs, nor does he usurp their tasks; but he inspects the names and examines the reality, and the officials thereby manage things themselves. He takes "not knowing" as his Dao, And "What should I do?" as his treasure.

Yao asked, "Ifl do that, will my actions illuminate the world as do the sun and moon?" Shun asked, "If I do that, will it cause those beyond the distant realms of the four quarters to submit?" Yu asked, "Ifl do that, will it bring order to the boundary areas of Qingqiu, Jiuyang, and Qigong?"

THE EXAMINATIONS

426

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[Shen Buhai says]: ''To misapply the technique of dealing with subordinates and yet seek to make up for it by employing trustworthy subordinates is guesswork. To misapply power and yet seek to make up for it with the state is dangerous." A fish that could swallow a boat would not be able to overcome mole crickets on dry land. People of equal power cannot employ each other; people of equal advantage cannot oppose each other; and people equally chaotic cannot rectify each other. Therefore, one cannot but examine closely relative size, weight, number, and order. This is the gate to misfortune or fortune. 17/6.2 R~~zf@•:lit*zffi~·~ffl~~~~·n=Tm 0 ~zx~·~~ ~z~®~f@·~f@Z~W~g.~gz.~w~~o~~z~·nTm~

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In general, the civilized states where caps and belts are worn, that can be reached by carriage and boat, and that do not require the services of official translators who understand the languages of the barbarian states of the south, north, and west constitute an area three thousand li square. The kings of antiquity selected the very center of the world for their capital, in whose center they established their palace, in whose center they further established their temple. Within the territory of the world, an area a thousand li square was used for their state, so that it would be the supreme example of order

BOOK 17

429

and delegation of responsibilities to others. It is not that they could not have expanded their state, but that Being big is inferior to being small, Being many is inferior to being few.

They enfeoffed a multitude, not because of any personal interest in worthies, but because this was the most convenient way to exercise control and keep their majesty intact, as well as the way to extend the rule of justice. When the rule of justice is extended, majesty kept intact, and control conveniently exercised, there will be no opposition, and with no opposition there is security. Thus, we can see that when earlier ages created a multitude of fiefs, their good fortune became long-lasting and their reputations illustrious. That the house of Shennong possessed the world for seventeen generations is because it shared its enjoyment of the world with others.

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The practice of true kings in creating fiefs was to make those closer to the royal domain bigger and those farther away smaller. Feudal states on the shores of the surrounding seas were ten li in size. The large feudal states employed their smaller neighbors, the powerful their weak neighbors, and the states with large populations their sparsely populated neighbors. This is how the true kings were able to keep their households intact. Thus, it is said: With a Teng or Bi one will toil; with a Zou or Lu one will be idle; with a Song or Zheng one can make the journey in half the time; with a Qi or Chu it is as easy as picking up one's net and casting it over all the others. The larger the utensil, the easier to get what you want. 17/6.4

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THE EXAMINATIONS

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s. Chen Qiyou. 6. Bi Yuan, Shen Zumian, Shokoen Usai. If Tang had not had his fief Yi nor King Wu his of Qi, then had they been worthy ten times over, it still would have been impossible for them to have completed their achievements. If despite their worthiness, Tang and Wu still had to avail themselves of the power inherent in their having fiefs, how much more is this the case for those who are no match for Tang and Wu. Therefore, 4-. Tao Hongqing.

When the large conserves the small, there is good fortune; When the small conserves the large, there is disaster. When the powerful employ the weak, there is accord; When the weak employ the powerful, there is ill fortune.

From this point of view, if you wish to make the whole world stable, secure the allotted span for the black-haired commoners, have your achievements and name recorded on basins and vessels, and have celebratory inscriptions done in fancy characters recorded on winepots and mirrors, then you should never be satisfied with the honor of your position or with the amount of your strength. Even in a chaotic age, those with strength and honored position, assisted by worthy scholar-knights who manage their affairs, will at the very least become kings. The people of the world are impoverished and miserable. As their poverty and misery grow more severe, the easier it will be to become a universal king. All true kings come to the aid of the impoverished and miserable. On water one uses a boat, on land a chariot, in the mud a mud sledge, in sand a sand vehicle, and in mountains mountain gear. One accords with the circumstances. Those who "accord with the circumstances" will have their orders carried out. 17/6.5 lli#~X~~·~ft~X~~·~~AZmfuo~~~*~~T*A• PJ.T*~~-*A' J;J.-*~~-AA

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The instructions of those whose position is honored are accepted; treachery ends when majesty of authority is established. This is the Dao of training others. It is easy, therefore, for a ten thousandchariot state to command a one-thousand chariot state, easy for a one-thousand chariot state to command a noble household, and easy for a noble household to command a single individual. Anyone who tried to oppose you, even if he were a Yao or Shun, would find it impossible. The feudal lords do not want to become the subjects of others but have no choice. If, however, the power inherent in the ruler's position provided no advantage, how could subjecting them be easy? Weighing weakness and power, examining relative size, and increasing the number of fiefs are techniques for making the power inherent in your position advantageous. The position of king is the position of greatest inherent power. The power of a king is without peer, and were someone to equal his power, the king would be toppled. Those who understand that the small can surpass the large and the few can overcome the many know how to preserve power that is without peer. If you know how to be unmatched by others, then those who follow the Dao of imitation and mimicry will keep their distance. Therefore, the model of the Former Kings provided for the establishment of the Son of Heaven and did not allow the feudal lords to imitate him; provided for the establishment of feudal lords but did not permit grand officers to imitate them; provided for establishing an heir apparent but did not allow other sons to imitate him. Imitation breeds contention, and contention breeds chaos. For this reason, when feudal lords disregard their proper place, the world falls into chaos; when grand officers step out of their proper rank, the court falls into anarchy; when the rights of the various wives are not distinguished, the household falls into turmoil; and when nothing distinguishes the heir apparent from the other sons, the clan lineage falls into disarray. Shen Dao says: "When a rabbit runs by, a hundred people chase it. The reason is not that a hundred people could divide one rabbit, but that its

THE EXAMINATIONS

432

ownership has not yet been settled. Since its ownership has not yet been settled, even a Yao might exhaust his strength chasing it. How much more would this be the case with an ordinary man! But when the market is filled with rabbits, passersby pay them no heed. The reason is not that they do not desire rabbits, but that their ownership is settled. When ownership is settled, no one, no matter how backward, contests with another over it. Therefore, governing the world, as well as a single state, rests on nothing more than settling ownership?' 17/6.6 ~~~*ft~·-~~*li~·-~~*+~ 0 ~~~*~00~~~· 1F~"i1J~ili ~L~ili

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King Zhuang ofChu laid siege to Song for nine months, King Kang for five months, and King Sheng for ten months. Three times Chu besieged Song but proved incapable of defeating it. It was not impossible to defeat Song; but when a state with the qualities of Song attacks Song, how will the hostilities ever stop? It is a general principle that whenever something has been accomplished, it is because a distinction was drawn between worth and incompetence, strength and weakness, and order and chaos. 17/6.7 iJWM0f:fb:i:EJ§~1ifD¥Jc

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Liang Yusheng.

Duke Jian of Qi had a subject named Zhuyu Yang who remonstrated with the duke: "Your two ministers Chen Heng and Zai Yu hate each other so much that your subject fears they will attack each other. Should they do this, it will certainly endanger their superior. I beg your lordship to banish one of them?' Duke Jian replied, "This is not something that you, little man, could

BOOK 17

433

recognize.'' Mter a short time, Chen Heng did indeed attack Zai Yu in the court and chased Duke Jian in the ancestral temple. Duke Jian sighed heavily, ''Alas! Because I was incapable of heeding Yang's advice, this calamity has befallen me.'' Having ignored the techniques by which one controls officials, he lost his power. Although he regretted not listening to Yang, the end result was indistinguishable from not regretting it. This is a case of not knowing to rely on the reliable but relying instead on the unreliable. The Zhou tripods are engraved with images so that the principles of order inherent in the designs will be pervasive. Making principles of order pervasive is the Dao of the lord.

-tB:f= CHAPTER 7 NO DUALITY

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Bi Yuan.

Heaven and Earth, Yin and Yang, do not alter, and yet they give form to the myriad types of things, each of which is different. The eye does not lose its clarity of sight in perceiving the differences between white and black. The ear does not lose its keenness of hearing in distinguishing treble and bass sounds. The true king by holding fast to the One makes the myriad things correct. An army must have a general, for he is what unifies it; a state must have a ruler, for he is what unifies it; and the world must have a Son of Heaven, for he is what unifies it. The Son of Heaven must hold fast to the One, for that is what makes him unique. Where there is unity, there is order; where there is duality, there is chaos. Now, were a person who drives a team of four horses to hire four people and give each of them a whip to wield, he would not get his team out of the village gate, because their actions would not be done in unison.

BOOK 17

4-35

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When the king of Chu asked Zhan He how to govern the state, Zhan He replied, "I have heard about tending to the person but not about tending to the state?' Can Zhan He really have meant to suggest that there is no way to tend to the state? Rather, he believed that the foundation of tending to the state lay in tending to the person. When the person is tended to, the household is tended to; when the household is tended to, the state is tended to; and when the state is tended to, the world is tended to. Therefore, it is said: Use the person to tend to the household, the household to tend to the state, and the state to tend to the world. These four occupy different positions but share a common foundation. Hence, what the sage does, considered in terms of its breadth, reaches to the ends of the universe, to the very limit of where the sun and moon shine; but when considered in terms of its essentials, it does not go out beyond his own person. Loving parents have proved incapable of transmitting learning to their children; loyal ministers have proved incapable of keeping their rulers properly informed. Only those who have the right qualities come near doing this.

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When Tian Pian spoke at the court of Qi about his Dao and its techniques, the king of Qi responded to him, "What I, the Unworthy One, possess is the state of Qi. I need to hear about the governing of the state of Qi?' Tian Pian replied, "Your servant's teachings contain nothing about governing, but they can be used to govern. They are, to use an analogy, like a grove of trees: they are not lumber, but lumber can be made from them. I

THE EXAMINATIONS

hope that your majesty will select for himself what pertains to governing the state of Qi. When I say this, I am still speaking superficially. Speaking more broadly- how could any teachings apply solely to governing the state ofQi? Responding to what comes by transforming and altering Yet always having visible signs, Relying on inborn nature to employ things Yet nothing is not both suitable and perfecdy suitedPatriarch Peng used this to attain a great age, The Three Dynasties to flourish, The Five Sovereigns to become illustrious, And Shennong to flourish."

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Once when Wu Qi was talking with Shang Wen, he observed, "Service to one's lord in the end is a matter of fate!" Shang Wen said, "What do you mean?" "For bringing order to everything within the borders of the state, perfecting training and instruction, reforming practices and customs, and causing lord and ministers to interact according to principles of morality, fathers and sons according to the requirements of their respective positions, who is worthier, you or I?" "I am no match for you, sir." "Suppose that one day you present yourself and are made a minister and as a consequence your ruler becomes important, or suppose that you give

BOOK 17

437

up your seals and resign your office and as a consequence your ruler becomes unimportant. Who would achieve greater worth in that regard, you or I?" "I am no match for you, sir?' "For arranging knights and horses in ranks, with horses and knights well matched and the men standing in front of their mounts anxious to go forward; for having someone seize the baton and with one beat of the drum make the soldiers of the Three Armies gladly embrace death as if it were life. Who is more worthy in that regard, you or I?" "I am no match for you, sir?' Wu Qi said, "In these three you are no match for me, and yet your position is higher than mine. Fate is involved in serving a ruler!" "Well argued! You questioned me; now let me question you. When we pass from one generation to the next and the ruler is still a minor, the ministers are all suspicious of one another, and the black-haired commoners are in turmoil-in times such as these, to whom would you entrust the situation, you or me?" Wu Qi remained silent for a time and did not answer. Then he said, "I would hand it over to you, sir?' "That is why I have been made superior to you?' Wu Qi could see his strong points but not his weaknesses. He knew where he excelled, but he did not know where he was inept. Thus, he prevailed in the campaign west of the Yellow River but was trapped by Wang Cuo. Not long after that, he found himself in great difficulty and did not enjoy a happy end. Wu prevailed over Qi but not over Yue; Qi prevailed over Song but not over Yan. Thus, it is a general principle that only those who recognize the transformations that turn strong points into weaknesses and fullness into deficiency are capable of keeping their states whole and preserving their lives.

Bool~ 18

The first three chapters of Book IS all promote an ideal of nonverbal communication. Chapters+ through 7 set forth the problems that inevitably arise when words are used to communicate. Chapter 8 differs from the other chapters in this book in not being concerned with language and argumentation. Chapter I cites six exchanges between rulers and those offering them advice and comments on whether, in each case, it was the ruler's comportment or words that were in error or the advice offered him that was not trustworthy and reasonable. In judging the reliability of advice, a good ruler should rely on his own understanding of and investigation into a matter; and he should be careful that his words and facial expressions do not disclose his true sentiments and thus allow others to use that knowledge to deceive him. Chapter 2 continues the theme of the ruler's mindfulness of what he says, illustrating the point with several anecdotes. The last story in the chapter, however, is unrelated to the others and instead anticipates the theme of chapter 3: that it is possible to communicate without language. "On Subtle Communication" illustrates what this means by relating stories of those who can penetrate the thoughts of others by closely observing facial expressions, mannerisms, and bearing. The chapter argues that those who share similar aims are especially perceptive in this regard. For example, the Zhou allies who plotted against the Shang had no need of putting their plans into words. Hence, while the Shang were suspicious of Zhou intentions, they could never prove that Zhou planned an insurrection, nor learn anything of its details. Chapter + complains about those, like Deng Xi of Zheng and Chunyu Kun of Qi, who in their speech and actions are mindless of standards of right and wrong. Chapter 5 argues that language is a dependable means of communicating only when it is used to express one's thoughts and intentions. If it is used to deceive and obfuscate, then language becomes a source of chaos. The chapter offers the logicians Gongsun Long and Hui Shi as examples of those who have corrupted language. In chapter 6, Hui Shi again serves as an example of someone who used

BOOK 18

+39

language merely to obfuscate and deceive. The chapter claims that the "grand methods" Hui Shi employed when governing Wei "made him the laughingstock of the entire world; everyone was able to cite examples of his mistakes?' Chapter 7, lacking an introductory paragraph of its own, relates six anecdotes that continue the themes of chapters 4, s, and 6. (One of the anecdotes, in 18/7.3, seems to support the Mohist opposition to aggressive warfare and thus contradicts 7/3.) Comments attached to the last of these stories, in 18/7.s and 18/7.6, stress the importance of rulers being able to make judgments and take actions independent of the advice they are receiving. Chapter 8 recounts two stories about how Fu Zijian succeeded in governing Shanfu, without interference from the lord of Lu, by relying on the force of his character rather than on corporal punishment. These stories were perhaps meant to pick up the thread of the comments on self-reliance that conclude chapter 7.

-EI!I'ff! CHAPTER l EXAMINING RESPONSES 18/I.I A~W~BW·~~~WoR~~~·i~-~oA~8~·A~8

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THE EXAMINATIONS

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Chen Qiyou; required by context.

When Kong Si requested his permission to depart, the lord ofLu said, ''All the rulers of the world are the same as this Unworthy One. Where will you go?" Kong Si replied, "Probably it is as I have heard: the gentleman is like a bird, when alarmed, it will fly away?' The lord ofLu countered: ''All the rulers of the world are inept. If you leave one inept leader just to go over to another, do you yourself think this constitutes any ability to assess the rulers of the world?" As a general rule, when a bird flies, it leaves the place where it was alarmed to go to a place where it is not frightened. It cannot know in advance whether it will not be alarmed there. Why would a bird fly away at all if it were leaving one frightening place for another? The lord ofLu's reply to Kong Si was certainly incorrect. 18/1.3 Rm£~Am•~~B: r~-~-~~Zfu·E~ZMX~fu·~M

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King Hui of Wei sent a messenger to Marquis Zhao of Han to say: "Since the state ofZheng perished at the hands of the house ofHan, I beg that you enfeoff its descendants. This is what is called the duty of'preserving the perished and continuing those who have been cut off.' Were my lord to enfeoff them, he would achieve great fame." Marquis Zhao was troubled by this. Prince Shiwo said, "Let your subject go and reply to them." When Prince Shiwo arrived in Wei, he had an audience with the king, at which he said:, "Your great state has mandated that our unworthy city be used to enfeoff the descendants of Zheng. Our unworthy city dares not accede to this. Your great state has in the past caused our unworthy town troubles. Previously, when the head of the Sheng clan, a descendant of Duke Chu of Jin, became the duke of Jin, he was captured at Tongti, but your

BOOK 18

4-4-I

great state would not take pity on him. Yet you would have our unworthy city 'preserve the perished and continue those who have been cut off.' Our unworthy city dares not accede to this?' The king ofWei, mortified, said, ''This was not at all my intention. I ask that my guest speak no further of it?' This is an example of citing another's unjust act to excuse one's injustice. Although the king ofWei was unable to respond, the injustice committed by Han was much greater than that committed by Wei. Prince Shiwo's argument is an instance of successfully "disguising wrongs and encouraging transgressions." 18/1.4

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Chen Changqi, Yu Yue, Xu Weiyu.

3· Yang Zhaojun, Chen Qiyou.

King Zhao ofWei inquired ofTian Qu, "When I, the Unworthy One, resided in the Eastern Palace of the heir apparent, I heard you argue the thesis 'Being a sage is easy? Is that true?" ''That is a point your servant made.'' ''That being so, are you, Master, a sage? "Recognizing that a man is a sage before he has accomplished anything is how Yao recognized Shun. Recognizing that a man is a sage only after he has accomplished something is how an ordinary townsman recognizes a Shun. Now, I have yet to accomplish anything, and yet your majesty has asked me 'Are you a sage?' I presume to ask his majesty if he is a Yao?' King Zhao could not answer. With regard to Tian Qu's response, it must be said that King Zhao absolutely did not say "I recognize sages" but asked "Is the Master a sage?" Moreover, in Tian Qu's response to the king, he himself introduced the subject of recognizing sages, thus attributing to the king a quality he did not possess. In this Tian Qu does not bear scrutiny.

THE EXAMINATIONS

442

18/1.5

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King Hui of Zhao said to Gongsun Long, "I have endeavored for more than ten years now to abolish the use of weapons of war but have not succeeded. Is it impossible to abolish the use of weaponry?" ''The idea of abolishing weapons; replied Gongsun Long, "requires for its success a mind that loves all the world universally. Such universal love cannot be brought about with empty words but requires concrete deeds. Now, when Lin and Lishi were absorbed by Qin, your majesty dressed in mourning garb; when you attacked Qi to the east and took a walled city, you celebrated the victory with liquor and a feast. When Qin gains territory, your majesty mourns; when Qi loses territory, your majesty feasts. This contradicts any intention to love the world universally, and this is why you have been unsuccessful in abolishing the use of weaponry?' If a person sought respect while being rude and impudent, sought good relations with others yet was partial to his clique and not public-spirited, sought tranquillity yet was annoying and capricious, sought to settle matters yet was cruel and greedy-even if he were the Yellow Sovereign, he would be hard put to do so. How much more is this true of a mediocre ruler! 18/1.6 ~~~~~m~~~·~~~·~*-~EI:r~~~*o~~~ili· ~~m~ilio;t{:~~ZWft~L~~?J-~EI: r/f'~o;t{:ft~~jffi~~ ~·;1'1;/f'~ftLili:;ttft~Llffi~~~·;t{:/f'~ft~ilioJR~~&Ra•

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BOOK 18

443

their benefit. What difference does it make if they store it themselves or it remains here with their superiors?" Bo Yi replied, "That is not the case. If it remained with the people and my lord had no further knowledge of it, he would believe it best if it were with him. If it were here with the superiors and the people had no further knowledge of it, they would believe it best if it remained with them?' Whenever you listen to a certain opinion, you rely on yourself. If you can inquire into matters closely, your orders will never be disobeyed. When a nation relies on itself, it becomes strong, and being strong, it becomes difficult to destroy. The reason that the Yu, Xia, Shang, and Zhou dynasties did not survive was that they did not understand the meaning of self-reliance. r8/I.7 0~•mm·$~~ZOOUo0~••za:r$~~fiOOU·m~m fu~?J$~B:r~~~~oB~·0~~=+00ffi·~~~OO~ZU•

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When Prince Tawas the prime minister of Zhou, every time Shen Xiang offered him a persuasion he trembled, for which Prince Ta upbraided him. "Is it because I am the minister that you tremble whenever you talk to me?" "I, Xiang, am unworthy but it is you, sir, who, having become a minister at twenty, makes an old man tremble when he sees you. I beg to inquire who is more at fault?' Prince Ta could not answer. One who trembles before an audience is unpracticed, but one who makes others tremble is too austere and stern. It would seem that when one is respectful and moderate yet others still tremble, the fault does not lie with the eminent individual. Thus, although others may occasionally make mistakes in their court demeanor, one should not alter one's respectful and moderate manner. That others make such mistakes is insufficient grounds for reprimanding them, but one should be reprimanded for being too austere and stern.

THE EXAMINATIONS

444

=am§ CHAPTER 2 ON VALUING SPEECH I8/2.I

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A ruler cannot but be cautious about his speech. When Gao Zong ascended the throne as Son ofHeaven, he observed the seclusion of those in mourning and did not speak for three years. The officers of the court were frightened and worried over this. Only then did Gao Zong speak, saying, "The reason I did not speak was that I, the Unique Man, must rectify the four quarters, and I feared that my words would not equal my position?' Because those who were Son of Heaven in antiquity valued words to this extent, there were no errors in their speech. !8/2.2

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16\:a 13 • Sjjffffl;Z~ • (1'f GV> ::Zm.:E:?l[zll!J o Once when King Cheng of Zhou was relaxing with his younger brother Tang Shuyu, he picked a leaf from a paulownia tree and, using it as a jade scepter, bestowed it upon Tang Shuyu with the words, "I herewith enfeoff you?' Shuyu was overjoyed, and told the Duke ofZhou about it. The Duke of Zhou requested an explanation from the king. "Did the Son of Heaven really enfeoff Shuyu?" King Cheng replied, "I, the One Man, was playing with Shuyu?' The Duke ofZhou responded, "I have learned that the Son ofHeaven utters no playful words. What the Son of Heaven says, the scribes record, the musicians chant, and the scholar-knights proclaim?' As a consequence, he thereupon enfeoffed Shuyu at Jin.

BOOK 18

445

Dan, Duke ofZhou, may be described as a skillful speaker. With a single declaration he caused King Cheng to be more careful of speech, he explained the duty of loving a younger brother, and, furthermore, bolstered the strength of the royal house.

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For the first three years of his reign, King Zhuang ofChu did not listen to official matters but preferred riddles. Chenggong Jia entered the court to remonstrate, and the king said, "I, the Unworthy One, have forbidden remonstrance. Why, sir, are you now doing it?" "Your servant would not dare remonstrate. I only wish to provide your majesty with a riddle.'' "Why do you not try the riddle on this Unworthy One?" ''There was a bird who perched upon a mound in the south. For three years it neither moved, nor flew, nor cried out. What bird was this?" The king guessed it, saying, "The bird perched on the earthen mound in the south Did not move for three years because it was still determining its goals; Did not fly because it was waiting for its wings to grow long; Did not cry out because it was observing the rules of the people. Although this bird has not flown, when it does so, it will pierce the heavens; Although it has not cried out, when it does so, its cry will startle men.

You may go, Jia. This Unworthy One has understood your meaning.'' At the next day's dawn court, five men were promoted and ten men

THE EXAMINATIONS

dismissed. The assembled ministers were greatly pleased, and the people of the state of Chu all congratulated one another. An Ode says: Why do you delay? There must be a reason. Why do you remain? There must be a cause. [Shi, "Beifeng;' "Maoqiu;' Mao 37]

This surely describes King Zhuang. The riddle ofChenggong Jia was worthier than the persuasion of Grand Steward Pi. The persuasion of Grand Steward Pi was heeded by Fuchai, and the state ofWu was laid waste. The riddle of Chenggong Jia served to instruct the king of Chu, and he thereby became lord-protector. !8/2.4 •m0Wft#R~M·R*•OOM~•·m0~~B: rw#~R~

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Sheng Shu said to Dan, Duke of Zhou, "Where the courtyard is small and people are many, if you speak in a low voice, you will not be heard, but if you speak in a high-pitched voice, then people will understand what you say. Which do you choose, a low voice or a high-pitched voice?" "A low voice:' answered the Duke. "There is something to be done. If you explain it in subtle words, people

BOOK 18

4-4-9

will not understand, and if you say nothing at all, the task will not be completed. Which do you choose, subtle words or saying nothing at all?" "I would say nothing at all;' answered the Duke. Hence, Sheng Shu was able to persuade without words, and the Duke of Zhou was able to comprehend without words. This is called "comprehending what is not spoken?' Because their plans were not spoken, Their affairs were not heard of, So although the Yin despised the Zhou, They were unable to denounce them. Since their mouths uttered nothing But they communicated by the most subtle of means, Although Zhou Xin was suspicious, He could not know what the Zhou planned. Because their eyes gazed upon the invisible Their ears listened to the inaudible; Although the Yin had many informants, They could not espy what the Zhou were doing. When men share the same likes and dislikes, Have aims that are informed by the same desires, Even though one is the Son of Heaven, He cannot separate them.

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Confucius had an audience with Wenbo Xuezi but left without saying anything. Zigong inquired, "Since my master has long wished an audience with Wenbo Xuezi, why has he now seen him but said nothing?" "With someone like that, one merely need look with the eyes to know that the Way is present in him. Words would be of no use?' That before having seen a man, one can know his aims, and one can know his mind and his aims clearly upon seeing him, is because both parties share the same Heavenly Tally. Sages understand one another directly; why should they rely upon language?

THE EXAMINATIONS

4-50

18/3-4-

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The Duke ofBo inquired of Confucius, saying, "Is it possible for men to share a secret?" When Confucius did not respond, the duke said, "Isn't it a matter of throwing a stone into water?" ''A diver could fetch it;' replied Confucius. "Isn't it, then, like throwing water into water?" "When the waters of the Zi and Sheng rivers were blended, Yi Ya could taste the difference between the two?' "Given that, is it then impossible for men to share a secret?" "Why regard it as impossible?" asked Confucius. "But it is possible only for those who understand the import of words?' The Duke ofBo did not grasp what Confucius said. Those who understand the import do not use words to speak. Words are things attached to import. Those who catch a fish get wet, and those who hunt animals run after them- but not for the pleasure of it. Therefore, perfect speech discards speech, and perfect action is nonaction. What those of slight wisdom struggle after is inconsequential. This is the reason the Duke of Bo died in prison. 18/3.5 Wm0-~B~··A-~o0-.ffflWW~R~··~-ffflA•••m~

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Words are used to convey our ideas. When the words we use are at odds with our ideas, we suffer misfortune. It is common in a chaotic state for there to be frequent wayward usage of words and for no heed to be paid to the reality. Some are bent on blaming each other, others on praising each other. When those who are blamed and praised form factions, their clamor blazes up to the sky, and the truly worthy are not distinguished from the

BOOK 18

453

unworthy. If a state is governed in this way, even a worthy ruler suffers confusion; how much more will this be true of the unworthy ruler? The trouble with those who are confused is that they themselves do not recognize that they are confused. When they are most confused they think they understand clearly, and when lost in utter darkness think they see light. Because the rulers of states that perished did not recognize their own confusion, they joined the company of Jie, Zhou Xin, and Kings You and Li. That being so, there are not two Daos by which states have perished. 18/4-.2 ••~m•~•~o~~%-UW•Wm~~o~~%-~W·Wm•

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THE EXAMINATIONS

Chunyu Kun, a native of Qi, offered a persuasion that the king of Wei should join the Vertical Alliance in opposition to Qin. Because the king of Wei considered his argument subtle, he gave him ten chariots for a mission to Chu. AB Chunyu Kun was taking his leave, he offered a persuasion that the king of Wei should join the Horizontal Axis with Qin, so the king of Wei canceled his mission. He failed not only in getting the ruler to join the Vertical Alliance, but also in having him join the Horiwntal Axis. He would have been better off with fewer abilities and no eloquence at all. On the Zhou tripods there is pictured the ancient artisan Chui chewing on his own fingers. By this means did the ancient kings illustrate the uselessness of excessive skill.

1iEJrgl$ CHAPTER 5 CARELESS PHRASES 18/p

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It is only with propositions that we convey our expectations; but if we trust only in propositions, confusion results. Within every proposition there is yet another proposition that refers to the mind's intention. Words that do not confound the mind's intention approximate it. AB a general principle, words are used to convey our meanings. When words and intentions are detached from each other and superiors lack the means to test them, inferiors will frequently say one thing and do another, or do one thing and say another. There is no greater misfortune that can occur than when words and actions contradict each other. 18/p ~-~~

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At the meeting at Kongxiong, Qin and Zhao joined together in a treaty, which said, "From this time forward, Zhao will support Qin in whatever Qin desires to do, and Qin will support Zhao in whatever Zhao desires to do.'' Shortly thereafter, Qin raised an army to attack Wei, and Zhao wished to rescue the latter. The king ofQin was displeased and sent a man to reprimand the king of Zhao. "Our treaty says, 'Zhao will support Qin in whatever Qin desires to do, and Qin will support Zhao in whatever Zhao desires to do.' Qin now desires to attack Wei, and Zhao on account of this wishes to assist Wei. This is contrary to our treaty.'' The king of Zhao reported this to the Lord ofPingyuan, who told Gongsun Long. Gongsun Long said, "You too may send out an emissary to reprimand the king of Qin, saying, 'It is Zhao's desire to assist Wei, but now the King of Qin alone refuses to support Zhao. This is contrary to our treaty.'" 18/5·3 JL~, 0f*nU§W~ilB~~~~J5JT' 1~00¥.;=¥' :¥:5~~~C?f ~§~Z~C?f

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Kong Chuan and Gongsun Long were arguing at the residence of the Lord of Pingyuan. So profound and involved were their arguments that they reached the proposition "Zang has three ears.'' Gongsun Long's discussion of the statement "Zang has three ears" was so extremely complex that Kong Chuan was unable to respond, and after a short time the latter excused himself and left. The next day, when Kong Chuan came to court, the Lord of Pingyuan said to him, "Gongsun Long's discussion was extremely intricate.'' "Yes, it was;' Kong Chuan r' lied. "He could almost have made Zang have three ears. Although this is so, his position was difficult to maintain.

THE EXAMINATIONS

4-5 8

May I put a question to your grace? The claim that 'Zang has three ears' is difficult to argue because it is contrary to the facts, whereas the claim that 'Zang has two ears' is easy to argue because it affirms the facts. I wonder whether your grace will follow what is easy and agrees with fact, or what is difficult but contrary to fact?" The Lord ofPingyuan did not reply, but the next day he said to Gongsun Long, "Never again, sir, engage in disputation with Kong Chuan! In him reason prevails in the proposition advocated, whereas in you the proposition triumphs over reason." 18/5.4

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8. Chen Qiyou.

The supporter of the state in Chu, the Earl of Zhuang, ordered his shaman to "observe the sun.'' "It is in the sky;' the man replied. He asked him to "observe what it was like.'' "It is perfectly round;' the man replied. He then asked him to "regard the time.'' "It is the present.'' When the Earl of Zhuang ordered his herald to "prepare the carriage;' the officer replied, "I have no horses.'' When the Earl of Zhuang ordered the official sweeper to "adjust the cap;' the man replied, "It is already on top.'' When the Earl ofZhuang asked the stableman about the condition of a horse's back teeth, the man replied by saying, "He has twelve back teeth and thirty front teeth.'' 18/5.5 ..A.~ff~~Li!f·~L·ilfs~z·ffilfM.~o

If a person entrusted something to his servant so that it would not be lost, and the servant did lose it, and the Earl of Zhuang was to decide the matter, he would hold the person given the responsibility blameless.

BOOK 18

459

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6. Chen Qiyou.

Kuang Zhang discussed Master Hui Shi with King Hui ofWei, saying, "Why do farmers kill locusts? It is because they destroy crops. Now when his grace Hui Shi travels, he has as many as several hundred accompanying carriages and several hundred foot soldiers or at the very least several tens of accompanying carriages and several tens of foot soldiers. All of these people eat without plowing, and so their damage to the crops is even greater than that of the locusts." King Hui said, ''Although Master Hui Shi, who is my teacher, may find it difficult to respond to your propositions, sir, let him speak his mind?' Hui Shi responded, "When building a wall, some wield the large posts that ram down the earth at the top of the wall, others carry baskets of earth on their backs to the base of the wall, and still others carry the surveying instruments in order to inspect things at a great distance expertly. I am like the person who carries surveying instruments. If we changed weavers into silk, they could no longer supervise the weaving of silk; or carpenters into

BOOK 18

wood- they could no longer supervise working with wood; or sages into farmers-they could no longer supervise the farmers. I am someone who supervises farmers. Why then do you, sir, compare me to a locust?" When Hui Shi governed Wei, he made using "grand methods" his fundamental principle, so the order he achieved was not real order. During the reign of King Hui, the state lost twenty of fifty battles, enormous numbers of men were killed, and the enemy captured great generals as well as the king's beloved son. The stupidity ofHui Shi's "grand methods" made him the laughingstock of the entire world; everyone was able to cite examples of his mistakes. Despite all this, King Hui requested that the grand historiographer of the Zhou be ordered to change the way Hui Shi's name was recorded [so that he was referred to with the honorific "Uncle to the King'']. The king laid siege to Handan but was not able to take it after three years. As a result, the knights and the general populace were exhausted, the resources of the state were depleted, and troops came to Handan's rescue from the four directions. The masses criticized the king, and the feudal lords would not associate with him. He apologized to Di Jian, again adopted his counsel, and thereafter the altars to the grain and soil survived. The famous treasures of the state were scattered, and its territory was pared away at all four borders. From this time forward, Wei declined. "Uncle to the King'' is a great title; to yield the state to another is a great reality. Hui Shi used persuasions that could be neither heeded nor trusted. One who offers such persuasions cannot be called skillful. Nothing produces more wanton damage to the whole world than for the unskillful to govern. It is lucky that Hui Shi gained audience only in Wei. The reality is that Master Hui wantonly damaged the world, but he had a reputation for governing well- is it not indeed fitting that he was condemned by Kuang Zhang! 18/6.4 ~~~--~ffi~fu·R~m~~~·~~-~-oR~Wo~~~A

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Gongsun Long persuaded King Zhao ofYan to abolish the use of weapons. The king declared, "Perfectly splendid! I, the Unworthy One, hope to plan how do it with my guest." "I humbly suspect that the king will not carry through with the plans." "Why?" asked the king. ''At one time, your great majesty wanted to destroy Qi. All the knights of the world who shared that desire were boundlessly supported by your

THE EXAMINATIONS

466

great majesty. Those with knowledge of the dangerous passes and critical strongholds in Qi, as well as the relations between lord and ministers in Qi, were boundlessly supported. But those with such knowledge who did not want to destroy Qi were merely supported by your great majesty. In the final analysis, it was the destruction of Qi that was regarded as the true achievement. Now, your great majesty may say, 'I very much want to adopt a policy that will abolish the use of weapons? But of the knights of the feudal lords, those present at your great majesty's court are all skilled at warfare. It is thus that your subject knows that the king will not carry through with the plans?' The king could not respond. !8/7-3 ~~---~fi~$W~OO~#~•B: r~~ZM~#~~?J·~

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Sima Xi tried to discredit, in the presence of the king of Zhongshan, a Mohist teacher who was arguing against offensive warfare. "Your policy, Master, is to condemn offensive warfare, is it not?" "That is true?' "Now, if his majesty raised an army to attack Yan, would the Master condemn the King?" "Yes. If his majesty were to do this, would the prime minister approve of the attack on Yan?" "I would?' "What if Zhao raised an army to attack Zhongshan? Would the prime minister approve of that?" Sima Xi could not respond. !8/7-4

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BOOK 18

"I have long wanted the people of the world to follow me;' said Zhou Po, "for that would benefit Qin." "If that is so, then does your grace desire to benefit Qin?" "That is what I desire." "If your grace desires it, why then do you not do what will make the world follow you?" rS/7.5

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9.

Chen Changqi, Tao Hongqing, Tan Jiefu.

BOOK 18

At Yiyang, after the king of Qin had claimed for himself the title of "Sovereign:' he sent Xu Wan to trick King [Zhao] ofWei into going to the Qin court to pay homage. Wei Jing asked the king of Wei, "Which is more valuable, Henei or Daliang?" "Daliang?' "Which is more valuable, Daliang or your own person?" "My own person?' "If Qin were to seek Henei from you, would you hand it over?" "No, I would not?' "But:' Wei Jing responded, "Henei is the least valuable ofthe three choices, and you yourself are the most valuable of the three. You would not respond to Qin's request for the least valuable, but you would respond to Qin's request for the most valuable. I humbly submit that this is not acceptable?' "What you say is very true:' the king replied, and he canceled his journey. Although Qin ultimately enjoyed a great victory at Changping, it took three years to conclude the battle. As a result, Qin's soldiers and populace were exhausted and its supplies depleted. At this time both the eastern and western Zhou domains were intact, and both still survived. Wei attacked Tao and took territory from Wey amounting to six hundred square li. In these circumstances, it was premature for Wei to go pay homage to Qin. Why did the king need to wait for Wei Jing's advice before determining not to go? The disaster of going when one should not go is the same as, in the future, not going when one should go. The time when one should or should not go cannot but be maturely assessed.

/\B ~fmi CHAPTER 8 ON NECESSARY CONDITIONS AND PREPARATIONS 18/8.1

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THE EXAMINATIONS

470

Now, suppose the archers Yi and Pangmeng were to have excellent bows like Fanruo. Without bowstrings, they could never hit the bull's-eye. It is not that hitting a bull's-eye depends solely on the bowstring, but that the bowstring is a necessary tool for hitting the bull's-eye. Now then, there are also necessary tools for establishing a meritorious reputation. If a person does not obtain these tools, although he is worthier than Tang or Wu, his labors will come to naught. At one time, Tang was in straitened circumstances at Yi and Bo, King Wu was impoverished at Bi and Cheng, Yi Yin lived among cooks and butchers, and the Grand Duke remained hidden among fishermen. It was not that their worthiness was wanting or that they lacked wisdom, but that they did not have the right tools. Therefore, as a general rule, establishing a meritorious reputation, no matter how worthy one is, can be realized only if one possesses the necessary tools. 18/8.2 ~rH~IX·~~~ZH~A·®~a~~fi~~fuo~m®fi·~

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Tao Hongqing.

A. When Fu Zijian was given charge of Shanfu, he feared that because the lord ofLu was heeding slanderers, he would be unable to put his methods into practice. When he was about to take his leave and start on his way, he requested of the lord ofLu that two officials close to the lord be allowed to accompany him to Shanfu. All the officials of the town came toFu Zijian's court, and Fu Zijian ordered the two officials to write. The officials were about to write when Fu Zijian, standing at their side, kept pulling and shaking their elbows. When their calligraphy was not good, Fu Zijian became angry. The officials were very worried about this, made their apologies, and requested leave to return home. Fu Zijian said, ''Your calligraphy is very bad. You, sirs, are encouraged to return home.''

BOOK 18

471

The two officials returned home and reported to the lord, "Master Fu did not approve of our writing?' "Why?" the lord asked. The officials replied, "Master Fu made us write, but he kept pulling and shaking our elbows, and when our calligraphy was bad, he became very angry. All the officials laughed at Master Fu. This is why your servants took their leave and departed?' The lord of Lu sighed deeply: "Master Fu is using this to reprove my unworthiness. By my disrupting Master Fu, there must have been many occasions on which I did not allow him to put his methods into practice. If it were not for these two men, I surely would have continued to err?' He thereupon dispatched one whom he loved and commanded that he go to Shanfu and report to Master Fu, "Henceforth, Shanfu is not my possession. It belongs to you, sir. You must decide what is most beneficial for Shanfu. Every fifth year inform me of the essentials?' Master Fu respectfully assented and was then able to practice his methods inShanfu.

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BOOK 19

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9. Chen Qiyou.

C. Those such as the farmer of Shihu, Beiren Wuze, Bian Sui, and Wu Guang regarded the world as something beyond the Six Conjunctions. This is something others could not fathom. They regarded nobility and wealth as things one should never place any trust in if one happened to obtain them. With their lofty ethics and strict conduct, in solitude they found pleasure in their own ideals, and no external thing could harm them. Not influenced by the opportunity for profit and not compromised by the prospect of power, they were ashamed to continue dwelling in a corrupt world. Only these four men adhered to these ethical principles. ~~•·•·~§~Mw·•~~erm•·~~rm•·~•~•*·~• ~-(~SF> 10.

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D. As for Shun and Tang, They embraced and accommodated all things, Moved when they could not avoid it, Acted when the opportunity arose, Made loving and benefiting others their fundamental task, And the myriad peoples their standard of right.

One may compare this to fishing: one varies the kind of bait and whether the lure moves or stays still depending on the size of the fish. 19/1.3 •·wffiwa·~~z•~~-~~·Wrm*·~~~·mnzAa: rL::·1~~

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When Qi and Jin were engaged in battle, a conscript from the Qi town ofPing'e lost his halberd but found a spear. Retreating from the battle, he

THE EXAMINATIONS

478

was very unhappy and said to a passerby, "I lost my halberd but found a spear. Do you think I may still return home?" "Why can't you return home?" asked the passerby. ''After all, both a halberd and a spear are weapons. You just lost one weapon and found another?' The conscript left but still felt unhappy. On his way, he encountered Shu Wusun, the protector of the Qi town of Gaotang. Standing before the officer's horse, the conscript said, "In the recent battle, I lost my halberd but found a spear. May I still return home?" ''A halberd is not a spear and a spear is not a halberd;' said Shu Wusun. "How will you settle your debt?" The conscript cried, ''Ah, woe! I shall turn back, rejoin the fight, and run back to the battleground?' In the course of the battle, he died fighting. Shu Wusun said, "I have heard it said that when a gentleman leads others into difficulties, he too must pass through the same difficulties?' He hurriedly rode to join the conscript, and he also died in battle, never to return. If these two led an army, it would never retreat. If they stood by the side of the ruler, they would die for a righteous cause. That they died without accomplishing anything great is simply because they had been assigned minor responsibilities. One who is given minor responsibilities does not consider great matters. Now, how do we know that there are not other men like the conscript from Ping'e and Shu Wusun? Thus, a ruler who wishes to obtain scholar-knights of high integrity cannot but strive to find them. 19/1.4·

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n. Wen Tingshi, Tan Jiefu, Chen Qiyou.

12.

Yu Yue.

In the time ofDuke Zhuang ofQi there was a knight called Bin Beiju, the "Outsider Who Affronts Everyone?' One night he dreamt of a robust youth who wore a cap of undyed silk with strings of red hemp, a cloak of coarse sackcloth, new shoes of plain silk, and a black-scabbarded sword.

BOOK 19

+79

The youth walked up to him and cursed him, spitting in his face. At that, the knight was startled out of his sleep and only then realized that it was a dream. For the rest of the night, dispirited, he sat awake. The next day he summoned a friend and told him, "When I was young I loved bravery, and for all my sixty years I have never allowed myself to be disgraced. But last night I was shamed. I must seek out this apparition. Ifl can find him, then things may still be all right with me. If I do not, then I must die?' Each morning at dawn he and his friend would sit at the crossroad, but after three days they did not encounter the apparition. The knight then returned home and slit his own throat. One might say that this is a way we should all strive to be, but this is not necessarily the case. Nevertheless, the knight was the sort of man who could not tolerate disgrace. Could he be surpassed in what he did?

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CHAPTER 2 A LOFTY SENSE OF HONOR 19/2.1

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4. Chen Qiyou; on the basis of Gao You commentary.

B. Prince Yiwu fled from Qu to Liang, and Prince Chong'er fled from Pu to the Di tribes. Leaving the Di tribes, Chong'er passed through Wey, where Duke Wen treated him with a lack of proper protocol. He then passed through Wulu, and proceeded to Qi, where Duke Huan ofQi had died. He left Qi for Cao. When Duke Gong of Cao saw that Chong'er had linked ribs, he had him strip naked and catch fish in his pool. Chong'er left Cao, and passed through Song, where Duke Xiang treated him with special courtesy. He then went to Zheng, where Duke Wen was disrespectful. Bei Zhan remonstrated with the duke, saying, "I have heard it said that a worthy ruler does not persecute those who are experiencing hardship. Now, the followers of the prince of Jin are all worthy, and if your lordship will not treat him as protocol requires, it would be best to kill him now.'' The lord of Zheng did not heed the warning. Chong'er left Zheng and traveled to Chu, where King Cheng was rude to him. He left Chu and went to Qin, and Duke Mu restored him to power in Jin.

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C. When affairs in Jin were settled, Duke Wen raised an army to attack Zheng, and he sought out Bei Zhan. Bei Zhan said to the lord ofZheng, "It would be best to hand me over to him.'' "But I, the Unworthy One, am at fault;' protested the lord of Zheng. "By killing your subject, you can spare your state. This is what I hope for.'' Bei Zhan then surrendered to the Jin army. As Duke Wen was about to

BOOK 19

have him boiled alive, Bei Zhan grabbed hold of the pot and shouted, ''All you knights of the Three Armies listen to me. From now on do not bother to be loyal to your lord, for whosoever is loyal will be boiled alive.'' Duke Wen let him go, disbanded his army, and returned home from Zheng. Furthermore, because ofBei Zhan's loyalty to his lord, his lord avoided problems with Jin, and because he practiced morality in Zheng, he was viewed with pleasure by Duke Wen. Thus, the benefits brought about by morality are extensive. 19/3.4

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8. Xu Weiyu. 7· Chen Qiyou. s. Chen Qiyou. 6. Wu Kaisheng. The Mohist leader Meng Sheng was on good terms with the Lord of Yangcheng, so the Lord of Yangcheng made him protector of his fief in Chu. Breaking a jade half-circle in two as a token, each took the oath, "Only when the halves are joined, will I obey an order.'' When King Dao of Chu died, his ministers and vassals attacked Wu Qi. There was fighting at the burial ground in which Lord Yangcheng participated. Chu condemned him for that and so the Lord ofYangcheng fled. When Chu tried to appropriate his state, Meng Sheng said, "I have been entrusted with another man's state. To hand it over I require the token. I have not received the token, yet I do not have the power to resist, so I must be prepared to die.'' "It is unacceptable that you die:' remonstrated his disciple Xu Ruo, "for what good would your death do the Lord ofYangcheng? Not only would it

THE EXAMINATIONS

488

be of no advantage to him, you would also be cutting off the transmission of Mohism to later generations. This is equally unacceptable?' "That is not so;' said Meng Sheng. With the Lord ofYangcheng, I was not only a teacher but a friend, not only a friend but a subject. Ifl do not die, from this day forward, Mohists will not be sought as serious teachers, worthy friends, and good subjects. By dying I can propagate the code of conduct of the Mohist school and carry on its tasks. I will assign the position of leader to Master Tian Xiang of Song. Tian Xiang is worthy. Why need we be concerned that Mohism shall be cut offi" "If it is as the Master says;' answered Xu Ruo, "I beg permission to die first in order to clear the path?' Turning away, Xu Ruo slit his throat in front of Meng Sheng. Meng Sheng then sent two men to transmit the title ofleader to Master Tian Xiang. When Meng Sheng died, 180 disciples died with him. The two men who brought the charge to Master Tian Xiang wished to return to Chu to die with Meng Sheng. Master Tian Xiang stopped them, saying, "Master Meng has already passed the title of leader to me, so you must obey;" But they would not heed his order, and the two returned to Chu to die. The Mohists believe that those who do not obey the leader do not understand the teachings. Severe punishments and generous rewards are insufficient to make people reach this state. In this present age, many advocate stern.punishments and generous rewards, but in earlier ages such people were those who mistook faultfinding for careful examination.

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CHAPTER 4 EMPLOYING THE PEOPLE

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As a general principle, it is of supreme importance to use morality when employing the people, and of secondary importance to use rewards and punishments. If morality were insufficient to cause people to die for your cause, and if rewards and punishments were insufficient to cause them to

BOOK 19

avoid evil and cleave to the good, then no one in the past or present would have been able to employ his people. There are no constant principles for employing the people, nor for not employing them. Only those who have attained the true Dao can do it.

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The armies of King Helu ofWu never had more than thirty thousand soldiers, nor those ofWu Qi more than fifty thousand. If the ruler of a state of ten thousand chariots uses even more than their thirty to fifty thousand but cannot withstand his enemies abroad nor hold fast to the state within, it is not that the people cannot be used, but that the ruler of this state does not know how to use them. If he does not succeed in using his people, however large the state, convenient the situation, and numerous the soldiers, of what advantage will they be? Many past rulers lost possession of the world because they did not properly use their people. The principles of employing the people must be thoroughly understood. !9/4.3 ~~~M'*~~fi,~R~~o~-~~m~,••~mm'A~~ ~offl~~~-,~~~-,~~~~ffl'~~*~o

A sword does not cut things, a carriage does not move on its own: someone must make use of them. No one marvels at the fact that if you plant wheat, you harvest wheat, and if you plant millet, you harvest millet. Using the people involves something like planting. There is no greater delusion than failing to be properly attentive to "planting" and yet praying that the people will be properly used.

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THE EXAMINATIONS

4-90

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In the time ofYu, there were ten thousand states in the world; by the time of Tang, the number was a little more than three thousand. In every case, the states that have not survived until the present proved incapable of employing their people. They could not use their people because rewards and punishments were inadequate. That Tang and Wu could rely on the people of the Xia and Shang, respectively, after they vanquished these dynasties is because they knew how to employ them. That Guan Zhong and Lord Shang could rely on the people of the states of Qi and Qin, respectively, is because they knew how to employ them. Whenever the people may be used, there is a cause. Once you grasp the cause, there is nothing to prevent the people's being used. In employing the people, there are small lines and a main cord just like those found in a net. With a single tug on the small lines, the net is lifted; with a single pull of the main rope, the net is made taut. What are the small lines and main rope in handling the people? They are desires and aversions. What are the people's desires and aversions? They desire honor and profit, and they hate disgrace and harm. Disgrace and harm are how you make your punishments material; honor and profit are how you make your rewards concrete. If rewards and punishments are material and concrete, all people may be used. 19/4.5 fi!Jll~:li.=Ka~limJ

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Wang Niansun.

King Helu put his people to the test at Five Lakes: swords were plunged into their shoulders, their blood flowed on the ground, but still their advance could not be halted. King Goujian put his people to the test when the Qin Palace was on fire: they struggled to be the first to enter the boiling water and flames, more than a thousand died, and only by rapidly beating on the bronze instruments could he make them withdraw. This was because the two kings carried through with their rewards and punishments. The sword Moye does not change its character depending on whether a brave man or

BOOK 19

491

a coward uses it. That the brave man uses it skillfully and the coward clumsily is because the one is capable and the other not.

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The people of Susha took it on themselves to attack their own lord and offer their allegiance to Shennong. The people of Mixu took it on themselves to tie up their ruler and offer allegiance to King Wen. Tang and Wu were capable, not merely of using their own people, but also of employing people who were not their subjects. If you are capable of employing people who are not your subjects, however small your state and however few its soldiers, it will be possible to establish a reputation for accomplishments. Since antiquity, many have been capable of rising from the status of commoner to that of one who settles the affairs of the world, and this is because all of them were capable of employing what they did not possess. A mind set on using what is not yours is a fundamental principle that cannot but be investigated. The Dao used by the Three Dynasties was nothing other than making trustworthiness their standard. 19/4-7 *A~~m~·~~=F~·a®mZ&*o::X.~~m·~~=F~·::x.a ®mZB*o~~~.=:o•~~Zffi~-~·=F~~*o=Fm~~zm, ®~m~•·~~~OOoA~Z=F~~·~~~~o=Fm~m·W~0~ ·o-~0·&~=Fffloc~z~,0~0-~~&*o~-=Fm~~'

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When a man from Song steered his carriage onto a road, his horse would not proceed, so he cut off its head and threw it into the Qi River. When a second time he took the road and again his horse would not proceed, he

THE EXAMINATIONS

492

again cut off that horse's head and threw it into the Qi River. This happened three times. Even the famed charioteer Zaofu was never this severe. The man from Song did not have Zaofu's Dao. He merely grasped its severity, but this was of no advantage to driving horses. Incompetent rulers resemble the man from Song. They lack the proper Dao and have merely multiplied severity, and the more severe they become, the less their people can be employed. The rulers of perished states have frequently magnified their severity in governing their people. Therefore, while it is true that one cannot do without severity, severity in itself is insufficient if it is the sole technique on which one relies. The situation is analogous to using salt to enhance flavor. Generally speaking when you use salt, you add it to some other thing. If the amount you use is not suitable, you ruin the other thing and the result is inedible. It is the same with severity. You can only use it when there are other things to which you add it. What are these other things? You add it to love and benefit. Only when your commitment to loving and benefiting the people is understood can you practice severity. Severity becomes excessive when your commitment to love and benefit your people wanes. When this happens, and you are too hasty in practicing severity, you are certain to be cursed with disaster. This is why the Yin and Xia dynasties were cut off. The position of lord has an inherent power to benefit the people and is the best location for defense. If a lord is to maintain his defensive position and to preserve his power to benefit, these matters cannot but be thoroughly investigated. Only those who have looked deeply into these principles can forbid without being forbidding.

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CHAPTER 5 MODERATING SEVERITY 19/5.1 )t£; Z 3 ' ~UJ:Y.ffffffi!WZ.' ~J.;J~B!W' J:""fZ.t§!IJfu' El3~1lli* o

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3. Tao Hongqing.

C. The way anarchic states treat their people does not take human nature into account, nor does it consider natural human predispositions: it irritates them with complicated instructions and faults the people for not knowing them, increases the number of orders and condemns the people for not following them, makes restrictions more severe but condemns the people for not being daring, burdens the people with heavier responsibilities and punishes them for not being able to bear them. The people go forward only because they want the reward, and they retreat only because they fear the punishment. Knowing that their strength is insufficient, they pretend to continue in their efforts. When their pretense is discovered, their superiors follow through by condemning them. In this way, condemnation brings about more condemnation. And it is in this way that the mutual animosity between superior and inferior is created.

THE EXAMINATIONS

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+· Chen Changqi, Yu Yue, Tao Hongqing; note entered into the text.

s. Sun Qiangming.

D. Accordingly, rites that are too complicated lead to irreverence, complicated tasks to nonproductiveness, complicated rules to disobedience, and complicated prohibitions to inactivity. The prohibitions of Jie and Zhou were so numerous they could not be counted. The people responded to this situation, and Jie and Zhou were murdered. It was because they were extreme. Prince Yang was fond of severity. A passerby broke his bow and feared he would be killed for it, so when a mad dog was being chased, he took advantage of this to assassinate Prince Yang-all because the prince was extreme. The Zhou bronze tripods are decorated with a qie insect pattern, wherein the shape is very long but the top and bottom are both curved, to symbolize the defects inherent in that which is extreme.

7\EJ~~

CHAPTER 6 USING DESIRE 19/6.1

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Were people to have no desires, then their superior, however worthy he might be, would be unable to use them. People who lack desires regard being Son of Heaven as equivalent to being a cartman or menial, possessing the entire world as equal to lacking so much as an awl-point of land, and

BOOK 19

497

Patriarch Peng's longevity as equal to an infant's early death. Son of Heaven is the noblest position, the world the greatest wealth, and the life of Patriarch Peng the greatest longevity. Yet if you genuinely had no desires, these three would be insufficient to motivate you. Cartmen and menials are the most contemptible positions, lacking so much as an awl-point of land is extreme poverty, a child that dies in infancy has the shortest of fated life spans. Yet if you genuinely had no desires, these three would be insufficient to deter you. But should people have even one desire, then as far north as Daxia, as far south as Beihu, as far west as Sanwei, and as far east as Fusang, no one would dare create problems. Even if they had to fall on bare blades, endure a torrent of arrows raining down on them, or run through floods and fires, they would not dare retreat. They would arise early in the morning, work at plowing, suffer hiring themselves out as laborers, and on certain occasions have to bear vexatious and demeaning conditions; yet they would not dare rest. Therefore, the more numerous a person's desires, the more he can be used; the fewer his desires, the less he can be used; a person who lacks desires cannot be used at all. If people possess many desires, but their ruler lacks the means to command them, then even though the people obtain everything they wish, they still cannot be used. The Dao by which one permits people to obtain what they desire cannot but be examined. 19/6.2

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A skilled superior is capable of causing people to satisfy their desires without limit; and this is why his people can be used without limit. The Man and Yi barbarians-despite their backward tongues, their different customs, and odd practices; despite their clothes, caps and belts, houses and encampments, boats, carts, vessels, and tools; and despite their pref-

THE EXAMINATIONS

erences of sound, sight, and flavor all being different from ours-are one with us and the same as us in satisfYing their desires. Even the Three Kings could not alter the desires. Despite the fact that the desires could not be altered, they accomplished their tasks because they conformed to the nature with which Heaven endowed people. Jie and Zhou Xin could not reject the desires. Despite their inability to depart from the desires, their states perished because they contravened the endowment Heaven gave them. To contravene Heaven and not recognize that one has done so is "immersion in custom.'' The long-term effect of such immersion, if not cast out, is akin to that of inborn nature. One must thoroughly understand the relation between inborn nature and the "nature" that is not inborn. How can one who has not been instructed in the Dao hope to cast out the nature that is not inborn? If you have no means of casting out the nature that is not inborn, your desires will never be proper. If your desires are not proper and you use them to govern yourself, you will die prematurely. If your desires are not proper and you use them to govern your state, it will perish. Therefore the sage-kings of antiquity paid particular attention to conforming to the endowment Heaven gave them in acting on their desires; all the people, therefore, could be commanded and all their accomplishments were firmly established. "The sage-kings held fast to the One, and the barbarians of the four directions came to them" refers to this. 19/6.3 ¥JI-%f~:Rili

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Chen Qiyou.

3· Sun Qiangming.

He who holds fast to the One is the noblest person, and the noblest has no peer. The sage-kings depended on having no peer; this is why the people entrusted their fate to them. There was a pack of dogs that lived together peacefully and without fighting over anything. When, however, a roast fowl was tossed into their midst they all fought over it. Some had their bones broken, others their flesh ripped, because the chicken was a reason to fight. When there is a reason to fight, then there is fighting. When there is no reason to fight, then there is no fighting. Not one of the myriad states will fight with others when there is no reason to fight.

BOOK 19

499

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A. As a general principle, well-governed states order their people to fight when the cause is righteous, and anarchic states order their people to fight for immoral reasons. When strong states order their people to fight, they are happy to fight; but when weak states order their people to fight, they are always apprehensive that the people will not fight. "Fighting for a righteous cause" and "being happy to fight" as opposed to "fighting for immoral reasons" and "not being willing to fight" result, respectively, in good fortune and catastrophe of such proportions that Heaven cannot cover them, nor Earth support them.

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BOOK 19

503

Duke Huan ofQi attacked the state ofLu [681 ], but the populace ofLu did not dare consider it a trivial matter to engage in battle with Qi and so established the boundary between the two states some fifty li from the Lu capital. Lu then proposed that it be permitted to obey Qi as a marquisate within the state's border posts, and Duke Huan granted the request. Cao Hui asked Duke Zhuang ofLu, "Would you rather die and then die a second time, or would you rather live and then live a second time?" "What are you talking about?" Duke Zhuang asked. "If you heed your subject's words;' Cao Hui responded, ''your state will definitely increase in size, and you yourself will surely enjoy peace and happiness. This is what it means to live and then live a second time. If on the other hand, you do not heed your subject's words, your state will certainly be destroyed, and you will suffer danger and disgrace. This is what it means to die and then die again?' "' beg to follow your advice," Duke Zhuang replied. In accordance with this, on the following day, when the duke was to swear the covenant with Qi, he and Cao Hui carried concealed swords to the top of the altar. With his left hand grasping Duke Huan, Duke Zhuang used his right to pull out his sword, and pointing it at himself, he said, "Originally the borders ofLu were several hundred li from the capital. Now they are fifty, so I surely cannot go on living. Since I must die anyway, I will kill myself here in front of my lord?' Guan Zhong and Bao Shu attempted to advance, but Cao Hui, with his hand on his sword, planted himself between the two stairways leading to the top of the altar. "Our two lords are going to change their plans;' he exclaimed, "and so no one may advance." Duke Zhuang said, "If you establish the border at the Wen River, that will be permissible. Otherwise, I propose to die?' Guan Zhong shouted to Duke Huan, "One uses territory to protect the ruler, not the ruler to protect the territory. You should grant the request, my lord." The border was thus fixed south of the Wen River, and a covenant was made. Mter returning home, Duke Huan desired not to concede the land, but Guan Zhong said, ''That would be wrong. Their purpose was to extort land from my lord and not to make a covenant, but my lord did not understand this, so he cannot be called wise. Because my lord confronted the difficulty but was unable to resist acquiescing to the other party's wishes, he cannot

THE EXAMINATIONS

504-

be called brave. Because he agreed to the terms but is now unwilling to live up to them, he cannot be called trustworthy. If you are neither wise, nor brave, nor trustworthy then you will not be able to establish a meritorious name. Give them what they want. Even though you lose territory, you will have kept your word. At the price of four hundred li of land, you will gain the trust of the world." Duke Zhuang was an enemy, and Cao Hui was a bandit. If Duke Huan kept his promises to an enemy and a bandit, how much better would be his treatment of those who were neither! That when he nine times convened the feudal lords, they all came together, and that when he rectified everything, they all heeded him, were due to this. Guan Zhong may properly be said to be "capable of relying on things as they are?' He turned disgrace into glory and failure into success. Although there were losses at the beginning, it can be said that there were gains in the end.

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Sun Qiangming, Chen Qiyou.

2.

Liang Zhongzi.

It is assuredly impossible for things to be perfect. To use perfection as a standard for promoting men is surely difficult, given the essential nature of things. People disparaged Yao for his reputation as an unloving father, Shun for his notoriety as the debaser of his father, Yu for the aim of coveting the throne, Tang and Wu for the allegations of plotting the expulsion and assassination of their lords, and the Five Lords-Protector for the claim that their

BOOK 19

505

goal was to encroach upon and seize the territory of others. If we consider the implications of this, how can anything be considered perfect? The gendeman therefore holds others accountable according to the standards of other men, but he uses the standard of morality in holding himself accountable. Since he holds others accountable according to the standards of other men, it is easy to find them adequate to the task and hence to obtain them. Since he uses the standard of morality in holding himself accountable, it is difficult for him to do anything wrong and hence his actions are scrupulous. Therefore, he can be entrusted with the responsibility for Heaven and Earth and still have energy to spare. Of the unworthy man this is not true. He uses morality as a standard for holding others accountable, while holding himself accountable only to the standards of other men. Since he holds others accountable using the standard of righteousness, it is difficult for them to suffice, and hence he loses those who are close to him. By holding himself accountable using the standards of others, it is easy for him to do as he wishes, and hence his actions are careless. The world accordingly is not big enough to accommodate him, so his choices bring danger to himself and destruction to his state. Such were the actions ofJie, Zhou Xin, King You, and King Li. A foot oflumber is certain to have knots in it, and an inch of jade is certain to have flaws. The Former Kings knew that perfection in things is impossible; hence, they selected those who worked at things and honored the principle of choosing those who were good at one thing. 19/8.2 *i*~M0*

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The head of the Ji clan had usurped the power of the ducal house ofLu. Confucius wanted to instruct him in the proper methods while disassociating himself from his action. But because Confucius accepted a salary and took the opportunity to offer persuasion, people in Lu criticized him. Confucius responded, "The dragon eats and swims in clear water; the one-footed dragon eats in clean water but swims in muddy water; fish eat and swim in muddy water. Now, I have not ascended to the level of a dragon but! have not descended to that of fish. I am perhaps a one-footed dragon!"

THE EXAMINATIONS

506

When you want to accomplish something, how do you coincide perfectly with the carpenter's line? Rescuing the drowning requires getting wet; chasing someone running away means having to sprint.

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Marquis Wen ofWei had a younger brother named Jicheng and a friend named Di Huang. Marquis Wen wished to name one of them his minister but could not decide which, so he asked Li Ke about it. Li Ke said, "If my lord wishes to name a minister, then it should be on the basis of determining who is worthier, Le Teng or Prince Gouduan." "Excellent:' said Marquis Wen. Because he found Prince Gouduan, whom Di Huang had recommended to be incompetent, while he found Le Teng, whom Jicheng had recommended, to be worthy, he made Jicheng his minister. As a general rule, the advice of others cannot but be closely examined. Jicheng was Marquis Wen's younger brother, Di Huang was his friend, and yet he was incapable of knowing them. How then could he better understand Le Teng and Prince Gouduan? It is unreasonable to assume that one can be sufficiently familiar with those who are distant and lower in rank while not being sufficiently familiar with those who are close and with whom one has repeated contact. It is unreasonable, and yet this was how Marquis Wen chose his minister. In this he was mistaken, and so Li Ke's advice to Marquis Wen was also mistaken. Although both were mistaken, the situation is like the relation of metal to wood: although metal is flexible, it is still harder than wood.

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2.

Yu Yue.

Long ago, in great antiquity, there were no rulers, but people lived together in societies. They knew their mothers but not their fathers. There were no distinctions made between close and distant relatives, older and younger brothers, husbands and wives, and male and female; no Dao for dealing with superiors and inferiors or older and younger; no rituals governing advancing and withdrawing in court or bowing and yielding; nor any such conveniences as clothing, shoes, belts, houses, and storehouses; nor any such facilities as tools and utensils, boats and carts, inner and outer city walls, or border fortifications. These hardships existed because there were no rulers. Accordingly, we cannot but make clear the moral principles that govern the relations between lord and minister. From highest antiquity down to the present, the world has seen many states perish, yet the Dao of rulership has not been abandoned because it is of benefit to the world. Therefore, lords who were not true lords have been abandoned but those who practiced the Dao of rulership have been established. What is the art of ruling? It is taking "benefiting without deriving benefit" as one's standard.

THE EXAMINATIONS

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s. Xu Weiyu. For the most part, there are no lords to the east of the banks of the Wei, in the villages of the Yi Hui barbarians, and in the dwelling places of the Dajie, the Lingyu, the Gong people, the Luye, the Yaoshan, the Yangdao, and the Giants. For the most part, there are no rulers to the south of the Yang and Han rivers, in the confederation of the Hundred Yue tribes, in the territories ofBikaizhu, Fufeng, and Yumi, and in the states ofFulou, Yangyu, and Huandou. For the most part, there are no rulers to the west of the Di and Qiang barbarians, and the Hutang and Li rivers, among the streams of the Bo people, the savages, and the Pianzuo, and in the villages of the Zhou people, the Songlong, and the Tu people. For the most part, there are no rulers to the north ofYanmen, in the states ofYingshun, Suozhi, and Xukui, in the territories ofTaotie and Qiongqi, in the locale of Shuni, and in the dwelling place ofDaner. It is in these four regions that there are no rulers. Their people are like the deer, wild birds, and the beasts, in that the young order the old about, the old fear the able-bodied, the strong are the "worthy;' the violent and arrogant the "honored." They harm each other day and night, they never rest, and in this way destroy their own kind. A sage looked deeply into this troubling situation. Pondering long over how to govern the world, he thought it best to establish the position of Son of Heaven. Pondering long over how to unify the states, he thought it best to establish a lord. The establishment of a lord was not done out of partiality for lords, nor the establishment of Son of Heaven out of partiality for the Son of Heaven, nor the heads of office out of partiality for heads of office. Only later after Power had declined and the world was thrown into chaos 3· Chen Qiyou.

4. Lii Tiaoyang, Chen Qiyou.

BOOK 20

513

did the Son of Heaven benefit from the world, the ruler of a state from his state, and the head of an office from that office. This is what explains the rise and fall of states and the regular occurrence of periods of chaos and difficulty. And it is why loyal ministers and incorruptible scholar-knights criticize their ruler's transgressions and are willing to die for their sense of duty. 20/!.4

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Yu Rang wanted to kill ViscountXiang of Zhao. In order to alter his appearance, he shaved his hair, removed his eyebrows, and scarred his face. Looking like a beggar, he went to beg at his wife's home. She said, "You look nothing at all like my husband- how is it that your voice very much resembles his?" Yu Rang swallowed burning coals to change his voice to a croak. An acquaintance said to him, "The Dao you have chosen is extremely difficult, yet it produces no results. It would be correct to call you willful but not to call you wise. With your talents, were you to seek to serve Viscount Xiang, he would certainly make you one of his intimates. If you became an intimate, you could realize your desire. It would be very easy for you definitely to achieve results." Yu Rang answered him with a laugh. "What you propose would be to take vengeance on someone who came to know me later for the sake of someone who knew me earlier, to murder a new lord because of an old lord. There could be no greater distortion of the moral obligations between lord and minister than this. Your advice misses entirely what I am doing. The reason I am doing it this way is to make clear the moral obligations between lord and minister; it is not to follow the easiest course."

THE EXAMINATIONS

514

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Zhu Lishu served Duke Ao ofJu. Because he thought his talents were not recognized, he went to live by the sea. In the summer he ate water chestnuts, and in the winter acorns. When Duke Ao was in trouble, Zhu Lishu bid farewell to his friend and went to die for the duke's cause. His friend said, "You left because you yourself thought he did not recognize your talents, and now you want to go and die for him. If you do this, you will eliminate the distinction between being recognized and not being recognized?' "Not so;' replied Zhu Lishu. "It is true that I left because he did not recognize me. Now ifi die without having done this, it would show that in the final analysis he had recognized me for what I was. I am going to die for him to bring ignominy to rulers of later ages who do not recognize the talents of their ministers, to stimulate rulers to act properly and to make their ethical standards more rigorous. When proper actions have been so stimulated and ethical standards made rigorous, loyal ministers will enjoy the blessing of careful scrutiny. When loyal ministers are carefully scrutinized, the Dao of the lord is made more secure."

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Jiang Weiqiao; Tang taboo.

2.

o

J:l!J·~~7E~Z:5t

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Chen Qiyou.

A. Yu was making a tour of inspection of the south. Just when he was fording the Yangzi, a yellow dragon lifted his boat upon its back. All the passengers turned five different colors. Yu looked up towards Heaven and sighed, "Having received the Mandate from Heaven, I have expended all my energy in nourishing the people. Life is a matter of human nature, death a matter of fate. What have I to fear from a dragon?"

The dragon hung its head down, dropped its tail, and slithered off. Thus, Yu fully understood the difference between death and life and the constant principles of benefit and harm.

• m~~OOmG1fili o ~ll!!ll'l~C~ GV> ~ 3 ~{ft. • l'f~~CrJ!51 LC> ~ 4 ,!B, ; AJJ\l'fEEI~.ftt!II • l'l:1E'If.ii~ : Jl:t~~z~, 40CZJS:Efili • 00=1'1~/f~Ziilili o il~A/ft)~;J'Lf!'H$ • irJ~OOtJ,f=,'f:EI= o fLA~1f

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o

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4. Chen Qiyou.

5· Tan Jiefu, Yang Shuda.

B. As a general principle, humans and things are produced by the transformations of the Ym and Yang. The Yin and Yang are created by Nature. In Nature there definitely is decline, deficiency, decrease, and demise, as well as flourishing, surplus, increase, and reproduction. Similarly, humans experience trouble, failure, exhaustion, and insufficiency, as well as fullness, fruition, mastery, and success. All of these are principles ofNature embracing

THE EXAMINATIONS

520

all things, enumerations of what must be so. The ancient sages did not allow their personal feelings to harm their spirits but instead quietly awaited what was to be. 20/3.4 ~rW~ffM·~~a:r~w~~®W0~~~~~~~ 0 J~r~ ®a~·~®~~B:~~"~W0~~®W~~~~~~~o~~ff~m·•

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fu~·~~M~~®~~fu·A$fi0~··~~~w•o~$fu~·• Z*~·~Z*~om±~~~~fu·~~~~Z~®*•zo 6. Bi Yuan; but cf. Chen Qiyou.

When Master Yan Ying was to make the covenant with Cui Zhu, the text said: "Ifl am not allied with the Cui family but with the ducal family of Qi, may I suffer misfortune?' Yan Ying lowered his head and spread blood across his mouth, then raising his head, called out to Heaven: "Ifl am not allied with the ducal family of Qi but with the Cui family, let me suffer misfortune?' Cui Zhu was very displeased. He pointed the tip of a lance at Yan Ying's breast and placed the crook of a halberd across his neck, saying to Yan Ying, "If you change your words, I will share the state of Qi with you, but if you do not change them, all is finished with you?' "Oh, Master Cui:' replied Yan Ying, "are you the only one who has not studied the Odes? The Odes says, Oh, so flourishing is the clinging vine, It spreads to the trunk of the pomelo. Oh, so kindly is the gentleman, In seeking fortune he does not swerve. [Shi, "Da Ya;' "Hanlu," Mao 239]

Can I swerve for the sake of seeking fortune? You should consider this?' "This man is a worthy:' said Cui Zhu, "and so should not be killed?' He then put down his weapons and left.

BOOK 20

521

Yan Ying then grabbed the mounting strap and climbed aboard his chariot. His driver was about to rush offwhen Yan Ying restrained the driver's hand. ''Take it easy! We do not want to forget the proper decorum. Hurrying does not ensure my survival, and going slow does not mean I will die. The deer born in the mountains is fated to end up hanging in the butcher's shop. My fate declares where it is I shall be hanging?' Yan Ying can properly be said to have "understood fate?' Fate is the way things turn out though we do not know the reason why they do. In carrying out their duties, men may employ their wisdom and cunning when they propose to do something or desist from action, but this can have no affect on their fate. Following a particular line of action will never lead one to realize it, and avoiding another will not cause one to elude it. A scholarknight of the state knows that it is like this and so uses his sense of duty to make his decisions, then rests secure. 20/3·5 S~~~-0~-§~B: r~~Ze·~~Z~·~•z•·~~~

otJ~~•. fffl~~•• o C4-~~~BF. *if~~~ze. ~_tz • JJH~ffiJiifJZ o J .§.§B: r fil\A iP. • 1%5EPJr"~? ~ S~B: r JJJi:0~

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~WS5E~·Z*?JS~-~·o·§~~ffiJilioRR·~~ft:R~ ~PJ:I:ii1 • fji!.PJ~ o~ll:±ZR;tt~fu&HPJ) 8 i!Jll • (!J6,) 81ifltii1 • ~1&'if ~~~Rffl*o 7· Chen Qiyou; parallelism.

8. Xu Weiyu;QSZTquotation.

Bai Gui inquired of the Zou prince Xiahou Qi, ''The most heroic deeds in the world are the discipline ofwalking the marking line, the determination of the people of the Four Superior States, and the partition ofJin into three states. Because I lived in Jin, I am very familiar with the events surrounding its partition, but now that I live in Zou, I have still not learned about the discipline of walking the marking line or the determination of the people of the Four Superior States. I hope to learn about these?' Xiahou Qi responded, "Being a rustic, how can I have learned of these things?" "I hope that you, sir, will not to decline to teach me out of modesty?'

THE EXAMINATIONS

522

"Let the fact that you consider something right be the reason you do it, then the whole world cannot prevent you from doing it. Let the fact that you consider something wrong be the reason you give it up, then the whole world cannot force you to do it?' "Can profit not induce you to do it, and coercion not stop your" "If life is not sufficient to induce you to do it, how could profit bd If death is inadequate to prevent you from doing it, how could harm bd" Bai Gui could not respond. Xiahou Qi took his leave and exited. It is a general rule that one uses different means in getting the worthy and the unworthy to act. You can induce the unworthy to do something with rewards and punishments, but you must use moral principles to induce the worthy. Therefore, what the worthy leader uses to induce his subordinates are necessarily moral principles, and what he must examine attentively are matters of reward and punishment. Only then will he be able to make full use of both the worthy and the unworthy.

CHAPTER 4 NATURAL ATTRACTIONS BETWEEN THINGS 20/4-.I

' !fl1t5l!J !1! o i!&l~ '§ mf§ !1! ' llJZ fil 1ffi ftl ill ; .L') llU!z mi.Uli!Z?!T El3!(' ~tA...L'J~liP ' ~C::f) 1 ~D;!tJ5!TCEI3) 1 o i!&~ifflL 1F19liifflL' C~ GV> Y 2 &,Tilfi o 19llifflL*&'L::ill' =BlriJIIJ~.L')f¥* o ~Ji f"l rEI TI

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Wang Niansun; commentary entered into text.

2.

Bi Yuan.

Things belonging to the same category naturally attract each other; things that share the same ethers naturally join together; and musical notes that are close naturally resonate with one another. Thus, strike the notegong on one instrument, and other strings tuned to the note gong will respond, or strike the note jue, and the other strings tuned to the note jue will vibrate. Use the dragon to bring rain, Use a form to pursue a shadow.

The natural occurrence of fortune and misfortune is considered by the masses to be a matter of destiny; but how could they know its true source?

BOOK 20

523

Hence, when a state is in disorder, it does not merely remain in disorder but attracts bandits. Were it only to remain disordered, it would not necessarily perish; but since it attracts bandits, there is no means by which it could survive. 20/4.2 R~Zffl&·ffl~~·ffl~~o~·~···~~~~:~R~··~ ~HfiJ $~rJ!H11$Z C~ GV> X 3 t5C~N:i:-'f? t&*'l:f:t!!W~

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3· Bi Yuan.

4-. Yang Shuda; 13/2.3 parallel.

The general rule for the employment of the military is that it should be used for profit and the morally right. If one attacks the disorderly, they will submit, and when they submit, the attack will have produced profit. If one attacks the disorderly, one acts morally, and as a moral act, the attack will have resulted in glory. If even ordinary rulers secure profit as well as glory from acting this way, how much more is this true of the worthy ruler! Hence, ceding territory, offering treasured vessels, apologizing humbly, and bowing in submission are not enough to prevent an attack. Only order can accomplish that. If a state is well-ordered, those who seek profit and those who look for fame will not make campaigns of chastisement against it. As a general rule, attacks and chastisements, if not undertaken for the sake of profit, are assuredly for the sake of reputation. If reputation in truth cannot be made, then although the state is strong and large, there is no basis for it to attack. 20/4·3

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S· Tan Jiefu, Chen Qiyou.

The history of warfare is long indeed. Yao did battle on the banks of the Cinnabar River in order to force the Southern Man to submit. Shun pushed

THE EXAMINATIONS

524

back the Miao people and changed their customs. Yu attacked the ancient states of Cao and Wei, and Qi attacked Qu'ao and the Hu in order to spread their civilizing influence. The Three Kings and those who preceded them all assuredly used their weapons. When there was disorder, they used them; when there was order, they stopped. There is no greater cause of misfortune than to attack what is well-ordered, and there is no harm to the people more enduring than failing to assault disorder. These are the permutations of order and chaos from which the civil and the military matters arise. Civil matters are expressions of love; military matters are visible signs of hate. That love and hate accord with moral principles and that there is constancy in civil and military are fundamental for a sage. It is analogous to the seasonal succession of heat and cold. When the season comes, its activities are produced. The sage is incapable of making a season, but he is able to match his activities to the season. When a person's activities match the season, his accomplishments are great.

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6. Shokoen Usai, Chen Qiyou; TPYL 490.

7· Jiang Weiqiao.

Director ofWorks Chi was the Chu emissary to Song. Director of the City Walls, Prince Han welcomed him with a drinking party at his home. A wall belonging to Prince Han's neighbors to the south protruded onto his property, but he did not try to make his neighbors straighten the wall. The drainage ditch from his neighbor to the west drained through his courtyard but he did not stop it. Director of Works Chi asked the reason for this. Prince Han replied, "My neighbors to the south are artisans who make

BOOK 20

525

shoes. When I was about to move them, the elder of the family said to me, 'We have depended on making shoes for our livelihood for three generations. If you move us, those in Song who want shoes will not know where to find us and we will have no living. I hope the prime minister of our state will be concerned over our having no livelihood.' For this reason I did not move them. The property of my neighbor to the west is high, while mine is low. That his drainage ditch passes through my property is of benefit to me, so I have not prohibited it." Director of Works Chi returned to Chu just as the king of Chu was raising an army to attack Song. Director of Works Chi remonstrated with the king, saying, "Song cannot be attacked. Its leader is worthy, and its prime minister humane. A worthy man can win the people, and a humane one can employ others. If Chu attacks them, it will surely be unsuccessful and furthermore will become an object of ridicule for the entire world.'' Therefore the king gave up on Song and attacked Zheng. When Confucius learned of this, he said, "One who puts his courtyard in good repair and causes enemies to be humiliated and plundered a thousand li away- does this not describe Prince Han?" Song was located in the midst of three great ten-thousand-chariot states, but in the timeofPrince Han it suffered no encroachment from them; instead, its borders increased in all four directions. Prince Han served as minister to Duke Ping, Duke Yuan, and Duke Jing and lived the full life fated for him. Was he not both humane as well as frugal? Hence, the achievements of the humane and frugal are great. The roof of the Zhou dynasty Hall of Light that is made of thatch, its pillars that are made of artemisia, and its earthen stairways that have three steps are all meant to exemplifY frugality. 20/4.5 mMr~•~·~~~tt~z·M~-~·h~W~&omMrB: rfllJ;!t~fu? ~

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mMrfttJ(.W:fl!Jo A. Viscount Jian of Zhao was about to make a surprise attack on Wey, and so he sent Scribe Mo to go and spy on Weyand to return in exactly one month. When Scribe Mo returned only after six months, Viscount Jian asked him, "Why did you take so long?"

THE EXAMINATIONS

526

"Have you still not investigated the principle that while you plan for profit you encounter harm? Now, Qu Boyu is minister ofWey and Scribe Qiu assists him. Confucius is a retainer there, and Zigong carries out orders in the presence of the lord. All are very much heeded. The Changes says: 'The swelling is surely a crowd. Primal. Good fortune.' 'Swelling' refers to the worthy. 'Crowd' means a multitude. 'Primal' refers to the beginning of good fortune. So the line 'The swelling is surely a crowd. Primal. Good fortune' refers to the many worthy men who assist the government ofWey." Viscount Jian of Zhao thus kept his troops from moving. RK~··fuo·~~~~-·~~~-~-~~··~~~~-~~o

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B. ''As a general principle, people make plans because they have doubts." Since they have doubts, they follow moral principles in deciding a matter. If they follow moral principles in deciding a matter, their plans will not fail. If they do not fail, both reputation and reality will follow from it. When it is the project of a worthy leader, why must he wait for the banners to tumble and the generals to die before knowing who has won and who lost the battle? If he understands the rational principle that governs them, success or failure, honor or disgrace, can be predetermined. Therefore, no one was held in higher esteem by the Three Dynasties than the worthy.

liB it. CHAPTER 5 REMOVING BLOCKAGES 20/5-1 RA~§~+W•ft8li~~WoM~-~ttfu·~--~~fu·B~ •~fj?i)fu

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MBfu~*o~~··~~*·~~~~o 6. Xu Weiyu.

7· Chen Qiyou.

8. Zhang Binglin, Gao Heng.

9. Chen Qiyou.

King Min ofQi acted in accord with the advice ofLiejing Zigao. Once, when Liejing Zigao was dressed in boiled silk clothes, a plain white silk cap, and shoes with pointed toes, at early dawn he purposefully walked through the lower part of the hall, lifting up his robes with both hands. He asked his attendant, "How do I look?" "You look charming and handsome, sir:' the attendant replied. Liejing Zigao then walked to the side of a well and looked in; he saw clearly the visage of an ugly man. He sighed and said, "Just because the king heeds my advice, my attendant flatters me. How much more would he flatter the one who heeded my advice?" For people to flatter the ruler of a state of ten thousand chariots would indeed be more harmful, for since he has nothing to use as a mirror, he will perish in no time at all. But who should be his mirror? Surely his scholar-

THE EXAMINATIONS

530

knights! Everyone knows that they are happy to have a mirror reflect their image but hate having a scholar-knight reflect their image. A mirror that reflects one's image provides a minor service, but a scholar-knight who reflects one's image provides a major service. Those who retain what is minor but lose what is major fail to see that one thing is the same in kind as another. 2ojs.s MM~B: r-ili~a·•ili~~aa•z•aili·~~MAZM:•

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Viscount Jian of Zhao said, "Zhao Jue loves me, but you, Yin Duo, do not. When Jue reprimands me, it is always in a place where no one else is present, but when you reprimand me, you enjoy correcting me in the midst of others in a way certain to cause me embarrassment?' Yin Duo replied, "Zhao Jue's love is concerned about my lord's embarrassment but not about his excesses. My love is concerned about my lord's excesses but not about his embarrassment. Your subject once learned the art of physiognomy from a master. A person whose facial skin is thick and the color of yellow earth can tolerate embarrassment. If I did not correct my lord in the midst of other people, I fear my lord would not change his ways." This shows the worthiness ofViscount Jian. When a ruler is worthy, his servants' words are sharp. If Viscount Jian were not worthy, would Duo have been able to remain in Zhao territory, let alone at the side of the viscount?

BOOK 20

531

CHAPTER 6 PROPER CONDUCT AND ASSESSING THE SITUATION 20/6.1 A±ZfiW~~~·~~~·~~fU•$g~*ffo~~Z$·~~Z $•mff&·~~~~~-~o~~~fi~·m~~·~3U~o

The conduct of a ruler is different from that of people who wear the clothes of commoners. When the circumstances are not advantageous and the time not beneficial, a ruler must serve his opponents in order to survive. He holds in his hands the fate of his people. To hold in one's hands the fate of the people is a heavy responsibility, and so he cannot permit himself to do as he pleases. Were a commoner to put this into practice, he would be reproved by the nation and not tolerated even in his native village. 20/6.2 ~~~~~~o~-~~·~~~8: r~~Z~~R*·~~Z~~ R~0o~~~~z~·®~~~-~0oJ~~-~~o~~~0o~

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Wang Niansun; Lunheng parallel.

Yao yielded rule of the world to Shun. Gun, who was a feudal lord, angrily said to Yao, "He who obtains the Dao of Heaven becomes a Sovereign; he who obtains the Dao of Earth becomes one of the Three Dukes. Now, I have got the Dao of Earth, but this has not made me one of the Three Dukes?' Gun believed Yao had made an error in his assessment of things, and he wanted to become one of the Three Dukes. His fierceness and wildness was roused and he wanted to rebel. Like a wild beast raising its horns, he could build fortifications [to defend himself], and like an animal raising its tail, he could plant his banners [as a sign]. He was summoned to court but would not come, and wandered aimlessly about in the wilds to make the Sovereign worry. Shun, thereupon, had him executed at Mount Yu and dismembered the corpse with a knife from the state of Wu. Yu, Gun's son, dared not

THE EXAMINATIONS

532

harbor resentment against Shun but, on the contrary, served him, being appointed minister of works in charge of clearing the water courses. Doing this work, his complexion turned black, he developed a limp, his bodily vital ethers would not flow, and his heart came to match that of his Sovereign Shun exacdy.

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Xu Weiyu.

2.

Chen Qiyou.

Were a physician so skilled that he cured nine out of every ten patients he treated, a myriad of people would try to see him. Hence, since the worthy man who accomplishes things and makes a good reputation is comparable to a skilled physician, is it not indeed a mistake that rulers do not recognize that they should urgently seek him out? Suppose there was a player of the game of draughts who did not rely on daring, opportunities, divination, or supplications, and yet was so skillful that he inevitably won. Establishing a reputation is similar to this, and its essential element consists in obtaining worthy men. Marquis Wen of Wei took Bu Zixia as his teacher, befriended Tian Zifang, treated Duangan Mu with great courtesy; as a result, his state was well governed, and he enjoyed a life of personal ease. Why should the worthy rulers of the world have to endure bodily pain and various worries?

BOOK 21

553

All that is necessary is to hold fast to the essential element. When snow, frost, rain, and dew are seasonal, the myriad things are nourished, the people are refined, and sickness, disease, and pestilence end. Therefore, the saying "Yao carried himself as if he were wearing an oversized fur cloak that hung down" is used to describe his doing very little. 2!/2.2

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When Fu Zijian governed Shanfu, he played the zither and did not leave the hall, yet Shanfu was well governed. When Wuma Qi left home, the stars were out, when he returned, the stars were out; and so he never got any rest, day or night. He attended to matters personally, and Shanfu was also well governed. Wuma Qi asked Master Fu to explain this, and Master Fu said, "I depend on other people, whereas you, sir, rely on physical labor. He who relies on physical labor works hard, while he who depends on others relaxes." Master Fu was a gentleman who relaxed his four limbs, kept the powers of his ears and eyes intact, and kept an even temperament, yet the hundred offices were orderly and the people moral, all because he employed these techniques. Wuma Qi was not like this. He wore out his life, used his vital essences, labored with his own hands and feet, and troubled himself about directives and rescripts; and even though there was order, it never reached the level of Master Fu's order.

THE DISCOURSES

554-

-=:.E!M'ii CHAPTER 3 AWAITING WORTHY MEN 21/3.1

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Sun Shucheng.

2.

Chen Qiyou.

One who uses the attraction of locusts to light need only devote his attention to the brilliance of his fire, shake the tree, and do nothing more. If the fire is not brilliant enough, then although one shakes the tree, what good will it do? The brilliance of the fire is the result not only of the fire itself, but also of the surrounding darkness. Now, in the present age, the darkness of the world has become extreme. Were there to be a ruler capable of making his Power brilliant, the scholarknights of the world would flock to him like locusts to fire. As a general rule, a state does not simply become peaceful and a reputation illustrious; rather, it is necessary to employ worthy scholar-knights for these things to happen. 21/3.2

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4. Yu Yue.

Viscount Jian of Zhao was resting during\the daytime when he suddenly said with a sigh, "How odd! I have wanted to attack Wey for ten years but still have not done so?' An attendant said, "With the great size of Zhao and the puniness of Wey, it would certainly be proper for your lordship not to want to attack it. If, however, your lordship does desire it, I ask leave to attack it now?'

BOOK 21

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"It is not as you say. There are ten scholar-knights from Wey who are here with me. I had planned to attack Wey; but these ten men all said it would be immoral to do so, and were I nonetheless to attack Wey, I would be doing something immoral.'' Hence, in the time of Viscount Jian, Wey used ten men to restrain the army of Zhao as long as the viscount lived. It may properly be said that Wey "understood how to employ men.'' By allowing ten scholar-knights to wander free, their homeland won security. It may be said ofViscount Jian that he was good at heeding remonstrance. By heeding the ten scholar-knights, he never acquired a reputation for attacking the small and seizing the weak. 21/3-3 ~)'(f~~~-=f*Z.fi;!'Jlffl!WtZ.

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s. Liu Wendian. 6. Bi Yuan, Sun Shucheng, Chen Qiyou. When Marquis Wen ofWei passed the district where Duangan Mu lived, he leaned on the front railing of his chariot as a gesture of his respect. His driver said, "Why do you lean on the front railing?" "Is this not the district of Duangan Mu? As Duangan Mu is surely a worthy, why would I presume not to bow to him? Moreover, I have heard that Duangan Mu was unwilling even to consider trading places with the unworthy one, so why would I presume to be haughty to him? Duangan Mu has breadth of Power, whereas I, the Unworthy One, have breadth of territory. Duangan Mu is rich in morality, whereas I am rich in material goods.'' "If he is as good as you say, then why do you not make him a minister?" asked the driver.

THE DISCOURSES

556

The ruler thereupon invited Duangan Mu to be minister, but he was unwilling to accept. The ruler then gave him an emolument of one million and regularly went to his home to call on him. Thereupon the citizens rejoiced and all chanted: Our ruler loves rectitude, So Duangan Mu is the one he reveres. Our ruler loves loyalty, So Duangan Mu is the one he exalts.

A short time later, the state of Qin raised an army, intending to attack Wei. Sima Tang remonstrated with the ruler of Qin, saying, "Duangan Mu is a worthy man whom Wei treats with great courtesy. The whole world has heard about this. Would it then be permissible to send troops against them?" The ruler of Qin agreed, stopped his troops, and did not attack Wei. Of Marquis Wen ofWei it may properly be said that he was "good at using troops;' having been taught that when the gendeman uses troops, no one sees them, yet his goals are accomplished. Surely this is a description of Marquis Wen. When a crude man uses troops, the war drums sound like thunder, his commands and shouts shake the earth, clouds of dust fill the sky, arrows fall like rain, the wounded must be carried and the dead transported in carts, treading on guts and wading through blood, and so many innocent people die that they would fill a plain. Yet with all this, whether the state will survive and its ruler live cannot be predicted. How far indeed from humanity and morality all this is!

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CHAPTER4 BEING ATTENTIVE TO THE PURPOSES OF ACTION 21/4.1 ~~ffimili·~~~m~mili·~ffi~moo~m~~o4~A~~·~

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The body is what one does things for; the things of the world are what one uses for that purpose. If you are attentive to what you use, then what is

BOOK 21

557

unimportant and what is important will be treated suitably. Now, suppose there were a man who cut off his head to change hats or killed himself to change clothes; the world would surely think him mad. Why? Because a hat decorates the head, and clothes the body. If you eliminate what you want to decorate and concentrate on the adornment, it shows that you do not understand what one does things for. Those of our age who pursue profit resemble this. In the pursuit of profit, they endanger their persons, harm their lives, cut their throats, and chop off their own heads; they, too, do not understand what they do things for. 2I/4.2 *In~@$·~A~Z·~~~~®~~·~~~~®~~·~AZ

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4. Chen Qiyou; ZZ parallel.

3· Bi Yuan; ZZ parallel.

When the Great King Danfu dwelled in Bin, the Di barbarians attacked him. He offered them skins and silks, but they would not accept them; he offered them pearls and jade, but they were unwilling to take them. What the Di tribe wanted was land. The Great King Danfu said, "Dwelling with older brothers whose younger brothers I have caused to die and living with fathers whose sons I have caused to be killed-these I cannot bear to do. My people, be diligent and remain here, for what difference is there between being my subjects and being subjects of the Di barbarians? Moreover, I was taught that you should not harm what you intend to nurture by the very act of nurturing it.'' Leaning on his staff, he then left. All his people, leading one another, followed after him and eventually formed a state at the foot of Mount Qi. It may properly be said of the Great King Danfu that he was "capable of venerating life.'' One capable of venerating life, however eminent and rich he may be, does not allow nurturing to harm the body and, however poor and humble he may be, does not allow profit to ensnare his person. Now, when a person today receives the title and emoluments of his late father, he is certain to regard losing them as a grave matter. Life is

THE DISCOURSES

55 8

something that has come to us over a long period of time, yet we regard losing it as but a trivial matter. Is this not utter madness? 21/4-3 M·RffiW~§~o~-~~~-~·~-~~-~o~¥~8:

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The states of Han and Wei were fighting over disputed territory. Master Hua had an audience with Marquis Zhaoxi of Han, who had a worried look. Master Hua said, "Suppose the world's people drew up an agreement and placed it in front of your lordship, and the inscription said, 'Whoever grasps this inscription with his left hand will lose his right hand; whoever grasps it with his right hand will lose his left hand; but whoever grasps it will definitely gain possession of the world.' Would my lord pick it up? Or would he not?" "I, the unworthy one, would not pick it up:' answered the marquis. "Excellent!" proclaimed Master Hua. "From this, one can see that you value your two arms more than the world. Further, your body is more important than your two arms. The state of Han is less important than the world by far, so what you are fighting for is less important than the state of Han by an even greater distance. But your lordship obstinately troubles yourself and harms your life with worrying that you may not even win the territory.'' "Well argued:' said the marquis. "A multitude has instructed the unworthy one, but never before have I heard this doctrine.'' It may properly be said of Master Hua that he "knew what was unimportant and what was important.'' Because he knew this, his assessments were never m error. 21/4.4 t:j=q_lJ0~$~~1.ii'~8: r :§t::(£1I#l'J~J::. ~8: r_m~

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Prince Mou of Zhongshan said to Master Zhan He, "My body is beside the rivers and seas, but my mind is still below the gate towers ofWei. What should I do about it?" ''Value life;' advised Zhan He. "If you value life, you will disregard material gain." "I know that, but I cannot control myself:' "If you cannot control yourself, then indulge your inclinations. Your spirit will suffer no harm. The injury is twice as great if you cannot control yourself yet do not indulge your inclinations. People who do double injury to themselves are not to be found in the ranks of the long-lived."

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CHAPTER 5 LOVING ONE'S OWN KIND 21/5.1

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To be humane to other things but not to men cannot be counted as true humaneness; however, not to be humane to other things but only to men still may be regarded as a kind of humaneness. Humaneness means being humane to those of one's own species. Therefore, if a humane man can improve the situation of the people he will always do so. The Instructions of Shennong says, "If men do not plow during their prime, the world may experience hunger; if women do not weave during their prime, the world may suffer from the cold." Hence, Shennong personally plowed, while his wife personally wove, to demonstrate the principle of bringing benefit to the people. That the worthies do not consider the distances great but regularly travel between the courts of the kings and dukes is not because they seek profit, but because they regard caring for the people as their task. The

THE DISCOURSES

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entire world turns to a ruler who is capable of regarding the care of his people as his personal responsibility. True kingship does not mean the necessity of having sturdy armor, sharp weapons, select troops, and trained knights, nor the necessity of destroying the walled towns of others and murdering their populations. There were many kings in previous ages, and what they did was not always the same. But all were the same in meeting the crises of their age, in being concerned about what benefited the people, and in eliminating what harmed the people. 21/5.2 0M&m~••,~~~*o•~~z,mett,•••~,aw~

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Conduct cannot but be maturely considered. The failure to consider it maturely is like running toward a deep abyss, for although you may later have regrets, they come too late. The gentleman, when reckoning how he should act, considers what his moral duty is; the petty man calculates how he should act only in terms of whether it will be profitable or not. Only when he realizes the benefit of the unprofitable acts is it possible to reason with the petty man. 22/1.2

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