To become a god

Cosmology, Sacrifice, and SelfDivinization in Early China

Michael J. Puett

Published by the Harvard University Asia Center for the

Harvard-Yenching Institute
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Cambridge, Massachusetts, and London, England, 2002

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connology. Mcrilkc. and idf-divinization in early China / Michael
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Incluilei bibliographic references and index.
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i. God Proof CoimologicaL 2. Divinizarion-China* } I, Tide: Cosmology sacrifice^
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For God doth know that in the day yc car thcrof, then your eyes shall be
opened, and yt shall be as gods.
The Bible, Genesis 3* King James version
Emperors and kings,
are but obeyed in their several provinces.
Nor can they raise the wind or rend che clouds;
But in his dominion chat exceeds in this
Srrecchech as far as doth che mind of man.
A sound magician is a mighey god:
Here, Fauscus, try thy brains to gain a deity.
Christopher Marlowe, The Tragedy
of Doctor Faustus, lines 60-66
Who was it who first
Wrecked the bonds of love
And cransfbrmed them inro chains?
Which led rebels co make
A mock of cheir rights
Andkhe heavenly fire and.
Disdaining mortal wzys,
Elect presumption,
Striving to become the equals of gods.
Friedrich Holderlin, "The Rhine** (TransUtion by
Richard Sieburch, Hymns and Frapnents, pp 73-75)

Acknowledgments

This book is a product of

long-scanding inceresc in three disrincc disci^
plines: anthropology, history, and philosophy. Indeed, three of my scholar^
degrees arc from these fields (BAs in History and Philosophy and an MA
and a Ph.D. in Anthropology). My strong belief has always been that work
ing across these disciplines can be highly productive perhaps more from
che tensions chat arise than from che harmonies. My modeb have been my^
teachers: Marshall Sahlins#Anthony C. Yu, Edward Shaughnessy, and Paul
Friedrich, each of whose research straddles several disciplines.
I began researching che topics covered in this book as a graduate student
at the University of Chicago, bur put this research aside when ic became
necessary to (bais on completing my dissertation. The dissertation was subsequeiuly revised and became my first book, Tbe AmkWence < Credtio:
Debates Concerning Innovation and Artifice in Early China (Stanford University
Press, 2001). Much of the research and writing of che present work was
undertaken while teaching at Harvard Universicy. Although this book is
broader in scope and includes more anthropological 2nd compsu'ative analy
sis chan Ambivalence of Creation, che two works are relared.
During che decade I have been working on this book, an enormous num
ber of people have played invaluable roles in shaping the project. Foremost
among them are my teachers ar che Universicy of Chicago: Marshall Sahlins,
Anthony C. Yu, Edward Shaughness/, and Paul Friedrich* I condnue co be

ACKNOWLBDOMBNTS

deq)ly indebrcd to each of them, and each remains a constant source of

inspiration for me
I also thank my colleagues at Harvard Universicy, who have provided an
exciting incelleaual environment over the past seven years. I express my
gracicucte in particular to Peter Bol, with whom I have had so many
sdmulacing conversations about Chinese intellectual history. Special thanks
as well to Wilt Idenuu Stephen Owen, and Tu Wci-Ming. I fcl myself
fortunate to have such incelleccually engaged colleagues.
deep apprecia
tion also to Benjamin Schwartz and K. C. Chang, with whom I had many
cxddng conversacionfl about this book. I have condnued my conversations
with them in the pages due fellow; I deeply regret nor being able to hear
cheir replies. Harvard is an emptier place withour them.
I also give heartfelt thanks co David Keighdcjr. Even the numerous foot
notes and lengthy discussions of his ideas chat fill this book do not ade
quately reveal my debt to David His ability ro link medculous scholarship,
iniighrful hiirorical analysis, and a provocative use of anthropological cheoiy
has long inspired my work. I lec this book as being^to a significant degree
part oflengthy and ongoing conversation with David.
The reviewers of an early version of this book for the Harvard University
Asia Center, Srephen Durranr and an anonynmous reader, helped immeas
urably in making this a more coherenr and readable work. The remaining er
rors arc myr own, but they are probably all places where I uled co address
sufficiently che inadequacies the reviewers so expertly pointed out.
Many sections of this book were delivered as conference calks and invited
lectures over die pasr several years, beginning in 1996: several meetings of the
Warring States Woricing Group, organized by E. Bruce Brooks ar che Uni
versity f Massachusetts at Amhenn cwo Association of Asian Studies
meetings (1997 and 1999); che Universicy of Chicago; Stanford Universicy;
the University of California ac Berkeley; che University of Oregon; che Uni*
versicy of Pennsylvania; Grinnell College; Indiana University che University
of Heidelberg; Brown Univcrsicy; Bowdoin College; Princeton University;
che University of California ar Riverside; and the Universicyr of Michigan. I
am extremely grateful ro che many scholars whose comments on chose occa^
sions have been invaluable co the development of che ideas in this book.
E Bruce Brooks has played a iignificanc role in che field by organizing
several Warring Scares Working Group conferences as well as che Warring

ACKNOWLBDOMBNT8

xi

States Working Group e-mail list. My views have bentficed immeasurably

(irom the iiveljr and provocadve debates he has stimuIatecL
I am deeply graceful ro chose many srudencs at Harvard University who
had co listen to these ideas about humans and spirits in early Chixu. proba
bly &r more chan chey would have liked, over che ytzn in my seminars and
reading groups* I thank chcm nor onty (br voicing their cxcellem ideas,
commencsi and enndsms on those many occasions but also for plajring a
crucial role in building such a vibrant inccQectual communicy ac Harvard. In
particular I thank Sarah Allen. Timothy Baker, Anthony Birbieri-Low.
Alexander Bcccrofc^ Erica Brindley Rod Campbell Jennifer Carpenter,
Kang Chan, Jack Chen, Ta-Ko Chen. Stephen Chou Mary Coker, Wicbke
Denecke, Perer Dicmansoiu Shari Epstein, Robert Fostcn Remain Graziani,
Alexander Green, Narasha Heller, Brian Hoftert, Eric Hutton, Jung Wuf
Shiamini Kwa,
Kwa. Vinccnc Leung, Kit Marlow, Andrew Meyer( David Mozina,
Min B)fungbe Anne Ng, Christopher Nugent, Michiel Radich, Jeff
Richey Doug Skonicki, Jennie Song, Aaron Scalnaker, David Sundahl,
Sung Chia-fii, Nancy Tewkesbury, Cara Tonelli, Julius Tsii, Nicholas Tuscin#Honza Vihan, Curie Virig, and Zhou Qin.
I also express my deep appreciation and gratitude ro evetyone whose
(nendship has been so imporcint co me throughout this period: D. D. Baron
O. Bradley Bassler, Sceve Bokenkamp, E. Bruce and Taeko Brooks* Rob
Campany, Eileen Chow, Scoa Cook Mark Csikszencmihalyi, Stephen Durrant* Halvor Eifiring^ Paul Goldin, Christoph Harbsmeier, P. J. Ivanhoe,
David and Vannie Ketghdey, Barbara Mirder, Krisu vicz Willard Peter*
son# Sarah Queen* Lisa Raphals, Harold Roch# Haun Sauss^* Thomas
Schmitz, Michael Scoa, Laura Skosey, and Tim Weston.
Finally my deepest gradcude ro my &mily# to whom I owe everything
chat maners ro me in this world.

Contents

Introduccion
Secondary Scholarship 5/ Mcchod of Analysis %\! Outline 26
Anthropomorphizing the Spirirs: Sacrifice and Divination in
Lace Bronze Age China
The Foundations of Chinese Cosmologicil and Bureaucratic
Thought 32/ The Agon of Humans and Spirits in che Lace
Shang 40/ Placing che Ancestors: The Construction of the
Shang Pantheon 44/ Transforming che Spirits: Sacrifice in
die Shang 50/ A Moral Cosmos: The Zhou Conquest and
die Mandare of Heaven 54/ Pacifying the Spirits: Western
Zhou Sacrificial Practice 61/ The Art of the Sacrifice: The
"Shcng mm** Poem of the Shijing and Hesiod s Theogony 68/
Conclusion 76
Gaining the Powers of Spirits: The Emergence of SelfDivinizacion Claims in the Fourth Century bc
Spirits Within HumansThe Issue of Shamanism in Early
China and Early Greece 81/ Humans and Gods in Early
Greece 87/ Comparing China and Greece 94/ Humans and
Gods in Early China 96/ Heaven and Man in the Lunyu 97/

xiv

CONTENTS

The Moral Cosmos of the Mohiscs 101/ Separadng Huixuns

and Spirits and Dividing Heaven and Earth: The 9Chu )rur xia*
Chapter of the Guoyu 104/ Becoming Like a Spirit: The "Neiye"
Chapter of die Guanzi 109/ Conclusion U7
Accepdng the Order of Heaven: Humanicy and Divinitjr in
Zhuangzi and Mendiu
"Nodiing Can Overcome Heaven": The Notion of Spirit in the
Zhuangzi 122/ The Resignation ofthe Sage to the Order of
Heaven: The Cosmology of the Mencius 134/ The "Naturalism"
of Zhuangzi and Mencius 140
4 Descendants of the One: Girrebcive G>smologyr in che Late
Warring States
The One and che Miny^: Secondary Scholarship on Early Chinese
G)smology 146/ Tocemism and Sacrifice: From Graner to L^vi*
Strauss and Back Again 152/ The Great Unity of che Cosmos: The
Taiyi sheng shut 160/ Becoming an Ancestor co che People: The
Laozi 165/ Using the One co Explore Heaven: The Shilwjing 167/
Becoming a Spirit: The aXinshuMChapters of che Guanzi 170/
Becoming Like Heaven: The
cfni" 172/ The Paccem of
Heaven and EarthThe Xumi 1S1/ Submitting co che Trigrams:
The Xici zhuan 188/ Conclusion 196
5 The Ascension of die Spirin Liberation* Spirit Journcjrs, and
Celescul Wanderings
How co Readhe Ascension Liceracurc aoi/ The Libendon
of the Spirir. Question Four of the Shiwtn 205/ Liberadon
and Ascension in che Outer Chapters of che Zhuangzi 214/
Transcending Heaven and Earth: The Tuan you" of die
Cbuci 217/ Conclusion 2206*
6 A Theocracy of Spirirs: Theism Theomorphism, and
Alchemy in the Qin and Early Han Empires
Kingship and Sacrifice: From Grancc co Dumfoil and Back
Again Through Sahlins 226/ Competing Cotmologict in the
Qin and Early Han 2)6/ Bmpcrort and Qodi in the Barty

CONTBNTS

Imperial Courts 237/ The Ascension of Huangdi: Divine

Kingship in the Qin and Early Han %^%l The Order of
Tocnial AuthorityLuJiasXiMjrii 245/ Conclusion 357
Aligning and Orienting the Cosmos: Anthropomorphic
Gods and Theomorphic Hununs in the Huainanzi
Following die Wajr: The ^Tuandao" Chapter i 6 t/ The
Ascensions of Huangdi and Fu Xi: The *LanmingMChapcer a68/
A Cosmos Aligned b)r Spirits: The -JingsherT Chapter 170/
Conclusion 2848
8 The Sacrifices Thar Order che World: Divine Kingship
and Human Kingship in the Western Han
The Sacrifices of che Sage: Dong Zhongshu 289/ The
M
Fengshan shuMChiprer of Sima Qian 300/ Determining che
Position of Heaven and Earth: The Ricual Reforms ac the
End of the Western Han 307/ Conclusion 313
Conclusion: Culture and History in Early China
Reference Matter
Bibliography
Index

Introduction

I begin with the origin of the cosmos:

Long ago, in the dme before there odsced Heaven and Garth, there was only figure
without form. Obscure, dark, vase, and deepno one knows its gate. There were
two spirits (shen
bom cogecher; they aligned Heaven, they oriented Earth.
So vase no one knows its end or limit! So overflowingno one knows where
k stopped! Thereupon, they divided and became yin and yang separated and became the eigfic pillars. Hard and soft compleced each other, ind the myriad things
were thereupon formed. The curbid qi ^ became insects, and the refined qi became
The passage is from the opening of chc ^Jingshcn/' chapter seven of the
HuainamLi.2 Ic and similar passages are often quoted in che secondary licera^
cure as examples of cosmological thinking, of attempts to describe the uni
verse as a spontaneous, self^generacing syscetn. Someching without form ex
isted in the past and then spontaneously divided inro Heaven and Earcht
with che qi forming the various objects and beings of che universe.
In referring to cosmogonies like this, Frederick Mote has famously ar
gued: *Thc genuine Chinese cosmology is thar of organismic process, mean-

i.

"Jingsheti!"

. The puuge would have been written tome time before 139 c, the probable dace when
Liu An gave the work 10 Emperor Wu of the Han.

INTRODUCTION

ing chac all che parts of the entire cosmos belong to one organic whole ai)d
chat they all interact as parcicipancs in one spontaneously self-generating life
process."3 But, if this passage is an attempt to describe the beginnings of a
sponcaneous universe, rhen whac are we to do with the third sentence:
^Thcrc were two spirits bom together; they aligned Heaven, they orienced
Earths Whyr would 2. universe char is self-generacing and spontaneous re
quire two spirits co align and orient it? The spirits themselves may have been
bom naturally bur their subsequenc actions are almost like chose of demi
urgesfigures who actively plan and organize che structure of the cosmos.
Indeed, che words used co describe che actions of che spirits (aligning and
orienting? jing jing
are loaded terms, with scrong resonances in the
early texts he terms were commonly used to describe the ways chat sages
surveyed and organized prior ro an act of construction. In che NShao gao"
chapcer of the Sba"bti, for example, we find:
Grand Protectorarrived
in che morning at Luoyang and performed crackmaking abouc the sice. Once
he obcained che cracks, he aligned and oriented (jing ^>ij)[che cicy].w4The
passage refers co che preparations for rhe construction of the new capital of
che Zhou ac che beginning of their dynasty. The Grand Protectory after re
ceiving (avorable auguriesf aligned che bounckries of che city from which che
Zhou could then control che north China plain.
The terms arc found as well in the Shijing poem ^Lingtai** (Mao #242),
which is also quoted in Mencius 1A/2:
He aligned and commenced rhe Numinous Tower,
He aligned it and onenced it.
The people labored on icf
In less chan a da^ they completed ic.S

The figure (underscood ac lease by che time of Mencius to be King Wen)

personally aligned and oriented che Numinous Tower prior co the accual
work of consrrucrion.
In these passages from che Shan^shu and Shijing, che words refer co the organizacional activities of sages, and in both cases che organizacional work in
volved an actempc to align and orient human structures so as to harmonize
them with divine powers. So why would che authors of che Huainanzi pas^

3. Mote. Intellectual Foundations of China, p. 15.

4. Shangihu ihngyit "Shao gao,MI5>ib.

5.

sage utilize such loaded terms co characterize the actions of spirits before the
emergence of the cosmos^ Why do spirits have to align che cosmos before ir
is spontaneously formed?
The answer, as I will argue in Chaprer 7, has little co do with early Chi
nese assumptions abour che cosmos. Soon after the passage just quoted, che
authors of the chapter discuss programs of self-culdvacion that enable che
adept to become a spirit.6 Spines first aligned and oriented che cosmos, and
humans can chen become spirits and exercise control of che cosmos as well.
The opening cosmogony of rhe chapter, cherefore! sets che basis for a scries
of crucial claims concerning che ability of humans co divinize themselves and
chus gain control over natural phenomena. The auchors are less interested in
positing a spontaneous universe than in asserting rhe cheocnorphic powers of
human adepts.
A similar concern with humans becoming spirits and chus gaining power
over die nacural world appears in another chapter of the Huairtanzi:
If one climbs cwice as high as Kunlui^[che peakis called the Mounnin of Liangfeng. If one ascends it, one will not die. If one climbs twice as high* ic is called
Xuanpu. If one ascends ic( one will become numinous and be able to control the
wind and che rain. Twice as highr ic screeches up co Heaven. If one climbs ic, one will
become 2 spirir. This is called che Realm of che Great God (Di).7
The passage describes che process of self-cultivation metaphorically as an aa
of climbing che peaks above Kunlun Mountain ever higher toward the realm
of che Grear God. With each step in the process# one gains ever more power
over narural phenomenafirst achieving immortality and rhen gaining di
rect control over che wind and rain. Uldmarely, one becomes a spirit and
lives with che Great God
Both Huainanzi passages posit not a spontaneous cosmos but one orga
nized and controlled by spirits. And in this particular sensej che passages
were in the mainstream of che claims made in most texts from early China:
as I will argue below, visions of a purely spontaneous cosmos, in which nacu^
ral phenomena are not under the f>ower of spirits, arose very lace in che
Warring States period and were never more rhan a minority opinion. Whac
is noreworthy about these two passages are rather che claims made about che

6. Huainanzi, "Jingsheng 7^b.

7. Hytinatizi, "DixingM
m Early Han Thought, pp. 158-61.

the excellenc discussion by John Major in Heaven and Earth

ability of humans co divinize chemselves. In connrasc ro the chronologically

earlier Shijing and Shangshu, these segments do not present humans as crying
co propiciace or pUcare divine powers. Indeed* within die cosmology prc^
senced in these Huainanzi passages, one need not use divinacion and sacrifice
ro manipulate the spines; insread the adepr becomes a spirit directly and appropriaces their powers.
This book is an actempr co reconstruct the debate within which such
claims of che theomorphic potentials of humans were made and within
which such claims grew to be increasingly important. I will trace this debate,
which ran from the Shang through che Han, analyzing competing argu
ments concerning die nanire of spirirs, che proper demarcation (or lack
thereof) between humans and spirits, and the types of potency char humans
axui pirics should be allowed ro exerdse over che narural world As I wdl ar
gue, claims about che nature of the cosmos, and che degree ro which it is or is
not controlled by willful agents (human or spirit), arose within this debate
and can be understood fully only within chac concexc.
In order co analyze this debate in its full complexity! I will discuss che nodons and practices of divination and sacriBce during this period and wiU
look in depth ac che ways ind reasons chat these practices were criticized by
figures claiming che ability to become, racher chan simpljr manipulate, spiritt.
And I will also deuil chc rise of claims chat the cosmos is a spontaneous %y%
temclaims chac arose in opposition both to the sacrificial and divination
specialists of che da and co the proponents of the increasing^ popular view
chac hununs had theomorphic potentials* In shoix# I hope co provide a lull
cultural and intellectual history of che rise of both self*divmizanon move*
mencs and correladve cosmology in early China.
This hisrorical account of the dispute over che relationship between hu^
mans and spirits and che natural world will give as a glimpse of a crucial de
bate in early China, one char had great ramifications for developing nodoxu
of human powers, chc nanire of spines, and the types of sacrificial practice
due should be supported by the state. Ic wiO also throw inco question nu
merous long-standing assumpdons abouc earty China. The revised picture
should shed light on how these aspects of early Chinese religious practice
can be understood from a hiscorical perspective and help point to a very dif
ferenc way of chinking abouc early China from a comparative point of view.
In order co outline che implications of che issues co be discussed, I cum to a
summary of some of chc rdevanc secondary liccracure on these iMuet.

One of che points I will ny to demonscratc in chese paps is the degree co

which analyses of chese issues concerning humans and spines in tarty China
have been based, implicidy or explicitly, on comparadve frameworks and
comparative categories chac for the mosc parr originated in the fields of soci*
ology, anthropology, and che history of religions. This is erne not only for
scholarft in America and Europe bur also for chose in China, Taiwan, and
Japan. One of m)r intents here is to cease out chese cacegories (notions such
as shanunism. monism, radonalicy) as well as some of the comparadve
frameworks (evolutionary, concrasdve cosmologies) in which these catego
ries have been employed In this section* I outline some of die most influeorial of these comparadve categories and frameworks* This will put us in a
position to stc, as ocher scholars are discussed in che main part of the
book, the degree co which cheir approaches are based on the cacegories pre*
seated here.
My goal is not co debunk che use of comparadve cacegories or co argue
against comparison per se. On che conrrary, I, roo, will make comparisons,
particularly with ancient Greece, and I will be working with a number of an*
chropological discussions of, for example, kingship, cosmology, and sacrifict.
My goal is, rather, co question the types of comparative categories employed
thus (ar and to poinr coward whac I hope are ocher, more successful ap
proaches.
Perhaps the single most influential figure in the ewendeth cenrury to have
snuiied Qiina is Max Weber. The main corpus of Weber s writings consiscs
of comparadve analyses of the major civilizations in world history. His guiding concern was che smdy of rationalism: V^/hy did pardcukr forms of ra
tional activicy develop in che West, and why did such activity develop co
only limiced degrees elsewhere? To undertake this project, Weber made a
typology of whac he considered che major spheres of society: the economy
society, government, the bw. and religion. Since Weber saw each of these
spheres as rebrively autonomous, he believed they could be scudied sepa
rately. For Weber, a dvilizacion was die result of che interaction of these
spheres* Weber's comparadve mechod consisted of comparing each of these
S. Because of che populancy of The Protestant Eihk and the Spirit oj Capitalism, Weber has in
correctly become atiociaced with the belief chai religion determines the degree of rationalicy
that s iociety achiem. In at Weber held no luch position. Hit analysis of Proccstantiam

spheres across civilizations and cbe different interactions of these spheres in

each society in order to decennine the levels of radonalicyr achieved in each
civilizadon and to understand whar prevented the full fluorescence of ra*
ciofulicy in non^Wcstem civilizations.
Perhaps Webers most influential discussion of these issues with respect
co China was his contrasting of Confucianism and Prorestanrism. W^ber
measured chese two religions (in his terminology) according co a universal
yardstick of racionalizadon:
To judgehe level of rationalization a religion represents we may use two prinury
^ardtdeks which are in nun)r ways inter^relaced One is the degree co which the re
ligion has divested itself of nugpc the ocher is the degree co which it has systenuncally unified che relation between God and rhe world and therewith its own ethical
(daooothip co the world.9
In Weber s view# Prorescandsm had achieved an extreme form of rationali*
zacion in terms of both of chese measures. In terms of che first yardsticks
Protesum modes of thoughc M
have liquidbeed magic most completely leading to a Complete disenchamment of the worlcT (p. 226). And in terms of
che second* Protescancism precipitated a ^tremendous and grandiose tension
coward che world* (p. 227)*
G>nfucunism, in contrast, registers far lower on both of these yardsticks.
It is characterized by a "coleradon of magical and animist concepcions" (p.
196). More specifically, "one may say chat every sore of ndonalizacion of che
archaic empirical knowledge and crafc in China has moved coward a magic
image of che world" (p. 196). Instead of rejecting magic altogether, G>nfiicianism converted 2 magical worldview into a monistic cosmos: "Cos*
mogonic speculation with che sacred number five operated in terms of five
planecs, five elements, five organs, etc., macrocosm 2nd microcosm. .. This
Chinese ^univcrsisc philosophy and cosmogony transformed the world into a
magic garden" (pp. 199-200). Chinese cosmological chinking, in short, was

refleaed hi# diim that it was an importam influence on the mergence of cspiuliun m the
West. Bin he did nor hold that religion m general d the only f^tor due detennioes ndonil*
ay. For Weber, a tiill analysis of any dvilizacion Involves che study of che intcractioiit of all
cheie spheres* and a full comparative study involves comparisons of each of these spheres with
those found in otlicr civilizarions. Religion, then was only one of many tplieres. Thuj, al
though I focus here primarily on Weber'i views on Chinese religiom, I do 10 only became of
the emphaaii of chif book.

W cben TV AW

p,

(hm inafttr cited Inthe m t}.

simply a racionalizadon of magic into a formal system for chat same i

ic never transcended a magical approach ro the world.
Confucianism was also M
a rational ethic which reduced tension with chc
world to an abtoluK minimum" (p. 227). Indeed, there was no tension ac all
between che human and the divine spheres: wG>mplccel^ absent in Confu*
cian ethics was any tension between nature and dcirjr, between ethical de
mand and human shortcoming, consciousness of sin and need for salvacion
conduct on earth and compensation in the beyond, religious ducy and sodopolitical realicy" (pp. 235-36). Confucianism saw cosmos and society as fully
linked, and che ecbical imperative was simply ro adjust oneself co these cos
mic and social spheres:
Confucianism meant adjuscmenc to che world, co its orders and conventions.. . .
The cosmic orders of che world were considered fixed and inviolare and che orders
of society were but a pedal case of this. The great spirits of the cosmic orders obviously desired only che happiness of che worid and especially che happiness of man.
The same applied co che orders of society. The "happy" tranquility of che empire
2nd che equilibrium of the soul should and could be actained only if man fitted him*
self into the internally harmonious cosmos, (pp. 152-53)
The difference between Procescancism and Confucianism could not be
more clear
From the relanon beeween che tupra^mundane God and che creicurally wickecL
ethically irranonal vrorld there resulced... che absolute unholiness of endition and
truly endless cask of ethically and rationally subduing and mastering che given woHd#
i.e.( rational, objective "progress" Here the task of the rational transformadon of
che world stood opposed co che Confucxan adjuscmenc co che world, (p. 240)
As a consequence, M
che varied conditions which externally favored che origin
of capicilism in China did not suffice co create it" (p. 248).
One sees in Webers argument two concerns chat wiU appear repeatedly
throughour cwentieth-ccncury discussions of Chinese choughc: a concern
with comparing China and chc West with reference co an evolutiomiy de*
velopmcnc of rationality and a concern with comparing China and the West
by contrasdng their purportedly discinccive cosmologies. Ac times* as in
Weber himself, these two were seen a5 linked. More often, however, these
models came co be presented in opposition to each ocher. Indeed, rhese have
become two of the basic poles around which scholarship on early Chinese
thought and religion has developed And incriguingly, although almost all of

INTRODUCTION

these sinological studies were written as attempts to defend the Chinese tra
dition against Weberian critiques, they tend to do so by mainuining one of
these two poles of the Weberian framework and simply reversing the valua
tion given to China.
These poles cm be seen in cwo highly influendal studies published in die
1930s: Fung Yulan*s A History of Chinese Philosophy, and Marcel Granecs La
fensit chinoise- Fun^s work was to become one of the most significant studies
of the evolunon of Chinese philosophy, and Granec s die most imporcanr
work on early Chinese cosmological chinking. Bocb were written to defend
the Chinese tradition by showing ir to be as strong as the Western rradicion.
But whereas Fung attempted to do to by showing char Chinese philosophy
developed chrough die same evolutionary process as had the Wesrem tradi
tion, Granec defended Chinese choughc by arguing chat it was based on a
cosmology radically differenc from, but nonetheless as imf>ortant as. the
cosmology chat dominated the Wesc. I will discuss each of these works in
cum, beginning with Granet.
Granec s main concern in La pensie chinoisc was co delineate the ^governing
ideas**10*of early Chinese choughc/1ind one of his central arguments was
chat Chinese choughc is nor NprelogicalMor M
myscicaLwOn the contrary, once
one underscands che basic principles char underlie Chinese choughc, one can
see that ic forms a meaningful* coherent system (pp. 28-29).
Incriguingly, Granet s presentation of M
Chinese choughc* is in its general
outlines quite similar co Weber's view of Con(udanism#with che cracial dif
ference char whac Weber saw as resrricttng the full development of rationaliry is the very thing Granec celebrated as part of chc genius of Chinese chink
ing. For example Granet argued, one finds no M
world of cranscendenc
realities outside che human world" (p. 279). Indeed, this claim (made in ex
tremely posidve terms) due che Chinese tacked a notion of cnnscendenc
principlesone of che characteristics thar Weber saw as limiting China
pervades Granet's analysis. According to Granec chc Chinese had no sense
of a cranscendenc Law or God and no notion of absenedon (pp. 476, 479)*
Indeed chc Chinese assumed a fully montacic cosmos: "Man and nature did
noc form rwo separate realms, buc one unique society** (p. 25).

10. Granec, L4 ptmie <hinoiset p. a6 (hereinAlter cited in the tan).

11. 1 will detl here only briefly with Granef'i overtU approach. For more detailed diicui*
lion of Grind 1work, ice Chapter! 4 and 6 .

INTRODUCTION

To make this argument, Granec worked primarily from chose Han texts
devoted co building complex conebtive syscems based on )rin^)ng five
phasesi and microcosmic/macrocosmic rcladons. However, he read chcae
cosmological notions not as a particular historical development during the
Han but as indications of Chinese thinking in general Indeed, chis view*
poinr is evident in the organization of the book. The first three quarcers are
devoted ro working our these cosmological systems in detail Then* in the fi
nal quarter of die book Granet looks at individual cKinkers, beginning with
Confucius. Each thinker is presented as building on a particular aspect of
chU "Chinese" cosmology. In ocher words, instead of presenting cosmology
as a lite development building on or reacting agaiinsc earlier figures like Con
fucius, Grancc reads correlative chinking as the guiding principle of ill ChiLike Graner, Fung Yu-lan was interested in arguing for the value of Chi
nese thought. Bur his method of doing so was quite different. Instead of de
fining a discina logical system chat underlay its seeming srrangeness, Fung
Yu-lans main move was co place Chinese thought within rhe evolutionary
framework chat dominated contemporary studies of Western philosophy
and co read the history of choughc in early China in die same terms as was
then commonly done for Greece.12 He presented early Chinese philosophy
in terms of a shift from religion co philosophy* fit>m thetsttc views ro radonality# and argiJ^d chat humanism^ rationalism^ and fucuralism were indige-'
nous to Chinese philosophy and emerged at the same rime in China as chey
purpontdly had in ancknc Greece. And, although rhe resuldng philosophi
cal cnulicion in China did not develop in logic and epistemology to the de
gree found in Greece, ic excelled in che stucty of self-cultivacion.11
In order co demonstrate chis common evolution, Fung Yulian began by
reconstructing the "primidve" period chat China shared with all ocher civile
zations. For Fung, the defining feature of primitive choughc was a chdscic
cosmology: "In the time of primidve man che belief was general, not only in
China buc in ocher parts of che world, chac nacural phenomena and human
afEiirs are all under 2 divine and supernatural conrrr (p. aa). In having such
a caamology in the Bronze Age. Fung argued strongly, che Chinese were no
difFerent from che Greeks: T h e Chinese of chat rime were supersdeious and

12. See, e.g.#Cornford, From

ro Philo$
fhy.
i). Pung A Hittory pf Chinae Fhiotofhy, 11-3 (hereinafter cited ill che text).

ignorant; chejr had religious ideas but no philosophy; so chat che religion and
spirits which chey believed in were exactly like chose of the Greeks4*(p. 24).
Fung reicerated this same point several times. rq>eacedlyr emphasizing the
degree to which these M
supcrsdtionsMare common among all early peoples
including^ mosr imporcant, the early Greeks. For example, in discussing che
"pobcicd and social regulations inscicuced by Shang Di [the high gd]#w14
Fung argued, M
The incienr Greeks similarly supposed chat che insdcucions
of their citypeaces had been created by divine beings# 2 belief probably gen
eral among eirly peoples" (p. 34). This supersririous worldview was replaced
by a humanistic one in the Chunqiu period (771*481 bc): *Wich the coming
of che Chunqiu pedod in Chma however, or perhaps even before, there
were men who cri<d co give a human incerpreurion co the laws and statutes,
which they declared were established wholly by human beings for man s own
beneBc" (p. 34). For Fung, this was part of a crucial shift coward che rise of
humanism, naturalism, and "rationalism" (p. 33).
Thus in Fung's view, che emergence of correlative 1
away from cheisric views and a step toward a nacuraiisric conception:
The arcempc co explain che phenomena of che universe throu^i che yin-yang cheoiy,
chough still primitive, is a seep forward compared vnzh expUnadons based on a Tian

Heaven]. Di, and a mulcicude of spirits. The "heaven* described in chis last quota,
cionfrom cht Guojruj is 2 naturalistic one bearing strong resemblance to chac of
Laozi#and sems co be a foreninner of Daoist philosophy, (p. ^5)
Unlike Graner, who presented )rin*yang cosmology as based on a disdne^
civelyr Chine&e mode of logic, Fung placed ic on an evoludorury scale:
although still primitive, it was 2 seep roward a fully rationalistic way of
thinking.
The differences berween these srudies by^ Granet and Fung, published ac
almost che same time, exemplify two of che poles of analysis chat would
dominate cwencieth-cencury studies of Chinese thought. For che Brst few
decades after che publication of these two works, che evolutionary model was
more influenciaL although che past rwo decades have seen a decided shift
coward che cultural-cssendalisr modeL I will condnue co follow these argumencs in roughty chronological order.

INTRODUCTION

Perhaps the most influential study within the evolutionary framework

was undertaken by Karl Jaspers^ in The Origin and Goal of History. Jaspers s
argument was ebac between roughly Boo and aoo bc, Greece, India, and
China all experienced x philosophical revolution that he termed chc tfAxial
Period-"15 For Jaspers, this period was defined by the emergence of transcen*
dtnee chc poinc ac which man for chc first rime "experiences absoluteness
in die depths of selfhood and in the lucidity of cranscendcnce" (p. a). It fbrchcr involved a struggle of M
rationalityMover myth and an M
echical rebellion**
against "the unreal figures of chc gods" (p. 17). Like Fung, but very much
unlike Grancc, the emphasis here is on chc universal evolution of conscious*
ness rather chan on che growth of diflerenr ailcural assumpdons. Jaspm
does admit some cukural differences (for example, he feels chac China did
nor produce a "tragic consdousness"; p* 19), bur he views these as irreicvanc
co a proper understanding of universal hisrory"Really co visualise che &cts
of che Axial Period and co make chem che basis of our universal conception
of history is co gain possession of something common to all mankind, beyond
all differences of crced^ (p. 19). According co Jaspers, China and India
underwenr che same cranscendenca) breakthrough as Greece. Indeed, this
transcendence created a universal ibrm of consciousness. Unlike Weber,
diea Jaspers asserts chat China did, in this early period, undergo a hift to*
ward nranscendencc And also unlike Weber, Jaspers is largely uninrcrcstcd
in culture.
In chc China field che "Axial Period** diesis was adopced mosr Eunouily
by Benjamin Schwartz^ who opened his study of Chinese philosophy, Tbr
World o/Thoufjht in Ancient Chinat with a reference to Jaspers:
I miur confcsi that my own imeresc in ancieiu Chinese thought has also been much
ficimulatcd by the C)rpe ofworlcMiistodcaT observations whkh we find in the chipter on the _udal age" in Karl Jaspers* book Tbc Ori^i"
EnJ
In this small
volume Jaspers highlights the face chat in many of the high dvilizaciont of the
the civilizations of che ancient Near East. Greece* India* and Chinawe
witness over che period of our mRnt millennium
tht emergence of certain *crea
rive nunomiet11who rdace themselves in reflective* critical, and whac one might even
call "rranscciuiencar ways co chc dvilizatioiu from which they emerge.16

15,Jaipm, The Ori|Oi and Goal o/Himrjr, p. 1(hereinafter cited in the text).

16. Schwarts* TV WorU cfThcu^t in Ancitnt Ching, pp. -j.

K2

INTRODUCTION

In an earlier study, Schwartz discassed this notion of transcendence in

grearer deuil:
If there is nonetheless some common underlying impulse in all these "axial" move*
mencs, it might be called the strain cowards rramcendcnce.. . . What I refer co here
is something close co the ecymolo cal meaning of che worda kind of standing
back 2nd looking beyond a kind of critical, reflective questioning of the actual and
a new vision of whac lies beyond.17*

Although Schwartz himself downplayed che evolutionary aspects of Jaspers s

argument he supported the notion chat rransccndciicc should be seen as &
valid term ro compare che changes chat occurred in chese civilizations in che
middle of che first millennium d c .
The next issue for Schwantz was co define the particular types of rran*
scendence that occurred in each major civilization. Unlike Jaspers, then,
Schwarrz was incerested in culrural analysis in discovering che unique
forms of transcendence chat arose in each civilization* For China, he argued,
the dominant tendency was Nro associate che cranscendenc with the notion of
an immamenc cosmic and social order." Transcendencei then, occurred in
China even within its immanentist cosmology. Thus, Schwartz character
ized transcendence in China as being of a M
rhis^worldlyMsort/8
In making chis argument, Schwartz explicitly appealed to Weber. Indeed,
Schwartzs consistent move was to largely accept Webers description of
Chinese cosmology but co argue chat this cosmology should be considered
M
radonalMand M
transcendenraL" This for Schwartz explains the "rational1*
cosmology found in texts like chc Shangshu and Shijing, but ic is a rationalism
based on diFerent principles from chose seen in Greece, and thus ic did noc
result in a Weberian M
disenchancmenc of the world**:
o the extciK chit chc word radonalisnT refers to che primacy of [he idea of order*
we can already speak here of che emergence of a kind of Chinese rationalism. Ir is,
however, a rarionalism chat is radically difFerenr from many varienes of rationalism
in ancient Greece. Whac we have is che image of an all-embracing and inclusive or*
der which neither negates nor reduces co some one uicimace principle chat which is
presumed co exisr. Like che radonalism of bureaucracy, ic dusifies and subsumes
che existent realicy. Ic is a syndiedc rather chan an anal)rtic conception of order. The

17. Schwartz, "The Age of Tranicendencer p.).

t8. Schwartz, TranKendcnce in Ancient China/ pp. 67, $9-00^

spirits of nature and the ancestral spirits are not banished Indeed, Chinese thought
has never seriously attempted co cariy our the M
disenchancmenc,' of che world

Schwartz further conrrasced China with other andent civilizadons in

cerms of one of the basic points emphasized by Weben che lack in China of
2 strong tension between che human and divine realms* In ocher ancient civi^
lizations, most notably Mesopotamia, Egypt, Vedic India, and Greece, che
human and divine realms are, according ro Schwartz, viewed as concescacory:
NOn both the human and the divine level, attention is called co those aspects
of life in which gods and humans conironc each ocher as somewhat unpre^
dictable individuals and groups rather chan in terms of fixed 'role behav
ior/"1920In China, according to Schwartz, one finds a funilial order of ances
tor worship char led to a philosophical emphasis on a linkage between che
divine and che human realms:
Another possible implication of ancescor worship for che religious and even ^philoso^
phicNdevdopmenc of China involves rhe relation between che divine^numinous realm
and che human world. The ancestral spirits dwell in che world of the dinne or aumi*
nous Thus the line dividing the "divine** from the human is noc shaqJy drawn, and
ir seems chac humans may possess or cake on qualicies which are truly numinous.21

Overall! cheri! Schwartz accepted much of Weber s framework of com*

paring civilizations with reference to che notion of rationalization, and he
even accepced Weber s basic reading of Chinese culcure as being dominated
by an immanendsc cosmology, a chis^worldly orienricion, and a bek of a tension between che human and divine realms. The only difference is chat
Schwartz wanted co follow Jaspers in arguing chat China did shift co tran
scendental chinking in che coily period Schwartz thus maincained a delicate
balance between che two puadigms discussed in this chapter. Although
clearly working within a Weberian framework, he emphasized chac a shift
coward transcendence had occurred in China.
However, whereas Schwartz emphasized some degree of simikricy be
tween che early Chinese tradidon and other early philosophical traditions,
rhe most dominant paradigm over che pasc two decades has gone in che opposice direction. Several scholars have builr on Granecs work co argue
rhar China had a radically difierenc cosmology from that seen in rhe West.
19. Ibid., p. 59.
so. Sdiwaru, TV WrU
11. Ibid., p. t$.

Cfcmfl, p. 15.

INTRODUCTION

Inclec<i it is not going

&r to suggest char, with a few exceptions noted
below, die evolucionary framework has largd^ been rejected in recent schol*
arship in favor of che calcural^essencialisc model chat so defined Granec s
work. Although many of the supporters of this culcunl-essentialisc model
cicplicidy claim to be snid)ang che ^Ajcial Age***23they in fact strongly oppose
che evolutionary sides of Jaspers s argument.
One of rhe more influenrial works based on this approach was
concemporaiy with Jaspers's book: che second volume of Joseph Ne
Science and Civilisation in China. Working closely from Granec whom he
quoted (ire^piencly,23Necdhim sought to develop an undersunding of che
fundamental cosmology of the Chinese:
The key-word in Chinese thought is Order and above all Paccern (ind# if I may
whisper it for the firsc time, Organism). The symbolic correlations or correspon*
dences all formed part of one colossal paccern. Things behaved in particular ways
noc necessarily because of prior actions or impulsions of ocher chinp#but because
their position in che ever-moving cyclical onivene was such tharhey were endowed
wich intrinsic namres which made chac behaviour inevicable for them.. .. They were
thus parts in exiscencul dependence upon the whole world-organism. And thejf re*
acced upon one inocher noc so much by mechanical impulsion or causicion as by a
kind of mysterious resonance.24

Within this organismic conception of the world, all things spontaneously

harmonize wich each other, creating an "ordered harmony of wills without
an ordaincr.'*25In exmerase to a harmony of wills. Needham claimed Euro
pean choughc is characterized by a ^schizophrenia or split*personality. Euro*
peans could only1chink in terms cicher of Democricean mechanical macerial*
ism or of Platonic theological spiritualism/26Just like Weber. Needham
argued char China did noc possess che radical dualism chat was so important
(br the West. Bur Needham reversed the formula and clearly sympathized
with che Chinese side of che conrrasc.
Frederick More has similarty based his argument on what he calls the
general "world view"27of early China. Like Gnnet More begins by describe21
21. See, c.g Hall and Ama.

p. xtii; ind Graham* Daputm tf At Tm , p. i.

aj. See, among ocher places, Needham. Science and Ctriluacioii in Ohiui. i; 2t6*i7i*.
14^Ibid., p. xSi.
25, IbkL p. 3 7,

26. Schwartz, The Wwid ofThou^ in Ancient China, p, s.

17. Mocc, Inteilietudl FoytMUtiom 0/
p. 10.

INTRODUCTION

ing chifl worldview and cbcn discusses how the various scfaook of choi^hc
were guided by such a shared cosmology. Mote further builds on Needham
co make an iigument for che absolure uniqueness of Chinese cosmology:
Needham, analyzing char Chinese mcxleL calls it tfan ordered harmony of wills wichout an ordainer." At he describes che organismic Chinese cosmos, ir emergies co our
full view as one in striking contrast co aU ocher world conceptions known to human
hiicory. It differs from ocher organismic concepcioni, such as classic Greek cos
mologies in which a logos or demiurge or ocherwise conceived master will external
ro creadon^ was regarded as necessary (bf existence28

If such a cosmology were indeed an assumprion in carlyr China, dsen ic

would follow that borh buinans and spirits would be conceptualized as part
of 2 larger monistic syscem. As Mote argues: HThia is an essentially naruralis^
tie concepdon, in chat ir describes spirit as having che same qualities and as
being subject co the same processes as all other aspects of nature.*39In con*
crast co Western conceptions, in ocher words, huouuis and gods were seen as
similar in nature.
IC C. Chang expanded on these ideas and argued chat this difference in
che cosmologies of che West and China derived from a different orientadon
toward shamanism
Men and gods* animare and inanimace chingi, che living and dead members of che
clans all of these beings existed in che ancient Chinese world within (he same uni
verse* buc chat universe was layered and subdivided The most important diviiions
were che Heaven and the Garch and che andent Chinese could be seen as pordcu^
Uriy preoccupied with che Heaven arul Earth inrercommuiucanon. The fhamans
religious personnel equipped with the power co fly across die difFercnt lasers of che
universe with che help of che animals and a whole range of ricuals and parapherna
lia were chiefly responsible for the Heaven-Earth communicanon.

As intermediaries who maintain a proper linkage between che human and

the divine realms^ Chang argued# shamans occupied positions of great importancc^1
For Change China and che Wes diverged because che Near Eas expert
enetd whac Chang calls a "breakout" from chis earlier, shamanistic pasct
2$. Ibid., p. 15.
19. Ibid., p. 17.
30. K. C Change Tbr Anhaedogy of Ancient 0>inat p. 415*
The argument li developed in full in Gungs Art. Mph, tmd Rititsl,

16

INTRODUCTION

whereas China (along with Mesoamerican civilizations) maintained ics sha

manisck culture. Thus, the Wesr developed, among ocher things, M
a cosmol
ogy chat emphasized the separate existence of gods,Mwhile Chinese culture
was builc on an assumption of an ^interlinked world continuum." Once again,
Chinese thought is distinguished by a purporced assumption of conrinuicy
between che human and divine realms.
Similar arguments^ although developed in different ways* underlie che
work of A. C Graham* one of che most philosophically acute scholars co
study early China. Like Grancc, Needham! More, and Chang, Graham was
commicred co distinguishing Chinese and Western ways of chinking. In a
move reminiscent of Granec, Graham builc chis contrast on a discinccion berween analytic thinking (dominant in Western chougbc) and correlative
thinking (more dotninaiu in China). However, Grahams construction of
this contrast differed in some wa^s from Grancr s.
To begin wich, Graham argued thar both correlative and analytic chink*
ing are universal modes of thought. Correlative rhinking is the precognidve
mode common in mosc daily life 2nd is the basis for analytical chinking, a
second-border mode.11Graham therefore opposed Gr^necs attempt to read
lace Warriiing Sraces and Han correlacive models a$ represcncativc of a

binese
of thinking. Instead. Graham aipied, che attempt by
uniquely Cb
figures in che third and second centuries b c co build complex* cosmological
systems should be read as simply a particular development of a universal
mode of reasoning: ^What Granet saw as the difference between Chinese
and Wesrem choughc may nowadays be seen as 2 transculcural difference be*
eween proccvscience and modern science. Correlacive cosmos*buiIding is
mosc conveniently approached as merely an exoric example of die correlarive
thinking used by eveiyonc. which underlies the operations of language ic^
selM3, Instead, therefore, of building a conrrasdve framework between
China and che West on che purported disdnetiveness of correlative chinking,
Graham pointed instead co che relative weight char each philosophical tradi^
cion placed on correlative and analytic chinking. China embraced correlacivicy; che West ulnmarcly divorced analytic chinking from correlarive chink
ing and came co value analytical chinking more highly.34

p. Graham* Duputm ofthe p. 31a.

3). Ibid., p. 320. See alio Graham, Yin-Yangand tht bisturr ofC^rrtUtivt Thinhinf pp.
14*Grtham, Disputers 0/tbt Tm, p. m.

The consequence of Graham's argument is chat Chinese thought is pre

sented as fully discina from Wescem chougfac but based on che same univer^
sal rypcs of chinking. Accordingly, although Graham condnued to discin^
guish "China1* and the ^csr,** he could argue that the West could learn
from and accept fully che cradicions of China. The overall argument is thus a
variant o f he ailcural-essencialisc paradigm. Graham was conunined to a
Chinese philosophical tradition based on correlative thinking, but he based
it on a universal claim concerning correladve chinking in order to emphasize
che general applicability of che Chinese modeL
Grahams arguments have been developed in che collaborative work of
David Hall ind Roger Ames#which represents the most extensive attempt
in recent decades to contrast the culrures of early China and che Wesr. In
deed, they describe cheir work as an acrempc co "illumine che conrrasdng as*
sumptions stuping classical Chinese and Wescem cultures.<vSS And, like
Granet,he sympathies of Hall and Ames lie
with China*
Indeed, Hall and Ames strongly defend Granec s argument chat correla^
cive chinking is a defining feature of Chinese thought:
Our view, however, is chat Marcel Granec was essentially correct in idencifying what
we are here calling corrdanve chinking with a (undamencal commicmenc of the Chi*
nese sensibility. This implies char even among chose clunkers such as Confiidus and
rhe philosophical Daoiscs who were not so concerned with physical sp6cuiadons#che
mode of correlarive chinking dominaces. Our argumenr here is chat Han oterdses in
correlative chinking are not anomalous* but are rather signal instances of correladve
chinking in a tradition replete with such iascances. (p 257)

Like Granec, and unlike Graham^ Hall and Ames wish co read che Han cor^
relative texts as represencadve of all early Chinese thought. Thus Hall and
Ames explicitly critique Jaspers s irgumcnc: I f comparative philosophy has
anyrthing co say about Chinese culcure during the so-called Axia) Age, ic is
ceixainljr this: notions of absoluteness/ *cranscendence/ and subjeoivity'
were of doubtful significance** (p. xiii). They also mlt Schwartz for follow
ing Jaspers in using terms such as "transcendence4*and in assuming a com
monality among earty civilizacions (pp. 14S1 f86-87). But, unlike Weber*
Hall and Ames do not cricicizc China (or its lack of cranscendencc bur, like
Granet#celebrate it

t8

INTRODUCTION

In formulating the contrasting assumpcioiu of China Hid the West, Flail

and Ames invoke a fundamental discinaion between whai they call M
firscs and
"second problenudc chinking.* First problemadc chinking^ which Hall
and Ames see as dominating Chinese thought, is based on "analogical or
correlative chinkingw(p. xvii). "This mode of thinking accepts the priority of
change or process over rest and pemunencc, presumes no uldmace agency
responsible for the general order of things, and seeks to accounr for states of
affairs by appeal to correlative procedures rather chan by determining agen*
cies or principles** (p. xvii). In contrast to chis, Hall and Ames claim, is sec
ond problematic thinking, or "causal chinking^ (p. xvii) rbe mode cha has
dominated the West. Among che characteristics of causal chinking is mthe
belkf char the order of the cosmos is a consequence of some agency of con*
scrual. . . [and] the cade or explicic claim char the states of afiiurs comprising
"the world' are grounded in#and oldnuceljr decetmined byf chese ^encies of
consrrual** (p. xvii). Thcistic systems, therefore, in which divine agencies arc
seen as causative forces in shaping che world, are based on a Western, rather
chan a Chinese, way of chinking, as would be, of course, any kind of cranscendenral or foundational dioughc.
Like Graham, Hall and Ames see each of these wayrs of chinking as cxisc^
ing to some degree in boch Chinese and Western cultures, and they are thus
able co argue chat Chinese choughc is somerhing char can be fully assimilated
into concemporaiy Western chinking. But, xhtir sympchks are clearly wich
che correlarive mode, and they nor suiprisingly oppose any attempt ro pre$tnt these cypes on an evolutionary line, with correlacive chinieing as a more
primitive or lesser stage of consciousness: "Such a claim challenges che viabil
ity of the Bnlighcenment reading of culrural development, which argues that
che movement from mythos co logos or 'from religion co philosophy/ or
from analogical to causal thinking, ought to serve as chc norm for che civiliz
ing of human experience* (p. xviii). Hall and Ames would thus reject Fung
Yulians "religion to philosophy" argument. Indeed, they would quescion
Fungs rurracive of an evolution in China from theism co humanism and ra
tionalism. For Hall and Amesr all of these are disdnedvely Western modes
of chinking not found in che correlarive cboughr of China.
Although die culcaral^essentialisr model has dominated che study of early
Chinese choughc in recent decades, chc cvolunonist paradigm has recenrty
been resurrected wich great force by Heiner Roecz Roecz explicitly picks up
on Jaaperss notion of an Axial Period! arguing against Weber char China

INTRODUCTION

did undcvgo a transcendental breakchrough in the early pericxL16 He quoces

Schwartzs definidon of transcencknce tor all Axial Period civilizadons with
approval (p. 273), but, unlike Schwartz, Roetz maintains the evolutionary
aspeco of Jaspers s argument. Indeed, he explicitly uses Jaspers's framework
to reject che culcuralist approach^This should provide us with a universalistic conception of understanding, which avoids che ethnocentric implications
or reladvisric consequences of recourse to native language and culture spe^
cific forms of thought" (p. 23).
In opposition co culcuralism, Roetz seeks co provide Aa jrardsdek for
measuring and evaluating in its specific viriadons che culcural evolution of
mankind" (p. 30). Clearly, Roeczs image of measuring cultures according to
a yardstick of universal developmenr is directly reminiscent (even co che
point of using che same meuphor) of che evolutionary sides of Webers
analysis. And, indeed, despite his strong rhetoric, Roetz is scronglyr indebted
co che Weberian paradigm! although Roetz places China higher on che yard*
stick than did Weber. Roeczs recurrent move is thus to cry co show (hat
China did in faa attain che very forms of transcendence and racionalicy We^
ber (bund in the W csl
For che purposes of this chapter, che most significant of Roccz*s discus
sions is his explanation of how nature came co be seen as an object of human
conquest. Since Weber conneaed che rise of a *disenchanced* notion of na
ture in the West to belief in a cranscendenr go<L Roetz needs to explain how
this notion could have arisen in a culture wirhour such a belief: "How( unlm
means of che concept of an otherworldly god# can nature be 'disen*
chanced* (Weber) in such 2 way that ic becomes che pro&ne object of spremadcal rransfermadon and conquest by man?M(p. 21). For Roetz, che shift
occurred with the "catastrophe" of rhe fid] of chc Western Zhou which rc*
sulred in che "che loss of dignity of Heaven.* This M
ulure of che divine
power kd man ro direcr his attention co himself. Religion lose ground co new
pcculahonsM(p. 39)* Ro^tz thus offers a variation on che M
religion to phi
losophy argumenta chdscic worldview dominated che tarty period, but.
wtrh che
of che Western Zhou, theism was destroyed This kd co a deemphasis on divine powers and 2 re-emphasis on humans. Roetz thus feels
he has proved chat, contrary co Weber's view, China did indeed see che
c 1
of ethical rationalization in che early period (p. 274).

INTRODUCTION

Bucf since Roecz secs this racionalizacion as necessariljr involving the dis
enchantment of nature and the making of nature into a prome object of
conquest by man, how does he deal with the emergence of correlacive cos
mologyone of chc very things chat Weber saw as limiring ractoiuiizacion
in China? As Roecz notes, in a reference to Weber, *cosmologkaL holisdc
reasoning often counts as an indication due a brcalcchrough coward enlighc*
ened choaghc has noc taken place" (pp. 226-27). Roetzs defense of the Chi*
nese rradidon thus consists of denjring the importance of cosmology, and be
cherefbre opposes Granecs attempts to read correlacive chinking as domi
nant in early China (p. 227). He argues, for example, char Xunzi s cosmo
logical terminology is simply "rhetoric" (p. 130).
Bur what about Han rexts^ Even Roecz cannot denyr chac cosmology bc^
comes important in the Han. Perhaps noc surprisingly, he has nothing bur
derision for figures like Dong Zhongshu who embraced correlative cosmol^
ogy. For Roecz#Dong Zhonphu ^discards che rational view of nature which
Zhou philosophy had developed and Xunzi had brought to completion" (p.
231). As 2 consequence, Dong Zhongshu marks che point at which Confii*
cianism returns to wsuperscicionM
: "Ethically as well as cognitively ir [Confu*
cianism] falls back on a level which chc axial age philosophers had once over
come" (p. 231). Like Weber, Roecz defines correlacive cosmology in terms of
a lesser form of rationalizationa lower position on che yardstick. The only
difference is char since Roerz argues chat a cranscendencal breakthrough oc*
curred earlier* he sees che resurgence of correlative chinking as a regression.
Why did the Chinese lapse? Or* when puc in cerms of the entire history
of China, why did China nor achieve che full radonalizadon chac Roctz, fol
lowing Weber, chinks occurred in che West^ Roetz concludes with an ex*
planation of this ^discrepancy between che original pocendal 2nd che actual
historical development of China** (p. 275). Ultimately, chc problenx as Roetz
secs irr is chac Confucianism (ailed co develop because chc tension it posited
between convention and morality (b and rc was wno expressed in 1 tren
chant manner* (jx 177 What is amazing abour rhis argument is how similar
it is to Webers. In essence, Koctz is arguing chac the problem with Con^
(ucianism is chat it fiuled ro nuinrain as extreme a tension beeween morality
and convention as it should have. Moreover, since Roecz agrees chat correla
tive cosmology is nonracional* he argues chac once correlative cosmology be
comes dominant in che Han cognition fell to a lower noncransccndencal
level. Thus, despite all his discussions of transcendence, Roecz is still com*

mitted co claiming the same comparadve point we have seen repeatedly

(even if valued differently by differenc rhinkers) since Weben the Chinese
cradirion &iled to achieve the modvating tensions so important co the West.
Method of Analysis
Ac the center of much of che secondary liccracure sketched above stand the
cosmological texts of the Warring Scares and Han. Tlie quesbon is how to
read these texts. Weber, as well as rhose who advocated a generally evolucionist frameworks present cosmological models as parr of an arcempc co rarionalize an existing magicaL chciscict animistic worldview. Correlative cos
mology was chus a shift toward rationality and Daturalism# even if it
imfbrtunacely retained miny of the earlier magical notions. In Roecz*s vari
anr of this models radonal nacunlism (with a cosmological "rhetoric*) devel
oped in early China, buc then correlative cosmology arose in a throwback ro
an earlier, nonrarional stage of development. However che emphasis mchin
this paradigm is on che shift from theism co naturalism.
The advocates of che culcural^essencialisc model, on che ocher hand#hold
chac these cosmological cexts are indicarive of a sec of underlying assump^
rions in early China. Figures as diverse as Granet, Mote, Chang, Graham,
and Hall and Ames hold char even if cosmological systems did not emerge
until the third cenniry b c , they are nonechelcss represenrative of a general
^Chinese'* wa^ of thinking. In this view, theism never existed in China
even in die Bronze Age. According co these incerprecicions, China and
Greece (indeed, all of the West) are distinguished by radically dificrent
cosmologies die Western nradidon being defined in terms of (among ocher
things) a disjunction between man and god, and che Chinese assuming an
inherem correlation and linkage*
As I will argue below, some of the material on self-divinizirion may force
us co rethink both these frameworks. The complex issues concerning the
word spirir (shert
in early Chinese texts are an example.n As I discuss ac
lengch in this book, che renn is used co describe both spines who reside
)7<Willard Peterson ("Making Connectionsr p. 104) hat luggeited craiulatiog then as M
ntt*
minosicyr a word thai does capcure the adjectival icnsc of shen quite well. However, (be
nomiiuMbrtn numetT works poorly0 describe
when k referi to spirits. In this work I
will therefore continue to utilize the common transladons of
as M
ipiris* or *divinides/*
when used in the nominal form, and "ipiritualNand "divine** when uid in the adjectival. Such
iraiiilariont allow one to more eaiily convey rhe chifis thAf Appear in tlie e^rly texts.

swers over natural phenomena and refined forms

above and posset
of qi within humans.
On the quescion of how to account fer chest two meanings of the cerm
shot, Hall and Ames have argued chat "with the appearance of m y given
character in the cexc, the full seamless range of meaning is imroduced."
Our cask as readers is M
to rcconsticucc the several meanings of any cerm as an
inregraced whole**11This means char we muse strive to understand the im*
plications of a worldview in which shen can simukaneously contain both
meanings:
Sbrvi for example, is i complex notioiu meaning as it does both "human spiricualicy/*
and "dmnicy* Sben does not sometimes mean *hunun spincualir^/ and sometimes "di
vinir^: Ir always means both of these, and moreover, ic is our business to rry and
undemand philosophically how k can mean boch. Whar arehe implicadons of this
particular range of rx\aning^ where humanity and divinity are concinuousf39

In ocher words, the dual meaning of the term reveals 2 way of chinking in
which humanity and divinicy are concinuousf and the job of che analyst is to
reconscrucc char way of chinking* Their argumenc continues: M
How does this
&ctor into che fiuniliar formula^ tianren heyiche condnuicy between tian
[Heaven] and the hunun worlds40Or* as they pur it elsewhere: *We may
wonder whar che (act chat che single cerm shen can mean boch 'divinicyr* and
'human spiricualiry* in the classical Chinese language reveals about Chinese
religiousness*"41
In contrast I argue in the chapters that follow chat che term shen dots not
mean boch "human spiricuality" and "divinity." The rerm shot was used ex
clusively in che Bronze Age to refer to divinities. It was not until chc War^
ring Staves period (hat che term caroc co be applied co substances within
humans, and chis was pan, I will argue, of an attempt to redefine che ceim
(or specific purposes. Ic did noc, therefore, represent an assumption due
^humanity and divinity are condnuous.* Rather, ic involved a claim to chat
efiecta claim that was strongly contested chroug^iouc che entire earljr perkxL I am no"urc what che dual meanings of che term would in themselves
cell us about ^Chinese* religiousness. But if, instead of crying to reconscrua 2
"Chinese" viewpoint, we sec the existence of different meanings as indicative
|8 . H all and Am es, VtinkingJIrom (he Han, pp. 236-37.
39. Ibid p
4 lbid. p. i$7.
4i* H all and Am es, Anticipating Chins, p. 116.

INTRODUCTION

of specific argumencs advanced within a particular historical context chczi

they ma^ reveal a great deal In ocher words, instead of crying to "reconsd^
ture the several meanings of any term as an iiuegraccd whole," I will work to
reconstrua the debate within which these various meanings were developed
and contested
I emphasize this point co underline one of che cencnl dangers of contras^
civc approaches such as that of Hall and Ames. Building such a contrasdve
framework requires caking particular cexts out of conrext and reading them
as assumpdons of che entire culmres being compared* And, in this particular
case, restoring due context allows us both co provide a hiscorica) accounc of
why such scatcments were made and co restore the provocative power char
such scacemencs would have held ac che time. To reduce them to being sim*
ply examples of a common Chinese way of chinking makes it impossible for
us co recover the cultural potency thar such claims possessed.
In short, I want co restore che hiscorical power of such statements by ask*
ing Why would humans cl2im they could become spiricsP How were such
claims read ar the cime^ And wluc is the cultural history of such claims
Whac happened when people said such things, and whac happened when
others opposed chem? As we will stePchese questions became major issues of
state policy and practice by the early imperial period.
Similarly, an evoludonary perspective on che changing meaning of shot
as a shiit from a magical to 2 lucuralisck/ndonalistic/humanisctc world
view creates problems as welL Unlike a culcural^esscncialiar approach^ che
evolacioniry perspective recognizes due a significanr shift did occur in che
perceived relations between humans and spirits over this period. But ignor*
ing che concern in which specific claims were made in Eivor of a universal
yardstick nsks che same kind of misunderscanding as che culmral-essendalisc
model Even if one wanred co assert universal yardstick of rationality, it
would be meaningless co assess the radonalicy or lack thereof of a given text
unless one first, 2c che minimum, asotrtained che contemporary meaning of
checexc.
Moreover chc advocates of this model see the emergence of a correlative
cosmology char links humans with divine forces as a dcvelopmenc toward a
fully radonaliscic perspective, buc one unfommacely roo mired in che earlier
magical worldview to mark a complete breakthrough coward radonalicy.
Even Roetz, who argues chat a cranscendencal breakthrough did occur in
Warring States China, believes chat Chinese diinkers failed to develop che

24

INTHODllCTtOM

kind of tension with the world chat occurred in chc West. Accordingly a full
development of rationality was hindered. Beyond the obvious dangers of
reading another culture according ro a universal yardstick of radonalicy, one
of the immediate implicadons of such an approach is chat it binds the ana
lyst to de-empkasizing tensions in che early texts: claims about the continu
ity between humans and divinities in Warring Scaces texts are explained
away as coo mired in an earlier magical view of concinuicy. The analyst is
thus commicccd co finding an assumption of condnuicy between humans
and divinities in the Bronze Age as well#for only in this way can one explain
che inabilicy of bter thinkers ro move further toward a more rarional world*
view. Like che ciilniral^esscnculisr approach, then, che framework again
forces the analyse co sec a lack of tension between humans and divinities as a
guiding theme in early China, even if chc analyst does see a shift from an ear
lier "animisdc'* or "magical** worldview co a correlative one.
Both frameworks, then, rest on remarkably similar fbundaDons. Borh re&c
on seeing a (undamcncal dichotomy between China and che Wesc, and both
define chic difFerence in very similar ways* Eicher (in negative terms) China
did not nunifesc the tensions found in che Wesc or (in positive terms) it
mainuined a notion of condnuicy between humans and divine powers lost in
che West. The differences simply come down co whether this distinction is
worked out on a concrasdve model (with China and che West holding op*
posing assumptions) or on a developmencal line (with China and die West
occupying different portions on che yardstick).
In contrasr co bodi these frameworks# I will actempr ro provide a full hiscorical srudy of che relations of humanSi spirits, and die cosmos from che
Bronze Age co che tzrly Han. I will read che texts in quesrion as claims, and
my goal will be co reconstruct che contexts in which these claims were mean*
ingfiil. I will argue chat we cannot understand early Chinese cosmology until
we understand why cercain figures presented cosmological argumencs, whac
they were reacting co#and what impacr their claims had at che rime* I thus
build on the recenti imporcanc work of Nadun Sivin, John Henderson, and
Wang Aihe co argue for a historical understanding of cosmology.42
In shoix, I am recommending chat we dispense with both of the frarnt
works discussed aboveboth the contrastive and the evoludonaxy models.
41. See Sivin, "State* Cosmos* and Body in che Last Three Centuries B.C." Henderson,
The Development and Dtcline of Chinese Cesmot^ Wang Aihe Ccsmobgy and PolHUal Culture in
Early China.

We should instead work coward a more nuanccd approach in which we

make no a priori assumpdons regarding single sucemencs made in single
texa and the significance of individual claims. Once chis is done, and once
we move away from a commitment to seeing a lack of tension between hu
mans and divinidts as a guiding theme in early China, we may discover a
rich, and perhaps more troubled, world of debate concerning hamanSi di
vinities, and sacrificial practice dian previous analyses have accustomed us to
expect from Chinese texts.
This mcchodological point is relevant as well co che question of how we
should orguiizc cbe analysis of these texts. As should be clear from the re
current references in cbe secondary literature to "schools of thought in early
Chinasuch as Confucianism or Daoismm^ny scholars have organized
their studies in cams of such caccgorscs. I would argue, in contrast, chat che
actempc co categorize texts in terms of schook is usuaDy unhelpful and often
misleading: rachcr#our concern should be co explicare che claims of each text
within rhe debates of the time/ Discussion of these claims in cerms of a
"school" is seldom helpfixl.44 Even when dealing with a text that explicitly
posits itself within a defined textual cradicion, che analyse should seek co underscand how uch a cexcual cradicion is being posited and what claims arc
being made chroagh chat positing.
All these interpretive strategies reading in terms of schoob, essential^
iztd definitions of culture, evolucionary frameworkshave che consequence
of erasing die unique power chat particulir claims had at che dme. My arrac*
tg/ is, instead, co contextualize Through a difierenc approach: co ask why
sucemencs are made in particular situations, co understand the cultural sig
nificance cheyr would have had at che cimef and co work our the historical
consequences of che ensuing debates.
But my goal is noc co discredit che use of comparative terminology by
simply pointing our the obvious lack of fic between che indigenous categories
4 For in CTCflleni cridque of the use of che category "Daoism,* see Sivm. #On che Word
Taoism as a Source of PerpJacicy." Sivin makes rebred. and equally powcrfiiL cricique of the
ot^gory of *Kacuraliiua; see ^T h e Myth of the Naiuralms * in his Medianc, Philosofkj, and
Rdifion in Afiricfil Chitui, pp. 1- 3 j.
44. With tlie exception of ConRicianism and Moliism many of the "schook" into which

Chinese ihougju often caiegoriaed first appear in our received texts in tlic assy
"Ywxhi, by Sima Tan (d. 110 bc). Aj Kidder Smith ("Sima Tan and the Invention ofDao*
m, Legahim: cetenT) hai convincingly ^hown^ many of thic ^schools** were invented by
Sima Tan and are therefore of questionable applkabiliry for ducussions of pre-Han texti.

INTRODUCTION

26

and the comparative termsa point chat could of course be made (or any
culture. On the contrary, I chink comparaove work can be very helpful, and
I see mjr work as helping co develop a comparative framework. Ultimately I
hope to show that an alcemative form of culcural analysis chan has hereto
fore been practiced with these texts will aid in developing better comparative
methodologies. In particular, I will build on a number of recent works m an*
chropology co argue for a somewhat difierent approach co die study of early
China; in cum* the marerial on early China may help us co rethink issues in
the anthropological literature as well
Outline
In Chapcer it I urilize paleographic materials and received t t m co discuss
die complexities of ritual practices in the Bronze Age dealing with divinities.
I analyze changes in notions of the nature of spirics and ancestors, as well as
the rituals relating to both groups. I quesrion several of the dominanc mod*
els (or analyzing this material and argue chacf contrary ro most interpret!^
cions, these documents reveal a highly agonistic world, in which divine pow^
ers were perceived to be capricious and in which humans were in the
position of crying, within their limited abilities, co utilize sacrifices and divi
nations co undersund and influence the spirit world. More specifically* I ar
gue char there is an overriding concern in chese materials co anchropomor*
phize the divine. Building on die work of David Keighdey, I trace the
ancmptt( through ricual |>racnccsf to make the spirits into ancestors who
could then be arranged into a hierarchy and directed co work o d behalf of
the living co obtain support for (he non-ancescral spirits as welL
Chapcer 2 focuses on the emergence, during che Warring Suces period,
of numerous accempcs co byrpass die dominant modes of orienucion toward
che world of spirits (involving among other things* divination and sacrifice)
through practices of self^culnvacion. The advocates of these practices began
arciculadng new definitions of che nature of spiriu and of humanity and che
rcladonship berween che two. More precisely, these ardcularions were actempts co reduce che distinction between humans and spirics and ro argue
thac, through proper practices, one cm amin powers companible co chose
possessed by spiriu and thar one could dispense with divinadon and aacrifices. Inscead of anthropomorphizing the divine, humans, through self*
cultivation, could themselves become ru shen "like spirits/

INTRODUCTION

VJ

I also critique in detail the argumcnc#made for both China and Greece,
chat such movements which I refer to as M
seIf-*divinizadon movemenciM
arose chroi^h a re-reading of earlier shamaniidc practice* I develop a com*
parison with early Greece and argue for an approach to inaljrzing relations
between humans and divine powers in early Greece and China difierent
from the ones due have thus h i been influential in sinology.
In Chapcer 3, 1look in detail ar the rite of so-called nacuralisdc philoso*
phy in Mencius and Zhuangzi I argue against a reading of chcse cem as
representing cither an assumption concerning rhe inherem conrinaity beeween humans ind Heaven in early China or a hift from an animistic reli
gion 0 a more rational worldview. On the contrary as I hope 0 show, these
texts should be read as scacemencs in rhe conremporaiy debate over che pocentully divine powers of humans, and both texts contain attempts to think
through che implications of such claims for che relacions of humans and
Heaven. If humans can indeed become spirits and can indeed gain divine
powers, then should they still acccpc che commands of a potendally capri*
cious Heaven? Both Zhuangzi and Mencius answer this question in the af
firmative, although in different ways. In opposition to che wa^ chese figures
are usually read, I argue chat che texts of Mencius and Zhuangzi reveal che
tremendous tensions emerging ar this ome between Heaven and man.
In Chaprer 4 ,1 turn to a scud)r of correlative cosmology. I argue chat die
emergence of correlative syrsetms in che late Warring Sates period was di*
reedy related to the emergence of much stronger claims of sdf-divinizarioa
In concrasc ro rhe scacemencs in fourth-cenrury b c eexts rhar humans can at
tain powers comparable to chose possessed by spirits* by chc third century
b c numerous figures began ro claim co possess techniques rhac enable them
to become spirits.
In making this argumenc, I propose an alternative approach ro reading
earty Chinese correlative thinking. If, as discussed above* Granec sought to
explicate Chinese correlative chinking through a reconstruction of ^Chinese
thinking,** Graham tried co do so by positing correlative thinking as a univer
sal mode of human choughr. Thejr disagree, in ocher words, on che rdacion^
ship of carlyr Chinese correladve diinlcing co conremporaiy observers: Granec
emphasized difference, Graham similarity. But both Granec and Graham
hope co explain why cosmology would have seemed natural in early China.
And my disagreement wich both of cheir approaches begins here I argue,
building on che poinrs discussed in Chapters 2 and 3, chac cosmology was in

28

INTRODUCTION

hex. countermtmtive in early Chini. Not only did ic arise lace (as Graham cor
rectly points our), it arose in direct opposition to chc sacrificul praetkes
dominant at the cime. Correlarive thinking emerged as a language of critique
against the dominant norions of the time and i remained a language of cricique and opposition chroi^hoat the early imperial period.
To develop chis argument, I analyze numerous lace Warring States texts
in fulL I also review che anthropological literature on sacrifice and cosmology
chat has been so influencial in sinological discussions of Chinese correlarive
rhinking and argue chac a somewhat difterenc reading of chic liceracure, par
cicularly of Granec and Claude L^vi-Scrauss, will allow (or in alternative,
and in my opinion more convincing, undtneanding of Chinese correbdve
thought.
Chapter 5 is a study of che large literature on spirir journeys and asccn*
sion from early China. Although this licerarure has usually been read as a
survival of shamaimm, I argue in contrast chat it makes sense only when
placed within che historical contexts sketched in Chaprers 2 through 4. In
particular, several of che texts represent an actempr ro develop selfdivinizacion claims co argue chat humans not only can become spirits but
also can leave cheir body altogether and ascend co che heavens. The goal of
Chapter 5 is co analyze these claims in depth ind see precisely wh)r che)r were
being advinced at the rune.
Chapter 6 turns ro Qin and e2rly Han courc practices. I reconstruct aspects of che sacrificial system and imperial ideology of rhe Qin and eirty
Han courts and analyze che reasons lor the prominence offang^hi (masters of
formulas) ac che courts of che First Empeix>r and Emperor Wu of the Han.
My main inceresc in chis chapter is co invesrigare the emergence during chis
period of chcomorphic claims of rulership and the resulting debates chat
arose concerning che emperors proper rebcionship co che world of spirits. I
reconsrrucc che hiscorical complexity of chese various seances over che cours<
of che Qin and early Han empires to show both rhe rise of chcomorphic
forms of rulenhip and che reaction against it.
I also trace che tncensificadon of efibrts by various officials to develop
correlative models during chis period. I focus in particular on Lu Jla^ who
strongly advocated following die cransmicted eexes of che ancienr sages. Lu
Jia turned to correlative models co cridque both che dominant imperial ide^
ology and the various self-divinizacion cliims chat were becoming increase
ingly popular among che early Han elice: by arguing chac che cosmoi consiio

of spontaneous processes and pamrns, not directed by spirits at all Lu Jia

and others like him could deny the rhebcic underpinnings of much of early
Han elite culture. If spirits do not conrrol natural phenomena, then borh chc
theomoq>hic pretensions of the empeix>rs and che claims of autonomy made
by some praccicioners of self-divinizacion could be opposed.
Chapter 7 is an in-depch srudy of the cosmologies presented in several
chapters of the Huainami, which build on che ascension and self*divinization
literatures ro argue for a cosmos populated by cheomorphic humans and an*
chropomovphic gods. I analjrze why these cosmologies were being presented
and whac claims were being made. I also discuss che condnaing prolifin'ation
of self-divinizadon movements during the earljr Han and trace che various
appeals chat were made (or such powers, explicacing why they became so
prominenr during chis period
Chapter 8 studies che shifts in che imperial sacrificial system from che time
of Emperor Wu to che late first cencuiy b c in response to che contemporary
debates over how rhe system should operate. I analyze Emperor Wu s crea*
rion of a new sacrificial system based upon Taiyi (the Great One), as well as
Dong Zhongshus and Sima Qians criciques of che emperor. I then invescig^ce why, in 31 bc^ che imperial court embraced che arguments of cbe moists,
abolished significanc portions of its sacrificial system, and pur in place 1 new
sec of sacrifices to Heaven and Earth. These new sacrifices were based in part
on a particular reading of documents concerning che sacrificial system of che
Wesrem Zhou. I seek co discern (he significance char had come co bc associ
ated with these various sacrificial rites ind co explain che reasons (or this shift
in sacrificul practice. I argue that che shift was in part a reaction co the claims
of autonomy chat had developed in die self-divinization movements. Al
though zhtsc movements had themselves flourished in reaction co che theomorphic presentations of che tzt\y Han courr, the claims of auconomy chac
came ro be associated with these movements were seen as highly dangerous
and uldmacely provoked a strong shift in court policies*
The new sicrificul system put in place ac che end of che first century b c
involved a rejection of any claims co sclf-divinization or cheomorphism on
che part of humans. Humans and Heaven were posited as nomutivety
corrclaced with each ocher, bur they were also distinguished, with each given
iu proper sphere of acdvicy. Divine kingship was rejected; che ruler was
defined as human. Therea(terf self-divinizarion and ascension came co be
aisociaced with millenarun movements opposing che imperial court.

Anthropomorphizing the spirits

Sacrifice and Divination in
Late Bronze Age China

In both strains of the secondary licerarure diseased in the Introduction, a

common reading of the Chinese Bronze Age prevails: humans and spirits
were seen as continuous and were perceivecl co be harmoniously linked.
Moreover, this period is repeatedly seen as the (brmarive era in Chinese his^
toryi the period when one first finds die assumption of 2 continuity between
die human and divine realms char, the argumenc goes, thereafter pervades
Chinese history.
Weber saw this as a restricting aspect of Chinese culture, as did
Roctz, who argued chat it ultimately reversed the transcendental break
through of die Axial Age. Most of the scholars we looked at, however,
from Chang and Mote co Graham and Schwartz, fuHy celebrated ic. But is
it true? Were humans and spirits seen as linked in a harmonious continuum?
And is it crue chat this period marks the beginning of a sec of assampdons
char (for better or worse) predominated in later Chinese history? In order
co explore this quesrion, it will be worthwhile to look anew ac some of
rhese materials as well as at some of the secondary licerarure devoted co die

A N T H R O P O M O R P H I Z I N G THB S P IR IT S

The Foundations of Chinese Cosmological

and Bureaucratic Thought
One chinkcr who has crcmcndously influenced several recent scholars of the
Chinese Bronze Age is Mircea Eliade. Ic was Eliade who popularized the no*
non chat primitive cultures universally attempt to define a sacred space in
which they can link Heaven and Earth: "Mountains are often looked on as
the pbee where sky and earth meccf a central point cherefore, die point
through which the Axis Mundi goes, a region impregnated with the sacred, a
spot where one can pass from one cosmic zone to another/1Building on
Granec, Hliade argued chat che Chinese capital was perceived along similar
linesas an axis mundi, or a symbolic cosmic mouncain: "In China, che capi^
cal of the perfecc sovereign scood ac che exact centre of che universe, chat is^
at che summit of the cosmic mountain/*12
Paul Wheatley has extended Eliades argument to formulace a cheoiy of
the origins of urban centers in China. Like Eliade, Wheadey^ argues char
Chinese urban centers not only **in tradicional China but also throughout
most of che rest of Asia** emerged out of 2 widespread form of cosmological
chinking, which he refers co as M
ascrobiology.MGiven this cosmology, che goal
of ritual specialists was ro "esuablish an oncological link between the realm of
che sacred and che realm of the profane/3*S
.
For Wheatley, che figure who has mosr convincingly worked out the
ways in which capitals were consrrucced according ro such cosmological
models is Eliade:
Throughout che concinenr of Asia... there was thus a tendency for kingdoms, capiub, temples, shrines, and so forth, co be coascruaed as replicas of che cosmos.
Mircea Eliade has illuscraced this point wich a plethora of examples drawn primarily
from rhe archiceccure, epigraphy, and liceracure of che ancient Near East and India^
and numerous ochers could be adduced from Southeast Asia and Nuclear America.
In che astrobiological mode of choughc, irregularities in che cosmic order could only
1. Eliade, Patterns in Comparative Reli^io^ pp. 99-100.
2. Ibid., p. ioi, referring ro Graner La pensie chinaisc, p. 5x4. See also Eliade, The Sacred and
Pro/o p. 39. Eliades reference Granet is slightly misleading^ Granecs concern in che
passage chat Eliade cites is che notion of the ruler as rhe microcosm of che universe. As Granet argues on che previous page: M
he (the king] is the center, rhe pivot of che world" (La pcmic
chinoise, p, 323). Eliade would iiave found berter support for lib argument iti Granet s discus
sion of time and space in Chinese diouglit (Li pensit chinoist, pp. 77-99).
S. Wlieacley, The Pivot o f the Faur Quarters, pp. 4 1 4 - 1O.

ANTHROPOMORPHIZING THE SPIRITS

33

be interpreted as misfortunes, so chat, if a dey were laid out as an imago munii with
the cosmogony as paradigmatic model, it became necessary to maintain this parallel
ism between macrocosmos and microcosmos b)r puticipacion in the seasonal fesd^
vals chat consdruced mans contribution co che regulation of cyclic time, and by in*
corporacing in the planning a generous amounr of symbolism.
The capital thus serves as an axis mundi, in rhe same way as a M
shamans sap*
ling*1docs.45
After describing che M
cosmo-magical basis" of urban forms* syscematized
by Eliade as involving things such as a ^parallelism between che macrocosmos
and che microcosmos0 and necessicacing che use of ritual ro "maincain che
harmony between the world of gods and the world of mcn,Mas well as a wparcicipacion in che symbolism of che center, as expressed by some form of axis
mundi,06 Wheatley then notes the degree to which Chinese thinking con
forms to che Eliadean model:
Indeed, che astrobiological conceptual framework of which these ideas are an ex
pression was scruccurally conformable co che associative or co^ordinadve scyle of
thinking of which the Chinese were perhaps che foremost exponents. In (iur, it
might even be said rhar che pre-escablished harmony of the Chinese universe, which
was achieved when all beings sponcaneously followed che internal necessiries of cheir
own nature, and which led Chinese philosophers co seek reality in relacion rather
chan in substance, represented the most sophisticated expression of astrobiological
concepts ever attained b)r any people.7*
Not only docs China conform to this ^traditional0* way of thinking, but
China is in fact che fullest and most sophisticated expression of it. In this
specific sense, Wheatleys argument is quite comparable to Grahams view
chat China was the civilization char most fully developed the universal mode
of correlative chinking.
K. C. Chang has a similar argumenc, although he builds it on slighdy dif
ferent foundations. In a highly influential article, Chen Mcngjia argued chat,
in the Shang dynasty, kings were shamans.9 K. C Chang developed this argumenc in decul and, as mendoned in che Introduction! saw shamanism as
4 - IbkLi p. 417.

5. Ibid.
6. Ibid. p, 418.
7. Ibid,

a. Ibid.
9*Chen Mcngjia, "Shang dai de shenhua yu wushu."

34

A N TH ROPO M ORPHIZING THE SPIRITS

lying at the heart of Chinese culture.10He compiled bodies of evidence that,

in his opinioni M
poinc co an ancient Chinese shamanism at the core of andent Chinese belief and ricual systems, which were preoccupied with the
interpenetration of heaven and earth/11
Chang did not indicate which scholarly definicion of shamanism he had
in mind in making these arguments, but he did occasionally refer ro Eliade.12
Moreover, as is apparent from che passage quoted in the preceding para
graph, Chang's incerprecacion of a shamanistic cosmology is identical to Eliade s. Thus, although Wheadcy did noc argue chac che Shang king^ were
shamans, Changes reading of early Chinese culcurc is quite similar to the one
developed by Whcadcy.
For Chang, divinidonthe lare Shang rirual about which, because of
oracle-bone inscriptions, we know the mostwas based in shamanism, as
was che bi or ^hosting*") ritual:
Was Shang divinadon an aa of Shang shamanism^ The inscriptions make it clear
they were direaed co long-departed ancescors, and chac che diviner served as an incermediaiy. The inscriptions often contain che word bin, which in later classical coccs
usually meins co receive as a guest or co be a guest. In che oracle bone inscriptions,
che word is often placed between che word For king and che name of a specific ances*
cor or of Di; che Supreme God. A phrase consisting of these elements is sometimes
interpreted as -thc king receives as a guest a specific ancestor^ or ^chc kiags receives
is z guesc che Supreme God.NBut more likely ic means chsic che king "called upon** a
departed ancestor or God. . . . In zny event, there was a Shang ricual char enabled
che king and che spirics co be together, presumably brought about by some kind of
middlenun. The aa of diviaacion was intended, similarly, co bring che middleinan
diviner and che spirits cogecher.13
he divinadon ritual itself inyolved eichei: the ascent of the shaman to the
spirics or che descent of che spirics to che shaman:

The descenr of che spirics or che ascent oF che shaman or king was achieved in a
manner noc altogether clear. Music and dance were apparently part of che ceremony.
Alcoholic drinks were possibly involved: the Shang were notorious drinkers, and
many bronze ricual vessels were designed co serve alcoholic beverages. Did chc alco*

to. The argumenc is most fully developed in K. C. Chang, Art, Myth, and Ritual, pp, 44-55.
u. 1C C. Change "Ancient China and Its Anthropological S^iificance/ p. 164.
12

. See. e.gv

C. Chang, "The Animal in Shing and Chou Bronze Arc/ p. 5 4 3 .

13. K. C. Chang, Art, My(ht and Ritual, p, 54.

ANTHROPOMORPHIZING THB SPIRITS

35

hoi or other substances bring about a crance, during which che shaman engaged in
imagined flight^ Possibly, but there is as yet no evidence for this. The role of animals
in che rirual art of che Shang may provide significant dues.14
Chang builds on his cheoiy of shamanism ro provide a reading of che on*
gin of che Chinese scare comparable to char given by Wheatley. Chang reads
the lace Neolithic in China as an M
Age of Jade Cong [jade cubes], che period
when shamanism and policies joined forces/15Chang reads chese jade cubes
as symbols of M
the interpenecracion of heaven and earth" and as thus repre^
seming "a microcosmic
16 he Chinese Bronze Age, Hthe period
of chc further development of shamanistic politics/' followed from this.17
Thusf like Wheadey, Chang's reading is similarly based on che notion chac
Chinese civilization developed through ritual specialises who attempted co
join Heaven and Earth by building a particular axis mundi.
Julia Ching has expanded on this point as well. Chinese civilization! she
argues, in part came together because of a common inspiration,
chac che human being is open co che divine and rhe spiritual, attuned to che divine
and che spiritual, and desirous of becoming one wich che divine and che spiritual. I
am here referring to the familiar adage chat describes che harmony underlining Chi
nese choughr and civilizacion: Heaven and humanicy are one tianran heyi (literally:
Heaven and rhe human beingjoin as one).18
Like Hall and Ames, Ching posits che notion of a continuity bccweofi
Heaven and man as a basic assumption of Chinese thought. Bur Ching goes
on co claim chac che origin of this notion lies in shamaniscic experience
Ic is an adage thac I believe co have originaced in chac very myscic and ecstatic union
beeween che human being and che possessing deity or spirit. This was che primeval
experience, che experience of a shanun. Ic was never forgoccen. Ic has been cele
brated in songs, myths and rituals. Ir was formuJared philosophically as an expres
sion of che continuum between che human being as che microcosm of che universe as
macrocosm. And chis microcosm^macrocosm correspondence has been basic to
most of philosophising in China.19

14. Ibid., p. 5$.

15. K. C. Chang, M
An Essay on CongtMp. 42.
16. K. C. Chang, "Ancient China and Its Anthropological Significance,Mp. isB.
17. K. C. Chang, "An Essay on CngtMp. 41.
18. Ching^ MystitUm and Kingihip in China, p. xi.
19. Ibid

36

A N TH ROPO M ORPHIZING THB SPIRITS

The ecstacic experience between the shaman and deity, chereforc, provided
the primeval experience of Chinese culture, and the correladve cosmology
(buiul in later Chinese philosophy was an expression of this experience.
For Ching^ this experience is directly comparable to the primeval expert*
ences of oneness chat Eliade cites as the root of religious life:
In illo tempore ('Once long ago* or 'Ac char time). Thus do che Gospels bepn chdr
chapters. Thus does Mircea Eliade describe che primeval, sacred dme when human
kind had its original experience of oneness with che deity. ThisVas an experience
recapitulated in m)rth and reenacted in ritual. Eliade speaks more of India and of
che Auicralian aborigines, chen he does of Qiinese civilisation. Buc his insighc, mu*
cadi muundis. ts reflected in ch Chinese experience as wdl. as I have just dc*
icribttL20*
A primordial experience of a linkage between humans and deities exists in all
humanicy, and che disdncciveness of Chinese civilization lies in its remem*
brance of this experience.
A very diflerenr approach to the study of Bronze Age China has been
undertaken by David Keighdeyr. Although he occasionally quores Eliade#u
Keighdey s understanding of che Shang originates in very difFercnc iiuellec*
cual sources. Accordingy, his interpretation differs markedly iVom chose
scholars, such as Wheatley, Chang, and Ching, who base their inccrpreca*
cions of the Shang upon Eliade. In particular, Keighdey rejects the shamanistic hypothesis.
In contrast ro both K. C Chang and Julia Ching^ David Kfighde^ has
convincing questioned che prevalence (or even presence) of shaminism in
Bronze Age China*22 Keighdey s argumenc, based on an exhaustive review of
che evidence, is that Chang s theory of the concinuing presence of shaman
ism in the Shang is wrong. To the contraiyi Keighdcy argues, the transition
co a state society involved 2 routintzacion and control of whatever shamanistic practices might have existed earlier. Shamanism as discussed by figures
like Chang would have "flourished at an earlier, pre-agrarian, hunter*
gatherer suge of social developmenc.1*T h e rise of agrarian cultures, accord*
inglyr, like chat of die Lace Shang, has been associated with a reduction of che
role pbjred by shamans at the sure level or by ics reorientation.'' Keighdcy s

20. Ibid*, pp. xi-xiL

11. See. e.g., Keigfidey, The Rdigioufl Commitment" p*215*118.
i. Keighdey, "ShAmanittn, Death, and ihc Anccirora."

ANTHROPOMORPHIZING

th b

spir its

37

critique, therefore, is based on claims concerning whac he calls "stages of social dcvelopmenr.** Since the Lace Shang kinp were ruling a Bronze Age
agrarian scare he concludes char "the Lace Shang kings were not shamans,"
or "were, at besc. light or *snull' shamans, whose involvemcnc in the full
shamanic experience was much reduced from whac it mighc once have been
at an earlier stage of societal developmenc." They were "bureaucratic media*
corsMwho had mso roucinized and disciplined older forms of religious mediacionwchar only the ^civilized crapping of an earlier shamanism would sdll
have existed.21
This argiunenr char the Shang state was orderly, bureaucradc and M
civilized* recurs throughout Keighdcy s article. Thus* he reads the bin ricual ac*
cording to a similar burcaucracic mentality,24concluding, in opposition to
Chan^ that chc rictul was noc shamanisric
The Shang king was che communicacor with the hierarchy of the dead; he accracTtd
(hem to his cult center, in sequence, wich rigorously scheduled sacrifices and hosced
them with ordered groups of rituals; he communicated with them through the
highly formalized techniques of pyromancic divination; he commissioned inscrip^
cions, carved inco divinadon bones, chac recorded che whole procedure in detaiL Or*
derly divination* che hosdng of guests (whether alive or dead), sacrifice these were
che ways of civilized men dealing, noc wich the wild and che unknown, noc wich cc
static inspiration or trance, but#through ritual and schedule, wich cheir own kin.29
Both sacrifice and divination are here explicable as expressions of a rational
bureaucraric, civilized system* rather than of che shimanisric model ad
vanced by Chang.
Keighdc/'s concern wich rationalization in chc successive scages of sociil
development reveals a strong Weberian influence. And, like Weber, KeightIcy is inceresced in how chc religious oriencations he finds in the Shang
played oat in Utcr Chinese history. So, like Chang! Keighdey sees the Shang
as the origin of later Chinese cultural orientations, alrhough he and Chang
read this history very difierendy. As Kdghcley argues in his seminal TTic
Religious Commitmcnc Shang Theology and chc Genesis of Chinese Polici*
cal Culture : I t is the argument of this explorarory essay chat die secular
values and insricudons representing che great rradicion of che Zhou and Han
dynasties were characterized to a significant extent by habits of rhinking and
a). Ibid., pp. 616-17.
14. Ibid., pp.
Sec also Keighdey, *The Religioui Commitment, p. a:8.
$. Kcigiule^ Shainaniini. Death, and the Anceirori/ p. 813 .

J8

A N T H R O P O M O R P H I Z I N G THB S P IR IT S

acting chat had been sanctified at leasr a millennium earlier bjr the religious
logic of che Shang cheology and culc."3^
For Keighcley, however, what one finds in the Shang is not Chants sha
manism but Webers vision: "The radical world opdmism which Weber
identified as a central Confudan value was already present in Shang religious
belief."2627 As he elaborates: Tn Weberian terms, chen, we can refer co che Hi*
erarchical, concrictual, rational, roucinized! marhemacical, compartmencal^
ized narure of Shang ancestor worship as bureaucratic'*28The Shang, then,
was che origin of a bureaucracic mencalicy chat Webercorrectly in Keighc*
view saw as a dominant aspect of later Chinese culture. For Keighcley#
che orade-bone inscriptions reveal a bureaucratic mentality that both roucinized whatever shamanisoc cendencies might have existed in ebe Neolithic
period and initiated the "radical world optimism* chat Ke^jhdey, following
Weber, sees as characterizing beer Chinese culnire.
Keighdey*s position leads him to a view of urban genesis somewhat difier*
enc from chat given by Wheatley. He refers quite Bivorably co Wheatley s em
phasis on che importance of religion in che genesis of the Chinese state.29But
Keightley reads che significance of religion in China difFerencty. If Wheatley is
working (tom Eliade, Keighdey is working from Weber. After describing the
importance of religion for che Shang state, Keighdey continues:
There u noching uniquely Chinese in chis account so far. Religious belief has played
dmilar roles in che genesis of ocher staces. [KdgM^y provides anocher rcfiereace here
co Wheadey.) Significant in die Chinese case, however, were che modes of concepcu*
alizacion central to die theology. For ic is in che logical rcladonships chat Shang chcol
off posculaced as basic, and in che eniocions astociaced with chose retanonshipt, char
we find che charaaeriscic dements which influenced the development of polidcil cul*
cure in Zhou and larer cimes. We find in h a t a paradoxical sicuadon: a Shang state
permeated wich a commitment co the ancestors, scrongl^ religious in che totality of in
demaneb; and yet we find chac che commitment can be characterized aj nonreligjous*
nonmysteriotu, and because so explicitly goal direcred rational in its logic. The
logic may be characterized in ha, wich approprute caudons co which I shall recuitu
as "bureaucradc* in Max Weber's tense of the term.10

26. Keighdey. The Religioiu G)vninitvnent.Mpp. ait-ia.

27*
p. ai6 . See alio Ketghtley, M
Qean Hjadf and Shining Helmets/ p. 4.
ad. Keigluley. The Religioiii Commicmentr p. it 6.
19. Ibid., p. ai4.
l. Ibid.

ANTHROPOMORPHIZING THB SPIRITS

39

If Wheatky (like Chang and Ching in this particular sense) saw die aignifi*
cance of Chiru as lying in its cmbodimeiu ( in che fiillest sense, a primof
dial cosmological emphasis on rhe linkage of the human and sacred realnu#
Ke^hdcy sees the significance in che peculiar bureaucratic logic of Shang
i. . ii
region.
However, as we saw in che Introduction, che Weberian reading of Chi^
ntsc culrure does share a number of similaricies wich che culcuril-essentialisc
model underlying (in somewhat different ways) Wheacky's and Changfs in
terpretations. Thus, although Keighdeyr rejects che shamanism hypotheaift
for early China and although he does implicitly revise Wheadc/s inteq>reudon, he also sees humans and divinities as harmonioasly linked in eariyr
China He cxpliddy compares chis wich che sicuadon in earlyr Greece
*Greck epics also derive much of their complexity and dramaoc ccnsion from
the frank recognition chat unresolvablc conflicts cxisc in the world This
fundamental assumption is symbolized in che conflia between che values
and wills of men and gods/ According co Keighcleyr, no such discord be
tween gods and men can be found in tzvly China: There was little discord
berween gods and men.. . . The Chinese knew neither a Prometheus nor a
Like Wheadejr. Changf and Chingi chercfere, Keightley $es in rhe Shang
che origins of what he deems co be domiiunr orientations of Chinese
thought. Moreover, alcbough his reading of these dominant orioiudons is
based on a Weberun incerpreracion and although he (very convincingly, in
my opinion) rejects che shamanism hypodiesis, he, too, emphasizes a con*
erase between China and Greece based on che tragic cosmology of che former
and the optimistic cosmology of e latter* Indeed Kcighdey's erkique of
Chang was aimed almost entirely ar pointing out che lack of any evidence for
ccsucic techniques and ascensions. But che mosr important issue for Chang
was his claim chat, in che Shang, hununs and gods were linked in har
monyand Keighdey^ despite his enormous differences (irom Chang,

)i. Kdghdcy s argument is foreshadowed in a review of Whcadqr's book i

%irroce tome five yean before die article under diiauiion. Overall che review is I
lie doei argue that the next step in a compantive inejuiry should be co mi
well ai fllmiUrkict between China ind the reir o he world Sec ^Religion and the Rise of

Urbiniim#*p.529*
Kdghfleyi aQean Handi and Shining Helmeti,Mpp.

A N TH RO PO M O RPH IZIN G THB SPIRITS

accepts this as well. As was noted in the Introduction, the Weberian per
spective and the cultural^essencialisc perspective (Keighdey and Chang re*
spccrivdy, in this instance) read early China in similar ways.
Thus, although Chang and Ching emphasize the shamanisdc union of
human and deity in the oracle bones, and Keighdey emphasizes rational, bu
reaucratic hierarchy, all three agree chat Shang divinarion and sacrifice prac
tices reveal an assumption of harmony between humans and divinides. In
what follows, I question parts of this reading. In doing so, I follow David
Keighdey s research on Shang oracle-bone inscriptions closely and, in par*
ncular* build directly on Keighdejr s argumena concerning whac he calls
"making the anccscors."11 But I argue char icceptance of Keigbdeyr's argu
ments opens to question some of che notions of harmony char Keighdey
himself, as well as so many^ ocher scholars, wane to read into che Shang.

The Agon of Humans and Spirits in che Lace Shang

The main god of che pantheon was Di,34 who controlled che wind and rain:
Divining: "Crackmakinff on kingyin [day i\, Zheng divining: This eleventh month,
! I I
)3
Di will order che rain.

Divining "This eleventh months Di will not order che rain.M(H eji 5,658
Divining; M
On the next jujfmio (day

IE )

Di will order winds: (Hcji 672 )

The very existence of these divinations implies due chere is no belief here
rhat Di will necessarily give rain when humans need ic
Indeed. Di often created disasters for che kii^:
Di will make (for) rhe king misfortune. (H ep

14.1^2)

As did ocher spirits:

Que dinning: "Huaxi [the Huan River] will makefor] this city misfomuie/* (H^/i
7 ^ 54 )
One of che concerns in divination was thus ro discover whecher the divine
powers intended to send down misfomme

)).David Kcightley* The Making of the Ancestors."

14. For (he exaa nature ofDi( lee below, pp. 4S-49*
M. Guo And Hu, J
bfj 5*658 h^rcinifter died iiuhe text as Hfj

ANTHROPOMORPHIZING THB SPIRITS

41

Crackmaking on xinm ao, N d divining: *The king will have the making of misfornine." (Hcji 536)

Crackmaking on xinmao, Zheng divining M

The king will not have the making of
misfbrcune." (Hcji s$6)
Cracknuking on wuxu, Bin divining; HThis dry will be wichouc die having of misfer*
rune.* (Hcji 7,852)
Divining "This acy will have rhe sending down of misfemme.* (Heji 7S5l)

A constant give^ancl-cake cxisred between human actions and divine

powers. In a world controlled by spirits, certain human actions were seen as
coming into contact with divine powers, and it was thus around these acrions cHac sacrifices, hnuls#and divinacions came to be associaced* The goal
of these activities was to influence, mollify, and decermine che will of che di*
vine powers,0 persuade chem to gram assistance, and to prevent them firom
making disasters.
Take, for example, che issue of making 1 settlement. Following are a
number of inscripdons from Period I:36
Divining The king will make 1 setclemeiu, [for if he does] Di will approve." (Heji
14*201)
Divining: The king ought not co make a setdemenc, (for if he does not] Di will ap*
prove." (Hrji 14*201)
Crackmaking on renzi Zheng divining: **We will make a smlementj [for if we do]
Di will not oppose.** Approved. Thiftl month. (Heji 14.206)
In order to nuke a secdcmenc, a divinadon muse be performed co determine
che will f Di. It seems plausible co hypothesize chic founding a settlement
involved bringing divinely controlled natural elemcfus into the human realm
2nd required divination ro determine if che action would be acceptable to DL
Contrary to Wheatley, che making ofa settlement did noc involve correlative
concerns or 2 notion of an axis mundi. The concerns were based* instead, on
a porencially agonisric relanonship between humans and Di: Di controlled

)6 . Period I is Dong Zuobin's term for che earlie<t grouping of oracle^bone inKripnons*
dating to tlie reign of Wu Ding. For convcnienr summaries of rhe issues lurrounding cKc pe*
riodixation of oracle^bone inscriptions, see Keightley* Source* 0/ Shang History, pp. 9i~>33*
ShaughiMfiy. *Rcceuc Approaches toi Or
Oractc*8 one Periodizacion1*; and Li Xueqin and Peng
Yuflung, ITifixiijiapifsnqifanjiu.

AN THROPOMORPHIZING THE SPIRITS

the land, 2nd humans had to utilize rituals to make that land avaibble for
human use.37
Agriculcure was anocher repeared topic of concern in the early portions of
die corpus of oracle bones. Like che making of a seedemenr, die preparanon
of fields involved a human appropriation of natural elements controlled by
divine powers. As we find to two Period I inscripdons:
Command Yin to prepare che g^eac fields.
Ought noc conunaiul Yin co prepare che pear Helds. (Heji 9,472)
The divinations reflect an attempt to detennine whether this act of prepar
ing the fields, of readying them for human appropriation, was acceptable co
che divine powers.
Similar concerns underlie che opening of a field (or agriculcure. The fol
lowing is a sec of inscripcions located on a single scapula. Reading from boctom to top:M
On^iibai, divining: #At PN open che fielcb."19
On guihai, divining: The king will command che Many Yin co open che fields in che
west, [for if they dof we] shall receive mlllec.M
On guthai divining; The Many Yin ought nor co do [chisj, [For if they do noc, we)
shall receive millec."
On wuchen divining; ''We will pray for miller [starting] from Shang Jia. We will offer che lioo [burning sacrifice]/

)7- lndcd, ] would question noc oniy Wheatley's reading of the Shang material bui his use
of1 condatsve model to account for the rise ofacio in geoeraL As noted above, Wheatley s argDinau coacerniog che coi munJi was baMd on che work ofEliade. Eliade in ram based h ar
ffimaus on the Pan^Babylonuii KhoUrswidi the crucial difoence chat the Pan^Babjrloaiin
scholars saw notions of the sacred center as difliued from tht Near East, whereas Eliade taw
them as a universal aspea of wfaar hr called primitive cultures. In ocher words, cfticendre notion
ofan xis mundi cam originalljr from cbe Pan-Babylonian Jcbolars* reading ofNear Eastern matcriais, and Eliade, and later Wheatley, then universalized che nodon.
However, che existence of (he notion of an axis mundi in the Near Eastern materials has
been called into question as welL A< Jonathan Z. Smith (To Take Place, p. 16) has argued:
*Thcre is no pattern of che ^Center* in tb t sense that the Pan^Dabylonians and Eliade d tscribed it in the Near Eastern materialc." Thus, beyond cbe problems I have raised for
Whcade/t reading of Bronxe Age Q)ina. I would question the entire Eliadean argumeni on
which Wheatley based his comparative analjrsif.
SB. Ai if common for Kapulu. See Keighcley#5oiir(ff ojShtmHiitory, p,
19. Htr ind bdow the ibbrcviirion TN* la und co rtfer ro tn unidrmifbd pUcc name.

ANTHROPOMORPHIZING THB SPIRITS

On guihai divining: *We will pray (or miUec, [scarring] from ShangJia.M
On yichou divining The king will order the opening of the fields at Jing.*
*At PN open the fidds." (Hcjj 31,109)
Thus, a successful miUec harvesc depended in parr on whether the Many Yin
opened the fields in the west: according co the third inscriprion in the set.
they would receive millet only if they did not prepare the western fields.
Here again, die buman appropriadon of a field could potentially upset the
divine powers.
Crackmaking on . .. #divining The muldcudes will do die plowing There wiU be
no lots. . . (Heji 8)
As did cutting grasses (or hay:
Divining: D o che grass-cutting [i.e., make Ha/]. The rain will noc... .N (Heji I3793)
Moreover, the harvests themselves were controlled by divine powers:
On nihai, divining: The Many Yin ouehr noc undertake the harveadns of che mil*
let," (Heji 33,209)
Jiau% divining: loday we will [sacrifice [for if we do, wej will receive miller
[i.e.#agood harvesej." (Heji 2^14)
The goal of diesc divinadons was thus co decermine whether the divine
powers would allow humans co appropriate narural resources.
Buc just as divine actions affect che human realm, so human actions have
repercussions in che divine world I explore chis point more fully below; here ic
is enough co point our chat a recurrenc concern in the tnscripdovul material is
to determine the proper amount of sacrifices ac any given time chac will infla*
cncc the divine powers in a way Eivorable (or human concerns
The king will sec forth jades to Zu Yi, [g^ve] che burnt sacrifice oflFering of chree
penned sheep, and cleave three great..
was used. (^132,53$)
. . . will make che ding sacrifice ac che
ceive assistance. (Heji 2*345)

nea. [for if he docs] chc king will re.

Crackmaking on
"In sacrificing [to Zu Yi, we will offer the diMfsacrifice]
[for if we do,) che king will receive assiscance." (Heji 27,226)

The sacrifices ire aimed 2c gaining assistance for rhe king; making a particu*
Uf sacrifice, it is hoped will result iA divine aidhe purpose of the divina-

44

AN TH RO PO M O RPH IZIN G THB SPIRITS

don was thus apparend)^ to determine if a panicular sacrifice, ofl^red at a

pardcukr dme, would indeed have the desired effect.
A similar concern with controlling the divine spiric$ can be seen in the
frequency of exorcism rituals in che inscripcional corpus. If che divinations
concerning agriculture and secdemencs were aimed ac making divinely concroUedl land available for human appropriation, exorcism involved driving die
spirits away from che human realm altogether.
Divining

an exordsmto eliminate Fu Hao's trouble*- (Hcj 3>646)

Ac times, (his ritual form of controlling and managing che divine forces
could encompass large portions of che puncheon:
Crackmaking on ythat, Bin divining *Make che gpreac exorasm [scarting] from Shang
Jia/ (Hcji 14,860)
There is, thus, in che late Shang, a constant agon between humans and
spirits, with spirits controlling nacural phenomena and humans acrempcing
co appropriate aspects of che natural world for cheir own benefit. This re
sulcs in seemingly endless accempcs by humans to placate, coax#and influ*
tnce che pirics through sacrifice and divination. And che anempc scans ofren ro ub che spiriu are capricious and iar more powerful chan che rituals
humans use co control them.

Placing rhe Ancescors: The Construction of the

Shang Pantheon
The obvious quesrionsf chen, arc: Whac precisely are these divine powers*
Wherein lies cheir capriciousness! and How precisely are human rituals
supposed to control them?40 significam portionbur bjr no means all
of che pantheon consists of ancestral spirits.
The conscrucdon of che pantheon begins wich an individual s death:41
Grademaking on biiifsfcen, Chu divining: "In making Xlio Sis day4let it be jui/
Eighdi month. (Hfji is^u)42
4 . My understanding of c))tse iuues has been helped greatly by Sarah Allans The Shap
of the Turtle.
4i. My argument here follows the interpretation given by, and set of injcripcioiu compiled
by, Li Xueqin in his "Ping Ylnxu huei tenffhu.M
The tame divination ia found on Htji t 37i4 i Heji a)#7i) bat the tame divinadon. but
wiihoui lltc H.

ANTHROPOMORPHIZING THB SPIRITS

45

don reveals that Xiao Si (still being referred co by the name he or she had
while alive) is veneraced on zgui day
Crackmaking on renwu. Da divining "On the next |imvci# oflbr co Xiao Si three
penned sheep and X-sacrifice one ox." (Heji 23,719)
Once rhe day on which the ancestor will receive sacrifices has been decer^
mined the ancestor then receives a temple name based on that day. Thus,
(or example, Facher Yi receives cult on an yi day.
Crackmaking on jMcbfn [day 41*Que divinin *On the next jniiday
offering to Father Yi of penned sheep." Use (Heji 1.402 IE)

nuke an

This panem holds chroi^hout our sources. The rituals following

death, therefore, involved the acrempc co make die spirit of the deceased
inco an ancescor and co place that ancestor wichin a ritual system designed
by the living. As Keighdey has brilliantly argued, the Shang were
mak
ing" their ancestors.44 The deceased were given temple names, granted a
cby on which to receive sacrifices, and placed wirhin the sacrificial cycle.
Xiao Si moved from being a dead and presumably highly powerful
and potentially dangerousspirit to being an ancestor with a defined
place. In short, the point of these riruals was co place the deceased in

4). I am here ioflowing David Keigkilcys imerprmnoii of icniplc tomes. Foe a brief
fummiry, see his 71>f Ancestral Sacrifict. pp. 3)-35> Kaghtley wai reacting a^alntt K. C
Chang s orgumou thai the cempk name refkaed diffcrau descait groups within the Shang
lineage; see Changs "Tien kan: A Key co die Kisrory of the Shaog.*
The evidence given here clearly demonstrating rhar the icniple (umes were g^ven posthumoiulyshould be sufBdem to disprore the theory thaf the names represented difTerent
descent groups. 1c should further be mentioned rhat one of the circunucamiai pieces of evi
dence Chang used in defense of his hypochesii was Dong Zuobm 1 olterrurion of Old and
New Schools of diviners (for Dong s theory, see his Tinxu wenzi )ribian xuv). Chang argued
iliac this alceriucion was based on a repslir alremauon of the kingihip between the yi 4nd Jin
dctcent groups. Here too. however, che evidence does not lupporc Cluitg. Recent scholarship
hil (airly successfully questioned Dongs reading of aicenucing Old ind New School diviners;
ice, e.g Lin Yun* "Xiaotun nandi juc yu Yinxu jiagu duandai**; Li Xueqin< "Xiaotun nandi
jugu jiagu fenqiM
; and Qiu Xigui* M
Lun Li zu buci de shkUi.MClian^t ilicory, therefore, is
no longer teiuble.
'
44- Kcighdey. T he Making of the AnceKors."

46

AN TH R O PO M O R PH IZIN G THB SPIRITS

the proper hierirchy of sacrifices. And it was a place decermined by che

living.
The entire pantheon of Shang ancestors was builc up through such a
process. By adding cogecher cfae clues from die inscripcional evidence, schol*
an have been able co work out che entire ancestral hierarchy.45Shing Jia was
the highesr ancescor of the Shang, and Da Yi was Cheng Tang, che (bunder
of che Shang dynascy, according co later accounts from che Zhou. The hier*
archy abo seems co reflect che power possessed by each aocescor. rhe older
che ancestors, che more power they possessed.
Thus, sufferers of relatively minor things like toochaches, sicknesses, and
dreams would divine co recently deceased ancestors co see if che sicknesses in
question were caused by corses:
Divining *lc is Facher Yi who is cursing Fu Hao.** (Heji 6,032 IE)
Divining:

is not Facher Yi who is cursing Fu Hao.* (Heji 6,032 )

Divining; 0As for Fu Haos dream, ic is not Father Yi" (Heji 201 ]E)

If such divinacions reveal that che problem is indeed a curse fron one of che
ancestors* then sacrifices would be made to dispel che curse:
Cradcmaking on wuyin [day 15], Bin divining: 'Exorcise Fu Jing to Mother Gen^a
(Hgi 1,715)
*... Mocher Geng exorcise Fu Hao s coodt*
a[We) ought not co Mocher Geng exordse."
^Exorcise che misfortune co Facher YLM(H91 2*194)

Crackmaking on yimao, Que divining: "Exorcise Fu Hao co Fasher Yi. Qeave sheep#
oflFer pigi, and make a promissory offering of cen penned sheep.N (Heji 271)
All chese divinations and sacrifices arc aimed ar che generation immediacelyr
above che living.
But (or topics like che harvese, higher ancestors would usually be invoked.
The following divination begins with the highest ancestor, Shang Jia:
On

divinin*Wc will pray for millec [carting] from Shang Jia/ )|3)a9 )

4S* Much o f the crucial work (or this wai done by Dong Zuobln and publUhcd in his
*Yinxu wenzi yibian xil* On the hierarchy itidf, mc the uielul lummaiy in Kdghdcy. T h t
AmuirM SaeriJUt, pp. 90-10).

A N TH ROPO M ORPHIZING THB SPIRITS

47

Similarly% military campaigns would involve sigmficam portions of the panrheon

Divining; 'Tkis spring the king will oor ali)r with Wang Cheng ro attack Xia Wd
(br if he does, the upper and lowerdivine powers] will not approve^ It will not be
we who will be receiving the divine assistance/ (H 6,506)
The ancestors, therefore, appear to grow more powerful die longr they are
dead. The generation of ancestors immediacety above die living can curse
specific individuals with sicknesses, toothaches, and nighnnarcs, whereas the
higher powers control phenomeru chac affect die entire Shang people, such
as harvests and miliary campaigns.
And ckis hierarchy provides the context for understanding the bin rir*
ualthe ritual discussed by both Chang and Keighrley. If Chang read chc
ritual as an example of shamanism, Keighdey read ic as revealing a protobureaucratic sense of hierarchy Let us look 2c the evidence:
Ought not entertain. (Heji 3379^)
Crackmakine on u/u.. Que divining: ^We ouehr noc make the eiuercainmenc [ric
uair (H 9 )
Crackmaking on ytchou, Que divining"We ought not perforin die encenAinmenc
[rinul)/ (Hgi 15.179)
Divining; "Cheng will bea^esc to DL" (Heji i#4 a IE)
Dmninp "Da Jia will be a guesc to Cheng." (Hgi 1,40a IE)
Divining; Xheng will noc be a^esc co Di.a (Heji t,4 i IE)
Divining: *Da Jia will noc bea^est to Chcng.M(Heji 1,402 IE)
Crackmaking onjiachen [day 41]* Que divining: mXia. yi will be a guesc to ... .w (Heji
i#4 a IE)
Divining: *}CUYi will not be a g^cst to Gheng.N (Mcjj 41 )
Divining; "Da will be a g ^ c to D f (Hfji i,4i
Divininp *Xia Yi to Di* (H 141
Divminp "Da Jia will be aguesr co Dl* (Heji 1,402 IE)
Dhrininp ^Xia Yi will do be a est co Di/ (H i i4i

The bin ritual involved anempts by one figure ro encertain or treat another.
The "figures" involved were humans#ance$torf#or Di. The crudal point, as
Keighdey baa argued so effeedvety, is chat the figures in quesrion are ar^

48

A N TH ROPO M ORPHIZING THE SPIRITS

ranged hierarchically: humans entertain the most recently deceased ances

tors, and che most recently deceased ancestors entertain the still earlier an
cestors, who in cum entertain Di.46
This hierarchy of ritual action reveals a hierarchy of power, since the re
cently deceased ancestors were seen as weaker chan che older oneSj who were
in turn weaker than chc nature gods and Di. As Keightley has demonstrated:
M
In terms of functions, Di# the Nature Powers, and a few of the Former
Lords, like Huang Yin, tended co affect chc dynasty or the country as a
whole, influencing the weather, the crops, and war&rc; by concrascf . . . the
ancestors were more directlyr concerned with the kings personal activities:
his illnesses, his well-being, and che fault-free nunagemenr of che rimals.1'47
And che hierarchy also reveals a hierarchy of pliability at least from the
point of view of the living: the more recently deceased ancestors were seen as
more amenable co human ritual promptings. To quote Keightley again:
wThc Shang conceived of chc Nature and the Ancestral Powers as occupying
a hierarchy of negotiability, with the close ancestors and ancestresses of che
pantheon being mosc open to this kind of pledging, 2nd che higher Powers,
boch ancestral and natural, being less approachable in this way/
he goal of the rirual was thus to prompt the weaker ancestors to host
the more powerful, all chc way up to DL The ricualf rhen, served two pur
poses: ic maintained the proper hierarchy of che pantheon, and it used the
lower, more pliable ancestors, to mollify che higher, more powerful ances
torsulrimacely including even Di.
But then whoor wharis Di? Several scholars have cried co argue that
Di is che supreme ancestor. Robert Eno even argues that Di is in &cr a col
lective name for the entire pantheon of ancestors.49 Buc I would aigue
against Enos reading. It is difficult to read die bin ritual inscriptions mean*
ingfiill^ if we inrerprec Di as a collective name. Buc then che question scill
stands: If Di is a singular being, chen what is he? The evidence for answering
che question is limited Bur ir is clear chat Di is more powerful chan the
ocher ancescors. He is che most powerfiil of che gods and concrob che wind
and rains. Ic could be argued chac Di is very much like an ancestor as we

46. Keightley. "Shamanism, Dearh, and che Ancestors/' pp. 6oS-i4. See also Hu
Houxiun, Tin buci zhong d t shangdi he wangdi," p. 89.
47< Keighrley, HThe Making of rhe Ancestors,Mp. 9.
4i. Ibid., p. 15.
49* Bno. M
Waf There a Higli God Ti In Shng Rcligionr

ANTHROPOMORPHIZING THB SPIRITS

49

have already seen, the more distant ancestors are more powerdil. Ac the
same time, however^ he is not part of the sacrificial pantheon: he does noc
have a cemple name! and he does nor have a designated day in the sacrificial
cycle. Indeed, Di never receives sacrifices ac all* As the most powerful god,
Di seems relatively uncontrollable by human ritual.
The most reasonable hypothesis is chat Di was nor recognized as part of
the Shang ancestral line, and he was probably not an ancestor at alL And
this may in part explain che mocivadon (or che bin ricuaL If die human ability
co influence Di direedyr is limiced humans can nonetheless arcempt to influ
ence che lower ancesrorsf who can influence the higher ancestors, who can in
cum influence DL In ocher words, they can create a hierarchical chain chat
uldmacely includes Di.
We thus find inscripcions such as:
Crackmaking on guichou [dxy 5] Zheng divining: M
We will dwell in this settlement
and perform the great entertainment rituali [for if wc do,] Di will approve/ Third
month. (Heji 14,206
Crackmaking on ju ic W da 5j. Zheng divining: **Di will noc approve/* (Htji

1,106

determine whether Di approves of the Shing's concintied dwelling in a

particular settlement, a M
greac encercainmenc ritual** is oflkred. The term
M
greac X ricuaT is used in Shang inscriptional literature to refer co a ritual
encompassing che entire pantheon. The "great exorcising for example, in*
dudes all ancestors, beginning with Shang Jia:

Crackmaking on yihai, Bin divining: M

Make che great exorcism [starting] from Shang
Jia.- (Hc/i 14,860)

Ic is reasonable to conclude, then, that che great encercainment ritual in

volved rhe full pantheon, including che entertaining of Di by the higher an*
cestors. Thas#the way co gain che support of Di for che continued occupa^
tion of the secrlemenr was through rhe bin ricuik Di could noc be coerced
inro accepting che Shang order through sacrifices, but the panrheon could be
employed co coerce him through the bin rirual.

5. There are no inscriptions in whicb Di clearly receives sacrifice. Shima Kunio has at
trmpeed to argue chat Di did in fact receive sacrifices* but liis evidence is unconvincing; see his
Inltyo Muji kcnkjut pp. !95-97> For a careful, and convincing, refutation of Shima's argument.
Me Eno, .Wai There a High God Ti in Shang RcHgion^ pp. 7-8.

AN TH RO PO M O RPH IZIN G TKB SPIRITS

These actempts co use the bin rirual to create and maintain a proper hier*
archy of non-anccsrral powers can further be seen in the encertainmenc of
nature spirits such as the sun and the Yellow Riven
Crackmaking on yisi [day ^2]: M
The king will entertain Ri [rhe sun]. (H cji 32,181)
He will noc entertain rhe sun." (Hcji 32,181)

Crackmaking on xinsi [day 18], divining: The king will encercain He [che Yellow
River] and offer a liao [burnt-offering sacrifice].M
Crackmaking on rcm i [day 49], Lu diviningT h e king wiQ encercain Ri [che sun]. Ic
will noc rain.M(He/i 22,539)

In concrasr co che rreacmenc of Di, che king himself can directly entertain
chese nature powers. But, as we saw with Di, rhe bin ritual appears co con
nect che non-ancestral divinities wich ancestral powers:
Crackmaking on ^uiuri [day 20] Quc divining; **On the nextj ben [day
che
king will enrercain Shang Ji2 and Ri.MThe king prognosdcared and said: M
Ic will be
an auspicious entertainment ritual, hey really were emertained (H$j 1,243 )
The purpose of che ritual was co entertain Shang Jiaf the highest Shang an*
cescor, alongside che sun. Ic seems reasonable co conclude, therefore, chat
natural powers as weU were being brought inro and harmonized wich the an
cestral powers. Dead humans are made inco ancestors, and non^ancescral
powers are then brought into accord with these ancestors. And, in che case
of Di, the ancestors themselves are called upon co bring Di inco che pancheon.

Transforming the Spirits: Sacrifice in the Shang

So what does this mean for our understanding of che bin ritual? I would
agree with Keighdey chat Shang rirual process should noc be read as shamanistic. Humans do noc ascend to the heavens, nor do che ancestors de
scend inco humans. The ancestors certainly descend ro receive cheir sacri*
fices, but there is nothing shamanistic about chat.
But I would noc follow Keighdey in reading this as proco^bureaucracic.
And my disagreement comes down co a question concerning Keighdejr s ar>
gumeiu about sacrifices in the Shang. For ICcightlcy, Shang religious prac
cicc rested upon the do ut des (1 give, in order chat rhou shouldsc give') belief

ANTHROPOM ORPHIZING THB SPIRITS

51

d u t correct ritual procedure by the Shang kings would result in &vors con
ferred by Di.w52 A similar reading of Shang sacrifice underlies Poo Muchous understanding:
In the [Shang] inscripdons one senses chat the diviner addressed che deides, or ancescors, as if they were immediately accessible. In faa# since min believed so firml)r
thar the deides and ancestors actually extended care and power to che propidacor di^
reccly, che world of extra-human powers in che conception of the Shang diviners
should be seen as having been either conterminous with che human world or a con
tinuous extension of it. 3

The ancestors, deities, and humans are on the same plane, 2nd sacrifice
lows for a proper relationship between chem: "A person s relationship with
che powers, moreover, can be described as Jo ut da!* Keighcley and (following ICcighdcy) Poo Muchou arc arguing th inso&r as chc Shang divine
cional and sacrificial experts saw humans and divinicics as continuous^ a sim*
pie bureaucracic operation of giving and talcing was sec up between chem:
one gives in order co receive. In making this argument, Keighcley is reading
China according to a sacrificial model proposed by the early theorists of sac
rificeEdward Tylor, Robertson Smicht and, co some extent, Henri
Hubert and Marcel Mauss.5
2*55All these theorists read sacrifice as a gift from
human to god And Weber lies in this cradidon as well Weber reads che
sacrificial Jo utdes as a rationalization of magic56just as he reads che thisworldly oriencarion of larer Chinese religion.
In fact, however, Hubert 2nd Mausss argument contains more chan just
a discussion of sacrifice as a gift. Indeed, as many have argued,57che defini
tions of sacrifice as a gift that still appear in the work arc the weakesc parts of
che argumenc. Ocher parts of Hubert and Mausss analysis are far more
powerful and may prove more helpful for analyzing Shang sacrificial prac^
cices chan the gift modeL The main idea behind their argument is that sacri
fice is a transformative act. They read rhe act 2s involving a series of tnns*

52. Kcighdey, *Thc Religious Comniitmem pp. 214-1$.

$3.
I
W re, p. 28.
54> Ibid.
5$. Tylor^ Primitive Culture, William Robenson Smith, Lectures on the Religion of the Semites;
I lubert and Mauss, Sacrifice*
56. Weber. Economy and Society, 1:42457*See, in particular, die excellenr ducusjion by Valeri, Kingthip and Sacrifice, pp. 64-66.

A N T H R O P O M O R P H I Z I N G THB SP IR ITS

formations of sacralization and dcsacralizacion between the sacrifier,58 the

victim, and the divine powers involved. Thus, (or example, Hubert and
Mauss argue that the sacrificial vicrim is sacralized by the process, as, there*
fbre, is he sacrifier." Sacrifices chroughouthe world are then read as a scries of permuucions of chis model; Hubert and Mauss focus in particular on
which cransfbrmacions are emphasized and what function these cransformacions have in the society under discussion. O f particular interesc co our cur.
rent concerns is cheir description of one aspea of die Vedk soma sacrifice:
^Thus not only is it in sacrifice chat some gods are bom, it is by sacrifice chat
all susuin rheir existence. So ir has ended by appearing as cheir essence, cheir
origin, and (heir creacor.**60 In other words, gods as well as the sacrifier can
be traiufbrmed by sacrifices.
And. in &cc, Keighdey s argumenc concerning the "making of ancestors*
points precisely to chis cransibrmacive notion of sacrifice rather chan ro the
bureaucracic do ut dcs framework within which boch he and Poo Mu*chou
attempt co interpret Shang sacrificial action. The Shang sacrificers were not
assuming chat human and divine powers were continuous or char the giving
of a gift would result in benefics from the gods. They were richer transform*
ing spirits into figures who would operate within a humanly defined hierar*
chjr. In other words, sacrifice did not rest upon the ^belief* that correct rimal
procedures would result in &vors. Rather, ic reseed on the atrempc co create a
system in which chis would be rbe case.
Thus, when dead beings are given a temple name and placed wichin the
sacrificial hierarchy, xhey are being formed into ancestors who will, the living
hope, act on cheir behalf. And the bin rirual noc onty cnaincains chis hierar
chy buc also (again, it is Hoped) brings Di into ic as wclL And all these divine
powers are then called on co act on behalf of che living. Perhaps, then, insread of representing a bureaucracic mencaliry, the ritual involved an accempc
ro create hierarchy. Hierarchy was noc an assumption; it was a goaL
I would argue char the guiding assumption behind Shang sacrifkial ac
tion is that iflefr to their own devices, che spirirs (D l nature spirits^ and de
ceased humins) do noc act in che bese interests of humans. Indeed, the

$8, The "sacrifier * according co the Huben/Mauss model is the "subjea (o whont the
benefits of sacrifice thus accrue, or who undergoes its efliBcii** (Hubert and Mauu, Sacrifice,
p. 10).
S9- Ibid., pp. 19-49*

6o. Ibid., p p n ^

AN THROPOMORPHIZING THE SPIRITS

53

assumprion seemed ro be chat spirits were capricious and quite possibly ma*
licious. And che^ were more powerful chan htimans: they control natural
phenomena, and they have the ability co send disasters.
Accordingly, humans had ro, within the limics of their powers, use riruals
to place these spirits in a hierarchical syrstem, in which (it was hoped) the
spirits would further the incerescs of the living. The Shang ancestral eule
represented an accempc co forge nature spirits and the ghosts of <leceased
humans inco a single, unified system. The deceased humans would become
ancestral spirits, defined by rheir roles in a hierarchy 2nd borh nacurc spirits
and nonrelaced yet nonetheless powerful deceased humans would be placed
in this hierarchy as well Moreover, these ancestral spirits would themselves
serve co keep rhe non-ancescral spirits in place.
And from the evidence in che divinatory mirerial, it is clear chac these ef
forts often (ailed. Even with the sacrificial system in place, che spirits fre*
quendy^, at whim, created problems for che living2nd che living rhen had co
divine co determine what additional sacrifices would mollify che spiric in
question. Spirits, in short, were more powerful than mere human rituals,
2nd Di and che ocher (nacural and ancestral) spirits would frequently a a
contrary co che incerescs of humans. Thus, humans were neicher collaborac*
ing with che spirits nor assuming chat their rituals would work. Instead, they
were artempring^ within cheir limited powers, co use rituals co create an or^
dercd#helpful pantheon of spirits.
My fill! argument then, is hat adopting fCeighdc/s ins he about "mak
ing ancestors** leads to a questioning of Kcighcley's own Weberian framework* If correct, chis would mean chat there was no assumption of 1 hsirmo*
nious collaboracion of man and spiric in the bre Shang. The need co make
spirics of che deceased into ancestors and co bring nature deities and Di itself
inco chat pantheon shows, among ocher things, a belief char spirits are not
inherently inclined co acr on behalf of the living. And che divinarional record
reveals a belief chat che ricual syscem often did not work anyway.
This reading of che inscriptions implies that a chis^worldlyr opdmism did
not prevail in the Shang and chac humans and spirics were nor seen as inher
ently connccced. On die conrraiy: che specific concern of die Shang cult was,
in a sense, ro anchropomoiphize the spiric world: co make the deceased inco
proper ancestors and co have che ancestors guide che nature spirics and Di.
The reigning assumption, then, would appear co be chac the relations be
tween humans and spirics were, without chis ritual action, agonistic and po

54

A N TH ROPO M ORPHIZING THB SPIRITS

cendally dangerous; the goal was chus ro domcsncare the sprics and thereby
render them controllable*
A Moral Cosmos? The Zhou Conquest and the
Mandate of Heaven
In the mid-eleventh ccncuiy bc, the Shang fell to chc Zhou aimies led by
King Wu. This would become one of chc defining momencs in early Chinese
hiscoiy. But was it jusr a military victory of one scare over anocher, or did it
represent a fiindamencal change in chc perceived relations beeween humans
and spirics in early China?
Scholars who emphasize char che Shang was foundational for later Chi
nese culture argue, not surprisingly^ againsc a fundamental break. (Both
Chang and Wheatley, for exampk, quote from Zhou texts m discussing
Shang materials.) Bur several scholars have tried to argue, on die contrary,
char che Zhou conquest does indeed represent a rupture. Indeed, there is a
clear pattern: scholars who see a subscancial break tend to find in che West*
em Zhou che very chings chat Wheadey, Chang, Ching, and Keighcley tried
(in my opinion unsuccessfully) ro find in che Shang: a belief in an inherent
and turmonioiis link between divine powers and humanity. For example,
Eno recently described che Shang/Zhou transition in the following terms:
^Whereas che Shang king had been merely chief priest co die high gods, the
Mandace of Heaven rheory made the Zhou king Tian's [Heavens] executor
on earth.61 Tian and che king were now virtually indiscinguishable/42 In a
(bocnoce co this scatemenc#Eno further remarks; "This had not been che case
with chc Shang. There are inscriptions that portray che Shang high god Di
61. Heaven was the high god of the Zhou, jast is Di was the high god of chc Shan^
However, as we shall ace, the Zhoa presented Heaven and Di as the same deity and used the
two icrmi interchangeably.
Shlnu Kunio (Inhyo bokuji kenkyu, pp. 174-B6) and following him, Robert Eno (TV Confiuidfi Creation oj Heaven, pp. 183-86) have rried to argue that Heaven does in fiicc appear in
chc Shang inscripdons, rq m c m e d by che g n p h dinf T -1
^ arpunem unpmuanve.
The word
refers cp the
and I wouU ro d the intcnpoont about ncrificcs
p i dinf
2s simply meaning actifices *oq a d in g h y * or *to
ancestors'1(U., ancestor*
ucrificcd 10 on ding days), not *to Heaven.* As Eno (Tlir Ccnfiieian Cnation of Hmven, p. 1B6)
himiclf poinu out: *Crkeru (or identifying which inscnprioiu use the graph 11 a cyclical cign
and which as Tian need to be devdoped. otherwise the argumenr chat all inm ncei of G in
ihe un$e of a ddey refer co dtn^iign kingi remain! pUuilble.*

6t. Bno Tbe Co^isn Oitibti ofHfvfPi<p. a)

a n th r o po m o r ph izin g

th e

spir its

55

as (he pocencial adversary of che Icing and die state.*61 The pocendallyr arbi*
nrary aspeco of divinity in che Shang are thus replaced by an inherent link
age in die Zhou. Simdarly, Lester James Bilsky, in his survey of early Chi
nese religioni has argued chacf in the early Western Zhou: T h e gods and
spirits were thought of as immortal beings who invariably aaed according to
che ideals of perfection and who, thus, inhabited a world of ideal perfec
tion/64 Both Eno and BiUky in ocher words, find in the Western Zhou a
linkage between humanity and diviniry comparable co chat which K. C.
Chang and others have found in che Shang.
David Pankenier! in what is perhaps che most ^cinaring of recent ac^
tempts to discuss che Shang-Zhoa cransidon provides an account chat
builds on che work of man^ of che scholars discussed above. Pankenier s
seated goal in che essay is ro provide "an account of che ancient Chinese
polidco-religious imagination according to which macrocosmic/microcosnuc
correspondences legicimaccd the social order.*65 Pankenier tees che Shang/
Zhou rransicion as a crucial momenr in che development of this cosmologi*
cal view. To make chis argumenc, Pankenier ckims chac che Shang did not
chink according to such a cosmology. To die contrary, the lace Shangche
period covered in che orade^bonc materialsreveals a lack of incetesr in
cosmology and astrology:

The window on che wodd of che Shang provided by the oracle bone insenpoons,
formulaic and iimiced in scope though they m , seems skewed by che pardcular pre^
occupations of late Shang divinacory theology. Cosmology and asrrolog^ (i^re al
most incidentally, che natural powers finally noc ac all, in a magicoreligjous practice
largely devoted during che final decades of the d)^nascy co che routine observances of
che ancestral cult, (p.174)
In contrast* Pankenier argues, che Zhou developed a view based on die cos
mological linking of the king with Heaven.
When puc in these terms, the argumenc seems direaly based on che ra^
cionalizarion models discussed in che Introduction che arguments, found
in works from Weber co chose commicred to a general M
religion to philoso^
phy" framework* for a gradual shift in early China from a magical view to a

Ibid.,
64. BiUky, Tbe

1:

Pankenier, T h e Cosmo^Policical Background of Heaven a Mandate," p. u a (hereuuf*

ter ched in cKt text).

56

AN TH ROPO M ORPHIZING THE SPIRITS

rational one. Indeed* Pankenier at one point even describes the Shang/Zhou
transition in precisely these cerms:
portrayal of che emergenc contrast
between late Shang and early Zhou religious dispositions is informed by
Clifford Gccrt2#s elaboration (following Max Weber) of the distinction between "traditionaT and rationalized* religions" (p. 173W103).
However, Pankenier s overall argument in fict is much closer co chose of
figures like Wheacley. Pankenier wishes ro argue that a form of correlative
cosmology, based in astrology, formed in China in che second millennium bc
with che emergence of che state. Indeed, he quotes and supports Wheadc^s
argument on this point (p. 145). Starting well before rhe Shang, Pankenier
argues, kingship was understood as an institution that maintained the
proper correlation between che human 2nd natural realms: he ability to
comprehend the celestial motions and ro sustain a reciprocal conformity be
tween their regular variations and hum^n activity, chat isr che discernment
necessary to 'pattern oneself on Heaven/ was a fundamental qualificacion of
kingship^ (p. 146).
Pankenier s full argument, therefore, is chat the lack of cosmological and
astrological chinking distinguishes the late Shang nor only from its succes
sors but also from ics predecessors: M
The late Shang may have represented a
significant departure from che norm in significanc respects" (p. 175). The
theological shift from che Shang to the Zhou was thus nor a unilinear evolu
tion from a magical co a rational worldview; racher> the Zhou reverred to a
more archaic nocion of cosmology:
W ith regard co che supernatural sanction underpinning the universal kingship che
key shift is marked by a deemphasis of legitimacy based on che principle of contigu
ity, that is, membership in the royal lineage, coward a focus on legidmaq^ premised
on emulating Heaven as che paradigm of order and harmony, an echos inspired by
u i archaic, fundamentally mecaphorical idea about che congruence obtaining be
tween che supernatural 2nd temporal realms, (pp. 173-74)

Even che ethical aspects of Zhou thought are simply a more articulated as
pect of an earlier cosmology:
By accribucing human-like personality to Heaven, and by vigprously revivinghe
conception of phenomenal narure as an index o f Heavens accivic)r# che Zhou Chi^
nese inevicably rcimbued nature with an echical quality. This feeling for che ethical
dimension comes mosc strongly to che fore in the early Zhou texts, but it was by no
meins a Zhou innovation, (p. 170)

AN TH ROPO M ORPHIZING THE SPIRITS

57

In short, Pankenier sides with Wheadey in arguing for a deep strain of cos^
mological chinking directly associated with the rise of the state. The Shang
was simply an aberration.
In view of the evidence of a (Undamemal consistency between lace Zhou cosmological conceptions and chdr second millennium b.c. antecedents, the Zhou claim co
have re-established the concinuicy of a cosmo^policical cradicion that cook irs cues
from Heaven and the natural order now appears well Founded (p. 176)
The Zhou thus represents the consolidation of an earlier archaic tradition
resting on the harmony of man and Heaven.
And this tradition accounts for the optimistic, humanistic disposition of
Chinese thought "By caking matters into dieir own hands, so ro speak, a
fundamentally optimistic, human-ccntered disposition began co evolve^ bur
dened chough it was by a heavy responsibility co maintain ricual regularity"
(p-155)* Pankenier thus finck in the Western Zhou, as well as earlier in the
Chinese Bronze Age, the same form of rhis^worldly optimism chat Weber
defined as characterizing Chinese culcure in general.
But arc these scholars righef Are the views of the Wcsccrn Zhou that dif
ferent from chose of rhe Shang? Did the Zhou introduce a fundamentally
different (or, in the case of Pankenier, restore a more primordial) way of
conceptualizing the relations of humans, spirits, and che cosmos chan chac
which existed in rhe Shang^ More pointedly is it crue chat such a correbrion
of the wills of Heaven^ che ancestorsand the king was assumed co exur in
che early and middle Western Zhou along with an atcendanc chis^worldly
opcimismP
The answer co these questions is, in
opinion, no. But before spelling
out my own view, ler me provide some of the evidence behind the argument
for a fundamental break in religious belief between the Shang and Zhou*
A few years after the conquest, che Duke of Shao, one of King Wus
brothers, purportedly gave as che reason for the Shangs flulure rhar "they
did noc respect their power (de) and thereupon prcmarurcly lose their man
dated66 The Zhou then received che mandate ro rule instead.
A fuller discussion of what this mandate entailed can be seen in che inscripcion on the Maogong ding:

66. "Shao gao" Shangshu, 15.6a. My rranslacions have been aided by Karlgren, *The Book
ol* Document!/ p. 49
and Nivijon, MAn Interpretation of che 'Shao gao/Mp. 181.

A N TH RO PO M O RPH IZ IN G THB SPIRITS

The king said co che effect: "Father Yin, as for greatly illuscrious Wen and Wu, augusc Heaven was exceiuivdy
satisfied with chdr virtue, and made us, che rulers of Zhou# 2 councerpaix [of
himsdf]. [Wc] greatly responded ro and recdvtd che great mandare, and led and
embraced
che bordedands which were not coming co court. None was not opened by Wen s
and Wu t brilliinc g|iy. It waj Heaven chat directed
and pchered chdr mandate^ and it was che former oflBcers who yielded co and as
sisted chdr rulert#(oiling and laboring for che great mandate.
And then august Heaven cirelml^ watched over and procecced us, the rulers of che
Zhoa and gready screngchened the mandate of which che (bnner kings were the
counterpart--47
Heaven granted che mandate ro the Zhou rulers Wen 2nd W uf and Wen
and Wu then served as che counterpart of Heaven on earth.
At first gUnce, this appears co be quire difFerenc from che Shang material
Throughout che Shang texts there is a strong nodon chat che world has a
proper partem. However, the evidence clearly reveals this pacrem co have
been given by humans to the ftpirits, not che ocher way around: living humans, chrough cheir ricuals and particularly through cheir sacrificial system*
place spirits into a hierarchy and thereby attempt co obtain an order favor*
able co themselves. Spirits do noc give this pacrcrn co humans; nor left to
their own devices^ would the spirits observe such a hierarchy* And# in icc#
even with che full sacrificial system in place, spirits are still quire capricious:
che ricuals do not always work. What appears differenc abouc che nodon of a
mandate is chat ic explicitly comts from Heaven, and Heaven s support is
based on che virtues of the rulers in question rather chan on cheir ritual ac*
cions. Homans do noc determine the ancestors; rather, chcjr fellow Heaven
and are rewarded (
so and punished (or not doing so.
Thus, for exam
Icdsion by King Cheng, Wu s son and successor,
ro found che deyr of Luoyang is presented in several Western Zhou texts as
simpty chc fulfillment of che wishes of Di. The ^Shao gao** chapter of che
Shanphu quotes che Grand Proreaor as nuking precisely this poinc
The king should come and continue chc [work] of chc Di on high, and himself crve
in rhe center of chc land.6768
67. Shirakawa# Kinbun uushaku, ).iIi^)7>
of chit work, hencefonh abbreviated t i *ShM
6S. "Shao gto,mShtnphu, 19.5A.

All bronze inscriptions are referenced in ccrmi

AN TH ROPO M ORPHIZING THB SPIR IT

59

The founding of die city is chus presented as a concinuacion of the actions

of Di (or Heaven), and it serves co center che realm. G>ncrast this wich
the inscripdonal oucerul discussed above concerning che making of settle*
mencs. There, che concern was die human appropriadon of land concrolled
by Divand the king was accempcing to use sacrifices 2nd divination co deter*
mine Dis wilL Here, Di is che prime mover, directing che Icing co settle a
newcicy.
Indeed che entire relationship between ancescors and descendants chat
prevailed in the lare Shang appears co have been turned upside down. In*
stead of having the kinp determine che ancestors! living king are firequaicly
presented in Wcsrcm Zhou bronze inscriptions as simply following the
models and paradigms of the ancestors. As King Kang suces in chc Da Yu

Now ic is chat I approach che model and receive from King Wen
uprighc power. Like King Wens commanding rhe rwo or three officials, now it is
that I amunand you, Yu,
co assise Rong in respectfully supporting che continuance of che power. (Sh
12.61:647)
King Kang presents Himself as following che model of King Wen and receiv*
ing che Utters power. Even Kangs acr of giving commands is posed as ibl*
lowing in the mold of King Wen. Similar]^ che king commandft Yu co use
che same approach of modelii^ himself on a great ancestor
The king said: "Ah. I command you# Yu, co modd yourself on your inhericance
from grandtther Nangong."
Insceati of cbe living making the deceased inco proper ancestors; che At*
scendancs are here presented as following die deceased And all are part of
Heaven's laiger mandate. We find che following on che Lu Bo Dong gui$a
vessel firom die reign of King Mu:
Ic was the kings first mooch, wich che (hen at gmgyin [day 27], rhe Icing said co die
effect:
**Lu Bo Dongr in plannings starting (irom your grandfather and father, [your fiuniiy]
has helped

in laboring for che Zhou stare and helped in opening up che (bur quanert. May it be
exceiuive,
HeAvena mandate. In whac y^ou have undertaken^ you have not fiulecL" (Sh

ANTH ROPO M ORPHIZING THB SPIRITS

Post-conquest military endeavors were also presenred as a carrying out of

Heaven s mandate. For example, in die Ban guit King Mu is presented as o r
dering the Duke of Mao co attack (he eastern states. After the accack the
Duke ia recorded as saying:

The Duke [of MaoJ announced his service

co above 1 c ii char che people did noc come (co court). Id69norms they darkened70
Heavens
mandate." (Sh 15.7^ 4)
War is thus presented as a mainccnance of the mandate of Heaven* jtuc as
the initial conquest was presenced as a fulfiUmcnt of the mandace*
Throughout chee inscripcions and poems, then* we ste a recurring
theme Heaven (or Di) is the director, and the Zhou follow his divine
plan* Each successive Icing is posed as adhering co the model of his predeces
sors, and each acc of conquest, consolidation, and domescicadon is presenced
as simply a continuarion of the ancestors' work. Moreover, che king's
aides are presented as simply serving the royal house in its work, a service
accomplished by modeling chemselves on cheir forebears. The living, in
such rhecoric, do noching but respect the model of che ancestors. Unlike
che porencially anugoniscic relationship of man and divinity in rhe Shang^
chenr che Western Zhou writings seem co pose Heaven as acting with
che kin
But does che Western Zhou represent a fundamental break from che
Shang in terms of the perceived relations between humans and spirits? I
think noc. The problem here is diac we muse be cartful co concexcualize
statements and undcrsrind why they were written. Above all we must
avoid the cempucion co uke statements at
value and read diem as
common bclie or assumptions of the rime. In what follows I will argue
chat perhaps Eno( Bilsky, and Pankenier arc jumping too quickljr from
suremenrs made in a particular context to claims about an overall belief
system of che rime. More specifically the view due there existed 2 belief in
che early Western Zhou of che identity of che king and Heaven seems co
me suspect.

iMfu
p. 10b} reads rhit cm m the
acory toi
Tempting chough such a reading may be I am noc lure it ii justifiable. I
have iimead read it u mi a ii common in Wectcni hou bronze inscriprioni
Pollowing Guo Moruo (bid.) In reading ai mW .
69. Guo Moruo

AN THROPOMORPHIZING THB SPIRITS

6l

Pacifying the Spirits: Western Zhou Sacrificial Practice

The nodon of a mandate is linked with the ides of proper sacrifices. In the
"Duofang* chapter of the Sban^sbu, the Duke of Zhou is reported to hive said:
"It was your last kingof Shang who cook pleasure in his ease, scorned his gov
ernance, and did not keep die sacrifices pure. Heaven chus sene down dmely
disasoers.* Heaven then turned co the Zhou: mlz was our Zhou Icing who
caciousiy upheld the people, was able co utilize his power (Je)t and direct die
spirits and Heaven. Heaven dicn inscrucuil us co utilize his favor. He exam
ined and gave us the mandare of Yin co adminiscer your numerous regions*
Of noce here is the fact chir one of che (undamenul discincdons drawn be^
rween the two rulers is an abilhy to utilize sacrifices properly. The last Shang
king fiiiled co do so, and Heaven thus sent down disasters. In contrast, che
Zhou king was able co direct che spirirs and Heaven property, and he chus
won che nundace. But whar does ic mean co use sacrifices properly
The ianwang^Mi,772 which dates to che reign of King Wu, is inscribed:
The greatly illustrious deceased father King Wen
serves and pleases73the Di on high. (Sh 1.1:1)

The bee King Wen, Wus father, is presented as serving and pleasing Di.
Here again, che ancestors are expected co do whac they can co keep che high^
est powerf Di, working on behalf of che living.
Although che ritual involved here is difFerenc from chose di&cussed above,
che concerns are quite similar. The inscriprion in che bronze vessel was pre
sumably intended for che ancestorsin this case King Wenwho would
thus read the inscription after descending to consume che sacrifices ofiered
in che vesseL74 The inscripnon^ therefore, is not so much a sucemenc of hcc
as an exhorution ro Wen to serve Di: "Majr che greatly illustrious deceased
father King Wen serve and pkasc the Di on high

7i. "Duofang," Sfcanjsliu, 17.5b, 6a. My cransbcion hai been aided by Karlgren, The Book
of Documairs,* pp. 64-65.
7 1 . Also known as che Da Feng ^ui.
73* Guo Moruo reacU this as 1 type of sacrifice hat is being offered0
jinwefKi Jaxi tutu kaoshi, p. ib.) But since there if no j>ti following the word< it teems difficuk
to read Di as the indirect object ofa sacrifice verb. I thus read rhe word in Its usuaJ meaning.
74- For an extremely helpful anal)rsu of meanings of bronze inicripdoni, lee Falken*
luuicu, "luuei in Weicem 21hou Scudiet." Sec aIi o idem, Suj^fmifd Miutc.

62

A N TH R O PO M O R PH IZ IN G THB SPIRITS

This concern with coaxing or even controlling the ancestors appears fre
quently in bronze inscriptions. For example, in che Bo Dong gui, a vessel
from che vniddle Western Zhou
[I*] Bo Dong, for chc first dme will make
a treasure for che western paltce. It is co be used to padfy (sui ^c i^c) che spirits,
and to embrace and call out to the earlien cultured men* who grasp
viitue and uphold goierotity. It is to pray for ten thousancl
yem to have ions* tons ind grandsons' grandsons erenullyr creasure it. (Sh 17.91^07)
The explicit suremem char che vessel was made for use in pacifying che spir
its through sacrifices, like die oracular material discussed in che preceding
sections^ implies a belief chat che ancestors were at lease porendall)r not sup
portive.
But if) in the Tianwang jui, k is Wen who serves and pleases D what
happened to che Shang ancestors? How, in che aftermach of che conquest,
were che Shang ancestors replaced by che Zhou in serving chc Di? Hints can
be (bund in chc M
ShifuNchapter of the Yizhoushu, a chapter chat may indeed
dace co che early Western Zhou75 We are cold ch^c after conquering che
Shang, King Wu declared: "In decUrarion to the earth altar, [Wu] saick #It is
I. the young one, who pacifies [m)r] cultured, deceased &cher. May it reach
to [me]t che young one.,M6 The descendant! King Wu. claims to pacify (ii)
his deceased father. King Wen, and hopes chat chis will result in benefits for
himself. The cerm sui is che same one used in the Bo Dong gui co describe
che padficadon of the spirits. The declaration reveals that Wu is noc at all
certain of his deceased &rhcr*s support.
King WtTs actions in the aftermach of the conquest are celling: .On
wtiAen [day 5], the king then performed an exorcism, nude an inspecrion
and gaive a commemoiadve sacrifice co King Wen. On chis day, che king es
tablished the govemmenr/77 All these acrions, caken immediitclyr after die
conquesc and immediately before che cscablishmenc of che Zhou statu, ap*
pear ro be acts of consolkladon^ aimed ac driving away malarolcnc forces and
settling che new order. The exorasm. as discussed above, serves to drive
spirits away from the human realmpresumably, in this case, che spirits are
che Shang ancestors. Sacrifices ire then given to Wenpresumabljr co per*

75. See ShaughneM^, "'New' Evidence on the Zhou Conquestr pp. 60-66.
7d. wShiiur YiAouAu, 4.iu-b.
77* I M -

ANTH ROPO M ORPHIZING THB SPIRITS

63

suade him ro accept die new order. These are the aaions of a king who seo
himself in a position similar ro chat implied the oracular inscriptions dit
cussed abovehe is acting in ways due he is not convinced will be supported
bjr the divine powers and hence performs ritual aca aimed ac coercing their
acceptance.
Another of the actions taken bjr Wu after chc conquest, the beheading of
the Shang masem of cauldrons,78 is parncolarly^ intriguing. Bronze vessels
were used co ofier sacrifices co the ancestors and chus ro padfy them and
maintain their support. Cauldrons in pardcuUr were assodaced with ftiich
nodons.79 The beheading of the Slung cauldron makers cm be undencood
as symbolizing die end of the Shang means of detennining the wdi of die di
vine powers.
And rhe sacrifice of the last Shang king makes the cramfer complete. The
chapter records another announcement by Wu:
[Wu announced in the Zhou temple, saying: "Earlier, I have heard, [myj cultured,
deceased father culdvared himself on the standards of che men of Shang. With the
diimembered body of Zhou [che last Shang king], I announce [the change in ruler*
shipto Heaven and to [Hou] JL**80

The Announcemenc is directed both co Heaven (che high god) and ( Hou Ji
(che ancestor of che Zhou people). King Wu adcnowledg^s that che Shang
formerly held che rulership and chat King Wen modeled himself on che
Shang. By sacrificing che Shang king and beheading the Shang masters of
cauldrons, Wu ends the sacrificial system co che Shang ancestors. The claim
is that now the Zhou, not die Shang, will be die ones co serve Heaven.
In chc aftennach of che conquest it is King Wen who is called on co serve
and please Di and thereby bring order ro che realm. We thus find in rhe Shi^
jingp Mao #235:
King Wen is above.
How glorious he is in Heayen.

79. Relevant here is the transfer of chc Yin kingi* cauldrons to Wu, also recorded 01 chc
Y iA ow hu (4>ia). Later rexes present such transfers as a itaodard occurrence during a lcgki-

mate change of dynasties. S e t, e.g. the Zuozhuan, Huan, fccoiid year, in which the Shang arc
reported to have transferred nine cauldrons co the Zhou. The
M
(^fuhihuang benji" re*
corcla the failure of the fim emperor co get rhe cauldron! firom the Zhou, a bilure underitood
to signify the iUegitimacy of the ( ^ n dynasty.
So. "ShUiL** Yithomhu, 4 .a.

AN TH RO PO M O RPH IZIN G THE SPIRITS

64

Although Zhou is an old scace.

Its mandate is new.
Are the rulers of Zhou nor illustrious.
Was the mandate of Di not cimdy?
King Wen ascends and descends.
Residing to the right and left of Di.
M uch is said in these few lines. T h e Z h o u is an old stace^ b u t only with King
W en did D i grant it the mandace to rule. T hus, it is W en wh resides with
D if descending to the hum an realm co receive sacrifices and ascending to the
heavens to serve Di and maintain his support for the Z hou. W en thus serves
the same function as the Shang ancestors had earlier.
These ritual exhortations co ancestors concinue throughout the dynasty,
w hat about the descendants?

he

inscription on die Tianw ang^ui con

cludes:
King Wen looks down from above. The greadyr
illuscrious king [Wu] makes the inspection, che gready majestic king [W u] becomes
che successor. (Sh 1.1:1)
H ere we see another side o f che equarion: the living, in this case King W u f
attem pts to become a proper successor to the ancestor. T h e deceased W en
is presented as watching his descendant from above, and W u claims legiti
macy because o f his abiliry co inspect W en and serve as his successor. T he
rekeionship between chemi therefore, is bi-direccional: che living work co
make the deceased into proper ancestorsi who will work ro maintain D i s
vor for the living. B utf as che deceased are made into proper ancestors, the
living promise co make themselves into proper descendancs.
These chemcs pervade the W estern Z h o u bronze inscripcional material.
A further example is an extremely lace vessel, che H u g u i, which was com
missioned by King Li.81 T h e vessel was case in che twelfth, and possibly last,
year o f Li's reign before his forced exile
[I]f H u [King Li], make this great sacrificial treasured gui c u r tc n , with which co
make tranquil and complianc my
august cultured and valorous grandfather and deceased fiuher; may [they] go co che
former cultured men,

81. Published in Luo Xizhang, "Shaanxi Fufeng udan Xi-Zhou Liwang H u gui.1* A)
hough I ciiiagree in a few specific poirns, my rramiiition of th inxcripcion genera% fotlowB
that given in Sliauglineuy^ Source pf Western Zhcu History, pp. i7i*72<

ANTHROPOMORPHIZING THE SPIRITS

65

ouy
cheyfrequently be in che court o f the D i on High* ascending in d descending*
continuously encompassing che august
[DiJ on H ig h s great and generous mandace, thereby com m anding and protecting
ou r family, my
position, and H u s person^

The presencarion is similar to chac seen in che earlier vessels, excepr that the
ancestral line is now older. King Li has ordered the vessel for sacrifices to his
deceased father and grandfather, whom he thereby hopes co "make tranquil
and compliant." The Facher 2nd grandfather, rendered compliant through
sacrifices, 2xt exhorted co approach che ^former cultured men#, a reference
to the foun<iets of the dynasty, presumably Kings Wen and W il The latter
in cum are called on co ascend and descend berween che human realm and
che court of Di, preserving Dis mandate For che Zhou and thus protecting
che living kings position.
The inscription closes with the Kings exhortarion chac he be able to con
tinue his sacrifices and thus gain long life and a continuing mandate from Di:
M ay [I]r H u f for cen thousand years gready bring co realization

m y many sacrifices, thereby seeking long life and entreating an eternal m andate co
govern
in posidon and act as che seem below.

The text is a prayer co che icings ancestors co remain with Di in order co

protect che kings position.
The repeated claim throughout these poems 2nd bronze inscriptions is
chac che deceased muse be made into proper ancestors who will then con*
vince Di co mainuin support for che Zhou royal line. The living represent
chemselves as proper descendancs co these proper ancestors. The living, in
ocher words, will follow the ancestors, but only after che deceased have in
fact been made into proper ancestors.
The bronze inscriptions and the poems from ac least che M
ZKousongMsec
tion of che Shijing may thus have been written from a perspective nor unlike
rhat seen in che Shang oracle inscriptions, a perspective, namely of living
humans attempting co coerce the divine powers ro grant 2id or, ac lease, not
co send down disasters* Stacemencs in these works that che descendants are
simply following the example of che ancestors, who in cum were simpty fol
lowing the example of Heaven, should perhaps not be uken purely ac face
value. Instead of reflecting an assumpeion chac descendants should simply
follow rheir anccscors, such scacemencs more likely arose as in attempt by

66

A N TH ROPO M ORPHIZING THE SPIRITS

the descendants co coerce the ancestors, somecimes chrough rinials of con*

crol, sometimes chrough acts ofrherorical submission. The claim due in rak
ing an action the speaker is simpty continuing what che ancestors inidaced
should perhaps be read more as voicing an argument rather chan an assump
tion: ir may be the case chac at lease somecimes ic is nor chat che descendants
chink they have followed the ancesrors bur that che descendants have acted
on cheir own and then claimed chac in so doing they were simply following
the ancescors. Their goal would be co win che anctsrors* support. Even che
ancestor, chenf must be urged co become linked with Heaven. And che de
scendants do follow che ancestors, bur only when che ancestors have been
made inco proper ancestors. There was no more of an assumpdon concern
ing harmony in che Western Zhou dun chere was in che Shang.
A sraciemenc# quoted above, in che "Shao gao* chapter of the Shangihu,
concerns che founding of LuoyangT he king should come and continue the
[work] of che Di on high, and himself serve in che cenrer of die land.*42 The
smtemenc, attributed ro che Grand Proreaor, clearly presents che founding
of che cicy as che king condnaing the work of che Di. But the He zun,$i a ves
sel inscribed in che fifth year of King Chengs reign, charaaerizes this act in
a difierenc wajr.
It was the d m e w hen che king [Cheng] Am moved and seeded ac ChengzhotL He
once again reedved

King Wus abandanc blessings from Heaven. Ir was che fourth month, bingxu
[day ijJ.
T h e king made a stacemenc to the young men o f the lineage in che great hall, saying:

^Earlier
ypur (iuher, the duke of the dan, was able to accompany King Wcil Andhen King
Wen
reemed this [great mandate].84It was when King Wu had conquered the fftu
cicy Shang chac he hen, in coun, announced co Heaven* saying; *1 will
seede chit cencral cerricoiy, and from it rule che people.'" (Sh 43.1:171)

King Cheng is presenting himself as fulfilling che plans of his Either, King
Wu, who is sending blessings from Heaven above.
$1 . *SKao gar Shan^m,
I). For a fuller discuuion of rhe He zun, wot m y IV

Ambi^alenct of CrMrion. pp.

4.Two graphs are illegible here. Tang Lan ("He zun mingwen jieihi* p. 6)117) readi the
tp h i minf For diicuuion of his m d ln Me my TW
p.

ANTHROPOMORPHIZING THB SPIRITS

67

Bur ooce King Chengs scacemenc. He quotes his uher. after the con*
quest, as having announced co Heaven chac he will seede die central ceniroiy
to rule the people. This is an announcement along the lines of chose seen in
orade-bone inscriptions: a statement of ones incenrions to the divine powers,
in this case Heaven, in order co request approval This would hardly seem
necessary if Wu was simply following Heaven's plan.
In these lines, che feeling is not dissimilar ro char discussed above in reb*
don to the Uce Shang: a pocentiallyr antagonistic relationship seems ro hold
between che king and che divine powers, and che king has to coax and influ*
ence chose powers into accepting his work* G>nrraiy co Wheadey s ammpc
ro read such claims of centering as implying a correlative mode of choughc#
che nodon here seems, rather, to involve in ittempt by chc king co stake out
a political claim: he is announcing to Heaven his inrendon of establishing a
center and is hoping thereby co gain Heaven s support. The assumpeion is
not of correlacivicy bur of potential antagonism.
Indeed, I chink we can go even further. Nore again that it is King Cheng
who is making this announcement and tlut the inscription bcgui with a ref: King Cheng*s receiving abundant blessings from hi5 hxher (King
Heaven*
concern here is to niaintain the support of
his &cher who is
dt Cheng hopes, maintaining Heaven s sup*
pore. The point, chen, is to emphasize co the ancestor Wu that it was in het
W u's idea co establish Luo as che new political center. King Cheng thereby
hopes co maintain che support of W \it who in turn will work co mainuin
Heaven 5 support.
The concerns here are thus quite comparable co those found in the Shang.
Heaven (or Di) is che powerful agent, bur Heaven is relatively unresponsive
to che riruals of chc living. The living thus strive ro receive die support of the
ancestors, who arc in mrn called on co influence Heaven. The living mzy
present themselves as following Heaven and the ancestors* buc such a presenurion is parr of a larger goal of influencing Brsc che ancestors and, through
rhem, Heaven itself, co suppoix che wishes of che living.
Overall* Western Zhou hymns 2nd inscriptions were based on building a
pix>per ancestral pantheon chat would then work on behalf of che living ro
maintain Di's (or Meavens) support. The ancestors were called on ro de
scend to the human realm, receive sacrifices as well as ritual exhortadonSt
and then ascend ro che realm of Di co serve him and maintain divine support
for che Zhou line. The culric praaices are directly comparable to chose of

68

AN THROPOM ORPHIZING THE SPIRITS

the Shang, with rhc obvious difference thar the Zhou, by sacrificing the last
Shang king and beheading his cauldron makers, have replaced the Shang an
cestral pantheon with the Zhou ancestral pantheon in the realm of Di.

The Art of Sacrifice: The Sheng min Poem of the

Shijing and Hesiod s Theogony
Funher evidence (or this reading of culric practices in the Bronze Age can be
gleaned from che poem M
Sheng minw(Mao #45).B5Here I read the poem as
a reflection on the chemes of sacrifice ics origins and its significance.8586
More explicitly, I argue that the poem includes a rather complex presenta
tion of the reladonships between ancestors and descendants. After providing
a close reading of rhe poem, I then cum co comparative material from Greece
and reconsider che larger comparative claims made by che scholars discussed
in die (irsr part of this chapter.
The poem opens by describing the birth of Hou Ji, che ancescor of the
Zhou people:
The one who Brsc gave birch to our people,
This was Jiang Yuan.
How did she give birch co che peopled
She was ible co perform che yin sacrifice, and she was able co
perform che si sacrifice,
so is to no longer be childless.
She stepped on che big coe of Di s foocprinc#
she was elaced about chac which enriched her and char which
blessed her.
And so she became pregnane, and so it was sooiij
And so she gave birth and so she rearedhim).
This was Hou Ji.
Jiang Yuan was unable to have a child. Bur she had one greac power she was
able co perform che yin and it sacrifices M
so as to no longer be childless." The
85. My tramlacion had been greatly aided by that of Bernhard Karlgren, The Book o/Oda
(Stockholm: Museum of Far Eastern Antiquities, 1950), pp. 199-202. Indeed, in some of the
Utcr sections o f he poem below,
y quote from Karlgren s cranshnon.
86. My understanding of rhii
has been greatly enhanced by the interpreutions ol*
David Knechcges, Stephen Owen, Willard Peterson* and Pauline Yu in Ways With Words:
Writing about Reading Textsfrom Early Chinn, edited
Pauline Yu, Peter Bol Stephen Owen,
and WiJlird Petcraon (Berkeley; Univeriity o f California Preu, aooo).

ANTHROPOM ORPHIZING THB SPIRITS

69

poem does noc explain precisely why this solves Jiang Yuan s problem, but
the ensuing line implies an answer Jiang Yuan, throi^h her abilities co uci*
lize the sacrifices, was able to make Di descend. She chen stepped in his
fboq>rinc and absorbed some of his potency.
Nor only did this allow Jiang Yuan co become pregnant^ buc it also meant
that her child, Hou Ji#was bom with divine powers:
And then she completed her months,
first giving birth was like sprouting^
[There occurred] no bursting, no rending,
without injury, without harm.
Thereby manifesting his numinous nacure (ling).
he

Hou Ji s gift is apparent ar birch: his numinous nature allows him to emerge
without harming his mother, and his birth is like the sprouting of a plane.
He is thus immediately associated with the generative process.
Nonetheless, Di was angry.
The high Di was not serene
and noc pleased with th e yin and si sacrifices.
[But] tranquilly she gave birth co the child.

The sense here would appear to be that Di did nor approve of Jiang Yuan*s
actions. Jiang Yuan used the sacrifices co make Di descend and without Dis
approval, she stepped in his footprint and captured some of his divine power*
Hou Ji, in other words, was bom of a transgression, in which Dis potency
was appropriated rhrough a deceitful use of rhe sacrifices.
Presumably because of Dis displeasure, Jiang Yuan was forced to give up
Houji:
And then she placed him in 2 narrow lane
The oxen and sheep nurtured him between their legs.
And then she placed him in a forest on the plain.
He was found by chose who cut the forest on the plain.
And then she placed him on cold ice
Birds covered and assisced him.
The birds then left.
H o u ji wailed
Really spreadings realty strong
His voice then became loud.

ANTHROPOMORPHIZING THB 5PI!UTS

Jiang Yuan keeps crying to abandon her child, but Hou Ji is repute
^
by animals and humans. Despite Di s displeasure, Hoa Ji is sriu
those below on earth.
.
Hou Ji continued to grow and was soon able to feed himself by P1^
And chen he was actually crawlings
able to stride, able co stand firmly
so as to seek (bod (or this mouch*
He planred wich large beans.
The bare beans were waving like screamers,
The grain chac wai culdviced was sprouting,
The hemp and che wheat were chide*
The gourds were ample*
And then Hou Jis husbandry
had the way of helping.
He cleared away che dense grass,
He sowed it in che yellowearth.
Really even, really dense,
really growing really becoming tall4
really extending really flowering,
really trrong, reallf goexi
really ripe ears, reallyr solid kernels.
He had his house in Tai.
Hou Jfs gift of being able co aid che generative process manifests icself agun.
The harve is enormous, and Hou Ji, wich ample food, is able to settle
down.
Hou Ji chen handed down che grains co the people and chus began agri*
culture. And thus, too, began the sacrifices:
And then he sene down che fine grains.
There was black miller, chere was doubie-kernelled black millec,
There was milla with red sprouts, there was miller wich white sproua.
Planting them extensively, che black millet, che double*kemelled
bUck millet.
Reaping chem and raking them by che acre.
Planting them occensivdy, che millet wich red sproua. die millec
with whiresproucs,
carrying them oa hit thaaldcr* carrying them on hia badc
So as to return and inidace thcfAcrificci.

ANTHROPOMORPHIZING THB SPIRITS

7*

Ac rhis poinr, ihc frame of the poem shifb from a narracive of Hou Ji s
actions to die perspective of chose chanting the poems. The aacrifices inidaced by Hou Ji have been handed down, and che chancers describe cheir con
tinued eflBcacy:
And so, our sacrifices, what are they like?
Some pound (che grain), some bale ic.
Some sift ir, some tread ic
Washing it until soaked.
Steaming ic undi sceamed.
And so we plan and so we chink ic over.
We cake souchcmwood we offer ht.
We take a ram so as co sacrifice to the pirics of the road
Roosdng and broiling,
So as co scan che following year.

The sacrifices, if accepced by che spirits, allow for the start of the next agri
cultural cycle. Indeed, these sacrifices are enjoyed even by Di himself.
We fill in che dou vessels,
in che iou, in che dtng vessdf
(when) the fnigrance first ascends
The high Di tranquilly enjoys ic
Oh how pungent ic is.
Hou Ji tnidaced che sacrifice
May we not have any faults
So they [che sacrifices handed down

Hou Ji) reach co che present

The living are continuing the sacrifices initiated by the ancestor Hou Ji and
when performed correctly, they please Di.
Thus, a proper haimony of humans! spirics, and che namral world is
mainuined
humans condnuing die agriculcural and sacrificial practices
initiated by Hou Ji. Indeed the poem links agriculture and che proper use of
sacrifices: che harmony of man and god is achieved through die succetiiul
appropriation of nature through agriculture and che proper urilizadon of
char agricultural produce co feed ch( gods in sacrifice.
This may help esq>lain what the poem means when ic says chat Hou Ji
iniciaced sacrifkes* He obviously was noc chc fine co give sacrifices (since his
mother had already done so). The sense instead is that Hou Ji was che first
co intcicuce corner sacrifices, in which che proper dudes of humam and che

A N T H R O P O M O R P H I Z I N G THB S P IR IT S

god were delineated: humans aid in the growth of the namral world and
then feed Di and the ocher spirits through sacriiices The spirits in turn
support the next years cycle (presumably through chc conrrol of the rains).
Humans and spirits rhus have cheir designated duties and their designated
spheres.
Thus, the contrast drawn here beeween the sacrifices of Jiang Yuan and
chose of Hou Ji is more chan simply that the mother's were deceitful and die
son s were not. The nature of the sacrifices has clearly changed as well.
When Jiang Yuan performed sacrifices, Di was brought down to tread on
the land. Wich Hou Ji sacrifices, however, Di remains in the heavens, en
joying die ascending fragrance. Humans are in charge of the agricultural
work of the earth, and Di remains in his proper place in die heavens, enjoy
ing die sacrifices given to him.
But all this was possible ovly because Hou Ji possessed the numinous
power gained (rom Di. Thar power enabled him to aid the natural generacive
process and thus co begin agriculrure and sacrifice. And che only reason he
possessed chat power is because Jiang Yuan had used sacrifices co steal ic
from Di. Andf even then, che only reason Hou Ji survived long enough to
iniriace agriculture and che proper use of sacrifices was because figures on
earth protected him from Di s wrarh. In other words, the successful creation
of a proper hierarchy between humans and gods was accomplished when a
human scolc Di s poccncy and orher humans and animals protected che re
sultant hero from Di's wrach. Because of Hou Ji, che product of these ac
tions! che earth became productive 2nd humans thrived. And this in cum
lowed Hou Ji co begin che sacrificial practices char pleased Di and allowed a
continued flourishing of humaniry.
The poem docs noc therefore, assume an inherenr harmony between
humans and DL On che concraiy. harmony is achieved only after Dis po
tency is stolen and Di s plans are chwarced. Harmony was established not by
Di but by^ the human beneficiary of a chefc, a rheit chat gave humans che
power co create a hierarchy in which diey could thrive* tie sacrifices initi,
accd
Hou Ji ire presented as continuing to mollify Di and maintain his
support. And che significance of this becomes clear when we realize chat che
poem itself is aimed at Hou Ji# not ac DL The living ("we") are calling on
Hou Ji co ensure thar che sacrifices continue ro maintain Dfs support. If he
is a good ancestor, Hou Ji will play the crucial role of mediation and work co
en urc the support of Di for che living.

ANTHROPOMORPHIZING T H 6 SPIRITS

73

The poem is thus playing on the very themes char have concerned us
throughout this chapter only here the themes are worked out in narrative
form. Jiang Yuan makes a proper descendant by appropriating divine power
through sacrifice! and chat descendant chen initiates proper sacrifices! which
in rime will rransfbrm him into a proper ancestor. The sacrifices result in a
proper genealogical order of ancestors and descendants, each with its own
proper sphere of activity. Humans use agricultural produce co keep Di in
Heaven, served by che mediadng ancestor Hou Ji 2nd Di s resulcing blesv
ing$ allow for the agricultural produce to condnuc. A perfect system of ge
nealogical order is crearcd.
These points, along with che analysis of Stung and Zhou rimals above,
should lead us co rethink some of the larger comparadvc claims that have
been made concerning Chinese Bronze Age views about che reladons be
tween humans and divinicies. I quoted above Keighdey's remark chat "the
Chinese Icnew neither a Prometheus nor a Zeus.^7 Let us cum co Hesiod co
evaluate the sutemenc.
In cbe Theogony, Hesiod accounted for sacrificial practice through che
welMcnown turrative of che transgressions of the ican Promecheus. Ac*
cording to Hesiod! Prometheus Icilkd an ox and splic it into two portions.
The firsr portion consisted of che animal s meat, which che Titan wrapped
in che stomach of rhe ox in order co nuke ic look unappetizing^ and che sec
ond was the bones, which were hidden in rhe bt. Prometheus allowed 2 ^eus
to pick che portion he wanted, and his ruse cricked che god into choosing die
worst of che cwo. As a punishment for this ruse, Zeus denied man che 6rc
wich which co coolc Prometheus chen stole fire and gave ir co man# an act
chat again brought down die wrath of Ztus 2nd prompted him co send
down woman. This theft of fire, insofar as ic gave humanity che ability to
cook#chus won human beings autonomy from che gods, but ac the cost of a
tragic separation from divinicy.
Sacrificef in such a narrative, recapitulates the crime of Prometheus, serv*
ing both as a repetition of the ruse against the gods and as a reminder of the
degree co which humanicy is still beholden to chem: whereas che gods, not
dependevu on meat, can be satisfied with bones, man, who muse eat in order
to survive, has ro uke che edible portion knowing chat the sads&ction of
hunger is only temporary. The division of che offerings in the sacrifice chus
reveals, under Hesiod s reading, rhe separacion of man and divinity, 2 separa*87
87. Kd^htley, "Q caii H in d i and Shining H elm eur p. 4a.

74

ANTHROPOMORPHtZSNO THE SPIRITS

tion resulting fit>m the &ct chat man can gain aiuonotnjr fironihe gods only
by transgressing cheir power and thereby resigning himself co an uldmatety
doomed life of labor and hardship. The sacrifice is thus an ofiering co ebe
gods buc one due underscores, rather than alleviates* the radical disparity
between humanity and divinity.
As Jean^Picrre Vemanc has argued:
In devouring whac can be emn, men nmukaneoiislyr rescore their failing s tr a th
uid acknowledge the baseneii of cheir human condidon---con(iniung cheir absolute
submission co chose very Olympian gds whom the Tican Prometheus, when he es
tablished the pattern in the first sacrifice, once thought co crick wich impunity. The
alimencaiy ritual which establishes communicadon between man and divinity icself
undoscores che gglf which sunders cbem* That commuoicadon is (bunded upon a
retipoiu ritual which, by memorializing Promecheus's error, reaffirms on every oc*
casion of ia performance the existence of chat uncrostable gMlf. And ir is the pur*
pose of the myth, as cold by HeskxL predseiv co lay bare the odg|iiu of the separa^
don and co make plain in dire consequences.

Thus, following die cransgression of Prometheus, "contact can only be made

with the godi through sacrifice, which at the same time consecrates the impassable barrier between mortals and immonals."8889
The point is of interest, for according ro Vemant and Marcel Derienne,
much of early Greek sacrificial practice corresponded closely co Hesiods
reading. An example can bt seen in che Achenian Slcirophoria che annual
slaughter of an ox for Zeus in the lasc mondi of che year. After the animal
was slain, its bones and h t were burned as an ofiering, and che meac was
consumed by humans in a greac feast.90 This division of che sacrificial por
tions is idenrical to char seen in die narratives of Hesiod, a ia char Vemant
incerprecs as meaning due Hesiod conscruaed his narradves in relation co
concemporary religious belief and practices^ and chus chat che narrative of
Promecheus may reveal some of rhe implidr meanings and significance of
early Greek sacrificial practice.91 And if as I have argued, che *Sheng min" is

88. Jean*Pterre Vernant, "Sacrificial and Alimentary Codes in Hesiod s Myth of Promechcuir* p- 61.
89. V enuni. T h e Myth of Prometheus in H esiod/ p. iSs*
90. Burkcn, Greek Reiijio. pp. S$-S9; and idem. Homo

pp. 1)6-43. See alio Jean*

Louts Durand. S^Hfice et labour cmGreet tfucicnnc.

91. Vcnunc, *Sacrifidil nd AUmcnrtry Codca In Hetlod*! M)fth of PtromfKhfiif/ p. t%.

a n t h r o po m o r ph izin g

thb

spir its

75

equally celling of some of che tensions rhac surrounded sacrifices in China at

roughly the same dme, a comparison of rhe two may yield helpful results.
I argued above chat sacrifice is better conceptualized in cerms of crans^
formations chan of a gifc and che comparadvely inoeresdng questions dien
become how particular sacrifices presenr difFcrent aspects of these transfer*
macions. For example, one such issue is che scate ro be achieved through che
sacrifice. Is it posed, co lisr some possibilities, as simply a removal of some
perceived lack* as a means of correcting the currently skewed positioni of
humanity and divinity, as a reconnection with che divine, <
ing of che divine? Another issue is how this final scate is achieved in i
rifice. Is che sacrifice understood as submission co rhe divine or as anc
cransgresskm, a hircher usurpation of divine power ibr the sake of humanity?
In che cases ac hand, both poems deal with similar problems: both che
uSheng minMand chis portion of che Theogony revolve around che themes of
the incroduccion of sacrifice and che proper roles (or humans and gods. But
che cransformadons in die narratives move in opposite directions. Hesiod's
narrative begins with humans and gods linked genealogically; Prometheus s
transgression introduces disconcinuity winning auconomy for humanity
buc ar rhe cost ofa life of roil. In contrast the #Sbeng min" begins in discondnuicy, and the goal is to achieve continuity. Jiang Yuan must use sacrifice co
obcain divine potency, buc Hoa Ji later institutes sacrifices in which gods
and hortuns are transformed into proper ancestors and descendants. The
Theogony namces che dissolution of a genealogical continuicyr; che **Sheng
minMnarrates its creation*
It is somewhat misleading^ chereforei ro say chac China knew neither a
transgressive figure like Promecheus nor a capricious god like Zeus. At che
beginning of the "Sheng minMDi is quite capricious* and Jiang Yuan crans^
gressivelyappropriates divine powers* What is striking in chc comparison of
the two nirrarives, in other words, is not thac one involves human cransgres*
sion and capricious gods and the ocher docs not both have this. What is
striking is, rather, the presenuoon of che transforming sacrifices.
I mention che$< points of comparison between *Shcng min" and Hesiod
noc in order co proclaim these poems as "founding mythswof Chinese 2nd
Greek culture, respectively. As I have argued elsewhere^ the entire notion of
founcbtional my^chs needs to be rethought,92 and, as I have argued in che In91* For my critique of the way the term a
mytholog^Mis used in early China studiet, fee
lup. 1 of The
of Creation. In brie( my critique is that die renn is used to refer to a

76

ANTH ROPO M ORPHIZING THB SPIRITS

rroduction co this book, comparisons chat define the cultures in question

from che viewpoint of one particukr practice are always misleading. The
comparison of theae two narratives points ro a different way^ of approaching
these issues. When scholars read this distinction in terms of differing assampeions in Greece and Chinaof tragic discononuicy and genealogical
continuicy, respectivelythey^ arc mistaking eSecr for cause and reading che
nonnative product of sacrifice as a scarring assumption. The poinr is of rele
vance, for, if I am right due chese are normadve claims (or sacrificial action
rather than pervasive assumpeions, then a diflerent form of cultural analysis
is called fen instead of crying to read other aspects of these culmres in rerms
of such assumpnons, we should sicuace these normadve sacrificial claims
within xhc larger cultural debate of which they were a part. If these are che
normative claims of the sacrificial experts supporced by che courts, then how
were they received? As we shall see in che nexc chapter, both of these aacrifi^
cial models became chc objeccs of significanr critique, and one cannot under*
scand chose critiques without understanding the practices chat were being
criticized.

Conclusion
As discussed earlier in rhis chaprer#borh K. C* Chang and Julia Ching pos*
iced a primordial experience of shamanism underlying Chinese cradinon,
and both cried co connect this further to an even more primordial sacred
perience of humanity in general Indeed bodi argued chat inso&r as such a
primordial, shamanisdc experience underlies all civilizations, Qiina is chus
closer co char sacred linking of Heaven and Earth chan is che West. Even if
Ching and Chang's arguments about China were correct, cheir attempts co
characterize shamanism, as well as a belief in condnuicy between che human
2nd divine realms* as primordial forms of human spiricualicjr would still be
highly suspect. Why is condnuicy somehow more primordial and the dis
continuity they see in the West whar Chang calls an ^aberration* in human-

ANTHROPOMORPHIZING THB SPIRITS

77

As Jonathan Z. Smich has argued:

It strikes me chat historians of religion have been weakesr in inccqirecing chose
mychs which do not reveal a cosmos in which man finds a place to dwell and on
which he foundsic] his odstence, buc rachcr which suggesc the problematic nature
of exutence and fundamental tension in che cosmos. I have in mind such traditions
as dualiscic creation myths* Earch-diver cradinons, Tridutm, or che complex narra*
dves of Com or Rice Mothers who create by loarhsome" processes (eg., rubbing
che din off chdr bodies, by defecation, secretion). Qearly these mythologies, mmy
of which are excremelyr archaic, point co a difTerem spiritual horizon chan chac de
scribed b)r Eliade as xhc (undamencal "archaic ontology."
I would go further chan Smith here: I would question chc very usefulness of
rerms such as M
irchaicMand "spiritual horizon.** Nonetheless, the basic poinr
Smich raises is an importanc one: there is no empirical evidence co support
che notion chac harmony with che "sacrecT is somehow more primordial in
human experience than are radical tensions and cronfliccs. Even for those
scholars like Chang who wish ro claim rhac such an assumption existed in
earty China, there is no basis for arguing char this assumption is closely
linked co some archaic, primitive experience lost by ocher civilizations*
But, in che case ar hand, che argument is not onl^ mechodologicall^
flawed buc also empirically inaccunte: I have followed Keighdey in arguing
against che hypothesis rhar shamanism was a guiding force in the scare socie
ties of Bronze Age China. Keighdey 3 provocarive la m e n t about "making
ancestors" presents the ricual systems of che Shing court as attempts co in
fluence from the bottom up. The higher, non-ancestral gods were che mosr
powerful beings, bur they were also relatively impervious ro hunun ricuals.
The spirits of deceased humans were more malleable, but, even here, a hier*
archy held: che more discanc in dme che deceased human, che more poweriul
but less subject co influence it became. The concern of che ritual system was
thus to transform these deceased humans into proper ancestors.
However^ although my readings of che oracle-bone inscripnons have
largely followed Keighdeys, I reach difierenc conclusions. In particular, I
question Keighdey's aciempcs co read rhe Bronze Age material as evidence of
a proto*bureaucratic mentality as defined by Weber. The Bronze Age sacri*
ficial systems supported by che Shang 2nd Zhou courts do noc, I have ar
gued, reveal an assumpdon of harmony between humans and gods, nor do

9). Jotuiihn Z. Smith, H 'he Wobbling Pivotf p. too.

7S

A N T H R O PO M O R PH IZ IN G THB SPIRITS

ehcjr reveal a belief in^doet des vision of sacrifice. On the contrary. Whac we
can reconstruct of Bronsc Ag^ religion reveals a highly agonishc world in
which humans were constantly crying to force impulsive divine powers into
roles defined by che living and co convince them co a a according]/. KeighcIt/s argumenr about making ancestors, in ocher words, should lead us ro see
sacrifices as acrempcs to transform capricious divinities into figures who
could be controlled by che living: humans, while in part submitting them^
selves to the ancestril powers, were also actively transforming and ordering
them* In short, che concern in che ancestral sacrifices was not simply co
submit co the ancestors; rather, ic was co creace proper ancestors co which
the living could chen become proper descendants. And these ancestors were
chen called on co pacify che higher, non*ancescral powers including^ most
important, D i The cosmos would chus4 to che limited excent possible, be
come ordered by the living.
The Shang sacrificial sysrem was an attempt co domesticate these highly
agonistic forces and place them within a hierarchy manipulable for the sake
of human inceresca. Far from revealing an assumption of haimony, a belief in
che benevolent incencions of che divine powers, and a desire co adjust ro che
world as given, sacrificial practice in che Shang was aimed at a radical trans
formation of che divine world, a transformation undertaken precisely so due
humanity could appropriace and domesckace nacure for its purposes* Such
an attempt to rransfbrm boch che divine and che natural worlds does indeed
involve an enormous invesemenr in sacrificial accion, but chat invesrmenr
emerged noc from an assumption of harmonious collaboracion between man
and god bur from a sense of radical disconrinuicy and lack of harmony.
I have aigaed chat timilar ideas are visible in the Western Zhou materials
mias weO#and I therefore quesrion the acrempr co read che Wescem1Zhou
!
cerials as evidence of a correlative mode of chinking. I suspect, n
due
whac we see in che Shang and Zhou are a shared sec of practices common in
che Norch China plain. The Zhou conquest simply meanc 2 replacement of
che Shang pantheon with che Zhou pantheon, buc che general rirual princi*
plea were much the same. The basic nodon was to cry co use sacrifices co
build support through che ancesrral pantheon and uldnucely win che sup
port even of DL
As I noted in the Introducrion, most discussions of ancient China have
been based on che claim chat a belief in concinuiiy and haimony between che
divine and human realms pervaded che Bronze Age period. The comparative

A N TH ROPO M ORPHIZING THB SPIRITS

79

frameworks have then diverged in their reading of the later hiscory of early
ChinaDid such an assumption of harmony continue in earty China, or was
chere a shift coward radonality and humanism wich die rise of philosophy
But if as I have argued in chis chapter, no such assumption existed, chen we
will have to develop a rather dif&renr reading of Warring States and Han
developments.

Gaining the powers of spirits

The Emergence o f SelfDivinization Claims in
the Fourth Century

BC

Concentrate che qi as if a spirit, and all che mjniad chings will reside within. Can you
concencrace? Can you unify? Can you not engage in cnckmaking and milfoil divina^
don and yet understand auspiciousness and inauspiciousness? Can you scop^ Can
you reach an end? Can you noc seek from others and obtain ic in y^oursdf^ Think
abouc ic, think abour ic, and chink about it again. If you thinly about ic but do not
penecrate, che ghosts and spirits will penetrate it. This is noc due co che power of che
ghosts and spirits; ic is due co che ulcimace point of essential ^i.1

The fourth-ccntuiy b c authors of this passage from the ^Nciyc"* chapter

of the Guanzi are arguing for a qi-based cosmology in which spirits can
understand che future not because they concrol ic but because, as concen
trated qi, everything resides wichin them. In a similar fashion, rhose humans
who can concenrrare cheir qi co che same degree as a spirit will also gain an
understanding of auspiciousness without resorting to the arts of divination.
As we will see, this statement is only one of a number of such claims voiced
in this period about che abilities of humans co gain access co divine powers
without che mediarion of ritual specialists. The emergence of these viewsi.

i. Guanzi, M
Neiyer 16.5a.

G A I N I N G T H B P O W B R S OF S P I R I T S

8l

leads to one subjea of this chapter the question of why such claims arose at
this cime.2
As noted in the Introduction, much of the secondary scholarship on texts
such as these is divided between two readings: one school of incetprecacion
sees these texts as records of a shift from religion (based on an animistic
worldview) to philosophy (based on a human-cencered worldview); cbe
ocher views them as an organic development of 2 set of deep assumpeions
concerning che concinuicy of humans and divinities. Boch readings arc based
on die claim chat philosophy in early China emerged from an earlier sha
manism, but they disagree on che degree co which philosophy broke from
this earlier tradition. As we saw in che preceding chapter, the shamanism
hypothesis for che Chinese Bronze Age is quesrionable. In this chapter, I ar
gue chat che shamanism hypochesis#and hence our understanding of die de
velopment of Chinese chought! grows out of 2 misleading comparison of
Greece and China and chat che concerns evident in this quotation from che
Guanzi were not outgrowths of an earlier shamanism. I offer an altemacive
explanation and argue for 2 difFerenc approach for comparing these devclopmencs with chose found in ancient Greece.

Spirits Within Humans; The Issue of Shamanism in

Early China and Early Greece
K. C. Chang was a srrong advocate of che view char Chinese thought of che
Warring States period evolved from earlier shamaniscic practices:
W hat may be seen 2s che most srriking feature of ancient Chinese civilization is char
ideologically speaking it was creared wichin 2 framework of cosmogonic holism. In che
words of Frederick Mocc, -the genuine Chinese cosmogony is that of organismic pro
cess, meaning chat all of che parts of che entire cosmos belong co one organic whole 2nd
chat they all inceraa as parcicipancs in one spontaneously setf-generacing life process.**
This organismic process, T u Wei^ming amplifies, ^exhibits three basic mocifis: conci*
nuicy#wholeness, and dynamism. All modalicies of being, from a rock to heaven, are
integral parts of a continuum___Since noching is oucside of this continuum, che chain
of being is never broken* A linkage will always be found between m y given pair
of chings in the univcrsc.MThis ancient Chinese world view, sometimes referred co as

s. Portion! of this clupcer are taken from my "Humans and Gods: The Theme of SelfDivinixation in Early China and Earty Greece.**

G A I N I N G T H B P O W B U S OP S P I R I T S

82

correladve cosmology, is urely noc unique; in essence it represents the subscracum

of die human view of the world found widely among primidve sodedes (see,
LM^Strauss). Whac is uniquely significant about its presence in andenc China is
die hci chat a veriuble civilizadon was built on cop ofand within its confines.1
Julia Ching irgues a very similar position,4and A. C Graham develops a
comparable argumcnL Graham reads the "Ndye" as a meditation rezc based
on earlier shamanistic practice: "Ic is interesting also in providing clear evi
dence char the medicacion practiced privately and recommended to rulers as
an arcanum of govemmenc descends directly from the trance of the profit
sional shanun.* But whereas shamanism dealt with actual spirits, the
"Nciyc" deals wich naturalistic, numinous forces:
this period the gds
and ghosts, like Heaven itself, are in the direaion of becoming depersonal
ised chough scill vaguely numinous forces of nature.. . . Man himself can as
pire, not indeed to omniscience (since Chinese chinking does not deal in ab*
soluces) buc to char supremely lucid awareness which excites a shudder of
numinous awe.wThe medicarion techniques of the ^eiye" thus involve a
shifting of emphasis from linking wich the spirits co perfecting the sel *The
shamanic origin of the exercise is plain* The poinr of it however is nor ro be
come 2 medium for the gods or for deceased ancestors. This is a programme
ibr sdf-*periccrion#as usual addressed primarily co the rulers." As such# the
xexx "may well be the earliest Chinese inrerprecadon of the experience of
m)rsdcal oneness."s
Alchou^i Graham does nor go as far as Chang and Ching in direcd^
connecting shamanism ro later nocions of correlative cosmology, he docSf
like Q ung and Ching, sec the norion of humans being fully linked co the
oneness of the cosmos as a philosophical re-reading of an earlier shamanistic
experience. Indeed, cfae main differences in the positions of these scholars
concern die relarions between this earlier shamanism and later philosophy.
For Chang and Ching, shamanism marked the primordial experience out of
which later Chinese philosophy grew, whereas for Graham the philosophy
involved a significant reworlcing of the earlier shanunisdc pracrice. Chang
and Ching are arguing for a fundamental assumption of monism in tzrly

K. C. Chang, M
Ancienr Giina and Its Anthropological Significance/ pp. i6i- 6a
4. Ching, Mysdcism and Kinship tn China, pp. 67-131.

$. Graham.

ofthe Too,pp.

101,104-

G A I N I N G T H B P O W B R S OF S P I R I T S

China that can be traced to a shamaniscic past, and Graham is utilizing a

"religion co philosophy" framework in which part of the discinaiveness of
Chinese philosophy emerged when thinkers rumed from shamanism ro selfculdvadon.6 In both approaches* however, shamanism lkA behind Chinese
philosophy.
These arguments by Chang and Graham are closely paralleled a large
body of scholarship on ancient Greece char argues char Greek philosophy
emerged against a shamanisdc background. The most influential thesis was
due advanced b)r E. R. Dodds. Much as Graham daims for China* Dodds
argues char a fundamental shift in norions of die self occurred in Greece in
the fifth cennity b c :
The asoulMwas no rductanc prisoner of che body (in pre-fifth century sc Greece]; it
was the life or spirit of che body, and perfectly ac home there. It waj here char the
new religious patrem made its bcefiil conrribucion: by crediting man wich an occult
self of divine origin, and chus setting soul 2nd body at odds# it incixxluced into
European culcure a new incerprecadon of hunun existence, rhe incerpreocion we
call puritanical.7

Dodds argues that this occult notion of the soul is traceable co Central
Asian shamanisdc practices:
Now 1 belief of chis kind is an essential element of che shamanisdc culcure which
sdQ exists in Siberia.. . . A shaman may be described as a piychicaUy unstable per
son who has reedved a call ro the religious life.... His own coul u thought co leave
its body and travel ro distant para, most often to che spirit world... From these
experiences, narrated by him in excempore song^ he derives che skill in divinanon,
religious poetry, and magical medidoe which makes Kim iocially important. He be*
comes the repository of a supernormal wisdom, (p. 140)

Dodds argues chat this shamanisdc culture entered Greece in the seventh
century finom Sq^chia and Thrace (pp. t4 ( 142)8And was picked up by fig*

6. Several ocher scholars have developed chis same "rdipon ro pbiloaoph^ argument in
regard cothe "Neiye *as wdl as the relaced "Xitubu* chaptcn. (I diictiss the *)Gnshu* texn in
Chapter 4) See.
Shibau^ "Kanshi fhihen ni okens shin to d6M
; and Qiu X%ui *)ixia
Daojia jingqi shuo dc yanjiu.'* Both Shibata and Qiu paint che same general narrative chat
Graham does from a shamaniscic practice based on external spirit! entering die hunun
body to a philoiophical regimen based on the cultivation of an iocemal spirit.
7 , Doddi. TV Grb dfui Ac Irrationoi, p. 139berdnaiier dted in the text.
I. Doddj li building here on Karl Meuir> work; tec hi "Scythia."

G A I N I N G T H B P O W E R S OF S P I R I T S

ures such as Pythagoras and Empedocles: ^Thcsc men diffused the belief in a
detachable soul or self, which by suitable techniques can be withdrawn from
the body even during li(e a self which is older chan the body and will ouclasc
it" (pp. 146-47). In short, the diffusion of shamanisric culcure ro Greece led
to che emergence of a true dualism of body and soula dualism chat had
never existed before in earty Greece.
We have seen or I bope we have seenhow contact with shamanisdc bdic6 and
pnedees mig|u suggest co a thoughtful people like the Greeks che ru^imencs of such
a psychologr: how che nocion of psychic excursion in sleep or trance might shaqxn
che soul-bod^ andchesis; how che thamanijek "retreat* mighc provide che model for
a deliberate askSsu, a conscious training of che psychic powers through absdnence
and spiricual exercises; how tales of vanishing and reappearing shamans might en
courage che belief in an indestruaiblt magical or daemonic seif. (pp. i4 9 ~5)
Dodds goes on co derail how chis notion of an occult self of divine origin was
later appropriated by Plato (pp. 207*35)*
These ideas have since been hody debated. Jan Bremmer, for one,
has strongly cricicized Dodds's shamanism hypochesis* After a lengthy sur
vey of the evidence, both in Greece and Scythia, Bremmcr concludes: **No
convincing evidence exists (br hamaniscic influence on Archaic Greece^
Ic has not yet even been shown chat che Scythians who were supposed by
Dodds ro have influenced the Greeks knew a shamanisdc journey of
che soul!"9 Pecer Kingsley, however, has rcccndy come out in defense of che
hypothesis.10 Carlo Ginzburg has referred fiivorabty co ic as a piece of what
he sees as a widespread diffusion of shamanism across Eurasia in che early
period.11
I will follow Bremmer in rejecting Dodds's hjrpochesis. Before doing so.
However, I would like co stress che implications of Doddss cheoiy for che
shamanism hypothesis made (or China* Arguments that mi^it at first glance
appear similar co Dodds s difiusion hypothesis have been made (or China.
Viaor Miir has afgued, based on linguistic and archaeological evidence, chic
shamanMin reference co early
che wu, che Chinese term usually translated as M

9. Bremmer, The
Greek Conce^
Soul, pp. h -$3; quotation at p. 47.
10. Kingsley, Ancient Philoscphj, Mystery, unJ Majir; see also idem, "Greeks, Shamani, and

11. Ginzburg, Eataiits, pp. ai8n4276^78.

G A I N I N G T H B P O W B R S OF S P I R I T S

85

China* mighc in hct have been Iranian magi who entered China during the
Bronze Age. 12 AndL of course, che Scythians* whom Dodds sees as having
become so influential in Greece, were Iranians. This line of reasoning im^
plies chat both China and Greece received a similar diflusion of ideas and
techniques from the same Iranian source* Moreover, H. S. Nyberg has
mously argued chac Zoroastrianism was influenced by Siberian shaman*
1MTI4 T*hus# were one co follow ill chcs^ Imlcs# one couldl mcc 21fth2fQ2iusm
arising in Siberia* influencing Iranian culrure. and in turn influencing both
Greece and China.
However, several problems arise for anyone who wished co trace such a
historical development. Firsts Nyberg's argumencs about links beeween Sibe
rian shamanism and 2 ^oroaschanism have been widely rejected by special
ists.14 Even Eliade himself, who argues explicidy chac shamanism was dif
fused from Siberia co many cultures throughout the world has quescioned
chem. Eliade instead reads Zoroastrianism as revealing elements of a belief
in 2 sacred link berween heaven and earth ideas, as discussed in che previ^
ous chapceri that Eliade reads as primordial elements of human experience.
He thus opposes the attempt co see such elements as a result of a diffusion
of shamanism (irom Siberia:
The ecscatic and misdeal dcroencs in the religion of Zarachustra chac bear resem*
blances to the ideology and techniques of chamanism form pare of a complex
and hence do not imply any "shamanic" stnioure in Zaradmtcras rdig^ous experi
ence. The sacred space, the imporcance of song, mystical or symbolical communica*
don between heaven and earth, the inidacory or funerary bridge chcse various
elesnenu, ilchougb diey form an incegral part of Asian shamaniim. precede and go
beyond i t 15

At I noted in che previous chapter* I reject Eliade s arguments concerning

the primordialiry of notions of sacred space in human experience. But tt is
relevanr to the airrent discussion due even Eliadethe figure one would
expeetto be most syrmparhedc ro Nyberghas rejeaed his claims.

ia. Mair *01 d Sinitic

Old Persian Magut, and English 'MagicMn.'"
I). Nyberg, Die Rdigionen 4es Alien Iran.
14. For an overview of che argumenu see Widengren, "Henrik Samuel Nyberg and Ira*
nUn Srudica in che Light of Personal Reminiscences/
1$. Blitde, Shimnitm, p. 399*

86

G A I N I N G T H B P O W E R S OF S P I R I T S

Moreover, we have already seen chat many classicists rejea the claim of
diffusion firom Scythia ro Greece. And, on ocher end of Eurasia, Mair has
argued that the wu, who he claims were magi from Iran, were not shamans:
It has been cusconuuy for scudencs of Chinese civiIi2ation co translate *myg [i.e.f iw]
as "shaman/ buc this is wrong on several councs. In the first place, the shaman was
che leading represencacive of a specific type of religious system priedeed by Siberian
and Ural^Alraic peoples. Perhaps che most chariaeriscic feature of this cradidon
was the shaman's ecstatic crancc^flight co heaven during initiation ahd ocher rituals.
The shamans also served che community as a whole by retrieving rhe errant souls of
sick people and escorting the spirits of che dead to die ocher world This is in con
erase co che mmyag who were closely associaced with the courts of various rulers and
who were primarily responsible for divination, astrology, prayer, and healing with
medicines.16
Thus, the figure in Chinese studies who has most strongly argued for Ira
nian influence on China rejects che shamanism hypochesis. The apparent
parallel with Doddss view does not arise ac all: although Mair argues for a
significant diffusion of Iranian ideas and practices inco China, jusc as Dodds
argues for a significant diflusion from che same source into Greece, Mair
does not see this difiiision as involving anything that might be called sha*
manism. Chang and Ching, of course, would disagree with Mairs opposicion
co che shamanism hypothesis. Buc since they argue that shamanism was an
inheritance from Chinas primitive past, they, coo, would srrongly deny any
claim chat shamanism was diffused into China from Siberia via Iran.
The diffusion hypothesis thus &ces severe problems on all fronts. But
what inceresrs me more ac this point is che opposite ways chat shamanism is
employed as an explanatory principle by Dodds# on the one hand, and
Chang and Ching^ on che other. For Chang and Ching (and, to a lesser de
gree, Graham)#shamanism is che ciusadve factor behind rhe dominance of a
monistic worldview in China. For Dodds, shamanism was behind che emer^
gence of dualism in Greece. Once again, we sec che same basic contrast of
China and Greece, wich China defined by monism and Greece by dualism.
When the same phenomenon (in this case, shamanism) is credited with
such opposite ramifications in two traditions, che adequacy of rhe hypoche-

16. Mair, "Old Sinicic * M y a ^ p. 3$.

G A I N I N G T H E P O W E R S OF S P I R I T S

87

ses should at least be questioned. However, variation in itself does not refute
the hypotheses; it is,
all, possible that the same phenomenon can have
decidedly contraiy ramiBcations in two culcures! particukrly i as so many
scholars have cried to arguer the two cultures are based on difierenr guiding
assumptions. So, a Rill reconsideration of these issues requires chat we look
at the evidence in detauL
I first curn co 2 discussion of Empedoclesthe Bgure who plays such am
important role in Doddss irgumenr. I first critique Dodds s use of difiusion
as an explanatory principle to understand Empedocles and will offer an alcemacive approach. I then analyze the relevant macerial from early China. I
will argue chat the shamanism hypochesis^ as well as the larger contrastive
framework for studying China and Greece, should be rethought I will con
clude by suggesting a different approach co this material, as well as to the
larger issue of comparing China and Greece*

Humans and Gods in Early Greece

In the Nicomachcan Ethics, Aristotle discusses what it means (or one co praccice rhe cheorecical life:
Such a life would be superior co the human level. For someone will live ic not insofar
as he is a human being, bur insofar as he has some divine element in him.... Hence
if underscanding is something divine in comparison with 2 human being, so also
will che life chac expresses anderscanding be divine in comparison with human life.
Wc ought not follow che proverb^wricers, and M
rhink human, since you are
human."17
A philosopher is one who has risen above che human and become, ac least in
part, divine.
This claim came out of traditions of self^divinizanon beginning ac least a
(iiU century earlier and, as is clear by the polemic sir che end of Aristotle's
scacemenc, was made in opposition co numerous ocher views ar che time con
cerning che nature of divinities and humans and the proper demarcation be
tween the two. As is well known, che importance of maintaining a strict
separation between humans and gods is a recurrent theme in early Greek

88

G A I N I N G T H E P O W E R S OP S P I R I T S

wricings, as is the injunccion to avoid the hubris of crying to get too close to
divinity.18In the Iliad, Apollo warns Diomcdcs:
Take care, give back4son of Tydeus, and strive no loager
to make yourself like che gods in mind, since never the same is
the breed of gods, who are immortal, and men who walk groundling.19
Or, as Pindar wrote:
It is a dispensacion of che gods chat gives men their might.
And two things only tend life's sweetest moment:
when in che flower of wealth, a man enjoys both criumph and good fame.
Seek noc to become Zeust
All is yours if che allotment of these two gjfb has fallen to you.
Mortal thoughts btfic a mortal man.20
The theme also plays an important role in the Hesiodic cosmology and view
of sacrifice discussed in che previous chapter.
Much of early Greek philosophy, however, involved attempts to break
this demarcation, to criticize che ritual specialists of the day, and to empha
size the abilities of humans co gain direct access to divine powers. One of the
earliest figures ro make this argument was Empedocles,21 as in, for example,
chis fragment on che golden age of man:
They did nor have Ares as gpd or Kydoimos, nor king Zeus nor Kronos nor Posei^
don buc queen Kypris. Her che}r propiciaced wich holy images and painted animal
figures, with perfumes of subtle fragrance ind offerings of distilled myrrh and sweecsmelling frankincense, and pouring on the earth libations of golden honey. Their al
tar was noc drenched by che slaughter of bulls, buc this was che greatest defilement
among menco bereave of life ind eat noble limbs.22

18. See the excellent discussion by Rosen, Hermeneutics as Politics (Oxford: Oxford Univer
sity Press. 1987). pp. 58- 59 .1 amindebted to Rosen for the quotations from Aristotle, Homer
and Pindar.
19. Homer, Tbe Hid, V^ko-42, in Tfcc
p. 140.
20. Pindar(bthmians sv.u-i6t in Pindars Victory Sonp, p. 309.
ai. My understanding of Empedocles has been gready enhanced by Kahn, ^Religion and
Maniral Philosophy in Empedocles Doctrine of che Soiil"; and Panagiotou< Empedocles on
His Own Divinity."
ai, Dkli fragment u; in Empedocles: The Extant Fragments, #118, p. 1S2; hereinafter ciced in
t\\e eexe in che form DS; #u8, p. 282.

G A I N I N G T H B P O W E R S OF S P I R I T S

89

Empedocles is explicitly attacking the religious practices of his day

practices based on sacrificial offerings to a pantheon of anthropomorphic
deities. Prior to this world, Empedocles argues, was a period ruled by Kypris,
or Love.
This opposition to sacrificial practice is a recurring theme in Empedocles:
^Will you not cease (irom the din of slaughter? Do you not see chat you arc
devouring one another because of your careless way^ of chinking^ (D136; #122,
p. 285). Below I consider why Empedocles attributed sacrifice co a ^careless
way of chinking." Here, I delineate why an opposition ro the world of an
thropomorphic deities and co sacrificial practice is so important ro Empedo*
des. To do so, it is necessary co situate Empedodes wichin a series of con^
temporary claims being made in opposition co the sacrifices carried out in
the name of the polis. As discussed in che previous chapter! Greek polis sac
rifices involved claims of ritual separation between man and gocL Ic was this
ritual separation chat figures like Pindar were supporting and chac seven!
movements in che sixth and fifth centuries dc were crying co break down.
One example among many of these groups is che Orphics. As a series of
startling paleographic finds has demonstrated, che Orphics were 2 presence
in the fifth century b c ,23
In explicating the Orphic critique of sacrifice, Vernam and Decienne cum
co a narrarive concerning humans, che Titans, 2nd Dionysus.24The narracive
recounts how the Titans dismembered and devoured Dionysus. Buc Dion)r*
sus W2S then reconscicuced, and Zeus punished the Titans by killing them
with a thunderbolt. Humans were then born from che Ticans ashes* As 2
consequence of this hiscory, humans possess wichin themselves boch che
guile of the Titans' crime and 2 divine spark (irom che devoured Dionysus.
To erase this crime and culcivace the divinity wichin, man is called on to fol
low Orphic practices and renounce che sacrificial meat of the polis. Orphic

23. See Burkert, M

Orphism and Bacchic Mysteries"; and Fritz Graf, "Dionysian and Or
phic Eschatology/
24. Vcrnanc and Dericnnc fairJy uncriricallyr accept the antiquity of thi* narrative. Al
though I accept cheir dating, there is an enormous body of secondary literacure on che topic.
Prior co the recent paleographic discoveries, the scholarly world was split on chis question.
Sce0e.g., Guthrie, Orpheus and Greek Religion; and Linforth. The Arts of Orphcui. For convenient
ununaries ofhe paleographic evidence for the antiquity of the narrative, see Kahn,
Buthyphrohe Auchor of che Dcrveni Papyrus pp. 57- 60; and Fritz Graft Dionysian and
Orphic Eichatolog^, pp.39_45.

Q A t N I N O T H B P O W B R S OP S P I R I T S

practices, including vegccarianism. should thus be understood as an attempt

to rejea che sacrificial praaices of che polis and its tragic separation of hu
mans and gods and to insread snive co join with the gods once again. As
Vemant ai^ues:
By comencing to tacrificc a living aninul co che gods in che Promethean manner, as
official worship requirctr men only repeat the Titans' crime indefinitely. By refusing
chit sacrifice, by forbidding rhe bloodshed of any animal* by ruming awajr from
fleshy food to dedicate chanidvcs to a totally "pure" ascedc life-a life also com*
piccdy alien co che social and religiotu norms of che city men would shed all che
Titanic demenu of cheir nature. In Dionysus rhey would be able ro restore char pare
of dumseives chat is divine. By returning co che god in this way each would accom
plish, on che human level and within che framework of human existence, this same
movemem of rcunificacion chat Dionysus himself knew as a god during che cormcnc
in which he was firsc dismembered and then reconsdeured.25
he rejection of sacrifice by the Orphics was thus based on a larger rejection
of che ricual separation of humans and gods maintained in che practices of
ch< polis.26Indeed, one of che paleographic discoveriest a series of gold leaves
from Thuril includes che statement M
Hippy and blessed one, you will be
god imread of mortal.*47 The Orphics were claiming che abilicy to transcend
the discontinuity of gods and humans found in the sacrificial system and be^
come divine themselves.
This gives us some conccstr (or undersunding the quotation from Pindar
given above. Pindars call co humans ro scop seeking to become gods was
hardly a rhccorical flourish. The sacrificial practices of che dayr strongly as
serted che radical separacion of man firom god, and movemencs chat at*
conpted co reject chis separation and proclaim che pocenoal of humans co
divinize themselves had sprung up. Pindar was thus reacting growing
rrends of his day.

25.
Vervunti aAt Man*t Table." p. $i; tee also Detienne* "Culinary Practices and the Spirit
of Sacrifice/ pp. 7- 8.
a6. A diffcrenc interpretation hai been given by M. L West (71^ OrpbiV Poems* pfx 144$)who reads ihe Orphic narrative of Dion)rsus ai a shamanisdc initiatory rirual. Like Metili
and Dodds, West readi shamanism as having entered Greece firom Central Asia during the
classical period, and he iceOrphiim a a parr of this diiifion. Forhe reasons provided below, I find the h^potheiif of a difKiiion of ihamanifin unconvincing.
17*Graf. "Dionyiian and Orphic Biclvuology." pp. 146*>54*

G A I N I N G T H B P O W RS O P S P I R I T S

91

Empedocles, like the Oq>hics, strongly opposed this ritual separadon of

humans and gods. In direct concrasc to die tragic cosmology encoded in the
sacrificial pracace of the polis, Empedocles proposed a system in which hu
mans and the gods arc inherencty linked Empedocles began by redefining
the deities as the roots underiying all that exists: "Hear first chc four roots of
all things: bright Zeus and life-brinpng Hera and Aidoneus and Nestis,
whose tears arc die source of morral streams** (D6; #7. p. 164). The gods are
not anthropomorphic deides separate from the world yet in direct control of
ic; on che concmy! chey are the elemental bases of the world. Empedocles
elsewhere defines these roots as fire, warer, earth, and air (Di7, #8, p, 166)
and explains the cosmos in cenm of their inccraction:
All these are equal and of like age, buc each hai a diffierent prerogarive, and iu par^
cicular charaaer. and they prevail in turn as the time comes round... *These are the
onl)r real ching^, buc as they run through each ocher they become difFerenc objects ac
different rimes, yet they arc throughout forever the sam& (Di7^8. p* 167)
The cosmic process is then defined in terms of chc inceraccion of these
roots:
Under scrife chey have different forms and are all separate, buc they come rogecher
in love and are desired by one another. From them comes all chat was and is and will
be hereafter trees have sprung from chem#and men and women, and animals and
birds and water-nourished (ish, and long-lived gods too* Kigheic in honor. For chese
arc ehe only real things, and as they run through each ocher they assume diflferem
shapes, for che mixing interchanges them. (Dai; #14# p. 177)
In such a cosmology, everythingfrom gods to humans to objects is
composed of che same roots. Nor only are humans and gcxls not separated
they arc in bet inherendyr conneaed. Indeed, difierenciated rhings exist at all
only because of die strife due breaks apart the proper harmony of love.
Hence Empedocles' conrempc (or sacrifice: sacrifice incorrectly assumes a
division between animals, humans, and godswherein animals are sacri
ficed by humans for che sake of chc gods when in feet all thrte of these arc
linked. In concrasc to a cheisdc understanding of che universe, Empedocles
calls for a "divine unclerscandingM
: **Happy the man who has gained the
wealth of divine understanding, wretched he who cherishes an unenlight
ened opinion about chc gods- (D132^ 95 #P*
Here we arrive ar che crucial points* Having denied the Hesiodic claim of
a division beeween humans and gods, Empedocles makes an argument as to

92

g ain in g

thb

pow brs

op

spir its

the pocencial of thought or divine understanding. A hint of what Empedo*

dcs means by this can be found in anochcr set of firagmenis *For he is not
equipped with a human head on a body, [two branches do not spring from
his back,] he has no feet, no swift knees, no sha^y geniuls, but he is mind
alone, holy and inexpressible, darting through the whole cosmos with swift
thoughts" (D133 #97, p. i5j). This descripdon of mind is quite close in Iangu^e to anorher fragment due describes the sphere of Love *Therc the
swift limbs of the sun arc not distinguished . . . in this wajr it-is held &st in
the close covering of harmony, a rounded sphere, rejoicing in encircling soil
ness** (D17, #31, p. 187). And ro another chat appears to describe either Love
itself or the state achieved by a wise man: ^For two branches do not spring
from his back he has no feet, no swift knees^ no organs of reproduction, buc
he is equal to himself in every direcrion, without any^ beginning or end, a
rounded sphere, rejoicing in encircling stillness" (D29/23 #22, p. 188). The
implication of these fragments would appear co be that Love as well as
choughc is the state of perfect harmony for the four roors. Divinicy, therefore,
is located in harmony, nor in anthropomorphic deities. Accordingly, divinicy
is fully achievable by humans through understanding, which is icsclf che di
vine harmony of Love.
Such ideas arc expanded in Empedocles* discussion of daimons. As he ar
gues in the Katharmoi, a daimon is one in whom che four roots are properly
combined, and one, therefore, *co whom life long-lasdng is appomoned"
(D115: #107, p. 270). Buc, rhrough error, che daimons, like everything else, &U
into strife:

He wanders from che blessed ones (or three dmes coundess fears, being born
chrougHout che time as all kinds of mortal forms, exchanging one hard way of life (br
another. For che force of fire pursues him inco seat, and sea spies him ouc onto earth s
ftur&ce, earth casa him into che ray of blazing sun. and sun into the eddies of air,
one cakes him (iromanother, and all abhor KinL (D115; #107*p- 270)
Empedocles has discovered himself co be one such (alien daimon: *T coo am
now one of chese, an exile from che gods and a wanderer, having par my
trust in raving strife" (D115; #107# p* 270). For this reason, he is now a mortal
man, jusc as before he has been various ocher mortal creamres: T or before
now I have been ac some rime boy and girl bush, bird, and a mute fish in the
sea** (Dm #i ii p ^ 0 *Empedocles himself, then, is striving to reachieve the
divine understanding of the daimonJusc as all humans should do.

G A I N I N G T H B P O W RS O P S P I R I T S

93

Humans, cherefere! are simply a transitory form, bur the thought of hu*
mans can be divine. And this understanding grants the practirioner the abil
icy to control the strife of rhc roots:
You will learn remedies for ills and help against old age^ tince fbr you alone shall I
accomplish all these diingp. You will check che force of tireless winds, which sweep
over land and destroy fields with chdr blasts; and ag^in, if you with, you will restore
compensadng breezes After black rain you will bnng dry weather in season for men,
and coo after summer dryness you will bring trec-noumhing thowen (which live in
air), and you will lead ftom Hades che lifc(brce of a dead man* (Di : i7p. 270)
Overall, then, in direct opposition co che claims of a sepandon between
humans and gdst Empedocles proposed a cosmology in which a basic sub
stracc unices all things. Moreover, he defined choughc as divine and as thus
potentially capable of controlling natural processes chemselvts. As such, he
denied che rheiscic conceptions on which the dominant sacrificial activicies of
his day were based. For Empedocles, sacrifice was wrong because it involved
a desrruction of what is inherently linked, and ic was unnecessary anyway
because humans, property culcivaccdi can aciain powers over nacuril phe^
nomena on cheir own. Empedocles was thus substituting for che religious
practices of che day a new regimen whose followers would no longer suppli
cate che gods but would, uldmacely, become divine. This regimen* in short*
was being proposed in full opposidon co che civic culture of che day.
These attempts co propose methods of self^divinizadon became increase
ingly important during die fifth 2nd fourth cencuries b c . Pbco, (or one, ap
propriated and reworked such ideas in his fermulacion of die academy, an
insdcucion in which disciples would be trained in a rigorous process of self*
culdvacion. As he argues in che Timaeus, explicitly appealing to a vocabuUiy
of che daimon:
As concerning che most sovereign form of soul in as we muic concave chic heaven
has given ic to each man as a guiding daimon that parr which we lay dwells in the
summit of our body and lifts us from earth coward oar celestial affinity, like a plane
whose rootf are not in earth, but in che heavens.24
Plato's ulcinute cdl, of course, was for chose who underwenr such self*
cultivation co lead the state.29
2$. Timaeus 90a; in Plato's Timaeus, p. 114.
19. The argument ii laid ouc moir clearly in the RrpuUir.

94

G A I N I N G T H B P O W E R S OP S P I R I T S

It is beyond the bounds of this chapter to trace the ways chat such ideas
were developed and reformulated in the later Greek tradition. Suffice it to
&2y here thar chese claims of self-divinization became a crucial aspect of early
Greek philosophy, which in part explains the uneasy relation chat philoso
phers bad with the polis culture of cheir day.
This historical explanation For che emergence of self-divinization move^
mencs in Greece is, I think more convincing chan the shamanism hypothesis
offered by Dodds. As Brcmmer has noted, there are significinc problems
with the hypothesis itself; there is no evidence of concact in Greece with
shamanisric currents among che Scyrchians, and. indeed, there is no evidence
chat shaminiscic ideas of this sort existed among the Scythians ac all. More
over, Dodds's attempt to imerpret the philosophers in question according to
a shamaniscic vision leacU to forced readings. For example Empedocles does
not discuss shamanic spirit journeys/0 and, although Empedocles does posir
a dualism of body and spirit, his ulcimace posicion on che cosmos is monistic
Far more significant for my argument, however, is that Dodds is mistaken in
crying to use diffusion as an eiq^lanatory principle. Even if evidence for diffu
sion existed, che basic questions chat need ro be asked are: What claims were
figures like che Orphics, Empedocles, Placo, and Ariscode making, Why
were they making them, and What were che implications of such claims?
These questions can be answered only through a historical analysis of early
Greek cultures, not through a purported difRision from Scythia. I have
therefore sicuaced chese figures in cheir historical context, have seen cheir
claims of self-divinization in relation to an ongoing debate, and have shown
how and why chey were responding to che ritual specialists, as well as che en^
dre polis organization, of che day.

Comparing China and Greece

In aiming to China, one might ac first chink chat we confront a culcure due
wicnessed no comparable debate concerning gods and humans. If K* C.
Chang is correct, one would noc expect a debate about che relationship
beeween humans and spirits in early China. On che contrary, one would ex
pect chat spirics, like humans, would be conceptualized as part of a larger

G A I N I N G T H E PO W E R S OP S P I R I T S

95

monistic system. In other words, the type of cosmological system chat

Empedocles was presenting in opposition to the dominant views of the time
in early Greece would be, if Chang is right, a scarring assumpcion in early
China.
Indeed, one could go a step further and argue chat some of whar we have
seen in Empedocles might support Changs views concerning shamanism.
With a few revisions, ic could even be portrayed as supporting Doddss hy*
pothesis as weiL If Empedocles is a moniscic, racher chan a dualistic, thinker,
then monistic notions of the cosmos might be linked with shamanism, and
monism may have come to Greece only when shamanism enrered chrough
diffusion: because of its continuing shamaniscic foundations, Chinese civili*
zacion adhered to a monistic cosmology as an assumpcion, whereas Greece
developed this idea only when it becitne influenced from outside by shaman
ism. Thus, both Chang s thesis chat shamanism should be associated with a
monistic cosmos and Dodds thesis that Empedocles was influenced by
shamanistic currents from Central Asia would be confirmed.
As the analyses in this chapcer 2nd the preceding one have shown, both
hypotheses are unconvincing. In chis chapter I will quescion any linkage be^
tween monistic notions and shamanism and will argue that, in both China
and Greece, monistic notions emerged at the same dme as claims of seif*
divination of the ability of humans to become like spiritsand that this
occurred in opposition to che ritual specialises of the day* I will argue, in
ocher words, char notions of monism and of che condnuicy of the human
and divine realms were not foundational in early China but were, rather, as
in Greece, consciously formulated ideas designed co critique belief and prac
tices dominant ar che time. The fact rhac some of rhese cosmological notions
became dominanr ar che imperial court during the Han should not mislead
us inco thinking they were common assumptions in che pre^imperial periods.
Instead^ rhese cosmological notions grew our of a debare noc unlike chat
which developed in early Greece. This is not to szy, of course, that rhe posi
tions taken within the two cultures were identical or chat the course of the
debates was similar. My argumenr is, racher, chat che debates are comparable
in terms of the mocivacing concerns and tensions he interesting issue from
a comparative perspective lies in discovering how and why che debates
worked out as they did in che two cultures.

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Humans and Gods in Early China

These new cosmological notions developed in rcacrion to the religious and
polidcal contexts of early China.11 The first point to emphasize is the degree
to which, jusc as in tarly Greece* a highly cheisdc vision of the world contin
ued to penrade elite religious activities throughout the period discussed in
this book. Although Moce admits chat M
it is true char in che vulgarized ver*
sions of chis racher philosophical concepcion [of naturalism] r spirits some
times began to resemble gods/M}21 would argue chat such notions were not
vulgarizacions of a more pervasive nacuralisnc oriencacion. On the contrary,
many of che religious oriencadons seen in che Bronze Age continued
through the Warring Scares period.
Cruciil co chis cosmology was che notion chat narural phenomena were
governed by distinct, active deiries. One example among many can be found
in che M
Ji faMchapter of chc Liji:
The mountains, forests, rivers, valleys, and hills chac can send ouc clouds, make wind
and rain* and cause co appear scrange phenomena are called spirits (shen). He who
possesses all under heaven sacrifices to che hundred spirits.33
Nacural phenomena, che cext is claiming^ are under chc direct conrrol of par
dollar spirits, co whom che ruler muse make concmual sacrifices.
And since nacural phenomena were directly controlled by spines and
pocenciall^ fickle spirics 21 chata great deal of rel^ious acnvicy during cbe
Warring States accordingly was devoted to charting which spirits controQed
which domain of power, understanding cheir intentions through divinarion,
and influencing them with sacrifices. Ir is in diis conrexc, for example, that
we should understand claims such as chose found in che Zuozhuan that one
of che civilizing accs of Yu consisted of casting cauldrons with images of che
spirics, an act that allowed chc people to M
know the spirits/*34Similarty, che
'AVuzang shanjing" section of che Shanhaijtrtg contains an exhaustive dcscrip*
cion of, among ocher things, chc various ftpirics of each mountain and che
particular powers chac each possesses. A typical passage reads: "As for die
)>.For an exccUcnt discussion of early Qiinese rcltgioui practiccs see Poo#In S^nh ofPvsonal Wejftfrr.
32. Moce IntWtechMi FourM^ions o/Cfcirw^ p. 17,

33. Liji

*Ji i.M46.3a.

14. CbmMfiii Zuoihaun zhen^t Xuan.2i.Sb-9a.

GAINING T H

P O W E R S OP S P I R I T S

97

appearance of dieir [Le these mountains'J spirits, they all have a human
body and sheep horns. In sacrifices to them, use one sheep and, (or grain of*
finings use millet. These are cfac spirits. When chejr appear, che wind and
rainwater nuke destruction.<',s The text then explains the types of sacrifices
chat dissuade these particular spirits from causing destructive winds and
rains. Both of these texts make an argument for rulership chrougft a control
of local spirits: by gaining powers over enough divinities, die ruler can bring
order to the world.36
Given che dominance of such notions* it is not surprising char several
texts from this period present critical responses to che ritual specialists in
charge of dealing with these spirits. I discuss (bur of xhtst texts here che
Lunyu, early chapters from the Mohiits, the "Chu yu. xia* chapter of the
Guoyu, and che "Ndye" chapter of che Guanzi.
Heaven and Man in the Lunyu
One of che mosr often-quoted passages Grom che Lunyu is: **Fan Chi asked
about knowledge. The master said, T o work on behalf of whac is proper for
che pcoplei co be reverenc to che ghosts and spirits and yet keep them at a
distance, this can be called knowledge"* (6/22). Although Confucius is often
presented, at leasr in che "religion co philosophy" (rameworl^ as marking a
shift away from "supersddon"and coward "ranonalism"37Confucius was nor
ebiming chac spirits do not exist. Indeed he cxplsdcty called on people co be
reverenc toward chcm. His point is, rather, co keep them at 2. distance and to
focus on (he human realm.36
It is within this context chac we should understand Confucius' sucements
about spirits. As his disciples claimed: M
He sacrificed as if present. He sacri
ficed to che spirits as if the spirits were present. The master said, I f I do not
participate in che sacrifice, it is as if I did not sacrifice,M(3/12). The passage is35
35. Shdnhaijtnijumshu, *Dongslunjing,*SBBY. 4.7b.
}6. For 4 discussion of these texts, see Harper, *A Chinese Demonographyr p. 479

Nealham*Science and CiWliMd'onin China, 1

50).
)7. See, c.g.Fung^A History t f Onnae PMosophy, t: 5S.
mConfudusmhere refers doc to some historical G>nfiidus bat to a compoaice figure
consmiaed from the Lunyu whose views arc reprcientadve of a certain strand of lice Chun-early Warring Succs opposition to che dominam fbrmi of religious practice For an at*
tempt to periodize the chapcers of the Ltmjfwthemselva. see Brooks and Brooks, Tbc Ordinal
AnMlffO.

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G A I N I N G T H E P O W E R S OF S P I R I T S

a critique of concemporaiy sacrificisLl practice, in which one engaged a ritual

specialist to perform sacrifices properly. The goal of such sacrifices w as
mmsform the spirits so that che^ would act on behalf of humanity. Confu
cius1 argumenr is chat one should focus instead on che human realm: che
point of sacrifice is not to persuade the spirits bur co cransfbrm rhe human
performing che ricuaL Accordingly, one muse perform che act oneself, and
one must do so even chough che spirits may noc be present during the rituaL
This position do^s not deny chat spirits act in the world Rather, it argues
against che view that humans should attempt co control rhe spirits with sac^
rifices: the goal should be self-transformation.
Spirits, therefore, should noc be the object of our concern: M
The master
did noc speak of abnormalicies (guai
force, disorder, or spirits** (7/21).
Here again, there is no claim that che items on chis lis do not exist. Nor is
there any claim that chey are insignificant. Clearly, disorder and force arc
subjects of obvious concern. The power of che passage, chereforef lies pre^
ciscly in che implication chat for mosc people these copies would usually be
objects of great concern, yec Confucius did noc speak of chcm at all. The
sense running chroughouc these passages is chat spirits do have great potency,
but humans should not speak of them, should avoid wonying about them!
and should perform ritual actions noc co influence diem but co cultivate
themselves. And yet one must still revere them. Indeed, the highest way to
revere them is precisely not to try to influence them.
In many wa^s chis position heightens che tensions noted in Chapter 1. In
che Western Zhou, a proper pattern for human life was emphasized.
Heaven and che orher spirits sometimes supported chis pattern; at other
times they did nor. Buc ricual specialises could, co a limited extent, keep che
divine powers within this pattern. But Confucius, by decrying the inscrumental use of sacrifices
ritual specialists, denied che powers chic were
used in che Bronze Age to mollify divine forces and co niake them work for
che living. Instead, he urged chat we simply culcivace ourselves and accept
whatever che divine powers do.
This seance explains both the reverence chat Confucius expressed toward
Heaven, the grearest of the divine powers, as well as his view chat wc must
not attempt to influence Heaven buc accept whatever Heaven sends at us.
Thus#for example^ Confucius scrongly embraced che idea chat humans must
follow che mandate of Heaven. Indeed, esteeming che mindace of Heaven
was one point of difference bccwcen a gentleman and 2 lesser man:

G A I N I N G T H B P O W E R S OF S P I R I T S

99

Confucius said, NAs for the gendenun, there are three things he esceems. He es
teems the mandate of Heaven* he esteems great men, and he esceems che words of
sages. A petty man, not understanding the mandate of Heaven, does not esceem it;
he is disrespectful ro greac men, and he ridicules che words of sages." (x6/8)
And Confucius famously defined understanding the mandate of Heaven 2s
one of che achievements of his life:
The masrer said, M
Ac age fifteen, I set my inrenc on studying at thirty I established
mysdfi 2L forty I was no longer deluded; ac fifty I understood che mandace of
Heaven; at sixty my ear accorded; at seventy I followed whac my heart desired wich^
out transgression^ (2/4)
For Confucius^ however, the mandate of Heaven was not a simple grants
ing of moral norms^ nor did ic involve rewarding che worthy or punishing
die unworthy. Although Sima Qian would lacer, in his biography of Bo Yi
and Shu Q i/9critique Confucius for believing chat the good are rewarded
and the bad punished, Confucius in fact held no such position. Indeed, for
Confucius, che mandate of Heaven appeared co involve no ethical calculus
whatsoever, and this presumably is a part of wh)r it cook Confucius undl age
fifty co understand it. For example, when his favorite disdple, Yan Huif died
young, Confucius exclaimed M
Aks. Heaven is destropng me! Heaven is de*
stroking me.r There is no sense here chac Yin Hui had done anything to de
serve dying young. On che concraiy, Confucius* response was ro r^i] at
Heaven, since ic is Heaven chac controls che mandate.
Ji Kangdi a&kedr M
Of ^our disciples, who loved learning^ Confucius responded.
There was Yan Hui who loved learning. Unforcunacely he had a shortened man
date, and he died Now chcrc is no onc.H (11/7)3940
What is mandated is under che control of Heaverii and there is no ethical
calculus involved.
Indeed, Confucius often emphasized che degree co which events are out
of che control of humans. When a certain Gongbo Liao defamed someone,
and Zifa Jingbo asked Confucius if he should have Gongbo Liao killed,
Confucius responded: M
If the Way is going co be pur inco practice, ic is man*
dated (mi%). If ir is going [o be discarded, chat too is mandated. What does
Gongbo Liao have ro do with whac is mandacedr (14/36). Even che quescion
39. Shiji, I20 .lti 4 - 2S
40. A similar iratemenr appears in 6/j.

lOO

G A I N I N G T H E P O W B R S OF S P I R I T S

of whether the Way will prevail is out of human hands: humans can puc the
way inco practice only if Heaven wishes them co. As with Confucius' sucements about his bsc disciple d)ring ^oung^ the anitude here is simply chat
one musr accef>c whar Heaven has ordained
Nonetheless, Confucius held strongly co che view chat no one should re
sent Heaven:
The mascer taidL '"No one undersundi me." Zigong asked. *Whac does it mean ro
say do one understands you^ The master replied, 1 do not resent Heaven oor bear
a grudge agunsc min. I study here and reach co what is aboveOnly Heaven under*
standsme.* (14/^5)

Indeed, Confucius believed char human culture icsclf derives in part from
Heaven and argued chat cultural patterns emerged when the initial sages
modekd chemselves on Heaven and then rransmicced chose patterns to hu.
manicy
The mascer laid: M
Grcac indeed wu the rulership of Yao. So nujescic only Heaven
is great, and only Yao modeled himself upon it. So boundless, che people were hoc
able co find a name for ic. Majestic were his achievements. Qluscnous are his pat*
cemed forms (u/en zlMnf).N (8/19)

Heaven is also seen as being responsible for che concinuadon of chese cul*
rural patterns:
When the master was in clanger in Kuang, he said: *King Wen has died, bur are his
cultural pacrerns (wen) not here? If Heaven had wanted co desrroy chese cultural
paccems, then chose who died larer would noc have been able co parddpare in die
culcural patterns. Since Heaven has not destroyed chese culnml pocmis. whac can
die people of Kuang do to mcT (9/5)

Heaven is thus granced a normarive role. The patterns of human culture

( w tn ) emerged from Heaven, and it is Heaven diac allows chose patrems co
coocinoe.
Thus, the patterns chat should guide human behavior can be traced to
Heaven t h t y are patterns observed b y che sages and brought from Heaven
co bumanicy. However, che commands of Heaven do nor necessarilyr involve
support for chose who fellow chese paccems. And y t t man muse nor resenc
Heaven for this and indeed must strive co understand and even eaceem rhese
commands.

G A I N I N G T H B P O W B R S OF S P I R I T S

lOt

Such a position is a variant of the tensions present in the Western Zhou,

Heaven is revered, and both living up to and accepting whac Heaven ordains
are man s highest goals. Bur since, in Coniucius* view, man cannoc influence
Heaven through sacrifices (or, co be more explicit, through sacriiking to che
spirits who then petition Heaven on behalf of the living), man muse simply
culdvace himself and accept whatever Heaven does.41

The Moral Cosmos of che Mohiscs

If Confucius responded co che censtons beeween humans and Heaven
by embracing them and denying che ability of humans co tnnsfonn Heaven
the Mohiscs cook che opposite approach and denied the Tensions altogether.
For ettem. Heaven was a moral deity who acted according co a dear
moral calculus: ^Heaven desires propriety and detests impropriccy.**42 Ac
cordingly. humans muse model themselves on Heaven in order co act prop
erly "The gentlemen who desire co a a with propriety must accord with
the intent of Heaven^ (-Tianzhi, xia,M
Moreover, Heaven accivety in
tervenes in human afEiirs co reward che good and punish rhe bad If#
for example* someone kills an innocenc man, Heaven sends down a calamity
(^Tianzhi, xia," 7.ua-b), as do the ghosts and spirits arrayed below Heaven
(M
Minggui, xia/ 7.2b)* Absent here is any sense that either Heaven or
rhe spirits zrt capricious. All of chem always act according co a clear moral
calculus.
The Mohisc advice co the rulers of the day was dius co flimpty follow
Heaven* just as, che Mohiscs claim, chc sage-kingii of the past did*
Therefore, in ancicnc dmes che sagc^ldngs made manifest and understood whac
Heaven and the gh$c$ bless and avoided whac Heaven and the ghosts dccesr so as
to increase che benefits of aOunder Heaven and eradicate che problems of all under
Heaven. (Tianzhi, zhon^" 7.6a)
Like Confucius, che Mohiscs believed chat humans must follow the com
mands of Heaven, but, unlike Confucius, the Mohists saw those commands
asechicaL

4i< For a m\ewhat difiercnc reading of these iMues, wet Ning Chen# ^Confiiciui* View of
(M in|).N

4.

Tiinihi, jda," 7.10ahereinaftef dcatiom from the Mo*< are given in the text.

102

G A I N I N G T H E P O W B R S OF S P I R I T S

Indeed* not only should humans follow the commands of Heaven, but it
was Heaven itself who
nude king^, dukes, and lords and charged them with, first, rewarding the worthy
and punishing the wicked and, second plundering the mecals, wood, birds, and
beasts and working che five grains, hemp* and silk so as to make the materials for
peoples clothing and food. (Tianzhi, zhong/ 7.7a)

Heaven insdcuced che polidcal hierarchy and taught rulers how to rule and
how co appropriate natural resources for che benefit of humanity. The hier^
archy of the human world thus replicares che hierarchy of che cosmos, with
the rulers rewarding the worthy and punishing the unworthy just as Heaven
above does.
There is no sense here chac humans, through cheir sacrifices! are trans
forming Heaven and che spirit world in order to persuade them to act on
behalf of humanity, nor is there any sense chac humans are utilizing sacri^
fices in order ro make material resources available for human consumption.
On che contrary, che hierarchy of Heaven and che spirits is a given, and that
hierarchy is already predisposed co aid humaniry. Indeed, it is Heaven chat
created the kings, and Heaven chac directs humaniry to appropriate che
nacural world. It is as if che goal of lace Shang sacrifices became che founda*
cion for Mohist thought.
Moreover, for [he Mohists sacrifices are not transformative* Instead,
they are simply a case of humans giving che spirits what che spirits need,
just as the spirits give humans whac humans need. Ic is with che Mohiscs,
in ocher words, chat one finds che bureaucratic vision of sacrifices that
Keightley sees in the Shang. The Mohisc narrative of the origins of sacri
fices makes the point well. The narrative appears in a Mohist argumenc
about che importance of identifying with ones superior. This is true at
each level of che hierarchy, all che way up ro Heaven. Thus, che argument
goes, if one identifies with che ruler but Buis to identify with Heaven,
chen Heaven will send down punishments. To prevent this, sacrifices were
instituted:
Therefore, if ic were like this, chen Heaven would send down cold and heat without
moderation, snow, frost, rain, and dew ac che improper time, che five grains would
nor grwf and che six animals would not prosper.. . . Therefore, in ancient dmea#
che sage-kings clarifieci whac Heaven and che ghosts desire and avoided what
Heaven and che ghosts deresc. They thereby soughr co increase che benefits of all

G A I N I N G T H E P O W B R S OF S P I R I T S

I 3

cinder Heaven and push away the problems of all under Heaven. They thereby led
the myriad peoples under Heaven co purify themselves, bathe, and make libations
and offerings co sacrifice co Heaven and the ghoscs. ("Shangcong, zhong," 3*5a-b)
Heaven and che ghosts desire sacrifices, and the sage^kings of the past there
fore inscituced them. Thenceforth, M
favors from Heaven and the ghosts
could be obcainecT (^Shangtong, zhong,M3*sb). If humans sacrifice properly^
then che divine powers will send down blessings. In short, che Mohisr view
of sacrifices is precisely do ut des precisely the view that Keighdey and Poo
Mu^chou, incorrecdy in my opinion, cried co read into Shang sacrifices. In^
deed, srories abound in the Mori about che importance of gauging che cor
rect amount of sacrifices to give in order co receive che proper amount of di
vine blessings in return. As one example among many
The sacrificer of Lu sacrificed one pig and soughc one hundred favors from the
ghoscs and spirits. Master Mozi said to him, HThis is unacceptable. If you gjve co
others sparing)/ and yet expecc them [in response to give generously, chen chey will
be afraid of )rour giving chings to them. Nowf if you sacrifice one pig and expea one
hundred favors lTm che ghosts and spirits, then chey will be afraid of getting sacri*
(ices of oxen and sheep." (M
Luwen/ 13.6b)
Like ConAicius, che Mohiscs opposed che use of sacrifice co coerce or
transform che spirit world. Buc, unlike Confucius, che Mohists asserted rhac
sacrifices should be used co gain benefits from che spirit world. Noc only is it
si moral cosmos, but it is also one that operates according to a hierarchical
ut des framework. For chis reason, che Mohiscs argued strongly against che
notion of face.43 Since che highest power, Heaven, is moral, che only issue is
whether the ruler models himself on Heaven and acts properly co chose be
low. If he docs, there will be order; if he docs not. Heaven will send down
punishments.
W h en men o f propriety arc above, all under H eaven will be ordered. T h e H igh
G od, as well as rhe g h o su and spirits o f che m ountains and screams, will have cheir
m aster o f sacrificeSi and rhe myriad peoples will receive greae benefits. C*Fciming,
shang," 93a)

Sacrifice, in shore, is simply 2 part of chc proper hierarchical functioning of

che cosmos. It is nor char sacrifices transform che spirits; rather, humans give
43.
Sec the "Feiinmg* chapters, all of which, as cheir tide implies* conuin lengrhy critiques
of the notion of fate.

l4

G A I N I N G T H B P O W E R S OF S P I R I T S

their superiors what they need. Indeed, when che Mohists argue chac
Heaven loves universally, they even give as one of cheir examples the fact
chat Heaven accepts sacrifices from all and, if he accepts sacrifices from all,
he will send down blessings to all ("Tianzhi, xia/* 7*na).
Like Coniiicius, che Mohiscs deny that sacrifices can transform Heaven
and che spirits. Bucf for Confucius chis meant that one simply had co accept
che capriciousness of chose powers. For rbe Mohiscs, on che contrary, it is
unnecessary to transform Heaven or in any way acc to coerce it; Heaven is
explicitly the source of propriety, and, indeed! of all things that che Mohists
deem good. And humans are simply called on to follow Heaven s commands
and thus achieve the order thar Heaven has made possible. For che MohistSj
the cosmos is moral and is controlled by a moral deity and a moral pantheon
of spirits, and humans should simply submit cbemselves to chac deity in or
der co achieve a proper order. The tensions between humanicy and divine
powers are denied by arguing char Heaven and che spirits are not capricious
2nd already acc on behalf of humanity, and that the cosmos is already hierarchically structured and cherefore not in need of human sacrifices co so order
it. All humans need co do is fellow che comnunds of Heaven, and those
commands will always lead them properly.

Separating Humans and Spirits and Dividing Heaven

and Earth: The M
Chu yu, xiaMChapter of the Guoyu
Confucius and the Mohists, albeit for different reasons, rejected che use of
sacrifices to coerce and cransform the divine realm! bur others attempted co
define more carefully the relations that ricual specialises should maincain
with che spirits. A clear example of rhis can be found in che NChu yu, xiaM
chapter of che Guoyu, which critiques its own age by looking back co an ear^
tier period when ritual specialists behaved properly.
his section includes a passage widely eked in the sinological literacure
on shamanism. Indeed, IC C. Changs argument for shamanism in early
China is based co a significant degree on his reading of chis passage. Chang
followed Derk Boddes paraphrase:
Anciendy, men and spirits did not intermingle. Ac chat time there were certain per*
sons who were so perspicacious, single^mindecl, and reverential chac cheir under*
sranding enabled them co make meaningfiii colladon of what lies above and below,
and cheir insight co illumine what is distant and profound. Therefore che spirici

G A I N I N G T H B P O W E R S OF S P I R I T S

105

would descend into them. The possessors of such powers were, if men, called xi
(shamans), and, if women, wu (shamanesses). Ic is rhey who supervised the positions
of rhe spirits ac the ceremonies^ sacrificed to them, and otherwise handled religious
matters. As a consequence, the spheres of the divine and die profane were kept dis
tinct. The spirits sene down blessings on che people, and accepted 6rom them cheir
offerings. There were no natural calamities.4445
Chang calls chis Nche most important cexcual reference ro shamanism in an
cient China-#45
Fung Yu-lan understood this passage in a similar way. However, Fung,
reading the passage according co his general ^religion to philosophy** argu^
inenc, denigrated che link between humans and gods rhat Chang celebrated:
Whac is said here shows in a general wa/ rhe forms of superscirion of the early Chi*
nesc. Fxx>mche fact that sorcerers and witches were considered necessary co regulate
che dwelling places, positions ac che sacrifices^ and order of precedence of che spirits,
we may see how numerous these spirirs were. The &cc char the spirits were sup
posed co be able co bestow happiness, receive sacrifices, and ro enter into human be*
ings, shows rhat they were regarded 2s anthropomorphic beings. And che scace*
mencs chac "people and spirits were confusedly mingled^ ^people and spirits held che
same posidon/ and M
che spirits followed che customs of che people/ show us chat
che actions of rhe spirits were looked upon as being quite indistinguishable from
those of human beings. The Chinese of chat time were supersdrious and ignorant;
thqr had religious ideas buc no philosophy; so chac che religious ideas and spirits
which chey believed in were exactly like chose of che Greeks.46
I will follow David Keighdcy in arguing thar the passage in icc has little
co do with shamanism.47 Indeed, far from referring to z mixing of humans
and spirics, the text is explicitly oriented coward defining humans and spirits
as, normacively, sepance. Like Pindar, the writers of this text were arguing
against any attempt co weaken the boundaiy beeween humans and spines.
The rexe revolves around King Zhao of Chu (r. 5x5-489 b c ) and his min
ister Guan Yifii:
44. K. C. Chang, A n t Myth, and Ritual, p. 44. For Bodde s paraphrase, set his
Anciern C hina, p. 390,
45. K. C. Chang, Art Myth, and Rituai p. 4$.
46. Fung, A History of Chinese Phitosophy, i: 23-24.

of

47. Kcightlcy, "Shanunism, Death, and the Ancestors/* pp 821-14. The particular pas
sage in question here u discussed in detail in Keighdey s unpubluhcd "Shanunism in Guoyu?
A Tale of rhe xi and wu.M

I 6

G A I N I N G T H B P O W E R S OF S P I R I T S

King Zhao asked Guan Yifu: M

What does the Zhoushu mean when ir refers to
Chong and Li causing Heaven and Eanh co have no communicarion? If this had not
happened, would the people be able to ascend co Heaven^* ^

The precise reference here is unclear. However, che Xu xingMchapter of the

Shangshu mentions the acrivicies of Chong and Li in its description of the crea
tion of punishmencs by the San Miao.484950Dif heeding the cries of chc people,
decided co intervene:
Those who were oppressed and terrified and sidng execution announced their in
nocence to the powers above. The high Di surveyed chc people, bur there was no
fngranc virtue, and the punishmencs sene ouc a smeD chat was rank. The august Di
pided and felt compassion for chose among che mulcicudes who, chough innocent,
were facing execution. He requited che oppressors with terror and put an end co the
Miao people so chac they had no descendants. He thereupon ordered Chong and Li
co break che communication beeween Heaven and Earth so chac there would be no
more descending and reaching up.

The passage clearly represents che interruption of communicarion beuween

Heaven and Earth as a good thing: Di did so in order co establish a proper
hierarchy. The sense would appear co be chac che San Miao, in creating
punishments, had usurped privileges char belonged co che god alone.
The San Miao, in short, had transgressed che limits of what is permitted for
In che M
Chu yuHchapter, however, King Zhao asks if che passage perhaps
had che opposite meaning: chac che breaking of communicacion between
Heaven and Earth was now preventing humans from ascending co rhe heav
ens. Guan Yifii immediately opposes such a reading: This is not what it
means* In ancient cimes,the people and chc spirits did not mix" (i8.ia). Peo*
pie and spirits were separated in antiquity, and, as Guan Yifu explains, a
proper ritual separation was maintained beeween them. More specifically,
ritual specialists were responsible for maincaining the proper sacrifices:
Those among che people whose essence was bright and never divided and who were
able co be proper, reverential, correa, and recdficd, cheir wisdom was capable of
comparing che propriety of whar w as above and whac was bdow; their sagacity was

48. Guoyu, M
Chu
xia/ iS.ia; hereinafter deed in rhe cexc.
49- For 2 detailed discuision o f the MLu xing" chapcer* see my Ambivalence of Cfationt chap. 3.
50.
zhtngj/i, NLu xmg,M19.10b-ub.

G A I N I N G T H E P O W E R S OF S P I R I T S

I7

able to glorify what wa$ distant and display whac was bright; cheir dear-sighcedness
was able to glorify and illuminate ic; cheir keen hearing was able co listen and discern
ir. As such, the illuminated spirits descended to rhem.51As regards males, they were
called x\ [male ricual specialises]; as regards women, che^ were called wu [female rit
ual specialises]. They were employed in order co regulate the placemenc, positions,
precedence, and ranks of the spirits and co prepare the sacrificial vicdmsl vessels, and
seasonal garments. (18.1a)
The rimil specialists were rectified and proper, and rhe spirits thus de
scended co accept cheir sacrifices. The duties of these ritual specialists in^
volved granting spirits cheir proper rank and precedence. Guan Yifus argumcnc parallels the views ascribed co rirual specialists in the Shang and early
Zhou texts (see Chapter i): che duty of such specialists was co order the spir
its and grant uhem cheir proper posirion.
Because che ritual specialises performed cheir dudes correctly, rhe casks of
humans and spirits were defined properly:
The people and spirits had different casks. These were respected and nor rransgressed. Thus, che spirits sene them good harvests, and che people used che produce
co sacrifice. Disasters did noc come, and there were no deficiencies in whac they
sought for use. (i8.ib-2a)
The ritual specialists regulaced che positions of che spirits correcdy, and the
spirits in cum granred good harvescs. The people then used the products of
the harvest to sacrifice to the spirits. In shorty because the ricual specialists
observed cheir appropriate casks, che worlds of humans and spirits were cor
rectly demarcated and no disasters occurred.
Clearly, this is hr removed from shamanism. The text is noc describing
rhe descenr of spirits inro humans, 2nd its only reference to humans ascend
ing is a negative one: it argues against any such attempt. Contraiy co Changs
interpretation, che text is claiming chat spirits and humans should be sepa^
raced and placed within a proper hierarchy of functions. Wu here chus seems
best cransUted as ^ritual specialists"; I would agree with Mair's argument
(see pp. 84-86) rhar che wu are noc shamans 21 aU.

$1. This is the passage chat Bodde read as "the spirits would descend into them1*and thac
Chang used co build his argumenc for shamanism. In fiicc, however, che wording
zhi sim
ply means "to descend and arriye" which is exaedy what spirits arc upposed co do when effcctive ritual specialists entice them with the proper blandishments.

1 8

G A I N I N G T H E P O W E R S OF S P I R I T S

GuanYifil continues:
it came to the declining period of Shao Hao, the Jiu Li brought disorder to
the power (dc). The people and spirits were mixed up. Things could not be assigned
to their proper categories. People made their own oflFerings, and each family had a
nrual specialist (wu) and a scribe. There was no demand for substance. The people
exhausted themselves in sacrifices and yet knew no good fortune. They made offer
ings without proper moderation. The people and the spirits occupied the same posi
tion. The people profaned the proper covenants. There was neither respea nor revcrcnce. The spirits had improper incinucy with the peoplethey did not purify their
behavior. Bouncifiil harvests were not sent down, and there was no produce tor use
in making offering^. Misfortunes and disascers repeacedly came. No one used up
chdr^i. (18.2a)

The rirual difFerentiarion chac had characterized che earlier period broke
down, and humans and spirits became mixed. Each &mil]r employed its own
ritual specialist, and the order and precedence of che offerings collapsed.
Even though sacrifices increasedr good harvests ended and disascers arose.
When Zhuan Xu cook power, che situation was finally reedfied:
Zhuan Xu succeeded him [Shao Hao]. He thereupon ordered Chong, che rectifier
of che souths to supervise Heaven and thereby assemble che spirits. He ordered
che rectifier of (ire, co supervise Eanh and chereby assemble che people. He made
them revive che old rules. There were no more mutual usurpations and encroich^
menu. This is whac was meanc by breaking che communicacion between Heaven
and Earth. (18.2a)

When Chong and Li were assigned the casks of supervising Heaven and Earth,
respeccively, each was demarcated properly, and this, Guan Yifii argues, was
che meaning of breaking the communicacion between Heaven and Earth.
Unlike King Zhao, Guan Yifu clearly sees chis rupture as a good thing.
A similar problem arose when the San Miao appeared, but Yao was able
co rectify things by supporting the descendants of Chong and LL*
After [his, the San Miao restored che power of chc Jiu Li. Yao turned again to nurcuring che descendants of Chong and Li. Those who had not forgotten che old were
made co revive cheir regulating. From chac point, down co the Xia and Shang, che
Chong and Li Bunilies accordingly placed Heaven and Eanh in order and disringuished cheir proper spheres of management. (i8.2a-b)

This situation concinued inco che Zhou dynasty:

G A I N I N G T H E P O W E R S OF S P I R I T S

109

With che Zhou, Bo Xiufu of Cheng was cheir descendant. In che dme of King
Xuan. he lose his office and became pan of the Simi dan. Gsceeming his ancestors
as spirits so as to hold the awe of che people, he said: "Chong truly raised heaven,
and Li rruly lowered Garth." (x8.ab)
But, with the decline of che Zhou, che proper demarcation of Heaven and
Earth was lost again:
But when z h ty met che disorders of this age, none was able to withstand it. If such
had hoc been the case, chcn Heaven and Earth would be complete and not altering.
How can they bejoined cogecher^ (18.2b)
The implicarion is that che problem confronting Guan Yifii and his contem
poraries was the loss of the proper distinction between Heaven and Earth.
Far from being a shamaniscic text, che M
Chu yu, xiaMis a call for a ritual
separacion of hununs and spirits and a cridque of any intermingling of che
two. The goal is harmony through ritual separation* The text is defending a
position much closer co thac of Pindar.

Becoming Like a Spirit: The TJciye' Chapter of the Guanzi

If che L un yu reveals z concern with keeping spirits ac a distance, if the Mohiscs asserted an absolute^ pregiven hierarchy of humans and spirits, and if
che M
Chu
x iz chapter represents an attempt co mainedn a ritual separa
cion of humans and spirits^ the T^eiye" chapter of che Guanzi is representaive of ammpes to break down die barriers between humans and spirits al,
together.
The T^ciyc,** chapter 49 of the G u an zi ,52 builds its argument around
three interrekeed cerms: qi, essence
and spirit (shen). Q i, which I
here leave uncranslaced, is che energy and substance of all things. In its most
refined form, y becomes essence: Essence is die essence of qi,53Spirit is
chen defined as a refined qi as well; as we shall see, it becomes another name
in this text for essential qi.
51. For an excellent translation and analysis of che ^Ndye," see Roth, Original Too. See also
(lie invaluable discussioiu by Rorh, Tsychology and Sdf>Culcivarion in Early Taoistic
Thought*; and Grahanif Disputcrs of the Taot pp. 100-105. Also extremely helpful is Qiu Xigui
M
Juda Daojia jingqi shuo de yaj^iu.4' For a discussion of the dating of the "IMeiye/ set Roth,
Original Tac, pp. 23-30; idm, "Redaction Criricism and che Early Hiscoty of Taoism/ pp. 1417and Rickett, Guanzi, 2 :32-39*
$). Guanzi, M
Neiye/ i6ab; hereinafter cited in the text.

no

G A I N I N G T H 8 P O W E R S OF S P I R I T S

The rext opens up with one of its more provocadve renderings of this
af^umtnc:
As for die essence (jin^) of all thinp (ww) it is this chat is life. Below it generates the
five grains; above ic becomes che arrayed scan. When it floats becween Heaven and
Earth, we call it ghoscs and spines; when ic is scored wichin 2 person s chest, we call
chat person a sage. (16.11)
As the life force, essence generates all things on earth and in che heavens.
Spines are simply die essence floating between Heaven 2nd Earth, 2nd sages
are those who have such essence wichin. Human sages, in ocher words, con
tain wichin themselves che same essence found in spirits.
Indeed, die only signiikant difference between humans and spirits is char
spirits arc pure essence (and thus floar between Heaven and Earch)#whereas
humans are a mix of essence and (bran:
As for the birth of humans: Heaven brings forrh the essence, and Earch bringi forth
che form. They combine these to make humans* When chey harmonize* there is life;
when chey^ do nocf rhere is noc life. If we examine che wi^ of harmony, its essence
cannot be seen, iu iignj cannot be classified. When there are arrangement and regu*
ladon in che mind, this thereby gives long life* If hatred and anger lose chdr measure,
one should make a plan for (hem. Moderare che five desires, and expel che two evik.
If one is noc joyous and noc ingpy, balance and correaness fills che chest. (16.5b)
Humans chus occupy a unique place in the cosmos because chey combined
the essence received firom Heaven and form received from Earth. By harmo
nizing these, humans can attain longevity.
Harmonizing che essence and form requires one ro live property with
Heaven and Earth:
Heaven values correctness; Eanh values levelness; man values calmness and sdliness.
Spring autumn, winter* md summer are che seasons of Heaven. Mountains* kills,
screams, and valleys are (he branches of Eaxth. Happiness, anger, taking, and giving
are che schemes of man. For this reason, the sage alters with che seasoxu but is noc
transformed, follows things but is noc changed. (16.2b)
The sage must recognize the proper values of Heaven, Earth, and man
correctness, levelncss, and stillness, respectively. The sage must be still and
noc be transformed or changed by die alterations of Heavenly seasons, che
shifts in che earthly landscape, and che schemes of other humans.

G A I N I N G T H B P O W B R S OF S P I R I T S

Doing so will allow him to have a settled heart and ultimacely become a
resting place for essence:
Oni)r he who is capable of being correa and still is capable of bdng sccdecL If he has
a seeded mind within, ears and eyes chat are keen of hearing and tighc, and four
limbs that are durable and scron^ cheo he can be rhe racing place of the etscoce.
Essence is che essence of ql When die fbDows the Way, chere is life. When there
is life cher is chouglu- When dim is chought* there is knowledge. When there ii
knowledge; one scops. In all cases, che forms of the mind are such chat craiugretsivc
knowledge leads co i loss of life. (16.1b)
By becoming secdccL die sage is able to develop a form chat can bring essence
to rest wtchin himself. This grants him life and knowledge The concern of
che authors chus becomes clear. The problem is chat our essence rends co
dissipate from our form because of che changes, alterations, and schemes of
Heaven* Earth, and man. Our goal, therefore, should be to keep our essence
within our form and chus maintain the proper balance of Heaven and Earth
within us.
Essence is che most refined scace of qi Moreover, chat follows che Way
allows (or life che very thing said about essence. The implication is chac
one refines ones qi by following the proper Way. If chis is done, ones form
becomes correcr#one obtains longevity, and one's accions meec with success:
The Way it char about which che mouth cannot speak* che eye cannot $eet che car
cannoc hear. It is chac with which one culdvaces che mind and corrects the form. If
men lose it, they die; if they obtain it, chey live. If, in performing casks, [the Way] is
lost, one will hih if ic is obtained* che uaks will be compleccd (i6.ia-b)
To do this, however che Way itself muse be brought co rest, since it, coo,
has no fixed place. Thus, one muse render one's mind srill and bring ones f
tnro accord wich the normative panern (ti): T^Iow, che Way is wichouc a
fixed place, bur a good mind will bring ic ro rest and care for ir. If the mind is
still and die qi pacrcmed (Ii), the Way can thereupon be brought co a stop"
(i6.aa). One s goal is co bring the Way co rest within one's fbrm Here again,
change and movement are dangers, and longevity rests with stillness.
However, insoiar as die Way filk all under Heaven, he who can bring it
ro rest wichin himself gains access co che entire cosmos:
he Way fills all under Heaven. It is everywhere that people reside, but people are
unable co understand. Wich the liberation (Jie flf) of the one word, one explores

G A f N t N G T H B P O W E R S OP S P I R I T S

(cha) Heaven above, reaches to Earth below, and encircles and fills che nine regions.
(16.3b.)
The Way pervades everything. Accordingly, he who can grasp ic wich che
one word (i.e.f che wWayM
) can be liberated and is able to explore Heaven
and Earth and fiU che world. The claim here is noc thar che adept actually
explores the cosmos in person; che point is rather chat the adept can gain
diesc powers grasping the one word that pervades cfae cosmos. As che cexr
explicaccs:
What does it mean to be liberated by ic^ It resides in che scabilicy of che mind If
one's rninci u regulated* ones senses are thereby reguliced. If one's mind is stabilized,
ones senses ire thereby subilized. WhAC regulates chem is che ttdnd, and whar sea*
bilizes them is the miiuL The mind therefore stores die mind; within che min<l there
is also a mind. In this mind of che miiui cones precede words* OnI)r after there are
cones are there forms; only after there are forms is chere che word; only after che
word is here contfol; only after there is control is there regulation. If there is no
regulation, there will inevitably be disorder. If chere is disorder, chere will be death.
(i6 .3b- 4 a)
The process occurs enrirety within che adept himself. The adept muse subi*
iize his mind and thereby regulate his senses. The mind within his mind re
sponds and hence experiences che inherent resonance char exists in musical
cones* Only chrough this resonance can one grasp che one word that
which pervades everyching. And by grasping chat which pervades everything,
one is thereby liberaccd.
Similirljr, b)r obtaining che one word that pervades everything^ all under
Heaven will submic
If a regulated mind resides within* regulated words wiU issue from ones mouch and
regulated tasks will be appUed to men. As such, all under Heaven will be ordered.
When rhe one word is obtained* all under Heaven will submit. When che one word
is daermined. all tinder Heaven will obey. (i6.)a)
The one word is che fulcrum of the cosmos. By obtaining che one word, che
adept it able cd make himself che fulcrum of the cosmos as well, and all un*
der Heaven will submit itself to him.
The author make rhese same points about qi itself. A proper utilizadon of
qi allows humans co possess wichin themselves che same qualiries found in
che rest of the cosmos: nrhereforc che _of the people is bright as if ascend
ing u> Heaven and dark u if entering ino an abyss; vast as if residing in the

G A I N I N G T H B P O W B R S OP S P I R I T S

ocean and constricted as if residing in the self" (i6.ia). The claim again is nor
that humans actually ascend to Heaven and encompass discanc regions
(claims, as we will sec, that were indeed made later within comparable
frameworks). The argumenc is richer that qi is what enables humans to have
access, through something within chemselvcs, to the rest of the cosmos*
And. since thus pervades chc cosmos, an understanding of it allows che
a<lepc to make all under Heaven submin Hewards are not sufficient co en
courage goodness, and punishments are not sufHdenc co correa the trans
gressive. When awareness of che qi is obtained, ill under Heaven will submit.
When awareness of che mind is seeded^ all under Heaven will obey" (16.4b)*
Indeed^ if one can hold hst co che qi and not ler it escape, one g^ins power
over things:
Therefbref chis cannot be stopped wkh force, but it can be made0 resthrough
power (Jf); it cannoc be called chrough sound, but it can be wetcomed through mu*
sical pitch* Reverendy hold
to it and do not lose ic. This we call _compkdng chc
power." When che power is complete and knowledge emerges, then chc myrriad
things (wu) can be fully obtained. (i6.u-b)
By holding hsz co chat qi and nor leering ic escape, one can obuin che myriad
things. Since qi pervades che cosmos and exists in the forms of all things* che
ability to make rhe qi rest within oneself gives che adept an ability co control
thost things.
In shore, che monistic cosmos posited by che authors allows them to
make great claims for che potential powers of chose who fellow che teachingi
of the text. Not only is die adept able co transform with rhe changes of che
world without altering his own qi, but he is in (aa able to gain control of
things:
To unify things and be able co cransfonn chem is called spirit (sbrn). To unify aflEurs
and be able0 alter diem is called craft. Transforming buc not akering [he alter*
ing but not changing ones craft onl^ die superior nun holding Cue to che One is
able co do this. holding (asc co che One and not losing tc, he is able co rule over
the myrHad things The superior man controls diinp (i!n uu); he is not concroUed by
them. He obcains the pacrem (Ii) of che One. (16.3a)
Since che cosmos is monistic, ic fellows chat there is an inherent pattern (!i)
to the oneness of the world* If che adept brings his qi into accord with this
pattern and holds fiasc co icf rhen ht can achieve masrery over chc things (ivu)
char populace che world.

G A I N I N G T H B P O W E R S OF S P I R I T S

Indeed he who can fully gain such powers and fill himself with essence^
the mosc refined state of qi, is able to avoid all disasters and harm:
When rhe essence ociscs#ic gives life of ttsdf. On the outside, all wiD be settled and
flourithing. Internally, one can score ic so char ic acts as the source of a Founuin.
Floodlikc harmonious, and tranquil, ic acts a$ cbe depths of die qi. If the depdu <lo
noc diy up#the nine apertures will thereupon open* The^ are thereby able to exhatisc Heaven and Earrh and cover the four seas. If within one has no delusions,
then outside there will be no disasters* If the mind is complete wichin, the form will
be complete on (he outside. One will not encounter Heavenly disasters nor meet
wich injuries from ochers. This person we call the sage. (i6^a)
Since che essence pervades evcfything, access to ir grants the adept (iiU pow
ers co penetrate everything, exhaust Heaven and Earth, and avoid disasters.
Ar times, rhe text refers to chis essence as M
spiritM(shen):
There ij a spirit chat of itself resides wichin che body, at nines leavings at
times encering. No one is able co contemplate ic. If you lose ic#there will be disorder;
if you obcain icf there will be order. Carefully clean its resting place, and the essence
will of its own enter* Refine ^our thoughes and concemplace it; make tranquil
your memories and bring ic co order. Be reverent, generous, dignified, and respeafiil#
and the essence will come and settle. Obcain ir and do not dispense wich tc*
Your ears and eyes will never go astray, and }^our heart will have no ocher designs.
When a correa mind resides wichin, the myriad things will obcain cheir scandarcL
(i6.5a-b)
Each person, therefore, has a spirit refined qi within his own body. The
goal of self-culcivation is chcn to keep chis spirit within oneself.
By doing so. rhe adepr is able to g^in an understanding of cbe chiles of
die world
The occremicy of divine ittumination (then mmg) so bnDiaxu, ic knows the m)rriad
(hingi. Hold it Euc wichin. and do noc be excessive.54Do noc allow chingi co disor*
der che senses, and do noc allow che senses co disorder the mind. This is called ob*
earning it ^rithin. (16.3a)
The adept is able co understand all chings because he does nor allow
his senses to be disordered by things and holds fast co die divine illuminacion wichin.

G A I N I N G T H B P O W E R S OF S P I R I T S

"5

Indeed the text argues, self^culdvacion allows the sage to gain the powers
of the spirits wichouc resorting to the arts of the religious specialises of
the dayr:
G>ncencrace the as if a spirit (m shen $ |$), and che mjrriad things will aD reside
withia Can you concentrated Can you unify^ Can you not engage in crackmaking
and milfoil divliudon and yet undersund auspicsoiuneu and inauspidousness? Can
you scop? Can you reach an end? Can you noc seek from ochen and obtain it in
youndf^ Think abouc ic, chink abouc icf and dunk about it ag^in. If you think about
it bar do noc penetrate, che ghosts and spirits will penecrsce ic. This is nor due to the
power of che ghosts and spirits: it is due to che ultimace point of essential i6.$a)
The argumenc here rests on che claim chac che universe is composed of qit
and char change is a product of che alterations and cransformacioni of this
Shen, che most highly refined form of qit is able to undersund the proper
movements of che universe, and, since humans have chis form of qi within
themselves as well chey ulrimacely can attain che same comprehension
through cheir own efibrts.
The cUim in ocher words, is that chert exisc substances wirhin oneself
chacf properly culcivaced, can gain one che powers of 2 spirit. Thus* selfculcivation allows one to underscand auspiciousness and inauspiciousness
without resorting ro divination. This understanding is attained nor because
che ghoscs and spirits have given one information* and not because selfcultivation allows one to ascertain che incenrions of panicular spirits, but be*
cause one has attained sufficient refinement on one's own co underscand the
workings of the universe.
Thus, since all chings consist of qi, char which possesses rhe most refined
^1 (as do die spirits) possesses boch knowledge about and power over
chat which possesses less refined qi. By accumulating essence wichin himself,
man becomes like a spiric ablero undemand che changes of formSf avoid be
ing harmed by them, 2nd even gain control over them. In other words, he
cosmology of che *NeiyeMis one of hierarchical monism, and one's goal is co
gain ever more potency over che world of forms by becoming ever more
rcBned
Man s powers and limitations are defined by the resulting hierarchy of
Heaven and Earth. Ac his weakest he is a thing like ocher chings; at Kis
scrongesc, he is capable of gaining che potency of che essence possessed by
Heavenly powers like che spirits. The authors of rhe T^eiye** are rhus reach*

n6

G A I N I N G T H E P O W B R S OF S P I R I T S

ing humani how co usurp powers chac ocherwise belong to spirits and to
usurp abilities dut ritual specialists claim as their own. Indeed, the rexr is a
denial of che very distinctions argued for so strongly in the Guoyu.
Fir from internalizing a shanunisdc practice, cfac "Ndyre" is rather an at^
tempt to bypass the work of ritual specialists. Power and knowledge, the au*
chon argue, can be gained by culdvacing oneself 2nd becoming like a spiric
this allows one co know chc patterns of the cosmos and to be able co control
things I cherefbre disagree strongly with che reading of che ^eiye" offered
by A. C Grahanu As mencioned above, A. C Graham compares che cexr
with che Guoyu passage quored above. Buc Graham accepts a shamaniscic
reading of the Guoju passage and then reads cbe "Neiye" as an attempt co
shift shamanic practices toward self-culdvarion* I have argued here for a differenc reading of boch eexes.
The point of die Guoyu passage was nor to discuss the shamaniscic link
ing of man and spirir buc co emphasize che importance of maincaining a dis
properly trained rirual specialists, the oexc argues,
tinction between che two
will keep che worlds of man and spirit separare. This separarion was pre*
scnced as 2 prerequisite for m orderly world. The ^Neiyrer in direct contrast,
is claiming chat humans potentially possess the same essendal qi as spirits
and rhac humans can thus, through cultivation, achieve che powers of spirits.
If the point of che Guoyu passage was ro maintain a proper ritual separation
between humans and spirits, the point of rhe
is ro argue chat humans can overcome the discinction. And the Guoyu pass^e claims chac disas
ters can be avoided only rhrough such a separation; che "Neiyre" chac disas
ters can be avoided by che sage who crosses such boundaries.
Like Empedocles, the authors of the "Neiye" presented a cosmological
model that redeHnes both humanity and spirits in a way that divine powers
are obtainable by humans. By claiming co be in possession of techniques chac
allow che praccidoner to obtain the powers of spirits without resorting to the
arts of divinacion patronized ac the courcs, che authors were making an ar
gument for their own authority: instead of ttying to divine the inrendons of
chc spirits and co control them through sacrifices, they claim the ability to
divinize themselves.
These ideas were promulgated by figures outside the major courts! in an
attempt ro displace chc rirual specialises by denyong che cheistic underpinninp of cheir practices. Far from being an assumption emerging from a

G A I N I N G T H B P O W E R S OF S P I R I T S

shamaniscic subscrarum, monistic cosmology in Chinajust as in Greecewas a language of opposition*

Conclusion
I have sketched che emetgice#in early Greece and China, of claims of self*
divinizarion. In both cultures* these claims emerged within religious and
political concern dominated by cheiscic belief and practices. Indeed, an
analysis of che cwo cradicions reveals belief chat spirits control natural
phenomena, char spirits are potentially capricious and that humans and
spirics therefore have a pocencially agonistic reladonship. The major courts
in both regions auincained ritual specialists to influence, mollify, and gain
information from the spirics through divinacory and sacrificial arts. And, I
have arguecL one of the main reasons chat notions of z monistic cosmology,
of concinuicy between human and divine realms, and of the ability of
humans ro gain che powers of divinicics arose in both cultures was precisely
rhac such pracnces were seen by chose outside che ritual system as an
effective response to che practices dominanc at die courts of che day.
In neither case should shamaniim be seen as the wellspring of Bfth- and
fourth-century b c thoughtwhether as a (i(th-cencury difiusion (in che case
of Greece) or as a deep-seated cultural practice (in the case of China). The
that che shamanism hyrpotheses of Dodds and Chang poinr in different
directions should be enough in itself co give cause for thought. For Dodds,
shamanism explained rhe emergence of dualism in Greek thought, and (or
Chang che dominance of monism in China. In any casef che hypothesis is
unconvincing for either culture*
In Greece, the emergence of claims chat lumuns could become gods was a
response to die praccices of che rinul specialises. Although Gredc thought is
oftenin rhe sinological lircracure, ac anyr ratepresented as having been
based on a rragic cosmology and as assuming an inseparable birrier beeween
humans and gods, che nocion of humans becoming divine is in hez a crudal
motif in early Greek thought, and it developed precisely in opposition co a
tragic cosmology. In Greece, every bit as much as in China* there were com^
peeing cosmologies.
For China, chere were at least four difierent responses co ricual specialises.
*lhe Lufiju supports ritual ftpecialisu but opposes an instrumenal reading of

G A I N I N G T H B P O W E R S OF S P I R I T S

ritual actions. Sacrifices should be performed for the piuposes of cultivation,

not in order to influence the spines. Heaven, the highest divinity, is granted
norautive ttatusf but in a specific sense: sages, those humans who culcivacc
chemselves properly, understand the proper aspects of Heaven and model
themselves on it. The laettr-bom should then fellow che s^es* model in calcivacing chemselves. However, with no ability to influence Heaven or the
spirits, man simpiyr has to acccpc whacever Heaven sends.
The early Mohiscs argued chat che realm of Heaven and die spirits has its
own innate hierarchy, and char hierarchy is not created through human ritu*
als. Humans should simply follow the dictates of Heaven, who created che
human polirical order, provided narural resources for human appropriation*
and, along with the spirits, actively inteivenes in human aflE^rs
rewardhe
good and punish the bad* The Mohiscs denied che ordering power of human
ritual vis4 is che divine realm. The divine realm was already properly or
dered; indeed, the divine realm was ordering che human realiiL Sacrifice was
thus defined within a hierarchical, Jo ut its framework.
The M
Chu yu,
chapter of che Guoyu supported ritual specialise as a
means of maintaining a proper hierarchy between humans and spirits and
thereby obtaining a harmonious world for humans. The rexc was wrinen in
opposition to the attempt ro overturn the proper distinction that, according
ro che authors, should prevail between humanity and che divinities. The au^
cfaort chus rook a position comparable co chat (bund in che "Sheng min*
poem discussed in che previous chapter; in che M
Chu ya, m," however, this
position is clearly being asserted against chose who might transgress che
boundaries between humans and spirirs. The "Chu yut xiaMis chus compara
ble co Pindar's attempt to maintain z distinction between humans and spirics
against concemporaiy critiques.
Finally, che ^Neiye" claims chat humans have within chemselves che abil
ity co gain powers like chose held by che spirics. Although che ^eiye" Ac
cepts the hierarchy of Heaven, Earth, and man, it holds char humans can
giin the ability to control things and understand fortune and misfismine
wichour resorting co ritual arts ro divine rhe incendons of spirits. In short,
che "Neiye" is asserting precisely che sort of posidon thar texts like che Guoyu
are rejecting.
Thus, not only were che claims of continuity between human and divine
powers not an assumption in early Chinaf but such claims were made in ex
plicit opposicion co ricual specialiBts of che day. Moreoveri such claimi were

G A I N I N G T H B P O W E R S OP S P I R I T S

119

only one of a field of responses ro such specialists chat developed during the
fifth and fourth centuries ac.
Monisric cosmology, far from being an assumption of die times, was ini
tially a form of cridque#based on an acccmpc ro bypass the dominant modes
of oriencarion coward the world of spirits. The advocates of these practices
began arciculacmg new definitions of chc nature of spiricsf the nature of humanicy, and the relationship between the cwo. More precisely, these articula*
tions involved attempts co reduce chc distinction between humans and spir
its, and to argue chat, through proper praccices one can attain divine powers.
In orher words, in China jusc as in Greece, monism was 2 beer develop^
menc, and in both cultures monisne cosmologies were formulated in opposi*
cion to the dominanc practices supported by the sutc. The attempt co con
trast these two cultures in terms of the claim chat one assumed a cragic
disjunction between humans and gods char che ocher, due ro its shamanisric
substratum, never possessed is unconvincing. Such a concrasr requires caking
particular eexes out of context and reading them as assumptions of an endre
culcure. Some of the texts chat are often cited in such contrastive frame*
works were written within debates chac were in act quite similar in Greece
and China. Certainly the "NeiyeMoffers a cosmology completely different
from, say, that found in the
but k is &r less difFereru from that in
Empedocles. And both Empedocles and che *Neiyewcontain attempts co
fbrmulace a cosmological model with Klf-divinizarion claims in order co
question che modes of authority dominant ar ebe rime.
There are#of course, significant differences in the monistic cosmologies
proposed in these two cultures. In terms of the examples discussed in chis
chapter, Empedocles was dealing wich numerous ideassuch as reincarna
tionnot found in che early Chinese material. But che more significant dif
ference lies in che social claims of che figures in question. In chc case of
Empedocles, the emphasis of self-divinizacion was pan of an actempc ro
form an alccmacive way of life and ultimately an alcemadve communitya
claim that certainly holds true for Plato as welL Claims of self^divinization in
earljr Greece, in ocher words#tended to be made by^ chose groups in opposi*
tion to chc polis.
In early China, such appeals were similarly made by figures who opposed
the polirical and religious scructures of the time, but they were rarely used in
the accempc co build alternative communities. On che concrary, many such
appeals were made in chc form of advice co Icingscalling on rulers co follow

120

G A I N I N G T H B P O W E R S OF S P I R I T S

chcir practices and advice as opposed to chose of the divinacory and sacrifi*
cial specialists dominant at court. Indeed, ic was not uncil the Eastern Han
that such sclf-divinization practices (in a very different form) were appropri
ated and utilized by religious Daoist communities to Formulate the basis of
an alternative political order.
The interesting comparison between Greece and China lies in the differ
ent ways chat such claims were debated, the different groups char appealed
to selfdivinizacion practices, and the historical consequences of the ways in
which such debates played out. The comparacive approach chat I advocate,
therefore, is one in which the analyst anempes firsc co locate similar tensions
and concerns in the culrures in question and then traces the varying re^
sponses co those tensions and concerns.
Such an approach has two advantages. First of all, ic allows us to avoid
the tendency in comparative frameworks co deny the individual as well as
the differences chat exist within cultures. If we focus on discovering com
mon tensions richer chan on contrasting diiFerenc assumptions, then ic is
possible, once one has isolated the political and cultural Tensions^ to study
the ways in which particular individuals, in particular contexts, cry to deal
with the perceived problems. The comparison then revolves around the attempes of individuals in ocher cultures co deal with similar political and cul*
tural concerns. Second, by making explicic the tensions with which figures
were grappling, it becomes possible to analyze particular statements as re,
fleccive of an anempc ar solving a given problem and nor as necessarily in
dicative of assumptions of the larger culcure as a whole. It thereby helps die
analyst avoid rhe tendency, for example> ro read a given stacemenc concerning rhe correlation of humans and spirits made in a single text as necessarily
reflective of che belief of che dme.
In this chapter, for example! I suggest chat ar least one of the ideas often
promoted in comparative srudiesthe concrasr between the wcragicwcos
mology of early Greece and rhe M
concinuousMcosmology of earty Chinais
based on a misreading of specific claims chat were made within larger polici*
cal and cultural conflicts. Rather chan focus on a claimed difference between
Greece and China we should instead attempt ro read these claims in a
contextual and historical manneras claims being made in particular con*
textsand co ask why such claims were being made and against whom they
were being made. Many of die interesting comparative issues then lie in

G A I N I N G T H E P O W E R S OF S P I R I T S

121

discovering che different ways that these conflicts and debates unfolded
historically.
In the next chree ch2pters4 I continue to explore claims about relations
between humans and divinities made in che Warring Sutes period I trace
what happens when the claims concerning che pocencially divine powers of
humans become more and more common over che coarse of che fourth and
chird centuries b c , as well as the historical implicadons of how such claims
were received.

Accepting the order of heaven

Humanity and Divinity in
Zhuangzi and Mencius

In the previous chapcer#I explored the emergence in the fourth cenrury bc of

claims chac humans could gain divine powers or, more explicitly, of ckims
chat humans had more direct access ro divine powers chan was accepted in
contemporary ritual practices. Ic is wichin this context, I will argue, chat we
muse underscand che thoughr of Zhuangzi and Mencius. I begin with
Zhuangzii focusing on his critique of che ricual specialises of rhe day and
tracing his elaboration of the potentially divine aspects of humansnotions
whose vocabulary is directly reminiscent of rhac of chc "Nciyc"and his explanation of che relationship between these divine aspects and Heaven. I
chen rum to Mencius and his discussions of similar concerns. Mencius, I will
argue, also sees humans as capable of gaining divine powersa position chat
for Mencius gives rise to che possibility of tension between humans and
Heaven. Ultimately, both Zhuangzi and Mencius argue chat man must ac
cept rhe order of Heaven. But, for both#acceptance is a ir more problematic
act chan has often been portrayed.
^Nothing Can Overcome Hcavenw: The Notion of
Spirit in che Z h u a n g z i
One of Zhuangzi s anecdotes opens with a description of a ritual specialise
named Ji Xian:

A C C E P T I N G T H B O R O B R OF H f i A V B N

In Zheng there was a spedalisr on spirits named Ji Xian. He could tell whecher
a man would live or die, survive or be descroyed, have good fortune or bad live long
or die )^oung^ and he could predia che year, month, week, and day as chough He
were a spirit.1

Ji Xians powers, indeed, were such chat che apprentice Liezi felt him to be
superior co Liezi s own mascer. The remainder of che anecdote shows chat
che powers of che spirir specklisc are, councerincuinvely! quite limited and
that Liezi's mascer is indeed &r more impressive.2
I trace che details of che argument below. Here, ic is sufficient to note
chat this critique of rhe ritual specialises of che day is a recurrent theme in
che "Inner Chapters.wIn another anecdote! Zhuangzi, in a discussion of how
trees useful co man are inevitably cut down, concludes
Therefore, before che^ have lived out cheir years given Heaven, they are cut down
by axes in mid-journey. This is che danger of being something chac can be used.
Thus, in che Jie sacrifice, oxen with white foreheads, pig^ with upturned snouts, or a
man with piles cannot be offered co che river. This is socneching chac all ricual spe*
cialiscs and invocators know, since chey are considered inauspicious. But this is why
che spiric-man considers them greatly auspicious. (12/4/80-83)

Here che contrast is drawn between, on the one hand the ricual specialist
and invocacor ( and, on the other a spirk-man (sfccn ri jjj) a
term that appears frequently in che "Inner Chapters** of che Zhuangzi. Unlike
rhe ricual specialises, Zhuangzi informs uSf che spiric^nun does not distin
guish objeccs in terms of what is usable or unusable for sacrifices. Whyr chis
is significant is, again, something I wiU put off for che moment. Heref I sim
ply wish ro point out Zhuangzi's objea of cricicism.
As we saw in che previous chapter! this critique of ricual specialists was a
common theme in the fourth century b c . The T^Iciyc/* for example, argued
againsr rhe concept of the relationships beeween humans and spirics held by
rhe ricual specialists of che day and claimed chac humans had more direct ac
cess co divine powers chan was accepted in contemporaiy ritual practices. As
we shall see, Zhuangzi, while borrowing a great deal of vocabulary from
these texts, also opposed many assertions of human access co divine power.
1. 2^buangzi, HarvardYenching Sinological Index Series, ao/7/15-16; hereinafter cited in
1he rexc. My tranibrioni of the Zhuangd have been aided greatly by chose of Burton Watson
aiul A. C. Graham.
i. Portion! of thit lection on Zhtungzi arc uken from my *Nothing Can Overcome
Heaven': Tlie Notion of Spirit in the Zhiianpitm

114

A C C B P T I N G T H E O R D E R OF H E A V E N

In
much of che power of Zhuangzis arguments comes from the degree
to which he both builds on and questions conccmporaiy views of cheimpli*
canons of gaining such powers. In this section, I look in detail at Zhuangzis
vision of diviniiy^how he defines itfvh}r he defines it in this
and how
ir compares with ocher definitions at che cime., This entails an analysis of
many of the anecdotes in which Zhuangzi discusses che notion of spirit
(shcn), as well as an examination of Zhuangzis cosmology.
Zhuangzi reserves the term M
spirit-manMfor some of che inures he most
admires.. Liezii a figure, as we saw above, charaaerized in chc Zhuangzi as an
lice in self-culcivacion, fiuls co measure up:
apprenci
Liezi rode che wind with greac skill. He only returned after fifteen days. He brought
good fortune, bac not in great amounts. And although he avoided walking, he still
had that on which he depended. As for he who ascends the correctness of Heaven
and Earch and rides che give^and-cake of che six qi in order to wander without
limit_ what does he depend on? Thus I say: che perfect man has no self* che spiritman (shen ren) has no merit, che sagely min has no fiune. (2/1/19-22)
Liezi s failure lies in his dependence. The perfea manche sage, rhe spiritman, in contrast, do not rely on [hing^, do not depend on chings, and wander withouc limic.
Zhuangzi elaborates che argumenr in a dialogue between Liin Shu
and Jian Wu. A disbelieving Jian Wu begins by quoting the words of a cerrainjic Yu:
He said NOa the distant Gushe Mountain there lives a apiric^man (shen ren)t His
flesh is like ice and snow, and he is modesr as 2 virgin. He does noc eac che five
grains but sucks in che wind and drinks che dew, ascends the vaporous qi, rides che
(l)ring dragons, and wanders beyond che four seas. When his spirit is concencraced.
he makes things free from flaws and makes che harvests ripen." (2/1/28-30)
In addition ro being free 2nd unbounded, che spiric-m^n can, by concentrate
ing his spirit, influence che natural world as welL This potency, however,
does noc consisc of an ability co prognosticateche power possessed by the
spirit specialist from Zheng. Instead, che spirit-man can cause things (wm) co
be perfect and plendfuL By concencracing his spine, che spirit-nun can make
rhing^ flourish as they^ naturally oughc, free from harm.
Lian Shu supports Jie Yus words and builds on his claims:

A C C E P T I N G T H E O R D E R OF H E A V E N

125

As for chis man, noching can harm him. Great floods can reach Heaven, but he
will not drown; greac droughts can melt metal and scone and scorch che earth
and mountains, buc he will not burn. . , . Why would he worry about chingis?
(2/1/32-34)
Spirit-m en are not dependent since they are not controlled by, nor do they
bocher themselves with, chings ( w u ) t As Z huangzi elsewhere states: one
should be M
able to overcome things and not be injured by chenT (

; u / 7 / 33)*

A nother anecdote makes the point even m ore forcefully:

Wang Ni said: "The perfecr man is divine (shen)i If the great swimps carch (ire, he
cannot be buraed. If che Yellow and Han Rivers freeze, he cannoc be made cold. If
swift lightning strikes mouncains and che gale winds shake the sea he cannor be
(nghcened. A man such as chis rides die vaporous qi, mouncs che sun and moon, and
wanders beyond che four seas. Dearh and life do noc alter himhow much less che
principles of benefit and harm f (6/2/71-73)
N atural phenom ena things have no efl&ct on the perfect man. Moreover,
he is noc contained b y any boundaries: neither the (bur seas nor even death
itself constrain him. W hereas the spirit specialist Ji Xian possessed knowl
edge o f life and death, Zhuangzi claims chat he who is divine is unofFcctcd
by life and death. T h e divine do nor possess special knowledge oft nor power
oven chings; instead! they are simply unaffected by things. T h e distinction
will prove co be crucial.
T h e point comes out clearly in a quotation attributed co Confucius:
Do not listen wich your ears buc listen with your heart; do noc listen wich your hearc
buc listen with qi, . . To refrain from leaving cracks is eas^; to nor walk on che
ground is difficult. When acting for the sake of man, it is easy co deceivewhen act
ing for che sake of Heaven ic is difficult co deceive. You have heard of using wings co
fly; you have never heard of flying withouc using wings. You have heard of using
knowing co knowy o u have noc heard of using noc knowing co know.. . . Allow your
ears and eyes co penetrate on the inside, and place che understanding of che mind on
rhe outside. Ghoscs and spirits will come to dwell, noc co mention che human. This
is che transformation of che myriad things. (9/4/27-33)
T he general perspective o f chis passage is che same as those quoced above:
rhe sage can walk w ithout depending on che ground; he can Qyr w ithout de
pending on wing?. By culcivadng q if che text argues, one can reach a point ar
which g h o su and spirics dwell within one.

U6

A C C E P T I N G T H B O R D B R OF H E A V E N

This terminology of spirits coming to dwell {she

within the adept
fall* co mind chc ^Neiye" cbapcer of che Guanzi. Indeed, one passage in the
"Neiyc* is quite simikr to this passage (irom the Zhiungzi: "There is a spiric
chat of itself resides wichin che body, at times leaving, at times entering. No
one is able co contemplate ic. If you lose ic, there will be disorder; if you ob^
tain ic there will be order. Carefully clean its rescing place, and che essence
will of ics own enter.**4Through self-culcivacion, one can bring spines (shen)
and essence (jing) co dwell (she) wichin oneself.s
Although che Zhuangzi 2nd "Neiye" use similar cerminologyt che goals of
the two tern are radically difierenc. In the TJeiye/ the goal of the superior
man is to unify and control things (shi wu ^J) and, indeed, ro gain power
over chem. The adept uses selfculrivacion through qi co make all under
Heaven submit, nuke the myriad rhings reside within, and gain an under*
standing of auspiciousness and inauspiciousness without resorting to divina^
cion. In che Zhuangzi, chc spirir-man allows things co be as they narurally
ought.
The argument of che "Neiye/' then, is char by relying on one cm attain
[>wers co conr
icrol phenomena and foretell che future that spirit special
ises can achieve only through magical arrs. Whereas a spiric specialise has co
resort to divination ro undersund auspiciousncss and inauspiciousness, (he
adept in che
can do so through fi. Bur che end result is the same:
both chc spiric specialist and che practitioner described in che ^Nciye" arc
seeking knowledge about things (wu) and hence power over them. This
point is underlined byr che (act char chc terms used in the
co describe
che adepc are similar ro those used by Zhuangzi co describe die spiric spe*
dalist from Zheng: both the spiric specialist from Zheng and che adept in
che M
NeiyeMcan become M
like a spirit** (ri4
and can undersraiul
auspiciousness and inauspiciousness.
Thus, although the Zhuanga uses terminology similar co thac (bund in
the self^culcivarion liceracure, it is in fact ofiering a gnosis differenr boch
from clut claimed by che spiric specialises and from dur described in chc
self*culrivadon literanire* Indeed, the passage quoted above concerning pirics coming co dwell closed noc with a discussion of chc spiric*man s control
4. GiMfici. ^Nciyer i6.)a-b.
5. See alco che Gunti, "Xinshu, 1 jT U.ib: "If one emptier onc
deiirej,he iplrit will
enter and dwell ( _ ).If in clearing onc Joes n
t cleanac
ipirtt
will leave"

A C C E P T I N G T H B O R D B R OP H B VB N

U7

over che myriad things but with a reference co the cransfbraucion of the
myriad things But whac precisely does chis mean? And if che gnosis oflfi^ed
by Zhuangzi is superior co chat in which one gains the powm of prognosci*
cadon held by spirits, chen whac precisely does it involve?
To answer these questions, let us cum co an anecdote chat explicidy dis*
cusses the proper rekrionship of humans co the difFerendaced world of
things (wu). The anecdoce concerns cwo figures, Zi Si and Zi Yoil The lac*
ter is being re&shioned by the Fashioner of Thing? (z
and it queried by Zi Si as co his feelings about chis:
T h e Fashioner of Things is making me all rolled up like chis." Zi Si said^Do you
detest chisf" Zi You replied: ''No how could I detest it? . . . One obtains life ac the
proper dme; one loses it when it is fitting. If you are coaccnr with the time# and if
you dwdl in what is fining then anger and joy will be unable to emer you. This is
whac of old was called *uncyring the bonds.' If )rou are unable co untie them yoursdf,
chcn you will be bound by chings. Buc chinp cannot ulcimaceiy overcome Heaven.
Whar ii there for me co dcccsc?w (17/6/49-53)

The concern here for those who are bound by chings is in some ways similar
to that seen in the Weiye** for chose who ire controlled by things. Buc the
thrust of the argumenr is in many ways rhe opposite. The goal of culcivadon
oorie one
is noc co learn to conrrol chings but to liberate oneself (literally
self* ri by no longer focusing on things Things, Zi You assures us,
can never overcome Heaven (sheng tian): aU things are inevicably cranstbrmed
tnro ocher things. To bind oneself to any one thing (including ones human
form) is co commit oneself co cycles of joy and sorrow
only by complying
with this ceaseless transformative process can one avoid resencmenc.
Unlike the
which is concerned wich nuking all under Heaven
submit, che Zhuangzi calls on one to side with ceaseless transformation itself
and co accept the flux of the world And whereas the "Nciyc19teaches one to
understand good and bid fortune, the Zhuangzi teaches one co accept these
as face:
Life and death are faced (mmj). Tlut they have (he regpJariryr of Akj and night is ^
matter of Heaven. As for chat wich which nun cannoc inrerfereFchey all belong co
the cisemial qualities of chings. They only cake Heaven as chdr uher and yet we
still love (hem. How much more that which surpasses them! (16/6/20-22)

Heaven governs the ceaseless cransformarion of things! including human life,

and accordingly* we should acquiesce in Heaven s decrees.

U8

A C C E P T I N G T H E O R D E R OF H B A V B N

The argument continues. If one hides ones possessions (for examplea

boat), they may still be stolen. But if one hides all under Heaven in all under
Heaveni then nothing will ever be lost (16/6/25-26). In other words, if ones
view includes everything, chen nothing can disappear. The same point holds
for the human form: he who embraces che transformations of everything
will not mourn the loss of his form at death (16/6/26-27). Accordingly* the
author concludes,
Therefore che sage will roam where things cannot be hidden and where all exist. He
cakes pleasure in dying young, he takes pleasure in old age* H e takes pleasure in be
ginnings, he takes pleasure in ends. If men cake him as a model, how much more
chat co which che myriad things are tied and char co which each single cransformacion depends. ( i6/6/27-29)6

In che cosmology of che Zhuangzit all things (wa) are tied to Heaven, and
all rhings ceaselessly transform. The goal of che adept is not co control
thingsan act chac would be portrayed within this cosmology as an attempt
co overcome Heaven. One muse, rather, cake pleasure in che ceaseless cransformations of the universeamong chem, ones own life and death. Instead
of accempcing co overcome Heaven, one should glory in che transformations
of Heaven. The goal, as Zhuangzi puts it elsewhere^ is co M
use ro che ucmosr
what one receives from Heaven"( ; 2
/7/3a).
And within this cosmology spirit, too, is associated noc with control but
rather with properly following chat which one is given from Heaven:
When Gongwen Xuan saw che Commander of che Right, he was alarmed and said:
"What sore of man is this? Why is he so smalls Is chis due co Heaven or manr The
Commander replied, "It is due co Heaven, not man. When Heaven generates some^
rhing, ic mikes ic unique. Mans appearance is something given co him. This is how I
know ic is from Heaven#noc man. A swamp pheasant walks ten paces for one peck
and a hundred paces For one drink. But ic does nor seek ro be nourished in 2 cage. Its
spirit, even if created as a king, would noc be happ^.H (8/3/12-14)

The moral of che anecdote is chic we muse accept what Heaven has given*
The spirit of che pheasant cannot be content unless ic does what che bird is
supposed to doeven if what ic is supposed co do seems absurd, and even if
che caged pec would receive royal creacmenc. The contencmenc of rhe spirit,
then, depends on an acceptance of the order of Heaven.

6. Cf. Wacflon, Chuang Ttu, p. 77; and Graham, Chuan^ Tzm, p. S6.

A C C E P T I N G T H B O R D B R OP H B A V B N

129

At first glance, this stance might appear to be 2c odds wich muiy of the
surements quoted earlier chat stressed a lack of dependency and liberation:
the spirit-men roam freely#no longer depend on tilings, are no longer bound
by thingsthey are, in (slcz, unded. In these passages, however, the stress is
on acceprance: jusc as the spirit of the pheasant can be concent only if it docs
what it is supposed to do so must we learn to accept whac Heaven has or*
dained for us.
For Zhuangzi, however, these two seemingly contradictory seances are in
face flip sides of die same coin: the liberation that arises from no longer be^
mg dependent on things irises from accepting the order of Heaven his is
what is behind the scacemenr quoted above that norhing can overcome
Heaven (sheng tian). To be dependent on che world of things is, for Zhuangzi, to attempt to overcome the order of Heaven his is as true of someone
who hoards things as ic is of chose who rry to control things through gaining
supernatural powerswhether such powers are gained through rhe mastety
of magic or through che culcivadon of qi. Zhuangzi is indeed calling on the
spirit co become untied, buc for Zhuangzi che uncied spirit follows che order
of che world. He wants che pheasant to be uncaged, bur, Zhuangzi would
emphasize, only so chac it may^ walk ten paces for one peck and a hundred
paces for one drink. The spirit untied will naturally do whar ic naturally
ought.
This liberated spirits relarionship to che order of Heaven is seen perhaps,
most forcefully in che famous Cook Ding anecdote. A certain Lord Wenhui
comments on che tremendous skills of M>k Ding in butchering, and Ding
responds:
I am fond of che W ^ y , which advances beyond skill. When I first started carving
oxen, I could only see che ox. After three years, I never saw che whole ox. Nowadays^
I follow along using my spirit, and I don't use my eyes co look ac all. My senses and
knowledge have stopped, but my divine desires move along. I accord with che Heav
enly pacrems. (7/3/5-^)

Cook Dings greatness lies in che fact chac he uses his spirit, not hi5 eyres. By
allowing the divine desires (shen yu) to go where they wish. Cook Ding 2ccords with the Heavenly patterns ( ) / Following the Way, ac
cording with the Heavenly patterns, means^ in tht case of a butcher, an abil-7
7. For an excdlenc diicusiion of chii passage^ lee Cook, "Zhuang Zi and Hit Carving of
the Confiiclin Ox.M

13

A C C B P T I N G T H E O R D B R OF H B A V B N

icy to move flawles&ly through the natural divisions in the carcass. It does
not, in ocher words, involve anjr form of Transcendence, nor does it involve
concrol over things. Following the desires of the spirit means following the
patterns of Heaven.
We are now in a position co understand Zhuangzis criticisms of ritual
specialists. In both che anecdotes quoted at the beginning of this sccrion, ric*
ual specialists are singled our for (ailing co support rhe proper order of
Heaven. In rhe second anecdote, they prevent things from kving our cheir
years given by Heaven ( ) in contrast to the spirit-man, who
wishes them co live out chcir allocred span. The criterion for valuation is. in
ocher words, ones acceptance of die order of Heaven.
A similar argument underlies che anecdote about Liezi and die spirit spe*
cialisc from Zheng. In che next pan of the anecdote, Liezi cells his mascer,
Huzl about die great spirit specialise Ji Xian. Huzi has Liezi invite chc spirit
specialist over co use his skills in physiognomy co predict Huzi's (arc.
On four separate occasions, Huzi presents a ciifFcrent (ace to him; each is
meant to signify an ever deeper stage of self*culcivarion. The first rime, Huzi
shows him chc patterns of earth (%
which Ji Xian misinccrprccs as
meaning chac Huzi will soon die. Next Huzi shows him Tleavenly, fertil
ized ground*4
which Ji Xian misundersunds as signifying char Huzi
is revivifying. Then Huzi presents Kim with the ^grear void chat none
can overcome* ( ) which Huzi achieves by 211|68 the im
pulses of the
The spiric ftpecialist cannot interpret this at alL
Finally, Huzi presents himself as "not yet having emerged from ones anccs*
tor- ( ) and Ji Xian flees (10/7/25-19).
The spirir specialise, whose art is concerned only with attaining knowl
edge over life and death, faik before Huzi. Noc only is Ji Xian unable co
foretell che life and death of Huzi, bur Huzi through culcivacion of his qit is
able co reach a state in which he is noc bound by^ things, in which che very
concerns of life and death become irrelevant. In this stare, Huzi can reach
back co che point before things were differenciaced symbolized here as chc
void char cannot be overcome and che scace prior co chc gcneracion of things
The term for "overcome" is again shengdie same word used in the dictum
chat things cannot overcome Heaven. Once again, for Zhuangzi che culcivaced figure is one who gains access co che state chac nothing can overcome.
This same poinr rmy explain che differences beeween Zhuangzi and che
authors of a eexe like che "Neiye/ Jusc as Zhuangzi opposes any attempt to

A C C E P T I N G T H B O R D B R OF H B A V B N

*3>

become mired in things, so would he oppose any attempt co transcend the

human form, become like a spirir, and gain control over things: he wanes
man neither co lose s^ht of Heaven nor ro transcend himself and become
like Heaven. If one is a human, then one should remain a human undl the
rime ordained by Heaven occurs and one is mnsfbrmed inro somechtng
else/ In ocher words, for Zhuangzi the sage docs nor actempr co rranscend
Humanity: "When neither Heaven nor man overcomes the ocherthis is
called the True Man** ( H Y 16/6/20). Here the call on man noc to attempt to
overcome Heaven (sheng tian) is linked with the concurrenr concern char
man hould ilso nor be overcome by Heavenwhich is ro say^i man should
not crivc to reject bis humanity 2nd simply become Heaven.
This framework also explains the hmous anecdoce at the end of chapter
Zhuangzi calls on cnan to do wichou his dispositions
)10and thus
to prevent right and wrong** (sfci/ri from entering. The person who
can do this will be able ro perfect his Heaven (cheng qi tian
^ ^ ).
Zhuangzi then has Huizi quesrion rhe meaning of this seance: wHow can a
nun who does without his dispositions still be cdled a man

; :4/5/54-56). Zhuangzi responds in fall:

Distinguishing "righc" and "wrong" is wlur I mean by the dispositions. What I mean
by being without dispositions is chai man should noc allow likes and dislikes co en
ter and thus Hann himsdf. He should always accord with the spontaneous and noc
add co life. (15/5/57-5S)

Huizi then asks him what adding to life means, 2nd Zhuangzi responds:
The Way gave us appearance^ and Heaven gave us fornu Do noc use likes and Jis.
likes co encer 2nd harm the self. Now, yrou are putting your spirir on the oucside*
and wearing out your essence. (15/5/58-59)
The call here is for man ro accepr chac which is given co Kim and not co
add co life by cicegorizing things according co humanly constructed disdne*
cions of right and wrong. Those who do so harm the self and thus prevent
themselves from living out their allocied lifespan. Instead, one must accord
> For j careful discussion of che relinom betwego Heaven anil man in the Zhuangci see
Gralun^s "Introduction* 10 idem.
pp. 15-19.
For an cxcelleiu discussion of (his passap. see Graham* "The Background of rhe Men*
cUn Theory of Human Nature,- pp. 61-6j.
( For the rMni behind m y traniUcion of ^ing at "diapositions/ see my ^Ethics of Rtipondliig Propcrlyi The Nodon of Qin^ in Barly Chinese Thoughc."

ACCEPTING T H

O R D B R OF H B A V E N

with che sponcancous, keep ones spirit incemalized and not wear out
ones essence. Here again, then, che nodon of spirit is conneaed with the
proper use of chat which was given by Heaven and wich che sponcaneous
way. Gnosis is not a matter of cransccnding the human but of concinuing
and perfecting che Heaven wirhin mana concimiacion chat requires us to
scop imposing distinctions on things and to cultivate that wich which we
were endowed.
By now it should be clear chat we ire to read che term M
spiric-manMliter*
illy. Zhuangzi is nor calling on humans co become spirits; he is calling on
humans to cease being dependenc on artificial irtempes eicher ro reify things
or co categorize them according to iroficial standards. A spirit*man is not a
man who becomes a spirit but a man who fully cultivates his spiric and thus
wanders free from things while allowing cfainp (including his own human
(orm) ro fulfill rheir nacural endowment.
For Zhuangzi, then, the ulcinute goals arc noc to be depcnden on things
nor co control things, noc co transcend the human form. He chus opposes
che arcempcs eicher co impose artificial discincdons on things or co become a
spiric and gain control over things. For Zhuangzi* both of these would be a
failure co maintain che proper reUcionship wich Heaven. It is wrong to be
bound co ching^, and it is wrong co attempt co transcend die humanfor
Zhuangzi, becoming bound and overreaching are related Jusc as Zhuangzi
portrays unloosening and accepting the order of things 2s che same rhings, so
he sees posscssiveness and hubris as linked as well.
We often associate Zhuan^si wich liberation, wich a denial of boundaries,
wich 2 call for humanity co become uncaged And. indeed, all these images
do appear reguUrly in che text. Zhuangzi is d<arly concerned chac most hu*
mans spend cheir lives dependent on ching^i foolishly clinging to life and
possessions. Bur, as we have seen, this concern wich not being dependent on
or bound by things, with becoming untied, with wandering beyond anjr
botindary#is tncimacely and directly ded ro a cosmological cUim: the liber*
aced spirit accords wich Heavenly pttems, helps things be as rhey naturally
ought co bct and allows things co fulfill cheir Heaven^given allotment. As
Zhuangzi repeatedly argues, we cannot overcome Heaven we muse accepc
fiice, and we muse accord with che order of Heaven.
Through this axpimenc, Zhuangzi is able both co call on man to cultivate
himself and co strive co peifecc his spirit and che Heaven within him and to
undercut man^ of che claims being made at the rime concerning chc ability of

ACCBPTIN G T H

O R D R OP HB AV BN

133

man to gain the powers of spiritswhether chroi^k magic or culdvadon of

che qi. Zhuangzi is arguing agiinsc any attempt to gain knowledge or control
over che universe; instead he calls on the spirir-man ro cake pleasure in the
patterns of Heaven.
Concraiy to die gieneral perception, then, Zhuangzi is strongly commit
ted to rhe nodon char there are pix>per panerns in che natural world char a
culcivaced person inherently fellows. This is a point, I chink, chat has been
missed by chose who portray Zhuangzi as a rekcivisc. For example^ Robert
Eno has argued chat Zhuangzi is calling on nun co engage in skill-based acdvides chat lead co a state of spiritual spontaneity. And, according co this
reading, any skill-based activity would work: NDao-pracdccs can be adapted
co 2ny end: che dao of butchering people might provide much che same spiri*
cual spontaneity as che dao of butchering oxenas many a samurai might
cesrifyMUI would argue, on xht contrary, that Zhuangzi is asserting chat che
culdvared human spiric acts in certain wi)rs rather chan others. He does so
not by asserting chac particular activities are ethically better than others but
by making a cosmological claim: the truly human person will inherencty be
have in certain ways rather chan in ocher ways. Just as che pheasant, if it is
allowed co do as Heaven means ic co do, will walk ten paces &>r one peck and
a hundred paces (or one drink so will a human, if he uses his endowment
properly act in conformicy with che Heavenly panerns as welL In this sense,
Zhuangzi is not a reladvisc; he is, on chc contnnyf a cosmologisc with a
strong commicmenc co a ceruin view of che proper place of humanicyr in che
Zhuangzi's calls for liberation can thus be read as involving a careful re
definition of notions current at the rimespiric, Heaven, and manco ar*
gue for a particular cjrpe of gnosisa gnosis involving 2 breaking of bounda
ries and yet, at che same rime, an acceptance of the patterns of Heaven. For
Zhuangzi liberation involves a proper and spontaneous acceptance of A t
order of chc world. An)rching else is an arccmpc to overcome Heavena
project doomed co &ilure.

1. Eno. *Cook Dings Dao and the Limits of Philosophy.* p. 14^ For another argument
that Zhuangzi Ua rdanviic, sec Hansen, *A Tao of Tao in Chuang-czu.*
11. My concluaiom are thui brgely in line with those of Philip J. Ivanhoe, even though our
respective concluiloiu were achieved chrough different routei: tee hit "Wm Zhutngzi a Rda>

134

A C C E P T I N G T H B O R D B R OF H B A V B N

The Resignation of the Sage to the Order of

Heaven: The Cosmology of the Mencius
Like Zhuangzl Mencius calls on humans to accept die order of Heaven.11
Indeed, as he bluntly suces: Tie who accords with Heaven is preserved; he
who opposes Heaven is destroyed" (4 A/7 ) Submission to rfae order of
Heaven is for Mencius a crucial element al
f^ die padi to sa^hoo<L Indeed
Mencius ac times argues that ctildvacing oneself is precisely the means by
which one fulfills ones duty ro Heaven. Preserving and nourishing the mind
and future endowed on us by Heaven are how one serves Heaven, and
icnowing ones nature is how one knows Heaven. And#as widi Zhuangzii a
crucial part of dm acceptance of che order of Heaven is chat one accepts
whatever Heaven ordains, without concern for living long or dydng young:
Mencius said: MHe who has fully used his mind knows his nature. If he knows his
nature, he knows Heaven. Preserving his mind and nourishing his nature are the
ways that he serves Heaven. D^ing young and living long are noc cwo discina things.
He cultivates himself so as co await whac is to come. This is che means bjr which he
establishes his destiny
(7A/1)

One establishes one*s destiny by culcivacing oneself and accepting whatever

Heaven mandates.
Like Zhaangzi, Mencius accepts much of che vocabulary of che day for
the potentially divine powers of humans. Indeed, several passages from the
Mendus arc reminiscent of the wNeiyeMIn describing his flood-like qi, for
aample, Mencius scares: "If one culdvates it wich scraigfamcss and docs noc
harm ic( it wiQ fill cbt spice between Heaven and Earth" (Wa). Elsewhere,
he argues chat such a cultivacion allows one co encompass all things: T he
myriad chings arc complete in me" (7^4)- Because of these great powers, he
who culdvates himself can transform che people and unite Heaven and
Mendus said, -If there is a hegemon, the people are happy. If there is a king, the
people are contented. They do aoc become resentful if people are puc co deach, nor
do they become lazy1314if they gain profits. The people arc daily moved coward rhe
good, buc chey do noc know whac nukes ic so. Now, where z gend^man passes, he
13. Porcioni o f
hi* section arc taken firom my Tollowing the Comnunds of Heive The
Notion of Ming in Early China.**

14. Reading for _

A C C E P T I N G T H E O R D 8 R OP H B A V B N

U5

transforms; where he resides, he is divine {jhen). Above and below! Heaven and
Barth flow rogecher. How cm it be said chat he is but a imall addidonr (7A/13)

Indeed, Mencius even goes so (ar as co define reaching a state of divinity

(shert) as being above sagehood itself;
Hiotheng Buhai asked, "What kind of a person is Yuezhengzir Mencius laid, *A

gpod man, a tnucworthy man.* ^Whac do you mean by #good* and rrujcworth^r
Mencius responded. "If one can desire ic. one can be called 'good.' If one has it
widiin oneself, one can be called 'cruscworthy/ If one ii filled with it and embodies k,
one can be called 'beaunful.1If one is filled with it. embodies it and also has radiant
brilliance, one can be called 'great.' If one is peat and can transform it, one can be
called sage.' If one is a sage buc cannoc be understood, one can be called spirtt/ Yuezhengzi is in the first two of chese, bu is las d u n he lasc four.1* (?B/a$)

Despite the similarities with texts like the

the ulcimace goals are
quite difSercnt. The ^Neiye** taughc how to g2in the powers of piriu
powers to understand fortune and misfortune and powers co control
thingsbut Mencius is concerned with a different set of issues. Like
Zhuangzi, he wants co define sagehood as meaning an acceptance of the or
der of Heaven.
Like Zhuangzi then, Mencius is tying cogechtr two seemingly disparate
bodies of choughc: an emphasis on accepcing the order of Heaven and sup*
port for the divine powers of hununs. With Zhuangzi* these two are joined
by claiming due chc ulrimace spiric will simply and spontaneously enact
what Heaven ordained: che spirir spontaneously followsand aidsthe
movement of Heaven. Thus, cultivadng ones spiric and accepting che order
of Heaven are for Zhtungzi one and che same thing. For Mencius, however,
there is a porendal tension hcre^ In this respect, Mencius is building on Con
iucius.
Like Confudus, Mencius holds that Heaven is the source of the moral
paertms due humans should follow. Because of his inrercsr in placing divine
powers within humans, however, Mencius argues rhac these paccems arc ob
tainable not because the ancienr sages modeled themselves on Heaven but
because Heaven has rooted them in man himself. Heaven has granted hu
mans a nature chat, if cultivated properly* allows diem co become fully moral:
"The nature of the superior man is humaneness^ propriety, ricuaL and
knowledge. They arc rooted in his mind- (7A/21). Heaven has given all hu
mans che porenrial for sagehood. Buc such a commitment means chat che
tention implicit in (he Ijmyu (diacusied in chc previous chapter) becomes all

136

A C C E P T I N G T H B O R D B R OP H B A V B N

die more significant. If all humans have within themselves che pocencial co
become a
and if Heaven, not man#decides whether order v^rill prevail^
then the potential conflict between Heaven and man deepens.
Humans have within themselves both che potencul co become fully moral
and che poccndal co become spirits 2nd bring order to che world. Bur, as
with Confucius, che question of whecher order will in Eict prevail is decided
by Heaven, not man. And man must accepc what Heaven ordains. To quoce
che full passage in which che scaremenc that opens this secdoiv appears:
Mencius said,
all under Heaven has che wayf chose of small virtue serve those of
great vircue. and che less worthy serve che ^rcarly worthy. If all under Heaven lacks
che Way, che small serve the big, and the weak serve che strong. These cwo are due
co Heavea He who accords with Heaven is preserved; he who opposes Heaven it

destroyed^ (4A / 7)

Unlike Zhuangzi, Mencius does make moral judgments on historical peri

ods, and he makes ir quite clear chac according with Heaven means, ac dmes,
accepting a state of aHairs chat runs counter to the normative wzy_ a wajr
chac Heaven itself has given man che potential co bring about.
Buc what happens in such an event? Muse humans simply resign them*
selves co a lack of order if such are che wishes of Heaven? This is a diEkult
qucscion for Mencius co answer. The ultimate answer, of course, is chat one
must indeed accepr che order chat Heaven ordains. Bur for Mencius this
muse not imply simple resignation. he argues:
Mencius said, "Everything is mandated
One accords with what ts correa.
Therefore, one who imdemands what is mandated does nor scand beneath a filing
wall One who dies after fulfilling his wayr has correaed his desdny
Dying in
fetters is not a correct desdny.M(7A/2)

Everyching is mandacedf bur this should not lead ro shirking: che concern
should, rather, be to correct ones destiny by crying co fulfill ones way.
Buc chis stance opens several questions. Zhuangzi teaches diar liberation
involves an acceptance of che order of Heaven. Mendus also argues chac one
must accept che order of Heaven, buc (or him chis is not a matter of libera*
tion. Although sages must submit co what Heaven ordains, the path to
sagehood does noc resc on submission. Indeed, Mencius' formulations seem
co imply chac whatever is co come is noc necessarily rightbur one mutt
accepc it.

A C C B P T I N O T H f i O R D B R OP H B A V B N

*37

This pocencul conflicrunchinluble from the point of view of

Zhuangziplays out (brcefiilty in numerous places in Mencius' work. One
obvious problem^ given Mcndus* political theology, is the issue of beredicary
monarchy. If everyone has che potential to becomes
then why is it no
the case chat, ac any given time, the most culdvaced person in the realm is
the kingf Indeed, for Mencius, most of the greacesc sages since the incroduc*
cion of hereditary monarchy have nor been kingsYi Yin#the Duke of Zhou,
Confucius, and, perhaps, Mencius himself. Is hereditary monarchy therefore
in opposition to che order of Heaven^
On the contrary. Mcndus is committed to claiming char Heaven icaelf es
tablished the custom:
Wan Zhang asked: "Some people say chac when it came to che dtne of Yu# power
(di) declined. He did nor give power to the worthy but instead gave ic ro his son. It
this correal Mencius said, "No. tc is nor so. If Heaven had ghren it to a worthy,
chen ic would have been given to a worthy. Since Heaven gave ic co che son ic was
given to the $on.M(5A/6)

Mencius recounts che history of rhe succession of Yaof Shun, and Yu and
poincs out that, in each case, the worthy man worked with che ruler for sev
eral years, and the people grew to trust him. But this was not true of Yus
minister Yi, whom che people did not know well Moreover, Qu the son of
Yu# was worthy, whereas che sons of Yao and Shun were noc. All of this,
according co Mencius, was mandated fran Heaven and thus was nor due
to Yu:
All this wai due co Heaven. Ic is nor something chac man could have done. If no one
does it and yet it is done then it is Heaven. If no one brings something about (zfci
S and yet ic is brought about, ic is mandated (ffting). (5A/6)

According co Mencius, chereafcer hereditary monarchy^ became che norm:

che kingship was always handed down co che son. Only if a ruler were cruly
horribleas with Jie and Zhouwas che transmission from &ther co son
intcrruptccL Ocharwise, Heaven would not scop the succession. For Men,
cius, this explains why Yi Yi Yin, a n d he Duke of Zhou could never be
kings: chctr rulers were acceptableeven if noc as sagely as Yi#Yi Yin* and
the Duke of Zhou chemselves.
Buc Mencius* argumenr beg^ che question. This mzy explain why Yu

13

A C C E P T I N G T H B O R D E R OP H E A V E N

Wan Zhang's query: even if Qi was a bcctcr prospective ruler than Yi, it
hardly foUows that heredicary monarchy is in general a good thing. And
since Heaven chose the rulers, Heaven is responsible for the insdeution.
Why. if Yi, Yi Yin, and the Duke of Zhou were more worthy, did they not
become rulers? Or, co put the question more forcefully, why did Heaven or
dain heredicary monarchy co be die norm^ No answer co this is given. Of
note here is chac Mencius makes no attempt co claim chac heredicary monarchy is a moral insdeudon or evenlut Heaven had good practical reason to
mainuin it. For Mencius, all we can say is simply chat Heaven has mandated
ir, and we muse dierefbre accept it.
But what happens when the mandates of Heaven dearly conflict with the
ethical seance of die sage^ The most forceful and poignant example of rhis
occurs near the end of Mencius' career. Mencius spent several years traveling
from succ co succ, crying to convince one of the rulers ro listen co his advice.
He received a posidon ac the court of Qi, and, if che carrenr ttxt is co be be
lieved, had audiences with the king of Qi on several occasions. As several
commencacors hive noted, Mencius clearly perceived himself co be the Yi
Yin of his era: just as Yi Yin had counseled Tang on how to bring order co
the world and establish the Shang dynasty, so would Mencius advise the
ruler of Qi how ro bring order to die world and scare a new dynascy.1 How
ever, the king did not follow Mencius' advice. Mencius did not become che
nexe Yi Yin#and the world was not ordered. His life project in fulure. Men*
cius left the state of Qi:
When Mencius Idt Qi#Chong Yu asked him on chc way, "Master, you seem co look
displeased. A few da^s ago I heard you say char a gendeman does noc resoic Heaven
nor bear a grudge againsc men/" Mencius responded, T h a t was one rime; this i
another rime. Every five hundred years, ic muse be che case chac a king will arise. In
che interval there muse arise one from which an age takes its name. From che Zhou
until now, it has been more than seven hundred jrears. The mark has passed* and che
dme, if one examines is proper. Yer Heaven does noc yet wish to bring order to all
under Heaven. If Heaven wished to bring order to all under Heavecu who in the
present generation is there ocher than me? How could I be displeased?" (aB/tj)16

See. e.g.. Robert Enos discussion in 77^ Confiuiun Crt4tton ojHeaven, p. i 6 in6 o. The
rekvaiu patiagei on Yi Yin are Mcngti $A/7 and $B/i.
16. My rranslarion of this passage U lieavily indebted to ckut ofD. C Lau* Mentis p. 94.
M y undemanding of rhe meaning of tlie patuge hai been aided (remefidoufl)r by the iiulyiU

A C C E P T I N G T H B O R D B R OP H B A V B N

139

The scacemem to which Chong Yu refers was unered by Confucius. In

deed, the entire conversadon between Chong Yu and Mencius is comparable
cof and probably constructed wich reference to, che passage from rhe Lunyu
in which this qaotadon occurs:
The master said **Noone underscancU me."
2Kgong asked, wWhac does i mean co iiy no one undersrznds you^*
The mascer replied, "I do noc resenc Heaven nor bear a grudge against man. I
study here and reach to whac is above. Only Heaven understands roe." (14/35)

In general terms, the passage from rhe Menctus reveals a similar view, but
Mencius is dearly less accepting of the situarion.17
Mencius argues strongly for a cyclical order, in which a king arises every
five hundred years and in the inceival there is 2 sage. This is a normanve pat
tern in human history, and che moment for a sage to emerge ha arrived.
Mencius clearly feels chat he is chat sage. So why has Mendus#project ended
in fiuture? The only^ possible reason is chat Heaven does not wish for there to
be order. There is no moral or practical reason: in preventing order (rom
arising, Heaven is acting contrary to che normadve pattern of human history
and is blocking che path of a rrue sage This is a much stronger claim chan
anything in che Lunyu. Confucius believed thac Heaven was responsible for
chc state of che way and chat Heaven was destroying him by making Yan
Hui die young. Buc Confucius never implied char such acts stood in opposi
tion to a normative order. In concrasr, Mencius disdnguishes beeween whac
is r^ht and what Heaven actually does. Although che two should alwajrs ac
cord there are times, and Mencius dearly feels himself ro be living in such a
time, when (hey do not.
For Mencius, unlike Zhuangzi there is a potential tension between che
claims of Heaven ind chose of che sage. And yet, whac can one do^ For
Mencius che conclusion is dean if there is 2 disjunction between che normativt partems and che decisions of Heaven one must side wich Heaven In
Mencius' polirical theology, one must accept whac Heaven ordains and try to
do so without resentment.

in Lee Yearle^s "Toward a Typology of Rdipoui Thoug|i< * I discuss Ycarleys overall argu
ment concefning Menciui below.

17, I mu reading the passage ai revealing level of anpr 00 the part of Mendu . Por
aotnewhit different view# of rhe pajuge, aee Bloom, "Practicality and Spiricualicy in the Men*
ciuiNiind Ivaiihoe, mA Question of Faith/

A C C E P T I N G T H B O R D B R OF H B A V B N

The commands of Heaven, cherefore, do not necessarity agree w ithhe

normative order char Heaven itself has given man die pocendal co realize.
Sages have che potential co bring order co the world, but Heaven can, (or no
apparent reason, thwart such plaxueven though it was Heaven chat gave
humans this potential in cbe first place. This is noc co sajr chat Heaven is un*
ethical bur according co boch Confucius and Mencius, ethical action on cKe
part of humans is noc enough. Ic is noc che case chat che most echical person
will necessarily become a king or even the sage become a minister. The man
dates of Heaven are simpty beyond our understanding.
Although Confucianism is often poitray^ed as (undamcnulljr opdmiscic,
Mencius' argumenr is based on a veiy difierenr cosmology. Calling it "cragjc"
may be going too far, but Mencius dearty conceives a potential (or tension
between Heaven and man and advises us to siile with Heaven. Indeed, we
must side wich Heaven and do so without resentment, even if what Heaven
has decreed dearly contradicts che proper patterns.14
I cherefere strongly agree with Lee Yearley, who focuses anenrion on
whar he calls ^irresolvable buc revelatory and productive censions.** Wich
Mencius, Yearley finds M
at one pole che nocion of a human potential whose
realization depends on each individual s eHbrc; ar the other, che notion of a
sovereign power beyond man chac creates che potential but also seemi, in
some wa
ira to control and even firuscrare its completion in most or all men,19
Indeed, an probably cake Yearie/s insighc a seep fbrefaer. For Mencius,
it is noc just chat Heaven (rustrares the fulfillmenc of the potential rhac
Heaven itself gives; ac rimes, Heaven seems to work actively ro prevent ic.
The "Naturalism" of Zhuangzi and Mencius
In terms of che links between Heaven and humanicy, Zhuangzi is often por
craved as a purely naniraliscic thinker, and Mencius is usually associated
with che view that chc linkage between chem is moral In both cases, However,
cherc are strongly felt tensions between che divine aspects of humans and
the order of Heaven. This rension clearly concradiccs che scandard reading
of these two thinkers. Mencius and Zhuangzi are commonly cited as chc
prototypical "naniralistk1* chinkers of early China. Indecdf Mencius and

iB. For diffln'cnt readingi of these passages on mingt wtt SUngerUnd, "Tlie Concepcion of
Ming in Earty Confucian Thought"; and Ning HThc Concept of Fate in Menciui/
i9<Lee H. Yearlcy. Toward a Typology of Religioui Tltought/ p*4))>

A C C B P T IN G T H B ORD BR OF HB A V E N

141

Zhuangzi arc often presenced as rwin sides of naturalism: Mencius of the

view chat narure is moral and Zhuangzi of the view that it is amoraL For
those scholars like Frederick Mote who wish co aigue char early Chinese
thinkers assumed a manisdc cosmos, Mencius and Zhuangzi represent
proof of d u t cosmology.20
Those who wish, co die contrary! ro emphasize a cranscendencal break*
through argue char Zhuangzis and Mencius' emphasis on nacure provides
chem a basis co critique cheir world For example, Benjamin Schwartz fo
cuses on Zhuangzi's "affirmation of nature" and his use of that co critique
the ^analytical discriminaring consciousness of man." Such a critique marks
Zhuangzi (along with Laozi) as tfthe mosr radical expression of transcen
dence in China.**21 Mencius* according ro Schwartz, also roots values in
Heaven, but with the opposite implication: M
If wc contrast Mencius with his
concemporary, Zhuangzu we find here almost a defiant Confucian reply co
Zhuangzis view char die distinctly human consciousness . . . is precisely
whar alienaces him from che dao,mInstead, Schwartz argues, Mencius asserts
that "moral consciousness is the -transcendental instrument of human salvarion cbac unites man ro Heaven.** If humans properly use che M
transcen*
dencal 'heart within che heart"* chat Heaven has given chem, they "are able co
understand che world in which they live, to feel at one with ir and at one
with Heaven."22 For Schwartz* then, boch Zhuangzi and Mencius lake
naturalistic positions char emphasize che unity of man and Heaven, and in
boch cases this emphasis allows for a transcendental posidon. The only dif
ference between chem#for Schwaitz, lies in the
that Zhuangzi secs hu
man moral consciousness as injuring man s harmony with Heaven and Men*
cius Btes human moral consciousness as the basis for building char harmony.
Heiner Roecz, typically, takes this transcendental position one seep fur*
ther and sees Mencius and Zhuangzi as marking a new poinc in che progres
sive development of Chinese philosophy a development consisting of a
break from an earlier magical worldview and the positing of norms separate
20. Mote, for example, sees Mcnciiu and Zhuangzi as representing opposite poles of the
iiun^iucure continuumZhuan^a critkim man and valorizes naiure, and Mencius valonxes
nun and reads nature in temu of man. Thus. More charaaerizes Zhuangzi as projeaing che
"tdcali ofliviitg limply ui harmony with nature* and Mencius as seeing the "well-being of hu*
nuti aociery is die measure of Nature'i proper functioning" (InteOectual Foundations 0} GKn>m,
PP. 74 .
i. Schwiru Tranicendence in Ancient ChinA." p. 66.
Scltw m 71m WorU
m
p. 177.

*4

A C C B P T I N G T H B O R D B R OF H B A V B N

from conventions. Thus, he sets Zhuangzi's "nacuraiism" as providing a wcri*

dque of che given order." Bur, Roetz claims, since Zhuangzi rejects convendon altogether, his naturalism is ultimately M
a postconvendonal recourse co
che preconvencional pasc.. . . In the final analysis, it consnnices a regressive
evasion of dcvelopmtnc/11 Roetz.s reading of Zhuangzi is essentially the
same as Moce s 2nd Schwartz s; che difference lies in che expliddy evolutioniry framework Roetz employs co inreqmt ZhuanpTs namralism.
With Menciu5f however. Roetz provides an argument char deserves
closer scrucinjr. Most previous scholars, with che cxcepdon of L tt Yearley,
have read Mencius as assuming a linkage between humanicy and nature.
Roetz, consiscenr with his attempc co find in early China whar Weber
claimed existed only in che Wesc, secs Mencius' appeak co Heaven as an at*
tempt co define norms separate from che world of convendon
Whar is che role. rhen# within this ethics of conspicuously nonreligious seifculdvadon* of rhe no less scriking appeals co Heaven? That Mengzi clings co Heaven
ij no 'archaism/ as Hiiao Kung-chuan has called ic. The reason is because in doing
30 he can bring his ethics into a marked contrast with che realities of his time and
especially wich policies. Heaven becomes an embodiment of moral norms, on which
ic confers its distance from the world.2324
In short, Roerz Bnds in Mencius the very rension wich che world chat We
ber choughr was lacking in Confucianism:
Through the concept of Heaven* Men^d can draw an oncological separation be
tween che realm of the moral norms#among which humaneoess. as che 'most hon
ored of the ranks of Heaven/ holds the highest position, and the realm of che mun
dane authoridcs. Whar he formulaus is no less chan a counterpart of die occidental
teaching of the *two kingdonu/ Ic was this teaching which essendal])r contributed to
the very "tension with the world* chac Weber concrasccd wich che alleged Confiidan
readiness for adap cad D.a

If for Moce Mencius represents an arcempr co read faumaiucy into naturef

and if Schwartz reads Mencius as posidng a transcendental consciousness
char allows for a unicy of man* society, and naaire, Roecz reads Mencius as
conceivings for che first rime in Chinese history, a tension with che world

23. Roetx, Conftuian Eihict of the Axial

34. Ibid p. 196.
as. Ibid.

pp. 249*

^57-

A C C E P T I N G T H E O R D B R OF H B A V B N

*43

But Roecz is again too dependent on che Weberian paradigm. There is

indeed a srrong tension in Mencius, but its objea is very difFerenc (irom die
one Roecz wanes to read into che cradicion. Roecz, in a sense* has ic back
wards: die Tension in Mencius is nor with che world but with Heaven. Or,
more particularly^ ic is between Heaven and the divine poccncials of humans.
Mencius is noc arguing for a Weberian type of transcendence in which
Heaven is che source of ideals that conflia with che mundane happenings of
this world. The tension runs the ocher way: ic is Heaven that is poccncialljr in
conflia with che proper order of man (even if Heaven is che aldmate source
of chat porendal for order within man).
Although I disagree with Roetzs Weberian framework in general and hift
reading of Mencius in particular, his stress on rension rather chan harmony
in bis reading of Mencius is of interest. I would Miggesc chat perhaps one
reason M
cranscendenceNhas become so influential a term in early China srud*
its (beyond che actempt co argue chat early Chinese thought meecs one of
Webers standards of radonalicy) is precisely because k allows scholars,
while working within a generally Weberian frimework, co discuss tensions
chat clearly ire there in che texrs. For chose like Schwartz who wish co argue
that early Chinese thinkers did assume a harmoniouft cosmos, che nodon of
transcendence is a way of dealing with che tensions diejr find in early Chi^
nese choughttensions chat a purelyr Weberian emphasis on hannony
would rend co deny. In ocher words, che nodon of transcendence allows
scholars co avoid che dangers of reducriomsm chat would result from reading
early Ghinese thinkers as assuming harmonious cosmos I uspect, for ex*
ampk, that Schwartz s somewhat ungainly nodon of transcendence within
immanence (discussed in the Incroducdon) was intended co do prccisdyr this.
And for chose scholars like Roecz who wish co reject che notion of an immanendsc cosmology (at lease for certain Warring Suces chinkers), che
nodon of cranscendence allows them ro argue, in essence, chat che "tension
with che worldMfound by Weber in Procescancism existed in early China
as well
Buc#if we cum away from che Weberian framework and its emphasis on
harmonyr we can see these tensions in a difFerent and, I chink, more power*
fill way. I have irgued in chis chapter chat both Zhuangzi and Mencius
should be read in the context of che developing cbims concerning che pocencially divine capacities of humans and the potential conflicts between such
clainu and nodons of Heaven.

144

A C C E P T I N G T H E O R O B R OF H E A V B N

Mencius#like many thinkers of the fourth century b c , made srrong claims

that divine powers resided in humans, and for Mencius this meanr chac hu
mans have the potential to bring order co rhe world. Heaven, in contrast,
while being the source of those divine powers in humans, can potentiallyr
prevent the order that it has given humans chc power co create. The central
tension for Mencius, then, is char although Heaven is che ultimate source of
moral patterns, it can and does arbitrarily act in opposition to chose patterns.
And yec we muse accept what Heaven commands.
Zhuangzi also felt this tension, buc he resolved it in a very difFerenc way
Zhuangzi denied that Heaven is che source of moral norms and thus denied
that Heaven had co follow such norms. For Zhuangzi, moral norms are hu
man invenrions, with no basis whatsoever in Heaven. If Mencius saw such
moral judgments as deriving from Heaven, Zhuangzi saw chem as eiuireiy
due to man. Accordingly for Mencius, rhe agon of Heaven and man arises
because man nukes moral judgments on rhe world For Zhuangzi^ man
should accept whatever Heaven decrees; once men scop using moral norms
co criticize Heaven, there will be no agon.
Although both Mencius and Zhuangzi could be characterized as ' natu
ralistic,Minsofar as they both root values in Heaven, such a characterization
misses several crucial points. Both Mencius and Zhuangzi were inceresced
primarily in rhe divine porencials of humans, and part of what is so interest
ing about cheir difFerences lies in che ways thty attempeed to link such porencully divine powers of humans with a support for Heaven. In neither was
there an assumprion of condnuicy. On the contrary, boch asserted ac lease
partial continuity beeween the human 2nd che divine realms, and for both
this creates a pocencial problem with Heaven. Alchough borh responded co
this problem
supporting Heaven, che efFort che argument required was
tremendous.

Descendants of the one

Correlative Cosmology in the
Late Warring States

Let as return co the origin of the cosmos:

Heaven and Earth had a beginning. Heaven was subtle so as to complece, and Earth
blocked so as co give form. Heaven and Earth combining and harmonizing is the
greac alignment (j ) of generation ( )
In the cosmogony sketched in the ^Jingshcn** chapter of the Huainamithe
passage with which I opened chis bookspirits aligned (jing) the cosmos.2
This passage from the M
Youshin chapter of the Lushi chunqiu, a text that daces
ro around 240 dc, posies neither spirits nor Heaven as active agents in the
formation of the cosmos. Instead, Heaven and Earth simply emerge sponoi^
neously, and their maring, which gives birch ro the myriad ching$f is the
alignment of generation itself.
Cosmological arguments like these began appearing at about the same time
as the self^divinizicion movements described in Chapter 2. The^ ranged from
five-phase specularion co monthly ordinances co attempts to place culture
within cosmogonic schemaca. Like the self*divinization claims, such cosmo
logical frameworks were used co argue chat a sage can, through variously
defined processes of self-culcivarion, achieve the power co understand the
workings of the cosmos and thereby act correctly and gain control over them.
L(li cbnim**Toihir ij.u.
Sc C luptfr 7pp. 0 - 4. for demiled diiciuiion oftliii text.

146

D B S C B N D A N T S OP T H B O K B

The nature of early Chinese correlarive thought has been a topic of

lengthy discussion in borh anchropological and sinological studies. Marcel
Mauss and Emile Durkheim firsc proposed die unous diesis thac earljr
Chinese correlative chinking was based on "primidve classification" sjrscems.3
According co them, such spcems in China were mz highly typical case in
which collective thoi^Hc has worked in a reflective and learned wiy on
themes chac are clearly pnmidve."45This thesis clearly fits the recurrent ar
guments of sinoiogiscs thar China s s^nificance lies in the degree co which it
maintained (for berter or worse, depending on the criteria of che scholar in
question) links co a primitive, primordial penod of human history.
Although Marcel Granet did not develop Mauss s and Durkbdm's com*
paradvc claims, their sociological approach exercised an importanr influence
on Granet s analysis in La pensie chinoise, itself ebe single most influencial
work ever published on early Chinese cosmology. Largely because of Granets work, Chinese correlacive choughc has come co play an important role
in rhe anchropological study of cosmology. Claude Levi^Stmisss The Savage
Mind, a landmark study of primitive classification systems char superseded
Mausss and Duridieims earlier work on che subject, for example, relies
heavily on Granet.
In this chapter, I artempc co re-examine che origins and nanire of correla
tive chinking in early China. I begin surveying che secondary liceracure on
the topic, in particular anchropological studies of sacrifice and cosmology
and rhe wiys chat sinologists have boch contributed ro and worked from chis
iireracure. I chen trace che rise of correlarive choughc in che lace Warring
States period and argue for a somewhac difFerenr approach co using the ins^hts of anchropological studies of correlative sysrems.

The One and che Many: Secondaxy Scholarship on

Early Chinese Cosmology
The discussion of early Chinese cosmology has boch influenced and been in
fluenced by anthropological analyses. Indeed, much of the scholarship on
chis issue has developed as scholars positioned themselves in difFerenc ways
in relarion ro che work of Grinec or L^vi-Srrauss. L coo, will argue chac an

3. Durkheim and Mauss, Primitivt CUs$ifiation, pp. 67-80.

4. Ibid., p. 73.
5. Granci acknowlcdfet tlie debt in L i f t m i t <hin9 i$, pp.

D B S C B N D A N T S OP T H B O N

147

alcenurive reading of Graner and L^v^Scrauss might lead to a more success^

ful approach to chc problem of Chinese correbtive thought.
As discussed in the Incroducdon, A. C Graham criticizes Gnuiet
(or reading Warring States and Han correlative modeb as charaaeriscic of
Chinese choughc in general and argues instead chac correlative diougbc
is universal and exists in all forms of chinking save one*What Granec saw
as the difference becween Chinese and Western thought may nowadays
be seen as a cransculcura] difierence becween proco^science and modem
science.*16In making this argument, Graham presents himself as rejecting
Granet and Eivoring L6ri-Scrauss: "In exploring proco-scicndfic chinking it
has been usual to start from whac we find peculiar in pre^modcm views of
nature; here we have followed chc example of Levi^Scrauss (alchough not
(he deuil of his methods) in starting from che opposite direction^ from
structures common to pre-modem and modem chinking.4*7 For Graham#
lace Warring Scares and Han cosmological systems should be understood as
a particular, highlyr formalistic, example of an esscncuily human way of
chinking.
David Hall and Roger Ames position chemselves on the opposite side of
each of these claims. They strongly defend Graneifs argumenr chac correla^
tive chinking was a defining feature of Chinese choughc in genera^ and chey
reject Grahams ckim chat Granecs arguments appty onl^ to texts from che
lace Warring States and after. Hall and Ames trace Graham s M
rrorwto
Levi-Srrauss: L^vi-Scrauss, they claim, misread Marcel Graners arguments
abour correlative chinking^ and Graham unfomuuceljr based his reading on
L^vi*Srrauss
(Grahamappeals expliddy to the theory of corrdadvity devdoped by Claiide Livi
Scraosi. LM*Scraiiss had formalized che sesue of correladvity contained in Marcel
Granet's La patsee chinoist by recourse to che work of Roman Jakobsoit . . . LMScrautt appkes Jakobsons notions of similamy and connguicy relacions to Marcel
Granec s specularions concerning che ^Chinese mind.* surmiiing that whar Granec
had called correladve chinking could be (bmulized by recourse co che mecaphor/meconym disdnedon-----Wich this insight so L^vi*Smuss believed, the no*
tion of correlacivicy guned claricy and rigor. Applying chit insight to che Chinese
employment of analogical chinking, it would be possible* for example, to undersand

I4

D B S C 8 N D A N T S OF T H B O N B

th e vast system s o f classification associated w ith ytn-yang cosm ologies o r th e Bock c j

Changes by appeal to th ese cropic devices.1

But Livi*Scrauu's attempt to analyze correlarivc thought more rigorously

made tc less applicable ro China:
W e ar< inclin ed co believe chat th e artem pc co form alize che analogical m o d e o f chink*
in g b y appeal co Ja k o b so n s specu latio n s h as in (act overly ratio n alize d analogical* fin e
p ro b lem atic chinldiig a n d m ade ic( w hile m o re p recise a n d rig o ro u s as a m ethod* less
applicable co ch C h in ese co n tex t. T h e b u rd e n o f che follow ing discu ssio n will b e co
reinsdcucc che fo rm er, m o re naive u n d e m a n d in g o f analogical th o u g h t.9

Indeed, che very discincrion of meraphork and metonymic relations is for

Hall and Ames an example of che "rational incellecc" and is based on #ra
cionaL causal assumptions,10
The problem with Graham# Hall and Ames argue, is chacf b y following
che more formaliscic reading of Livi*Srraussf he was led co believe chat correlative thought arose late in Chinese history. A return to Granec will cor*
rect this error.
G ra h a m 's ju d g m e n t th a t correlacive choughc is co be consigned co p e rio d s beyond
che classical it based u p o n his acceptance o f che m etap h o ric/m eco n )rn u c disdnccion
as a n essential fo rm alizin g elem en t in all correlarivc o p e ran o n s. W e believe chat

this acceptance o f L iv i-S c rau sss Jak o b so n ian inceiprecation o f G r a n e ts inid al

in sig h t leads h im astray, finally cau sin g h im co fiul co a p p reciate che excenc co
w hich fin e p ro b lem ad c is iu m p d o iu sh ap e che e n tire sw eep o f th e C h in ese cultural
sem ibilicy.11

For Mall and Ames, correlative thought defines all of early China
W e onl)r in sist chat che m ore form al, ra d o ru Ii2 td inreq> rctanon noc be created as
o h a u ic i n g che m ean in g o f th is a c tiv ity .. . . O u r argum cnc will b e char w e shaD be
able co em ploy che te rm "co rrd ativ e thinking* as a synonynm fo r th e analogical p ro
cedures associated wich first p ro b lem ad c th o u g h t w ith o u t losing any o f che rd e v a iu
m ea n in g i rhac have com e co be ic so d a c e d w ich che cerm w h en ap p lie d co che inter*
precacion o f C h in ese c u ltu re .11

S. H all an d Axnes A n tiiifa tin g C h in a pp u 6 - 7 .

9 *Ibid, pp.7 -

to. Ibid, p. 1961144.

11. Ibid., p. 133.
u . Ibid.

D E S C E N D A N T S OF T H B O N B

149

L v i
Scrauss*s a n e m p c ro g e n e ra liz e c o rre la tiv e c h in k in g e n d e d u p lim itin g
t h e m e a n in g o f th e c o n c e p t a n d le d G r a h a m t o re s c ric r its a p p lic a b ility ro
o n ly lace W 2 r r i n g S c a re s a n d H a n te x ts .
A s s h o u l d b e c le a r f r o m m y d is c u s s io n in C h a p t e r s 1 a n d 2 , 1 s id e w i t h
G r a h a m o n r h is p a r d c u l a r p o in t: c o rre la tiv e c o s m o lo g y is a la re d e v e l o p m e n t
in C h in e s e h is to r y . T h e p r o b l e m is t h e n t o e x p la in h o w a n d w h y i t e m e r g e d
O n e r e c e n t a c re m p c t o d o s o is rh a c o f J o h n H e n d e r s o n . H e n d e r s o n 's D rv rl-

opment and Decline o f Chinese Cosmology is a b r illia m n a r ra tiv e o f t h e h i s t o r y o f

c o rre la c iv e t h o u g h t in C h i n a . A l t h o u g h t h e q u e s tio n o f t h e e m e rg e n c e o f
s u c h c h in k in g o c c u p ie s o n ly 2 s m a ll p o r t io n o f t h is n a rra tiv e , H e n d e r s o n 's
c o m m e n ts a re n o n e th e le s s p ro v o c a tiv e :

o w n v ie w o n th is q u e s t io n is

c h a t c o rre la tiv e s y s te m s in C h i n a w e re d e v is e d in a fu lly h is to ric a l e p o c h ,

p a r tic u la r ly t h e t h i r d a n d s e c o n d c e n tu r ie s b .c .t fo r la rg e ly h is c o r ic il r e a
sons.** A m o n g c h e p o s s ib le s c e n a r io s a d d u c e d b y H e n d e r s o n fo r t h e ris e o f
c o rre la c iv e c o s m o lo g ie s is c h a r p i r r i c u l a r p h ilo s o p h e r s c re a re d a n " e p is te m o
lo g ic a l s p a c e (a s M ic h e l F o u c a u lt m ig h r s a y ) in w h ic h c o rre la c iv e c h o u g h c
c o u ld d e v e lo p ." A n e x a m p le w o u ld b e L a o z is c a llin g o n m a n co Mp a c c e rn
h im s e lf a f te r h e a v e n a n d e a r r h / # A s z c o n s e q u e n c e ! *1a c e r a n d le s s e r m in d s
c o u ld in rc rp re c r h e c la ssic a l T a o is c c alls f o r c h e h a r m o n i z a r i o n o f m a n a n d
n a tu r e

in

a lite ra lis c fa s h io n , d e v is in g

a n a to m ic a l,

n u m e ro lo g ic a l

and

p s y c h o lo g ic a l c o r re s p o n d e n c e s .Ml3 I n t h is v iew , c o rre la c iv e c o s m o lo g y is a

lite r a l r e a d in g b y le s s e r m in d s o f a m e t a p h o r . T h e p r o b le m

w i t h t h is

e x p la n a tio n is c h a t ic u n n e c e s s a rily d e n ig ra c e s c o r rc h d v ic y a n d

f a ib t o

e x p la in w h y g r e a t e r m in d s o f a l a t e r p e r io d f o u n d c o rre la c iv iry c o n v in c in g .
A n o t h e r e x p la n a tio n o f f e r e d b y H e n d e r s o n is in sc iru rio n a L I n c b e Q i n
a n d e a rly H a n # Mim p e r ia l id e o lo g is ts " in v o k e d c o rre la tiv e t h o u g h t a s a m e a n s
o f j u s tif y in g im p e r ia l g o v e rn a n c e

Through the invocadon of che mutual conquest" sequence of the five phases, by
which eirch (Han) conquers water (Qm)t che Han was able cojustify its overthrow
of Qin rule and its assumption of power* Once che dyncy was oeabbshed, tmpenal
ideologjju also found it useful co invoke the hierarchical relarion of yang co yin and
heaven co earth as a wzy of legidmacing various auchoriarian political and social re
lations.14

i}. Hendenon, Tbr Drtvfopi

14*ItHd., p. )6.

o/Oineif

pp. $
35,

!5

D B S C B N D A N T S OF T H E O N E

C r i ti c s o f im p e r ia l ru le r h e n a p p r o p r i a te d c o rre la tiv e t h o u g h t "as c h e c k s o n

H a n im p e r ia l d e 8 p o c ism .Mls B u t t h is e x p la n a tio n a ls o h a s p r o b le m s . I f c o r r d a d v ic y a ro s e a s a m e a n s o f im p e ria l le g id m a c io n ! w h y d i d c h e in c e n d e d iu d i
c n e e f in d it c o n v in c in g ? A s w i t h a n y a r g u m e n t in c e rm s o f l e g i d m a d o n . o n e
n e e d s co e x p la in w h y c h e id e o lo g y w a s e ffe c tiv e .
Y e t a n o t h e r r e a s o n g iv e n b y H e n d e r s o n w a s t l u r c o rre la d v e c h in k in g w a s
u tiliz e d b y H a n t h in k e r s co #w e a v [e j d iv e rs e s t r a n d s o f ch e c la ssic a l lite r a iy
le g a c y i n t o a c o n s i s t e n t w h o le .* 1516 B u r c o rre la d v iry e m e r g e d b e fo re t h e H a n
a n d n o c in te x ts d u e c o u ld p la u s ib ly b e s e e n a s a t t e m p t s t o u n ify che lite ra ry
t r a d i r i o n . A l t h o u g h I h a v e q u e s t io n e d H e n d e r s o n s e x p la n a tio n s ( a n d I t m p h a s iz e a g a in chac ches s u g g e s tio n s

occupy o n ly

a s m a ll p o r t i o n o f a n e x c e p t

rio n a lly c o g e iu n a r ra tiv e ) , h is s e a rc h (b r h is to ric a l e x p la n a tio n s o f w h y c o sm o lo g jr a r o s e is a m o d e l fo r

o w n w o rk .

B e n ja m in S c h w a r t z a p p r o a c h e s c o rre la d v ic y in a difF erenc w a y . H e se e s ic

a s l in k e d co c h e A b s e n c e [in e a rly C h in a ] o f c le a rly d r a w n b o u n d a r ie s b e
tw e e n t h e d iv in e a n d h u m i n / ' a n d h e trie s t o c o n n e c t t h is w i t h a n c e s to r

I am rempeed to speculate char this absence of boundary affects noc only che realm
of religion narrowly defined, bur che entire realm of oncological dunking. Does che
&a chac in later Chinese high^culcural accounts of the origins of mankuid or of the
cosmos, che dominant meuphor is chat of procreation or "giving birch," rarher chan
chac of fashioning or creating, have anything co do with che centrality of anccscor
worship with ics dominuvee of the biological maaphor? Does chis in turn have
something co do with the predominance of whac some have called **momsdcNand
"organismic* onencadons of later high^cultural choug^ic?17
A s w e w ill se e , s o m e c o rre la tiv e s y s te m s in c h e W a r r i n g S u c e s a n d H a n a re
in d e e d b a s e d o n g e n e m i v e m o d e ls , a n d m a n y d o q u i te e x p lid c ljr p b y o n an*
c e s to r sa c rific e s in c h e ir d is c u s s io n s . S c h w a r t z se e s t h i s a s a c o n n n u a d o n o f a
m in d ^ s e t d b u b l e co che S h a n g . B u t th is e x p la n a tio n in h e t e x p la in s little .
T h e ( 2 a chac che S h a n g w o r s h ip p e d a n c e s to r s d o e s n o t explain w h y l a r e r a u
t h o r s b u ilr g e n e ra c iv e c o rre la d v e syrscem s. T h e q u e s t io n r e m a in s
W h y d id
c h e a u t h o r s in q u e s t io n c h o o s e co a p p r o p r i a te sa c rific ia l la n g u a g e in d e v e lo p
in g c h e ir c o s m o lo g ic a l sy s te m s?

15. Ibid., p. n.
16. Ibid*, p. 41*
17. Schwarts The WorU t/Thoufbt in Ancient China, p. i6.

D E S C E N D A N T S OF T H B O N B

S c h w a r t z s r e s p o n s e is t o sa y c h a t t h e & m ilyr m e u p h o r w a s h ig h ly im p o r*
t a n r in C h i n a .181 h a v e a lre a d y q u e s d o n e d S c h w a r t z 's a c te m p c t o r e a d u n il^
ial h o lis m a n d a c o n c in u ic y b e tw e e n t h e h u m a n a n d d iv in e a s g u i d in g o rie n *
c a tio n s in e a rly C h i n a , a n d I w ill c o n d n u c c h a t q u e s t io n i n g in c h it c h a p t e r .
B u t d i e c o m p le x itie s o f S c h w a r t z s a j^gum encs w a r r a n t c a re fu l a c re n c io n .
S c h w a r t z a r g u e s c h a t e a r lie r s a c rific ia l p r a c tic e in C h i n a s h o u l d n o c b e r e a d
in c o r re la riv e t e r m s . S a c rific e a n d c o s m o lo g y m a y h a v e s h a r e d t h e t a m e g e n
e r a l v i u o n o f c o n d n u ic y , b u r c h ey s h o u l d n o c b e c q u ic e d * A s d is c u s s e d in t h e
I n t r o d u c t i o n , S c h w a r t z is fin n ljr c o m m ic c e d t o a g e n e r a l ^ re lig io n co p h i*
l o s o p h ^ m o d e l o f r a d o n a l iz a d o n . T h u s # a lt h o u g h h e c la im s (h a c c e r t a i n
m e ta p h o rs o f th e b m ily a n d

b u r e a u c r a c y d o m in a t e d

e a rty C h in a * h e

w a n e s co s e e c o rre la tiv e t h o u g h t a s a lace, p h ilo s o p h ic a l d e v e lo p m e n t a

m o v e m e n r a w a y f r o m re lig io n a n d c o w a rd a r a tio n a liz e d w o rld v ie w . L ik e
G r a h a m , t h e n , S c h w a r t z re a d s c o rre lac iv ic y a s a lace d e v e lo p m e n c in e a rly
C h i n a , b u c u n lik e G r a h a m , h e b a s e s th is c la im n o c o n d i e n o c io n c h ic c o r re la d v ic y is a u n iv e rs a l m o d e o f rh o u g h c b u t r a t h e r o n t h e W e b e r i a n m o d e l o f
r a d o n a l iz a d o n .
I n m a k in g th is a r g u m e n t! S c h w a r t z a ls o a p p e a ls co L iv i^ S c ra u s s . B u c h e
c ite s L ^ v i^ S rra u s s n o c in o r d e r co e m p h a s iz e che u n iv c rs a lic y o f c o r re la d v e
c h in k in g b u r co d i s t in g u i s h lace W a r r i n g S t a te s c o rre la c iv e c o s m o lo g y f r o m
che s a c rific ia l m o d e l c h a t p r e d o m i n a r e d in che S h a n g ;
T h e fact is th a t n d c h e r che oracle bones, che b ro n z e vessels, n o r any o f che earliest
exes we have seem to provide s tro n g evidence o f correladve c o sm o lo g y even chough
som e d iscern evidence o f cocem ism in che iconography o f (h e S h a n g ritu a l b ro n z e
vessek. M u c h o f che in fb rm a d o n fu rn ish e d in chese in sc rip d o n s sh ed s lig h t noc o n
correladve cosm ology, buc o n w hac L ivi^S crauts w ould h im se lf define as che realm
o f rd ig io a . G > rre b n v e cosmoiogyr in his view is i ''science o f che concrete* because ft
reiaret co n cre te p h e n o m a u actually perceived in o u r o rd in ary experience co each
ocher ^horizontally.*' Ics m areriais are all d ra w n fro m che "real* w orid. A nim als,
planes, che fo u r c ard in al d irec d o n s, k in sh ip orguiizacions h u m in traits, a n d edes^
c u t bodies a re all *real." A religious ritual specifically che ritu a l o f sacrifice w hich
relacei h u m a n s "verdcaDy* co goeb a n d spirics represencs in th is view a n effbre co es
cablish Ma d esired c o n n ec tio n beew een tw o iniriall se p arate d o m a i n i , o f w h ich
one chc divine is n o n -e x iste n t.19

il Ibid.* pp. 416*17.

19. tbld.#pp.

D B S C B N D A N T S OF T H B O N B

S c h w a r t z t h u s re je c ts G r a n e c s a r g u m e n t c h a r c o rre la tiv e c h in k in g s h o u l d b e
r e a d a s p e r v a d in g e a rly C h i n e s e c h o u g h c . E v e n i f w e a d o p t L e v i^ S tra u s s s
o w n te r m in o lo g y t h e v e ry (e rm in o lo g y d e v e lo p e d ro a rg u e d i e p e rv a siv e
n e s s o f c o rre la tiv e c h in k in g w e a re fo rc e d , S c h w a r t z a rg u e s , t o se e c h a r
C h i n e s e c o r re la d v c c h in k in g is a la te d e v e lo p m e n t.
Iro n ic a lly , t h i s re a d in g o f L e v i-S c ra u s s is c o m p a r a b le co t h a t o f H a l l a n d
A m e s . H a l l a n d A m e s h o p e co d e m o n s c r a r e d u e c o rre la tiv e c h in k in g d e fin e s
a ll o f C h in e s e t h o u g h t, a n d S c h w a r t z is a ig u i n g fo r a g e n e ra l m o v e m e n c
f r o m r e g i o n t o p h ilo s o p h y * b u t all t h r e e b e lie v e c h a t L iv i- S c r a u s s s p o sitio n ^
d e s p i te i ts o v e n c la im s (o r t h e u n iv e rs a lity o f c o r r c k t iv e chin k in g ^ le a d s co a
re je c tio n o f G r a n c r a n d co chc p o s i t io n chac c o rre la tiv e s y s te m s a r e lace
d e v e l o p m e n t in C h in a* H a l l a n d A m e s th e r e f o r e re je c t L ^vi-S crauss*s p o s
c io n , w h e re a s S c h w a r t z a g re e s w i t h it.
A lth o u g h * lik e S c h w a r t z , I a rg u e chac c o rre la c iv e c o s m o lo g y is 2 lace de
v e lo p m e n c in C h i n a , I n o n e c h e ie s s d is a g re e w i t h h is ( a n d H a l l a n d A m e s s)
r e a d in g o f L ^ v i S c rau ss. S c h w a r t z is m is r e a d in g L c v i-S c ra u s s , a n d h is m is*
r e a d in g is w o r t h fo llo w in g in d e ta il, fo r a c lo s e r re a d in g o f L ev i-S crau ss a s
w e ll a s o f G r i n e v w ill le a d co a s o m e w h a t d iffe re n t, a n d p e r h a p s m o re
p r o m is in g , a p p r o a c h t o th e p r o b le m .

o c e m i s n i

a n d S a c r if i c e : F r o m G r a n e t t o

L e v i^ S c ra u s s a n d B a c k A g a in
I n d i e p a s s a g e q u o t e d b y S c h w a r t z , L ^ v i* S tra u s s re fe rs r o t h e d i s d n e t i o n be*
e w e e n " s o -c a lle d 1* c o re m is m a n d sacrifice*30 I n s o -c a lle d ro c e m is m # cw o dis*
c o n ti n u o u s s e rie s ( h u m a n c la n s a n d n a tu r a l sp e c ie s ) a r e p r e s e m e d a s a n a lo
g ie s. I n c o n t r a s t sa c rific e "see k s t o e s ta b lis h a d e s ir e d c o n n e c tio n b e tw e e n
c w o i n i n a l l / s e p a ra te <lom 4in s .M* S a c n fic e th e r e f o r e b e lo n g s t o t h e r e a lm s o f
c o n d m iic y .w21 A c c o r d in g t o S c h w a n n c h is ( lis d n e tio n , w h e n a p p lie d co 20

20. The reason L^vi*Strauss uses "io-ciUccT in referring to totaniim is that he argues
scrongly against ()>e category ofcotcmiim" to deicribe the phenomenon ofsodal group* connecting themselves wirh animals. Livi.Straussi basic move here is to subsume ihe category
under a larger theory of truciural dauificarion: So-calledotemism is in
only a partkubr case of ibt general problem of claatificAhon and one of many examples of tbt part which
specific tcrmA often play in the working our of a social classification" (The Savap Mimlt p. 6).
For his full critique of the term, see L^vi-Scrauis. Torcmiim. Some of L^vi-Scnuus morivatioiu for providing thi argumeiu are diflOuicd below.
ai. Uvi-SrrAuti#The Savage MiW, pp, 224-111 hcreiiuftcr cited in rhe text.

D E S C E N D A N T S OP T H B O N B

*53

C h i n a , re v e a ls a s h if r f r o m sa c rific e t o c o te m is m i fr o m t h e S h i n g a n c e s tr a l
c u lc co c o rre ia d v e c o s m o lo g y . B u c f in & , L e v i* S rra u ss w o u ld a rg u e so m e ^
t h i n g q u i te d ifie re n c .
T h e d i s d n c d o n L e v i-S c ra u s s m a k e s b e tw e e n c o c e m ism a n d s a c r i f k e is
b a s e d o n d i e d iiB k re n t w a y s c h a t e a c h c o n c e p tu a liz e s c o n d n u ic y a n d d isc o n *
n n u ic y . T o te m is m , L c v i-S c ra u s s a rg u e s , is a p o ly g e n c c ic s y s te m , in w h ic h
d is c o n c in u ic y is a s s u m e d :
T h e hom ology th ey [th e so-called cocem isa) evoke is noc b etw een social g ro u p s a n d
n a tu ra l species b u t b etw een th e differences w h ich maniTcsc chem selves o n che level
o f g ro u p s o n che o n e h a n d a n d oq char o f species o n che ocher. T h e y a re th u s based
o n che p o stu la te o f a h o m ology betw een cwo sysrem s o f differences* o n e o f w hich
occurs in nacure a n d che o cher in c u ltu re, (p. 115)
L iv i* S tr a u s s c o n tr a s t s c h is w ith m o n o g e n e tic s y s te m s , u s in g P o ly n e s ia a s a n

In ste a d o f a once^for-all hom ology betw een cwo se n e s each finite a n d d isc o n tin u o u s
in its o w n rig h t, a concinuous evolution is posculated w ith in a single series chat
accepts an u n lim ite d n u m b e r o f term s. S o m e P olynesian m ythologies are at che
critical p o in t w here d iac h ro n y irrevocably prevails over sy n c h ro n y m aking ic im p o s
sible to in te ip re r che h u m a n o rd e r as a fixed p ro je a io n o f che n aru ral o rd e r by
w hich ic if engendered; ic is a p ro lo n g atio n , ra th e r chan a reflection, o f th e nacural
otxler. (p. 233)
I n s h o r t # p o ly g e n e ric s y s te m s a s s u m e d isc o n c in u ic y , a n d m o n o g e n e tic sys*

T o r e t u r n co C h i n a , a ll c h e te x t s d is c u s s e d in c h is c h a p t e r p o s it a c o s m o s
g e n c ra c e d n a tu r a lly b y 2 s in g le a n c e s t o r ^often r e fe r r e d t o a s t h e G r e a t O n e
( T a i / i ) . I n L iv i - S c r a u s s s re rm in o lo g jr, c h ese te x ts re fle c t m o n o g i e d c c o s m ologics n o c t h e c o cem ic s y s te m s o f p o ly g e n e sis. M o re o v e r, L e v i* S tra u s s
w o u ld c m a i n l y n o c cice t h e S h a n g a n c e s tr a l c u k a s a n e x a m p le o f c o c e m ism .
T h u s f S c h w a r t z s a cc cm p c co u s e L e v i* S c rau ss#s te r m in o lo g y t o c h i r a c t e r i z e
th e s h i f t fr o m S h a n g a n c e s tr a l sa c rific e 10 c o rre la c iv e s y s te m s a s a s h i f t f r o m
s a c rific e t o t o te m is m is in c o r r e c t. F o r L iv i - S
r a u s s ( b o t h che S h a n g a n c e s tra l
s a c rific e s a n d t h e la te W a r r i n g S c a re s c o rre b c iv e s y s te m s w o u ld b e p ro to *
ty p ic a lly m o n o g e n e tic . N o n e o f ch e s y s te m s w e h a v e lo o k e d ac w o u ld b e
c la ss ifie d b y L iv i - S t r a u s s a s a ro c e m ic s y s te m .
In d e e d , L iv i- S c r a u s s a rg u e s chac n o E u r a s ia n c iv iliz a tio n is cocem ic, n o r
a rc B u r a ii a n d v iliz a c io n s b a s e d o n c o rem ic f o u n d a tio n s . F o r L i v ^ S r r a u j s ,

*54

D E S C E N D A N T S OF T H E O N E

c o c c m ism a n d s a c rific e a re cw o d i s t i n c t s y s te m s : o n e d o e s n o t le a d ct h e
o c h e r. H e e m p h a c ic a lly re je c ts t h e t e n d e n c y in e a rlie r a n th r o p o l o g y co f t t se n e c o c e m ism a n d sa c rific e a lo n g e v o lu n o n a r y lin e s: * T h a r ic s h o u l d h a v e
b e e n p o s s ib le co r e g a r d to c e m is m a s d i e o rig in o f s a c rific e in t h e h is r o r y

re lig io n re m a in s , a f te r s o lo n g , a m a c c e r o f a A to n ish m e n c" ( p . 223)*

S t r a u s s 's m o v e h e r e is t o d e f e n d t h e c o m p le x ity o f c la ssific a c o ry s c h e m e s in
p r im itiv e c u lt u r e s b y d e n y in g t h a t c o c c m ism r e p r e s e n ts a n e a rlie ri s u p e r -

s e d e d p e r io d in t h e d e v e lo p m e n t o f c iv iliz a d o n s . I n s te a d , h e a rg u e s , c h e e b s*
sific a c o ry s y s te m s o f t h e g re ac c iv iliz a tio n s a r e n o t b a s e d o n c o c e m ism ( s t t ,
p* 4 )* O n t h e c o n tr a r y . T h e g r c a c iv iliz a tio n s o f E u r a s ia a re m o n o g ^
n e t i c * T h is p e r h a p s e x p la in s w h a t o n e is t e m p t e d t o c a ll d i e #c o ce m ic v o k i*
f o r i n t h e b o u n d s o f c h e g r e a r c iv iliz a tio n s o f E u r o p e a n d A s ia t h e r e is a r e
m a r k a b le a b s e n c e o f a n y th i n g w h ic h m ig h t h a v e re fe re n c e t o c o ce m ism i e v en
in t h e f o r m o f r e m a in s " ( p . 232)* A n d n o r o n ly is c o c e m ism n o t a s u p e r s e d e d
level o f c u ltu re * b u t i t is in & c t s c ie n tific a lly s u p e r i o r t o sa c rific e

Totemic daisificadons have 1 doubly objective basis. There really arc nacural species*
and chey do indeed form a diaconcinuous scries; and social se^nencs for their part
also adst.... The system of sacrifice, on che ocher hand, makes a pre-existenr rerm
divinity, incervene; and ic adopcs a conception of the natural series which is false
from the objective point of view, for. ai we have seen, ic represents it as continu
ous. . . . The system of sacrifice . . . represents a private discourse wanting in good
seme for all char ic may frequently be pronounced, (pp. 227-aS)
T o r c m i c s y s te m s a re o b je c tiv e ly v a lid , s b e e th e y re c o g n iz e d is c o n rm u ic y
f r o m d ie b e g in n in g . I n c o n tr a s t , sa c rific e is " w a n tin g in g o o d s e n s e / s in c e
sa c rific ia l s y s te m s b e lie v e in c o n ti n u i ty a n d th is is, fro m a n "o b je c tiv e p o i n t
o f v iew ," w ro n g .
L iv i - S t r a u s s s p o le m ic is n o t 2 p a s s in g r h e to r ic a l flo u ris h . O n e o f ch e re*
c u r re n c a r g u m e n u in

77^

S a v d jt AfiVul is t h a t to tt e n is m is j u s t a s lo g ic a l a s

m o d e m s c ie n c e . Ic is s im p ly a d ifF erenc fo r m o f lo g ic (p . 2 6 9 ), 2 fo r m t h a t h e
c a lls "a s c ie n c e o f th e c o n c re te " ( p p . t - 3 5 ) . A n d t h e c ru c ia l p o i n t a b o u r th is
s c ie n c e o f c h e c o n c r e te is t h a t ic b u ild s c la s s ific a tio n s b a s e d o n a n o b je c tiv e ly
a c c u r a te u n d e r s t a n d i n g o f n a tu r a l s t r u c t u r e s ( p p

35,

I 3 $ - 6 i) . M o te , f o r e x

a m p le , h o w L i v ^ S t r a u s s d e s c rib e s c h c id e a o f s p e c ie s in t o te m is m : **Wc
s h o u l d u n d e r s t a n d h o w c h is id e a c a n f u r n is h a m o d e o f s e n s o f y a p p re h e n *
s io n o f a c o m b i n a ti o n o b je c tiv e ly g iv e n in n a m r e , a n d c h a t che a c tiv ity o f che
m in d # a n d so c ia l life its e lf, d o n o m o r e c h a n b o r r o w i t t o a p p ly ic co ch e crea*
n o n o f n e w ta x o n o m ie s " (p . 137).

D B S C B N D A N T S OP T H B O N E

*55

I n o c h e r w o r d s , f o r L iv i* S c ra u s s t h e r e a re t w o leg ic im ac e fo r m s o f sc ie n c e :
t h e sc ie n c e o f t h e c o n c r e te ( f o u n d in c o c e m ism ) a n d m o d e r n sc ie n c e :

Cercainly che properties co which the savage mtnd has access are noc die same as
chose which have commanded chc acceodon of sdendsa* The physical world is approached from opposite ends in che two cases: one is supremely concrete* rhe ocher
supremely abscracc; one proceeds from che angle of sensible qualities and chc ocher
(irom rhac of formal properties. But che idea rhac, theoretically at lease and on condi
tion no abrupt changes id perspective occurred, these cwo courses were destined co
meet, explains why both, independently of each ocher in dme and space, should have
led to cwo disdna chough equally positive sciences, (p. 169)
S o w h e r e d o e s m o d e m s c ie n c e c o m e fro m ? I f i t is n o r b a s e d o n to te m is m ,
is it b a s e d u p o n sa c rific e ? L ^ v i-S tra u s s d o c s n o t m a k e a n e x p lic it 8 t a t e m e n t
o n rh is p o in tj b u r I s u s p e a c h a r h e w o u ld say^ t h a t m o d e m s c ie n c e a ro s e
w i t h che transcending o f t h e sa c rific ia l m o d e l. T o c e m is m is a sc ie n c e (a sc ie n c e
o f c h e c o n c r e te ) , b u t t h e m o d e l o f sa c rific e is o b je c tiv e ly w r o n ^ a n d i t
n e e d e d co b e o v e rc o m e b e f o re a d iH e re n r, a b s c ra c i s c ie n c e c o u ld a ris e . Levi
S t r a u s s is c ag e y o n w h y t h is h a p p e n e d , b u r ic is c le a r c h a t h e se c s c h e c ru c ia l
se e p a s che i n tr o d u c t io n o f a b s t r a c ti o n in early^ G re e c e : #A d r a m a ti c c h a n g e
t o o k p la c e a lo n g t h e ( r o n d m o f G r e e k c h o u g h c , w h e n m y th o lo g y g i v e w ajr
to p h i lo s o p h y a n d d i e laccer e m e r g e d a s che n e c e s s a ry p r e - c o n d i ti o n o f sc ien ^
rifle c h o u g h c ."22 I n o c h e r w o r d s # h e is w o r k in g w i t h a v e rs io n o f t h e ''re lig io n
t o p h ilo s o p h y " a r g u m e n t. M o r e o v e r , h e a p p e a r s t o v ie w m o d e m s c ie n c e a s a
u n iq u e c r e a tio n o f c h e W e s t , d i e o n e E a r a s i a n c iv iliz a rio n c h a r r r a n s c e n d e d
c h e sa c rific ia l m o d e l.
G iv e n

t h is

fra m e w o rk *

w h a t w o u ld

L ^ v i^ S c ra u ss s z y a b o u t C h in a ?

L iv i- S c r a u s s sa y s a lm o s t n o t h i n g a b o u t C h i n a in h is v o lu m in o u s w ritin g s ,
b u t I c h in k k is sa fe co sa y th a c L ^ v i-S c ra u s s w o u ld n o c b e sy rm p a ch e d c
co C h in e s e c o rre la riv e t h o u g h t . A n d fo r precisely t h e s a m e r e a s o n s c h a t fig
a r e s f r o m W e b e r co R o e c z h a v e d is p a r a g e d C h in e s e c o rre la tiv e c h o u g h c
C h i n e s e c o rre la riv e c h o u g h t b i l s co re c o g n iz e c h e o b je c tiv e esciscence o f d is
c o n ti n u i ti e s c h c d is c o n o n u ic ie s chat che im p lic it a rg u m e n c g
e s # p ro v e d
c ru c ia l fo r c h e e m e rg e n c e o f m o d e m sc ie n c e . T h e o n ly d iffe re n c e is c h a t L iv iS t r a u s s w o u ld n o c se e C h in e s e c o rre la tiv e c h o u g h r a s p rim id v e : u n lik e s o
m a n y s c h o la r s f r o m M a u s s a n d D u r k h e i m

co IC C . C h a n g w h o se e

D E S C E N D A N T S OF T H B O N B

156

t h e u n iq u e n e s s o f C h i n a a s l)ring in i a i n d m a t c c o n n tc o o n r o a p r im itiv e
p a s t, L iv i- S c r a u s s w o u ld nor s e e p r im id v c t h o u g h t in C h in a , a r alL S im ila rly ,
L 6 v i-S c ra u ss w o u l d n o t a g re e w i t h G r a h a m s p r e s e n t a ti o n o f C h in e s e c o r re h *
rive s y s te m s a s s im p ly a n o r h e r e x a m p le (a lo n g w irh #p rim ic iv e c h o u g h ^ )
o f "p ro ro ^ scien ce* " O n e s u s p e c ts c h a t (o r L < v i-S tra u s s # C h in e s e c o rre la *
d v icy w o u ld h a v e in v o lv e d a n o b jcc civ e ly in c o r r e c t c la im o f c o n tin u ity . P r im id v e c h o u g h c , in c o n tr a s t , is ro b e f o u n d in c o c c m tsm a s y s te m t h a t , lik e
m o d e m sc ie n c e , b u t in a diffiercnc way% a c c u ra te ly r e c o g n iz e s d i e t r u d i o f
d iftc o n rin u ic y .
B u t w h e r e d o e s c h is leave t h e s t u d y o f e a rly C h in a ? A s t h e vase m a jo riry
o f s c h o la r s w h o h a v e s t u d i e d early^ C h in e s e c o rre la tiv e t h o u g h t h a v e n o c e d ,
L v i S cra u ss s a n a ly s e s i r e in v a lu a b le f o r t h e e x p lo ra rio n o f c la s s ific a tio n sy s

te m s . B u t i f w e c h o o s e n o t t o fo llo w L c v i-S c ra u s s 's p o le m ic , c a n w e a t le a s r

u s e h is te r m in o lo g y m o r e e ffe c h v cljrf F ir s t, is C h i n a m o n o g e n e tic ? I w ill ar^
g u e n o . E v e n i f S c h w a r t z is s lig h tly m is r e p r e s e n tin g L e v i-S tra u s s 's a rg u m e n t*
S c h w a r t z s in c u ic io n c h a t C h i n a c a n n o t b e su c c e ss fu lly d e f in e d a c c o r d in g t o
o n e p o le o f L e v i-S c ra u s s s te r m in o lo g y is n o n e th e le s s c o r re c t. I w ill g o e v e n
f u r t h e r a n d q u e s t io n L iv i - S c r a u s s s a t t e m p t t o d i s tin g u is h p o ty g r n e s is a n d
m o n o g e n e s is in t h e fo r m c h a r h e d o e s : c a te g o r iz in g e n ti r e c u ltu r e s o n t h e b a sis o f s u c h a d u a li s d c fr a m e w o r k is p re c is e ly w l u w e s h o u l d a v o id in com *
p a r a d v e s tu d ie s .
M a r s h a ll S a h l in s h a s s u g g e s te d 2 w a y o f u tiliz in g L viS trauss*s d is tin c d o n s in a m o r e n u a n c e d w ay . A s n o r e d a b o v e , L iv i^ S c ra u s s c ite s P o ly n e s ia as
a n e x a m p le o f 2 m o n o g e n e c ic s y s te m a s y s te m t h a t d e f in e d e v e r y th in g a s
b a s e d o n a s i n ^ e c o n ti n u o u s lin e o f d e s c e n t. S a h lin s , a n e x p e r t o n P o ly n esia^
h a s v n o d ifie d c h is byr p o i n ti n g o u t c h a t c h is d e s c rip tio n , w h ile a c c u ra te , re fe rs
o n ly t o o n e sec o f c la im s ; o c h e r g r o u p s , in t h e s a m e c u ltu r e , e m p h a s iz e poly*
g e n e s is
I t appears in Fiji as che interchangeable c o n tra st betw een u n ita ry lineage organiza*
d o n o f th e social to tality , an cncom passm enc o f che w hole in che ancestry o f a divine
Icing (yavusa system ), a n d che schem e o f society as a synthesis o f indigenous and
im m ig ran t peoples, jo in e d by th e m arriage o f a d a u g h te r o f che la n d wich a icrangerk in g fro m che sea a n d th e n o rd e re d as a diarchic kin g d o m u n d e r a ritual p a ra m o u m
fro m che fordginers a n d a w arrior*king fro m che o n g iiu ls (lan d -sea o r Misti tyt*

ccm).11

D B S C B N D N T S OP T H B O N B

*57

C e r t a i n g r o u p s d e f in e s o c ie ty a n d t h e c o s m o s m o n o g e n e c k a lljr; o t h e r s d e fin e
i t p o ly g ^n ecicaO ^ . H i s t o r i c a l a n a ly s is involves^ a m o n g o c h e r th in g s* d i e s ta d y
o f t h e in c e rp la y b e tw e e n th e s e c o m p e t in g v i s i o n ^ 24
G r e g o i y S c h r c m p p # o n e o f S a h lin s s s n id e n rs ! h a s d e v e lo p e d th e s e a r g u
m e n t s fo r t h e M a o r i t h r o u g h h is n o t io n o f a " d u a l fo rm u ia c io n ,N w h ic h h e
d e fin e s a s Nr h e c o -e x is te n c e o f cw o d if f e r e n t c o n c e p tio n s o f cfae e s s e n tia l
c h a r a c t e r a n d k le n c ic ^ o f a g iv e n c o n c r e te s o c ia l u n it." 25 T h e s e t w o C o n c e p
c io n s c o r r e s p o n d c lo s e ly co L iv i- S c r a u s s s d i s t in c t io n b e tw e e n m o n o g e n e s is
a n d p o ly g e n e s is . S c h r e m p p a rg u e s c h a t M a o r i c o s m o g o n ic n a r ra tiv e s c a n b e
g r o u p e d i n t o cw o d is tin c tiv e p o s i t io n s p o s i t io n s c h a t, S c h r e m p p p o i n ts
o u c f c a n b e m a p p e d s u c c e s s fu lly w i t h K a n t s a n r in o m ie s .26 K a n t s a r g u m e n t
is c h a r, in t h e h is c o ry o f W e s t e r n m e ta p h y s ic s , o n e c a n fin d c w o d is tin c tiv e ,
a n d m u tu a l ly c o n c ra d ic to ry , p o s itio n s . T a k e , f o r e x a m p le , K a n e 's s e c o n d an*
c in o m y in t h e Prolegomena to A n y Future Metaphysics:

Thesis: Everything in the world consists of [donencs char are] simple.

Aadthesis: There is nothing simple, buc everything is composice.27*
A c c o r d in g co S c h r e m p p , M a o r i rh o u g h c , j u s t lik e W e s t e r n m e u p h y s ic s , c a n
b e c a te g o r iz e d i n t o o n e o f th e s e rw o p o s itio n s .30 A n d . w h a t is m o r e s ig n ifi
c a n t, t h e cw o c o n s t a n t l y p la y o flF e ac h o c h e r. T o re v e rr co L c v i- S c r a u s s s cer*
m in o lo g y n e it h e r m o n o g p ie s i s n o r p o ly g e n e s is is a f o u n d in g a s s u m p tio n :
r a th e r , t h e r w o c o -ex isc , a n d r h e ir a n d c h e s is e n d le s s ly g iv es rise co f u r t h e r
d e v e lo p m e n ts in c o s m o lo g ic a l rh o u g h r .
T h i s w a y o f u s in g L ^ v i-S tra u s s 's te r m in o lo g y p o i n ts c o w a rd a m e a n s o f
e x p lic a tin g t h e c o m p le x itie s o f c o m p e t in g c o s m o lo g ic a l f o rm u la c io n s in a
g iv e n c u lc u re . H o w d o v a r io u s c o s m o lo g ie s p o s i t c o n ti n u i ty a n d d is c o n d n u *
icy, a n d w h a t a re t h e im p lic a tio n s o f th is p o s itin g ? A n d h o w d o th e s e c o m
p e ti n g c o s m o lo g ie s p la y o f f a g a in s t o n e a n o th e r ? A s w e w ill se e , in t h e c a s e o f
e a rly C h in a * th is is a c ru c ia l q u e s t io n fo r w o r k in g t h r o u g h t h e c o r re b c iv e
c o s m o lo g ie s p o s ic c d i n t h e la te W a r r i n g S t a te s a n d e a r l y H a n .

24. For related arguments by Sahlins's students for ocher areas of Polynesia, see Valeri,
"Consriruitve History*; Schrempp, Maficai Arrows; and Michad Scort* ^Auhcnua."
25. Schrempp. M agical A rr o w s, p. 68.
16 . Ibid., pp. i)7 - 6 S.
>7. Kim,
fo
Fuivrr p 7. A fbller discussioa can be found in
Kant, CH uf 0/Purr
pp. 401-9.
aS. For Schrempp disunion of paralleli between rhe second aminom^ and aipeai of
Maori thought. m
Arrowi, pp. 149-ss-

D E S C E N D A N T S OP T H B O N B

T h u s , a lc h o u g h I h a v e q u e s t io n e d S c h w a r tz 's p r e s e n u d o n o f L iv iS tra u ss* I fo llo w S c h w a r t z in a r g u in g c h a r L ^ v i^ S c ra u ss s te r m in o lo g y n u y b e

e x tr e m e ly h e lp f u l in s o r t i n g o u c C h in e s e c o r re la d v e cfaooghc b u r d u e it
s h o u l d b e u t il i z e d in a n e w wayr. I r w ill a ls o b e h e lp f u l t o r e t u r n t o G r a n e t ,
b u t in a w z y v e ry d i f f e r e n t i r o m chac o f H a l l a n d A m e s . I a g re e w i t h H a l l
a n d A m e s c h a t w e s h o u l d a tt a c h m u c h s ig n ific a n c e t o t h e w a y L e v i-S c ra u s s
b u i lt h is id e a s o n c h e f o u n d a r io n o f G ra n e c , b u c I w ill a i p i e chnc che im p lie s*
c io n s p o i n t in che o p p o s i t e d ir e c tio n .
A l t h o u g h L ^ y i-S c ra u s s is r e p e a te d ly re a d in th e s in o lo g ic a l lit e r a t u r e a s
h a v in g c la im e d t h a t a ll ''p rim id v e * c h in k in g is b a s e d o n c h e p r in c ip le s G r a n e c
d is c o v e re d , t h e a c tu a l d e v e lo p m e n c o f th is c h in k in g w a s b x m o r e c o m p le x .
A lc h o u g h L iv i* S c ra u s s b u ilt m u c h o f h is s t r u c t u r a l a n a ly s e s o n G ra n e c , h e
c o n sisc en d y r c h a r g e d G r a n e t w i t h & ilm g t o d e v e lo p h is id e a s rig o ro u sly * F o r
e x a m p le , L iv i - S t r a u s s & u lc s c h e a n a ly s is o f C h in e s e k i n s h i p s t r u c t u r e s in
G r a n e t t C a tip rie s m atrim oniaks et relations deproxim ite dans la Chine ancicnnr.

In this work, a sinologist provides a decisive concribucton to the general theory of

kinship systems, buc he presencs his discovenes in che guise of Chinese material^ and
as interpretations of chis material. However, when coiuidered from this particular
angle, chese interprecadons seetn confused and conrradiaoiy, and sinologues have
received chem suspiciously, even when cheir own analyses were noc coacrary co chent
Here chen, is a specialise who perhap exceeds his proper role, buc he succeeds in
arriving at rheoredcal cruchs of a greater and more general significance.29
A n d I s u s p e c t c h a t L iv i ,S r r a u s s w o u ld re a c h a s im ila r c o n c lu s io n a b o u t
G r a n e t s a n a ly s is o f c o rre la d v e th in k in g : in v a lu a b le f o r t h e o r y b u t c o n f u s e d
fo r C h i n x M o r e specifically% I s u s p e c t d u t L iv i-S c ra u s s c h o u g h t c h a t G r a n e t c rea ce d C h i n a c o o m u c h lik e a cocem ic system * w h e n ic in face w a s f
L ^ v i-S rra u s s 1
M o r e im

by

ing a m o n o g e n e c ic s y s te m .
th o u g h * L iv i- S c r a u s s w o u ld h a v e r e je c te d G ra n e c 's

overaQ a n a ly tic a l fra m e w o rk . A s m e n c io n e d a b o v e , L e v i^ S c ra u ss s tr o n g ly o p

p o s e d a n e v o lu d o n a x y r e a d in g o f c o ce m ism a n d sa c rific e . S u c h a f r a m e w o r k
h a s a lo n g p e d ig r e e a n d w a s m o s t E u n o u s ly a r g u e d b y W il l ia m R o b e r ts o n
S m ic h . B uc ir is a p e d ig re e chac in c lu d e s G r a n e t . In d e e d , d i e s h i f t f r o m to*
c c m ism t o s a c rific e is o n e o f t h e u n d e r ly in g th e m e s o f G r a n e t s e v o iu d o n a iy
re a d in g o f e a rty C h i n a .10 G r a n e c a r g u e s t h a t e a rly C h in e s e s o c ie ty w a s co^

39. livi-Strautf, The Bmenury Sinutum ofKinAip, p. )ii.

30. See Graner. IXimei rt Ugcndesit laChineniidniiir.

D E S C E N D A N T S OP T H B O N B

*59

c e m ic a n d t h a t k i n g ^ i i p a r o s e w h e n p a rtic u L ir fig u re s t h e a n c ie n c s a g e s
s a c rific e d t h e c o te m k a n im a ls a n d c a p c u re d c h e ir p o w e r . F o r e x a m p le , a c
c o r d in g r o G ra n e c . d i e o w l w a s t h e t o te m ic * e m b le m " o f H u a n g d u b u c
H u a n g d i c a p c u r e d a n d d e v o u r e d a n ow L S im ila rly . Y a o b a d t o c o n q u e r t h e
s u n b e f o re h e c o u ld b e c o m e a k in g : T a o , d i e s o v e r e i g n , . . h a d t o a im a r^
r o w s a t t h e s u n b e fo re h e c o u ld b e c o m e a S o n o f H e a v e n . T h u s h e

uc

c e e d e d in o v e r c o m in g h is celcscial d o u b le . A s s o o n a s h e h a d c o n q u e r e d chc
e m b le m o f t h e s u n , h e w a s w o r t h y co re ig n ."31*
G r a n e c s r e c o n s t r u c ti o n is n o r c o n v in c in g in c e rm s o f t h e sin o lo g ic a l m a c erials; n o r , I w o u ld a g re e w ic h L e v i* S tra u s s ( is i t c o n v in c in g th e o rc ric a lly .
L ^ v S c ra u s s w o u ld c e r ta in ty b e c o r r e c t in s a y in g c h a t G r a n e t 's d e c is io n t o
analyrze e a rly C h i n a in c e rm s o f a s h i f t f r o m c o c e m ism co sa c rific e w a s u n f e r r u n a te . B u t i f w e a c c e p t L ^ v i-S tra u ss* s c r itiq u e o f G r a n e t s e v o lu tio n is m , w c
s h o u l d a ls o a c c e p t S a h l i n s s c r itiq u e o f L iv i - S c r a u s s s f o r m o f c u lt u r a l classic
fica cio n . A ll o f c h is le a v e s n s in a v e ry in te r e s t in g p la c e w h e n r e a d in g G ra n e c .
M o s t o f G r a n c c s s o u r c e s w e re la te W a r r i n g S t a te s o r H a n te x ts , a n d c h e ii*
s u e s G r a n e c w a s d is c u s s in g a s a n e v o lu tio n f r o m c o te m is m co sa c rific e could
i la L iv i- S c r a u s s a n d S a h lin s , b e w o r k e d o u t in t e r m s o f c h e w a y s c h a t vari^

o u s t e x ts p o sic c o n d n u ic y a n d d is c o n tin u ity .

W ic h c h is in m incL l e t u s r e t u r n co G ra n c c . G r a n e t s p o i n t in e m p h a s iz in g
c h a t c h e e a rly c u k u r a l h e r o e s c o n q u e r e d e m b le m s w a s c h a t A c o rig iiis o f
C h in e s e c o rre la tiv e t h o u g h t d o n o t lie in a n a t t e m p t co m a k e c b e s o c i ii
w o r ld c o r r e s p o n d t o ch e n a tu r a l w o r l d R a c h e r,

the (irsr necessity of the ruler is co furnish humans wich the emblems chat allow
rhem co domescicace nature. The emblems filial, for each being, its nature as well at
ics place and position in che world. In che first days of Chinese civilization, Huangdi
acquired che glory of a heroic founder, (or he saw che need co g^ve all things a correct
name.... T o render chc names corrca" is. in effea, chc first of governmental obligacions
T h i s is w h y G r a n e c e m p h a s i z e d t h a t e m b le m s w e r e inicialljr c o ce m s con
q u e red

m a n : m a n d i d n o t s o m u c h re c o g n iz e c o r re la tio n s b e tw e e n ch e so

c ia l i n d c h e n a tu r a l w o r ld s a s c r e a te c o r re la tio n s b y a p p r o p r ia tin g , d o m e s ti
c a tin g , a n d p la c in g n a m r a l o b je c ts w i t h in a f r a m e w o r k c h a t a llo w s fo r
h u m a n c o n s u m p ti o n a n d c o n c ro L

31. Oraneti C h in w G v iliu tb n , pp.

). Granet, U pem itth itiM ie, p. 47.

l 6

D B S C B N D A N T S OF T H 6 O N E

R e m o v e d (irom its e v o lu tio n a r y fr a m e w o r k o f a s h i f t f r o m c o c e m ism ro

sa c rific e , G r a n e c s a r g u m e n t jrield s s o m e c h in g d o s e t o w h a t S a h lin s w a s
p o i n d n g c o w a rd : a c o rre la tiv e c la im o f c o n tin u ic y b e tw e e n h u m a n i t y a n d na^
c u re w a s d e sig n e d * a n d c o n d n u e s t o (U nction o n ty in o p p o s i t io n co a n op*
p o s in g c la im o f d is c o n tin u ir y . O r , in L ^ v i-S tn m s s 's t e r m i n o l o g y t h e r e is
b o t h p o ly g e n e a is a n d m o n o g ie n c sis h e re , a n d n e it h e r c a n b e u n d e r s c o o d
w i t h o u t c h e o c h e r.

The Great Unicy of che Cosmos: The Taiyi shertg shut

T h e T a iji sheng shut, a te x t d is c o v e re d in che G u o d i a n t o m b a n d p r o b a b ly
d a ti n g co che lace f o u r t h c e n r u r y b c ,3) d e s c rib e s a c o s m o g o n y fo c u s e d o n
T a iy i ^

, th e

G r e a t O n e . In rh is te x r, T a ijri is t h e fo rc e t h a t gives b ir r h t o

che c o s m o s . M

T he Greac O ne gives birch co water. Wacer goes back and supplemencs [Le.. joins
with] che Great One. They thereby complete Heaven. Heaven goes back and sup
plemencs che Greac One. They thereby complete Earth. Heaven and Earth [return
and supplement each ocher].ss
I n ch is o p e n in g p o r t io n o f che c o s m o g o n y , che G r e a c O n e is c h e p r im a r y
p o w e r. I t inicialljr g e n e ra re s , o n

ics o w n , w a ce r. W a t e r a n d c h e G re a c

O n e t h e n j o i n t o g iv e b irc h t o H e a v e n . T h e n H e a v e n a n d ch e G r e a t O n e
c o m b in e t o m a k e c h c E a r t h

h e

G r e a t O n e n o t o n ty b e g in s c h e p ro c e s s

w i t h a d i r e c t b i r t h ( w ic h o m a n o c h e r p a r t n e r b u c i t c o n d n u c s ro b e t h e fo rc e
w ttb w h ic h e a c h su c c e ss iv e s u b s ta n c e c o p u la te s t o c o m p le c e t h e n e x r su b *
s ta n c e . T h i s p ro c e s s re a c h e s ics c o n d u s t o n o n c e b o t h H e a v e n a n d E a r t h
h a v e b e e n c o m p le te d * C o n t r a r y ro m o s t t2 x \y C h in e s e c o s m o lo g ie s , H e a v e n
is n o t che h ig h e s t p o w e r. N o r o n ly is H e a v e n s u b o r d i n a te d co xhe G r e a t

33. For 4 ciisousion of (he Guodian find* see "Jingmen Guodiio yi hao Q m mu.* For
analyses of the Guodian texts, fee, in particular, Allan and Williams, Tbc Guodian Laozi; nd
Guo Yi CuodiMn ^m jisn yu xian-Qin xuahu sixt4 n ^
Relativdy little is known about Taiyi. He was evidently a god in at least (he southern
regions during (he pre-Han period. He appears, for example, in the Baoshan dtvmacioii
ten t from che state of Chu in che fourth century ec. For an excellent analysis of the paleo*
graphic reference o Taiyi. see Li Ling .An Arehacologiod Study of Taiyi (Grand Out}35
35.
Taiyi shen^shui, strip 1; hereinafter strip numbers1 gtven
1
in the renj the entire cexr ia
reproduced in GuoJian (humu dwjian, p, ii$.

D E S C E N D A N T S OF T H B O N B

l 6l

O n e , b u t ic is p la c e d w i t h i n 2 g e n e ra tiv e p ro c e s s chac ic d o e s n o c c o n tr o l.
H e a v e n is n o t a p o c e n d a lty c a p ric io u s p o w e r h e re ; i t is a p a r t o f a la r g e r
p ro c essu al m ovem enc.
F o llo w in g th e c o m p le c io n o f H e a v e n a n d E a r t h , t h e s u b s ta n c e s b e g in
c o p u la t in g a m o n g c h e m sc lv e s, w i t h o u t c h e G r e a t O n e : H e a v e n a n d E a r t h
j o i n t o g e t h e r a n d c o m p le te cw o m o r e s u b s ta n c e s , w h ic h in m m c o p u la te a n d
c o m p le te r w o m o re :

They (hereby complete the spirits and che tUtmunated (ibni min^. The spines and
che illuminated return and supplement each ocher. They thereby complete che yin
and yang. Yin and yang remm and suppltmenc each ocher. They thereby complete
the (bur seasons. The four seasons recurn and supplemenc each ocher. They thereby
complete the cold and hoc. Cold and hot return and supplement each ocher. Thqr
thereby complete the wet and dry. The wet and diy return and supplement each
ocher. They thereby complete che yt^x and then scop. (Strips 2 - 4 )
O f in ce resc h e r e is c h a r a ll th e s e fig u re s , f ro m ch e G r e a t O n e t h r o u g h
H e a v e n i E a r th ! t h e s p ir its , a n d t h e i llu m in a te d (shen ming), w e re g o d s a n d
s p ir its w h o re c e iv e d c u lt a t t h e tim e . T h e a u th o r s o f t h is t e x t a rc t h u s b u i ld
in g c h e ir c o s m o lo g y f r o m a c ru a l g o d s a n d r e a d in g t h e m s im p ly a s s u b s ta n c e s
in a b a la n c e d c o s m o s .
T h e n e x t s u b s ta n c e s m e n t i o n e d in che c o s m o lo g y i r e che c o ld a n d
h o r a n d che w ee a n d d r y . T h e c o t n b i m d o n o f che s e c o n d p a ir r e s u lts in che
f o r m a tio n o f che y e a r, a n d th is b r in g s ch e p ro c e s s co i ts e n d . T h e c o s m o s
is t h u s f o r m e d w h e n c h e w e t a n d ch e d r y r e s u l t in t h e n a tu r a l g e n e r a tio n o f

T h e te x t t h e n re c a p ic u k c e s c h e p ro c e s s a n d u n d e r lin e s t h a t ic a ll b e g a n
w ich che G r e a t O n e ;

Therefore the year was generated by wet and dry. Wet and dry were geoerared by
cold and hot. Cold and hoc were generated by che four seasons* The four seasons
were generated by yin and yang. Yin and yang were generated by (he apiriu and che
lUuminaccd. The spirits an<l che illuminated were generated by Heaven and Earth.
Heaven and Barth were generated bjr the Great One. (Scrips 4-6)
H o w e v e r , c h e cex t d r a w s a f u r t h e r c o n c lu s io n a s w ell: che G r e a t O n e p e r
v a d e s a ll chac w a s g e n e r a te d f ro m ic a n d is in & cc a c tiv e in che s e a s o n s t h e m
selves:

herefere the Great One is stored in water and moves in the eajons. Circulating
nd gfUn (four gr pli8 missin probably: -cartingf it takes itself ai the mother of

l6 l

D 6 S C G N D A N T S OF T H E O N B

the myriad things. Ac dines diminishing, ac cimcs flourishing, it cakes itself as che
alignmenc (jing) of chc myriad things. (Scrips 6-7)
The Great One pervades everything and is both the mother and the aligner
of the myriad things. Spirits do noc control natural phenomena, nor#as we
will see later in che Huainanzi, do they align che cosmos. Instead, che One
gives birth to the myriad things and aligns them.
Ic is therefore the one thing char cannoc be controlkd by Heaven, Earth,
yin, and yang: *This is what Heaven is unable to kill, what Earth is unable to
regulate, and what yin and yang are unable co complete. The gendeman who
understands this is called . . . [characters missing]" (strips 7-8). He who un*
derstands chic che Great One pervades and aligns everything understands
the movement of chc universe.
he authors then explain the alignment of che universe: HThe way of
Heaven is to value weakness. It reduces its completion so as to zdd to life. By
cutting back on strength, making clear.. .N(scrip 9)* Part of che text is unforcunicely lost, and ic is impossible to reconstruct the full argument. Buc it is
clearly incended co explicate che alignment that can be understood by che per*
son who knows che Great One. The text concinues: M
Below is che ground; it is
called Earth. Above is qi: it is called Heaven strip io). The interaction of
Heaven and Earth rakes place through che Great One, also known as the Way:
wThe Way is also its style-name (zi). I beg to know its name (mingy (scrip 10).
It can be given chc style-name of-the W ay/ bur the real name is unknowable.
This is presumably a reference co contemporary religious practice. As we saw
in Chapter 2, Yus placing che images of spirits on cauldrons allowed for a de
gree of control over chose spirits: naming domesticates deities by purring chem
within a system controlled by humans. Here, however, chc name is unknow
able: one cannot place che ancestor inro a humanly defined system, and one
cannoc gain concrol over it. One must simply encrust oneself co its name:
He who follows a&irs by means of che Way muse encrust himself co its name. Thus,
tasks are completed, 2nd the body grows. As for che sage s following of tasks, he also
encrusts himself co its name. Therefore, his achievements are completed, and his
body suffers no harm. (Strips 10-u)
The sage accomplishes his casks and suffers no harm. The reason for this is
not char he can transform che spirits who concrol natural phenomena buc
rather chat, by knowing the ultimate ancestor, che sage understands the ways
chat natural forces operate:

O B S C B N D A N T S OF T H B O N B

163

H e av e n a n d E a rth , che scyle-nam e a n d nam e, w ere e s u b lis h e d to g eth e r. T h e re fo re ,

if o n e transgresses th e ocher s bou n d aries, each (its 36wich th e ocher w ith o u t chink*
ing. [W h e n H e av e n w as in su ffid en c in ]37che n o rth w e st, chac w hich w as below
raised ic s d f chrough stre n g th . W h e n che E a rth w as in su ffid en c in th e soucheajc,
char w h ich w as above [seven g raphs m issing; che Use fo u r are p robably: I f th e re is in
sufficiency above], th e re is excess below ; if chere is insufRciency below # th e re is ex

cess above. (Scrips 12-14)

T h e s a g e u n d e r s c a n d s t h e d e g re e co w h ic h fo rc e s o f t h e n a tu r a l w o r ld s p o n c a n e o u s ly r e s p o n d co o n e a n o th e r . A s s u c h f h e is a b le co live a n d a c t efFeccivelyr in t h e w o r l d I n t h is c o sm o lo g y , n e it h e r h u m a n s n o r s p ir its a fF e a c h e
c n v ir o n m c n c c h e c o s m o s is s im p ly a s e t o f n a tu r a l fo rc e s c h a r r e s p o n d co o n e
a n o th e r . S a g e s i r e s im p ly c h o se w h o u n d e r s t a n d th e s e p ro c e s s e s p r o p e rly b y
u n d e r s t a n d i n g ch e G r e a t O n e w h o s e s ty le - n a m e is - t h e W a y ,
I n t h i s c o s m o lo g y , n a tu r a l p h e n o m e n a a re n o t c o n tr o l l e d b y i n d iv id u a te d
s p ir its . R i c h e r , che a u t h o r s o f t h i s t e x t a p p r o p r i a te d d iv in itie s a n d s p i r i ts
a n d m a d e t h e m i n t o c o s m o lo g ic a l fo rc e s. L ik e c h e te x ts d is c u s s e d in C h a p t e r

2, t h is eexe p r e s e n ts a g n o s is d if f e r e n t fr o m chac o f ie r e d b y ch e r i tu a l s p e c ia l
ises o f t h e d a y
a n y a n e m p c co m a n ip u la te c h e s p i r i ts o f che w o r ld t h r o u g h
d iv in a tio n a n d s a c rific e s w o u ld b e u se le s s w i t h in s u c h 2 c o s m o lo g y . H o w e v e r ,
t h e a r g u m e n t h e r e d e p a r t s s ig n iB c a n d y f r o m c h e c la im s se e n in C h a p t e r 2.
I n s t e a d o f c ry in g co e s ta b lis h f o r m s o f p o w e r w i t h in c h e a d e p t, che a u t h o r s o f
th is t e x t b a s e d p o w e r o n che s p o n t a n e o u s n a tu r e o f che c o s m o s w h ic h o p
e r a te s i n d e p e n d e n d y o f che a c to r . T h e r e 15 a n i n h e r e n t a lig n m e n t in t h e
c o s m o s , g e n e r a te d a n d m a i n t a i n e d

by che

G r e a t O n e f chac p ro v id e s che b a sis

fo r h u m a n a c tio n . P o w e r a n d k n o w le d g e a re t h u s ro b e g a in e d n o t

by a p p ro *

p ria c in g rh e p o w e r s o f s p in e s b u t b y u n d e r s t a n d i n g a n d s u b o r d i n a ti n g one*
s e l f ro t h e p a r r e m s o f che c o s m o s . T h e c o s m o s is t h u s s e e n a s fo llo w in g a
n o r m a tiv e p a r t e m d is c e rn ib le

by c h o se

w h o icn o w h o w co a n d e r s c a n d it.

T h e c o n s e q u e n c e o f chis is t h a t che T en sio n s b e tw e e n h u m a n i t y a n d

H e a v e n f o u n d in M e n c iu s a re h e r e c o m p le te ly c r a s c i H e a v e n is h e r e a n o ff
s p r i n g o f a y e t e a rlie r a n c e s r o r t h e G r e a t O n e . A n d H e a v e n b e c o m e s s i m
p ly a p a r t n e r w i t h a n o t h e r o f& p rin g , G a rth , w ic h w h o m ic m a c e s co g e n e r a te
th e r e m a in d e r o f th e c o s m o s . H e a v e n , E a r th , a n d t h e r e m a in d e r o f t h e c o s -

36. Following Qiu Xigui in reading che missing graph as dan^

see Guodian chumu zhu-

jinn, p. ia6ni7.
37. Following Q iu Xigui in reading the three remaining missing graphs as
ibid.

see

D E S C E N D A N T S OF T H B O N 6

164

m o s a re g e n e r a te d a n d a lig n e d b y t h e O n e , a n d a n y m o v e m e n t b y o n e fo rc e
s p o n ta n e o u s ly b r in g s a b o u t a m o v e m e n t b y its p a ir. N e i c h e r H e a v e n n o r 2ny
o f t h e d e itie s c a n b e c a p r ic io u s in t h is s c h e m a .
T h i s p o in c a llo w s u s t o re fle c t f u n h e r o n s o m e c la im s m a d e c o n c e r n in g
C h in e s e c o s m o lo g y . I n p a r tic u la r , J o s e p h N e e d h a m s d e s c r ip tio n s o f e a rly
C h in e s e c o s m o lo g y , d is c u s s e d in che I n t r o d u c t i o n , d e s e rv e a c lo s e r lo o k .
S c h w a r t z c ritic iz e s N e e d h a m s b io lo g ic a l m e t a p h o r s ( p ^ r n c u la r ly d i e de*
sc rip c io n o f che c o s m o lo g y a s Mo r g a n is m ic M), a rg u in g , a m o n g o r h e r th in g s ,
chac N e e d h a m s te r m in o lo g y is s o m e w h a t c o n tr a d ic to r y . A s S c h w i r c z cor^
re c tly p o i n ts o u t , N e e d h a m s n o d o n o f a h a r m o n y o f w ills im p lie s d isc in c riv e
w ills chac a re th e n h a r m o n i z e d e x a c tly c h e o p p o s ite o f w h a t N e e d h a m is
c ry in g co im p ly ; . T h e r e is m u c h ta lk [in N e e d h a m

o f 'c o o p e r a t i o n o f p a r ts

o r * h a rm o n y o f w ills / w h ile a v o id in g t h e & cc c h a t t h e im a g e o f c o o p e r a tio n

in e v ita b ly s u g g e s ts t h e n o t io n o f in itia lly s e p a r a te e n titie s w h ic h c o m e
c o g e th e r co c o o p e r a te .'M8 A l t h o u g h S c h w a r t z s i n t e n t is t o illu s tr a te N e e d
h a m s p o o r c h o ic e o f w o rd s , I w o u ld a rg u e c h a r che p o o r c h o ic e is, u n in ce n *
c io n a lly , q u i te fe licic o u s: w h a t is g o in g o n in C h in e s e c o rre la tiv e t h o u g h t is
p re c is e ly a n a t t e m p t co p u ll c o g e rh e r e le m e n ts p e rc e iv e d co b e d is c in c r a n
a t t e m p t co c la im a f o r m o f c o n c in u ic y p re v a ilin g a g a in s t d i s p a r a t e e n c id c s .
C o n t i n u i t y is n o t a s s u m e d ; it is c r e a te d . I n t h e c a se a t h a n d , d i s p a r a t e d e itie s
a re d e f in e d a s d e s c e n d a n ts o f c h e G r e a t O n e , a n d c h a t a n c e s t o r is p re s e n c e d
a s c o n ti n u i n g co a lig n a n d p a rc ic ip a c e in che a c tio n s o f che d e s c e n d a n ts .
A c c o rd in g ly , c h e a c tio n s o f e a c h o f ch ese p o w e rs a re s e e n a s a s p o n t a n e o u s
r e s p o n s e t o che a c d o n s o f t h e o c h e rs . A ll# in o c h e r w o rd s , a re i m b u e d w i t h
th e O n e .
T h i s f i r s t in s ta n c e o f c o rrc la c iv e c h in k in g a p p e a r s in a c o s m o lo g ic a l
sjrscem in w h ic h t h e O n e is p o s i t e d a s che a n c e s to r o f che c o s m o s . A s w e
s h a ll see, c h e b a s in g o f c o rre la riv e r h i n k in g in a c k i m o f g e n e a lo g ic a l d e s c e n t
f r o m a s in g le a n c e s to r w ill c o n ti n u e c h r o u g h o u r m u c h o f che W a r r i n g S ta te s .
T h e d e b a t e w ill r u m t h e n to issu e s s u c h a s W h a t is c h e r e la ti o n s h ip o f
h u m a n s t o t h i s O n e ? D o th e y s im p ly c o n f o r m t o che p a t t e r n s o f t h e O n e ,
o r c a n rh e y a c h ie v e p o w e r b y m e a n s o f t h e O n e a s w ell? A n d , i f th e y c a n ,
u n d e r w h a t c ir c u m s u n c e s is ir a c c e p u b l e t o e x e rc is e s u c h p o w e r? A n d d o e s
o n e u s e c h e tr a d i t io n a l a r ts o f sa c rific e a n d d iv in a tio n co d o ch is o r s o m e
o r h e r m e a n s?

D E S C E N D A N T S OF T H B O N E

165

B e c o m in g a n A n c e s to r to th e P e o p le : T h e L aozi
I n r h e G u o d i a n c a c h e , t h e T aiyi sheng shui t e x t is lin k e d w ich , a n d mayr h a v e
b e e n a c ta c h e d to , th e t h i r d o f c h e te x ts c o n c a in in g c h a p t e r s o f t h e L aozi .39
T h e Laozi d o c s , in d e e d , c o m p a r e in m a n y w a y s w i t h T aiyi sheng s h u i ^ T o
b e g in w ith , i t p o sie s a c o m p a r a b le c o s m o g o n y :

The Way gives birth co chc One,

che One gives birch to che cwo,
chc two give birch co the three,
the chree give birch co che myriad things.
The myriad things carry che yin and embrace che yang,
and blend die vapors so as to become harmonized. (Chap. 41)
A l t h o u g h w o r k e d o u t d ifF e re n d y , t h e c o s m o g o n y o f t h e Laozi, lik e t h a t o f
che T a iyi iheng shui, is b a s e d o n g e n e r a tio n f r o m a n o rig in a l a n c e s to r , c h e
W ay.
A ls o lik e che T aiy i sheng shui, c h e Laozi d is c u s s e s che W a y in t e r m s o f its
n a m e (miVij) a n d s c y le -n a m e (z i):

There is 2 thing chaodcally completed,

born before Heaven and earth.
Still and quiet,
scanding alone y e t unchanging,
going around yet never becoming weary,
and capable chereby of being che mother of all under Heaven.
I do not know ics name (m ing),
Its scylc-namc (zi) is M
chc W a ^
If forced co g^ve ic a name, ic would be called M
GreacM(da). (Chap. 25)
T h e a n c e s to r o f a ll t h a t e x is ts c a n b e g iv e n a s ty le - n a m e o f * t h c W z y , u b u t ics
re a l n a m e is u n k n o w a b le . H e r e a g a in , o n e c a n n o t d o m e s tic a te o r c o n tr o l t h e
d iv in e p o w e r b y le a r n in g ics n a m e .
U n lik e t h e Taiyi sheng shuit h o w e v e r, chc Laozi c a l k o n th e a d e p t t o r e tu r n
ro th is a n c e sc o r:

39. On the nature of che Guodian Laozi chapters, see Roth, "Some Methodological Issues
in chc Srudy^ of the Guodian /^iozi Parallels/
4. My undencanding of rhe Laozi has been aided greatly by the essays iii Religious and
Philotfipbical Atpccb of the Laozi, edited by Mark CiiksxentmitiaJyi and Philip J. Ivanhoc.

i66

D E S C E N D A N T S OF T H E O N E
A ll u n d e r H e av e n h a d a beginning.
I t can be raken as th e m ocher o f all u n d e r H eaven.
O n c e you have o b ta in e d che m o th e r,
y ou can th e re b y k n o w th e sons.
O n c e y^ou have k n o w n che sons,
you can re tu rn a n d h o ld fasr ro che m o th e r. U n rii che e n d th e re w ill
be no h ir m . (C h a p . 52)

T h e c ru c ia l p o i n t h e r e is rh a c [ h e sa g e d o e s not s triv e s i m p l y ^ u n d e rs c a n d ,
fo llo w , a n d a c c o r d w i t h che g e n e ra tiv e p ro c e s s o f che W a y . O n c h e c o n cn u y ^
c h e sa g e re v e rs e s t h a t g e n e ra tiv e p ro c e s s a n d r e t u r n s t o c h e s o u r c e o f p o w e r
c h e a n c e s to r .
B y d o in g s o r d i e a d e p t g a in s che s a m e p o w e rs a n d g e n e r a te s t h e s a m e
h a r m o n y a s che W a y itself;
T h e W a y is nam eless.
A lth o u g h che u n carv ed block is sm all,
no o n e is able co su b o rd in a te it.
I f princes a n d kings w ere able to h o ld fasc co ic,
T h e m yriad thin g s will subm ic o n c h d r ow n,
a n d H eav e n a n d G arth will h a rm o n ize wich each ocher
a n d se n d d o w n sw eet dew.
T h e p eople will a d ju st them selves,

yec no on e violl o rd e r chem* (C h a p , yi)

B y h o l d in g f a s t co che W a y , c h e a d e p t is a b le co m a k e a ll c h in g s s u b m i t
t o h im , t o c o n tr o l che p o p u la c e w ith o u c r e s o r tin g t o o v e r t c o m m a n d s , a n d
e v e n co b r in g H e a v e n a n d H a rch in co h a r m o n y . H e b e c o m e s ! in a se n se ,
lik e che a n c e s r o n b e is a b le co g e n e r a te o r d e r a n d c a u s e e v e r y th in g t o s u b m i t
to h im .
T h e r u l e r is t h u s a b le t o a c c o m p lis h e v e ry th in g , b u r i t w ill s e e m co che
p e o p le a s t h o u g h e v e ry th in g is s im p ly o c c u r r in g n a tu r a lly , w i t h o u t a n y di^
re c c in g w ill:
W h e n his achievem encs are co m p leted a n d casks finished!
T h e c o m m o n ers say d u e

arc like chis naturally ( h ra ) ,

C h a p . 17)

S in c e che p e o p le c h in k che o r d e r b r o u g h t a b o u t b y che r u l e r is 2 s p o n t a n e o u s

p r o d u a o f t h e W a y , c h e ^ readilyr a c c e p t it. I n c o n rra s c t o t h e sa g e o f che

Taiyi shrng shui, ch e sa g e o f cfae Laozi is n o c a c c o r d in g w ic h a p re ex isc in g

n a tu r a l o r d e r, n o r is h e s im p ly fo llo w in g t h e o r d e r o f c h e a n c e s to r che O n e .

D E S C E N D A N T S OF T H E O N E

167

I n s te a d , che a d e p t is a c c o r d in g w i t h che a n c e s to r in o r d e r t o g a in ics p o w e r s

a n d c r e a te a n o r d e r o f h is o w n c h o o s in g .
A l t h o u g h che Laozi is o f te n c h a r a c te riz e d a s a n e x p r e s s io n o f 2 f o r m o f
n a c u ra lis m , I w o u ld a rg u e chac che e p i t h e t is e v en le ss a p p r o p r i a te fo r che

Laozi c h a ji i t is fo r Z h u a n g z i a n d M e n c iu s* I n t h e Laozi c h e sa g e d o e s n o t
m o d e l h i m s e l f o n n a tu r e : h e m o d e ls h i m s e l f o n t h e

Waty, w h ic h is che a n c e s

t o r o f t h e n a t u r a l a n d h u m a n w o rld s . H e t h u s g a in s p o w e r o v e r b o th : che
n a tu r a l w o rld , lik e t h e h u m a n w o rld , s u b m i ts co h im , n o t r h e o t h e r w a y
a r o u n d . M o r e o v e r , che sa g e d o e s n o t a c t n a tu r a lly a t all. T o b e g in w ith , h e
re v e rse s t h e n a r u r a l g e n e ra tiv e p ro c e s s t o r e t u r n t o che W a y . H e c h e re a fc e r
fo o ls p e o p le in to th in k i n g t h e s u b s e q u e n t p h e n o m e n a ch ey w im e s s a r e n a c u
ra l, w h e n in filer th e y a re s im p ly h is w is h e s .
I n s h o r t , ch is is n o t a n a c u ra lis m a all; i t is y e t a n o t h e r fo r m o f self*
d i v in iz a tio n a c la im c h a t h u m a n s c a n , c h ro u g h se lf-c u ltiv a c io n , g a in d iv in e
p o w e rs . B u t, in c o n rra s c co che '" N e iy e ^ t h e c la im h e r e is n o r m a d e t h r o u g h a
p o s ite d c o s m o lo g y o f

qi, e sse n c e , a n d s p ir it, a n d t h e a r g u m e n t is n o t c h a t

h u m a n s h a v e che a b ility co b e c o m e lik e s p irits . Ic is, r a th e r , a g e n e a lo g ic a l

c la im in w h ic h c h e a d e p t is a b le co a p p r o p r i a te a n d t h u s g a in che p o w e r s o f
th e u l d m a t e a n c e s to r o f t h e c o s m o s .
W h e t h e r s u c h 2 c o s m o lo g y s h o u l d b e t e r m e d c o rre la c iv e d e p e n d s o n
o n e 's d e f in itio n o f r h e te r m . B u t I w ill a rg u e t h a t id e a s s u c h a s c h o se s e e n in
che Laozi a n d T aiyi shengshui w e re c ru c ia l fo r che d e v e lo p m e n t o f k c e W a r
r in g S t a te s c o rre la tiv e c o sm o lo g ie s.

Using chc One to Explore Heaven: The S h iliu jin g

T h e ^ C h c n g fa " c h a p t e r o f t h e Shiliujing, o n e o f t h e eexes d is c o v e re d a r M a w a n g d u i, re v e a ls a c o n c e r n w ith c h e O n e s im ila r t o chac s e e n in t h e T aiyi shertg

shut,41T h e c h a p t e r c o n s is ts o f a d ia lo g u e b e tw e e n H u a n g d i a n d h is m in i s t e r
L i H ei H u a n g d i is c o n c e r n e d a b o u t ch e g r o w t h o f d is s e n s io n in h is re a lm :

Huangdi asked Li H d ^Ic is only I, the One Man, who has united and raken pos
session of all under Heaven. But cunning people are continuing co grow, and clever
debaters are using craftiness. They cannot be opposed with laws. I fear rhat some
will employ them and thereby bring chaos co all under Heaven. I wish to ask if all
under Heaven hts complete laws chac can be used co rectify che people?1*42

i_ My translation hat been aided by Yatca. Fim Loit Cbuia, pp. 135-37.
4 S*ShiUujifif, In M4Wiit|dni hUnmu b o th y , tt 71
hereinafter dred in the text.

J68

D E S C E N D A N T S OF T H O N E

Li Hei responds by first discussing the ancient period:

Li Hei responded: wYes. In ancient cimes when Heaven and Earth had been com*
pleted recnfied were the names and in harmony were che forms, [graph missing]
chereby held fast to che one name. They connecced ic co Heaven above 2nd extended
ic to rhe four seas. I have heard of che complete laws under Heaven. Therefore it
is said: Instead of the many, speak of che One and then stop. Accord wich
che name and return to che One, and chc people will not bring disorder co the reguladoas.N (1:72)
In che implicit cosmogony here, names emerged with Heaven and Eanh.
Moreover, the one name is porcrayed as Rilly graspable by humans. Byaccording with ic, che ruler can return co rhe olcimate ancestor and regulate all
che descendants.
Huangdi then inquires whether che One can srill be possessed, and Li
Hei assures him rhat ic has been accessible throughout history:
Huangdi said: M
I wish co ask if all under Heavea can still possess che One.NLi Hei
responded: wIn ancient amts, august Heaven made che phoenix descend co say one
word and rhen scop. The five chearchs employed ic#using ir co dear Heaven and
Eirth/ calculace che four seas, cherish che people below and rectify che officers of
che firsc generaciorL For this reason, all Lhe slanderoiu people recreated, and che
worthy men arose. The five evils were expunged, and che clever debaters stopped.
They accorded wich che name and returned co the Oner and che people did not
bring disorder co the regularions." (1:72)
by according with che name^ che rhearchs were able to righc Heaven and
Earth and order rhe world
Huangdi next asks abouc rhe One icself:
Huangdi asked, M
As for the One: is it chc One and thafs all? Does k ako grow?** U
Hei said: M
The One is the root of che Way. How couid it be $0 and yet not grow?
[cwo graphs missing] is lost, ic is because no one is holding fasc co che One. The Iib
eradon (jic) of che One allows an cxploracion (c^a) of Heaven and Garth. The partern (li S ) of the One extends to the four seas/* (1: 71)
The paccern of che One extends throughout che world. Consequend/i
by holding fast co che ancesror, che adept is liberated and thus able co ex
ceed normal human limitations and co explore Heaven and Eardi. Moreover,
che pacrem of che One extends throughout che world. The scacemenc is
almost precisely che same as che one discussed in Chapter 2 from the "Nei^e":

D B S C B N D A N T S OP T H B O N B

169

The Way filb all under Heaven. Ic is everywhere chat people reside, but people are
unable to understand. With the liberation (jic) of che one word, one explores (cha)
Heaven above, reaches to Barch below, and encircles and (ills the nine regions. What
does it mean to be liberated by it? It resides in che stability of che mind/3
As noted above, however, the "Neiye** presents this liberation as occurring
entirely within the mind of che adept. Here, che One is presented as che an*
cescor and the unifying link of che cosmos, and the adept is called upon to
Li Hei continues:
How can one understand che endpoint of complying and che comprehension of &r
and near? Only che One is noc lose. The One thereby impels cransformacions. The
few can be used ro know che aunyr. Now, for gazing chroughouc che four seas,
reaching che farthest points above and below, with che four directions embracing
each ocher: each follows ics own way* Now, a hundred words have a basis, a thou
sand words hive essentials, and a myriad words have cocaliry. As for che numerousness of che myriad ching^: all pass through one hole. (1:7a)
The One chus becomes che ground for control:
Now, if not a rectified person, who would be able to regulate thi$? He must be a rcccified person, chereby able to manage reaificadon so as to recrify che strange, grasp
che One so as co understand che many, expel whac is harmful co che people, and
support whac is appropriate for che people. He manages all by holding fasr to che
One, and he shares cht same endpoints as Heaven and Earth. He can thereby know
che good fortune and misfortune of Heaven and Earth. (1:72)
By holding hst co the One, one is able co understand and regulate alL Again,
as in che ^Neiye/ one is able co understand good fortune and misfortune.
Bur, if the adept in che l^eiye" is liberaced through inner cultivation! che
sage of che Shiliujing frees himself by holding hst co chac which generated and
continues to pervade cvciything.
All three of che texts discussed chus hrche Taiyi sheng shui, the Laozi,
and the "Chcngfe** chapter of the Shiliujinghave a similar monogenedc
cosmology: cvciything that exists, wc arc cold, was generated from a single
ancestor usually termed the One. Accordingly, great powers over the
descendants of thac ancestor including Heaven and Earth chemselves
can be obtained if one can return to char ancestor. The exaa method (or

4J.

16.jb.

17

D B 8 C B N D A N T S OF T H B O N B

remming varies by cextf as do che powers chac can be obcainedL Bur whar is
of interest here is how this cosmology reverses char seen in the sacrificial
models. The sacriBcial models assume a radical disjunction between che
hunun realm and che world of spirits. The goal was thus co nyf within the
limits of what was possible, co anthropomorphize che spirit world beginning
with che local and most immediate spirits and working ones wa)r up the
pancheon co, one hoped, Heaven icsel In these cosmological models, how
ever, che claim is nor char there exists an inherent disjunction beeween the
human, natural and tpiric realms bur rather char all things humans, na*
cure, and che entire pantheon of gods (including Heaven)arc descendants
of a singk ancestor, and all rhings are thus direedy related b)r descent. Thus#
understanding or (in ocher texts) Holding &sc co this ancestor^ one can
gain knowledge or even direa power over all things. These cosmological
cem are, in short, an actemjKto reject a sacrificial model of die cosmos byr
asserting ibsolutc monogeiKsis and by claiming a consequent ability to rc*
cum directly to che ulcimacc ancestor insread of having co work up (and
transform) the pantheon with sacrifices beginning at che local leveL
Becoming 2 Spirit: The "Xinshu** Chapters o f the Guanzi
Read in this wa^ the cosmological texts under consideradon in this chapter
are similar co chose discussed in Chapter 2. And, indeed^ che auchors of
che "Xinshu, shang" and "Xinshu, xia/ chapcers 36 and 37 respectively of the
Giionzii44 modeled chcir arguments direedy on chc
Not onljr is
che overall cosmology quite similar to chat seen in die
bur signifi
cant portions of these chapcers arc based on passages from the ^Neiye."
However* the arguments concerning self-divinizacion go much &rther chan
those found in the ""Nciye^
The authors of die *Xinshu#xiaMbegin by focusing on the recdficadon of
the form and che resting of che essence within: T f the form is noc rectified,
die power will not arrivefcht essence is not within, die miiul wdl not
be regulated. Reaify che form and illuminate the power, and all che myriad
things will arrive on their own.**43 The passage is almost idendcal co one

44. For an exceUent diicuttion ofhe relationihip between the ^Neiyc** and thdimhiT
chapceri, sec Roth. **Redaaion Criticitm and ihc Early History of Taoism"; and idem, Ori|iim! Taot pp, 23-30. See alio Rickcit, Giumx^ pp. $6-58,65-70*
4$. Cmikii "Xinihu, xii," i).5b-6i hercinalter dted in the ton.

D E S C E N D A N T S OF T H B O N B

t7l

from the T^ciyc": *lf the form is nor rectified, the power (Jt) will not arrive.
If y o u are not still wichin, che mind will noc be regulated. Reaify the form
and assist the power."46Building on the arguments of the "Nci^e/ the au*
chors of che M
Xinshuf xumposit a cosmology based on form and essence.
Maincaining chese properly allows one ro obtain power, regulate che raincL
and thereby bring che myriad things to oneself.
As in chc "Ntiye,** chc cosmos is monisde. He who grasps che One is chu3
able ro explore cvciything: ^Therefore, as for the sage, rht one wordliberaces
him. He explores Heaven above and explores Earth below** (i3&i). Alchougfi
the sage never leaves his form, he is abk to explore die cosmos simply
grasping che one word. And, again as in die ^Nei^e/ this allows him ro ruk
all che myriad things:
He who grasps che One and does noc lose it is able co become the ruler of che myr*
iad things. He shares che same brightness of che tun and moon and shares che same
pattern as Heaven and Barth. The sage regulates things; things do noc control
him. (13.6b)
The claim here exceeds anything seen in che
Grasping che One not
only gives che sage access co chc cosmos* ic in &cr allows him ro gain che
same piccem as Heaven 2nd Earth and achieve the same brightness as the
sun and moon* He has the same powers of control as Heaven itself.
This emphasis on che divine powers of humans is parncularty clear in the
way the authors play off the discussion in che *NciyeMconcerning ibcii. The
texr ilefines spirit as that which is so refined as ro be immeasurable by ordi*
nary human experience and y e t u n d e r s t a n d s everything: mA s for ebe spirit,
no one knows its uldmace poinc. Ic brillundy knows all under Heaven and
penetrares che four uldmace poincs" (K3-5b-6a). The text then quoccs che
**NeiyeMpassage on divinadon. Incr^uingly. however, ic omits che admonition ro concentrate "as if a spirit* (ni
see p. 115):
Can you concentrate? Cm you unify? Can you not engage in crackmaking or milfoti
divination and yet understand auspidousness and inauipiciousness? Can you stopf
Can you reach an end? Can you noc ask others 2nd obcain ic in yourself^ Therefore
it ii said: M
If you chink about it and chink about ic but do noc obtain ic* che ghosts
andpiric willeach ic? This is not due to the power of ghosts and spirits; it is due
to che ulcinuce point of rhe essenrial qim (i3.6a-b)

172

D E S C E N D A N T S OF T H B O N E

The passage concludes by defining the sage in precisely the same terms used
to describe che spirit: M
He brilliantly knows all under Heaven and penetrates
the four ultimate points** (13.7b). The claims ore essencially those of the
^Neiyre," but the authors cake che additional seep of implying that one can in
fact become a spirit and gain full knowledge of all under Heaven.
Another chapter of the Guanzi, the M
Xinshu, shang," makes che point ex
plicit. The text ac one point makes a claim clearly reminiscent of the NNeiye*
M
If one empries ones desires, che spirit will enter and dwell. If in clearing one
docs not cleanse fully* che spirit will leave.wIt then provides a commencary co
this sracemenn
That which regulates man is essence. If you discard desires* then )^ou will be all*
embracing. If you are all-embracings then you will be sdll. If you ire still, you will be
of essence. If you are of essence, you will esublish yourself alone* If )^ou are alone,
you will be illuminaced. If ^ou are illuminated, you will be a spirit. The spirit is the
most valued Thus, if a hallway is nor opened and cleared, then a valued person
would not reside in it. Therefore ic is said: M
If you do noc cleanse, che spirit will not
. ,A7
remaia
Utilizing che same cosmology and same terminology as the W ciye, che auchors of the ''Xinshu, shang1*make the full cl^im chat humans can in face be
come spirits*
Like che "Chengiwchapter of the Shiliujirtg, die authors of these cwo
chapters posit 2 monistic cosmology in which the adepc should attempt ro
grasp che One. But, whereas che M
ChengfaMis built on an argument for the
necessity of understanding and controlling che many by means of che One,
che authors of these chapters are arguing chat che sage can in facr become a
spiritruling over che 111)0^(1 things! possessing che same pattern as
Heaven 2nd Earrh# and penerracing to the four points of the cosmos. De
spite cheir differences, however, both follow a similar move: both present 2
monogenecic cosmos, and both cl^im thar che ruler can gain great powers by
returning directly to the One.

Becoming Like Heaven: The L iish i chun qiu

Manjr f these cosmological arguments were further elaborated in the Lushi
chunqiu, a text put together Lu Buwei at the coun of Qin around 239 b c .
The text is#among ocher things, an argument for universal rulership. Com^
47. Quanzu M
Xmshu#ihang," 13.1b,

D E S C E N D A N T S OF T H B O N E

173

piled at a time when the Qin uniHcacion of chc states became a rcaJ possibil
ity, the text appears to be part of a court debate over whac chc ideology of
the scare of Qin should be.
The received cradition holds that Lii Buwei commissioned a number of
scholars to write chapters for a work chat would encompass ail knowledge of
rhe time. Why such a cradition would develop is clean the overall claim
made by che texr is one of indusivicy. Althoughhe specific arguments vaiy
firom chapter to chapter, each chapter attempts to pull cogecher distinct po
sitions into larger, totalizing systems. Moreover and more important for rhe
concerns of this chaprery the attempt is usually made within cosmological
frameworks. The rext thus reveals an array of cosmological positions raking
shape in che mid-third century bc: since the place of humans varies firom
chapter to chapter, chc text serves as an excellent series of examples of some
of the disparate lace Warring Scares atcempcs co envision rulership within a
cosmological framework.
The text also provides a snapshot of a debate at the Qin court on the eve
of the imperial unification. In che short run, as we shall see, die positions as^
sociaced with the Liishi chunqiu fiiilcd co win our ar courtsoon after the work
was completed, Lii Buwei fell from power, and chc Qin court thereafter pro
vided little support for such ideasnor did it do so after che formation of
the Qin empire. We thus gain a glimpse as well of the precarious position of
correlative cosmology ar che courts of the day.
The text continues the critique of ritual specialists, as well as che critique
of rulers of the dajr for employing them. For example, chc H]ic shuMchapter
sees acrempts to manipulate che world of spirics as causing che problems they
arc supposed to prevent: ^In chc current generation, the rulers use crackmak
ing and milfoil divination, praying, and sacrificing. Therefore, sickness and
disease come all che moreM48The same chapter has similar criciques of chc
specialises and physicians" figures whom chc Nrhe ancienrs held in
contempt.'*4849 Such criticisms show the degree co which, even as lacc as 240
bc, cosmologisrs still perceived themselves co be a. minoricy voice at the court
2nd rhoughc ic necessary to argue chat chc rulers of their day shoald noc re
sort co such ritual arts as divinacion and sacrifice. The poinr is worth em
phasizing, since man^ rwcndcrh-ccnrury analyses take the cosmological

4 8 . LQshi
4 9 *Ibid.

chumjiu, M
Jieiliur 3.54 .

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D E S C E N D A N T S OF T H E O N E

claims in texts like the Liishi chunqiu as evidence of (undamencal scruccures of

Chinese chouglu srnd overlook the origins of chese texts as polemics against
the dominant praaices at the courts of the day. And they were arguments
that would concinue to bef for much of the next two centuries, quite unsuc^
cessfiil.

The M
Dayue^ chapter, an essay on music, opens wich a cosmogony designed
to place both the origins of music and che sages* utilization of music within a
broad generative frameworka framework reminiscent of rhe Taiyi shertg
shui:
The origins of tones and music are distazu. They were generated of measures and
rooted in che Great One (Taiyi). The Great One produced che cwo forms, che two
forms produced che yin and che yang^ the yin and che yang changed and transformed,
one above and one below, joining and compleringp confused and chaotic, separating
and then again joining, joining and then again separating. This is called che con*
scanqr of Heaven. Heaven and Garth were the wheel of a charioc, ending and then
again beginning, reaching the extreme and then again returning.50
As in che Taiyi shengshui, che cosmogony here centers around the Great One.
Buc unlike chat earlier rexe, che role of che Great One was co give birch co
cwo forms! which then gave birth co che yin and png.
The inceracdon of these cwo creaced the seasons, and ouc of this che myr
iad things were bom:
The four seasons repeacedlyr irose, now hoc, now cold; now shore, now long; now
soft, now hard. The myriad things were whac emerged, inidaced (zoo) by che Great
One. transformed che yin and
germinating, sproucing, developing, growing,
growing cold, and freezing all so as ro be formed. (5.3b)
The proper and harmonious iunccioning of rhe cosmos allows for the contin
ued growth of things. The sounds produced from che ensuing harmony be
came che basis for che sages* formation of music "The form and substance
have a place; eveiything has a sound. Sound is produced from harmony har^
monyr is produced from being fitting. When ic was harmonious and fitting,
che former kings determined (ding) che music (Music) was generated from

D B S C B N D A N T S OF T H B O N B

175

this*1(5.3b). Harmonious sound is thus a product of the growth of the cosmos

itself, and che sages created music by determining chose natural harmonies.
Music thus exemplifies this nacural harmony: "All music is the harmonizing
of Heaven and Earth and che blending of yin and yangw(5.4^)* Hence, che
sages use music co mainrain Heaven and Earth in proper harmony.
The Great One is the source of this harmony* As the authors argue in
a passage almost identical co statements in both che Taiyi sheng shui and
che Laozi: T h e Way is che utmost essence. It cannoc be formed; it cannot
be named. If you are forced co do so, call ic che Great One. Therefore che
One regulates and commands, and che two follow and obcyw(s.4a-b). Consequend)rf humans who can use che One are able co bring harmony co nacure:
He who can use che One co bring order co his body will escape from disaster, live a
long life co che end, and keep incaa his Heaven (Tian) He who is able co use the
One to govern his scace will cast out depravity and licenciousnesSf accraa che wonh^f
and complete che grear transfbrmadon. He who is able co use the One co regulate all
under Heaven will cause cold and heat co be moderated and che wind and rain co be
cimely, and will become a sage. (54b)
By utilizing che Onef an adept can bring che naturad world co its proper (irui*
cion: che individual will live ouc his allotted lifespani che ruler of a scace will
bring order to his realm, 2nd che supreme ruler of all under Heaven will
properly modulate che forces of nature*
Humans thus play a crucial role in moderating not only human nature
but che entire natural world. Music occupies 2 middle posirion hereic is
based on che generative processes of nature, and ytt ic is one means humans
use to regulace nacure Humanity is chus#even in rhe formation of music, che
fiilfiller of natural processes. The way co control che wind and rain, therefore,
is not by crying to manipulate che spirits who control such forces but by
connecting oneself co the Great One and thereby helping co maintain the
harmony of the cosmic forces. As in the ^Chcng&Z' the argument here is that
che adept should conform co an external One.
HBcnshertgm
In contrast co the HDajruMchapter and the wChcngfer the authors of several
other chapters in the L bi.
buik their cosmological arguments on
claims concerning shot* The wBenshengMchapter! one of che most interesting
of these essays, makes cosmological claims for the pocencially divine powers

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D E S C E N D A N T S OF T H B O N B

of humans through a complex argument concerning ancestors and humans.51

The opening scatcmcnc plays on the title of the ruler, the ^son of Heaven^
(fiflwzi): "That which first gives birth (sheng) is Heaven; the one that nour
ishes and completes is man. The one who is able to nourish what Heaven
generates wichour perverting it is called the Son of Heaven.*"52Heaven is a
generative power, and humans nurture what Heaven has generated. How
ever, such activities risk a perversion of die inheritance, a perversion thar can
be avoided only by the Son of Heavenchat is, he who is a proper son,
properly following what the parent, Heaven, has generated.
The text continues:
The actions of the Son of Heaven take the completing of Heaven as their cause. Ic is
for this reason that officials are established. The establishment of officials is done in
order co complece life. The deluded rulers of the present age sec up many officials
buc concrarily^ use rhem to harm life. They thus lose the purpose for establishing
chem (1.4a)
The sole goal of rhe st2te should be co complece Heaven. And the same
point holds at die level of human nature. Again, che emphasis is on the ne
cessity of nurturing human nature and on die dangers of perverting in
Ic is rhe narure of man co be long-lived. Buc things (u/u) disorder ictherefore, ic does
nor obtain long life. Things are used co nurture che nature; diey are not what uses
che nature0 be rnmured. (1.4a)
The concern! therefore! is not co use oneself ro help things buc che exact
opposite:
Of chose who are deluded in che present age, many use che nacure co nurture things.
They do not understand [che disnnccions of] lightness and heaviness. He who does
not know lightness and heaviness cakes heavy as lighr and light as heivy. As such,
every action &ils. (1.42-b)
The ability to nurture correctly thus resides in a correct understanding of
discincrions. Accordingly che sage consumes only those things char are
beneficial:

51. My understanding of rhis chapter has been helped by the insightful comment in Gra
ham, HTlie Background of the Mencian Theory of Human NsitureMpp. 13-15. ]t however,
question Graham s attempt co read the chapter as Tangist."
52.
WenshengT i.3b-4a; hereinalier cited inlie tex.

D E S C E N D A N T S OF T H E O N E

*77

Therefore, as regards a sas rcladon co sounds, colors, flavors, and tastes: if they
are beneficial to his nacure, he takes them. If chey are harmful co his ninire, he re
jects them. This is che way of completing his nature. (1.4b).
And completing his nature is tantamount to completing his Heaven:
Therefore, che sage regulates che myriad dungs so as co complete his Heaven. If his
Heaven is complete, then his spirit will be harmonized, his eyes will be dear-seeing,
his ears keen of hearing, his nose good at smelling, his mouth quick, che 360 joints
all connected and sharp. (1,51)
By thus regulating che myriad things, the sage is able co perfea his heavenly
endowmenr. His powers and faculties then connect properly with the rest of
che cosmos: as his spirit becomes harmonized wich che cosmos, his senses
are able co perceive without error. As a consequence, the sage himself be
comes like Heaven and Earth:
His essence will penetrate Heaven and Earth, and his spirit will cover the universe.
As regards things: chere are none he does nor receive and none he does not incemalize. He is like Heaven and Earth. (1.5^)*
The cycle is complece. Heaven gives birch co man, and man chus has a
pan of Heaven wichin him. The goal of man is to utilize the things of die
world to complete that which Heaven has given. The true sage the person
who is able co complete this process ulcimaccty incemalizes all things
wichin himself, and his essence and spirit penetrate che universe. The Son
becomes comparable to that which gave birth to him: he becomes like
Heaven and Earth themselves.
The sages achievemenr of a spirit that encompasses the cosmos is thus
rhe teleological completion of what Heaven iniciallyr generated. In such a
cosmology man does not exisc in a potential agon with Heaven, nor does
man follow Heaven; instead man if he (ully achieves his pocendal
completes Heavens generative process 2nd thereby regulates che myriad
rhings of che universe. Things are therefore co be used co aid in man*s com
pletion of this generative process. In short, Heaven established che cosmos
for man: if che Son of Heaven accepts what benefits his own nature and re^
jeccs all char does not, he will rule over the world properly.
The argument is in some ways a radicalizacion of che claims of Mencius.
Mencius believed chat sages, by cultivating chat which Heaven gave them,
could encompass rhe myriad things and harmonize Heaven and Earth. Buc
he also felt rhar Heavetii for reasons chac were mysreriousr at times blocked

78

D B S C B N O A N T S OF T H E O N B

the sage s proper ordering of the world. In this chapter of the Lushi chunqiu,
however, the sages ordering of rhe cosmos is defined as the normative
movement of the generative process begun
Heaven. The potential agon
(bund from the Western Zhou chrough Mencius, which figures like
Zhuangzi rejected by defining die spirit as spontaneously following Heaven,
is here denied entirely; in achieving the ability to encompass che universe and
regulate che myriad chingsf the sage brings to completion what Heaven has
generated
A closer looki howeverr reveals chat che argument of che "BenshengMparalleb the ritual behavior coward che ancestors discussed in Chapter iit is the
living who muse both fulfill che processes begun by rhe ancestors and place
those ancestors in the proper location. Only here the process moves in the
opposite direction: instead of trying to order his ancestors and ultimately in*
fluence Heaven, che ruler becomes like Heaven 2nd personally brings order
to the entire cosmos. The mechcKl advocated is therefore sclf^culrivacion, not
sacrifice and divination. As in che ^eiye" and wXinshuMchapters, powers
usually conceived co be obtainable only by rirual specialists in cheir dealings
with spirics are here presented as obtainable by certain humans chrough self*
cultivation* The conflict berween humans and spirits is denied by represent*
ing che sage as capable of divinizing himself and thereby internalizing all of
che cosmos within himself.
mLunrcnm
he LunrenMchapter plays with these notions in a slightly difFerenc way.
The chapcer opens by explaining chat che most important ching for a ruler co
do is co revert to his true nature:

What is meant by turning back co oneself^ Making ones ears and eyes appropriate,
modulating ones lusts and desires, forsaking cleverness and plotting, expelling
craftiness and precedent, leccing ones incencions roam
in che inexhauscible
realm, and exercising ones mind on che path of sponcandcy.51
Neither precedentfollowing rhe pastnor craftiness shilling with che
times is of use, he goads are to return to one's true self wander through
out che cosmos, and embrace spontaneity. On the &ce of it! this sounds very
much like Zhuangzi

D E S C E N D A N T S OF T H E O N B

179

As in the ^Bensheng** chapter! by following this program, che ruler pro

tects the Heaven within him
A s such, th e re will b e n o th in g chac will h a rm his H e av e n . I f chere is noching ch at
will h a rm h is H eav en , th e n h e will kn o w his essence. I f h e kn o w s his essence, th e n
he w ill k n o w his sp irit. K n o w in g his spiric is k n o w n as o b ta in in g che O n e . N o w , che
m yriad fo rm s are c o m p leted after o b tain in g che O n e . T hereforep h e w h o kn o w s che
O n e can re sp o n d to che a lte ra tio n s a n d cransform acions o f things.

(3.7b)

Here coo, the possibility of conflicr with Heaven is denied; on che concraiy,
ones highest goal as a human is to prorecr char piece of Heaven within one
self. Buc the M
LunrenMadds co this argument a cosmology based on essence,
spirit, and the One. These are arrayed in a hierarchy: not harming his
Heaven allows the adepc co know his essence, which in cum allows him to
know first his spirit and then the One. Since all rhings, ir is implied, are sub
ordinate co che One, his knowledge of the One allows che adept co respond
co things flawlessly.
As in che "Bensheng* chapter, this ultimaccly allows one to be like
Heaven and Earth:
T h ere fo re, i f his know ledge c o n s i s t in k n o w in g che O n e , chen he will be like
H eaven a n d E a n h . A s su ch , chen w h a t affair cannoc be overcom e? W h a t th in g (wu)
will h e n o t re sp o n d co?

(3.8a)

The ruler thus, in a sense, transcends being 2 thing (wm)* He instead

knows rhe One and is like Heaven and Earth: he witnesses che alterations
and transformation of things and responds properly. In some ways, this zu
gumenc is reminiscenc of chat in che ^ eiy e4*: by cultivating himself, the
adept is able co obtain che One and rule e(Fectivel)r. But here che implicadon
is noc chat one, as in che "Neiye,** controls things; che sense is, rather, rhac
one is able co respond efFecciveljr to things. This is^ in a way, a policical read*
ing of che cosmology of texts like che Zhuangd. Buc instead of simpty accept
ing che order of Heaven 2nd thereby spontaneously according with che
proper wayr, the ruler here becomes like Heaven and Earch and thus mainCains the same spontaneous direction over things chat Heaven and Earth
(hemselvcs exercise. The Zhuangzi repeatedly advises us to scop trying co
overcome Heaven; che concern here is precisely co allow the adept co over^
come things. The pach to political power, therefore! lies noc in becoming like
a spirit bur in attiining the same sponcaneous guidance of che cosmos exercited by Heaven.

l8

D E S C E N D A N T S OF T H B O N E

Yec another variant of the cosmological argument is to be found in the

"Wugong" chapter. As in the "Lonrcnr the argumenc of the ^Wugon^*
chapter is based on 2 linkage of spirit and the Great One. The sage-king, the
authors aiguef
nourishes his spirit, cultivates his power (de) and ennsforms.. . . Brig^c* like the il^
luminacion of the sun, he alters and cransforms die myriad things, and nothing is
noc put in motion. His spirit is harmonized with che Greac One .54

By nourishing his spirit, the sage-king harmonizes his spirit with the Great
One and gains power over things:
His essence penetrates to che ghosts and spirits. Deep, minute, dark mysterious; no
one sees his form If coday he faced south, che hundred hecerodoxies would correct
themselves and all under Heaven would return co cheir dispositions. The people
would fully cake pleasure in cheir incencions and peacefully cultivace chdr natures,
and none would act wichouc completing. (17.9b)

These powers would ultimately allow him co become like che ghosts and
spirits, and he would rectify the world.
The claim here is in some ways comparable ro a statement from che
Lunyu (15/5)
The master said: ^Noc doing anything and yec putting things in order, this was
Shun. W hat did he do^ He made himself reverenc, was rectified, and faced south;
char is all/'

Shun was able ro pur all in order by assuming che proper ritual position.
The passage from the M
WugongNchapter makes a similar point buc ar a
cosmological level* by making his spirit harmonize with che Greac One, che
sage^king penetrates to die ghosts and spirirs and brings order co the world.
Several incerrelared claims are being made here- The most important is
chat humans can, through self-ctilcivation, gain che same powers as ghosts
and spirits. Precisely what powers ghosts and spirits have is noc clear: they
certainly do not seem co be che ghoscs and spirits of contemporary religious
practicebeings who act w illfu lly and (from che point of view of humans)
sometimes arbitririly, and who therefore need co be manipulated
means

D E S C E N D A N T S OF T H E O N E

l 8l

of arts such as divinacion or sacrifice. The implication is d m the spirits are

without form ytt can nonetheless order things powers char a human can
attain as well
However^ nothing in che text implies chat ghosts and spirits face south
and thereby make all under Heaven follow their wishes. Humans can penetrace to che ghoscs and spines, buc humans are also granted a particular and
crucial role in ordering che cosmos. As wich Confucius, chic role is based on
ritual positioning, buc here it is discussed in terms of a cosmological potency.
As a consequence, chc sage-king is able to bring all wichin his realm into the
form that he desires:
In general, che ruler resides io evenness and scillness and employs virtue and trans*
formation so as co follow his needs. In this way, he gives form co nanirc (xin^).
(17.10b)

The sage-icing does precisely whac che Greac One does he gives form co
rhings by guiding cheir naturecheir innate pocencialicy.
The sage s realm is thus a microcosm of che larger cosmos. By nourishing
his spirit, che ruler can anain che power co transform things and give them
form. This is ytt another variant of the accempc co claim continuity in chc
cosmos and co position che human ruler, by linking wich the uldmare ances^
cor, as the ordering force of the cosmos.
Each of these chapters from che Liishi chunqiu involves accempcs to develop a
cosmological argument based on a claim of genealogical descent. If every
thing is descended from a common ancestor, then how does man gain power
vis-4 -vis this ancesror^ As I have noced, che answers ro this question are
complex cosmological reworkings of the issues discussed in Chapter 1 con
cerning ancestral sacrifices. Correlative c o s m o lo g y in China may be an atcempc co supersede sacrificial models, buc che authors of cosmological sys
cems often appeal co che model of amcestral sacrifice in making their
arguments. As Granec (according co my reading of him) has argued, cosmol
ogy in early China often recapiculates sacrificial claims*
The Pattern of Heaven and Earth: The Xunzi
All che texts discussed thus far in this chapcer advocate a cosmology based
on a common descent of everything (including man) from a single ancescorf
and all reject praaices such as divination and sacrifice. I rum now co Xunzi,

I8l

D E S C E N D A N T S OF T H E O N B

one of the pre-eminent thinkers of the third cencury bc,55 Many scholars
would argue chac although Xunzi rejects divination and sacrifice, he does not
accept the cosmological arguments developing iround him. Indeed, Heiner
Roetz portrays Xunzi as a full rationalist56and argues chat although Xunzi
at cimes appears ro make cosmological argumencs, he does not intend them
as such. In Xunzii M
che cosmological diction is rhetoric.*^7
I will dispute each of chese points: Xunzi was indeed extremely inceresred
in cosmological norions, and unlike so many of his concemporaries, he sup
ported sacrifice and divination. Although he agreed that sacrifice and divina
tion could noc coerce spirits, he argued char they were nonetheless rradicionai practices and should be accepted as such. Thus, in contrast to chose
calling for a rejection of sacrifice and divination on che grounds chat the sage
can achieve the same ends through shcnAike intuition Xunzi argues that
such practices arc culture {wen
As he sutes in the wTianlonHchapter:58
If we sacrifice and it rains, whac does this mean? I say: it does noc mean anything.
It is che same as not sacrificing and having it rain. When che sun is eaten b y
che moon [i.e. when there is an eclipse]^ we save ic; when Heaven has a drought# we
sacrifice; we engage in crackxnaking and milfoil dxvinacion and onl)r then decide a
great event. Bur wc do noc chereby obrain whac wc seek; wc arc placing eulrure (ivcu)
upon it. Therefore, a gentleman cakes this as culcure, but the hundred families cake
it as divine [shert). To take it as culture is auspicious; to take it as divine (sh at) is
inauspicious.59

But what precisely does Xunzi mean in disdnguishing wen and shen^ Tell
ingly, Xunzi defines wen in reladon co sacrificial action. His full argumenc is
worth following in depth.
At the xiang sacrifice, wc are told, water* raw fish, and unflavored soup
arc oficred: wAt the great xiang sacrifice, one offers a goblet of waccr, places

55- My overall undemanding of Xunzi has been helped greatly by the analyses in GoMi

Rituab pf the Way; and the essays in Kline and Ivanhoe, Virtue, Nature, und Moral Agtrtcy in the
Xunzi. O f particular help for the specific issues of inceresr in this section has been Camp^ny*
M
Xunzi and Durkheim as Theorists of Ritual Praaice."
$6. Sec, e.g., Eloecz Conjucian Ed>ics o f the Axial Age, pp. 213-16*

57. Ibidv p. 130.

58. My undersunding of the nrianlun1*chapter has been aided tremendouily by Ivanhoe,
"A Happy Symmetry*; Machle, Nature and Heaven in the Xunzi; and Eno, The ConJuciM Crtatien 0 /Heaven, pp. 154-67.
59*Xunti (hereinafter cited in the text) T ia n lu n / im ).

D E S C E N D A N T S OP T H B O N B

183

raw Esh on the offering cable, and serves first the unflavored soup. This is ro
honor chc foundations (ben
of food and drink*' (T ilun/ 13.3b). But one
chen goes on co ofl^r prepared foods
Ac che xiang sacrifice, one offers che gohlec of wacer bur then udiizes wine and sweet
wine; one firsc has gfudnous aod panided millet but chen eats rice and spiked millet;
ar che sacrifices, one cakes che unflavored soup but chen gees fiQed wich various deb^
cades. One is chus honoring che foundations yet embracing how they are used (png
) Lflim
3.3b)

The sacrifices allow us co honor both che raw and the cooked
Xunzi then associates these two poles wich wen and ii
respectively:
"Honoring che foundations is whac we call cultural forms (wen). Embracing
how they are used is what wc call pattern (li)H(^Lilun," 13.3b). Offering a
goblet of water, placing raw fish on che offering cable, and serving unflavored
soup is an example of cultural ibrmof actions chat direct che participants'
attention to the foundations observable in nature. And che second part of
che sacrifices allows us ro embrace human preparation of food and drink (or
consumption. "When these two are combined wich completed cultural
forms, they thereby return co che Great One. All of this is whac we call che
Great Flourishing" CLilun,w13.3b). The ^completed culmnl formswthus re
turn us to che Great Oneche original foundation just as lesser cultural
forms rerum us ro such basics as raw food.
Xunzi has chus posited an extremely complex set of interlocking defini
tions. We have foundations, cultural forms chat help us honor chose founda*
cions, patterns that allow us co embrace how humans put chose foundations
co use, and compleced cultural forms that, combining culcural forms and
patterns, return us to che Great Oneche primary foundation. Sacrifices
for Xunzi thus involve a focus on che nature of human aaion in relation co
che world. Indeed, they encapsulate che entire process of hiunans, taking
elements of nacure#preparing them, and chen consuming chem.
At one level, this may seem like a very "rarional" understanding of sacri*
fice. Indeed, it closely corresponds wich some of L^vi-Scrausss analyses of
ricual. Buc Xunzi s final claim chat humans are chus honoring chc Great One
reveals a grearer cosmological inrerest than Roccz is willing to admic. To
make sense of this, let us take a closer look 2c Xunzis conception of **founda*
cions/ cultural (brtns, and patterns. For Xunzi, culcural forms and patterns
are human artifice, whereas che foundations are part of nature.

D B S C B N O A N T S OF T H B O N E

Therefore I say chat the nature (xmg) is the foundanon#che beginning the material,
and the substanceartifice is the cultural form (w en), partem (li), abundance, and
flourishing. If chere were no nature* there would be noching for artifice ro add co. If
there were no aitifice. che nature would be unable to beautify itself. Only when che
xucure and anifice combine are the names of the sages unified and che accomplish
ments of all under Heaven completed. (Tilun/ 13.10a)
And artifice must be combined with nature in oixler (or che myriad things to
be brougbc to ordtn
Therefore, I sayr char when Heaven and (he Earth combine* che m)rnad things are
bom; when yin and yangjoin* changes and cransfemuhons arise; when che nacure and
ardfice combine all under Heaven is put in order. Heaven can give birch co things but
cannoc distinguish chinp; che Earth can bear man but cannoc put men in order.
Wichin che universe* che myriad chingi generate chose who bdongco che human race;
they await che sage and onty then are they diflerenciacecL (^Lilun," 13*101)
Ir is che combining of cultural forms and patterns with die foundations chat
brings order co che world. As I have argued cbewhere, chere is an implicit
teleology in Xunzi: humans fulfill their proper duty through artifice and
thereby bring order co chat which Heaven generacecL60
Elsewhere( Xuxui speaks of patterns (ii) as something che sages properly
brought to the world of nature:
Therefore tieaven and Earth gave birrh to the gendcmaiL The gendeman gives patterns co Heaven and Earrh. The gendetnan forms a triad with Heaven and Earth, ii
che summation of che m)niad chings. and is che father and mother of che people*
Without (he gendonan, Heaven and Earch have no panenu rirual and rigbceous*
ness have no unity; above chere it no ruler or leader, bdow there is no bther or son.
This is called the utmosr chaos. Ruler and minister# father and son. older and
younger brother* husband and wife, beg^n and then end. end and then begin. They
share wich Heaven and Earch che same pattern and last (or ren thousand genera^
dons. This is called che Great Foundadoo (kn). (^Wangzhi* 5-7^-b)
The gentleman forms a triad wich Heaven and Eanh, and he in curn be*
comes che father and mochcr of che people. And this entire hierarchy is dtfined as che Great Foundation.
The order of sages is chus che celeological completion of che generation of
Heaven. As in che M
BenshengMchapter of che Lushi chun^iu, che sage is chc
son of Heaven m literal sense of carrying out che inheritance of Heaven,
6o. See clup. 2 of

V te Amlnvuiente oj Croafipn.

D E S C E N D A N T S OP T H E O N B

185

But che sage does not, chrough culcivarion, become like Heaven. On che concraiy, Heaven and man have distinct duties in the proper ordering of che
cosmos hey are gcnedcalljr related, but in this co&mology che son does not
become like die ancestor.
So what about shen^ If in this cosmology che sagie compleces che work of
Heaven, then does the sage become a spirit
The arrayed scars followrin circles, che sun and moon shine in alcemacion^ che four
seasons take charge in su
succession* )in and yang gready rransform, che wind and che
nin dissemiiute broaiiljr. As (or che myriad chingi, each obtains whac harmonizes
with it in order ro be bonu and each obcains ics nurturance in order co become com^
piece. We cannot see che accivicy, bur we can see che accompIisKmcncs. This is whac
we call "divine" (iben). All understand chat by which it has been completed but no
one understands ics formlessness. This is whac we call M
Heaven.*>Only rhe sage aas
wichouc seeking to underscand Heaven. (Tianlunr u.9b-ioa)
The cosmos operates according co specified patterns in order co allow things
(ivu) co live and receive nourishmenr. The &cc chac the cosmos so operates is
shcn Xunzi uses che term noc co describe spirits with control over natural
phenomena: che word does not impl)r particular spirits as che causal agents
of each event. He is, rather, using it co describe rhe divine qualiries of che
patterned cosmos, che &cc char it so operates co allow things co flourish.
And "Heaven" refers co che origin of this cosmos. But, we are told, che sage
seeks noc co underscand any of this.
Xunzi then turns to man. Like die rest of che cosmos, man is bom from
Heaven: "When the work of Heaven has been established and che accom*
plishments of Heaven have been completecL the form is prepared and the
spirit (shat) i$ born" ("Tianlun/ xuoa). As in texo like the n^eiye" and
^Xinshu * humans have spirit within themselves. Man s inheritance is then
described as coining from Heaven:
Likes* dislikes, happiness* anger, sorrow, and joy are scored within him: these are
called che Heavenly disposition. The ears, tyes, nose, mouth, and body^ each has
(hat with which ic conneco. bur they cannot subsctcuce for one another these are
called che Heavenly faculties. The mind resides within che central emptiness so u co
rule che five faculties: this is called the Heavenly ruler. Ic nukes into produce whar is
not of ici species in order co nurture ics species: this is called the Heavenly nurtur*
ance. Those who accord with their species are called fortunate* and chose who op*
poie cheir species are called unfortunate; chit is called che Heavenly governance.
(Tianlun/ n.ioa)

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D E S C E N D A N T S OF T H E O N B

And che sage is the figure who most successfully utilizes his inheritance from
Heaven:
The sage clears his Heavenly ruler* rectifies his Heavenly &culcies prepares his
Heivenly nurcurance^ accords with his Heavenly governance, nourishes his Heav^
enly disposicion, and cherebyr brings completion co che Heavenly accomplishments.
If he does so, chen he knows whac he is ro do and not to do. Heaven and Earth then
perform their funaions, and che myriad things serve him. His movements are fully
ordered, his nurcurance fully appropriate, and his life is wichour injury. This is
called knowing Heaven. (T ianlun^ 11.10b)

If man utilizes properly whac Heaven has given him, then che myriad things
serve him. Man s duty in che cosmos, therefore, is co bring order co things.
And, for Xunzi, this represents knowing Heaven. In other words, to attempt
co study che workings of the cosmos directly (as many correlative eexes of rhe
time were advocating) is mistaken; rather, the goal should be to aikivace
oneself, urilizc che Heavenly inheritance properly, and thereby cake a domi
nant role in ordering things.
The order char results is 2 further example of shen. For examp^ in one
passage! after discussing how all natural objects and creatures are utilized by
man for man's benefit, Xunzi concludes:
Thus, as for whac Heaven nourishes and Barch carries, all chac is beautiful is udlized,
and all chac is useful is brought forth. Above, ic is used co adorn che worthy and
good* and bdow it is used co nourish che hundred famib'es and give chem pleasure.
This is called che Great Divinity" (Aisbcrt). fW angzhi 5.6b)

The appropriation by humanity for its own use all chac has been nourished
and carried by Heaven and Earrh is the proper^ divine order of the cosmos.
And the sage who is able to maintain order in che cosmos is himself di
vine (sfcew):
Whac is called the One? I sayholding But co che divine (shen) and being resolute.
Whac is called divine ($hen)i I sa)r; the utmost goodness and full ordering is called
divine. If none of rhe m y r iid things (ivu) are able co overcum him, chen he u called
resolute. H e who is divine and resoluce is called a sage. (M
Ru xiao/' 4.7a)

By definition, rhe sage is resolute and divine. Resoluteness is che ability noc
co be overturned by things: rhe sage should rule things, nor vice versa. Divin
ity (shen) is specified as M
ucmosc goodness and full ordering (zhi)HThis is
consiscenr with Xunzi s other uses of die term shem shen is whar brings
things co cheir proper order. Thus, che functioning of the cosmoi itself if

O B S G B N D A N T S OF T H B O N B

i7

vine {Jhen)t the sage who properly uses che endowment given co him by
Heaven to rule over the myriad things is divine (shen), and the resulting or*
der is greatly divine (da shcn).
The passage continues: HThe sage is che manager of the Way. The Way
of all under Heaven is managed by him; the Wayr of che hundred kings is
unified by him. Therefore, the Poetry, Docum ents, Rituals, and M usic return us
to him* (*Ru xiao/14.7a). The traditions of chc sages, recorded in whac wc
now call che Classics, allow larer generations co know the teachings of che
sages. Bu since Heaven has endowed everyone wich die ability to become a
sage, anyone who srudies chese ancienc records can achieve che same powers:
If you make a man in che screec submit co cechniques and engage in scud^f concentracing his mind and unifying his will, chinking, inquiringr examining^ adding each
day for a long time, accumulacing goodness wichouc ceasing, chen he will penecrace
co chc divine clarity (shenming) and form a triad with Heaven and Earth. ("Xingc,*

17.6b)
But chese powers grant che srudenc neicher control over phenomena nor a
flawless understanding of che cosmos buc#rather, an ability co bring proper
order to himself and the world* Xunzi thus utilizes much of the increasing^
common cosmological vocabulary of the time but alters it so as co emphasize
che crucial importance of following che earlier sages, of continuing che rimal
and textual traditions of die past.
We are now in a position co understand Xunzi s reading of sacrifice and
divination. In che passage quoted at che beginning of this secrion, Xunzi de
fends these practices as wen, but not as shen. The ^Neiye** and M
Xinshuwclaim
divination co be unnecessary because such powers of prognostication are ob
cainable through human culdvarion; Xunzi encourages these practices. But
he opposes 2ny accempc to understand the spirits or Heaven, and he opposes
any actempc at prognostication: he rejects the claim chat one can truly un
derstand a future event (either chrough divinacion or inmicion). Nonetheless,
che practice still has value, for ic is a tradition handed down by the sages.
But whac docs Xunzi mean when he says chat sacrifice and divination are
not shen? For practices to be shen, in Xunzi s rerminologjr, they have to bring
about a proper order, even chough che ulcimare causal mechanism is outside
ordinaiy human perception. So, if sacrifice resulted in order, it would be shen;
if divination succeeded in showing whac activities arc auspicious, ic would be
sheri. But sacrifice and divination cannot do chese things, and che belief chat
they can repretenu fef Xunzi a foolish ccempt to control and uncUrscand

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D B S C B N O A N T S OF T H E O N E

che cosmos things that are outside the powers of humans and cheir arts.
Humans can bring about order only by cultivating themselves to utilize their
Acuities property and thereby make che myriad things serve them, but they
do not have che power to control che wind and rain.
But sacrifice and divination are still wen: if underscood properly, these
practices help humans to understand rheir proper role in che cosmos. Thus,
Xunzi s argumenc is based noc on a claim of rationalism but on the nature of
humanity and che nature of che cosmos. Xunzi opposes attempts by humans
to use sacrifice and divination to influence spirits, and he equally opposes
claims chat humans can themselves become spirits and directly exercise con*
crol over che cosmos. His response is to argue chat humans have a crucial
role ro play in the cosmos: che human artifices of culcure and partem bring
order to the cosmos not by allowing humans to control che wind and
rain but by allowing chem co cultivate themselves properly, create a correct
society, and appropriate natural objeas for cheir own benefit. The cosmos
is structured such chat humans can emerge and, in this specific sense- give
it order. Xunzi thus fully accepts the arguments concerning divinizacion
and the crucial role humans play in che ordering of che cosmos, but he shifts
che meaning of each of these rerms dramatically. Humans do noc be
come like Heaven; rather, they play a Heavcn-givcn role in bringing order
co the world.
And, through this argument, Xunzi provides himself 2 basis for support
ing cultural cradirions handed down from the past. Unlike the ocher texts
discussed in this chapter^ Xunzi supports sacrifice and divination and op
poses che claim that humans can control or undersrand nacural processes.
Submitring to the Trigrams: The Xici zhuan
The Xici
a commentary to che Yi, or Book 0/
is one of the
mosr oft-ciced texts in discussions of correlative cosmology in China. Ac first
glance, it appears ro be yet anorher late Warring States text, like che chap^
cers of che Liishi chunqiu and Guanzi, arguing that a human can through culci*
v don come to understand the workings of the cosmos and thereby be efFcccive in che world or, in shore, become a sage. Without quesrion, che
terminology of the text, with its emphasis on a spontaneous, self-generating
cosmos which che sages should strive ro underscand and pattern themselves
on, resembles chat found in the roughly contemporaiy texts mentioned
above. Nonetheless! appearances aside, che Xici zhuart is quite critical of

D B S C B N D A N T S OF T H B O N E

189

many of rhese cexcs. Contrary co the usual interprctacion, its argument is in

some ways comparable co chat found in portions of che X u n zi.
In particular, unlike almosc all the cexcs discussed thus far#die X ici zhuan
was wrirten in support of che art of divination. Unlike che critiques in texts
such as che wNeiyeN a n d /Xinshu,Mrhe authors of the X ici zhuan argue
srrongly for che efficacy of divination. And unlike Xunzi che authors of che
X ici zhuan support diviiucion not because it is wen but because it is shert.
The authors of the X ici zhuan argue that the cosmos operates through
changes puc in motion b y the alternation of yin and yang. Since change is
based on a definable series of processes, che altemarion can be (brmulaced
numerically.
The numbers of Heaven arc ewenty-five, the numbers of Earth arc thirty. In all,
che numbers of Heaven and Earth arc fifty^five. It is by means of these chat the
alcemacions and cransformadons are completed and che ghosrs and spirits are puc
into motion.61

Hence, co understand change itself is co underscand che spines:

The mascer said: M
He who knows che way of alcemarions and cransformadons un
dersunds what it is chac chc spirits (ibeti) do, (A/9)
Spirits, in this definition! are not willful agents who direct phenomena on
their own. Instead, th e y operate through understandable processes of change.
The key, therefore, is ro understand chese processes. And the way ro do it,
according to the Xici zl)uant is co understand wthc Pivot.** The Pivot is chc
point of che alternation of
and yang, chc basis on which all change occurs.
Thus, he who understands this mechanism is able co understand change and
hence whac actions will be auspicious. And because this icnowlcdge gives him
chc ability to act properly, it means that he, coo, can be called divine (shen ):62
The master said: 'T he one who understands the Pivor( is he noc divine? . . . The
Pivoc is che minucest beginning of movemcnc, the first manifescadons of auspicious*
ness. The superior man sees the Pivor and aas, without waiting until the end of the
day.** (B/s)

61. Xici zhuan, A/9; hereinafter cited in che text. My numbering of each passage follows
(lie Zhu Xi arrangement.
6a. Willard J. Pecerion ("Making Connections^ pp. 103 - 10 ) provides an excellent discus*
ion of the notion oPkit in the Xi'
In what follows-1attempr 0 Mippleracnt his tudy
b)r noting the hbiorktl slgnlftcance of che claims nude in che text.

D B S C E N D A N T S OP T H E O N B

However, chc rext claims that the Yi, or Changts, is also divine:
The Yi is without chough^ md without action. Still and not moving responding and
chen penetradng che causes of everything tinder Heaven. If it were not che mit di
vine (shen) of all under Heaven how would it be able to partidpace in this? (A/xo)
Moreover, the passage continues, ic was only by means of the Yi chat the
sages were (the past tense, as I will argue later, is necessary here) able co undertcand phenomena:
The Yi chat by which sages wenc to the limit of the deep and investigated die
Pivoc Only because ic is deep wm chey therefore able to penetrate die will of all
under Heaven; only because ic u a Pivot were chejr therefore able ro complete che
work of all under Heaven. Only because it is divine (sben) were they therefore noc
hurried and yec fucf not moving and ytt arriving. (A/io)
But note char it is not just char che Yi gives one access ro che Pivoc; in che
second senrence, che authors describe che Yi itself as a Pivot.
Several questions immediately arise. How can the Yi be called divine?
How can che Vi itself be described as a Pivocf and If ic is che text chat guided
the sages, then where did ic come from? I will deal with each of these in turn.
As Willard Pecerson has convincingly argued, che basic claim of die Xici
Auan is that the Yi is itself in accord with che processes of narure:63
The Yi is adjusted to Heaven and Earth. Therefore it is able co complete and dasfify the way of Heaven and Eairh. Looking up, ic observes the parcems of Heaven;
lookup down, ic examines the principles of the Earth. (A/4)
The reason the Yi possesses die ability co replicate che changes of che world
is that ic possmes che Pivoc of change ioclf:
Ic it (or this reason that die Yi possesses che Great Pivoc (Taip). This generated che
cwo insigpia. The two insigpua generated che (bur images. The (bur images gencr*
ared che eight crigraim. The eight crignnu detenninc atupidousness and inauspi^
doustiCM* Auspiciousncsj and inauspiciousness generate tbc fftu undetTdkingl*
(A/10)
This passage can be read either as a cosmogony of die universe or as a states
ment of chc generarion of the /i. And chat is precisely chc poinn ic is both.
In other words* the changes in che hexagram lines of the Yi mirror the

D E S C E N D A N T S OP T H B O N E

191

changes chat occur in the narural world, and the work ia thus a microcosm of
che processual changes of the universe icself:
The hard and the soft push each ocher and generate changes and cransfbrmadons.
(A/i)
As 1 consequence the YV corresponds to che movemcm of Heaven and
Earth itself
The broad and die greasMmarch Heaven and Earth; cbe alternations penectace and
match che four seasons; the prophecy of yin and ^ang macches che sun and moon.
The goodness of ease and simplidcy6465matches the utmost potency. (A/6)
But whac makes the Yi invaluable for humans is char not onty does ic cor
respond to the movements of Heaven and Earth, bur it actually penetrates
these processes and is thus able to undersemd what changes are co come:
One yin and one yang is called che Way. That which continues ic is called good; that
which completes ir is called nature.. . . Generating and generating is called change.
Completing che images is called Qan; imicacing che models is called Kun* Going to
the limit of numbers co understand whac is co come is called prognosdcacion; pene*
tracing alternations is called serving. What )rin and yang cannoc measure is called
then. (A/s)
The movement of die universe is defined by the intetpby of yin and yang;
che interplay of )rin and )rang lines in the Yi therefore replicates the incerpb)r
of ^in 2nd yang forces in the cosmos at larg& And chat which defincB this in
terplay is divine and therefore noc explicable in terms of yin and ymg. The
Yi is divine precisely because ic penetrates co che workings of change icsel
And the process of divination grams humanschose with forms an
understanding of these changes.
Ic is (or this reason char che power of che milfoil stalks is round ami divine (ifcfrf). the
power of che crignuns is square so as to unciencand. and che propriety of the six lino
is changeable so as to provide. (A/10)

6 4 . The

*broad<*and che "great* refer 0 Qian and rctpcctivel)^ theie rcrmi are used
and Kun in the lines immediately preceding those given here.

( define Qun

6 5 , *EaieM
and "aimplkicy" are (iirrher references to Qiin an^ Kun retpeaively. An earlier
line In (he work rcadii "QUn knowi mean# offeafc; Kun it capable by mctni of timplichy"
(A/i).
1

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D E S C E N D A N T S OF T H B O N B

The first pare of divination involves the use of milfoil stalks, which m divine
and hence attuned to tbe changes themselves* They are thus round like
Heaven. The milfoil stalks point the user co die crigrams_ which are square
and thus within human comprehension.66The lines then explain what is to
come.
Only die sages of antiquity, chose who were able co perceive properly,
were abk co understand how co use the texn
Divine (iben) so as co understand what is co come, understanding so as to score whac
had come, who would be able co paftidpace in this? It is chose of antiquity who were
sharp of hearing and dear of vision, percepdvc and understanding, divindy (shfvi)
martial without putting people co death. This is chc means by which they illuminaced the way of Heaven and explored che practices of the people. (A/io)
The sages of anciquicy understood che way of Heaven and che practices of
che people because of che Yi.
And where did rhe y< come from?
The sages set forth rhe trigrams and ohserved che images. They attached words co
them and clarified auspiciousness and inauspiciousness. (A/2)
Here we seem xo encounter a paradox: chc sages created the Yit and ytt duty
became sages onl)r by following che Yi. This paradox is not* however, cfac re^
sulr of confused chinking on che part of the authors. On che contraiy, ic is
precisely che point. The lengthy, and firequendy quoted! passage chat de
scribes che creation in detail will help explicate this point:
In ancienr cimes Baoxi
Fuxi] was che king of all under Heaven. Looking up he
observed the images in Heiven, and looking down he observed the modeU on Earth.
He observed che patterns of che birds and beasts and chc suicabdicy of che earth.
Near ac hand he cook them from his body, and at a distance he took them from
things. (B/)
Baoxi is here posed as purely an observer of patterns in che natural world.
He generated chc eight crigrams in order ro underscand and categorize these
patterns:
He thereupon first created che eight crigrams in order to penetrate the potency of
tbc divine clahcy {shenming) and in order to caiegprin chc disposidonf (^mg) of the
myriad ching^. (B/2)

D B S C B N D A N T S OP T H B O N B

*93

By cakii^ the pacrems in the natural world and refining the ^into the crigrams. Baoxi was able ro understand the cosmos.47
The text then illustrates the divine potency of the trigrams by narrating
how the crigrams inspired the sages co create cultural implements* As
Willard Peterson corrccdy points out; Tn concoulmg that the great innova*
ricins were inspired by crigrams and hexagnuns, tRe *Commencar/Xid
zfcuan effectively subordinates to the Yi the sages who were venerated by che
society as culcure heroes,6768
Why docs the Xici zhuan give such excraordinaiy prominence to the Yit
even co the point of subordinating the sages chcimelves? I suggest that che
text is a criaque of the claims being made for sagehood chat were becoming
increasingly common in che late Warring Sutes period. To oppose che as*
serdons chat one can attain che powers of, even become, a spirit, che text
subordinates sagehood co textual authoricy. The implications of this move
were crucial for bre Warring States culture.
Although cransladons of the Xici zlm commonly utilize the present
rense co refer to che actions of che sages, I argue, on che contrary, chat the
past cense is almost always more appropriate* The Xici d9uans account of che
creation of the Yi by che s^es is a historical narraciv^ one not unmatkeci byr
problems:
As for che arising of che Yit was it not in middle anriquity? Did chose who made che
not have anxiecy and troubles? (B/7)
The hexagrams are datable to che earliest sages, buc che text of rhe Yi came
beer, in middle anciquicyr. And che fact cfaac such explications were necessary
is a further sign of decay from che earty sages:
The master said; **Thc Qian and Kun are the gates of the Yi. Qian is a yang chingr
and Kun is a yin ching. Yang and yin unite potency, and che hard and soft have em
bodiment. They thcrd>y embody the arrangemena of Heaven and Barrh and pene^
irate the potency of the divine darity
Their appeUarions and names are
mixed buc do not transgress. In examining their caregorizarioiu they arc the ideas of
an age of decline." (B/6 )

6 7 . For

a lulkf diicufiion of rlK creation of the trigramxf see chap, a of my Amtnv^Unce of

61. P eterM i, *M iking Coiuiccikmi,Np.

111.

194

D B S C B N D A N T S OF T H B O N E

The Qian and Kun hexagrams may exhibit che pocenq^ of divine clarity, but
the text itself reflects an age of decline, more specifically the era of King
Wen, at che end of the Shang dynasty;
for the arising of the Yi, was it not fitting to be during die end of the Yin and che
Bouriihing potency of che Zhou? [Was ic] noc fitting co be ac che events between
King Wen and Zhou^ (B/u)

That che text had co be composed at all was a sign of degeneracy, of a period
diac desperatety needed reform.
The vision of history ter forth in che Xici zhuan is one of gradual loss,
with each suge in che process of degeneration being marked by che need (or
more elaboration of che Yi. The final text of che Yi W2S put together in mid^
die anriquicy#ar che end of che Shang dyrnaacy. and. cbe rexc is arguing, it is
this textual record chat musr now guide ua in this period of even greater 6cgeneration. Our only meins of arcaining an understanding of the universe is
through che Yi che text authored by che sages of antiquity so chat we may
act properly in chis world. And, che Xici zhuan is ac pains co point our, che Yi
does indeed give us access co the proper uruterscanding held by the sages of
anriquicy:
The master said^Writing does noc fully express words, and words do noc (ull^ ex
press ideas. As such* as for che ideas of che sages, can they noc be t c a x f The master
said: T h e sages established (he images in order co express ideas fully, set up rhe
hexagrams in order co express che essential and che artificial fillip appended scaremenu co them in order to express chdr words fully, alccmated and penetrated them
in order co express che beneficial fillip and drummed chem and danced them in or^
der to express chdr divinity
(A / )

Consequenclyr a properly trained gendenun will mm co the Yi before he

undertakts any actions:
Therefore, when a gendeman is abouc co cake an acdon, or is co begin moving, he
makes a vocal inquiry co ic. (A/io)

As I read ic( chis argumenr is directed against chose who were arguing
chatf chrough sdf-cukivacion, one can attain sagehood and achkve divine
powers. The authors of che Xici zhuant on che contrary, placed che text of che
Yi between cheir contemporaries and divinity: we can only attain a proper
understanding of fortune and misfortune through rhe Yi. The Xid tbiMn
does noc, of course, argue chat ic would be impossibk for a new sage co arue(

DESCENDANTS OP THE ONB

19S

but die text does imply chat even a new sage would need co be guided by the
Yi (although not by the line statefnents), just as the great sages of antiquity
were. Moreover, since che Yi is already divine, this cosmology does not ippear even co entertain the possibility char the Yi could be superseded.
In short, the Xici zhuan is arguing for textual auchoricy, for a commitmenc
co past teachings, (or a recognition thac at best che outcome of self*
culdvadon would be a replication of che sages of antiquity. Hence the recur*
renr quoutions acmbuccd to Confucius and the recurrent quocadons firom
the Shijing.
When read this way, one can see a surprising, and somewhat councerin^
ruicive, parallel wirh che Xumts concerns: both texts share an interest in
supporting divination as a traditional practice^ and both argue chat we
should fellow the reachingi of the past sages. But they build these arguments
in very different ways. The Xici zhuan argues chat divination does indeed lead
to an anderseaxuling of che cosmosan argument Xunzi would have rejeacd as a misguided and improper attempt co know Heaven. Xunzi op
posed this rype of cosmological specubdon because ic might pull man away
from a proper culrividon in th eradicions of che pasc sages; the Xici
is
claiming chat, ro che contrary, cosmology and textual auchoricjr are inher*
tndy linked. In odier words, che Xici zhuan argues chat cosmological knowl
edge depends on a mastery of the traditions of che ancient sages.
In saving chis, I am not claiming char the authors of che Xici zhuan were
NConfucian," or chat they would have perceived themselves as offering a
Confiicun response to Xunzi.69 Buc I am claiming chat the Xici zhuan is
making an argument for the authority of past sages and chat it was present^
ing the Yi as che proper textual authority for cosmological speculadon.

69. The discovery of the Mawangdui version of (he text has sparked a debate whether the
Xici zhuan wai "Confiiciair or M
Daoist.MSec* in parttcuhr Wang BaoxuAn "Boshu Xici yu
Zhanguo Qin Han Daojia Yi xucM
; and Liao Mingchun, *Lun Boihu Xki yu jinben Xiei de
guaiud: For an cxcdlcnc overview of the debaiA see Shaughneu First Reading of the
Mawangdui Ytjinf Manuscnpc." As 1 hive cxpbincd in the liuroduaion. I oppose the ac
tfmpc to utegorizr Warring States texts in terms of schools.
As for the questtoa of the rcUtioaship between the Mawangdui and the reedved versions
of the Xia xhiMnt (or the specifk issues discmied in this chapret. the varianu between the
M-wangdiu Xici*
and the received text are minor. Although the Mawangdui Xici zfciMii
does not comtin the pasiagei concerning che text in middle antiquity, it does include the vait
majority of the otlter Katemenu quoted. OvtrAll, I think the reading given here applies co (he
Mwinfdiu Xi( cfciMiii u well.

D B S C B N O A N T S OF T H B O N B

196

As noted in Chapter 3# the Mencius argues due the sage musr follow the
proper patterns derived from Heaveneven if the actions of Heaven icsclf
are not alwajrs in accord with these patterns. In the Xici diuan, however, the
parcems due xhc sages found in nature themselves guide the narural world;
in ocher words, che natural world operates by chose pacrems and the sages
musr emulate them and bring them co ocher humans. In che Xici zhuan, che
natural world is more rhan the reposiroiy of nomudve patterns that can be
discovered by a discerning sag^; ic itself is normative.
But, like che Lunyu and unlike che Mencius, the Xici zhtum relegates the
period of die sagesche period when humans were able co model chemselves on che cosmosco che distant pasr. Textual auchoricy is chus de
fended through a claim of gradual degeneration: che sages of anriquicy dis
cerned che patterns property, and chose bom later muse use divination and
che reading of hexagram line sratements co gain access co che patterns. As
long as one submits co che divin2hon praaices of che Xici d)uan, fortune and
misfortune are fully knowablc. Whereas the authors of the T^ciyc** and
M
XinshuNhad claimed fortune and misfortune co be knowiblc by chose who
pracciceci selfcukivation to gain the powers of spirits, the authors of the JCici
zhuan argue chat they arc knowable only by following the cradicions handed
down from che ancienr sages.
Instead of claiming chat divination has been superseded by selfculdvadon techniques and instead of supporting divination as went che aucfaors of the Xici zhuart present divination as a crucial artnor because it dctermines che actions of che spirits but richer because it forms a microcosm co
chc patterns of the cosmos. The authors of che Xici zhuan thus used correladvicy co call (or a subordination to che traditions of che past sages.

Conclusion
As mendoned earlier in this chapter, Marshall Sahlins, in his re-reading of
Ltvi^Stnuss, argues that Polynesian cultures can be read as both monogenedc and potygeneric or more precisely they can be read as either,
depending on che perspective of the culcunl actors in quesdon and che
practice in play. The interesting issue then becomes how these principles are
ardculaced in any given sicuacion. Which is che marked cerm: conrinuicy or
discondnuicy? For example, Sahlins argues chat in Fiji sacrificial action
assumes concinuicy and che goal of rhe sacrifices is thus co introduce and
maincain discontinuicy.

D E S C E N D A N T S OF T H B O N E

197

Recall chac in Polyrnesian thought, as discinguished firom the so-called tocemism< all
men are related to all things by common descenc. The corollary would be chac.
racher chan the ancestral or kindred spedes being tabu, Polynesian sodal life is a
universal projea of camibalismegtneralisi, or even of endocannibalism* since the peo*
pie are genealogically rebred co cfadr own "nacuraT mcaxu of subiiscence. . . . All
useful planes and animals are immaneiu forms of die divine ancestors to many
kino Uu or "myriad bodies* of che gds. Moreover, to make rooc crops accessible co
man byr cooking is predsdy co destroy wlut U divine in them: rhdr autonomous
power in the raw s e m reproduce Yet che aggressive rransformadon of divine
life inro human subscance describes che mode of produedon as well as consump
tion. . . . Fishing, culdvadng, constructing a canoe, or, for chac maner, fathering a
child ire so many ways chac men aedveiy appropnace "a life from che god"70
The concern, in ocher words, is co introduce diftconcinuicy, to separate che
divine from the human, to mark off a human realm discina from che divine:
Men thus approach che divine with a curious combination of submission and hubris
whose final objecr is co transfer co rhemselves the life chac die gods originall)f possess,
continue co embody, and alone can impart. Ic is a complex relation of supplication
and exproprudon, successively bringing che sacred co. and banishing ic from, the
human domain. Man then, lives by a kind of periodic deicide. Or, che god is sepa
rated from che objeccs of human exisrencc by aas of piecy that in social life would be
nncamouxu ro theft nd violencenot ro speak of cannibalism.71
In this senset Fijian sacrifice operates according co principles very similar co
those found in early Greece (see Chapter t).
If we were co accept che recurrenr arguments of sinologists, we would cercainly conclude chac China, coo, is monogenetic and assumes condnuicy be*
tween che human and chc divine realms. And at first glance, much of chc
evidence appears ro support such a reading. In looking ar che sacrificial ma
terial discussed in Chapter i. one could conclude diar che predocninanc con*
cem was similar co due Sahlins describes for Polyrnesia: an arrempc to create
dtsconnnuicy between cbe human and che divine realms* co distinguish hu
mans and spirits* co appropriate (or human use phenomena conrrolled by
tpirics (for example, divinations for che purposes of opening a field for agriculrure or setting che boundaries of chc capica) in pare reveal a desire to ap
propriate land controlled by divine powers and mark ic ofF for human use).
One could similarly argue that the correlative cosmologies of the fourth and
Sdilint

Munii

7i Ibid*, p. II).

pp* iii-ij,

198

D E S C E N D A N T S OF T H B O N E

third centuries bc reveal a rccttiTcnt belief in the absolute consubscandalicy

of aU things wichin a single ancestral lineeverything is bom from the One,
and thus iicerallyr eveiything in the cosmos is related by birch. In such a read
ing, China, from chc Bronze Age chrough the correUcive cosmologies of die
lare Warring States period is prococypicall)r monogenedc
Bur I have argued for a difTercnc reading of chis marerial. In the sacrificul
and ritual actions of Bronze Age China, rhe concern for demarcaring a hu
man realm apart from the divine was onl^ a part (and a lesser pare ar chac) of
the whole story. The main concern was ro transform the spirit world into 2
pantheon of ancestors chat acted on behalf of the living king. Humans were
noc just claiming land from the spirits; xhey were cnnsfbrming die spirits
into (deceased) humans. The concern, in short, was ro transform a capri
cious and potentially antagonistic spirit world into a hierarchical pantheon
of ordered genealogical descent interested in its living descctidants' wel&re*
The goal was noc to introduce discondnuicy but co anthropomorphize cfac
divine and thus creace genealogical condnuity. Both divine and human pow^
ers were co be transformed into ancesrors and descendants. And the para
digmatic relationship was chac of rhe icing and Heaven chrough the sacri
fices, Heaven would become the uher co the king: hence die royal tide M
Son
of Heaven*"
Several of rhe correkcive cosmological texts played with these modeb of
ancescral sacrifice because rheir authors wished co make comparable argu*
menuwith a crucial cwisc. Whereas divination and sacrifice assumed a
world populated by spirits who had control over natural [>hcnomeiu
spirits who were ro bc transformed into ancestorsthe correlative texts
posit a cosmos descended from a single ancestor. More pointedly if rhe 52c*
rificial practices assumed an agonistic world, the rexes discussed in chis chap*
cer argue for a single, continuous cosmos wichin which all gods, spiricsf hu*
tnansp and nature are linked by chains of gencalogicil descent.
The debates then turned on (he reknonship between che sage and chat
ancestor. Should he sorive co be the proper descendant of die One and fol*
low che narural patterns laid down by the ancescor? This is chc position
taken by the Taiyi sheng shui and die M
Chengi** chapter of the Shiliujin. Or
should che sage g against the nacural genealogy and return to die ancescorP
This is the position of the Laozi, which argues that the sage should return ro
che One, giin its powers, and thereby give birth to a world of his own. By
linking himself to che ancestor of che cosmos, che sage generacea hit own or*

D B S C N D A N T S OP T H B O N B

199

dcred political realm. Or does che cosmos work in such a wzy chat the
proper descendant comes to be like his ancestor? This is che posirion of the
M
Benshengwchapter of che LQshi chunqiu: che Son of Heaven, if he cultivates
himself properly, ultimately becomes like Heaven and exercises che same
powers over che cosmos chac Heaven had earlier done.
Throughout these texts, che concern is nor co demarcate the human from
che divine but che exact oppositeco link nun with che ancestor of che
cosmosi eicher chrough die return of che sage co che ancestor or through che
growth of che sage into die power that the ancestor was, or through the divinizadon of the sage himself, or through a subordinarion of oneself co the
movements of a series of images handed down by die sages of chc pasc In
ocher words, che concemr as with so many Warring States texts, is with die
divinizacion of man richer chan the de-divinizarion of nature. And che re
current concern of all these cexts was to deny ihe agonistic world of che sac
rificial specialises who were dominanc ar the courts.
The authors are thus playing with tbc model of ancestral sacrifice, but
they do not assume monogenesis: in all these practices, monogenesis is che
goal nor an assumption. Instead, che authors use ancestral sacrifice because
it provides a perfect vocabulary (or chcir claims: just as in ancestral sacrifice,
correladve cosmology involves caking spirits and making them into ancestors
who can then be understood or even controlled. And chc resulting inceiplajr
chac we have noted in this chapter is therefore similar co that discussed in
Chapter i: che living could be presented as simply following che wishes of die
ancestors, or chey could be presented as creating rhe ancestors and pacifying
them. The concern in both che sacrifice] systems and the correlative eexes is
to anthropomorphize che divine, either by making che divine inro che image
of man chrough sacrifices or by divinizing man and thus literally making che
divine human. But, che agonistic world assumed in sacrifice is denied in cor
relative cosmolog^i 2nd correladve cosmology grants che sage much more
power over this world chan does any sacrificial system.
And it was precisely in opposition co positions such as these that Xunzi
and che authors of the Xici zhuan reasserted che importance of divination and
(in che case of Xunzi) sacrifice in order co assert a form of disconcinuicy,
with humans and Heaven fully separaced. In che Xici d>uan, for example,
humans act property by following a sec of refined images that crystallize, in a
fttries of full and broken lines, che movemenu of die cosmos* The images are
continuous with (he pivot of che universe, bac hununsr because they are

200

D B S C B N O A N T S OF T H B O N B

separate from die pivoc, can act properly only by subordinating themselves
co those images. The Yit therefore, was placed between humaniiy and the
rest of the cosmos. Divinarion was thus reinsured although without die
agonistic cosmology that defined earlier divinarion practices.
All of chis brings us back co Grinec. As noted earlier in this chapter,
Granet argued that Chinese kingship arose from die sacrifice of cocemic
creatures: the rulers conquered the gods their people had earlier worshipped
Levi-Scrausscorrecrl/would have questioned Grancc*s discussion of
such rhemes in cerms of an ictual evolution from totemism co sacrificeor
in terms of an evoludon at all since Granec was discussing texts dating al^
most exclusively firom the third and second ccncuiies bc. I have therefore followed Livi*Scrauss in discussing the eexes in terms of the ways they posit
condnuicy and disconcinuicy. But Granet s poinc is crudab even the scace*
mencs about conrinuicy reveal an attempt co gain for chc sage cremendous
power over chc cosmos. Reading Granec chrough Levi-Strauss thus gives us
a powerful means of correcting the many sinologists who argue that che early
Chinese assumed a continuous universe a posicion, ironically! chat many of
chem developed by reading Griner.
Correlative cosmology should noc be imerpreced as a general "Chinese"
way of thinkings nor should it be understood as part of a shift from M
religionM
ro "philosophy.** Ir was, racher, an artempr co transcend che conflict between
humans and spirits by overcoming che world of spirits alcogechen spines and
the narural phenomena they control, as well as hamankind, are placed in a
descent line emanating from a single ancestor, with whom che sage4if he fel
lows certain techniques, can gain a special relarionship. Correlative cosmol
ogy was not an assumption in the Warring Scares period; ic was a rhetoric of

The ascension of the spirit

Liberation, Spirit Journeys, and
Celestial Wanderings

The Shiu/efi (Ten quesdons)* one of the cexca discovered ac Mawangduif dis
cusses how one becomes a spirit becomes liberated from one's form, and as
cends to the heavens:
Long life is generated through scoring and accumulacing. As for che increasing of
chis life, above one explores vht Heavens, and bdow one ditcributes to che Earth.
He who is capable will invariably become a spirit. He will therefore be able to be liberaccd from his form. He who clarifies che great wiy cravds and traverses che
clouds.1
Although chis eexe was discovered fairly recently che themes of liberation
and ascension appear in a number of received works firom the bte Warring
States and early Han periods as well, such as the Chuci and ZhuanpL Mod*
ern analyses of these narradves of spirit journeys and ascensions often refer
cither to earlier shamaniscic traditions or to lacer religious Daoism* I will
briefly review these claims and then argue for a diHerenr approach.i.2

i. SbiiMif. in Mawangdui Hanmu beshu, 4 : 146: hereinafter ared in the rexr. My tranilation
of (lii passage, ai weU as all ocher passages from the
is Heavily indebced to (be excel*
lent transbeion and study by Donald Harper in Early Chinese Medical Literature, pp. 364- 411.
Moreover, my utidericanding of (he content itself ii indebted ai well to the superb analyse* in
ibid., pp. 111- 15.

a. Porriom of thif dupcet ire tAken fromn\y The AKemion of rlir Spirk."

T H B A S C N S I O N OP T H B S P I R I T

How to Read the Ascension Lircrature

Many scholars explain che ascension literature as a survival of earlier shaminisdc cradicions dating to the Bronze Age. IC C. Chang, for example,
reacU the virious mentions of spirit journeys in third* and second-ccntury bc
wridngs as remnants of in earlier shamanism chat had dominated the cul*
cures of Neolithic and Bronze Age China.3This thamanisdc worldview was
predicated on the belief diac Heaven 2nd Eaith were incecconnecced, and
shamans were perceived ro be the figures who connected the cwo realms:
T h e shamansreligious personnel equipped with die power to fly ictoas
the diflerenc layers of the universe with the help of animals and a whole
range of ricuals and paraphernaliawere chiefly responsible for the Heaven^
Earth communicarion." Chang thus reads the ascension liceiacure in texts
such as the Chuci 2s ^shanunisric poems" containing ^descriptions of sha*
mans and dicir ascent and descent.*5
Similar arguments cm be founcl in die work of Ardmr >Valey, Isabelle
Robinet, and Jordan Paper, who refers to passages from the Chuci and
Zhuangzi as examples of "shamanic ascent.**6 Perhaps not surprisingly,
Mircea Eliade adopted this approach as well: M
As
cbe Daoisc^ whose legends abound wich ascensions and every ocher kind of miracle, it is probable
char they elaborated and syscemacized the shanunic technique and ideology
of procohistorical China/ He refers explicitly ro the *Tuan you. poem in the
Chuci as sbamanic "A long poem hy Qu Yuan mendons numerous ascents
co che *gaces of heaven/ fiuicascic horseback journeys, ascent by the rain
bow all of chem familur moci& in shamanic folklore.1*
There arc, however, several problems with this chcory. In addition to the
questions about cfat shamanism hypothesis raised in Chapters 1and i, chert
arc* in die eiccant coipus, no references co spirit joameys or ascensions in
China unril (at the earliest) the fourth century b c . Wc arc dealing not with a
cradinon whose roots lie deep in the Neolithic (or Paleolithic) buc with a

J. K.C Chang, Art* Myth, and Rituai pp. 44-5S4*K. C. Chang, Tbe ArchauUQ efAmietit Chmat p.
5.1C C. Chan^ Andent China and h$ Ancfarppological Significancepp.

6. See Walcy The Nine SofigfRobinec Tacitm, pp.

Dm* PJM5- 5*.
7*E^adt, SfctfifMiiiiffi, pp. 45-$i<

Paper, TV Spirid

T H B A S C B N S I O N OF T H B S P I R I T

a 3

phenomenon chat arose at a specific and (relative co the chronology provided

by these scholars) bee period ofdme.
Moreover#the connccrion beeween die ascension literature and a belief in a
shamaniscic/moniscic cosmos does not hold. Just as with the issues concern*
ing self*divinizacion claims discussed in Chapter z, there is again a dear paral*
lei with Greece: references co spirit journeys and the ascension of the spirit
appear widely in Greek cexo at roughly the same time as chey do in China.4
Here again, Changs accempr co distinguish China and its shamanisck/
monistic cosmology from the West and ics dualisdc cosmology is unconvinc
ing. Spirit journeys and ascensions cannor be linked co any one cype of cos
mologycbims of ascension can be made from either a dualistic or a monistic
seance. Indeed, such claims were baaed on both monistic and dualiscic cos
mologies in Greece, and, I will argue, the same is crue in early China: several
early Chinese texts posir a monistic cosmology, but others arc, I will try co
demonstrate, ac least partially dualistic. The Chiiu/Wesr model, in ocher
words, breaks down again, as does any anempc to connect ascension with
monism.
How have ascension cLiims in Greece been interpreted? Until recently,
cfae dominant explanation (or the emergence of ascension literature in
Greece was difiusion. Wilhelm Boussct, (or example, saw chac literaaire as a
diflRision from Persia.S
.*9 (This is slightly difFercnc from Dodds's argument
chat the Greeks were influenced by Siberian shamani&m via the Scythians
[see Chapter 2]. Boussec was arcempcing co account for a particular type of
ascension practice, and, for example! he traced Placo's narrative about Er to
Persu.)10This argumenc has since b^en widelyr rejected on che grounds chac
the Persiaa texts from which che Greek pracrices purportedly derived are
dcmonscrably later than the Greek eexes in quesdon.11 Another attempt to
account (or ascension narratives dispenses wich diHusionisr explanations en
tirely. loan Culianu argues due ascension is simply a product of che human
mind.u The problem wich this argument, however, is that it provides no ex

S. A clear example would be the narrative of cbe soal in Pbto*s Phaedriu, which I discuts
later in this chapcer.
9. Boiuset. Dfr Himmelreisc der Sccle.
10. Ibid., p. 66. Placo'i narrative on Gr ii found in rhe Republic, book 10.
11. Set Culianu, Ptjfehcmulk I, pp. 16-1).
11. Culiinu. PiythomiJk I.

2 4

T H E A S C E N S I O N OF T H B S P I R I T

planacion why particular claims of ascension are made at particular times:

cultural and historical specificity is again undervalued.
In discussing rhe emergence of ascension licerarure, we chus find our
selves in much che same position as we were in Chapter 2 in accounting for
the emergence of self-divinizacion claims. The argumencs for either survival
or diffusion &il to convince. Not only is empirical evidence lacking for either
explanation, but neither explanation in fact explains anything. To s^y chat
ascension literature appears in che chird^cenrury b c texts as-a survival of an
earlier shamanism or as a diffusion from anocher culture leaves aside che hisic quesrion of why authors began discussing ascension at this time. Even if
che authors did get che nocion from earlier sources or from anocher culture
(and evidence is lacking for either argument)! this does nor explain whyr they
appropriated ic. And ascribing ascension to a universal way of thinking fails
to explain the &cc chac claims for ascension are made only at certain rimes in
certain contexts.
Instead of interpreting lace Warring Scares and early Han ascension texts
as remnants of an earlier shaminism or as products of cither difHision or a
universal mind^set, I will analyze these rexts from 2 hisrorical perspective
and ask why che chemes of becoming a spiric, being released &om ones form#
and ascending ro che Heavens became so important in che lace Warring
Sutes and early Han. I will ask what claims were being made in each text,
and why, in the context of the time, such claims were seen as significant.
As for the attempt co read these texts in terms oflater Daoism, there is
no question thar religious Daoisr movements utilized notions ofdivinizacion
and ascension. In hczt as many scholars have pointed ouc, che reference in
che passage quoced above to xingjie (being liberated from ones form)
strongly resembles rhe later Daoisc notion of shijie (being liberated from che
coq>se). However, labeling any of these third- or second-centuiy b c ideas as
NDaoistMis dangerous. Our first goal should be ro understand rhe claims be
ing made in these texts in terms of che contemporary context. Since there is
no evidence chac any of che figures making chese claims considered them
selves to be M
Daoist/ che cemi is not helpful in analyzing chcir argumencs.
The later appropriation of these ideas by religious Daoisc movements is a
sepirace issue.131 will hint ar my own response at che end of the concluding
chapter and will discuss che issue in depth in a forthcoming study.

T H E A S C E N S I O N OF T H B S P I R I T

25

The Liberation of the Spirit: Question

Four of chc Shiwen
The first question char arises with the Shiwen is W hit sort of a text is this?
Donald Harper, one of the leading scholars of Warring States paleographic
macerials and author of a superb translation of this text, argues char we
should see texts like the
as embodying core ser of elke practices du
ing the Warring States period. Indeed, he argues, the texts represent a mo
ment when practices that had earlier been the preserve of religious officiants
and shamans were written down and became part of a more widely transmit
ted set of teachings:
As documented in the Mawangdui medical manuscripts, incantations and magico*
religious operations were collected cogecher with ocher medical recipes. If such prac*
tices had once been the preserve of religious officiants and shamans, or formed pare
of oral folklore, chey acquired a new kind of prestige as they were incorporated into
the books of specialists in nacural philosophy and occult knowledge. Magic became a
technique to be caught and cransmicced in books along wkh ocher techniques; u became 1 scgmeiu of occult thought

In Harper s view#the practices described in these texts should be understood

as common among elites of the day: 1 assume chat the hygienic practices in
Li fils' manuscripts were customary, rather chan exceptional, among people
of his class; and chat the "Way of Ancestor Peng* in Yinshu was a standard
guide co healthful living.^15And if rexes such as the Sbiwcn are representative
of elite practices, texts such as rhe M
Nei^eMand Zhuangzi should be read as
philosophical and mystical programs a product of philosophers, noc of re
ligious practicioners: *The Mawangdui and Zhangjiashan macrobiotic
xcs describe a kind of baseline macrobiotics hygiene for the elite chat
on care of the body, nor on the more philosophical and mystical pro^
grams of the *Nciyc/ Zhuangzif or LaoziMl6
Thus, for Harper, chcsc texts arc radically different in nature: the Sbiww
is more popular, whereas the "Neiye' and Zhuangzi are more M
philosophicalM
or "mysticaL** I disagree^ The Shiwen was written as a response co other posipractices out of which Daoum later arose. See, e.g., Seidel* Traces of Han Religion in Fu
neral Tacti Found in Tombs"; and Harper. "Warring Srates. Gi m and Han Periods/'
14. Harper* Early Chinese Medical Literature, p. 43i5<Ibid., p. itA.
Ibid., p. 114.

206

T H E A S C B N S I O N OF T H E S P I R I T

cions, and reading ic as representative of a common set of praaices and thus

distinct from orher, ^philosophical'* texts strikes me as potentially misleading.
Moreover# the Shiwen is, as I show later in this chapter, gencricaily identical
to two narratives from the "Outer Chapters** of the Zhuangzia text chat
Harper would classify as Nphilosophic2LMFinally, I question, for the reasons
elaborated at che beginning of chis chapter, any anempc co read the Shiwen as
2n ou^rowch of an earlier shamaniscic folklore.
In short, I quesdon the classifications of M
popaUr versus "philosophical.
Ic is nor clear char the Shiwen is more popular chan the ttNeiyewor the
Zhuangzi. All three texts are polemics! and all in fact use a similar form of ztgumencarion. I will read che Shiwen as pare of the debates discussed in the
preceding chapters and will argue chat ic is one in 2 series of claims made in
che lace Warring Scaces and early Han concerning che pocenculs of humans
to liberate themselves from rhe forms of che world and travel co ocher realms.
Before turning to che analysis, I should note that che precise placement
within the
of passage discussed below is a topic of debate* T*he editors of the Mawangdui texts iniciilljr placed chis section within question
number six. However, che passage makes no sense there. Question number
six is concerned with the use of particular sexual practices for selfcultivationcopies that are not discussed ar all in chis narracive. Qiu Xigui
has argued, convincingly in my opinion, that che passage belongs instead in
question number four a dialogue between Huangdi 2nd a certain Rong
Cheng concerning longevity.17 By providing a close reading of che entire
question, I hope co help demonstrate che strength of Qiu Xiguis suggestion.
The narrative opens with Huangdi asking Rong Cheng why people live
and die:
Huangdi asked Rong Chengs M
When people first eiaend che pure char flows into
their form, whac is obtained so char che)r live? When chis flowing into Form becomes
a body, what is lost o that they die? Why is it thac, among people of che time, some
are bad and others are good, some die young and others live long^ I desire co hear
why peoples qi flourishes or fields, relaxes or screngchens.N (4 : 1 4 6 )

^Flowing into the fbrm## refm to the gestation of the embryo.18 Another
Mawangdui cexty che Taichan shu, uses che same term co refer co che first

T H 6 A S C E N S I O N OF T H E S P I R I T

2 7

month of the life of an embryo in a womb.19This notion chat life begins

with a flowing into the form sets the background for some of the crucial
claims made later in the narrative.
The remainder of the narrative consists of Rong Chengs resf)nse:
Rong Cheng answered, "If Your Majesty desires co be long-lived, chen accord wich
and observe che disposicion of Heaven and Earth. The i of Heaven is exhausced
monthly and then flourishes monthly, k can cherefore live long* The of Earth is
yearly cold and hoc, and anger and ease cake from each ocher. The Earth is therefore
lasting and does not decay. Your Majesty muse examine the disposition of Heaven
and Eanh and puc it into practice in himself." (4:146)
Both Heaven and Earth consisc of qi, and boch follow cycles. Heaven's qi
flourishes and is exhausted monchly. (One manifescacion of chis, presunubl^
is che cycle of waxing and waning of the moon.) And the balancing of the qi
of earth by cold and hot leads co the seasonal cycle. The key (br self*
culcivacion lies in examining these qualicies and purting them into pracrice
within oneself.
However, only a man of the Way is able to fully do so:
There are signs rhac can be understood. Ac the present moment, even 2 sage is not
capable of chi$; only one of the Way can understand them. The utmost essence (jing)
of Heaven and Eanh is born from rhe signless, grows in the formless^ becomes com*
piece in the bodiless. (4:146)
One of the Wa^ is superior co a sage, since onlyr he can understand signs.
And he can do so because onty he understands chat the utmost essence is
born from the signless. Life may begin with a flowing into form, but one of
the Way property understands how co cum co che formless.
Rong Cheng continues:
He who obcains it will have longevit)% he who loses it will die youngherefore, he
who is good ac controlling che qi 2nd concenmting rhe essence becomes accumu
lated wich che signless. Essence and spirit (shen) will overflow like a fountain. Inhale
che sweet dew so as co make ir accumulace. Drink che jade fountain and numinous
winepoc so as co make chem circulace. Gee rid of rhe bad and enjoy the habitual, and
1he spirit will chen flow inco che form. (4:146-47)

19. Taithan %hut in Mawatigdui Hanmu boihu, 4: 136. See the translation in Harper* Early
Chinese Medical Lutraturt, p. )7B.

208

T H E A S C E N S I O N OF T H B S P I R I T

The key to longevity lies in obtaining the utmost essence. The implication
here is thar spirit is bom from a concencracion of essence and an accumula*
cion of the signless. And when spiric is abundant, it will flow into ones form.
The image of ^flowing into die formw(liu xing) dearly refers back to
Huangdi*s initial quesrion concerning the birth of humans. By means of chis
inicial culdvacion, Rong Cheng is arguing, the spirit will once again fill ones
form as ir did ac the dme of che initial birth.
In many ways, the argument rhus far is based on a vocajpubry 2nd cos^
molog^ highly reminiscenr of chose found in much of che sclf-culcivacion lit
erature from che Warring Scares period. For example as was discussed in
Chapters a and 4, rcspccrively, the
aiuKXinshiT chapters make a
strikingly similar sec of claims. The arguments of such texts are built around
the interrelated terms essence
and spirit (^en). Both
and ibe
are defined as highly refined qi definitions chat the Sbiwf?) is utilizing as
well And, like che SbtweM, one of che goals of human cultivation is to concentrate more of this essence and spirit chis highly refined qi within
ones body.
Despite the apparent similarities between the
and M
Xinshuw
chapters and chis portion of che Shiwcn, however, chere are also several cru
cial differences. The arguments of the T^ciyc** and M
Xinshuwrest on che
claim of a monistic cosmos: che entire universe is composed of qiVand spirit,
che most highly refined qi, controls the less rarified qi. Accordingly, he who
accumulates more of chis refined qi within himself gains great power to un*
derscand and control phenomena# avoid injuries and disasters, and understand auspiciousness smd inauspiciousness without resorting to divination.
All these arguments rest on the claim of monism: since rhe universe is com
posed of and since all change is a product of the alterations and transfermadons of rhis qit then spirics, che most highly refined form of qi, are able co
control phenomena and understand che proper movements of [he universe.
And#since humans have this spirit within themselves as well, chey^ can, wich
proper cultivation, ultimately become (it is argued in che 4<XinshuMchapters)
spirits.
The Shiwert shares some of these concerns and much of chis vocabulary,
but rhe argument develops in a very difFerenc direction. Whereas che highest
scare chat a human can reach in che M
Xinshuir is chat of a sage, the Shiwert explicidy states that its Teachings arc aimed ac M
ne of che Way.NThe authors

T H E A S C B N S I O N OF T H E S P I R I T

2 9

of che Shiwert are proclaiming themselves to be in possession of a higher

reaching chan that possessed by sages. And only one of the Way tinder*
stands that M
the utmost essence of Heaven and Earth is born from che
signless, grows in che formless, becomes complete in che bodiless." Essence is
born, grows, and becomes completely separate from rhe forms and only
che one of the Way fillip grasps this.
Essence, in ocher words, is not simply a more refined type of whac exists
in che forms; che two are discincr. In conrrasc co che authors of che T'Jeiye"
and M
Xinshu" chapters, che authors of che Sbf'wcMare not necessarily commicdng themselves co an explicitly monistic cosmology. There is no claim here
chat everything is composed of qi; rather, che argument is presenced in terms
of the relationship of qi, essence, and spirit on che one hand co forms on che
ocher. I am certainly not crying co argue chat rhe framework here is compa
rable co the fully dualiscic claims of, for example. Gnosticism. It is possible
chat che auchors of che Shiwcn would have held chat che form is in (act unre
fined qit and uhus their position would still bef at a fundamental level monis^
cic. My point is, rather, chat rhe argument icself is couched in a dualiscic
framework: instead of arguing, as other auchors certainly did# chat forms
were simply unrefined qi and thus capable of being understood and con*
trolled by more refined (more spiridike) qit the authors here make no claims
concerning the substance of forms. Whatever cheir position on che monism
(or lack thereof) of che cosmos, rhe argument icself rests on a dualism berween form and spirir. The implicarions of this will become clear as we con*
cinue co follow che text.
Rong Cheng next explains how spirit should be drawn into the form:
As for the way of inhaling qi, one must direct ic co che exrremides. Essence will be
bom and noc cue o(F. Above and below, all is essence. Cold and warmth are peacefiillyr born. Breaching muse be deep and long-Usting. The new is easy co hold fast
co. Scale qi is old; new qi is long-lived. He who is good ac controlling qi makes che
scale qi dissipate nighdy and che new qi collect in che morning so as co penetrate che
nine apertures and (ill the six cavities. (4:147)
The method recapimbces Rong Chengs earlier statement chat the practirioner needs co put into practice che disposition of Heaven and Earth. Thus,
just as che qi of Heaven becomes exhausted and dien flourishesf so muse che
ruler do chc same wich his own qi. Moreover, chis muse be done in accord
with che earthly seasons

210

T H E A S C E N S I O N OF T H E S P I R I T

There are prohibitions for eating qi: in the spring avoid turbid yang, in the summer
avoid the hoc winds, in the aucumn avoid the frigid misc, in che winter avoid icy yin.
Discard the four defects, and then breathe deeply so as ro achieve longevity. (4:147)
This parallel between Heaven and che ruler continues:
As for che incenc of breaching in che morning; vhen breaching ouc#scrive ro harmo
nize with Heaven; when breaching in. esrimace che duality of che doors20as if
gathering in si deep pool henhe old 1will be daily exiuusced and the new will
daily flourish. And then the form will glow deeply and be filled with essence. One
can therefore live long. (4:147)
The consequence of such a practice is, again, chat che form becomes filled
with essence, and one will thus, like Heaven and Earth, live long.
Rong Cheng then oudines the type of breaching char should occur in each
of the four periods of the dzy
As for the intent of breathing during che day: exhaling and inhaling muse be subtle,
the ears and eyes must be keen 2nd perceptive, the yin and yang muse move che qi.
Within, there is nothing dense or roccen. Thus che body is wichouc pains or injuries.
As for the intent of breaching ac dusk: deeply breathe, long and carefully, cause che
cars to not hear, and thereby peacefully go to bed. The hurt and f wiD be peaceful in
the form. Therefore you can live long. As for breaching at niidnighn when you
awake, do not alter che form in which you were sleeping. Deeply and carefiilly expel
your strengch, with che six cavities all shining forth. You will cake longevicy to che
excreme, (4:147)
The goal of all these exercises is to gain the practitioner a form whose dispo*
sidon is like char of Heaven and Earth; a constant replenishment o f qi fills
che form wich essence and spirit and thus allows it to be long-lived.
Ac this point, che narration shifts ro che longevity of che spirit:
If you wish to make the spirit long-lived^ you must use the skin s patterns to breathe.
When k comes to controlling the essence of , one exits death and enters
H^ppy and joyous, one uses this co fill che form. This is called concencraciag che es*
sence. Controlling the qi has an alignment. The cask lies in accumulacing essence.
When essence flourishes, it invariably leaks. The essence that exits must be supple^
menced. As for when co supplement whac has leaked: do it during sleep. (4:147)

ao. Harper (Early Chinese Medical Literature, p. 395^14) suggeitt that the term guilianf (H
be read as "dual-entry doorway/ referring to rhe noicrili.

T H B A S C B N S I O N OF T H B S P I R I T

2U

This practice is a concinuadon of chat already laid out Rong Cheng is telling
Huangdi to continue filling his form wich concentrated essence.
Exicu and enter so as co culcivace the skin s pattern.22When the firm and white are
completed within, what sickness can there be^ As for chis life having misfortune, it is
invariably because the essence of the yin has leaked ouc and the hundred vessels have
become infirm and decrepit. Happiness and anger will not be cimely^ one will not
clarify the greax way, and the qi of life will depart him. The common man lives reck
lessly and then depends on ritual specialists and doaors. When one has lived half
ones yem,23ones form will invariably be buried young. To kill oneself laboring
in affairs is cruly lamentable and picifiil. (4:148)
In the final stage, one can store up che essence co such a point that che qi
does not leak out:
Wherever death and life reside, che discerning man regulares chem. By solidifying
whac is below and scoring up che essence, die qi does not leak ouc. If che mind con*
crols death and life, who can be defeated by themf Carefully hold bsc and do not
lose ic# 2nd long life will continue across g^aeradons* For continuous generations
there will be concencmenc, joy, and long life. Long life is generated through storing
and accumulacing. As for che increasing of chis life, above one observes in che Heav^
ens and below one distributes to che Earth. He who is capable will invariably be
come 2 spirit. He will cherefore be able co be libemed firom his form. (4:148)
The successful adepr ultimately becomes a spirit and achieves liberation
from his form.
Haangdis inicial questions revolved around che flowing into form char
occurs ac die beginning of existence: Whac is such a life and how can it be
preserved? Rong Cheng began by explaining how the life span of chis form
could be extended But che ultimate goal is co become liberated from ones
form altogecher. One begins the process by cultivating che form in order ro
keep che spirir within ic. Next one culcivaces che spirit within che form until
it becomes long-lasting. Finally, one becomes che spirit, and che spirit is Iib
crated from che form altogether* Human life, in ocher words, normally1

11. The section that Qiu Xigui has argued should be moved firomquestion six co question
(our (slips $1-59) begins here.
11. Harper (Early Chinese Medical Literature, p. 397m) convincingly argues chat the characicr traiucribed here as mei H should be transcribed as zou
and read as

a). Following Harper f

w/fi Inw .

p. )97n)) suggested reading of tbt charaaers in question ai

212

T H B A S C B N S I O N OF T H E S P I R I T

begins with the joining of form and spirit; buc since forms deteriorate! each
life must come to an end. However, if life can be concentrated only in the
spirit, then immorralicy is possible*
Once this occurs, Rong Cheng argues, one becomes liberated from all
boundaries that would normally limir the form
He who dainfies the great way cravels and traverses the clouds. From the Collected
Jide above, as che wacer (lows he can traverse h r , as che dragon ascends he can reach
high, fast and not wearied of screngrh. (4 :1 4 8 -4 9 )

Rong Cheng concludes with an anecdote about a certain Wucheng Zhao:

[Seven graphs missing.] Wucheng Zhao [cwo graphs missing] did not die.
Wucheng Zhao used the four seasons as his supporr and Heaven and Earth as his
alignmenc
Wucheng Zhao was bom together with the yin and yang. The yin
and yang do noc die; Wucheng Zhao can be seen with chem. The master who pos
sesses che W a y is also like rhitf. (4 149)

The significance of Rong Cheng s earlier claim chac M

che utmost essence of
Heaven and Earth is bom from che signless^ grows in che formless, becomes
complete in che bodiless" now becomes dear. The urmosc essence with
which che practirioner fills himself allows him to leave the world of forms
and join Heaven and Earth. Like them, he never dies.
Wucheng Zhao thus takes Heaven and Earth as his alignmenc. The
word that I am translating as _alignmenr here is jinjfhis is the same word
(along with ying, M
ricnrw
) chat, as discussed in the Introduction, was used to
describe the aligning of the cosmos by two spirits in the ^Jingshcn" chapter
of the Huainanzi. It is also che same word, discussed in Chapter 4, used in
both the Taiyi shertgshui and the T oushf chapter of the Lushi chunqiu to de
scribe che alignment of the cosmos. As I will discuss in detail in Chapter y,
the authors of the "Jingshcn" chapter of che Huainanzi were arguing chat
spirits arranged che alignmenc of Heaven and Earth. In this passage from the
Shiwcti, however, the implication appears to be that Heaven and Earth were
born from the formless essence and naturally gained their alignment. The
adept, by filling his form with essence! is ukimately able to leave his form
and become aligned with Heaven and Earth.
A comparison with the "Xinshu** chapters is instructive. The cosmology
of the "Xinshu" chapters is also based on qi, and the text teaches how a hu
man can achieve the ultiirute that 2 human is capable of achievingnamely
ro become a sage and acquire understanding of the world of forms and

T H E A S C E N S I O N OF T H 6 S P I R I T

213

power over it. By accumulating essence within himself, the adept becomes a
spiritable to understand changes, avoid being harmed by diem, and even
gain control over them. The cosmology of the "Xinshuf chapters is one of
hierarchical monism, and one's goal is to gain more and more control over
the world of forms by becoming ever more refined.
In contrast, question four of che Shiwen calls fer the liberation of the
spirit from the world of forms. When the adept becomes a spirit, he be^
comes one with Heaven and Earth! traverses che cosmos, and does not die.
The basis for this argument lies precisely in che claim of a disdncdon betweenand the porencial separability of the spirit and the form. The con
cern here is noc understanding che less refined qi of che world of forms or
gaining power over them or avoiding being harmed by them; che goal is co
use the form co accumulate and store essence until one escapes che form al
together.
A closer scrutiny of the terra xingjie liberation from che form will
make this point clearer. We have seen che term jie, liberadon, several times
before. In an anecdoue from che ^Inner Chapters'* of che Z huan gzi discussed
in Chapter 3, Zi You caught che importance o f xiartjie, a liberation from
bonds. For Zi You, this meant a full acceptance of the forms within which
che Fashioner of Things has placed us: we are liberated when we stop crying
co overcome che order of Heaven and accept the form in which we have been
placed. Whereas che Z h u an gzi calls on us co accept che processes of life and
death, che Shiwen teaches a transcendence of death. Zhuangzi s sage achieves
liberation by accepcing his form; che adept of the Shiwen by leaving his form.'
In ocher eexes, however, che claim is chat one can be freed from che usual
limits of the human form. In the Weiye the claim is that grasping the one
word allows one to survey the cosmos:
the liberadon of che one word,
one explores (cha) Heaven above reaches co Earth below, and encircles and
fills che nine regions." We saw a similar argument in che M
Cheng&Mchapter
of the Shiliujittg *Thc liberation of the One allows an exploration (cha) of
Heaven and Earths Bur in neither case does this involve a separation of che
spirir from che body: che argument: is chac che human form is limitedi but
grasping che One allows the adept to understand che cosmos as if he were a
spirit as if#in ocher words* he were not limited by a human form.
The authors of che Sfsiu/en passage have shifted che argument* Here, the
successful adept does indeed become 2 spirit, transcend che limitations of the
human body, and explore che heavens personally. Insread of reaching char

T H B A S C E N S I O N OF T H E S P I R I T

one should accept ones form, or chac grasping the One allows one co cran^
scend die limitations of one's form, the authors here are arguing char one can
fully divinize oneself and Transcend the world of forms altogether.
Not only are sdfdivinizAcion practices nor based on an assumprion of
monism* but che Shiwen text under discussion here does noc imply a monistic
wocldview at alL The goal is thus co assm not concinuicy but discondnuity
and separate the divine from the humanwith die crucial proviso chac the
adept stay on che divine side. In che self-divinizacion process* die adepc nur
tures chat divine element in himself and then cues oFcht human elements.
DivinizatioD is a product of discontinuity.
The het chac this argumcnr is presented in che form of a dialogue with
Huangdi is of inreresr as welL In the M
Cheng&Mchaprer of the Shiliujing, Li
Hei s admonidon co grasp che One is dircaed ac Huangdi, and ic is pare of a
larger argument about bringing order co the world and names and forms
inco accord: Li Hei is ceiching Huangdi co become a good ruler. In the Shiwen question, the argument is again presented in terms of a dialogue with
Huangdi, only here che concern is co rranscend che world of forms and align
oneself with Heaven and Earth chemselves. Huangdi docs noc become a bee*
cer ruler; he cranscends rulership altogether.

Liberarion and Ascension in che Ourer

Chapters of che TMuanpi
An examinadon of ocher works urritten ac roughly che same dme as che Shi*
ufM will help us place ia dualistic argument in context. One such work is
dialogue in chapter eleven of the Zhuangd between Huangdi and Guang
Cbet^zi. which contains striking parallels with the Shiwen dialogue beeween
Huangdi and Rong Cheng.24
The narracive opens with Huangdi as che reigning Son of Heaven:
Huangdi had been established ai the Son of Heaven for nineteen yean. His com
maneb had been spread throughout aD under Heaven.25

He thereupon goes co meec Guang Chengzi

14, M y undemanding of this cext has been greatly aided by Roth, "The Yellow Binperor'i
ru."
as.
chap, ii,
herdtufier cktd liuhe text.

T H B A S C B N S X O N OF T H B S P I R I T

215

I have heard chac you have reached the utmosc Way. I dare to ask you about die es
sence of che utmost Way. I wish co grasp die essence of Heaven and Barth so ai to
aid the five grains and nurture the people. I also wish co manage the yin and yang
as to perfect all chat lives. How should I do chis?( 1 a)
Huangdi is attempting co underscand, manage, and utilize the cosmos in or
der to aid all living things.
Guang Chengzi responds to Huangdis question neguivdy:
Whar ^ou wish co ask abouc is che substance of things, but what you wish co man*
age is che remnancs of things. From che dme char yru have been ruling all under
Heaven* the rain has come without even waiting for che of che douds to guher.
tht leaves of grasses and trees have dJlen withouc waiting co cum ^tUow. and che
brighcncss of the sun and moon has increasingly fallen waste* The heart of a flaccerer may be clever, but undeserving of being cold about chc utmost Way. (4-i<a)
Huangdi chereupon recreacs# renounces all under Heaven, and lives in a
shack for three months. He then returns co sec Guang Chengzi* who is
sleeping with his (ace turned souththe direction that che ruler hould fkce*
Huangdi bows and asks a different quesrion:
I have heard chat you have reached chc uemost Way. I dare co ask you about cor
reccing che body. How should I do this so char ir will be long-lived? (4-i8a)
This question Guang Chengzi accepts:
Good question* Come. I will cdl you of che essence of chc utmK Way The essence
of che utmost Wzy is obscarc and dark. The extreme point of che ucmosr Way Is
abstruse and silenc. Do noc look* do nodisteiu Embrace the ri o as to be sdlL
and the form wiQcorrecr icself. You muse be still and pure. Do not labor your form*
do noc agicate your essoice. Your eye will have nothing due it sees, the ear nothing
that it hears, and che heart nothing char ir knows. Your $pinc will hold fiuc to your
form#and your torn wiUthen live long. (4*t8b)
The teaching clearly resembles chat seen in rexes like che ^ciyc" and che
first part of chc Shiwen: by keeping che spirit within ones form, the form will
live long.
Take care of your insides* and block what is outside you. To know too much ts co be
destroyed. For you I will proceed co che height of che great clarity, going there, going
to the tource of che )rang. For you I will enter che gates of che obscure and dark# go*
ing chere going co che source of che ^in. Heaven and Earth have managers^ yin and
yang have reposicoriea. Carefully hold fiuc co your bod^4 and thingp will become

T H B A S C B N S I O N OF T H B S P I R I T

scrong o f themselves. I hold fast to cheir oneness so as co reside in chdr harmony*

Therefore I have been culdvaring m y body fo r m o o years, and m y fonn has not yes
declined. (4.t8b-i^a)
Instead of crying to manage die )rjn and yang, one should accepr chat they
manage themselves. One should hold &5t to cheir source (and hence cheir
oneness, cbeir harmony)* and cfaus prevent ones form from declining.
Huangdi then bows agiin and says, "Guang Chengzi is Heaven." Guang
Chcngn continues:
Come. I will cell you. Its things are inexhaustible, ytx men all believe they hav< an
end. Its thingi are without limit, yet men all believe chey have a limit. He who ob*
tains my way will begin as auguit and end ai a king; he who loses my way will begin
by seeing light and end becoming dirt. Now, everything springs firom che earth
and chen returns co it. Therefore, I am going co leave you. I will enter the gates of
che inexhauscible so as to wander in the fields of che limitless. I will form a third lu
minary with che sun and che moon, I will be constant with Heaven and Earth. Near
me will be obscurity, far from me there will be darkness. Humans will all die. bur I
alone will exist! (4.i9a-b)
The final movemenr of che dialogue presents a higher form of transcendence.
Earlier, the concern had been co keep the spirit within che form and thereby
achieve a long life. However, Guang Chengzi decides not co remain in che
world of forms. The precise mechanism for this transcendence is noc ex
plained. Bur wc ire told chat Guang Chengzi will leave che world in which
things return co the earth in death and will instead jounsey dirough the hm*
itlcss, ferm a triad with che sun and the moon, and achieve conscancy with
Heaven and Eaxxh.
The text is clearly a crioque of any attempt to manipulace the world of
forms. Huangdis acrempc ro do so would have resiilccd in die descruction of
die narunl world. Guang Chengzi advocaces instead a regimen of personal
culchradonone chat will ultimatety enable the practitioner to transcend die
cycles of decline and decay chat charaaerize the inconstant world between
Heaven and Earth.
The scructure of che argumenc is remarkably similar ro that in che Shiwen.
Both are cast as dialogues beeween Huangdi and an adepts and in boch che
adept calls for a process of cultivation in which one firsr achieves long life by
filling che form with spirit and chen reaches a scage of transcendence in
which che adept ascends, becomes immortal, and joins with Heaven and
Earch.

T H B A S C N S I O N OF T H B S P I R I T

The argument is paralleled in another dialogue fT m chapter eleven of che

Zhuangzi, between Yun Jiang and Hong Mcng. Yun Jiang argues that che qi
of the cosmos is nor blending properly and the seasons are hence improperly
modulated; he hopes to bring order to che world to nourish all living
Hong Meng rejects him. A narracive much like chat between
Huangdi and Guang Chengzi ensues, and che story concludes with Hong
Meng explaining whar rtalljr matrers:
Mind niuturing> If you follow your place and do noc
then things traiufbrvn of
themselves. Lee dl your fenn and (irame. Spic out your keenness of hearing and
brightness of seeing, let yout rdanonship with chingi be forgonen* and fully join
wich che boundless. Liberace jrour mind and sec free your spine. Be tranquil and
without a souL The myriad chingi will sprout, buc each will remm to its root.9
Things with forms sprout and die# but the adept is able co free his spine
from che form and not return. Hong Meng s teaching involves an explicit xt*
jecrion of refining the form: unlike che "Nciye,** which expliciclyr argued that
culrivacion allowed one to gain keenness of hearing and sight* Hong Meng
argues rhac these should be rejected*
Transcending Heaven and Earth:
The "Yuan y Mmof the Chuci
The growing popularicy of this argument by the late Warring States and
early Han is dear from ics appearance in a poem dating from roughly che
same period.20The poem in question is che Eunous T uan you" of the Chuci,
a rext chac revolves explicitly around many of che issues discussed in chis
The poem opens with die poet in distress:
My spirit darted forth suddenly and did nor remm;
My form withered and doczytA, left behind, alone.16

16. Zhuanpi, chap, ti, HY 27/U/46-47.

J7* Ibid.. 53- 55 Paul KroU. among othen. argues th a the text is roughly comcmporary with the
U m iiM m i ai\d that che cwo works reflea 2 similar way of thinking: "A plausible ipecuUtion is
dut die author may hive been one o fhe many
rurj who gathered during the ijos
At the court of Liu An" ("Yuan you." p. 157). A I will argue in Chapcer 7, however, che
I liuUnanti ii more Ukdy a somewhat bter work, and the Tuan You" should be dated co ear*
tier thn Kroll poituUtin.

T H B A S C N S I O N OP T H B S P I R I T

I looked inward with proper resolution,

And soughc che source of the proper qi.39
The concern expressed here is quire similar to char seen in such texts as the
TIei)rcMind che first pan of the (burch question of the Shiwem che fear is char
the spirit is leaving che form. And again as in these other texts, the solution
is co com inward and culdvace ones qi.
The first hint char che poet is moving in a direction difierenc from diac
found in texts like che *Nciye#Mhowever, can be seen in che recurrent referi che drearinessi of che cosmic cycles:
I fear che recurring!
g sequences off the
d Heavenliy seasons,
westward. (5 3 a-b)
The bright numinousneu g^o and in
The faa of seasonal change on which such cem as che
rest cheir ar
guments is presented here as simply a movement coward death, and rhe con*
cem is co rranscend it.
In searching for how co do so, che poet invokes Huangdi and Wang Qiao:
I cannoc aspire co cake Xuan Yuan [i.ef Huangdi] as my precedent:
I will follow Wing Qiao and play in amusemenc. (5 4a)
Huangdi is coo exalted a figure for che poec to emulate. Instead^ he turns to
Wang Qiao, who, along with Chi Songzi, was commonly invoked during
che early Han as a practitioner of Techniques of liberation and immortalicy.
For example, in the M
Qisu,Mchapcer eleven of the Huatnanzi:
Wang Qiao and Chi Son^o blew, ventecL exhaled^ and inhaled. They puiged che
old and brought in che new. They left behind cheir forms and expelled knowlec^e.
They embraced che simple and recumed co the genuine so as co wander in che subde
minuceness. Ai>ove they penecraceJ co che cloudy heavens. Now we wish to snid^
their Wa We do not obtain thdr nourishing of che and bringing che spirit to
dwell but we itnicare didr purging and then inhaling^ ac che right nine crouching, ar
che right cime straightening. That we will be unable co ride che clouds and ascend to
greatness is dear indeed.10
The poec chen begins undei^oing sclf^culcivacionin a form quite simi*
lar to whar we saw above:
19*
*Yuan you* s m hereinafter cited in the text. The following rraosbeions of che
Tuan you* have benefited from che cxceileiu translations by David Hawkes (TV Sonp of tht
South, pp. 191-203) and Paul Kroll (NYun you").
),
M
Qitu,M11.9b.

T H B A S C E N S I O N OF T H B S P I R I T

219

I preseivedi the dear purity of the divine illumination:

Bssendal qi entered, and the (bul was expelled. (5.4b)
Wang Qiao celk him to continue such praaices in order to incorporate
more refined qi:
And preserve it in the middle of the n ig ^ (5.5a)

These teachings are reminiscent of Rong Chcngi initial advice to Huangdi:

culcivace ones qi, bring in more spirit, and maintain it during the night.
These practices lead co a refining of che spirit and ulcimacely allow it co
be released:
M)r essence (jingj, unmixed and pure, began co strengchen.
My substance (zht) melted and (used so as co become sofr
and scriighcened,
My spiric (i^n) vital and subde so as to overflow, released (5.5b)
The poet then ascends, craveb upward on a floating cloud, 2nd enters che
pilace of DL He thereafter leaves che palace and assembles a procession chat
includes Yushi (che Lord of Rain) and Leigong (che Duke of Thunder). Us
ing reins and a whip, he leads che procession chroughouc che cosmos (sb-8b).
In che Shang ritual, che ancestors were calkd on to ascend co che realm of
Di and direct che nature spirits co act on behalf of the living. Hcre in this
meuphorical discussion of something quite similar* the adept performs che
ritual on himself and achieves powers while he is soil alive. The ascending
adepc becomes more powerful chan che spirits in charge of rain and duinder,
and he is in fact able co command and direct cbcm
Indeed* che adepe directs these spirits over the entire cosmos:
I surveyed (jingying) che Four Wastes,
and flew around che Six Boundless Repom. (5-na)
As we will see in the ncxr two chapters, die rerms jing and y\ng cime co bt
commonly used in che ascension liccracure co discuss che surveyring of die
cosmos by che ascending adept. As wc saw in che Introduction of this book^
rfie same rerms were used in che opening cosmogony of the -Jingshen** chapter of che Hutiindnzi to describe the aligning and orkndng of che cosmos
spirits. Jing also appears in che Shiwen, where it is used in reference co
Wucheng Zhao's caking Heaven and Earth as his alignment
These
cerms dieterve a fuller discussion here.

T H B A S C B N 9 I O N OP T H B S P I R I T

As noced in die Incroduccion, when used to describe a survey undertaken

before an act of consmicdon#che terms have the sense of M
al^nwand "orient"
Bur when used co describe figures traveling over an established area, they
carry a meaning of *survc)rin^* or "inspecting^ For exaLmjde, two poems in
che Shi refer co war expedioons as m
jingying che four quarters.*11The arpedi*
cions involve an inspection of che land under the king's control to be sure all
is in order. This dual meaning of jing ying is, happily contained in the En
glish "surveying" as weU. In che Tuan you," che cenns are used in che sense
of inspecting che area under one's concroL Leading che lesser spines who
control natural phenomexu* che adept surveys che cosmos. By guiding diese
spirits 2S he surveys che universe^ the adepr helps keep che cosmos in order.
However, che adepc soon cranscends even these powers 2nd gradually be*
comes like chose forces chat first generated che cosmos. Indeed, che adept alcinucety reaches back to che point before Heaven and Earth were disdn*
guished:
In che depths below (here was no Earth,
in che expanse above chere was no Heaven.
Surpassing wuwa for the utmost clarity*
Becoming a neighbor with Taichu (che Great Beginning), (ua-b)

The narrator transcends even Heaven and Eanh. If Wucheng Zhao took
Heaven and Earth as his alignment, che adepc here transcends them. Like
the passages from che Zhuanpi and the Sfeiwen, che Tuan you" is a call (or
2Scension of a liberacion and release of che spiric, of a cranscendence of this
world.12

Conclusion
The three texts explored in this chapter play off similar themes. All three
utilize vocabulary and refer co practices found in the self-cuidvation licerarure like che iNleiye1*and "Xinshu* chapters, and all represent shifts away31

31. Shi ta s and 234^

)i. For a diSlerem iiuerpretacion, i e t Holzman 'Tmmorulity^Seeking in Early Chincie
Poetry," pp. io$-7- Holzman contendi that the Tuan yruNit *doser co philosophkal Tftoism
than it is co che immorralky te tk tr ^ (jx 106). Here, coo, I would rejea che diirinaion be*
tween practitioners and philoiopheri. Juft u in early Greece, che figurec who are now cliflii*
Bed u M
philoiophetiMwere alio practitioners.

T H B A S C B N S I O N OF T H 8 S P I R I T

221

from the concerns of chose texts. These rexes seek to transcend che hierarchy
of Heaven, Earth, and man (bund in rem like the ^Neiye.** They call for
some form of escape from rhe world of fbmu and exhibit eicher a lack of in
terest in or overt opposition to iny attempt to control or manipulate che
world. The practices they espouse ire to be used not to gun understanding
or coqcto I over this world but ro rranscend it. The one possible exception to
chis might be che *Yuan you" poemf which grancs che adept power over che
spirits of rain and thunder. Even here, howevcrf che concern is not so much
co impose the adepts will on che world As implied by che use of joying, che
adept surveys che cosmos and guides che spirits as they should be guided.
In ocher words, die adept is nor a human manipulating (he spirits who con
trol natural phenomena, nor is he a practitioner of sclf-culcivacion tech
niques who directly gains conrrol over natural phenomena Insread, he survcys che cosmos and helps keep it in ordera state akin co Wucheng Zhao s
raking Heaven and Earth as his alignment. Thereafter, che adept even rran*
scends chis suce and returns co che scares before Heaven and Earth came
into being.
All these texts enjoin the adept ro reverse the process of generation in an
implicir cosmogony: Heaven and Earth were generared from an essence or
great beginning, and Heaven and Earth rhen gave birch to che myriad
formed things Heaven and Earth do not die, but the formed rhings do.
Each of these texts then reaches how humans can dispense with their form
and, joining Heaven and Earth, traverse che cosmos and achieve immortality.
With che l u a n you, che adept is able to retreat yer dircherto rhe stage
before Heaven and Earth were even fbnned.
The cosmologies are thus in some wajrs comparable to many of chose
analyzed in Chapcer 4, bur che argument is taken a seep further. In chc "Benshtng_ chapter of che
ebu iu, fbr example, the ruler is called on to be
come like bis ancestor Heaven aiul to maintain chat ancestors order; here,
an earlier ancestor is posited, and che goal is to transcend che world of forms
altogether.
The key move in chese texts is to build on earlier cosmological and sclfculrivarion texts, but co posit a potential dualism between the form and chc
spirit. If ccxis like che M
Xinshu" chapters of the Guiinti were arguing for a
monisric cosmology in which one could become a spirit while remaining
full^ wichin che limicacions of the human form, che concern in chese texts is
to diicinguifh rhe rwo and co liberate che spirit from che body.

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T H E A S C E N S I O N OF T H E S P I R I T

And#perhaps most significant! rhese texts are not written in the form of
advice on rulership. Indeed, the *Tuan Youwis not written ro a king ac all;
rhe other two, while addressed to kings! advise the ruler co transcend the
world of forms and ro give up the actempr co gain power over that world.
Thus, here wc get one of our first glimpses at the use of divinizarion tech
niques to claim autonomy from the existing order. This is not unlike what
we find in ancient Greece, where, as I mencioned in Chaprer 2, divinizacion
claims became increasingly associated with movements chat rejected the po*
iis. In Greece divinizacion practices were also extended into narratives of as*
cension. An example would be rhe narrative of the soul in Placo s Phacdrus,^
which I read as a development of the same ckims discussed in Chapter 2 re^
garding the divinity of mans soul Plato compares the soul to a charioteer
wich a pair of winged horses. The horses and charioteers of che gock are
purely good, but rhe charioteers of human souls have only one noble
horsethe other is lowly.34As Plato describes the ascension:
The narurad (uncrion of the wing is co soar upwards and carry char which is heavy
up co che place where dwelb the race of che gods. More chan any ocher thing chat
pertains co che body ic partakes of che nature of che divine. But che divine beaucy^
wisdom, goodness, and all such qualides; by rhese then the wings of che soul are
nourished and grow, but by che opposite qualities, such as vileness and evil, they are
wasted and descroyed. Now che grear leader in heaven, Zeus#driving a winged charioc. goes first, arranging all things and caring for all things. He is followed by in
army of gods 2nd spirics, arrayed in eleven squadrons.

In this ascension to che highest levels of the cosmos, Zeus#che highest god,
leads rhe procession! followed by an array of other gods and spirits. And
humans follow as well. The wings of human souls are che most divine, and
chey^ therefore rend to ascend wich che gods. But zht lesser parts of the hu
man soul pull it back down. The higher the procession goes, the more diffi
culty chose with less culcivared souls have:
They proceed steeply upwardto the top of the vault of heaven, wherp che chariots of
che gds, whose well marched horses obey che rein, advance easily, but che others

33* My understanding of the Phaedrus tunracive has been gready helped bjr che imigbcful
analysb of Bruce Lincoln, in Theorizing Myth, pp. 151^59Plato. Phardrus, Z46a-b.

35. Ibid, i 4 6 d - 4 7 a; traxularion by Harold Norch Fowler from Placo< Euthyfhro, Aftlogj,
Crito, Phaedo, PfMcdrm, pp. 4 7 3 - 75 hereiiufter cited u Fowler.

T H B A S C B N S I O N OF T H E S P I R I T

223

with difRculcy; for the horse of evil nature weighs the chariot down, nuking ic heavy
and pulling toward the earch the charioteer whose horse is not well trained.36
Finally the procession goes beyond the heavens and teaches the level of
cruch, absolure justice, and knowledge.37 The gods are able to reach this
highest level, as arc the best of the human souls. The others, however, &il
and (all back co earthsome having glimpsed the highest levelf others hav*
ing not seen ic it alL38These souls fall back to earth and ire reborn in a new
body. The resulting humans are arranged in a hierarchy based on how much
of the world of truth each soul saw during its ascension:
The soul chat has seen the most shall enter inco the birth of a man who is to be a
philosopher or a lover of bcaucy... and the second soul into chat of a lawdal king or
a warlike ruler, and the third inco chat of a politician or a man of business or z finan
cier, the fourth inco that of a hard*working g^mnasc or one who will be concerned
with the cure of the body, and the (i(ch will lead the life of a prophet or someone
who conducts mystic rices; co the sixth a poet or some ocher imicadve artist will be
uniced#co the seventh, a craftsman or a husbandman, co the eighth, a sophist or a
demagogue* co the ninth, a tyrant.39
As one might expect from a follower of Empedocles, the philosopher is
placed at the head of the hierarchy followed by rulers and religious special
ists and then che rest of society.40Placo is thus claiming co have access to a
divine sratus unaccainable through the sacrificial system of che polis. As in
the material from early China discussed in this chapter, ascension represents
a radicalizarion of divinizacion claims.
Instead, rherefbre, of seeing these early Chinese texts as a survival of an
earlier shamanism, I would argue chat these claims for ascension arose only
in che third and second centuries bc for specific historical reasons. They
emerged only after divinization practices had developed. The ascension lir^
erature proliferaced by appropriating and radicalizing these divinizacion
practices in order co assert the ability of individuals co transcend their roles,
che political order, and the world of forms icself. The same argumenr would
hold as well for che emergence of ascension literacure in Greece ac roughly
chc same time. In both cases, this literature arose out of a radicalizacion of
36. Plato,
i47b-c;tans, firom Fowler 475.
37* Placo, PhafJrus, 247<i-c.
3 Ibid 4 Aa-b.
39 . Ibid..
tram, from Fowler, p. 479*
4.

Uiicoltit Thioriting Myih, pp. i5)-$6.

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T H E A S C E N S I O N OF T H E S P I R I T

earlier self-divinizacion practices, which themselves arose as a reaction to che

arcs of che sacrificial and divination specialists of the day.
As we shall see in che next cwo chapters, such claims of ascension prolif
erated dramatically. I will trace how the debates concerning che relationship
of che spirit to che form and che degrees of power due the adept can and
should exercise over things developed in che early imperial period

A theocracy of spirits

Theism, Theomorphism, and Alchemy

in the Qin and Early Han Empires

In 218 b c , the First Emperor#in the cwency^ninch year of his reign, had an
inscription carved on Mount Zhifu. It read in pare:
The bright potency of the August Thcardi (Di) aligns (jj%) and arranges (") all
wichin che universe.1

The Qin ruler, having enrided himself huangdt (lie. M

augusc god**), notes chat
he has aligned the universe and given ic pactems co follow. As we saw in
Chapter 4, the rerm jing was widely utilized to describe both the sponcane^
ously generaced alignment of the cosmos and, in che ascension literature, an
adepts surveying of the cosmos. Here, the claim is that che ruler himself,
now called 2 Dif has personally aligned the cosmos.
Although such statements would be characterized in che earty Han as ex^
cessively boastful, che works of this period accepted, and frequently iterated,
che notion that particular figures have power over che natural world They
disagreed, however, over che means of achieving such powers and che proper
momencs for using them. Among the questions debated were How do natu
ral processes work? To whac extent should humans manipukce these pro^
cesses? And if manipulation is acceptable how can it be accomplishe<i and
under what circumstances is it legitimate? In this chapter, I skecch che

. "Qin Shihtung bcnji.N6^41.

226

A T H E O C R A C Y OF S P I R I T S

development of this debate in the Qin and the early Han and analyze the is*
sues of concern. I focus on the questions of whac cults were supported by the
early imperial states, what claims were made concerning the powers of the
rulers over che natural and the human worlds, and wh^ several figures at
court turned to correlative modek daring this period.
Indmacely related to these questions, I will argue^ was che issue of human
mortality. Both the First Emperor and Emperor Wu of the Han employed
specialists ro help them overcome huenin limitations and achieve a bodily
ascension co che heavens. Many of the themes analyzed in die previous chap
ter reappear during chis period, but in a very different form. I will try to dis*
entangle che competing cosmologies of rhe rime and che various claims con
cerning human potenq^. In order to situate this argumenc! I begin by
discussing che anthropological liceracure on divine kingship and sacrificea
licerarure in which China, again because of the work of Marcel Granec, holds
an importanc place.

Kingship and Sacrifice: From Granet co Dumezil and

Back Again Through Sahlins
As we saw in Chapter 4, G ran ts analyses of China scrongly influenced the
anthropological literature on cosmological thinking. The same is true of che
anchropological liceracure on divine kingship. Georges Dumezil, one of Gra
nets scudencs and a leader in che scudy of icingship, devoced his life co the
study of Indo-European materials, but Dumezil explicitly built on Granet s
work in his analyses. Dumezil, howeverf turned away from che evolurionaiy
model Granet favored and coward a study of che generation of permucations
from a given structural paradigm. Moreover, his explicit goal was co provide
a framework for comparative analysis. His attempt is worth following, both
ro follow che insights his approach has yielded as well as co note che losses.
In his classic scudy of kingship! Mitra-Varuna: essai sur deux representations
indo<uropeennes it la souveraineti, Dumezil argued, within a comparative
framework, (or the existence in Indo-European texts of a basic dualism in
concepts of sovereigney: a passive, sacerdotal form of kingship, and an active,
miliuriscic form.2 It is in these terms, for example, chat he analyzed two of

2. Dumezil dedicates rhe book jointly co Granet and Marcel Mauss, and in che preface ro
the second edition, he emphasized his debt to Grancc; see M itr^Varuna, pp. ti-u* Dum^sil
alio diicuttcs Mme of Granet work in his conduiion. a point to which I will return below.

A T H E O C R A C Y OF S P I R I T S

227

the first legendary rulers of Rome: Romulus, the exemplar of violent aggres
siveness (celeritas), and Numa, the model of sacerdotal powers (gravitas),34
Dumezil s comparative approach consisted of analyzing the appearances of
chis dualism in various texts in different Indo-European cradicions. However,
Dumezil s emphasis on studying rhese permutations syoichronically led to an
unfortunate tendency on Kis part to chart appearances of a given structure,
in chis case a diarchical system of kingship. Indeed when he mentions che
studies of Granet in the conclusion ro his work, he discusses nor the com
plex analyses of narratives of rulership in Danses et legendes but the analyses of
yin and y^ang in La pensk chinoise. For Dumteil! che dualistic structure of
kingship in early Indo-European societies functioned as a complementary
(or concrascive) pair in che same way chat yin and y^ang did in early Chinese
thought.
The comparison is unfortunate, for many of che ideas in Granet s studies
of narratives in
d
would have been ir more usedil to a com
paracive discussion of kingship*5The problem with Dumizils approach is
that he tends to focus on the final structure of kingship rather than on che
emergence of chac structure, or, to pur chis another way, he tends to focus
not on che tensions rhar led to a certain presentation of kingship in a par^
ricular narracive but on che final, synchronic structure icsclf. This approach
derives in large part from his contention chat chis structure is traceable co
the culture of the early Indo-Europeans. Dumezil argued char che early
Indo-European community had an ideology based on a rripardee srrucnire
of sovereignty (itself divided into che dualism mentioned above), the warrior
(unction, 2nd che (unction of fecundity. His comparative method is thus fo
cused on discovering chis structure in various Indo-European narratives, dis^
coveries that would then serve co validace his basic contention.
Whatever the truth of Dum^zil's argument concerning the IndoEuropean community,6 his method is not particukrly helpful for compancive research. In che case of early China, for example! che approach would
lead only co a comparison based on rhe negative claim that no such srructure

3. IbkL. pp. 4 7 - 55*

4. Ibid., pp. 175-81*
5. For a discussion of Granet s discussion of mythical narratives in early China* see chap. 3
of my TV Am bm lenee of Crtation,
For critique! of Dumezil, aec Lincoln, Death, War, and Sacrijice, pp. 231-68; and idem,
Theoriiini M ytht pp. 111-37.

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A T H E O C R A C Y OF S P I R I T S

existed in early China. Since none of che narradves characterize die social
order in terms of a diarchical kingship (or, for char matter, a more general
tripartite scructurc), one could siy only thac chc early Chinese narrarives do
not work in terms of che structure that Dumezil claimed co find in the Indo*
European materials.
Among che recent critiques of Dumezil s arguments, Marshall Sahlins s
arcempr ro shift chc discussion away from 2 Dumczilian emphasis on syn
chronic structures and toward a generative approach provides a more prom
ising comparative mechod. O f particular inceresc to the present study is
Sahlins s discussion of che M
stranger icing.^7 Sahlins based chis notion on nar*
racives and ricuals char presenc che scace as having emerged from conua be
tween a peaceful, indigenous populace and a transgressive outsider. The
consequence of chis conraa is che emergence of a third term, sovereignty,
which is itself dualistic and consists of peacefid and warlike elements.
Insceadf then, of focusing on a static system, chis model emphasizes a
diarchical structure of kingship as the result of an earlier conflict. The
permutations found in different narratives from disparate culrures are then
analyzed as the working out of various combinarions of these dualistic forces,
a process chiracterized by almost endless degrees of complexity.
Like Dumezil, Sahlins analyses che legends concerning che crearion of die
Roman scace. And as did Dumezil, Sahlins focuses on the accounts (primar
ily from Livy, Plutarch, and Dionyrsius of Helicimassus) chat portray the
founding of Rome as a union between che followers of Romulus on che one
hand and che Sabines on che ocher.8Dumezil, reading this material in terms
of his criparcite structure, argued rhar we should sec here the common Indo*
European cheme of a war between che functions, with sovereignty (Romulus)
and che warrior dmccion (his followers) paired against the (imetion of fe
cundicy (the Sabines).9
Sahlins* in contrast, reads che material in generative terms as a narration of
che emergence of che scace. The war chen represents che combining of che
powers of transgressive, military violence with the fecundity of the Sabines,

7. Sahiinj* Islandj of History, pp. 73-i3*

8. See, c.g Plutarch. Lim. ^Romulus,*
9. Duni^zil, Cods of the Ancient Northmen, p. 24- Dumezil discusses rhe account in compari*
son with the Norte myth of che war between tlie /E sir (who, he daimi, represent the firft
two functions) and the Vanir (representing the rhird); sec ibid., pp. 3-25,

A T H E O C R A C Y OF S P I R I T S

229

and ir is out of this combination char Roman kingship emerges.101Moreover,

Sahlins argues, che reason chat Roman kingship is divided into the dualism
explored by Dumezil is precisely because it is posed as emerging from this
combination of violence and fertility. Thus* the first insrandacion of this dual*
ism is seen in two early rulers of Rome, the same two figures analy^zed by
Dumezil 2&representing che dualism of Indo-European sovereignty: Romulus
(wby nature a lover of war/ as Plucarch put it) and Numa, himself a Sabinet
who rums awayr from che milicancy of Romulus, rule and establishes che reli
gious order and organizes society and che calendar.11As Sahlins puts in
Numa, Romulus's successor, weans Rome from war and founds the priesdiood and
cult, means of dvic order. Numa s reforms represent che more general popular interesc which he, as member of che indigenous people, is disposed to incarnate. Thereafcer, che Latin kingship will alcemare between celeritas and gravitas, magical war kings
and religious peace king^.12

Such a reading opens up &r more room for comparative research than
does che synchronicallyr based merhod of DumiziL Instead of a focus on
finding 2 given srrucxure in various societies! che approach poinrs coward che
study of underlying tensions. The implicarion of this mechodology is chat, in
comparing materials, we should first emphasize locating a common tension
and then compare che diverse historical solutions to chac tension and che dif
ferent historical consequences of those solutions. In chis model! for example!
narratives chat trace che origins of a kingship divided into miliuristic and
sacerdotal charaaeristics to a previous combination of violence and fecun^
dity are seen as one method of dealing with chis problem.
Indeed, following 2 passing reference from Dumfeilp Sahlins draws a
comparison with Polynesian materials, especially from Fiji and Hawaii/3Al
though rhe exact myths and ricuals differ, che common concern in these cul
tures with posing sociery in terms of a combination of a peaceful populace
and an intrusive transgressor provides the ground for comparison. In ocher
words, che basis of che comparison is noc 2 similar synchronic srruemre but a
common generacive approach to che emergence of che scace.

10. Sahlins, Islands o f History, pp. 8^-91.

11. For the rcfcrcnccj to Romulus and Numa, see Plutarch's Lives, "Romulus/ 24.1and
'Numa,** 3.3,
*7-i 8.
ta. Sahlini UUndt of Hittoty, p. 9 ><

is. For Plji, lee ibid., pp. 84-89.

and for Hawaii* pp. 9 ^ 9 ^

23

A TH

O C R A C Y OF S P I R I T S

The crucial point for die comparison is Ait role discondnuicy pby^s in
Poljrncsian cosmologies. As discussed in Chapccr 4 Sahlins argues char
Polynesian sacrificial systems emphasize che need to introduce discontinuicy
in order to achieve a life for humanity
Pol)mesians were ever and again engaged wich the divine in a curious combination of
submission and opposition whose objea was to transfer to chemsdves che life chat che
gods originally possets, continue to decain, and alone can bestow. By successive ricuak
ofsupplication and expropnacion. chegod is invired tiuo che humairdocnain. co give it
life, and then banished char mankind may take possession ofche divine benefits.H
Sahlins argues chat che "stranger king" is uritized in Polynesian nirracives of
che origin of the state co account for che incroduction of discondnuicy from
outside. This also explains (or Sahlins che existence of Homan sacrifice in
Hawaii: che concern again is co incroduce disconcinaicy#co separare che hu
man from che divine. "Prerogidve of rfic king^ human sacrifice is whac puts
che god at a distance and allows mankind to inherit chc earth. . . . So the
cemples consecrated in Hawaii by human sacrifice, separating the #sacred*
(heavenly) from chc 'secular' (earthly) or tabu (kapu) from noa, would liber*
ace che resr of che cerresnial plane for mankind.*15
Sahlins quotes Bedcwirh s assertion that, in Poljnnesia, gds and men are
"one family under different forms, the gods having superior control over cer
tain phenomena, a control which they may impart co their ofl&pring on
earth." Thus, Sahlins argucsf *The triumph of the warrior associated wich
human sacrifice over che peaceful and produaive god represencs che appro*
priacion by man of che fiructified earth."16The sacrifice of che peaceful god
allows humans to cake control of che land. As in che Roman maurials, there*
fbrev sovereignty is associated with che introduction of disconrinuitjr
although here che issues are worked out in cerms of a human sacrifice and
appropriation of the power of a god. Grancc argued along similar lines chat
in China kingship emerged through che conquest and sacrifice of previous^
divine figures: kingship was thus a form of divinizacion through che appro*
priacion of divine powers.17Sahlins s reincerprecacion of Dum^zil, therefore^
in a sense returns co Dumizil s teacher, Granec.
14*Sahlins. How *Nativa* Thitikt p. 24.
15. Sahiim. Islamis of HiU9 ryt p. 11$.
16. Sahlins^ How
Think, p. a$.
17. Granct. however, read Chinese narratives as evidence of 111 acruol Kiltorkd evolucion
rather chan os Uter ananpii ip explain tlic nature o f (lie tfmeniporry ftatc.

A T H E O C R A C Y OF S P I R I T S

3 I

Can these discussions of divine kingship narratives help us understand

die Tensions surrounding che fornucion of the Chinese empire^ I hope co
show chathey can. The narratives of che founding of the Roman state out*
lined above derive from Pluurcha Greek living under Roman imperial
rulc I suspect Plutarch intended co draw an unflattering parallel between
the (bunding of the original Roman scace and che founding of che Roman
empire during the first ccncury b c . Plutarch explicitly describes Caesars a s
sassination as a sacrifice.1* Plutarch may be drawing a parallel here with
Romulus, the mythological cransgrcftsor who created the original state. Ac*
cording ro Plutarch, boch Romulus and Caesar were sacrificed by senators
who feared cheir growing usuq>acion of che Senates power.1819Just as che
scare was successfully consolidated onl)r after the sacrifice of Romulus, so
was empire consolidated by Augustus only after che death of Caesan it took
a transgressor like Caesar to begin the autocracy, buc9 che same roken#he
was roo transgressive co consolidate a new form of government. That job
wenc inscead co Augustus, che M
second Caesar.**20And* although Plucirch
draws a comparison between Caesar and Romulus, he makes it clear chat
Augusrus was not quite Numa:
[Janus] aljo has a temple ac Rome with double doors* which they call che gues of
wan for che temple always stands open in nmes of war, but is dosed when peace hat
come. The larcer was a difficult macrer and it rardy happened, since the realm was
always engaged in some war* u ics increasing size brought it inco collision with che
barbarous nations which encompassed it round about. But in the time of Augustus
Caesar it was closed, after he had overthrown Ancony. . . . During che reign of
Numa however, it was not seen open for a single day, but remained shut for che
space of fbrty^three years cog^cher* so complete and universal was che cessation of
war. For not oaly was x h t Roman people softened and chinned by the rigbceoiu*
ness and mildness of char king^ but also che dries round abouc, as if some cooling
breeze or salubrious wind were wafted upon them from Rome, began co experience

18. Pluurch, Lives, "Caesar," 65.6.

19- Ibidf *Ronuilusr 27<$-6
20. Ibid.* "Numa."* 19^. This may be cite tource of HegeTs bmoui argument chat, in
Rome, onptre was instituted only alter iu mitutor. Caesar, was ucriB ced. Although Brutus,
Cicero, and Casiius fielr chat the assasiizution would lead to the rctojiaKcmcnc of the Repub
lic, history, according to Hegel, proved (hem wrong"But it became immcduccly maiufesi
that only a ingle will could guide the Ronufi State^ ind now the Romans were compelled to
adopt chit opinion) since in all periodi of the world a political revolution ia sanctioned in
men a opiniona* whn Urvpeau itielf (Hegel. PM ot^fhy cjf HLuory, p. )i}).

232

A T H E O C R A C Y OF S P I R I T S

a change of temper, 2nd all of chem were filled with longing desire to have gpod gov
ernment co be 2 t peace, co till the earth, to rear cheir children in quiec# and to wor
ship the gods.11
Like N u m af A ugustus brought peaces But i t was not a peace comparable co
chat o f the reign o f N um a, who, through his "devotion co religion,*22 brought
the populace back to a proper w orship o f the gods.
Buc thac which was the end and aim of Numa s govemmenc, namely* the concinu*
ance of peace and friendship between Rome and ocher nanons* straightway vanished
from the earth with him. Alter his death the double doors of che temple which he
had kept continuously dosed, as if he really had war caged and confined there, were
chrown wide open, and I tA y was filled with che blood of che slain. Thus not even for
a little time did the beautiful edifice of justice which he had reared remain standing,
because k lacked che cement of education. M
What, then: some say was noc Rome
advanced and bettered by her wars^ Thac is a question which will need a long an
swer, if I sun co satisfy men who hold that betterment consists in wealth, luxury, and
empire, rather chan in safetyj gendeness, and thac independence which is attended
by righteousness.23
T h e moral is clear: Augustus may have succeeded in bringing peace, as had
N um a, but A ugustus' peace was a lesser peace an autocratic and imperial
one.
Plutarch clearly &vored a recum co w hat he envisioned as a traditional
form o f moralicy, religiosity, and statehood, in which hum ans engaged in
peaceful agriculture and displayed proper reverence for che gods. In other
words, he is overtly cricical o f aspects o f the Roman empire and is calling for
a ruler like N um a. A lthough Plutarch never wrote a biography o f Auguscus,
one suspects chat he strongly opposed che divinizadon o f rulership thac ac
companied Augustus' consolidation o f che em perorship.24 In short, Plu^
carchs narrative o f che origin o f che state in Rome was written, I would ar
gue, with die formacion o f che Rom an empire in cnindL

ai. Pluurch, Urn,

20J-3; tran*. Perrin, pp. 373-7522. Plutarch, Lives,
22.7
trans. Perrin, p. 363.
23. Plutarch, Liva, "Lycurgus and Numa/ 4*6-7
trails Perrin, p. }99 O n be divinizacion o he Roman emperors, see Taylor, TV Divmifj 0/f RoftM" mperon and Pollini, "Man or God." Also helpful are Weiiutock, Divwi Jufiwi; Yavetz, JuIini Cocsar and His Public Itnugr, and Zanker, T1)e Power of Imagts in the Age of Aug^itus,

A T H E O C R A C Y OF S P I R I T S

233

A nd che more recent analyses o f Plucarch's narradve discussed above

were certainly w rinen w ith such concerns in m ind as wclL25 Sahlins develops
his argum ent about che stranger^king n o t simply ro draw a comparison be
tween the Rom an and che Polynesian narratives but also co discuss how
these rhemes placed o u t historically in Polynesia. Sahlins reads the grear
mid^ninereench-cencury Fijian war in terms o f an interplay between che
claims o f sacerdotal kingship 2 n d chose o f m ilitant kingship.26 Sahlinss
move here is to work o u t the culcural tensions surrounding notions o f kingship and then smaljrze the historical implications o f the way these competing
claims pUy o u l Valerio V ileri, using a similar merhodolog^r traces how
such tensions played out in Hawaii when Kamehameha conquered ocher
warring chiefdoms and w ent on to form a unitary state.27
All chese analyses focus on che crucial historical tensions surrounding che
emergence o f em pire an approach far more powerful rhan an emphasis on
permucarions o f a synchronic structure. In this form, che themes are even
applicable co a discussion o f che rise o f empire in early Greece a culture
char D um ezil always had difRculcy placing wichin his framework.
In early Greek historiography, empire (a rchc) is often presented in cerms
o f a dialectic between hum an and divine powers. Indeed, empire and hubris
were commonly linked by die G reek historians, who portrayed empire as z
transgression o f the proper order o f the gods, che Greeks, or che traditions
o f the city-states.28 Thucydides in his account o f che Peloponnesian W ar,
for example! presencs empire as a hum an acc o f hubris against che city-scates/
cradirional arrangements w ith che god& In contrast to che Spartans, the
A thenians ire radical innovatorSj supporting rebellions and attem pting co
create an empire. Thucydides (requendy quotes critiques o f che hubris o f che

25. Bruce Lincoln argues that Dumezils analysis in Mitra-Varunat the first edition of
which was publuhed in 1940, was in part vtrritten as a cririque of chc Gcnnan empire and sup
porr for Mu^olinis form of ^scism. According co Lincoln, if Rome for Dumezil represents a
proper ordering of Romulus and Numa, ederitas and gravitas, then Gcnnan narratives cell of a
dangerous turn co the milicary. Lincoln reads a link here with Mussolini j preservation of che
Vacicin 2nd che monarchy on the one hand and Hitlers aggrandizemem of power on che
other: *lnsor ashese parrems remain ideab
Germanyancient and modemappears as
rlie problem, while Rome and its contemporary heir appear as the solution" (set Lincoln,
Myth, p. 136; for Lincoln s full discussion, see pp. 121-37).
16. Set, t.g.t Sahlini, *The Return of the Evaur
17. Valeri, "The Tromformarion of a TranBformation.M
aa. The moit obvioui example ii Herodotui' earlier pretemation of the Pcraian empire.

34

A T H 8 0 C R A C Y OF S P I R I T S

Athenians and argues rhac ultimately Athens will overreach ics resources and
be destroyed. Early in the worl^ for example, the Corinthians* while dying
to convince Sparta ro join the war against chc Adicnuns, describe the Ache*
nian empire in precisely these urms:
An Athenian is always an innovAcor, quick co form a rcsoludon and quick at carry
ing it out. You [the Sparuns], on che other hand, are good keeping chingi as they
are; you never originace an idea, and your action rends co scop shore of ics aim. Then
agun. Adienian daring will outrun its own resources; A c y wiU take risks against
chdr b eatr judgment, and still* in che midsc of danger, remain confident.29

The very strength of die Athenians will ultimately lead co rheir defean as innovarors and originators, they will inevicably transgress cheir limits and
bring descrucdon on chemselves*
This linkage of empire and transgressive innovation recurs throughout
che narrative. For example, Pericles notes this in his &mous funeral oration:
0I shall begin by speaking of our ancestors. . . . They certainly deserve our
praise. Even more so do our fathers deserve ic. For co che inheritance chat
they had received they added all che empire we have now, and it was not
wichoar blood and coil chac chey handed it down to us of the present genera*
non."30 Empire was a recent creation, an addition co che inheritance (irom
earlier generations of Athenians.
Later, when che war was going badly for the Achenians, Pericles offers a
fiirrher reflection on chis creation: T our empire is now like a tjrranny: ic mzy
have been wrong co take it; it is certainly wrong co let it go.*31 In Thucydkles*
account, Pericles admits that this addidon of empire co che ancestral
hericag^ inrroduccd a dangerous dement into che culture.
But it is r^gfu ro endure with rcsig rion whac the gods seocL and to
one's cne*
mics with courage. . . . The reason why Athois has che greatest name in all die
world is because she has never given in co adversicy, bur has spent more life and la*
bour in warfare chan anjr ocher state* thus winning rhe greatest power char has ever
csdsced in history, such a power chac will be remembered forever by posterity, even if
now (sixwe all chingi are bom co doray) chere should come a rime when we were
(breed co ^ d d .1219

19, Thucydidei, Ptloponiiesi4n Wr, 1.70; trans. Warner, pp. 7S-76.

30. Thucydides, a.36; cram. Warner, pp. I44-45*
31. Thucydides, a.63; Irani. Warner, p. 161.
Thucydidei* .64: tram. Warner, p. 6i

A T H B O C R A C Y OF S P I R I T S

Resigned to the inevitable destruction of che gods, die Athenians can none
theless go down knowing they have creaced die greate$c empire in history up

What is powerful in this speech and, indeed, powerful in Thucydidts*

narradve in general is chat the Athenun empire is consistendyr presented as
heroic buc, as an efibre chac runs counter ro the craditional arrangement of
the city-fttaces^ doomed. Once Athens became an empire. Thucydides is iqtp l^ g , it was doomed. Thucydides associates empire with craiugre
novation and therefore with hubris. For Thucydides, che history of ^
pire can only be a tragedy.
This background may help co explain Alexancicr s progressive moves toward ddBcacion as he established his empire: if empire comravcncs the
gods, then only a god can successfully esublish an empire. Initially, Alexan*
der ft claims of divine attributes were based on che figure of Heracles, whom
he claimed as an ancestor*34and who was one of che few mortals said to have
joined the gods on Olyrmpus. During the campaign in India* Alexander de.
cided to scale che Rock of Aornas and capture it because^ according ro leg
end, Heracles had fiuled in a similar accempc. by capturing the Rock Alex^
ander was claiming co have suq>assed even the great warrior Herades.)S
Alexander similarly saw himself in competition with Dionysus and claimed
char he had penetrated further into India chan had che god*16
But the most significant act occurred in 324 bc, when che Greek states
begin debating whether to worship Alexander with divine honors.17 By ac
least 323 b c , several Gredc scaces were worshipping Alexander as a living

For recent discussions of che issue of Akxaoders dcificab D tee Botworth H i t Divinity of Alexander." in idem. Cbn^Hest and Empire, pp. 17S-90; and Frtdrkksmcycr, * T h ttt
Noces on AJcmider s Deificanon."
34- Plutarch, Livei, "Alexander," aa.

3$. Diodorus 17^5; and Arrian. Anabasis, 4.1$, 30; 5^6.

36. Arrian. Anabasis. 5a
37. Plutarch. Moralia, 119c. There is a large schobrly debate on whether Alexander re
fuelled char cbe Greek staces fjeve him divine honors or whether the sratet did so in order to
courr Alexander. See Hamilroii Alexander the Grea(t pp. i)l-4U
Fredrickimeyer. Three
Noce on Alexanders Deifkacion,Npp. 3-$- Both tee che evidence as indicating that Alexan^
der did indeed request 1c. At Bosworch has argued, che evidence reveak at least that *the cn*
octmciu of divine honour! wa well known to be something th king grearty desired" (Ccnqueit
anJ Empire, p. $$),

136

A THBOCHACY OP SPIRITS

creaced bf a god: empire

and dcificacion developed together.
Alexander's] progress was complete* Beginning as 2 Heradid and descendant of he*
roes, he had become son of Zeus and compecicor with the heroes. Finally he had become a god manifest on eanh* ro be honoured wich ail che ippurcenancea of culc.
The precedent for the worship of a living man was firmly established and culct were
ofiered co his Successors wtch greater frequency and magnificence.19

Similar themes o f deificadon played out in che emergence o f empire in

early China as well where we see the emergence, for the first dme (as feu* as
we know) in Chinese history, o f claims by chc ruler himself co be a god. The
emergence o f imperial rale in early China coincided wich die rise of a new
type o f cheomorphic claim. Building on chc divinizacion and ascension Iierature( although accepdng a laigely theistic cosmos ind a ritual order based on
sacrifice, che Qin ritual system involved an appropriadon of divine powers
che very issues chat Granet discussed. As we have seen, comparable claims
accompanied che rise o f centralized scares and empires in numerous areas.
Buc che concern among chose actcmpdng to claim divine kingship in China
was not, as Sahliiu has discussed for Polymesia, co sacrifice the gods and ap
propriate the land; richer^ the goal was co ascend co the heavens and be
mnsfbrmed into a gd. The rest o f this chapcer actempcs co answer che
questions How and why^ were such claims articulaced? Who opposed these
claims? and What were the historical ramificarions o f che ways che ensuing
conflicts developed? In short, what were the crucial tensions surrounding the
fermadon of empire in early China?

Competing Cosmologies in the Qin and Early Han

Those who approach early Chinese chou^ir historically cend co associate che
emergence of correlative chinicing in che lace Warring Suces and early^ Han
with chc rise of centralized states concerned with building ideological sys*
reins differenc from che Heaven-based ideology of che Zhou. In Chapters 2
and 4, I argue chic, co che concraiy# moniscic cosmologies were formulated
by figures opposed to the ritual specialists employed ac che dominant courts
of che dme, and that such cosmologies failed to gain significant backing for
some cime. An example is die Lushi dmnqiu. Once Lu Buwei fell from power,
38. Predricksmeyer, M
Three Norei on Aiexanderi DeiHcaiionr p. 5.
19. Boiworth* Co uesl
Empirr, p

A T H O C R A C Y OF S P I R I T S

the Qin court ignored such ideas* as did che early Han emperors. Monistic
cosmologies, hr from being the imperial ideology, were used to oppose the
cosmology dominant at che impcrul court.
The views chac dominated the Qin and early Han courts were indeed far
removed from che Heaven-based system of che Zhou, but they were also lie*
de influenced by correlative systems of thought. Instead, early imperial ide
ology continued co be based on a cheisdc system, wherein iucuraJ phenom*
ena were seen as governed by distinct, active deities. Ac the head of this
celestial hierarchy was Di, and below him were arrayed various spiricsf each
wicb its own domain of power. Ricual specialises continued co be employed
to use forms of divination or sacrifice co determine, influence, or even con*
crol che spirits of each domain.
Thus, for example, Sima Qian claims chat Emperor NVen ( r. 179-157 b c ),
after noting the growing prosperity of the empire, seated: *AVich my lack of
virtue, how could I cake credit for tbW It is a gift of Shangdi and all the spir*
its."40He thereupon increased the sacrifices co the spirits* Whatever the ve
racity of this account, such sucemencs are nonetheless telling of early Han
political rhetoric: one could claim co be a humble ruler by crediting ones
successes co che di and shen and by proclaiming ones indebtedness co them
through copious sacrifices and ritual obeisance.
In staring chic such a cosmology was predominanc, however, I in no way
mean ro impty chat all the early emperors expressed the type of humilicy co
ward che shen chac Sima Qian ascribes to Emperor Wen. To che concraxy,
the predominance of this cosmology meant chat many of the tensions stirrounding che ideological claims of che early emperors revolved around che
relationship beeween che emperors and che spirits. Although humilicy was
one possible rhetorical posture, it was hardly die only one. In che remainder
of this chapter, I attempt to recoMtrua the sacrifices of che early emperors
and the specialists they hired in order ro trace these var)ring claims over the
course of A t early imperial era

Emperors and Gods in che Early Imperial Courcs

When Qin creared the first imperial state in 221 b c # it attempted ro forge an
imperial ideology of unificaaon. The most important sacrifices were offered
at the Qin cult center of Yong co the four gods the white, green, yellow,
40. S h iji (hercinaltcr cited

in the icxt), "Fcnphan thu* 28.13S1.

238

A T H E O C R A C Y OP S P I R I T S

and red di (Shiji, Tengshan shuN28*1376). The first of these sacrifices had
b e e n i n s d r u K d in 771 b c , when the Zhou conn recognized Duke Xiang of
Qin as a feudal brcL Since die srate of Qin was in che fir west, Duke Xiang
creaced an tfalur of the west," ar which sacrifices were made co che white di,
the god of che wesc ("Fcngshan sha,M23.1358). Over the next several cenmries,
Qin introduced sacrifices to die gods of the orher three directions as well
presumably as a claim co prominence as Zhou power waned ("Fengshan
s h u / 28.1360,1364).

Nor only did Qin maintain these sacrifices, however, buc ic also accempred to co-opc the significant cults of each region in che empire. Accord*
ing ro Sima Qian:
When Qin united all under heaven, [che first emperor) comounded chat the offeringi (recpiendy performed by che officials of sacrifice co Heaven* Earrh, che famous
mountains, the great rivers, the ghoscj, and che spirin be obtained and placed in ordtr. ("Fengshan shu,N28.1371)
The First Emperor himself undercook several cours of his empire and per
sonally performed many of che most significant of these sacrifices. The sacri*
fices ro ocher important deities were placed under die concrol of a great in*
vocator, who "oHered the sacrifices according co che appropriate dme of che
year* ("Fengshan shu,0 28.1377).
These artempes co gain control over cults co regional spirits involved
a claim to rulership difiercnc from che one (bund in che Shang and Western
Zhou maceriaL The Zhou conquest had involved an attempt co replace
che Shang pantheon of ancestors with che Zhou pantheon (see Chapter 1).
The concern was co utilize ones ancestors co gain che support of Heaven.
One duis performed sjcrifices ro build support from the lowerAmore acces*
sible levels of the pantheon up co rhe higher, and the higher ancestors
then worked to pacify Heaven itself. Since the goal of the sacrificial action
was ro build coward higher powers, there was no inherent Tendency co ex*
pand sacrificial sices; all che ruler needed was one platform co reach his
ancestors*
In concrasc^ che First Emperor s claims were based instead bn a ritual sys
tem in which che ruler maintained personal concrol over all chc land. The
sacrifices were placed under centralized control and che Firsc Emperor rrav
eled constantly throughout his realm and personally petformed sacrifices in
each area. He marked chesc occasions by erecting stelae announcing hia
achievements.

A T H E O C R A C Y OP S P I R I T S

139

Ic is within this concexc that we see a flowering of inreresc at the imperial

court in techniques co gain immortalicy/1as well as the rise to prominence of
chose specialises that Sima Qian called/anjsbif or masters of formulas.4142The
fangshi claimed co possess formulas rhac enabled them co contact and sum
mon spirits and to therebyr secure divine support. One of die major commis
sions given chese figures by the Firsc Emperor was co seek our cranscendeots
who had achieved long life and co find drugs chat would make rhe emperor
immortal (Shijit "Qin Shihuang benjiM6.245,25a. 258,163).
These searches became associated with the attempt to become a True
Man (zhen ren). Sima Qian reconstructs a discussion between the fangshi Lu
Sheng and che First Emperor
Lu Sheng cold che Firsc Emperor, 1 and ochers have searched for zhi planes* strange
medicines, and cranscendencs, buc we have not found them. Strange creatures have
prevented ui. The formulas sajr chat a human ruler must move secretly, at che ap
propriace cime in order co avoid the evil gooses. If che evil ghosts are avoided, then
che level of True Man can be attained. If che ministers know where che ruler resides,
then harm will come to his divinicy (iben) True Man cnccrs water without getting
wet, enters fire without geedng burned, crosses over cloudy qi, and lives as long as
Heaven and Garth. Now, Your Majesty has pur all under Heaven (n order, but he
has not yet been able co attain tranquility and pcaccfulncw. When Your Majesty re
sides in che palace, do not allow people co know. Thii way* the drug^ of immortality
can perhaps be obcained." (aQin Shihuang benjiM6.257)
Lu Sheng is calling on die ruler to become a True Min, and his description
of the True Man is reminiscent of the descripcions of die adept discussed in
the previous chapcen a True Man is unaf&cred by the elements, can ascend
to chc skies, and lives as long as Heaven and Earth. To Lu Sheng*s sugges*
cion, the First Emperor reportedly replied -I hope to become a True Man. I
will refer to myself 2s True Man/ rather dun as T - (^Qin Shihuang benji
6.257). The First Emperor thereafeer had che scholars (bo shi) compose po
ems on cransceiKlencs and true men, as well as on his rravels (you) through
out the empire ("Qin Shihuang bcnji,** 6*259). The form of rulership the
41. My understanding of the claims of immortality in this period have been gready aided

by Yft Ying-Shih, life and Immortality in chc Mind of Han Chtfu"; idem* mtO SouL Come
Bwkr A Study in the Changing Conceprioni of the Soul and Aftwliflf in Pre-Budilhift

China") Needhlun. Science and Civilisation in China, a:

and Pi MSearcho/Ptrsonal Wrf-

ftret pp. i)n.

4a. On rhe maitcn of fonnulat, icc Chen Pan, M
ZhangMQin Han jiin fiuiphi kao lun ;

ind Ngo, Diuifuitifit magied pdlitUfyedamIdChitt4 ancienne,

24

A T H E O C R A C Y OF S P I R I T S

Fine Emperor envisioned cherefbre became associated with the ascension

literature discussed in die previous chapter the ruler travels and attains im*
Such attempts co gain immortality were paralleled by the Qin ruler s own
theomorphic claims* The ride inveiued for the First Emperor,
or
"august god," had dear theomorphic pretensions (consider the inscription
with which I open this chapter, p. 225). The First Emperor was claiming co
possess the powers of a di, a gdf as well as the power to impose his will on
the natural phenomena of the world
Moreover, as a di, his rule presumably exrended over che lesser spirits as
welL The First Emperor's assertion of direct control over regional culcic sices
may imply such a claim. How &r his claims wenc is impossible ro say. given
our limited sources. Certainly however, numerous lacer scorics portmy him
as having such pretensions. In a Eimous story from the Shiji, the First Em
peror encounters troublesome winds and anriburcs them to che ill*will of a
local spirit. The emperor is nor wichout means of dealing with such mis*
creancs:
Floating down che Yangzi River, he arrived ac che shrine of Mount Xiang. He cn*
countered a strong wind and was almosc unable co cross. He asked che scholars,
"Which fpint is (he ruler of XiangT The scholars responded: ^We have heard char
she was the daughter of Yao and the wife of Shun, and char she is buried here." The
First Emperor was chcreupon very angry and jeu three chousaiul convicts0 cue
down the crecs on Mount Xiang. The mouncain was left bare. (*Qin Shihuang
benji/ 6.246)
Although rhis may well be a later scory intended co show che hubris of the
Fine Emperor, ic may nonetheless be revealing of che sorts of claiim preva*
lent at che Qin courn if the ruler is a Di, then spirits should submit co him*
The early Qin imperium, cherefbre, was based on a theomorphic claim of
rulerahip. The ruler himself claimed co be a Di with che power co order the
world and employed rimal specialises co summon spines. He prcscnced him^
self along lines similar co che sages seen in che ascension lircracure discussed
in che previous chapter, and he clearly enrertained hopes of gaining immor
tality and ascending co the heavens. Such an ascension would have fully in*
stancutcd himself forever as a DL
If Sima Qian is co be believed, however, the fim fiew emperors of che
Han dynasty were more modesc in claiming power over che world of spirits.

A T H E O C R A C Y OP S P I R I T S

41

Indeed^ as we have already seen, Sima Qian presents Emperor Wen as ex*
tremely humble before the deities. Emperor Wen also abolished che position
ofsccrec invocacor*die position inscimced by che Fine Emperor to chan^
ncl blame away from che rukr (TengsHan shu/ 28.1380). The move was
clearly incended to portray che emperor as a ruler willing co accept responsi*
bility before the spirits and gods.
With Emperor Wu (r. 140-87 b c ), however, the relationship with the
world of pirics changed once again. I discuss die sacrificial sy tern under
Emperor Wu in more detail in Chapter 8; here it is enough co mention chat
be restored man^ of che cheomorphic claims made by the First Emperor.
Like che First Emperor, Emperor Wu was deeply concerned with overcome
ing human limitations and achieving immortality; he undertook constant
tours of his lands and personally performed the sacrifices; he also employed
fanphi and was incercsced in che ascension literature.
The court poet Sima Xiangru immortalized die Emperor W us interest
in ascension in his M
Daren (u1* (Prose^poem on the Great Man). The
Great Man leads a recinue of spirits on a journey through che cosmos and
is presumably a reference co che emperor. The work is dearly modeled on
che *Tu2n you" (see pp. 217-ao) and in several places repeats che wording
of the earlier poem^ including the discussion of the surveying of che
icsel
. . . (hey observe die four wastes...
they survey (jingying) che Fiery Mountain and drift along che
Soft River. (Sbiji, aSima Xiangru liezhuan." U7.3060)
Similarly che poem describes die Great Man as having direct power over
spirits. ThuSi for example, when che skies grow dark, che Great Man
has Yushi (che Lord of Rain) and Fengbo (che Duke of Wind) punished
("Sima Xiangru liezhuan/ 117.3060). The Greac Man, therefore, has direa
control over rhe wind and rainf for he controls che spirits who direct such
phenomena.
The poem concludes with the Great Man leaving behind his procession
and continuing alone
In che depths below there was no Earth#
in che expanse above rhere was no Heaven.
Looking abouc confusedly and with doting eyes, he sees norhing^

24

A T H B O C R A C Y OP S P I R I T S

Listening indisdncdy and UDcercainlyr. he hears noching.

Riding empdness a n d nothingness, he Ascends above
Transceadingr wichour friends, he resides alone.
("Sima Xiangru Liezhuin/ n7.56i)
The Grear Man alrimaccly transcends che world of forms and Heaven and
Earth themselves. The poem* in short, defines che Great Man as boch totally
dominating che world of forms and being completely free of dependence on
anything within che worid of forms including other hununs. If such views
represenced, in che Tuan you/ 2 claim of autonomy, here they represent,
when utilized co describe the ruler, 2. claim of absolute power.

The Ascension of Hiungdi: Divine Kingship

in the Qin and Early Han
How can we account for chc new sacrificial system of che Qin and tzrly Han?
And how should we incerprec these claims of ascension and immorcalicy^ The
ingescion of medicines and ocher substances as a means of attaining immortal^
icy is a clear difference from breaching exercises chat concentrated chc qi (see
Chapter 5, pp. 209-u). Bur can we go further dun chis^ It is important co
avoid a simple dichotomy of "philosophical* discussions of ascension and iramortalicy versus a more _siiperscidousMview on die parr of rbe First Emperor
and Emperor W il We need co develop a position from which we can under
stand che competing cosmologies of the time and che implications of chose
cosmologies. Unfortunately our evidence is limited: we possess no wricings
from che fangshi, and our icnowkdge of court practices is limited co Sima
Qians statements and co chc First Emperors inscriptions.43 However, we
have enough co piece together ac least part of what was going on.
Sima Qian portrays die fanphi as, among ocher things, liberating them*
selves from their forms
As he describes the fangshi at chc court of
th< First Emperor They practiced formulas and the way of che cransccndents. Their forms were liberated, smelted, and transformed. They relied on
che aaivicies of ghosrs and spirits9 ("Feng^han shu*" 28.136&-69). The term
xingji< appeared in (he Skiwen passage discussed in che preceding chapter.
Here, however, chc liberation is accomplished through means different from
chose described in the Sbiwm:
rely o d ghosts and spirits41 Po an excdlcm analysii ofhe First Emperofi iiiicripiioiM, icc Kern, TV SMf f
lioni of Chm Shih-huartf

A T H B O C R A C Y OF S P I R I T S

M3

Bodi che First Emperor and Emperor Wu supported t h e f a n p h i in che

belief chat rhesc figures would help them gain access to the world of spirta
suid ultimately immortality. Indeed, A e fa n g s h i claimed chac their control of
che spirits enabled them to shire in chose spirits' power. According co Sima
Qian, Li Shaojun, an important figure ac the court of Emperor Wu, claimed
to be able to M
comrol phenomena** (ibi
Since such powers were regular^
ascribed co spirits, people ar the time "cook Li Shaojun co be a spirit** (*Fengshan shuf 28.1385).
These abiliries co control phenomena are the same as chose che authors of
the '"Nciyc'* acrribuced co their practicioners. However, the ^Nciyc** itgues
that che adept obcains these powers through pardcukr forms of selfcultivation, and this claim, as we saw, is based on z monistic cosmology inso
far as eveiything consists of qi, then the more refined, the more spiridike, one
can become, che more power one has over less refined q i In contrast, chefan gshi claim ches^ abilities through their urilizarion of formulas, formulas chat al
low them co gain control over both spirits and forms. Most of the refercncet
co che fa n p h i in che Shiji portray cheir attempts co summon (zh i U[) spirits*
One example among many is Sima Qian s description of a certain Shaoweng.
His knowledge of M
(brmulas (or ghosts and spirits" g^ins him an audience with
che ruler. In response co Shaoweng s proposals, the emperor builds a palace ac
Ganquan co summon the spirits ("Fengshan shuN28.1387- 88)*
It is dear firom Sima Qian's accounts chat Huingdi was a major %ure fbi*
chefangshi. Indeed, many of che sacrificial reforms of the Qin and early Han
empires were responses co th e/angshC s claims concerning Huangdis ritual a c
tio n s and evencual ascension co Heaven. For example, a certain Gongsun
Qing presented a letter to Emperor Wu relating how #Huangdi had become a
transcendent and ascended to Heaven." Gongsun Qing claimed the letter had
been given him by Shtn Gongf like Gonpun a native of Qi. Shen Gong wrote:
Of che seventy-cwo kings who have actempced chefeng and than, only Huangdi was
able co ascend Mount Tai and give chefeng sacrifice. The Han ruler who actempcs it
will al^o ascend and perform chefeng. If he does ascend and give chefeng, he will be
able co become a cranscendenc and climb co Heaven. (Teng^hin shu." 2S.1393)

Gongsun Qing also cold the emperor

These five mountains [Mounts Hua#Shou, Tai Shi, Tai, and Dong Lai) were where
Huangdi often traveled and met with spirits. Huangdi ac times fought wars and ac
times itudkd0 become cramcendenc. He was concerned that the hundred &ini
lift oppoicd hii wty* to he thereupon had anyone who opposed ghotu and tpirica

A T H E O C R A C Y OF S P I R I T S

beheaded. After more chan a hundred years he was able co obtain communicanoa
with the spirits. ("Fengshan shu/ 23.1393)
Gongsun Qing further recounted chac a dragon came down fix>m the sky ro
meet Huangdi. Huangdi and seventy court officials mounted the dragon and
ascended co Heaven. Upon hearing chis, rhe emperor expressed a wish to be
like Huangdi ("Fengshan shu," 28.1394).
During che preparadons for ih c fen g and than sacrifices^ Sinu Qian tells
us, the emperor also invoked Huangdi:
The Son of Heaven had heard from Gongsun Qing and che fanpht chat when
Huangdi and chose before him had performed cheJeng and shan sacrifices* chey had
ummoned prodigious things and had communioued with che spiriu. "I desire ro
imicare Huangdi and chose before him by achieving concacc with chc sptrics and
cranscendencs on Peng^ai." ("Feng^han shu/ 2^.1397)
Behind these references is the fa n g sh is claim that Huangdi had become a
cranscendenr and ascended co Heaven b y communicating with rhe spirits.
T h e fa n p h i claimed to possess che formulas char would allow this co happen.
Gearty, there are similarities here wich che ascension literature discussed
in Chapter 5. For example, chc authors of question four of che Shiwen also re
fer ro an ascension, claim to possess teachings that allow one ro become lib*
crated from the form* and mention Huangdi. Bur rhe similahties end diere.
The argumenrs of che fa n p h i rest on a cheistic cosmology populared b y spirics and cheir claims are based on cheir purported abilities co summon and
conrrol chose spirits wich rheir formulas. And, since ascension and immor^
uliry are obtainable b y communicating wich chcae spirits, chose who possess
che formulas co summon che spirits can help rheir patrons obcain immortal*
icy. In contrast, che argumencs of che Sbiwrit rest on a
cosmology.
Since the spirits are highly refined qi, and &incc human life is the flowing of
chat spirit into a form, one attains immorcalicy by^ refining oneself undl
one becomes a spirit that is, until one reaches rhe stage of being lifie with
out a form.
The types of immortalicy co be achieved are accordingly distinct as welL
In che scoiy cold b y Gongsun Qing, Huangdi and his rednue ascend co che
Heavens on chc back of a dragon. There is no claim here of becoming 2 spirit
or of achieving die separation of che spine from che body. Indeed Li Shao*
jun was described no as becoming a spiric but as being seen as a spirit (bc
cause of his abilicy to control phenomciu^ Even j(
seems to mean 101m

A T H E O C R A C Y OF S P I R I T S

ching diffmm from whar k does in chc Sbiu^oi. The statement due the
shi have che ability co have cheir "forms liberared (xinfjie), imelced! and nans*
formed" does not appear to mean that the spirit is liberated from the form.
The claim is insetad linked ro che scacement chat chefanphi can control phe^
nomena: xhtfangshi can rransfbrm cheir forms jusc as xhty can transform and
control other
Despite che similarity of vocabulary with the Sbiweii,
die claims are in filer quite dificrent. In concrasc to rhe ascension liceranm
there seems co have been no interest in liberating che spirit (irom the body.
On che coiurary, che evidence points toward a claim of bodily ascension.
Perhaps we are now in a position co understand che claims underlying che
efforts of the First Emperor and Emperor Wu. The Qin-Han sacrificial sys
tem involved a radically new approach. The goal was for che ruler co contact
personally as many divine powers as possible in order ro obcain cheir power.
And che fanghi were employed as specialises precisely for cheir ability to
summon chese divine powers* This oven concern for divinization and im*
mortality ma^ appear co be quite similar ro the concerns of the ascension literacurc, buc here che goal was neither co transcend che world oF forms nor co
grasp the One and thereby gain power over the world of forms. The goal
was racher to become a Di and co exercise direct power over die world of
forms. In short, ideologicallyr che empires under che First Emperor and Em^
peror Wu functioned as a celestial tmperium, with che rulers as che or^uiiz^
ing rhearchs.
The Order of Textual Auchoricy: Lu Jias Xinju
The dominance of claims that che emperor and his rinial specialises exer
cised direct power over che natural world helps co explain why opponencs of
such aspects of the Qin and Han imperial order continue co utilize monistic
cosmologies. As discussed in Chapccrs a and 4, monistic cosmologies devel*
oped during che Warring Scares period in opposition to che ritual specialists
employed atthe courts of che day. During che early Han, several figures be,
gan appropriating cbe vocabulary and claims of such rexes to nuke similar
crinques of che developing imperial order. The significance of chis point
becomes clear when wc cum ro those thinkers who were highly critical of
ju*r these rhcistic aspects of the Han imperial system. Much of cheir polemic
was aimed at chose who claim che ability co control or even in part ro
become a iben

246

A T H B O C R A C Y OF S P I R I T S

As early as the beginning of die Han dynasty, Lu Jia issued a strong cricique of much of chis cheistic cosmology. Lu Jia was firmly committed to
basing practice on the precedents laid out in che Five Classics. In his reading,
the Five Gassics had been esublished by sages during the decline that sec in
following che end of the xhttt dynasties. Their goal was co allow later gen*
eradons to correspond once again to Heaven. In Lu Jia's worldview, xhtn0a
proper subordinacion co textual auchoricy was a necessity.44
La Jia s criticismi of forms of nxle chic transgress rexcual precedcnu can
be seen in his discussion of King Ling, who ruled Chu from 541 to 529 b c .
Ling had a well-established repuucion in Warring Scaces narratives as a
transgressor. For example, che Zuozhuan presents him;

Formerly. King Ling performed cradcmaking and said *May it b t char I will possess
all under Heaven." Ic was noc auspicious. He flung down che coitoise shell and, curs
ing Heaven, yelled. *This is such a small chingr and yec you will noc g^ve it co me. I
muse cake ir for myself/' The people were troubled about his never being satisfied.
They thus (locked co che rebellion as if they were returning home.45
King Lin^s attempt to usurp power on his own brings his down&ll.
All of chis makes Ling an idea] urgec for Lu Jia. However, Lu Jia docs noc
scop at simpty presenting King Ling as departing from proper ritual prac*
dees. Like rhe First Emperor, che Icing ^in$ cerritoiy through esoteric arts
rather chan moral governance

King Ling of Chu occupied a cerrirory of a thousand li and enjoyed a state ofa hun
dred does. He did nor place humaneness ind propriety firsc, nor esteem che way
and che power. He embraced strange arts [four graphs missingj.46
By "strange 2rzs,mLu Jia is presumably referring co che sorts of csoceric pracdees dominant t the court o f he first Emperor. The possibility chat this
may be Lu Jia's objea of criticism becomes all che more likely from Lu Jia s
subsequenc comments: King Ling "builr a rower ac Ganqi of a hundred rtn.
He hoped co ascend (deng) che floating clouds and look inco che pacrems of
Heaven. As such* he died ar QijiM("Huai lu / B.sa). The explicit critique
here is che actempc ro understand the partems of Heaven through ascension

44- For discusiiom of Lu Jb and the Xinyut tee Luo Genze, M

Lu Jia Xinyu kaozheng"; Xu
FugMan* LUm^ Han ixiangihit a 85-108} atid Ku, A Chinese Mirrorfor MagUtratt$t pp. u-23.
45* Zuoihuan, Duke Zhao 13.
46. Lu J( XinjfM(hereinafter ciccd in the text), Tluai
B.sa.

A T H B O C R A C Y OF S P I R I T S

247

and the use of esoteric am. And Lu Jia's belief in the uselessness of such an
accempr is made dear bjr his pithy summation: King Ling died*47
Lu Jia s mini-narrative on King Ling andcipaces many concerns expressed
throughout che X in yu , Lu Jia was deeply concerned with both the growing
cencralizadon of the empire and the predomixunce of esoteric arts. As we
can see in his critkisins of King Ling, Lu Jus point is chat these two are incerrelaced:extreme
<
imperial centralization exceeds the proper bounds of the
human and
d accempcs to appropriate che pov
powers of rhe divine.
Accordingly, Lu Jia views the sages of the past as those who nuinuined
the proper hierarchy of die political and religious spheres through che crca*
doo and maintenance of sacrifices* Lu Jias exemplar here is che Duke of
Zhou:
The Duke of Zhou regulaced and created che rimals and music, gave suburban lacrifices co Heaven and Earth and the wattg tacrifice co che mouncains and streams.
Armies were not insdcuced and punishmencs, rules, and laws were suspended. And
yet from all wichin the four seas cribuce came.
A.7)

The ancichesis of the proper rulership of che Duke of Zhou is the use of
laws, punishments, and milicary expansion by che First Emperor ("Wawe^"
A.7a). The contrasr drawn is thus beeween the First Emperor who crossed
both temporal and spatial boundaries (breaking precedent, conquering for*
cign lands)#and cbe Duke of Zhouf who maintained chem properly.
Given this viewpoint, ic is perhaps not surprising due Lu Jia was also
alarmed it the rise of figures who devoted themselves co che search for spirits
and immortality richer chan co the texts transmictcd by the sag^s:
This is like people who are noc able co embrace humaneness ind puc in practice
propriecy. Thq^ differennace che minute and subde and gauge Heaven and Earth
and thereupon exert chetr bodies and labor dieir forms co enter into deep mountains
in search of spirirs and rranscendeius, negjea cheir parents, injure their bones and
(Iesh cut o ff die five grains,49 discard che Poetry and Documents, mm chdr backs on
che valuable* ofHeaven and Earth, and seek che way of unmortaluy. This is not the
47 >L41Jia f critique here is similar co Aman'f negative porrrayal of Alexander s claimi of
deification: "Successive delepttoDS from Greece also presented thenueives, and the delegttet,
weiring ceremonial wreaths, solemnly approached Alexander and pbced golden chapleu on
hii licad* ai if their coining were a rittul in honour of a god* But, for all chat, hii end was
iiMrM(Arrian. Amikmi, 7.33.3; trans. Aubrey dc Sncotm, in ArrUit, TV
0/Alexa n ift. p. i6B).
4 l Reading a| .

243

A TH

O C R A C Y OP S P I R I T S

means co penetrate the age and guard agunst chose who oppose iL (^hen wd*
Aju )

Such critiques, indeed, arc common chroughouc Lu Jus writings* Elsewhere

he scares
Now people of che present day do not study the Poetry or the Documentt, praedee
humaneness and propriety, [graph missing] the way of the sages, or search die
depchs of che classics and arcs. They instead discuss unverifiecl words, study absurd
events, map out (he physiognomy of Heaven and Euth* discuss cHe irr^ularides of
disasters and akeracions. [two graphs missing] the way of kii^ and differ from che
idcaj of die sagps. They delude the minds of che tcholin and influence the inrencs
of the commoners---- Those who hear diem uke them to be spiritsibrn). ("Huai
lu B.5a-b)

The problem for Lu Jia is chat chose who cry co attain such powers may
claim (or themselves, and influence others co daim, complete autonomy
from che teachings of che pasr sages. Even if cheir practices are inedeenve,
even if they cannot really become spirits, such figures may delude the em*
peror into chinking he can claim complete independence from che moral and
political order of the past sages* In short< (br Lu Jia, one of che primary prob
lems of his age was precisely chat belief in divinizarion led rukrs co seek in^
ordinate powei for themselves and co attempt to cnnscend the proper role
of humans in the cosmos. These belief also promoted che emergence of
groups of people cUiming co be spirits. In both cases, che ceachings and rir*
ual forms of che past sages were being rejected.
Perhaps in part because of such concerns^ Lu Jia actempced to formulate a
ndkally different cosmology, one that redefined the nornutive standards of
human acrivicy wirhin rhe world. Lu Jia argues chat humans should be sub^
ordinate co Heaven and chat humans accordingly should act co complete che
process begun Heaven: ^Heaven gives birch co che mjriad chings and uses
earth to nourish them. Sag^s bring them
compkdon** CDao ji/ Aia)
Valuable objects
ire generated by the breach of Heaven and concrolled by che numinoiicy of che spirits. Subde, elegant, clear, and pure, they float or sink with che spirit. One can work
ro make them useful, and adiausc their essence co make chetn into utensili* There
fore I say: Sages complete chem. This is che means by which one regulates thinp,
penetrates change* conrroU essence and nacurci and makes manifec humanenesi
and righreousnets. (M
Da jV A.ab)

A T H B O C R A C Y OF S P I R I T S

Although spiriis control the natural world, the human appropriacion of

chose things involves an attempt neither to control the spirits nor to become
a spirit. On che contrary, human sages have cheir own proper activity within
the naniral world, and chat is tundamencaUy different from, and yet fully ac
approcords wich#the powers of che spirits. Moreover, chese acts of human app
prudon
chcir proper
explicitly seen as a process of bringing ching?
comt* ion.
In ocher words, che sage who has properly cultivated hiimelf through a
scudjr of morality and past exemplars will understand and be able co com
plete die natural processes begun by Heaven and overseen bjr che spina.
Humanity, therefore, has a crucial and necessary rx>k ro play in the proper
unfolding of che natural world. Although human porency is not, (or Lu Jia
comparable in nature co chat exercised by che spirits, che human action of
appropriating naniral materials (or human consumpdon is a necessary mo
ment in che proper m olding of the process begun Heaven. In short, die
pArdcular powers of humans arc (iilly clisdnct from, even whde forming a
complement to, chose of che spirits. As such, the actions of che sages are in
accord with che harmony char guides the movement of Heaven and Earth,
)ring and yin: *Their actions harmonize with Heaven and Earth, and chdr
power (dc) matches yin and yangf (T)ao ji#" A3a).
Lu J12 develops this position by arguing for a monisdc cosmology in
which humanft are inherently linked co che rest of nature through qi
Accordingly, he argues, incorrea acdoiu on che parr of humans generate
negarive qi, which in cum generates abnormalities in che natural world: *Bad
governance generates bad qi; bad qi generates disasters and irregularities0
(M
Ming jie,m B.7b). Disasters and irregularities* therefore, are signs rfur
humans have acted improperly. And Lu Jia also draws che full conclusion o f
this argument. If bad governance creates irregularicies in the natural world,
then ir follows char good governance resuks in an orderly narural universe.
In ocher words* order in the natural world depends on proper human
behavior. In his cosmology, humans are responsible (or ordering che cosmos:
nature requires proper human conduct in order ro function as it should
Lu Jia develops this argument in full in che HShen weT chapcer. He asserts
again chac che sages acted in accord with che proper pamms of Heaven and
the ptx>per movemenc of yin and ^ang:
lc is like the rulerthip of Tang And Wu and che ministership of Yi Yin and Lu.
They practiced puniihmenti in accord with che aeasons of Heaven, and they acted

25

A T H B O C R A C Y OF S P I R I T S

by following yin and yang. Above they studied che patterns of Heaven, and below
che)r examined rhe hearct of the people. ("Shen wd#MA.na)
Bur# he goes on, che sag^s# precisely by following rhe patterns of Heaven,
broaghc che world into proper accord: "Thejr adjusted Heaven and Earth
and summoned (zhi) che ghosts and spirits** (*Shcn wei," A.iib). B)r foUowing the patterns of Heaven# the sages pixmded che cosmos widi ixs proper
hierarchy. They also thereby summoned che spirits feDowing che pacrems
of Heaven rhus conferred on the sages che powers claimed by rhefangshiOnce che cosmos was properly ordered by che sages and the spirits were
summoned che panems of Heaven were further revealed through diagrams
and writings*The Yellow River produced che diagrams^ and che Luo River
produced che writings'* (M
Shen wei** A.iib). This revelation appears as well in
che Xici zhuan:

Therefore Heaven and Earch generated che spiricual things; che sages pacrerned
chemielves on chem. Heaven and Barth changed and cransformed; che sages imi
caced chem. Heaven hung down che images and revealed auspiciousness and inauspi*
cioxisness; che sag^s represented them. The Yellow Eliver produced che diagrams,
che Luo River produced che writingi; che sages paccemed themselves on chem.49
In the Xici zhuant che movement is entirety one way, and die sages simply
imitate the patterns revealed by che cosmos. With Lu Jia, the process begins
with die sages following the parte ms of che cosmos, and the sages thereafter
order che world in its proper hierarchy. And only then are che diagrams 2nd
tbe writings produced. In the Xici zhuan che sages are imitators; for Lu Jii
diey are responsible for che proper formation of die cosmos.
Tbe sages thereby obtain che Wayr: "Therefore, as for the Way4 chcjr
lodged ir between Heaven 2nd Earrh. Is this noc whac in ancient dmes was
called obtaining che Wa/ CShcn wei, A^iib). The role of the sages is again
noteworthy: the sages placed the Way in ics pix>per position and thereby al*
lowed humans co practice ir. If for Zhuangzi obtaining che Way means find*
ing 2 source of power outside human cusrom#for Lu Ju ic means following
che way of che sages wichin che cosmos adjusted by che sages.
The fuU implicadon of this argument is chat ic was che patterning of che
sages chat brought the cosmos to ics proper completion. As Lu Jia argues in
che "Ming jie* chapcer.

49*Xid ifciMn, A/ti.

A T H E O C R A C Y OP S P I R I T S

251

Widi che pasreming (li) of che sages, kindness reached to che insects and moucure
reached to the grasses and trees. All that was generated by receiving (he of Heaven
and char moved by following cold and heat stretchedfour graphj missing] and in.
dined their can co listen and be cransfbrmed The sages examined chinp without
any loss. Above they reached the sunf moon, scari, and constelladons, and below
che^ oecended co the birds* beasts, grasses, trees, and iiueco. (M
Mingjie,MBJa)
Ic was the sages* therefore, who brought order ro (he cosmos, from che heav
ens above co che animals below.
Thqr (urcber gave laws and calculadons to order che entire world
hunun and natural alike;
ven the birds, beasts, grasses, and crees hoped (l
f each ro attain its posirion* They
guided them with laws and regulated chem with calculations. How much more so
humans! The sages received che brightness of Heaven, rectified che movemencs of
the sun and moon, and recorded chc measures of the uan and coRStelladons. hey
accorded with che benefits of Heaven and Earth, defined chc
ppropriaceness of
high and tow, insncuced che advancageousness of the mountains and rivers. The^
leveled the four seas and divided che nine regions. They brought likes and dislikes
together and unifSed che customs. The Yi says, ^Heaven arrayred che images and
showed auspiciousness and inauspiciousaess. The sages pactemed themselves on
chem." Heaven sene our che good
and che sag^s obtained ic. Thqr spoke of
managing che changes of divinacion#chafts, and conscellacions. If below there were
declining customs, they would cransform che deficiencies so as co correcc chetr de
cline and make diem floucisk. They regulated things and seeded the age. After
here was no recdficadon that could no be put into practice and no one whocould
<
noc be regulated Therefore h is said, "Pattern (yourtdf onj che brigheness of
Heaven and accord with che benefits of Gafth. Observe the transfDrmadons of
Heaven and extend chem to cfae categories of the various mjriad evena." ("Ming

The quotation attriboced che ITi is in

taken firocn the Xia dman.50But
che argument goes &r beyond anything found in chat work. The sages are
$. Lu Jia's references co the Xin zhiuiH may provide duct as to wh)f rhai text became so
importam for Han Confudans. Perhaps one of the reasoiu for che Utcr importance of the
Xici thuan w u that Hin Confiicians sawthe work aj on cflicctivc argument h r appropriating
coimological thinking and for studying che dasfical texu handed down from anriqitity. The
XUi tbuait wedded <
;with an assertion of the importance of the puta
crucial iuue (br the Han figure! who were trying t do just chit. Although there is no evi.
denc to uggut th( the authors of che Xici lim n would have iccn the Y2a j a text in any way
comfMrible 10 (he 5 b or the Sbanphut k ii nonetheleii pouiblc ihac one of che reaiom that

^52

A T H E O C R A C Y OP S P I R I T S

not just patterning chemselves on the cosmos but are in fkct bringing the
cosmoa into accord wirh the proper patterns.
Lu Jia underlines this aipimenc by contrasting the rulers of the past with
cbosc of the present day. H< begins by discussing the ancients:
The calculations of Heaven and Earth arc the signs
of
The sun [missing
dgfit graphs] eight conscdlanons are all amyedL each with its own ruler. The myr
iad sproucs tdee diflerenc paclu#and the thousand models have difiereac forms. The
sages accorded with cheir propensities (ifci) and aijusced chem. The^ caused small
and
to noc mucuallyone graph miising] and squares and drdcs to not conflict
with each ocher. [The sages divided them with undards and regMlaccd (ji) them
wich measures. The scars could not be seen in the daylight# die sun did not shine ar
nighrf thunder did noc appear tn the winter, and frost did not descend in che sum
mer. If die miniscers did not attack die ruler, then yin would noc encroach upon
)rang. If at chc height of summer it was noc hoc#if in extreme winter there was no
firosc; if black qi bound che sun. comets scacrered in brightness, rainbows appeared in
winrer4corpid inieccs Kibemaced in summer. Mars brought disorder to che conscelladonj, and various scars lose cheir orbitsif chis occurred* che sages accorded wich
these alceradons of Heaven and rectified cheir losses, patterned (li) their excremides.
and rectified their root. (M
Si wu/* B.9b-ioa)
The sages followed chc movements of Heaven and Earth to understand
They then grasped rhe propensities of things and adjusted them accordingly.
Here again, che sages are gnnred tremendous power over the n^niral world!
but only because rhey understand face and recognize die proper propensities
of ching^. They chus regulate things according to their correct tendencies. In
other words, they exercised power over che cosmos noc by altering ic co fir
cheir will but rather by according wich &re and rhe natural propensities of
things.
And Lu Jia explicitly contrasts uch sages with the rulers of his own dayr*
*Those who art rukrs in chc present time are noc like this" (M
Si w u/ B.ioa).
The rulers of his own dzy reject che proper patterns of Heaven. Like King
Ling dying co ascend to che skies and gux on che paccems of Heaven, che
rulers of che day are, according ro Lu Jiaf crying co appropriate divine powers

the Yi ultimately came to be considered one of the classics was because of the Xifi
per
haps Han Con^cians law in ihc Xin zhuan a powerful argumenc u to how co combine coi
mology with dastkal achoUrihip leading them both co indiuie che among the diuici and
to designate the Xiei
u one of in commemariei.

A TH

O C R A C Y OP S P I R I T S

53

co themselves rather than nying to bring the cosmos inco accord with the
proper patterns.
The decline at issue here is comparable to che one presented by both
Mencius and die authors of die Xici zhuoit. Because of this decline, Confb*
cius, a Uctcr-bom sage, was (breed co establish che classics in order co allow
humanicyr to again bring itself into accord with the paaems of che cosmos:
T he later ages declined and fell co waste. Thereupon, che beer sage [ i t . ,
Confudus] escahlished che Five Classics and clarified the six am to corre
spond co Heaven, govern Earth, and probe aflEurs** (M
Dao ji,wAab). Confu
cius was nor a king and therefore could not order che world himself. Accord^
inglyf he had no choice bur ro esrablish che classics. This at least opened for
larer Icings che possibility of bringing order co che world again by following
chc teachings of che classics.
In che "Benxing* chapter of che X in ju , Lu Jia discusses Confucius s com*
piladon efforts: "He traced and put in order past events so as co rectify the
generations co come; he examined and recorded che charts and diagrams so
as co understand nature and (ace
("Benxing." B.6b). Using che dia^
grams and maps given co chc earlier sages by che Yellow and Luo rivers,
G>nfucius was able co understand nature and fiice che ability said co be
possessed b y the adept in texts like che Tleiye."
The classics edited by }n(ucius thus embody the way of Heaven: "The
Poetry, Docum ents, Rituals, and M u sic have obtained their place. These were
what were escablished by the way of Heaven and pur inco practice b y che
great propriety" (^Benxmg,* B.6b). Even though Confucius himself did noc
have che position char would allow him to bnng order to he cosmos, he was
able ro fully harmonize with and fellow Heaven in his compilation of the
classics: *The sage [ie*, Confiidas] upheld che authority of Heaven and
harmonized with che qi of Heaven* They inherited che achievements of
Heaven and imaged the appearances of Heaven** ("Benxing^** B6b). Confu
cius' esublishment of chc classics is thus portrayed as essenriallyr equivalenc

the actions caJcen bjr che earlier sages.

Accordingly, che scholar who studies chc classics can gain full knowledge
of che cosmos as well:
Now, if a choiar penetrates che aherations and [ransformations of the spirits and
rhe numinous, understands che opening and closing of Heaven and Earth< [chree
graphs missing] relaxing and screeching, che shortness or length of nature and fate
(xing ming), where fortune and honors reside and where descitudon and poverty are

A T H E O C R A C Y OP S P I R I T S

no moreif he does all this, his hands and feet will nor be weariedL his ears and eyes
will noc become disordered his thoughu wilt noc [one graph missuigj, his plans will
be without error. Above, he will decermine91righc and wroi^ on the panenu of
Heaven. ("Si wu/B.9a-b)

The abilities to penetrate the transformations of the spirits and to understand h i t and fortune are chose often ascribed either to ritual specialists or#
in cextt like rhe "Neiye," to the adepts of self*culcivadon. In typical bshion,
Lu Jia assigns these powers co chose who tcud^ and grasp the pactema of
Heaven. And since the classics make manifest the patterns of Heaven, che
scholar who fellows them is able co gain the powers usually ascribed co those
who practice self-culrivacion.
And here we can rcnirn ro Lu Jus critique of the practidoners of csoceik
arts. As mentioned earlier, he criticized such figures for, among ocher chings,
discussing "the irregularides of disasters and alceracions." However, Lu Jia
was concerned noc with omenologjr per s t (which after all, he practiced
himself) bur wich defining ics proper methods and proper g;oals. Lu Jia 8
point is thac such techniques must be based on a correct understanding of
che place of humans within the cosmos, rather chan in mistaken attempts co
gain personal immorcalicy or co bend che cosmos co che will of cheomorphic
powers.
In ocher worcls^ Lu Jias cosmological claims enaUe him co accept aspects
of che practices of die
but to irgue chat only chose like himselfchose
who have read and understood the classicsare capable of accuraoely inter*
predng che signs of nature. Since che Uter sages organized che classics in part
co explicate che proper way that humans should condua themselves and
correspond to Heaven, only chose who have studied such works should pro*
vide guidance to rulers.
Accordingly Lu Jia appropriates che language of che ascension literature
but argues rhac chese powers are obtainable onl^ through chose who under*
stand how properly co use the pasc for (he present:
Those who ire good at speaking of che past hannonize ir with the present. Thqr are
able co transmit che discanr and examine ic wich rhe nearby. Therefore, when they
discuM af&rs, above chey array the accomplishments of the fivehearchi and coif
template chese within chemselves; bdow xh ty rank che failures ofJie and Zhou and
cake the>e u precaucions fbr themselves. If the)r do $ dieir power ( con be made

A T H E O C R A C Y OF S P I R I T S

55

co match the tun and moon, chdr actions can be made co hannonize wich che spirits
(ibtn) and che numinous (ling). They can ascend (Jeng) high* extend hr, reach che
darkneu, and sec through the obscure. They hear it even without sound and see ic
without form. ("Shu shi/ A.4^)
The text posies a hienrchy#with humans fully distinguished from the heav
ens and the spirits. In chis cosmology, humans cannot become spines. How
ever, Lu Jia borrows che language of ascension and divinizadon co describe
che sage: his powers match chose of die sun and moon, his actions harmo
nize wich chose of che spirirs, his understanding ascends 2nd extends co all
and he has keen sight and hearing.
Lu Jia s repeated move, chcn# is a double argumenc there are normative
patterns of humaneness and propriety given by Heaven* and humansf like the
cosmos itself, must abide by these normative patterns. This is an aigumenc he
appropriates* quire explidciy, from che Xi^i zhuan. Buc he also wanes to claim
chat sages bring order co the cosmos. Heaven may provide normative partems#
but chc cosmos icseif (including che actual movemencs of Heaven che sun,
scars, and conscellarions) docs noc always follow chose patterns. Thusf che
sages muse organize che cosmos ro accord wich its proper patterns.
This argumenc is in some ways a radicalizacion of some of che points
found in che Mencius: wich Mencius, ditre was a hinc (although cercainl)r he
never explored ic explicidyr) due che fullest manifi^cadon of che proper order
was to be (bund in the sages, noc in che empirical actions of Heaven itself.
Heaven is chc source of the proper order#insofar as Heaven is che force char
grancs humAns che nacure thac properly cultivated, generates a true sage*
Bur Mencius also implies chat Heaven itself, for arbitrary and inexplicable
reasonsi sometimes acts in opposition co che proper order.
Lu Jia takes chis a seep further- Heaven is still che source of che normanve
paccems. Buc sages are che ones who organize the cosmos ro fit such patterns.
Ic is noc just char che cosmos including Heaven somedmes &ils co follow
the proper panems; ic is that chc cosmos needs che sages co organize ic inco
che normative pactems. Indeed, Lu Jia emphasizes, even after the sages inicially aligned che cosmos, che seasons occasionally appear at che wrong time,
and scars occasionally wander firovn their orbics* Sages arc sdll required co re*
rum things co their proper alignmenr. The sages do not follow che natural
world; cheyr organize ic.
The crucial point, then, is that sages can find a normative pattern in che
operations of Heavcrii buc Heaven icseif docs nor always act in accordance

156

A T H B O C R A C Y OF S P I R I T S

with chese proper paaems. The patterns that should guide humanity can be
discovered in the natural world, bur die natural world itself does not neces^
sirilyr operate in terms of diese patterns. In short, chc proper normative de
velopment of nature is realizable only in humanity. Indeed ic is humanity
who muse bring this normacive pattern co nature. Heaven itself onty plana
the seed for this development< bur even Heaven does not always realize
the perfection that should be attained Ic is die sage, nor Heaven, who fully
realizes the noraucive parcern chat should naturally exist. By building this
inro a teleological argument, Lu Jia is able co deny the tension that pervaded
Mencius.
The obvious quescion chen arises: why? Why did Lu Jia radicalize die
Mencian position? And why do so with explicit reference co the Xid zhuan, a
text that in parr was written m opposition to attempts co grant sages such
powers and in opposition to much of the self-cultivation litcnrure whose
vocabulary Lu Jia is borrowing? I suspea the answer lies in Lu Jia s political
posicion. His opposition co the cheomorphic claims of die First Emperor is
clear chroughouc his writingSi as is his opposition co accempcs to become
spirits. His recurrenc evocations of che arguments in the Xid zhuan thus a p
pear co be a call tor rulers ro recognize and subordinate themselves to moral
pacterns. Hence his critiques of figures like King Ling (or crying ascend ro
che heavens and co the First Emperor himself (or his transgressions of che
proper hierarchy of the world
Instead, however, of simply arguing for subordination co chc normative
patterns of che cosmos, Lu Jia*s move is to claim char che sages of andquity
followed chese patterns co give che cosmos its proper order. Sages are
granted enormous power over che universe, bur such powers arc achievabk
only by chose who follow che proper pnem s. Sages ordered the cosmos, buc
only by following a normative hierarchy.
And then they diecL The sages did not transgress or avoid fate; they un^
derstood it and acted accordingly. In this sense, Lu Jia is following Mencius:
even if Mencius hinted chat sages at times enacted che proper patterns beccer
chan Heaven icsel he sdll emphasized che importance of following
of
accepting what Heaven ordained. And Lu Jia, while granting far more power
to die sages chan Mencius ever did equally argues che importance of know*
ing and ubordinadi^ oneself to
Akhoi^h ht appropriates die language
of the ascension literature co describe the True Minf he strongly opposes

A T H E O C R A C Y OF S P I R I T S

57

the nodon thar we can transcend the forms of this world Accordingly he is
as commicced co the notion of &ce as was Mencius.
Conclusion
Ic is clear chat claims co ascension and divinizarion had become a common
idiom by^ the Qin and early Han periods. As I have argued* however, one has
to pay carefbl actendon to precisely what types of claims are made in each of
these texts: what forms of divinizacion are called for, wlm types of practices
are involved, and why such practices are invoked.
In rhis chapter and the preceding chapter, we have seen texts positing
several diHerem cosmologies. In che methods associated with the fanphi, cbe
concern was co gain control over rhose spirits who control forms and thus to
be able ro appropriace cheir numinous powers. The ultimate result of this is
the full divinizarion and ascension of che fucron. In this model Huangdi
achieves bodily ascension because of his ability co summon spirits* commu
nicate with chem, and gain their powers. Such a model achieved prominence
in Qin and early Han imperial ideology, which was forged around a claim of
cheomoiphic dominance che ruler as he who could control spirits and
bring order ro the world. In contrast co chisr che auchors of#(or example, che
"Xinshu** chapters of cbe Guanzi (discussed in Chapter 4) argued for a mo
nistic cosmology in which one could gain powers over phenomena but onI)r
through techniques of self>culdvadon( aiul in which one could become a
spirit but onl^ within che limitations of che human form.
Both these models involved claims on che pare of chc praccicioncrs chat
they could control phenomena, but che methods employed and the cos^
Jogies posit
concrasc to both of these, one
sited were
Bnds
chat ofiered noc a method of controlling phenomena buc 2
ds cosmologica
cosmoloi
call for a transcendence of forms and liberation from thcm In varying ways,
chis fnmework can be found in che Tuan jrou.Mthe dialogue between
Huangdi and Guang Chengzi from die Zhuangd, and question four of the
Shiwcn. In all chrce texts, Huangdi is presented as having achieved, or as hav
ing received teachings of how co achieve, a full ascension from che world. No
claims were made for controlling natural phenomena, nor was it claimed
chat rhese methods would benefic humanicy. On che concnry, che explicit
concern was with transcending che realm of che human and ascending co a
higher level.

258

A T H E O C R A C Y OF S P I R I T S

Lu Jia appropriated much of rhe ascension vocabulary, but he did so to

argue in &vor of following textual precedents. In his system, humans main
tain the cosmos, but they only do so to fulfill che process begun by^ Heaven.
Humans and Heaven are ritually separated, and each has its distinct roles
and duries* And humans muse follow che textual guides transmitted co them.
For Lu Jiar submission to textual precedents entails a rejecdon of claims of
autonomy from che world of chc past sagesclaims he saw as rampant
among divinizacion practitioners, from the emperor on down.
These texts allow us a glimpse of a fascinating moment in early Chinese
hiscoiy, a momenc in which opposing forms of self^culcivacion practice, vi
sions of human power over the natural world, and nodons of proper rulership were debated in terms of competing claims about ascension and divinizacion. These eexes made claims for difFerenc cosmologies, different modes of
self-culdvadon. and different inodes of rulerskip involving different methods
of bringing order co che world. Scill ocher texts called for yet anocher form of
ascension chac involved a full transcendence of che human and a rejecdon of
attempes co gain such control over natural phenomena alcogecher.
Thus, if Granec was wrong in his evolutionary interpreucions of China,
he was right co see a highly agonistic world in Han texts based on che con*
scant concerns of humans co appropriate che powers of gods. The specific ardcularion of this conflict, however did not involve a sacrifice of che gods, as
Sahlins describes in Polynesian cultures, nor an appropriation of che fecun
dity of che people^ as in Plucarchs narracive* The concern in che early imperial courts of che First Emperor and Emperor Wu was richer co gain control
over increasing numbers of culdc sices, to gain access co and thus obuin che
power of ever more powerful gods, co become more and more divine* and
ultimately, co ascend co che higher realms directly.
In short, che empire in China emerged in conjunction with claims of di
vinizacion. And such claims were not based on an assumption of continuity
between man and che divine. Racher, che power of such claims arose pre
cisely from 2 sense of appropriation and transgressionof rulers' cransgress*
ing earlier ritual systems and appropriating divine powers ro themselves.
And so pouenc were such claims char, for this brief period, even che critics of
aspects of these imperial practices made use of the vocabulary of divinizacion
and ascension while crying to reassert a separarion of che ritual powers of
humans and the spirits.

Aligning and orienting the cosmos

Anthropomorphic Gods and
Theomorphic Humans in the H u a in a n z i

A passage chat we looked ar briefly in the Introduction from rhe M

Dixingw
chapter of the Huainanzi describes the process of self-cultivation in terms of
a metaphor of climbing high mountain peaks:
I f one climbs twice as high as K unlun, [che peak is called the M o untain o f Liang
feng. I f one ascends it, one will n ot die* I f one climbs cwice as high* k is called
X uanpu. I f one ascends it, one will become num inous an d be able to control th e
wind and th e rain. Tw ice as high* ic screeches up ro H eaven. I f one climbs ic, one will
become i spirir. T h is is called che Realm o f che G reat G o d (D i).1

The cosmology presented here is similar ro that which dominated the Han
court: Di presides over spirits.2 who possess powers over natural phenomena.
Humans cry to gain chese powers by approaching ever closer ro Dif first by
achieving immorcality, then by gaining control over the winds and rain, and
olcimacely by becoming a spirit.
But the hierarchy of stages here implies char rhe goals of chis process 2tt
quite diflferenc from chose of the masters of formulas. Spines are immortal
and control natural phenomena, and humans can gain these powers. But
immortality 2nd control over narure are (literally) lower stages of cultivation*
1. Huainanzi, "Dixing,**
I lve beneficed from che excellenr cransUtion by John Major
In hli Heaven and Earth in Early Han Thcu^hl, pp. 158- 61 .
a. The hierarchy if difcuflied in more detail in HuaiMnti, M
Dbcing.M4 9a.

AL IGNING AND O R IE N T IN G THB COSMOS

The goal of becoming a spirit is higher chan both of chese goals. Moreover,
cheomoq>hic poweri are obtained through Techniques of selfculcivacionf
rather chan formulas of control. One does not seek co control che spirio who
control nitural phenomena; radier, one practices sdf^culdvadon in order to
become a spark oneself.
The passage reveals a series of arguments chat appear throughout che
Huainanzi. Several chapters of che text claim that there is no distinction be
tween humans and spirits and chat humans are folly capable of becoming
spirits. The authors potir a cosmos populated by cheomorphic humans and
anchropomorphic gods, linked together within a monisdc cosmos of natural
patterns (fi). As a consequence, min^ passages in che Huainanzi rcpby
chemes we have seen in preceding chapters* buc wich s^nificanc shifts.
For example, another Huainanzi chapter has a discussion of che die in the
heavens from chc northwest to che southeast described in che Taiyi shengshui
The Taijri iij ibtti sees chis as evidence of che wajr chat che forces o f he
natural world sponcaneously respond ro one another (see Chapter 4). The
fiiidirfiinti audios however, pfesciu it as the result of a baede between
theomorphic beings of che past. To quote John Majors exceUenc cransladon:
Anciently G ong G ong and Z h u a n X u fought, each seeking co
become che T hearch.
Enraged* chey crashed against Me. Buzhou;
Heaven's pillars broke, che cords o fE a n b snapped.
H eaven diced in che northw est, and chus
T h e sun and moon stars and planets shifted in chac direction.
E arth became uniull in che ioucheasc and chus
T h e w atery floods and m ounding soils subsided in chac direction/

Again and again in che Huainanzi, rhemes we have seen in earlier works
particularly che notions of ascension* self^divinizadon, and che control of
nacural phenomenaarc rewoven in a complex &shion. What is diis ceicr
doing^ Why does it posic a cosmos run by theomorphic beings, in which
humans can become spirits and gain power over the world?4
j. Huainanzi, Tianiwen/ j.ia-ib; crans. John Major, Heaven and Earth in Early Han Tbou^/hit
p.6l.
For an cxcellem itudy o hc teauaJ hiwory of the HoaiiKwii, ec Roth, The Twrtiwl Hii.
terj o f the Hitai-tian Tzu. My underitaiuiing of the text has been greatly aided by the Mlye*
in Kana)ra Ros 6 tA i
Charles Le Blanc, H m ii-Nsn Tzu; Major, Heaven stid Edrth E^rly
Hm Thou^i\ and Vankcerbergeni T he HitaiMnzi iik! Liu An#i CUim co Moral Authority,*

ALIGNING AND O R IE N T IN G THB COSMOS

26l

Following the Way: The ^Tuandao** Chapter

The first chapter of the work* the Tuandao,"5opens with a description of
the Way, which is more primordial than either Heaven or Earth: T h e Way
covers Heaven and carries Earth, extends the (bur cometi, and opens up the
eight points."6 The text then introduces cwo ancient beings whose actions
sec the cosmos righc T h e two earliest and most ancient august ones7 ob
tained the handle of the way and positioned themselves in die center. Their
spirits roamed (^ou) with che cransfbrnutions so as ro pacify the four quar
ters'1(1.1b). Here, as repeatedly chroughouc the Hmnattzi, the language of
die ascension lirenrure is borrowed and given a political implication.
Buc< unlike La Jia4che authors of che Huainami accept the claims of che as
cension liceracurt. The move, in other words, is not co appropriate and rein*
cesprec che language of ascension buc co accept che cUims and then read
them polidcallyr.
The natural world flourishes under che cwo august ones:
T h eir pow er (Je) m ade H eaven and E a n h flourish and harm onized th e yin and yangs
m odulated che four seasons, and insdgaced che five phases. By (their) giving breach
to, guiding, shelcering, an d n u rtu rin g che myriad things were all b o m .. . . wRain
bows did nor emerge, and meteors did nor appear. T h is was ail brought about (zbi)
by their cherishing power.** (1.2a).

The august ones have che power co bring about harmony simply by holding
&sr to che Way.
The texes then renims to a discussion of che Way: ^Now, che uppeimosr
way generates the myriad things and ytz does not possess them; it completes
and transforms the images and yet docs not control chcmM(i.aa-b). The po*
lickal argument here is that jtisc as che Way gives rise to everything and ends
in possession and control, so will che ruler who can hold fu t to che Way.

S* My transbtions of this chapter have been greatly aided by thoie gpven in Lau and Ames.
Yuan Dap.
6. Huainami, "YuancUo/ ua; hereinafter cited in the text.
7. The precise identity of these two figures is unclean some commenraron read them as
F11 Xi and Nfi NVaothers read rhem as Fu Xi and Shen Nong* Bated on referencci else
where inthc
(such ax the *lonming_ clupccr diicuued below), Fu Xi and Nfi W a
may well be tlte figure! intended liere. However, their prede idemicy ii irrelevam: the impor-

262

ALIGNING AND O R IE N T IN G THE COSMOS

Since the august ones organized the cosmos chrough their de, chose
among the lacer^bom who are able to ascend can unify chemselves with rhe
harmonized cosmos. As an example, the authors discuss the ancient charioceers Ping Yi and Da Bing
As for the charioteering of Ping Yi and Da Bing in ancient rimes, they mounted the
cloudy chariots and entered the clouds and rainbows. They roamed che subtle
mists... . They surveyed (jin^ji) the mountains and rivers, tread on Kunlun, and
entered che gates of Heaven. Charioteers in an age of decline evcrTif they possessed
light chzriocs, good horses, strong whips, and sharp goads, would be unable co compete with them. (i.2b-3a)
As we have seen, che term jin g had become common in the ascension literarurc co describe an adepts surveying of the cosmos. The term is utilized with
chat same meaning here in order co discuss che ascension of Ping Yi and Da
Bing/ The analogy between charioccering and rulership is dean the ruler
cannor succeed with strong concrob.
The great man, therefore, is one who links with Heaven and Eirch dircctljr. Therefore, a grear man (da zhang fu ) is calmly without forethought
and tranquilly without anxiety. He cakes Heaven as his shelter and Earth as
his carriage; che (bur seasons as his horses, and jrin and ^ang as his chario
teer** (L3a} The great man becomes one wich Heaven and Earth* He ascends
and joins in the movements of che cosmic cransformadons chemselves: wHe
mounts the clouds and crosses chrough che mists. He is together wich che
maker of rransformacions (zao bua). He releases his intentions and relaxes
his rhythms so as co race co che Great Dwelling" (1.3a). He follows che pat
terns laid ouc by rhe two august ones and thereby guides che spirits of wind
He orders (ling) che Master of Rains to dean his path and commands (ibi) che
Baron of Winds co sweep ofFche dusc Lightning he uses as his whip 2nd chunder as
his wheels. Above he roams (y o u ) in the wilds of the mist and clouds^ and below he
emerges from che boundless gates. (i.3a-b)
Unlike Lu Jia#che authors present the wind and rain as being ander the con*
crol of spirits. The adept can gain control over che elements by linking him8

8. A similar statemem can be found in the ShuzhefT chapter:

[the True Man ]
spirit surveys (jin!) Lushan and Taihang without dUfficulty, enter the four leas nd nine riv*
ers without becoming werM(Huainanzi, wShuzlien/ i.iaa).

ALIGNING AND O R IE N T IN G TH E COSMOS

263

self to the patterns of die cosmos. Here again, che vocabulary is drawn di
rectly from the ascension literature: as in the 'Tuan you" poem (see Chapter
5), he who ascends is presenced as being able ro command and concrol these
spirits.
And, again as in the *Tuan y^oufNche adept then achieves a higher level:
after ascending and roaming throughour che cosmos, the adepc returns to
the Pivorthe point, as wc saw with the two august ones, of powen "After
inspecting 2nd illuminating all, he goes back ro hold fasc within so as to
make himself whole. He surveys {jing ying) the four corners and recums to
the Pivot" (1.3b). He inspects everything and then turns to himself he surveys everything and then returns co the Pivot. he parallels between these
sentences imply chat che adepts bod^ becomes a microcosm of che cosmos.
Thus, although he surveys the entire universe, the adepr never leaves his
form. By grasping che Wayj he roams the cosmos and y^ec scays in his body:
This is why he goes hst and yec does not gee agicared, goes far and yet does noc
gee dred. His four limbs are noc moved, his keen hearing and sighc are hoc damaged,
yet he knows che boundaries and forms of che eight poincs and nine regions.
HowP By grasping the handle of che wiy and roaming (you) through rhe land wich^
out limit. (1.3b)
Since his body is one with che cosmos, he is able co control everything with
out manipulating anything:
T herefore, by taking H eaven as his shelter, chere is nothing char is noc covered; by
caking Eaixh as his carriage, th ere is nothing char is nor carried; by caking che four
seasons as Kis horses, rhere is norhing char is nor controlled (shi); by taking th e yin
and yrang as His diarioceer, chere is n o thing char is noc completed. (1.3b)

As the authors argue later in the chapter:

N ow # all under H eaven is som ething chat I possess, and I am som ething char all tin*
der H eaven possesses. Between all under H eaven and myself, how can chere be any
distinction? As for possessing all u n d er Heaven, why muse one maincain measures,
adm inister auchoricy, and manage che handles o f life and death so as co carry o u t
ones requescs and com nunds? W h a t is called possessing H eaven does noc mean chis.
All it means is obtaining oneself. I f I obtain myself, then ail under He2ven obtains
me. I f I and all under H eaven obcain each ocher, th en we will always possess each
ocher. H o w could anything come between us? W h a t is called M
obcaining onesdf*' is
co m ake oneself whole. H e w ho makes him self whole chen becomes one w ith che

Wiy. (i.i4b-i$a)

264

A L tG N IN G AND O R lE N T f N G T H 6 COSMOS

The analogy with rulership is clear, and the authors make the political
implications of the cosmology explicit. They strongly oppose harsh laws and
punishmencs (i.5a)r aspects of scarecrafc closely associated in che early Han
with the state of Qin* They further argue against a scare based on the will of
a single ruleranother probable reference co che Qin:
Therefore, if wc rdy on che abilities of one man, ir will be insufBcicnr co regulate
even a land of chree moil. But if you cultivate the successions of the Ways paccerns
(Jao li) and accord with che spontaneity of Heaven and Garth, clien even the six
harmonies will not require balancing. Therefore, Yu. in clearing and draining, cook
according with che warer as his guide. (1.5b)

Proper rulership means according with the patterns of the Way and the
spontaneous movements of Heaven and Earth. This is, in a sense, a political
reading of che M
Inner Chapcers" of the Zhuangzi: che sage^lcings goal is sim
ply to be in harmony with che natural patterns.
The authors use this cosmolog^to argue for a non-agonistic vision of rul
ership. They thus describe the ruler in terms scrongl^ reminiscenc of che
Laozi:

He thereby positions himself above, yet che people do noc regard him as heavy; he
resides in (rone, y e t che mulcicudes do not view him as injuring them. All under
Heaven cum co him, while che licentious and depraved fear him. Since he does noc
struggle wich che myriad things, no one struggles wirh him. (1.4a)

As in che L aozi, rhe sage is able co lead, but che people do noc realize he is
leading them. But there is a crucial difference here. The L aozi emphasizes an
agonistic siruacion in which che adept-ruler was scruggling wich the W^y,
wich his subjects, and with his rivals. For example, che authors of die L a o zi
underline che fact char che people would noc recognize the sage sranding be
fore them because chac is a wise scraregy for controlling che people. In con
trast, che aurhors of che H u ain an zi chapter are denying any kind of conflict.
Moreover, the authors of che H u a m a n zi do argue chac che ruler has a
funedon in che cosmos: che ruler needs to do more chan simply accord with
a pre-existing order. The order was established by che two atigusr ones by
holding &st to the Way. And the goal of the lacer^bom ruler is to help con
tinue these processes:
Thus, che affairs of all under Heaven cannot be managed (it/ei); one accords wich
their spontaneity and pushes them. The alceracions of che myriad things cannot be
examined; one grasps cheir essentials, remrns co chem, and hascemi them. (1.3b)

ALIGNING AND O R IB N T IN O T H E COSMOS

265

Thus, as the authors describe Shun: "He grasped che mysterious power (de)
in his mind, and the cransformacions were hastened as if he were a spirit (ruo
shenY (1.7b). By implication, che spirits in this cosmology hive the power to
hasten che transformations of che cosmos. The cwo august ones established
the cosmos originaDy
holding fast to the Way, and spirits serve ro keep
these processes running. Humans have che potential to become like spirits as
well and thus can help maincain this order.
This reference to becoming like a spiric is reminiscent of the argument of
the Tlciyc/* And, indeed, in some ways the argument of the ^Yuandao" is
similar. For example, as did the authors of che self-culcivacion chapters of che
Guanzi, che Huainami authors develop their argument in terms of che inter
action of form, qi, and spiritT h e form, spirit, qi, and intention! each resides
where it is fitting so as ro follow what Heaven and Earth do. The form is che
dwelling of life, qi is che filling of life, and spirir is che regulator of lifeM(1.162b). In contrast to che Shiwen chapter discussed in Chapter 5 bur veiy much as
in che self^culcivacion chapters of the Guanzi, che concern here is to keep
these three properly linked:
Now^ man is able co see clearly and hear keenly. His form and fnmc are able co be
raised, and his hundred joints can be bene and screeched. In analyzing he is able to
distinguish black and white and see ugliness and beauty. In understanding he is able
to differenciace idendey and difference and clarify righc and wrong. How? Ic is because his qi (ills up for him and his spiric directs for him* (i/i6b)
The key is to have che spirit control che formf instead of che opposite:
"Thus, if one rakes che spirit as che master^ che form will follow and be bene*
ficed. If one cakes the form as controlling, che spirit will follow and be
harmed** (i.i7a-b). Indeed, che main role ibr che form is to provide a proper
resting place for che spirit; "His essence and spiric are thereby dail)r depleted
and travel discandy. If for a long rime it overflows and does not remrn,
the form will close its openings and che spiric will have nowhere co enrerM
(1.17b).
Despite these similarities co the MNeiyttMhowever, and despite the com
parable claims chat a human can, through self-culcivacion, become like a
spiricfNthe overall argument of the M
YuandaoMis quite different For the au
thors of che ^Neiye/' by becoming like a spirit, che adept gains the ability co
control things (shi wu) and can understand good and bad fortune without re
sorting co divinacion, Spirics, in ocher words, have direct control over natural
phenomenal and humans who gain che spirits' power do che same. In che

66

ALXGNtNO AND O R 1 B N T I N G T H B CO SM OS

cosmology presented here, spirits also have control over nacural phenomeiu
but dicae phenomena are part of a normative process. Their actions, in ocher
words, arc defined precisely as chey are in the "Inner Chapters** of die
Zhy^yi^zi: spirits simply do what they are supposed to do within the order of
Heaven. And, chercfbre, humans, when they become like spines, do the
same. As with Zhuangzi* che sense here is chat any conflict between man
and Heaven is tncirel^ the iulr of man. The wa)r to overcome it is co follow
ones spirit and accord with che order of Heaven.
This point is spelled out in che authors' discussion of self-culdvadon.
The concern here is co define a fully non-agpnisdc notion of sdf-culcivacion:
proper sdf<ulcivadon#che authors argue, involves not 2 usurpation of divine
powers buc a proper acceptance of chcm The argumenc is made by building
on elements of Zhuangzi:
When a human i$ born, he is still; chit is che Heavenly nature. He moves only when
he is afiecced. This is the goodness of nature. Things arrive, and che spine responds.
This is che movemenr of knowledge. Knowledge connects with chiags, and likes and
dislikes are bom therefrom. When likes and dislikes are completed into forms*
knowledge is seduced From che outside. He is unable co return to himself* and che
Heavenly paaerrn (tian ti) are extinguished. Thus#one who reaches che Way does
noc use che human co change Heaven. He cramfbrms wich things on che oucside buc
docs noc lose his disposition on the inside. (1.4a)
Humans have within themselves a Heavenly namre. If one moves only in rc*
sponse to external stimuli one will not lose chat nature* The authors define
chis as che spirit responding. The spirit is thus dearly linked co Heaven.
However, if one allows one's responses co become hardened into preferences,
then one loses chat Heavenly narurc and extinguishes che Heavenly panerns.
The conclusion the authors draw is chat che person in possession of che
Way does nor cry co change Heaven*
As with Zhuangzi, therefore, che spirit should foDow Heaven. Forms se
duce ont inco che actempc to change (Zhuangzi would say overcome)
Heaven. The key is co tailor ones response as closely as one
to die parterns of Heaven* However, the crucial difierence between cKc argumenr in
che nfuandacT and that in the
is d u " h e authors of che *Tuandao.
wane co claim chat grasping die Way grants one powers of control. Even if
these powers are nothing buc che ability co direct 2nd hasten che normative
patterns, they are nonechelcss powers char can, like che work of the two au*
gust oneftf bring order co che cosmos.

A L IG N IN G AND O R I 8 N T I N G T H B CO SM OS

167

But this raises an important point (or the political arguments of che chap*
cer. The authors are commicred to claiming chat by following cheir teachings,
che adept will gain control; yetf because of die way they build on Zhuangzi,
they are also committed co saying chat this power is pocendally available vo
whoever grasps che paccerns of che Way. This does not mean that anyone can
become 2 rulen on che conmry, like Zhuangzi. they see such an issue of social
position as outside che control of humans. Buc they do want co claim d m che
power to control can be gained by anyone, regardless of social posidon
He who grasps the paccerns of the Way (iao li) to as co pair hinudf with alccracions,
controls followers when leading and controls leaders when foUowing. How is this so?
If he does not lose chat which enables him co control ochen#then others are unable
co control him. (L8b)
Like Mencius, these powers are available ro anyone. Buc, unlike Mencius#
these authors do nor see the ruler as che only figure able to achieve such
control*
The authors also quote a variation of che same passage about the libera
tion of the One thar wc have followed from the T^ciye*1to the Shiliujing to
the Shiwen "As for rhe Waywhen che One is established che myriad things
are generated. Therefore, die pattern (li) of che One extends co che four seas,
and the liberation (jic ) of che One reaches che border of Heaven and Earth"
(uib). This passage is essencially identical ro che version in che "Qiengfa**
chapccr of che
"The liberation (ji>) of che One allows an explora*
cion (cha) of Heaven and Earth. The paccem (li) of che One extends to the
four seas." Bucf in contrast ro the "Chengfii'' chapter* the H u ain an zi is not ar
guing for che creadon of a centralized scace appiracus with unifying bws. On
rhe concrary, che argument is that linking oneself ( che One allows for che
things to be generated properly. As in che L aozi, then* che adept is called on
to link with the One and thereby become an ancestor co die myriad things
Buq in contrast to the Ldozi, this text accepts chat chere is a proper paccem
to che cosmos chat rhe adept, by establishing che One#will generate.
The authors of this chapter of che H u ain an zi are thus building on both
che ascension lireracure and texts such as che Shiliujing and the L aozi, but
che^ are alrering both. Indeed, despite these overt parallebi che argument is
most indebted co Zhuangzi s notion of che spirit as spontaneously following
che order of Heaven: liberation** involves subsuming oneself ro che order of
Heaven. And che authors of che H u ain an zi are working out the political implicationf of chit.

268

ALIGN ING AND O R IE N T IN G T H E COSMOS

T h e A scensions o f H uangdi and Fu Xi:

T h e <Lanm ing#, C hapter

Similar concerns underlie the ,<LanmingfMchapter six of rhe HuainanzL The

authors argue
by practicing the proper techniques of self-cultivadon, a
process char includes! among other rhings accumuladng ones spirit {ihtn),
the natural world9One figure who pric4
a
ncnal powersHThe Duke of Luyang was in
battle with Han. As the barde became intense,he sun began to seL [The
Duke] grasped his spear :md waved it* The sun on his behalf went back
three mansions" (6.ib), Of interest here, however, is the mechanism by
which he achieved the power to move the sun from its orbic the mastery of
correlative influence through self-cultivation. ^Thcse are evidences of the
mutual influence of the divine qi (shert e ff (6.2b). The spirits control natural
phenomena through correlacivity: shen is the most refined form of qi, and
hence che most resonant. The more refined, che more shen^hkt, one becomes
through self-culcivadon, the more resonanr one becomes. Moreover, che
processes by which such resonance occurs, che authors explicitly argue, 2re
s
uieous, ziran (6.4a).
in che TuandaoMchapter, che authors develop rhis argument citing
exemplary charioteers. Instead of a whip, Qian Qie and Da Bing use essence
and spirit to guide the horses: M
Their desires and wanes formed in cheir
chests! and cheir essence and spirit {jing and shot) pass over to the six horses.
This is che wa)r that they drove them wichour driving** (6.6b). These argu
mencs provide 2 cosmological underpinning for che larger political claims che
authors wane co make. The sage should indeed become rheomorphicf should
indeed possess tremendous power vis-i-vis che nacural world, but such pow
ers can be gained only chrough a process of self-cultivation that brings one
more inco alignment with che spontaneous processes of the universe and
more in accord with che naturally given order. In shore, che sage in such a
system gains control over the nacural world only by placing himself within a
normative order of refinement.
To explicate che political implications of this argumenr, che authors relate
2 sroiy about Huangdi s ordering of the world:

9. H m n a n z it T^nming," 6ja; hereinafter deed in the text. See the very helpfial analyaii in
Lc Blanc, HimN4i Tm.

A L IG N IN G AND O R I B N T I N G T H B COSM OS

269

In ancient times, Huangdi put in order all under Heaven, and Li Mu and Taishanji
assisted him. He thereby put in order the courses of the sun and che moon, put in
order che qi of ydn and yang, regulated the lengths of the seasons, correcced che
numbers of che calendar, difFerenciaced male and female humans, discinguisheci male
and female animals, made clear che upper and lower, and ranked rhe noble and che
common---- Laws and commands were dear and noc obscure. (6.6b)

Because o f Huangdis actions, che cosmos functioned properly

Thereupon, che sun and moon were rarified and bright, che scars and conscellacions
did not lose their courses, che wind and the rain were cimely and moderaLted, che five
grains grew and ripened, che cigers and wolves did doc recklessly bice, vultures did
not recklessly seize, phoenixes flew over che courtyard, and che jilin roamed in the
councry. (6.7a)

Even so, che age did noc equal thac of Fu Xif who, among orher things,
directed rhe ghoscs and spirits, ascended to che Nine Heavens, and attended che
court of the Di ac che Numinous G ate.. . . He hdd within himself chc way of the
True Man so as co follow che firmness of Heaven and Earth. How so? The way and
power were penetrated above, and knowledge and precedent were exanguished.
(6.7b-8a)

The authors then discuss che reign of che currenc Son of Heaven Emperor
W u o f che Han. They call on Emperor W u to follow in the traces of Fu Xi
and point out chat, unlike Huangdi, Fa Xi did noc use kws. An explicit concrast is drawn with the ideas o f Shen Buhai, H an Feizi, and Shang Yang
figures whose ideas were highly influential on che development of imperial
institutions (6.9b-ioa).
T he chapter is dearly intended as a critique o f significant aspects o f che
H an imperial order, particularly the imperial vision o f rulcrship in which che
emperor imposes his will on che cosmos and orders che world through laws
and commands. During this period, chis aspea of H an ideology was clearly
associated with Hoangdi, and the authors o f che Huainanzi argue che point
by portraying Huangdi s methods of ordering che world as inadequate. Fu
Xi is che exemplar of a superior way.10

10. Ebewherc I have argued against che attempt by many scholars to categorize the
m a "Huang^LaoMtext (see TWAmb\\fdenct o f Creation, pp. i6o-6in7^). Here we act
another reason to quenion fuch a categorization! Huangdi (che "Huang" of T!iiang^LaoM
) is
explicitly preienccd u 4 leiier ruler tlutt Pu Xi.
Huainanzi

27

AL IGNING AND O R IE N T IN G THE COSMOS

The argument of the "'Lanming^ chaprcr is quite different from chat

found in the eexes of spiritual liberacion discussed in Chapter 5. For example!
in contrast to the Shiwen, which utilizes a diuliscic framework co argue for a
liberacion of the spirit from the form, th e LanmingHchapter uses a moniscic
framework to call on the ruler to bring order co the universe through reso
nance.
Nonetheless* there arc striidng parallels with these ocher texts. For ex
ample, the practices advocated here include M
concencraring essence*4and *ac
cumulating spirit (6.7b-8a) Fa Xit moreover, is explicitly described as ascending to the heavens, and, just like the adept in the Tuan you/ he is
explicitly described as attending the court of Di. Although chis chapter does
not refer co the liberacion of the spirit from che form, it does have many of
the same generic elements seen in the ascension texts discussed in Chapter s*
Thus che authors of che M
LanmingMchapter of the H u a in a m i are appro^
priacing a monistic cosmology and self-cultivation techniques in order ro cri
tique aspects of che prevailing imperial ideology. The model posited here is a
moniscic one, based on a cosmology and set of practices traceable ro texts
such as the "Neiye,1"In rhe M
Lanmingwchapcer, Huangdi is praised as a figure
who was successful in bringing order to che cosmos, but he is clearly inferior
co Fu Xi, che figure who ascended to che heavens and ruled through inaction.
The arguments are similar co chose of che Shiwen and che Z hu an gzi, but here
there is an explicit actempr co read che issues polirically.
A Cosmos Aligned by Spirirs: The M
Jingshcn# Chapter
We are now in a position to understand rhe chapter wich which I opened
this book: chapter seven of the Huainami, the 'Jingshcn'*one ofchc richest
and most complicated texts on divinizarion and cosmology written in che
early period. Having traced che claims concerning divinizadon and cosmol^
ogy up co the mid-second cencuiy d c , we can now accempc a full reading of
che chapter to see what is behind its creacmenc of che subjects of spirits!
divinizacion! and cosmology. I will argue chat che "Jingshen*" can be under^
stood in its full richness only by placing it squarely wichin ch^ context of the
debates of che second cenouy b c .
The chapter begins wich a cosmogony:
Long ago, in che time before there ensced Heaven and Earth, there was only figure
(xian^) without form (xing). Obscure^ dark, vast, and deep no one knows iu gace.
There were cwo spirits bom together; they aligned Heaven, they oriented Barch. So

ALIGNING AND O R IB N T IN G THB COSMOS

271

vase no one knows its end or limit! So overflowingno one know$ where it scops!
Thereupon, chey divided and became yin and yan^ separated and became che dght
pillars. Hard and soft completed each ocher, and the m/riad things were thereupon
formed (xin^). The curbid qi became inseersj and che refined qi became humans.11

he cosmogony is in some particulars comparable to that given in texts such

as che Taxyi sheng shui and che "Dayue" chapter of die Liishi churtqiu. But che
crucial difFerence is chat in che M
JingshenMchapter spirits align and orient che
cosmos* Alchough che cosmos is not actively conscructcd but emerges spon*
caneously, spirits organize and arrange ic. The spirits are themselves gener
ated spontaneously: che word used here is sheng, licerally, ^bom.** These spir
its then actively plan and orient the cosmos.
To some estcent, this cosmology is similar co chat dominanc ac che Han
courtspirits have che power co control natural phenomena. Buc che phrase
used to characterize che way they control phenomena is jingying. As we have
seen, these rerms have a long hiscory of association with the surveying work
of sages before an a a of construction and became important in che ascension
literature co describe che surveying of che already formed cosmos that an
adept undertakes during a spirit journey* The auchors play on boch of these
meanings in che chaprer.
Through che opening cosmogony the text has defined che cosmos as
monisdc, with Heaven and Earth being separate yer composed of che same
substance* Within chis monistic cosmology, humans arc composed of re
fined qi Moreover, the duality of Heaven and Earth inheres in humans:
HThis is the reason chat che essence and che spirit are possessions of Heaven,
whereas bones and limbs are possessions of Earth. When the essence and
che spirit enter their gate, and when bones and limbs return co cheir root,
how can exisc?1' (7.1a). This duality is clearly reminiscent of che dualisric
systems analyzed in preceding chapters* And the question chat closes the
passage seems co imply a concern with preserving che individual from death:
if at death che essence and spirit return to Heaven and che bones and limbs
return to Earth, then che goal of cultivation, presunubly, would be ro keep
chc cwo together as long as possible.
That che auchors are headed in a very different direction becomes clear in
che next sentence: wThus#che sage models himself on Heaven and follows his
disposition (qing). He does not adhere co custom; he is not seduced by menN

27 2

A L IGN ING AND O R IB N T IN G T H E COSMOS

(7.1a). The immediate move of the chapter, chen, is not to present a program
for achieving immortality but to claim 211 alternative to tradition or custom
as the basis of auchoriuy: ones innate disposition. Disposition is, like essence
2nd spirit, thus linked to Heaven, and the authors have now defined dispose
cion, essence, and spirit as che basis on which the sage must act.
However, the authors are not claiming that the s gc should follow
Heaven in the sense of seeking to separate che spirit from che form. Al
though Heaven and, thus, che spirit, essence! and disposition are che marked
terms here chere is no call for a transcendence of the Earth:
He cakes Heaven 2s his father, Earth as his mocher^ ^in and yang as his regulators,
and che four seasons as his principles. Heaven is still by means of purity, Earth is
seeded by means of pacifying. As for che myriad ching^, if chey lose chese, they die; if
chey take these as cheir model, they live. (7>(b)

The entire cosmos should be che basis for che actions of che sage. Or, to put
ic in other terms, che sage muse follow che entire cosmos as aligned and ori*
enred by che primordial spirits.
The questions that then arise are how the sage can do so and what che
implications of chis are:
Now, stillness and vastness are where divine illuminacion rests. Emptiness and lack
of difFerenciadon arc where chc Way dwells. Therefore, someone who seeks it on
the oucside will lose ic wichin; one who holds fast co ic on che inside will lose ic
on che outside. This is like che root and the branches. If you trace co rhe root and
pull it, the rhousand branches and che ten thousand leaves will all follow. (7.1b)

Precisely because spirits performed che initial alignment of che cosmos, and
since spiric for humans is associated with Heaven, ic is through che stillness
associated with Heaven that the adept can gain divine illumination and thus
align himself with che cosmos. And, by che same token, ir is through empti^
ness that one can get closer co che Way, since rhe Way is associared with rhe
initial period before differentiation. The significance of chis is made clearer
when we refer back to che opening cosmogony of che chaprer. The concern
chere was wich che movement from spiric co formi and che implication was
chat form is difierenriaced and less refined chan spirit. The sage is simply one
who has become more refined.
To develop chis argument further, che text explains that ac the birth
of humane; "Essence and spirit are what one receives from Heaven; form
and frame are what one is endowed wich from Earth/' If all life comes from

ALIGNING AND O R IE N T IN G THB COSMOS

273

the mating of Heaven and Earth, then man concains wirhin himself chis
same duality.
Thus it is said: wThe one generates die t w o , che two generate che chree, and che
three generate the myriad things.4' The myriad things carry the yin on cheir back and
embrace thcyan g They rub che qi so as to become harmonized. (7.1b)

The text is recapitulating che fundamental claims made thus fan che cosmos
is monistic and divides into two. The two chen mace and generare the rest of
che cosmos. The emphasis is on che nature of che resulting things: che entire
cosmos is composed of yin and yang elements.
As a consequence, che embiyo inherently includes both elements.
Therefore it is saidIn che Hrsc monch there is fac#in che second month bloody in che
third monch tissue, in che fourth month flesh, in che fifth month tendons, in the
6ixch month bones^ in che seventh monch it is compleced, in che eigbch month there
is movemenr, in che ninth monch ic grows more icdve! 2nd in che tench month it is
bom. (7.1b)

In contrast to che account of rhe birch of humans in che Shiwen (see Chapter
5), there is no claim here that the spiric flows into the form; rather* birth is a
process of qi gradually becoming a form. The resulting individual is inher
ently both spirit and form. Unlike che origins narrative of che Shiwcn, che
cosmology is not structured to emphasize the importance of liberating one
self from ones form.
The text continues to describe the process of formation: wWhcn the form
and frame are thereby complete, che five repositories chereupon cake form"
(7.1b). The five repositories are rhe lungs, kidneys, gall bladder, liver, and
spleen. As we shall see#they are rhe places where qi is both scored and circuUced. Each of these is linked to a particular sense organ:
Thus, che lungs conrrol the t y t s , che kidneys concrol the nose, che gall bladder con^
troU the mouth, anci che liver controls che ears. On che outside are the expressions,
on che inside are che incernab. Opening and dosing, expanding and contracting,
each has its alignment
and regMladon
(7.ib_2a)12

A fundamental alignment naturally emerges with the formacion of the hu

man body. And chis alignment is inherently linked co the alignment given
Heaven and Earrh by the primordial spirits:

ta. On

cf. 1.3a*

274

ALIGNING AND O R IE N T IN G THB COSMOS

Therefore, the head is round like Heaven, the feet are square like Earth. Heaven has
four seasons, five phases, nine points, and 366 days. Humans also have four limbsP
five repositories, nine orifices, and 366joints. Heaven has wind, rain#cold, and heat;
humans also have caking^ pving^ happiness, and anger. Therefore the gall bladder is
clouds'the lungs are qj, the liver is wind, the kidneys are the rain, and the spleen is
thunder. They chereby form a triad with Heaven and Garth, but the heart is the
master. (7M)
Humans, in this cosmology, are the partners of Heiven and Earth. Not onty
are all chese composed of the same substance, but all are formed by the same
alignmcnL Accordingly! the inceraal forms of humans match both their ex
ternal forms as well as the larger forms of the cosmos: che five repositories
are linked boch to the five senses and to natural phenomena.
Given this linkage of microcosm and macrocosm! with each having the
same normadve alignmenc, che concern of the rext is how boch the human
body and the cosmos can be kepr properly aligned.
Thus, che ears and eyes are che sun and moon; blood and qi are wind and rain.... If
che sun and moon were ro lose their courses, there will be eclipses and no lighc. If
che wind and che rain were to be uncimei^ there would be ruin, descmaions, and
disasters. If che five scars were co lose chdr courses, che regions and kingdoms would
receive calamides. Now, che way of Heaven auid Earth is of utmost vastness with
greatness, buc ic must sdil modulate its arrayed brilliance, and it mustsdll cherish its
divine illuminanon. How can che ears and eyes of humans last long and labor wich
out rest? How can che essence and spirit last long, hasten on, and not scop^ (7^a-b)
Even Heaven and Earth maintain rhe proper alignment through modulation.
Without this, nothing in che natural world would function property.
This point about wind and rain deserves further comment. Control over
the winds and rain was a power widely ascribed co spirits. In che ^Jingshen/
however, wind and rains are simply part of che natural movement of che uni
verse as initially aligned by spirits. In ocher words, spirits do, in an uldmace
sense, control the wind 2nd rain, but only because they were che ones who
aligned the cosmos so that che wind and rains would come at the proper
time. Moreover, the spirits themselves became the cosmos dley aligned, and
ic is cheir potency chat maintains this cosmos. Accordingly# it is through
proper modulation and cherishing chat the divine illumination can be main
tained
And since huminicy is a microcosm of che universe! then the same muac
hold true for humanity:

ALIGNING AND O R IE N T IN G THB COSMOS

275

Therefore che blood and the qi are the flowering of hamanicy#and the five reposito
ries are the essence of humanity. Now, when the blood and che qi can be concent
traced by che five repositories and do not Edl away in excess, then che chest and
scomach will be (iill, 2nd lusts and desires will be reduced. If che chesc and stomach
are full and lusts and desires 2re reduced, chen che ears and eyes will be clear, and
ones hearing and seeing will connea with their objects. When che ears axid eyes are
clear, and one's hearing and seeing connect with cheir objects, we call this clarity. If
che five repositones can be gathered by che mind, and there is no deviation, chen dis^
cractcd accexuion will be overcome and che movemencs will not be corrupt. When
distracted accendon is overcome and che movements not corrupt chen che essence
and che spiric vrill flourish and che qi will nor dissipate. When the essence and che
spirit flourish and che qi is noc dissipicing, chen one will be patterned (li S|). (7.2b)
The concern here is precisely the same as that seen for the cosmos as a whole.
The cosmos operates according co the alignment laid out by the initial spirits,
and as long as che spiric of che cosmos flourishes^ eveiyching wichin che cos
mos follows this proper alignment. However, if che spiric were ro dissipate,
chen che sun and moon would lose their courses, che wind and rain would
come at che wrong cime. Since humans are a microcosm of this world, the
problems humans face are identical. If ones essence and spirir dissipate, one
ceases ro be aligned. If, however, one can bring ones movemencs into proper
alignment, che essence and spiric will flourish, and one will be patterned
(li) which is co say, one will be in accord with the proper alignment of
things.
The consequence of being patterned is char one becomes divinized:
When one is patterned, one will be balanced. When one is balanced, one will penetrace. When one penetrates, one will be a spiric (shert). When one is a spirit one will
thereby see without anything noc being seen, one will chereby hear without anything
not being heard, and one will thereby act wichouc anyrehing noc being completed.

(7*ab)U

We thus arrive ac che claim of divinization in the M

Jing$henMchapter. Divinizacion is here die result of bringing oneself into accord with chc proper parterns. Being a spiric, in other words, means chat one is incuidvely patterned
and aligned. And since che alignment of the human is a microcosm of chc
alignment of rhe cosmos, in chis scare che adept hears, sees, and acts properly.13
13. This claim of divinization it repeated lacer in che chapter ar 7>S^"The hun and che po
loula are poiiiioned in hil abode* che cisence and spirit are held ut co their root. Dearh and
life are not ilcercd by Kim. Tkiercfbre he Ucalled: the ultimate spirit*

276

AL IGNING AND ORIBNT1NG THB COSMOS

The consequence of becoming a spirit, then, is noc due one gains control
over narural phenomena or that ones spirit becomes separated from ones
form and transcends the world. It is. rather, chat one is able to see. hear, and
act in accord with the alignment of chc cosmos.
The argument thus far seems in some wayrs like a complex cosmological
rewriting of arguments like chose found in rexes such as the
and
M
XxnshuMchapters che cosmos is monistic* spiric and essence are che most
refined and most pocenc pirts of this cosmos, and through culrivation hu*
mans can increase and concentrate their spirir and thereby come co under*
stand che movements of che cosmos. However, che M
Jingshenu is n o t;
that such cultivation allows che adept co control diings (shi wu) the i
that, in radically difFerenc wajrs, borh the
2nd the fangshi made. On
che contrary, che concern in che text is co place che adept within the existing
patterns of che cosmos. This chapter* in ocher wordsi is headed in a very dif
ferent direction from many of che texts we have been exploring.
The authors of che "Jingshen" emphasize the degree to which this crumps
che claims made by earlier self-cultivation texts. If, (or cexrs such as the
^Neiye" and M
Xinshul,*acts of cultivation allow one co understand misfbr*
nine and (breune, culcivacion here yields far more:
Now, orifices are che doors and windows of the essence and spirit, and che qi and
will are die followers oFche five repositories. If che ears aind eyes are inundated with
che pleasures of sounds and colors, then the five repoiicories wiU be moved and not
remain smleJ. If che five repositories are moved and do noc remain seeded* choi che
blood and <(1will overflow and noc scop. If che blood and ^1overflow and do noc scop,
chen the essence and spiric will hasten co (he oucside and noc be held fast. If the es
sencc and spirit hasten to che outside and are noc held hit, then chere will be no way
co understand che coming of misformne and fortuneeven chough xhey might be as
[huge asj mountains. If one were co make the ears and eyes refined
clear, sub*
de penetrating, and nor seducible or desirous; if the <pand will are empty, scill, calm*
peaceful, and wich few desires; if che five repositories are seeded, pacified, abun*
dandy filled. And noc leaking; if die essence and spirit arc held Fasc within co che
form and frame and do noc reach outside, chen one could witness aUthat has passed
before and sec all che events co come. If you ire still noc able co do this* chen what of
che mere distinction between fortune and misformne? (7.ib-3a)
The concern here, as in che
and related rem is co keep the spirir
and essence wichin ones form. But in this cosmology, che yields ire far
greater one gains nothing less chan a full understanding of the entire cosmoi,

ALIGNING ANO O R IE N T IN G T H E COSMOS

V Jl

including knowledge of the past and (ucure. The ability to discern fortune
and misfbrcune, the authors aigue, is a trifling consideration next co this.
Almost as if to underline this call for the adept to (bQow the proper
alignment of the cosmos, the authors begin invoking the one text most
clearly associated with such ideas: the M
Inner Chapters" of che Zhuanpi. Sev
eral passages in the remainder of the chapter play on the themes and at
rimes explicitly invoke specific images and passagediscussed at length in
Chapter 3.
Heaven 2nd Earth revolve and penetrate each ocher. The mjrriad things are colleaed
and become One. If you are able to understand che One, then there is noching char
is not understood; if )ru are not able co understand che One then there is noching
char can be undencood. It is like my being placed within this world. I am abo one
things I do no know if all under Heaven nket me as completing its chings. More
oven ifhere were no
would everyching be complect? As such. I am a thing. A
thing like other things; a ching in rdanon co ocher things. How am I co be compared
with ocher things And how did my birch add anything^ and how will my death be a
loss? Now, che producer of transformadoni made me into a clod; I do not have any
meanj to oppose it. (7*;b-4^)
This clear allusion to the Z )
and its call for acceptance of o n 's
had powerful implicadons in che conrexc of che early Han. Ac a time when
che search (or immortality had come co play an important role in cultural
lifeparticularly at the imperial courta call to accept ones lifespan and
not seek co increase ic certainly had resonance. As in che Zhuangzi, che mode
of critique is to emphasize che necessity of viewing the cosmos 25 a whole,
with one's life and death as simply pare of that larger process:
Now, the producer of cransfbrmadon's gathering and pulling out things is like a pot*
rer's screeching and srraighceoing. He takes earrh aiul rhac is all. When he makes it
into baains and pocs, ic is still earth. There is noching that distinguishes a completed
vessel (irom broken shards returned co cheir source. (7.4a)
Despite rhese clear aDusions ro the Zhuangat chere are significant difierences. As we saw in Chapter 3, Zhuangzi s point in referring co a producer
of cransfermacions was co emphasize chac one& current form is simply a
momentary product of che flux of che cosmos the producer of things has
made this parricubr form and will soon make another. As such, one ought
not reify inyching and view ic as deserving of preservacion beyond ics given
allotment. But che argument of rhe authors of che "Jingshen" is slighrly^ dif-

278

ALIGN ING AND ORIBNT1NG T HE COSMOS

ferenc cheir point is chat the substance of an individual is no different from

the substance from which it is madehence the scacemenc that a completed
vessel is still chy. Huxxuns are of the same substance as the rest of the cosmos# and any one individual is simply a momenury rearrangement of chat
substance.
Ic is precisely this monistic claim that allows the adept co gain power.
Not only can he see the pose and know what is to come, buc all under
Heaven submits spontaneously co the spirit:
The spirit is tranquil 2nd wichour limic. Ic is not dispersed with chiags, and yec all
under Heaven submits of its own accord. Therefore, the heart is the ruler of the
form, and che spirit is che treasure of che heart. If che form is labored and does not
rest* chen ic collapses; if the essence is used wichour ceasingr then ic eschauscs itself.
Therefore the sag^ values and honors ic; he does nor dare overextend ic. (7>4b)
Since spirits initially aligned and oriented the cosmos and since they then
became che cosmos thac they had aligned and oriented, all chings (all forms)
submic to spirit of their own accord Thus, spirit is the basis for power, and
that power consists of making die myriad things submit. IronicaIlyf a gener^
ally Zhuangzian cosmology is being appropriated co argue thac the sage does
possess control over aspects of che cosmos. Bur ic is a form of control very
different from thac advocated by ocher texts such as the M
Neiyew2nd fanphi.
Here, concrol is the power to bring about che order chat should exist.
Thus the sage, while possessing rremendous power, inherently follows his
pattern (Ii), completes his (ace, 2nd accords with Heaven:
Therefore the sage uses norhingness co respond co something and invariably follows
ouc his pattern; he uses emptiness co receive the substantial and invariably reaches
his modulacion. Quiet, concenced, empty, and soil, he thereby compleces his face.
Therefore he has nothing chat is deeply discanc and nothing chat is deeply intimate.
He embraces virtue and blends in harmony so as co accord with Heaven. (7.5a)
Buc what does this mean^ Whac is accomplished by becoming a spirit*
aligning with the patterns of che cosmos, and according with Heavenf In che
"Xinshu"* chapters, as well 2&most related texts discussed in Chapter 4, che
sage was clearly defined as a ruler, and becoming a spirit meant chAr che sage
gained tremendous power co control chings (shi wu), Buc for che authors of
che M
Jingshenr noc onlyr does che sage noc gain such powers, buc he is not
necessarily a ruler zz all:

ALIGNING AND OR IB N TIN G THB COSMOS

79

The sage eacs enough co keep his qi intact and dresses enough c cover his form. He
accords wich his disposidon (qing) and does not seek whac is superfluous. Noc pos
sessing all under Heaven does not injure his narure, and possessing all under
Heaven does nor add co his harmony. Possessing all under Heaven and noc possess*
ing all under Heaven are the same. (7.10a)
For the sage, there is no meaningful distinction between being this and being
chat. The sage is simply one who has become fully patterned on the cosmos
and is thus always able co act in accord wich the world. This is crue regard
less of whac position he occupies. Although chc authors presenr the sage as
powerful! and although they appropriate much of the vocabulaiy of die self^
divinizacion liceranire, their consistent claim is a Zhuangzian one; ones
highest goal (and the inevitable produa of becoming a spirit) is to accord
wich the patterns of che cosmos.
Thus far, the text has been discussing the sagethe figure who has culcivated himself co the extent that his spirit is joined E lsc to his form and he be^
comes patterned and aligned properly. As a result, he sees and hears clearly
knows che pasr and future, acts successfully, and brings things co cheir
proper order. The text next turns uo the True Man the figure associated
wich ascension:
As for he who is called chc True Man: his nature harmonizes with the Way. There
fore, he possesses, but it is as if he has nothing; he is full, buc it is as if he is empty.
He resides in che One and does not know duality. He orders what is inside and does
noc recognize whac is ourside. He makes clear the great purity, is without conscious
action, returns co che uncarved block, embodies the rooc and embraces the spirit so
as co wander ac che edges of Heaven and Barth. Far-reaching, he appears ro be out
side [he world of dust and dirt---- Although Heaven and Earth cover and nurture,
he is not embraced by chem. (7*5^)
The True Man does nor transcend Heaven and Earth: he is still covered and
nurtured by them, respeedvety. But unlike ocher humans, he is not em
braced by them: he is not conditioned by their force.
The True Man harmonizes wich che Way and embraces his spirit. He
wanders at che edges of Heaven and Barth and is noc snared by either. In
shore, the True Man, unlike the sage, transcends che forms and moves closer
to che initial alignment of Heaven and Earth. Whereas che sage cries to refine his eyes and ears so they can see and hear dearly, che crue man discards
them: M
One such as he corrects his liver and gall bladder and discards his

28

ALIGNING AND O R IE N T IN G THB COSMOS

ears and eyes. His mind and will are concentrated within, and he penetrates
to and dwells with the OncH(7.5b). The True Man s concern is the One, not
an accurate perceprion of the world of forms.
And instead of aligning and patterning his form and the five repositories,
die True Man ignores them: M
His form is like rotten wood, and his mind like
dead ashes. He forgets the five repositories, cuts ofFhis form and limbs'* (7.5b).
One of the differences between che sage and the rue Man, in other words,
lies in their orientation coward che bod^. As we saw above, the birth of at hu
man involves the gradual completion of a form! including che formation of the
five repositories. The sage is the person who aligns his five repositories with
che rest of che cosmos 2nd holds his spirit fiisc to his form. He thus becomes a
microcosm of che properly functioning cosmos* In contrast, che True Man is
oblivious to bod)r and form. Whereas che body is che sages foundation for
building a microcosm of che universe#for che True Man it is an irrelevance.14
The gnosis of che True Man is accordingly different from that of che sage
<#He docs not scudy and yec knows, does noc look and yet sees#does not act
and yet completes! does not put things in order and yet distinguishes*' (7.5b).
The sage sees everything and his actions complete eveiyching; che True Man
sees without looking and completes everything wichour acting.
Indeed, the True Man is unafiected by che world of forms oucside him
self as well:
Things cannot orienr (ying) him----Great swamps could bum, yec he would noc ger
hoc. The rivers could freeze over, yet he would noc be cold. Greac thunder could rip
apan mountains, ytt he would noc be alarmed. Grear winds could darken che sun,
yec he would noc be injured. (7.5b-6a)
Here again we encouncer vocabulary from che Zhuangzi, in chis case, from
Zhuangzi's discussion of che shen raxthe divine man. But che authors of
che M
JingshenMtake this vocabulary far more literally chan did Zhuangzi. For
Zhuangzi these were metaphors for the divine mins lack of dependence on
chings; here chey are meant quite literally: because che primordial spirits ori
ented che cosmos, which would later beget forms, one who can fully embrace
che spirit is unaf&cced by the world of forms.

i4< A similar claim can be found in "Quinyan/ chapter fourteen of the Huainanzi: "He
who can return to that which gave birth to him suchhat it is as if he does n yet have
form this person we call the True Man. The True Man hai noc yet begun to lepratc (irom
the Great One" (see Huainami, 14.1a).

ALIGNING AND O R IE N T IN G T H E COSMOS

l8l

Indeed, unlike che sage the True Man does not bother ro keep his cs^
sence and spirit linked to his form at alL Instead, his spine is allowed to
roam free:
He shares che same essence as che root of che great clarity and wanders at che bor*
ders of the minutest regions. He possesses an essence, yet does not control (ibi) it;
he possesses a spirit, yer does not move ic.... He rests in the corners without crook^
edness and wanders in chc wilds wichouc form or enclosure.... His movements are
wichouc form; his rest without embodimenc. Existence is as if nonexiscence#life is as
if death. Leaving and entering are nor differenciared. He employs ghosts and spines
(gui shen). Lose in che immeasurable, entering inco che non^separaced, so chat his dif
ferent forms succeed one another. Beginning and end are like 2 circle; no one can ob
tain his caccgories. This is che means by which che essence and spirit can ascend and
draw near co the Way hus#u is where the True Man wanders. (161-b)
he vocabulary here dearly reflects che ascension lkeracure discussed in
Chapter 5. The True Man wanders wirhouc form or enclosure, employs
ghosts and spirits, and his essence and spirit ascend Buc, here againff die au
thors appropriate che language associaced with che True Man and place ic
within 1 generally Zhuangzian cosmology.
For example, the point about the True Man is not that his spirit is liber
ated from che form but chat che spirit remains unaffected by the forms:

Thus, that che form interacts but che spirit has never been transformed is because
one uses chac which does not transform co respond co chac which does cransfonn. A
chousand alteraciox^ and ten thousand revolutions, and y^ec ic has not yet begun co
have a limir. Thar which transforms returns co che formless; chat which does not
cransform lives together wich Heaven and Earth. (7-7a)
The forms are transformed, and anything chac is just form recums to che
formless. But chat which does not cransform is eternal! like Heaven and
Earthand this is die highesr goal of che True Man.
Thus, che True Man does noc rranscend Heaven and Earth: his spirit
lives together with them in che alignment initially given hy rhe spirits. He
chus never recums to che formless, and yet he is also not concrolled by, or
even afFeaed by, che changing forms between Heaven and Earth. In this
sense, his spirit is never bound:
When a tree dies, che vicalicy of its greenness leaves ic. Thac which made che tree live
is not che tree, juac a chat which fills che form is noc che forirv Therefore, chac
which generacei life has never died* buc chac which ic generates doe die. Thac which

282

ALIGN ING AND O R IE N T IN G THB COSMOS

rransfbrms chings has never been cransformed, buc that which i t ransformed does
rraxufbnn. If one regards all under Heaven lighdy then ones spirit will not be
bound. (7.7a)
As wich Zhuangzi, being liberated docs not mean that one escapes but chat
one accepts one's htt* Alchoagh he "studies che teachers of no-deach" (7.Sb)
the rue Mans goal is not to avoid death but ro reach the point at which die
shifting of forms means nothing co him:
Life is nor suffidenc co make hit will uudous#and death is nor sufiiaenc co darken
his spirit. Whether contracting or expanding looking down or looking up, he cm*
bmxs his htt (min^) ind yidds to turns. Misfortune and fortune, benefit and harm,
a choasaiul altetanons and ten thousand revolutions how can the^ worry him?
Such a man as this embraces purity and holds fiut ro essence. Like che liberadon (jie)
of chc cicada or the snakeftom their oucer skinsh he wanders (j^m) in che great
daricy. (7 b)

The authors again employ language reminiscent of che ascension liceracure.

At first glance, for example, liberation (ji>) would appear to r e k to the cscape o fhe spirit from the formexactly che claim of che Shiwcn. But in (aa
the metaphor points to a snake who sloughs off parts of his form according
co die proper season accepring the order of Heaven. The authors' point is
chat che True Man embraces his fare and is not concerned with deathor
immortality.
Uldnucely! therefore, liberadon for these authors carries a meaning
slighdy differenc from chat of che Shiwcn but very similar co chat of che
Zhuangzii liberation refers not ro che spirit leaving che fonn but co noc allow
ing one's spirit co be concerned wich forms. Insread, and again as in the
Z h u a n p i, che spine of the True Man simply follows che proper movement of
the cosmos racher than being weighed down b)r a &lsc concern wich forms.
It is as if che language of ascension has been embraced in order u> defoid a
poinr of view found in the Z huangzi.
Thus, che auchon build on texts like che "Neiye" and "Xinshu" co develop
cheir understanding of che sage and on che ascension bcerarurc co develop
their understanding of the rue
Buf in both cases chey reinterpret chit
ious literature within a generally Zhaangzian (tamework. The Question
becomes Why^ Why are chey^ so concerned wich re-reading this lireracure through Zhuangzi? And if che cosntology of this chapcer is based in
part on che Zhuangzi, then why do spirica align che cosmos? Zhuangzi cer
tainly never calked about demiurges organizing che universe. So why arc

AL IGNING AND O R IB N T IN G THB COSMOS

such claims being advanced here? And why do the authors use che words
jin g yin g to describe t h t actions of these apiria? I begin with the laner ques*
don first*
As we have se e n , dicse had become highly loaded rerms b y the early Han.
For example, che First Emperor had claimed the ability to align (Jing^ ebe
univme, and the cenm were appropriated b y che ascension literacure to de*
scribe the spirit journeys of humans. In this lirmture, che spirit can traverse
the universe, escaping che bounds of form and the rescraincs of this world.
The authors of the "Jingshen* chapter make a complex move within this
debate. The patterns and alignment of che cosmos are sc up by the primor*
dial spirits, who then became che cosmos icsel On che one hand, this means
that che cosmos needs spirits. In che "Jingshen/ these spirits are not travers*
ing the already existing boundaries of che universe; they are aligning chose
boundaries. The daim#in ocher words, is chat the cosmos needs spirits in
order to be properly aligned: che cosmos is organized by spirits, and che po*
licical order should be as welL
Buc< ac che same time, che spirits did not align che cosmos chrough an act
of will; rather, they aligned it properly* Thus, in contrast co che First Em
peror s claim that he had aligned che cosmos according to his will, the spirits
in che ^Jingshen** chapcer o b e y a normative plan: spirits, if they are rruly spir
its, follow certain paths. Spirits, in short, have che power ro do whac should
be done. T h e y do nor have che power co do what chey wish: wind and rain,
for example, are simply part of che sponuneoas cosmos, not something conrrolled b y spirits. Thus, che spirits are nor entities that impose rheir will
rhrough a direct control of natural phenomena; they are, rather, highly re
fined ^i chat spontaneously act as they ought.
Humans are then defined as microcosms of this cosmos aligned by cbe
spirits and as having spirit within themselves* The te x t calls on hiuiums co
cultivate themselves so as co become incrcasin^jr divine. The authors have
developed an ingenious way for arguing che absolute cenrrality of the specific
mode of self-culcivadon that they are advocating.
The authors used this fnmework to provide a rc*rciding ofboch die sage
and the True Man. In both cases, the authors present their arguments
within a generally Zhuangzian framework. Like che M
XinshuMchapters of
the G u a n zit che M
JingshenMargues that che sage can become fullyr divine and
gain a full understanding of che cosmos. However, unlike che "Xinshu**
chapter!, che M
JingBhen" argues chat che consequence of becoming divine is

284

A L I G N I N G AMD O R I E N T I N G T H C O S M O S

that the sage accords flawlessly with the movements of this world instead of
gaining control over diem.
And they provide a similar rereading of the rue Manthe figure asso*
ciared with inimortality and employed in the ascension literature and die
First Emperor. Instead of claiming chat the True Man covecs immortality^
the authors argue char the higjhesr form of cnnscendence is a sponcaneous
connection wich che parcems of die cosmos. What distinguishes the True
Man from che sage is chac die True Man transcends the human form. He is
thus able ro accord not jusc wich che patterns chac afiect che human (bim but
also wich che pacrems of rhe entire cosmos. Hence he is unaffected by shift
ing human forms. The authors provide what might it first glance appear to
be a contradiction in cerms: a Zhuangzian re-reading of ascension.
The overall aigumenc of the chapter is char by following a particular
regimen of sclf-culdvadon, one can become fully linked wich the proper pat
terns of che universe. For the sage, chis conncaion is forged through che
form; che True Man connects directly with the One. In boch cases, che au
thors supply a political reading of a generally Zhuangzian cosmology. For
boch sages and True Men, che goal is to accord with these patternsnot be
cause they were established by ancient sage-kings or because they are dkcaced by imperial chcarchs, bur because they are the panems chac m y spirit
inherend^ follows. The more refined, che more divine, one becomes, che
more one sponcaneously follows these partems. No matter whac level of self^
culcivacion one achieves, ones goal should always be co accord wich che pac^
terns of the universe. And if one happens to be born a ruler, one should rule
in accord wich che paccems; but even if one is nor a ruler, one should equally
live ones life in accord wich them.
Conclusion
As discussed in Chapter i, Paul Wheatley argues char che nodon of a pivot
of che four quarters represented an early Chinese belief in che linkage of man
with the cosmos. Although I quesdoned che application of this argument ro
the Bronze Age, ic does hold for che cosmology presented in che H u ain an zi.
According ro che Book o f Documents, che Duke of Shao surveyed (Jing ying)
che land before che conscruction of che cicy of Luoyang in order to determine
that che spirits acquiesced in this use of the sice; here che spirics control
lutural phenomenal and humans have co appease them. In che chapccrs of
che H u ain an zi discussed U tre, che disrinccion between humaiu and gods^ and

A L IG N IN G AND O R I E N T I N G T H CO SMO S

X8$

consequently any possibility of conflict, is denied. Humans and gods are

fully linked and difier only idegree of refinemcnc. In the "Jingshcn" chapter,
humans arc fully able to become spirits and chus move in accord with the
patterns of the cosmos.
This cosmology was utilized co rethink the existing conceptions of divini*
zation The two major models involved a view of divinizacion either as a
means of empowerment (c,g.#the First Emperors cbim ro be able to align
tbe universe* or the claims of humans to be able to become spirits and gadn
control over nature) or as a means of escaping the concerns o f this world*
and having ones spirit traverse the cosmos*
hese views did not gunopposed. One major critique called for subor*
dination to the rexcuai auchoricy of the earlier sages. Anocher is (bund in the
chapters of the H u a in a n zi analyzed here. Within the cosmologies prcsenced
in the H u a in a m i, ic is possible to gain control over nacura] phenomena but a
higher gnosis is possible. Control over natural phenomena is a lower staigt o f
culcivacion. Moreover, each stage is achieved through self-culcivadon#not a
mastery of formulas. In the highest scage, the spirit is simply connected with
chc proper patterns of chc universe, unaiFecced by shifts in forms and uncon
cerned with controlling them. This is a Zhuangzian re-reading of ascension:
che bighesc form of transcendence is a spontaneous connection wich the pac*
cems of the universe.
This cosmology has several political implications. First, neither sagehood
nor che scacc of being a True Man is rhe prerogarive of the ruler. Anyone can
achieve either scare through self-cultivation. Acuinmcnt of such a position
would resulr in enormous autonomy (irom both the political orderiSand cexmat authority* Second, there is an inherent parcem to rhe universe due the
ruler should follow whether he is striving to be a sage or a True Man. These
H u a in a n zi chapters are indeed calls (or cheomorphic miership, but of a radi^
calljr differenc sort from che concepts of cheomorphic rulership dominant ir
chc Qin and Han courts.
The authors therefore, have developed a position that provides them a
means for criticizing suce policy the ruler is failing to accord wich the
proper pacrerm of che cosmos as well as (or claiming autonomy from any
ousting political or texrual authorityanyone can, wich culdvacion# gain ac*
cess t o d i e patterns and thus live flawlessly in harmony with die cosmic or15. Tliii poim lui been explored powerfully by Griet Vankccrberg^n in her dissertarion
T he HiMiiMifri and Liu An Gaiin 10 Moral Authofity*

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ALIGNING AND ORIBN T1N G THB COSMOS

der. Humans are thus granted excraordinaiy powers, but these powers entail
subordinacion co the patterns of the cosmos* We can become spirits, and
even ascend to the heavens, but all we gain is rhe power to do whac ought to
be done. The more humans refine themselves, the more they become the
spirits in accord with the patterns of che cosmos. To claim that one has
achieved rhcomorphic powers and can control natural phenomena ac will or
chac one has mastered formulas thar allow one to do this is simply selfdelusion.
Buc even the self-deluded are not without power. The political arguments
found in the Huainanzi did not win favor ac the court of Emperor Wu. Liu
An, che Prince of Huainan and the patron of che auchors of che text chat
bears witness co his patronage, was charged with creason and evenruallyr
committed suicide. The kingdom of Huainan was incorporated into che imperial system in 122 bc .

The sacrifices that order the world

Divine Kingship and Human
Kingship in the Western Han

Following the destruction of the kingdom of HuAinan, Emperor Wu

enlarged chc Han empire and creared a new sacrificial system. Less
than a century later, however, over the course of a series of extraordinary
court debaces, a group of ministers succeeded in eradicating significant pordons of this sacrificial system and putting in its place cults to Heaven and
Earth explicitly modeled on early Western Zhou practices described in the
Shangshu, In this chaprer* I rrace che history of these sacrificial systems and
seek co understand what was ac stake as well as the significance of the final
outcome,
I begin by discussing che arguments of Dong Zhongshu, a minister ac
Emperor W us court. I then earn to che emperors new sacrificial system in
order co understand why pardcukr sacrifices came co be imbued with such
significance. This section is based on the ffFengshan shuwchapter of Sima
Qian s Shiji, which attempts, among other things, co explicate the sacrificial
system chac Emperor Wu inherited and developed. A dose reading of this
chapter allows us a glimpse ac che various meanings chat had become associ
ated with these sacrifices and puts us in 2 position co understand the argumenrs of the ministers who successfully eradicated Emperor W us sacrificial
system. I am in particular interested in rracing che ways in which these min
isters, building on rhe ideas of figures like Dong Zhongshu, successfully

288

T H E SACRIFICES T H A T ORDER T H E WORLD

reasserted a distinction between rhe human and the divine realms. In short,
in this chapter I focus on the shift in the Han ritual system firom divine to
human kingship.
In Chapter i, I discussed the tendency among sinologists to focus on sac^
rifice as a gift z do ut dcs arrangecnenr. This reading of sacrifice has a long
pedigree in anthropology; a norablc example is rhe work of Henri Hubert
and Marcel Mauss, who discussed sacrifice as a form of ^communication1*be
cween the sacred and profane realms.1 Although attacking Hubert and
Mauss's model as being inapplicable ro this or chat culaire has become
something of a cottage industry oflate,2 least a portion of their theory
chat focused on the transformation of the human and divine spheres
through the sacrificemay provide a compelling way co approach aspects of
early Chinese sacrificial practice.
argument is in part inspired by Valerio Valeris reading of Hubert
and Mauss. Rather chan communicacion and gift giving, Valeri emphasizes
the agonistic elcmencs underlying sacrifice: M
All fundamental relacions in
volved in sacrifice are permeated by che spirit of concesn not only incerhuman relarions, bur also relations between humans and gods and beeween
animals and humans/'3 Valeri describes Hawaiian sacrificial pracrice in
terms of a conflict: M
Thus che desacralizacion of nature implies che sacraliza
tion of man. Perhaps, then, it is possible co follow Kojivc when he reformu
lates Hegel's inrerpreracion of sacrifice by writing rhar in chis rice #il fiiuc. . .
supprimer unc parcie du divin pour sanctifier rhommc/M4Hawaiian sacriB*
cial practice, in ocher words, involves an agon between humans and gods, in
which che king actempcs co divinize himself while exorcising che gods from
nature and thus making nature available for human appropriation.

t. Hubert and Maust, Sacrifice, p. 9 7 .

and Mauss model from che perspective of specific traditions*
set. e.g.( Detienne< "Culinary Practices and the Spirit of Sacrifice/ pp. 14 - 15; and Heusch,
1
pp. K Hetuch.s critique is rhat Hubert and Mausss model works onty if
the culture in question discinguuhes between what can be termed sacred and pro&ne
realms with the sacrifice thiu serving to sacralize the profane. For early China, however^
chis would not rule out che model: as I have argued in chis book, continuity was by no means
an assumpdon in early China, and certain sacrificial models did indeed posit such a durinccion that was then co be overcome,
j. Valeri* "Wild Victimsr p. 109 .
4*Valeri, Kingship and Sacrifice, p. 83.
2 . For critiques of che Hubert

THE SACRIFICES T H A T ORDBR T H B WORLD

289

The ckims of imperial deification discussed in Chapter 6 can be read in

cerms of chese provocative formulacions: the formation of imperial practice
in early China involved an actempc to appropriate divine powers and ulci*
mately transform the ruler into a god. In this chapter^ I trace the debates
rhac developed from about 140 to 30 b c on che nature, efficacy, and signifi*
cance of sacrifice. I analyze some of the competing sacrificial practices em
ployed during this periodi explore the concerns behind these praedees, and
study che historical implications of the choices made. Throughout, as we
will see, che issues of agon and rransformacion became recurrent topics of
debate, as several figures disputed imperial practices of appropriating divine
powers and attempted to restore the distinction between humans and gods.
T h e Sacrifices o f th e Sage: D ong Z h o n g sh u

Dong Zhongshu, who was active daring the early part of Emperor Wu s
reign, was a scholar of che Spn>ij and A u tu m n A nnals, and his life's work was
to follow what Dong choughc were che principles laid out by Confucius in
the te x t. Like Lu Jia, Dong Zhongshu appropriated cosmological arguments
in order boch to advance his argument and co critique che court practices of
che day.
My incerpretacion of Dong differs considerably from that of Heiner
RoetZi who argues chat Dong Zhongshu
discards che rational view of nature which Zhou philosophy had developed and
Xunzi had broughc co completion. Nacure#for Xunzi a sphere with its own invari*
anc rules and nor linked with man by any sympathetic ties, becomes che arena of
cosmic judgment. Ic supplants chc "self" before which chc Zhou Confiician had ro
justify his actions. Thus Confudanism pays for its rise co state orthodoxy tailored co
che supersdeion of che powerful with a double regression: Ethically as well as cogni*
dvely it Alls bark on a level which che axial age philosophers had once overcome.5

I disagree with almost every one of chese poinis. I argued in Chapter 4 chat
Xunzi does indeed see humans as normatively performing a crucial role in
generating order in the cosmos, and in this sense, Dong Zhongshus argu
ments are quite closely related co Xunzi s. Moreover, che cosmology of Dong
Zhongshu hardly represents a ^regression" to che superstitious of che courr.
Dong Zhongshu certainly did not represent state orthodoxy under Emperor
5. Roets, Confud0H Ethks of the Axial Ap, p. an. My interpretation! of Dong have been
aided greatly by Queen. From Chrofiirl# to Gmon.

T H B SACR1PICBS T H A T ORDBIl T H B W ORL D

W uf and the cosmology he presented was among ocher things* ^ cririque of

the views prominent at court.
These concerns can be seen clearly in one of Dong*s major concerns* rain
magic As Dong s contemporary Sima Qian described him:
When the currtnc ruler [Emperor Wu| came to che throne,Dong Zhongthu be*
came miiuster ofJiangdu. He used the alcerscionf of disasters and trrcgulandes from
che Spring and Autumn Aimoli to infer rhe means by which yin and )rang inceraa cogechcr. Therefore, when seeking rain, he would block yang and release yin; when
stopping rain, he would do che oppotice. While praoidng in this on state, he al*
wajrs obcained whac he wanted.6
The study of che Spring and Autumn Annals provided Dong the ability not
only co interpret omens buc also to control the weather.
The cosmology chac underlay this practice is fleshed out in the "Tonglei
xiangdong,Mchapter 57
Dongs Chunqiu fanlu. As have many ochers,
Needham anal)rzes chis chapter as an example of Chinese correlacive chink
ing.7 Buti since it should be clear by now chac correlative thinking was nor an
assumpeion in early China, we should inscead read die text as a series of claims,
and our goal should be to undersund what che author is crying to argue^
The chapter closely corresponds to the Shijis desenpdon of Dong
Zhong^hus views, and i( seems reasonable co read it as a product of either
Dong Zhon^shu himself or one of his disdples. The author argues chac
humans can in h a exercise tremendous power over che natural world, but
chis power does not mimic, or even rivals chat of the shtn for it has nothing
to do wich sbfTi as all Rather, k is based on the resonance of yin and yang:
since like actraas like, che author argues, yin attracts jrin and yang anraco
yang. Moreover, this correlative system is developed solely in terms of che intenutions of Heaven and man: then do nor figure in che discussion at all
Since boch Heaven and nun are composed of yin and yang^ ones ability co
aHea che narural world is defined by die degree to which one can control yin
and yang so as co infltience the yin and yang in che external world:
Heaven has pn and
humaxu also have ]rin and fang. When rhe )rin ft of
Heaven and Earth rise the pn fi of humans responds to it and rises. When che yin

J . 3U

7 - 28 *

am. SciVncf
m Cfcm4, pp. iB
a. See che excellent diicufion of ihii chapter in Queen* From Chronkli to Ginon. pp. 3
. Queen argues chat (he chaprer can plauiibty be aKribed co DongZhongdiu lilmidf.

THB SACRIFICBS T H A T ORDBR THB WORLD

91

o f h u m a n s rises, th e yin fi o f H eav e n a n d E a rth also p ro p e rly resp o n d s to it a n d

rises. T h e ir way is one. A s fo r chose w h o are d e a r o n th is, i f chey desire to b rin g (zfci
fS[) rain* th e y will accivare th e )rin so as co m ake che yin rise; i f th e y desire to scop
che rain* th e y will activate th e yan g in o rd e r to m ake th e yang rite .9

Rain is not controlled bjr shen; it is z product of the interaction of )rin and
y^ang Therefore, bringing (zin) rain is not shcn. Delusions about shen arise
because [che nun*s] paccem (li) is subtle and mysccrious* (i33b-4a). Evety*
thing can be measured in cerms of yin and yang^ and, moreover, this explains
how humans can afiea die namral world: they do not need co control or be
come shen, they simpty need co underscuid these basic principles and un
dergo che $elf*cultivacion necessaiy co utilize them.
Dong Zhongshu thus follows Xunzi in seeing rituals as not shen. But
they are also not jusc wen: they do work. Dong Zhong$hu is reworking rain
sacrifices much as che Xict Auan reworked divination. As in che Xici zhuan,
the reworking involves a claim about cht formal pacccms of the cosmos:
divination 2nd sacrifice work, buc chey work because they link human ac
tions co powers more primordiil chan the spines.
But, for Dong Zhongshu, chese powers are active agents. Thus, (he
movemencs of rhe phenomena (wu) are not sponuneous: "When things acci^
vare each ocher without form, then it is called spontaneous (zt ran). In hct9it
is nor spontaneous. There is something chac is causing ir co be so. Things
certainly have substances causing them: but what is causing rhem is without
form** (13.4a)* For this auchori however, the causative agcnc is noc die shen
but che yin and y^ang. Dong Zhongshu thus denies che efficacy of shen and
instead proposes a model based on che inceracrions of Heaven and man,
with human power deriving from self-culcivacion. Humans do indeed have
power over the natural world, but only because of their proper interactions
with Heaven, not through any supposed ability to coerce or achieve che
powers of shai.
The same principle of interaction between yin and yang explains omens:
If a chevch or a icing is abouc co arise, auspicious omens will appear first.
And when he is abour to perish, inauspicious portents appear first. Things
of the same cacegpry summon each other" (13.3b). Like Lu Jia, Dong Zhong^
fthu supports omcnology, but only by defining k as a product of che rumral
inceraccions of che universe.

292

T H E SA C R IFIC ES T H A T ORDER T H E WORLD

ccordingly, Dong is 2ble to claim a complete understanding of the

emergence of blessings, disascers, and misfortunes

Ic is noc only che qi oFyin and yang chac can be advanced or withdrawn according co
category. Even the production of misfominesdisasters, and blessings is also because
of chis< There is always something chac first makes ic ame and chings#responding co
it by kind, are activated. (13.4a)

Dong Zhongshu uses a similar argument co explain why che sages of che
past were able to understand and articulate these principles of interaction:
^Therefore, if he who is keen of hearing, clear of sight, sagely, and divine
(shert) looks and liscens wichin, his words become clear and sagelyM(13.4a).
The claim here follows directly from che overall argument of che chapter
something arises, and rhings respond. Accordingly, a sage should rule by
looking within himself. Human divinity (shert) thus resides noc in gaining che
powers of spines: if one understands che proper processes of che cosmos, one
will realize chat the ability co control nacural phenomena depends on culci*
vating oneself.
The essay closes with a stoiy from the Shangshu dazhuan about an omen
chat preceded che rise of che Zhou dynasty.
Ac che dme when che Zhou was about co arise, great red birds clutching seeds of
grain gachered acop che kings palace. King W u rejoiced, and che various miniscers
rejoiced. The Duke of Zhou said: ^'Aizai, aizai! Heaven is showing this co encourage
us.MHe was afraid rhey^ would rely upon ic. (13.4a)

The Duke of Zhou wanted co prevent che king and his ocher ministers from
reading chc omen as an indication chac Heaven would support the king. In*
stead, che Duke of Zhou argued, che king needed co respond co che omen
properly. One cannoc rely on Heaven; rarher, one must respond co its
promptings. The text is thus an exhortation for human activity in che world.
Noc only do humans have the power co summon natural occurrences, but
they in het must do so if order is co prevail
That Dong Zhongshu saw such advice as being direccty applicable to his
own dme is clear from a series of memorials he submitted at the beginning
of Emperor Wu s reign calling on che emperor ro follow the principles laid
out by Confucius in che Spring and Autumn A nnals. The A nnals, in Dong'i
readings was authored to guide humans in following che Heavenly way.
Like Lu Ju, Dong Zhongshu was interested in defining che relation*
ship between humans and Heaven through cosmological argumenrsf and

THB SACRIFICES T H A T ORDER THB WORLD

293

also like Lu Jia, he wanred to define che proper way in which hum an power
could be exercised in rhe world. T h e main cool th a t D ong Zhongshu
utilized for this was che interplay o f yin and yang, the rwo forces o f rhe uni^
verse: M
I f a king desires to undertake an action, it is fitting for him ro seek his
clues in Heaven. T h e greatness o f the way o f Heaven resides in yin and
ul
yang.
D ong Z h o n g sh u s argum ent in chese memorials is rhac srarecraft
including omenology and sacrifice should be based on yin and yang, which
is also che way o f Heaven.11 For Dong, Heaven boch generaced and aligned
che cosmos:
I have heard chac Heaven is che ancestor of che myriad things. Therefore, it com
pletely covers, embraces, and envelops chem, and noching is created differently. Ic es
tablished the sun and moon#wind and rain, co harmonize them; it aligned (jin^) yin
and yang, hoc and cold, co complete them. (H onshu, 56*2515)
Heaven gave birch co che myriad things and then organized che cosmos co
nourish them . T h e alignment ( jin g ) o f the cosmos, then, is a product neither
o f hum ans nor o f sages: it was accomplished by Heaven he sages used this
alignment as cheir guide:
Therefore, the sages modeled themselves on Heaven and escablished che Way. T h e y
cherished excensively and without selfishness, disseminated virtue and displayed
humaneness co enrich [che peoplej, and escabiished propriety and set up riruals to
guide them* (Han 56.2515)
T h is argum ent is reminiscent o f chac given by Confucius, buc D ong rakes
it a step A m hen the sages* modeling o f themselves on Heaven was itself
m andated by Heaven.
Humans receive the mandate from Heaven. They arc cercainly superior in the way
they differ firom che other forms of life. Within they possess che reladons of Euher
and son. elder and younger brorher. Outside they possess che propriety of ruler and
minister, upper and lower. When ghering together, they possess the arrays of scniority and age. Bright is che culture (wn) with which they meet each ocher; peace
ful is che kindness with which they relate co each ocher. This is why humans are so
noble* (HanAu56.2516)

a9 4

THB SACRIFICBS T H A T ORDBH THB WORLD

WKac is distinctive about humans and makes them the mosr noble of crea
tures is chat Heaven has mandated them to have hierarchy and disrincrions.
Moreover, chey appropriate the rest ofche natural world for dieir benefic
The)r grow che five grains to feed chemselves, silk and hemp co docKe chemselves,
che six domestic animals to nourish chemsdves; chey yoke oxen and harness horses,
emnare leopards and cage tigers. Thii is how chey obcain the muninousness of
Heaven, and why chy are more lofty chan ocher chingt. Therefore Confiiaus said*
"As for the nature of Heaven and Earth, man is che most lofcy." (Hanshu, 56.2516)
The appropriation and domesdcacion of namre is che means
which hu
mans obcain rhe numinousness of Heaven. LJldmacely, one can come ro ac
cord with the parrems of che world
If one is iUuminated about che narurc of heaven, one understands oneself co be more
noble chan ocher chingi. Only if a person understands himself co be more noble chan
ocher chings does he understand humaneness and propriecy. Only if he understands
humaneness and propriety docs he value rinul ind modulation. Only if he values
ritual and moduladon does he reside in goodness. Only if he resides in goodness will
he delight in according with che patterns (li). Only if he delights in according with
the patterns can he be called a gendeman* Therefore, Confucius said* *lf you do noc
understand che mandate, you are wichour that with which co become a gendeman."
This is che meaning. (Hanshu, 56.1516)
As with La Jia. (here is a teleology here in which Heaven mandates char
humans appropriate nacure#and by doing so, humans come inro accord with
the patterns of die cosmos* Whereas the First Emperor, in his inscriptions,
claimed che ability to pattern che cosmos, Dang Zhongsha is arguing chac
Heaven has mandaccd a set of pactcrns with which man mus accord* And,
unlike the ^Jingshen** chapter of the Huainan^ which makes a comparable
claim, Dong presents che appropriation of nature as one of che crucial as
pects of according with these ptterns.
Heaven, chcn. sec up che cosmos ibr che benefit of man. Nature was so
made chac man cm appropriate it and thereby rhrive. The implication is chac
che cosmos will be noc profierly ordered unless humans make ic an object of
appropriation. And this, indeedt is a crucial part of understanding Heaven s
mandate*

And che cosmos itself requires chac humans bring order to the world.
Therefore, che ruler reaifies his mind and chereby rectifies his court; he reaifiea hi
court and cheraby reaifiei che hundred ofBcials: he reaifics che hundred offlciili

THB SACRIFICBS T H A T ORDER THB WORLD

95

and thereby rectifies che myriad people; he rectifies chc myriad people and thereby
rectifies che four quarters. Once che four quaners are recdfied, no one, distant or
near, would dare noc unice wich che rectificatioiif and there would be no bad to
corrupt those within. Because of chis yin and yang will mix* and che wind and rain
will be timely. The various forms of life will be harmonaed, and the myriad people
will prosperi the five grains will ripetu and che grasses and creet will thrive. All
within Heaven and Earch will be moistened and gready abundant and spieodid.
Everyone within che (bur seas will hear of che flourishing viitue and come co serve.
All the things of blessing and all che auspicious omens that can be summoned will
arrive, and che kingly way will be achieved. (Hanshy, 56.1503)
The rulers rectification of himself inaugurates che ordering and harmoniz
ing of his c o u it , che people, and ulnmately the nicural world* The ruler thus
controls che wind and rain, buc only by property following che mandate
given co him.
Thus, by culrivacing himself, che ruler brings vircue to the myriad forms
on earth and gains che supporr of divine powers:
Humaneness, propriety, ricual, knowledge, and sincerity are che wa)f of five con^
scanca. They are whac the king muse culcivace. When these five arc cultivated he will
Therefore receive Heaven's favor and enjo^ che numinosicy of che ghoscs and spirits.
His virtue will spread beyond che boundaries, reaching co che myriad forms of life.
(Hanshu, $6.1505)
Heaven therefore requires a human sage to complete the process of or
dering. Heaven gives die mandate, buc a Mge musr put it into praaicc. This
is rruc not only fbr che cosmos as a whole biu also for che people:
Heavent comimnd is known as the mandate: if che mandate is not [used bfl a
sa^e, it Il not be puc into praake. Ones subscince ii called nature: if narure is
noc transformed through education, ic cumoc be completed. Human desires
arc called che disposition
if die disposition u not standardized and regulated
(Ai zk), ic will not be mociulared (jif). It is for thi reason char 2 king above is
Attentive co upholding che incenr of Heaven so as to accord with the nundatc
bdow he endeavors co clarify, educate, and cransform che people so as to complete
chdr nature; and he corrects che appropriaceness of che bws and sundards and
dsscinguishes chc hierarchy of upper and lower in order co rescrain chdr desires.
When he has accomplished these three, then che great basis is established. (Hanshu,
5 6 .1515 )

Sagely aaion# again, is necessary for Heaven 5 commands to be reilized.

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T H E SACRIFICES T H A T ORDER THB WORLD

As a consequence! the sage is granted extraordinaiy powers: not only does

the order of rhe natural world depend on che sage, buc even ones life span
depends on his rule.
I have heard chac che mandate is che comnund of Heaven, nature is che substance
one is born wichyand disposicion is human desire. As for dying young or living long^
being humane or licendous: once ic is molded and compleced, ic cannot be purified
or beautified. Order and disorder are generated; cherefore rhings arc unequal. Con
fucius said: The virtue of a gendeman is like che wind; the virtue-of a petty nun is
like che grass. If che wind blows above, [the grass will invariably bend Thus, when
Yao and Shun practiced virtue, the people were humane and long-lived; and when
Jie and Zhou praaiced oppression, rhe people were licencious and died young. If
whac is above transforms what is below, what is below will follow whac is above.
This is like day on a potters wheel; only a pocrer cm form it Or like metal in a
mold; only a smith can casr it. (Hanshu, 56.2501)
Both rhe human and rhe namral worlds depend on che sages' correctly utiliz
ing and puccing inro practice che mandate of Heaven.
For Dong Zhongshuas for Lu Jia, che last sag^ was Confucius. And for
Dong Zhongshu, che crucial act of Confucius was ro compile che Spring and
Autumn Annals: M
Con(ucius created che Spring and Autumn Armais, above cal
culating ic to the Heavenly way, below making ic substantive with the fun
damentals of man; comparing it wich antiquity, examining ir wirh the presencM(Hartshu, 26.2515). Since Confucius followed Heaven, che Spring and
Autumn Annals matches che alignment of Heaven 2nd Earth: M
Thc great
unity of the
AufumM Ana/i is the enduring alignment
of
Heaven and Earth, the conneccing propriety of the pasc and present"
(Hamhu, 56.2523). Since the eexe matches the alignment of che cosmos, it can
be used in omenology: hidden in che cext is che key to interpreting che cos
mos and thus to guiding human action. For example! Dong Zhongshu is
said co have arcribuced a flood recorded in che Spring and Autumn Annals to
che behavior of a court lady: "Dong Zhongshu cook this to mean char che
consorr Ai Jiang was licentious and disorderly, acring contrary co che yin qi.
Therefore there was a great flood" (Hanshu, 27A. 1339). Since che cosmos is
based on the interplay of yin and yang, similar things attract: yin will attract
yin, and yang will acmct yang.
Like Lu Jia, Therefore* Dong Zhongshu is arguing chat the classicsfor
Dong the Spring and Autumn Annals in pircicular provide che principles for
underscanding omens properly. Here, too, che implication is chat only schol-

THB SACRIFICES T H A T ORDER T H E WORLD

297

ars trained in the classics can advise che ruleri for only chey can correctly in*
terprec omens*
But why, if Confucius was sach z sage, did he not found a new dynasiyf
The answer again lies with che mandate. Like Mencius, Dong emphasizes
chat Heaven confers che mandate; one cannot acquire ic through human t(*
fore. M
I have heard that the king who has been charged by Heaven invariably
possesses something chat human effort could not summon (zhi) and yet it
arrives nonetheless. This is rhe ully of che receipt of the mandate" (Hanshu,
56.2500)* Confucius, therefore, whatever his sagely qualities, could nor be*
come a ruler:
Confucius said: The phoenix does noc arrive^ che River does not show forth che
diagram. I am at my end!Ml2Self-pity can summon (zhi) these things; buc because he
held a low position, he was noc able to summon them. (Hanshut 56.2503)
If, however, Heaven grants one the position of ruler, then one has the power
to summon rhe basis for order:
Now, Your Majesty, your noble position is as the Son of Heaven, j^our fortune en
compasses che four seas. You reside in the position (rom which you can summon,
you concrol che authority ro summon, and you possess che resources chat can be
used ro summon. Your actions are lofty, and your kindness deep. Your knowledge is
bright, and your intentions splendid You cherish chc people and are fend of the of
ficcrs. You can be called a proper ruler. And yet Heaven and Earth have not )rec re
sponded, and auspicious omens have noc arrived* Why is this? Because education
and transformation have noc been established, and che myriad people have noc been
recrified, (Hanshu, 56.2503)
Dong Zhongshu chus reasserts rhe Mencian argument chat ones position
determines ones ability ro summon power. According co Dong, none of che
Han rulers chose in position co bring order co che worldhas succeeded
in summoning che auspicious omens. Confucius modeled himself on Heaven,
bur Heaven did noc grant him che position from which he could summon
che omens; che Han rulers have been granted such a position, but they have
failed to model themselves on Heaven.
The immediate solution to this problem is, by che way that Dong has set
up the argument, clear: the Han rulers need to follow rhe principles laid out
in che Spring and Autumn Annals* But there is 2 deeper problem with Dongs
argument. Why, if Heaven mandates who will have power and if Heaven1
11. The quoracion ii liroml^nyu, g/v.

298

T H E SACRIFICES T H A T ORDBR THB WORLD

needs a proper person co carry out the mandate and thereby bring order co
che cosmos, did Heaven not puc Confucius in power? Why wait more chan
two centuries and chen allow che Qin and Han co cake powerparticularly^
if all chat was required was simply for the ruler co follow che principles laid
out b)r Confucius?
The question is quite similar co chat posed by Mencius: Why is it chat
sages are not given che mandate by Heaven? Bur Dongs response is unique.
Mencius answers this question with a simple statement of resignationone
mus accept che mandate and artempt to do so without resentment. Dong
instead offers an insdcudonal responsealthough Confucius was not granted
che kinphipi he did author the Spring and Autumn Annals in order co guide
humans in ibDowing che Heavenly way. The ruler should therefore establish
i formal system in which people are trained co underscand che alignment of
che cosmos and to guide the ruler accordingly. This is, in a sense, an inscicucionalizarion of the degeneration implied in che Mencius and presented in che
Xici
he implicit claim here appears ro be that rulers at this point
need trained scholars co guide them: Confucius understood the alignment of
che cosmosr and scholars of che texts composed or edited by Confucius can
guide che ruler properly.
Overall, Dong Zhongshu has therefore defined both divinacion and sacri
fice as necessary, bur cbe puqx>sc of such acts is noc to learn or influence che
will of the divine. Richer, the goal is co place humanicy properly within che
cosmos and thereby ensure che proper funcriontng of diac cosmos.
Dong Zhongshu was every bic as interested in influencing nacural phe^
nomena as were, for example, chc masters of formulas. Bur his cosmological
claims were designed to present a view of che relationship beeween humans
ind namre different from both che insnrumencal and che agonisdc concept
tions of che relation between humans and gods prevalent ac courr. Dong
Zhongshu s goal was co ardculacc a cosmology in which che cosmos required
human actiondefined according co che traditions of Confuciusin order
to (unction properly.
In this specific sense, Dong Zhongshu s cosmology, despice ia incoiporacion of so much Han rerminologjr. repudiaces che sorts of argumencs found
in che Xici zhuan in &vor of elemencs of earlier Confuctan choughc. For
Dong Zhongshu, che goal for humans is noc to replicate che patterns of an
exiscing natural world but co cause the nacural world ro (iinaion properly
chac is#co do as Heaven requires. The sages are co discover che proper par*

T H E SACRIFICES T H A T ORDBR T H E WORLD

cems in the natural world and then co make che natural world work along
chose lines. In ocher words, the natural world will not necessarily (unction
properly wichour human guidance.
This argument, then, supports human power. Nature needs humans in
order ro reach ics most perfea scare. Or, put difierendjr, nature cannot reach
its porencialicy (or order wichouc human intervention.
Dong Zhongshus solution co the tensions seen in Mencius is co grant
humans extraordinary powers over che cosmos. He denies che potential for
tension beeween sages and Heaven chac Mencius posited. Whereas Mencius
granced divine powers co nun and saw a potential conflict with Heaven,
Dong Zhongshu underlines die proper hierarchy of humans and Heaven.
Humans must follow patterns. By doing so, they can exercise power over che
world: they can control che rain and create the proper h a n n o n y in the world.
Dong Zhongshus ardculadon of this position serves ro deny che tensions
that pervade che cosmology of Mencius. Heaven is an agent within chis cos*
molog^ buc Heaven does not sometimes disrupt die moral pacrems chat
should be guiding humanity. Heaven is equated with che panems, and che
only issue for Dong Zhongshu is whether che sages follow these Heavenly
panems and thereby bring order to the worlcL
Accordingly, if there is a discrepancy beeween che panems of Heaven and
the functioning of rhe nacural or human worlds* che responsibility lies
squarely with che ruler ic is che ruler who musr impose che pactems of
Heaven on che hunun 2nd nacural worlds. Buc for some reason. Heaven no
longer grants the mandate to sages as it did in the dme of Yao. Shun, and
Yu; sag^s tend now co be ministers, not rulers. This may noc be ideal but4 in
Dongs vicw< it also need noc result in a lack of order. Ic simply means that
minisrers miuc be properly trained in che classics so chac they can guide rul^
crs. In ocher words, the fact chac rulers are not sages simply requires an instirucional response.
The implication of chis is char che (iuned notion of humans and Heaven
existing in hannony a view so often attributed co Dong Zhongshu was
not an assumption ac all. Racber, ic was a response to the political events of
the time and an alternative co che vision prof{erc<l by Mencius almost
rwo cenmries before. And, unlike che authors of che Huainanzi chapters,
Dong Zhongshu is proclaiming che absolute necessity of accepting tradi
tions handed down from che sages both sacrificial acts and che texts of
Confucius.

THB SACRIFICBS T H A T ORDER THB WORLD

The overall argumenc is thus quite similar co char of Lu Jia: like Lu Jia#
Dong Zhongshu presents humans as playing a crucial role in bringing order
to the cosmos, and like Lu Jia4Dong Zhongshu emphasizes chc importance
of following the rradicions of the sages. But unlike Lu Jia Dong Zhongdiu
docs noc borrow the language of ascension and divinizadon in order ro make
these points. On the contrary, Dong opposes such language. To a &r greater
degree than Lu Jia Dong Zhongshu opposed the imperial system and its

The Tengshan shuMChapter of Sima Qian

Alchough Dong Zhongshu's recommendacions for employing specialises in
the classics at courc were accepted by Emperor Wu, his cosmological no
tions and his ideas on sacrifices and omcnology were noc. In order ro rrace
che developtnenr of che Han sacrificial system and co understand why par^
dollar sacrifices came ro be imbued with a particular significance! we muse
cum ro che M
Fengshan sHu1*chapter of Sima Qians Shiji. Sima Qian was the
court historian during che reign of Emperor Wu and che chapter is in part a
critique of the emperors sacrificial system.
Emperor Wu played a major role in consolidating imperial rule in China.
As parr of his political program, che emperor deckled co undenake che feng
and $hatt sacrifices sacrifices chac symbolised che legitimacy of a dynasty.
Sima Qians chapter places chis decision within che entire history of culcic
acdvicy in Chinx As man)r commentators have pointed out, Sima Qians
goal was ro criticize W us decision.14However, there is much more of interesc in che chapcer chan jusc chis cricicism. As I will cry co argue, che chapter,
if read carefully, gives us a unique and saggesrive glimpse of some of che
views at court concerning sacrifices and chus provides crucial clues for expli
cating the later debates chac led ro che pardal eradicanon of Emperor W us
sacrificial secern.
Earty in the chapcer* Sima Qian quotes the "Shun dian* chapter of the
Sbanj which discusses the sacrificial syseem of Shun, one of chc early
sage-kings. Shun is described as sacrificing co che higher gods at his capital
and sacrificing from afar co che mountains, rivers, and various opines. He

i). Portions of rhii and che ensuing seaion are taken from my M
Determining the Poiirioti
of Heaven and Earth.
14* For a full discuuion of cliii i t t dupet r 5 of my TKr Amhiwlenee of Creation.

THB SACR1FICBS T H A T ORDBR THB WORLD

3 l

then held an audience (or die feudal lords. Every five years he made an intpecdon cour of die Five Mountains beginning with Mount Tai in die cast,
where he would sacrifice to Heaven* sacrifice from a&r ro the mountains and
rivers and meet with che feudal lords. He would then travel to che other
four mountains (to the souths west, north, and center). This sacrificial
syrscem based on a feudal political arrangement, continued* according ro
Sima Qian#with some vamnons, unril the rise of an alcemarive sysrem un
der the Q in/5
According to Sima Qian# Yu Shuns successor and the founder of die
Xia dynascy, continued ShuiTs sacrificial practice. But problems became i p
parent in che (burteench generation: T u accorded with this. After fourteen
generations, ic came ro che reign of Di Kongjia. He turned co licentiousness
and was fend of spirits. The spirics were angered, and che cwo dragons lefrw
(i8.i356).The Xia (ell three generations later.
A similar smicturc characterizes Sima (Qian's presenution of the Shang
dynasty. Two rulers are singled out. The first is Di Taiwu* One night a
mulberry grew in his courtyard. Although this caused great alarm# his minis^
cer Yi Zhi argued: NEvil portents cannor overcome virrue.MDi Taiwu then
culcivaced his virtue, and che mulberry died. Fourteen generations lacer, a de
cline set in. But Di Wuding arose and restored the dynasty. A bad portent
appeared under Wuding as well, and Wuding was alarmed. Buc his minister
Zu Ji said: M
Culdvice virtue." Wuding did so, and his reign was thus longlasting and peaceful. Five generations later, however, Di Wuyi *crcaced che
spirits wich concempc** and was killed. The dyrnasty fell three generarions
later (28.1356).
Sima Qian sums up his argument chus &r. "From this ic can be seen chat,
ac che beginning [of a dynasty there is always reverence and respect* but
beer ic dcterioraces inco disrespea and conrempc" (2^1356-57). Overtlyr this
is a simple reference ro the dynastic cycle: a d)iasr)r begins in virtue and enck
in vice. But Sima Qun has sec up this claim in a specific way. Virtue is based
here on the behavior of che ruler and involves, among other things, proper
reverence for spirits. Virtue, Sima Qian Argues, overrides even bad portents
sene from che spirics. And vice, so co speak, involves improper reverence* an
impropriecy chac can cake the form of either being overly fond of the spirits
or crearing them wich concempc.

3 2

THB SACRIF1CBS T H A T ORDBR THB WORLD

With this as his frame! Sima Qian turns next co the rise and &11 of the
Zhou dynasty. He begins by quoting from the Zhougmn, a text chat pur
ports to explicire the ritual system of the Zhou dynasty
The Zhouguan szys: "When the winter sobdee arrives, sacrifice co Heaven at the
southern suburb in order ro welcome the coming of the longer day. When the
summer solsdce arrives, sacrifice co che spirits of the Earth. Ac both use music and
dancing, and the spirits can chereby be obtained and brought into ritual. The Son of
Heaven sacrifices co the famous mountains and great rivers under Heaven. The Five
Peaks he regards as his miniscers. che Four Waterways as his feudal lords. The feu
dal lords sacrifice co che famous mouncains and grear rivers within cheir fiefidoms."
( 357)
The Zhou is thus presented as condnuing, with minor variations* che same
ritual system as Shun.
The lacer decline of che Zhou is then connected to che rise of che Qin.
M
Fourceen generations after che Zhou conquered the Yin# che generations
gradually declined, che rices and music were discarded, and che feudal lords
acted on their ownM(28.1358). Ic was in this context chat Duke Xiang of Qin
was enfeoffed. Sima Qian chus presents Qin as emerging in a period when
che feudal lords were usurping che power of che Zhou.
The ensuing discussion is devoted co che emergence of a new sacrificial
system in the Qin, a system that reached its zenith under Emperor Wu. The
first seep occurred soon after che enfeofimenc. Since che stace of Qin was in
che &r wescf Duke Xiang creaced an M
alur of che wescr ac which sacrifices to
the White God, the god of the wesc, were held (28.1358). As Sima Qian argues elsewhere:
When Duke Xiang of Qin was enfeoffed as a lord, he made a western alcar for use
in sacrificing co the higher gods. The beginning of Qins usurpation is clear co see.
The Liji says: The Son of Heaven makes offerings co Heaven and Barth, while the
lords of the states make ofFerings co che famous mouncains and great rivers wichin
cheir domains." (15.685)
Qins first sacrificial act, Sima Qian implies, was a usurpation of royal
privilege.
Sixteen years later, Duke Wen of Qin had a dream, which his historian
Dun interprered as a sign from che higher gods. Duke Wen thereupon con
structed an alcar at Yong (28.1358). Sima Qian explains che racionalizacion
for such sacrifices

T H B SACRIFICBS T H A T ORDER T H E WORLD

33

Some szy char from ancient dmes, because che region of Yong is so high, ic was a sice
for divine illumiaacion. Altars were cherefore erected for suburban sacrifices co che
higher gods# and che sacrifices to all the spirits were amassed there. Since ic was so
used in the time of Huangdi, even chough ic was che waning of che Zhou, it could
again be used for the suburban sacrifices. However, because such words cannot be
read in any of che classics, scholars do not follow them. (2^.1359)

Defenders of che Yong sacrifices argued char even chough che Zhou had not
yet &llen, che anciquicy of che Yong altars made cheir M
reinsdcutionMby the
Qin acceptable However, Sima Qian is clearly calling into question che an^
dquicy of die sacrificial system ar Yong and casting into doubt such claims of
legitimacy. But he is also pointing ouc chat this new form of sacrificial prac
tice was based on a particukr set of claims concerning Huangdi. As I have
argued elsewheref16 Huangdi had come to be associated during the late
Warring States and early Han with centralized statecraft. And, as we saw in
Chapter 6, Huangdi was che main figure invoked ro legicimace che Qin
2nd, later, Hansacrificial system.
Over che next several centuries, che rulers of Qin inscicuced sacrifices at
Yong to che gods of the ocher three directions as wellpresumably as a part
of an increasing claim co universal dominance (28.1360,1364). The most im
portanr Qin sacrifices* then, came co consist of che offerings 2c Yong to the
four godsthe white, green< yellow, and red gods sjrmboiizing Qin con
trol over the land (28.1376). During this process, che capital of Qin was
moved co Yong.
Meanwhile, we are cold, the Zhou continued to decline:
At the same tim e as Gonfiiciosj, Chang Mong used formulas
to serve ICing
Ling of che Zhou None of che feudal lords paid homage at che Zhou court, and che
power of che Zhou was limited. Chang Hong thereupon clarified che affairs of
ghosts and spines and hung up the head of a wildcat and shoe arrows at ir. The
wildcat head symbolized the feudal lords* not coming to court.Chang Mong] depended on che object in wild hopes of chereby summoning che feudal lords. The
feudal lords did noc fellow chis# and che Jin captured Chang Hong and puc him co
deach. The talk among che Zhou of formulas and abnormalities began with Chang
Hong. (28.1364)

The Zhou gradually fell under che sway of magicians overty oriented toward
spirits who cried 1:0 use formulas0 impose their will on che worlds The

34

THB SACRIFICES T H A T ORDBR THB WORLD

Zhou thus fell into the same pactcrn of decadence seen in earlier dynasries.
By presenting a concern with formulas and an interest in the spirit world as
die defining moment of Zhou decline, Sinu Qian secs che framework for his
presencarion of the Qin-Han imperium.
In 221 b c , Qin completed its conquest of the other states and created the
firsc empire. The four alcars at Yong condnued to be die dominanc sacrifices
of che Qin state (1S.1376). Not otdf did Qin maintain chese sacrifices, how
ever, but ir also made attempes to cake control of die significant culcs of each
region within che empire. As Sima Qian states*When Qin united all under
heaven,the First Emperor commanded rhe officials of sacrifices ro puc in
order the firequendy performed offerings to Heaven, Earth, che famous
mountains, che great rivers, che ghosts, and the spirits" (23.1371). Unlike
Shuns sacrificial tours, however, the First Emperors tours of che lands un
der his control were noc inspections of feudal lands; they were imperial cours
of che emperor s own lands, intended to enhance the personal power of che
ruler.
This attempr co secure divine support also, Sima Qian argues* Helps co
explain che rise to prominence of xhtfanphL Given his fnmework of dy^nas^
ric decline, seen most obviously in his descriptions of Kongjia of chc Xia 2s
being coo fond of spirits and of che last Zhou kings as (idling under the sway
of figures wirh magical formulas, Sima Qian is painting this moment of im*
perial unificanon is equally indicative of che beginning of a (all inco deca
dencea &11 char, as Sima Qian describes ic. culminates in Emperor Wu.
Indeeii Sima Qian presencs Emperor Wu's reign as marking che extreme
poim of this particular sacrificial system and mode of dealing wich the spirits*
Wu rebuilt and consolidated che empire chat the Firsc Emperor had ere*
ateil.17One of his policies for doing so was to re-create much of che com*
mandeiy system of che First Emperor by annexing che cemcories of che feu
dal lords. Sima Qian points out how this policy was paralleled by his
sacrificial practice* Thus, Wu worked co gain direct imperial control over
17. For a discussion of Sima Q iA ii's views on Emperor Wu's consolkiarion of chc Pirn
Emperor 1 creation, see chapter 5 of n\y Ambiv4teme Crmiotu I referred in Chapter 6 of thii
book to Hegel'c dictum that events occur twice. Thus, empire in Rome devebped onty after
Augusnu re<reared what Caesar had created. In thinking about the First Emperor and Em*
peror Wu, Sima Qkn would more likely have agreed with Marx's reformulation of Hegel:
"Hegel observes omewheK that all great incident and individuals occur, as j were* twice.
He forgot to add: the firt time as tragedy, the second as irceM(Tbe Ei^iteenth hrumairt 0/
Louis Bonaparte, p. 15).

T H E S A C R I F I C E S T H A T ORD BR T H B WOULD

3 5

the Five Peaks, 2. series of mountains with imporunc sacrificial trAditions.

The Icing o f Changshan, for example, was charged with a crime and removed,
and Changshan was made into a commander/. As Sima Qian narrates: M
As
such, che Five Peaks were all situated in the commanderies o f the Son of
HeaveiT
Sima Qian clearly contrascs this policy of cencralizadon,
in which the Five Peaks were under direct imperial control, with che feudal
system o f sacrifices begun by Shun.

Indeed* whereas Shun inspeaed che cerricorits of the feuebi lords only
once every five years. Emperor Wu undertook constant cours of his empire
(seer e.g.f 23.1389 and 1403)* He did this so often, Sima Qian claims^ chat the
officials in charge of the commanderies and kingdoms kept their vxuds and
palaces and sacrificial sices in repair in anticipation of a visir from rhe cmperor (2&I396). Also like che First Emperor, Wu crongly supported che
fangsht in che hope chat they could increase his access co the world of spirits
and ultimately help him gain immortalicy. Indeed, che most imporunc rimal
innovations during his reign were caken on che advice of these masters.
One of rhese masters, Miu Ji#authored a memorial conceiTiing the Great
One, a deiry who Miu Ji claimed co be above the five gods in power T h e
most valued of che Heavenly spines is che Great One. The assistants of the
Greac One are the five gods. In ancient times che Son of Heaven sacrificed
ro che Great One in che spring and aummn ac die southeast suburb"
(08.1386). Following che advice of Miu Ji# Wu established offering* to the
Greac One.18
Ac least in Sima Qians presentation* it would appear that this addition
co che sacrifidal system was ytt one more seep in a long process that had be^
gun with che Qina process involving ever more claims ro dominance* Just
as che Qin rulers had progressively added sacrifices co more gds ac Yong
unnl four were receiving eule, and just as che Han (bunder had added sacri^
fices to a fifth godt so Emperor Wu was laying claim ro )^ec a more powerful
deity. And Sima Qian is dearty presenting chis cult, instiruced in response to
die advice of a mascer of formulas, in 2 negarive l^hc.
iS. Beyond the attributes mentioned in che previous ebapteri. the Great One also appears
to luve had joiim afsociacions with warire. For example, when Emperor Wu was about to
uc, he first made an announcement and prayer co the Great One. A banner was
anadc Nanyuc.
nude tlui the Grand Hiicorian pointed ac (lie counrry about co be actacked (Sfoyi, 28.139$).
After Naiiyue waj defeiced, Emperor Wu ofl^ed sacrifices of thanki co the god (Sbiji,
aS .i)96 ). For pouible fwieographic precurfori to rbeie auocutioni. ice U Ung. M
An Ardueologkil Study ofTtiyi (GriKl O im) Worakip."

36

T HE SACRIFICES T H A T ORDBR THB WORLD

Another step in the development of che H in sacrificial sysrem occurred

when a cercain Shaoweng gained an audience with the ruler because o f his
"formulas (or ghosts and spines." In response co Shaoweng s proposals Em
peror W u built a palace in Ganquan to summon che Heavenly spirits. The
following year, after performing che suburban sacrifices 2t Yong, W u dc*
dared: ^Now I hive personalljr performed the suburban sacrifices to che
high
but I have not made offerings co the Hou*m (Lord E arth )/ In
response, ICuan
the Officer o f Sacrifices who had be^ki charged to continue che formulas o f Li Shaojun, recommended chat sacrifices be made at
Fenjrin. The emperor chereupon traveled ease and personally performed che
sacrifice to Hou-cu at Fenyin (28.1386-89).
W u then peiformed che suburban sacrifice at Yong and returned co
Ganquan. H e ordered Kuan Shu and others co make an alcar to che Great
One ar Ganquan. The alcar was modeled on Miu Ji s alcar. T he cop level was
dedicated ro the Greac One. The next level consisted of five sides, each o f
which, in che appropriace direction, was dedicated co one o f che five gods.
The third level was dedicaced co che vanous spirits. In 113 d c , W u first per^
formed chc suburban sacrifice co che Greac One A beautiful glow appeared
char night, and che next day yellow qi rose ro Heaven. The Grand Hiscoriin
Sima Tan (chc &cher of Sima Qian), che Officer of Sacrifices Kuan Shu#
And others argued chat an altar to the Great One should be built in response
(a.i394-95).

These sacrifices ro che Grear One at Ganquan and co Hou*cu ac Fenyin

would become two of che mosr important unperul sacrifices (or Emperor
W u. As Sima Qian is at pains co point oucf each suge in the development o f
Wu*s sacrificial system was undertaken at chc inscigadon of fanphu In Sima
Qian's narrative, these masters of formulas, who played such a major role at
che court of che First Emperor as well, bear a strong resemblance co che fig*
ures that came co prominence ac the end of che Zhou dynascy, and che two
rulers seem quite comparable co che rulers who were too fond of spirits at
che end o f che Xia d^nascy. In ocher words, Sinu Qian has dearly con*
scrucred his narrative ro emphasize che decadence of the religious aedvides
o f his sovereign^ and he clearly means co imply due che end o f che Han dy
nasty m i y be approaching.
But there is anocher side ro Sima Qian's presenudon chat is of crucial
importance for our understanding of che later debates concerning chc Han
sacrificial system. In Sima Q ians presencacion of che rise of che Qin^Han

THB SACRIFICBS T H A T ORDER THB WORLD

37

system of sacrifices, imperial power and a certain mode of religious worship

are directly^ inccrconneaed. The system began widi a transgression, when
Duke Xiang of Qin inaugurated suburban sacrifices co che god of the west
while the Zhou were still in power. The addition of sacrifices co the gods of
che ocher chree directions refleaed che growth in Qin s claims. Moreover, all
of dm was, according co Sima Qian* justified as a resroracson of die sacrifi^
cial system of Huangdi the figure associaced with ctnmlized statecraft.
The Qin imperial sure witnessed an enlajgemeiu of this mode of reli
gious worship* The First Emperor ftpenc much of his life traversing the lands
under his control in order to perform what had been local sacrifices and co
search (or spirits and transcendents who could help him accain personal
morulicy. This trend reached its extreme with Emperor Wu( who, under
che influence offangshi, inscituced cults to deities daicned co be even greater
chan those worshipped by previous rulers and embarked on Icngchjr inspect
don cours co perform personally local sacrifices. Here coo, Htungdi was explicidy invoked as the exemplar. The rise of a particular mode of religious
worship and che emergence of centralized scace insticucions are thus pre
sented as linked*
As we shall see, this association between the Qin and Han sacrificial syrs*
cem and imperial control was also ac che heart of che debates due would rage
several decades later. The minisrers examined below also viewed these two as
linked* buc cheir response was quire diflferent from Sima Qian's. Sima Qian
did noc present che rise of che Yong sacrificial system as necessarily wrong*
although he did portray it as new. And (or him, 2 reliance on magicians and
a fondness for spirits and porcencs were noching buc recurrent signs of dy
nastic decline. They may have been associared in this particular instance
with che rise of empire, but Sima Qian concern lies more in demonstrating
che decadence of his own ruler rather chan in critiquing che Qin-Han impc*
rul system per sc. The figures co whom we will now turn^ however, had a
different reading of these issues.

Determining the Position of Heaven and Earth: The

Ritual Reforms ar die End of che Western Han
B)r the end of Emperor W us reign* the Han was suffering from imperial
overreach: che military campaigns chat defined W us centralization and tx*
pansion were severely scraining the resources of the Han state. A gradual de
cline tec in and tparked a lerici of debates concerning Han sucecrafc chat

38

THB SACRIFICBS T H A T ORDER THB WORLD

came co a head in the reign of Emperor Cheng (33-7 b c ) .19 When Cheng
came to power, two of his ministers, Kuang Heng 2nd Zhang Tan, used the
opportunity to push for a shift in Han policies. Their method of doing so
was co call on che emperor co follow che precedents found in rhe classics.
Their memorials are filled with references to the
and che
and they (reqaendy critique the Han for nor following antiquity. Their perspective is clearly quite different from chat of Sima Qian.
The initial attack on che sacrificial system of Emperor Wu appeared in a
memorial by Kuang Heng and Zhang Tan:
In the afFairs of emperors and kings, none is greater chan supporting che order of
Heaven* In supporting the order of Heaven, nothing is more important than sacriSees and offerings. Therefore, sage^king? devoced cheir hearts and drained cheir
thoughts co che fullest co establish cheir reguladons. They sacrificed to Heaven in
the souchem suburb, in accordance with the propriety of yang. They o f f e r e d co
Earth in che northern suburb, in accordance with che image of y i n .20

Kuang Heng smd Zhang Tan are arguing in &vor of sacrifices to Heaven
and Earth, with che respective altars aligned on a south-north axis. This
normative order, che memorial claims, was praaiced in che past. However,
che ricual system in place since che time of Emperor Wu M
diHers from the
regulations of andquicy
25B.1254). Kuang Heng and Zhang Tan argue that
che main altars co che Great One and Hou^cu should be resired south and
north of che capital of Chang'an:
In ancient times. Wen and W u of Zhou sacrificed at Feng and Hao, and King
Cheng sacrificed at the city of Luo. From [his it can be seen chat Heaven follows the
king co where he lives and accepts his offerings. Ic is fitting that che offerings co che
Greac One ac Ganquan and co Hou*cu at Hedong be moved and sec up at Changan
in accord with (che practices of] che ancienr chearchs and king$. (256.1254)

Since che Zhou kings offered sacrifices at cheir capitals^ che Han emperors
should coo.
Kuang Heng and Zhang Tan have clearljr shifted che emphasis of the
sacrificial system. Emperor Wu modeled himself on Huangdi; Kuang Heng
and Zhang Tan emphasize che Zhou kings* Emperor Wu craveled co vari
ous places in the empire to perform che sacrifices. In Kuang Heng and
19. By ur the best discussion of these debates is Loewef Crbii and Conflict in H an China, pp.
*54 - 91.
ao.

*]iaosi zhi,Ma5B.U53-54: hereiiMfier cited in the text.

THB SACRIFICES T H A T ORDER THB WORLD

3 9

Zhang Tans scheme, the deities travel co the rulers capital Kuang Heng
and Zhang Tan are thus secung themselves in opposition to one of the basic
assumpeions behind the Qin^Han imperial system. At issue here is rhe rela
rionship between the ruler and spirits, as well as the relationship between
che ruler and his realm.
This memorial byr Kuang Heng and Zhang Tan sparked 2 debate at
court. Fifty oflEicials defended che proposals through references co che classi
cal texts. They began with a citation of the ^Ji ^ chapter of the Liji:
"Burning victims on rhe great circular altar is to sacrifice co Heaven; buiying viaims
at che square alcar is co sacrifice co Garch.NAn offering in che southern suburb is che
means of determining che position of Heaven. Sacrificing co Earth on che square al
car, sicuaced in rhe northern suburb, fixes che posidon of yin. The poaicion (or each
of che suburban sacrifices is located to che south and north of where the sage-king
resides. (253.1254)

It is chc ruler who determines the proper positions of Heaven and Barth.
He does so through his escablishmenc of che capital and through proper
sacrifices:
The S h a n gsh u says: NOn che third d x y , dingsi, he [che Duke of Zhou] made offerings
of two oxen in che suburbs.1*When che Duke of Zhou raised o(Feringsf it was co an*
nounce his moving co a new city. He decermined che sacrificial rices ac Luo.

(1 5 8 .1 154 )
The quotation is from chc wLuogaoMchapter of the Shangshu, which narrates
the founding of chc city ofLuoyrang by the Duke of Zhou. The Qin moved
cheir capital co Yong in order co bring it closer co a spiritually pocenc
area. The authors of rhis memorial are claiming that che proper method is
for che ruler co choose his capical and then announce his decision co the
higher powers. The Zhou observed proper procedures; che Qin and the
Han did not.
Much of this rhetoric refers implicitly to rhe issues concerning empire* A
call for the ruler co abandon sacrificial policies char require him ro travel
throughout che realm is, in essence, 2 call for che ruler co withdraw from che
highly centralized form of imperial scacecnft chat had been developing since
che emergence of che Qin. The authors arc calling (or a restoracion of che
Zhou system, and indeed, go so fstr as co argue chat che Han, by following
and expanding rhe new imperial system of the Qin, failed to receive the sup
port of Heaven:

THB SACRIPICBS T H A T OHDBR THB WORLD

When enlightened Icings and sagely rulers urvt Heaven, it is illuminated; when chey
serve Banh, it is explored. When Heaven and Earth are illununared and explored*
then the divine illuminacion (iben
is arrayed Heaven and Earthake the king
as die master. Therefore, when the sages and kingi insdeured die rices of sacriHdng
co Heaven and Barth, they necessarily did so in the suburbs of die capital. Chang*an
is where the sagely ruler dwellj, and it is where august Heaven watches him. The
sacrifices at Ganquan ainl Hedong have noc been accepted by the spirits and numinous powers: it is fitting
move them
places with che correct yang and the g^ear
yin. We should oppose custom ind remro co the andencs, accord with che regi^a*
dons of the sages, and tec aright the position of Heaven as die rituals prescribe.
(25B.U54)

Heaven wanes to observe che ruler in his own capital, and its support comes
only when che ruler has been judged adequate in his daily accivicies. Divine
support does not come to che ruler because he seeks out che divinities, and
che sacrifices of Ganquan and Fenyin have therefore noc been accepted by
che spirits*
Kuang Heng and Zhang Tan elaborated on this point in another memo*
rial:
The Sbi says: Do noesay: 7 c [Heaven
is high above/ It ascends and descends in iu
work; ic daily inspects us, 21 This is to say char Heaven's eyes loolced over che place
of che king. It olio says: M
Ic thereupon looked abour and gazed coward che west.
Here is is chat it give a tecdemenc.'*23 This is co say chac Heaven considered che capi
cal of King Wen as its dwelling. It is fitting ar Chang an co determine che southern
and northern siiburbs ai the foundation (or ten thousand generations. (158.125$)

Absent here is any calk of che ruler seeking spiritual beings or ascending co
Heaven. The ruler stays in his capical, and Heaven comes co him. The ruler,
in ocher words, does not oy co achieve spiritual powers; racher, he centers
cbe kingdom by establishing his capital and Heaven then judges his actions.
The emphasis is shifted to che virtue of the rulerand the memorialises are
implying chac che Qin and Han rulers have been found wandng.
Kuang Heng chen went on co aiguc against che omamencadon of
che Ganquan alcar, claiming chac ic had no precedenc *one cannot obtain
its models in antiquity" (i5B.u$6). In anocher memorial, Kuang Heng
argued chat Han rirual practice was largelyr a cononuadon of chac inscicu^
ced by che Qin feudal lords and was noc based upon the proper rites of
Sbif Mao
Shi, M ao

#Mi>

T H E SACRIFICES T H A T ORDER T H E WORLD

3H

antiquity (25B.K2S7). Implicic here is a rejection of the claim char che QinHan syscem is based on che sacrifices of Huangdi. In 31 tc, Emperor Cheng
accepted these arguments* In che first significant rejection of the sacrificial
secern that had begun with che Qin and had been developed by Emperor
Wu Cheng insdcuced suburban sacrifices to Heaven south of Chang*an

(2 5 8 .1257).
Kuang Heng and Zhang Tan went on to endque the numerous sacrifices
set up at che insertion of t h e O f the 683 such sacrifices, only 208
they argued, conformed co che rites of andquicy
They calledon
the emperor to discontinue che remaining 475* The emperor did $0. The
H anshu staces chac only 15 of che 203 sacrifices ac Yong were nuincained
And many of che sacrifices insdeured by Cheng s predecessors on che Han
throne were abolished (25B.ii57-$8).
The debare#however, did not end here Liu Xiang immediacety authored
a memorial calling for a rtscoracion of Emperor Wu's sacrificial system. The
sacrifices, Liu Xiang argued, were instituted in response ro che spirits and
thus should not be abolished: M
Moreoverf when Ganquan, Fcnyin, and che
five altars of Yong were first insdcucedL it was because there were spirits of
che upper 2nd lower realms interacting
Onlythen were [che alcars
built. This was nor done lightly (256.1258). In opposition to Kuang Heng
and Zhang Tan's argumenc due Heaven should foUow the king to where he
lives, Liu Xiang is claiming char humans muse respond ro che spirits: if rhe
spirits interact with humans at specific places* then chose are che places
where che sacrifices must be given. Liu Xiang s memorial ended with a warn
ing of die dire consequences that could occur now
been discontinued (25B.1258-59).
This memorial is of some inrercst since it is one of che few extant <
ments written by a defender of che Qin*Han sacrificial system,
since Liu Xiang would have considered himself a Ru, che memorial shows
che degree to which che debateas well as ttmiy of the underlying issues
concerning spirits and die empire cue across divisions at che court. Liu
Xiang is arguing chac there ire certain sacred sices where che spirits inceraa
with humans, and Yong, Ganquan, and Fenyin are among these sites. The
altars at chese places^ therefore, were insdcuced in response co che spirits. No
claim is nude here for che antiquity of che sacrifices or for cheir puiporced
existence during the reign of Huangdi. Lius argument is based solely on che
ipirics. Emperor Cheng* who blamed his lack of an heir on his abandonment

312

T H B S A C R IF IC B S T H A T ORDfiR T H B WOR LD

of the institutions of his ancescors, concurred wich Liu Xiang. Emperor

Wu s sacrificial secern was restored (256.1259).
The response came from another official, G u Yong:23
Your servant has heard chat if you ire clear about the nature of Heaven and Earth*
f
u cannot be deluded by tpirics and anomalies. If y u understand die dispositions
of che myriad
you cannot be deluded
whac does doc fie into categories.
Those who cum chdr back on the correct ftach of humaneness and propriccy and do
noc honor the model sa p of che Five Classics, but are instead filled with reports
about abnormalities* anomalies, gh
tcs and spirits, w i d d j revere formulas for sacri*
(ices and oflFeringi. seek co requite sacrifices chat bring no forcune, go so &r as co say
chat chere oust cransccndencs in this world, chew and swallow immortalicy d m g ^. . .
They all deceive the people and mislead che masses* hold co che left
wrong] way,
embrace bUiry and fabrications so ai co delude che current ruler.. . . Ic is (or this
reason chat che enlighcened king should resist chem and not listen, and che sage
would cut them off and no"peak [of such things]. (25B.i26o)

According co Gu Yong accepring che arguments of Liu Xiang would give

inordinace power co those Bgures like the fangshi who claim che ability to
find sacred sices and interact wich spirits. His critique is similar co Sima
Qun sf but his solution is quire differentGu Yong calls on die emperor co
accept the nature of Heaven 2nd Earth as found in che Five Gassics.
Gu Yong continues: 'AVhcft the First Emperor united all under Heaven#
he was swayed by che way^ of spirits and rranscendencs." Gu Yong then crici^
cizts die First Emperor (or sending our people co "seek spirits and gather
drugs" (25B.H60). The irgumenc resembles Sima Qian s, buc absent here is
Sima Qian's framework of dynastic decline. Whar we see instead is simply
an emphasis on che newness of this system and on che Zhou sacrificial sys
tem as che norm of anrk}uicy.
This alternation berween che rwo sacrificial systems condnoed during die
reign of Empeix>r Ai (r. 6-1 b c ) , Chengdis successor (25^1263-64)* Finally,
in response to memorials from che chief miniscer Wang Mang, Emperor
Ping (r. a d t-5) inscicutcd the reforms reconunended
Kuang Heng
(i5B.ia66-68). The sysrem esublished under Emp^eror Wu was dismandecL
and rhe riruals purportedly in place during che Zhou were reinscaced.
In this new sysrem, it is humans who create che cenrer by esciblishing a
capital and then properly aligning Heaven and Earth* This involves neither
23.
Loewe.

Gu Yong< see Hafiilm* 0$.3443-7}. For a convenient nummary of this career* tec
pp. ija-}3.

THB SACRIF1CBS T H A T ORDBR THB WORLD

313

the exertion of a cheomorphic will co align the conno$ nor an accempc co be

come a spirit in accord wich the patterns of die universe. Rather, it supports
a hierarchy of Heaven and man; humans create die center of the cosmos,
and Heaven judges man's success.
The auchon of these memorials referred to the Duke of Zhou's etcablishmenc of Luoyang. As in chat earlier model ic is humans who al^n the
capital and thus determine die posidon of Heaven. Bur absent in the Han is
injr nodon of the agonistic relackmship between humans and che divine
powers chac underlay the Zhou rimals. Now, chc proper cosmic role of hu
mans is to detemtine the place of Heaven* and the proper cosmic role of
Heaven is co grant or deny approvaL Heaven and man are ritually separated
and jrec izucrdependenc, with each possessing its discina place 2nd its dis
tinct duty.
Conclusion
The debates rraced in this chapter concern cwo incerrelated issues: che
rure of che Han scace and the proper relations between the ruler and che
spirits. Each of che texts we have discussedDong Zhongshus wridngSi
Sima Qians historical account, and che memorials of the reign of Emperor
Chengassumed this linkage, and their critiques of rhe Qin^Han model
played on both themes.
According co Sima Qian and Kuang Hcng and his supporters, che Qin*
Han sacrificial system, which die)r associated with che imperial state, was
motivated by an actempc to gain conrrol over sacred sites where spirits
dwelledsices whose sacrificial traditions, it was claimed, could be traced
back co HuangdL The emperor hoped that by communicating wich che spir
its of each region, he could gain both personal immortality and control over
those regions. This system involved several relaced imperatives. Horizontally,
it resuked in a drive on die part of each emperor to take control of more and
more such sacred sites and to establish a cycle of visits. By che time of Em
peror Wu( this had resulted in che emperor making the five sacred moun^
rains into imperial commanderies. undertaking innumerable imperial coursf
and adding che sires of Ganquan and Fen)n ro che already imporrant culcic
area of Yong. Vertically ic meanc appealing co ever more powerful deities,
who, ic was hopedi could exercise more control over rhe spine pancheon.
This, too#reached a new extreme wich Bmperor Wu#who offered sacrifices
directly to rhe Great One. Here again, wc tec Emperor Wu arcempcing to

314

THB SA CRIPICBS T H A T ORDBR THB WORLD

accomplish through ftacrifidal activity something comparable ro whar selfdivinizarion experts were seeking through culcivadon. And, socially, ii meant
granting power co chose figures especially xhtfangshiwho claimed the
ability co find and summon spirits for the emperor. In short#ic was a system
chat inherend)^ involved a never-ending actempr co gain more control over
die territorial and spiriruil realms.
In contrast, die lyscem that, in veiy different ways and ibr very different
purposes, both Sima Qian and Kuang Heng ascribed co dirpre-Qin period!
made no claim ibr die sacralicy of the primary sice& Instead, the ruler prev
vided a center for the kingdom by establishing his capitaL No claim of sig*
nificince was made for the site. If Heaven and Earth accepted che ruler, che
capital became the place ac which yin and ying inceracced properly* The
ruler then, from a&r, paid homage to che spirits of each region and every
five years traveled co che five mountains to meet with the feudal lords of each
locality.
For Sima Qianr the distinction berween these systems was hx less imporranc chan che overall narrative of dynastic decline, a narrative chat he utilized
ro critique Emperor Wus concern with magical formulas and personal immortalicy. But (or Kuang Heng and chose associated with him, che discing
don was all-importanc. At stake for them was 2x1 assertion of boundaries, an
assertion chat would result, they hoped in a radically difFerenr (and in cheir
view traditional) vision of rule* They were calling for a ritual syscm chat
granted the ruler tremendous power it was he who established the center
and derermined che position of Heaven and Earth. But no further expansion
of che rulers power was built into che system: he had no need co gain direct
control over local areas or co appeal to ever more numerous or ever more
powerful deides. On che contrary. Kuang Hengs precise concern was co assere a strict demarcation between hununs and spirits, beeween ccncer and
periphery. The ruler could not ascend co Heaven, could not become immor
tal, and hence should noc seek to gain control over sacred sices co which spirits could be ummoned0 confer such powers. Humans were humans, spirits were spirits; each had its own domain, each had its own duties. And che
ruler belonged fully co che human realm* In making rhis argumenc, Kuang
Heng was building on claims made much earlier by Dong Zhongshu con
cerning che proper demarcacion of the roles of humanity and che divine
powers. In this fomuilacion, mans proper duty was to establish a center ind
co determine che positions of Heaven and Earth.

THB SACRIFICES T H A T ORDBR THB WORLD

315

In ultimately choosing co side with Kuang Heng and his followers, che
emperors o f the W estern H an effisctcd a (imdamenul shift in the oricnca
don o f che H an scace. Following these reforms, claims of ascension and selfdivinizacion ceased to be ivored at court. And, indirectly* these reforms
tra y in part have been responsible for che later popularity of millenarian
movements, many o f which would, in their critiques o f the H an scaoe cmbrace the very notions o f divinizadon and ascension chat che reforms of
Kuang Heng and odiers had driven out of ch< central court.

Conclusion
Culture and History in
Early China

Ac the end of the Western Han, the dominanr concepcion of chc cosmos
was of a world organized by hununs, ritually separate from, )^ec correlated
wich, Heaven and Earth. Kuang Heng's model was 2 cosmological re
reading of narratives from the
concerning the Duke of Shaosaligning of Luofyang: the king places his capital and thus determines the positions
of Heaven and Earth. Heaven, Earth, and man are harmonized when each
performs its pix>per cosmological duty. But ir is only if we know che signifi*
cance these ideas possessed in the early Han char we can tinderscand the real
concerns behind che ritual reformnamely, various claims of divinizarion
due lud flourished in the early HUn, or more explicitly! cheomorphic no*
dons of kingship as well as self^culdvacion practices chat involved a rejecrion
of textual authority and che precedents set by die past sage& h is thus firring
co end diis srndy ac this point, when the Han court forcefully rejeaed che
claims of divinizarionclaims chac had played such a crucial role in the re
action against sacrifice and divination and in die hse of empire. And it is nor
surprising chat in rejecting these claims, figures such as Kuang Heng turned
back to a particukr, cosmological reading of Bronze Age ritualssince these
were precisely rhe riruals rhac the divinizadon movements had reaaed
againsr.
Following David Keighdey, I have argued due che paramounc religious
concern of che Shang and Western Zhou was to forge deceased humans into

ancestors who could then be influenced chrough sacrifices and divinations.

The ricuals worked from rhe bottom up: che lower ancestors were weaker,
yec more amenable to the blandishments of human ritual, whereas che
higher powers were stronger but less malleable. The goal was thus to work
ones way up che pantheon: the ritual specialists would appeal co the lower
ancestors, who would in cum be directed to appeal to che higher ancestors,
who would in turn be called on to pacify the more powerful, non-ancescral
powers including, most important, Di, or Heaven. These sacrificial prac
tices represented an attempt ro join nacure spirits and che ghosts of deceased
humans into a single, unified system. The deceased humans were rransformed inro ancestral spirits, defined b y cheir roles in a hierarchy; nature
spirits and unrelated yet nonetheless powerful deceased humans were simi
larly placed imo this hierarchy as well.
By the fourth century b c , however, a new group of figures (usually re
ferred to in the secondary lireracure as che shi) began gaining prominence at
che courts of rhe rime. Ic is clear from cheir recurrenr critiques of sacrifice
and divination chat such figures felt themselves to be in competition with
ritual specialists. Indeed, che authors of these texts nor only rejected sacrifi
cial models buc also itcempted to reverse them and thereby supersede chem.
Sacrificial models in early China operated by woriung from che recently At*
ceased and less powerful local spirits coward more discanr and more power*
(ul deities. In contrast, che new model posiced che One, che ulrimace ances
tor from which everythingall spirics, all natural phenomena and all
humanswere generated This concept emerged, for the first time, in nu
merous fourth-century bc rexes, such as che "Neiye/* the Taiyi shengshui, and
che Laozu The entire pantheon of deiriesfrom local spirits to Heaven it
selfas well as rhe natural phenomena they supposedly controlled, were
subsumed under the One. And instead of appealing co this ulcimare ancestor
by^ working up che pantheon, proponents of che new model claimed direct
access to che One and ebus full power and knowledge over the cosmos.
Much of the interest in rhese cexts lies in che different ways these systems
based on che One were built. One approach, developed in che ^Neiye** and
taken further in cexts like che M
XinshuMchapters, is self^divinizationi which is
achieved b)r#among ocher things, returning co and holding fast co the One: the
sage gains power over che things of che universe b y grasping che ancestor char
generated them and continues to underlie diem. Another approach# seen in
che Taiyi shengshui, is co gain full knowledge: rearranging rhe pantheon of the

CONCLUSION

39

day into a series of lineal descendants from rhe One allowed the authors to
claim chat they alone understood the workings of the cosmos. In each of these
texts, however, the authors claimed either the ability, or possession of che
techniques char conferred the ability, co reach rhe One and thereby under
stand and exercise control over the cosmos without resorting co divination
and sacrifice. What bochered figures like Xunzi and che authors of the Xici
zhuan abour these claims was rhac they denied the eflScacyr f rime-honored
rituals of the past hese authors cherefbre argued in support of divinadon
and sacrifice, even while building cheir arguments on many of che same cos
mological claims as che proponents of self-divinization and gnosis.
he debate between ritual specialists and cosmologiscs condnucd during
the rise of empire in early China. Although the sacrificial system chat arose
with che Qin and Han empires has often been described as based on a cor^
relative system, I have argued chat it was based largely on a new variant of
the sacrificial model divinizacion through sacrifice rachcr chan chrough
cosmology. The process here was, horizontally, co take over more and more
sacred spaces inhabited by local spirits and offer chem cult and, vertically# to
appeal co ever higher gods in che pantheon. The endless process of consoli^
dating local cults while also appealing co higher gods was seen co 2id in the
process of rhe divinizarion of che ruler and uldmately lead co his ascension.
The extreme was reached with Emperor Wu, whose consolidation of chc
empire coincided with his sacrifices ro the Great One.
As Sima Qian correctly pointed out, this created a dyrnamic in which che
ruler tried to gain more land and undertake more rravels in order co appro*
priace more and more divine power. This new form of chcomorphic kingship
was critiqued by several voices in che early Han from the authors of the
Huainanzi, who called for a cosmological form of divinizarion, co figures like
Dong Zhongshu, who rejeaed divinizarion and proposed correladvely de
fined sacrifices. Both of these were attempts co limit the cheomoiphic claims
of che ruler chrough appeals ro cosmological patterns.
LFldmacely, Emperor W us system began to fidter because of imperial
overreach, and it was finally repealed near che end of che Western Han. The
divinization claims chat had so dominated court politics since che beginning
of the Qin empire were rejeaed Rulers were defined as humans, ritually
separate from divine powers, with their own dunes to perform. As a conse
quence, claims of ascension became associated with rhose groups who op-

320

CONCLUSION

These poinrs also have comparative signiBcance. As we have seen repeat

edly in this srudy, Qiina, when discussed in a comparative perspective, has
long been charaaerized as a culrure chac assumed concinuicy between the
human and the divine world. In some comparisons, China is seen as the annchesis of the West; in others it is placed ac a different point on an evolunonary line of dcvdopmcnc. Bur either way, early China is presented as a so
ciety devoid of rhe tensions between man and God, Zeus and Promerheus,
chat pervaded the Hebraic and Greek rradicionSj as a society rhac never ex
perienced the disouiriation of the world from divinicy chat has existed in che
West. Alrhough Weber portrayed chis negatively, most China specialists
have portrayed it positively,: China has become che land where gods and men
are linked in harmony, and where there exists a fundamental continuity of
the human and che divine. China is also frequently presented as che one
jor civilization rhat never discarded primitive notions of harmony with che
natural and divine worlds. Working from chis same line of argument schol
ars have builr other comparative models for explaining China: shamanism,
chis^worldly optimism, bureaucratic harmony, sacrificial do ut dcs.
One of the few scholars working wichin a comparative framework who
has rejected this approach is Heiner Roecz. Roetz atxcmpcs to read into early
China che same cranscendencal breakthrough and M
disenchancment of na
ture' chac he sees as inherent in any rational evolucion, and his picture of
early China is wildly ac odds with chac of other scholars. Buc even Roetz ac^
tributes whac he sees as che ultimate failure of Chinese philosophy co its in
ability to develop as strong a tension berween human society and che world
as in the West*
I have tried co break down che binaries of dualism/monism and tragic/
harmonious cosmologies as they are often applied co Greece ind China in
two ways. Firsrt I have rried co focus on how specific individuals in specific
conccxrs worked through issues of the proper relationships between humans
and divine powers and. how che resulting debates played out historically. As
we have repeatedly seen, characrerizacions of Greece as dualiscic and China
as moniscic are of lirde use in chis approach. Empedocles, for example, was
monistic; question four of the Shiwen was dualisric. Moreover, even the rerm
Nmonismf is insufBciencly nuanced to cover che positions taken fn these de*
bates. Depending on ones mechod of positing che human and divine ele
ments of che cosmos, one can assert discontinuity even while proclaiming a
monistic cosmos. For example, Dong Zhongshu asserted a monistic cosmos

in opposirion co the cheiscic cosmology dominant 2t the imperial court of his

day, but he also strongly distinguished humanity and Heaven and argued,
also in opposition to the cults at the court, char humans could nor become
gods. A strong assertion of continuity was coupled with, ac a different level* a
strong assertion of discontinuity. And only by looking ar the contemporary
context can one understand the significance of these claims. To describe
Dong Zhongshu as simply Mmonisticruls co do justice ro che many implica
tions of his arguments.
And che point can be put in stronger terms when we look at attempts
co describe several early Chinese authors as wmonisdc.MBoch che M
XinshuMchapters and Dong Zhongshu's cosmology are monistic, but these cwo
monisms have very different implications. The authors of rhe -XinshuM
chapters were arguing for che conrinuicy of huxnan and divine powers in op
position to che discontinuities implied by sacrifice and divination; Dong
Zhongshu was distinguishing Heaven and man in opposition co che claims
of imperial divinity. For the authors of chc wXinshuwchapters, humans could
become spirits and hence did not need divination and sacrifice; for Dong
Zhongshu, humans were separate from che divine, but, precisely through
such actions as sacrifices, had a crucial cosmic role to play. For the authors
of che M
Xinshu chapters, the king was divine; for Dong Zhongshu, he was
human. In short, che categorizarion of early Chinese thought as Monistic,"
in opposition to a wdualisricHcosmology of the West, breaks down at every
level when we explore che historical contexts and implications of specific.
statements.
My second goal has been ro place the debates analyzed in chis book
within a comparative framework char has greater explanatory power chan
that of a M
moniscicff cosmology or che related claims of shamanism and sacri^
Bcial do ut its. Ac first glance, this second goal, of seeking co analyze this pe
riod of early Chinese hiscoiy from a larger perspective! might appear co be in
conflict with che emphasis on nuance that characterizes my first goal. One of
the underlying arguments of this srudy, however, has been that these cwo
goals arc mutually reinforcing, for it is precisely in he nuances of the debate
that issues of compararive inceresc come co rhe fore. More specifically it is
through such nuances chat one can recognize che tensions and concerns un
derlying che debates, and it is only, in rum, by recognizing these tensions
and concerns char one can compare che Chinese material with chac found in
orher culcures facing similar political and cultural problems.

CONCLUSION

It follows that comparison will be most fruitful when we compare culcures that have &ced a similar sec of historical circumstances. I have there(ore agreed with the many scholars who have stressed che benefits of com
paring early China and early Greece. Like earty China, ancienr Greece also
witnessed, ac roughly die tame period comparable social and politkal
changes (che breakdown of an older ariscocracic. Bronze Agt society, and che
growth of independeru. competing territorial states, some of which devel
oped imperial ambidons), as weU as a series of iiuerrelactd^lebates concerning divinizadon, sacrifice, and cosmologyr. Bur I have rried co develop this
comparison on different grounds.
I have advocated working toward a vocabulary chac is both nuanced
enough co allow for careful historical studies and ytt open enough co main
tain cross-culrural validity. Insread of categorizing ciilmres in terms of such
dichotomies as "monism/dualism" or M
immanence/cranscendencer and in
stead of working from (even if onty implicit) evolutionary frameworks based
on "religion co philosophy" or M
animism co humanism and rarionalism** narrarives, we should cry co focus on terms chat allow us to cease our che prob*
lems and tensions in each culcure under analysis. In chis book. I have argued
that che censions surrounding wdivinizacionMor notions of continuity and
disconcinuicy may result in more meaningful comparisons beeween Greece
and China chan do either the evolucioiuiy or che essendalizing frameworks.
In both Greece and China, ac roughly the same dmc, one finds comparable
tensions surrounding sacrificial acdon, self-divinizacion, cosmology, and
empire. The inceresdng issues for comparacivc studies arc how and why che
claims were made in each culcure. and how and why various solutions came
co be insatudonalized. Posing che quesdons in this wajr has, I hope, yrielded
results d u t explain more chan che ocher frameworks discussed in che Innx>ducrion.
In setting up chis comparative frameworlc I have turned ro anchropological discussions of kingship, sacrifice, and cosmology. Buflding on the work of
figures like Livi-Scrauss and Sahlins, I have cried co develop a valid com^
pandve vocabulary chat helps co uncover cbe complexities of claims made in
various cultures* In bringing chiA literature co bear on che early Chinese maceriala, I have based much of my analysis on the work of Marcel Granec*
This is somewhat ironic* since Granet was one of che most influencial figures
in defining China as a land of continuity one of the positions I cririque in
this book. However, as I argue in Chapters 4
a careful reading of

Granee yields a rather difierenc portrait of early China: Granecs analyses be*
come Bkr more persuasive when they are taken out ofGninecs own esscnnaltzing^ evolutionary, and cjrpological frameworks. Since I have found much of
this anthropological theory from Granec to Sahlinshelpful in conceptu
alizing rhe issues ac handr I hope chic I have, ac least co some small extent*
mumed the &vor by helping to bring die Chinese material into broader an
thropological concerns.
And when we treat these issues from such a hisrorical and compandve
perspective, many of die readings proposed (irom within either the evoludonaxy or essendalisr frameworks cease co be fully convincing. We do noc
find in early China asstunpeions of harmony or of a concinuicy between hu*
mans and divine powers or of a lack of tension between humans and the di
vine. On the contrary, one of the crucial issues in early China was che recur*
ring tension between chose who wished to maincain a ritual separation of
humans and divine powers and those who wished co desrroy chose separa^
cions and appropriate divine powers for themselves. Spirits were nor only
powers wich which one harmonized; che)r were often powers one (bu^ic,
cheated* appropriated* and cried co become or transcend. And a significant
part of early Chinese history becomes fuUy undcrscandable onty when we
;such tensions and trace the way^s in which they played out

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Index

Agnculcure: sand decline of shamanisn

aman control over namrei
36-37: Hun
4 ^-43
and
nd invocation of ancestors,
ancescon
46; origiiu#702sacrifices involved^

70,7 i- 7
Ah Emperor, 312
Aidoncm, 91
Alexander, 235-36.147^
Alignment, seeJ in g yin g (alignment and
orienrarion)

Ames, Rog^r T. 17-18, u r

l$i. i$8

147-

Analects, see L unyu

rdadve chinking, 16-17
Ancescon: ascension, 2x9; conscrucdoa
of pancheoa,
5. 67.77.7*
317-18; cunes, 46; divinanon co.

46-47hierarchy, 46,47-4^. 49.

5^-*54 >9^ invocacion in bin rituals,
34 #4 7 - 4 ^# 4 9 ) links co living
humiiu< io: power, 46 47J
ralarioiuhipi with dctcendamtf 681

relationships with sag^s#198-99*

sacrifices cof 45* 46 5^54* 6a. 73*
jiS; temple names, 45,45
worship of in Shang^ 3S-39# 44*46
150; in Zhou penod, 59-^ ptfsstm.
Sk also Spirits
Apollo. 8
Aristotle, 87
Ascension: of ancestors^ 219; crid<tues
ofbclie6#246-47,254-55; f Greek
godk 221-24; of Huang4 L243_44*
257; of kings, 236,241-42: means*
116; political implications. i6i
264-65; taeveys of cosmos. 219-20*
w . See alsommortalicy: Liberation;
True Man
Ascension narranves: cosmologies, an;
Greek* 205-4.222-24; Han texts,
a4; historical context. 223-
guage, 219-20,281,181; relationship
to lumanlsm* 202; scholarly views
pf aoi, ooi; Sbtwen#219; fimilariciet

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1K D B X

|6#199-100; political implicadons#

i49w$*179*268-69,285-S6; poten*
rial divine powers of humans 17577references to sacrifice, 181; rdadons of Heaven and huxnanst 29094>
9S-); Roetz oa, aot 21;
scholarship on 146* 147 320:
shamanism as precursor, 35-36,8182,86^)7* 95; of
163-64; universality 36147; in
Warring Scaces period, 151,167
197-98; Western views of, 24# 39-40
of Western Zhou, 55,56,57. See also
Monisdc cosmologies
Correlative chinking: assodadoQ with
centralized stares, 236; in China* 17*
18*3>33
149* 236; continuicy in,
(64; contrast wich analytical think
ing, 16-17in Han period, 290; lack
of influence, 237; seen as primirive#
I5S*S^ seen as recession* ioi univenaiiry, 147; in Warring Sutcs pe*
rio 164,236
Cosmogonies: -JingshetT chapcer of

Huainami, l. 2-3,145. *7-7i# W 73; of Laozij 165; origins o f music,

174spontaneous beginning, 145;
Tai)ri (Great One), 160-61; Xio
zbu^m. 190-91
Coim ologicr anchropologjcal study of#

based on ff, to: Bronze Age* 31; cit

ies modeled on* 32-33; comparison
of Chinese and Western, 7-16 pas
sim, ai, 39,119-20; compeddon
within cultures, 157,160,157-5^,
190early Chinese, 145-46; Greek,
39*38 - 93. 95 #1191a3i S^hierarchicol, 313; organiimic, i-af8if 164;
PolpuiiAn ajoi rtcional, 11-13;

347

rotes of humans, ji), 314* V7i

radon of human and divine, 13, u.
39# 7S-74# 7 -S 8 # 9 -9

tb cb d c, iSv
> 4 4 , Warring Sttces pe,
riod, 9^-97f I47i 79Western,
i2-i)t ii#x3301^23. SmIio Correiadve cosmologies; Monisck cos*
mologjes
Culianu loan* 103
Culcural>esicndalat model see Esten^
dalisc model
Cultural forvns (wen), 183, iSB
Culture: sages* role in creation of, 193
Da Bing^ 262,26S
Da Yi#46
Daimons, 92,93
Danscs et Upnits it la Chine anatnnt
(Granec), 227
Daoism: aacension concept 2, 104}
divinizacion, 120,204
"Daren (uN(Prose^poem on the Great
Man; Sinu Xiangru), 14 42
Da Yu ding^ 59
Deities, set Di; Heaven; Spines
Dedcnne, Marcel* 74^9
Development and Dedme of C hintu Cot>
nwlogy (Henderson), 149-50

Di: comparison to Zeus* 7$i pwr

4S-49relations wich humans#414a. SX Sh 5 4 - 55*75 # rdarioni
with Zhou Idngi, 61.61,64in
Shang pantheon* 4*
4^-49
worship of, in Qin period* 137. See
also Heaven
D i Kongjia 301
Di Taiwuf )i
Di Wading, 301
Di Wayi, 301
Diomedci* 88

34

INDBX

Dionysus* 89,235
Dionysius of Helicamassus#axS
Dispoudon, 271-72
Divinadon: to ancmon, 46-47; goals*
45.198; opposition to. 173#^87: in
Qin empire, 237; in Shang period,
34 - 35*4 - 4 $ supporr in Xici zhuan,
l89 aoopuitm#39 9 ; supper
Xunzi.
tS7>6S, 195.199*
in Warring Scaccs period. 96
Divinizadon: available to alL 167
daims of self-* j- 4 #Bo-Si, 117. i7 *
26#275-77 31B; by concentration
of essence, 113,214; control of nacure
by huxnans43,259,265-66; in Daoism. . 104Abates on. i&5 in
Greece* 87,88-S9 92-94* 222; in
Han periodf uo; Laozi'i claims^ 167;
in "Nciyc,- 113-19passim, 123opposidon co, 123-04,14-44: political
implications, 267; potential of hu*
nuns, 175-77, iS5< 199in sacrifice,
286-89; of sages 17U 5 87
a60,17
through sdf*
cultivation, 3255 9*6
29; undemanding of Pivot,
189Xunzi on, 185.1S6-B7. See
alsoAscension; Theomorpbic king
ship
Dodds. E R-. Si-$4*85*86 *9 4 . 95 * 7
Oong Zhoag^ti: adherence co textual
precedenr9 196-97cosmology* ao
a9-95* 9-3*J*4 ja-icridasm of rulers, 297* 3>9 memorials
co emperor, 292*9^* 100,311
Dualism: of form and spirit, 209* u i in
Greece, S4#86#203; of Heaven and
Bardv 27 172-73; in 1 1, a9
213,320; view* of kingship, ia6_a^
233; in Weacem thought t4

Dum^zil, Georges, 226 229,2 .

133
Durkhdni, Emile, 146,155
Egjrpc, 13
Eliade, Mircea, 32-33.34# 3 6 . * 5 #
z2
Empedocles. 84* 8S-95 passim. 9#330
Empires: centralizanoiu 33*35oner*
gence of, 258; Greet 233-36.247^1;
jusdficadon* 149-50: opponents, 150.
245-4^, 3transgressive innova*
don andL 234,235
Eno. Robert,

54-55* 60

Bpia, Greek* 39
Essence
109-u; coocencration*
210-11; disdnedon (irom form, 209;
in humans, 110,114, 6,170,172;
longevity gained with, 207-S; origin
in Heaven#272; relationship with qit
i9#111; relationship wich spirit and
One, 179; of True Man, aSi-82
Essendalisc model of comparative
scholarship,
10,14-24
322,323
Ethics, 140
Evolutionary (ramewodcs of compara^
dve scholarship, 9-14,18-aj, 23-M>
55-56,158-60,322,313
Gxordstns, 44,62
Families: meuphors, 151. See dlso Alicestors; Kinship snucrures
Fdngski (tiLUcets of formulas): control
of fermsf 145; control of ipirio# 243,
244,257; cridcisin of, 247-4^ 3Hac
Han court, 35*37* ac Q n
court* 239-40* 241-44* 34 36;
search for means co immortalicy,
*39- 4 0 #MJ-4 5

INDBX

Faidiin, 13311
Face: Mccepanct oft 127>25^-$7Mohisc
view, 103
Fenyin* 310,3n. 313
Fiji: etxiergpnce of state, 229-30; sacri*
Sees, 196-97; sodal scrucnire, 156;
war^ 235. Set also Polyncsii
Fim Emperor al^nxnent of tuuverse.
aa5 i8i 194; cmiasm of, %47}
divinizacion daims#256;fangAi
and, 239-40,242* 36; interest in
immorcaIit7#239-40, >43ricoals.
24^*47 2$3; sacrifices^ 23s, 304ti
de, 240
Firac problemacic chinking iB
Five Qatsics, 146,253-54
Form: alignment of. 273~74* control by
fanphi, 245; disdnetion from essence,
209; earthly origin, 172; of humans,
no; liberarion from, 2x1-17passim,
24%, 2$7* 267* reladonship to qi, 26s
separation from spirit 209,221
transcendence of. 216,257,279-82,
2S4
Fu Xi, 169,170
Fung Yu4 an, 8,9-10,18,105

349

Greece, ancient: aicension narradvet.

i 3-4#aaa-24Axial Period ti;
compariions to China^ 9*10 9, )!
yn conflicts between humans and
gods, J9comolog^s, 88-93,95, U9.
a 3.310devdopmenc of saendfic
choughs 155divinization dalmi 87*
88- 119,9^-94. 7. u a-1 3 ; dualim

6. a3; em pire 233-36.147

epics, 39
links between human and

divine. 9>-93
philosophy* 8s84 ^7
ritual specialises, 83,117; acrifices,
73 74# B9-91,93; separanon ofhu*
man and divine* 13, ?
7 7 -
89-

91
shamanism, <3-84* S6-S7*94

95
G u Yong, 312
Guan Yifu, io$-9
Guang Chcngzi, ii4-i6 257
Guami, "NeiyeA: comparison to Huainanzi, 265,176; com panion ro Shiwen, 208-9; comparison co Zhuang*
zi i i 6 . 130-31; cosmology, So* 109*
i4 U5-17#
VS; definition of
spirit, 171liberation, i6%-6gt ai)
mediradon rechniques. 82oppoo-

cion co divtiurion# 187: philosophical

Ganqum* 310, iiu 513

Geeicz, Qiflbrd, 56
Ginzburgs Carlo, S4
Gods, see Di; Heaven; Spirits

Gong Liao, 99

Cuami, "Xinshu"companion to Htaii-

|)

Gong^un Qing, 143-44

Graham. A. C., 16-17. >it 31,33,82-81,
8 6 ,116,1471

49>156

Granec, Marcel, 8-9^ 16.17, n t 32,146,

147,158-60*

i j l , 2432 sdf<kvini2adon claims*

113-19fau im , C2)#135,170-71sprits.
82

2236 - 3

aj6 ,15

Great One, 160-64,174,175,305,306,

joS

27 aB cofnparison to
SiNwrn,
212-13; cosmology,
171* 2B, 157* 321dtvinizadon# 170*
27B 318; opposidon co divtnacion.
\%T self<ultivarion#17B: "Xinthu,
shan^" 170,17a; "Xinshu,
170Gifojfu/Chu yu, xiaT i4 U

6 . 118

INDEX

35

Hall, David L.#17-18,21,22,23, i47-4^

15*
Han Feizi, 269
Han period: ascension narratives, 204;
cencralizacion of empire, 305cor
relative chinldng, 149; cosmologies,
2 . 21,147,237,244
X57 - 58*
3X7) criticism of rulers, 297
decline of state, 307-8; opposicion
co empire, 245-48; rejection of
cheomorphic kingship, 3 7,3 9; sac
rificcs, 241,245 , *58,287,3, 34 15passim, 319; cheomorphic kingship
claims, 240-42* 269
Hanshu (Dong)#293-98,311
Harmonyr, I7C75,264,320
Harper, Donald, 205,206
Hawaii: emergence of sracc, 229-30, 233;
sacrifices, 2 3 0 ,2 8 8
Heaven: acceptance of order of, 134* 136,
W 144alignment of universe, 293;
conflicts wich humans, 1 3 6 - 4 0
Confucius on, 9 8 -1 0 1 ; concinuity
wich humanicy, 35 Mohisc view
1 0 1 -2 ,1 1 8 ; patterns of, 1 2 9 -3 5 passim,
19^ 55- 56. 2 7 8 - 7 9 , 2 9 3 . 94 2 9 8 -

relations wich humans,

relarioru wich kings, 5 4 ,
6 0 , 6 7 , i o i - 2 , 198, n o , 310: i n Zhou
cosmology, 5 6 . See also Ascension
Heaven's mandate: acceptance, 1 3 8 ,2 9 8 ;
Confiidus oiii 98-99# Uck of, for
Confudus, 2 9 7 ,2 9 8 ; for rulers, 2 9 7 9 8 ; for sages, 2 9 3 ,2 9 5 ; for Zhou
longs, 54. 5 7 - ^ 0 , 6 1 , 6 5
Hegd#Georg Wilhelm Friedrich, 2 3 m ,
S4
Henderson, John B., 24,149-50
Hera, 91
Heracles, 235
99

f 2 0 7

313;

Hesiod: Theogony, 73-74# 75-7^

Hexagrams, 193
He zun, 66-67
History of ChinesePhilosophy, A (Fung), 8
Hitler, Adolf, 23391
Homer, S S
Hong Mcng, 217
Hou Ji, 63,68-75 possim
Hou-cu, 308
Huainanr kingdom of, 286
Huainanzi: battle of cheomorphic be^
ings, 260; cosmologyr, 259-60,06465,268,171,284-86; T^ixing," 3-4,
159-60wLanmingrN268-70; **Qisu/
218; self-culdvadon, 266; view of ml*
ership, 064,319; nfuandao/ 261-67
Huainanzi, M
JingshenM
: alignment of
form and universe, 273-7$com*
parison to Gazi, 276,278,283;
comparison to Zhuangzi, :77-78
282-84; cosmogony, k, 2-3,45,
270-71, 272-73cosmology, 3-4,271,
272- 73,278, 2-84* divinization claims, 275-77liberation, 181;
normative panerns, i S y , True Man,
279-8^12 S 4
Huangdiascension, 243-44^ 257; asso*
dations wich emperors, 303,307*
dialogues wich 167-69, zo6-i6 pas
sim, 257; ordering of world, 268-69,
270owl emblem, i$9sacrificial sys^
cemf 307
Hubert, Henri, 51-52,2S8
Hubris, 233-^34
Hu
64.-65
Huizi. 131
Huzi, 130
Hygiene practices, 205
Iliad, 88

Immorulicyr: lack of interest in, 277

means of actaining, 239-45 passim,
257; rulers* inceresc in, 239-40,141,
2 4 3 .313
44-45. See also Asceiuion; Divinizadon
India: Axial Period, u; Greek conquests,
235; separation of human and divine,
13; Vedic soma sacrifices, $2
Jade am,35
Jakobson. Roman, 147
Jaspers, Karl, n, 17. *9
Ji Xian, 122-23,125,130
Jian W u, i4
Jiang Yuan, 68-75 passim
Jing, see Essence

"Jingshcn, sec Hiiflimwzi,

JingshciT
Jingyirtg (alignment and orientacioti): in
ascension narratives, 219-20,221; by
Great One, 162,163-64; by Heaven,
293of Heaven and Earth, %vxt 2737$; of human body, 273- 75by humans, 161-63,312-13; by rukr, 125,
241,23,294; by spirits, 1,2-3,271.
283; in Spring and Autumn Annals,
296; surveys before construction2,
271,284
Kameharruieha, 233
Kangf fCin|
59
Kane, Immanuel, 157
Katharmci, 92
Keightley! David N.#36-40# 45~54 /wshwi, 73>77,78,ia ,
3 J 5,P7

King$: advised co transcend world, 222;

capitals, a, 3^-33 39# 3*4criticism
of, 252-53; dynastic cycles, 30:; hereditary37-38; ordering of world.
^94-*95i 299
powers over narure,
225,241-42; relationship with

Heaven 10 -2,198, no, }io; rda*

cions wich spirits, $0; roles in an*
dent China, 56; M
scranger,M228-30,
233; true nature of, 178-79; universal
rulership, 172
Kingshipcricicism of, 264,269devel^
opmenc in China, 159,227-28, %$,
236; duaiisdc coacepcion 216*28,
233origins, 228-30. ^
Empires;
Theomorphic kingship
Kingsley. Peter, 84
Kinship structures, 156,158
Kuan Shu, 306
Kuang Heng, 308-17 passim
Laozi, 14^ 264; comparison co Taiyi
sheng shu\t 165-67; cosmogony 16s;
cosmology, 165-70 passim, 318; di
vinizadon claims, 167; on harmonic
zadon of humans and nature, 149;
on sages, 166-67,198-99
Livi*Strauss, Claude, 146-59

183,

200
Li, Kicig^ 64-65
Li Hci, 167-69,214
Li Shaojun, 143,244
Lian Shu, 124-25
Liberation: from bonds, z\y, in Daoism.
204; from form, 211-17 passim, 242,
W * 267
meaning in H uainam i, 282;
in T^dyc," 166-69; of sages, 171;
cechniqueSf 218; Zhuangzi on, 133,
<3^ 217, ^57* 267* See also Ascension;
Transcendence
Liezi, 123,124,130

Liji, m
Ji (a/ 96-97 39
Lin 246- 47 , 33
Liu An 286
Liu Xiang, 311
Livy* 228

35

INDBX

Logic. 154-55
Longevitydialogue in Guanpi, 115-16;
dialogue in Sbfweti, io6ia; oftpirit,
aio
Lu Jia. 14 ^- 55*)56#192-93# 3*See
alsoXinjru
Lo Sbeng^ 139
Lu Bo Dong^vi, 59
Lu Buwei 172, i7i 136
Imhju, 97 -i i. 117-1B, IJS-J6, IJ9,180
Luoyan^ (bunding of, $B-S9>66*
39 . 313.317
dmnqiu. !7*-74 136-37*Bcnsheng,Mi75 - 7 #199# a*i"Dayue/
I74-75J *7>c ihu,- 173; ^Lunrcnf 17*-

79; "WugongT 180-81: *Toiuhi/* 145

Luyrang, Duke of. 268
Macrobiotics, 20$
Mair, Victor, 84-85,86t 107
Major, John, 160
Mio Duke of, 60
Maogong ding, s?-$S
Maori. 157
MarxKarl, 30411
Masters of cauldrons, 6}
Mascers of formulas, see Fanpht
Mauas, Marcel 51-5146, i$$ 1B8
Mcsidiis: accepuncc of ue. 256;
:described by0a; conflict
1364 0 *143- 4 4 . W coimology, 140,141.
142; critidtm of rulers, 15) goals* 135;
on Heaven's mandace, 298; natural*
ism* (4 -43 144pith to sagehood,
>34 *136* 196paccems ofHeavcn 196*
155; powers of sages, 177- 73 *255ai
Mge, 138, t)9on self-culdvation
134-3Ssimilaridei co Confudus, 13$
Metopocamu* 13

Military campaigns: Heaven s nun*

dace, 60: invocation of ancestors,
47

Mitrfi-V^runa: essai sur ieux refrisentaUons mdo-turofiennes dc la souveraimU

(Dum^zil)*2216-28,23311
MiuJi. 35. 36
Mohiso: on sacrifices, ioa-4. u8; view
of Heaven, 101-2* 118
Monisdc cosmologies: Confudan* 6-7;
condnuicjr ofhuman and divine, 13,
i6#aa, 35.51,118-ao. 257# 6dicondnuicy in, 320-11; in Greece* 8893i 95 *19#^h 3 >in Guonzt. 171.
aoS; in Huamami, 271^ 273,27B; of
Lu Jia, 34B-51; of Mendus and
Zhuangzii 141in
109-14*
115-17*
opponents of empire,
245-48; in opposition co dominanc
practices, 119origins* 82-85; selfdivinizacion claims* 172similarities
between humans and gods. 1$; We
ber's view of, 6-7. See also Correia*
tive cosmologies
Monogenedc systems, 153-60 passim,
169-70,19^*9^99
Moniicy: as human invencioa t44; of
nature, 141; pocennal of humaiis.
W -|6
Mocc, Frederick* t-a, 14*15* 21* IU Si* 96,
14a
Mountains: as axis muiuli* yn mecaphort 3.159sacrifices on, 301,305;
pixies of, - 97 ,
Moz i o 4
Mu#King^ 59,60
Music, 174-75
Mussolini, Benito, 23311
NameSi 162-69

tNOBX
N acu ralism :

of Laozi, 167of M encius,

140 - 43 *>4 4 of Zhuan^d, i4 - 43

144

Nacurccoocrol by spirits. 162.265-66,

274i creadoo by Great One. i6i>6a
hannony inf 17$; morality of* 141;
patterns 183-84,196; series
5 53*96 - 97 ^Si8; in Zhou cos*
fnolog^#s6
, reUtiooship with humans: a^iculcure -4>3; cvoludon of, 19.20;
human concrol 76,186,256,262-63,
a66
294-95kingi* concrol, aa$,
240; linked through qi0249; music
ai means of regulating nature, 175;
role of culture, i83 ; sages' power
over, 252; sages* understanding off
162-63,249- sectlemenu, 4 42,
59

Meedhafn^oseph, I4 i5,i64t 9

T^ciyc/ see Guanzi, 'Ndyc'*

Netds, 91
Nuomachcan Eihics (Anscode) 87
Numa. 117#
231-32
Njrberg, H . S.#85
Omenologr. 154* 291,29a, &93*296
Orade^bone insenpdons, 34,3^-49
passim, 55
Orienudon, see jwij (alignment
and oriencadoa)

Oq>hics( 89-90
Pankenier, David W.#55- 57.60
Paper, Jordan, aoa
Panems (li)# 1B3,184,188
Pensie thinoiu, La (Granec), 8-9,146^
227

353

Pericles, 134-35
Penia: ascension literature 203. Set also
Scythia
Peterson. WUlard J.. 190. w
PbaeJrus (PIaro) aai-23
PhilosophyChinese, 0,141-41# 151-52,
ao$-6; Greek* 83-84# *7
P in d a r# 8B# 9 0
Ping^ Emperor, 311
Ping Yi, 26%
Pivo I09 ,i 9 i99 - i 3* 4
Plato, w. >3. aza-23
Plucarch, 228.331-33
Poljrgenedc systems, 153,156-57* x6o#
196
Polynesia: cosmologies, 230; emergence
of state, 329-30; kingihip, 233;
monogenesis, 156^ 196-97; polygene*
*is, i$3 196. See also Fiji
Poo Mu^chou, 51,103
Primitive culcures: axis mundi, yx, 33,35
correlacivc chinking^ i$s*s6 ; toccmisnu 15^-54# 156
Prokpmena to Any Fu(ure Metafhjiics
(Kanr), 157
Prometheus 73*74* 75
Procettandsm: concrasced co Confu*
danism# 6-7; W eber on. 5-6n
Purushmeniits: crtAdon of. to6i in Q n
empire, 164
Pychagoras. 84
Qicosmology based oiu 80; cycle# of,
107,209-10; of Heaven and earth
yj\ in humans, H4 -I5i ia5.3.W
ibnkbeeween Ihumans and nature*
049; meanings 109: Mendus a ih
relationship co essence* 109, m; relacionship co (omu 165; udlizadon of,
tu -ij

354

1 ND B X

Qi, king of, 138

Qian Qie, 268
Qin, stace oF. 238,302
Qia empire: capital, 309; centtalizadon,
247# 39*control of regional cults,
238,240,258,304# 37#319correla
tive chinking, 149; cosmologies, 173,
^36-37.257 - 5^5 divine kingship, 24O1
258; interest in immortality, 239-40;
laws and punishments, Z64; oppose
don cof 245-48ricuals, 236, 237, 245,
246-47; ruler s power, 225; sacrifices,
3
-33
4i 3
7, W, 3>9
Sima
Qiin s history of, 302-3,312; imificacion of scares, 173, 237-38, 304.
also First Emperor
Qu Yuan, 202
Rain magic, 290-91
Rationalism: development in China* 9,
12-13,19-20,23,37,151-52! devdopment models, u, 56-57; lack of
full developmenc in China* 23-24;
Weber on, 5, s-6n, 6-7,13,55-56
Ricuals: bin, 34-35* 37 47-5^ passim;
death, 44- exorcism, 44,62;
separation from spines, 291cradidoiul, 182-83of Zhou dynascy,
302. Sec also Divination; Sacri*
fices
Ritual specialists! bypassing, n6#163;
critiques of, 9S, 122-23,130,173,199
in Greece, 88,117; opposition to,
118-19in Qin empire, 237,239-40
relacions wich spirits. i4 116; re
sponses cof 117-19responsibiliciesJ
106-7# 7 3> * in Warring States
period, 98. See also Fanphi (masters
of formulas)
Robinct, Isabelle^ aoi

Roetz, Heiner, 18-14 | m, 1 43<

182,183, 289,32
Rome: foundingof, 228-29,231; rulers.
227-32 passim
Romulus, 227-31 passim
RongChen 206- 12

Rulers, see Kings

Sabines, 228-29
Sacrifices: accouius of origins* 70-72;
agonistic elemencs, 288; to ancestors,
45,46,52-54 62,73,238,318; com
parison of Chinese and Greek, 7576; debates on, 30B-13, 318- 19; dis*
dnetion from tocemism, 152-54,200;
/eng and than, 300; in Fiji, 196-97a*
gift (do ut dcs view), 51,103,1B8;
goals, 4143-44,298; in Greece, 73
74* 89-91.93in Han period, 241,
245.258,287,3. 34-*5 passim, 319;
human, 230; Mohisr view102-4* n8;
oppositionto, 93,170,173Pol)me*
sun system*230; inQin empire,
237-38,245, 3i-3#304, 37 #3*3, 3193
reforms in Hanf311-12,315,319; rela
tionship to agriculcure, 70,71-72;

responsibilities ofritual speaaliscs.

106-7; mShangperiod, 4 45

simf 50-54 passim, 58,63,77-78,151;

support ofXunzi#182-83, :87 - 38 ,

I95 i99i 319cheories of, 51; crans*
formation in, 51-52,75,98; in War
ring States period, 96,97-9^ in
Western Zhou 61-65,68# 77-78,98,
303-4xiang, 182-83. See also Ricual
specialists
Sages: advisors ro kings, 138; creation of
cultural implemencs, 193; culcural
patterns transmitted, 100,147; cydlcal emergence, 139dispoticion,

272divination b)rr 192; divinizadon,

172,185,1 6-87,268,278,1^3-84;
Five Classics, 246,253-54; Heavenly
patterns followed, 278-79,293,29899Heaven s mandate, 293,295;
Laozi on, 166-67; liberation. 171
music used by, 174-75; natural pac^
terns found by, 196,250; non-rulers,
<37*28S* 297,299; ordering of woddf
251-52,2$5-$6,295-96; patterns
brought by%i84; power, 77-78,15a,
278; relationship with ancesror^
19 -99; roles, iio-u; as rulers, 159,
i8o,t8 i; se!f<uldvadon, 145*194-95#
249,2H5; surveys before construc
tion, %,271; understanding of nature,
162-63,249,150; undemanding of
Pivoc, 190; Zhuangsd on, 131. Seealso
King^
Sahlins, Marshall. 156,159,160,196-97#
226-30,233
San Miao, 06,108
Savage Mind, The (Levi-Strauss), 154
Schrempp, Gregory 157
Schwartz, Benjamin I 11-13,17,19,31,
141.142,143. i5- 53156.164
Science, 154-55
Science and Civilization in China

(Needham ec aL), 14
Scythia: shamanism, 83,84,85,86,94
Second problemaric chinking, 18
Self*culcivarion: achievemenc of divine
powers, 3,255, 59-6o, 266,283,29a;
arguments against, 194- 95goals*
114-15,126,283; Mencius on, 134-35;
power acuined* 145,178,180-81,243,
a66#268,276-77practices, 207,
ufl-19; by sages, i45 194- 95, 9 ,
tS$; Warring Sraces texts, 208;
Zhuan i on_ 132-n

Sdf-divinizanon, see Divinizadon

Setdemencs, 41-42# 58-59* also
Cicies
Shamanism: characcerisdcs, 86; cond*
nuicy of human and divine, 35; end*
cism of hypothesis, 36-40,50,77
86,107, u?; differences in Chinese
and Western views, is-16; difiusion
hypothesis* 83-86,94* 95; in Greece*
83-87 passim, 94,95; incroducdon co
Chim 84-85; as precursor of Chi
nese religion^ 16,76,81-83,86-87*
104-5,202; relationship to ascen
aion narratives, 202; relationship to
correlative cosmology, 35-36,8 8a,
86-87, 95; in Shang period, 33-3$,
36; Siberian# 83,85
ShangJia, 46,50
Shang Yang, 269
Shang period: ancestor worship, 38-39,
44-46,317burcaucraqr, 37,38-39/
47-4^; criticism of shamanism hjr.
pochesis, 36-40, $, 77; deities, 40;
divinations, 40-45; founder, 46;
lack of incerest in cosmology^ 55;
masters of cauldrons, 63; ricuals^
3 4 1 5 , 37, 5- 5i. 5 A 58,63,77 .
219; shamanism, 33-35,36; Sima
Qians history of, 301
Shangshu, 317cosmology, 12; "Duofang,**
61; NLuogorN309; M
Lu xing,M106;
references to, 308,309; M
Shao gao, a,
58,66; M
Shun dian," 300-301
Shangshu dazhuan, 292
Shanhaijing, ^uzangshanjing,- 9^-97
Shao, Duke of, 57,284,317
Shaoweng^ 243,306
Shen, see Spirits
Shen Buhai, 269
Shen G o % 243

356

1NDBX

Sbt (group): critiques of sacrifice and

divinacioib 3t8
Sbt (tm ), 210
Sbfji: cricidsm of Confiidus, 99; criddim of sacrificxai system, 300.313;
detcripcion of Dong Zhong^hu, 290
ctynascic decline narradve^w on
fanphi, 239* 242*44; ^Fengphan
ihu," J7i
24h 43-44* ^7,
300-307; First Bmperor and spirits,
240: Han emperors, 240-41* 319:
Q n sacrifices, a ,
Shduung benji/139# M; n wor*
ship of Huangdi. 243-44
Sb^np 63-64; cosmology, ta"LingcaiV
1; quotacions from# 195: references
co, 30S; "Shcng min/ 68-73# 75*76
Zhousong/* 65
M
Chengff 167-70,171 | <
3# 4
Sbiuwi (Ten questions): alignment with
comparison to
2S^9,212i) dialogue on longevity. ao6-ia;
vinization daiins. ao6; dualism in,
a9, it), 320; purpose, 205-6; ques*
don (bur, 206-14 sdm, 34H44*
157 320; question six; 6
Shun, 265,300-301,305
Siberian shanunism, 83*85
Sima Qian see S)>ijt
Sima Tan, 306
Sima Xiangni. 14
Sivin* Narham 14
Sbrophoria. 74
Smkh, Jonarhan Z 77
Smich, Wtlliam Robertson* 51#t5^
Sodal devdopmenc stages, 37
Sovereigincy* 22B-29
Spirit journeys, see Ascention

<
Spinet (Atn): ali^unenc and orienca*
don actions 1,2-3,17 1S3; andiro*
pomoq>hizin^ S3<9^* ^99, a6o;
Confudus 01^ 97-99control by
fanphi, 243,244,257; evoludonary
perspective, 23-24; exorcisms. 44
62; hierarchy, 237; liberacion from
(orms#2ii-i2.113-14; meaningi of
tem^ 123,109,171,185; nature,
S53*9^-97*
nature controlled
by, a6a. 265. a66.271.174power,
52-53; as pure essence, uorole in
crexdoiv 1; 2hmngd on, 124-27. Set
also Ancestors; Di; Heayen
, reladonf with humansdebates on,
9 4 - 95 with tcingi#50# 62,67, aj7
241; in Shang period* 40-42, $ 5
5$#$6#70; through ritual specialiici,
t4* 116; in Zhou period 54*$7 6o#
&77^ 138. See also Divinizadon
separation from humans: in andenc
cultures, 13; in Chinese team. 105-9.
116.170,214* 2s. 314, JI7 conflict*,
J9 . 7 . 136-40.143- 4 4 #299oppoiicion co 8^*91; in Pol^esta^ 197.230;
in West, 13. ai. 73- 74 #7 -M. 89-91
Springand Autumn Annab, 289,290, ^92.

S p ir it- m e a 123-29

196,298

Stranger kings#218-30, ^33

Takhan shu, 206-7
Taiyi (Great One). 160-^4,174,175. See
also Great One
Taiyi sheng shut: comparison to LaozL
165-67; cosmolog i6o~64 7
198, i6o, 318-19
Theogony (Hesiod)#73-76 passim
Theomorphic humans, see Diviniza^
cion

Theooiorphic kingship: anchropologicalliccranirc ia6; criddssn of, 148,

2^6. &57 *^69# 3#3X9development
in China* 136,258, ^19; ancgencc
ajo; in Greek empire, ^s-36,247^
in Han period, 240-4^ 269; in
Huainanzu 28$; in Qin empire, 236,
256, 258; rejection by Han
court, 317.319in Rome, 232; spon
uneous power#179; chrough sacri^
ficc ifiB-89
Thrace: thanunitm. 83
. 33-15
Tunwang|vi 6i#61,64
T in m u s (PUco), 9)
Ticaxu#89. See atso Prometheus
Tocemism. 15^-54* i$6,159,200
Tradition: sacrifice as, 182-83
Transcendence: in China. 12-13,143)
connection with paccems of uni*
verse. 335; emergence in ancient civi*
li2acions 11,19; of (bnns, u6#257,
179-84
of Heaven and Earth,
220; scholarly views, 141seen as ab*
gent in China* 17
"Trigrams* 192* 19
True Man, 13b 23%179-82,284* 23$
Tylor# Edward, 51
Valeria V alerio, 233* M

Vemaiu, Jc a n -P ie rrc , 74.89,90

Waley* Arthur. a2
WingAihe.2 4
Wang Ming, 312
Wang Qiao, u8,219
Waning States periodascension nar
ratives, 4correlative cosmologies.
1671188 197-98) correlative chinking^
164,136: coimologieti 2196-97i47,

isi. 179
divinarion, 9^!

p rac
cei

205; p o p u la r a n d p hilotop^1* ^
a o $ - 6; religious bdiei
sh ip ,

ru l^ -

17^-73sacrifices, 9^* 97 *9 ;
208

sd f-cu ld v ad o n ^
W a y , th e,

itt-12,165-66.261

9-9>
Weber, Max# 5-6, 5-7,8,

at. y\, 33.51,142,3

Wen, Duke of Qin, 30a
Wen, Emperor* 237# 141
Wen^ Kir^ Heaven s mandate^ S; a*
model for later king^. $9* ^ P 1
194; reladonship with Di, 6i, 6a. 64**
sacrifices tof 62-63
Weiccrn cultures: cosmologpeSi 7 -#
u-i3#ai, 203,301-23; separation of
human and divine, 13, ai, 73 - 7 4 #*7 91passim. See also G reece, ancient
Western Zhou#seeZhou Western
Wheadqr, Paul, 32-33# 34 . 3. 39#4^*
54 .56. a 4

W e a th e r, c o n tro l of,

W orld o f Thought in A n a tn t Chirm, The

(Schwartz), n
Wur Emperon advice co, 369; couit*
2S6; Dong Zhonphu s memorials
to, 292-9S, 3o;/tf"^sbi and, 35307:
incereac in immoctalicy, 241,343;
sacrifices, 241,258,287* 3*)4-l4
pasiim
Wu, Kingconquest, 54; descendanci,
66,67; Heaven s manchce. 58; Ie
gidaucy, 64sacrifices. 6^-64
Wucheng Zhao, an, 219
Xia d)rnascy, 301
Xiang, Duke of Qin, 238,302,307
Xiang SQcriGces, 182-83
JCici zbuM, 05
cosmogony, 19091:
comologjr*|8 255;criddimofrul.

358

INDBX

cn, 253# 298; opposicion to self*

Z h o u # W e s te rn : an cesto rs, 317; capttaL
1: c o n q u est, S4>57,62-64* 7 23
culdvanoa i$6 ; sages' undencandingof nature, i$o; support of divi*
cosm ology, $5, s6; decline, 1 9 ,3 0 3 -4
ion. 189-aoo
zgx. yig
nado
H e av e n s m a n d a te 54 57~ 6o
6$;
^Xinshu,i*see GiMn^n "Xinshu"
o m en re la te d co. 292; rd o n o n s h lp o f
XinjfM(L41Jia): accq)tance of Cite, 256sp irits a n d h u m a n s, 54~ 57 6o f 67,
57cosmology, 243-51* 155-56, as*
7a, a)S; rdacions wich ancestors^ 64,
encique of ajeension beliefs, 147,
65-Mrimak, 302* 313; rapeure with
254-55cricique offangshi, 247*4^*
Shang reUgious beliefs, 54* 57* S9*^3
254; critiques of mien, 252-53; role
sacrifices, 61-65,6877-78,98,238,
303-4: Sima Qan s hiscocy of, 30a;
of sages in world, 149-51355; sag^s
and classics. i 53-$4 25S
timilarides co Shang bdie6r6$t 67Xuna: cosmology, i8 i- 8 a; cultural
68,78
forms and patterns, 183-84; on diZhouguan, 30a
vinizacion#185.186-87; foundicions,
Zhou people ancestors, 63,68-72,73,
183-84role of hununs in cosmos,
75
allusions to, 277,280; ascov
183-85*
^9! lupporr ofsacrifice
and divinirion, 182-83,187- 195,
sion narratives, 201; comparison to
Mini
177 28:84; com*
199* 319T ianlun/182
parison co ^eiye," 126^ 130-31;
cosmology, iaS, 131,133; cricique of
Y an H u i, 99,139
ricual specialises. 122-23,130; Inner
Y ao# io 8 159
Chapcert/ 2i3#a66.277; on libera*
Yearley. L ee H .. 140.142
Yi (a n cien t m iniscer). 137.
dQ. i)3*t36v217.257* >67; nacural*
Yi (Book of Changti), 190-94
,
ism, i4-43 >44opposition ro
S
See abo Aici diiMit
human claims ofdivine power* 12314#143,144 179"Outer Chapters/
T fiY iaw ,i3
206,214-16; philosophical pcograiit
Yi Zhi, joi
Yizhouslnt, "Shifb/ 6 a
20srdadonship of humans and
Yon^ 137-jB, 102-11 f4t$m
diing^ 117-28,132; sages, 131; self*
Y u, 96, jo i
cukivacioa 126,132-33; on spines,
I24-27, iaB-30
Y u n Jiang, 217
Zi Si 127-
Zi You, u.7-28,213
Zou, 7 J*7 4 *75, 9 U
Z h a n g T a n . 308-11 passim
ZifuJing|bor 99
2% ao, K in g o f C h u , 105-6
Zoroastrianism, 8$
Zu Jif 301
T h o u , D u k e of, 137,
8# 292; fo u n d in g
ZUozhunn, 96,246
o f L uoyangr 309* | i 3

n H eaven's
m andace, 6i; as sage. 247

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