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A SOURCE BOOK IN 

CHINESE PHILOSOPHY

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CHINESE 

PHILOSOPHY 

TRANSLATED AND COMPILED BY 

WING-TSIT CHAN 

PRINCETON, NEW JERSEY 

PRINCETON UNIVERSITY PRESS

Copyright © 1963 by Princeton University Press 

L.C. Card: 62-7398 

ISBN 0-691-07137-3 

• 

Chapter 7, "The Natural Way of Lao Tzu," with additional notes and 

comments, has been published as The Way of Lao Tzu, 

copyright © 1963, The Bobbs-Merrill Company. 

• 

Publication of this book has been aided by 

the Ford Foundation program to support publication, 

through university presses, of 

works in the humanities and social sciences, 

as well as by grants from the John Simon Guggenheim 

Memorial Foundation, the Edward W. Hazen Foundation, 

and the McInerny Foundation. 

• 

Wing-tsit Chan, now Anna R. D. Gillespie Professor of Philosophy at 

Chatham College, Pittsburgh, Pennsylvania, is also 

Professor of Chinese Culture and Philosophy Emeritus 

at Dartmouth College, Hanover, N.H. He did 

his undergraduate work at Lingnan University 

in Canton, China, and received his Ph.D. from Harvard University. 

He has taught both in China and in this 

country since 1929, and is the author of many distinguished 

publications in the field of Chinese philosophy. 

• 

First PRINCETON PAPERBACK Edition, 1969

TO GREGG M. SINCLAIR


• • • FOREWORD • • • 

ONE OF THE HOPEFUL SIGNS in these otherwise hectic times in which 

we are living is the long-overdue realization of the need for mutual 

understanding between the peoples of the East and those of the West. 

Genuine understanding of people who are separated from us by great 

distances or who differ from us in language, in way of life, in social 

custom, is difficult to achieve, even for those who are sincerely dedicated 

to this task. 

Such understanding is vital—humanly, intellectually, practically— 

but it cannot be achieved through any superficial assessment of words or 

actions which are often unrevealing or possibly even misleading. It can 

be achieved only through a searching and serious study of the dominant 

ideas, the motivating beliefs that have, down through the ages, shaped 

the "mind," or over-all philosophy, of a race or a nation. 

In getting at this basic philosophy, the only procedure available to 

the outsider is to study the thought of the intellectual leaders, the molders 

of the thought of the culture as a whole. And the only way to reach these 

great minds is through their own words. No amount of second-hand explanation 

or description or interpretation can assure the student that he 

is getting at the real mind of the thinker. Studying the original (even in 

translation), with the aid of knowledgeable guides where necessary— 

this alone can make for clarity of comprehension and assurance of authenticity. 

This Source Book is devoted to the purpose of providing such a basis 

for genuine understanding of Chinese thought (and thereby of Chinese 

life and culture, since the relationship between the two is probably more 

pronounced in China than in any other country). It brings to Englishspeaking 

Westerners the basic materials for serious work in Chinese 

philosophy, which in its profundity and its long historical development is 

probably less adequately understood than that of any other great civilization 

in the world today. By virtue of misguided selection of only ancient 

texts, or popular texts, or texts which are primarily literary rather than 

technical, the Chinese philosophical tradition has been distorted out of 

all proportions. The Western philosopher, if he would be a true philosopher 

in considering all the experiences, insights, and systematic intellectual 

speculation of mankind as data for his comprehensive philosophical 

thinking, can no longer remain blind to the important insights of the 

great Chinese minds of history. The Chinese philosophers have much to 

contribute in many areas of the broad quest for truth, and it is high time 

that we in the West overcome our basic ignorance of this field, or at least 

vii

FOREWORD 

attempt to correct the limited and possibly distorted interpretations that 

we now have. 

This Source Book is indeed a milestone along the complex and difficult 

road to significant understanding by Westerners of the Asian peoples, 

and a monumental contribution to the cause of philosophy. It is the first 

anthology of Chinese philosophy to cover its entire historical development. 

It provides substantial selections from all the great thinkers and 

schools in every period—ancient, medieval, modern, and contemporary 

—and includes in their entirety some of the most important classical 

texts. It deals with the fundamental and technical as well as the more 

general aspects of Chinese thought. With its new translation of source 

materials (some translated for the first time), its explanatory aids where 

necessary, its thoroughgoing scholarly documentation, this volume will 

be an indispensable guide for scholars, for college students, for serious 

readers interested in knowing the real China. 

I must take this opportunity, on behalf of all who are seriously concerned 

about the development of greater understanding of Asian philosophy, 

to thank Dr. Chan for producing this significant volume. Dr. 

Chan has taught Chinese philosophy in both China and the United States 

and, as far as I know, is the only Chinese philosopher who has taught 

in the United States in this one field continuously for more than 25 years. 

He knows thoroughly the needs and problems of students of Chinese 

philosophy—and, as a public lecturer, he is also well aware of the interests 

of the educated public. He brings to this work the valuable benefits 

and advantages of this unique background and experience. The task 

he has undertaken has been stupendous. Few scholars could have—or 

would have—undertaken it; no one else could have handled it so well. 

As mentioned by Dr. Chan in the preface, this volume is the second 

in a series of Source Books in Asian philosophy. The first volume, A 

Source Book in Indian Philosophy, edited by Dr. S. Radhakrishnan and 

myself, was published by Princeton University Press in 1957 and was 

reissued in 1959. "A Source Book in Buddhist Philosophy," intended 

as a third volume in this series, is now in preparation. 

Honolulu, Hawaii 

viii 

Charles A. Moore

••• PREFACE ••• 

CHINA has changed more in the twentieth century than in any period in 

her history. She has overthrown a 3,000-year-old monarchic system. She 

has replaced the 1,300-year-old examination institution with modern 

education. Men and women are for the first time equal. And she has 

embraced Communism. These radical transformations and many more 

have forced Westerners to ask why they have taken place. The search is 

no longer one for information but for explanation. Realizing that neither 

contemporary factors nor external influences alone can provide the 

answer, they have begun to probe into Chinese thought. And since 

Chinese thought is predominantly Confucian, they have looked into 

Confucian teachings with great seriousness. 

The study of Confucianism in the West is not new. James Legge's 

translation of the Confucian Classics began a century ago. Unfortunately, 

Western studies of Chinese philosophy have been largely confined to 

ancient Confucianism and its rival systems, as if Chinese Buddhism were 

not Chinese, Neo-Taoism did not exist, and later Confucianism but a 

footnote to the Confucian Classics or at best a de luxe edition of them. 

But the fact is that Chinese thought and the Chinese way of life in the 

last several hundred years have, generally speaking, been the product of 

Neo-Confucianism, which thrived from the twelfth to the sixteenth century, 

and Neo-Confucianism is itself an outgrowth of ancient Confucianism, 

modified by Taoism and Buddhism. Therefore, in order to understand 

the mind of China, it is absolutely necessary to understand Chinese 

thought, especially Neo-Confucianism, in its entire historical development. 

The present book has been prepared primarily to meet this urgent 

need. 

In attempting to maintain an historical perspective, I have throughout 

this work tried to strike a balance between the modern, medieval, and 

ancient periods as well as between Confucianism, Taoism, and Buddhism. 

The selections presented herein have been chosen with this 

balance and perspective in view. In the chapters from the Analects, for 

example, special attention has been given to sayings on knowledge, 

human nature, human destiny, Heaven, and the like—perennial problems 

in Chinese philosophy—but only to the extent that such selectivity 

does not distort the total teaching of Confucius. Moreover, my choice 

of philosophers and schools has been guided by their relative influence 

on the development of Chinese thought, not by the temporary interest 

of non-Chinese scholars. Many Western scholars, for example, have been 

much interested in Wang Ch'ung (27-100?), evidently because of his 

skepticism and naturalism, but have been little interested in Wang Pi 

ix

PREFACE 

(226-249). In terms of philosophical influence, however, Wang Ch'ung 

is almost insignificant whereas Wang Pi is of tremendous importance. I 

have therefore given much more space to Wang Pi than to Wang Ch'ung 

in proportion to the amount of their writing. Finally, my introductions to 

the translations and comments on specific selections were written not 

only to make the passages more meaningful and stimulating to the 

reader, but also to show the interconnections between the various periods 

and between the different schools of Chinese philosophy. 

Wherever practicable, I have translated whole pieces. The present 

work includes four books (the Great Learning, the Doctrine of the Mean, 

the Lao Tzu, and the T'ung-shu [Penetrating the Book of Changes]) 

by Chou Tun-i and thirty-seven chapters or treatises in their entirety 1 

besides many chapters almost complete. 

I have chosen to translate the entire material myself instead of using 

existing materials for several reasons. One reason is to achieve consistency 

in translation, which is absolutely necessary for an adequate understanding 

of either an individual work or the historical development 

of Chinese philosophy. Take, for example, the concept of chung-hsin 

(loyalty and faithfulness), a basic concept in the Analects. 2 It is clear 

and definite, and no variation in translation is justified. Translations by 

Waley, Legge, and Lin Yutang are admirable in many respects but they 

are not consistent. 

The second reason for a fresh translation is that much research has 

been done and many commentaries have been published since most of 

the existing translations appeared. Not many existing translations 

have made use of research scholarship and commentaries in the first 

place. In any case, recent materials cannot be ignored, for they have 

thrown much light on various subjects. There are about 350 existing 

commentaries on the Lao Tzu and over a hundred on the Chuang Tzu. 

I have not consulted all of them but have seen a good number although 

only the most important ones have been mentioned. It is the consultation 

of commentaries and recent studies that has made me differ from other 

translations in many places. In cases where alternate interpretations offered 

by different commentators seem to be of equal merit, I have indicated 

them in the footnotes. 

1 These are: one from Mencius (ch. 3); one from the Hsün Tzu (ch. 6); two 

from the Chuang Tzu (ch. 8); three from the Mo Tzu (ch. 9); five from the Kungsun 

Lung Tzu (ch. 10); four by Tung Chung-shu (ch. 14); one by Wang Pi (ch. 

19); two by Seng-chao (ch. 21); the Thirty Verses of Vasubandhu (ch. 23); 

three by Chi-tsang (ch. 25); two by Han Yü (ch. 27); one by Chou Tun-i (ch. 28); 

three by Chang Tsai (ch. 30); two by Ch'eng Hao (ch. 31); two by Ch'eng I 

(ch. 32); four by Chu Hsi (ch. 34); and one by Wang Yang-ming (ch. 35). 

2 1:8; 5:27; 7:24; 9:24; 12:10; 15:5. 

x

PREFACE 

The third reason for a new translation is that many Chinese technical 

philosophical terms, especially those of Neo-Confucianism and Buddhism, 

require a new rendering. Until recently, there had not been sufficient 

tools to help the translator. Chinese dictionaries and encyclopedias 

are geared to Chinese literature, not philosophy, and many technical philosophical 

terms are not included. The publication of the monumental 

Daikanwa jiten (Great Chinese-Japanese Dictonary) in 1955-1960 

has been a tremendous help to scholars. But even this great dictionary, 

with more than half a million terms, leaves some important philosophical 

terms out. 8 Without adequate tools to help them, many translators have 

rendered technical terms in their popular meanings. Thus ching is often 

translated as "reverence," which will do so far as its popular sense is 

concerned but not as a technical term in Neo-Confucianism. 4 Unfortunately 

there are very few tools to help the translator on Neo-Confucian 

terms. The situation is much better in Buddhism, for excellent dictionaries 

do exist. But even these dictionaries are not complete. The entry 

cheng-chü, does not appear in them, for example. This term ordinarily 

means "proof," but when one looks into commentaries on Buddhist 

texts, one finds it to have a special meaning "to show" or "to demonstrate." 

Some Chinese terms are so complicated in meaning that there are no 

English equivalents for them and they therefore have to be transliterated. 

I have, however, kept these transliterations to a minimum. I prefer to 

have a term translated even though the translation may not be entirely 

satisfactory. More about these difficult translations will be said in the 

Appendix. 

I have used what I believe to be the best texts. In almost every text 

there are variations of individual words. These are noted only when the 

sense is seriously affected. And I have not noted obvious misprints 

or misplaced phrases. All titles have been translated. With the exception 

of some twelve cases, the sources of the 900-odd quotations have 

been given. Some sources are indicated in the original texts, but in most 

cases they had to be traced. Since for many of these there is no indication 

at all that they are quotations, and since indexes for most works are nonexistent, 

to find their origin is often like "fishing up a needle from the 

bottom of a sea," as the common Chinese saying goes. But the identification 

of sources is necessary to show the reader the historical and philosophical 

connections between Chinese thinkers. It also enables him to 

check the context if he so desires. Those sayings or phrases that have already 

become established expressions are ordinarily no longer under- 

3 For example, chih-ming, or until destiny is fulfilled. 

4 See Appendix. 

xi

PREFACE 

stood as quotations and there is therefore no need to trace their sources. 

In most cases where an English translation is available, a specific page 

reference is given to enable a comparison if desired. 

The order of chapters is not strictly chronological but grouped by 

schools within major periods, so as to give a better picture of the relation 

of schools. The translated materials in each chapter are, for the 

most part, arranged in their original order, with the original section or 

chapter numbers retained. Wherever the original order does not give a 

logical or well-rounded picture, however, selections are grouped under 

topics, with consecutive numbers assigned for easy reference. 

In many chapters a list of topics and references is given at the end of 

the introduction. These chapters are indicated by an asterisk at the 

end of their titles in the Table of Contents. Unless otherwise indicated, 

all footnotes and insertions in parentheses and brackets are mine. Brackets 

are intended for extraneous material while parentheses are for explanation 

and identification. But it is not always easy to draw the line. 

Except for some contemporaries who put their personal names before 

their family names (as I do), Chinese and Japanese names are given in 

the Chinese order, that is, with the family name first. Chinese and Japanese 

scholars are not consistent in using the various names of Chinese 

writers. Here the private names of philosophers, rather than their courtesy 

or literary names, are used, except in the cases of Lu Hsiang-shan 

and Wang Yang-ming, who are generally known in China, Japan, and 

the West by their honorific names. Wherever desirable, courtesy, literary, 

and other alternate names are given in parentheses to help identification. 

Chinese words and names are romanized according to the modified 

Wade-Giles system, save for well-known geographical and personal 

names which do not conform to it. Unnecessary diacritical marks, however, 

have been omitted. Dates of persons, if known, are provided in all 

cases except for those who are mentioned purely incidentally and 

for Western and contemporary Asian writers. The dates of Confucius, 

Mencius, Lao Tzu, and Chuang Tzu are given only in the chapters 

on them. The traditional Chinese calendar year is equated with its 

corresponding Western year, though the two do not exactly coincide. 

Thus 1525, for example, refers to the fourth year of the Chia-ching 

period. In China when a person is said to be fifty, for instance, it means 

he is in his fiftieth calendar year. I have followed this custom in referring 

to age. 

xii

••• ACKNOWLEDGMENTS ••• 

IT IS DIFFICULT to say when the preparation of this book began. In 

1948-1949 I was awarded a Guggenheim Fellowship to prepare an anthology 

on Neo-Confucianism. Part of the material has gone into Sources 

of Chinese Tradition which was compiled by Wm. Theodore de Bary, 

Burton Watson, and myself and published by Columbia University 

Press. The entire material now forms part of this book. More work was 

done in 1955-1956 under a grant from the Rockefeller Foundation. Both 

Dr. Henry Alien Moe, Vice-President and Secretary-General of the John 

Simon Guggenheim Memorial Foundation, and Dr. Charles B. Fahs, 

former Director for the Humanities of the Rockefeller Foundation, have 

shown great interest and given strong encouragement, for which I am 

thankful. 

I wish also to thank the Harvard-Yenching Library and its Librarian, 

Dr. K'ai-ming A. Ch'iu, the East Asiatic Library of Columbia University 

and its Librarian, Mr. Howard P. Linton, the staff of Baker Library, 

especially its Reference Division, of Dartmouth College, and Miss 

Naomi Fukuda, Librarian of the International House of Japan, who has 

been most helpful in locating and microfilming Japanese works for me. 

The Ford Foundation, The Hazen Foundation, The Guggenheim Foundation, 

and The McInerny Foundation have generously made grants 

toward the publication of this book. I am deeply grateful to them. Needless 

to say, they are neither sponsors of the book nor responsible for its 

opinions, but their interest in promoting the study of Chinese philosophy 

is extremely encouraging. I am also grateful to the American Council 

of Learned Societies and the Social Science Research Council for a 

research grant in 1959 as well as to Dartmouth College for financial aid 

in preparing this book. To Columbia University Press I express my appreciation 

for its kind permission to use certain translations which I contributed 

to two of its publications, Sources of Chinese Tradition, already 

mentioned, and Instructions for Practical Living, and Other Neo-Confucian 

Writings by Wang Yang-ming, translated by myself. These translations 

form small parts of present chapters 19, 24, 26, 28-35. I have 

made some changes in them. Many friends have been keenly interested 

in this work and have provided much inspiration. I particularly appreciate 

the encouragement of Professor Edwin A. Burtt of Cornell University 

and Professor Alban G. Widgery of Duke University. My colleague 

Professor Arthur Dewing, whom I have interrupted many a 

time, has been most patient and sympathetic in answering my queries on 

English usage. Professor Kenneth K. S. Ch'en of Princeton University 

has given me valuable help on many Sanskrit words, as have Professor 

xiii

ACKNOWLEDGMENTS 

Yuen Ren Chao of the University of California, Professor Tien-yi Li of 

Yale, and Professors William Hung and Lien-sheng Yang of Harvard on 

certain Chinese words and expressions. Mrs. Alice W. Weymouth 

was most helpful in typing the manuscript, which I sincerely appreciate. 

To Princeton University Press and its Director and Editor, Mr. Herbert 

S. Bailey, Jr., I wish to express my thanks for their generous aid and 

effort in the publication of this work, including a substantial contribution 

from the Press's university press publication fund. Mrs. James Holly 

Hanford, of Princeton University Press, has given me great help on 

the arrangement and literary expression of the work. 

Above all I am forever indebted to two people. One is my wife. She 

has given me wholehearted support and in her many unselfish ways has 

helped to make this work possible. The other is my friend and former 

colleague Dr. Charles A. Moore of the University of Hawaii, who has 

kindly written the Foreword. Without him this book would not have 

been published and probably not even written. In fact, the project was 

started by us together. We had originally planned a one-volume source 

book on Asian philosophy and actually did much work on it. It was later 

found, however, that separate volumes on the several Asian philosophical 

traditions were necessary. The result has been A Source Book in Indian 

Philosophy by Dr. S. Radhakrishnan and Dr. Moore, Princeton University 

Press, 1957, and now this anthology. 

Dartmouth College WING-TSIT CHAN 

January 1963

CHRONOLOGY OF DYNASTIES

CHRONOLOGY OF PHILOSOPHERS 

xvi

C O N T E M P O R A R Y P E R I O D


CONTENTS 

Foreword vii 

Preface ix 

Acknowledgments xiii 

Chronology of Dynasties xv 

Chronology of Philosophers xvi 

Abbreviations and Abridgments 2 

1. The Growth of Humanism 3 

Introduction, 3; 1. Ancestors and the Lord on High, 5; 

2. The Mandate of Heaven, Ancestors, and Virtue, 6; 

3. The "Great Norm," 8; 4. Spirits, the Soul, and Immortality, 

11 

2. The Humanism of Confucius* 14 

Introduction, 14; Selections from the Analects, 18 

3. Idealistic Confucianism: Mencius* 49 

Introduction, 49; The Book of Mencius: Book 6, Part 

1, 51; Additional Selections, 60 

4. Moral and Social Programs: The Great Learning 84 

Introduction, 84; The Great Learning, 85 

5. Spiritual Dimensions: The Doctrine of the Mean* 95 

Introduction, 95; The Doctrine of the Mean, 97 

6. Naturalistic Confucianism: Hsün Tzu 115 

Introduction, 115; 1. "On Nature," 116; 2. "On the 

Rectification of Names," 124; 3. "The Nature of Man 

is Evil," 128 

7. The Natural Way of Lao Tzu* 136 

Introduction, 136; The Lao Tzu (Tao-te ching), 139 

8. The Mystical Way of Chuang Tzu 177 

Introduction, 177; A. "The Equality of Things," 179; 

B. "The Great Teacher," 191; C. Additional Selections: 

* An analytical content is found at the end of the Introduction to the chapter. 

xix

CONTENTS 

1. The Nature and Reality of Tao, 202; 2. Tao Everywhere, 

203; 3. Constant Flux, 203; 4. Evolution, 204; 

5. Tao as Transformation and One, 204; 6. Nature vs. 

Man, 205; 7. Calmness of Mind, 207; 8. Sageliness and 

Kingliness, 208; 9. The Equality of Life and Death, 209; 

10. Subjectivity, 209; 11. The Inner Spirit, 210 

9. Mo Tzu's Doctrines of Universal Love, Heaven, 

and Social Welfare 211 

Introduction, 211; A. "Universal Love, Pt. 2," 213; 

B. "The Will of Heaven, Pt. 1," 217; C. "Attack on 

Fatalism, Pt. 1," 221; D. Additional Selections: 1. 

Utilitarianism, 226; 2. The Condemnation of War, 227; 

3. The Condemnation of Wasteful Musical Activities, 

227; 4. The Condemnation of Elaborate Funerals, 228; 

5. Elevating the Worthy to Government Positions, 229; 

6. Agreement with the Superior, 230 

10. Debates on Metaphysical Concepts: The Logicians 232 

Introduction, 232; A. The Paradoxes of Hui Shih and 

the Debaters, 233; B. The Kung-sun Lung Tzu: 1. "On 

the White Horse," 235; 2. "On Marks (chih) and 

Things," 237; 3. "On the Explanation of Change," 238; 

4. "On Hardness and Whiteness," 240; 5. "On Names 

and Actuality," 243 

11. The Yin Yang School 244 

Introduction, 244; 1. Tsou Yen, 246; 2. Yin and Yang, 

248; 3. The Five Agents, 249 

12. Legalism 251 

Introduction, 251; 1. The Synthesis of Legalistic Doctrine, 

252; 2. Interpretations of Tao, 260 

13. The Philosophy of Change 262 

Introduction, 262; 1. Selections from the Commentaries, 

264; 2. Selections from the "Appended Remarks," Pt. 

1, 265; 3. Selections from the "Appended Remarks," Pt. 

2, 268; 4. Selections from "Remarks on Certain Trigrams," 

269 

14. Yin Yang Confucianism: Tung Chung-shu 271 

Introduction, 271; A. The Profound Examination of 

Names and Appellations," 273; B. "The Meaning of the 

xx

CONTENTS 

Five Agents," 279; C. "The Correspondence of Man and 

the Numerical Categories of Heaven," 280; D. "Things 

of the Same Kind Activate Each Other," 282; E. Additional 

Selections: 1. The Origin (Yüan), 284; 2. Humanity 

and Righteousness, 285; 3. Humanity and 

Wisdom, 286; 4. Historical Cycles, 287 

15. Taoistic Confucianism: Yang Hsiung 289 

Introduction, 289; Selections, 289 

16. The Naturalism of Wang Ch'ung 292 

Introduction, 292; A. "On Original Nature," 293; B. 

"On Spontaneity," 296; C. "A Treatise on Death," 299; 

D. Additional Selections: 1. Accident vs. Necessity, 302; 

2. Strange Phenomena, 303; 3. Fate, 303; 4. The Equality 

of Past and Present, 304 

17. The Taoism of Huai-nan Tzu 305 

Introduction, 305; 1. The Nature of Tao, 305; 2. The 

Beginning of Reality, 306; 3. Centrifugal Cosmogony, 307 

18. Negative Taoism in the Lieh Tzu 

and the "Yang Chu Chapter" 309 

Introduction, 309; A. The "Yang Chu Chapter," 310; 

B. The Lieh Tzu: 1. Skepticism, 311; 2. Fatalism, 312 

19. Neo-Taoism 314 

Introduction, 314; 1. Wang Pi's Simple Exemplifications 

of the Principles of the Book of Changes, 318; 2. Wang 

Pi's Commentary on the Book of Changes, 320; 3. Wang 

Pi's Commentary on the Lao Tzu, 321; 4. Ho Yen's 

Treatise on Tao, 324; 5. Ho Yen's Treatise on the Nameless, 

324; 6. Kuo Hsiang's Commentary on the Chuang 

Tzu, 326* 

20. The Seven Early Buddhist Schools 336 


21. Seng-chao's Doctrine of Reality 343 

Introduction, 343; 1. "The Immutability of Things," 

344; 2. "The Emptiness of the Unreal," 350 

xxi

CONTENTS 

22. The Philosophy of Emptiness: 

Chi-tsang of the Three-Treatise School 357 

Introduction, 357; 1. The Two Levels of Truth, 360; 

2. Causes and Effects, 361; 3. The Four Subsidiary 

Causes, 364; 4. Existence, Nonexistence, and Emptiness, 

365; 5. Substance and Function, 368 

23. Buddhist Idealism: 

Hsüan-tsang of the Consciousness-Only School 370 

Introduction, 370; 1. The Nonexistence of the Self, 374; 

2. The Nonexistence of Dharmas, 377; 3. The First 

Transformation of Consciousness, 379; 4. The Second 

Transformation of Consciousness, 383; 5. The Third 

Transformation of Consciousness, 384; 6. Consciousness-Only, 

386; 7. Nine Objections to the Consciousness- 

Only Doctrine and Their Answers, 387; 8. The Three 

Natures of Being, Three Natures of Non-being, and 

Thusness, 393 

24. The T'ien-t'ai Philosophy of Perfect Harmony 396 

Introduction, 396; 1. The Various Aspects of the Mind, 

398; 2. Three Ages as an Instant; Substance and Function, 

403; 3. The Function of Concentration and Insight, 

404 

25. The One-and-All Philosophy: 

Fa-tsang of the Hua-yen School 406 

Introduction, 406; A. Treatise on the Golden Lion, 409; 

B. Hundred Gates to the Sea of Ideas of the Flowery 

Splendor Scripture: 1. "All that Come Into Existence 

Through Causation End Together in Quiescence," 414; 

2. "Harmonious Combination and Spontaneity," 420 

26. The Zen (Ch'an) School of Sudden Enlightenment 425 

Introduction, 425; A. The Platform Scripture, 430; B. 

The Recorded Conversations of Shen-hui, 440; C. The 

Recorded Conversations of Zen Master I-hsüan, 444 

27. The Revival of Confucianism: Han Yü and Li Ao 450 

Introduction, 450; 1. An Inquiry on Human Nature, 451; 

2. An Inquiry on the Way (Tao), 454; 3. The Recovery 

of the Nature, 456 

xxii

CONTENTS 

28. The Neo-Confucian Metaphysics 

and Ethics in Chou Tun-i* 460 

Introduction, 460; 1. An Explanation of the Diagram 

of the Great Ultimate, 463; 2. Penetrating the Book of 

Changes, 465 

29. The Numerical and Objective Tendencies in Shao Yung* 481 

Introduction, 481; Supreme Principles Governing the 

World, 484 

30. Chang Tsai's Philosophy of Material Force* 495 

Introduction, 495; A. The Western Inscription, 497; B. 

Correcting Youthful Ignorance: 1. "Great Harmony," 

500; 2. "Enlightenment Resulting from Sincerity," 507; 

C. Additional Selections, 514 

31. The Idealistic Tendency in Ch'eng Hao* 518 

Introduction, 518; 1. "On Understanding the Nature of 

Jen (Humanity)," 523; 2. "Reply to Master Heng-ch'ü's 

Letter on Calming Human Nature," 525; 3. Selected 

Sayings, 527 

32. The Rationalistic Tendency in Ch'eng I* 544 

Introduction, 544; 1. "A Treatise on What Yen Tzu 

Loved to Learn," 547; 2. "Letter in Reply to Yang Shih's 

Letter on the Western Inscription," 550; 3. Selected 

Sayings, 551 

33. The Unity of Mind and Principle in Lu Hsiang-shan* 572 


34. The Great Synthesis in Chu Hsi* 588 

Introduction, 588; A. Treatises: 1. "A Treatise on Jen," 

593; 2. "A Treatise on Ch'eng Ming-tao's Discourse on 

the Nature," 597; 3. "First Letter to the Gentlemen of 

Hunan on Equilibrium and Harmony," 600; 4. "A 

Treatise on the Examination of the Mind," 602; B. The 

Complete Works: 1. Moral Cultivation, 605; 2. The 

Relation between the Nature of Man and Things and 

Their Destiny, 612; 3. The Nature of Man and Things, 

614; 4. The Nature of Man and the Nature of Things 

Compared, 620; 5. Physical Nature, 623; 6. Destiny, 

626; 7. The Mind, 628; 8. The Mind, the Nature, and 

xxiii

CONTENTS 

the Feelings, 630; 9. Jen, 632; 10. Principle (Li) and Material 

Force (Ch'i), 634; 11. The Great Ultimate, 638; 

12. Heaven and Earth, 641; 13. Spiritual Beings and 

Spiritual Forces, 643; 14. Buddhism, 646 

35. Dynamic Idealism in Wang Yang-ming* 654 

Introduction, 654; A. Inquiry on the Great Learning, 

659; B. Instructions for Practical Living, 667 

36. The Materialism of Wang Fu-chih 692 

Introduction, 692; 1. The World of Concrete Things, 

694; 2. Substance and Function, 696; 3. Being and Nonbeing, 

697; 4. Principle and Material Force, 697; 5. 

Unceasing Growth and Man's Nature and Destiny, 698; 

6. The Principle of Nature and Human Desires, 700; 

7. History and Government, 701 

37. Practical Confucianism in Yen Yüan 703 

Introduction, 703; 1. In Defense of Physical Nature, 

704; 2. The Identity of Principle and Material Force, 

707; 3. Learning through Experience, 707 

38. Tai Chen's Philosophy of Principle as Order 709 

Introduction, 709; 1. On Principle (Li), 711; 2. On 

Nature, 717; 3. On Capacity, 719; 4. On Humanity, 

Righteousness, Propriety, and Wisdom, 719; 5. On the 

Variety of Circumstances, 720 

39. K'ang Yu-wei's Philosophy of Great Unity 723 

Introduction, 723; 1. The Three Ages, 725; 2. Confucius' 

Institutional Reforms, 727; 3. The Mind that Cannot 

Bear to See the Suffering of Others, 729; 4. The Age of 

Great Unity, 730; 5. Humanity, 734 

40. The Philosophy of Humanity (Jen) in T'an Ssu-t'ung 737 

Introduction, 737; 1. Ether and Humanity, 738; 2. The 

Principle of Nature and Human Desires, 740; 3. Neither 

Production nor Extinction, 741; 4. Daily Renovation, 741 

41. Chang Tung-sun's Theory of Knowledge 743 


xxiv

CONTENTS 

42. The New Rationalistic Confucianism: Fung Yu-lan 751 

Introduction, 751; 1. The World and Principle, 755; 2. 

Principle and Material Force, 757; 3. Tao, Substance and 

Function, and Universal Operation, 758; 4. Principle and 

the Nature, 760; 5. Serving Heaven and Jen (Humanity), 

761 

43. The New Idealistic Confucianism: Hsiung Shih-li 763 

Introduction, 763; 1. "Closing and Opening," 765; 2. 

The Unity of Principle and Material Force, 766; 3. The 

Mind and Humanity (Jen), 768; 4. The Unity of Substance 

and Function, 769 

44. Chinese Philosophy in Communist China 773 

Introduction, 773; 1. The Nature of the History of 

Chinese Philosophy, 776; 2. The Chinese Philosophical 

Heritage, 778; 3. Guidance for Future Developments, 780 

Appendix: On Translating Certain Chinese Philosophical Terms 783 

Bibliography 793 

A Glossary of Chinese Characters 813 

Index 833 

xxv



CHINESE PHILOSOPHY

ABBREVIATIONS AND ABRIDGMENTS 

CTTC Chu Tzu ta-ch'üan (Complete Literary Works 

of Chu Hsi), SPPY 

ECCS Erh-Ch'eng ch'üan-shu (Complete Works 

of the Two Ch'engs), SPPY 

NHCC Nan-hua chen-ching (Pure Classic of Nan-hua, 

another name for the Chuang Tzu), SPTK 

PNP Po-na pen (Choice Works Edition) 

SPPY Ssu-pu pei-yao (Essentials of the 

Four Libraries) edition 

SPTK Ssu-pu ts'ung-k'an (Four Libraries 

Series) edition 

TSD Taisho shinshu daizokyo (Taisho Edition 

of the Buddhist Canon) 

Changes The Book of Changes 

History The Book of History 

Mencius The Book of Mencius 

Odes The Book of Odes 

The Mean The Doctrine of the Mean 

Full publication facts for titles abbreviated or abridged 

in the footnotes are given in the Bibliography.

••• 1 ••• 

THE GROWTH OF HUMANISM 

IF ONE WORD could characterize the entire history of Chinese philosophy, 

that word would be humanism—not the humanism that denies or 

slights a Supreme Power, but one that professes the unity of man and 

Heaven. In this sense, humanism has dominated Chinese thought from 

the dawn of its history. 

Humanism was an outgrowth, not of speculation, but of historical 

and social change. The conquest of the Shang (1751-1112 B.C.) by the 

Chou in 1111 B.C. inaugurated a transition from tribal society to feudal. 

To consolidate the empire, the Chou challenged human ingenuity and 

ability, cultivated new trades and talents, and encouraged the development 

of experts from all levels of society. Prayers for rain were gradually 

replaced by irrigation. Ti, formerly the tribal Lord, became the God for 

all. Man and his activities were given greater importance. The time finally 

arrived when a slave became a prime minister. Humanism, in gradual 

ascendance, reached its climax in Confucius. 

Having overthrown the Shang, founders of the Chou had to justify 

their right to rule. Consequently, they developed the doctrine of the 

Mandate of Heaven, a self-existent moral law whose constant, reliable 

factor was virtue. According to this doctrine, man's destiny—both 

mortal and immortal—depended, not upon the existence of a soul before 

birth or after death nor upon the whim of a spiritual force, but upon his 

own good words and good deeds. The Chou asserted, therefore, that the 

Shang, though they had received the mandate to rule, had forfeited it 

because they failed in their duties. The mandate then passed on to the 

founders of Chou, who deserved it because of their virtue. Obviously, 

the future of the house of Chou depended upon whether future rulers 

were virtuous. 

The idea that the destiny of man or the future of a dynasty depended 

upon virtue rather than upon the pleasure of some mysterious, spiritual 

power marked a radical development from the Shang to the Chou. (Significantly, 

the term te [virtue] is not found in the oracle bones on which 

Shang ideas and events are recorded, but it is a key word in early Chou 

documents.) During the Shang, the influence of spiritual beings on man 

had been almost total, for no important thing could be done without 

first seeking their approval, but in the Chou (1111-249 B.C.) their dwelling 

places were regulated by the rulers. As the Book of Rites says, "The 

people of Yin (Shang) honor spiritual beings, serve them, and put them 

ahead of ceremonies. . . . The people of Chou honor ceremonies and 

3


highly value the conferring of favors. They serve the spiritual beings and 

respect them, but keep them at a distance. They remain near to man and 

loyal to him." 1 

Similarly, belief in the Lord underwent a radical transformation. In 

the Shang, he was the supreme anthropomorphic deity who sent blessings 

or calamities, gave protection in battles, sanctioned undertakings, and 

passed on the appointment or dismissal of officials. Such belief continued 

in the early Chou, but was gradually replaced by the concept of 

Heaven (T''ien) as the supreme spiritual reality. 2 This does not mean that 

either Heaven or spiritual beings did not continue to be highly honored 

and greatly respected. But their personal power was supplanted by 

human virtue and human effort, and man, through his moral deeds, 

could now control his own destiny. 

It was in this light that ancestors were regarded in Chou times. During 

the Shang, great ancestors were either identified with the Lord, 3 or 

considered as mediators through whom requests were made to the Lord. 

In the Chou, they were still influential but, as in the case of Heaven, their 

influence was exerted not through their power but through their moral 

example and inspiration. They were to be respected but to be kept from 

interfering with human activities. Individual and social categories were 

to be stated in moral terms according to a "Great Norm." 

The above beliefs are illustrated in the following selections. They are 

taken from the Book of History, 4 the Book of Odes, 5 the Tso chuan 

(Tso's Commentary on the Spring and Autumn Annals), 6 and the Kuo- 

1 Book of Rites, "Record of Example," pt. 2. See Legge, trans., Li Ki, vol. 1, 

p. 342. 

2 On this question, see Dubs, "The Archaic Royal Jou (Chou) Religion," 

T''oung Pao, 46 (1959), 218-259. 

3 According to Kuo Mo-jo, Ch'ing-t'ung shih-tai (The Bronze Age), 1946, pp. 

9-12, and Fu Ssu-nien, Hsing-ming ku-hsün pien-cheng (Critical Studies of the 

Classical Interpretations of the Nature and Destiny), 1940, 2:3a. 

4 The Book of History, a basic Confucian Classic, is a collection of documents 

from the time of legendary Emperor Yao (3rd millennium B.C.) to the early 

Chou. Twenty-five of the fifty-eight chapters are believed to be forgeries by Wang 

Su (195-256), Huang-fu Mi (215-282), or Mei Tse (of the Eastern Chin period, 

317-420). Of the rest, modern scholars accept only the Chou documents as 

authentic. The selections presented here are from this group. For English translation, 

see Legge, trans., Shoo King. 

5 The Book of Odes, also a basic Confucian Classic, is a collection of 305 poems, 

including songs sung in religious and early official functions and popular songs 

from the various states of early Chou times. Five are supposed to have come from 

the Shang dynasty. Tradition holds that Confucius selected these from three thousand 

prevailing songs, a belief rejected by modern scholars. It is agreed, however, that 

many of the songs had been popular and that Confucius knew them. For English 

translations, see Karlgren, trans., The Book of Odes, and Waley, trans., The Book of 

Songs. 

6 This has been traditionally attributed to Tso Ch'iu-ming, a contemporary of 

4


yü (Conversations of the States). 7 The former two contain the oldest 

material of Chinese literature. Although the latter two are much later 

works, they record events of pre-Confucian times. 

1. ANCESTORS AND THE LORD ON HIGH 

Abundant is the year, with much millet and much rice, 

And we have tall granaries, 

With hundreds of thousands and millions of units. 

We make wine and sweet spirits 

And offer them to our ancestors, male and female, 

Thus to fulfill all the rites, 

And bring down blessings to all. 

(Book of Odes, ode no. 279, "Abundant is the Year") 

Heaven produces the teeming multitude; 

As there are things, there are their specific principles (tse). 

When the people keep to their normal nature, 

They will love excellent virtue. 

Heaven, looking down upon the House of Chou 

Sees that its light reaches the people below, 8 

And to protect the Son of Heaven, 

Gave birth to Chung Shan-fu [to help him]. 9 

(ibid., ode no. 260, "The Teeming Multitude") 

Comment. Neo-Confucianists, injecting a more metaphysical sense 

into the second line of this ode, made it mean that inherent in 

every single thing there are specific principles about its being. There 

Confucius, and is regarded as a commentary on the Spring and Autumn Annals 

(Ch'un-ch'iu) which records the events of the state of Lu during the Spring and 

Autumn period (722-481 B.C.). The authorship of the Spring and Autumn Annals 

has been ascribed to Confucius, who was a native of Lu. Its records are so brief 

and often so obscure that commentaries were necessary to supply the background 

and context and to make the meanings clear. Of three commentaries, the Tso 

chuan is the standard. For English translation, see Legge, trans., The Ch'un Ts'ew, 

with The Tso Tsuen. Modern scholarship, however, holds that the Tso chuan is 

probably an independent work and was not written until the 4th century B.C. 

7 Also attributed to Tso Ch'iu-ming, though not by modern scholars, who 

believe that the work was probably edited by Liu Hsin (c. 46 B.C.-A.D. 23). However, 

they accept it as an authentic record of conversations in various states during 

the Spring and Autumn period. For French translation, see de Harlez, trans., 

"Koue-Yü," 1st pt., Journal Asiatique, vol. 9, no. 1 (1893), 373-419, no. 2 (1894), 

5-91; 2nd pt., Discours des Royaumes, 1895, pp. 1-268. 

8 The interpretation of this line varies. That of the Mao-shih cheng-i (Correct 

Meanings of the Book of Odes Transmitted by Mao) by K'ung Ying-ta (574-648) 

is followed here. 

9 Chung Shan-fu was Marquis of Fan, according to the Mao-shih cheng-i, a 

very virtuous man, whom Heaven sent out to help King Hsüan (r. 827-782 B.C.). 

5


is no doubt, however, that from very early days the Chinese believed 

that existence implies a certain principle. Significantly, the 

word tse 10 means not just principle but specific principle, though 

perhaps it did not have this meaning at the time when the poem was 

written. In any case, those who believe that, to the Chinese, reality 

is something like an undifferentiated void should revise their opinion 

in the light of this long tradition of specific principles for 

specific things. Mencius, it is to be noted, quoted this poem to support 

his theory of the originally good nature of man. 11 

2. THE MANDATE OF HEAVEN, ANCESTORS, 

AND VIRTUE 

The Mandate of Heaven, 

How beautiful and unceasing! 

Oh, how glorious 

Was the purity of King Wen's 12 virtue! 

With blessings he overwhelms us. 

We will receive the blessings. 

They are a great favor from our King Wen. 

May his descendants hold fast to them. 

(ibid., ode no. 267, "The Mandate of Heaven") 

Comment. Both Cheng Hsüan (127-200) 13 and Chu Hsi (1130- 

1200) 14 remarked that the Mandate of Heaven (T''ien-ming) means 

the "Way" or the moral order of Heaven (T'ien-tao), thus interpreting 

it in the naturalistic sense. However, in early Chou the belief 

in an anthropomorphic God was still quite strong. 

Thus Duke Chou (d. 1094 B.C.) said, "Prince Shih, 15 Heaven, without 

pity, sent down ruin on the Yin dynasty (1384-1112 B.C.). Yin having 

lost the Mandate of Heaven, we, the Chou, have received it. But I dare 

not say with certainty that our heritage will forever truly remain on the 

side of fortune. If Heaven renders sincere help, I do not dare say with 

certainty that the final end will result in misfortune. Oh! you have said, 

Prince, 'It depends on ourselves.' I also dare not rest in the Mandate of 

10 For a good discussion of the term tse, see Needham, Science and Civilization 

in China, vol. 2: History of Scientific Thought, pp. 558-562. 

11 Mencius, 6A:6. 

12 Founder of Chou (r. 1171-1122 B.C.). 

13 Quoted in Mao-shih cheng-i. 

14 See his Shih-ching chi-chu (Collected Commentaries on the Book of Odes). 

15 Name of Duke Shao (d. 1056 B.C.). Presumably this was written by Duke 

Chou to dissuade Prince Shih from retiring as chief minister to King Ch'eng 

(r. 1104-1068 B.C.). 

6


the Lord on High, forever refraining from thinking of the awe-inspiring 

power of Heaven. At the same time when the people do not complain, 

so long are there men [like you]! If our successors should prove utterly 

unable to reverence Heaven above and the people below, and so bring 

to an end the glory of their forefathers, could you, by remaining at 

home, be unaware of it? 

"The Mandate of Heaven is not easily [preserved]. Heaven is hard to 

depend on. Those who have lost the mandate did so because they could 

not practice and carry on the reverence and the brilliant virtue of their 

forefathers. As for the present, it is not that I, a little one, have a way of 

correcting our king. My way of leading him would be merely to make it 

possible to apply the glory of the forefathers to our young king." 

Duke Chou also said, "Heaven is not to be trusted. My way is 

simply to continue and extend the virtue of our peace-establishing king, 

and Heaven will not have occasion to remove the mandate received by 

King Wen. . . ." (Book of History, "Prince Shih") 

They (descendants of Yin) became subject to Chou. 

Heaven's Mandate is not constant. 

The officers of Yin were fine and alert. 

They assist at the libation in our capital. 

In their assisting in the libation, 

They always wear skirted robes and close caps [peculiar to Yin]. 

Oh, you promoted servants of the king, 

Don't you mind your ancestors! 

Don't you mind your ancestors! 

Cultivate your virtue. 

Always strive to be in harmony with Heaven's Mandate. 

Seek for yourselves the many blessings. 

Before Yin lost its army, 

Its kings were able to be counterparts to the Lord on High. 

In Yin you should see as in a mirror 

That the great mandate is not easy [to keep]. 

(Book of Odes, ode no. 235, "King Wen") 

Comment. The line "Don't you mind your ancestors" has given 

scholars a great deal of trouble. Because of the deep Chinese 

reverence for ancestors, they could not see how the advice not to 

mind the ancestors could be consonant with Confucianism. Therefore 

Legge had to drop the word "don't" ("Ever think of your 

ancestors"), 16 Karlgren had to turn it into a question ("Should 

16 Legge, trans., She King, p. 431. 

7


you not think of your ancestors?"), 17 and Waley had to interpret 

the term "to mind" to mean "shame." 18 If we realize that humanism 

was growing strong, and that the emphasis was on self-dependence 

rather than dependence on Heaven or ancestors, there is no need 

to twist the original and obvious meaning of the text to conform to 

any earlier or later custom of ancestor worship. 

The Lord on High said to King Wen: 

"I cherish your brilliant virtue, 

Which makes no great display in sound or appearance, 

Nor is changed with age. 19 

Without any manipulation or deliberation, 20 

You follow the principles of the Lord." 

(ibid., ode no. 241, "August") 

"Let the king first bring under his influence the administrators of the 

affairs of Yin and place them in the midst of the administrators of the 

affairs of our Chou. Their natures will thus be regulated, and they will 

improve daily. 

"Let the king be serious in what he does. He should not neglect to be 

serious with virtue." (Book of History, "The Announcement of Duke 

Shao") 

Comment. The emphasis on virtue necessarily raises the question 

of man's original nature. This eventually became one of the most 

persistent questions, perhaps the most persistent, in the history of 

Chinese philosophy. But the question was not specifically discussed 

until Mencius' time. Here is the earliest reference to it. Since nature 

has to be regulated, especially in the sense of restraint, the implication 

is that man's nature is originally indifferent or perhaps even 

evil, which is quite different from the later-established doctrine that 

human nature is originally good. 

3. THE "GREAT NORM" 

In the thirteenth year (1121 B.C.) the King [Wu] visited Viscount 

Chi. The King said, "Oh! Viscount Chi. Heaven, working unseen, has 

decisively made men with certain hidden springs of character, aiding 

also the harmonious development of it in their various conditions. I do 

17 The Book of Odes, p. 186. 

18 The Book of Songs, p. 186. 

19 This is a very obscure line. The interpretation here follows the Mao-shih 

cheng-i. 

20 This is the interpretation of many outstanding commentators, as pointed out 

by Ch'ü Wan-li, Shih-ching shih-i (Meanings of the Book of Odes Explained), 

1952, p. 214. 

8


not know how the various virtues and their relations should be regulated." 

21 

Viscount Chi thereupon replied, "I have heard that of old (Great 

Yü's father) Kun dammed up the flood and thereby created a chaos 

among the Five Agents. The Lord (of Heaven) was aroused to anger 

and did not give him the Great Norm with its Nine Categories. The 

various virtues and their relations declined in due course, and K'un was 

executed. Yü thereupon rose to continue the heritage. Heaven gave him 

the Great Norm with its Nine Categories. And the various virtues and 

their relations were regulated. . . . 

"The first category is the Five Agents (Five Elements); namely, 

Water, Fire, Wood, Metal, and Earth [which correspond to various 

human activities]. . . . 22 The second category is the Five Activities; 

namely, appearance, speech, seeing, hearing, and thinking. The virtue 

of appearance is respectfulness; that of speech is accordance [with 

reason]; that of seeing is clearness; that of hearing is distinctness; and 

that of thinking is penetration and profundity. Respectfulness leads to 

gravity; accordance with reason, to orderliness; clearness, to wisdom; 

distinctness, to deliberation; and penetration and profundity, to sageness 

[all of which should be cultivated by the ruler]. The third category is the 

Eight Governmental Offices; namely, those of food, commodities, sacrifices, 

public works, education, and justice, the reception of guests, and 

the army. [All these functions should be fulfilled in harmony with the 

next category.] The fourth category is the Five Arrangements of Time, 

namely, the year, the month, the day, the stars, planets, zodiacal signs, 

and the calendaric calculations. The fifth category is the Supreme Standard. 

The sovereign, having established the highest standard, gathers in 

him the Five Blessings and spreads over his people. Then the people, 

following your standard, preserve it with you. . . . 

"The sixth category is the Three Virtues; namely, correctness and 

uprightness, strong government, and weak government. In times of 

peace and tranquillity, apply correctness and uprightness; in times of 

violence and disorder, apply strong government; and in times of harmony 

and order, apply weak government. 23 Apply strong government to the 

reserved and retiring, and apply weak government to the lofty and intelligent. 

. . . The seventh category is the Examination of Doubts. Select 

21 The interpretation of this passage is based on the Shang-shu cheng-i (Correct 

Meanings of the Book of History) by K'ung Ying-ta. An alternate translation 

would be: "Heaven, working unseen, protects mankind below and helps it to 

maintain harmony in its abode. I do not know how its eternal principles of human 

relations should be regulated." 

22 This paragraph in full is found below, ch. 11, sec. 3. 

28 This interpretation also follows the Shang-shu cheng-i. 

9


and appoint officers for divination by tortoise shells and by stalks, and 

command them thus to divine. . . . The calculation of the passage of 

events is the function of experts whose duty it is to perform the divination. 

When three of them divine, follow the words of two of them. If you have 

any doubt about important matters, consult with your own conscience, 

consult with your ministers and officers, consult with the common 

people, and consult the tortoise shells and stalks. If you, the tortoise 

shells, the stalks, the ministers and officers, and the common people all 

agree, this is called a great concord. There will be welfare to your own 

person and prosperity to your descendants. The result will be auspicious. 

If you, the tortoise shells, and the stalks agree but the ministers and 

officers and the common people oppose, the result will be auspicious. If 

the ministers and officers, the tortoise shells, and the stalks agree but 

you and the common people oppose, the result will be auspicious. If 

the common people, the tortoise shells, and the stalks agree but you and 

the ministers and the officers oppose, the result will be auspicious. If you 

and the tortoise shells agree but the stalks, ministers and officers, and 

the common people oppose, internal operations will be auspicious but 

external operations will be unlucky. If both the tortoise shells and stalks 

oppose the views of men, inactivity will be auspicious but active operations 

will be unlucky. 

"The eighth category is the General Verifications [that is, checking 

governmental measures against natural phenomena], namely, rain, sunshine, 

heat, cold, wind, and seasonableness [corresponding to the Five 

Agents]. When the five all come and are complete, and each in its 

proper order, even the common grain will be luxuriant. . . . The ninth 

category is the Five Blessings, namely, longevity, wealth, physical and 

mental health, cultivation of excellent virtue, and an end crowning a 

good life. 

"Negatively, these are the Six Extremities [a punishment for evil conduct]; 

namely, premature death, sickness, sorrow, poverty, wickedness, 

and weakness." (Book of History, "Great Norm") 

Comment. This document is important for two reasons. One is that 

it contains the doctrine of the Five Agents (which will be dealt with 

later). The other is that it encompasses early Chinese ideas about 

the interrelationship of nature (categories nos. 1, 5, 8), the cultivation 

of personal life (nos. 2 and 6), government (nos. 3, 4, 6), 

retribution (no. 9), and a central principle, the Supreme Standard 

(no. 5). Heaven, Earth, and man are correlated, preparing for the 

later development of the doctrine of the unity of man and Nature 

that was to dominate the course of Chinese history. Some scholars 

10


think that this document is much later than the twelfth century B.C., 

but concrete proof is lacking. Besides, its spirit is perfectly consonant 

with that of the songs of Early Chou, that is, that the power 

of Heaven is recognized, but the deciding factor is human virtue. 

4. SPIRITS, THE SOUL, AND IMMORTALITY 

In the fifteenth year (of King Hui, 662 B.C.), a spiritual being descended, 

and appeared in Hsin. The Bang asked his minister Kuo, saying, 

"Why is this? Is there such a thing?" 

Kuo replied, "Yes. When a state is about to rise, its ruler is solemn, illustrious, 

sincere, and correct. He is discriminating, pure, kind, and 

affable. His virtue is sufficient to make his fragrant offerings manifest, 

and his kindness is sufficient to unify the people. As the spiritual beings 

enjoy his offerings and the people listen to him, neither the people nor the 

spiritual beings have any complaint. Therefore brilliant spiritual beings 

descend in his state, see the evidence of the virtue of the government, 

and spread blessings everywhere. When the state is about to perish, its 

ruler is greedy, reckless, depraved, and perverted. He is lewd, indolent, 

negligent, and lazy. He is vulgar and cruel. Because his government has 

a disgusting odor, his offerings do not rise [to reach the spiritual beings]. 

And because his punishments are imposed on the basis of treachery and 

slander, his people desert him and divert their loyalty elsewhere. The 

brilliant spiritual beings no longer give him purification, and his people 

want to leave him. 24 Both the people and the spiritual beings blame him 

and hate him, and there is nothing in him for them to cling to. The spiritual 

beings likewise go to such a state, see the evidence of oppression and 

evil, and send down calamity." (Kuo-yü or Conversations of the States, 

SPPY, 1:11a-12b) 

The Marquis of Chin again (in 655 B.C.) borrowed a way through 

Yü to attack Kuo. (Great Officer) Kung Chih-ch'i remonstrated with 

him. . . . The marquis said, "My sacrificial offerings have been abundant 

and pure. Spiritual beings will comfort me." 25 

Kung Chih-ch'i replied, "I have heard that spiritual beings are not 

endeared to man as such but cleave only to virtue. Therefore it is said in 

the 'Book of Chou' that 'August Heaven has no affections; it helps only 

the virtuous.' 26 It further says, 'It is not the millet that has the fragrance 

[which attracts the spiritual beings]. Illustrious virtue alone has the 

24 According to the commentary by Wei Chao (of the Wu period, 222-280), to 

rebel against him. 

25 According to the Ch'un-ch'iu Tso chuan cheng-i (Correct Meanings of Tso's 

Commentary on the Spring and Autumn Annals) by K'ung Ying-ta, chü here 

means to comfort. 

26 History, "Charge to Chung of Ts'ai." Cf. Legge, Shoo King, p. 490. 

11


fragrance.' 27 It also says, 'People have not slighted the things, but it is 

virtue that makes things acceptable.' 28 Therefore if a ruler acts against 

virtue, his people will not be attached to him and spiritual beings will 

not accept his offerings. It is virtue that the spiritual beings will adhere 

to." (Tso chuan, Tso's Commentary on the Spring and Autumn Annals, 

Duke Hsi, 5th year) 

[In 535 B.C.] the people of Cheng frightened one another about Po-yu 

[who was a drunkard], 29 crying, "Po-yu has arrived." They all ran off, 

not knowing where they were going. In the second month of the year 

when the criminal code was cast, someone dreamed that Po-yu walked 

by him in armor and said, "In the year jen-tzu I will kill Tai and the 

next year, the year jen-yin, I will kill Tuan. When Ssu Tai did die in the 

year jen-tzu, the terror of the people increased. Then when in the year 

jen-yin, in the month that the Ch'i and Yen states made peace, Kung-sun 

Tuan died, the terror of the people increased further. It did not stop 

until the next month when [Prime Minister] Tzu-ch'an appointed Kungsun 

Hsieh and [Po-yu's son] Liang-chih [as successors to their fathers] 

in order to pacify them. Tzu Ta-shu asked him for the reason. Tzu-ch'an 

replied, "When spiritual beings have a place to return to, they will not 

become malicious. I have given them a place to return to. . . ." 

When Tzu-ch'an went to Chin, Chao Ching Tzu asked him, "Can even 

Po-yu become a spiritual being?" Tzu-ch'an answered, "Yes, he could. 

In man's life the first transformations are called the earthly aspect of 

the soul (p'o). After p'o has been produced, that which is strong and 

positive is called the heavenly aspect of the soul (hun) . 30 If he had an 

abundance in the use of material things and subtle essentials, his hun 

and p'o will become strong. From this are developed essence and understanding 

until there are spirit and intelligence. When an ordinary man or 

woman dies a violent death, the hun and p'o are still able to keep hanging 

about men and do evil and malicious things. How much more would 

be the case of Po-yu, a descendant of Duke Mu (r. 659-619 B.C.), the 

grandson of Tzu-liang, the son of Tzu-erh, all ministers of our state, 

engaged in government for three generations! Cheng is not a great state 

but a small, insignificant one; nevertheless, because his family had administered 

the government for three generations, his use of material 

things must have been extensive and his enjoyment of subtle essentials 

27 ibid., "Prince Ch'en," Legge, p. 539. 

28 ibid., "Hounds of Lü," Legge, pp. 347-348. 

29 For an account of him, see Tso chuan, Duke Hsiang, 30th year. Cf. Legge, 

The Ch'un Ch'ew, with The Tso Tsuen, p. 557. 

30 As generally understood, hun is the spirit of man's vital force which is expressed 

in man's intelligence and power of breathing, whereas p'o is the spirit of 

man's physical nature which is expressed in bodily movements. 

12


abundant. Furthermore, his clan is large and there was much to which 

he could cling. Is it not proper that having died a violent death he 

should become a spiritual being?" (ibid., Duke Chao, 7th year) 

In the spring of the twenty-fourth year (of Duke Hsiang, 546 B.C.), 

Mu-shu (great officer of Lu) went to Chin. Fan Hsüan Tzu met him, 

saying, "The ancients had the saying 'Dead but immortal.' What does it 

mean?" 

Before Mu-shu replied, Hsüan Tzu went on to say, "Anciently, the 

ancestors of our Fan family, from the time of Emperor Shun (3rd millennium 

B.C.) and earlier, were the Princes of T'ao and T'ang. In the 

time of Hsia (2183-1752 B.C.?), their ancestors were the lords of Yülung. 

In the time of Shang, they were the lords of Shih-wei. And in the 

beginning of Chou, they were the lords of T'ang and Tu. Now Chin has 

achieved the control of the great alliance and become the lords of Fan. 

Is this [unbroken heritage] what is meant by immortality?" 

Mu-shu said, "According to what I have heard, this is called hereditary 

rank and emolument, not immortality. There was a former great officer 

of Lu by the name of Tsang Wen-chung. After his death his words remain 

established. This is what the ancient saying means. I have heard 

that the best course is to establish virtue, the next best is to establish 

achievement, and still the next best is to establish words. When these 

are not abandoned with time, it may be called immortality. As to the 

preservation of the family name and bestowment of membership in the 

clan branch in order to preserve ancestral sacrifices uninterrupted from 

age to age, no state is without these practices. But even those with great 

emolument cannot be said to be immortal." (ibid., Duke Hsiang, 24th 

year) 

Comment. Chinese belief in the immortality of influence has not 

changed since ancient times, and is still the conviction of educated 

Chinese. It is remarkable that a simple and casual utterance made 

when Confucius was only a child of three should have remained 

an unalterable conviction for the Chinese for 2,500 years. 

13

••• 2 ••• 

THE HUMANISM OF CONFUCIUS 

CONFUCIUS (551-479 B.C.) can truly be said to have molded Chinese 

civilization in general. It may seem far-fetched, however, to say that 

he molded Chinese philosophy in particular—that he determined the 

direction or established the pattern of later Chinese philosophical developments—yet 

there is more truth in the statement than is usually 

realized. 

Neo-Confucianism, the full flowering of Chinese thought, developed 

during the last eight hundred years. Its major topics of debate, especially 

in the Sung (960-1279) and Ming (1368-1644) periods, are the nature 

and principle (li) of man and things. (For this reason it is called the 

School of Nature and Principle, or Hsing-li hsüeh.) Supplementary to 

these topics are the problems of material force, (ch'i); yin and yang (passive 

and active cosmic forces or elements); T'ai-chi (Great Ultimate); 

being and non-being; substance and function; and the unity of Nature 

and man. Confucius had nothing to do with these problems, and never 

discussed them. In fact, the words li, yin, yang, and t'ai-chi are not found 

in the Lun-yü (Discourses or Analects). The word ch'i appears several 

times, but is not used in the sense of material force. 1 And Confucius' 

pupils said that they could not hear the Master's views on human nature 

and the Way of Heaven. 2 He did not talk about human nature except 

once, when he said that "by nature men are alike. Through practice 

they have become far apart," 3 but the theory is entirely different from the 

later orthodox doctrine of the Confucian school that human nature is 

originally good. 

The present discussion is based on the Analects, which is generally accepted 

as the most reliable source of Confucius' doctrines. The subject 

of "the investigation of things" originated in the Great Learning and most 

of the other topics are mentioned in the Book of Changes. 4 But these 

two Classics are not generally regarded as Confucius' own works. Furthermore, 

even if they were, the subjects are only briefly mentioned 

without elaboration. It is correct then to say that the Neo-Confucianists 

drew their inspiration from them or made use of them to support their 

1 Analects, 8:4; 10:4 and 8; 16:7. In the rest of this introduction, references to 

the Analects are given only in specific cases. For references on general subjects, 

see the analytical list at the end of this introduction. For discussion of the Analects, 

see below, n.11. 

2 Analects, 5:12. 3 ibid., 17:2. 

4 For these Classics, see below, ch. 4, n.5, and ch. 13, n.l. 

14


own ideas, but it would be going too far to suggest that they provided an 

outline or framework for later Chinese philosophy. 

However, judging on the basis of the Analects alone, we find that Confucius 

exerted great influence on Chinese philosophical development in 

that, first of all, he determined its outstanding characteristic, namely, 

humanism. 

As pointed out in the previous chapter, the humanistic tendency had 

been in evidence long before his time. But it was Confucius who turned 

it into the strongest driving force in Chinese philosophy. He did not care 

to talk about spiritual beings or even about life after death. Instead, 

believing that man "can make the Way (Tao) great," and not that "the 

Way can make man great," 5 he concentrated on man. His primary concern 

was a good society based on good government and harmonious 

human relations. To this end he advocated a good government that rules 

by virtue and moral example rather than by punishment or force. His 

criterion for goodness was righteousness as opposed to profit. For the 

family, he particularly stressed filial piety and for society in general, 

proper conduct or li (propriety, rites). 

More specifically, he believed in the perfectibility of all men, and in 

this connection he radically modified a traditional concept, that of the 

chün-tzu, or superior man. Literally "son of the ruler," it came to acquire 

the meaning of "superior man," on the theory that nobility was a quality 

determined by status, more particularly a hereditary position. The term 

appears 107 times in the Analects. In some cases it refers to the ruler. 

In most cases, however, Confucius used it to denote a morally superior 

man. In other words, to him nobility was no longer a matter of blood, 

but of character—a concept that amounted to social revolution. Perhaps 

it is more correct to say that it was an evolution, but certainly it was Confucius 

who firmly established the new concept. His repeated mention of 

sage-emperors Yao and Shun and Duke Chou 6 as models seems to suggest 

that he was looking back to the past. Be that as it may, he was looking 

to ideal men rather than to a supernatural being for inspiration. 

Not only did Confucius give Chinese philosophy its humanistic foundation, 

but he also formulated some of its fundamental concepts, five of 

which will be briefly commented on here: the rectification of names, the 

Mean, the Way, Heaven, and jen (humanity). In insisting on the rectification 

of names, Confucius was advocating not only the establishment 

of a social order in which names and ranks are properly regulated, but 

also the correspondence of words and action, or in its more philosophical 

5 Analects, 15:28. 

6 Yao was a legendary ruler of the 3rd millennium B.C. Shun was his successor. 

Duke Chou (d. 1094) helped the founder of the Chou dynasty to consolidate the 

empire and establish the foundations of Chinese culture. 

15


aspect, the correspondence of name and actuality. This has been a perennial 

theme in the Confucian school, as well as in nearly all other schools. 

By the Mean, Confucius did not have in mind merely moderation, but that 

which is central and balanced. This, too, has been a cardinal idea in Chinese 

thought. In a real sense, the later Neo-Confucian ideas of the harmony 

of yin and yang and that of substance and function did not go 

beyond this concept. In his interpretation of Heaven, he departed from 

traditional belief even more radically. Up to the time of Confucius, the 

Supreme Power was called Ti (the Lord) or Shang-ti (the Lord on High) 

and was understood in an anthropomorphic sense. Confucius never spoke 

of Ti. Instead, he often spoke of T'ien (Heaven). To be sure, his Heaven 

is purposive and is the master of all things. He repeatedly referred to the 

T'ien-ming, the Mandate, will, or order of Heaven. However, with him 

Heaven is no longer the greatest of all spiritual beings who rules in a 

personal manner but a Supreme Being who only reigns, leaving his Moral 

Law to operate by itself. This is the Way according to which civilization 

should develop and men should behave. It is the Way of Heaven (T 'ientao), 

later called the Principle of Heaven or Nature (T'ien-li). 

Most important of all, he evolved the new concept of jen which was to 

become central in Chinese philosophy. All later discussions on principle 

and material force may be said to serve the purpose of helping man to 

realize jen. 7 The word jen is not found in the oracle bones. It is found 

only occasionally in pre-Confucian texts, and in all these cases it denotes 

the particular virtue of kindness, more especially the kindness of a ruler 

to his subjects. In Confucius, however, all this is greatly changed. In the 

first place, Confucius made jen the main theme of his conversations. In 

the Analects fifty-eight of 499 chapters are devoted to the discussion of 

jen, and the word appears 105 times. No other subject, not even filial 

piety, engaged so much attention of the Master and his disciples. Furthermore, 

instead of perpetuating the ancient understanding of jen as a particular 

virtue, he transformed it into general virtue. It is true that in a 

few cases jen is still used by Confucius as a particular virtue, in the sense 

of benevolence. But in most cases, to Confucius the man of jen is the 

perfect man. He is the true chün-tzu. He is a man of the golden rule, for, 

"wishing to establish his own character, he also establishes the character 

of others, and wishing to be prominent himself, he also helps others to 

be prominent." 8 In these balanced and harmonized aspects of the self 

and society, jen is expressed in terms of chung and shu, or conscientious- 

7 For this concept, see Chan, "The Evolution of the Confucian Concept Jen," 

Philosophy East and West, 4 (1955), 295-319; also, see below, comment on 

Analects 12:22, and comments on the following: ch. 30, A; ch. 31, secs. 1, 11; 

ch. 32, sec. 42; ch. 34, A, treatise 1. 


16


ness and altruism, which is the "one thread" running through Confucius' 

teachings, and which is in essence the golden mean as well as the golden 

rule. It was the extension of this idea of jen that became the Neo-Confucian 

doctrine of man's forming one body with Heaven, or the unity of 

man and Nature, and it was because of the character of jen in man that 

later Confucianists have adhered to the theory of the original good nature 

of man. 

It is clear, therefore, that Confucius was a creator as well as a transmitter. 

He was not a philosopher in a technical sense, but Chinese philosophy 

would be quite different if he had not lived. He was born in 551 

(or 552) B.C. in the state of Lu in modern Shantung. His family name 

was K'ung, private name Ch'iu, and he has been traditionally honored as 

Grand Master K'ung (K'ung Fu-tzu, hence the Latinized form Confucius). 

He was a descendant of a noble but fairly poor family. His 

father died when Confucius was probably three years old. Evidently a 

self-made man, he studied under no particular teacher but became perhaps 

the most learned man of his time. 

He began his career in his twenties or thirties. He was the first person 

in Chinese history to devote his whole life, almost exclusively, to teaching. 

He sought to inaugurate private education, to open the door of education 

to all, to offer education for training character instead of for vocation, 

and to gather around him a group of gentlemen-scholars (thus 

starting the institution of the literati who have dominated Chinese history 

and society). 

In his younger years Confucius had served in minor posts in Lu. At 

fifty-one he was made a magistrate, and became minister of justice the 

same year, perhaps serving as an assistant minister of public works in between. 

At fifty-six, finding his superiors uninterested in his policies, he 

set out to travel (for almost thirteen years) in a desperate attempt at 

political and social reform. He took some of his pupils along with him. 

Eventually disappointed, he returned, at the age of sixty-eight, to his own 

state to teach and perhaps to write and edit the Classics. According to the 

Shih chi (Records of the Historian), 9 he had three thousand pupils, 

seventy-two of whom mastered the "six arts." 10 He died at the age of 

seventy-three. 

9 These accounts are found in the first-and still the standard-biography of 

Confucius, ch. 47 of the Shih chi. See French translation by Chavannes, Les 

mémoires historiques, vol. 5, pp. 299-300, 391-403, 420; or English translation by 

Lin Yutang, The Wisdom of Confucius, pp. 57, 88-91, 95. 

10 Traditionally believed to refer to the Six Classics, i.e., the Books of History, 

Odes, Changes, Rites, and Music, and the Spring and Autumn Annals. The Book 

of Music is now lost. For three of the others, see above, ch. 1, nn.4-6. The "six 

17


Many Chinese scholars, especially in the last several decades, have 

debated such questions as whether he actually made a trip some time in 

his forties to see Lao Tzu to inquire about ancient rites and ceremonies, 

whether he wrote the Ch'un-ch'iu (Spring and Autumn Annals), edited 

the other ancient Classics, and wrote the "ten wings" or commentaries of 

one of them, namely, the Book of Changes. After having once rejected 

these claims, many scholars are now inclined to believe them. The controversy 

has by no means ended. At the same time, the fact that the 

Analects is the most reliable source of Confucius' teachings is accepted 

by practically all scholars. For this reason, the following selections are 

made entirely from this book. 

Ceremonies and Music: 1:12; 2:5; 3:3-4, 17, 19; 6:25; 8:8 

Confucius: 2:4; 5:25; 6:26; 7:1, 2, 7, 8, 16, 18-20, 37; 9:1, 4; 10:9, 14; 

14:30, 37, 41; 18:6; 19:24 

Education and Learning: 1:1, 6, 8, 14; 2:11, 15; 6:25; 7:7, 2, 24; 15:38; 

16:9; 17:8; 19:6 

Filial piety: 1:2, 6, 11; 2:5, 7; 4:18, 19, 21 

Government: 2:1, 3; 3:19; 8:9, 14; 12:7, 11, 17, 19; 13:3, 6, 16, 29, 30; 

14:45; 15:4; 16:1 

Heaven, Spirits, Destiny: 2:4; 3:12, 13; 5:12; 6:20, 26; 7:20, 22, 34; 9:1, 5, 

6; 11:8, 11; 12:5; 14:37; 16:8; 17:19 

Humanism: 6:20; 10:12; 11:11; 12:22; 15:28; 18:6 

Humanity (jen): 1:2, 3, 6; 3:3; 4:2-6; 6:20, 21, 28; 7:6, 29; 8:7; 12:1, 2, 

22; 13:19, 27; 14:30; 15:8, 32, 35; 17:6, 8; 19:6 

Knowledge and Wisdom: 2:17, 18; 4:2; 6:18, 20, 21; 7:27; 12:22; 14:30; 

15:32; 16:9 

Literature and Art: 1:15; 6:25; 7:6; 8:8; 9:5; 15:40; 17:9 

Love and Golden rule: 4:2, 15; 5:11; 6:28; 12:2, 5; 14:36, 45; 17:4 

Mean and Central thread: 4:15; 15:2 

Nature, human: 5:12; 6:17, 19; 16:9; 17:2, 3 

Rectification of names: 12:11, 17; 13:3, 6 

Righteousness: 2:24; 4:16; 13:3, 6; 15:17 

Superior man: 1:2, 8, 14; 2:11, 13; 4:5, 24; 6:16; 9:13; 13:3; 14:30; 15:17, 

20, 31; 16:8, 10; contrasted with inferior man: 2:14; 4:11, 16; 8:6; 12:16; 

13:23, 26; 14:24; 15:20; 17:23 

Virtue: 1:4, 6, 8; 4:12; 7:6; 8:5, 7, 13; 9:4; 13:18, 19; 14:33; 15:8, 17; 

16:4, 10; 17:6, 8 

Way (Tao): 4:5, 8; 7:6; 15:28, 31; 17:4 

Words and Acts: 2:13, 18; 4:24; 13:3; 14:29 

THE ANALECTS 11 

1:1. Confucius said, "Is it not a pleasure to learn and to repeat or 

practice from time to time what has been learned? Is it not delightful to 

have friends coming from afar? Is one not a superior man if he does not 

feel hurt even though he is not recognized?" 

arts" are also understood to mean ceremonies, music, archery, carriage-driving, 

writing, and mathematics. 

11 The Analects is a collection of sayings by Confucius and his pupils pertaining 

to his teachings and deeds. It was probably put together by some of his pupils and 

18


Comment. Interpretations of Confucian teachings have differed 

radically in the last 2,000 years. Generally speaking, Han (206 

B.C.-A.D. 220) scholars, represented in Ho Yen (d. 249), Lun-yü 

chi-chieh (Collected Explanations of the Analects), 12 were inclined 

to be literal and interested in historical facts, whereas Neo-Confucianists, 

represented in Chu Hsi (1130-1200), Lun-yü chi-chu 

(Collected Commentaries on the Analects) were interpretative, 

philosophical, and often subjective. They almost invariably understand 

the Confucian Way (Tao) as principle (li), which is their 

cardinal concept, and frequently when they came to an undefined 

"this" or "it," they insisted that it meant principle. This divergency 

between the Han and Sung scholars has colored interpretations of 

this passage. To Wang Su (195-265), quoted in Ho, hsi (to learn) 

means to recite a lesson repeatedly. To Chu Hsi, however, hsi 

means to follow the examples of those who are first to understand, 

and therefore it does not mean recitation but practice. In revolt 

against both extremes, Ch'ing (1644-1912) scholars emphasized 

practical experience. In this case, hsi to them means both to repeat 

and to practice, as indicated in Liu Pao-nan (1791-1855), Lun-yü 

cheng-i (Correct Meanings of the Analects). Thus Ho Yen, Chu 

Hsi, and Liu Pao-nan neatly represent the three different approaches 

in the three different periods. Generally speaking, the dominant 

spirit of Confucian teaching is the equal emphasis on knowledge and 

action. This dual emphasis will be encountered again and again. 13 

1:2. Yu Tzu 14 said, "Few of those who are filial sons and respectful 

their pupils. The name Lun-yü did not appear until the 2nd century B.C. At that 

time there were three versions of it, with some variations. Two of these have been 

lost. The surviving version is that of the state of Lu, where it circulated. It is 

divided into two parts, with ten books each. In the Ching-tien shih-wen (Explanation 

of Terms in the Classics) by Lu Te-ming (556-627), ch. 24, it is. divided into 

492 chapters. Chu Hsi combined and divided certain chapters, making a total of 

482, one of which is divided into eighteen sections. In translations like Legge's 

Confucian Analects, and Waley's The Analects of Confucius, these divisions are 

taken as chapters, making 499. The same numbering is used in the following 

selections. 

The material is unsystematic, in a few cases repetitive, and in some cases historically 

inaccurate. However, it is generally accepted as the most authentic and 

reliable source of Confucian teachings. Chu Hsi grouped it together with the 

Book of Mencius, the Great Learning, and the Doctrine of the Mean as the "Four 

Books." Thereupon they became Classics. From 1313 to 1905, they served as the 

basis for civil service examinations, replacing the earlier Classics in importance. 

12 In the Lun-yü chu-shu (Commentary and Subcommentary on the Analects) 

in the Thirteen Classics Series. 

13 See below, comment on Analects, 2:18. 

14 Confucius' pupil whose private name was Jo (538-c.457 B.C.), thirteen years 

(some say thirty-three years) Confucius' junior. In the Analects, with minor 

19


brothers will show disrespect to superiors, and there has never been a 

man who is not disrespectful to superiors and yet creates disorder. A 

superior man is devoted to the fundamentals (the root). When the root 

is firmly established, the moral law (Tao) will grow. Filial piety and 

brotherly respect are the root of humanity (jen)." 

1:3. Confucius said, "A man with clever words and an ingratiating 

appearance is seldom a man of humanity." 15 

1:4. Tseng-Tzu 16 said, "Every day I examine myself on three points: 

whether in counseling others I have not been loyal; whether in intercourse 

with my friends I have not been faithful; and whether I have not repeated 

again and again and practiced the instructions of my teacher." 17 

1:6. Young men should be filial when at home and respectful to their 

elders when away from home. They should be earnest and faithful. They 

should love all extensively and be intimate with men of humanity. When 

they have any energy to spare after the performance of moral duties, 

they should use it to study literature and the arts (wen). 18 

1:8. Confucius said, "If the superior man is not grave, he will not 

inspire awe, and his learning will not be on a firm foundation. 19 Hold 

loyalty and faithfulness to be fundamental. Have no friends who are not 

as good as yourself. When you have made mistakes, don't be afraid to 

correct them." 

Comment. The teaching about friendship here is clearly inconsistent 

with Analects, 8:5, where Confucius exhorts us to learn from inferiors. 

It is difficult to believe that Confucius taught people to be 

selfish. According to Hsing Ping (932-1010), 20 Confucius meant 

people who are not equal to oneself in loyalty and faithfulness, assuming 

that one is or should be loyal and faithful; according to Hsü 

exceptions, he and Tseng Ts'an are addressed as Tzu, an honorific for a scholar or 

gentleman, giving rise to the theory that the Analects was compiled by their pupils, 

who supplemented Confucius' sayings with theirs. 

15 Cf. below, 13:27. 

16 Tseng Shen (505-c.436 B.C.), pupil of Confucius, noted for filial piety, to 

whom are ascribed the Great Learning and the Book of Filial Piety. 

17 Ho Yen's interpretation: Whether I have transmitted to others what I myself 

have not practiced. This interpretation has been accepted by many. 

18 Wen, literally "patterns," is here extended to mean the embodiment of culture 

and the moral law (Tao)—that is, the Six Arts of ceremony, music, archery, 

carriage-driving, writing, and mathematics. 

19 To K'ung An-kuo (fl. 130 B.C.), quoted by Ho Yen, ku means "obscure," 

not "firm." The sentence would read, "If he studies, he will not be ignorant." 

20 Lun-yü shu (Subcommentary on the Analects). This is part of the Lun-yü 

chu-shu. 

20


Kan (171-218), Confucius simply wanted us to be careful in choosing 

friends. 21 

1:11. Confucius said, "When a man's father is alive, look at the bent 

of his will. When his father is dead, look at his conduct. If for three years 

[of mourning] he does not change from the way of his father, he may be 

called filial." 

Comment. Critics of Confucius have asserted that Confucian authoritarianism 

holds an oppressive weight on the son even after the 

father has passed away. Fan Tsu-yü (1041-1098) did understand 

the saying to mean that the son should observe the father's will and 

past conduct, 22 but he was almost alone in this. All prominent commentators, 

from K'ung An-kuo to Cheng Hsüan (127-200), 23 Chu 

Hsi, and Liu Pao-nan have interpreted the passage to mean that 

while one's father is alive, one's action is restricted, so that his 

intention should be the criterion by which his character is to be 

judged. After his father's death, however, when he is completely 

autonomous, he should be judged by his conduct. In this interpretation, 

the way of the father is of course the moral principle which 

has guided or should have guided the son's conduct. 

1:12. Yu Tzu said, "Among the functions of propriety (li) the most 

valuable is that it establishes harmony. The excellence of the ways of 

ancient kings consists of this. It is the guiding principle of all things great 

and small. If things go amiss, and you, understanding harmony, try to 

achieve it without regulating it by the rules of propriety, they will still 

go amiss." 

1:14. Confucius said, "The superior man does not seek fulfillment of 

his appetite nor comfort in his lodging. He is diligent in his duties and 

careful in his speech. He associates with men of moral principles and 

thereby realizes himself. Such a person may be said to love learning." 

1:15. Tzu-kung 24 said, "What do you think of a man who is poor and 

yet does not flatter, and the rich man who is not proud?" Confucius 

replied, "They will do. But they are not as good as the poor man who is 

happy 25 and the rich man who loves the rules of propriety (li)." Tzukung 

said, "The Book of Odes says: 

21 Chung lun (Treatise on the Mean), pt. 1, sec. 5, SPTK, l:21b. 

22 Quoted in Chu Hsi's Lun-yü huo-wen (Questions and Answers on the Analects), 

l:20a, in Chu Tzu i-shu (Surviving Works of Chu Hsi). 

23 Lun-yü chu (Commentary on the Analects). 

24 Confucius' pupil, whose family name was Tuan-mu, private name Tz'u, and 

courtesy name Tzu-kung (520-c.450 B.C.). He was noted for eloquence and was 

thirty-one years younger than the Master. See Analects, 5:8 about him. 

25 An old edition has "happy with the Way." 

21


As a thing is cut and filed, 

As a thing is carved and polished. . . . 26 

Does that not mean what you have just said?" 

Confucius said, "Ah! Tz'u. Now I can begin to talk about the odes 

with you. When I have told you what has gone before, you know what is 

to follow." 

1:16. Confucius said, "[A good man] does not worry about not being 

known by others but rather worries about not knowing them." 27 

2:1. Confucius said, "A ruler who governs his state by virtue is 

like the north polar star, which remains in its place while all the other 

stars revolve around it." 

Comment. Two important principles are involved here. One is 

government by virtue, in which Confucianists stand directly opposed 

to the Legalists, who prefer law and force. The other is government 

through inaction, i.e., government in such excellent order that all 

things operate by themselves. This is the interpretation shared by 

Han and Sung Confucianists alike. 28 In both cases, Confucianism 

and Taoism are in agreement. 29 

2:2. Confucius said, "All three hundred odes can be covered by one 

of their sentences, and that is, 'Have no depraved thoughts.' " 30 

2:3. Confucius said, "Lead the people with governmental measures 

and regulate them by law and punishment, and they will avoid wrongdoing 

but will have no sense of honor and shame. Lead them with virtue 

and regulate them by the rules of propriety (li), and they will have a 

sense of shame and, moreover, set themselves right." 31 

2:4. Confucius said, "At fifteen my mind was set on learning. At 

thirty my character had been formed. At forty I had no more perplexities. 

At fifty I knew the Mandate of Heaven (T'ien-ming). At sixty I was at 

ease with whatever I heard. At seventy I could follow my heart's desire 

without transgressing moral principles." 

Comment. What T 'ien-ming is depends upon one's own philosophy. 

26 Ode no. 55. Describing the eloquence of a lover, but here taken by Tzu-kung 

to mean moral effort. 

27 Similar ideas are found in Analects, 14:32; 15:18, 20. 

28 See Ho Yen's Lun-yü chi-chieh and Chu Hsi's Lun-yü chi-chu. 

29 Cf. Analects, 15:4 and Lao Tzu, ch. 57. 

30 Odes, ode no. 297. Actually there are 305 odes in the book. The word ssu 

means "Ah!" in the poem but Confucius used it in its sense of "thought." For 

discussion of the Book of Odes, see above, ch. 1, n.5. 

31 The word ko means both to rectify (according to Ho Yen and most other 

commentators) and to arrive (according to Cheng Hsüan). In the latter sense, 

it can mean either "the people will arrive at goodness" or "the people will come 

to the ruler." See below, ch. 32, comment on sec. 44. 

22


In general, Confucianists before the T'ang dynasty (618-907) 

understood it to mean either the decree of God, which determines 

the course of one's life, or the rise and fall of the moral order, 32 

whereas Sung scholars, especially Chu Hsi, took it to mean "the 

operation of Nature which is endowed in things and makes things 

be as they are." 33 This latter interpretation has prevailed. The concept 

of T'ien-ming which can mean Mandate of Heaven, decree of 

God, personal destiny, and course of order, is extremely important 

in the history of Chinese thought. In religion it generally means fate 

or personal order of God, but in philosophy it is practically always 

understood as moral destiny, natural endowment, or moral order. 

2:5. Meng I Tzu 34 asked about filial piety. Confucius said: "Never 

disobey." [Later,] when Fan Ch'ih 35 was driving him, Confucius told 

him, "Meng-sun asked me about filial piety, and I answered him, 'Never 

disobey.' " 36 Fan Ch'ih said, "What does that mean?" Confucius said, 

"When parents are alive, serve them according to the rules of propriety. 

When they die, bury them according to the rules of propriety 

and sacrifice to them according to the rules of propriety." 

2:6. Meng Wu-po 37 asked about filial piety. Confucius said, "Especially 

be anxious lest parents should be sick." 38 

2:7. Tzu-yu 39 asked about filial piety. Confucius said, "Filial piety 

nowadays means to be able to support one's parents. But we support 

even dogs and horses. 40 If there is no feeling of reverence, wherein lies 

the difference?" 

2:11. Confucius said, "A man who reviews the old so as to find 

out the new is qualified to teach others." 

32 

See Ch'eng Shu-te Lun-yü chi-shih (Collected Explanations of the Analects), 

1943. 

33 

Chu Hsi, Lun-yü chi-chu. 

34 

A young noble, also styled Meng-sun, once studied ceremonies with Confucius. 

35 

Confucius' pupil, whose family name was Fan, private name Hsü, and 

courtesy name Tzu-ch'ih (b. 515 B.C.). 

36 

Not to disobey the principle of propriety, according to Hsing Ping; not to 

disobey moral principles, according to Chu Hsi; or not to obey parents, according 

to Huang K'an (448-545), Lun-yü i-shu (Commentary on the Meanings 

of the Analects). 

37 Son of Meng I Tzu. 

38 

Another interpretation by Ma Jung (79-166), quoted by Ho Yen: A filial son 

does not do wrong. His parents' only worry is that he might become sick. About 

half of the commentators have followed him. 

39 

Confucius' pupil. His family name was Yen, private name Yen, and courtesy 

name Tzu-yu (b. 506 B.C.). 

40 

Alternative interpretations: (1) Even dogs and horses can support men; 

(2) Even dogs and horses can support their parents. 

23


2:12. Confucius said, "The superior man is not an implement 

(ch'i)." 41 

Comment. A good and educated man should not be like an implement, 

which is intended only for a narrow and specific purpose. 

Instead, he should have broad vision, wide interests, and sufficient 

ability to do many things. 42 

2:13. Tzu-kung asked about the superior man. Confucius said, "He 

acts before he speaks and then speaks according to his action." 43 

2:14. Confucius said, "The superior man is broadminded but not 

partisan; the inferior man is partisan but not broadminded." 

2:15. Confucius said, "He who learns but does not think is lost; he 

who thinks but does not learn is in danger." 

2:17. Confucius said, "Yu, 44 shall I teach you [the way to acquire] 

knowledge? 45 To say that you know when you do know and say that you 

do not know when you do not know—that is [the way to acquire] knowledge." 

2:18. Tzu-chang 46 was learning with a view to official emolument. 

Confucius said, "Hear much and put aside what's doubtful while you 

speak cautiously of the rest. Then few will blame you. See much and put 

aside what seems perilous while you are cautious in carrying the rest into 

practice. Then you will have few occasions for regret. When one's words 

give few occasions for blame and his acts give few occasions for repentance—there 

lies his emolument." 

Comment. The equal emphasis on words and deeds has been a 

strong tradition in Confucianism. 47 Eventually Wang Yang-ming 

identified them as one. 48 

2:24. Confucius said, "It is flattery to offer sacrifice to ancestral 

spirits other than one's own. To see what is right and not to do it 

is cowardice." 

3:3. Confucius said, "If a man is not humane (jen), what has he to 

do with ceremonies (li)? If he is not humane, what has he to do with 

music?" 

41 Literally "an implement or utensil," ch'i means narrow usefulness rather 

than the ability to grasp fundamentals. 

42 Cf. below, 9:6. 43 Cf. below, 4:22, 24; 14:29. 

44 Name of Confucius' pupil whose family name was Chung and courtesy name 

Tzu-lu (542-480 B.C.). He was only nine years younger than Confucius. He was 

noted for courage. 

45 The sentence may also mean: "Do you know what I teach you?" 

46 Courtesy name of Confucius' pupil, Chuan-sun Shih (503-C.450 B.C.). 

47 See also Analects, 4:22, 24; 5:9; 13:3; 14:29; 15:5; 18:8; and The Mean, 

chs. 8, 13. 

48 See below, ch. 35, B, sec. 5. 

24


3:4. Lin Fang 49 asked about the foundation of ceremonies. Confucius 

said, "An important question indeed! In rituals or ceremonies, be 

thrifty rather than extravagant, and in funerals, be deeply sorrowful 

rather than shallow in sentiment." 

3:12. When Confucius offered sacrifice to his ancestors, he felt as 

if his ancestral spirits were actually present. When he offered sacrifice 

to other spiritual beings, he felt as if they were actually present. He 

said, "If I do not participate in the sacrifice, it is as if I did not sacrifice 

at all." 

3:13. Wang-sun Chia 50 asked, "What is meant by the common saying, 

'It is better to be on good terms with the God of the Kitchen [who 

cooks our food] than with the spirits of the shrine (ancestors) at the 

southwest corner of the house'?" Confucius said, "It is not true. He who 

commits a sin against Heaven has no god to pray to." 

3:17. Tzu-kung wanted to do away with the sacrificing of a lamb at 

the ceremony in which the beginning of each month is reported to ancestors. 

Confucius said, "Tz'u! 51 You love the lamb but I love the 

ceremony." 

3:19. Duke Ting 52 asked how the ruler should employ his ministers 

and how the ministers should serve their ruler. Confucius said, "A ruler 

should employ his ministers according to the principle of propriety, and 

ministers should serve their ruler with loyalty." 

3:24. The guardian at I (a border post of the state of Wei) requested 

to be presented to Confucius, saying, "When gentlemen come here, I 

have never been prevented from seeing them." Confucius' followers 

introduced him. When he came out from the interview, he said, "Sirs, 

why are you disheartened by your master's loss of office? The Way has 

not prevailed in the world for a long time. Heaven is going to use your 

master as a bell with a wooden tongue [to awaken the people]." 

4:2. Confucius said, "One who is not a man of humanity cannot 

endure adversity for long, nor can he enjoy prosperity for long. The man 

of humanity is naturally at ease with humanity. The man of wisdom 

cultivates humanity for its advantage." 

4:3. Confucius said, "Only the man of humanity knows how to love 

people and hate people." 53 

4:4. Confucius said, "If you set your mind on humanity, you will 

be free from evil." 54 

49 A native of Lu, most probably not a pupil of Confucius. 

50 Great officer and commander-in-chief in the state of Wei. 

5l Tzu-kung's private name. 

52 Ruler of Confucius' native state of Lu (r. 509-495 B.C.). 

53 Hate here means dislike, without any connotation of ill will. See Great 

Learning, ch. 10, for an elaboration of the saying. 

54 The word e, evil, can also be read wu to mean hate or dislike, but it is 

hardly ever done. 

25


4:5. Confucius said, "Wealth and honor are what every man desires. 

But if they have been obtained in violation of moral principles, they 

must not be kept. Poverty and humble station are what every man dislikes. 

But if they can be avoided only in violation of moral principles, 

they must not be avoided. If a superior man departs from humanity, how 

can he fulfill that name? A superior man never abandons humanity even 

for the lapse of a single meal. In moments of haste, he acts according to 

it. In times of difficulty or confusion, he acts according to it." 

4:6. Confucius said, "I have never seen one who really loves humanity 

or one who really hates inhumanity. One who really loves 

humanity will not place anything above it. 55 One who really hates inhumanity 

will practice humanity in such a way that inhumanity will 

have no chance to get at him. Is there any one who has devoted his 

strength to humanity for as long as a single day? I have not seen any one 

without sufficient strength to do so. Perhaps there is such a case, but I 

have never seen it." 

4:8. Confucius said, "In the morning, hear the Way; in the evening, 

die content!" 

4:10. Confucius said, "A superior man in dealing with the world 

is not for anything or against anything. He follows righteousness as the 

standard." 

Comment. This is a clear expression of both the flexibility and 

rigidity of Confucian ethics—flexibility in application but rigidity 

in standard. Here lies the basic idea of the Confucian doctrine of 

ching-ch'üan, or the standard and the exceptional, the absolute and 

the relative, or the permanent and the temporary. 56 This explains 

why Confucius was not obstinate, 57 had no predetermined course 

of action, 58 was ready to serve or to withdraw whenever it was 

proper to do so, 59 and, according to Mencius, was a sage who acted 

according to the circumstance of the time. 60 

The words shih and mo can be interpreted to mean being near 

to people and being distant from people, or opposing people and 

admiring people, respectively, and some commentators have 

adopted these interpretations. 61 But the majority follow Chu Hsi, 

as I have done here. Chu Hsi was thinking about the superior man's 

dealing with things. Chang Shih (Chang Nan-hsien, 1133-1180), 

on the other hand, thought Confucius was talking about the su- 

55 It is possible to interpret the phrase to mean "will not be surpassed by anyone," 

but few commentators chose it. 

56 See below, ch. 3, comment on Mencius, Additional Selections, 4A:17. 


58 ibid., 18:8. 59 Mencius, 2A:2. 60 ibid., 5B:1. 

61 See Liu Pao-nan, Lun-yü cheng-i. 

26


perior man's state of mind. 62 This difference reflects the opposition 

between the two wings of Neo-Confucianism, one inclining to 

activity, the other to the state of mind. 63 

4:11. Confucius said, "The superior man thinks of virtue; the inferior 

man thinks of possessions. 64 The superior man thinks of sanctions; 

the inferior man thinks of personal favors." 

4:12. Confucius said, "If one's acts are motivated by profit, he will 

have many enemies." 

4:15. Confucius said, "Shen, 65 there is one thread that runs through 

my doctrines." Tseng Tzu said, "Yes." After Confucius had left, the 

disciples asked him, "What did he mean?" Tseng Tzu replied, "The Way 

of our Master is none other than conscientiousness (chung) and altruism 

(shu)." 

Comment. Confucian teachings may be summed up in the phrase 

"one thread" (i-kuari), but Confucianists have not agreed on what 

it means. Generally, Confucianists of Han and T'ang times adhered 

to the basic meaning of "thread" and understood it in the sense of 

a system or a body of doctrines. Chu Hsi, true to the spirit of Neo- 

Confucian speculative philosophy, took it to mean that there is 

one mind to respond to all things. In the Ch'ing period, in revolt 

against speculation, scholars preferred to interpret kuan as action 

and affairs, that is, there is only one moral principle for all actions. 66 

All agree, however, on the meanings of chung and shu, which are 

best expressed by Chu Hsi, namely, chung means the full development 

of one's [originally good] mind and shu means the extension 

of that mind to others. 67 As Ch'eng I (Ch'eng I-ch'uan, 1033-1107) 

put it, chung is the Way of Heaven, whereas shu is the way of man; 

the former is substance, while the latter is function. 68 Liu Pao-nan 

is correct in equating chung with Confucius' saying, "Establish one's 

own character," and shu with "Also establish the character of 

others." 69 Here is the positive version of the Confucian golden rule. 

The negative version is only one side of it. 70 

62 

See Chu Hsi, Lun-yü chi-chu, and Chang Shih, Lun-yü chieh (Explanation 

of the Analects). 

63 See Ch'eng Shu-te, Lun-yü chi-shih, on this point. 

64 

Literally "land," or one's shelter, food, etc. 

65 

Private name of Tseng Tzu. 

66 The Ch'ing viewpoint is best represented in Wang Nien-sun (1744-1832), 

Kuang-ya shu-cheng (Textual Commentary on the Kuang-ya Dictionary). 

67 

Chu Hsi, Lun-yü chi-chu. For discussion of chung-shu, see Appendix. 

68 

I-shu (Surviving Works), 21B:1b, in ECCS. 

69 Lun-yü cheng-i. He is referring to Analects, 6:28. 

70 

See other positive versions in Analects, 14:45; The Mean, ch. 13; Mencius, 

27


4:16. Confucius said, "The superior man understands righteousness 

(i); the inferior man understands profit." 

Comment. Confucius contrasted the superior man and the inferior 

in many ways, 71 but this is the fundamental difference for Confucianism 

in general as well as for Confucius himself. Chu Hsi associated 

righteousness with the Principle of Nature (T'ien-li) and 

profit with the feelings of man, but later Neo-Confucianists strongly 

objected to his thus contrasting principle and feelings. 

4:18. Confucius said, "In serving his parents, a son may gently remonstrate 

with them. When he sees that they are not inclined to listen to 

him, he should resume an attitude of reverence and not abandon his 

effort to serve them. He may feel worried, but does not complain." 

4:19. Confucius said, "When his parents are alive, a son should not 

go far abroad; or if he does, he should let them know where he goes." 

4:21. Confucius said, "A son should always keep in mind the age 

of his parents. It is an occasion for joy [that they are enjoying long life] 

and also an occasion for anxiety [that another year is gone]." 

4:24. Confucius said, "The superior man wants to be slow in word 

but diligent in action." 

5:11. Tzu-kung said, "What I do not want others to do to me, I do 

not want to do to them." Confucius said, "Ah Tz'u! That is beyond 

you." 72 

5:12. Tzu-kung said, "We can hear our Master's [views] on culture 

and its manifestation, 73 but we cannot hear his views on human nature 74 

and the Way of Heaven [because these subjects are beyond the comprehension 

of most people]." 

5:25. Yen Yüan 75 and Chi-lu 76 were in attendance. Confucius said, 

"Why don't you each tell me your ambition in life?" Tzu-lu said, "I wish 

to have a horse, a carriage, and a light fur coat 77 and share them with 

friends, and shall not regret if they are all worn out." Yen Yüan said, "I 

1A:7. The negative version is found in Analects, 5:11; 12:2; 15:23; in The Mean, 

ch. 13; and in the Great Learning, ch. 10. 

71 See Analects, 2:14; 4:11, 16; 6:11; 7:36; 12:16; 13:23, 25, 26; 14:7, 24; 

15:1, 20, 33; 17:4, 23. 

72 

Cf. Great Learning, ch. 10. 

73 

The term wen-chang can also mean literary heritage or simply the ancient 

Classics. 

74 The word hsing (nature) is mentioned elsewhere in the Analects only once, 

in 17:2. 

75 Confucius' favorite pupil, whose family name was Yen, private name Hui, 

and courtesy name Tzu-yüan (521-490 B.C.). He died at 32. 

76 Tzu-lu. 

77 

The word "light" does not appear in the stone-engraved Classic of the T'ang 

dynasty and is probably a later addition. 

28


wish never to boast of my good qualities and never to brag about the 

trouble I have taken [for others]." 78 Tzu-lu said, "I wish to hear your 

ambition." Confucius said, "It is my ambition to comfort the old, to be 

faithful to friends, and to cherish the young." 79 

5:27. Confucius said, "In every hamlet of ten families, there are 

always some people as loyal and faithful as myself, but none who love 

learning as much as I do." 

6:5. Confucius said, "About Hui (Yen Yuan), for three months 

there would be nothing in his mind contrary to humanity. The others 

could (or can) attain to this for a day or a month at the most." 80 

Comment. On the basis of this saying alone, some philosophers have 

concluded that Yen Yüan was a mystic and that Confucius praised 

mysticism! 

6:16. Confucius said, "When substance exceeds refinement (wen), 

one becomes rude. When refinement exceeds substance, one becomes 

urbane. It is only when one's substance and refinement are properly 

blended that he becomes a superior man." 

6:17. Confucius said, "Man is born with uprightness. If one loses 

it he will be lucky if he escapes with his life." 

Comment. Although the Confucian tradition in general holds that 

human nature is originally good, Confucius' own position is not 

clear. We have read that his doctrine of nature could not be heard, 81 

and we shall read his statement that by nature men are alike. 82 But 

how they are alike is not clear. The saying here can be interpreted 

to mean that man can live throughout life because he is upright. This 

is the interpretation of Ma Jung (79-166), 83 which is followed by 

Wang Ch'ung (27-100?). 84 Most people followed Chu Hsi. He had 

the authority of Ch'eng Hao (Ch'eng Ming-tao, 1032-1085), 85 who 

echoed Cheng Hsüan's interpretation that Confucius said that man 

is born upright. This means that Confucius was not only the first 

one in Chinese philosophy to assume a definite position about 

human nature, but also the first to teach that human nature is 

originally good. 

78 Another interpretation: For his own moral effort. 

79 This is Chu Hsi's interpretation. According to Hsing Ping, it would mean 

this: The old should be satisfied with me, friends should trust me, and the young 

should come to me. 

80 We don't know whether this was said before or after Yen Yüan's death. 

81 Analects, 5:12. 82 Analects, 17:2. 83 Quoted by Ho Yen. 

84 Lun-heng (Balanced Inquiries), ch. 5, SPPY, 2:2a. For English translation, see 

Forke, Lun-heng, vol. 1, p. 152. 

85 See Lun-yü chi-chu. 

29


6:18. Confucius said, "To know it [learning or the Way] is not as 

good as to love it, and to love it is not as good as to take delight in it." 

6:19. Confucius said, "To those who are above average, one may 

talk of the higher things, but may not do so to those who are below 

average." 

6:20. Fan Ch'ih asked about wisdom. Confucius said, "Devote 

yourself earnestly to the duties due to men, and respect spiritual beings 86 

but keep them at a distance. This may be called wisdom." Fan Ch'ih 

asked about humanity. Confucius said, "The man of humanity first of 

all considers what is difficult in the task and then thinks of success. Such 

a man may be called humane." 

Comment. Many people have been puzzled by this passage, some 

even doubting the sincerity of Confucius' religious attitude—all 

quite unnecessarily. The passage means either "do not become 

improperly informal with spiritual beings," 87 or "emphasize the way 

of man rather than the way of spirits." 88 

6:21. Confucius said, "The man of wisdom delights in water; the 

man of humanity delights in mountains. The man of wisdom is active; 

the man of humanity is tranquil. The man of wisdom enjoys happiness; 

the man of humanity enjoys long life." 

Comment. In the Confucian ethical system, humanity and wisdom 

are like two wings, one supporting the other. 89 One is substance, 

the other is function. The dual emphasis has been maintained 

throughout history, especially in Tung Chung-shu (c.l79-c.104 

B.C.) and in a certain sense in K'ang Yu-wei (1858-1927). 90 Elsewhere, 

courage is added as the third virtue, 91 and Mencius grouped 

them with righteousness and propriety as the Four Beginnings. 92 

6:23. Confucius said, "When a cornered vessel no longer has any 

corner, should it be called a cornered vessel? Should it?" 

Comment. Name must correspond to actuality. 93 

6:25. Confucius said, "The superior man extensively studies literature 

(wen) and restrains himself with the rules of propriety. Thus he 

will not violate the Way." 

86 Meaning especially ancestors. 

87 According to Lun-yü chi-chieh. 

88 According to Cheng Hsüan, Chu Hsi, and most commentators. 

89 See also Analects, 4:2; 12:22; 15:32. 

90 See below, ch. 14, E, sec. 3; ch. 39, sec. 3. 

91 See Analects, 9:28; 14:30; The Mean, ch. 20. 

92 Mencius, 2A:6; 6A:6. 

93 For the Confucian doctrine of the rectification of names, see below, comment 

on 13:3. 

30


6:26. When Confucius visited Nan-tzu (the wicked wife of Duke 

Ling of Wei, r. 533-490 B.C.) [in an attempt to influence her to persuade 

the duke to effect political reform], Tzu-lu was not pleased. Confucius 

swore an oath and said, "If I have said or done anything wrong, may 

Heaven forsake me! May Heaven forsake me!" 94 

6:28. Tzu-kung said, "If a ruler extensively confers benefit on the 

people and can bring salvation to all, what do you think of him? Would 

you call him a man of humanity?" Confucius said, "Why only a man of 

humanity? He is without doubt a sage. Even (sage-emperors) Yao and 

Shun fell short of it. A man of humanity, wishing to establish his own 

character, also establishes the character of others, and wishing to be 

prominent himself, also helps others to be prominent. To be able to 

judge others by what is near to ourselves may be called the method of 

realizing humanity." 95 

Comment. The Confucian golden rule in a nutshell. 

7:1. Confucius said, "I transmit but do not create. I believe in and 

love the ancients. I venture to compare myself to our old P'eng." 96 

Comment. This is often cited to show that Confucius was not 

creative. We must not forget, however, that he "goes over the old 

so as to find out what is new." 97 Nor must we overlook the fact that 

he was the first one to offer education to all. 98 Moreover, his concepts 

of the superior man and of Heaven were at least partly new. 

7:2. Confucius said, "To remember silently [what I have learned], 

to learn untiringly, and to teach others without being wearied—that is 

just natural with me." 

7:6. Confucius said, "Set your will on the Way. Have a firm grasp 

on virtue. Rely on humanity. Find recreation in the arts." 

7:7. Confucius said, "There has never been anyone who came with 

as little a present as dried meat (for tuition) 99 that I have refused to 

teach him something." 

7:8. Confucius said, "I do not enlighten those who are not eager 

to learn, nor arouse those who are not anxious to give an explanation 

themselves. If I have presented one corner of the square and they cannot 

94 This episode took place when Confucius was 57. 

95 See above comment on 4:15. 

96 An official of the Shang dynasty (1751-1112 B.C.) who loved to recite old 

stories. 


98 See Fung, History of Chinese Philosophy, vol. 1, pp. 46-49. 

99 Cheng Hsüan's interpretation: From young men fifteen years old and upward. 

Cf. Analects, 15:38. 

31


come back to me with the other three, I should not go over the points 

again." 

7:15. Confucius said, "With coarse rice to eat, with water to drink, 

and with a bent arm for a pillow, there is still joy. Wealth and honor 

obtained through unrighteousness are but floating clouds to me." 

7:16. Confucius said, "Give me a few more years so that I can devote 

fifty years to study Change. 100 I may be free from great mistakes." 

7:17. These were the things Confucius often 101 talked about— 

poetry, history, and the performance of the rules of propriety. All these 

were what he often talked about. 

7:18. The Duke of She 102 asked Tzu-lu about Confucius, and Tzu-lu 

did not answer. Confucius said, "Why didn't you say that I am a person 

who forgets his food when engaged in vigorous pursuit of something, is 

so happy as to forget his worries, and is not aware that old age is coming 

on?" 103 

7:19. Confucius said, "I am not one who was born with knowledge; 

I love ancient [teaching] and earnestly seek it." 

7:20. Confucius never discussed strange phenomena, physical exploits, 

disorder, or spiritual beings. 

7:22. Confucius said, "Heaven produced the virtue that is in me; 

what can Huan T'ui 104 do to me?" 

7:24. Confucius taught four things: culture (wen), conduct, loyalty, 

and faithfulness. 

7:26. Confucius fished with a line but not a net. While shooting he 

would not shoot a bird at rest. 105 

7:27. Confucius said, "There are those who act without knowing 

[what is right]. 106 But I am not one of them. To hear much and select 

100 The traditional interpretation of the word i (change) is the Book of 

Changes. The ancient Lu version of the Analects, however, has i (then) instead of 

i (change). Some scholars have accepted this version, which reads ". . . to study, 

then I may be. . . ." Modern scholars prefer this reading because they do not 

believe that the Book of Changes existed at the time. However, the fact that 

Confucius was thinking of the system of Change instead of the Book should not 

be ruled out. 

101 The word ya (often) was understood by Cheng Hsüan as standard, thus 

meaning that Confucius recited the Books of Odes, History, and Rites in correct 

pronunciation. 

102 Magistrate of the district She in the state of Ch'u, who assumed the title of 

duke by usurpation. 

103 According to Shih chi (Records of the Historian), PNP, 47:18a, Confucius 

was 62 when he made this remark. See Chavannes, trans., Les mémoires historiques, 

vol. 5, p. 361. 

104 A military officer in the state of Sung who attempted to kill Confucius by 

felling a tree. Confucius was then 59 years old. 

105 He would not take unfair advantage. 

106 Other interpretations: Act without the necessity of knowledge; invent stories 

about history without real knowledge of it; write without knowledge. 

32


what is good and follow it, to see much and remember it, is the second 

type of knowledge (next to innate knowledge)." 

7:29. Confucius said, "Is humanity far away? As soon as I want it, 

there it is right by me." 

Comment. This is simply emphasizing the ever-present opportunity 

to do good. There is nothing mystical about it. The practice of humanity 

starts with oneself. 107 

7:34. Confucius was very ill. Tzu-lu asked that prayer be offered. 

Confucius said, "Is there such a thing?" Tzu-lu replied, "There is. A 

Eulogy says, 'Pray to the spiritual beings above and below.' " Confucius 

said, "My prayer has been for a long time [that is, what counts is the life 

that one leads]." 

7:37. Confucius is affable but dignified, austere but not harsh, polite 

but completely at ease. 

Comment. The Confucian Mean in practice. 

8:5. Tseng Tzu said, "Gifted with ability, yet asking those without 

ability; possessing much, yet asking those who possess little; having, yet 

seeming to have none; full, yet seeming vacuous; offended, yet not contesting—long 

ago I had a friend [Confucius' most virtuous pupil Yen 

Yuan?] 108 who devoted himself to these ways." 

Comment. The similarity to Taoist teachings is striking. 

8:6. Tseng Tzu said, "A man who can be entrusted with an orphaned 

child, delegated with the authority over a whole state of one 

hundred li, 109 and whose integrity cannot be violated even in the face of 

a great emergency—is such a man a superior man? He is a superior man 

indeed!" 

8:7. Tseng Tzu said, "An officer must be great and strong. His 

burden is heavy and his course is long. He has taken humanity to be his 

own burden—is that not heavy? Only with death does his course stop— 

is that not long?" 

8:8. Confucius said, "Let a man be stimulated by poetry, established 

by the rules of propriety, and perfected by music." 

8:9. Confucius said, "The common people may be made to follow 

it (the Way) but may not be made to understand it." 

Comment. Confucianists have taken great pains to explain this 

saying. Cheng Hsüan said "the common people" refers to ignorant 

107 See Analects, 12:1. 

108 According to Ma Jung, quoted by Ho Yen, Yen Yuan had died long before. 

109 About one-third of a mile. 

33


people and Chu Hsi said that ordinary people do things without 

understanding why. There can be no denial that Confucius reflected 

the feudal society in which it was the duty of ordinary people to 

follow the elite. 

8:13. Confucius said, "Have sincere faith and love learning. Be not 

afraid to die for pursuing the good Way. Do not enter a tottering state 

nor stay in a chaotic one. When the Way prevails in the empire, then 

show yourself; when it does not prevail, then hide. When the Way prevails 

in your own state and you are poor and in a humble position, be 

ashamed of yourself. When the Way does not prevail in your state and 

you are wealthy and in an honorable position, be ashamed of yourself." 

8:14. Confucius said, "A person not in a particular government 

position does not discuss its policies." 110 

9:1. Confucius seldom talked about profit, destiny (ming or the 

Mandate of Heaven), and humanity. 

Comment. Few passages in the Analects have given commentators 

as much trouble as this one. It is true that the topic of profit is mentioned 

in the Analects only six times and destiny or fate only ten 

times, but fifty-eight of the 499 chapters of the Analects are devoted 

to humanity and the word jen occurs 105 times. Confucianists have 

tried their best to explain why Confucius can be said to have seldom 

talked about them. Huang K'an said these things are so serious that 

Confucius seldom expected people to live up to them. This line 

of thought was followed by Juan Yüan (1764-1849). 111 Ho Yen 

thought that Confucius seldom talked about them because few 

people could reach those high levels. Hsing Ping, who commented 

on Ho's commentary, repeated it. Chu Hsi, quoting Ch'eng I, said 

that Confucius seldom talked about profit, for example, because it 

is injurious to righteousness, and seldom talked about the others 

because the principle of destiny is subtle and that of humanity is 

great. 

Other scholars have tried to change the meaning of the passage. 

Shih Sheng-tsu (fl. 1230) in his Hsüeh-chai chan-pi (Simple Observations) 

interpreted yü not as "and" but as "give forth," thus 

making the sentence say that Confucius seldom talked about profit 

but gave forth [instructions] on destiny and humanity. Bodde accepts 

this view. 112 Laufer thinks it should be read: "The Master 

110 The same idea is expressed in 14:27-28. 

111 "Lun-yu lun jen lun" (A Treatise on Jen in the Analects), Yen-ching-shih chi 

(Collected Works of the Yen-ching Study), 1st collection, 8:21a. 

112 "Perplexing Passage in the Confucian Analects," Journal of the American 

Oriental Society, 53 (1933), 350. 

34


rarely discussed material gains compared with the will of Heaven 

and compared with humaneness." 113 Chiao Hsün (1763-1820), 

in his Lun-yü pu-shu (Supplementary Commentary on the Analects) 

said that when Confucius occasionally talked about profit, 

he spoke of it together with destiny or humanity, that is, in the light 

of either of them. Han Yü (768-824) thought that what Confucius 

seldom talked about was the men of profit, destiny, or humanity, not 

the three subjects themselves (Lun-yü pi-chieh, or Explanations of 

the Analects). According to Huang Shih-nan's Lun-yü hou-an (Recent 

Examinations of the Analects, 1844), the word han does not 

mean "seldom," but is an alternate for hsien, "elucidation." While 

this is possible, it seems to be going too far. Most scholars leave the 

difficulty alone. As K'ang Yu-wei, in his Lun-yü chu, says, Confucius 

talked about the three subjects a great deal, since they are 

inherently important subjects for discussion. 

9:3. Confucius said, "The linen cap is prescribed by the rules of 

ceremony (li) but nowadays a silk one is worn. It is economical and I 

follow the common practice. Bowing below the hall is prescribed by the 

rules of ceremony, but nowadays people bow after ascending the hall. 

This is arrogant, and I follow the practice of bowing below the hall 

though that is opposed to the common practice." 

9:4. Confucius was completely free from four things: He had no 

arbitrariness of opinion, no dogmatism, no obstinacy, and no egotism. 

9:5. When Confucius was in personal danger in K'uang, 114 he said, 

"Since the death of King Wen, 115 is not the course of culture (wen) in 

my keeping? If it had been the will of Heaven to destroy this culture, 

it would not have been given to a mortal [like me]. But if it is the will 

of Heaven that this culture should not perish, what can the people of 

K'uang do to me?" 

9:6. A great official asked Tzu-kung, "Is the Master a sage? How 

is it that he has so much ability [in practical, specific things]?" Tzukung 

said, "Certainly Heaven has endowed him so liberally that he is 

to become a sage, 116 and furthermore he has much ability." When Confucius 

heard this, he said, "Does the great official know me? When I 

was young, I was in humble circumstances, and therefore I acquired 

much ability to do the simple things of humble folk. Does a superior 

113 "Lun Yü IX, 1," ibid., 54 (1934), 83. 

114 The people of K'uang, mistaking Confucius for Yang Hu, their enemy whom 

Confucius resembled in appearance, surrounded him. This happened when Confucius 

was 56. 

115 Founder of the Chou dynasty. 

116 The term chiang-sheng is also understood to mean a great sage, or almost a 

sage. 

35


man need to have so much ability? He does not." His pupil Lao said, 

"The Master said, 'I have not been given official employment and therefore 

I [acquired the ability] for the simple arts.' " 117 

9:13. Confucius wanted to live among the nine barbarous tribes of 

the East. Someone said, "They are rude. How can you do it?" Confucius 

said, "If a superior man lives there, what rudeness would there be?" 

9:16. Confucius, standing by a stream, said, "It passes on like this, 

never ceasing day or night!" 

Comment. What was Confucius thinking about? Was he thinking 

of the unceasing operation of the universe (Chu Hsi and Ch'eng 

I)? Was he lamenting over the fact that the past cannot be recovered 

(Hsing Ping)? Was he comparing the untiring effort of a 

superior man's moral cultivation (Liu Pao-nan)? Was he praising 

water because its springs continuously gush out (Mencius 118 and 

Tung Chung-shu 119 )? Was he praising water because it has the 

qualities of virtue, righteousness, courage, and so forth (Hsün Tzu, 

fl. 298-238 B.C.)? 120 One thing is fairly sure: water to him meant 

something quite different from what it meant to Indian and Western 

philosophers, and to some extent to Lao Tzu. 121 

9:25. Confucius said, "The commander of three armies may be 

taken away, but the will of even a common man may not be taken away 

from him." 

10:9. When his mat was not straight [Confucius] did not sit on it. 

10:12. A certain stable was burned down. On returning from court, 

Confucius asked, "Was any man hurt?" He did not ask about the horses. 

10:14. On entering the Ancestral Temple, he asked about everything. 

11:8. When Yen Yüan died, Confucius said, "Alas, Heaven is 

destroying me! Heaven is destroying me!" 

11:11. Chi-lu (Tzu-lu) asked about serving the spiritual beings. 

Confucius said, "If we are not yet able to serve man, how can we serve 

spiritual beings?" "I venture to ask about death." Confucius said, "If 

we do not yet know about life, how can we know about death?" 

Comment. A most celebrated saying on humanism. 

11:15. Tzu-kung asked who was the better man, Shih 122 or Shang. 123 

117 Cf. Analects, 2:12. 118 Mencius, 4B: 18. 

119 Ch'un-ch'iu fan-lu (Luxuriant Gems of the Spring and Autumn Annals), 

ch. 73, SPTK, 16:3a. 

120 Hsün Tzu, ch. 28, SPTK, 20:5b-6a. 

121 See below, ch. 7, comment on Lao Tzu, sec. 8. 

122 Name of Confucius' pupil, Tzu-chang. 

123 His family name was Pu and courtesy name Tzu-hsia (507-420 B.C.). Also 

Confucius' pupil. 

36


Confucius said, "Shin goes too far and Shang does not go far enough." 

Tzu-kung said, "Then is Shih better?" Confucius said, "To go too far is 

the same as not to go far enough." 

11:21. Tzu-lu asked, "Should one immediately practice what one has 

heard?" Confucius said, "There are father and elder brother [to be consulted]. 

Why immediately practice what one has heard?" Jan Yu (Jan 

Tzu) asked, "Should one immediately practice what one has heard?" 

Confucius said, "One should immediately practice what one has heard." 

Kung-hsi Hua 124 said, "When Yu (Tzu-lu) asked you, 'Should one immediately 

practice what one has heard?' you said, 'There are father and 

elder brother.' When Ch'iu (Jan Yu) asked you, 'Should one immediately 

practice what he has heard?' you said, 'One should immediately practice 

what one has heard.' I am perplexed, and venture to ask you for an 

explanation." Confucius said, "Ch'iu is retiring; therefore I urged him 

forward. Yu has more than one man's energy; therefore I kept him back." 

11:25. Tzu-lu, Tseng Hsi, 125 Jan Yu, and Kung-hsi Hua were in attendance. 

Confucius said, "You think that I am a day or so older than 

you are. But do not think so. At present you are out of office and think 

that you are denied recognition. Suppose you were given recognition. 

What would you prefer?" Tzu-lu promptly replied, "Suppose there is a 

state of a thousand chariots, hemmed in by great powers, in addition 

invaded by armies, and as a result drought and famine prevail. Let me 

administer that state. In three years' time I can endow the people with 

courage and furthermore, enable them to know the correct principles." 

Confucius smiled at him [with disapproval]. 

"Ch'iu, how about you?" Jan Yu replied, "Suppose there is a state the 

sides of which are sixty or seventy li wide, or one of fifty or sixty li. Let 

me administer that state. In three years' time I can enable the people to 

be sufficient in their livelihood. As to the promotion of ceremonies and 

music, however, I shall have to wait for the superior man." 

"How about you, Ch'ih?" Kung-hsi Hua replied, "I do not say I can 

do it but I should like to learn to do so. At the services of the royal 

ancestral temple, and at the conferences of the feudal lords, I should like 

to wear the dark robe and black cap (symbols of correctness) and be a 

junior assistant." 

[Turning to Tseng Hsi,] Confucius said, "How about you, Tien?" 

Tseng Hsi was then softly playing the zither. With a bang he laid down 

the instrument, rose, and said, "My wishes are different from what the 

124 Confucius' pupil. His private name was Ch'ih and courtesy name Tzu-hua 

(b. 509 B.C.). Jan Yu (522-c. 462), whose private name was Ch'iu and courtesy 

name Jan Tzu, was also a pupil. 

125 Tseng Tzu's father, whose private name was Tien and courtesy name Hsi. He 

was also a Confucian pupil. 

37


gentlemen want to do." Confucius said, "What harm is there? After all, 

we want each to tell his ambition." Tseng Hsi said, "In the late spring, 

when the spring dress is ready, I would like to go with five or six grownups 

and six or seven young boys to bathe in the I River, enjoy the 

breeze on the Rain Dance Altar, and then return home singing." Confucius 

heaved a sigh and said, "I agree with Tien." 

Comment. Why did Confucius agree with Tseng Hsi? The field is 

wide open for speculation, and most Confucianists have taken the 

best advantage of it. Thus it was variously explained that Tseng 

Hsi was enjoying the harmony of the universe (Wang Ch'ung), 126 

that he was following traditional cultural institutions (Liu Paonan), 

that he was wisely refraining from officialdom at the time of 

chaos (Huang K'an), that he was thinking of the "kingly way" 

whereas other pupils were thinking of the government of feudal 

states (Han Yü), that he was in the midst of the universal operation 

of the Principle of Nature (Chu Hsi), and that he was expressing 

freedom of the spirit (Wang Yang-ming, 1472-1529). 127 

It is to be noted that the last two interpretations reflect the different 

tendencies of the two wings of Neo-Confucianism, one emphasizing 

the objective operation of the Principle of Nature, the other emphasizing 

the state of mind. 

12:1. Yen Yüan asked about humanity. Confucius said, "To master 

128 oneself and return to propriety is humanity. 129 If a man (the 

ruler) can for one day master himself and return to propriety, all under 

heaven will return to humanity. 130 To practice humanity depends on 

oneself. Does it depend on others?" Yen Yüan said, "May I ask for the 

detailed items?" Confucius said, "Do not look at what is contrary to 

propriety, do not listen to what is contrary to propriety, do not speak 

what is contrary to propriety, and do not make any movement which 

is contrary to propriety." Yen Yuan said, "Although I am not intelligent, 

may I put your saying into practice." 

126 Lun-heng, ch. 45; SPPY, 15:10a. Cf. Forke, Lun-Heng, vol. 2, p. 235. 

127 Ch'uan-hsi lu (Instructions for Practical Living), sec. 257. See Chan, trans., 

Instructions for Practical Living. 

128 The word k'o was understood by Ma Jung as "to control" but Chu Hsi 

interpreted it to mean "to master," that is, to conquer the self since it is an embodiment 

of selfish desires. Here is another example of the sharply different approaches 

to the Analects between the Han Confucianists and the Sung Neo-Confucianists. 

The Ch'ing Confucianists, such as Juan Yuan, violently opposed Chu 

Hsi, as is to be expected. 

129 An old saying. Other interpretations: (1) To be able to return to propriety 

by oneself; (2) to discipline oneself and to act according to propriety. 

130 Other interpretations: (1) Ascribe humanity to him; (2) will follow him. 

38


12:2. Chung-kung 131 asked about humanity. Confucius said, "When 

you go abroad, behave to everyone as if you were receiving a great 

guest. Employ the people as if you were assisting at a great sacrifice. 132 

Do not do to others what you do not want them to do to you. 133 Then 

there will be no complaint against you in the state or in the family 

(the ruling clan)." Chung-kung said, "Although I am not intelligent, 

may I put your saying into practice." 

12:5. Ssu-ma Niu, 134 worrying, said, "All people have brothers but 

I have none." 135 Tzu-hsia said, "I have heard [from Confucius] 136 this 

saying: 'Life and death are the decree of Heaven (ming); wealth and 

honor depend on Heaven. If a superior man is reverential (or serious) 

without fail, and is respectful in dealing with others and follows 

the rules of propriety, then all within the four seas (the world) 137 are 

brothers.' 138 What does the superior man have to worry about having 

no brothers?" 

12:7. Tzu-kung asked about government. Confucius said, "Sufficient 

food, sufficient armament, and sufficient confidence of the people." 

Tzu-kung said, "Forced to give up one of these, which would you 

abandon first?" Confucius said, "I would abandon the armament." 

Tzu-kung said, "Forced to give up one of the remaining two, which 

would you abandon first?" Confucius said, "I would abandon food. 

There have been deaths from time immemorial, but no state can exist 

without the confidence of the people." 

12.11. Duke Ching of Ch'i 139 asked Confucius about government. 

Confucius replied, "Let the ruler be a ruler, the minister be a minister, 

the father be a father, and the son be a son." The duke said, "Excellent! 

Indeed when the ruler is not a ruler, the minister not a minister, the 

father not a father, and the son not a son, although I may have all the 

grain, shall I ever get to eat it?" 

12:16. Confucius said, "The superior man brings the good things of 

others to completion and does not bring the bad things of others to 

completion. The inferior man does just the opposite." 

131 Confucius' pupil, whose family name was Jan, private name Yung, and 

courtesy name Chung-kung. He was noted for excellent character. 

132 Paraphrasing two ancient sayings. 

133 See above, comment on 4:15. 

134 Confucius' pupil, whose family name was Hsiang. 

135 Meaning that his brother Huan T'ui (see above, 7:22) was not worthy to 

be a brother. 

136 Insertion according to Liu Pao-nan. 

137 Ordinarily meaning China, none doubts that here it means the entire world. 

138 Some say that the last sentence is Tzu-hsia's utterance. 

139 He reigned from 546 to 489 B.C. 

39


12:17. Chi K'ang Tzu 140 asked Confucius about government. Confucius 

replied, "To govern (cheng) is to rectify (cheng). If you lead 

the people by being rectified yourself, who will dare not be rectified?" 141 

12:19. Chi K'ang Tzu asked Confucius about government, saying, 

"What do you think of killing the wicked and associating with the 

good?" Confucius replied, "In your government what is the need of 

killing? If you desire what is good, the people will be good. The character 

of a ruler is like wind and that of the people is like grass. In whatever 

direction the wind blows, the grass always bends." 

12:22. Fan Ch'ih asked about humanity. Confucius said, "It is to 

love men." He asked about knowledge. Confucius said, "It is to know 

man." 

Comment. As a general virtue, jen means humanity, that is, that 

which makes a man a moral being. As a particular virtue, it means 

love. This is the general interpretation during the Han and T'ang 

times. Later in Neo-Confucianism, it was modified to mean man 

and Nature forming one body. The doctrine that knowledge of men 

is power has been maintained throughout the history of Confucianism. 

This humanistic interest has to a large degree prevented China 

from developing the tradition of knowledge for its own sake. 

13:3. Tzu-lu said, "The ruler of Wei is waiting for you to serve in 

his administration. What will be your first measure?" Confucius said, 

"It will certainly concern the rectification of names." Tzu-lu said, "Is 

that so? You are wide of the mark. Why should there be such a rectification?" 

Confucius said, "Yu! How uncultivated you are! With regard 

to what he does not know, the superior man should maintain an attitude 

of reserve. If names are not rectified, then language will not be in 

accord with truth. If language is not in accord with truth, then things 

cannot be accomplished. If things cannot be accomplished, then ceremonies 

and music will not flourish. If ceremonies and music do not 

flourish, then punishment will not be just. If punishments are not just, 

then the people will not know how to move hand or foot. Therefore 

the superior man will give only names that can be described in speech 

and say only what can be carried out in practice. With regard to his 

speech, the superior man does not take it lightly. That is all." 

Comment. Most ancient Chinese philosophical schools had a theory 

about names and actuality. In the Confucian school, however, it 

assumes special importance because its focus is not metaphysical 

140 A great official of the state of Lu. He assumed power of government by 

usurpation in 492 B.C. 

141 Cf. below, 13:6. 

40


as in Taoism, or logical as in the School of Logicians, or utilitarian 

as in the Legalist School, but ethical. This means not only that a 

name must correspond to its actuality, but also that rank, duties, 

and functions must be clearly defined and fully translated into 

action. Only then can a name be considered to be correct or rectified. 

With the ethical interest predominant, this is the nearest the 

ancient Confucianists came to a logical theory, except in the case 

of Hsün Tzu, who was the most logical of all ancient Confucianists. 

13:6. Confucius said, "If a ruler sets himself right, he will be followed 

without his command. If he does not set himself right, even his 

commands will not be obeyed." 142 

13:16. The Duke of She asked about government. Confucius said, 

"[There is good government] when those who are near are happy and 

those far away desire to come." 143 

13:18. The Duke of She told Confucius, "In my country there is an 

upright man named Kung. 144 When his father stole a sheep, he bore 

witness against him." Confucius said, "The upright men in my community 

are different from this. The father conceals the misconduct of the 

son and the son conceals the misconduct of the father. Uprightness is 

to be found in this." 

13:19. Fan Ch'ih asked about humanity. Confucius said, "Be respectful 

in private life, be serious (ching) 145 in handling affairs, and be 

loyal in dealing with others. Even if you are living amidst barbarians, 

these principles may never be forsaken." 

13:23. Confucius said, "The superior man is conciliatory but does 

not identify himself with others; the inferior man identifies with others 

but is not conciliatory." 146 

13:26. Confucius said, "The superior man is dignified but not 

proud; the inferior man is proud but not dignified." 

13:27. Confucius said, "A man who is strong, resolute, simple, 

and slow to speak is near to humanity." 

13:29. Confucius said, "When good men have instructed the 

people [in morals, agriculture, military tactics] 147 for seven years, they 

may be allowed to bear arms." 

142 143 

Cf. above, 12:17. 

See below, 16:1. 

144 

According to Kung An-Kuo, kung is not the name but is used as a noun, 

meaning the body, and that the man walked erect. 

145 

The word ching here does not mean reverence, which assumes an object, 

but seriousness, which is a state of mind. See Appendix. 

146 

Cf. above, 2:14. 

147 

This is Chu Hsi's understanding, which has been satisfactory to most 

readers. 

41


13:30. Confucius said, "To allow people to go to war without first 

instructing them is to betray them." 

14:2. [Yüan Hsien] 148 said, "When one has avoided aggressiveness, 

pride, resentment, and greed, he may be called a man of humanity." 

Confucius said, "This may be considered as having done what is difficult, 

but I do not know that it is to be regarded as humanity." 

14:24. Confucius said, "The superior man understands the higher 

things [moral principles]; the inferior man understands the lower things 

[profit]." 149 

14:29. Confucius said, "The superior man is ashamed that his 

words exceed his deeds." 

14:30. Confucius said, "The way of the superior man is threefold, 

but I have not been able to attain it. The man of wisdom has no perplexities; 

the man of humanity has no worry; the man of courage has no 

fear." Tzu-kung said, "You are talking about yourself." 

14:33. Confucius said, "He who does not anticipate attempts to 

deceive him nor predict his being distrusted, and yet is the first to know 

[when these things occur], is a worthy man." 150 

14:36. Someone said, "What do you think of repaying hatred with 

virtue?" Confucius said, "In that case what are you going to repay virtue 

with? Rather, repay hatred with uprightness and repay virtue with 

virtue." 

Comment. The word for uprightness, chih, is not to be understood 

as severity or justice, which would imply repaying evil with evil. 

The idea of repaying hatred with virtue is also found in the Lao 

Tzu, ch. 63, and some have therefore theorized that the questioner 

was a Taoist or that the saying was a prevalent one at the time. In 

any case, by uprightness Confucianists mean absolute impartiality, 

taking guidance from what is right instead of one's personal preference, 

however admirable. Obviously this does not satisfy followers 

of the Christian doctrine of loving one's enemy. As to the golden 

rule, see above, comment on 4:15. 

14:37. Confucius said, "Alas! No one knows me!" Tzu-kung said, 

148 Confucius' pupil. 

149 This is the general interpretation, based on Huang K'an and commonly 

accepted before the Sung times. According to Ho Yen, higher things mean the 

fundamentals and the lower things mean secondary things. Chu Hsi, consistent 

with his own philosophy, interpreted the word ta not to mean to understand but 

to reach, and said that the superior man reaches the higher level because he follows 

the Principle of Nature while the inferior man reaches the lower level because 

he is carried away by selfish human desires. Cf. below, 14:37. 

150 See Wang Yang-ming, Ch'uan-hsi lu, in Chan, trans., Instructions for Practical 

Living, secs. 171 and 191 for his discussion of this topic. 

42


"Why is there no one that knows you?" Confucius said, "I do not complain 

against Heaven. I do not blame men. I study things on the lower 

level but my understanding penetrates the higher level. 151 It is Heaven 

that knows me." 

14:41. When Tzu-lu was stopping at the Stone Gate 152 for the night, 

the gate-keeper asked him, "Where are you from?" Tzu-lu said, "From 

Confucius." "Oh, is he the one who knows a thing cannot be done and 

still wants to do it?" 

14:45. Tzu-lu asked about the superior man. Confucius said, "The 

superior man is one who cultivates himself with seriousness (ching)." 

Tzu-lu said, "Is that all?" Confucius said, "He cultivates himself so as 

to give the common people security and peace." Tzu-lu said, "Is that all?" 

Confucius said, "He cultivates himself so as to give all people security 

and peace. To cultivate oneself so as to give all people security and 

peace, even Yao and Shun found it difficult to do." 153 

15:2. Confucius said, "Tz'u (Tzu-kung), do you suppose that I am 

one who learns a great deal and remembers it?" Tzu-kung replied, "Yes. 

Is that not true?" Confucius said, "No. I have a thread (i-kuan) that 

runs through it all." 154 

15:4. Confucius said, "To have taken no [unnatural] action 155 and 

yet have the empire well governed, Shun was the man! What did he do? 

All he did was to make himself reverent and correctly face south [in 

his royal seat as the ruler]." 

15:8. Confucius said, "A resolute scholar and a man of humanity 

will never seek to live at the expense of injuring humanity. He would 

rather sacrifice his life in order to realize humanity." 156 

15:17. Confucius said, "The superior man regards righteousness 

(i) as the substance of everything. He practices it according to the principles 

of propriety. He brings it forth in modesty. And he carries it to 

its conclusion with faithfulness. He is indeed a superior man!" 

15:20. Confucius said, "The superior man seeks [room for improvement 

or occasion to blame] in himself; the inferior man seeks it in 

others." 157 

15:22. Confucius said, "The superior man (ruler) does not pro- 

151 There is a general agreement that the higher level refers to matters of 

Heaven, such as Heaven's decree (K'ung An-kuo and Huang K'an) and the 

Principle of Nature (Chu Hsi), and that the lower level refers to mundane 

matters. Cf. above, 14:24. 

152 The outer gate of the city of Lu. Cf. below, 18:6. 


154 For the idea of a central thread, see above, 4:15. 

155 The term is the same as in Taoism, wu-wei. See above, comment on 2:1 

156 Cf. Mencius, 6A:10. 

157 Cf. Great Learning, ch. 9. 

43


mote (put in office) a man on the basis of his words; nor does he reject 

his words because of the man." 

15:23. Tzu-kung asked, "Is there one word which can serve as the 

guiding principle for conduct throughout life?" Confucius said, "It is 

the word altruism (shu). Do not do to others what you do not want 

them to do to you." 

15:28. Confucius said, "It is man that can make the Way great, and 

not the Way that can make man great." 

Comment. Humanism in the extreme! Commentators from Huang 

K'an to Chu Hsi said that the Way, because it is tranquil and quiet 

and lets things take their own course, does not make man great. A 

better explanation is found in the Doctrine of the Mean, where it 

is said, "Unless there is perfect virtue, the perfect Way cannot be 

materialized." 158 

15:31. Confucius said, "The superior man seeks the Way and not a 

mere living. There may be starvation in farming, and there may be 

riches in the pursuit of studies. The superior man worries about the 

Way and not about poverty." 

15:32. Confucius said, "When a man's knowledge is sufficient for 

him to attain [his position] 159 but his humanity is not sufficient for him 

to hold it, he will lose it again. When his knowledge is sufficient for him 

to attain it and his humanity is sufficient for him to hold it, if he does not 

approach the people with dignity, the people will not respect him. If his 

knowledge is sufficient for him to attain it, his humanity sufficient for 

him to hold it, and he approaches the people with dignity, yet does not 

influence them with the principle of propriety, it is still not good." 

15:35. Confucius said, "When it comes to the practice of humanity, 

one should not defer even to his teacher." 

15:38. Confucius said, "In education there should be no class distinction." 

Comment. Confucius was the first to pronounce this principle in 

Chinese history. Among his pupils there were commoners as well 

as nobles, and stupid people as well as intelligent ones. 160 

15:40. Confucius said, "In words all that matters is to express the 

meaning." 

16:1. Confucius said, "... I have heard that those who administer 

a state or a family do not worry about there being too few people, but 

158 The Mean, ch. 27. 

159 According to Pao Hsien (6 B.C.-A.D. 65), quoted by Ho Yen. 

160 Cf. above, 7:7. 

44


worry about unequal distribution of wealth. They do not worry about 

poverty, but worry about the lack of security and peace on the part of the 

people. For when wealth is equally distributed, there will not be poverty; 

when there is harmony, there will be no problem of there being too few 

people; and when there are security and peace, there will be no danger 

to the state. . . ." 161 

16:4. Confucius said, "There are three kinds of friendship which 

are beneficial and three kinds which are harmful. Friendship with the 

upright, with the truthful, and with the well-informed is beneficial. 

Friendship with those who flatter, with those who are meek and who 

compromise with principles, and with those who talk cleverly is harmful." 

16:8. Confucius said, "The superior man stands in awe of three 

things. He stands in awe of the Mandate of Heaven; he stands in awe 

of great men; 162 and he stands in awe of the words of the sages. The inferior 

man is ignorant of the Mandate of Heaven and does not stand in 

awe of it. He is disrespectful to great men and is contemptuous toward 

the words of the sages." 

16:9. Confucius said, "Those who are born with knowledge are the 

highest type of people. Those who learn through study are the next. 

Those who learn through hard work are still the next. Those who work 

hard and still do not learn are really the lowest type." 163 

16:10. Confucius said, "The superior man has nine wishes. In seeing, 

he wishes to see clearly. In hearing, he wishes to hear distinctly. In his 

expression, he wishes to be warm. In his appearance, he wishes to be 

respectful. In his speech, he wishes to be sincere. In handling affairs, he 

wishes to be serious. When in doubt, he wishes to ask. When he is angry, 

he wishes to think of the resultant difficulties. And when he sees an opportunity 

for a gain, he wishes to think of righteousness." 

17:2. Confucius said, "By nature men are alike. Through practice 

they have become far apart." 

Comment. This is the classical Confucian dictum on human nature. 

Neo-Confucianists like Chu Hsi and Ch'eng I 164 strongly argued that 

Confucius meant physical nature, which involves elements of evil, 

for since every man's original nature is good, men must be the 

same and therefore cannot be alike. Others, however, think that 

the word chin (near or alike) here has the same meaning as in 

161 The historical background in this chapter may be inaccurate, but the teaching 

in this selection has never been questioned. 

162 Variously interpreted as sages or rulers. It is more likely a Platonic philosopher-king, 

for in the Confucian system, the sage should be a ruler and the ruler 

should be a sage. 

163 Cf. The Mean, ch. 20. 164 I-shu, 8:2a. 

45


Mencius' saying, "All things of the same kind are similar to one 

another." 165 However, on the surface this saying is indisputably 

neutral, but all of Confucius' teachings imply the goodness of 

human nature. 166 

17:3. Confucius said, "Only the most intelligent and the most stupid 

do not change." 

Comment. Advocates of the theory of three grades of nature, 

notably Wang Ch'ung, 167 Chia I (201-169 B.C.), 168 and Han 

Yü, 169 have drawn support from this saying by equating the most 

intelligent with those born good, the most stupid with those born 

evil, and the rest born neutral. They overlooked the fact that this 

passage has to do not with nature but only with intelligence. Practically 

all modern Confucianists are agreed on this point. As Ch'eng 

I, 170 Wang Yang-ming, 171 Tai Chen (Tai Tung-yüan, 1723- 

1777), 172 and Juan Yüan 173 all pointed out, it is not that they cannot 

change. It is simply that they are too intelligent to change downward 

or too stupid to change upward. 

17:4. Confucius went to the city of Wu [where his disciple Tzuyu 

was the magistrate] and heard the sound of stringed instruments and 

singing. With a gentle smile, the Master said, "Why use an ox-knife to 

kill a chicken [that is, why employ a serious measure like music to rule 

such a small town]?" Tzu-yu replied, "Formerly I heard you say, 'When 

the superior man has studied the Way, he loves men. When the inferior 

man has studied the Way, he is easy to employ.' " Confucius said, "My 

disciples, what I just said was only a joke." 

17:6. Tzu-chang asked Confucius about humanity. Confucius said, 

"One who can practice five things wherever he may be is a man of 

humanity." Tzu-chang asked what the five are. Confucius said, "Earnestness, 

liberality, truthfulness, diligence, and generosity. If one is earnest, 

one will not be treated with disrespect. If one is liberal, one will win the 

hearts of all. If one is truthful, one will be trusted. If one is diligent, one 



167 See below, ch. 16, first comment. 

168 Hsin-shu (New Treatises), ch. 5, sec. 3, SPPY, 5:7a. 

169 See below, ch. 27, sec. 1. 

170 I-shu, 18:17b. 

171 Ch'uan-hsi lu, sec. 109. See Chan, trans., Instructions for Practical Living. 

172 Meng Tzu tzu-i shu-cheng (Commentary on the Meanings of Terms in the 

Book of Mencius), sec. 22. 

173 Hsing-ming ku-hsün (Classical Interpretations of Nature and Destiny), in 

Yen-ching-shih chi, 1st collection, 10:16b. 

46


will be successful. And if one is generous, one will be able to enjoy the 

service of others." 

17:8. Confucius said, "Yu (Tzu-lu), have you heard about the six 

virtues 174 and the six obscurations?" Tzu-lu replied, "I have not." Confucius 

said, "Sit down, then. I will tell you. One who loves humanity 

but not learning will be obscured by ignorance. One who loves wisdom 

but not learning will be obscured by lack of principle. One who loves 

faithfulness but not learning will be obscured by heartlessness. One who 

loves uprightness but not learning will be obscured by violence. One 

who loves strength of character but not learning will be obscured by 

recklessness." 

17:9. Confucius said, "My young friends, why do you not study the 

odes? The odes can stimulate your emotions, broaden your observation, 

enlarge your fellowship, and express your grievances. They help you in 

your immediate service to your parents and in your more remote service 

to your rulers. They widen your acquaintance with the names of birds, 

animals, and plants." 

17:19. Confucius said, "I do not wish to say anything." Tzu-kung 

said, "If you do not say anything, what can we little disciples ever learn 

to pass on to others?" Confucius said, "Does Heaven (T'ien, Nature) say 

anything? The four seasons run their course and all things are produced. 

Does Heaven say anything?" 

Comment. This is usually cited to support the contention that Confucius 

did not believe in an anthropomorphic God but in Heaven 

which reigns rather than rules. In Neo-Confucianism, Heaven came 

to be identified with principle (li). 175 

17:23. Tzu-lu asked, "Does the superior man 176 esteem courage?" 

Confucius said, "The superior man considers righteousness (i) as the 

most important. When the superior man has courage but no righteousness, 

he becomes turbulent. When the inferior man has courage but no 

righteousness, he becomes a thief." 

17:25. Confucius said, "Women and servants are most difficult to 

deal with. If you are familiar with them, they cease to be humble. If you 

keep a distance from them, they resent it." 

Comment. From Confucius down, Confucianists have always considered 

women inferior. 

174 The word yen, ordinarily meaning saying, here refers to the virtues mentioned 

below. 

175 Cf. Lao Tzu, ch. 23. 

176 In the Analects sometimes "superior man'' means a ruler and "inferior man" 

means a common person. It is not clear which is meant here. But the moral is the 

same. 

47


18:6. Ch'ang-chü and Chieh-ni were cultivating their fields together. 

Confucius was passing that way and told Tzu-lu to ask them 

where the river could be forded. Ch'ang-chü said, "Who is the one holding 

the reins in the carriage?" Tzu-lu said, "It is K'ung Ch'iu (Confucius) 

." "Is he the K'ung Ch'iu of Lu?" "Yes." "Then he already knows 

where the river can be forded!" Tzu-lu asked Chieh-ni. Chieh-ni said, 

"Who are you, sir?" Tzu-lu replied, "I am Chung-yu (name of Tzu-lu)." 

"Are you a follower of K'ung Ch'iu of Lu?" "Yes." Chieh-ni said, "The 

whole world is swept as though by a torrential flood. Who can change it? 

As for you, instead of following one who flees from this man or that man, 

is it not better to follow those who flee the world altogether?" And with 

that he went on covering the seed without stopping. Tzu-lu went to Confucius 

and told him about their conversation. Confucius said ruefully, 

"One cannot herd with birds and beasts. If I do not associate with mankind, 

with whom shall I associate? If the Way prevailed in the world, 

there would be no need for me to change it." 177 

19:6. Tzu-hsia said, "To study extensively, to be steadfast in one's 

purpose, to inquire earnestly, and to reflect on what is at hand (that is, 

what one can put into practice)—humanity consists in these." 

19:7. Confucius said, "The hundred artisans work in their works to 

perfect their craft. The superior man studies to reach to the utmost of 

the Way." 

19:11. Tzu-hsia said, "So long as a man does not transgress the 

boundary line in the great virtues, he may pass and repass it in the small 

virtues." 

Comment. Even Chu Hsi quoted someone who pointed out that this 

passage is not free from defect. 

19:13. Tzu-hsia said, "A man who has energy to spare after studying 

should serve his state. A man who has energy to spare after serving 

his state should study." 178 

19:24. Shu-sun Wu-shu 179 slandered Chung-ni (Confucius). Tzukung 

said, "It is no use. Chung-ni cannot be slandered. Other worthies 

are like mounds or small hills. You can still climb over them. Chung-ni, 

however, is like the sun and the moon that cannot be climbed over. Although 

a man may want to shut his eyes to the sun and the moon, what 

harm does it do to them? It would only show in large measure that he 

does not know his own limitations." 

177 This episode took place when Confucius was 64. Cf. above, 14:41. 

178 Cf. above, 1:6. 179 Official-in-chief of Lu. 

48

••• 3 ••• 

IDEALISTIC CONFUCIANISM: MENCIUS 

THE CAREER OF MENCIUS (371-289 B.C.?) was amazingly similar 

to that of Confucius, whom he proclaimed the greatest sage. 1 Like Confucius, 

he was born in what is modern Shantung province. Like Confucius, 

he was a professional teacher, having studied under the pupils of 

the grandson of Confucius. Like Confucius, he idolized the legendary 

sage-emperors. 2 Like Confucius, he lived in a period of political struggle, 

moral chaos, and intellectual conflicts. Like Confucius, he had a sense of 

mission, if only to suppress "perversive doctrines." 3 To this end he debated 

with scholars and attacked his opponents, especially the followers 

of Mo Tzu (fl. 479-438 B.C.) and Yang Chu (440-360 B.C.?). 4 Like 

Confucius, he traveled for forty years from about 354 B.C. or earlier, to 

offer advice to rulers for reform. 5 Like Confucius, he once served as an 

official, in Ch'i from 319 to 312 B.C. Like Confucius, he was a filial son, 

for while serving in Ch'i, he took three years out to mourn the death of 

his mother. And like Confucius, he was eventually disappointed, and 

retired. 

One contrast between the two, however, is that we know practically 

nothing about Mencius' family or his private life. He was a pupil of Confucius' 

grandson Tzu-ssu's pupil. His dates are uncertain. The most 

scholars can say is that he lived between 370 and 290 B.C., thus making 

him contemporaneous with Hsün Tzu, Chuang Tzu, and Plato, with 

whom he is often compared. 

The greatest difference between Mencius and Confucius, however, is 

in their doctrines. Basically, Mencius' teachings were derived from Confucius. 

But in the central doctrine of the Confucian school, that of 

human nature, Mencius took a big step forward, and his new theory 

colored his other doctrines. While Confucius no more than implied that 

human nature is good, Mencius declared definitely that it is originally 

1 Mencius, 2A:2; 3B:9; 7B:38. 

2 Ibid., 3A:1; 3B:9; 4A:28; 5A:l-3; 7A:16, 30, 35; 7B:33. 

3 See below, comment on 3B:9. 

4 For debates, see Mencius, 3B:9; 4A:17; 6A:l-6. For criticisms of Yang and 

Mo, see Mencius, 3A:5; 3B:9; 7A:26; 7B:26. For attack on other schools, see 

Mencius, 3A:4; 3B:10; 6B:1. 

5 So far as scholars can make out, his travel was something like this: He 

visited the state of Ch'i in or about 357 B.C. He was in Sung around 325 B.C. 

Some two years later he went to Hsüeh and returned to his native Tsou the next 

year. At the request of the Duke of T'eng, he went there, staying for three years, 

probably from 322 to 320 B.C. From T'eng he went to Liang. About 319 B.C. he 

visited Ch'i once more and served in an official position. In 312 B.C. or soon after, 

he resigned and left. 

49

IDEALISTIC CONFUCIANISM 

good. Moreover, he built his entire philosophy on this tenet, and was the 

first to do so. Since man is originally good, it logically follows (1) that 

he possesses the innate knowledge of the good and "innate ability" 

to do good; 6 (2) that if one "develops his mind to the utmost," he can 

"serve Heaven" and "fulfill his destiny"; 7 (3) that evil is not inborn 

but due to man's own failures and his inability to avoid evil external influences; 

8 (4) that serious efforts must be made to recover our original 

nature; and (5) that the end of learning is none other than to "seek for 

the lost mind." 9 His doctrine of the recovery of original nature formed 

the basis of the philosophy of Li Ao (fl. 798). 10 His doctrine of innate 

knowledge and ability became the backbone of the idealistic philosophy 

of Wang Yang-ming (Wang Shou-jen, 1472-1529 ) l1 and those who followed 

him for two hundred years. His general theory of the goodness of 

human nature exercised a tremendous influence on the whole movement 

of Confucianism in the last millennium, especially on Tai Chen (Tai 

Tung-yüan, 1723-1777). 12 

Since human nature is good, love is therefore an inborn moral quality. 

But Mencius insisted that the practice of love must start with the family, 

and he bitterly opposed the Moist doctrine of universal love without distinctions. 

For this reason he often advocated humanity (jen, love) and 

righteousness (i) together, 13 for to him humanity was necessary to bind 

people together and righteousness was necessary to make distinctions. 

In Mencius the ideal of righteousness assumed unprecedented importance. 

He was the first one to raise righteousness to the highest level in 

moral values. 

In government, too, he felt, humanity and righteousness must be the 

guiding principles. He strongly advocated "humane government." 14 In 

fact, he was the first one to use the term. He vigorously opposed righteousness 

to utility, advantages, and profit. He wanted to overcome the 

"way of a despot," or the way of force, by the "kingly way," or the way 

of moral power. 

As moral power is inherent in everyone's nature, therefore every 

individual is "complete in himself"; every individual can become a sage; 

and everyone is equal to everyone else. For Mencius, people are the 

most important factor in government, and they have the right to revolt. 

This idea of revolution was not only novel in Mencius, but it also made 

him the greatest advocate of political democracy in Chinese history. 

Revolutionary as he was, Mencius did not deviate from the general 

6 Mencius, 7A: 15. 7 ibid., 7A: 1. 8 ibid., 6A:8. 

9 ibid., 6A:11. 10 See below, ch. 27, sec. 3. 11 See below, ch. 35. 

12 See below, ch. 38, A, secs. 2, 10; and B, sec. 29. 

13 See below, 1A:1; 4A:10, 20, 27; 6A:1, 4, 6, 11. 

14 1A:1, 5; 2A:5; 3A:3-4. 

50

MENCIUS 

direction determined by Confucius. What we have in Mencius is therefore 

orthodox Confucianism, developed along idealistic lines. 

The following selections from the Book of Mencius consist of Book 

Six, part 1, in full, which is the most important portion of the book, and 

selected chapters from other books. Their major topics and references 

are: 

Benevolent government: 1A:1, 5, 7; 1B:5, 7; 2A:5; 3A:3; 4A:14; 5A:5 

Equality: 6A:7; 3A:1; 4B:28, 32 

Great man: 6A:14, 15; 4B:11, 12 

Human relations: 3A:4; 3B:2, 9; 4A:17, 18, 26; 4B:30 

Humanity (jen) and Righteousness: 6A:1, 4, 8, 10, 11, 18, 19; 1A:1; 2A:2; 

4A:10, 20, 27 

Nature, human, and Innate virtue: 6A: 1-6; 2A:6; 4B:26 

People and Revolution: 1B:7, 8; 4B:3 

Social classes: 3A:3, 4 

Unbearing mind: 1A:7; 2A:6 

Undisturbed mind: 2A:2 

Yang and Mo: 3A:5; 3B:9; 7A:26 

THE BOOK OF MENCIUS 15 

Book Six, Part I 

6A:1. Kao Tzu 16 said, "Human nature is like the willow tree, and 

righteousness is like a cup or a bowl. To turn human nature into humanity 

and righteousness is like turning the willow into cups and bowls." 

Mencius said, "Sir, can you follow the nature of the willow tree and 

make the cups and bowls, or must you violate the nature of the willow 

tree before you can make the cups and bowls? If you are going to violate 

the nature of the willow tree in order to make cups and bowls, then must 

you also violate human nature in order to make it into humanity and 

righteousness? Your words, alas! would lead all people in the world to 

consider humanity and righteousness as calamity [because they required 

the violation of human nature]!" 

15 The Book of Mencius, Meng Tzu in Chinese, is divided into seven books, 

each subdivided into two parts. In all probability it was compiled by pupils of 

Mencius after his death. Chu Hsi (1130-1200) grouped it with the Analects, the 

Great Learning, and the Doctrine of the Mean as the "Four Books." From then 

on they ranked as Classics. These four books and Chu Hsi's commentaries on 

them were the basis of the civil service examinations from 1313 till 1905, replacing 

other Classics in importance and influence. For translations of the Book of 

Mencius, see Bibliography. 

16 His dates are c.420-c.350 B.C., but otherwise nothing is known of him. Chao 

Ch'i (d. 201), in his Meng Tzu chu (Commentary on the Book of Mencius), 

says his name was Pu-hai. Chiao Hsün (1763-1820), in his Meng Tzu cheng-i 

(Correct Meanings of the Book of Mencius), thought Chao confused him with 

the Pu-hai who once studied under Mencius. The two different persons merely 

had the same private name. 

51


6A:2. Kao Tzu said, "Man's nature is like whirling water. If a 

breach in the pool is made to the east it will flow to the east. If a breach 

is made to the west it will flow to the west. Man's nature is indifferent to 

good and evil, just as water is indifferent to east and west." Mencius 

said, "Water, indeed, is indifferent to the east and west, but is it indifferent 

to high and low? Man's nature is naturally good just as water 

naturally flows downward. There is no man without this good nature; 

neither is there water that does not flow downward. Now you can strike 

water and cause it to splash upward over your forehead, and by damming 

and leading it, you can force it uphill. Is this the nature of water? It is 

the forced circumstance that makes it do so. Man can be made to do 

evil, for his nature can be treated in the same way." 

6A:3. Kao Tzu said, "What is inborn 17 is called nature." Mencius 

said, "When you say that what is inborn is called nature, is that like 

saying that white is white?" "Yes." "Then is the whiteness of the white 

feather the same as the whiteness of snow? Or, again, is the whiteness 

of snow the same as the whiteness of white jade?" "Yes." "Then is 

the nature of a dog the same as the nature of an ox, and is the nature 

of an ox the same as the nature of a man?" 

6A:4. Kao Tzu said, "By nature we desire food and sex. Humanity is 

internal and not external, whereas righteousness is external and not internal." 

Mencius said, "Why do you say that humanity is internal and 

righteousness external?" "When I see an old man and respect him for 

his age, it is not that the oldness is within me, just as, when something 

is white and I call it white, I am merely observing its external appearance. 

I therefore say that righteousness is external." Mencius said, "There is 

no difference between our considering a white horse to be white and a 

white man to be white. But is there no difference between acknowledging 

the age of an old horse and the age of an old man? And what is it that we 

call righteousness, the fact that a man is old or the fact that we honor his 

old age?" Kao Tzu said, "I love my own younger brother but do not 

love the younger brother of, say, a man from the state of Ch'in. This is 

because I am the one to determine that pleasant feeling. I therefore say 

that humanity comes from within. On the other hand, I respect the old 

men of the state of Ch'u as well as my own elders. What determines my 

pleasant feeling is age itself. Therefore I say that righteousness is external." 

Mencius said, "We love the roast meat of Ch'in as much as we 

love our own. This is even so with respect to material things. Then are 

you going to say that our love of roast meat is also external?" 

17 According to Chu Hsi, Meng Tzu chi-chu (Collected Commentaries on the 

Book of Mencius), sheng refers not to man's inborn nature but to his consciousness 

and activities, and is comparable to the Buddhist theory that function is 

nature. 

52

MENCIUS 

6A:5. Meng Chi Tzu 18 asked Kung-tu Tzu, 19 "What does it mean 

to say that righteousness is internal?" Kung-tu Tzu said, "We practice 

reverence, and therefore it is called internal." "Suppose a fellow villager 

is one year older than your older brother. Whom are you going to serve 

with reverence?" "I shall serve my brother with reverence." "In offering 

wine at a feast, to whom will you offer first?" "I shall offer wine 

to the villager first." Meng Chi Tzu said, "Now you show reverence to 

one but honor for age to the other. What determines your actions certainly 

lies without and not within." Kung-tu Tzu could not reply and 

told Mencius about it. Mencius said, "If you ask him whether he will 

serve with reverence his uncle or his younger brother, he will say that 

he will serve with reverence his uncle. Then you ask him, in case his 

younger brother is acting at a sacrifice as the representative of the 

deceased, then to whom is he going to serve with reverence? He will 

say he will serve the younger brother with reverence. Then you ask him 

'Where is your reverence for your uncle?' He will then say, '[I show 

reverence to my younger brother] because he represents the ancestral 

spirit in an official capacity.' You can then likewise say, '[I show reverence 

to the villager] because of his position.' Ordinarily, the reverence 

is due the elder brother, but on special occasions it is due the villager." 

When Chi Tzu heard this, he said, "We show reverence to uncle when 

reverence is due him, and we show reverence to the younger brother 

when reverence is due him. Certainly what determines it lies without 

and does not come from within." Kung-tu Tzu said, "In the winter 

we drink things hot. In the summer we drink things cold. Does it mean 

that what determines eating and drinking also lies outside?" 

6A:6. Kung-tu Tzu said, "Kao Tzu said that man's nature is 

neither good nor evil. Some say that man's nature may be made good 

or evil, therefore when King Wen and King Wu 20 were in power the 

people loved virtue, and when Kings Yu and Li 21 were in power people 

loved violence. Some say that some men's nature is good and some 

men's nature is evil. Therefore even under (sage-emperor) Yao 22 

there was Hsiang [who daily plotted to kill his brother], and even with 

a bad father Ku-sou, there was [a most filial] Shun 23 (Hsiang's brother 

18 Chu Hsi thinks he was possibly a younger brother of Meng Chung Tzu, 

pupil of Mencius. 

19 Mencius' pupil. 

20 Sage-kings who founded the Chou dynasty (r. 1171-1122 B.C. and 1121-1116 

B.C., respectively). 

21 Wicked kings (r. 781-771 B.C. and 878-842 B.C., respectively). 

22 Legendary ruler (3rd millennium B.C.). 

23 Legendary ruler, successor of Yao. 

53


who succeeded Yao), and even with (wicked king) Chou 24 as nephew 

and ruler, there were Viscount Ch'i of Wei and Prince Pi-kan. 25 Now you 

say that human nature is good. Then are those people wrong?" 

Mencius said, "If you let people follow their feelings (original nature), 

26 they will be able to do good. This is what is meant by saying 

that human nature is good. If man does evil, it is not the fault of his 

natural endowment. 27 The feeling of commiseration is found in all 

men; the feeling of shame and dislike is found in all men; the feeling of 

respect and reverence is found in all men; and the feeling of right and 

wrong is found in all men. The feeling of commiseration is what we call 

humanity; the feeling of shame and dislike is what we call righteousness; 

the feeling of respect and reverence is what we call propriety 

(li); 28 and the feeling of right and wrong is what we call wisdom. 

Humanity, righteousness, propriety, and wisdom are not drilled into 

us from outside. We originally have them with us. Only we do not think 

[to find them]. Therefore it is said, 'Seek and you will find it, neglect 

and you will lose it.' 29 [Men differ in the development of their endowments], 

some twice as much as others, some five times, and some to an 

incalculable degree, because no one can develop his original endowment 

to the fullest extent. The Book of Odes says, 'Heaven produces the teeming 

multitude. As there are things there are their specific principles. 

When the people keep their normal nature they will love excellent virtue.' 

30 Confucius said, 'The writer of this poem indeed knew the Way 

(Tao). Therefore as there are things, there must be their specific principles, 

and since people keep to their normal nature, therefore they love 

excellent virtue.' " 

Comment. Mencius is the most important philosopher on the question 

of human nature, for he is the father of the theory of the 

original goodness of human nature. In spite of variations and modifications, 

this has remained the firm belief of the Chinese. Book 

24 King Chou (r. 1175-1112 B.C.) was responsible for the fall of the Shang 

dynasty (1751-1112 B.C.). 

25 It is not sure whether they were King Chou's uncles. Their good advice to 

King Chou was rejected. 

26 Note that ch'ing here does not mean feelings which are sources of evil 

desires, as understood by later Confucianists, but feelings proper to the originally 

good nature of man. As Tai Chen has clearly pointed out in his Meng Tzu tzu-i 

shu-cheng (Commentary on the Meanings of Terms in the Book of Mencius), sec. 

30, ch'ing is the original simple substance, not contrasted with the nature. 

27 The word ts'ai, ordinarily meaning ability, is here interchangeable with ts'ai 

meaning raw material. 

28 The word li here is not used in its narrow sense of rites and ceremonies but 

in the broad sense of principle of conduct and the sense of what is proper. 

29 Probably an old saying, 

30 Ode no. 260. 

54

MENCIUS 

Six, part 1, is almost entirely devoted to the subject. And of all the 

chapters, this is the most nearly central and the most comprehensive. 

It records the various theories on human nature in ancient 

China, except that of Hsün Tzu. It puts Mencius' own theory in 

direct and simple form. And it also points out that evil or failure 

is not original but due to the underdevelopment of one's original 

endowment. Later Confucianists, especially Neo-Confucianists, devoted 

much of their deliberations to these subjects, but they have 

never deviated from the general direction laid down by Mencius. 

6A:7. Mencius said, "In good years most of the young people behave 

well. 31 In bad years most of them abandon themselves to evil. 32 

This is not due to any difference in the natural capacity endowed by 

Heaven. The abandonment is due to the fact that the mind is allowed 

to fall into evil. Take for instance the growing of wheat. You sow the 

seeds and cover them with soil. The land is the same and the time of 

sowing is also the same. In time they all grow up luxuriantly. When the 

time of harvest comes, they are all ripe. Although there may be a difference 

between the different stalks of wheat, it is due to differences in 

the soil, as rich or poor, to the unequal nourishment obtained from the 

rain and the dew, and to differences in human effort. Therefore all things 

of the same kind are similar to one another. Why should there be any 

doubt about men? The sage and I are the same in kind. Therefore Lung 

Tzu 33 said, 'If a man makes shoes without knowing the size of people's 

feet, I know that he will at least not make them to be like baskets.' 

Shoes are alike because people's feet are alike. There is a common taste 

for flavor in our mouths. I-ya 34 was the first to know our common taste 

for food. Suppose one man's taste for flavor is different from that of 

others, as dogs and horses differ from us in belonging to different 

species, then why should the world follow I-ya in regard to flavor? Since 

in the matter of flavor the whole world regards I-ya as the standard, it 

shows that our tastes for flavor are alike. The same is true of our ears. 

Since in the matter of sounds the whole world regards Shih-k'uang 35 as 

the standard, it shows that our ears are alike. The same is true of our 

eyes. With regard to Tzu-tu, 36 none in the world did not know that he 

31 Juan Yüan (1764-1849) and Chao Ch'i understood lai to mean behaving 

well. Chiao Hsün, however, interpreted the term lai to mean "to become dependent 

or lazy." See Chiao, Meng Tzu cheng-i. 

32 Pao is not to be understood in its ordinary meaning of violence, but evil, 

according to Chao Ch'i. 

33 An ancient worthy. 

34 An ancient famous gourmet, chef of Duke Huan (r. 685-643 B.C.) of Ch'i. 

35 An ancient expert on music, concert master for Duke P'ing (r. 557-532 B.C.) 

of Chin. 

36 An ancient handsome man. 

55


was handsome. Any one who did not recognize his handsomeness must 

have no eyes. Therefore I say there is a common taste for flavor in our 

mouths, a common sense for sound in our ears, and a common sense 

for beauty in our eyes. Can it be that in our minds alone we are 

not alike? What is it that we have in common in our minds? It is 

the sense of principle and righteousness (i-li, moral principles). The 

sage is the first to possess what is common in our minds. Therefore 

moral principles please our minds as beef and mutton and pork please 

our mouths." 

Comment. In saying that one is of the same kind as the sage, 

Mencius was pronouncing two principles of utmost significance. One 

is that every person can be perfect, and the other is that all people 

are basically equal. 37 Also, in pointing to the moral principle which 

is common in our minds, he is pointing to what amounts to the 

Natural Law. Belief in the Natural Law has been persistent in 

Chinese history. It is called Principle of Nature (T'ien-li) by Neo- 

Confucianists. It is essentially the same as Mencius' i-li. 

6A:8. Mencius said, "The trees of the Niu Mountain 38 were once 

beautiful. But can the mountain be regarded any longer as beautiful 

since, being in the borders of a big state, the trees have been hewed 

down with axes and hatchets? Still with the rest given them by the days 

and nights and the nourishment provided them by the rains and the 

dew, they were not without buds and sprouts springing forth. But then 

the cattle and the sheep pastured upon them once and again. That is 

why the mountain looks so bald. When people see that it is so bald, they 

think that there was never any timber on the mountain. Is this the true 

nature of the mountain? Is there not [also] a heart of humanity and 

righteousness originally existing in man? The way in which he loses 

his originally good mind is like the way in which the trees are hewed 

down with axes and hatchets. As trees are cut down day after day, can 

a mountain retain its beauty? To be sure, the days and nights do the 

healing, and there is the nourishing air of the calm morning which keeps 

him normal in his likes and dislikes. But the effect is slight, and is disturbed 

and destroyed by what he does during the day. When there is 

repeated disturbance, the restorative influence of the night will not be 

sufficient to preserve (the proper goodness of the mind). When the influence 

of the night is not sufficient to preserve it, man becomes not 

much different from the beast. People see that he acts like an animal, 

and think that he never had the original endowment (for goodness). 

37 A similar idea is expressed in Mencius, 4B:28 and 32. 

38 Outside the capital of the state of Ch'i. 

56

MENCIUS 

But is that his true character? Therefore with proper nourishment and 

care, everything grows, whereas without proper nourishment and care, 

everything decays. Confucius said, "Hold it fast and you preserve it. 

Let it go and you lose it. It comes in and goes out at no definite time 

and without anyone's knowing its direction.' He was talking about the 

human mind." 

6A:9. Mencius said, "Don't suspect that the king 39 lacks wisdom, 

Even in the case of the things that grow most easily in the world, they 

would never grow up if they were exposed to sunshine for one day and 

then to cold for ten days. It is seldom that I have an audience with 

him, and when I leave, others who expose him to cold arrive. Even if 

what I say to him is taking root, what good does it do? Now chess playing 

is but a minor art. One cannot learn it unless he concentrates his 

mind and devotes his whole heart to it. Chess Expert Ch'iu is the best 

chess player in the whole country. Suppose he is teaching two men to 

play. One man will concentrate his mind and devote his whole heart 

to it, doing nothing but listening to Chess Expert Ch'iu's instructions. 

Although the other man listens to him, his whole mind is thinking that 

a wild goose is about to pass by and he wants to bend his bow, adjust 

the string to the arrow, and shoot it. Although he is learning along with 

the other man, he will never be equal to him. Is that because his intelligence 

is inferior? No, it is not." 

6A:10. Mencius said, "I like fish and I also like bear's paw. If I 

cannot have both of them, I shall give up the fish and choose the bear's 

paw. I like life and I also like righteousness. If I cannot have both of 

them, I shall give up life and choose righteousness. I love life, but there 

is something I love more than life, and therefore I will not do anything 

improper to have it. I also hate death, but there is something I hate 

more than death, and therefore there are occasions when I will not 

avoid danger. If there is nothing that man loves more than life, then 

why should he not employ every means to preserve it? And if there 

is nothing that man hates more than death, then why does he not do 

anything to avoid danger? There are cases when a man does not take 

the course even if by taking it he can preserve his life, and he does 

not do anything even if by doing it he can avoid danger. 40 Therefore 

there is something men love more than life and there is something men 

hate more than death. It is not only the worthies alone who have this 

moral sense. All men have it, but only the worthies have been able 

to preserve it. 

Suppose here are a small basket of rice and a platter of soup. With 

39 Probably King Hsüan of Ch'i (r. 342-324 B.C.). 

40 Cf. Analects, 15:8. 

57


them one will survive and without them one will die. If you offer them 

in a loud and angry voice, even an ordinary passer-by will not accept 

them, or if you first tread on them and then offer them, even a beggar 

will not stoop to take them. What good does a salary of ten thousand 

bushels do me if I accept them without any consideration of the principles 

of propriety and righteousness? Shall I take it because it gives 

me beautiful mansions, the service of a wife and concubines, and the 

chance gratitude of my needy acquaintances who receive my help? If 

formerly I refused to accept the offer (of rice and soup) in the face 

of death and now I accept for the sake of beautiful mansions, if formerly 

I refused the offer in the face of death and now accept for the sake of 

the service of a wife and concubines, if formerly I refused the offer and 

now accept for the sake of the gratitude of my needy acquaintances, is 

that not the limit? This is called casting the original mind away." 41 

6A: 11. Mencius said, "Humanity is man's mind and righteousness is 

man's path. Pity the man who abandons the path and does not follow it, 

and who has lost his heart and does not know how to recover it. When 

people's dogs and fowls are lost, they go to look for them, and yet, 

when they have lost their hearts, they do not go to look for them. The 

way of learning is none other than finding the lost mind. 

6A:12. Mencius said, "Suppose there is a man whose fourth finger 

is crooked and cannot stretch out straight. It is not painful and it does 

not interfere with his work. And yet if there were someone who could 

straighten out the finger for him, he would not mind going as far as to 

the states of Ch'in and Ch'u because his finger is not like those of others, 

yet he does not hate the fact that his mind is not like those of others. 

This is called ignorance of the relative importance of things." 42 

6A:13. Mencius said, "Anybody who wishes to cultivate the t'ung 

and tzu trees, which may be grasped by one or both hands, knows how 

to nourish them. In the case of their own persons, men do not know 

how to nourish them. Do they love their persons less than the t'ung and 

tzu trees? Their lack of thought is extreme." 

6A:14. Mencius said, "There is not a part of the body that a man 

does not love. And because there is no part of the body that he does 

not love, there is not a part of it that he does not nourish. Because 

there is not an inch of his skin that he does not love, there is not an 

inch of his skin that he does not nourish. To determine whether his 

nourishing is good or not, there is no other way except to see the choice 

he makes for himself. Now, some parts of the body are noble and some 

41 According to Chu Hsi, this is the original mind of shame and dislike. 

42 This interpretation is according to Sun Shih (962-1033), subcommentary on 

Chao Ch'i's commentary in the Meng Tzu chu-shu (Subcommentary and Commentary 

on the Book of Mencius) in the Thirteen Classics Series. 

58

MENCIUS 

are ignoble; some great and some small. We must not allow the ignoble 

to injure the noble, or the smaller to injure the greater. Those who 

nourish the smaller parts will become small men. Those who nourish 

the greater parts will become great men. A gardener who neglects his 

t'ung and tzu trees and cultivates thorns and bramble becomes a bad 

gardener. A man who takes good care of his finger and, without knowing 

it, neglects his back and shoulders, resembles a hurried wolf. 43 A 

man who only eats and drinks is looked down upon by others, because 

he nourishes the smaller parts of his body to the injury of the greater 

parts. If he eats and drinks but makes no mistake [of injuring the greater 

parts of his body], how should his mouth and belly be considered merely 

as so many inches of his body?" 

6A:15. Kung-tu Tzu asked, "We are all human beings. Why is it that 

some men become great and others become small?" Mencius said, 

"Those who follow the greater qualities in their nature become great 

men and those who follow the smaller qualities in their nature become 

small men." "But we are all human beings. Why is it that some follow 

their greater qualities and others follow their smaller qualities?" Mencius 

replied, "When our senses of sight and hearing are used without thought 

and are thereby obscured by material things, the material things act on 

the material senses and lead them astray. That is all. The function of 

the mind is to think. If we think, we will get them (the principles of 

things). If we do not think, we will not get them. This is what Heaven 

has given to us. If we first build up the nobler part of our nature, then 

the inferior part cannot overcome it. It is simply this that makes a 

man great." 

Comment. We shall find that the idea of building up the nobler 

part of our nature became an important tenet in the moral philosophy 

of Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193), leader of 

the idealistic school of Neo-Confucianism. 44 

6A:16. Mencius said, "There is nobility of Heaven and there is 

nobility of man. Humanity, righteousness, loyalty, faithfulness, and the 

love of the good without getting tired of it constitute the nobility of 

Heaven, and to be a grand official, a great official, and a high official— 

this constitutes the nobility of man. The ancient people cultivated the 

nobility of Heaven, and the nobility of man naturally came to them. 

People today cultivate the nobility of Heaven in order to seek for the 

nobility of man, and once they have obtained the nobility of man, they 

43 The meaning of the phrase is obscure. 

44 See below, ch. 33, secs. 8 and 24. 

59


forsake the nobility of Heaven. Therefore their delusion is extreme. 

At the end they will surely lose [the nobility of man] also." 

6A:17. Mencius said, "The desire to be honored is shared by the 

minds of all men. But all men have in themselves what is really honorable. 

Only they do not think of it. The honor conferred by men is not 

true honor. Whoever is made honorable by Chao Meng 45 can be made 

humble by him again. The Book of Odes says, 'I am drunk with wine, and 

I am satiated with virtue.' 46 It means that a man is satiated with humanity 

and righteousness, and therefore he does not wish for the flavor of fat 

meat and fine millet of men. A good reputation and far-reaching praise 

are heaped on him, and he does not desire the embroidered gowns of 

men." 

6A:18. Mencius said, "Humanity subdues inhumanity as water subdues 

fire. Nowadays those who practice humanity do so as if with one 

cup of water they could save a whole wagonload of fuel on fire. When the 

flames were not extinguished, they would say that water cannot subdue 

fire. This is as bad as those who are inhumane. 47 At the end they will 

surely lose [what little humanity they have]." 

6A:19. Mencius said, "The five kinds of grain are considered good 

plants, but if they are not ripe, they are worse than poor grains. So the 

value of humanity depends on its being brought to maturity." 

6A:20. Mencius said, "When Master I 48 taught people to shoot, he 

always told them to draw the bow to the full. The man who wants to 

learn [the way] 49 must likewise draw his bow (his will) to the full. 

When a great carpenter teaches people, he always tells them to use 

squares and compasses. The man who wants to learn must likewise use 

squares and compasses (or moral standards)." 

ADDITIONAL SELECTIONS 

1A:1. Mencius replied [to King Hui at Liang], 50 "Why must 

Your Majesty use the term profit? What I have to offer are nothing but 

humanity and righteousness. If Your Majesty ask what is profitable 

to your country, if the great officers ask what is profitable to their families, 

and if the inferior officers and the common people ask what is 

profitable to themselves, then both the superiors and the subordinates 

45 A high official of the Chin state. 

46 Ode no. 247. 

47 This is Chiao Hsün's interpretation. Chao Ch'i and Chu Hsi, however, interpret 

yü not as "the same as" but as "to help," that is, it greatly helps (en- 

courages) the inhumane. 

48 An ancient famous archer. 

49 Insertion according to Chao Ch'i. 

50 Mencius arrived in Liang in 320 B.C. King Hui (r. 370-319 B.C.) assumed 

the title of king by usurpation. 

60

MENCIUS 

will try to snatch the profit from one another and the country will 

crumble." 

1A:5. Mencius answered [King Hui], "Even with a territory of a 

hundred li, 51 it is possible to become the true king of the empire. If 

Your Majesty can practice a humane government to the people, reduce 

punishments and fines, lower taxes and levies, make it possible for the 

fields to be plowed deep and the weeding well done, men of strong 

body, in their days of leisure may cultivate their filial piety, brotherly 

respect, loyalty, and faithfulness, thereby serving their fathers and elder 

brothers at home and their elders and superiors abroad. Then you can 

have them prepare sticks to oppose the strong armor and sharp weapons 

of the states of Ch'in and Ch'u." 

1A:7. Mencius said, "Treat with respect the elders in my family, 

and then extend that respect to include the elders in other families. 

Treat with tenderness the young in my own family, and then extend that 

tenderness to include the young in other families. . . . Let mulberry trees 

be planted about the homesteads with their five mou, 52 and men of fifty will 

be able to be clothed in silk. Let there be timely care for fowls, pigs, dogs, 

and swine, and men of seventy will be able to have meat to eat. Let there 

be no neglect in the timely cultivation of the farm with its hundred mou, 

and the family of eight mouths will suffer no hunger. Let serious attention 

be paid to education in school, elucidating the principles of filial 

piety and brotherly respect, and the gray-haired men will not carry 

burdens on the roads. There has never been a case when men of seventy 

had silk to wear and meat to eat, when the common people were neither 

hungry nor cold, and yet the ruler did not become the true king of the 

empire." 

1B:5. King Hsüan of Ch'i said, "I have a weakness. I love wealth." 

Mencius replied, ". . . If Your Majesty love wealth, let your people enjoy 

the same, and what difficulty will there be for you to become the 

true king of the empire?" The King said, "I have a weakness, I love sex." 

Mencius replied, ". . . If Your Majesty love sex, let your people enjoy 

the same, and what difficulty will there be for you to become the true 

king of the empire?" 

1B:7. Mencius said [to King Hsüan], ". . . When all your immediate 

ministers say that a man is worthy, it is not sufficient. When all your 

great officers say so, it is not sufficient. When all your people say so, 

look into the case, and if you find him to be worthy, then employ him. 

When all your immediate ministers say that a man is no good, do not 

listen to them. When all your great officers say so, do not listen to them. 

51 One-third of a mile. 

61 

52 One-sixth of an acre.


When all your people say so, look into the case, and if you find him to 

be no good, then dismiss him. When all your immediate ministers say 

that a man should be executed, do not listen to them. When all your 

great officers say so, do not listen to them. When all your people say so, 

look into the case, and if you find that the person should be executed, 

then execute him. It is therefore said that the people execute him. 

Only in this way can a ruler become parent of the people." 

Comment. No one in the history of Chinese thought has stressed 

more vigorously the primary importance of the people for the 

state. 53 Mencius considers the people even more important than 

the ruler or territory. Echoes of this doctrine were especially strong 

in the seventeenth and twentieth centuries. 

1B:8. King Hsüan of Ch'i asked, "Was it a fact that T'ang 54 

banished King Chieh 55 and that King Wen punished King Chou?" Mencius 

replied, "Yes, according to records." The King said, "Is it all right 

for a minister to murder his king?" Mencius said, "He who injures 

humanity is a bandit. He who injures righteousness is a destructive person. 

Such a person is a mere fellow. I have heard of killing a mere fellow 

Chou, but I have not heard of murdering [him as] the ruler." 

Comment. The doctrine of revolution is here boldly advanced and 

simply stated. A wicked king has lost the Mandate of Heaven and 

it should go to someone else. Confucianists have always upheld this 

doctrine, and it has been used by almost every rebel. 56 

2A:2. [Kung-sun Ch'ou] 57 asked, "May I venture to ask, sir, how 

you maintain an unperturbed mind and how Kao Tzu maintains an unperturbed 

mind. May I be told?" Mencius answered, "Kao Tzu said, 

'What is not attained in words is not to be sought in the mind, and what 

is not attained in the mind is not to be sought in the vital force.' It is all 

right to say that what is not attained in the mind is not to be sought in 

the vital force, but it is not all right to say that what is not attained in 

words is not to be sought in the mind. The will is the leader of the vital 

force, and the vital force pervades and animates the body. The will is 

the highest; the vital force comes next. Therefore I say, 'Hold the will 

firm and never do violence to the vital force.'" 

Ch'ou said, "You said that the will is the highest and that the vital 

53 See below, 7B:14; 4B:3; 5A:5. 

54 Founder of Shang dynasty (r. 1751-1739 B.C.). 

55 A wicked king (r. 1802-1752 B.C.), who was responsible for the fall of the 

Hsia dynasty (2183-1752 B.C.). 

56 See below, Additional Selections, comment on 4B:3. 

57 Mencius' pupil. 

62

MENCIUS 

force comes next. But you also say to hold the will firm and never to do 

violence to the vital force. Why?" 

Mencius said, "If the will is concentrated, the vital force [will follow 

it] and become active. If the vital force is concentrated, the will [will 

follow it] and become active. For instance, here is a case of a man falling 

or running. It is his vital force that is active, and yet it causes his mind 

to be active too." 

Ch'ou asked, "May I venture to ask, sir, in what you are strong?" 

Mencius replied, "I understand words. 58 And I am skillful in nourishing 

my strong, moving power." 

"May I ask what is meant by the strong, moving power?" 

"It is difficult to describe. As power, it is exceedingly great and exceedingly 

strong. If nourished by uprightness and not injured, it will 

fill up all between heaven and earth. As power, it is accompanied by 

righteousness and the Way. Without them, it will be devoid of nourishment. 

It is produced by the accumulation of righteous deeds but is not 

obtained by incidental acts of righteousness. When one's conduct is not 

satisfactory to his own mind, then one will be devoid of nourishment. I 

therefore said that Kao Tzu never understood righteousness because he 

made it something external." 

Comment. The "strong, moving power" (hao-jan chih ch'i) has 

been likened to "flood breath" or some kind of yoga 59 and mysticism. 

60 But as most commentators have pointed out, it is merely a 

great and strong power. 61 It is comparable to what Confucius said, 

i.e., that he had no more perplexities at forty. 62 

"Always be doing something without expectation. 63 Let the mind not 

forget 64 its objective, but let there be no artificial effort to help it grow. 

Do not be like the man of Sung. There was a man of Sung who was 

58 "I understand people's feelings from their words," according to Chao Ch'i, 

or "I understand the principles of things as expressed in words," according to 

Chu Hsi. 

59 Waley, Three Ways of Thought in Ancient China, p. 118. 

60 Fung, History of Chinese Philosophy, vol. 1, p. 130. 

61 Tung Chung-shu (c.l79-c.104 B.C.) saw in the phrase "the force of harmony 

in the universe." For Yen Shih-ku (581-645), it meant the force of purity and 

unity. To Liu Liang (1st century), it was the spirit of abandonment and leisure. 

(See Chiao Hsün, Meng Tzu cheng-i.) Chiao, like many others, understood it 

merely as "great," and Chu Hsi understood it as "strong and moving." 


63 Chiao Hsün read cheng ("to correct") as chih ("to stop"). I am following 

Chu Hsi, who interprets cheng to mean to expect or to calculate. 

64 It is possible to punctuate after "the mind" so that it reads "stop the mind." 

However, nothing is gained by this change. 

63


sorry that his corn was not growing, and so he pulled it up. Having been 

tired out he went home and said to his people, 'I am all tired. I have 

helped the corn to grow.' When his son ran to look at it, the corn had 

already withered." 

Comment. To Zen Buddhism, the mind must always remain sensitive 

and sharp. One of their slogans is "Be always alert." Under its 

impact, Neo-Confucianists similarly stressed "Always be doing 

something." This is especially true of Wang Yang-ming. 65 The difference 

between the Buddhists and the Confucianists is that the 

former emphasize the state of mind while the latter emphasize 

activity. 

2A:3. Mencius said, "A ruler who uses force to make a pretense at 

humanity is a despot. Such a despot requires a large kingdom. A ruler 

who practices humanity with virtue is a true king. To become a true 

king does not depend on a large kingdom. T'ang became, so with only 

seventy li, and King Wen with only a hundred. When force is used to 

overcome people, they do not submit willingly but only because they have 

not sufficient strength to resist. But when virtue is used to overcome 

people, they are pleased in their hearts and sincerely submit, as the 

seventy disciples submitted to Confucius. The Book of Odes says: 

This is what is meant." 

From the west, from the east, 

From the south, from the north, 

None wanted to resist. 66 

Comment. The foundation of Confucian political philosophy is 

"humane government," government of the true king, who rules 

through moral example. 67 His guiding principle is righteousness, 

whereas that of the despot is profit. 68 This contrast between kingliness 

and despotism has always remained sharp in the minds of 

Confucian political thinkers. 

2A:5. Mencius said, "If a ruler honors the worthy and employs 

the competent so that offices are occupied by the wisest, then scholars 

throughout the world will be delighted to stand in his court. If in the 

city he levies a rent but does not tax the goods, or enforces certain reg- 

65 Ch'uan-hsi lu (Instructions for Practical Living), secs. 147, 163, 186. See 

Chan, trans., Instructions for Practical Living. 

66 Ode no. 244. 

67 See above, Additional Selections, 1A:1, 5; and below, Additional Selections, 

2A:5, 3A:3-4, 7A:13. 

68 The contrast is strongly brought out in 1A: 1. 

64

MENCIUS 

ulations but does not levy a rent, then traders throughout the world 

will be delighted to store goods in his city. If at his frontier passes there 

will be inspection but no tax, then travelers throughout the world will 

be delighted to travel on his highways. If farmers are required to give 

their mutual aid to cultivate the public field but not required to pay tax, 

then all farmers throughout the world will be delighted to farm in his 

land. If there is no fine for the idler or the family that fails to meet a 

certain quota of cloth products, then all people throughout the world 

will be delighted to become his subjects. If a ruler can truly practice 

these five things, then the people in the neighboring states will look up 

to him as a parent. Ever since there has been mankind, none has succeeded 

in leading children to attack their parents. Thus such a ruler 

will have no enemy anywhere in the world, and having no enemy in the 

world, he will be an official appointed by Heaven. There has never been 

such a person who did not become the true king of the empire." 

2A:6. Mencius said, "All men have the mind which cannot bear [to 

see the suffering of] 69 others. The ancient kings had this mind and 

therefore they had a government that could not bear to see the suffering 

of the people. When a government that cannot bear to see the suffering 

of the people is conducted from a mind that cannot bear to see the 

suffering of others, the government of the empire will be as easy as 

making something go round in the palm. 

"When I say that all men have the mind which cannot bear to see 

the suffering of others, my meaning may be illustrated thus: Now, 

when men suddenly see a child about to fall into a well, they all 

have a feeling of alarm and distress, not to gain friendship with the 

child's parents, nor to seek the praise of their neighbors and friends, 

nor because they dislike the reputation [of lack of humanity if they did 

not rescue the child]. From such a case, we see that a man without the 

feeling of commiseration is not a man; a man without the feeling of 

shame and dislike is not a man; a man. without the feeling of deference 

and compliance is not a man; and a man without the feeling of right 

and wrong is not a man. The feeling of commiseration is the beginning 

of humanity; the feeling of shame and dislike is the beginning of 

righteousness; the feeling of deference and compliance is the beginning 

of propriety; and the feeling of right and wrong is the beginning of 

wisdom. Men have these Four Beginnings just as they have their four 

limbs. Having these Four Beginnings, but saying that they cannot 

develop them is to destroy themselves. When they say that their ruler 

cannot develop them, they are destroying their ruler. If anyone with 

these Four Beginnings in him knows how to give them the fullest ex- 

69 According to Chao Ch'i, "cannot bear to do evil to others.'' 

65


tension and development, the result will be like fire beginning to bum 

or a spring beginning to shoot forth. When they are fully developed, they 

will be sufficient to protect all people within the four seas (the world). 

If they are not developed, they will not be sufficient even to serve one's 

parents." 

Comment. Practically all later Confucianists have accepted the 

Four Beginnings as the innate moral qualities. In K'ang Yu-wei's 

philosophy, the "mind that cannot bear" is the starting point. 70 

3A:1. When Duke Wen 71 of T'eng was crown prince, having to go 

to Ch'u, he went by way of Sung to see Mencius. Mencius discoursed to 

him on the original goodness of human nature, and when he spoke, he 

always praised (sage-emperors) Yao and Shun. When the crown prince 

was returning from Ch'u, he visited Mencius again. Mencius said, "Prince, 

do you doubt my words? The Way is one and only one. Ch'eng Ch'ien 

(a brave minister) once said to Duke Ching of Ch'i, 72 'They are men. 

I am also a man. Why should I fear them?' and Yen Yüan 73 said, 'Who 

was Shun and who am I? Anyone who makes the effort will be like him.' 

Kung-ming I 74 said, 'King Wen is my teacher. (That is, I can be like 

Mm.) How should the Duke of Chou 75 deceive me [by those words]?' 

Now, T'eng, averaging its length and its width, will amount to about 

fifty li. [It is small but] it can still be made to be a good state. The Book 

of History says, 'If medicine does not make the patient dazed, it will not 

cure his disease.' " 76 

3A:3. Duke Wen of T'eng asked about the proper way of government. 

Mencius said, "The business of the people should not be delayed. 

The Book of Odes says: 

In the morning go and gather the grass. 

In the evening twist your ropes. 

Then get up soon on the roof [to do the repair], 

For before long the grains have to be sowed. 77 

The way according to which the people conduct their lives is this: 

If they have a secure livelihood, they will have a secure mind. And 

if they have no secure livelihood, they will not have a secure mind. And 

if they have no secure mind, there is nothing they will not do in the 

way of self-abandonment, moral deflection, depravity, and wild license. 

When they fall into crime, to pursue and punish them is to entrap them. 

70 71 

See below, ch. 39, sec. 3. 

Nothing is known of him. 

72 

R. 546-489 B.C. 

73 

Confucius' most favorite pupil, (521-490 B.C.). 

74 

A worthy of the state of Lu. 

75 

Younger brother of King Wu (d. 1094 B.C.). 

76 

History, "Charge to Yüeh.'' Cf. Legge, trans., Shoo King, p. 252. 

77 

Ode no. 154. 

66

MENCIUS 

How can such a thing as entrapping the people be allowed under the 

rule of a man of humanity? Therefore a worthy ruler will be gravely 

complaisant and thrifty, showing a respectful politeness to his subordinates, 

and taking from the people according to regulations. Yang Hu 78 

said, 'He who seeks to be rich will not be humane. He who seeks to be 

humane will not be rich.' The ruler of the Hsia dynasty allotted fifty 

mou of land to a family and required a 'contribution' (amounting to 

the proceeds of five mou). The rulers of Yin (or Shang) allotted seventy 

mou and required an 'aid' (amounting to the proceeds of seven mou). 

The rulers of Western Chou allotted one hundred mou and levied a 

'take' (amounting to the proceeds of ten mou). In reality, in all these 

cases the payment was a tithe. To 'take' means to take away, and 'aid' 

means to depend on the people. Lung Tzu said, 'For regulating the 

land tax, there is no better system than the "aid" system and no worse 

than the "contribution" system. In the "contribution" system, the normal 

amount was fixed by taking the average of several years. In prosperous 

years when the grains lie about in abundance, much might be taken 

without being oppressive, and the actual exaction would be small. But 

in bad years, the produce is not sufficient even to repay for the fertilizer, 

and the system still insists on taking the full amount. When the parent 

of the people causes the people to look weary, to toil for the whole year 

without getting enough to support their parents, and to borrow in order 

to increase their means, so that both old and young are found lying in 

ditches, how can he be a parent of the people?' As to the system of 

hereditary salaries, that has already been practiced in T'eng. The Book 

of Odes says: 

May the rain come down on our public field, 

And then upon our private fields. 79 

It was only in the system of 'aid' that there was public land [which was 

cultivated by the several families and from which the proceeds went to 

the government as tax]. From this ode we can see that even in the Chou 

dynasty there was also the system of 'aid.' 

"Establish seminaries, academies, schools, and institutes to teach the 

people. A seminary emphasizes the support of the old; an institute emphasizes 

instructions on [moral principles and the arts]; and an academy 

emphasizes archery (etiquette and deportment). In the times of Hsia, 

the name "institute" was used; in the Yin (Shang) dynasty, the name 

"academy" was used; in the Western Chou, the name "seminary" was 

used; and the three dynasties also used the name "school." All [these 

community] schools were for the purpose of making human relations 

78 A minister of the Ch'i family of Lu in the sixth century B.C. 

79 Ode no. 212. Lung Tzu was an ancient worthy. 

67


clear and prominent. If human relations are made clear and prominent 

above, then the common people below will have affection to one another. 

When a true king arises, he will surely come to take you as an example, 

and thus you will be the teacher of kingly rulers. The Book of 

Odes says: 

Although Chou was an old country, 

It received a new mandate [of Heaven]. 80 

This refers to King Wen. If you practice these things earnestly, you will 

also make your kingdom a new one." 

The Duke of T'eng sent Pi Chan to Mencius to ask about the "wellfield" 

land system. 81 Mencius said, "Now that your ruler is about to put 

in practice humane government and has chosen you for this service, 

you must do your best. Humane government must begin by defining the 

boundaries of land. If the boundaries are not defined correctly, the 

division of the land into squares will not be equal, and the produce 

available for official salaries will not be fairly distributed. Therefore 

oppressive rulers and corrupt officials are sure to neglect the defining 

of the boundaries. If the boundaries are correctly defined, the division 

of land and the regulation of salaries can be settled while you sit. 

"Although the territory of T'eng is narrow and small, there must be 

gentlemen (rulers and nobles) and there must be country men. Without 

gentlemen, there would be none to rule the country men, and without 

country men, there would be none to support the gentlemen. I would 

ask you to divide land in the remoter districts into nine squares and to 

designate the central square (cultivated by the eight families) as 'aid' 

(tax), and in the central parts of the state, to let the people pay for 

themselves one-tenth of their produce. From the chief ministers down, 

[each family] should have fifty mou as sacrificial land, and an additional 

twenty-five mou for each additional male. When there are deaths 

or moving from one house to another there will be no quitting of the 

district. In the fields of a district, those who belong to the same nine 

squares will render friendly service to one another in their going out and 

coming in, aid one another in keeping watch, and sustain one another 

in sickness. In this way, the people live in affection and harmony. Each 

'well-field' unit is one li square and consists of nine hundred mou. The 

center square is public field. The eight households each privately own 

a hundred mou and together they cultivate the public field. Only when 

80 Ode no. 235. 

81 The land was divided into nine squares, with eight families each cultivating 

its own square and together cultivating the ninth, public square for the government. 

The shape of the division resembles the Chinese character for "well" and 

the system was therefore so named. 

68

MENCIUS 

the public work is done may they attend to their own work. This is where 

the country men are different [from the gentlemen]. These are the outlines 

of the system. As to modifying it and adapting it, it is up to you 

and your ruler." 

3A:4. Ch'en Hsiang 82 visited Mencius and repeated the words of 

Hsü Hsing, 88 saying, "The ruler of T'eng is indeed a worthy ruler. But 

he has not heard the Way. [According to it], the worthy cultivate the field 

together with the people for food, and prepare their own meals while 

they carry on the government. ..." 

Mencius said, ". . . Why does Master Hsü not do the work of the 

potter and the founder, and supply himself with the articles which he 

uses solely from his own establishment? Why does he go in great confusion 

to deal and exchange with the hundred artisans? Why does he 

mind all the trouble?" "The work of the various artisans can in fact not 

be done along with farming." "When can the government of the empire 

alone be done along with farming? There is the work of great men 

and there is the work of little men. Furthermore, whatever is needed 

for one single person is supplied by the various artisans. If one must 

make the things himself before he uses them, this would make the whole 

empire run about on the road. Therefore it is said, 'Some labor with 

their minds and some labor with their strength. Those who labor with 

their minds govern others; those who labor with their strength are 

governed by others.' 84 Those who are governed by others support them; 

those who govern them are supported by them. This is a universal 

principle. . . ." 

Comment. Mencius, generally considered the most democratic of 

Chinese philosophers, has been severely criticized for this undemocratic 

class distinction. It does not seem to be in harmony with his 

idea of the basic equality of people. 85 We should not overlook, 

however, that the distinction is essentially one of function, not of 

status, for no one is confined to one class by birth. 

"According to the way of man, 86 if they are well fed, warmly clothed, 

and comfortably lodged but without education, they will become almost 

like animals. The Sage (emperor Shun) worried about it and he appointed 

Hsieh to be minister of education and teach people human relations, 

that between father and son, there should be affection; between 

ruler and minister, there should be righteousness; between husband 

82 83 

Pupil of a Confucianist. 

A theorist on agriculture. 

84 

Old sayings. 

85 

See below, Additional Selections, comment on 7A:4. 

86 Chu Hsi interpreted the phrase to mean that man possesses moral nature. 

69


and wife, there should be attention to their separate functions; between 

old and young, there should be a proper order; and between friends, there 

should be faithfulness. Emperor Yao said, 'Encourage them, lead them 

on, rectify them, straighten them, help them, aid them, so they discover 

for themselves [their moral nature], and in addition, stimulate them and 

confer kindness on them.' When sages were so much concerned with 

their people, had they the time for farming? . . ." 

Comment. The Five Relations have formed the general pattern of 

Chinese society. It is to be noted that only one of the five is biological, 

that all are defined in moral terms, and that all are reciprocal. 

87 It is often said that these do not include the stranger and the 

enemy. But to Confucianists, no one is unrelated, and therefore a 

stranger is inconceivable. He is at least related as older or younger. 

As to the enemy, there should never be such a person, for all 

people should be friends. 

Ch'en Hsiang said, "If the way of Master Hsü were followed, there 

would not be two prices in the market. Even if a young boy goes there, 

none would cheat him. Linen and silk of the same length would be sold 

at the same price. Bundles of hemp and silk of the same weight would 

be sold at the same price. Grains of the same quantity would be sold at 

the same price. And shoes of the same size would be sold at the same 

price." 

Mencius said, "It is the nature of things to be unequal. Some are 

twice, some five times, some ten times, some a hundred times, and some 

one thousand or ten thousand times as valuable as others. If you equalize 

them all, you will throw the world into confusion. If large shoes 

and small shoes were of the same price, who would make them? 

If the doctrines of Master Hsü were followed, people would lead 

one another to practice deceit. How can these doctrines be employed 

to govern a state?" 

Comment. The remark that things are not equal seems to be a 

casual one, but Neo-Confucianists relied on it heavily for their 

argument that each thing has its own individual character and that 

reality is not an undifferentiated continuum. 

3A:5. The Moist I Chih 88 sought through Hsü Pei to see Mencius. 

Mencius said, "Of course I am willing to see him but at present I am 

still sick. When I get well, I shall go to see him. He need not come." 89 

87 See The Mean, ch. 20; Great Learning, ch. 3. 

88 Mo Tzu's pupil. 

89 Chao Ch'i considered the last sentence not Mencius' words but a statement 

saying that I Chih did not go. 

70

MENCIUS 

The next day I Chih again sought to see Mencius. Mencius said, "I can 

see him now. If I do not correct his errors, true principles will not be 

revealed. Let me then correct him. I have heard that I Chih is a Moist. 

According to the Moists, in the matter of handling funerals, simplicity 

should be the rule. I Chih wants to change the customs of the world with 

Moist doctrines. Does he not regard these customs as wrong and not 

honorable? Nevertheless, he buried his parents in an elaborate manner. 

This means that he served his parents with what he regarded as dishonorable." 

Hsü Pei told I Chih about this. I Chih said, "According to 

the way of the learned, the ancients treated their people as though they 

were embracing and protecting an infant. 90 What does this saying mean? 

To me it means that love makes no distinctions, but that its application 

must begin with one's parents." Hsü Pei told Mencius of this. Mencius 

said, "Does I Chih really think that a man's affection for the child of 

his own brother is just like his affection for the child of his neighbor? 

The saying is an analogy. If an infant crawling around is about to fall 

into a well, it is no fault of the infant. Furthermore, Heaven produces 

creatures in such a way as to provide them with one foundation (such 

as parents being the foundation of men), and I Chih would have two 

foundations (parents and other people). In great antiquity there were 

some who did not bury their parents. When their parents died, they 

took them up and threw them into a ditch. Later when they passed by 

them and saw foxes and wild cats eating them and flies and gnats eating 

them, their perspiration started out upon their foreheads, they looked 

askance and could not bear to look straight. Now the perspiration was 

not for the sake of other people. It was something at the bottom of their 

hearts that showed in their expressions. They immediately went home 

and returned with baskets and spades and covered the bodies. If it was 

indeed right to cover them, then there must be certain moral principles 

which made filial sons and men of humanity inter their parents." 

Hsü Pei told I Chih what Mencius had said. I Chih seemed at a loss 

for a moment and then said, "I have learned something from him." 91 

3B:2. Ching Ch'un 92 said, "Are not Kung-sun Yen 93 and Chang I 94 

really great men? Let them show anger once and all feudal lords are 

afraid. Let them live at leisure and peace and the flame of trouble in the 

world will be extinguished." Mencius said, "How can such men be great 

90 Probably paraphrasing the Book of History, "Announcement of K'ang." Cf. 

Legge, Shoo King, p. 389. 

91 See below, Additional Selections, comment on 3B:9. 

92 Nothing is known of him. 

93 Once a prime minister of Ch'in. He was Chang I's contemporary. 

94 Chang I (d. 309 B.C.) was an expert on diplomacy who exerted tremendous 

influence on the various warring states. 

71


men? Have you not studied the rules of propriety? At the capping of a 

young man, his father instructs him. At the marriage of a young woman, 

her mother instructs her. She accompanies the daughter to the door on 

her leaving and admonishes her, saying, 'Go to your home. Always be 

respectful and careful. Never disobey your husband.' Thus, to regard 

obedience as the correct course of conduct is the way for women. [Both 

Kung-sun and Chang attempted to please their rulers in order to obtain 

power and were more like women than great men.] 

"He who dwells in the wide house of the world, stands in the correct 

station of the world, walks in the great path of the world; one who practices 

virtues along with the people when he is successful, and practices 

the Way alone when he is disappointed; one whose heart cannot be 

dissipated by the power of wealth and honors, who cannot be influenced 

by poverty or humble stations, who cannot be subdued by force and 

might—such a person is a great man." 

3B:9. Mencius said, "Do I like to argue? I cannot help it. The 

world has been in existence for a long time, with a period of order and a 

period of chaos succeeding each other. . . . After the death of Yao and 

Shun, the Way of the sages fell into decay. . . . Sage-emperors have 

ceased to appear. Feudal lords have become reckless and idle scholars 

have indulged in unreasonable opinions. The words of Yang Chu and 

Mo Ti 95 fill the world. If the people in their opinions do not follow Yang 

Chu, they follow Mo Ti. Yang advocated egoism, which means a denial 

of the special relationship with the ruler. Mo advocated universal love, 

which means a denial of the special relationship with the father. To 

deny the special relationship with the father and the ruler is to become 

an animal. ... If the principles of Yang and Mo are not stopped, and if 

the principles of Confucius are not brought to light, perverse doctrines 

will delude the people and obstruct the path of humanity and righteousness. 

When humanity and righteousness are obstructed, beasts will be 

led on to devour men, and men will devour one another. I am alarmed 

by these things, and defend the doctrines of the ancient kings and oppose 

Yang and Mo." 

Comment. The observation that a period of order and a period of 

chaos succeed each other represents a belief about history on the 

part of Confucianists. In a sense, history proceeds in a cycle. 

Mencius also said that every five hundred years a king or a sage 

arises to put the world in order. 96 

The dispute between Mencius and the Moists involves a funda- 

95 See below, ch. 9, and ch. 18, Introduction. 

96 See Mencius, 2B:13, 7B:38. 

72

MENCIUS 

mental issue of ethics, namely, whether there should be distinction 

in love. To the Moists, love should be universal and without distinction. 

To the Confucianists, on the other hand, while love embraces 

all relations, it must have an order or procedure, and an 

order implies relativity of importance or a gradation. Chu Hsi 

mentions two reasons why there must be distinction in love. 97 One 

is that parents are the foundation of life and therefore one's moral 

obligation to them should be greater. 98 The other is that according 

to Neo-Confucian philosophy, while the principle governing all 

is one, its manifestations are many. Applied to ethics, this 

implies that while love is universal, its application to the various 

relations are different. Human relations should not be the same 

any more than the myriad things in the world should be identical. 99 

4A:2. Mencius said, "The compass and square are the ultimate standards 

of the circle and the square. The sage is the ultimate standard of 

human relations. To be a ruler, one should carry out to the limit the 

way of the ruler. To be a minister, one should carry out to the limit the 

way of the minister. They only have to follow the example of Yao and 

Shun. He who does not serve his ruler as Shun served Yao does not 

respect his ruler, and he who does not rule his people as Yao ruled his, 

injures his people. 

"Confucius said, 'There are but two ways to follow, that of humanity 

and that of inhumanity.' A ruler who oppresses his people to the extreme 

will himself be slain and his kingdom will perish. If he oppresses 

not to the extreme, even then his life will be in danger and his kingdom 

will be weakened. They will be called by the names of 'King Yü' (meaning 

an unenlightened king) and 'King Li' (meaning a cruel king) arid 

though they may have filial sons and affectionate grandsons, they will 

not be able in a hundred generations to change these names. The Book of 

Odes says: 

The mirror of the Shang dynasty is not far back, 

It was in the time of the Hsia dynasty [whose last, wicked 

king was removed by the founder of Shang]. 100 

This is what is meant." 

4A:9. Mencius said, "Chieh and Chou lost their empires because 

they lost the people and they lost the people because they lost the hearts 

97 In his comment on 7A:45. See also 7A:46. 

98 This is the point in 3A:5. 

99 For a lengthy discussion on this question, see Chan, "The Evolution of the 

Confucian Concept of Jen," Philosophy East and West, 4 (1955), 300-302, and 

Fung, Spirit of Chinese Philosophy, pp. 37-40. 

100 Ode no. 255. 

73


of the people. There is a way to win the empire. Win the people and you 

win the empire. There is a way to win the people. Win their hearts 

and you will win the people. And there is a way to win their hearts. It is 

to collect for 101 them what they like and do not do to them what they 

do not like, 102 that is all. The people turn to the humanity [of the ruler] 

as water flows downward and as beasts run to the wilderness." 

4A:10. Mencius said, "It is useless to talk to those who do violence 

to their own nature, and it is useless to do anything with those who throw 

themselves away. To speak what is against propriety and righteousness 

is to do violence to oneself. To say that one cannot abide by humanity 

and follow righteousness is to throw oneself away. Humanity is the 

peaceful abode of men and righteousness is his straight path. What a 

pity for those who leave the peaceful abode and do not live there, and 

abandon the straight path and do not follow it!" 

4A:12. Mencius said, "If those occupying inferior positions do not 

have the confidence of their superiors, they will not be able to govern 

the people. There is a way to have the confidence of the superiors. If one 

is not trusted by his friends, he will not have the confidence of his superiors. 

There is a way to be trusted by one's friends. If one's service to 

his parents does not give them pleasure, he will not be trusted by his 

friends. There is a way to please one's parents. If one examines himself 

and finds himself to be insincere, he cannot please his parents. There is 

a way to be sincere with himself. If one does not understand what is 

good, he will not be sincere with himself. Therefore sincerity is the way 

of Heaven, and to think how to be sincere is the way of man. 103 There has 

never been a person who was completely sincere and yet did not move 

others. Nor has there been a person who was not sincere and yet could 

move others." 

4A:14. Mencius said, "When a ruler failed to practice humane 

government, all those ministers who enriched him were rejected by Confucius. 

How much more would he have rejected those who are vehement 

to fight for their rulers? When they fight for territory, they slaughter so 

many people that the field is full of them. When they fight for a city, they 

slaughter so many people that the city is full of them. This is what is 

called leading on the land to devour human flesh. Death is not enough 

for such a crime. Therefore those who are skillful in fighting should suffer 

the heaviest punishment. Those who form alliances with feudal lords 

should come next. And those who open up uncultivated fields and require 

the people to cultivate for them should come next after that." 

101 The word yü is used here in the sense of "for," not "to give." 

102 See above, ch. 2, comment on Analects, 4:15. 

103 The passage up to this point also appears with slight variation in The 

Mean, ch. 20. 

74

MENCIUS 

4A:17. Shun-yü K'un 104 said, "Is it a rule of propriety that men and 

women should not touch hands when they give or receive things?" 105 

Mencius said, "It is a rule of propriety." "If someone's sister-in-law is 

drowning, should he rescue her with his hand?" Mencius said, "He who 

does not rescue his drowning sister-in-law is a wolf. It is a rule of propriety 

for men and women not to touch hands when giving or receiving 

things, but it is a matter of expediency to rescue one's drowning sisterin-law 

with hands." "The whole world is now drowning. Why do you, sir, 

not rescue it?" Mencius said, "A drowning empire must be rescued with 

moral principles. Do you wish me to rescue the world with my hand?" 

Comment. Here is a classical example of the Confucian theory of 

ching-ch'üan, or the standard and the secondary, the absolute and 

the relative. 106 

4A:18. Kung-sun Ch'ou said, "Why is it that the superior man does 

not teach his son himself?" Mencius said, "The circumstance is such that 

it cannot be done. To teach is necessarily to inculcate correct principles. 

When these correct principles are not practiced, anger will follow. As 

anger follows, feelings will be hurt. [The son would say], 'My master 

teaches me the correct principles but he himself does not proceed according 

to correct principles.' This means that the father and son hurt each 

other's feelings. When father and son hurt each other's feelings, it is 

bad. The ancients exchanged their sons, one teaching the son of another. 

Between father and son there should be no reproving admonition to 

what is good. Such reproofs lead to alienation, and nothing is more inauspicious 

than alienation." 

4A:20. Mencius said, "It is not enough to remonstrate the government 

officials, nor is it enough to criticize the governmental measures. 

It is only the great man who can rectify what is wrong in the ruler's mind. 

Let the ruler be humane, and all his people will be humane. Let the 

ruler be righteous, and all his people will be righteous. Let the ruler be 

correct, and all his people will be correct. Once the ruler is rectified, the 

whole kingdom will be at peace." 

4A:26. Mencius said, "There are three things which are unfilial, 

and to have no posterity is the greatest of them all. 107 Shun married with- 

104 A famous debater of Ch'i. 

105 This injunction is found in Book of Rites, "Records of Prevention." See 

Legge, trans., Li Ki, vol. 2, p. 299. 

106 Another illustration is found in Mencius, 4A:26. See also above, ch. 2, 

comment on Analects, 4:10. 

107 According to Chao Ch'i, the first is to obey parents blindly and cause them 

to fall into immorality, and the second is not to serve in the government when 

one's parents are old and poor. 

75


out first informing his parents lest he should have no posterity. Superior 

men consider this as if he had informed his parents." 108 

4A:27. Mencius said, "The actuality of humanity consists in serving 

one's parents. The actuality of righteousness consists in obeying one's 

elder brother. The actuality of wisdom consists in knowing these two 

things and not departing from them. The actuality of propriety consists 

in regulating and adorning these two things. The actuality of music consists 

in rejoicing in these two things. When they are rejoiced in, they will 

grow. Growing, how can they be stopped? As they cannot be stopped, 

then unconsciously the feet begin to dance and the hands begin to move." 

4B:3. Mencius said to King Hsüan of Ch'i, "If a ruler regards his 

ministers as his hands and feet, then his ministers will regard him as their 

heart and mind. If a ruler regards his ministers as dogs and horses, his 

ministers will regard him as any other man. If a ruler regards his ministers 

as dirt and grass, his ministers will regard him as a bandit and an enemy." 

Comment. After the founder of the Ming dynasty (1368-1644) 

read this chapter, he was so angry that he ordered the sacrifice to 

Mencius in the Confucian temple suspended. Eventually his dynasty 

fell for the very reason Mencius gave here. 

4B:10. Mencius said, "Confucius never did anything that went too 

far." 

4B:11. Mencius said, "The great man does not insist that his words 

be necessarily truthful [at all times and under circumstances] or his 

actions be necessarily resolute. He acts only according to righteousness." 

4B:12. Mencius said, "The great man is one who does not lose his 

[originally good] child's heart." 

4B:26. Mencius said, "All who talk about the nature of things need 

only [reason from] facts 109 [and principles will be clear]. The fundamental 

principle [of reasoning] from facts is to follow [their natural 

tendencies]. What I dislike in your wise men is their forced reasoning. 

If those wise men would only act as Yü 110 did when he diverted the 

water to the sea, there would be nothing to dislike in their wisdom. Yü 

diverted the waters as if he were acting without any special effort [for 

he followed the natural tendencies]. If wise men would act without any 

special effort [such as forced reasoning], their wisdom would also be 

great. Heaven is high and the stars are far away. But if we investigate the 

facts, we may go back to the solstice of a thousand years while we sit." 

4B:28. Mencius said, "The reason why the superior man is dif- 

108 Cf. Mencius, 5A:2. 

109 The word ku may mean reason, natural course, or what has happened, that 

is, facts. 

110 Founder of the Hsia dynasty, r. 2183-2175 B.C.(?). 

76

MENCIUS 

ferent from other men is because of what he preserves in his mind. He 

preserves humanity and propriety. The man of humanity loves others. 

The man of propriety respects others. He who loves others is always 

loved by others, and he who respects others is always respected by them." 

4B:30. Mencius said, "There are five things which in common practice 

are considered unfilial. The first is laziness in the use of one's body 

without attending to the support and care of one's parents. The second 

is chess-playing and fondness for wine, without attending to the support 

and care of one's parents. The third is love of things and money and 

being exclusively attached to one's wife and children, without attending 

to the support and care of one's parents. The fourth is following the 

desires of one's ears and eyes, thus bringing his parents to disgrace. And 

the fifth is being fond of bravery, fighting, and quarreling, thus endangering 

one's parents." 

4B:32. Master Ch'u 111 said, "The king sends people to spy on you 

and see whether you are really different from others." Mencius said, 

"How should I be different from others? Yao and Shun were the same 

as other men." 

5A:5. Wan Chang 112 asked, "Is it true that Yao gave the empire to 

Shun?" Mencius replied, "No. The emperor cannot give the empire to 

another person." "Yes, but Shun had the empire. Who gave it to him?" 

Mencius said, "Heaven gave it to him." "By Heaven's giving it to him, 

do you mean that Heaven gave it to him in so many words?" "No. 

Heaven does not speak. It simply shows its will by [Shun's] personal 

character and his conduct of affairs." 

"May I ask how Heaven showed its will by [Shun's] character and his 

conduct of affairs?" Mencius said, "The emperor can recommend a 

person to Heaven, but he cannot make Heaven give that man the empire. 

A feudal lord can recommend a person to the emperor, but he cannot 

make the emperor make that man a feudal lord. A great officer can 

recommend a person to a feudal lord, but he cannot make the feudal 

lord make that man a great officer. In ancient times, Yao recommended 

Shun to Heaven, and Heaven accepted him. He showed him to the 

people, and the people accepted him. I therefore say that Heaven did 

not speak, but that it simply indicated its will by his character and his 

conduct of affairs." 

"May I ask how it was that Yao recommended him to Heaven and 

Heaven accepted, and that he showed him to the people and the people 

accepted him?" Mencius said, "He had him preside over the sacrifices, 

and all the spiritual beings enjoyed them. This means that Heaven accepted 

him. He had him preside over the conduct of affairs, and the 

111 A man of Ch'i. 

77 

112 Pupil of Mencius.


affairs were well managed, and the people felt satisfied. This means that 

the people accepted him. It was Heaven that gave the empire to him. It 

was the people that gave the empire to him. Therefore I said, 'The 

emperor cannot give the empire to another person.' Shun assisted Yao 

for twenty-eight years. This was more than a man could do; it was 

Heaven that did it. After the death of Yao, when the three-year mourning 

was completed, Shun withdrew from the son of Yao to the south of 

the South River. The feudal lords of the empire, however, going to 

court, went not to the son of Yao but to Shun, litigants went not to the 

son of Yao but to Shun, and singers sang not to the son of Yao but to 

Shun. Therefore I said, 'Heaven [gave the empire to him].' Only then 

did he go to the Middle Kingdom (China) and take the emperor's seat. 

If he had occupied the place of Yao and applied pressure to his son, it 

would have been an act of usurpation, and not a gift of Heaven. The 

'Great Declaration' said, 'Heaven sees as my people see; Heaven hears 

as my people hear.' 113 This is the meaning." 

6B:15. Mencius said, "When Heaven is about to confer a great 

responsibility on any man, it will exercise his mind with suffering, subject 

his sinews and bones to hard work, expose his body to hunger, put 

him to poverty, place obstacles in the paths of his deeds, so as to stimulate 

his mind, harden his nature, and improve wherever he is incompetent." 

7A:1. Mencius said, "He who exerts his mind to the utmost knows 

his nature. He who knows his nature knows Heaven. To preserve one's 

mind and to nourish one's nature is the way to serve Heaven. Not to 

allow any double-mindedness regardless of longevity or brevity of life, 

but to cultivate one's person and wait for [destiny (ming, fate, Heaven's 

decree or mandate) to take its own course] is the way to fulfill one's 

destiny." 114 

Comment. In ancient China there were five theories about destiny 

or the Mandate of Heaven. The first was fatalism: the Mandate of 

Heaven is fixed and unchangeable. The second was moral determinism: 

Heaven always encourages virtue and punishes evil; therefore, 

man can determine his reward and punishment through moral 

deeds. The third was anti-fatalism, advocated by the Moist School. 115 

The fourth was naturalistic fatalism, which means that destiny is 

not controlled by Heaven in the sense of an anthropomorphic God 

but by Nature and works automatically. Lastly, there was the 

113 History, "Declaration of Ch'in." cf. Legge, Shoo King, p. 292. 

114 A similar saying is found in Mencius, 7B:33. 

115 See below, ch. 9, C. 

78

MENCIUS 

Confucian theory of "waiting for destiny." 116 According to this 

doctrine, man should exert his utmost in moral endeavor and leave 

whatever is beyond our control to fate. It frankly admits that there 

are things beyond our control but that is no reason why one should 

relax in his moral endeavor. The tendency was definitely one of 

moralism and humanism. The Confucian theory represents the 

conviction of enlightened Chinese in general. 

7A:2. Mencius said, "Everything is destiny (ming). A man should 

accept obediently what is correct [in one's destiny]. Therefore, he who 

knows destiny does not stand beneath a precipitous wall. Death 

sustained in the course of carrying out the Way to the limit is due to 

correct destiny. But death under handcuffs and fetters is not due to 

correct destiny." 

7A:4. Mencius said, "All things are already complete in oneself. 

There is no greater joy than to examine oneself and be sincere. When 

in one's conduct one vigorously exercises altruism, humanity is not far 

to seek, but right by him." 117 

Comment. Confucius carefully balanced the individual and society. 

This balance is maintained in Mencius as it has been throughout 

the history of Confucianism. But at many points Mencius seems to 

emphasize the individual, for he believes that everyone can be a 

sage 118 and that integrity and will are completely his own. 119 As 

Hu Shih has pointed out, while the Great Learning and the Doctrine 

of the Mean have already raised the position of the individual, 

Mencius gave him even much more importance. 120 

7A:5. Mencius said, "To act without understanding and do so 

habitually without examination, following certain courses all their lives 

without knowing the principles behind them—this is the way of the 

multitude." 

7A:13. Mencius said, "Under a despot, the people look brisk and 

cheerful [only temporarily and superficially, for the despot's kindness 

is selfishly motivated]. Under a true king, however, the people feel 

magnificent and at ease with themselves. Though he punishes them by 

death, they do not complain, and when he benefits them, they do not 

116 For an excellent discussion on this question, see Fu Szu-nien (1896-1950), 

Hsing-ming ku-hsün pien-cheng (Critical Studies of the Classical Interpretations 

of the Nature and Destiny), 1950, 2:14b-24a. See also Mencius, 7A:2, 7B:24, 33; 

The Mean, ch. 14. 

117 Cf. above, 4A:10. 

118 See above, comment on 6A:7. 

119 See also Mencius, 2A:9; 3A:1; 5B:1; and Analects, 9:25. 

120 Chung-kuo che-hsüeh shih ta-kang (Outline of the History of Chinese 

Philosophy), 1919, p. 296. 

79


think of their merit. From day to day they make progress toward the 

good without knowing who makes them do so. Whenever the superior 

man passes through, transforming influence follows. Wherever he abides, 

spiritual influence remains. This forms the same current above and below 

with that of Heaven and Earth. Is this a small help?" 121 

7A:15. Mencius said, "The ability possessed by men without their 

having acquired it by learning is innate 122 ability, and the knowledge 

possessed by them without deliberation is innate knowledge. Children 

carried in the arms all know to love their parents. As they grow, they 

all know to respect their elder brothers. To have filial affection for parents 

is humanity, and to respect elders is righteousness. These feelings 

are universal in the world, that is all." 

Comment. The concepts of innate knowledge and innate ability later 

formed the keynote of Wang Yang-ming's philosophy. 123 

7A:26. Mencius said, "Yang Chu's choice was 'everyone for himself.' 

Though he might benefit the entire world by plucking out a single 

hair, he would not do it. Mo Ti advocated universal love. If by rubbing 

smooth his whole body from head to foot he could benefit the world, he 

would do it. Tzu-mo 124 holds the mean between the two, and he is 

nearer the right. Holding the mean without allowing for special circumstances 

is like holding on to one particular thing. The reason why I 

hate holding to one thing is because it destroys the Way. It takes up one 

point but neglects a hundred others." 

7A:30. Mencius said, "Yao and Shun practiced humanity and 

righteousness because of their nature. King T'ang and King Wu did 

so because of their personal cultivation. The Five Despots, 125 on the 

contrary, merely borrowed [the names of humanity and righteousness 

to adorn their acts]. After they had borrowed them for a long time and 

did not return them, how could it be known that they did not own 

them?" 

7A:38. Mencius said, "Form and color (our body) are nature endowed 

by Heaven. It is only the sage who can put his physical form into 

full use." 

7A:45. Mencius said, "In regard to [inferior] creatures, the superior 

man loves them but is not humane to them (that is, showing them the 

121 Cf. above, 2A:3. 

122 Chao Ch'i said that liang meant "very," with which Chiao Hsün agreed. Neo- 

Confucianists understood it to mean "innate." 

123 See below, ch. 35. 

124 A worthy in the state of Lu. 

125 These despots were: Duke Huan of Ch'i (r. 685-643 B.C.), Duke Wen of 

Chin (r. 636-628 B.C.), Duke Mu of Ch'in (r. 659-619 B.C.), King Chuang of 

Ch'u (r. 613-589 B.C.), and Duke Hsiang of Sung (r. 650-635 B.C.). 

80

MENCIUS 

feeling due human beings). In regard to people generally, he is humane to 

them but not affectionate. He is affectionate to his parents and humane to 

all people. He is humane to all people and feels love for all creatures." 126 

7A:46. Mencius said, "The man of wisdom knows everything, but 

he considers the things of immediate importance to be the most urgent. 

The man of humanity loves all, but he considers the effort to cultivate 

an affection for the worthy to be the most urgent. Even the wisdom of 

Yao and Shun did not [actually] extend to everything, but they attended 

urgently to the most important. Their humanity did not extend to the 

point of [actually] loving all people, but they urgently cultivated the 

affection for the worthy." 

7B:3. Mencius said, "It would be better to have no Book of History 

127 than to believe all of it. In its 'Completion of War' section [for example], 

I accept only two or three passages. 128 A man of humanity 

has no enemy in the world. When a most humane person (King Wu) 

punished a most inhumane ruler (King Chou), how could the blood (of 

the people) have flowed till it floated the pestles of the mortars?" 129 

7B:14. Mencius said, "[In a state] the people are the most important; 

the spirits of the land and grain (guardians of territory) are the 

next; the ruler is of slight importance. Therefore to gain [the hearts of] 

the peasantry is the way to become an emperor; to gain the [heart of the] 

emperor is the way to become a feudal lord; and to gain [the heart of the] 

feudal lord of a state is the way to become a great officer. When a 

feudal lord (a ruler) endangers the spirits of the land and grain (territory), 

he is removed and replaced. When sacrificial animals have 

been well fed, the millet in its vessels has been all pure, and the sacrificial 

rites have been performed at proper times, if yet there are still 

droughts and floods [to harm the people], the spirits of the land and 

grain are removed and replaced." 130 

7B:16. Mencius said, "Humanity is [the distinguishing characteristic 

of] man. 131 When embodied in man's conduct, it is the Way." 

7B:24. Mencius said, "It is due to our nature that our mouths desire 

sweet taste, that our eyes desire beautiful colors, that our ears desire 


127 On the Book of History, see ch. 1, n.4. 

128 Literally "slabs." Ancient books consisted of bamboo slabs. 

129 Actually, according to the Book of History, the bloodshed was caused by 

King Chou's own troops turning against one another. See Legge, Shoo King, p. 

315. Commentators have said that Mencius may have thought that there should 

have been no bloodshed at all, since in his own philosophy, people flocked to a 

man of humanity as water flows downward. See above, Additional Selections, 

4A:9. 

130 Cf. above, Additional Selections, 4B:3; 5A:5. 

131 See comment on The Mean, ch. 20, where a similar saying appears. 

81


pleasant sounds, that our noses desire fragrant odors, and that our four 

limbs desire ease and comfort. But there is also fate (ming) [whether 

these desires are satisfied or not]. The superior man does not say they are 

man's nature [and insist on satisfying them]. The virtue of humanity in the 

relationship between father and son, the virtue of righteousness in the 

relationship between ruler and minister, the virtue of propriety in the 

relationship between guest and host, the virtue of wisdom in the worthy, 

and the sage in regard to the Way of Heaven—these are [endowed in 

people in various degrees] according to fate. But there is also man's 

nature. The superior man does not (refrain from practicing them and) 

say they are matters of fate." 132 

7B:25. Hao-sheng Pu-hai 133 asked, "What sort of man is Yocheng?" 

134 Mencius said, "He is a good man and a true man." "What is 

a good man? And what is a true man?" Mencius said, "One who commands 

our liking [because of his virtue] is called a good man. One who is 

sincere with himself is called a true man. He [whose goodness] is extensive 

and solid is called a beautiful man. He [whose goodness] is 

abundant and is brilliantly displayed is called a great man. When one 

is great and is completely transformed [to be goodness itself], he is called 

a sage. When a sage is beyond our knowledge, he is called a man of 

the spirit." 

Comment. It is difficult to say how strong the element of mysticism 

is in Mencius, but there is no doubt that it is present in him 

as it is in the Doctrine of the Mean. The realm of existence beyond 

our knowledge is certainly mystical. Fung is right in saying that 

"forming the same current" with Heaven and Earth is a mystical 

experience, although in suggesting that "All is complete in me" is 

also mystical, he has definitely gone too far. 135 

7B:31. Mencius said, "All men have some things which they cannot 

bear. Extend that feeling to what they can bear, and humanity will be 

the result. All men have some things which they will not do. Extend that 

feeling to the things that they do, and righteousness will be the result. 

If a man can give full development to his feeling of not wanting to injure 

others, his humanity will be more than what he can ever put into 

practice. If he can give full development to his feeling of not wanting to 

break in to steal, his righteousness will be more than what he can ever 

put into practice. If a man can give full development to his real dislike 

132 

See above, Additional Selections, comment on 7A:1. 

133 134 

A man of Ch'i. 

An official of Lu. 

135 Fung, History of Chinese Philosophy, vol. 1, pp. 129-131, See also his 

Spirit of Chinese Philosophy, pp. 24-27. 

82

MENCIUS 

of being addressed, 'Hey, you,' he will act according to righteousness 

wherever he may be. When an officer speaks what he ought not to speak, 

he is enticing people by speaking. When he does not speak what he 

ought to speak, he is enticing by not speaking. In both cases he is 

doing something like breaking in." 

7B:33. Mencius said, "With Yao and Shun it was their nature. 

With T'ang and Wu, it was their effort to return [to their nature]. When 

all movements and expressions are exactly proper according to the rules 

of propriety, that shows the highest degree of eminent virtue. The sorrow 

in weeping for the dead is not for the sake of the living. The regular 

practice of virtue without any deviation is not to seek emolument. And 

words should always be sincere not because of any conscious desire to 

do what is right. The superior man practices principle (Natural Law) 

and waits for destiny (ming, Mandate of Heaven) to take its own 

course." 136 


83

••• 4 ••• 

MORAL AND SOCIAL PROGRAMS: THE 

GREAT LEARNING 

THE IMPORTANCE of this little Classic is far greater than its small 

size would suggest. It gives the Confucian educational, moral, and 

political programs in a nutshell, neatly summed up in the so-called 

"three items": manifesting the clear character of man, loving the people, 

and abiding in the highest good; and in the "eight steps": the investigation 

of things, extension of knowledge, sincerity of the will, rectification 

of the mind, cultivation of the personal life, regulation of the family, 

national order, and world peace. Moreover, it is the central Confucian 

doctrine of humanity (jen) in application. Confucius said that there is a 

central thread running through his teachings, and that central principle is 

conscientiousness and altruism, which are two aspects of humanity. 1 

The eight steps are the blueprints for translating humanity into actual 

living, carefully maintaining the balance and harmony of the individual 

on the one side and society on the other. It is because of this significance 

that the Great Learning has ranked as a Confucian Classic and has 

exerted profound influence in the last eight hundred years. 

It is no less important from the philosophical point of view. Although 

the treatise does not discuss metaphysical problems, it does present the 

investigation of things as the starting point in moral and social life. 

This is of course perfectly consonant with the Confucian emphasis on 

learning. However, Confucianists have never agreed on how to learn, 

and the different interpretations of the investigation of things in this 

Classic eventually created bitter opposition among Neo-Confucianists. 

To Chu Hsi (1130-1200), ko-wu meant to investigate things, 2 both 

inductively and deductively, on the premise that principle (li), the reason 

of being, is inherent in things. He believed that only with a clear knowledge 

of things can one's will become sincere. He therefore rearranged 

the ancient text of the Classic to have the sections on the investigation 

of things appear before those on sincerity of the will. Wang Yang-ming 

(Wang Shou-jen, 1472-1529), on the other hand, believing that principle 

is inherent in the mind, took ko to mean "to correct," that is, to 

correct what is wrong in the mind. To him, sincerity of the will, without 

which no true knowledge is possible, must come before the investigation 

1 See Analects, 4:15. The word jen has been variously translated as benevolence, 

love, human-heartedness, true manhood, etc. For a discussion of jen, see Appendix. 

2 Ta-hsüeh chang-chü (Commentary on the Great Learning), ch. 5. 

84

THE GREAT LEARNING 

of things. Therefore he rejected both Chu Hsi's rearrangement of the 

text and his doctrine of the investigation of things, 3 and based his whole 

philosophy on the Great Learning, with sincerity of the will as its first 

principle. 4 For centuries Neo-Confucianists of the two schools represented 

by Chu and Wang debated the issue. 

However, they all agreed on another doctrine of the Great Learning, 

that is, that the internal and the external, the fundamental and the 

secondary, and the first and the last, must be clearly distinguished. No 

other Confucian Classic has presented this idea so clearly and so forcefully. 

It is also important because the matter is not just one of procedure 

but involves the basic question of comparative values. In addition, 

the concept of being watchful over oneself when alone made a deep 

impression on the Neo-Confucianists, so much so that none has neglected 

it and some even built their philosophical systems around it. Since the 

Classic is important for both practical and theoretical reasons, it is no 

wonder that, from the early fourteenth century to the twentieth, it was 

a required text in Chinese education. It is here translated in full, with Chu 

Hsi's own remarks. 

THE GREAT LEARNING 5 

Chu Hsi's Remark. Master Ch'eng I said, 6 "The Great Learning is 

a surviving work of the Confucian school and is the gate through 

3 Ch'uan-hsi lu (Instructions for Practical Living), sec. 129, 135-137, 172- 

175, and 201. See Chan, trans., Instructions for Practical Living. 

4 His philosophy is summed up in his "Inquiry on the Great Learning" See 

below, ch. 35. 

5 The Great Learning is originally ch. 42 of the Li chi (Book of Rites). Not 

much attention was paid to it until the time of Ssu-ma Kuang (1019-1086), who 

wrote a commentary on it, treating it as a separate work for the first time. This 

commentary is now lost. Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) and his 

younger brother Ch'eng I (Ch'eng I-ch'uan, 1033-1107) each rearranged the text. 

Chu Hsi did the same and, moreover, added a "supplement." He further divided 

the work into one "text" and ten "chapters of commentary," and contended that 

the former was Confucius' own words handed down by his pupil Tseng Tzu 

(505-c.436 B.C.) and that the latter were the views of Tseng Tzu recorded by his 

pupils. There is no evidence for this contention. Recent scholars, equally without 

evidence, have dated the work as late as around 200 B.C. Regardless of its date 

and authorship, which has also been attributed to Confucius' grandson Tzu-ssu 

(492-431 B.C.), it was Chu Hsi who made it important in the last 800 years. He 

grouped it with the Analects, the Book of Mencius, and the Doctrine of the Mean 

as the "Four Books" and wrote commentaries on them. Since then they were 

honored as Classics, and from 1313 till 1905 they were the basis of civil service 

examinations. Thus they replaced the other Classics in importance and influence. 

The Chinese title, Ta-hsüeh, literally means education for the adult. In contrast 

to the education for the young, which consisted of good manners, daily 

behavior, etc., education for the adult involves moral cultivation and social order. 

It means, therefore, education for the good man or the gentleman, or using the 

word in the sense "great," education for the great man. 

Among Western translations, that by Hughes in his The Great Learning and the 

85

MORAL AND SOCIAL PROGRAMS 

which the beginning student enters into virtue. It is only due to 

the preservation of this work that the order in which the ancients 

pursued their learning may be seen at this time. The Analects and 

the Book of Mencius are next to it. The student should by all 

means follow this work in his effort to learn, and then he will 

probably be free from mistakes." 7 

The Text 

The Way of learning to be great (or adult education) consists in 

manifesting the clear character, loving 8 the people, and abiding (chih) 9 

in the highest good. 

Only after knowing what to abide in can one be calm. Only after 

having been calm can one be tranquil. Only after having achieved tranquillity 

can one have peaceful repose. Only after having peaceful repose 

can one begin to deliberate. Only after deliberation can the end be attained. 

Things have their roots and branches. Affairs have their beginnings 

and their ends. To know what is first and what is last will lead 

one near the Way. 

The ancients who wished to manifest their clear character to the 

world would first bring order to their states. Those who wished to 

bring order to their states would first regulate their families. Those who 

wished to regulate their families would first cultivate their personal 

lives. Those who wished to cultivate their personal lives would first 

rectify their minds. Those who wished to rectify their minds would 

first make their wills sincere. Those who wished to make their wills 

sincere would first extend their knowledge. The extension of knowledge 

consists in the investigation of things. When things are investigated, 

knowledge is extended; when knowledge is extended, the will becomes 

sincere; when the will is sincere, the mind is rectified; when the mind is 

rectified, the personal life is cultivated; when the personal life is culti- 

Mean-in-Action follows the ancient text, the one used by Cheng Hsüan (127- 

200) in his annotation, which is the one in the Thirteen Classics Series and not 

rearranged by Chu Hsi. Those by Legge, "The Great Learning," and by Lin 

Yutang, "The Great Learning," follow Chu Hsi's text. This text is called Ta-hsüah 

chang-chü, literally "Punctuation and redivision of the Great Learning into 

Chapters." It contains Chu Hsi's own "Remarks." In the following translation, 

Chu Hsi's text is used. 

6 What follows is a paraphrase of Ch'eng's words. See his I-shu (Surviving 

Works), 2A:4a, 22A:1a and Ts'ui-yen (Pure Words), 1:25a, both in ECCS. 

7 This and the rest of the "Remarks" on the Great Learning are by Chu Hsi. 

8 According to Ch'eng I, the character ch'in (to love) should be read hsin (to 

renovate). See his revision of the text of the Great Learning in Ching-shuo (Explanation 

of the Classics), 5:3a, in ECCS. 

9 The word chih is used in this work in its various meanings of abiding, staying, 

and resting. 

86


vated, the family will be regulated; when the family is regulated, the 

state will be in order; and when the state is in order, there will be peace 

throughout the world. From the Son of Heaven down to the common 

people, all must regard cultivation of the personal life as the root or 

foundation. There is never a case when the root is in disorder and yet 

the branches are in order. There has never been a case when what is 

treated with great importance becomes a matter of slight importance or 

what is treated with slight importance becomes a matter of great importance. 

Chu Hsi's Remark. The above is the text in one chapter. It is the 

words of Confucius, handed down by Tseng Tzu. The ten chapters 

of commentary which follow are the views of Tseng Tzu and were 

recorded by his pupils. In the traditional version there have been 

some mistakes in its arrangement. Now follows the new version 

fixed by Master Ch'eng I, 10 and in addition, having examined the 

contents of the text, I (Chu Hsi) have rearranged it as follows: 

Chapters of Commentary 

1. In the "Announcement of K'ang" it is said, "He was able to manifest 

his clear character." 11 In the "T'ai-chia" it is said, "He contemplated 

the clear Mandates of Heaven." 12 In the "Canon of Yao" it is said, "He 

was able to manifest his lofty character." 13 These all show that the 

ancient kings manifested their own character. 

Chu Hsi's Remark. The above first chapter of commentary explains 

manifesting the clear character. 

2. The inscription on the bath-tub of King T'ang 14 read, "If you 

can renovate yourself one day, then you can do so every day, and keep 

doing so day after day." In the "Announcement of K'ang," it is said, 

"Arouse people to become new." 15 The Book of Odes says, "Although 

Chou is an ancient state, the mandate it has received from Heaven is 

new." 16 Therefore, the superior man tries at all times to do his utmost 

[in renovating himself and others]. 

10 Ch'eng I's rearrangement of the work is found in Ching-shuo, 5:3a-5b. His 

elder brother Hao's rearrangement, which is different from his, is found in 5:1a- 

3a. Actually, Chu Hsi's rearrangement is different from both. 

11 History, "Announcement of K'ang." Cf. translation by Legge, Shoo King, 

p. 383. 

12 ibid., "T'ai-chia." Cf. Legge, p. 199. 

13 ibid., "Canon of Yao." Cf. Legge, p. 17. 

14 Founder of the Shang dynasty (r. 1751-1739 B.C.?) 

15 History, "Announcement of K'ang." Cf. Legge, p. 388. 

16 Ode no. 235. 

87


Chu Hsi's Remark. The above second chapter of commentary explains 

the renovating of the people. 

3. The Book of Odes says, "The imperial domain of a thousand li 17 

is where the people stay (chih)." 18 The Book of Odes also says, "The 

twittering yellow bird rests (chih) on a thickly wooded mount." 19 Confucius 

said, "When the bird rests, it knows where to rest. Should a 

human being be unequal to a bird?" The Book of Odes says, "How profound 

was King Wen! How he maintained his brilliant virtue without 

interruption and regarded with reverence that which he abided (chih)." 20 

As a ruler, he abided in humanity. As a minister, he abided in reverence. 

As a son, he abided in filial piety. As a father, he abided in deep love. 

And in dealing with the people of the country, he abided in faithfulness. 

The Book of Odes says, "Look at that curve in the Ch'i River. How 

luxuriant and green are the bamboo trees there! Here is our elegant and 

accomplished prince. [His personal life is cultivated] as a thing is cut and 

filed and as a thing is carved and polished. How grave and dignified! 

How majestic and distinguished! Here is our elegant and accomplished 

prince. We can never forget him!" 21 "As a thing is cut and filed" refers 

to the pursuit of learning. "As a thing is carved and polished" refers to 

self-cultivation. "How grave and how dignified" indicates precaution. 

"How majestic and distinguished" expresses awe-inspiring appearance. 

"Here is our elegant and accomplished prince. We can never forget 

him" means that the people cannot forget his eminent character and 

perfect virtue. The Book of Odes says, "Ah! the ancient kings are not 

forgotten." 22 [Future] rulers deemed worthy what they deemed worthy 

and loved what they loved, while the common people enjoyed what they 

enjoyed and benefited from their beneficial arrangements. That was why 

they are not forgotten even after they passed away. 

Chu Hsi's Remark. The above third chapter of commentary explains 

abiding in the highest good. 

4. Confucius said, "In hearing litigations, I am as good as anyone. 

What is necessary is to enable people not to have litigations at all." 23 

Those who would not tell the truth will not dare to finish their words, 

and a great awe would be struck into people's minds. This is called 

knowing the root. 

Chu Hsi's Remark. The above fourth chapter of commentary explains 

the root and the branches. 

17 18 19 

About one-third of a mile. Ode no. 303. Ode no. 230. 

20 

Ode no. 235. King Wen was the founder of the Chou dynasty. He reigned 

21 22 23 

1171-1122 B.C. Ode no. 55. Ode no. 269. Analects, 12:13. 

88


5. This is called knowing the root. This is called the perfecting of 

knowledge. 24 

Chu Hsi's Remark. The above fifth chapter of commentary explains 

the meaning of the investigation of things and the extension 

of knowledge, which is now lost. I have ventured to take the view 

of Master Ch'eng I and supplement it as follows: The meaning of 

the expression "The perfection of knowledge depends on the investigation 

of things (ko-wu)" 25 is this: If we wish to extend our 

knowledge to the utmost, we must investigate the principles of all 

things we come into contact with, for the intelligent mind of man 

is certainly formed to know, and there is not a single thing in 

which its principles do not inhere. It is only because all principles 

are not investigated that man's knowledge is incomplete. For this 

reason, the first step in the education of the adult is to instruct the 

learner, in regard to all things in the world, to proceed from what 

knowledge he has of their principles, and investigate further until 

he reaches the limit. After exerting himself in this way for a long 

time, he will one day achieve a wide and far-reaching penetration. 

Then the qualities of all things, whether internal or external, the 

refined or the coarse, will all be apprehended, and the mind, in 

its total substance and great functioning, will be perfectly intelligent. 

This is called the investigation of things. This is called the 

perfection of knowledge. 

6. What is meant by "making the will sincere" is allowing no selfdeception, 

as when we hate a bad smell or love a beautiful color. This 

is called satisfying oneself. Therefore the superior man will always be 

watchful over himself when alone. When the inferior man is alone and 

leisurely, there is no limit to which he does not go in his evil deeds. Only 

24 In the Cheng Hsüan text these two sentences come at the end of the "text." 

Then come sections on sincerity of the will, rectification of the mind, cultivation 

of the personal life, regulation of the family, order of the state, and peace 

throughout the world. The first two items, on the investigation of things and 

perfection of knowledge, are thus missing. This is the reason why Chu Hsi 

moved the two sentences here and asserted that they are on the investigation of 

things and the extension of knowledge, and offered a "supplement" to fill in the 

ideas. Thus he put the investigation of things ahead of sincerity of the will, which 

is the subject of the next chapter. Chu Hsi's revision here makes the work much 

more logical, although the revision is arbitrary. 

25 Cheng Hsüan in his commentary on the Book of Rites (see the Li chi cheng-i 

or Correct Meaning of the Book of Rites, in the Thirteen Classics Series) interprets 

ko to mean to teach, that is, when one has the knowledge of good, good 

things will reach him. Chu Hsi, in his Ta-hsüeh chang-chü, also interprets ko 

as to reach, but according to him, it means to reach things, that is, to get at the 

principle of things to the utmost. See below, ch. 32, comment on sec. 44 and ch. 

34, B, 1g, comment on sec. 30. 

89


when he sees a superior man does he then try to disguise himself, concealing 

the evil and showing off the good in him. But what is the use? 

For other people see him as if they see his very heart. This is what is 

meant by saying that what is true in a man's heart will be shown in his 

outward appearance. Therefore the superior man will always be watchful 

over himself when alone. Tseng Tzu said, "What ten eyes are beholding 

and what ten hands are pointing to—isn't it frightening?" Wealth makes 

a house shining and virtue makes a person shining. When one's mind 

is broad and his heart generous, his body becomes big and is at ease. 

Therefore the superior man always makes his will sincere. 

Chu Hsi's Remark. The above sixth chapter of commentary explains 

the sincerity of the will. 

7. What is meant by saying that cultivation of the personal life depends 

on the rectification of the mind is that when one is affected by 

wrath to any extent, his mind will not be correct. When one is affected 

by fear to any extent, his mind will not be correct. When he is affected by 

fondness to any extent, his mind will not be correct. When he is affected 

by worries and anxieties, his mind will not be correct. When the mind is 

not present, we look but do not see, listen but do not hear, and eat but 

do not know the taste of the food. This is what is meant by saying that 

the cultivation of the personal life depends on the rectification of the 

mind. 

Chu Hsi's Remark. The above seventh chapter of commentary explains 

the rectification of the mind in order to cultivate the personal 

life. 

8. What is meant by saying that the regulation of the family depends 

on the cultivation of the personal life is this: Men are partial toward 

those for whom they have affection and whom they love, partial toward 

those whom they despise and dislike, partial toward those whom they 

fear and revere, partial toward those whom they pity and for whom 

they have compassion, and partial toward those whom they do not respect. 

Therefore there are few people in the world who know what is 

bad in those whom they love and what is good in those whom they dislike. 

Hence it is said, "People do not know the faults of their sons and 

do not know (are not satisfied with) the bigness of their seedlings." 

This is what is meant by saying that if the personal life is not cultivated, 

one cannot regulate his family. 

Chu Hsi's Remark. The above eighth chapter of commentary explains 

the cultivation of the personal life in order to regulate the 

family. 

90


9. What is meant by saying that in order to govern the state it is 

necessary first to regulate the family is this: There is no one who cannot 

teach his own family and yet can teach others. Therefore the superior 

man (ruler) without going beyond his family, can bring education into 

completion in the whole state. Filial piety is that with which one serves 

his ruler. Brotherly respect is that with which one serves his elders, and 

deep love is that with which one treats the multitude. The "Announcement 

of K'ang" says, "Act as if you were watching over an infant." 26 

If a mother sincerely and earnestly looks for what the infant wants, 

she may not hit the mark but she will not be far from it. A young 

woman has never had to learn about nursing a baby before she marries. 

When the individual families have become humane, then the whole 

country will be aroused toward humanity. When the individual families 

have become compliant, then the whole country will be aroused toward 

compliance. When one man is greedy or avaricious, the whole country 

will be plunged into disorder. Such is the subtle, incipient activating 

force of things. This is what is meant by saying that a single word may 

spoil an affair and a single man may put the country in order. (Sageemperors) 

Yao and Shun 27 led the world with humanity and the people 

followed them. (Wicked kings) Chieh and Chou 28 led the world with 

violence and the people followed them. The people did not follow their 

orders which were contrary to what they themselves liked. Therefore 

the superior man must have the good qualities in himself before he may 

require them in other people. 29 He must not have the bad qualities in himself 

before he may require others not to have them. There has never been a 

man who does not cherish altruism (shu) in himself and yet can teach 

other people. Therefore the order of the state depends on the regulation 

of the family. 

The Book of Odes says, "How young and pretty is that peach tree! 

How luxuriant is its foliage! This girl is going to her husband's house. She 

will rightly order her household." 30 Only when one has rightly ordered his 

household can he teach the people of the country. The Book of Odes says, 

"They were correct and good to their elder brothers. They were correct 

and good to their younger brothers." 31 Only when one is good and 

correct to one's elder and younger brothers can one teach the people 

of the country. The Book of Odes says, "His deportment is all correct, 

and he rectifies all the people of the country." 32 Because he served as a 

26 History, "Announcement of K'ang." Cf. Legge, Shoo King, p. 389. 

27 Legendary rulers of the 3rd millennium B.C. 

28 They (r. 1802-1752 B.C.? and r. 1175-1112 B.C.) caused the downfall of 

the Hsia and Shang dynasties, respectively. 

29 30 

Cf. Analects, 15:20. 

Ode no. 6. 

31 32 Ode no. 173. 

Ode no. 152. 

91


worthy example as a father, son, elder brother, and younger brother, 

therefore the people imitated him. This is what is meant by saying that 

the order of the state depends on the regulation of the family. 

Chu Hsi's Remark. The above ninth chapter of commentary explains 

regulating the family to bring order to the state. 

10. What is meant by saying that peace of the world depends on the 

order of the state is this: When the ruler treats the elders with respect, 

then the people will be aroused toward filial piety. When the ruler treats 

the aged with respect, then the people will be aroused toward brotherly 

respect. When the ruler treats compassionately the young and the helpless, 

then the common people will not follow the opposite course. Therefore 

the ruler has a principle with which, as with a measuring square, 

he may regulate his conduct. 

What a man dislikes in his superiors, let him not show it in dealing 

with his inferiors; what he dislikes in those in front of him, let him not 

show it in preceding those who are behind; what he dislikes in those 

behind him, let him not show it in following those in front of him; what 

he dislikes in those on the right, let him not apply it to those on the left; 

and what he dislikes in those on the left, let him not apply it to those on 

the right. This is the principle of the measuring square. 

The Book of Odes says, "How much the people rejoice in their prince, 

a parent of the people!" 33 He likes what the people like and dislikes what 

the people dislike. This is what is meant by being a parent of the people. 

The Book of Odes says, "Lofty is the Southern Mountain! How massive 

are the rocks! How majestic is the Grand Tutor Yin (of Chou)! 

The people all look up to you!" 34 Thus rulers of states should never be 

careless. If they deviate from the correct path, they will be cast away 

by the world. The Book of Odes says, "Before the rulers of the Yin 

(Shang) dynasty 35 lost the support of the people, they could have been 

counterparts of Heaven. 36 Take warning from the Yin dynasty. It is not 

easy to keep the Mandate of Heaven." 37 This shows that by having the 

support of the people, they have their countries, and by losing the support 

of the people, they lose their countries. Therefore the ruler will first 

be watchful over his own virtue. If he has virtue, he will have the 

people with him. If he has the people with him, he will have the territory. 

If he has the territory, he will have wealth. And if he has wealth, he 

will have its use. Virtue is the root, while wealth is the branch. If he 

regards the root as external (or secondary) and the branch as internal 

33 34 35 

Ode no. 172. Ode no. 191. 1384-1112 B.C. 

36 Heaven will accept their sacrifice, according to Cheng Hsüan, or can face 

Heaven, according to Chu Hsi. 

37 

Ode no. 235. 

92


(or essential), he will compete with the people in robbing each other. 

Therefore when wealth is gathered in the ruler's hand, the people will 

scatter away from him; and when wealth is scattered [among the people], 

they will gather round him. Therefore if the ruler's words are uttered 

in an evil way, the same words will be uttered back to him in an evil 

way; and if he acquires wealth in an evil way, it will be taken away 

from him in an evil way. In the "Announcement of K'ang" it is said, "The 

Mandate of Heaven is not fixed or unchangeable." 38 The good ruler 

gets it and the bad ruler loses it. In the Book of Ch'u it is said, "The 

State of Ch'u does not consider anything as treasure; it considers only 

good [men] as treasure. Uncle Fan (maternal uncle to a prince of Chin 

in exile) said, 'Our exiled prince has no treasure; to be humane toward 

his parents is his only treasure.' " 39 In the "Oath of Ch'in" it is said, 

"Let me have but one minister, sincere and single-minded, not pretending 

to other abilities, but broad and upright of mind, generous and tolerant 

toward others. When he sees that another person has a certain 

kind of ability, he is as happy as though he himself had it, and when he 

sees another man who is elegant and wise, he loves him in his heart as 

much as if he said so in so many words, thus showing that he can really 

tolerate others. Such a person can preserve my sons, and grandsons and 

the black-haired people (the common people). He may well be a great 

benefit to the country. But when a minister sees another person with a 

certain kind of ability, he is jealous and hates him, and when he sees 

another person who is elegant and wise, he blocks him so he cannot 

advance, thus showing that he really cannot tolerate others. Such a person 

cannot preserve my sons, grandsons, and the black-haired people. 

He is a danger to the country." 40 It is only a man of humanity who can 

send away such a minister and banish him, driving him to live among the 

barbarian tribes and not allowing him to exist together with the rest 

of the people in the Middle Kingdom (China). This is what is meant 

by saying that it is only the man of humanity who can love or who can 

hate others. 41 To see a worthy and not be able to raise him to office, 

or to be able to raise him but not to be the first one to do so—that is 

negligence. 42 To see bad men and not be able to remove them from office, 

or to be able to remove them but not to remove them as far away as possible—that 

is a mistake. To love what the people hate and to hate what 

38 History, "Announcement of K'ang." Cf. Legge, Shoo King, p. 397. 

39 For this story see Book of Rites, "T'an-kung," pt. 2. Cf. Legge, trans. Li Ki, 

vol. 1, p. 166. 

40 History, "Declaration of Ch'in." Cf. Legge, Shoo King, pp. 629-630. 


42 The word ming, ordinarily meaning fate, here denotes negligence, according 

to Cheng Hsüan. 

93


the people love—that is to act contrary to human nature, and disaster 

will come to such a person. Thus we see that the ruler has a great principle 

to follow. He must attain it through loyalty and faithfulness and 

will surely lose it through pride and indulgence. 

There is a great principle for the production of wealth. If there are 

many producers and few consumers, and if people who produce wealth 

do so quickly and those who spend it do so slowly, then wealth will 

always be sufficient. A man of humanity develops his personality by 

means of his wealth, while the inhumane person develops wealth at 

the sacrifice of his personality. There has never been a case of a ruler 

who loved humanity and whose people did not love righteousness. There 

has never been a case where the people loved righteousness and yet 

the affairs of the state have not been carried to completion. And there 

has never been a case where in such a state the wealth collected in the 

national treasury did not continue in the possession of the ruler. 

The officer Meng-hsien 43 said, "He who keeps a horse [one who has 

just become an official] 44 and a carriage does not look after poultry 

and pigs. [The higher officials] who use ice [in their sacrifices] do not 

keep cattle and sheep. And the nobles who can keep a hundred carriages 

do not keep rapacious tax-gathering ministers under them. It is better 

to have a minister who robs the state treasury than to have such a taxgathering 

minister. This is what is meant by saying that in a state financial 

profit is not considered real profit whereas righteousness is considered 

to be the real profit. He who heads a state or a family and is 

devoted to wealth and its use must have been under the influence of an 

inferior man. He may consider this man to be good, but when an inferior 

man is allowed to handle the country or family, disasters and injuries 

will come together. Though a good man may take his place, nothing can 

be done. This is what is meant by saying that in a state financial profit 

is not considered real profit whereas righteousness is considered the real 

profit. 

Chu Hsi's Remark. The above tenth chapter of commentary explains 

ordering the state to bring peace to the world. There are altogether 

ten commentary chapters. The first four generally discuss 

the principal topics and the basic import. The last six chapters 

discuss in detail the items and the required effort involved. Chapter 

five deals with the essence of the understanding of goodness and 

chapter six deals with the foundation of making the personal life 

sincere. These two chapters, especially, represent the immediate task, 

particularly for the beginning student. The reader should not neglect 

them because of their simplicity. 

43 A worthy officer-in-chief of Lu. 

44 This interpretation follows Cheng Hsüan's commentary. 

94

SPIRITUAL DIMENSIONS: THE DOCTRINE 

OF THE MEAN 

THE Doctrine of the Mean and the Great Learning are often mentioned 

together. Both constitute a chapter in the Li chi (Book of Rites) and 

were selected by Chu Hsi (1130-1200) to form the "Four Books" 

with the Analects and the Book of Mencius. Both became Classics and 

basic texts for civil service examinations from 1313 until 1905. Both 

exerted tremendous influence in China in the last eight hundred years, 

especially on Neo-Confucianism, which looked to them as two of their 

main sources of inspiration. But they are different in many ways. The 

Great Learning deals with social and political matters, while the Doctrine 

of the Mean is a discourse on psychology and metaphysics. The Great 

Learning discusses the mind but not human nature, whereas with the 

Doctrine of the Mean the opposite is true. 1 The Great Learning emphasizes 

method and procedure, whereas the Doctrine of the Mean concentrates 

on reality. The Great Learning is generally rational in tone, but 

the Doctrine of the Mean is religious and mystical. It comes very close to 

the more mystical aspect of the Book of Mencius, and several passages 

are almost identical in the two works. 2 

Even before this Classic attracted the Neo-Confucianists, its subtle 

doctrines had strong appeal to both Taoists and Buddhists. From the 

fourth to the eleventh century, Taoist and Buddhist scholars wrote commentaries 

on it, and one Buddhist monk in the eleventh century called 

himself by the name of the book. It formed a bridge between Taoism 

and Buddhism and the Confucian school and in this way prepared for 

the influence of Buddhism and Taoism on Confucianism, thus ushering 

in the Neo-Confucian movement. 

What attracted the Taoists, Buddhists, and the Neo-Confucianists 

were the two main subjects of the book, the very subjects on which 

Confucius' pupils "could not hear his views," 3 namely, human nature and 

the Way of Heaven. Human nature, endowed by Heaven, is revealed 

through the states of equilibrium and harmony, which are themselves the 

"condition of the world" and the "universal path." The Way of Heaven 

transcends time, space, substance, and motion, and is at the same time 

unceasing, eternal, and evident. 

1 The word "nature" appears only once in the Great Learning (ch. 10) and 

the word "mind" is not found in The Mean at all, except in Chu Hsi's and Ch'eng 

I's remarks. 

2 Cf. The Mean, ch. 20 and Mencius, 4A:12; 7B:16. 


••• 5 ••• 

95

SPIRITUAL DIMENSIONS 

It can readily be seen that the Doctrine of the Mean is a philosophical 

work, perhaps the most philosophical in the whole body of ancient Confucian 

literature. It is called chung-yung in Chinese. In the Analects, 

chung-yung, often translated the "Mean," denotes moderation but here 

chung means what is central and yung means what is universal and harmonious. 

The former refers to human nature, the latter to its relation 

with the universe. Taken together, it means that there is harmony in 

human nature and that this harmony underlies our moral being and 

prevails throughout the universe. In short, man and Nature form a unity. 

Here is an early expression of the theory that was to dominate Chinese 

thought throughout its history. 

The quality that brings man and Nature together is ch'eng, sincerity, 

truth or reality. 4 The extensive discussion of this idea in the Classic 

makes it at once psychological, metaphysical, and religious. Sincerity is 

not just a state of mind, but an active force that is always transforming 

things and completing things, and drawing man and Heaven (T'ien, 

Nature) together in the same current. Insofar as it is mystical, it tends 

to be transcendental. But its practical aspect has never been forgotten. 

In fact, if sincerity is to be true, it must involve strenuous effort at learning 

and earnest effort at practice. After all, yung also means the ordinary, 

and sincerity is to be tested in ordinary words and ordinary deeds and its 

truth is understandable to the ordinary man. In the final analysis, the 

Doctrine of the Mean is a Confucian document, and as such it has never 

deviated from its central interest in practical affairs. 

It is obvious that the Doctrine of the Mean represents an advance over 

Confucius. It and the Great Learning seem to embody two different 

ancient Confucian tendencies, just as later Mencius and Hsün Tzu (fl. 

298-238 B.C.) represented two different schools of thought. Some 

scholars have suggested that the Doctrine of the Mean and the Great 

Learning are offshoots of the teachings of Mencius and Hsün Tzu, respectively. 

5 This theory is interesting but not substantiated. Mencius and 

Hsün Tzu are opposed at many points. The Doctrine of the Mean and the 

Great Learning are not, although they are different—one of the reasons 

why they have been often spoken of together. 

Following the list of its major topics and their reference, the work is 

translated below in full. 

Heaven and Man: 13, 20, 22 

Human relations: 13, 17, 19, 20 

Knowledge and Conduct: 14, 20, 27 

4 The Mean, chs. 20-26, 32. Strangely enough, the subject of ch'eng is not 

discussed in the Analects. 

5 For example, Fung Yu-lan. See his History of Chinese Philosophy, vol. 1, 

pp. 363, 370. 

96

THE DOCTRINE OF THE MEAN 

Mean and Harmony: 1-4, 6-11, 20, 27 

Moral virtues: 13, 17, 19, 20, 25 

Nature and Destiny: 1, 14, 21, 22, 25, 27 

Sincerity: 16, 20-26, 32 

Universe: 22, 23, 26, 30 

Way (Tao) and Education: 1, 5, 12, 13, 20, 21, 23 

THE DOCTRINE OF THE MEAN 6 

Chu Hsi's Remark: "Master Ch'eng I (Ch'eng I-ch'uan, 1033- 

1107) said, 'By chung (central) is meant what is not one-sided, and 

by yung (ordinary) is meant what is unchangeable. Chung is the 

correct path of the world and yung is the definite principle of the 

world.' 'This work represents the central way 7 in which the doctrines 

of the Confucian school have been transmitted.' Fearing that in 

time errors should arise, Tzu-ssu wrote it down and transmitted 

it to Mencius. The book 'first speaks of one principle, next it 

spreads out to cover the ten thousand things, and finally returns 

and gathers them all under the one principle.' Unroll it, and it 

reaches in all directions. Roll it up, and it withdraws and lies hidden 

in minuteness. 'Its meaning and interest are inexhaustible.' 8 The 

whole of it is solid learning. If the skillful reader will explore and 

brood over it and apprehend it, he may apply it throughout his life, 

and will find it inexhaustible." 

6 Originally a chapter in the Li chi (Book of Rites), evidently it existed in the 

early Han dynasty (206 B.C.-A.D. 220) independently, Moreover, commentaries 

in the Han and Liang (502-557) times were written on it as an independent work, 

although these commentaries are no longer extant. As in the case of the Great 

Learning, great interest in it arose in the Sung period (960-1279). Both Ssu-ma 

Kuang (1019-1086) and Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) wrote commentaries 

on it. But it was Chu Hsi who brought it into prominence. He redivided 

the old text, the one used in Cheng Hsüan's (127-200) commentary, the Li chi 

cheng-i or Correct Meanings of the Book of Rites (in the Thirteen Classics Series), 

into thirty-three sections without altering the order of the text. Thus the text 

became much clearer. He accepted the account in Ssu-ma Ch'ien's Shih-chi (Records 

of the Historian), ch. 47. (See French translation by Chavannes, Les mémoires 

historiques, vol. 5, p. 431), that Confucius' grandson Tzu-ssu (492-431 B.C.) was 

the author. Many modern scholars refuse to accept the theory; some have dated 

it around 200 B.C. The work is not consistent either in style or in thought. It may 

be a work of more than one person over a considerable period in the fifth or 

fourth century B.C. English translations by Legge, "The Doctrine of the Mean," 

and Ku Hung-ming, "Central Harmony," follow Chu Hsi's sectioning, while 

Hughes, "The Mean-in-Action," follows the Cheng Hsüan text. In our translation, 

Chu Hsi's arrangement is followed. 

7 The term hsin-fa is Buddhist, meaning transmission from mind to mind without 

the use of words. Ch'eng borrowed the term but used it in an entirely different 

sense, taking hsin (mind) to mean "central," and emphasizing the use of words. 

8 I-shu (Surviving Works), 7:3b, 14:1a, 18:30a; Wai-shu (Additional Works), 

11:1b, both in ECCS. 

97


1. What Heaven (T'ien, Nature) imparts to man is called human 

nature. To follow 9 our nature is called the Way (Tao). Cultivating the 

Way is called education. The Way cannot be separated from us for a 

moment. What can be separated from us is not the Way. Therefore the 

superior man is cautious over what he does not see and apprehensive over 

what he does not hear. There is nothing more visible than what is hidden 

and nothing more manifest than what is subtle. Therefore the superior 

man is watchful over himself when he is alone. 

Before the feelings of pleasure, anger, sorrow, and joy are aroused it 

is called equilibrium (chung, centrality, mean). When these feelings are 

aroused and each and all attain due measure and degree, it is called 

harmony. Equilibrium is the great foundation of the world, and harmony 

its universal path. When equilibrium and harmony are realized to the 

highest degree, heaven and earth will attain their proper order and all 

things will flourish. 

Chu Hsi's Remark. "In the above first chapter, Tzu-ssu relates the 

ideas which had been transmitted to him, as the basis of discourse. 

First, it shows clearly that the origin of the Way is traced to Heaven 

and is unchangeable, while its concrete substance is complete in 

ourselves and may not be departed from. Next, it speaks of the essentials 

of preserving, nourishing, and examining the mind. Finally, 

it speaks of the meritorious achievements and transforming influence 

of the sage and the spirit man in their highest degree. Tzussu's 

hope was that the student should hereby return to search 

within himself to find these truths, so that he might remove his 

selfish desires aroused by external temptations, and realize in full 

measure the goodness which is natural to him. This is what scholar 

Yang meant when he said that this chapter is the quintessence of 

the whole work. 10 In the following ten chapters, Tzu-ssu quotes 

Confucius in order fully to develop the meaning of this chapter." 

2. Chung-ni (Confucius) said, "The superior man [exemplifies] the 

Mean (chung-yung). l1 The inferior man acts contrary to the Mean. The 

9 Interpretation according to Cheng Hsüan, Chung-yung chu (Commentary on 

the Doctrine of the Mean). 

10 Although none of the commentators in the Chung-yung chang-chü (Commentary 

on the Doctrine of the Mean) in the Ssu-shu ta-ch'üan (Great Collection 

of Commentaries on the Four Books) mentioned the name of the man, this 

refers to Yang Shih (Yang Kuei-shan, 1053-1135). In his Chung-yung huo-wen 

(Questions and Answers on the Doctrine of the Mean), Chu Hsi repeatedly commented 

on Yang's theories. The particular remark in question, however, is not 

found in the Yang Kuei-shan chi (Collected Works of Yang Shih). It was probably 

transmitted orally and was well known to scholars. 

11 The term chung-yung, literally "centrality and universality," has been trans- 

98


superior man [exemplifies] the Mean because, as a superior man, he can 

maintain the Mean at any time. The inferior man [acts contrary to] 12 the 

Mean because, as an inferior man, he has no caution." 

3. Confucius said, "Perfect is the Mean. For a long time few people 

have been able to follow it." 13 

4. Confucius said, "I know why the Way is not pursued. The intelligent 

go beyond it and the stupid do not come up to it. I know why the 

Way is not understood. 14 The worthy go beyond it and the unworthy do 

not come up to it. There is no one who does not eat and drink, but there 

are few who can really know flavor." 

5. Confucius said, "Alas! How is the Way not being pursued!" 

6. Confucius said, "Shun 15 was indeed a man of great wisdom! He 

loved to question others and to examine their words, however ordinary. 

He concealed what was bad in them and displayed what was good. He 

took hold of their two extremes, took the mean between them, and applied 

it in his dealing with the people. This was how he became Shun 

(the sage-emperor)." 

7. Confucius said, "Men all say, 'I am wise'; but when driven forward 

and taken in a net, a trap, or a pitfall, none knows how to escape. Men 

all say, 'I am wise'; but should they choose the course of the Mean, they 

are not able to keep it for a round month." 

8. Confucius said, "Hui 16 was a man who chose the course of the 

Mean, and when he got hold of one thing that was good, he clasped it 

firmly as if wearing it on his breast and never lost it." 

9. Confucius said, "The empire, the states, and the families can be 

put in order. Ranks and emolument can be declined. A bare, naked 

weapon can be tramped upon. But the Mean cannot [easily] be attained." 

10. Tzu-lu 17 asked about strength. Confucius said, "Do you mean the 

strength of the South, the strength of the North, or the strength you 

should cultivate yourself? To be genial and gentle in teaching others and 

not to revenge unreasonable conduct—this is the strength of the people 

lated as moderation, the Mean, mean-in-action, normality, universal moral order, 

etc. According to Cheng Hsüan, yung means the ordinary and chung-yung means 

using the Mean as the ordinary way. According to Chu Hsi, it means neither onesided 

nor extreme but the ordinary principle of the Mean. The Mean is the same 

as equilibrium and harmony in ch. 1. 

12 Following Wang Su's (195-256) text. 

13 A similar saying is found in Analects, 6:27. 

14 Some eleventh-century scholars thought that the word "pursued" and "understood" 

should be interchanged, for intelligence and stupidity pertain to understanding 

while worthiness and unworthiness pertain to action. 

15 Legendary sage-emperor (3rd millennium B.C.). 

16 Name of Confucius' favorite pupil, Yen Yüan (521-490 B.C.). 

17 Confucius' pupil, whose family name was Chung and private name Yu 

(542-480 B.C.). 

99


of the South. The superior man lives by it. To lie under arms and meet 

death without regret—this is the strength of the people of the North. The 

strong man lives by it. Therefore the superior man maintains harmony 

[in his nature and conduct] and does not waver. How unflinching is his 

strength! He stands in the middle position and does not lean to one side. 

How unflinching is his strength! When the Way prevails in the state, [if 

he enters public life], he does not change from what he was in private life. 

How unflinching is his strength! When the Way does not prevail in the 

state, he does not change even unto death. How unflinching is his 

strength!" 

11. "There are men who seek for the abstruse, and practice wonders. 

Future generations may mention them. But that is what I will not do. 

There are superior men who act in accordance with the Way, but give 

up when they have gone half way. But I can never give up. There are 

superior men who are in accord with the Mean, retire from the world and 

are unknown to their age, but do not regret. It is only a sage who can 

do this." 

12. "The Way of the superior man functions everywhere and yet is 

hidden. Men and women of simple intelligence can share its knowledge; 

and yet in its utmost reaches, there is something which even the sage does 

not know. Men and women of simple intelligence can put it into practice; 

and yet in its utmost reaches there is something which even the sage is 

not able to put into practice. Great as heaven and earth are, men still 

find something in them with which to be dissatisfied. Thus with [the Way 

of] the superior man, if one speaks of its greatness, nothing in the world 

can contain it, and if one speaks of its smallness, nothing in the world 

can split it. The Book of Odes says, The hawk flies up to heaven; the 

fishes leap in the deep.' 18 This means that [the Way] is clearly seen above 

and below. The Way of the superior man has its simple beginnings in the 

relation between man and woman, but in its utmost reaches, it is clearly 

seen in heaven and on earth." 

Chu Hsi's Remark. "The above twelfth chapter contains the words 

of Tzu-ssu, which are meant to clarify and elaborate on the idea of 

chapter 1 that the Way cannot be departed from. In the following 

eight chapters, he quotes Confucius here and there to clarify it." 

13. Confucius said, "The Way is not far from man. When a man pursues 

the Way and yet remains away from man, his course cannot be considered 

the Way. The Book of Odes says, "In hewing an axe handle, in 

hewing an axe handle, the pattern is not far off.' 19 If we take an axe 

18 Ode no. 239. l9 Ode no. 158. 

100


handle to hew another axe handle and look askance from the one to the 

other, we may still think the pattern is far away. Therefore the superior 

man governs men as men, in accordance with human nature, and as soon 

as they change [what is wrong], he stops. Conscientiousness (chung) and 

altruism (shu) are not far from the Way. What you do not wish others 

to do to you, do not do to them. 

"There are four things in the Way of the superior man, none of which 

I have been able to do. To serve my father as I would expect my son to 

serve me: that I have not been able to do. To serve my ruler as I would 

expect my ministers to serve me: that I have not been able to do. To serve 

my elder brothers as I would expect my younger brothers to serve me: 

that I have not been able to do. To be the first to treat friends as I would 

expect them to treat me: that I have not been able to do. In practicing the 

ordinary virtues and in the exercise of care in ordinary conversation, 

when there is deficiency, the superior man never fails to make further 

effort, and when there is excess, never dares to go to the limit. His words 

correspond to his actions and his actions correspond to his words. 20 Isn't 

the superior man earnest and genuine?" 

Comment. It is often said that Confucianism teaches only the "negative 

golden rule," not to do to others what one does not want them 

to do to him. However, the golden rule is here positively stated, 

that is, to do to others what one expects others to do to him. There 

is no question about the positive character of the Confucian doctrine 

which is clearly stated in terms of conscientiousness and altruism. 21 

14. The superior man does what is proper to his position and does not 

want to go beyond this. If he is in a noble station, he does what is proper 

to a position of wealth and honorable station. If he is in a humble station, 

he does what is proper to a position of poverty and humble station. If he 

is in the midst of barbarian tribes, he does what is proper in the midst 

of barbarian tribes. In a position of difficulty and danger, he does 

what is proper to a position of difficulty and danger. He can find himself 

in no situation in which he is not at ease with himself. In a high position 

he does not treat his inferiors with contempt. In a low position he does 

not court the favor of his superiors. He rectifies himself and seeks nothing 

from others, hence he has no complaint to make. He does not complain 

against Heaven above or blame men below. 22 Thus it is that the superior 

man lives peacefully and at ease and waits for his destiny (ming, Mandate 

20 

See above, ch. 2, comment on Analects, 2:18. 

21 

ibid., comment on Analects, 4:15. For a discussion on chung-shu, see Appendix. 

22 

A similar saying is found in Analects, 14:37. 

101


of Heaven, fate), 23 while the inferior man takes to dangerous courses 

and hopes for good luck. Confucius said, "In archery we have something 

resembling the Way of the superior man. When the archer misses the 

center of the target, he turns around and seeks for the cause of failure 

within himself." 

15. The Way of the superior man may be compared to traveling to a 

distant place: one must start from the nearest point. It may be compared 

to ascending a height: one must start from below. The Book of Odes 

says, "Happy union with wife and children is like the music of lutes and 

harps. When brothers live in concord and at peace, the harmony is 

sweet and delightful. Let your family live in concord, and enjoy your 

wife and children." 24 Confucius said, "How happy will parents be!" 

16. Confucius said, "How abundant is the display of power of spiritual 

beings! We look for them but do not see them. We listen to them but 

do not hear them. They form the substance of all things 25 and nothing 

can be without them. They cause all people in the world to fast and 

purify themselves and put on the richest dresses to perform sacrifices to 

them. Like the spread of overflowing water they seem to be above and to 

be on the left and the right. The Book of Odes says, The coming of spiritual 

beings cannot be surmised. How much less can we get tired of 

them?' 26 Such is the manifestation of the subtle. Such is the impossibility 

of hiding the real (ch'eng)." 

17. Confucius said, "Shun was indeed greatly filial! In virtue he was 

a sage; in honor he was the Son of Heaven (emperor); and in wealth he 

owned all within the four seas (China). Temple sacrifices were made to 

him, and his descendants preserved the sacrifices to him. Thus it is that 

he who possesses great virtue will certainly attain to corresponding position, 

to corresponding wealth, to corresponding fame, and to corresponding 

long life. For Heaven, in the production of things, is sure to be 

bountiful to them, according to their natural capacity. Hence the tree 

that is well taken care of is nourished and that which is about to fall is 

overthrown. The Book of Odes says, 'The admirable, amiable prince 

displayed conspicuously his excellent virtue. He put his people and his 

officers in concord. And he received his emolument from Heaven. It protected 

him, assisted him, and appointed him king. And Heaven's blessing 

came again and again.' 27 Therefore he who possesses great virtue will 

surely receive the appointment of Heaven." 

23 On the doctrine of waiting for destiny, see above, ch. 3, comment on 

Mencius, Additional Selections, 7A:1. 

24 Ode no. 164. 

25 This is Chu Hsi's interpretation of t'i-wu in his Chung-yung chang-ch'ü. See 

also below, ch. 30, n.83. 

26 Ode no. 256. 27 ode no. 249. 

102


18. Confucius said, "King Wen was indeed the only one without 

sorrow! He had King Chi for father and King Wu 28 for son. His father 

laid the foundation of [the great work of the Chou dynasty] and his son 

carried it on. King Wu continued the enterprise of King T'ai, 29 King 

Chi, and King Wen. Once he buckled on his armor [and revolted against 

wicked King Chou of Shang], the world came into his possession, and 

did not personally lose his great reputation throughout the empire. In 

honor he was the Son of Heaven, and in wealth he owned all within the 

four seas. Temple sacrifices were made to him, and his descendants preserved 

the sacrifices to him. 

"King Wu received Heaven's Mandate to rule in his old age. Duke 

Chou 30 carried to completion the virtue of King Wen and King Wu. He 

honored T'ai and Chi with the posthumous title of king. He sacrificed to 

the past reigning dukes of the house with imperial rites. These rites were 

extended to the feudal lords, great officers, officers, and the common 

people. If the father was a great officer, and the son a minor officer, when 

the father died, he was buried with the rite of a great officer but afterward 

sacrificed to with the rite of a minor officer. If the father was a 

minor officer and the son was a great officer, then the father was buried 

with the rite of a minor officer but afterward sacrificed to with the rite 

of a great officer. The rule for one year of mourning for relatives was 

extended upward to include great officers, but the rule for three years of 

mourning was extended upward to include the Son of Heaven. In mourning 

for parents, there was no difference for the noble or the commoner. 

The practice was the same." 

19. Confucius said, "King Wu and Duke Chou were indeed eminently 

filial. Men of filial piety are those who skillfully carry out the wishes of 

their forefathers and skillfully carry forward their undertakings. In 

spring and autumn they repaired their ancestral temple, displayed their 

ancestral vessels and exhibited the ancestral robes, and presented the 

appropriate offerings of the season. The ritual of the ancestral temple is 

in order to place the kindred on the left or on the right according to the 

order of descent. This order in rank meant to distinguish the more 

honorable or humbler stations. Services in the temple are arranged in 

order so as to give distinction to the worthy [according to their ability 

for those services]. In the pledging rite the inferiors present their cups to 

their superiors, so that people of humble stations may have something 

to do. In the concluding feast, honored places were given people with 

white hair, so as to follow the order of seniority. To occupy places of 

28 

King Wen (r. 1171-1122 B.C.) was the founder of the Chou dynasty. King 

Wu (r. 1121-1116 B.C.) was his successor. 

29 30 

King Chi's father. 

King Wu's brother (d. 1094 B.C.). 

103


their forefathers, to practice their rites, to perform their music, to reverence 

those whom they honored, to love those who were dear to them, 

to serve the dead as they were served while alive, and to serve the departed 

as they were served while still with us: this is the height of filial 

piety. 

"The ceremonies of sacrifices to Heaven and Earth are meant for the 

service of the Lord on High, and the ceremonies performed in the 

ancestral temple are meant for the service of ancestors. If one understands 

the ceremonies of the sacrifices to Heaven and Earth and the 

meaning of the grand sacrifice and the autumn sacrifice to ancestors, it 

would be as easy to govern a kingdom as to look at one's palm." 

20. Duke Ai 31 asked about government. Confucius said, "The governmental 

measures of King Wen and King Wu are spread out in the records. 

With their kind of men, government will flourish. When their kind of 

men are gone, their government will come to an end. When the right 

principles of man operate, the growth of good government is rapid, and 

when the right principles of soil operate, the growth of vegetables is 

rapid. Indeed, government is comparable to a fast-growing plant. 32 

Therefore the conduct of government depends upon the men. The right 

men are obtained by the ruler's personal character. The cultivation of the 

person is to be done through the Way, and the cultivation of the Way is 

to be done through humanity. Humanity (jen) is [the distinguishing 

characteristic of] man, 33 and the greatest application of it is in being affectionate 

toward relatives. Righteousness (i) is the principle of setting 

things right and proper, and the greatest application of it is in honoring 

the worthy. The relative degree of affection we ought to feel for our 

relatives and the relative grades in the honoring of the worthy give rise 

to the rules of propriety. [If those in inferior positions do not have the 

confidence of their superiors, they will not be able to govern the people]. 34 

Comment. The sentence "Humanity is [the distinguishing characteristic 

of] man" is perhaps the most often quoted on the subject of 

humanity (jen). In Chinese it is "jen is jen," the first jen meaning 

humanity and the second referring to man. It is not just a pun, but 

an important definition of the basic Confucian concept of humanity, 

for to Confucianists, the virtue of humanity is meaningless unless 

it is involved in actual human relationships. This is the reason 

Cheng Hsüan defined it as "people living together," the definition 

31 Ruler of Lu (r. 494-465 B.C.). 

32 Some say that Confucius' words stop here, the rest being Tzu-ssu's elaboration, 

33 Cf. Mencius, 7B:16. 

34 Cheng Hsüan correctly pointed out in his commentary that this sentence is 

duplicated near the end of the chapter and is therefore superfluous. 

104


to which scholars of the Ch'ing dynasty (1644-1912) returned in 

their revolt against the Neo-Confucianists of the Sung dynasty who 

interpreted jen as a state of mind. 35 

"Therefore the ruler must not fail to cultivate his personal life. Wishing 

to cultivate his personal life, he must not fail to serve his parents. 

Wishing to serve his parents, he must not fail to know man. Wishing to 

know man, he must not fail to know Heaven. 

"There are five universal ways [in human relations], and the way 

by which they are practiced is three. The five are those governing the 

relationship between ruler and minister, between father and son, between 

husband and wife, between elder and younger brothers, and those in the 

intercourse between friends. These five are universal paths in the world. 36 

Wisdom, humanity, and courage, these three are the universal virtues. 

The way by which they are practiced is one. 

"Some are born with the knowledge [of these virtues]. Some learn it 

through study. Some learn it through hard work. But when the knowledge 

is acquired, it comes to the same thing. Some practice them naturally 

and easily. Some practice them for their advantage. Some practice 

them with effort and difficulty. But when the achievement is made, it 

comes to the same thing." 

Confucius said, "Love of learning is akin to wisdom. To practice with 

vigor is akin to humanity. To know to be shameful is akin to courage. He 

who knows these three things knows how to cultivate his personal life. 

Knowing how to cultivate his personal life, he knows how to govern 

other men. And knowing how to govern other men, he knows how to 

govern the empire, its states, and the families. 

"There are nine standards by which to administer the empire, its 

states, and the families. They are: cultivating the personal life, honoring 

the worthy, being affectionate to relatives, being respectful toward the 

great ministers, identifying oneself with the welfare of the whole body 

of officers, treating the common people as one's own children, attracting 

the various artisans, showing tenderness to strangers from far countries, 

and extending kindly and awesome influence on the feudal lords. If the 

ruler cultivates his personal life, the Way will be established. If he honors 

the worthy, he will not be perplexed. If he is affectionate to his relatives, 

there will be no grumbling among his uncles and brothers. If he respects 

the great ministers, he will not be deceived. If he identifies himself with 

the welfare of the whole body of officers, then the officers will repay him 

heavily for his courtesies. If he treats the common people as his own 

35 See Chan, "The Evolution of the Confucian Concept Jen," Philosophy East 

and West, 4 (1955), 295-319. 

36 See above, ch. 3, comment on Mencius, Additional Selections, 3A:4. 

105


children, then the masses will exhort one another [to do good]. If he attracts 

the various artisans, there will be sufficiency of wealth and resources 

in the country. If he shows tenderness to strangers from far 

countries, people from all quarters of the world will flock to him. And if 

he extends kindly and awesome influence over the feudal lords, then the 

world will stand in awe of him. 

"To fast, to purify, and to be correct in dress [at the time of solemn 

sacrifice], and not to make any movement contrary to the rules of propriety—this 

is the way to cultivate the personal life. To avoid slanderers, 

keep away seductive beauties, regard wealth lightly, and honor virtue— 

this is the way to encourage the worthy. To give them honorable position, 

to bestow on them ample emoluments, and to share their likes and dislikes—this 

is the way to encourage affection for relatives. To allow them 

many officers to carry out their functions—this is the way to encourage 

the great ministers. To deal with them loyally and faithfully and 

to give them ample emoluments—this is the way to encourage the body 

of officers. To require them for service only at the proper time [without 

interfering with their farm work] and to tax them lightly—this is the 

way to encourage the common masses. To inspect them daily and examine 

them monthly and to reward them according to the degree of their 

workmanship—this is the way to encourage the various artisans. To 

welcome them when they come and send them off when they go and to 

commend the good among them and show compassion to the incompetent—this 

is the way to show tenderness to strangers from far countries. 

To restore lines of broken succession, to revive states that have been 

extinguished, to bring order to chaotic states, to support those states 

that are in danger, to have fixed times for their attendance at court, and 

to present them with generous gifts while expecting little when they come 

—this is the way to extend kindly and awesome influence on the feudal 

lords. 

"There are nine standards by which to govern the empire, its states, 

and the families, but the way by which they are followed is one. In all 

matters if there is preparation they will succeed; if there is no preparation, 

they will fail. If what is to be said is determined beforehand, there 

will be no stumbling. If the business to be done is determined beforehand, 

there will be no difficulty. If action to be taken is determined 

beforehand, there will be no trouble. And if the way to be pursued is 

determined beforehand, there will be no difficulties. 37 If those in inferior 

positions do not have the confidence of their superiors, they will not be 

able to govern the people. There is a way to have the confidence of the 

37 According to K'ung Ying ta (574-648; see Li chi cheng-i): There will be no 

limit to its possibility. 

106


superiors: If one is not trusted by his friends, he will not have the confidence 

of his superiors. There is a way to be trusted by one's friends: If 

one is not obedient to his parents, he will not be trusted by his friends. 

There is a way to obey one's parents: If one examines himself and finds 

himself to be insincere, he will not be obedient to his parents. There is 

a way to be sincere with oneself: If one does not understand what is 

good, he will not be sincere with himself. Sincerity is the Way of Heaven. 

To think how to be sincere is the way of man. He who is sincere is one 

who hits upon what is right without effort and apprehends without thinking. 

He is naturally and easily in harmony with the Way. Such a man is 

a sage. He who tries to be sincere is one who chooses the good and holds 

fast to it. 

"Study it (the way to be sincere) extensively, inquire into it accurately, 

think over it carefully, sift it clearly, and practice it earnestly. When 

there is anything not yet studied, or studied but not yet understood, do 

not give up. When there is any question not yet asked, or asked but its 

answer not yet known, do not give up. When there is anything not yet 

thought over, or thought over but not yet apprehended, do not give up. 

When there is anything not yet sifted, or sifted but not yet clear, do not 

give up. When there is anything not yet practiced, or practiced but not 

yet earnestly, do not give up. 38 If another man succeed by one effort, 

you will use a hundred efforts. If another man succeed by ten efforts, 

you will use a thousand efforts. If one really follows this course, though 

stupid, he will surely become intelligent, and though weak, will surely 

become strong." 

Comment. The five steps of study, inquiry, thinking, sifting, and 

practice could have come from John Dewey. 

21. It is due to our nature that enlightenment results from sincerity. It is 

due to education that sincerity results from enlightenment. Given sincerity, 

there will be enlightenment, and given enlightenment, there will 

be sincerity. 

Chu Hsi's Remark. "In the above twenty-first chapter, Tzu-ssu 

continues Confucius' idea in the preceding chapter of the Way of 

Heaven and the way of man as a basis for discussion. In the following 

twelve chapters, Tzu-ssu reiterates and elaborates the idea of 

this chapter." 

22. Only those who are absolutely sincere can fully develop their 

nature. If they can fully develop their nature, they can then fully develop 

38 Chu Hsi's interpretation: Either do not study at all, or do not give up until 

what you studied is all understood, etc. 

107


the nature of others. If they can fully develop the nature of others, they 

can then fully develop the nature of things. If they can fully develop the 

nature of things, they can then assist in the transforming and nourishing 

process of Heaven and Earth. If they can assist in the transforming and 

nourishing process of Heaven and Earth, they can thus form a trinity 

with Heaven and Earth. 

Comment. Whether this chapter refers to rulers, as Cheng Hsüan 

and other Han dynasty scholars contended, or to the sage, as Chu 

Hsi and other Sung scholars thought, is immaterial. The important 

point is the ultimate trinity with Heaven and Earth. It is of course 

another way of saying the unity of man and Heaven or Nature, a 

doctrine which eventually assumed the greatest importance in Neo- 

Confucianism. 39 

23. The next in order are those who cultivate to the utmost a particular 

goodness. Having done this, they can attain to the possession of 

sincerity. As there is sincerity, there will be its expression. As it is expressed, 

it will become conspicuous. As it becomes conspicuous, it will 

become clear. As it becomes clear, it will move others. As it moves 

others, it changes them. As it changes them, it transforms them. Only 

those who are absolutely sincere can transform others. 

24. It is characteristic of absolute sincerity to be able to foreknow. 

When a nation or family is about to flourish, there are sure to be lucky 

omens. When a nation or family is about to perish, there are sure to be 

unlucky omens. These omens are revealed in divination and in the movements 

of the four limbs. When calamity or blessing is about to come, it 

can surely know beforehand if it is good, and it can also surely know 

beforehand if it is evil. Therefore he who has absolute sincerity is like 

a spirit. 

25. Sincerity means the completion of the self, and the Way is selfdirecting. 

Sincerity is the beginning and end of things. Without sincerity 

there would be nothing. Therefore the superior man values sincerity. Sincerity 

is not only the completion of one's own self, it is that by which all 

things are completed. The completion of the self means humanity. The 

completion of all things means wisdom. These are the character of the 

nature, and they are the Way in which the internal 40 and the external are 

united. Therefore whenever it is employed, everything done is right. 

Comment. In no other Confucian work is the Way (Tao) given 

such a central position. This self-directing Way seems to be the 

39 See below, pp. 524, 666, 752. 

40 It is not clear whether this refers to sincerity, the character of the nature, or 

the Way. 

108


same as the Tao in Taoism. But the difference is great. As 

Ch'ien Mu has pointed out, when the Taoists talk about Tao as 

being natural, it means that Tao is void and empty, whereas when 

Confucianists talk about Tao as being natural, they describe it as 

sincerity. This, according to him, is a great contribution of the 

Doctrine of the Mean. 41 It should also be pointed out that with 

Confucianists, "The Way is not far from man." 42 Contrary to the 

Tao of Taoism, the Confucian Tao is strongly humanistic. 

26. Therefore absolute sincerity is ceaseless. Being ceaseless, it is 

lasting. Being lasting, it is evident. Being evident, it is infinite. Being 

infinite, it is extensive and deep. Being extensive and deep, it is high and 

brilliant. It is because it is extensive and deep that it contains all things. 

It is because it is high and brilliant that it overshadows all things. It is 

because it is infinite and lasting that it can complete all things. In being 

extensive and deep, it is a counterpart of Earth. In being high and brilliant, 

it is a counterpart of Heaven. In being infinite and lasting, it is 

unlimited. Such being its nature, it becomes prominent without any 

display, produces changes without motion, and accomplishes its ends 

without action. 43 

The Way of Heaven and Earth may be completely described in one 

sentence: They are without any doubleness and so they produce things 

in an unfathomable way. The Way of Heaven and Earth is extensive, 

deep, high, brilliant, infinite, and lasting. The heaven now before us is 

only this bright, shining mass; but when viewed in its unlimited extent, 

the sun, moon, stars, and constellations are suspended in it and all things 

are covered by it. The earth before us is but a handful of soil; but in its 

breadth and depth, it sustains mountains like Hua and Yüeh without 

feeling their weight, contains the rivers and seas without letting them 

leak away, and sustains all things. The mountain before us is only a 

fistful of straw; but in all the vastness of its size, grass and trees grow 

upon it, birds and beasts dwell on it, and stores of precious things 

(minerals) are discovered in it. The water before us is but a spoonful of 

liquid, but in all its unfathomable depth, the monsters, dragons, fishes, 

and turtles are produced in them, and wealth becomes abundant because 

of it [as a result of transportation]. The Book of Odes says, "The Mandate 

of Heaven, how beautiful and unceasing." 44 This is to say, this is 

41 Ssu-shu shih-i (Explanation of Meanings of the Four Books), 1953. 

42 See above, The Mean, ch. 13. 

43 Perhaps this is a step further than described in The Mean, ch. 23 and the 

translation should be "becomes prominent without any display, can change others 

without moving them, and complete [the self and all things, as in The Mean, 

ch. 25] without any action." 

44 Ode no. 267. 

109


what makes Heaven to be Heaven. Again, it says, "How shining is it, 

the purity of King Wen's virtue!" 45 This is to say, this is what makes 

King Wen what he was. Purity likewise is unceasing. 

27. Great is the Way of the sage! Overflowing, it produces and nourishes 

all things and rises up to the height of heaven. How exceedingly 

great! [It embraces] the three hundred rules of ceremonies and the 

three thousand rules of conduct. It waits for the proper man before it 

can be put into practice. Therefore it is said, "Unless there is perfect 

virtue, the perfect Way cannot be materialized." Therefore the superior 

man honors the moral nature and follows the path of inquiry and study. 

He achieves breadth and greatness and pursues the refined and subtle to 

the limit. He seeks to reach the greatest height and brilliancy and follows 

the path of the Mean. He goes over the old so as to find out what is new. 46 

He is earnest and deep and highly respects all propriety. Therefore when 

occupying a high position, he is not proud, and when serving in a low 

position, he is not insubordinate. When the Way prevails in the country, 

he can rise to official position through his words. When the Way does not 

prevail in the country, he can preserve himself through silence. The 

Book of Odes says, "Intelligent and wise, he protects his person." 47 This 

is the meaning. 

Comment. The two different approaches through "honoring the 

moral nature" and "following the path of study and inquiry" represent 

the two tendencies between the rationalistic Neo-Confucianism 

of Ch'eng I and Chu Hsi on the one hand and the idealistic Neo- 

Confucianism of Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193) and 

Wang Yang-ming (Wang Shou-jen, 1472-1529) on the other. They 

were the issue between Chu and Lu in their famous debate in 

1175. 48 

28. Confucius said, "To be stupid and like to use his own judgment, 

to be in a humble station and like to dictate, to live in the present world 

and go back to the ways of antiquity—people of this sort bring calamity 

on themselves. Unless one is the Son of Heaven, he does not decide on 

ceremonies [of social order], make regulations, or investigate (determine) 

the form and pronunciation of characters. In the world today, 

all carriages have wheels of the same size, all writing is done with the 

same characters, 49 and all conduct is governed by the same social re- 

45 ibid. 

46 The same saying appears in Analects, 2:11. 

47 Ode no. 260. 

48 See below, ch. 33, sec. 31, and comment on it. 

49 Many modern writers have pointed out that these were not conditions of the 

fourth century B.C. but of the Ch'in dynasty (221-206 B.C.) when writing and 

measurements were unified. 

110


lations. Although a man occupies the throne, if he has not the corresponding 

virtue, he may not dare to institute systems of music and ceremony. 

Although a man has the virtue, if he does not occupy the throne, 

he may not dare to institute systems of music and ceremony either." 

Confucius said, "I have talked about the ceremonies of the Hsia 

dynasty (2183-1752 B.C.?), but what remains in the present state of 

Ch'i (descendant of Hsia) does not provide sufficient evidence. I have 

studied the ceremonies of the Shang dynasty (1751-1112 B.C.). They 

are still preserved in the present state of Sung (descendant of Shang). 

I have studied the ceremonies of the [Western] Chou dynasty (1111-770 

B.C.). They are in use today. I follow the Chou." 50 

29. If he who attains to the sovereignty of the world has three important 

things [ceremonies, regulations, and the form and pronunciation 

of characters], he will make few mistakes. However excellent may 

have been the regulations of former times, there is no evidence for them. 

Without evidence, they cannot command credence, and not being 

credited, the people would not follow them. However excellent might be 

the regulations made by one in a low position, his position is not an 

honored one. The position not being honored does not command credence, 

and not being credited, the people would not follow them. Therefore 

the Way of the true ruler is rooted in his own personal life and has 

its evidence [in the following] of the common people. It is tested by the 

experience of the Three Kings 51 and found without error, applied before 

Heaven and Earth and found to be without contradiction in their operation, 

laid before spiritual beings without question or fear, and can wait 

a hundred generations for a sage [to confirm it] without a doubt. Since it 

can be laid before spiritual beings without question or fear, it shows that 

he knows [the Principle of] Heaven. Since it can wait for a hundred generations 

for a sage without a doubt, it shows that he knows [the principles 

of] man. Therefore every move he makes becomes the way of the 

world, every act of his becomes the model of the world, and every word 

he utters becomes the pattern of the world. Those who are far away look 

longingly for him, and those who are near do not get weary of him. The 

Book of Odes says, "There they do not dislike him, here they do not 

get tired of him. Thus from day to day and night to night, they will 

perpetuate their praise." 52 There has never been a ruler who did not 

answer this description and yet could obtain early renown throughout 

the world. 

30. Chung-ni (Confucius) transmitted the ancient traditions of Yao 

and Shun, and he modeled after and made brilliant the systems of King 

Wen and King Wu. He conformed with the natural order governing the 


51 Founders of the Hsia, Shang, and Chou dynasties. 

52 Ode no. 278. 

111


revolution of the seasons in heaven above, and followed the principles 

governing land and water below. He may be compared to earth in its 

supporting and containing all things, and to heaven in its overshadowing 

and embracing all things. He may be compared to the four seasons in 

their succession, and to the sun and moon in their alternate shining. All 

things are produced and developed without injuring one another. The 

courses of the seasons, the sun, and moon are pursued without conflict. 

The lesser forces flow continuously like river currents, while the great 

forces go silently and deeply in their mighty transformations. It is this 

that makes heaven and earth so great. 

31. Only the perfect sage in the world has quicknesss of apprehension, 

intelligence, insight, and wisdom, which enable him to rule all men; 

magnanimity, generosity, benignity, and tenderness, which enable him 

to embrace all men; vigor, strength, firmness, and resolution, which enable 

him to maintain a firm hold; orderliness, seriousness, adherence to 

the Mean, and correctness, which enable him to be reverent; pattern, 

order, refinement, and penetration, which enable him to exercise discrimination. 

All embracing and extensive, and deep and unceasingly 

springing, these virtues come forth at all times. All embracing and extensive 

as heaven and deep and unceasingly springing as an abyss! He 

appears and all people respect him, speaks and all people believe him, 

acts and all people are pleased with him. Consequently his fame spreads 

overflowingly over the Middle Kingdom (China, the civilized world), 

and extends to barbarous tribes. Wherever ships and carnages reach, 

wherever the labor of man penetrates, wherever the heavens overshadow 

and the earth sustains, wherever the sun and moon shine, and wherever 

frosts and dew fall, all who have blood and breath honor and love him. 

Therefore we say that he is a counterpart of Heaven. 

32. Only those who are absolutely sincere can order and adjust the 

great relations of mankind, establish the great foundations of humanity, 

and know the transforming and nourishing operations of heaven and 

earth. Does he depend on anything else? How earnest and sincere—he 

is humanity! How deep and unfathomable—he is abyss! How vast and 

great—he is heaven! Who can know him except he who really has 

quickness of apprehension, intelligence, sageliness, and wisdom, and 

understands character of Heaven? 

33. The Book of Odes says, "Over her brocaded robe, she wore a 

plain and simple dress," 53 for she disliked the loudness of its color and 

patterns. Thus the way of the superior man is hidden but becomes more 

53 Ode no. 57, actually a paraphrase. 

112


prominent every day, 54 whereas the way of the inferior man is conspicuous 

but gradually disappears. It is characteristic of the superior man to 

be plain, and yet people do not get tired of him. He is simple and yet 

rich in cultural adornment. He is amiable and yet systematically methodical. 

He knows what is distant begins with what is near. He knows where 

the winds (moral influence) come from. And he knows the subtle will 

be manifested. Such a man can enter into virtue. 

The Book of Odes says, "Although the fish dive and lie at the bottom, 

it is still quite clearly seen." 55 Therefore the superior man examines his 

own heart and sees that there is nothing wrong there, and that he is not 

dissatisfied with himself. The superior man is unequaled in the fact that 

he [is cautious] in those things which people do not see. The Book of 

Odes says, "Though the ceiling looks down upon you, be free from shame 

even in the recesses of your own house." 56 Therefore the superior man 

is reverent without any movement and truthful without any words. The 

Book of Odes says, "Throughout the sacrifice not a word is spoken, and 

yet [the worshipers are influenced and transformed] without the slightest 

contention." 57 Therefore the superior man does not resort to rewards and 

the people are encouraged to virtue. He does not resort to anger and the 

people are awed. The Book of Odes says, "He does not display his virtue, 

and yet all the princes follow him." 58 Therefore when the superior 

man is sincere and reverent, the world will be in order and at peace. 

The Book of Odes says, "I cherish your brilliant virtue, which makes no 

great display in sound or appearance." 59 Confucius said, "In influencing 

people, the use of sound or appearance is of secondary importance." The 

Book of Odes says, "His virtue is as light as hair." 60 Still, a hair is comparable. 

61 "The operations of Heaven have neither sound nor smell." 62 

Chu Hsi's Remark. In the above thirty-third chapter, Tzu-ssu returns 

to the ideas of "carrying out to the limit" and "exhausting the 

most refined" (discussed in previous chapters) to search for their 

source. Furthermore, he extends the discussion to include the 

effort of the learner who, for his own sake, learns to be careful 

while alone—an effort which, through earnestness and reverence, 

culminates in the glory of world peace. Then he further praises the 

54 Cf. Lao Tzu, ch. 24. 55 Ode no. 192. 56 Ode no. 256. 

57 Ode no. 302. 58 Ode no. 269. 59 Ode no. 241. 

60 Ode no. 260. Both Chu Hsi and Cheng Hsüan believed that this sentence was 

uttered by Confucius. 

61 Chu Hsi considered this sentence and the rest to be by Tzu-ssu. Cheng Hsüan 

and K'ung Ying-ta, however, considered them to be by Confucius. 

62 Ode no. 235. 

113


wonder of all this, and does not stop until he describes it as being 

without sound or smell. What he does is to pick out the essence of 

the whole work and talk about it in simple terms. He felt deeply and 

most earnestly as he instructed people by going over the points again 

and again. Should the student not apply his mind to the utmost [in 

studying this work]?" 

114

••• 6 ••• 

NATURALISTIC CONFUCIANISM: HSÜN TZU 

MENCIUS and Hsün Tzu (fl. 298-238 B.C.) have generally been considered 

as representing the two divergent tendencies of idealistic Confucianism 

and naturalistic Confucianism in ancient China. Whether these 

two tendencies were derived, correspondingly, from the Doctrine of the 

Mean and the Great Learning is not clear. At any rate, by teaching the 

doctrine of the original evil nature of man and the necessity for its control 

through law and rules of propriety (li), Hsün Tzu stood diametrically 

opposed to Mencius whose doctrine professed the original goodness 

of human nature and moral intuition as the source of political and social 

development. Generally speaking, Hsün Tzu was naturalistic and Mencius 

idealistic. In this and other respects, they have been compared with 

Aristotle and Plato, respectively. Nevertheless, we should not forget that 

they both believed in the perfectibility of all men, in humanity and righteousness 

as supreme virtues, in kingly government, and in education. So 

far as their main difference concerning human nature goes, neither followed 

Confucius strictly. For the sage, all men were alike in nature but 

become different through practice. 1 

Hsün Tzu exerted far greater influence up through the Han period 

(206 B.C.-A.D. 220) than did Mencius. For one thing, both psychology 

and logic advanced greatly in him, but not in Mencius. His essay on 

terminology is one of the few Chinese treatises on the subject. In his 

naturalistic interpretation of Heaven, he came close to Taoism. And in 

his advocation of control, he contributed to the authoritarianism that 

resulted in the dictatorship of the Ch'in (221-206 B.C.). As a matter of 

fact, two of the ministers of the Ch'in, Han Fei (d. 233 B.C.) 2 and Li 

Ssu (d. 208 B.C.), were his pupils. His influence was extensive in the 

Han. However, since then he was largely neglected until the nineteenth 

century. Mencius rather than he was regarded as in the direct line of 

transmission from Confucius. No commentaries were written on his work 

until the ninth century, and very few since then. His work was not elevated 

to the position of a Confucian Classic. Was he too "tough-minded" 

for the Chinese, who preferred "tender-minded" Mencius? Was he too 

unorthodox a Confucianist? Or has he been blamed for the Ch'in dictatorship? 

All these questions aside, because of his naturalism, his realism, 

his emphasis on logic, his belief in progress, his stress on law, and 

his sound criticisms of the various philosophical schools, he has a special 

attraction for the modern Chinese. 


115 

2 See below, ch. 12.

NATURALISTIC CONFUCIANISM 

Hsün Tzu, also called Hsün Ch'ing and Hsün K'uang, was a native of 

Chao. 3 When he was fifty he traveled to Ch'i, 4 where scholars congregated 

at the time. He was the most eminent of them all. Three times he 

was honored as the officer for the sacrificial wine offering. Eventually 

some people slandered him, and he went to Ch'u, where he became a 

magistrate. Later he lost his position but stayed there and taught until he 

died. His dates are still subjects for debate, but most scholars agreed that 

he flourished in the six decades between 298 and 238 B.C. He was contemporaneous 

with Mencius but there is no evidence that the two ever 

met. Unlike the Book of Mencius, which consists of dialogues, Hsün 

Tzu's works are made up of self-contained essays on various subjects. 

The following translations are the complete chapters on Nature and 

human nature, and parts from the chapter on the rectification of names. 

These are the three most philosophical questions discussed by him. 

THE HSÜN TZU 5 

1. On Nature (ch. 17) 

Nature (T'ien, Heaven) operates with constant regularity. It does 

not exist for the sake of (sage-emperor) Yao 6 nor does it cease to exist 

because of (wicked king) Chieh. 7 Respond to it with peace and order, 

and good fortune will result. Respond to it with disorder, and disaster 

will follow. If the foundations of living (i.e., agriculture and sericulture) 

are strengthened and are economically used, then Nature cannot bring 

impoverishment. If people's nourishment is sufficient and their labor in 

keeping with the seasons, then Nature cannot inflict sickness. If the Way 

3 In modern Shansi and its vicinity in North China. 

4 Southeast of Chao, in modern Shantung. 

5 The Hsün Tzu has thirty-two chapters, which are essays with clear expositions 

and cogent arguments on such subjects as "Against Physiognomy," "Against the 

Twelve Philosophers," "On Confucius," "National Wealth," "The Kingly Way 

versus Despots," "The Removal of Prejudices," and "The Sage-kings." Chapter 

27 and subsequent chapters may have been by his pupils and are unimportant. A 

number of passages of the book also appear in the Book of Rites, perhaps for 

the reason that the latter's compilers selected passages from the Hsün Tzu to 

strengthen discussions on the theoretical and psychological basis of ceremonies in 

the Book of Rites. Since the Hsün Tzu did not enjoy the status of a Classic, its 

influence has been slight. Half of the chapters have been translated into English 

by Dubs, in The Works of Hsüntze. Köster, "Hsün-tzu Anschnitt 13," is a translation 

of ch. 23. Duyvendak, "Hsüntzu on the Rectification of Names," and Mei, 

"Hsün-tzu on Terminology," are translations of ch. 22. And Legge, The Works of 

Mencius, contains a translation of ch. 23 on the evil nature of man. 


7 Chieh (c.1802-1752 B.C.?) was the last ruler of the Hsia dynasty (2183- 

1752 B.C.). Chinese historians have blamed his wickedness for the fall of the 

dynasty. 

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HSÜN TZU 

is cultivated 8 without deviation, then Nature cannot cause misfortune. 

Therefore flood and drought cannot cause a famine, extreme cold or 

heat cannot cause illness, and evil spiritual beings cannot cause misfortune. 

But if the foundations of living are neglected and used extravagantly, 

then Nature cannot make the country rich. If there is meager nourishment 

and little work, then Nature cannot enable the people to be preserved. 

If people violate the Way and act foolishly, then Nature cannot 

give them good fortune. There will be famine before flood or drought 

approaches, there will be sickness before the thrust of extreme cold or 

heat, and there will be misfortune before the approach of evil spirits. 

What the [people in these circumstances] receive from the season 

(natural factors) is the same as people receive in a period of peace and 

order and yet the calamities are different from what prevails in the 

period of peace and order. This cannot be blamed on Heaven; this is 

how the Way works. Therefore one who understands the distinctive 

functions of Heaven and man may be called a perfect man. 

Comment. Hsün Tzu's concept of Heaven is obviously closer to 

the Tao of the Taoists than to the T'ien (Heaven) of Confucius 

and Mencius. Their T'ien is still purposive, and the source and 

ultimate control of man's destiny, but Hsün Tzu's T'ien is purely 

Nature so that in most cases the word has to be translated as Nature 

rather than as Heaven. The marvelous thing is that while he accepted 

the Taoists' naturalistic view, he was not influenced by their 

intuitionism and mysticism. In Hsün Tzu, we have rationalism and 

empiricism instead. 

To accomplish without any action and to obtain without effort, 9 this 

is what is meant by the office of Heaven. This being the case, although 

the Way of Heaven is deep, the perfect man does not deliberate over it. 

Although it is great, he does not devote any effort to it. And although it 

is refined, he does not scrutinize it. This is what is meant by not competing 

with Heaven. Heaven has its seasons, earth has its wealth, and 

man has his government. This is how they are able to form a triad. 10 To 

neglect (human activities) which constitute man's part in the triad and 

put one's hope in those with which he forms a triad is indeed a mistake. 

The fixed stars rotate in succession, the sun and moon shine alternately, 

the four seasons follow one another, yin (passive cosmic force) and 

yang (active cosmic force) effect their great transformations, and the 

8 According to Wang Nien-sun (1744-1832), Tu-shu tsa-chih (Miscellaneous 

Notes from Reading), 1933 ed., bk. 11, p. 59, hsiu (to cultivate) should read 

hsün (to follow). 

9 A similar saying appears in Lao Tzu, ch. 47. 

10 Compare the same idea of forming a triad in The Mean, ch. 22. 

117


wind and rain spread over all things. Each of the ten thousand things 

attains its harmony, and thus grows. Each obtains its nourishment, and 

thus achieves full development. We do not see their activities but we 

do see their results. This is what is called spirit. We all know how they 

attain their full development but none knows that such a process is invisible. 

This is called Heaven. The sage, however, does not seek to know 

Heaven. When the office of Heaven is established and the work of 

Heaven is done, the body will be provided and the spirit born, and 

the feelings of like, dislike, pleasure, anger, sorrow, and joy embodied. 

These are called the natural feelings. The ear, the eye, the nose, the 

mouth, and the body are, each in its own way, able to respond to external 

things, and cannot be interchanged. These are called natural 

organs. The heart (mind) occupies the cavity in the center to control 

the five organs. This is called the natural ruler. To plan and use what 

is not of one's kind to nourish one's kind—this is called natural nourishment. 

To act in accord with (the principle and nature of) one's own kind 

means happiness, and to act contrary to (the principle and nature of) one's 

own kind means calamity. This is called natural government. To darken 

one's natural ruler, to confuse the natural organs, to abandon natural nourishment, 

to act contrary to the natural government, and to violate the 

natural feelings so as to destroy the work of Nature—this is called great 

misfortune. The sage purifies his natural ruler, rectifies his natural organs, 

sufficiently provides for his natural nourishment, follows the 

natural government, and nourishes his natural feelings so as to bring to 

completion the work of Nature. In this way he knows what to do and 

what not to do. Thus he rules heaven and earth and directs the ten thousand 

things. His actions are all well regulated, his nourishment all well 

adapted, and his life is not injured—this is called knowing Nature. 

Therefore great skill consists in not doing certain things, and great 

wisdom consists in not deliberating over certain things. What is to be 

noted about heaven are its visible phenomena, which can help us to foretell 

things. What is to be noted about earth are its suitable aspects, 

which can be used for growing things. What is to be noted about the 

four seasons are their course and their distinctive characteristics, according 

to which we can manage our affairs. And what is to be noted about 

yin and yang is their revelation, on the basis of which we can regulate 

things. The official (astronomer) adheres to [the phenomena of] heaven. 

As to the sage himself, he adheres to the Way. 

Comment. Most ancient Confucianists either emphasized humanity 

(jen) and wisdom equally or stressed humanity. Hsün Tzu, however, 

emphasizes wisdom. Obviously, inborn humanity has no room 

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HSÜN TZU 

in his theory of the innate evil nature of man. As an acquired 

virtue, humanity is valued. But being a tough-minded realist, he 

relies on wisdom rather than such an idealistic quality as humanity. 

Are order and chaos due to heaven? I say: The sun, the moon, the 

stars, planets, and auspicious periods of the calendar were the same in 

the time of (sage-king) Yü as in that of (wicked king) Chieh. 11 Yet Yü 

brought about order while Chieh brought about chaos. Order and chaos 

are not due to heaven. Are they due to the seasons? I say: Plants multiply, 

develop, flourish, and mature in spring and summer. They are collected 

and stored in the fall and winter. This is also the same at the 

times of Yü and Chieh. Yet Yü brought about order while Chieh brought 

about chaos. Order and chaos are not due to the seasons. Are they due 

to the earth? I say: When a plant is planted in a suitable place, it will 

grow. When it is planted in an unsuitable place, it will die. This is also 

the same at the times of Yü and Chieh. Yet Yü brought about order 

while Chieh brought about chaos. Order and chaos are not due to the 

earth. The Book of Odes says, "Heaven made the high hills. King T'ai 

extended and cultivated them. He did the pioneering work. (His son) 

King Wen brought to them peace and prosperity." 12 This is the meaning. 

Heaven does not give up the winter because people dislike cold. Earth 

does not give up its expanse because people dislike distance. The 

superior man does not give up good conduct because the inferior man 

rails against him. Heaven has a constant way of action, earth has a constant 

size, and the superior man has a constant personal demonstration of 

virtue. The superior man pursues the constant principle, but the inferior 

man calculates results. The Book of Odes says, "[If one makes no 

mistake about propriety and righteousness], why worry about people's 

talk?" 18 This is what I mean. 

The king of Ch'u had a thousand chariots following him—this is not 

wisdom. The superior man eats peas and drinks water—this is not 

stupidity. They do so because it is fitting to the circumstances. 14 As to 

cultivating one's will, to be earnest in one's moral conduct, to be clear 

in one's knowledge and deliberations, to live in this age but to set his 

mind on the ancients (as models), that depends on the person himself. 

11 Yü (c. 2183-2175 B.C.?) was the founder of the Hsia dynasty and has been 

regarded as a sage-king along with Yao. Chieh (r. 1802-1752 B.C.?) caused the 

downfall of the Hsia. 

12 Ode no. 270. 

13 This poem is now lost. The addition is made according to Yü Yüeh (1821- 

1906), "Hsün Tzu shih-shuo" (Explanations on Odes Quoted in the Hsün Tzu), 

in his Ch'ü-yüan tsa-tsuan (Miscellaneous Collection of Yü Yüeh), 6:14a-b. 

14 According to Yü Yüeh, chieh means to fit. 

119


Therefore the superior man is serious (ching) 15 about what lies in 

himself and does not desire what comes from Heaven. The inferior man 

neglects what is in himself and desires what comes from Heaven. Because 

the superior man is serious about what is in himself and does not 

desire what comes from Heaven, he progresses every day. Because the 

inferior man neglects what is in himself and desires what comes from 

Heaven, he retrogresses every day. The reason why the superior man 

progresses daily and the inferior man retrogresses daily is the same. 

Here lies the reason for the great difference between the superior man 

and the inferior man. 

When stars fall or trees make a [strange] noise, all people in the state 

are afraid and ask, "Why?" I reply: There is no need to ask why. These 

are changes of heaven and earth, the transformation of yin and yang, 

and rare occurrences. It is all right to marvel at them, but wrong to fear 

them. For there has been no age that has not had 16 the experience of 

eclipses of the sun and moon, unreasonable rain or wind, or occasional 

17 appearance of strange stars. If the ruler is enlightened and the 

government peaceful, even if all of these things happen at the same 

time, they would do no harm. If the ruler is unenlightened and the government 

follows a dangerous course, even if [only] one of them occurs, 

it would do no good. For the falling of stars and the noise of trees are 

the changes of heaven and earth, the transformations of yin and yang, 

and rare occurrences. It is all right to marvel at them, but wrong to 

fear them. 

Of things that have happened, human portents are the most to be 

feared. To plough roughly so as to injure the crops, to hoe improperly 

so as to miss the weed, and to follow a dangerous course in government 

so as the lose the support to the people, with the result that the fields are 

full of weeds, the harvest is bad, the price of grain goes up, people 

starve, and there are dead bodies on the roads—these are what is meant 

by human portents. When governmental measures and orders are not 

clear or wise, when activities and handling of affairs are not timely, 

and when matters concerning the foundation of living are not attended 

to—these are what is meant by human portents. When propriety and 

righteousness are not cultivated, when the distinction between the inner 

(women's) chamber and the outer (men's) chamber is not kept, and 

15 Often translated as "reverent." For a discussion of the translation of this 

term, see Appendix. 

16 According to Wang Hsien-ch'ien (1842-1917), Hsün Tzu chi-chieh (Collected 

Commentaries on the Hsün Tzu), read ch'ang (always) as ch'ang (has 

been). 

17 According to Wang Nien-sun, tang does not mean frequent, as Yang Liang 

(fl. 818) contended in his commentary, but means occasional. 

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HSÜN TZU 

when men and women become promiscuous, then father and son distrust 

each other, the ruler and the ruled will be in conflict and divided, 

and invasion and disaster will arrive at the same time—these are what 

is meant by human portents. Portents are born of chaos. When all the 

three kinds of portents pile upon one another, there will be no order 

or peace in the state. It is very simple to talk about these portents, but the 

calamities they bring are most terrible. If conscript labor is employed 

not at the proper season, [the suffering of the people will so disturb 

the equilibrium of nature that] cows and horses will breed each other and 

the six domestic animals will become apparitions. 18 They may be marveled 

at but should not be feared. The Record says, "The classics do 

not talk about strange phenomena of the ten thousand things." 19 Useless 

discussions and unnecessary investigations are to be cast aside and 

not attended to. As to the righteousness between the ruler and minister, 

affection between father and son, and the distinctive functions between 

husband and wife, these should be daily cultivated without losing sight 

of them. 

When people pray for rain, it rains. Why? I say: There is no need to 

ask why. It is the same as when it rains when no one prays for it. When 

people try to save the sun or moon from being eclipsed, or when they 

pray for rain in a drought, or when they decide an important affair only 

after divination, they do so not because they believe they will get what 

they are after, but to use them as ornament (wen) to governmental 

measures. Hence the ruler intends them to be an ornament, but the 

common people think they are supernatural. It is good fortune to regard 

them as ornamental but it is evil fortune to regard them as supernatural. 

Comment. The influence of supernatural forces over man is completely 

ruled out by Hsün Tzu. What he called spirit is but cosmic 

change and evolution. To him, in religious sacrifice, whether there 

are really spiritual beings to receive them does not matter. The important 

thing is one's attitude, especially sincerity, in the performance. 

Thus sacrifices are "ornaments," or refined manifestation of 

an inner attitude. 

Of the things in heaven, none is brighter than the sun and moon. Of 

the things on earth, none is brighter than water and fire. Among things, 

none is brighter than pearls and jade. And among man's virtues, none 

is brighter than propriety and righteousness. For if the sun and moon 

18 Some commentators contend that this sentence should precede "When propriety 

and righteousness. . . ." See Wang Hsien-ch'ien, Hsün Tzu chi-chieh. 

19 The Record is now lost. 

121


were not high, their brightness would not be glorious. If water or fire 

is not gathered in great quantity, its luster would not be extensive. If 

pearls and jade were not gleaming on the outside, kings and dukes would 

not consider them precious. If propriety and righteousness are not applied 

in the country, their accomplishments and fame would not shine. 

Therefore the destiny of man lies in Heaven, 20 and the destiny of the 

state lies in propriety. The ruler who highly exalts propriety and honors 

the worthy will become a true king, the ruler who stresses law and loves 

the people will become a despot, the ruler who loves profit and often 

resorts to deceit will fall, and the ruler who schemes to obtain power, 

seeks to overthrow others, and is secretive and evil will perish completely. 

Instead of regarding Heaven as great and admiring it, 

Why not foster it as a thing and regulate it? 

Instead of obeying Heaven and singing praise to it, 

Why not control the Mandate of Heaven and use it? 

Instead of looking on the seasons and waiting for them, 

Why not respond to them and make use of them? 

Instead of letting things multiply by themselves, 

Why not exercise your ability to transform [and increase] them? 

Instead of thinking about things as things, 

Why not attend to them so you won't lose them? 

Instead of admiring how things come into being, 

Why not do something to bring them to full development? 

Therefore to neglect human effort and admire Heaven is to miss the 

nature of things. 

Comment. Nowhere else in the history of Chinese thought is the 

idea of controlling nature so definite and so strong. It is a pity that 

this did not lead to a development of natural science. One explanation 

is that although Hsün Tzu enjoyed great prestige in the Han 

dynasty, his theory of overcoming nature was not strong enough 

to compete with the prevalent doctrine of harmony of man and 

nature, which both Confucianism and Taoism promoted. 

The [moral principles] that have remained unchanged through the 

time of all kings are sufficient to be the central thread running through 

the Way. Things come and go, but if they are responded to according 

to this central thread, one will find that the principle runs through all 

20 These words seem to be in opposition to the whole theme of the chapter. It 

may mean, however, that while certain natural factors are beyond the control of 

man, it is up to man to adapt himself and control them. What follows clearly 

says as much. 

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HSÜN TZU 

without any disorder. He who does not know this central thread does 

not know how to respond to changing conditions. The essential nature 

of the central thread has never ceased to be. Chaos is the result of a 

wrong application of the central thread, whereas order is the result of 

a complete application of it. For what is considered good according to 

the Way, namely, the Mean, should be followed. What deviates from 

the Mean should not be done. To be mistaken will lead to great delusion. 

One who walks in water marks its depth. If the mark is not clear, he 

will fall into the water. He who governs the people marks the Way. If 

the mark is not clear, there will be chaos. Rules of propriety are marks. 

Without propriety, the world will be beclouded. When the world is beclouded, 

there will be great chaos. Only when the Way is always made 

clear, when the internal and external aspects are distinctly marked, 21 

and when what is manifest and what is hidden remain constant will the 

suffering of the people be removed. 

The ten thousand things are a part of the Way. One thing is a part 

of the ten thousand things. A stupid man is a part of one thing. But he 

thinks that he knows the Way. He really does not know. Shen Tzu 22 

has insight about following but not about leading. Lao Tzu has insight 

about bending but not about expansion. Mo Tzu has insight about equality 

(universal love) but not about inequality (distinction in human 

relations). And Sung Tzu 23 had insight about having few desires but not 

about having many desires. If there is only insight on following and 

not on leading [in the case of a ruler], then the multitude will have no 

direction to go by. 24 If there is only insight on bending and not on expansion, 

then noble stations (corresponding to expansion) and humble 

stations (corresponding to bending) will not be distinguished. If there 

is only insight on equality and not on inequality, then governmental 

measures and orders [which are intended to bring about equality and 

justice] cannot be carried out. If there is only insight on few desires and 

not on many, then the multitude cannot be transformed [for there would 

not be sufficient incentive]. The Book of History says, "Make no special 

21 The meaning here is obscure. Yang Liang thought that the internal refers to 

capping and wedding ceremonies and the external refers to etiquettes of tributes 

and imperial audience. According to Hao I-hsing (1757-1825), Hsün Tzu pu-chu 

(Supplementary Annotations to the Hsün Tzu), they refer to rules of propriety. 

Such interpretations do not help any. 

22 Shen Tao (350-275 B.C.?), was a Legalist who rejected subjectivism in favor 

of objective knowledge and emphasized actual situations and tendencies. For a 

brief treatment of his Legalist philosophy, see Fung, History of Chinese Philosophy, 

vol. 1, pp. 153-159, 318. 

23 Sung Hsing (360-290 B.C.?), advocated the prohibition of war and the 

harboring of few desires. For a brief discussion of him, see Fung, pp. 148-153. 

24 Literally "no gate." 

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effort to like. Follow the kingly way. Make no special effort to dislike. 

Follow the kingly path." 25 This is what I mean. (SPTK, 11:15b-25b) 

Comment. This is one of the best known classical critiques of 

ancient Chinese philosophers. There are four other critiques. Two 

are in the Hsün Tzu 26 and the other two in the Chuang Tzu 27 and 

the Han Fei Tzu. 28 This shows that Hsün Tzu was the most critical 

of ancient Chinese philosophers. It also shows that a great variety of 

thought and extensive freedom of discussion existed in ancient 

China, a situation comparable to that in ancient Greece. 29 

2. On the Rectification of Names (ch. 22) 

. . . When sage-kings instituted names, the names were fixed and actualities 

distinguished. The sage-kings' principles were carried out and 

their wills understood. Then the people were carefully led and unified. 

Therefore, the practice of splitting terms and arbitrarily creating names 

to confuse correct names, thus causing much doubt in people's minds 

and bringing about much litigation, was called great wickedness. It was 

a crime, like private manufacturing of credentials and measurements, 

and therefore the people dared not rely on strange terms created to confuse 

correct names. Hence the people were honest. Being honest, they 

were easily employed. Being easily employed, they achieved results. 

Since the people dared not rely on strange terms created to confuse 

correct names, they single-mindedly followed the law and carefully 

obeyed orders. In this way, the traces of their accomplishments spread. 

The spreading of traces and the achievement of results are the highest 

point of good government. This is the result of careful abiding by the 

conventional 30 meaning of names. 

Now the sage-kings are dead and the guarding of names has become 

lax, strange terms have arisen, and names and actualities have been confused. 

As the standard of right and wrong is not clear, even the guardians 

of law and the teachers of natural principles 31 are in a state of confusion. 

25 History, "Great Norm." Cf. Legge, trans., Shoo King, p. 331. 

26 Chs. 6 and 21. 27 Ch. 33. 28 Ch. 50. 

29 See Hu Shih, (1891-1962) "Chinese Thought," in MacNair, ed. China, 

pp. 221-230, and Dubs, "Comparison of Greek and Chinese Philosophy," Chinese 

Social and Political Science Review, 17 (1933), 307-327. 

30 Yang Liang understood yüeh as essential, but according to Liu Shih-p'ei 

(1884-1919), Hsün Tzu pu-shih (Supplementary Explanations of the Hsün Tzu), 

it means to bind, that is, to commit or to agree. 

31 Shu is not to be understood in its ordinary meaning of number, as by 

Duyvendak ("Hsün-tzu on the Rectification of Names," T'oung Pao, 23 [1924], 

p. 228) but in its technical meaning of natural principles or the natural course of 

things. Hu Shih's rendering as "truth" (Development of the Logical Method in 

Ancient China, p. 160) is not a mistake, as Duyvendak thought. 

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Should a true king appear, he would certainly retain some old names and 

create new ones. This being the case, [1] the reason for having names, 

[2] the causes for the similarities and differences in names, and [3] the 

fundamental principles on which names are instituted, must be clearly 

understood. 

[1] When different forms are separated from the mind and denote 

each other, and when different things are made mutually identified in 

name and actuality, 32 the distinction between the noble and the humble 

is not clear and similarities and differences are not discriminated. Under 

such circumstances, there is bound to be danger that ideas will be misunderstood 

and work will encounter difficulty or be neglected. Therefore 

men of wisdom sought to establish distinctions and instituted names 

to indicate actualities, on the one hand clearly to distinguish the noble 

and the humble and, on the other, to discriminate between similarities 

and differences. When the distinctions between the noble and the humble 

are clear and similarities and differences are discriminated, there will 

be no danger of ideas being misunderstood and work encountering 

difficulties or being neglected. This is the reason for having names. 

[2] What are the causes for the similarities and differences in names? 

I say: It is because of the natural organs. The organs of members of 

the same species with the same feelings perceive things in the same 

way. Therefore things are compared and those that are seemingly alike 

are generalized. In this way they share their conventional name as a 

common meeting ground. Forms, bodies, colors, and patterns (li) are 

distinctions made by the eye. Clear and unclear sounds, tunes, leading 

melodies, and unusual sounds are distinctions made by the ear. Sweet, 

bitter, salty and insipid, peppery and sour, and unusual tastes are distinctions 

made by the mouth. Fragrant and putrid smells, fresh and 

spoiled smells, smells of rotten meat, rancid and sour smells, and unusual 

smells are distinctions made by the nose. Pain and itching, cold 

and heat, smooth and rough, light and heavy are distinctions made by 

the body. Enjoying doing a thing and feeling being forced to do a thing, 

and the feelings of pleasure, anger, sorrow, joy, like, dislike, and desire 

are distinctions made by the mind. 

The mind collects 33 the knowledge of the senses. It is because the 

mind collects knowledge that it is possible to know sound through the 

ear and form through the eye. But the collection of knowledge must 

also depend on the natural organs first registering it according to its 

32 In the text the twelve Chinese characters form three sentences. Wang Hsiench'ien 

punctuated them to form two sentences. This is correct because they form 

a parallelism. 

33 Literally cheng means to summon or invite, according to Yang Liang. Therefore 

it is active, not just receiving knowledge passively. 

125


classification. If the five organs register it without knowing what it is, 

and the mind collects it without understanding it, then everyone says 

there is no knowledge. These are the causes for the similarities and 

differences in names. 

[3] Then, accordingly, names are given to things. Similar things are 

given the same name and different things are given different names. When 

a simple name (e.g., horse) is sufficient to express the meaning, a simple 

name is used. When a simple name is insufficient, then a compound 

name (e.g., white horse) is used. When simple and compound concepts 

do not conflict, then the general name (e.g., tree in general) may be 

used. Although it is a general name, it does no harm (to the differentiation 

of things). Knowing that different actualities should have different 

names, one should let different actualities always have different names. 

There should not be any confusion in this respect. And similar actualities 

should always have similar names. For although the myriad things 

are innumerable, sometimes we want to speak of them as a whole and 

so we call them "things." "Things" is a great general name. We carry 

the process further and generalize. In generalizing, we find more things 

to generalize. We go on and will not stop until there is nothing more 

general. Sometimes we want to speak of one section of things (e.g., 

animals), and so we call them "animals." "Animals" is a great particular 

name. We carry the process further and particularize. In particularizing, 

we find more things to particularize. We go on and will not stop 

until there is nothing more particular. 

Names have no correctness of their own. The correctness is given by 

convention. When the convention is established and the custom is 

formed, they are called correct names. If they are contrary to convention, 

they are called incorrect names. Names have no corresponding actualities 

by themselves. The actualities ascribed to them are given by convention. 

When the convention is established and the custom is formed, 

they are called names of such-and-such actualities. But some names 

are felicitous in themselves. When a name is direct, easy to understand, 

and self-consistent, it is called a felicitous name. 

There are things which have the same appearance but are in different 

places, and there are things which have different appearances but are 

in the same place (as a person when he is young and when he is old). 

These can be distinguished. When two things have the same appearance 

but are in two different places, although they may be grouped together, 

they are to be called two actualities. When the appearance changes but 

the actuality is not different, it is called transformation. When there is 

transformation but no difference in actuality, this is called one actuality. 

This is the way actualities are examined and their number determined. 

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HSÜN TZU 

This is the fundamental principle on which names are instituted. When 

a latter-day king institutes names, he should clearly understand this. 

Comment. Hsün Tzu's latter-day kings are the same as Mencius' 

ancient kings, namely, founders of the Chou dynasty, especially the 

Duke of Chou. The significant difference is that Hsün Tzu has a 

stronger inclination to look to a later period than other philosophers. 

[The Three Fallacies] "It is no disgrace to be insulted." 34 "The sage 

does not love himself." 35 "To kill a robber is not to kill a man." 36 These 

are examples of the fallacy of so using names as to confuse names. Examine 

them in the light of [1] "the reason for having names" and see 

whether any of these statements is applicable. Then you will be able to 

stop the confusion. 

"Mountains are on the same level as marshes." 37 "The desires seek 

to be few." 38 "Tender meat adds nothing to sweet taste, and the great 

bell adds nothing to music." 39 These are examples of the fallacy of so 

using actualities as to confuse names. Examine them by [2] "the cause 

for the similarities and differences in names" and see which of these 

statements are harmonious with them. Then you will be able to stop the 

confusion. 

"Fei-erh-yeh, ying-yu-niu" (wrong but visit-a-superior, pillar has ox). 

"A [white] horse is not a horse." 40 These are examples of the fallacy 

of so using names as to confuse actualities. Examine them by [3] the 

convention of names and see how what they have rejected (a horse) 

contradicts what they have accepted (a white horse), and you will be 

able to stop the confusion. . . . (SPTK, 16:2b-8b) 

Comment. The rectification of names was a common topic of discussion 

among ancient Chinese philosophical schools. Only in 

Hsün Tzu, however, did it develop into some sort of systematic 

logical theory. Whereas in other schools the interest is chiefly social 

34 A doctrine of Sung Tzu according to Chuang Tzu, ch. 33, NHCC, 10:31a; cf. 

Giles, trans., Chuang Tzu, 1961 ed., p. 317, and Hsün Tzu, ch. 18, SPTK, 12:18b; 

cf. Dubs, trans., Works of Hsüntze, p. 207. 

35 Probably referring to Mo Tzu, ch. 44, SPTK, 11:1a. 

36 Mo Tzu, ch. 45, SPTK, 11:9b. 

37 A doctrine of Hui Shih, as recorded in Chuang Tzu, ch. 33, NHCC, 10:38b (cf. 

Giles, p. 321), and also in Hsün Tzu, ch. 3, SPTK, 2:1b (not translated by Dubs). 

38 A doctrine of Sung Tzu, according to Chuang Tzu, ch. 33, NHCC, 10:31b 

(cf. Giles, p. 317), also Hsün Tzu, ch. 18, SPTK, 12:22b (cf. Dubs, p. 209). 

39 Yang Liang ascribes the last two doctrines to Mo Tzu, but they have not 

been traced. 

40 Referring to the Kung-sun Lung Tzu, ch. 2. The six Chinese characters preceding 

this sentence apparently represent two propositions, but no commentator 

or translator has been able to make any sense out of them without rewriting them. 

127


or moral, in Hsün Tzu it is predominantly logical. In fact, this is 

the nearest approach to logic in ancient Chinese philosophy. 

3. The Nature of Man is Evil (ch. 23) 

The nature of man is evil; his goodness is the result of his activity. 41 

Now, man's inborn nature is to seek for gain. If this tendency is followed, 

strife and rapacity result and deference and compliance disappear. By 

inborn nature one is envious and hates others. If these tendencies are 

followed, injury and destruction result and loyalty and faithfulness disappear. 

By inborn nature one possesses the desires of ear and eye and likes 

sound and beauty. If these tendencies are followed, lewdness and licentiousness 

result, and the pattern and order of propriety and righteousness 

disappear. Therefore to follow man's nature and his feelings will inevitably 

result in strife and rapacity, combine with rebellion and disorder, 

and end in violence. Therefore there must be the civilizing influence of 

teachers and laws and the guidance of propriety and righteousness, and 

then it will result in deference and compliance, combine with pattern and 

order, and end in discipline. From this point of view, it is clear that the 

nature of man is evil and that his goodness is the result of activity. 

Crooked wood must be heated and bent before it becomes straight. 

Blunt metal must be ground and whetted before it becomes sharp. Now 

the nature of man is evil. It must depend on teachers and laws to become 

correct and achieve propriety and righteousness and then it becomes 

disciplined. Without teachers and laws, man is unbalanced, off the 

track, and incorrect. Without propriety and righteousness, there will be 

rebellion, disorder, and chaos. The sage-kings of antiquity, knowing that 

the nature of man is evil, and that it is unbalanced, off the track, incorrect, 

rebellious, disorderly, and undisciplined, created the rules of 

propriety and righteousness and instituted laws and systems in order to 

correct man's feelings, transform them, and direct them so that they 

all may become disciplined and conform with the Way (Tao). Now 

people who are influenced by teachers and laws, accumulate literature 

and knowledge, and follow propriety and righteousness are superior men, 

whereas those who give rein to their feelings, enjoy indulgence, and violate 

propriety and righteousness are inferior men. From this point of 

view, it is clear that the nature of man is evil and that his goodness is 

the result of his activity. 

41 According to Yang Liang, wei (artificial) is "man's activity." It means what 

is created by man and not a result of natural conditions. This is accepted by most 

commentators, including Hao I-hsing, who has pointed out that in ancient times 

wei (ordinarily meaning false or artificial) and wei (activity) were interchangeable. 

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HSÜN TZU 

Comment. In the Hsün Tzu, rules of propriety and law are often 

spoken of together, giving the impression that, unlike Confucius 

and Mencius who advocated propriety (li) as inner control, Hsün 

Tzu advocated it for external control. Thus rules of propriety 

shifted from being a means of personal moral cultivation to one of 

social control. 

Mencius said, "Man learns because his nature is good." 42 This is not 

true. He did not know the nature of man and did not understand the 

distinction between man's nature and his effort. Man's nature is the 

product of Nature; it cannot be learned and cannot be worked for. 

Propriety and righteousness are produced by the sage. They can be 

learned by men and can be accomplished through work. What is in man 

but cannot be learned or worked for is his nature. What is in him and 

can be learned or accomplished through work is what can be achieved 

through activity. This is the difference between human nature and human 

activity. Now by nature man's eye can see and his ear can hear. But the 

clarity of vision is not outside his eye and the distinctness of hearing is 

not outside his ear. It is clear that clear vision and distinct hearing cannot 

be learned. Mencius said, "The nature of man is good; it [becomes 

evil] because man destroys his original nature." This is a mistake. By 

nature man departs from his primitive character and capacity as soon as 

he is born, and he is bound to destroy it. From this point of view, it is 

clear that man's nature is evil. 

By the original goodness of human nature is meant that man does not 

depart from his primitive character but makes it beautiful, and does not 

depart from his original capacity but utilizes it, so that beauty being 

[inherent] in his primitive character and goodness being [inherent] 

in his will are like clear vision being inherent in the eye and distinct 

hearing being inherent in the ear. Hence we say that the eye is 

clear and the ear is sharp. Now by nature man desires repletion when 

hungry, desires warmth when cold, and desires rest when tired. This is 

man's natural feeling. But now when a man is hungry and sees some 

elders before him, he does not eat ahead of them but yields to them. 

When he is tired, he dares not seek rest because he wants to take over 

the work [of elders]. The son yielding to or taking over the work of his 

father, and the younger brother yielding to or taking over the work 

of his older brother—these two lines of action are contrary to original 

nature and violate natural feeling. Nevertheless, the way of filial piety 

is the pattern and order of propriety and righteousness. If one follows 

42 This and later quotations from Mencius are not really direct but only 

references to Mencius' debate with Kao Tzu on human nature. See Mencius, 

6A:1-8. 

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his natural feeling, he will have no deference or compliance. Deference 

and compliance are opposed to his natural feelings. From this point 

of view, it is clear that man's nature is evil and that his goodness is the 

result of his activity. 

Someone may ask, "If man's nature is evil, whence come propriety 

and righteousness?" I answer that all propriety and righteousness are 

results of the activity of sages and not originally produced from man's 

nature. The potter pounds the clay and makes the vessel. This being 

the case, the vessel is the product of the artisan's activity and not the 

original product of man's nature. The artisan hews a piece of wood and 

makes a vessel. This being the case, the vessel is the product of the 

artisan's activity and not the original product of man's nature. The 

sages gathered together their ideas and thoughts and became familiar 

with activity, facts, and principles, and thus produced propriety and righteousness 

and instituted laws and systems. This being the case, propriety 

and righteousness, and laws and systems are the products of the activity 

of the sages and not the original products of man's nature. 

As to the eye desiring color, the ear desiring sound, the mouth desiring 

flavor, the heart desiring gain, and the body desiring pleasure 

and ease—all these are products of man's original nature and feelings. 

They are natural reactions to stimuli and do not require any work to be 

produced. But if the reaction is not naturally produced by the stimulus 

but requires work before it can be produced, then it is the result of 

activity. Here lies the evidence of the difference between what is produced 

by man's nature and what is produced by his effort. Therefore 

the sages transformed man's nature and aroused him to activity. As 

activity was aroused, propriety and righteousness were produced, and 

as propriety and righteousness were produced, laws and systems were 

instituted. This being the case, propriety, righteousness, laws, and systems 

are all products of the sages. In his nature, the sage is common 

with and not different from ordinary people. It is in his effort that he 

is different from and superior to them. 

It is the original nature and feelings of man to love profit and seek 

gain. Suppose some brothers are to divide their property. If they follow 

their natural feelings, they will love profit and seek gain, and thus will 

do violence to each other and grab the property. But if they are transformed 

by the civilizing influence of the pattern and order of propriety 

and righteousness, they will even yield to outsiders. Therefore, brothers 

will quarrel if they follow their original nature and feeling but, if they 

are transformed by righteousness and propriety, they will yield to outsiders. 

People desire to be good because their nature is evil. If one has little, 

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HSÜN TZU 

he wants abundance. If he is ugly, he wants good looks. If his circumstances 

are narrow, he wants them to be broad. If poor, he wants to be 

rich. And if he is in a low position, he wants a high position. If he 

does not have it himself, he will seek it outside. If he is rich, he does 

not desire more wealth, and if he is in a high position, he does not 

desire more power. If he has it himself, he will not seek it outside. From 

this point of view, [it is clear that] people desire to be good because 

their nature is evil. 

Now by nature a man does not originally possess propriety and 

righteousness; hence he makes strong effort to learn and seeks to have 

them. By nature he does not know propriety and righteousness; hence 

he thinks and deliberates and seeks to know them. Therefore, by what is 

inborn alone, man will not have or know propriety and righteousness. 

There will be disorder if man is without propriety and righteousness. 

There will be violence if he does not know propriety and righteousness. 

Consequently by what is inborn alone, disorder and violence are within 

man himself. From this point of view, it is clear that the nature of 

man is evil and that his goodness is the result of his activity. 

Mencius said, "The nature of man is good." I say that this is not 

true. By goodness at any time in any place is meant true principles and 

peaceful order, and by evil is meant imbalance, violence, and disorder. 

This is the distinction between good and evil. Now do we honestly regard 

man's nature as characterized by true principles and peaceful 

order? If so, why are sages necessary and why are propriety and righteousness 

necessary? What possible improvement can sages make on 

true principles and peaceful order? 

Now this is not the case. Man's nature is evil. Therefore the sages 

of antiquity, knowing that man's nature is evil, that it is unbalanced 

and incorrect, and that it is violent, disorderly, and undisciplined, established 

the authority of rulers to govern the people, set forth clearly propriety 

and righteousness to transform them, instituted laws and governmental 

measures to rule them, and made punishment severe to restrain 

them, so that all will result in good order and be in accord with 

goodness. Such is the government of sage-kings and the transforming 

influence of propriety and righteousness. 

But suppose we try to remove the authority of the ruler, do away with 

the transforming influence of propriety and righteousness, discard the 

rule of laws and governmental measure, do away with the restraint 

of punishment, and stand and see how people of the world deal with 

one another. In this situation, the strong would injure the weak and 

rob them, and the many would do violence to the few and shout them 

down. The whole world would be in violence and disorder and all 

131


would perish in an instant. From this point of view, it is clear that man's 

nature is evil and that his goodness is the result of his activity. 

The man versed in ancient matters will certainly support them with 

evidences from the present, and he who is versed in [the principles of] 

Nature will certainly support them with evidences from the world of 

men. In any discussion, the important things are discrimination 43 and 

evidence. One can then sit down and talk about things, propagate them, 

and put them into practice. But now Mencius said that man's nature is 

good. He had neither discrimination nor evidence. He sat down and 

talked about the matter but rose and could neither propagate it nor put 

it into practice. Is this not going too far? Therefore if man's nature is 

good, sage-kings can be done away with and propriety and righteousness 

can be stopped. But if his nature is evil, sage-kings are to be followed 

and propriety and righteousness are to be greatly valued. For bending 

came into existence because there was crooked wood, the carpenter's 

square and ruler came into existence because things are not straight, 

and the authority of rule is instituted and propriety and righteousness 

are made clear because man's nature is evil. From this point of view, 

it is clear that man's nature is evil and that his goodness is the result 

of his activity. Straight wood does not depend on bending to become 

straight; it is straight by nature. But crooked wood must be bent and 

heated before it becomes straight because by nature it is not straight. 

Now, the nature of man is evil. It has to depend on the government of 

sage-kings and the transforming influence of propriety and righteousness, 

and then all will result in good order and be in accord with goodness. 

From this point of view, it is clear that man's nature is evil and 

that his goodness is the result of his activity. 

The questioner may say, "It is by the nature of man that propriety 

and righteousness [can be produced] through accumulated effort and 

hence the sages can produce them." I answer that this is not true. The 

potter pounds the clay and produces the piece of pottery. Is the pottery 

[inherent] in the nature of the potter? The artisan hews wood and produces 

a vessel. Is the vessel [inherent] in the nature of the artisan? What 

the sages have done to propriety and righteousness is analogous to the 

potter's pounding and producing the pottery. This being the case, is 

it by the original nature of man that propriety and righteousness are 

produced through accumulated effort? With reference to the nature of 

man, it is the same in (sage-emperors) Yao and Shun, (wicked king) 

Chieh, and (robber) Chih. 44 It is the same in the superior or inferior 

43 According to Yang Liang and Wang Hsien-ch'ien, pien-ho literally means a 

bamboo split into two pieces and yet coming together perfectly. Hence the idea 

of analysis and discrimination. 

44 Chih was a notorious robber of ancient times. 

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HSÜN TZU 

man. If propriety and righteousness are products of accumulated effort 

and to be regarded as [inherent] in man's nature, then why are Yao 

and (sage-king) Yü highly honored, and why is the superior man highly 

honored? Yao, Yü, and the superior man are highly honored because 

they can transform nature and arouse effort. As effort is aroused, propriety 

and righteousness are produced. Thus the relation between the 

sages and propriety and righteousness produced through accumulated 

effort, is like the potter pounding the clay to produce the pottery. From 

this point of view, is it by the nature of man that propriety and righteousness 

are produced through accumulated effort? Chieh, Chih, and the 

inferior man are despised because they give rein to their nature, follow 

their feelings, and enjoy indulgence, and lead to the greed for gain, to 

quarrels and rapacity. It is clear that man's nature is evil and that 

his goodness is the result of his activity. 

Heaven is not partial to Tseng, Ch'ien, and Hsiao-i 45 and negligent to 

the common multitude. Then why did Tseng, Ch'ien, and Hsiao-i alone 

abundantly demonstrate the actuality of filial piety and preserve its good 

name? It is because they observed propriety and righteousness to the 

fullest extent. Heaven is not partial to the people of Ch'i and Lu 46 and 

negligent to the people of Ch'in. 47 Then why is it that in the righteous relation 

between father and son and the distinction of function between 

husband and wife, the people of Ch'in are inferior to those of Ch'i and 

Lu in filial piety and in the mutual respect between husband and wife? 

It is because the people of Ch'in give rein to their nature and feelings, 

enjoy indulgence, and neglect propriety and righteousness. Is it because 

their natures are different? 

"Any man in the street can become (sage-king) Yü." 48 What does 

this ancient saying mean? I say that Yü became sage-king Yü because 

he practiced humanity, righteousness, laws, and correct principles. This 

shows that these can be known and practiced. Every man in the street 

possesses the faculty to know them and the capacity to practice them. 

This being the case, it is clear that every man can be Yü. 

Comment. To all ancient Chinese philosophers, the ideal human 

being was always an historical person. But whereas Confucius and 

45 Tseng Shen, Min Tzu-ch'ien (both of whom were pupils of Confucius), and 

Hsiao-i (crown prince of 14th century B.C.), were all distinguished by their filial 

deeds. 

46 The state of Ch'i produced virtuous rulers and Lu was the native state of 

Confucius. 

47 Ch'in was a barbarian state which eventually overthrew the Chou, united 

China, and set up a dictatorship in the third century B.C. 

48 Compare this ancient saying with Mencius, 6B:2, to the effect that all men 

can become Yaos and Shuns. 

133


Mencius idolized Yao and Shun, Hsün Tzu preferred to idolize Yü. 

Instead of going as far back in history as possible to find the ideal 

man, as practically all schools did, Hsün Tzu looked to someone 

later. It is possible that he choose Yü because he was not satisfied 

with men of perfect morals like Yao and Shun, but sought a man 

of great practical accomplishments. Yü was such a person, especially 

noted for his diverting water into nine channels and thus 

preventing flood. 

Shall we consider humanity, righteousness, laws, and correct principles 

as basically impossible to be known or practiced? If so, even Yü 

could not have known or practiced them. Shall we consider every man 

in the street to be without the faculty to know them or the capacity to 

practice them? If so, at home he would not be able to know the righteous 

relation between father and son and outside he would not be able to 

know the correct relation between ruler and minister. But this is 

not the case. Every man in the street is capable of knowing the righteous 

relation between father and son at home and the correct relation between 

ruler and minister outside. It is clear, then, that the faculty to 

know them and the capacity to practice them are found in every man 

in the street. Now, if every man's faculty to know and capacity to practice 

are applied to the fact that humanity and righteousness can be 

known and practiced, it is clear that he can become Yü. If in his practices 

and studies day after day for a long time, he concentrates his 

mind, has unity of purpose, thinks thoroughly and discriminately, and 

accumulates goodness without stop, he can then be as wise as the gods, 

and form a trinity with Heaven and Earth. Thus the sage is a man who 

has reached this state through accumulated effort. 

Some one may say, "The sage can reach that state through accumulated 

effort but not everyone can do so. Why?" I answer that he can, but 

he does not do it. An inferior man can become a superior man, but he 

does not want to. A superior man can become an inferior man, but he 

does not want to. It is not that they cannot become each other. They 

do not do so because they do not want to. It is possible for every man 

to become Yü, but it does not follow that every man in the street is able 

actually to do so. However, the fact that he is not able actually to do so 

does not destroy the possibility of his doing so. It is possible for a man 

with feet to walk all over the world and yet so far there has not been 

any who is able actually to do so. It is possible for the artisan, farmer, 

or merchant to exchange their professions, and yet there has not been 

any who is able actually to do so. From this point of view, what is 

possible is not the same as what is able actually to be done. But not 

134

HSÜN TZU 

being able actually to be done does not destroy the possibility. There is 

a great difference between what is possible on the one hand, and what 

is able actually to be done, on the other. It is clear that they are not 

interchangeable. . . . 49 (SPTK, 17:1a-12b) 

49 The remaining quarter of the essay deals with the subjects of wisdom, 

courage, etc. and have nothing to do with the question of human nature. 

135

••• 7 ••• 

THE NATURAL WAY OF LAO TZU 

CHINESE civilization and the Chinese character would have been utterly 

different if the book Lao Tzu had never been written. In fact, even Confucianism, 

the dominant system in Chinese history and thought, would 

not have been the same, for like Buddhism, it has not escaped Taoist 

influence. No one can hope to understand Chinese philosophy, religion, 

government, art, medicine—or even cooking—without a real appreciation 

of the profound philosophy taught in this little book. It is true that, 

while Confucianism emphasizes social order and an active life, Taoism 

concentrates on individual life and tranquillity, thus suggesting that 

Taoism plays a secondary role. But, in reality, by opposing Confucian 

conformity with non-conformity and Confucian worldliness with a transcendental 

spirit, Taoism is a severe critic of Confucianism. In its doctrines 

on government, on cultivating and preserving life, and on handling 

things, Taoism is fully the equal of Confucianism. 

In some respects Taoism goes even deeper into the Way of life, so 

much so that while every ancient Chinese school taught its own Way 

(Tao) 1 Taoism alone is known by that name. Of course the name "Taoist 

School" was not used until the first century B.C., 2 but the teachings of 

Lao Tzu and Chuang Tzu about Tao were so impressive and influential 

before that time that the name was inevitable. 

Whereas in other schools Tao means a system or moral truth, in this 

school it is the One, which is natural, eternal, spontaneous, nameless, 

and indescribable. It is at once the beginning of all things and the way 

in which all things pursue their course. When this Tao is possessed by 

individual things, it becomes its character or virtue (te). 3 The ideal life 

for the individual, the ideal order for society, and the ideal type of 

government are all based on it and guided by it. As the way of life, it 

denotes simplicity, spontaneity, tranquillity, weakness, and most important 

of all, non-action (wu-wei). By the latter is not meant literally 

"inactivity" but rather "taking no action that is contrary to Nature"—in 

other words, letting Nature take its own course. 

The Taoist philosophy is perhaps best summed up in the Chuang 

Tzu, which says, "To regard the fundamental as the essence, to regard 

things as coarse, to regard accumulation as deficiency, and to dwell 

1 Literally path, road, way, extended to mean principle, system, truth, Reality, 

etc. 2 It was first mentioned in Ssu-ma Ch'ien's (145-86 B.C.?) autobiography in his 

Shih chi (Records of the Historian), PNP, 130:4b. 

3 For a discussion of this term, see Appendix. 

136


quietly alone with the spiritual and the intelligent—herein lie the techniques 

of Tao of the ancients. Kuan Yin 4 and Lao Tan (Lao Tzu) heard 

of them and were delighted. They built their doctrines on the principle of 

eternal non-being and held the idea of the Great One as fundamental. To 

them weakness and humility were the expression, and openness and 

emptiness that did not destroy anything were the reality." 5 

One should not be misled by its ideals of weakness and emptiness 

into thinking that Taoism is a philosophy of negativism or one of absolute 

quietism. The book advocates not only non-action, but also practical 

tactics for action. It teaches submission, but strongly opposes oppressive 

government. The philosophy of the Lao Tzu is not for the hermit, but 

for the sage-ruler, who does not desert the world but rules it with noninterference. 

Taoism is therefore not a philosophy of withdrawal. Man 

is to follow Nature but in doing so he is not eliminated; instead, his 

nature is fulfilled. Any comparison of Taoism with Logos or Brahman 

must take these facts into account. 

All this philosophy is embodied in a small classic of about 5,250 

words, called the Lao Tzu or Tao-te ching 6 (Classic of the Way and its 

Virtue). No other Chinese classic of such small size has exercised so 

much influence. More commentaries have been written on it than on any 

other Chinese classic. About 350 are extant, besides some 350 that are 

lost or found only in fragments. There are also more English translations 

of it than of any other Chinese book—already over forty. It is a combination 

of poetry, philosophical speculation, and mystical reflection. Its 

vague and cryptic character makes interpretation and translation extremely 

difficult. Its literary style, grammatical patterns, rhymes, and 

ideas are in many places inconsistent. Certain terms are indisputably 

later interpolations. Passages attributed to the Lao Tzu in other works 

are either not found here or are different. On the basis of these facts, 

some scholars have assigned it to the fourth or third century B.C. or even 

later. But other scholars, contending that these objections apply to practically 

all ancient Chinese texts, see sufficient evidence to uphold the 

traditional sixth-century B.C. date. The argument that the style (e.g., 

it is not in question-and-answer form) or ideas do not belong to the sixth 

century B.C. and must come after such and such a style or ideas (as the 

idea of Tao must follow the idea of the Will of Heaven in the Mo Tzu, a 

4 

Traditionally believed to be a contemporary of Lao TZU whose work has been 

lost. 

5 Chuang Tzu, ch. 33, NHCC, 10:34b-35a. See Giles, trans., Chuang Tzu, 1961 

ed., p. 319. This chapter is the best and oldest critique of ancient philosophical 

schools. Hsün Tzu (fl. 298-238 B.C.), another excellent critic of ancient philosophical 

schools, criticized Lao Tzu for "having insight about bending but not 

about expanding." See above, p. 123. 

6 

Literally, the Classic of the Way and its Virtue. 

137


work of the fourth century B.C.), is purely subjective. It is reasonable to 

believe that the book probably contains the basic teachings of Lao Tzu 

but was compiled later by more than one person. 

As to this person Lao Tzu, opinion has been just as much divided as 

on the book itself. The Records of the Historian 7 states that he was a 

native of Ch'u (in modern Honan Province), that his family name was 

Li, private name Erh and posthumous name Tan, that he was a custodian 

of imperial archives, that Confucius visited him for information on 

rituals, that at old age he retired to the West and, at the request of a 

gate keeper, wrote more than 5,000 words on the Way and its virtue. In 

the midst of this story, the Records of the Historian inserted two brief 

accounts about Lao Lai Tzu, also a native of Ch'u and a contemporary 

of Confucius, and Tan, an historian of the Chou in the fourth century 

B.C. It added that no one knew whether they were the same person as 

Lao Tzu, and said that Lao Tzu's son was a general of Wei. 

Obviously, these accounts—of Confucius' visit, generally dated 518 

B.C., and of Lao Tzu's son's serving as a general in 273 B.C.—cannot 

both be true. Chinese tradition has accepted the former and placed Lao 

Tzu about twenty years senior to Confucius. In the 1920's and 1930's 

many Chinese and Western scholars rejected tradition and dated Lao 

Tzu at the fourth or even the third century B.C. But opinions among 

Chinese scholars were about evenly divided. Since then there has been 

a tendency to revert to tradition. In mainland China since 1949, however, 

scholars have held to the later dates. 8 In any case, the theory that Lao 

Tzu never existed or is merely a legend compounded of three different 

accounts is no longer seriously entertained. Whether the name Lao 

means old (hence the translation, "an Old Philosopher"), whether it is 

a family name, a private name, or the title "viscount" is uncertain. 

In view of its importance, the Lao Tzu is here translated in full; the 

following list gives its main concepts and references. 

Being and Non-being: 1, 2, 11, 40 

Desires: 3, 19, 34, 37, 57 

Female, Water: 8, 10, 20, 25, 28, 52, 55, 59, 78 

Government: 3, 17, 26, 29-31, 57, 60, 61, 65, 74, 75, 80 

Humanity and Righteousness: 18, 19, 38 

Knowledge: 3, 70, 71 

Name: 1, 25, 32, 41 

Natural (tzu-jan): 17, 23, 25, 51, 64 

Non-strife: 3, 7-9, 22, 24, 66, 73, 81 

One: 10, 14, 22, 39, 42 

Relativity, Good and Evil, Paradoxes: 2, 7, 20, 36, 45, 58 

7 Ch. 63; 1739 ed., 63:1b. 

8 For a lengthy and systematic discussion of the date of Lao Tzu and the Lao 

Tzu, see Chan, The Way of Lao Tzu, Introduction. 

138


Reversal: 14, 16, 28, 40, 52 

Simplicity: 19, 28, 32, 37, 57 

Tao: 1, 4, 8, 14, 16, 21, 23, 25, 32, 34, 35, 37, 40-42, 51 

Tranquillity: 16, 37, 61 

Virtue: 10, 21, 23, 38, 51, 65 

Weakness: 10, 22, 36, 40, 43, 52, 76, 78 

Wu-wei (taking no action): 2, 3, 10, 37, 43, 48, 63, 64 

THE LAO TZU (TAO-TE CHING) 9 

1. The Tao (Way) that can be told of is not the eternal Tao; 

The name that can be named is not the eternal name. 

The Nameless is the origin of Heaven and Earth; 

The Named is the mother of all things. 

Therefore let there always be non-being so we may see their 

subtlety, 10 

And let there always be being 11 so we may see their outcome. 

The two are the same, 

But after they are produced, they have different names. 12 

They both may be called deep and profound (hsüan). 13 

Deeper and more profound, 

The door of all subtleties! 

Comment. While ancient Chinese philosophical schools differed in 

many respects, most of them insisted on the correspondence of 

names and actualities. They all accepted names as necessary and 

good. Lao Tzu, however, rejected names in favor of the nameless. 

This, among other things, shows the radical and unique character 

9 The Lao Tzu was originally not divided, but only later was it separated into 

two parts containing eighty-one chapters. There are many variations of a minor 

nature in words and order. The oldest and best text is that used by Wang Pi (226- 

249), the Lao Tzu tao-te ching chu (Commentary on the Lao Tzu). The text used 

by Ho-shang Kung (fl. 179-159 B.C.) in his Lao Tzu chang-chü (Commentary on 

the Lao Tzu) is supposed to be older, but its authenticity is doubted. For translations, 

see Bibliography. The following translation is also published separately with 

comments on all chapters and many more textual notes. See Chan, The Way of 

Lao Tzu, in Bibliography. 

10 This translation of miao as "subtlety" rather than "mystery" is according to 

Wang Pi. 

11 Ho-shang Kung and Wang Pi punctuated the sentences to mean "have 

desires" and "have no desires." This interrupts the thought of the chapter. Beginning 

with Wang An-shih's (1021-1086) Lao Tzu chu (Commentary), some 

scholars have punctuated the two sentences after wu (no) and yu (to be), thus 

making them to mean "There is always non-being" and "There is always being." 

The terms yu and wu appear in Lao Tzu, chs. 2, 11, and 40. I prefer Wang's 

punctuation. 

12 Ch'en Ching-yüan (d. 1229), in his Tao-te ching chu (Commentary), punctuates 

the sentence after t'ung (the same) instead of t'ung-ch'u (produced from 

the same). This punctuation preserves the ancient rhyme of the verse. 

13 The word hsüan means profound and mysterious. For a discussion of this 


139


of Taoism. To Lao Tzu, Tao is nameless and is the simplicity without 

names, and when names arise, that is, when the simple oneness 

of Tao is split up into individual things with names, it is time to 

stop. 14 

2. When the people of the world all know beauty as beauty, 

There arises the recognition of ugliness. 

When they all know the good as good, 

There arises the recognition of evil. 

Therefore: 

Being and non-being produce each other; 

Difficult and easy complete each other; 

Long and short contrast 15 each other; 

High and low distinguish each other; 

Sound and voice harmonize with each other; 

Front and back follow each other. 

Therefore the sage manages affairs without action 

(wu-wei) 

And spreads doctrines without words. 

All things arise, and he does not turn away from them. 

He produces them, but does not take possession of them. 

He acts, but does not rely on his own ability. 16 

He accomplishes his task, but does not claim credit for it. 17 

It is precisely because he does not claim credit that his 

accomplishment remains with him. 

Comment. The idea of teachings without words anticipated the 

Buddhist tradition of silent transmission of the mystic doctrine, 

especially in the Zen School. This is diametrically opposed to the 

Confucian ideal, according to which a superior man acts and "becomes 

the model of the world"; he speaks, and "becomes the 

pattern for the world." 18 It is true that Confucianists say that a 

superior man "is truthful without any words," 19 but they would never 

regard silence itself as virtue. 

3. Do not exalt the worthy, so that the people shall not compete. 

Do not value rare treasures, 20 so that the people shall not 

steal. 

14 

See Lao Tzu, chs. 37, 41, and 32, respectively. 

15 

Some texts substitute the character chiao for hsing, both of which mean to 

contrast. The former does not rhyme, while the latter appears in the older text. 

16 

Ho-shang Kung's interpretation: He does not expect any reward. These last 

two sentences also appear in Lao Tzu, chs. 10, 51, and 77. 

17 

This sentence is also found in Lao Tzu, ch. 77 with the variation of one word. 

18 19 


ibid., ch. 33. 

20 

These words also appear in Lao Tzu, ch. 64. 

140


Do not display objects of desire, so that the people's hearts 

shall not be disturbed. 

Therefore in the government of the sage, 

He keeps their hearts vacuous (hsü), 21 

Fills their bellies, 

Weakens their ambitions, 

And strengthens their bones, 

He always causes his people to be without knowledge (cunning) 

or desire, 

And the crafty to be afraid to act. 

By acting without action, all things will be in order. 

4. Tao is empty (like a bowl), 

It may be used but its capacity is never exhausted. 

It is bottomless, perhaps the ancestor of all things. 

It blunts its sharpness, 

It unties its tangles. 

It softens its light. 

It becomes one with the dusty world. 22 

Deep and still, it appears to exist forever. 

I do not know whose son it is. 

It seems 23 to have existed before the Lord. 

Comment. This chapter shows clearly that, in Taoism, function is 

no less important than substance. Substance is further described in 

Lao Tzu, chs. 14 and 21, but here, as in Lao Tzu, chs. 11 and 45, 

function (yung, also meaning use) is regarded with equal respect. 

There is no renunciation of phenomena as is the case with certain 

Buddhist schools. 

5. Heaven and Earth are not humane (jen). 24 

They regard all things as straw dogs. 

The sage is not humane. 

He regards all people as straw dogs. 

How Heaven and Earth are like a bellows! 

While vacuous, it is never exhausted. 

21 Literally "empty," hsü means absolute peace and purity of mind, freedom 

from worry and selfish desires. See Appendix for further comments on it. 

22 These last four lines also appear in Lao Tzu, ch. 56. 

23 The word hsiang here means "seems" and repeats the feeling expressed in the 

word "appear" two lines before. To interpret it as "image," as does Arthur Waley, 

would be to make the Lao Tzu more metaphysical than it really is. See his translation 

of the Lao Tzu. 

24 Variously rendered as love, benevolence, human-heartedness, true manhood. 

For a discussion of this term, see Appendix. 

141


When active, it produces even more. 

Much talk will of course 25 come to a dead end. 

It is better to keep to the center (chung). 26 

Comment. The term "not humane" is of course extremely provocative. 

It may be suggested that this is Lao Tzu's emphatic way of 

opposing the Confucian doctrine of humanity and righteousness. 

Actually, the Taoist idea here is not negative but positive, for it 

means that Heaven and Earth are impartial, have no favorites, and 

are not humane in a deliberate or artificial way. This is the understanding 

of practically all commentators and is abundantly supported 

by the Chuang Tzu. 27 To translate it as unkind, as does 

Blakney, is grossly to misunderstand Taoist philosophy. 

The two Taoist ideas, vacuity (hsü) and non-being (wu), later 

employed and elaborated by the Buddhists, were taboos to Confucianists. 

To them, these ideas are charged with a great danger 

of nihilism, even if Taoism is not. The Neo-Confucianist Chang 

Tsai (Chang Heng-ch'ü, 1020-1077) called Reality "Great Vacuity" 

(T'ai-hsü), 28 Chu Hsi (1130-1200) characterized man's nature 

as hsü and intelligent, 29 and Wang Yang-ming (Wang Shou-jen, 

1472-1529) described the original mind of man in the same 

terms. 30 But Chang's Vacuity is equivalent to material force (ch'i), 

which is real and active. To Chu and Wang, as to other Confucianists, 

vacuity means purity, being devoid of selfish desires, impartiality, 

and so forth. Even then, they used the term sparingly and with 

great care. 

6. The spirit of the valley never dies. 

It is called the subtle and profound female. 

The gate of the subtle and profound female 

Is the root of Heaven and Earth. 

It is continuous, and seems to be always existing. 

Use it and you will never wear it out. 

7. Heaven is eternal and Earth everlasting. 

They can be eternal and everlasting because they 

do not exist for themselves, 

25 The word shu means variously number, repeatedly, fate, truth, etc. According 

to the meaning of truth, the passage would read, "Much talk destroys truth." 

It seems better to adopt the meaning of repetition (always) here. 

26 The word also means the mean or moderation, but here it means the center. 

27 See below, ch. 8, n.35. 

28 See below, ch. 30, B, 1, sees. 2-9, 16; and C, sec. 63. 

29 In his Ta-hsüeh chang-chü (Commentary on the Great Learning), comment 

on the text. 

30 See below, ch. 35, B, sec. 32. 

142


And for this reason can exist forever. 

Therefore the sage places himself in the background, 

but finds himself in the foreground. 

He puts himself away, and yet he always remains. 

Is it not because he has no personal interests? 

This is the reason why his personal interests 

are fulfilled. 

8. The best (man) is like water. 

Water is good; it benefits all things and does not 

compete with them. 

It dwells in (lowly) places that all disdain. 

This is why it is so near to Tao. 

[The best man] in his dwelling loves the earth. 

In his heart, he loves what is profound. 

In his associations, he loves humanity. 

In his words, he loves faithfulness. 

In government, he loves order. 

In handling affairs, he loves competence. 

In his activities, he loves timeliness. 

It is because he does not compete that he is 

without reproach. 

Comment. Water, the female, and the infant are Lao Tzu's famous 

symbols of Tao. The emphasis of the symbolism is ethical rather 

than metaphysical. It is interesting to note that while early Indians 

associated water with creation 31 and the Greeks looked upon it as 

a natural phenomenon, ancient Chinese philosophers, whether Lao 

Tzu or Confucius, 32 preferred to learn moral lessons from it. 

Broadly speaking, these different approaches have characterized 

Indian, Western, and East Asian civilizations, respectively. 

9. To hold and fill to overflowing 

Is not as good as to stop in time. 

Sharpen a sword-edge to its very sharpest, 

And the (edge) will not last long. 

When gold and jade fill your hall, 

You will not be able to keep them. 

To be proud with honor and wealth 

Is to cause one's own downfall. 

Withdraw as soon as your work is done. 

Such is Heaven's Way. 

31 See Rig Veda, 10:129. 32 See Analects, 9:16. 

143


Comment. Note that one should withdraw only after his work is 

done. The Taoist way of life is not that of a hermit, although hermits 

have taken its name. The idea of withdrawal is not entirely absent 

even in Confucianism. Mencius said that it was the way of Confucius 

"to withdraw quickly from office when it was proper to do 

so." 33 

10. Can you keep the spirit and embrace the One without departing 

from them? 

Can you concentrate your vital force (ch'i) and achieve the highest 

degree of weakness like an infant? 

Can you clean and purify your profound insight so it will be 

spotless? 

Can you love the people and govern the state without knowledge 

(cunning)? 

Can you play the role of the female in the opening and closing 

of the gates of Heaven? 

Can you understand all and penetrate all without 

taking any action? 

To produce things and to rear them, 

To produce, but not to take possession of them, 

To act, but not to rely on one's own ability, 34 

To lead them, but not to master them— 

This is called profound and secret virtue (hsüan-te). 35 

Comment. The concentration of ch'i (vital force, breath) is not 

yoga, as Waley thinks it is. Yoga aims at transcending the self and 

the external environment. Nothing of the sort is intended here. It 

is true that in the Huai-nan Tzu, ch. 12, the story of Yen Hui's 

"sitting down and forgetting everything" 36 is recited to explain 

Lao Tzu's saying. But note that "the concentration" is followed 

by "loving the people" and "governing the state." Because the yoga 

breathing technique was later promoted by the religious Taoists, 

some scholars have unjustifiably read it into earlier texts. Wu 

Ch'eng (1249-1333), for example, thought that the "continuous" 

operation in ch. 6 was breathing, which is certainly going too far. 

11. Thirty spokes are united around the hub to make a wheel, 

But it is on its non-being that the utility of the carriage 

depends. 


34 These last two sentences also appear in Lao Tzu, chs. 2 and 51. 

35 These last two sentences also appear in Lao Tzu, ch. 51. 

36 SPPY, 12:14a. See Morgan, trans., Tao, The Great Luminant, pp. 128-129. 

144


Clay is molded to form a utensil, 

But it is on its non-being that the utility of the utensil 

depends. 

Doors and windows are cut out to make a room, 

But it is on its non-being that the utility of the room 

depends. 

Therefore turn being into advantage, and turn non-being into 

utility. 

12. The five colors cause one's eyes to be blind. 

The five tones cause one's ears to be deaf. 

The five flavors cause one's palate to be spoiled. 

Racing and hunting cause one's mind to be mad. 

Goods that are hard to get injure one's activities. 37 

For this reason the sage is concerned with the belly and not 

the eyes, 

Therefore he rejects the one but accepts the other. 

13. Be apprehensive when receiving favor or disgrace. 38 

Regard great trouble as seriously as you regard your body. 

What is meant by being apprehensive when receiving 

favor or disgrace? 

Favor 39 is considered inferior. 

Be apprehensive when you receive them and also be 

apprehensive when you lose them. 

This is what is meant by being apprehensive when receiving 

favor or disgrace. 

What does it mean to regard great trouble as seriously as 

you regard the body? 

The reason why I have great trouble is that I have a body 

(and am attached to it). 

If I have no body, 

What trouble could I have? 

Therefore he who values the world as his body may be 

entrusted with the empire. 

He who loves the world as his body may be entrusted with 

the empire. 

Comment. On the basis of this attitude toward the body, 40 it is 

37 Other interpretations: Impedes one's movements; keeps one on guard; makes 

his action violent. 

38 The sentence is obscure. The interpretation here follows that of Chiao Hung 

(1540-1620), in Lao Tzu i (Aid to the Lao Tzu). 

39 Many texts have "disgrace." 

40 Also found in Lao Tzu, ch. 44. 

145


difficult to accept the theory that Yang Chu, who would preserve 

one's own life under any circumstances, was an early Taoist, as 

Fung has maintained. 41 

14. We look at it and do not see it; 

Its name is The Invisible. 

We listen to it and do not hear it; 

Its name is The Inaudible. 

We touch it and do not find it; 

Its name is The Subtle (formless). 

These three cannot be further inquired into, 

And hence merge into one. 

Going up high, it is not bright, and coming down low, it is 

not dark. 

Infinite and boundless, it cannot be given any name; 

It reverts to nothingness. 

This is called shape without shape, 

Form (hsiang) without object. 

It is The Vague and Elusive. 

Meet it and you will not see its head. 

Follow it and you will not see its back. 

Hold on to the Tao of old in order to master the things of 

the present. 

From this one may know the primeval beginning [of the 

universe]. 

This is called the bond of Tao. 42 

Comment. Subtlety is an important characteristic of Tao and is 

more important than its manifestations. 43 The Confucianists, on 

the other hand, emphasized manifestation. There is nothing more 

manifest than the hidden (subtle), they said, and a man who knows 

that the subtle will be manifested "can enter into virtue." 44 The 

Buddhists and Neo-Confucianists eventually achieved a synthesis 

and said that "there is no distinction between the manifest and the 

hidden." 45 

41 History of Chinese Philosophy, vol. 1, p. 137. 

42 Chi, literally a thread, denotes tradition, discipline, principle, order, essence, 

etc. Generally it means the system, principle, or continuity that binds things 

together. 

43 See also Lao Tzu, chs. 1 and 15. 

44 The Mean, chs. 1 and 33. 

45 Ch'eng I, preface to the I chuan (Commentary on the Book of Changes), 

in ECCS. 

146


15. Of old those who were the best rulers 46 were 

subtly mysterious and profoundly penetrating; 

Too deep to comprehend. 

And because they cannot be comprehended, 

I can only describe them arbitrarily: 

Cautious, like crossing a frozen stream in the winter, 

Being at a loss, like one fearing danger on all sides, 

Reserved, like one visiting, 

Supple and pliant, like ice about to melt, 

Genuine, like a piece of uncarved wood, 47 

Open and broad, like a valley, 

Merged and undifferentiated, like muddy water. 

Who can make muddy water gradually clear through 

tranquillity? 

Who can make the still gradually come to life through 

activity? 

He who embraces this Tao does not want to fill himself 

to overflowing. 

It is precisely because there is no overflowing that he 

is beyond wearing out and renewal. 

16. Attain complete vacuity, 

Maintain steadfast quietude. 

All things come into being, 

And I see thereby their return. 

All things flourish, 

But each one returns to its root. 

This return to its root means tranquillity. 

It is called returning to its destiny. 

To return to destiny is called the eternal (Tao). 

To know the eternal is called enlightenment. 

Not to know the eternal is to act blindly to result in disaster. 

He who knows the eternal is all-embracing. 

Being all-embracing, he is impartial. 

Being impartial, he is kingly (universal). 48 

46 The text has the word shih meaning the ruler instead of "Tao." In the text 

collated by Fu I (555-639), Chiao-ting ku-pen Lao Tzu (The Old Text of the 

Lao Tzu Collated), however, the word is Tao instead. Ma Hsü-lun in his Lao Tzu 

chiao-ku (Lao Tzu collated and explained) and other scholars have preferred to 

follow Fu I. But the emendation is quite unnecessary. 

47 P'u, literally an uncarved wood, has come to mean in Taoism simplicity, 

plainness, genuineness, etc. 

48 Chiao Hung, Lao Tzu i, says that according to one tablet on which the Lao 

147


Being kingly, he is one with Nature. 49 

Being one with Nature, he is in accord with Tao. 

Being in accord with Tao, he is everlasting, 

And is free from danger throughout his lifetime. 

Comment. In the philosophy of Lao Tzu, Tao is revealed most 

fully through tranquillity. The position of the Neo-Confucianists 

is just the opposite. They said that only through activity can the 

mind of Heaven and Earth be seen. 

17. The best (rulers) are those whose existence is (merely) 50 

known by the people. 

The next best are those who are loved and praised. 

The next are those who are feared. 

And the next are those who are despised. 

It is only when one does not have enough faith in others 

that others will have no faith in him. 51 

[The great rulers] value their words highly. 

They accomplish their task; they complete their work. 

Nevertheless their people say that they simply follow Nature 

(Tzu-jan). 52 

18. When the great Tao declined, 

The doctrines of humanity (jen) and righteousness (i) arose. 

When knowledge and wisdom appeared, 

There emerged great hypocrisy. 

When the six family relationships 53 are not in harmony, 

There will be the advocacy of filial piety and deep love to children. 

54 

Tzu is inscribed, the word here is not wang (kingly) but chou (comprehension). 

Ma Hsü-lun, Lao Tzu chiao-ku, notes this approvingly but did not amend the text 

accordingly. Had he done so, it would not have made any improvement. 

49 

Ma thinks that the word T'ien (Nature) should have been ta (great). 

50 

The word "not" does not appear either in the Wang Pi text or in the Hoshang 

Kung text, but it appears here in the version used by Wu Ch'eng for 

his commentary, Tao-te ching chu (Commentary on the Lao Tzu), in the Yunglo 

ta-tien (Great Library of the Yung-lo Period, 1403-1424), 1407, and also in 

the Japanese Koitsu sosho 

- - 

(Collection of Missing Ancient Texts). This version 

has been accepted by many scholars, including Hu Shih, Development of the 

Logical Method in Ancient China, p. 16. The beginning phrase "the highest" is 

interpreted by most commentators as "the best ruler," by some as "the highest 

ruler," and by a few as "ruler of high antiquity." 

51 

This sentence is also found in ch. 23. 

52 

Tzu-jan, literally "self-so," means being natural or spontaneous. 

53 

Father, son, elder brother, younger brother, husband, and wife. 

54 

Some texts including the Yung-lo ta-tien read: "There will be filial sons" 

instead of "filial piety and deep love." 

148


When a country is in disorder, 

There will be praise of loyal ministers. 

19. Abandon sageliness and discard wisdom; 

Then the people will benefit a hundredfold. 

Abandon humanity and discard righteousness; 

Then the people will return to filial piety and deep love. 55 

Abandon skill and discard profit; 

Then there will be no thieves or robbers. 

However, these three things are ornament (wen) and not 

adequate. 

Therefore let people hold on to these: 

Manifest plainness, 

Embrace simplicity, 

Reduce selfishness, 

Have few desires. 

Comment. The sage as the ideal human being and the ideal ruler 

is mentioned thirty times in the book. And yet here sageliness is 

condemned. There is no contradiction, for sageliness here means 

a particular characteristic, that of broad and extensive learning, 

and is therefore mentioned along with wisdom, humanity, and 

righteousness. With regard to the sage, it is curious that while 

ancient kings were regarded as models by most ancient schools, 

and even by Chuang Tzu, they were ignored by Lao Tzu. It is not 

that Lao Tzu did not look to the past but rather that to him the 

sage transcended time, 

20. Abandon learning and there will be no sorrow. 56 

How much difference is there between "Yes, sir," and "Of 

course not"? 

How much difference is there between "good" and "evil"? 

What people dread, do not fail to dread. 

But, alas, how confused, and the end is not yet. 

The multitude are merry, as though feasting on a day of 

sacrifice, 

Or like ascending a tower at springtime. 

55 In some texts, including the Yung-lo ta-tien, this sentence precedes the first. 

56 Some scholars have shifted this line to the beginning or the end of the last 

chapter. Rearranging the text of Lao Tzu has been undertaken by a number of 

modern scholars, especially Ma. Duyvendak has done so in his translation. But 

such rearrangements have no objective historical or textual foundation and add 

little to one's understanding of Taoist philosophy. 

149


I alone am inert, showing no sign (of desires), 

Like an infant that has not yet smiled. 

Wearied, indeed, I seem to be without a home. 

The multitude all possess more than enough, 

I alone seem to have lost all. 

Mine is indeed the mind of an ignorant man, 

Indiscriminate and dull! 

Common folks are indeed brilliant; 

I alone seem to be in the dark. 

Comment. A Confucianist would never say "Abandon learning." 

Also he would sharply distinguish between good and evil. The 

Neo-Confucianist, Ch'eng Hao (Ch'eng Ming-tao, 1032-1085), 

has been severely criticized for his saying that "both good and 

evil in the world are both the Principle of Nature," 57 and Wang 

Yang-ming was likewise widely attacked for teaching that "in the 

original substance of the mind there is no distinction between 

good and evil." 58 

Common folks see differences and are clear-cut; 

I alone make no distinctions. 

I seem drifting as the sea; 

Like the wind blowing about, seemingly without destination. 

The multitude all have a purpose; 

I alone seem to be stubborn and rustic. 

I alone differ from others, 

And value drawing sustenance from Mother (Tao). 59 

21. The all-embracing quality of the great virtue (te) follows 

alone from the Tao. 

The thing that is called Tao is eluding and vague. 

Vague and eluding, there is in it the form. 

Eluding and vague, in it are things. 

Deep and obscure, in it is the essence. 60 

The essence is very real; in it are evidences. 

From the time of old until now, its name (manifestations) 

ever remains, 

By which we may see the beginning of all things. 

How do I know that the beginnings of all things are so? 

Through this (Tao). 



59 The term "mother" occurs also in Lao Tzu, chs. 1, 25, 52, 59. See below, n.97. 

60 The word ching (essence) also means intelligence, spirit, life-force. 

150


Comment. Philosophically this is the most important chapter of 

the book. The sentence "The essence is very real" virtually formed 

the backbone of Chou Tun-i's (Chou Lien-hsi, 1017-1073) Explanation 

of the Diagram of the Great Ultimate, which centers on 

the "reality of the Non-Ultimate and the essence of yin and yang." 61 

And Chou's work laid the foundation of the entire Neo-Confucian 

metaphysics. Of course Neo-Confucian metaphysics is more directly 

derived from the Book of Changes, but the concepts of reality in 

the Book of Changes and in this chapter are surprisingly similar. 

22. To yield is to be preserved whole. 

To be bent is to become straight. 

To be empty is to be full. 

To be worn out is to be renewed. 

To have little is to possess. 

To have plenty is to be perplexed. 

Therefore the sage embraces the One 

And becomes the model of the world. 

He does not show himself; therefore he is luminous. 

He does not justify himself; therefore he becomes prominent. 

He does not boast of himself; therefore he is given credit. 

He does not brag; therefore he can endure for long. 62 

It is precisely because he does not compete that the world 

cannot compete with him. 63 

Is the ancient saying, "To yield is to be preserved whole," 

empty words? 

Truly he will be preserved and (prominence, etc.) will 

come to him. 

23. Nature says few words. 64 

For the same reason a whirlwind does not last a whole 

morning, 

Nor does a rainstorm last a whole day. 

What causes them? 

It is Heaven and Earth (Nature). 

If even Heaven and Earth cannot make them last long, 

How much less can man? 

Therefore he who follows Tao is identified with Tao. 

He who follows virtue is identified with virtue. 


62 These last four lines are repeated with slight modification in Lao Tzu, ch. 24. 

63 This sentence is also found in Lao Tzu, ch. 66. 


151


He who abandons (Tao) is identified with the abandonment 

(of Tao). 

He who is identified with Tao—Tao is also happy to have 

him. 

He who is identified with virtue—virtue is also happy to 

have him. 

And he who is identified with the abandonment (of Tao)— 

the abandonment (of Tao) is also happy to abandon him. 

It is only when one does not have enough faith in others 

that others will have no faith in him. 65 

24. He who stands on tiptoe is not steady. 

He who strides forward does not go. 

He who shows himself is not luminous. 66 

He who justifies himself is not prominent. 

He who boasts of himself is not given credit. 

He who brags does not endure for long. 67 

From the point of view of Tao, these are like remnants of 

food and tumors of action, 

Which all creatures detest. 

Therefore those who possess Tao turn away from them. 

25. There was something undifferentiated and yet complete, 

Which existed before heaven and earth. 

Soundless and formless, it depends on nothing 

and does not change. 

It operates everywhere and is free from danger. 

It may be considered the mother of the universe. 

I do not know its name; I call it Tao. 

If forced to give it a name, I shall call it Great. 

Now being great means functioning everywhere. 

Functioning everywhere means far-reaching. 

Being far-reaching means returning to the original point. 

Therefore Tao is great. 

Heaven is great. 

Earth is great. 

And the king 68 is also great. 

There are four great things in the universe, and the king is 

one of them. 

65 Repeating the sentence in Lao Tzu, ch. 17. 

66 Cf. The Mean, chs. 26 and 33. 

67 These last four lines virtually repeat Lao Tzu, ch. 22. 

68 Both the Wang Pi and Ho-shang Kung texts read "king" instead of "man." 

The Fu I text and others have "man" instead. However, "king" is here understood 

as the representative of man. 

152


Man models himself after Earth. 

Earth models itself after Heaven. 

Heaven models itself after Tao. 

And Tao models itself after Nature. 

Comment. The doctrine of returning to the original is prominent 

in Lao Tzu. 69 It has contributed in no small degree to the common 

Chinese cyclical concept, which teaches that both history and reality 

operate in cycles. 

26. The heavy is the root of the light. 

The tranquil is the ruler of the hasty. 

Therefore the sage travels all day 

Without leaving his baggage. 70 

Even at the sight of magnificent scenes, 

He remains leisurely and indifferent. 

How is it that a lord with ten thousand chariots 

Should behave lightheartedly in his empire? 

If he is lighthearted, the minister will be destroyed. 

If he is hasty, the ruler is lost. 

27. A good traveler leaves no track or trace. 

A good speech leaves no flaws. 

A good reckoner uses no counters. 

A well-shut door needs no bolts, and yet it cannot be opened. 

A well-tied knot needs no rope and yet none can untie it. 

Therefore the sage is always good in saving men and 

consequently no man is rejected. 

He is always good in saving things and consequently nothing 

is rejected. 

This is called following the light (of Nature) 71 

Therefore the good man is the teacher of the bad, 

And the bad is the material from which the good may learn. 

He who does not value the teacher, 

Or greatly care for the material, 

Is greatly deluded although he may be learned, 

Such is the essential mystery. 

69 The doctrine is also encountered in Lao Tzu, chs. 14, 16, 28, 40, 52. 

70 The Chinese term for baggage means something heavy. 

71 The word hsi, here rendered as "following," is open to various interpretations: 

To cover, to penetrate, to practice, etc. (according to Ma Hsü-lun, Lao Tzu chiaoku, 

ch. 52, this hsi and the hsi meaning practice were interchangeable in ancient 

times), but it is most commonly understood as "following," an interpretation 

which is supported by the Chuang Tzu, ch. 2, where the terms "letting Nature 

follow its own course" (that is, following Nature) and "using the light" are 

repeatedly used. 

153


28. He who knows the male (active force) and keeps to the 

female (the passive force or receptive element) 

Becomes the ravine of the world. 

Being the ravine of the world, 

He will never depart from eternal virtue, 

But returns to the state of infancy. 

He who knows the white (glory) and yet keeps to the 

black (humility), 

Becomes the model for the world. 

Being the model for the world, 

He will never deviate from eternal virtue, 

But returns to the state of the Ultimate of Non-being. 

He who knows glory but keeps to humility, 

Becomes the valley of the world. 

Being the valley of the world, 

He will be proficient in eternal virtue, 

And returns to the state of simplicity (uncarved wood). 

When the uncarved wood is broken up, it is turned into 

concrete things (as Tao is transformed into the myriad 

things). 

But when the sage uses it, he becomes the leading official. 

Therefore the great ruler does not cut up. 

29. When one desires to take over the empire and act on it 

(interfere with it), 

I see that he will not succeed. 

The empire is a spiritual thing, 72 and should not be acted on. 

He who acts on it harms it. 

He who holds on to it loses it. 

Among creatures some lead and some follow. 

Some blow hot and some blow cold. 

Some are strong and some are weak. 

Some may break and some may fall. 

Therefore the sage discards the extremes, the extravagant, 

and the excessive. 

30. He who assists the ruler with Tao does not dominate the 

world with force. 

The use of force usually brings requital. 

Wherever armies are stationed, briers and thorns grow. 

Great wars are always followed by famines. 

A good (general) achieves his purpose and stops, 

72 For Wang Pi's explanation of this term, see below, ch. 19, sec. 3. 

154


But dares not seek to dominate the world. 

He achieves his purpose but does not brag about it. 

He achieves his purpose but does not boast about it. 

He achieves his purpose but is not proud of it. 

He achieves his purpose but only as an unavoidable step. 

He achieves his purpose but does not aim to dominate. 

(For) after things reach their prime, they begin to grow old, 

Which means being contrary to Tao. 

Whatever is contrary to Tao will soon perish. 73 

31. Fine weapons are instruments of evil. 

They are hated by men. 

Therefore those who possess Tao turn away from them. 

The good ruler when at home honors the left (symbolic of 

good omens). 

When at war he honors the right (symbolic of evil omens). 

Weapons are instruments of evil, not the instruments of a 

good ruler. 

When he uses them unavoidably, he regards calm restraint 

as the best principle. 

Even when he is victorious, he does not regard it as 

praiseworthy, 

For to praise victory is to delight in the slaughter of men. 

He who delights in the slaughter of men will not succeed in 

the empire. 

In auspicious affairs, the left is honored. 

In unauspicious affairs, the right is honored. 

The lieutenant-general stands on the left. 

The senior general stands on the right. 

That is to say that the arrangement follows that of funeral 

ceremonies. 74 

For the slaughter of the multitude, let us weep with sorrow 

and grief. 

For a victory, let us observe the occasion with funeral 

ceremonies. 


74 Most commentators agree that these last five sentences are commentaries 

interpolated in the text by mistake. They interrupted the preceding and following 

passages. They contain the terms "lieutenant-general" and "senior general" which 

did not appear until the Han (206 B.C.-A.D. 220) times, and this is the only chapter 

in Wang Pi's text which contains no comments, indicating that these five sentences 

were commentaries, although his commentaries in other chapters are more 

philosophical and more plentiful. It should be noted that the mention of Han 

generals is the only anachronism in the Lao Tzu. 

155


32. Tao is eternal and has no name. 

Though its simplicity seems insignificant, none in the world 

can master it. 

If kings and barons would hold on to it, all things would 

submit to them spontaneously. 

Heaven and earth unite to drip sweet dew. 

Without the command of men, it drips evenly over all. 

As soon as there were regulations and institutions, there 

were names (differentiation of things). 

As soon as there are names, know that it is time to stop. 

It is by knowing when to stop that one can be free from 

danger. 

Analogically, Tao in the world (where everything is embraced 

by it), may be compared to rivers and streams 

running into the sea. 

33. He who knows others is wise; 

He who knows himself is enlightened. 

He who conquers others has physical strength. 

He who conquers himself is strong. 

He who is contented is rich. 

He who acts with vigor has will. 

He who does not lose his place (with Tao) will endure. 

He who dies but does not really perish enjoys long life. 

Comment. What is it that dies but does not perish? Wang Pi said 

it was Tao on which human life depended, and Wu Ch'eng said 

it was the human mind. Other commentators have given different 

answers. Most of them, however, believe that Lao Tzu meant the 

immortality of virtue. Thus the Taoists conformed to the traditional 

belief which had already been expressed in the Tso chuan (Tso's 

Commentary on the Spring and Autumn Annals), namely, the 

immortality of virtue, achievement, and words, 75 and which has 

continued to be the typical Chinese idea of immortality. 76 It is to 

be noted that unlike Chuang Tzu, Lao Tzu showed no tendency to 

believe in earthly immortals (hsien, a fairy), although his exaltation 

of everlasting life undoubtedly contributed to the development 

of the belief. 

75 See above, ch. 1, sec. 4. 

76 Erkes thinks that death meant that a dead man still possessed power to 

influence the living and that perishing means that this power is gone as the body 

has been dissolved. Dubs rejects this interpretation and insists that Lao Tzu meant 

immortality of influence. (See Erkes, Ssu erh pu-wang in Asia Major, 3:2 [1952], 

156-159; note by Dubs, ibid., 159-161; Erkes' reply, ibid., 4:1 [1954], 149-150.) 

Most Chinese scholars would support Dubs. 

156


34. The Great Tao flows everywhere. 

It may go left or right. 

All things depend on it for life, and it does not turn away 

from them. 

It accomplishes its task, but does not claim credit for it. 

It clothes and feeds all things but does not claim to be 

master over them. 

Always without desires, it may be called The Small. 

All things come to it and it does not master them; 

it may be called The Great. 

Therefore (the sage) never strives himself for the great, and 

thereby the great is achieved. 77 

35. Hold fast to the great form (Tao), 78 

And all the world will come. 

They come and will encounter no harm; 

But enjoy comfort, peace, and health. 

When there are music and dainties, 

Passing strangers will stay. 

But the words uttered by Tao, 

How insipid and tasteless! 

We look at Tao; it is imperceptible. 

We listen to it; it is inaudible. 

We use it; it is inexhaustible. 

36. In order to contract, 

It is necessary first to expand. 

In order to weaken, 

It is necessary first to strengthen. 

In order to destroy, 

It is necessary first to promote. 

In order to grasp, 

It is necessary first to give. 

This is called subtle light. 

The weak and the tender overcome the hard and the strong. 

Fish should not be taken away from water. 

And sharp weapons of the state should not be displayed 

to the people. 

Comment. The Confucianists have never excused Lao Tzu for 

teaching such a doctrine of "deceit." 

77 This sentence also appears in Lao Tzu, ch. 63, with some variation. 

78 The term "great form" also appears in ch. 41. 

157


37. Tao invariably takes no action, and yet there is nothing 

left undone. 

If kings and barons can keep it, all things will transform 

spontaneously. 

If, after transformation, they should desire to be active, 

I would restrain them with simplicity, which has no name. 

Simplicity, which has no name, is free of desires. 

Being free of desires, it is tranquil. 

And the world will be at peace of its own accord. 

38. The man of superior virtue is not (conscious of) his virtue, 

And in this way he really possesses virtue. 

The man of inferior virtue never loses (sight of) his virtue, 

And in this way he loses his virtue. 

The man of superior virtue takes no action, but has no 

ulterior motive to do so. 

The man of inferior virtue takes action, and has an ulterior 

motive to do so. 

The man of superior humanity takes action, but has no 


The man of superior righteousness takes action, and has an 


The man of superior propriety 79 takes action, 

And when people do not respond to it, he will stretch his 

arms and force it on them. 

Therefore, only when Tao is lost does the doctrine of virtue 

arise. 

When virtue is lost, only then does the doctrine of humanity 

arise. 

When humanity is lost, only then does the doctrine of righteousness 

arise. 

When righteousness is lost, only then does the doctrine of 

propriety arise. 

Now, propriety is a superficial expression of loyalty and 

faithfulness, and the beginning of disorder. 

Those who are the first to know have the flowers (appearance) 

of Tao but are the beginning of ignorance. 

For this reason the great man dwells in the thick (substantial), 

and does not rest with the thin (superficial). 

He dwells in the fruit (reality), and does not rest with the 

flower (appearance). 

Therefore he rejects the one, and accepts the other. 

79 In a narrow sense, li means rites, ritual, ceremonies, etc., but in a broad 

sense it means rules of behavior or principles of conduct. 

158


Comment. Wang Pi, who wrote the best and most philosophical 

commentary on the Lao Tzu, wrote the longest of his comments 

on this chapter. 80 It is in this commentary that the important 

Chinese concepts of t'i-yung (substance and function) first appeared. 

Han Fei Tzu, the first commentator on the Lao Tzu, 81 

wrote one of his longest and best comments on this chapter also. 

39. Of old those that obtained the One: 

Heaven obtained the One and became clear. 

Earth obtained the One and became tranquil. 

The spiritual beings obtained the One and became divine. 

The valley obtained the One and became full. 

The myriad things obtained the One and lived and grew. 

Kings and barons obtained the One and became rulers 82 

of the empire. 

What made them so is the One. 83 

If heaven had not thus become clear, 

It would soon crack. 

If the earth had not thus become tranquil, 

It would soon be shaken. 

If the spiritual beings had not thus become divine, 

They would soon wither away. 

If the valley had not thus become full, 

It would soon become exhausted. 

If the myriad things had not thus lived and grown, 

They would soon become extinct. 

If kings and barons had not thus become honorable and high 

in position, 

They would soon fall. 

Therefore humble station is the basis of honor. 

The low is the foundation of the high. 

For this reason kings and barons call themselves the orphaned, 

the lonely ones, the unworthy. 

Is this not regarding humble station as the basis of honor? 

Is it not? 


81 For his elaboration on the concept of Tao, see below, ch. 12, sec. 2. 

82 The word cheng, ordinarily meaning upright or firm, here denotes a ruler. 

83 Both the Wang Pi and Ho-shang Kung texts do not have the word "One" but 

most others have. 

159


Therefore enumerate all the parts of a chariot as you may, 

and you still have no chariot. 84 

Rather than jingle like the jade, 

Rumble like the rocks. 

40. Reversion is the action of Tao. 

Weakness is the function of Tao. 

All things in the world come from being. 

And being comes from non-being. 

41. When the highest type of men hear Tao, 

They diligently practice it. 

When the average type of men hear Tao, 

They half believe in it. 

When the lowest type of men hear Tao, 

They laugh heartily at it. 

If they did not laugh at it, it would not be Tao. 

Therefore there is the established saying: 

The Tao which is bright appears to be dark. 

The Tao which goes forward appears to fall backward. 

The Tao which is level appears uneven. 

Great virtue appears like a valley (hollow). 

Great purity appears like disgrace. 

Far-reaching virtue appears as if insufficient. 

Solid virtue appears as if unsteady. 

True substance appears to be changeable. 

The great square has no corners. 

The great implement (or talent) is slow to finish (or mature). 

Great music sounds faint. 

Great form has no shape. 

Tao is hidden and nameless. 

Yet it is Tao alone that skillfully provides for all and 

brings them to perfection. 

42. Tao produced the One. 

The One produced the two. 

The two produced the three. 

And the three produced the ten thousand things. 

The ten thousand things carry the yin and embrace the 

yang, 85 and through the blending of the material force 

(ch'i) 86 they achieve harmony. 

84 The Wu Ch'eng text reads "Supreme praise is no praise." This substitution of 

words does not improve the meaning. 

85 Yin is the passive, female cosmic principle or force while yang is the active 

or male principle. 

86 Variously translated as matter, matter-energy, vital force, breath, etc. 

160


People hate to be the orphaned, the lonely ones, and the 

unworthy. 

And yet kings and lords call themselves by these names. 

Therefore it is often the case that things gain by 

losing and lose by gaining. 

What others have taught, I teach also: 

"Violent and fierce people do not die a natural death." 87 

I shall make this the father (basis or starting point) 

of my teaching. 

Comment. It is often understood that the One is the original 

material force or the Great Ultimate, the two are yin and 

yang, the three are their blending with the original material force, 

and the ten thousand things are things carrying yin and embracing 

yang. However, there is no need to be specific. The important 

point is the natural evolution from the simple to the complex 

without any act of creation. This theory is common to practically 

all Chinese philosophical schools. 88 

43. The softest things in the world overcome the hardest 

things in the world. 

Non-being penetrates that in which there is no space. 

Through this I know the advantage of taking no action. 

Few in the world can understand teaching without words 

and the advantage of taking no action. 

44. Which does one love more, fame or one's own life? 

Which is more valuable, one's own life or wealth? 

Which is worse, gain or loss? 

Therefore he who has lavish desires will spend extravagantly. 

He who hoards most will lose heavily. 

He who is contented suffers no disgrace. 

He who knows when to stop is free from danger. 

Therefore he can long endure. 

45. What is most perfect seems to be incomplete; 

But its utility is unimpaired. 

What is most full seems to be empty; 

But its usefulness is inexhaustible. 

What is most straight seems to be crooked. 

The greatest skills seems to be clumsy. 

The greatest eloquence seems to stutter. 

87 An ancient saying. 

88 See below, ch. 17, sec. 3 and ch. 28, sec. 1. 

161


Hasty movement overcomes cold, 

(But) tranquillity overcomes heat. 

By being greatly tranquil, 

One is qualified to be the ruler of the world. 

46. When Tao prevails in the world, galloping horses are turned 

back to fertilize (the fields with their dung). 

When Tao does not prevail in the world, war horses 

thrive in the suburbs. 

There is no calamity greater than lavish desires. 89 

There is no greater guilt than discontentment. 

And there is no greater disaster than greed. 

He who is contented with contentment is always contented. 

47. One may know the world without going out of doors. 

One may see the Way of Heaven without looking through 

the windows. 

The further one goes, the less one knows. 

Therefore the sage knows without going about, 

Understands 90 without seeing, 

And accomplishes without any action. 

48. The pursuit of learning is to increase day after day. 

The pursuit of Tao is to decrease day after day. 

It is to decrease and further decrease until one reaches the 

point of taking no action. 

No action is undertaken, and yet nothing is left undone. 

An empire is often brought to order by having no activity 

(laissez-faire). 

If one (likes to) 91 undertake activity, he is not qualified to 

govern the empire. 

49. The sage has no fixed (personal) ideas. 

He regards the people's ideas as his own. 

I treat those who are good with goodness, 

And I also treat those who are not good with goodness. 

Thus goodness is attained. 92 

I am honest to those who are honest, 

89 This sentence does not appear in the Wang Pi text but appears in numerous 

texts, including the Ho-shang Kung and Fu I texts. 

90 The word ming ordinarily means "name" but is interchangeable with ming 

meaning to understand. 

91 This interpretation follows Ho-shang Kung's commentary. 

92 Read te (to attain) instead of te (virtue), according to the Fu I text. Actually 

in ancient times the two words were interchangeable. 

162


And I am also honest to those who are not honest. 

Thus honesty is attained. 

The sage, in the government of his empire, has no subjective 

viewpoint. 93 

His mind forms a harmonious whole with that of his people. 

They all lend their eyes and ears, 94 and he treats them all 

as infants. 

50. Man comes into life and goes out to death. 

Three out of ten are companions of life. 

Three out of ten are companions of death. 

And three out of ten in their lives lead from activity to 

death. 95 

And for what reason? 

Because of man's intensive striving after life. 

I have heard that one who is a good preserver of his life will 

not meet tigers or wild buffalos, 

And in fighting will not try to escape from weapons of war. 

The wild buffalo cannot butt its horns against him, 

The tiger cannot fasten its claws in him, 

And weapons of war cannot thrust their blades into him. 

And for what reason? 

Because in him there is no room for death. 

51. Tao produces them (the ten thousand things). 

Virtue fosters them. 

Matter gives them physical form. 

The circumstances and tendencies complete them. 

Therefore the ten thousand things esteem Tao and honor 

virtue. 

Tao is esteemed and virtue is honored without anyone's order. 

They always come spontaneously. 

Therefore Tao produces them and virtue fosters them. 

They rear them and develop them. 

They give them security and give them peace. 

They nurture them and protect them. 

(Tao) produces them but does not take possession of them. 

It acts, but does not rely on its own ability. 

93 This is Wang Pi's interpretation. 

94 The Wang Pi text does not have these words but the Fu I text does. 

95 Han Fei Tzu understood "ten-three" not as three out of ten but thirteen and 

identified the four limbs and the nine external cavities as factors that sustain 

life, lead to death, or lead through activity to death. Few commentators follow 

him. See Han Fei Tzu, ch. 20, SPTK, 6:8a, or Liao, trans., Han Fei Tzu, vol. 1, 

p. 196. 

163


It leads them but does not master them. 

This is called profound and secret virtue. 96 

52. There was a beginning of the universe 

Which may be called the Mother of the Universe. 

He who has found the mother (Tao) 97 

And thereby understands her sons (things) 

And having understood the sons, 

Still keeps to its mother, 

Will be free from danger throughout his lifetime. 

Close the mouth. 

Shut the doors (of cunning and desire). 98 

And to the end of life there will be (peace) without toil. 

Open the mouth. 

Meddle with affairs, 

And to the end of life there will be no salvation. 

Seeing what is small is called enlightenment. 

Keeping to weakness is called strength. 

Use the light. 

Revert to enlightenment, 

And thereby avoid danger to one's life— 

This is called practicing the eternal. 

53. If I had but little" knowledge 

I should, in walking on a broad way, 

Fear getting off the road. 

Broad ways are extremely even, 

But people are fond of by-paths. 

The courts are exceedingly splendid, 

While the fields are exceedingly weedy, 

And the granaries are exceedingly empty. 

Elegant clothes are worn, 

Sharp weapons are carried, 

Foods and drinks are enjoyed beyond limit, 

And wealth and treasures are accumulated in excess. 

96 These last four sentences appear in Lao Tzu, ch. 10, where the subject is 

the sage rather than Tao. The first two of these four sentences also appear in ch. 2. 

The third is repeated in ch. 77. 

97 According to the earliest commentary on the Lao Tzu, Han Fei Tzu, ch. 20, 

SPTK, 6:5a (Liao, p. 183), "mother" means Tao. 

98 These two lines are also found in Lao Tzu, ch. 56. 

99 Ho-shang Kung understood chieh-jan as great, but in Lieh Tzu, ch. 7, it means 

small. See Yang Po-chün, Lieh Tzu chi-shih (Collected Explanations of the Lieh 

Tzu), 1958, p. 138. 

164


This is robbery and extravagance. 

This is indeed not Tao (the way). 100 

54. He who is well established (in Tao) cannot be pulled away. 

He who has a firm grasp (of Tao) cannot be separated 

from it. 

Thus from generation to generation his ancestral sacrifice 

will never be suspended. 

When one cultivates virtue in his person, it becomes genuine 

virtue. 

When one cultivates virtue in his family, it becomes overflowing 

virtue. 

When one cultivates virtue in his community, it becomes 

lasting virtue. 

When one cultivates virtue in his country, it becomes 

abundant virtue. 

When one cultivates virtue in the world, it becomes universal. 

Therefore the person should be viewed as a person. 

The family should be viewed as a family. 

The community should be viewed as a community. 

The country should be viewed as a country. 

And the world should be viewed as the world. 101 

How do I know this to be the case in the world? 

Through this (from the cultivation of virtue in the person 

to that in the world). 

55. He who possesses virtue in abundance 

May be compared to an infant. 

Poisonous insects will not sting him. 

Fierce beasts will not seize him. 

Birds of prey will not strike him. 

His bones are weak, his sinews tender, but his grasp is firm. 

He does not yet know the union of male and female, 

But his organ is aroused. 

This means that his essence is at its height. 

He may cry all day without becoming hoarse, 

This means that his (natural) harmony is perfect. 

100 Using the term tao both as an abstract noun and a concrete noun. 

101 The Chinese merely reads: From person see person, etc. Wang Pi says "The 

Tao in the person may be seen from the person's own state of mind," etc. Hoshang 

Kung says "From the person who cultivates the Tao, the person who does 

not cultivate Tao may be seen," etc. Wei Yuan (1794-1856), Lao Tzu pen-i 

(Original Meanings of the Lao Tzu), says, "By one's own person, other persons 

may be seen," etc. 

165


To know harmony means to be in accord with the eternal. 

To be in accord with the eternal means to be enlightened. 

To force the growth of life means ill omen. 

For the mind to employ the vital force without restraint 

means violence. 

After things reach their prime, they begin to grow old, 

Which means being contrary to Tao. 

Whatever is contrary to Tao will soon perish. 102 

56. He who knows does not speak. 

He who speaks does not know. 

Close the mouth. 

Shut the doors (of cunning and desires). 103 

Blunt the sharpness. 

Untie the tangles. 

Soften the light. 

Become one with the dusty world. 104 

This is called profound identification. 

Therefore it is impossible either to be intimate and close to 

him or to be distant and indifferent to him. 

It is impossible either to benefit him or to harm him, 

It is impossible either to honor him or to disgrace him. 

For this reason he is honored by the world. 

57. Govern the state with correctness. 

Operate the army with surprise tactics. 

Administer the empire by engaging in no activity. 

How do I know that this should be so? 

Through this: 

The more taboos and prohibitions there are in the world, 

The poorer the people will be. 

The more sharp weapons the people have, 

The more troubled the state will be. 

The more cunning and skill man possesses, 

The more vicious things will appear. 

The more laws and orders are made prominent, 

The more thieves and robbers there will be. 

102 These two sentences are also found in Lao Tzu, ch. 30. Ma Hsü-lun thinks 

they are misplaced here. But repetition does not necessarily mean misplacement. 

Since in ancient times books consisted of bamboo or wooden slabs containing 

some twenty characters each, it was not easy for these sentences of twelve words 

to be added by mistake. The Lao Tzu is not a systematic treatise. Repetitions 

are found in more than one place. 


104 These last four sentences also appear in ch. 4. 

166


Therefore the sage says: 

I take no action and the people of themselves are 

transformed. 

I love tranquillity and the people of themselves become 

correct. 

I engage in no activity and the people of themselves 

become prosperous. 

I have no desires and the people of themselves become 

simple. 

Comment. Laissez-faire government. Even Confucius shared this 

ideal. 105 

58. When the government is non-discriminative and dull, 

The people are contented and generous. 

When the government is searching and discriminative, 

The people are disappointed and contentious. 

Calamity is that upon which happiness depends; 

Happiness is that in which calamity is latent. 

Who knows when the limit will be reached? 

Is there no correctness (used to govern the world?) 

Then the correct again becomes the perverse 

And the good will again become evil. 106 

The people have been deluded for a long time. 

Therefore the sage is as pointed as a square but does not 

pierce. 

He is as acute as a knife but does not cut. 

He is as straight as an unbent line but does not extend. 

He is as bright as light but does not dazzle. 

59. To rule people and to serve Heaven there is nothing better 

than to be frugal. 

Only by being frugal can one recover quickly. 

To recover quickly means to accumulate virtue heavily. 

By the heavy accumulation of virtue one can overcome 

everything. 

If one can overcome everything, then he will acquire a 

capacity the limit of which is beyond anyone's knowledge. 

When his capacity is beyond anyone's knowledge, he is fit 

to rule a state. 

He who possesses the Mother (Tao) 107 of the state will last 

long. 


107 

See above, n.97. 

167 

106 These three lines are very obscure.


This means that the roots are deep and the stalks are firm, 

which is the way of long life and everlasting existence. 108 

60. Ruling a big country is like cooking a small fish. 109 

If Tao is employed to rule the empire, 

Spiritual beings will lose their supernatural power. 

Not that they lose their spiritual power, 

But their spiritual power can no longer harm people. 

Not only will their supernatural power not harm people, 

But the sage also will not harm people. 

When both do not harm each other, 

Virtue will be accumulated in both for the benefit [of the 

people]. 110 

61. A big country may be compared to the lower part of a river. 

It is the converging point of the world; 

It is the female of the world. 

The female always overcomes the male by tranquillity, 

And by tranquillity she is underneath. 

A big state can take over a small state if it places itself below 

the small state; 

And the small state can take over a big state if it places itself 

below the big state. 

Thus some, by placing themselves below, take over (others), 

And some, by being (naturally) low, take over (other 

states). 

After all, what a big state wants is but to annex and herd 

others, 

And what a small state wants is merely to join and serve 

others. 

Since both big and small states get what they want, 

The big state should place itself low. 

62. Tao is the storehouse 111 of all things. 

It is the good man's treasure and the bad man's refuge. 

Fine words can buy honor, 

And fine deeds can gain respect from others. 112 

108 

Meaning everlasting existence. 

109 

Too much handling will spoil it. 

110 

This interpretation follows Han Fei Tzu, ch. 20, SPTK, 6:6a; see Liao, p. 

187. 

111 Literally the southwestern corner of the house, where treasures were stored. 

112 

The punctuation and interpretation of this sentence follow Wei Yüan, who 

has the authority of Huai-nan Tzu, chs. 12 and 18, SPPY, 12:11b and 18:9a, as 

well as the Fu I text. The sentence is missing from Morgan's translation, Tao. The 

Great Luminant, p. 123. 

168


Even if a man is bad, when has (Tao) rejected him? 

Therefore on the occasion of crowning an emperor or 

installing the three ministers, 113 

Rather than present large pieces of jade preceded by teams 

of four horses, 

It is better to kneel and offer this Tao. 

Why did the ancients highly value this Tao? 

Did they not say, "Those who seek shall have it and those 

who sin shall be freed"? 

For this reason it is valued by the world. 

63. Act without action. 

Do without ado. 

Taste without tasting. 

Whether it is big or small, many or few, 114 repay hatred with 

virtue. 

Prepare for the difficult while it is still easy. 

Deal with the big while it is still small. 

Difficult undertakings have always started with what is easy, 

And great undertakings have always started with what is 

small. 

Therefore the sage never strives for the great, 

And thereby the great is achieved. 115 

He who makes rash promises surely lacks faith. 

He who takes things too easily will surely encounter 

much difficulty. 

For this reason even the sage regards things as difficult, 

And therefore he encounters no difficulty. 

Comment. The Taoist doctrine of walking the second mile, 116 which 

was unacceptable to Confucius. 117 

64. What remains still is easy to hold. 

What is not yet manifest is easy to plan for. 

What is brittle is easy to crack. 

What is minute is easy to scatter. 

Deal with things before they appear. 

Put things in order before disorder arises. 

A tree as big as a man's embrace grows from a tiny shoot. 

113 Grand tutor, grand preceptor, and grand protector. 

114 The text reads "big small, many few" and can therefore be open to many 

interpretations. 

115 Repeats the sentence in Lao Tzu, ch. 34. 

116 Also taught in ch. 49. 117 See Analects, 14:36. 

169


A tower of nine storeys begins with a heap of earth. 

The journey of a thousand li 118 starts from where one stands. 

He who takes an action fails. 

He who grasps things loses them. 

For this reason the sage takes no action and therefore does 

not fail. 

He grasps nothing and therefore he does not lose anything. 

People in their handling of affairs often fail when they are 

about to succeed. 

If one remains as careful at the end as he was at the 

beginning, there will be no failure. 

Therefore the sage desires to have no desire. 119 

He does not value rare treasures. 120 

He learns to be unlearned, 121 and returns to what the 

multitude has missed (Tao). 

Thus he supports all things in their natural state but does not 

take any action. 

65. In ancient times those who practiced Tao well 

Did not seek to enlighten the people, but to make them 

ignorant. 

People are difficult to govern because they have too much 

knowledge. 

Therefore he who rules the state through knowledge is a 

robber of the state; 

He who rules a state not through knowledge is a blessing to 

the state. 

One who knows these two things also (knows) the standard. 

Always to know the standard is called profound and secret 

virtue. 

Virtue becomes deep and far-reaching, 

And with it all things return to their original natural state. 

Then complete harmony will be reached. 

66. The great rivers and seas are kings of all mountain streams 

Because they skillfully stay below them. 

That is why they can be their kings. 

118 A li is about one-third of a mile. 

119 Ho-shang Kung interpreted "desire not desire" to mean that the sage desires 

what the multitude does not desire. 

120 This sentence repeats the one in Lao Tzu, ch. 3. 

121 "Learn not learn": Wang Pi understood the expression to mean that the sage 

learns without learning, and Ho-shang Kung interpreted it to mean that the sage 

learns what the multitude cannot learn. 

170


Therefore, in order to be the superior of the people, 

One must, in the use of words, place himself below them. 

And in order to be ahead of the people, 

One must, in one's own person, follow them. 

Therefore the sage places himself above the people and they 

do not feel his weight. 

He places himself in front of them and the people do not 

harm him. 

Therefore the world rejoices in praising him without getting 

tired of it. 

It is precisely because he does not compete that the world 

cannot compete with him. 122 

67. All the world says that my Tao is great 123 and does not seem 

to resemble (the ordinary). 124 

It is precisely because it is great that it does not resemble 

(the ordinary). 

If it did resemble, it would have been small for a long time. 

I have three treasures. Guard and keep them: 

The first is deep love, 

The second is frugality, 

And the third is not to dare to be ahead of the world. 

Because of deep love, one is courageous. 

Because of frugality, one is generous. 

Because of not daring to be ahead of the world, one becomes 

the leader of the world. 

Now, to be courageous by forsaking deep love, 

To be generous by forsaking frugality, 

And to be ahead of the world by forsaking following 

behind— 

This is fatal. 

For deep love helps one to win in the case of attack, 

And to be firm in the case of defense. 

When Heaven is to save a person, 

Heaven will protect him through deep love. 

68. A skillful leader of troops is not oppressive with his military 

strength. 125 

122 Repeating Lao Tzu, ch. 22. 

123 The second sentence clearly shows that the first should not be punctuated 

after the word "great" and it should not be translated as "greatly," as is done in 

some translations. 

124 The term pu-hsiao is open to many possible interpretations: unworthy, seems 

to be like folly, indescribable, cannot be distinguished, etc. 

125 The interpretation of this sentence follows Wang Pi. 

171


A skillful fighter does not become angry. 

A skillful conqueror does not compete with people. 

One who is skillful in using men puts himself below them. 

This is called the virtue of not-competing. 

This is called the strength to use men. 

This is called matching Heaven, the highest principle of 

old. 126 

69. The strategists say: 

"I dare not take the offensive but I take the defensive; 

I dare not advance an inch but I retreat a foot." 

This means: 

To march without formation, 

To stretch one's arm without showing it, 

To confront enemies without seeming to meet them, 

To hold weapons without seeming to have them. 

There is no greater disaster than to make light of the enemy. 

Making light of the enemy will destroy my treasures. 127 

Therefore when armies are mobilized and issues joined, 

The man who is sorry 128 over the fact will win. 

70. My doctrines are very easy to understand and very easy to 

practice, 

But none in the world can understand or practice them. 

My doctrines have a source (Nature); my deeds have a 

master (Tao). 

It is because people do not understand this that they do not 

understand me. 

Few people know me, and therefore I am highly valued. 

Therefore the sage wears a coarse cloth on top and carries 

jade within his bosom. 

71. To know that you do not know is the best. 129 

To pretend to know when you do not know is a disease. 

Only when one recognizes this disease as a disease can one be 

free from the disease. 

The sage is free from the disease. 

Because he recognizes this disease to be disease, he is free 

from it. 

126 Most commentators agree that "of old" here is spurious. 

127 We are not sure if the treasures referred to are those in Lao Tzu, ch. 67. 

According to Ho-shang Kung, the latter part does not mean "will destroy my 

treasures" but "will destroy my body right here." 

128 To Wang Pi, ai here does not mean sorrow but kindness. 

129 Ho-shang Kung's interpretation: To know Tao and say you do not know is 

the best. 

172


Comment. Note the similarity with the Confucian teaching: say 

that you know when you do know and say that you do not know 

when you do not know. 130 

72. When the people do not fear of what is dreadful, 131 

Then what is greatly dreadful will descend on them. 

Do not reduce the living space of their dwellings. 

Do not oppress their lives. 

It is because you do not oppress them that they are not 

oppressed. 

Therefore the sage knows himself but does not show himself. 

He loves himself but does not exalt himself. 

Therefore he rejects the one but accepts the other. 

73. He who is brave in daring will be killed. 

He who is brave in not daring will live. 

Of these two, one is advantageous and one is harmful. 

Who knows why Heaven dislikes what it dislikes? 

Even the sage considers it a difficult question. 

The Way of Heaven does not compete, and yet it skillfully 

achieves victory. 

It does not speak, and yet it skillfully responds to things. 

It comes to you without your invitation. 

It is not anxious about things and yet it plans well. 

Heaven's net is indeed vast. 

Though its meshes are wide, it misses nothing. 

Comment. The analogy of Heaven's net has strongly strengthened 

the Chinese belief in retribution and formed the basis of popular 

Taoist religious treatises such as the T'ai-shang kan-ying p'ien 

(Tract of Influence and Responses of the Most Exalted One). 

74. The people are not afraid of death. 

Why, then, threaten them with death? 

Suppose the people are always afraid of death and we can 

seize those who are vicious and kill them, 

Who would dare to do so? 

There is always the master executioner (Heaven) who kills. 

To undertake executions for the master executioner is like 

hewing wood for the master carpenter. 

Whoever undertakes to hew wood for the master carpenter 

rarely escapes injuring his own hands. 


131 According to Chiao Hung, wei, ordinarily meaning power, here means to be 

dreadful. According to Ho-shang Kung, however, it means what is harmful. 

173


75. The people starve because the ruler eats too much tax-grain. 

Therefore they starve. 

They are difficult to rule because their ruler does too many 

things. 

Therefore they are difficult to rule. 

The people take death lightly because their ruler strives for 

life too vigorously. 

Therefore they take death lightly. 

It is only those who do not seek after life that excel in making 

life valuable. 

76. When man is born, he is tender and weak. 

At death, he is stiff and hard. 

All things, the grass as well as trees, are tender and supple 

while alive. 

When dead, they are withered and dried. 

Therefore the stiff and the hard are companions of death. 

The tender and the weak are companions of life. 

Therefore if the army is strong, it will not win. 

If a tree is stiff, it will break. 

The strong and the great are inferior, while the tender and 

the weak are superior. 

77. Heaven's Way is indeed like the bending of a bow. 

When (the string) is high, bring it down. 

When it is low, raise it up. 

When it is excessive, reduce it. 

When it is insufficient, supplement it. 

The Way of Heaven reduces whatever is excessive and 

supplements whatever is insufficient. 

The way of man is different. 

It reduces the insufficient to offer to the excessive. 

Who is able to have excess to offer to the world? 

Only the man of Tao. 

Therefore the sage acts, but does not rely on his own ability. 132 

He accomplishes his task, but does not claim credit for it. 133 

He has no desire to display his excellence. 

78. There is nothing softer and weaker than water, 

And yet there is nothing better for attacking hard and 

strong things. 

For this reason there is no substitute for it. 

132 This sentence is found also in Lao Tzu, chs. 2, 10, 51. 

133 Repeating the sentence in ch. 2 with the variation of one word. 

174


All the world knows that the weak overcomes the strong and 

the soft overcomes the hard. 

But none can practice it. 

Therefore the sage says: 

He who suffers disgrace for his country 

Is called the lord of the land. 

He who takes upon himself the country's misfortunes 

Becomes the king of the empire. 

Straight words seem to be their opposite. 

79. To patch up great hatred is surely to leave some hatred 

behind. 

How can this be regarded as good? 

Therefore the sage keeps the left-hand portion (obligation) 

of a contract 

And does not blame the other party. 

Virtuous people attend to their left-hand portions, 

While those without virtue attend to other people's mistakes. 

"The Way of Heaven has no favorites. 

It is always with the good man." 134 

80. Let there be a small country with few people. 

Let there be ten times and a hundred times 135 as many 

utensils 

But let them not be used. 

Let the people value their lives highly and not migrate far. 

Even if there are ships and carriages, none will ride in them. 

Even if there are armor and weapons, none will display 

them. 

Let the people again knot cords and use them (in place of 

writing). 

Let them relish their food, beautify their clothing, be content 

with their homes, and delight in their customs. 

Though neighboring communities overlook one another 

and the crowing of cocks and barking of dogs can be heard, 

Yet the people there may grow old and die without ever 

visiting one another. 

81. True words are not beautiful; 

Beautiful words are not true. 

134 A common ancient proverb. 

135 According to Yu Yüeh (1821-1906) Chu-tzu p'ing-i (Textual Critique of 

the Various Philosophers), ch. 8, 1898 ed., 8:22 a-b, shih-po (ten, hundred) also 

means military weapons. 

175


A good man does not argue; 

He who argues is not a good man. 

A wise man has no extensive knowledge; 

He who has extensive knowledge is not a wise man. 

The sage does not accumulate for himself. 

The more he uses for others, the more he has himself. 

The more he gives to others, the more he possesses of 

his own. 

The Way of Heaven is to benefit others and not to injure. 

The Way of the sage is to act but not to compete. 

176

... 8 ... 

THE MYSTICAL WAY OF CHUANG TZU 

CHUANG TZU (bet. 399 and 295 B.C.) has always fascinated the 

Chinese mind. He takes his readers to undreamed of lands and stimulates 

them through conversations of the shadow, the skeleton, and the north 

wind. His freshness of insight and broadness of vision are in themselves 

inspiring. He seems to transcend the mundane world, yet he is always 

in the very depth of daily life. He is quietistic, yet for him life moves on 

like a galloping horse. He is mystical, but at the same time he follows 

reason as the leading light. 

All this is a direct product of his concept of Nature. To him, Nature 

is not only spontaneity but nature in the state of constant flux and incessant 

transformation. This is the universal process that binds all things 

into one, equalizing all things and all opinions. The pure man makes 

this oneness his eternal abode, in which he becomes a "companion" of 

Nature and does not attempt to interfere with it by imposing the way of 

man on it. His goal is absolute spiritual emancipation and peace, to be 

achieved through knowing the capacity and limitations of one's own 

nature, nourishing it, and adapting it to the universal process of transformation. 

He abandons selfishness of all descriptions, be it fame, wealth, 

bias, or subjectivity. Having attained enlightenment through the light 

of Nature, he moves in the realm of "great knowledge" and "profound 

virtue." Thus he is free. As the Chuang Tzu itself says of him, "Alone 

he associates with Heaven and Earth and spirit, without abandoning or 

despising things of the world. He does not quarrel over right or wrong 

and mingles with conventional society. . . . Above, he roams with the 

Creator, and below he makes friends with those who transcend life and 

death and beginning and end. In regard to the essential, he is broad and 

comprehensive, profound and unrestrained. In regard to the fundamental, 

he may be said to have harmonized all things and penetrated the highest 

level. However, in his response to change and his understanding of 

things, his principle is inexhaustible, traceless, dark and obscure, and 

unfathomable." 1 

It is interesting to note that the above account is separate from that 

on Lao Tzu. 2 Although it has been customary to speak of Lao Tzu and 

Chuang Tzu together as Lao-Chuang, actually the practice did not begin 

1 

Ch. 33, NHCC, 10:37a-38a. Cf. Giles, trans., Chuang Tzu, 1961 ed., pp. 

318-321. 

2 

See above, ch. 7, n.5. 

177


until the fifth century. 3 Clearly, just as Mencius did not merely elaborate 

on Confucius' doctrines but presented something new, so Chuang Tzu 

definitely advanced beyond Lao Tzu. The Tao in Lao Tzu is still worldly, 

whereas in Chuang Tzu it becomes transcendental. While Lao Tzu emphasizes 

the difference between glory and disgrace, strength and weakness, 

and so forth, and advocates the tender values, Chuang Tzu identifies 

them all. Lao Tzu aims at reform, but Chuang Tzu prefers to "travel 

beyond the mundane world." His concept of te as Tao individualized in 

the nature of things is much more developed and more clearly stated. 

There is in him a greater stress on following one's nature, nourishing it, 

and adapting it to environment. Thus there is a stronger emphasis on 

the individual, which eventually led to the over-all importance of particular 

nature in particular things in Neo-Taoism, especially in his first, 

and still the best commentator, Kuo Hsiang (d. 312). Furthermore, the 

idea of self-tranformation takes on a central focus in Chuang Tzu, which 

presents life and reality as dynamic and ever-changing, thus making a 

comparison with him and Heraclitus or Hegel stimulating as well as 

instructive. To regard transformation as the final abode of life is certainly 

a new note in Chinese philosophy. 

In Chuang Tzu, too, differences between Confucianism and Taoism 

become much sharper. The Confucianists teach full development of one's 

nature, fulfillment of one's destiny, and participation in the creative work 

of Nature. Chuang Tzu, on the other hand, believes in nourishing nature, 

returning to destiny, and enjoying Nature. The Confucianists want people 

transformed through education, but Chuang Tzu leaves transformation to 

things themselves. These differences from Confucianism of course make 

Chuang Tzu all the more Taoistic. It is not wrong, after all, to link Lao 

Tzu and Chuang Tzu together, although it must be borne in mind that 

he certainly carried Taoism to new heights. 

By and large Confucianists have been critical of Chuang Tzu. Hsün 

Tzu (fl. 298-238 B.C.) said that he was "prejudiced in favor of Nature 

and does not know man." 4 Ssu-ma Ch'ien (145-86 B.C.?), the famous 

historian and the first biographer of Chuang Tzu, characterized his work 

as "empty talk not based on facts . . . primarily aimed at pleasing himself 

and useless to rulers of men." 5 And Chu Hsi (1130-1200), the 

leading Neo-Confucianist, complained, "Lao Tzu still wanted to do 

something, but Chuang Tzu did not want to do anything at all. He even 

said that he knew what to do but just did not want to do it." 6 As a matter 

3 In the Hou-Han shu (History of the Later Han Dynasty, 25-220), by Fan 

Yeh (398-445), ch. 90, pt. 1, PNP, 90A: 1a. 

4 Hsün Tzu, ch. 21, SPTK, 15:5b. Cf. Dubs, trans., Works of Hsüntze, p. 264. 

5 Shih chi (Records of the Historian), PNP, 63:5a. 

6 Chu Tzu yü-lei (Classified Conversations of Chu Hsi), 1880 ed., 125:4a. 

178


of fact, he was so much rejected by Chinese thinkers that since the fifth 

century, his doctrines have never been propagated by any outstanding 

scholar. 

This does not mean that he has not been influential, however. On the 

contrary, his impact on Buddhism has been tremendous, especially in 

the development of the Zen School. He has been a main source of inspiration 

in Chinese landscape painting and poetry. As part of Taoism, 

his philosophy helped to transform ancient and medieval Confucianism 

into Neo-Confucianism, which is Chu Hsi's own philosophy. His revolt 

against traditionalism and conventional standards, his poetic mysticism, 

his subtle individualism, his insight into human nature, his profound 

interest in how to live and how to respond to all things, and his broad 

view of things remained inexhaustible sources of inspiration for the 

Chinese. 

We don't know much about him, except that according to Ssu-ma 

Ch'ien's account his personal name was Chou, he was once a small 

official, and he declined an offer to become a prime minister in order to 

retain his freedom. His dates are uncertain, probably between 399 and 

295 B.C. He and Mencius were contemporaries, but evidently neither 

was aware of the other, in all likelihood because of geographical separation. 

The following selections include chapters 2 and 6 in full from the 

Chuang Tzu. The former reveals his philosophy, the latter his way of 

life. 

THE CHUANG TZU 7 

A. The Equality of Things (ch. 2) 

Tzu-chi of Nan-kuo sat leaning on a low table. Looking up to heaven, 

he sighed and seemed to be at a loss as if his spirit had left him. Yen 

Ch'eng Tzu-yu (his pupil), who was standing in attendance in front of 

him, said, "What is the matter? The body may be allowed to be like dry 

wood but should the mind be allowed to be like dead ashes? Surely the 

man leaning on the table now is not the same man leaning on the table 

before." 

Comment. The Chuang Tzu is a rich reservoir of imageries. The 

dry wood and dead ashes have become common idioms in Chinese 

7 The Chuang Tzu, also called the Nan-hua chen-ching (Pure Classic of Nanhua, 

the meaning of the term "nan-hua" being unknown), is in 33 chapters. Most 

scholars accept the first seven, the so-called "inner chapters," as Chuang Tzu's 

own works, the other fifteen "outer" chapters and the eleven "miscellaneous" 

chapters as works by his pupils or other people later, although some passages may 

well be from Chuang Tzu's own hand. For English translations, see Bibliography. 

179


literature and philosophy. They represent the persistent questions 

whether man is a spirit and whether the mind is alert. 

"Aren't you asking a good question!" Tzu-chi replied. "Do you know 

that I have just lost myself ? You have heard the music of man but not 

the music of earth. You may have heard the music of the earth but not 

the music of heaven." 

"I beg to ask about its composition," said Tzu-yu. 

"The breath of the universe is called wind," said Tzu-chi. "At times 

it is inactive. But when active, angry sounds come from thousands of 

hollows. Have you never listened to its prolonged roar? The peaks and 

heights 8 of mountains and forests, and the hollows and cavities of huge 

trees many a span in girth are like nostrils, mouths, ears, beam-sockets, 

goblets, mortars, puddles, and pools. [The wind rashes into them,] rushing, 

whizzing, making an explosive and rough noise, or a withdrawing 

and soft one, shouting, wailing, moaning, and crying, The wind that 

comes ahead sings 'yü' and the wind that follows echoes 'yung.' When 

the winds are gentle, the harmony is small, and when the winds are 

violent, the harmonies are great. When the fierce gusts stop, all hollows 

become empty and silent. Have you never witnessed how the trees 

swing and bend [after the wind is gone]?" 

Tzu-yu said, "Since the music of earth consists of sounds produced in 

the various hollows, and the music of man consists of sounds produced 

in a series of flutes, what is the music of heaven?" 

"The wind blows in a thousand different ways," replied Tzu-chi, "but 

the sounds are all produced in their own way. They do so by themselves. 

Who is there to rouse them to action?" 

Great knowledge is leisurely and at ease, 9 (or all-embracing and extensive) 

10 whereas small knowledge is inquisitive (or partial and discriminative). 

11 Great speech is simple (as in simple taste) whereas small 

speech is full of details. Whether in sleep when the various elements of 

the spirit are interlocked in dreams, or when awake when the body is 

free to move and act, in all their contacts and associations, some of our 

minds are leisurely, some are deep, and some are serious. We scheme 

and fight with our minds. When we have small fears we are worried, and 

when we have great fears we are totally at a loss. One's mind shoots 

8 The reading here follows the commentary by Wang Hsien-ch'ien (1842-1917), 

Chuang Tzu chi-chieh (Collected Commentaries on the Chuang Tzu). 

9 This is the interpretation of Lu Ch'ang-keng (fl. 1566), Nan-hua chen-ching 

fu-mo (Commentary on the Chuang Tzu). 

10 According to Chang Ping-lin (Chang T'ai-yen, 1868-1936), Ch'i-wu lun shih 

(Explanations of "The Equality of Things"), the interpretation is: all embracing 

and extensive, 

11 Chang's interpretation. 

180


forth like an arrow to be the arbiter of right and wrong. Now it is reserved 

like a solemn pledge, in order to maintain its own advantage. 

Then, like the destruction of autumn and winter, it declines every day. 

Then it is sunk in pleasure and cannot be covered. Now it is closed like 

a seal, that is, it is old and exhausted. And finally it is near death and 

cannot be given life again. Pleasure and anger, sorrow and joy, anxiety 

and regret, fickleness and fear, impulsiveness and extravagance, indulgence 

and lewdness come to us like music from the hollows or like 

mushrooms from damp. Day and night they alternate within us but we 

don't know where they come from. Alas! These are with us morning 

and evening. It's here where they are produced! 12 

Without them (the feelings mentioned above) there would not be I. 

And without me who will experience them? They are right near by. But 

we don't know who causes them. It seems there is a True Lord who does 

so, but there is no indication of his existence. 

Comment. This sentence has exerted profound influence on Chinese 

thought and has fortified the long tradition of agnosticism. 

Later Chuang Tzu speaks of the Creator, but as it will be pointed 

out later, that does not mean a God directing the operation of the 

universe. Demiéville thinks that questions in the Chuang Tzu about 

the existence of the Creator are not to deny his existence but, rather, 

a peculiar way to indicate, without a name, the principle which has 

a strongly religious character. 13 The naturalism in Chuang Tzu is 

so strong that Demiéville is right only if by principle he means 

Nature. Any personal God or one that directs the movement of 

things is clearly out of harmony with Chuang Tzu's philosophy. 

There is evidence of activity (of the self?) but we do not see its physical 

form. It has reality but no physical form. 14 The hundred bones, the 

nine external cavities and the six internal organs are all complete in the 

body. Which part shall I love best? Would you say to love them all? But 

there is bound to be some preference. Do they all serve as servants of 

someone else? Since servants cannot govern themselves, do they serve 

as master and servant by turn? Surely there must be a true ruler who 

controls them! 15 

12 Commentators do not agree on what this means. The tendency has been to 

interpret this to mean that the self is the source of these psychological conditions. 

13 "Enigmes taoïstes," Kaizuka Shigeki, ed., Silver Jubilee Volume of Zinbun- 

Kagaku-Kenkyusyo, pp. 54-60. 

14 We are not sure whether these descriptions refer to the emotions, the True 

Lord, or the Way (Tao). In ch. 6 of the Chuang Tzu, NHCC, 3:10a (Giles, trans., 

Chuang Tzu, 1961 ed., p. 76) it says that "Tao has reality and evidence but no 

action or physical form." See Fung, trans., Chuang Tzu, p. 117. 

15 Some commentators turned this into a question. There is no justification for 

181


But whether we discover its reality or not, it does not affect its being 

true. Once it received the bodily form complete, it does not fail to function 

until the end. Whether in conflict or in harmony with things, it always 

pursues its course like a galloping horse which no one can stop. Is 

this not pitiful indeed? To toil all one's life without seeing its success and 

to be wearied and worn out without knowing where to end—is this not 

lamentable? People say there is no death. But what is the use? Not only 

does the physical form disintegrate; the mind also goes with it. Is that 

not very lamentable? Are men living in this world really so ignorant? Or 

am I alone ignorant while others are not? 

If we are to follow what is formed in our mind as a guide, who will 

not have such a guide? Not only those who know the succession [of day 

and night] and choose them by exercising their own minds have them 

(opinions). Stupid people have theirs too. To have opinions as to right 

or wrong before [the feelings] are produced in the mind is as mistaken 

as to say that "one goes to the state of Yüeh today and arrives there 

yesterday." 16 This is to turn what is not into what is. Even Yü 17 with his 

spiritual intelligence cannot know how to turn what is not into what is. 

How can I? 

For speech is not merely the blowing of breath. The speaker has something 

to say, but what he says is not final. Has something been said? Or 

has something not been said? It may be different from the chirping of 

chickens. But is there really any difference? Or is there no difference? 

How can Tao be so obscured that there should be a distinction of true 

and false? How can speech be so obscured that there should be a distinction 

of right and wrong? Where can you go and find Tao not to exist? 

Where can you go and find speech impossible? Tao is obscured by petty 

biases and speech is obscured by flowery expressions. Therefore there 

have arisen the controversies between the Confucianists and the Moists, 

each school regarding as right what the other considers as wrong, and regarding 

as wrong what the other considers as right. But to show that 

what each regards as right is wrong or to show that what each regards 

as wrong is right, there is no better way than to use the light (of Nature). 

There is nothing that is not the "that" and there is nothing that is not 

the "this." Things do not know that they are the "that" of other things; 

they only know what they themselves know. Therefore I say that the 

"that" is produced by the "this" and the "this" is also caused by the 

doing so. But whether this "true ruler" is the True Lord mentioned above or the 

self is not clear. 

16 One of Hui Shih's paradoxical sayings. See below, ch. 10, A, 7. 

17 Founder of Hsia dynasty (2183-1752 B.C.?). 

182


"that." This is the theory of mutual production. 18 Nevertheless, when 

there is life there is death, 19 and when there is death there is life. When 

there is possibility, there is impossibility, and when there is impossibility, 

there is possibility. Because of the right, there is the wrong, and because 

of the wrong, there is the right. Therefore the sage does not proceed 

along these lines (of right and wrong, and so forth) but illuminates the 

matter with Nature. This is the reason. 

The "this" is also the "that." The "that" is also the "this." The "this" 

has one standard of right and wrong, and the "that" also has a standard 

of right and wrong. Is there really a distinction between "that" and 

"this"? Or is there really no distinction between "that" and "this"? When 

"this" and "that" have no opposites, 20 there is the very axis of Tao. Only 

when the axis occupies the center of a circle can things in their infinite 

complexities be responded to. The right is an infinity. The wrong is also 

an infinity. Therefore I say that there is nothing better than to use the 

light (of Nature). 

Comment. Things are not only relative, they are identical, for opposites 

produce each other, imply each other, are identical with 

each other, and are both finite series. In some respects Chuang 

Tzu is surprisingly similar to Hegel and Nagarjuna (c. 100- 

200) . 21 It must be quickly added, however, that both the dialectic 

of Hegel and the relativity of Nagarjuna are much more conceptual 

than Chuang Tzu's synthesis of opposites. 

To take a mark (chih) to show that a mark is not a mark is not as 

good as to take a non-mark to show that a mark is not a mark. To take 

a horse to show that a [white] horse is not a horse (as such) is not as 

good as to take a non-horse to show that a horse is not a horse. 22 The 

universe is but one mark, and all things are but a horse. When [people 

say], "All right," then [things are] all right. When people say, "Not all 

right," then [things are] not all right. A road becomes so when people 

18 According to Ch'ien Mu, Chuang Tzu tsuan-chien (Collected Commentaries 

on the Chuang Tzu), 1951, fang-sheng means simultaneously coming into being. 

It means simultaneous production or causation. The idea is that one implies or 

involves the other, or coexistence. The emphasis here, however, is the causal 

relation rather than coexistence. 

19 The same saying appears in Hui Shih's (380-305 B.C.) paradoxes. See below, 

ch. 10, A, 4. 

20 Interpretation following Kuo Hsiang, whose commentary on Chuang Tzu 

is the most important of all. However, Kuo's commentary is more a system 

of his own philosophy than explanation of the text. For his philosophy, see below, 

ch. 19, sec. 6. 

21 See below, ch. 22, comment on sec. 1. 

22 This is clearly a criticism of Kung-sun Lung (b. 380 B.C.?). See below, ch. 10, 

B. 

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walk on it, 23 and things become so-and-so [to people] because people call 

them so-and-so. How have they become so? They have become so because 

[people say they are] so. How have they become not so? They have become 

not so because [people say they are] not so. In their own way 

things are so-and-so. In their own way things are all right. There is 

nothing that is not so-and-so. There is nothing that is not all right. Let us 

take, for instance, a large beam and a small beam, or an ugly woman and 

Hsi-shih (famous beauty of ancient China), or generosity, strangeness, 

deceit, and abnormality. The Tao identifies them all as one. What is 

division [to some] is production [to others], and what is production 

[to others] is destruction [to some]. Whether things are produced or 

destroyed, [Tao] again identifies them all as one. 

Only the intelligent knows how to identify all things as one. Therefore 

he does not use [his own judgment] but abides in the common [principle]. 

The common means the useful and the useful means identification. 

Identification means being at ease with oneself. When one is at ease with 

himself, one is near Tao. This is to let it (Nature) take its own course. 24 

He has arrived at this situation, 25 and does not know it. This is Tao. 

Those who wear out their intelligence to try to make things one without 

knowing that they are really the same may be called "three in the 

morning." What is meant by "three in the morning"? A monkey keeper 

once was giving out nuts and said, "Three in the morning and four in the 

evening." All the monkeys became angry. He said, "If that is the case, 

there will be four in the morning and three in the evening." All the 

monkeys were glad. Neither the name nor the actuality has been reduced 

but the monkeys reacted in joy and anger [differently]. The keeper also 

let things take their own course. Therefore the sage harmonizes the right 

and wrong and rests in natural equalization. This is called following two 

courses at the same time. 

Comment. The doctrine of following two courses at the same time 

has become a cardinal one in practically all Chinese philosophical 

schools. We have read in the Doctrine of the Mean that several 

courses can be pursued without conflict. 26 The reference there is 

to the rotation of heavenly bodies, but the Chinese have taken it 

to mean life in general. In the Book of Changes, it is said that "in 

the world there are many different roads but the destination is the 

same." 27 The upshot is that most Chinese follow the three systems 

23 According to Wang Hsien-ch'ien, tao here does not mean Tao but a road. 

24 Other interpretations: (1) This is because he relies on this (that is, Tao); 

(2) he stops with this. 

25 Another interpretation: He has stopped. 

26 Ch. 30. 

27 "Appended Remarks," pt. 2, ch. 5. Cf. Legge, trans., Yi King, p. 389. 

184


of Confucianism, Taoism, and Buddhism, and usually take a multiple 

approach to things. 

The knowledge of the ancients was perfect. In what way was it perfect? 

There were those who believed that nothing existed. Such knowledge is 

indeed perfect and ultimate and cannot be improved. The next were those 

who believed there were things but there was no distinction between 

them. Still the next were those who believed there was distinction but 

there was neither right nor wrong. When the distinction between right 

and wrong became prominent, Tao was thereby reduced. Because Tao 

was reduced, individual bias was formed. But are there really production 

and reduction? Is there really no production or reduction? That there 

are production and reduction is like Chao Wen 28 playing the lute [with 

petty opinions produced in his mind]. That there is no production or reduction 

is like Chao Wen not playing the lute, 29 [thus leaving things alone]. 

Chao Wen played the lute. Master K'uang 30 wielded the stick to keep 

time. And Hui Tzu 31 leaned against a drayanda tree [to argue]. The 

knowledge of these three gentlemen was almost perfect, and therefore 

they practiced their art to the end of their lives. Because they liked it, 

they became different from others, and they wished to enlighten others 

with what they liked. They were not to be enlightened and yet they insisted 

on enlightening them. Therefore Hui Tzu lived throughout his life 

discussing the obscure doctrines of hardness and whiteness. 32 And Chao 

Wen's son devoted his whole life to his heritage but ended with no success. 

Can these be called success? If so, even I am a success. Can these 

not be called success? If so, then neither I nor anything else can be called 

a success. Therefore the sage aims at removing the confusions and 

doubts that dazzle people. Because of this he does not use [his own 

judgment] but abides in the common principle. This is what is meant 

by using the light (of Nature). 

Suppose we make a statement. We don't know whether it belongs to 

one category or another. Whether one or the other, if we put them in 

one, then one is not different from the other. However, let me explain. 

There was a beginning. There was a time before that beginning. And 

there was a time before the time which was before that beginning. There 

was being. There was non-being. There was a time before that non-being. 

And there was a time before the tune that was before that non-being. 

28 Identity unknown. 

29 Kuo Hsiang said in his commentary, "Not all sounds can be produced." 

30 Ancient musician famous for his sharpness in listening. 

31 Hui Shih. See below, ch. 10, A. 

32 In ch. 5 of the Chuang Tzu, NHCC, 2:44a, Giles, pp. 69-70, Chuang Tz u 

refers to Hui Tzu's discussion and doctrines. 

185


Suddenly there is being and there is non-being, but I don't know which 

of being and non-being is really being or really non-being. I have just 

said something, but I don't know if what I have said really says something 

or says nothing. 

There is nothing in the world greater than the tip of a hair that grows 

in the autumn, while Mount T'ai is small. 33 No one lives a longer life 

than a child who dies in infancy, but P'eng-tsu (who lived many hundred 

years) died prematurely. The universe and I exist together, and all 

things and I are one. Since all things are one, what room is there for 

speech? But since I have already said that all things are one, how can 

speech not exist? Speech and the one then make two. These two (separately) 

and the one (the two together) make three. Going from this, 

even the best mathematician cannot reach [the final number]. How much 

less can ordinary people! If we proceed from nothing to something and 

arrive at three, how much more shall we reach if we proceed from something 

to something! Let us not proceed. Let us let things take their own 

course. 34 

Comment. The Taoist goal is to become one with all things and to 

coexist with Heaven and Earth. It is obviously not a philosophy of 

life negation. One does not reject the world. Instead, he enlarges 

it to include the whole universe. 

In reality Tao has no limitation, and speech has no finality. Because 

of this there are clear demarcations. Let me talk about clear demarcations. 

There are the left and the right. There are discussions and theories. 

There are analyses and arguments. And there are competitions and 

quarrels. These are called the eight characteristics. What is beyond the 

world, the sage leaves it as it exists and does not discuss it. What is 

within the world, the sage discusses but does not pass judgment. About 

the chronicles of historical events and the records of ancient kings, the 

sage passes judgments but does not argue. Therefore there are things 

which analysis cannot analyze, and there are things which argument 

cannot argue. Why? The sage keeps it in his mind while men in general 

argue in order to brag before each other. Therefore it is said that argument 

arises from failure to see [the greatness of Tao]. 

Great Tao has no appellation. Great speech does not say anything. 

Great humanity (jen) is not humane (through any special effort). 35 

33 This is similar to Hui Shih's paradox no. 3. See below, ch. 10, A. 

34 Another interpretation is: Let us stop. 

35 It means that a man of humanity is not humane in a deliberate or artificial 

way, and that he is not partial. See above, ch. 7, comment on Lao Tzu, ch. 5. The 

word jen is often rendered as love, kindness, human-heartedness, true mankind, 

etc. In its broad sense, it denotes the general virtue. For a discussion of the term, 

see Appendix. 

186


Great modesty is not yielding. Great courage does not injure. Tao that 

is displayed is not Tao. Speech that argues is futile. Humanity that is 

specially permanent or specially attached to someone or something will 

not be comprehensive. 36 Modesty that is too apparent is not real. Courage 

that injures the nature of things will not succeed. These five are all-comprehensive 

and all-embracing but tend to develop sharp edges. Therefore 

he who knows to stop at what he does not know is perfect. Who knows 

the argument that requires no speech or the Tao that cannot be named? 

If anyone can know, he is called the store of Nature (which embraces 

all). This store is not full when more things are added and not empty 

when things are taken out. We don't know where it comes from. This is 

called dimmed light. 37 

Of old Emperor Yao said to Shun, 38 "I want to attack the states of 

Tsung, Kuei, and Hsü-ao. Since 1 have been on the throne, my mind has 

not been free from them. Why?" 

"The rulers of these states are as lowly as weeds," replied Shun. "Why 

is your mind not free from them? Once there were ten suns shining simultaneously 

and all things were illuminated. How much more can virtue 

illuminate than the suns?" 

Nieh Ch'üeh asked Wang I, 39 "Do you know in what respect all things 

are right?" 

"How can I know?" replied Wang I. 

"Do you know that you do not know?" 

Wang I said, "How can I know?" 

"Then have all things no knowledge?" 

"How can I know?" answered Wang I. "Nevertheless, I will try to tell 

you. How can it be known that what I call knowing is not really not 

knowing and that what I call not knowing is not really knowing? Now 

let me ask you this: If a man sleeps in a damp place, he will have a pain 

in his loins and will dry up and die. Is that true of eels? If a man lives 

up in a tree, he will be frightened and tremble. Is that true of monkeys? 

Which of the three knows the right place to live? Men eat vegetables and 

flesh, and deer eat tender grass. Centipedes enjoy snakes, and owls and 

crows like mice. Which of the four knows the right taste? Monkey mates 

with the dog-headed female ape and the buck mates with the doe, and 

eels mate with fishes. Mao Ch'iang 40 and Li Chi 41 were considered by 

36 This is Kuo Hsiang's interpretation. 

37 This phrase is obscure. Each commentator has his own interpretation, which 

is mostly subjective. 

38 Legendary sage-emperors (3rd millennium B.C.). 

39 A virtuous man at the time of Yao, and teacher of Nieh Ch'üeh. 

40 Concubine of a king of Yüeh, which state ended in 334 B.C. 

41 Favorite of Duke Hsien (r. 676-651 B.C.) of Chin. 

187


men to be beauties, but at the sight of them fish plunged deep down in 

the water, birds soared high up in the air, and deer dashed away. Which 

of the four knows the right kind of beauty? From my point of view, the 

principle of humanity and righteousness and the doctrines of right and 

wrong are mixed and confused. How do I know the difference among 

them?" 

Comment. Chuang Tzu's spirit of doubt has substantially contributed 

to China's long tradition of skepticism. 

"If you do not know what is beneficial and what is harmful," said 

Nieh Ch'üeh, "does it mean that the perfect man does not know them 

also?" 

"The perfect man is a spiritual being," said Wang I. "Even if great 

oceans burned up, he would not feel hot. Even if the great rivers are 

frozen, he would not feel cold. And even if terrific thunder were to 

break up mountains and the wind were to upset the sea, he would 

not be afraid. Being such, he mounts upon the clouds and forces of 

heaven, rides on the sun and the moon, and roams beyond the four seas. 

Neither life nor death affects him. How much less can such matters as 

benefit and harm?" 

Ch'ü-ch'iao Tzu asked Ch'ang-wu Tzu, 42 "I have heard from my 

grand master (Confucius) that the sage does not devote himself to 

worldly affairs. He does not go after gain nor avoid injury. He does not 

like to seek anything and does not purposely adhere to Tao. He speaks 

without speaking, and he does not speak when he speaks. Thus he roams 

beyond this dusty world. My grand master regarded this as a rough 

description of the sage, but I regard this to be the way the wonderful Tao 

operates. What do you think, sir?" 

"What you have said would have perplexed even the Yellow Emperor," 

replied Ch'ang-wu Tzu. "How could Confucius be competent enough to 

know?" Moreover, you have drawn a conclusion too early. You see an 

egg and you immediately want a cock to crow, and you see a sling and 

you immediately want to roast a dove. Suppose I say a few words to you 

for what they are worth and you listen to them for what they are worth. 

How about it? 

Comment. It is interesting that to Chuang Tzu, the wisest man was 

42 The identities of these men have not been established. Most probably they 

are fictitious, products of Chuang Tzu's creative imagination. Yü Yüeh (1821- 

1906), in his Chu-tzu p'ing-i (Textual Critiques of the Various Philosophers), 

eh. 17, 1899 ed., 17:6b, argues that since the term "grand master'' which is the 

honorific for Confucius, is used, the questioner must have been a pupil of Confucius. 

This is not necessarily the case, for Chuang Tzu freely put words into the 

mouths of people, historic or imaginary. 

188


neither Yao nor Shun, idols of Confucianists, but the Yellow Emperor 

of far greater antiquity. Although it is true that ancient 

Chinese schools competed in going as far back in history as possible 

to find their heroes, it would be a great mistake to interpret 

Chuang Tzu as backward-looking. He was purposely not following 

any popular tradition. Like Lao Tzu, he does not glorify any particular 

ancient sage-king. 

"The sage has the sun and moon by his side. He grasps the universe 

under the arm. He blends everything into a harmonious whole, casts 

aside whatever is confused or obscured, and regards the humble as 

honorable. While the multitude toil, he seems to be stupid and nondiscriminative. 

He blends the disparities of ten thousand years into one 

complete purity. All things are blended like this and mutually involve 

each other. 

"How do I know that the love of life is not a delusion? And how do 

I know that the hate of death is not like a man who lost his home when 

young and does not know where his home is to return to? Li Chi was 

the daughter of the border warden of Ai. When the Duke of Chin first 

got her, she wept until the bosom of her dress was drenched with tears. 

But when she came to the royal residence, shared with the duke his 

luxurious couch and ate delicate food, she regretted that she had wept. 

How do I know that the dead will not repent having previously craved 

for life? 

"Those who dream of the banquet may weep the next morning, and 

those who dream of weeping may go out to hunt after dawn. When we 

dream we do not know that we are dreaming. In our dreams we may 

even interpret our dreams. Only after we are awake do we know we 

have dreamed. Finally there comes a great awakening, and then we 

know life is a great dream. But the stupid think they are awake all the 

time, and believe they know it distinctly. Are we (honorable) rulers? Are 

we (humble) shepherds? How vulgar! Both Confucius and you were 

dreaming. When I say you were dreaming, I am also dreaming. This 

way of talking may be called perfectly strange. If after ten thousand 

generations we could meet one great sage who can explain this, it 

would be like meeting him in as short a time as in a single morning or 

evening. 

"Suppose you and I argue. If you beat me instead of my beating you, 

are you really right and am I really wrong? If I beat you instead of 

your beating me, am I really right and are you really wrong? Or are 

we both partly right and partly wrong? Or are we both wholly right 

and wholly wrong? Since between us neither you nor I know which is 

189


right, others are naturally in the dark. Whom shall we ask to arbitrate? 

If we ask someone who agrees with you, since he has already agreed 

with you, how can he arbitrate? If we ask someone who agrees with 

me, since he has already agreed with me, how can he arbitrate? If we 

ask someone who disagrees with both you and me to arbitrate, since 

he has already disagreed with you and me, how can he arbitrate? If we 

ask someone who agrees with both you and me to arbitrate, since he has 

already agreed with you and me, how can he arbitrate? Thus among 

you, me, and others, none knows which is right. Shall we wait for still 

others? The great variety of sounds are relative to each other just as much 

as they are not relative to each other. To harmonize them in the functioning 

of Nature 43 and leave them in the process of infinite evolution 

is the way to complete our lifetime." 44 

"What is meant by harmonizing them with the functioning of Nature?" 

"We say this is right or wrong, and is so or is not so. If the right is 

really right, then the fact that it is different from the wrong leaves no 

room for argument. If what is so is really so, then the fact that it is different 

from what is not so leaves no room for argument. Forget the passage 

of time (life and death) and forget the distinction of right and 

wrong. Relax in the realm of the infinite and thus abide in the realm of 

the infinite." 

The Shade asks the Shadow, "A little while ago you moved, and now 

you stop. A little while ago you sat down and now you stand up. Why 

this instability of purpose?" 

"Do I depend on something else to be this way?" answered the 

Shadow. "Does that something on which I depend also depend on 

something else? Do I depend on anything any more than a snake depends 

on its discarded scale or a cicada on its new wings? How can I 

tell why I am so or why I am not so?'' 

Once I, Chuang Chou, dreamed that I was a butterfly and was happy 

as a butterfly. I was conscious that I was quite pleased with myself, 

but I did not know that I was Chou. Suddenly I awoke, and there I was, 

visibly Chou. I do not know whether it was Chou dreaming that he 

was a butterfly or the butterfly dreaming that it was Chou. Between 

Chou and the butterfly there must be some distinction. [But one may be 

the other.] This is called the transformation of things. (NHCC, 1:18a-48b) 

Comment. A beautiful story in itself, it is a complete rejection of 

43 This interpretation follows Kuo Hsiang. Ma Hsü-lun in his Chuang Tzu 

i-cheng (Textual Studies of the Meaning of the Chuang Tzu), 1930, 2:23b, says 

that it means the revolving process of Nature. 

44 In the text these two sentences follow the next four. Following some editions, 

I have shifted them here. It seems a most logical thing to do. 

190


the distinction between subject and object and between reality and 

unreality. 

B. The Great Teacher (ch. 6) 

He who knows the activities of Nature (T 'ien, Heaven) and the 

activities of man is perfect. He who knows the activities of Nature lives 

according to Nature. He who knows the activities of man nourishes 

what he does not know with what he does know, thus completing his 

natural span of life and will not die prematurely half of the way. This 

is knowledge at its supreme greatness. 

However, there is some defect here. For knowledge depends on something 

to be correct, but what it depends on is uncertain and changeable. 

How do we know that what I call Nature is not really man and what I 

call man is not really Nature? 

Furthermore, there must be the pure man before there can be true 

knowledge. What is meant by a pure man? The pure man of old did not 

mind having little, did not brag about accomplishments, and did not 

scheme about things. If [the opportunity] had gone, he would not regret, 

and if he was in accord [with his lot in life] he did not feel satisfied 

with himself. Being of this character, he could scale heights without 

fear, enter water without getting wet, and go through fire without feeling 

hot. Such is the knowledge that can at last 45 ascend to Tao. 

The pure man of old slept without dreams and awoke without anxiety. 

He ate without indulging in sweet tastes and breathed deep breaths. The 

pure man draws breaths from the great depths of his heels, the multitude 

only from their throats. People defeated (in argument) utter 

words as if to vomit, and those who indulge in many desires have very 

little of the secret of Nature. 

Comment. It is tempting to equate Chuang Tzu's reference to 

breathing with Indian yoga. But there is a great deal of difference 

between them. What Chuang Tzu means is that we must go to the 

depth (the heels) of things. It is there that the "secret of Nature" 

(t'ien-chi) begins. By this secret is meant the secret operation of 

Nature, the way in which things spring forth. One should not try to 

get away from Nature but go to its depth. The idea of t'ien-chi has 

had a strong influence on Neo-Confucianists. 46 

45 Following Wang K'ai-yün's (1832-1916) commentary. 

46 Especially Ch'eng I (Ch'eng I-ch'uan, 1033-1107). See I-shu, (Surviving 

Works), 2A:22a and Wai-shu (Additional Works), 12:8a, 14b, 15b, both in ECCS; 

and Wang Yang-ming (Wang Shou-jen, 1472-1529). See his Ch'uan-hsi lu (Instructions 

for Practical Living), secs. 202, 212, in Chan, trans., Instructions for Practical 

Living. 

191


The pure man of old knew neither to love life nor to hate death. He 

did not rejoice in birth, nor did he resist death. Without any concern he 

came and without any concern he went, that was all. He did not forget 

his beginning nor seek his end. He accepted [his body] with pleasure, and 

forgetting [life and death], he returned to [the natural state]. He did 

not violate Tao with his mind, and he did not assist Nature with man. 

This is what is meant by a pure man. 

Comment. The doctrine of identifying life and death as one is not 

peculiar to Taoism, for it was common among several schools at 

Chuang Tzu's time. The point to note is that Taoism never glorifies 

death, as it is sometimes mistakenly understood. 

Such being the pure man, his mind is perfectly at ease. 47 His demeanor 

is natural. His forehead is broad. He is as cold as autumn but 

as warm as spring. His pleasure and anger are as natural as the four 

seasons. He is in accord with all things, and no one knows the limit 

thereof. Therefore the sage, in employing an army, can destroy a country 

without losing the affection of the people. His benefits may be extended 

to ten thousand generations without any [partial] love for any 

man. 

Therefore he who takes special delight in understanding things is not 

a sage. He who shows [special] affection [to anyone] is not a man of 

humanity (jen, love). He who calculates opportunity is not a worthy 

person. He who does not see through benefits and injuries is not a 

superior man. He who seeks fame and thus loses his own nature is not 

learned. And he who loses his own nature and thus misses the true way 

is not one who can have others do things for him. Such men as Hu 

Pu-chieh (who drowned himself rather than accept the throne from 

Yao), Wu Kuang (who also drowned himself instead of accepting the 

throne from T'ang), Po-i and Shu-ch'i (who, as citizens of the Shang, 

refused to eat the grains of the Chou and chose to starve to death), the 

viscount of Chi (who pretended to be mad and became a slave because 

the wicked King Chou did not accept his advice), Hsü Yü (a recluse 

who painted his body and pretended to be mad), 48 Chi T 'o (who 

drowned himself when he heard that Wu Kuang had declined the throne 

and King T'ang might offer it to him), and Shen-t'u Ti (of the Shang, 

who drowned himself), 49 did things as others would have them do, took 

47 This is Kuo Hsiang's interpretation of the word chih. Others like Chiao 

Hung (1541-1620) in his Chuang Tzu i (An Aid to the Chuang Tzu) read chih 

as wang, forgetful, that is, being without thought. 

48 Possibly the same madman who ridiculed Confucius for his desperate efforts 

at reform (see Analects, 18:5) or Pi-kan who remonstrated with wicked King 

Chou (r. 1175-1112 B.C.), and was executed (see Analects, 18:1), 

49 Most of these figures are legendary. 

192


delight in what others would delight, and did not take delight in what 

would be delightful to themselves. 

The pure man of old was righteous 50 but impartial, and humble 

but not subservient. He was naturally independent but not obstinate. 

His humility was manifest but not displayed. Smiling, he seemed to be 

happy. He acted as if he had to. His countenance improved further and 

further in richness, and his virtue rested more and more in the [highest 

good]. His efforts seemed to be those of the common people, but his 

loftiness could not be restrained. Deep and profound, he seemed to be 

like a closed door (unfathomable). Without any attachment, he seemed 

to have forgotten what he said. He considered law as part of the nature 

[of government and not of his making], ceremonies as an aid [wanted 

by people themselves], knowledge as a [product of] time, and virtue 

as people's observance. To regard law as part of the nature of government 

means to be broad-minded when it comes to killing. To regard 

ceremonies as an aid to people themselves means that they prevail in 

the world [like conventions]. To regard knowledge as a product of 

time means to respond to events as if they had to be. And to regard 

virtue as people's observance means that it is comparable to the fact 

that anyone with two feet can climb a hill, but people think that a pure 

man makes diligent effort to do so. Therefore what he liked was one 

and what he did not like was also one. That which was one was one and 

that which was not one was also one. He who regards all things as one 

is a companion of Nature. He who does not regard all things as one is 

a companion of man. Neither Nature nor man should overcome the 

other. This is what is meant by a pure man. 

Life and death are due to fate (ming, destiny) and their constant 

succession like day and night is due to Nature, beyond the interference of 

man. They are the necessary character of things. There are those who 

regard Heaven as their father and love it with their whole person. How 

much more should they love what is more outstanding than Heaven 

[that is, self-transformation itself]? 51 There are those who regard the 

ruler as superior to themselves and would sacrifice their lives for him. 

How much more should they sacrifice for what is more real than the 

ruler (Nature)? 52 

When the springs are dried up, the fishes crowd together on the land. 

They moisten each other with the dampness around them and keep one 

another wet by their spittle. It is better for them to forget each other 

50 According to Yü Yüeh, Chu-tzu p'ing-i, 17:15b, the word i (righteousness) 

here should be interpreted to mean lofty. 

51 Interpretation according to Kuo Hsiang. 

52 This interpretation also follows Kuo Hsiang. 

193


in rivers and lakes. 53 Rather than praise (sage-emperor) Yao and condemn 

(wicked king) Chieh, 54 it is better to forget both and to transform 

their ways [which give rise to conventional standards of right and 

wrong]. 55 

The universe gives me my body so I may be carried, my life so I may 

toil, my old age so I may repose, and my death so I may rest. To regard 

life as good is the way to regard death as good. A boat may be hidden 

in a creek or a mountain in a lake. These may be said to be safe enough. 

But at midnight a strong man may come and carry it away on his back. 

An ignorant person does not know that even when the hiding of things, 

large or small, is perfectly well done, still something will escape you. 

But if the universe is hidden in the universe itself, then there can be no 

escape from it. This is the great truth of things in general. We possess our 

body by chance and we are already pleased with it. If our physical 

bodies went through ten thousand transformations without end, how incomparable 

would this joy be! Therefore the sage roams freely in the 

realm in which nothing can escape but all endures. Those who regard 

dying a premature death, getting old, and the beginning and end of life as 

equally good are followed by others. How much more is that to which all 

things belong and on which the whole process of transformation depends 

(that is, Tao)? 

Tao has reality and evidence but no action or physical form. It may be 

transmitted but cannot be received. It may be obtained but cannot be 

seen. It is based in itself, rooted in itself. Before heaven and earth came 

into being, Tao existed by itself from all time. It gave spirits and rulers 

their spiritual powers. It created heaven and earth. It is above the zenith 

but it is not high. It is beneath the nadir but it is not low. It is prior to 

heaven and earth but it is not old. It is more ancient than the highest 

antiquity but is not regarded as long ago. Emperor Hsi-wei 56 obtained 

it and so he set the universe in order. Emperor Fu-hsi 57 obtained it 

and with it he was united with the source of material force. The Great 

Dipper obtained it and has therefore never erred from its course. The 

sun and moon obtained it and so they have never ceased to revolve. The 

deity K'an-pi obtained it and was therefore able to enter the high K'unlun 

mountains. F'eng I (a river immortal) obtained it and was therefore 

53 These three sentences also appear in ch. 14 of the Chuang Tzu where they 

are put in the mouth of Lao Tzu. See NHCC, 5:46b and Giles, p. 148. 

54 Chieh (r. 1802-1752 B.C.?). He was responsible for the ruin of the Hsia 

dynasty (2183-1752 B.C.?). 

55 A similar sentence appears in Chuang Tzu, ch. 26, NHCC, 9:6a and Giles, 

p. 262. 

56 Legendary emperor of antiquity. 

57 Legendary emperor credited with the invention of the Eight Trigrams. 

194


able to roam in the great rivers. Chien-wu (a mountain immortal) obtained 

it and was therefore able to dwell on Mount T'ai. The Yellow 

Emperor obtained it and with it he ascended heaven high in the clouds. 

Emperor Chuan-hsü 58 obtained it and with it he dwelt in the Dark 

Palace. The deity Yü-ch'iang 59 obtained it and so he was established 

in the North Pole. The Queen Mother of the West obtained it and so she 

secured her seat in the vast empty space of the west, and no one knows 

when that began or will end. P'eng-tsu 60 obtained it and so he lived from 

the time of Emperor Shun 61 until the time of the five lords. 62 Fu Yüeh 

obtained it and with it he became prime minister of King Wu-ting 63 

and in a grand manner extended his rule to the whole empire. [After he 

dies, his spirit], charioting upon one constellation and drawn by another, 

has taken its position as one of the heavenly stars. 

Comment. One of the most important passages on Tao. Note the 

stress on reality and evidence, remarkably similar to Lao Tzu, ch. 

21. There is nothing negative about it. 

Nan-po Tzu-k'uei 64 asked Nü-yü, 65 "Sir, you are old but have the 

look of a child. How is this?" 

"I have learned Tao," replied Nü-yü. 

"Can Tao be learned?" Nan-po Tzu-k'uei said. 

"Ah! How can it?" replied Nü-yü. "You are not the type of man. 

Pü-liang I 66 had the ability of the sage but did not know the teachings. I 

knew all the teachings but did not have his ability. I wanted to teach 

him so he could become a sage. But that was not such a simple case. It 

seemed easy to teach the doctrines of a sage to a man with his ability. 

But I still had to wait to teach him. It was three days before he was 

able to transcend this world. After he transcended this world, I waited 

for seven days more and then he was able to transcend all material 

things. After he transcended all material things, I waited for nine days 

more and then he was able to transcend all life. Having transcended all 

life, he became as clear and bright as the morning. Having become as 

clear and bright as the morning, he was able to see the One. Having 

seen the One, he was then able to abolish the distinction of past and 

58 Grandson of the Yellow Emperor, who, according to legend, obtained Tao 

and became the ruling deity of the northern quarter, which is dark. 

59 Also grandson of the Yellow Emperor, according to legend. 

60 China's famous man of longevity. 

61 Emperor Yao's successor. 

62 Lords of the Hsia, Shang (1751-1112 B.C.), and Chou (from 1111 B.C.) 

dynasties. 

63 King (r. 1339-1281 B.C.) of the Shang dynasty. 

64 The same as Tzu-chi of Nan-kuo in Chuang Tzu, ch. 2? 

65 Unidentified. Said by some to be a woman. 

66 Unidentified. 

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present. Having abolished the past and present, he was then able to enter 

the realm of neither life nor death. Then, to him, the destruction 

of life did not mean death and the production of life did not mean life. 

In dealing with things, he would not lean forward or backward to accommodate 

them. To him everything was in the process of destruction, 

everything was in the process of perfection. This is called tranquillity 

in disturbance. Tranquillity in disturbance means that it is especially in 

the midst of disturbance that [tranquillity] becomes perfect." 

Comment. Like many of Chuang Tzu's phrases, "not to lean forward 

or backward" has become a favorite dictum among later 

Chinese thinkers, especially Neo-Confucianists. It does not mean 

moderation or indifference but absolute spontaneity and impartiality 

in dealing with things and complete naturalness in response to 

things. 

"Where did you learn this?" asked Nan-po Tzu-k'uei. 

"I learned it from the son of Writing the Assistant (for writing is no 

more than an aid)," Nü-yü said. "The son of Writing the Assistant 

learned it from the grandson of Repeated Recitation (which preceded 

writing), the grandson of Repeated Recitation learned it from Clear 

Understanding, Clear Understanding learned it from Whispering, Whispering 

learned it from Earnest Practice, Earnest Practice learned it 

from Joyful Singing, Joyful Singing learned it from Noumenon (hsüanming), 

67 Noumenon learned it from Penetration of Vacuity, and Penetration 

of Vacuity learned it from Doubtful Beginning." 

Tzu-ssu, Tzu-yü, Tzu-li, and Tzu-lai 68 were conversing together, saying, 

"Whoever can make non-being the head, life the backbone, and 

death the buttocks, and whoever-knows that life and death, and existence 

and non-existence are one, that man shall be our friend." The four 

looked at each other and smiled, completely understood one another, 

and thus became friends. 

Soon afterward Tzu-yü fell ill and Tzu-ssu went to see him. "Great is 

the Creator!" said the sick man. "See how he (or it) has made me 

crumbled up like this!" 

Comment. The term "Creator" (Tso-wu che) seems to suggest a 

personal God. But as Kuo Hsiang points out, this means Nature, 

which also creates. 

His back was hunched and his backbone was protruding. His internal 

organs were on the top of his body. His cheeks were level with his 

67 For a discussion of the translation of this term, see Appendix. 

68 All fictitious. 

196


navel. His shoulders were higher than his head. The hair on top of 

his head pointed up toward the sky. The yin and yang (passive and active 

cosmic forces) in him were out of order, but his mind was at ease as 

though nothing had happened. He limped and walked quickly to the 

well and looked at his reflection, and said, "Alas! The Creator has made 

me crumbled up like this!" 

"Do you dislike it?" asked Tzu-ssu. 

"No," said Tzu-yü, "why should I dislike it? Suppose my left arm is 

transformed into a cock. With it I should herald the dawn. Suppose 

my right arm is transformed into a sling. With it I should look for a 

dove to roast. Suppose my buttocks were transformed into wheels and 

my spirit into a horse. I should mount them. What need do I have for 

a chariot? When we come, it is because it was the occasion to be born. 

When we go, it is to follow the natural course of things. Those who are 

contented and at ease when the occasion comes and live in accord with 

the course of Nature cannot be affected by sorrow or joy. This is what 

the ancients called release from bondage. Those who cannot release 

themselves are so because they are bound by material things. That material 

things cannot overcome Nature, however, has been a fact from 

tune immemorial. Why, then, should I dislike it?" 

Comment. Release here means spiritual freedom and is to be 

sharply differentiated from Buddhist Nirvana. 

Soon afterward Tzu-lai fell ill, was gasping for breath and was about 

to die. His wife and children surrounded him and wept. Tzu-li went 

to see him. "Go away," he said. "Don't disturb the transformation that 

is about to take place." Then, leaning against the door, he continued, 

"Great is the Creator! What will he make of you now? Where will he 

take you? Will he make you into a rat's liver? Will he make you into 

an insect's leg?" 

Tzu-lai said, "Wherever a parent tells a son to go, whether east, west, 

south, or north, he has to obey. The yin and yang are like man's parents. 

If they pressed me to die and I disobeyed, I would be obstinate. 

What fault is theirs? For the universe gave me the body so I may be 

carried, my life so I may toil, my old age so I may repose, and my 

death so I may rest. Therefore to regard life as good is the way to regard 

death as good. 

"Suppose a master foundryman is casting his metal and the metal 

leaps up and says, 'I must be made into the best sword (called mo-yeh).' 

The master foundryman would certainly consider the metal as evil. And 

if simply because I possess a body by chance, I were to say, 'Nothing 

but a man! Nothing but a man!' the Creator will certainly regard me 

as evil. If I regard the universe as a great furnace and creation as a 

197


master foundryman, why should anywhere I go not be all right? When 

the body is formed, we sleep. With it visibly there, we wake." 69 

Tzu Sang-hu, Meng Tzu-fan, and Tzu Ch'in-chang 70 were friends. 

They said to each other, "Who can live together without any special 

effort to live together and help each other without any special effort to 

help each other? Who can ascend to heaven, roam through the clouds, 

revolve in the realm of the infinite, live without being aware of it, and 

pay no attention to death?" The three looked at each other and smiled, 

completely understood each other, and thus became friends. 

After a short while of silence, Tzu Sang-hu died. Before he was 

buried, Confucius had heard about it and sent (his pupil) Tzu-kung to 

take part in the funeral. One of the friends was composing a song and 

the other was playing a lute and they sang in harmony, saying, "Alas! 

Sang-hu. Alas! Sang-hu. You have returned to the true state but we still 

remain here as men!" 

Tzu-kung hurried in and said, "I venture to ask whether it is in accord 

with the rules of propriety to sing in the presence of a corpse." 

The two men looked at each other, laughed, and said, "How does he 

know the idea of rules of propriety?" Tzu-kung returned and told Confucius, 

asking him, "What sort of men are those? There is nothing proper 

in their conduct, and they looked upon their bodies as external to themselves. 

They approached the corpse and sang without changing the 

color of countenance. I don't know what to call them. What sort of 

men are they?" 

"They travel in the transcendental world," replied Confucius, "and 

I travel in the mundane world. There is nothing common between the 

two worlds, and I sent you there to mourn! How stupid! They are companions 

of the Creator, and roam in the universe of one and original 

creative force (ch'i). They consider life as a burden like a tumor, and 

death as the cutting off of an abscess. Such being their views, how do 

they care about life and death or their beginning and end? To them 

life is but a temporary existence of various elements in a common body 

which they borrow. They are unaware of their livers and gall (emotions) 

and oblivious of their ears and eyes (sensation). They come and go, 

and begin and end and none will know when all these will stop. Without 

any attachment, they stroll beyond the dusty world and wander in 

the original state of having no [unnatural] action (wu-wei). How can 

they take the trouble to observe the rules of propriety of popular society 

in order to impress the multitude?" 

69 This sentence is very obscure. No commentator has offered a satisfactory 

explanation. All agree that it means that life and death are one. The translation 

here, while quite literal, is already a subjective interpretation. 

70 Fictitious. 

198


Comment. Chuang Tzu distinguished traveling in the transcendental 

world, or fang-wai (literally, "outside the sphere" of human affairs), 

and traveling in the mundane world, or fang-nei (literally, "inside 

the sphere"). Later the former came to mean Buddhism and the 

latter Confucianism. The first distinction was made here. To consider 

life as a temporary existence of various elements is highly 

Buddhistic, for in Buddhism an entity is but a temporary grouping 

of five elements. But Taoism is free from the quietism of 

Buddhism and emphasizes non-action. As Kuo Hsiang emphatically 

stated, however, taking no action does not mean doing nothing 

but simply doing nothing unnatural. 71 

Tsu-kung asked, "If that is the case, which world would you follow?" 

"I am Nature's prisoner," said Confucius. "But let me share something 

with you." 

Tzu-kung said, "May I ask which is your world?" 

Confucius said, "Fishes attain their full life in water and men attain 

theirs in the Tao. Those fish which attain a full life in water will be well 

nourished if a pool is dug for them, and those men who attain a full life 

in the Tao will achieve calmness of nature 72 through inaction. Therefore 

it is said, 'Fishes forget each other (are happy and at ease with themselves) 

in rivers and lakes and men forget each other in the workings 

of Tao.' " 

"May I ask about those strange people?" said Tzu-kung. 

Replied Confucius, "Those strange people are strange in the eyes of 

man but are equal to Nature. Therefore it is said, The inferior man to 

Nature is a superior man to men, and the superior man to men is an 

inferior man to Nature.' " 

Yen Hui asked (his master) Confucius, "When Meng-sun Ts'ai's 73 

mother died, he wept without sniveling, his heart felt no distress, and 

he wore mourning but showed no sorrow. Yet, although wanting in these 

three essential demonstrations of filial piety, he is known all over the 

state of Lu as an excellent mourner. Is it possible that without actuality 

one can obtain the name? I am rather puzzled." 

Confucius said, "Meng-sun is perfect. He is more advanced than the 

wise ones. [Ordinary people] cannot minimize [their expressions of sorrow], 

and in doing so they already minimize [their true nature]. 74 Meng- 

71 See below, ch. 19, sec. 6, selection 31. 

72 Sheng (life) is here interpreted in the sense of nature, hsing, according to 

Wang Hsien-ch'ien. 

73 According to Li I (of Chin, 265-420), quoted in Lu Te-ming (556-627), Chingtien 

shih-wen (Explanations of Words in the Classics), he was a descendant of 

Meng-sun, and traced his ancestry to Duke Huan (r. 711-694 B.C.) of Lu. 

74 This interpretation follows Yao Nai (1731-1815), Chuang Tzu chang-i 

(Meaning of the Chuang Tzu). 

199


sun does not know how life comes about and does not know how death 

comes about. He does not prefer the one or the other. He lets himself 

be transformed into whatever it may be, and waits for further transformations 

which are not yet known. Moreover, how can one in the midst 

of transformation know that he will not be transformed? And how can 

one not being transformed know that he has already been transformed? 

Perhaps you and I are dreaming and have not wakened. Moreover, to 

him there has been a change of physical form but no decline in the 

spirit. There has been a change of lodging but no real death. Meng-sun, 

having awakened, wept when he saw that others wept. This is natural 

with him. 

"People say to each other, 'I am I.' How do they know that their 

'I' is the real 'I'? Suppose you say you dream you are a bird and fly way 

up in the sky or you dream you are a fish and dive deep into the ocean. 

We cannot know whether the man now speaking is awake or is dreaming. 

As we reach the point of satisfaction, [we are so at ease with ourselves] 

that we do not even smile. When a smile does come forth, we do 

not even think of manipulating for it to come. We put ourselves at the 

manipulation [of Nature] and ignore all transformations. With this we 

enter into the realm of vacuous nature which is one." 

I-erh Tzu went to see Hsü Yu. 75 Hsü Yu said, "What has Yao benefited 

you?" 

"Yao said to me that I must personally practice humanity and righteousness," 

replied I-erh Tzu, "and talk clearly about right and wrong." 

Hsü Yu said, "Then why have you come here? Yao has already treated 

you like criminals by branding you with humanity and righteousness 

and cutting off your nose with right and wrong. How can you travel 

on the road of freedom, ease, and flexibility?" 

"Be that as it may," said I-erh Tzu. "Still I like to travel along its 

edge." 

"No," said Hsü Yu, "when a man is blind, he has nothing to do 

with the beauty of a human face or the colors of embroidered robes." 

I-erh Tzu said, "The ancient beauty Wu-chuang disregarded her beauty, 

strong man Chü-liang disregarded his strength, and the Yellow Emperor 

abandoned his wisdom. All these resulted from filing and hammering. 

How do you know the Creator may not remove my branding 

and repair my nose so that I may again be perfect in form and follow 

you, sir?" 

"That I don't know," replied Hsü Yu. "But let me tell you the essentials. 

Ah! my master, my master! He tears all things to pieces but did 

75 A recluse who, when offered the empire by Emperor Yao, ran away and 

washed his ears. 

200


not specially make up his mind to be just. His blessing reaches the 

ten thousand generations but he has no partial love for anyone. He is 

more ancient than the highest antiquity but is not old. He covers 

heaven and supports the earth, and fashions the shapes of all things 

and yet he is not purposely skillful. This is the way he roams around." 

Yen Hui said, "I have made some progress." 

"What do you mean?" asked Confucius. 

"I have forgotten humanity and righteousness," replied Yen Hui. 

"Very good, but that is not enough," said Confucius. 

On another day Yen Hui saw Confucius again and said, "I have 

made some progress." 


"I have forgotten ceremonies and music," replied Yen Hui. 

"Very good, but that is not enough," said Confucius. 

Another day Yen Hui saw Confucius again and said, "I have made 

some progress." 


Yen Hui said, "I forget everything while sitting down." 

Confucius' face turned pale. He said, "What do you mean by sitting 

down and forgetting everything?" 

"I cast aside my limbs," replied Yen Hui, "discard my intelligence, 

detach from both body and mind, and become one with Great Universal 

(Tao). 76 This is called sitting down and forgetting everything." 

Comment. This is not a cult of unconsciousness. Lu Ch'ang-keng 

has correctly said, "To forget means to have one's mind in all 

things but not to have any mind about oneself, and to have one's 

feelings in accord with all things but not to have any feelings of 

oneself." Lu is here quoting Ch'eng Hao (Ch'eng Ming-tao, 1032- 

1085), who said that "there is nothing better than to become broad 

and extremely impartial and to respond spontaneously to all things 

as they come." 77 In fact, Chuang Tzu's doctrine of "sitting down 

and forgetting everything" strongly stimulated Neo-Confucian 

thought. 

Confucius said, "When you become one with the Great Universal 

you will have no partiality, and when you are part of the process of 

transformation, you will have no constancy (rigidity). You are really 

a worthy man. I beg to follow your steps." 

Tzu-yü and Tzu-sang were friends. Once it had rained continuously 

76 According to Ch'eng Hsüan-ying (fl. 647-663), Chuang Tzu shu (Commentary 

on the Chuang Tzu), this means identifying with Tao, and according to 

Hsi T'ung's (1876-1936) Chuang Tzu pu-chu (Supplementary Annotations on the 

Chuang Tzu), this means the Great Transformation. 


201


for ten days. Tzu-yü said, "Maybe Tzu-sang has become sick." So he 

packed up some food and went to feed him. Arriving at the door, he 

heard something between singing and wailing accompanied by the lute, 

saying "O father! O mother! Is this due to Nature? Is this due to man?" 

It seemed that the voice was broken and the words faltered. Tzu-yü 

went in and asked, "Why are you singing like this?" 

"I tried to think who has brought me to this extreme [poverty]," 

answered Tzu-sang, "but have found no answer. Would my father and 

mother want me to be poor? Heaven covers all things without partiality 

and the earth supports all things without partiality. Would heaven and 

earth make me so poor in particular? This is what I have tried to find 

out but have failed. Then it must have been fate that has brought me 

to such an extreme." (3:1a-27b) 

C. Additional Selections 

1. The Nature and Reality of Tao 

In the great beginning, there was non-being. 78 It had neither being 

nor name. The One originates from it; it has oneness but not yet physical 

form. When things obtain it and come into existence, that is called virtue 

(which gives them their individual character). That which is formless is 

divided [into yin and yang], and from the very beginning going on without 

interruption is called destiny (ming, fate). Through movement and 

rest it produces all things. When things are produced in accordance with 

the principle (li) of life, there is physical form. When the physical form 

embodies and preserves the spirit so that all activities follow their own 

specific principles, that is nature. By cultivating one's nature one will 

return to virtue. When virtue is perfect, one will be one with the beginning. 

Being one with the beginning, one becomes vacuous (hsü, 

receptive to all), and being vacuous, one becomes great. One will then 

be united with the sound and breath of things. When one is united with 

the sound and breath of things, one is then united with the universe. 

This unity is intimate and seems to be stupid and foolish. This is called 

profound and secret virtue, this is complete harmony. 79 (ch. 12, NHCC, 

5:8b-9b) 

Comment. This is an important passage on metaphysics. It bears 

striking similarity to the philosophy of the Book of Changes. 80 

More than one Neo-Confucianist has commended Chuang Tzu for 

78 The punctuation here follows that of Fung, History of Chinese Philosophy, 

vol. 1, p. 

79 Cf. Lao Tzu, chs. 10 and 65 

. 

80 See below, ch. 13, especially sec. 4, Selections from "Remarks on Certain 

Trigrams," ch. 1. 

202


having really understood in this passage the substance of Tao. 

Chuang Tzu's use of principle (li), of course, is after the hearts 

of Neo-Confucianists, whose whole philosophy is that of principle. 

2. Tao Everywhere 

Tung-kuo Tzu asked Chuang Tzu, "What is called Tao—where is it?" 

"It is everywhere," replied Chuang Tzu. 

Tung-kuo Tzu said, "It will not do unless you are more specific." 

"It is in the ant," said Chuang Tzu. 

"Why go so low down?" 

"It is in the weeds." 

"Why even lower?" 

"It is in a potsherd." 

"Why still lower?" 

"It is in the excrement and urine," said Chuang Tzu. Tung-kuo gave 

no response. 

Comment. Compare this with a most celebrated Buddhist dialogue: 

Question: What is the Buddha? 

Answer: It is the dried human excrement-removing stick. 81 

"Sir," said Chuang Tzu. "Your question does not touch the essential. 

When inspector Huo asked the superintendent of markets about the fatness 

of pigs, the tests were always made in parts less and less likely 

to be fat. Do not insist on any particular thing. Nothing escapes from 

Tao. Such is perfect Tao, and so is great speech. The three, Complete, 

Entire, and All, differ in name but are the same in actuality. They all 

designate (chih, mark) the One." (ch. 22, NHCC, 7:49a-50a) 

3. Constant Flux 

"Is the sky revolving around? Is the earth remaining still? Are the 

sun and the moon pursuing each other? Who prescribes this? Who directs 

this? Who has the leisure to push them to go on? Is there perhaps 

some mechanical arrangement so that they cannot help moving? Or is 

it perhaps that they keep revolving and cannot stop themselves? Do 

clouds cause the rain or does the rain cause the clouds? Who makes them 

rise and sends them down? Who has the leisure and delights in promoting 

such things? The wind rises from the north. It now blows east 

and now west, and now it whirls upward. Who is sucking and blowing 

it alternately? Who has the leisure to shake it about like this? Please tell 

me why?" 

81 A famous saying by Zen Master Wen-yen (d. 949). See Ogato, Zen for the 

West, p. 109. The translation "dirt cleaner" by Ogato for the dried human excrement-removing 

stick is evidently a Zen accommodation to Western decency! 

203


Wu-hsien waved to him and said, "Come, let me tell you. There are in 

nature the six ultimates and five constancies. 82 When rulers follow them 

there will be order. When they disobey them, there will be calamity." 

(ch. 14, NHCC, 5:35a-36a) 

4. Evolution 

All species have originative or moving power (chi). 83 When they 

obtain water, they become small organisms like silk. In a place bordering 

water and land, they become lichens. Thriving on the bank, they 

become moss. On the fertile soil they become weeds. The roots of these 

weeds become worms, and their leaves become butterflies. Suddenly the 

butterfly is transformed into an insect, which is born under the stove (for 

its heat), and which has the appearance of having its skin shed. Its 

name is called chü-t'o. After a thousand days, chü-t'o becomes a bird 

called kan-yü-ku. The spittle of the kan-yü-ku becomes an insect called 

ssu-mi. The ssu-mi becomes a wine fly, which produces the insect called 

i-lu. The insect huang-k'uang produces the insect called chiu-yu. 

Mosquitos come from the rotten insects called huan. The plant yanghsi 

paired with the bamboo which for a long time has had no shoot, 

produces the insect called ch'ing-ning. The ch'ing-ning produces the 

insect called ch'eng, ch'eng produces the horse, and the horse produces 

men. Man again goes back into the originative process of Nature. All 

things come from the originative process of Nature and return to the 

originative process of Nature. (ch. 18, NHCC, 6:36a-b ) 

Comment. Is this natural evolution? Hu Shih (1891-1962) thinks 

so. 84 Whether it is or not, it cannot be doubted that Chuang Tzu 

conceived reality as ever changing and as developing from the 

simple to the complex. 

5. Tao as Transformation and One 

Although the universe is vast, its transformation is uniform. Although 

the myriad things are many, their order is one. Although people are 

82 Commentators do not agree on what these are. The theory that the six ultimates 

means the six directions and that the five constancies means the Five 

Agents of Metal, Wood, Water, Fire, and Earth seems to be the most reasonable. 

83 Wang Hsien-ch'ien quoting Ch'eng Hsüan-ying, interpreted the word chi to 

mean "how many." Hu Shih understands it to mean "the minutest form" or germs, 

partly on the authority of the Book of Changes (see his Development of the 

Logical Method in Ancient China, p. 136). Following Yen Fu (1853-1921), 

Chuang Tzu p'ing (Critique of the Chuang Tzu), I read chi as chi (originative 

or moving power). This is the word used at the end of the paragraph. This interpretation 

seems to be more in keeping with Chuang Tzu's concept of the incessant 

transformation of nature. 

84 See his Development of the Logical Method in Ancient China, pp. 131-139. 

204


numerous, their ruler is the sovereign. The sovereign traces his origin 

to virtue (te, individual and essential character), and attains his perfection 

in Nature. Therefore it is said that in the cases of sovereigns 

of high antiquity, no [unnatural] action (wu-wei) was undertaken and 

the empire was in order. That was because of their natural virtue. When 

speech is seen through the point of Tao, the name of the sovereign of 

the world becomes correct. When functions and ranks are seen through 

Tao, the distinction between the ruler and the minister becomes clear. 

When ability is seen through Tao, the offices of the empire become 

regulated. When all things in general are seen through Tao, the response 

of things to each other becomes complete. Therefore it is virtue 

that penetrates Heaven and Earth, and it is Tao that operates in all 

things. Government by the ruler means human affairs, and when ability 

is applied to creative activities, it means skill. Skill is commanded by 

human affairs, human affairs are commanded by the distinction of 

functions, distinction is commanded by virtue, virtue is commanded by 

Tao, and Tao is commanded by Nature. Therefore it is said that ancient 

rulers of empires had no [selfish] desires and the empire enjoyed sufficiency. 

They undertook no [unnatural] action and all things were 

transformed. They were deep and tranquil and all their people were 

calm. The Record says, "When one is identified with the One, all things 

will be complete with him. When he reaches the point of having no subjective 

feelings, spiritual beings will submit to him." 85 

The Grand Master 86 said, "Tao covers and supports all things. How 

overflowingly great! The ruler should cast away his [selfish] mind. To 

act without taking an [unnatural] action means Nature. To speak without 

any action means virtue. To love people and benefit all things means 

humanity (jen). To identify with all without each losing his own 

identity means greatness. To behave without purposely showing any superiority 

means broadness. To possess an infinite variety means richness. 

Therefore to adhere to virtue is called discipline. To realize virtue means 

strength. To be in accord with Tao means completeness. And not to 

yield to material things is called perfection. If a superior man understands 

these ten points, he surely makes up his mind and all the world 

will come to him like rushing water." (ch. 12, NHCC, 5:la-3a) 

6. Nature vs. Man 

The Spirit of the North Sea said to Uncle River, 87 "A huge beam can 

knock down a city wall but cannot repair a breach which shows that 

85 This work is now lost. 

86 Wang Hsien-ch'ien said, "From the fact that later in the chapter it is said, 

'The Grand Master asked Lao Tzu. . .' we know this refers to Confucius." 

87 Same as Feng I in Chuang Tzu, ch. 6. 

205


different things have different capacities. Famous horses can travel a 

thousand li 88 in one day, but for catching rats they are not equal to a 

fox or a wild cat, which shows that different things have different skills. 

An owl can catch fleas at night, and sees the tip of a hair, but in the 

daytime even with its eyes wide open it cannot see a mountain, which 

shows that different things have different natures. Therefore it is said, 

'Why not let us follow the right instead of the wrong, and follow order 

instead of chaos?' This is to misunderstand the principle (li) of nature 

and the reality of things. It is like following heaven but not earth, and 

following yin but not yang. It is clear that it will not do. But people keep 

on saying that without stop. They must be either stupid or wrong. 

"Emperors and kings yielded their thrones in different ways, and the 

Three Dynasties 89 succeeded each other under different conditions. One 

who is out of step with the times and goes against the tide is a usurper, 

but one who is in keeping with the times and follows the tide is a man of 

high character. Better keep quiet, Uncle River. How do you know the 

distinction between noble and humble families and between the great 

and small houses?" 

"Then what shall I do?" asked Uncle River. "What shall I not do? 

Should I accept or reject, advance or withdraw?" 

The Spirit of the North Sea said, "From the point of view of Tao, what 

is noble and what is humble? They all merge into one. Never stick to 

one's own intention and thus handicap the operation of Tao. What is 

much and what is little? They replace and apply to each other. Never 

follow one stubborn course of action and thus deviate from Tao. Be 

serious as the ruler is to his people who is impartial in his kindness. Be 

as at ease as the sacrifice at the Spirit of Earth, where blessings are 

asked for all. And be as comprehensive as the four directions which 

know no limit and have no boundaries. Embrace all things without inclining 

to this or that way. This means not tending to any direction. 

"All things are one. Which is short and which is long? Tao has neither 

beginning nor end. Things are born and die, and their completion cannot 

be taken for granted. They are now empty and now full, and their 

physical form is not fixed in one place. The years cannot be retained. 

Time cannot be arrested. The succession of decline, growth, fullness, and 

emptiness go in a cycle, each end becoming a new beginning. This is 

the way to talk about the workings of the great principle and to discuss 

the principle of all things. The life of things passes by like a galloping 

horse. With no activity is it not changing, and at no time is it not moving. 

What shall we do? What shall we not do? The thing to do is to leave it 

to self-transformation." 

88 About one-third of a mile. 

206 

89 The Hsia, Shang, and Chou.


Uncle River said, "In that case, what is the value of Tao?" 

"One who knows Tao will surely penetrate the principle of things," 

said the Spirit of the North Sea, "and one who penetrates the principle 

of things will surely understand their application in various situations. 

He who understands their application in various situations will not 

injure himself with material things. A man of perfect virtue cannot be 

burnt by fire, nor drowned by water, nor hurt by the cold of winter or 

the heat of summer, or harmed by animals. It does not mean that he puts 

himself in these situations. It means that he discriminates between 

safety and danger, remains calm whether he suffers calamity or enjoys 

blessing, and is careful about taking or not taking an action, so that 

none can harm him. Therefore it is said that what is natural lies within 

and what is human lies without, and virtue abides in the natural. Know 

the action of Nature and man, follow Nature as the basis and be at ease 

with one's own situation, then one can expand or contract as times may 

require. This is the essential of learning and the ultimate of truth." 

"What do you mean by Nature and what do you mean by man?" 

The Spirit of the North Sea replied, "A horse or a cow has four feet. 

That is Nature. Put a halter around the horse's head and put a string 

through the cow's nose, that is man. Therefore it is said, 'Do not let man 

destroy Nature. Do not let cleverness destroy destiny. And do not sacrifice 

your name for gain.' Guard carefully your nature and do not let it 

go astray. This is called returning to one's true nature." (ch. 17, NHCC, 

6:17b-21b) 

7. Calmness of Mind 

Do not be the possessor of fame. Do not be the storehouse of schemes. 

Do not take over the function of things. Do not be the master of knowledge 

(to manipulate things). Personally realize the infinite to the highest 

degree and travel in the realm of which there is no sign. Exercise fully 

what you have received from Nature without any subjective viewpoint. 

In one word, be absolutely vacuous (hsü). 90 

The mind of the perfect man is like a mirror. It does not lean forward 

or backward in its response to things. It responds to things but conceals 

nothing of its own. Therefore it is able to deal with things without 

injury to [its reality]. (ch. 7, NHCC, 3:35b-36a) 

Comment. The mirror is an important symbol for the mind both 

in Zen Buddhism and in Neo-Confucianism. The difference is that 

with Buddhism, external reality is to be transcended, whereas with 

Chuang Tzu and Neo-Confucianists, external reality is to be re- 

90 Empty in the sense of having no bias or selfish desires. For a discussion of 

this term, see Appendix. 

207


sponded to naturally and faithfully, like a mirror objectively reflecting 

all. 91 

8. Sageliness and Kindliness 

The evolution of the Tao of Nature goes on without obstruction. 

Therefore all things are produced. The evolution of the Tao of the 

sovereign goes on without obstruction and therefore the whole empire 

comes to him. The evolution of the Tao of the sage goes on without 

obstruction and therefore the whole world pays him homage. He who 

understands Nature penetrates the way of the sage, and possesses the 

virtue of emperors and kings to the extent of the six directions (space) 

and the four seasons (time) will be able to leave things to take their 

own course, to be dimmed in his brilliancy, and to be tranquil in all 

respects. The sage is tranquil not because he says to himself, "It is good 

to be tranquil," and therefore became tranquil. He is tranquil because 

nothing disturbs him. 

When water is tranquil, its clearness reflects even the beard and the 

eyebrows. It remains definitely level, and master carpenters take it as 

their model. If water is clear when it is tranquil, how much more so is the 

spirit? When the mind of the sage is tranquil, it becomes the mirror of 

the universe and the reflection of all things. 

Vacuity, tranquillity, mellowness, quietness, and taking no action 

characterize the things of the universe at peace and represent the ultimate 

of Tao and virtue. Therefore rulers and sages abide in them. Abiding 

leads to vacuity (embracing all). Vacuity leads to actuality. Actuality 

leads to the establishment of order among all things. Vacuity leads to 

tranquillity, tranquillity leads to activity, and activity leads to adjustment. 

Tranquillity leads to taking no action, and taking no action leads 

to everyone fulfilling his duty. Because one takes no action, one is at 

peace himself, and when one is at peace himself, no worry or sorrow 

can affect him and he enjoys long life. 

Vacuity, tranquillity, mellowness, quietness, and taking no action are 

the root of all things. To understand them and to rule with them was 

how Yao was an emperor, and to understand them and to serve with 

them was how Shun was a minister. These are the virtue of rulers and 

emperors when they manage things above. They are the way of the 

profound mysterious sage and the uncrowned king 92 when they manage 

things below. When a person retires with these virtues and roams at 

leisure, all the scholars in the rivers and seas and hills and forests will 

91 See Paul Demiéville, "Le miroir spirituel," Sinologica 1 (1948), especially 

pp. 117-119. 

92 References to Lao Tzu and Confucius, respectively? 

208


admire him. If one assumes office with them to pacify the world, his 

achievements will be great and his fame will be prominent, and the 

empire will become unified. In tranquillity he becomes a sage, and in 

activity he becomes a king. He takes no action and is honored. He is 

simple and plain and none in the world can compete with him in excellence. 

For such a one understands this virtue of Heaven and Earth. He is 

called the great foundation and the great source of all being and is in 

harmony with Nature. One who is in accord with the world is in harmony 

with men. To be in harmony with men means human happiness, and to 

be in harmony with Nature means the happiness of Nature. (ch. 13, 

NHCC, 5:21b-24a) 

Comment. The equal importance of tranquillity and activity expressed 

here should dispel once and for all any doubt that the 

philosophy of Chuang Tzu is not the quietism of the Buddhist type. 

The idea that one should have sageliness within and kingliness without 

also means a balanced life. This latter idea later became a 

central one in Neo-Taoism. 

9. The Equality of Life and Death 

Chuang Tzu's wife died and Hui Tzu went to offer his condolence. 

He found Chuang Tzu squatting on the ground and singing, beating on 

an earthen bowl. He said, "Someone has lived with you, raised children 

for you and now she has aged and died. Is it not enough that you should 

not shed any tear? But now you sing and beat the bowl. Is this not too 

much?" 

"No," replied Chuang Tzu. "When she died, how could I help being 

affected? But as I think the matter over, I realize that originally she had 

no life; and not only no life, she had no form; not only no form, she had 

no material force (ch'i). In the limbo of existence and non-existence, 

there was transformation and the material force was evolved. The material 

force was transformed to be form, form was transformed to become 

life, and now birth has transformed to become death. This is like 

the rotation of the four seasons, spring, summer, fall, and winter. Now 

she lies asleep in the great house (the universe). For me to go about 

weeping and wailing would be to show my ignorance of destiny. Therefore 

I desist." (ch. 18, NHCC, 6:31b-32a) 

10. Subjectivity 

Chuang Tzu and Hui Tzu were taking a leisurely walk along the dam 

of the Hao River. Chuang Tzu said, "The white fish are swimming at 

ease. This is the happiness of the fish." 

209

THE MYSTICAL WAY OF CHUANG TZV 

"You are not fish," said Hui Tzu. "How do you know its happiness?" 

"You are not I," said Chuang Tzu. "How do you know that I do not 

know the happiness of the fish?" 

Hui Tzu said, "Of course I do not know, since I am not you. But you 

are not the fish, and it is perfectly clear that you do not know the happiness 

of the fish." 

"Let us get at the bottom of the matter," said Chuang Tzu. "When 

you asked how I knew the happiness of the fish, you already knew that 

I knew the happiness of the fish but asked how. I knew it along the 

river." (ch. 17, NHCC, 6:28a-29a) 

11. The Inner Spirit 

When Prince Yüan of Sung was about to have a portrait painted, all 

official painters came, bowed, and at the royal command stood waiting, 

licking their brushes and mixing their ink. Half of them were outside the 

room. One official came late. He sauntered in without hurrying himself, 

bowed at the royal command and would not remain standing. Thereupon 

he was given lodging. The prince sent a man to see what he did. He took 

off his clothes and squatted down bare-backed. The ruler said, "He will 

do. He is a true painter." (ch. 21, NHCC, 7:36b) 

Comment. In this simple story lies a basic principle of Chinese art. 

It is expressed in the phrase "taking off clothes and squatting down 

bare-backed," which has become a key phrase in essays on Chinese 

aesthetics. It means that art is dedicated to the expression of the 

inner spirit instead of physical verisimilitude and that painting 

should be a spontaneous and instantaneous flow of the brush. 

210

••• 9 ••• 

MO TZU'S DOCTRINES OF UNIVERSAL LOVE, 

HEAVEN, AND SOCIAL WELFARE 

systems in China. This is true so far as the last two thousand years are 

concerned. In ancient China, up to the beginning of the Han dynasty 

(206 B.C.-A.D. 220), the greatest schools were Confucianism and Moism. 

1 They dominated the intellectual scene from the fifth to at least the 

third century B.C. And they vigorously attacked each other. 

The two were bitter enemies because in their doctrines they were 

diametrically opposed. While Confucius took the Western Chou (1111- 

770 B.C.) as his model, Mo Tzu looked to the Hsia (2183-1752 B.C?) 

instead. The whole Confucian ethical system is based on the concept of 

humanity (jen), whereas Mo Tzu (fl. 479-438 B.C.) 2 based his on the 

concept of righteousness (i). Both are of course human values. But 

while Confucianists kept humanity essentially a human value, Mo Tzu 

traced righteousness to the will of Heaven. To the Confucianists, Heaven 

does not directly exert its will but leaves the moral law to operate by 

itself. To Mo Tzu, however, the will of Heaven determines all. Mo Tzu 

strongly condemns ceremonies, music, elaborate funerals, and the belief 

in fate (ming, destiny), all of which were promoted by Confucius and 

his followers. For Confucius, moral life is desirable for its own sake, 

whereas for Mo Tzu it is desirable because of the benefits it brings. Even 

his concept of the will of Heaven is colored by this utilitarian approach. 

The greatest divergence between Confucianism and Moism, however, 

is on the issue of human relations. What distinguishes the Moist movement 

is its doctrine of universal love: other people's parents, families, 

and countries are to be treated like one's own. This is of course absolutely 

incompatible with the basic Confucian doctrine of love with distinctions: 

while love should embrace all, it must start with love for one's parents; 

therefore, one has a special obligation of filial piety to parents. Thus 

there is a gradation or degree in human relations. If the Moist doctrine 

were adopted, the whole Confucian system would be destroyed from its 

very foundation. This was the reason why Mencius attacked Moism 

mercilessly. 3 

STUDENTS OF CHINESE thought are likely to think that Confucianism 

and Taoism have been the two outstanding indigenous philosophical 

The Moists challenged the Confucianists not only in theory, but also 

1 Often spelled "Mohism," although the "h" is entirely superfluous. 

2 The name Mo Tzu has been variously written as Moh-tse, Meh-tse, Micius, etc. 

3 Mencius, 3A:5, 3B:9. 

211

MO TZU'S DOCTRINES 

in actual practice. Like Confucius, Mo Tzu traveled from one state to 

another offering help to rulers. He did not hesitate to walk for ten days 

and ten nights in an effort to dissuade a ruler from making war, for he 

strongly condemned war. One might even say that the Confucianists and 

the Moists represented two entirely different groups of people. While 

Confucian followers came from all classes of society and Confucianism is 

basically equalitarian, they represented and aimed at producing an elite. 

We are not sure who the Moists were. The name Mo may have been a 

family name or may have denoted a form of punishment. The fact that 

Mo Tzu's followers were ascetics and had "elders" suggests that they 

might have been prisoners or slaves. All speculation aside, the fact remains 

that they may have represented the working class. If this is correct, 

then the opposition between Confucianism and Moism is a foregone 

conclusion. 

We know very little about Mo Tzu himself. His private name was Ti. 

He was a native of either Sung or Lu, Confucius' native state. He was 

once the chief officer of Sung. Some say he was at first a follower of Confucianism 

and then turned to be an opponent. Eventually he had about 

three hundred followers. His dates are uncertain except that probably he 

was born before Confucius died and died before Mencius was bora. Aside 

from continuing his ethical teachings, his followers also developed some 

epistemological interest and evolved a crude system of definition and 

argumentation, perhaps in order to defend their peculiar doctrines. Both 

of these teachings disappeared soon after the third century B.C. Ever 

since then, no Moist philosopher has appeared. The centuries of war in 

which Moism thrived was no time for intellectual hair-splitting and sophistry, 

and their condemnation of war did not endear them to rulers. 

Their asceticism and utilitarianism were too extreme to be practicable. 

But why did their lofty doctrine of universal love fail to continue? Was it 

too idealistic for the Chinese? Or was it inherently weak because it is 

largely motivated by the benefits it would bring? 4 The question is open 

to speculation. One thing is certain, and that is, philosophically Moism 

is shallow and unimportant. It does not have the profound metaphysical 

presuppositions of either Taoism or Confucianism. Consequently it was 

only a temporary challenge to other schools, though a strong one. In the 

last two thousand years, it was philosophically profound Taoism and 

Buddhism, and not Moism, that provided Confucianism with stimulation 

and challenge. Modern interest in Moism arose in China because of its 

utilitarian spirit, and in the West because of its superficial resemblance 

to the Christian teachings of the will of God and universal love. This 

4 On this question, see Dubs, "The Development of Altruism in Confucianism," 

Philosophy East and West, 1 (1951), pp. 48-55. 

212


interest is likely to be temporary. However, to understand ancient Chinese 

thought, a study of Moism is indispensable. The following translations 

include the three most important chapters and additional selections 

of Mo Tzu's work. 

THE MO TZU 5 

A. Universal Love, Pt. 2 (ch. 15) 

Mo Tzu said: What the man of humanity devotes himself to surely 

lies in the promotion of benefits for the world and the removal of harm 

from the world. This is what he devotes himself to. 

But what are the benefits and the harm of the world? 

Mo Tzu said: Take the present cases of mutual attacks among states, 

mutual usurpation among families, and mutual injuries among individuals, 

or the lack of kindness and loyalty between ruler and minister, of 

parental affection and filial piety between father and son, and of harmony 

and peace among brothers. These are harms in the world. 

But when we examine 6 these harms, whence did they arise? Did they 

arise out of want of mutual love? 

Mo Tzu said: They arise out of want of mutual love. At present feudal 

lords know only to love their own states and not those of others. Therefore 

they do not hesitate to mobilize their states to attack others. Heads 

of families know only to love their own families and not those of others. 

Therefore they do not hesitate to mobilize their families to usurp others. 

And individuals know only to love their own persons and not those of 

others. Therefore they do not hesitate to mobilize their own persons to 

injure others. For this reason, as feudal lords do not love one another, 

they will fight in the fields. As heads of families do not love one another, 

they will usurp one another. As individuals do not love one another, they 

will injure one another. When ruler and minister do not love each other, 

they will not be kind and loyal. When father and son do not love each 

other, they will not be affectionate and filial. When brothers do not love 

one another, they will not be harmonious and peaceful. When nobody 

5 The Mo Tzu is similar to the Hsün Tzu and later philosophical works in style 

in devoting each chapter to a particular subject. Originally there were seventyone 

chapters but only fifty-three are extant. They cover subjects like "Condemnation 

of Confucianists," "Condemnation of War," etc., and military defense. 

Chapters 40-45 are on dialects, including the definition of terms and the explanations 

of major and minor causes, and are believed to have been by Mo Tzu's 

pupils. There was no commentary until the eighteenth century. For English translation, 

see Mei, Ethical and Political Works of Motse, which contains most of 

the chapters. Some chapters have also been translated by others. For a German 

translation of chapters 40-45, not translated by Mei, see Forke, Mei Ti. 

6 Read ch'ung (honor) as ch'a (examine), according to Yü Yüen (1821-1906), 

Chu-tzu p'ing-i (Critique of the Various Philosophers), ch. 9, 1899 ed., 9:18b. 

213


in the world loves any other, the strong will surely overcome the weak, 

[The many will oppress the few], 7 the rich will insult the poor. The 

honored will despise the humble, and the cunning will deceive the ignorant. 

Because of want of mutual love, all the calamities, usurpations, 

hatred, and animosity in the world have arisen. Therefore the man of 

humanity condemns it. 

Now that it is condemned, what should take its place? 

Mo Tzu said: It should be replaced by the way of universal love and 

mutual benefit. 

What is the way of universal love and mutual benefit? 

Mo Tzu said: It is to regard other people's countries as one's own. Regard 

other people's families as one's own. Regard other people's person 

as one's own. Consequently, when feudal lords love one another, they 

will not fight in the fields. When heads of families love one another, they 

will not usurp one another. When individuals love one another, they 

will not injure one another. When ruler and minister love each other, 

they will be kind and loyal. When father and son love each other, they 

will be affectionate and filial. When brothers love each other, they will 

be peaceful and harmonious. When all the people in the world love one 

another, the strong will not overcome the weak, the many will not oppress 

the few, the rich will not insult the poor, the honored will not despise the 

humble, and the cunning will not deceive the ignorant. Because of 

universal love, all the calamities, usurpations, hatred, and animosity in 

the world may be prevented from arising. Therefore the man of humanity 

praises it. 

But now gentlemen of the world would say: Yes, it will be good if love 

becomes universal. Nevertheless, it is something distant and difficult to 

practice. 

Mo Tzu said: This is simply because gentlemen of the world fail to 

recognize its benefit and understand its reason. Now, to besiege a city, 

to fight in the fields, and to sacrifice one's own life for fame are what all 

people consider difficult. And yet when a ruler likes them, his multitude 

can do them. Besides, to love one another universally and to benefit one 

another mutually is different from these. Those who love others will be 

loved by others. Those who benefit others will be benefited by others. 

Those who hate others will be hated by others. And those who harm 

others will be harmed by others. Then, what difficulty is there with this 

universal love? Only the ruler does not make it his governmental measure 

and officers do not make it their conduct. 

7 According to Sun I-jang (1848-1908), Mo Tzu chien-ku (Explanation and 

Commentary on the Mo Tzu), these words are probably missing from the original 

text. 

214


Comment. The motive of benefits is behind all Moist doctrines. 

Confucianists throughout history have condemned benefits as motivation 

instead of righteousness. For Confucius, a main difference 

between a superior man and an inferior man is that the former is 

after righteousness and the latter after benefits. 8 Not that Confucianism 

renounces benefits. On the contrary, it promotes them. 

But they should be the results of good deeds, not the motivation for 

them. Mo Tzu does emphasize righteousness, but to him righteousness 

is to be understood in terms of beneficial results. 

Formerly, Duke Wen 9 of Chin liked his officers to wear coarse clothing. 

Therefore all his ministers wore [simple] sheepskin garments, carried 

their swords in [unadorned] leather girdles, and put on hats of plain 

cloth. Thus attired, they appeared before the ruler inside and walked 

around the court outside. What was the reason for this? It was because 

the ruler liked it and therefore the ministers could do it. Formerly, King 

Ling 10 of Ch'u wanted people to have slender waists. Therefore all his 

ministers limited themselves to one meal a day. They exhaled before they 

tied their belts. They leaned against the wall before they could stand up. 

Within a year all at court looked thin and dark. What was the reason 

for this? It was because the ruler liked it and therefore the ministers 

could do it. Formerly, King Kou-chien 11 of Yüeh liked his officers to be 

brave. He trained his ministers, gathered them together, set his palace 

boat on fire and, to test his officers, said that all the treasure of Yüeh 

was there. The King of Yüeh himself beat the drum to urge them on. 

As the officers heard the drum, they rushed in disorder. More than a 

hundred stepped into the fire and died. Then the King of Yüeh beat the 

gong to let them retreat. 

Therefore Master Mo said: Now, to eat little, to wear coarse clothing, 

and to sacrifice one's life for fame are things all people in the world consider 

difficult. But if the ruler likes them, the multitude can do them. 

Besides, universal love and mutual benefit are different from these. Those 

who love others will thereby be loved by them. Those who benefit others 

will thereby be benefited by them. Those who hate others will thereby 

be hated by them. And those who harm others will thereby be harmed 

by them. What difficulty is there in this (universal love)? Only the ruler 

does not make it his governmental measure and officers do not make it 

their conduct. 

Comment. Universal love is promoted by Moism because of its 

beneficial results. There is no conviction that it is dictated by the 

8 See Analects, 4:11, 16; 15:17; 17:23. 

9 R. 636-628 B.C. 1 0 R. 530-527 B.C. 11 Fl. 452 B.C. 

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inherently good nature of man or by the inherent goodness of the 

act. Although Confucianism teaches love with distinctions, it also 

teaches love for all, but it does so on the grounds of moral necessity 

and of the innate goodness of man. 12 

But now gentlemen of the world would say: Yes, it will be good if 

love becomes universal. Nevertheless, it is something impracticable. It is 

like grappling with Mount T'ai and leaping over the Chi River. 13 

Mo Tzu said: The analogy is wrong. To grapple with Mount T'ai 

and leap across River Chi would be truly an extreme feat of strength. 

From antiquity down to the present day none has been able to do it. 

Besides, universal love and mutual benefit are different from this. Ancient 

sage-kings did practice them. How do we know this to be the case? In 

ancient times, when Yü 14 was ruling the empire, he dug the West and 

the Yü-tou Rivers in the west to release the water from the Ch'ü-sunhuang 

River. In the north he built a dam across the Yüan-ku River in 

order to fill the Hou-chih-ti and Hu-ch'ih Rivers. Mount Ti-chu was 

used as a water divide and a tunnel was dug through Lung-men Mountain. 

All this was done for the benefit of the Yen, Tai, Hu, and Ho tribes 

and the people west of the Yellow River. In the east, he drained the 

great plain and built dikes around the Meng-chu marshes and the water 

was divided into nine canals in order to regulate the water in the east 

and to benefit the people of the district of Chi. In the south he regulated 

the Yangtze, Han, Huai, and Ju Rivers so their water flowed eastward 

and emptied into the Five Lakes, in order to benefit the peoples of 

Ching, Ch'u, Kan, and Yüeh and the barbarians of the south. This is the 

story of Yü's accomplishments. This shows that my doctrine of universal 

love has been practiced. 

Comment. While Confucianists cited historical examples for inspiration 

and as models, Mo Tzu cited them to show that his 

teachings had been demonstrated. The difference between the 

idealistic and practical approach is clear. 

In ancient times, when King Wen 15 ruled the Western Land, he shone 

like the sun and the moon all over the four quarters as well as the 

Western Land. He did not permit a big state to oppress a small state, 

or the multitude to oppress the widow or widower, or the ruthless and 

powerful to rob people's grains or live stocks. Heaven recognized his 

deeds and visited him with blessings. Consequently, the old and childless 

12 See above, ch. 3, comment on Mencius, 3B:9 for a discussion on the doctrine 

of love with distinctions in relation to the doctrine of universal love. 

13 This is a reference to Mencius, 1A:7. 

14 

Founder of the Chou dynasty (r. 1751-1739 B.C.). 

15 Founder of the Hsia dynasty (r. 2183-2175 B.C.?). 

216


were well adjusted and enjoyed their full life span, the lonely and 

brotherless had opportunity to fulfill their work among mankind, 16 and 

the orphaned had the support to grow up. This is the story of King Wen's 

accomplishment. It shows that my doctrine of universal love has been 

practiced. 

In ancient times when King Wu 17 was about to sacrifice to Mount 

T'ai, it was recorded, he said, "Mount T'ai, virtuous descendent King 

of the Chou assumed a great undertaking [to remove wicked King Chou 18 

of the Shang] and now the great undertaking has been accomplished. Men 

of humanity have arisen, and I pray the Lord on High to save the people 

of the Middle Kingdom (China) and the various barbarian tribes. Although 

King Chou had his near relatives, they cannot compare with my 

men of humanity. If there is any blame anywhere, the responsibility 

rests with me alone." 19 This is the story of King Wu's accomplishment. 

It shows that my doctrine of universal love has been practiced. 

Therefore Mo Tzu said: If rulers of the world today really want the 

empire to be wealthy and hate to have it poor, want it to be orderly and 

hate to have it chaotic, they should practice universal love and mutual 

benefit. This is the way of the sage-kings and the principle of governing 

the empire, and it should not be neglected. (SPTK, 4:3a-8a.) 

B. The Will of Heaven, Pt. 1 (ch. 26) 

Mo Tzu said: Gentlemen of the world today know small things and 

do not know great things. How do we know? We know from their conduct 

at home. If in their conduct at home they should offend their elders, 

there are still the homes of neighbors to which to flee. Yet relatives, 

brothers, and acquaintances all warn and admonish them, saying, "You 

must be cautious. You must be careful. How can it be to offend elders in 

one's conduct at home?" Not only is this true of conduct at home. It is 

also true of conduct in the state. If in one's conduct in the state one 

should offend the ruler, there are still the neighboring states to which to 

flee. Yet relatives, brothers, and acquaintances all warn and caution 

him, saying, "You must be cautious. You must be careful. How can it 

be to offend the ruler in one's conduct in the state?" These are people 

who have places to flee. Yet the warning and caution to them are strong 

like this. Should the warning and caution not be much stronger for those 

who have no place to flee? There is a saying: "If one commits a sin in 

daylight, where can he flee?" I say: There is no place to flee. For Heaven 

16 The word tse means to fulfill or accomplish, said Sun I-jang. 

17 Son of King Wen (r. 1121-1116 B.C.). 

18 R. 1175-1112 B.C. He was responsible for the fall of the Shang dynasty 

(1751-1112 B.C.). 


217


should not be regarded as a forest, a valley, or an obscure gate 20 where 

no one is present. It will surely see the evil action clearly. But with regard 

to Heaven, gentlemen of the world today are all negligent and do not 

warn and caution one another. This is how we know that the gentlemen 

in the world know small things but do not know great things. 

Now what does Heaven want and what does Heaven dislike? Heaven 

wants righteousness and dislikes unrighteousness. Therefore, in leading 

the people in the world to engage in practicing righteousness, I should 

be doing what Heaven wants. When I do what Heaven wants, Heaven 

also does what I want. Now, what do I want and what do I dislike? I 

want happiness and wealth, and dislike calamities and misfortunes. [If I 

do not do what Heaven wants and do what Heaven does not want,] then 

I should be leading the people in the world to devote themselves to 

calamities and misfortunes. But how do we know that Heaven wants 

righteousness and dislikes unrighteousness? I say: With righteousness 

the world lives and without righteousness the world dies, with it the 

world becomes rich and without it the world becomes poor, with it the 

world becomes orderly and without it the world becomes chaotic. Now, 

Heaven wants to have the world live and dislikes to have it die, wants to 

have it rich and dislikes to have it poor, and wants to have it orderly and 

dislikes to have it chaotic. Therefore I know Heaven wants righteousness 

and dislikes unrighteousness. 

Comment. Even the will of Heaven and righteousness are explained 

in terms of practical results. 

Moreover, righteousness is the standard. 21 It is not to be given by the 

subordinate to the superior but must be given from the superior to the 

subordinate. Therefore, the common people should attend to their work 

with all their might, and should not forthwith 22 set up the standard themselves. 

There are minor officials to give them the standard. Minor officials 

should attend to their work with all their might and should not forthwith 

set the standard themselves. There are great officials to give them the 

standard. 23 Great officials should attend to their work with all their might 

and should not forthwith set the standard themselves. There are the three 

20 Wang Nien-sun (1744-1832), Tu-shu tsa-chih (Miscellaneous Notes from 

Reading), 1933 ed., bk. 9, p. 71, reads men (gate) as hsien (leisure) and Pi Yuan 

(1730-1797), Mo Tzu chu (Commentary on the Mo Tzu) reads it as chien 

(brook), both without improving the text. 

21 Cheng, ordinarily meaning to govern, here means to be correct or to be a 

standard, according to Wang Nien-sun, Tu-shu tsa-chih, ibid., and Sun I-jang, 

Mo Tzu hsien-ku, ch. 7. 

22 Sun I-jang interprets tz'u as forthwith but Pi Yuan reads it as tzu, to indulge 

in. 23 The text says "generals and officials" but Sun I-jang says that means great 

officials. 

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ministers 24 and the several feudal lords to give them the standard. The 

three ministers and the several feudal lords should attend to government 

with all their might and should not forthwith set the standard themselves. 

There is the Son of Heaven (emperor) to give them the standard. The 

emperor should not forthwith set the standard himself. There is Heaven 

to give him the standard. Gentlemen of the world of course clearly 

understand that the emperor gives the standard to the three ministers, 

the several feudal lords, the minor officials, and the common people, but 

the common people of the world do not clearly understand that Heaven 

gives the standard to the emperor. Therefore the ancient sage-kings of the 

Three Dynasties, 25 Yü, T'ang, 26 and Wu, desiring to make it clear to the 

common people that Heaven gives the standard to the emperor, all fed 

oxen and sheep with grass and dogs and pigs with grain, and cleanly 

prepared pastry and wine to sacrifice to the Lord on High and spiritual 

beings and pray to Heaven for blessing. But I have not heard of Heaven 

praying to the emperor for blessing. I therefore know that Heaven gives 

the standard to the emperor. 

Thus the emperor is the most honorable in the world and the richest 

in the world. Therefore those who desire honor and wealth cannot but 

obey the will of Heaven. Those who obey the will of Heaven love universally 

and benefit each other, and will surely obtain rewards. Those 

who oppose the will of Heaven set themselves apart from each other, 

hate each other, and injure each other, and will surely incur punishment. 

Now, who were those who obeyed the will of Heaven and obtained rewards 

and who were those who opposed the will of Heaven and incurred 

punishment? 

Mo Tzu said: The ancient sage-kings of the Three Dynasties, Yü, 

T'ang, Wen, and Wu, were those who obeyed the will of Heaven and 

obtained rewards. The wicked kings of the Three Dynasties, Chieh, 27 

Chou, Yu, 28 and Li, 29 were those who opposed the will of Heaven and 

incurred punishment. 

Well, how did Yü, T'ang, Wen, and Wu obtain rewards? Mo Tzu 

said: On the highest level they honored Heaven, on the middle level 

they served spiritual beings, and on the lower level they loved the people. 

Thereupon the will of Heaven proclaimed, "They love universally those 

whom I love. They benefit universally those whom I benefit. Such love 

of people is really universal and such benefit to people is really substantial." 

Therefore Heaven caused them to have the honor of being 

24 

The grand protector, the grand preceptor, and the grand tutor. 

25 

Hsia, Shang, and Chou. 

26 

Founder of the Shang dynasty (r. 1751-1739 B.C.?). 

27 

He (r. 1802-1752 B.C.) lost the Hsia dynasty. 

28 

29 R. 781-771 B.C. 

R. 878-842 B.C. 

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Sons of Heaven and possess the wealth of the whole empire. Their heritages 

were continued by the descendants of ten thousand generations, 

who continually praised their good deeds. They spread [benefits] all 

over the world, and people praise them to this day, calling them sagekings. 

Well, how did Chieh, Chou, Yu, and Li incur punishment? Mo Tzu 

said: On the highest level they blasphemed against Heaven, on the 

middle level they blasphemed against spiritual beings, and on the lower 

level they injured the people. Thereupon the will of Heaven proclaimed, 

"They set themselves apart from those whom I love and hated them. 

They injure all those whom I benefit. Such hatred of people is really universal 

and such injury to people is really substantial." Therefore Heaven 

caused them not to live out their life-span or to survive their generation. 

They are condemned to this day and are called wicked kings. 

But how do we know that Heaven loves all the people in the world? 

Because it enlightens them all. How do we know that it enlightens them 

all? Because it possessses them all. How do we know that it possesses 

them all? Because it feeds them all. How do we know that it feeds them 

all? I say: Within the four seas (the world) all grain-eating (civilized) 

people feed oxen and sheep with grass and dogs and pigs with grain, and 

cleanly prepare pastry and wine to sacrifice to the Lord on High and 

spiritual beings. Possessing all people, how could Heaven not love them? 

Moreover, I declare that for the murder of one innocent person, there 

will surely be one misfortune. Who is it that murders the innocent person? 

It is man. Who is it that sends down misfortune? It is Heaven. If it is 

thought that Heaven does not love the people of the world, why does it 

send misfortune because a man murders a man? This is why I know that 

Heaven loves the people of the world. 

To obey the will of Heaven is to use righteousness as the method of 

control. To oppose the will of Heaven is to use force as the method of 

control. 30 What will happen if righteousness is used as a method of 

control? Mo Tzu said: A ruler of a big state will not attack a small state. 

A ruler of a large family will not usurp a small family. The strong will not 

plunder the weak. The honored will not despise the humble. And the 

cunning will not deceive the ignorant. This is beneficial to Heaven on 

the highest level, beneficial to spiritual beings on the middle level, and 

beneficial to man on the lower level. Being beneficial to these three means 

being beneficial to all. Therefore the whole world gives them a good 

name and calls them sage-kings. 

Comment. In teaching obedience to the will of Heaven, Mo Tzu 

30 According to Sun I-jang, cheng, which ordinarily means to govern, should be 

cheng, meaning the way to control. 

220


was the most religious of ancient Chinese philosophers. No one 

else relied on religious sanction as much as he did. Some scholars 

even suggested that he founded a religion, assuming that his followers 

formed some sort of a religious group. If so, he was the 

only personal religious founder in ancient China. 

Those who use force as the way of control will act differently. Their 

words will be different and their action will be the opposite, like galloping 

back to back. A ruler of a large state will attack a small state. A 

ruler of a large family will usurp a small family. The strong will plunder 

the weak. The honorable will despise the humble. And the cunning will 

deceive the ignorant. This is not beneficial to Heaven on the highest 

level, not beneficial to spiritual beings on the middle level, and not beneficial 

to people on the lower level. Not being beneficial to these three 

means not being beneficial to all. Therefore the whole world gives them 

a bad name and calls them wicked kings. 

Mo Tzu said: The will of Heaven to me is like the compasses to the 

wheelwright and the square to the carpenter. The wheelwright and the 

carpenter apply their square and compasses to measure all square and 

circular objects in the world. They say that those that fit are correct and 

those that do not fit are not correct. The writings of the scholars and 

gentlemen of the world today cannot all be loaded in carts and the many 

doctrines they teach cannot all be enumerated. They try to persuade 

the feudal lords above and various minor officials below. But as to 

humanity and righteousness, they are far, far off the mark. How do 

I know? I say: I have the shining model in the world (the will of Heaven) 

to measure them. (SPTK, 7:1a-6a) 

C. Attack on Fatalism, Pt. 1 (ch. 35) 

Mo Tzu said: In ancient times kings, dukes, and great officials, who 

ruled the state all wanted their country to be rich, their population to be 

large, and their administration of government to be orderly. But instead 

of wealth they got poverty, instead of a large population they got a small 

population, and instead of order they got chaos. Fundamentally this is 

to lose what they desired but to get what they disliked. What is the 

reason? Mo Tzu said: It was due to the large number of fatalists among 

the people. 

The fatalists say: When fate (ming) decrees that the country shall be 

wealthy, it will be wealthy. When it decrees that it shall be poor, it will 

be poor. When fate decrees that the population shall be large, it will be 

large. When it decrees that it shall be small, it will be small. When it 

decrees that the country shall be orderly, it will be orderly. When it de- 

221


crees that it shall be chaotic, it will be chaotic. When fate decrees that 

one shall enjoy longevity, one will enjoy longevity. And when fate decrees 

that one will suffer brevity of life, he will suffer brevity of life. 

What is the use of exerting strong [effort]? 31 With this doctrine they tried 

to persuade the kings, dukes, and great officials above and to prevent 

the common people from doing their work. Therefore the fatalists are 

not men of humanity. Their doctrine must be clearly examined. 

Comment. Both Confucianists and Taoists discussed ming in its 

more fundamental aspect of destiny, that is, man's endowment and 

function in relation to the total existence of the universe. Mo Tzu, 

however, looked at ming only in its narrow meaning of fate, and he 

discussed it primarily from the point of view of its effects. The 

deeper philosophical and religious phases did not interest him. 

Now, how is this doctrine to be clearly examined? Mo Tzu said: 

For any doctrine some standard must be established. To expound a doctrine 

without a standard is like determining the directions of sunrise and 

sunset on a revolving potter's wheel. In this way the distinction of right 

and wrong and benefit and harm cannot be clearly known. Therefore for 

any doctrine there must be the three standards. 32 What are the three 

standards? Mo Tzu said: [1] There must be a basis or foundation. [2] 

There must be an examination. [3] And there must be practical application. 

[1] Where to find the basis? Find it in the [will of Heaven and the 

spirits and] 33 the experiences of the ancient sage-kings above. [2] How 

is it to be examined? It is to be examined by inquiring into the actual 

experience of the eyes and ears of the people below. [3] How to apply 

it? Put 34 it into law and governmental measures and see if they bring 

about benefits to the state and the people. These are called the three 

standards. 

Comment. A surprisingly scientific procedure: basis, examination, 

and application. A theory is to be verified and tested in actual 

experience. One cannot help sensing a strongly pragmatic flavor. 

[1] But some of the gentlemen of the world today believe that there 

is fate. Why not look into the experiences of the sage-kings? In ancient 

times the chaos created by King Chieh was taken over by King T'ang 

31 The idea of effort is found in pts. 2 and 3, or chs. 27 and 28 of the Mo Tzu. 

32 In chs. 36 and 37 of the Mo Tzu, fa is used instead of piao as it is here. According 

to Sun I-jang, they all have the same meaning as i, which is translated as 

"standard" above. 

33 These inserted words appear in a similar passage in the opening paragraph of 

Mo Tzu, ch. 36. 

34 According to Wang Nien-sun, ibid., p. 87, fei and fa were interchangeable, 

meaning to issue forth. 

222


and replaced by order, and the chaos created by King Chou was taken 

over by King Wu and turned into order. The times were the same and 

the people were not different, and yet the empire was a chaos under 

Chieh and Chou but an orderly state under T'ang and Wu. How can it 

be said that there is fate? 

[2] But some of the gentlemen of the world today believe that there 

is fate. Why not look into the written records of past rulers? In the 

written records of past rulers what were issued to the whole country and 

distributed among the people were the laws. Did any of them say that 

blessings cannot be invoked and calamities cannot be averted, or that 

reverence does no good and cruelty does no harm? What were employed 

to settle litigations and mete out punishment were the laws. Did any of 

them say that blessings cannot be invoked and calamities cannot be 

averted, or that reverence does no good and cruelty does no harm? 

What were used to organize armies and order soldiers were the declarations. 

Did any of them say that blessings cannot be invoked and calamities 

cannot be averted, or that reverence does no good and cruelty does 

no harm? Mo Tzu said: I have not enumerated all 35 the records. The 

good records of the world are innumerable. Generally speaking, they are 

the three types. 36 Try as we may, we cannot find there the doctrine of 

those who believe in fate. Should the doctrine not be abandoned? 

[3] To adopt the doctrine of those who believe in fate is to upset 

righteousness in the world. To upset righteousness in the world is to 

establish fate. This means sorrow for the people. And to be delighted in 

people's sorrow is to destroy them. Now, why do we want men of righteousness 

in the government? The answer is that when men of righteousness 

are in the government the world will be in order, the Lord on High, 

mountains and rivers, and spiritual beings will be sacrificed to by their 

proper sacrificers, and the people will receive great benefits from them. 

How do we know? Mo Tzu said: In ancient times T'ang was conferred a 

fief at Po. Making allowance for the irregular boundary lines, his territory 

was one hundred li 37 in width and length. He and his people loved one 

another universally and benefited one another mutually. They shared 

the wealth when there was abundance. He led his people to honor 

Heaven and serve spiritual beings above. Consequently Heaven and 

spiritual beings enriched them, the feudal lords befriended them, the 

people loved them, and the worthy scholars came to them. Within a 

generation he became king of the empire and leader 38 of the feudal lords. 

In ancient times King Wen was conferred a fief at the Chou district 

35 According to Pi Yüan, the word yen (salt) is a misprint for chin (all). 

36 The text has "five" but it should have been three, according to Pi Yüan. 


38 Sun I-jang said that cheng here means to be a leader. 

223


at the foot of Ch'i Mountain. Making allowance for the irregular boundary 

lines, his territory was one hundred li in width and length. He and 

his people loved one another universally and benefited one another 

mutually. Therefore those near him were contented with his government 

and those far away came to the fold of his virtue. Those who heard of 

King Wen all rose up and rushed to him. The weak, the unworthy, and 

the paralyzed remained where they were and expressed their desires, 

saying, "Why is King Wen's land not extended to include us? Wouldn't 

we then enjoy the same benefits as the subjects of King Wen?" Therefore 

Heaven and spiritual beings enriched them, the feudal lords 

befriended them, the people loved them, and the worthy scholars came 

to them. Within a generation he became king of the empire and leader 

of the feudal lords. I have said, when men of righteousness are in the 

government, the world will be in order, the Lord on High, mountains 

and rivers, and spiritual beings will be sacrificed to by their proper 

sacrificers, and the people will receive great benefits from them. From 

these ancient experiences I know what I said is true. 

Therefore ancient sage-kings propagated laws and issued edicts, and 

offered rewards and punishments to encourage virtue [and check wickedness]. 

39 Consequently, people showed filial piety and deep love to 

their parents at home and respect to their elders in the community. They 

followed a standard in their conduct, observed discipline in their movements, 

and maintained the distinction between men and women. When 

they were ordered to manage official treasuries, they would not steal. 

When they were ordered to defend a city, they would not desert or rebel. 

When their ruler met with death, they sacrificed their own lives. When 

their ruler fled, they followed him. This is what the superior rewarded 

and the common people praised. But those who believe in fate say, 

"Whoever is rewarded by the superior is of course rewarded by fate. It is 

not because of virtue that he is rewarded. Whoever is punished is of 

course punished by fate. It is not because of his cruelty that he is punished." 

In consequence people do not show filial piety and deep love to 

their parents at home or respect to their elders in the community. They 

do not follow any standard in their conduct, observe discipline in their 

movements, or maintain the distinction between men and women. Therefore 

when they manage the official treasuries, they would steal. When 

they defend a city, they would desert or rebel. When their ruler meets with 

death, they would not sacrifice their lives. When their ruler flees, they 

would not follow him. This is what the superior will punish and the 

common people will condemn. But those who believe in fate say, 

39 According to Sun I-jang, these words should have been added to the text. 

224


"Whoever is punished by the superior is of course punished by fate. 

It is not because of his cruelty that he is punished. Whoever is rewarded 

by the superior is of course rewarded by fate. It is not because of his 

virtue that he is rewarded." As a ruler he who holds this doctrine will 

not be righteous. As a minister he will not be loyal. As a father he will not 

be deeply loving. As a son he will not be filial. As an elder brother he 

will not be brotherly. And as a younger brother he will not be respectful. 

The unreasoning adherence to this doctrine is the source of evil ideas 

and the way of the wicked man. 

How do we know that fatalism is the way of the wicked man? Poor 

people of ancient times were greedy in drinking and eating but lazy in 

their work. Therefore their resources for food and clothing were inadequate, 

and the troubles of hunger and cold were approaching. They did 

not know enough to say, "We are weak and unworthy. We did not work 

hard." But they would say, "It is originally our fate that we are poor." 

The wicked kings of ancient times did not check the indulgence of their 

ears and eyes and the depravity of their minds. They did not obey their 

ancestors and consequently they lost their countries and ruined their 

states. They did not know to say, "We are weak and unworthy. Our 

government has not been good." But they would say, "It is originally 

our fate that we lost them." The "Announcement of Chung-hui" says, 

"I have heard that the man of the Hsia (King Chieh) issued orders to the 

world and falsely claimed them to be the Mandate of Heaven (T'ienming). 

The Lord on High was for this reason displeased and [ordered 

King T'ang] to destroy his armies." 40 This tells how King T'ang showed 

Chieh's belief in fate to be wrong. The "Great Oath" says, "King Chou 

abides squatting on the floor, not serving the Lord on High or spiritual 

beings. He neglected his ancestors and did not sacrifice to them. Thereupon 

he said, 'I [have] the people and I have the mandate (fate).' He 

neglected his duty. 41 Heaven also cast him away and withdrew its protection. 

42 This tells how King Wu (who removed King Chou) showed 

Chou's belief in fate to be wrong. 

If the doctrine of the fatalist is put into practice, the ruler above would 

not attend to government, and people below would not attend to their 

work. If the ruler does not attend to government, then law and government 

will be disorderly. If the people do not attend to their work, wealth 

and resources will not be adequate. Then on the higher level there will 

40 Paraphrasing History, "Announcement of Chung-hui. Cf. trans., Legge, Shoo 

King, p. 178. 

41 The text of this sentence is obscure. This is Pi Yüan's interpretation based on 

the phraseology of a similar passage at the end of ch. 36. 

42 The whole quotation is a paraphrase of History, "Great Oath." Cf. Legge, 

p. 286. The last sentence does not appear in History. 

225


not be the supply of pastry and wine to offer in sacrifice to the Lord on 

High and spiritual beings, and on the lower level there will be nothing 

to satisfy and comfort the worthy scholars of the world. Externally, 

there will be nothing to entertain the feudal lords as guests, and internally, 

there will be nothing to feed the hungry, clothe the cold, support 

the aged and protect the weak. Therefore on the higher level fatalism 

is not beneficial to Heaven, on the middle level it is not beneficial to 

spiritual beings, and on the lower level it is not beneficial to men. The 

unreasoning adherence to this doctrine is the source of evil ideas and 

the way of the wicked man. Therefore Mo Tzu said: If the gentlemen 

of the world today really want the world to be rich and dislike it to 

be poor, and want the world to be orderly and dislike it to be chaotic, 

they must condemn the doctrine of fatalism. It is a great harm to the 

world. (SPTK, 9:1a-6b.) 

1. Utilitarianism 

D. Additional Selections 

Mo Tzu said: Any word or action that is beneficial to Heaven, spiritual 

beings, and the people is to be undertaken. Any word or action that is 

harmful to Heaven, spiritual beings, and the people is to be rejected. 

Any word or action that is in accord with the sage-kings of the Three 

Dynasties, sage-emperors Yao and Shun, 43 and sage-kings Yü, T'ang, 

Wen, and Wu is to be undertaken. Any word or action that is in accord 

with the wicked kings of the Three Dynasties, Chieh, Chou, Yu, and Li, 

is to be rejected. 

Mo Tzu said: Any doctrine that can elevate conduct should be 

perpetuated. Any doctrine that cannot elevate conduct should not be 

perpetuated. To perpetuate those doctrines that cannot elevate conduct 

is a waste of speech. (ch. 47, SPTK, 12:2b-3a.) 

When a sage rules a state, the benefits of that state may be doubled. 

When he extends his rule to the empire, those of the empire may be 

doubled. This twofold increase is not the result of appropriating land 

from outside, but that of doing away with useless expenditure in the 

state. In issuing orders, promoting any undertaking, employing the 

people, or expending wealth, the sage-kings in their administration 

never do anything that is not useful. Therefore resources are not wasted 

and the people can 44 be free from being overworked, and many benefits 

will be promoted. . . . 

In ancient times the sage-kings formulated laws which said, "No man 

of twenty should dare to remain single, no girl of fifteen should dare 

43 Legendary rulers (3rd millennium B.C.). 

44 According to Sun I-jang, te (virtue) is to be read te (can). 

226


to be without her master." This was the law of sage-kings. Now that 

the sage-kings have passed away, the people do what they want. Those 

who like to have a family early sometimes marry at twenty. Those who 

like to have a family later sometimes marry at forty. When the late 

marriages are made up by the early marriages, the average is still later 

by ten years than the legal age decreed by the sage-kings. Suppose 

there is one birth in three full years, then there would be two or three 

children born [by the time men now marry]. This does not only show 

that if people are caused to marry early, the population can be doubled. 

But that is not all. Rulers of today reduce the population in more 

ways than one. They overwork the people in employing them, and impose 

heavy burdens by levying taxes. People's resources become insufficient 

and innumerable people die of hunger and cold. Moreover, great 

officials mobilize armies to invade neighboring states, for a whole year 

in long expeditions or for a few months in quicker ones. For a long 

time, husbands and wives would not see each other. These are ways in 

which population is reduced. . . . (ch. 20, SPTK, 6:1a-2b.) 

2. The Condemnation of War 

Now does it mean that to annex a state and destroy an army, injure 

and oppress the people, and throw the heritages of sages into confusion 

will benefit Heaven? But to recruit the people of Heaven to attack the 

cities of Heaven is to murder the people of Heaven, smash altars, demolish 

shrines, and kill sacrificial animals. In this way, on the higher 

level no benefit to Heaven can be attained. Does it mean to benefit 

spiritual beings? But people of Heaven are murdered and spiritual beings 

are denied their patron sacrifices. The spirits of past rulers are neglected. 

The multitude are injured and oppressed and the people are 

scattered. Thus on the middle level no benefit to spiritual beings can 

be attained. Does it mean to benefit the people? The benefit to the 

people from killing the people of Heaven is slight 45 indeed! And calculate 

its cost! This is the root of destruction of life. It exhausts the people 

to an immeasurable degree. Thus on the lower level no benefit to the 

people can be attained. (ch. 19, SPTK, 5:9a-9b.) 

3. The Condemnation of Wasteful Musical Activities 

The reason why Mo Tzu condemns music is not because the sounds 

of the big bells, resounding drums, harps, and pipes are not delightful. . . . 

But set against the past it is not in accord with the deeds of the sagekings 

and checked with the present it is not in accord with the benefits 

45 Read po (extensive) as po (thin), according to Yü Yüeh, Chu-tzu p'ing-i 

(Textual Critiques of the Various Philosophers) ch. 9, 1899 ed., 9:20a. 

227


of the people. Therefore Mo Tzu said: To engage in music is wrong. . . . 

Mo Tzu said: To levy heavy taxes on the people in order to produce 

the sounds of big bells, resounding drums, harps, and pipes does not 

help the promotion of benefits and the removal of harms in the world. 

Therefore Mo Tzu said: To engage in music is wrong. . . . To have men 

engage in music is to waste their time for ploughing and planting. To 

have women engage in music is to waste their effort for weaving and 

spinning. Now, kings, dukes, and great officials engage in music. To 

strike musical instruments to produce music, they loot the people's resources 

for food and clothing to such an extent! Therefore Mo Tzu 

said: To engage in music is wrong. 

Now, the sounds of big bells, resounding drums, harps, and pipes are 

produced. It is no pleasure for the great lords to play and listen alone. They 

must enjoy it either with the common people or with the rulers. If with 

the rulers, it will cause them to neglect their attention to government. If 

with the common people, it will cause them to neglect their work. Now 

kings, dukes, and great officials engage in music. To strike musical instruments 

they loot the people's resources for food and clothing to such 

an extent! Therefore Mo Tzu said: To engage in music is wrong. 

Formerly Duke K'ang 46 of Ch'i promoted music and dance. The 

dancers 47 were not to wear coarse garments or eat coarse food. They said 

that if food was not good, their appearance and complexion would not be 

good to look at, and if clothing was not beautiful the body and its movements 

would not be good to observe. Therefore their food had to consist 

of grain and meat and their clothing of beautiful patterns and embroidery. 

This is not to produce material for food and clothing but to live 

on others all the time. Therefore Mo Tzu said: Now, kings, dukes, and 

great officials engage in music. To strike musical instruments they loot 

the people's resources for food and clothing to such an extent! Therefore 

Mo Tzu said: To engage in music is wrong. . . . 

Now, kings, dukes, and great officials love music and listen to it, they 

certainly cannot go to court early and retire late in order to listen to 

litigations and administer the government. Therefore the country is in 

chaos and the state in danger. . . . Therefore Mo Tzu said: To engage 

in music is wrong. (ch. 32, SPTK, 8:14a-18b) 

4. The Condemnation of Elaborate Funerals 

Now the gentlemen on the world still doubt whether elaborate funerals 

and extended mourning are right or wrong, beneficial or harmful. 

Therefore Mo Tzu said: I have inquired into the matter. If the doctrines 

46 R. 404-379 B.C. 

47 Following Sun I-jang, read wan (ten thousand) as wu (to dance). 

228


of those who advocate elaborate funerals and extended mourning are 

followed in the affairs in the country, it will mean that whenever a king, 

duke, or great official dies, there would be layers of coffin, the burial 

would be deep, the shrouding would be plenty, the embroidery covering 

would be elaborate, and the grave mound would be massive. . . . 

Mourners would weep in a confused manner to the point of choking, 

wear sackcloth on the breast and flax on the head, keep the snivel 

dangling, live in a mourning hut, sleep on straw, and rest their heads on 

a lump of earth. . . . All this is to last for three years. 

If such a doctrine is followed and such a principle is practiced, kings, 

dukes, and great officials practicing it cannot go to court early [and 

retire late to administer their government, and attend to the] five offices 

and six departments 48 and develop agriculture and forestry and fill the 

granaries, farmers practicing it cannot start out early and return late to 

plough and plant, artisans practicing it cannot build vehicles and make 

utensils, and women practicing it cannot rise early and retire late to 

weave and spin. So, much wealth is buried in elaborate funerals and 

long periods of work are suspended in extended mourning. Wealth that 

is already produced is carried to be buried and wealth yet to be produced 

is long delayed. To seek wealth in this way is like seeking a 

harvest by stopping farming. . . . (ch. 25, SPTK, 6:7b-9a) 

5. Elevating the Worthy to Government Positions 

How do we know elevating the worthy is the foundation of government? 

The answer is: When the honorable and the wise run the government, 

the ignorant and the humble remain orderly, but when the ignorant 

and the humble run the government, the honorable and the wise 

become rebellious. Therefore we know that elevating the worthy is the 

foundation of government. 

The ancient sage-kings greatly valued the elevation of the worthy 

and employed the capable. They did not side with their fathers and 

brothers. They were not partial toward people of wealth and high position. 

They had no special love for the good-looking. They raised and 

promoted the worthy, gave them wealth and high position, and made 

them leading officials. They demoted and rejected the unworthy, caused 

them to be poor and humble, and made them servants. In this way all 

people were encouraged by rewards and scared by punishment. They 

led one another to become worthy. The result was that many were 

worthy and few were unworthy. Such is the advancing of the worthy. . . . 

Now, when kings, dukes, and great officials cannot make a coat, they 

48 The five offices were those of education, war, public works, civil personnel, 

and justice. The six departments were divisions in the treasury. 

229


will depend on an able tailor. When they cannot kill an ox or sheep, they 

will depend on an able butcher. . . . If kings, dukes, and great officials 

really want to put the state in order and make it permanent and secured, 

why do they not understand that elevating the worthy is the 

foundation of government? . . . (ch. 9, SPTK, 2:4a-9a) 

6. Agreement with the Superior 

How is order brought about in the empire? There is order in the empire 

because the emperor can bring about a unified and agreed concept 

of right in the empire. If the people all agree with the emperor but not 

with the Heaven, then calamity still remains. Now, the frequent arrival 

of hurricanes and torrents are the punishment from Heaven upon the 

people for their failure to agree with Heaven. . . . (ch. 11, SPTK, 3:3b) 

How do we know that the principle of agreement with the superior 

can be used to govern the empire? Well, why not examine the theory of 

the origin of the government? In the beginning when man was created, 

there was no ruler. People existed as individuals. As they existed as 

individuals, there was one concept of right for a hundred men, a thousand 

concepts of right for a thousand men, and so on until there were 

a countless number of concepts of right for a countless number of men. 

All of them considered their own concepts of right as correct and other 

people's concepts as wrong. And there were strife among the strong and 

quarrels among the weak. Thereupon Heaven wished to unify all concepts 

of right in the world. The worthy was therefore selected and made 

an emperor. The emperor, realizing his inadequate wisdom and ability 

to govern alone, selected the next best in virtue and appointed them 

as the three ministers. The three ministers, realizing their inadequate 

wisdom and ability to assist the emperor alone, divided the country 

into states and set up feudal lordships. The feudal lords, realizing 

their inadequate wisdom and ability to govern the land within the four 

borders by themselves, selected the next best in virtue. . . . Therefore, 

in appointing the three ministers, the feudal lords, the great officers, the 

prime minister, the village elders, and the heads of households, the 

emperor of old did not select them because of their wealth, high position, 

or leisure, but employed them to assist in bringing political order and 

administering the government. . . . When order prevails in the empire, 

the emperor further unifies all concepts of right as one in the empire and 

makes it agree with [the will of] Heaven. Therefore the principle of 

agreement with the superior can be applied by the emperor to govern the 

empire, by the feudal lords to govern the state, and heads of households 

to govern the family. . . . (ch. 13, SPTK, 3:13b-18a) 

230


Comment. Mo Tzu has been criticized for absolutism. The danger 

is certainly present. The requirement for conformity is strict. We 

must not forget, however, that the final authority is Heaven. In this 

sense, it is not essentially different from the Confucian theory of the 

Mandate of Heaven. In both cases, whether the Mandate of Heaven 

is fulfilled is determined by whether the people are happy and 

society in good order. Still Confucianists were thinking of moral 

obligations, while Mo Tzu was thinking of practical results. 

231

... 10 ... 

DEBATES ON METAPHYSICAL CONCEPTS: 

THE LOGICIANS 

PRACTICALLY all major ancient Chinese philosophical schools were 

greatly concerned with the relationship between names and actuality, 

whether for its social and moral significance (as in Confucianism), for 

its metaphysical import (as in Taoism), or for political control (as in 

Legalism). None of them was interested in the logical aspect of the 

problem. Hsün Tzu's (fl. 298-238 B.C.) rectification of names comes 

close to it, but his objective was still moral and social. The only school 

that was primarily devoted to logical considerations was the Logicians, 

who constituted one of the smallest schools and exercised no influence 

whatsoever after their own time. 

The name "Logicians" is used only to emphasize their intellectual 

character. Actually, they neither evolved any syllogism nor discovered 

any law of thought. They expressed themselves in dialogues, aphorisms, 

and paradoxes instead of systematic and cogent argumentation. Nevertheless, 

they were the only group devoted to such problems as existence, 

relativity, space, time, quality, actuality, and causes. Although the Chinese 

name for them is Ming-chia (School of Names), or Ming-pien 

(Scholars of Names and Debaters), they were not confined to the correspondence 

of names and actuality. Their metaphysical and epistemological 

concepts are primitive, but they represent the only tendency in 

ancient China toward intellectualism for its own sake. They subscribed to 

the Moist doctrine of universal love, and therefore may be considered to 

have gone into a discussion of concepts in order to support this doctrine. 

But if so, they must have detoured a long way to do so. There is 

every indication that their purely intellectual interest was genuine and 

primary. In this they were singular in Chinese history. 

The group is not so easily identified as other schools such as the Confucianists 

or the Moists. It consisted of a number of minor thinkers. 

Among them Hui Shih (380-305 B.C.?) and Kung-sun Lung (b. 380 

B.C.?) were the most prominent. They were not unanimous in their 

opinions. Hui Shih and his friend Chuang Tzu both believed that all 

things formed one body and that there was the great unit or great One. 

But Chuang Tzu sought to know these through mystical experience, 

whereas Hui Shih attempted to do so through rational knowledge. Hui 

Shih and Kung-sun Lung were opposed to each other at more than 

one point. To Hui Shih things were relative, but to Kung-sun Lung 

they were absolute. The former emphasized change, while the latter 

232

THE LOGICIANS 

stressed universality and permanence. These are also basic problems 

underlying the twenty-one paradoxes of the Debaters. A number of these 

paradoxes seem to side with Hui Shih in stressing the relativity of space 

and time, but others side with Kung-sun Lung in stressing universality 

and permanence. 

The question is inevitably asked why the intellectual tendency of this 

school did not develop in China. The answer is to be found partly in 

the fact that the Chinese have not been interested in the science of 

logic, and partly in the fact that the period of upheaval in which the 

Logicians lived was not conducive to logical studies. Moreover, the common 

emphasis of the major schools on solving human problems, as well 

as the attempts of some thinkers to strive for social reform, made the 

Logicians look like idle debaters. As Chuang Tzu said of them, "They 

are able to subdue other people's mouths, but cannot win their hearts. 

This is where their narrowness lies." 1 

A. THE PARADOXES OF HUI SHIH AND 

THE DEBATERS 

Hui Shih had many tricks. His books filled five carts. His doctrines 

are contradictory and his sayings miss the truth. Referring to the nature 

of things, he said: 

1. The greatest has nothing beyond itself; it is called the great unit. 2 

The smallest has nothing within itself; it is called the small unit. 

Comment. Was Hui Shih thinking of the atom? 

2. That which has no thickness cannot have any volume, and yet 

in extent it may cover a thousand li. 3 

3. Heaven is as low as the earth; mountains and marshes are on 

the same level. 

4. When the sun is at noon, it is setting; when there is life, there 

is death. 

5. A great similarity is different from a small similarity; this is 

1 Chuang Tzu, ch. 33, NHCC, 10:24b. Cf. Giles, trans., Chuang Tzu, 1961 ed., 

p. 314. For further criticism of the Logicians, see Hsün Tzu, chs. 6 and 21, SPTK, 

3:14b, 15:5a (see Dubs, trans., The Works of Hsüntze, pp. 79 and 262), and 

Ssu-ma Ch'ien (145-86 B.C.?), Shih chi (Records of the Historian), PNP, 130:3b- 

4a. Little is known of Hui Shih except that he was a native of Sung, was once 

prime minister to King Hui (r. 371-320 B.C.) of Liang, and often debated with 

his friend Chuang Tzu. Kung-sun Lung, a native of Chao, was a guest of Prince 

P'ing-yüan who treated him well, but finally rejected him. 

2 Cf. Chuang Tzu, chs. 24 and 33, NHCC, 8:42a, 10:35a. See Giles, pp. 246 and 

319. 


233

METAPHYSICAL CONCEPTS 

called the lesser similarity-and-difference. All things are similar 

to one another and different from one another; this is called the 

great similarity-and-difference. 4 

6. The South has no limit and yet has a limit. 

7. One goes to the state of Yüeh today and arrives there yesterday. 5 

8. Joint rings can be separated. 

9. I know the center of the world: it is north of the state of Yen 

(in the north) and south of the state of Yüeh (in the south). 

10. Love all things extensively. Heaven and earth form one body. 6 

Comment. Chang Ping-Lin (Chang T'ai-yen, 1868-1936), foremost 

modern scholar on ancient Chinese philosophy, especially on 

Chuang Tzu, regards paradoxes nos. 1, 2, 3, 6, 8, and 9 as arguing 

for the theory that all quantitative measurements and all spatial 

distinctions are illusory and unreal, that nos. 4 and 7 are arguing 

for the unreality of time, and that nos. 5 and 10 are arguing for 

the unreality of all apparent similarities and differences between 

things. 7 This seems to be a reasonable interpretation. Hu Shin 

(1891-1962), however, thinks the first nine paradoxes are intended 

to prove a monistic theory of the universe, which is expressed 

in the last paradox. 8 Is this not reading too much modern 

philosophy into an ancient text? 

Hui Shih considered these to be the great insights of the world and 

tried to enlighten the debaters. And they enjoyed it. [They said]: 

1. The egg has hair. 

2. A chicken has three legs. 9 

3. Ying (capital of Ch'u) contains the whole world. 

4. A dog can be a sheep. 

5. The horse has eggs. 

6. The frog has a tail. 

7. Fire is not hot. 

8. Mountains produce mouths. 

9. The wheel never touches the ground. 

4 Cf. this with Hsün Tzu's great general name and great particular name. See 

Hsün Tzu, ch. 22, SPTK, 16:6a-b. Cf. Dubs, The Works of Hsüntze, p. 286. 

5 This sentence also appears in Chuang Tzu, ch. 2, NHCC, l:25b. See Giles, 

p. 36. 

6 Cf. Chuang Tzu, ch. 2, NHCC, l:34a, Giles, p. 41. 

7 Kuo-ku lun-heng (Balanced Inquiries on Classical Studies), pp. 192-193. 

8 Development of the Logical Method in Ancient China, p. 113. 

9 The two physical legs and the spirit that moves them. See Wang Hsien-ch'ien 

(1842-1917) Chuang Tzu chi-chieh (Collected Explanations of the Chuang Tzu), 

ch. 33. In the Kung-sun Lung Tzu, ch. 4 (below, B, 3), the meaning seems to be 

the two legs and the leg as such. 

234

THE LOGICIANS 

10. The eye does not see. 

11. The pointing of the finger 10 does not reach [a thing]; the reaching 

never ends. 

12. The tortoise is longer than the snake. 

13. The carpenter's square is not square in shape and a compass 

cannot draw a circle. 

14. The mortise does not surround the bit of a chisel. 

15. The shadow of a flying bird never moves. 

16. The arrow is flying so fast that there are moments when it is 

neither in motion nor at rest. 

17. A puppy is not a dog. 

18. A brown horse and a dark ox make three. 11 

19. A white dog is black. 

20. An orphan colt has never had a mother. 

21. Take a stick one foot long and cut it in half every day and you 

will never exhaust it even after ten thousand generations. 

With these propositions the debaters argued with Hui Shih all their 

lives without coming to an end. (Chuang Tzu, ch. 33, NHCC, 10:38a-42b) 

Comment. Hu Shih has grouped twenty of these paradoxes 12 into 

four groups: nos. 3, 9, 15, 16, and 21 arguing for the unreality 

of distinctions in space and time; nos. 1, 5, 6, 12, 13, 14, and 17 

arguing for the relativity of all similarities and differences; nos. 2, 

7, 10, 11, and 18 discussing problems of knowledge; and nos. 4, 

19, and 20 on names. 13 Most students would agree. In any case, 

the similarity of nos. 16 and 21 with Zeno's third and second arguments 

against motion should be obvious to students of philosophy. 

B. THE KUNG-SUN LUNG TZU 14 

I. On the White Horse (ch. 2) 

A. "Is it correct to say that a white horse is not a horse?" 

B. "It is." 

A. "Why?" 

10 Chih, literally meaning finger or pointing, has been interpreted as "marks," 

"signs," "attributes," etc. Since all the other paradoxes deal with concrete things, 

I prefer to translate it literally as a concrete noun rather than interpreting it too 

philosophically. 

11 The two colors and the animal. 

12 No. 8 is not included because it is not clear. 

13 Chung-kuo che-hsüeh shih ta-kang (An Outline of the History of Chinese 

Philosophy), 1919, p. 239. Cf. his Development of the Logical Method in Ancient 

China, pp. 118-128. 

14 The Kung-sun Lung Tzu is a short treatise in six chapters. Much of it is so 

corrupt that it is impossible to make it completely intelligible, and no such at- 

235


B. "Because 'horse' denotes the form and 'white' denotes the color. 

What denotes the color does not denote the form. Therefore we say 

that a white horse is not a horse." 

A. "There being a horse, one cannot say that there is no horse. If one 

cannot say that there is no horse, then isn't [it] a horse? 15 Since there 

being a white horse means that there is a horse, why does being white 

make it not a horse?" 

B. "Ask for a horse, and either a yellow or a black one may answer. 

Ask for a white horse, and neither the yellow horse nor the black one 

may answer. If a white horse were a horse, then what is asked in both 

cases would be the same. If what is asked is the same, then a white 

horse would be no different from a horse. If what is asked is no different, 

then why is it that yellow and black horses may yet answer 16 in the 

one case but not in the other? Clearly the two cases are incompatible. 

Now the yellow horse and the black horse remain the same. And yet 

they answer to a horse but not to a white horse. Obviously a white 

horse is not a horse." 

A. "You consider a horse with color as not a horse. Since there is no 

horse in the world without color, is it all right [to say] that there is no 

horse in the world?" 

B. "Horses of course have color. Therefore there are white horses. If 

horses had no color, there would be simply horses. Where do white 

horses come in? Therefore whiteness is different from horse. A white 

horse means a horse combined with whiteness. [Thus in one case it is] 

horse and [in the other it is] a white horse. Therefore we say that a 

white horse is not a horse." 

A. [Since you say that] before the horse is combined with whiteness, 

it is simply a horse, before whiteness is combined with a horse it is 

simply whiteness, and when the horse and whiteness are combined they 

are collectively called a white horse, you are calling a combination by 

what is not a combination. This is incorrect. 17 Therefore it is incorrect 

to say that a white horse is not a horse." 

tempt is made in the following translation. Commentators and translators have 

made so many emendations in an attempt to make the work perfectly understandable 

that they almost turned it into their own essays. In a number of cases 

they have changed "is" into "is not" in order to make sense. Chapter 1 deals with 

Kung-sun Lung's life, and is of no philosophical interest. It is therefore omitted 

from the translation. For another English translation, see Bibliography. 

15 The word ju (if) here was interchangeable with erh (yet). See Ch'ien Mu, 

Hui Shih Kung-sun Lung (On Hui Shih and Kung-sun Lung), 1931, p. 49. 

16 Read yeh (final positive article) as yeh (final interrogative article), according 

to Yü Yüen (1821-1906), "Tu Kung-sun Lung Tzu" ("Notes on the Kungsun 

Lung Tzu"), in Yü-lou tsa-tsuan (Miscellaneous Collections of Yü Tower), 

p. 2a. 

17 This sentence is not clear. None of the many emendations by commentators 

and translators seems satisfactory. 

236

THE LOGICIANS 

B. "If you regard a white horse as a horse, 18 is it correct to say that 

a white horse is a yellow horse?" 

A. "No." 

B. "If you regard a white horse as different from a yellow horse, you 

are differentiating a yellow horse from a horse. To differentiate a yellow 

horse from a horse is to regard the yellow horse as not a horse. Now 

to regard a yellow horse as not a horse and yet to regard a white horse 

as a horse is like a bird flying into a pool or like the inner and outer 

coffins being in different places. This would be the most contradictory 

argument and the wildest talk." 

A. "[When we say that] a white horse cannot be said to be not a 

horse, we are separating the whiteness from the horse. If [the whiteness] 

is not separated from [the horse], then there would be a white horse 

and we should not say that there is [just] a horse. Therefore when we 

say that there is a horse, we do so simply because it is a horse and not 

because it is a white horse. When we say that there is a horse, we do 

not mean that there are a horse [as such] and another horse [as the 

white horse]." 

B. "It is all right to ignore the whiteness that is not fixed on any 

object. But in speaking of the white horse, we are talking about the 

whiteness that is fixed on the object. The object on which whiteness is 

fixed is not whiteness [itself]. The term 'horse' does not involve any 

choice of color and therefore either a yellow horse or a black one may 

answer. But the term 'white horse' does involve a choice of color. Both 

the yellow horse and the black one are excluded because of their color. 

Only a white horse may answer. What does not exclude [color] is not the 

same as what excludes [color]. Therefore we say that a white horse is 

not a horse." (SPPY, 3b-5b) 

2. On Marks (chih) and Things (ch. 3) 

All things are marks. But marks are no marks [for themselves]. If 

there were no marks in the world, nothing could be called a thing. If there 

were no marks, can things in the world be spoken of as marks? Marks 

are what do not exist in the world, but things are what do exist in the 

world. It is incorrect to consider what does exist in the world to be what 

does not exist in the world. 

[If] there are no marks in the world, things cannot be called marks. 

What cannot be called marks are not marks. Not being marks, all things 

are marks. [To say that if] there are no marks in the world things cannot 

be called marks, does not mean that there are [things] without 

marks. There not being [things] without marks means that all things are 

18 The SPPY edition has "not a horse." 

237


marks. All things being marks means that marks are not marks. That 

there are no marks in the world is due to the fact that all things have 

their own names which do not serve as marks. To call them marks 

when they do not serve as marks, is to consider them all as marks for 

another and really no marks. It is incorrect to consider what is not a 

mark as a mark. 

Furthermore, marks serve as marks for each other. That there are no 

marks in the world means that things cannot be said to be without marks. 

That things cannot be said to be without marks means that there are 

none which are not marks. As there are none which are not marks, then 

all things are marks. Marks are different from what are not marks. 

Marks and things combined are different from marks. If there were no 

marks of things in the world, who could say that [x] are not marks? If 

there were nothing in the world, who could say that [x] are marks? If 

there were marks in the world but no marks of things, who could say 

that [x] are not marks, or that all things are not marks? Furthermore, 

marks are in themselves not marks. Why do they have to be combined 

with a thing in order to be marks? (SPPY, 5b-6b) 

Comment. The word chih has so many meanings that scholars 

have found it easy and even tempting to read their own philosophies 

into Kung-sun Lung. Those who affirm universals would 

interpret chih to mean universal concepts, while nominalists would 

insist on its common meaning or finger or designation. Equally 

ready opportunities are open to others. But the text is simply too 

corrupt to enable anyone to be absolutely sure. 

3. On the Explanation of Change (ch. 4) 

A. "Is one contained in two?" 

B. "One is not in two." 

A. "Is right contained in two?" 

B. "Right is not in two." 

A. "Is left contained in two?" 

B. "Left is not contained in two." 

A. "Can right be called two?" 

B. "No." 

A. "Can left be called two?" 

B. "No." 

A. "Can left and right together be called two?" 

B. "Yes." 

A. "Is it correct to say that what changes is not what does not change?" 

B. "Yes." 

238

THE LOGICIANS 

A. "If right is combined [with something], is it correct to say that 

it has changed?" 

B. "Yes." 

A. "What has it changed to be?" 19 

B. "Right." 

A. "If right has changed, how can it still be called right? And, if it 

has not changed, how can you say that it has changed?" 

B. "If two has no left it will also have no right. Left and right together 

are two. How is it? A ram and an ox together are not a horse. 

An ox and a ram together are not a fowl." 

A. "Why?" 

B. "A ram is definitely different from an ox. A ram has upper frontteeth 

and an ox has none. Yet it is incorrect to say that an ox is not a 

ram or that a ram is not an ox. For they might not both have [those particular 

teeth] and yet belong to the same species. A ram has horns and 

an ox also has horns. Yet it is incorrect to say that an ox is a ram or that 

a ram is an ox. For they might both have [horns] and yet belong to 

different species. Both a ram and an ox have horns, but a horse none. A 

horse has a mane but both a ram and an ox have none. Therefore I say 

that a ram and an ox together are not a horse. By that I mean that there 

is no horse [in this case]. As there is no horse, neither a ram nor an ox is 

two, but a ram and an ox are two. Consequently it is correct to say that a 

ram and an ox together are not a horse. If such a case were presented as 

correct, it would be like putting different things in the same species. 

The cases of left and right are similar to this. 

"Both an ox and a ram have hair, while a fowl has feathers. When 

we speak of fowl's leg [as such], it is one. But when we count the [particular] 

legs of a fowl, they are two. Two and 20 one put together make 

three. 21 When we speak of an ox's or a ram's leg [as such], it is one. But 

when we count their [particular] legs, they are four. Four and one put 

together makes five. Thus a ram or an ox has five legs while a fowl has 

three. Therefore I say that an ox or a ram together are not a fowl. There 

is no other reason that [an ox or a ram] is not a fowl. 

"A horse is better than a fowl [for the purpose of illustration]. Regardless 

of the ability of a horse and the lack of ability of a fowl, however, 

the fact is obvious that they are different in species [from an ox or 

a ram]. To give these cases as examples [of being one with an ox or a 

ram] is called a confusion of terms; it is giving an absurd case." 

19 Read chih (classifier for a bird) as hsi (what, how), according to Yü Yüeh, 

ibid., p. 6a. 

20 According to Ch'ien Mu, Hui Shih Kung-sun Lung, p. 64, erh (yet) here 

means "and." 

21 See above, paradox, second group, no. 2. 

239


A. "Then let us use some other illustrations." 

B, "Green and 22 white are not yellow; white and green are not blue." 

A. "Why?" 

B. "Because green and white cannot be combined, and if you combined 

them, they would stand in contrast to each other. They do not 

occupy adjacent positions; but if you made them so, that would not, 

however, injure their positions. This is so because while [green and 

white] stand in contrast to each other [in quality], they do not interfere 

with each other in position. This may be seen from the case of left and 

right, which cannot be mixed. 23 Therefore it is impossible to unite 

[white] with green, nor is it possible to unite [green] with white. Then 

where does yellow come in? Yellow is a standard color, and can be given 

as a correct case. This is like the relation between the ruler (corresponding 

to white) and the minister (corresponding to green) in the state 

(corresponding to yellow). 24 Hence there are health and long life. 

"Furthermore, when green is mixed with white, white does not dominate 

[green]. It should but it does not. This means that the element of 

wood (corresponding to green) is injuring the element of metal (corresponding 

to white). This is [like] the color blue, and blue is not a 

correct example [of standard colors]. Green and white [originally] cannot 

be combined. When they are combined, one does not dominate the 

other, and both stand out. When they compete in standing out, [it is like] 

the color blue. 

"Yellow is better than blue [for the purpose of illustration]. The case 

of yellow is [like] the case of a horse. Yellow has something in common 

[with green and white]. On the other hand, the case of blue is [like] 

the case of a fowl. It is in conflict 25 with [green and white]. If a ruler 

and ministers are in conflict, both would compete and stand out. When 

both stand out, the result is darkness, and darkness is not a correct 

example. By not being a correct example is meant that names do not 

correspond to actuality. Mixed colors (colors that are not standard) 

come to shine out in brilliancy. This is what is meant by both standing 

out. When both stand out, truth fades away beyond rectification." 

(SPPY, 6b-9a) 

4. On Hardness and Whiteness (ch. 5) 

A. "Is it correct that hardness, whiteness, and stone are three?" 

B. "No." 

22 According to Ch'ien Mu, ibid., p. 66, the word i (by) here means "and." 

23 The word li is very obscure. To understand it as mixed is the best commentators 

can do. 

24 The correspondence of colors is according to the commentary by Hsieh Hsishen 

(of Sung, 960-1279). 

25 Pao is here interpreted as conflict, following Ch'ien Mu, ibid., p. 70. 

240

THE LOGICIANS 

A. "Is it correct that they are two?" 

B. "Yes." 

A. "Why?" 

B. "When whiteness but not hardness is perceived, we have a case 

of two. When hardness but not whiteness is perceived, we have a case 

of two." 

A. "When whiteness is perceived, it is incorrect to say that there is 

no whiteness. When hardness is perceived, it is incorrect to say that 

there is no hardness. The stone is by nature so [hard and white]. Does 

that not make it three?" 

B. "When seeing does not perceive hardness but whiteness, there is 

no hardness to speak of. When touching perceives not whiteness but 

hardness, there is no whiteness to speak of." 

A. "If there were no whiteness in the world, one could not see a 

stone. If there were no hardness in the world, one could not speak of 

a stone. Hardness, whiteness, and stone do not exclude each other. How 

could the three be hidden?" 

B. "Some are hidden by themselves, [such as whiteness is hidden from 

touch]. They are not hidden because someone has hidden them." 

A. "Whiteness and hardness are necessary attributes of the stone 

that pervade each other. How is it possible that they hide themselves?" 

B. "Whether one perceives the whiteness [of the stone] or perceives 

the hardness [of the stone] depends on whether one sees or not. 

Seeing and not seeing are separate from each other. Neither one pervades 

the other, and therefore they are separate. To be separate means 

to be hidden." 

Comment. Fung Yu-lan thinks that to say that a thing is hidden 

or concealed seems to be another way of saying that it subsists. This 

is reading the Kung-sun Lung Tzu in the framework of the Neorealists 

to whom particulars exist while universals subsist. To 

make his interpretation consistent, he has to interpret chih as 

universal. 26 But the meaning of chih is too uncertain to justify any 

definite conclusion. 

A. "[The whiteness] is the whiteness of the stone and [the hardness] 

is the hardness of the stone. Whether one perceives them or not, the 

two together [with the stone] make three. They pervade each other as 

width and length do in a surface. Is this not a [clear] case?" 

B. "Some thing may be white, but whiteness is not fixed on it. Some 

thing may be hard, but hardness is not fixed on it. What is not fixed 

on anything is universal. How can it be [in] the stone?" 


241


A. "According to the nature of the stone, 27 without it (hardness) 

there cannot be the stone, and without the stone we cannot be talking 

about the white stone. That [they] are not separated from each other is 

so by nature and will forever be so." 

B. "Stone is one; hardness and whiteness are two. But in the stone one 

of them can be felt and the other cannot; one of them can be seen and 

the other cannot. What is felt and what is not felt are separate from each 

other; the seen and the unseen are hidden from each other. As they are 

hidden, who can say that they are not separate?" 

A. "The eye cannot perceive hardness nor the hand perceive whiteness. 

But one cannot say that there is no hardness or whiteness. [The 

organs] have different functions and cannot substitute for each other. 

Hardness and whiteness reside in the stone. How can they be separated?" 

B. "Hardness does not have to be combined with stone to be hardness; 

it is common to many things. As it does not have to be combined 

with things to be hardness, it is hardness by necessity of its being hardness. 

As it is hardness without being the hardness of the stone or other 

things, it seems there is no such hardness in the world. [Actually] it is 

hidden. 

"If whiteness is from the beginning not whiteness in itself, how can it 

make the stone and other things white? If whiteness is necessarily white, 

it is then white not because it is the whiteness of a thing. It is the same 

with yellow and black. However, the stone is no longer there. How can 

we speak of a hard stone or a white stone? Therefore they are separate. 

For this reason they are separate. For this reason it is better to follow 

this (natural separateness) than to determine [their separateness] by the 

use of strength and knowledge. 28 

"Furthermore, whiteness is perceived by the eye because of light. 

But light itself does not see. Neither the light nor the eye sees; it is the 

mind that sees. The mind does not see either. Seeing is something separate 

[from them]. Hardness is [perceived] by the hand, and the hand 

[perceives] by the stroke. But the stroke itself does not feel. Neither the 

hand nor the stroke feels; it is the mind that feels. The mind does not 

feel either. 29 This means that they are separate. [Things] being separate, 

this is the only correct thing in the world." (SPPY, 9a-11b) 

Comment. The problems discussed are strikingly similar to those 

of seventeenth-century philosophers in Europe, namely, primary 

and secondary qualities. 

27 Another interpretation: When we touch the stone. 

28 While most commentators agree in this interpretation, the original sentence 

is quite obscure. 

29 The whole passage is not clear. 

242

THE LOGICIANS 

5. On Names and Actuality (ch. 6) 

Heaven, earth, and their products are all things. When things possess 

the characteristics of things without exceeding them, there is actuality. 

When actuality actually fulfills its function as actuality, without wanting, 

there is order. To be out of order is to fall into disorder. To remain in 

order is to be correct. What is correct is used to rectify what is incorrect. 

[What is incorrect is not used to] 30 doubt what is correct. To rectify is 

to rectify actuality, and to rectify actuality is to rectify the name corresponding 

to it. 

If the name is rectified, then "this" and "that" are restricted. If the 

designation "that" is not restricted to that, then the "that" will not do. 

If the designation "this" is not restricted to this, then the "this" will not 

do. This is because the non-equivalent is regarded as the equivalent. 

What is not equivalent will lead to disorder. If that "that" is equivalent 

to that and is therefore restricted to that, then the designation will do for 

that. When this "this" is equivalent to this and is therefore restricted to 

this, then the designation will do for this. This is because the equivalent is 

correct. Therefore it is correct that "that" is limited to that and this "this" 

is limited to this. But it is incorrect to apply "that" to this and even to 

regard "that" as this, or to apply "this" to that and even to regard "this" 

as that. 

A name is to designate an actuality. If we know that this is not this 

and know that this is not here, we shall not call it ["this"]. If we know 

that that is not that and know that that is not there, we shall not call 

it ["that"]. 

Perfect were the wise kings of old. They examined names and actualities 

and were careful in their designations. Perfect were the wise kings of 

old. (SPPY, llb-12b) 

30 These words appear in certain editions. 

243

... 11 ... 

THE YIN YANG SCHOOL 

THE YIN YANG doctrine is very simple but its influence has been extensive. 

No aspect of Chinese civilization—whether metaphysics, medicine, 

government, or art—has escaped its imprint. In simple terms, the 

doctrine teaches that all things and events are products of two elements, 

forces, or principles: yin, which is negative, passive, weak, and destructive, 

and yang, which is positive, active, strong, and constructive. The 

theory is associated with that of the Five Agents or Elements (wu-hsing, 1 

Metal, Wood, Water, Fire, and Earth) which may be taken as an elaboration 

of the yin yang idea but actually adds the important concept of 

rotation, i.e. that things succeed one another as the Five Agents take 

their turns. 

The two concepts of the yin yang and the Five Agents go far back to 

antiquity and to quite independent origins. Much obscurity still surrounds 

their history. For example, we are not sure whether the terms "yin" and 

"yang" originally referred to physical phenomena (clouds shading the 

sun and the sun shining, respectively) or the female and male. We do 

not know anything about their early representatives or works, if any. 

Tsou Yen (305-240 B.C.?) is often mentioned as the representative 

thinker of this school, but his work is lost and all that we have about him 

is a brief account of his life and thought in the Shih chi (Records of the 

Historian) by Ssu-ma Ch'ien (145-86 B.C.?). 2 However, long before 

Tsou Yen's time, both the ideas of yin yang and the Five Agents had been 

discussed by various philosophers. The yin yang idea is present in the 

Tso chuan, Lao Tzu, Chuang Tzu, and Hsün Tzu, 3 and the Five Agents 

idea is present in the Book of History, Mo Tzu, Hsün Tzu, Tso chuan, 

and Kuo-yü. 4 Curiously enough, they are not found in the Analects, the 

Book of Mencius, the Doctrine of the Mean or the Great Learning. In 

other words, of all ancient Confucian Classics, they are not mentioned 

1 Literally "five actions or operations." Therefore the rendering "Five Agents" 

is preferred. 

2 Ch. 74. 

3 Tso chuan (Tso's Commentary on the Spring and Autumn Annals), Duke Hsi, 

16th year, Duke Hsiang, 28th year, and Duke Chao, 4th, 7th, and 21st years. See 

Legge, trans., Ch'un Ts'ew, pp. 540, 597, 618, 688; Lao Tzu, ch. 42; Chuang Tzu, 

chs. 2, 4, 6, 11, 13, 16, 21, 24, 25, 33, passim; and Hsün Tzu, chs. 9 and 17, passim. 

4 History, "Oath of Kan" and "Great Norm" (Legge, trans., Shoo King, pp. 

173, 320); Mo Tzu, chs. 41 and 43; Hsün Tzu, ch. 6 (SPTK, 3:14b [not translated 

in Dubs, The Works of Hsüntze]); Tso chuan, Duke Chao, 20th and 25th years 

(See Legge, trans., Ch'un Ts'ew, p. 708); Kuo-yü (Conversations of the States), 

ch. 4 (SPPY, 4:7b). 

244


except in the Hsün Tzu. And yet Hsün Tzu (fl. 298-238 B.C.) himself 

said that Confucius' grandson Tzu-ssu (492-431 B.C.) advanced the 

Five Agents theory and Mencius followed it. 5 The possible explanation 

is that in Tsou Yen's promotion of the theory, there is explicitly the 

exaltation of virtue, the stress on personal cultivation, especially on the 

part of the ruler, and the emphasis on humanity and righteousness, all 

of which are moral objectives of Confucianists. 

Briefly, both the yin yang and the Five Agents doctrines may be regarded 

as early Chinese attempts in the direction of working out a metaphysics 

and a cosmology. Questions of the process through which things 

in the world have come to be and the fundamental stuff of which they 

are made have captivated men's minds since time immemorial. These 

Chinese proposals indicate reality as a pair of opposites in the one case, 

and as a group of five items in the other. Whether two or five, they are 

understood better as forces, powers, and agents than as material elements. 

The emphasis is on principles and laws of operation. The outlook 

is dynamic and not static. And the end is an ordered nature rather than 

chaos. In point of process, there is contradiction as well as harmony, and 

in point of reality, there is unity in multiplicity. The apparent dualism 

and pluralism are, in each case, a dynamic monism through the dialectic. 

By the time of Tsou Yen, the two concepts, which had much in common, 

were thought of together. As a matter of fact, he is usually credited 

as the one who combined the two independent currents into one. The 

one is now the expression of the other, and both operate in cycles of 

rise and fall and in a universal pattern, thus uniting man and Nature. 

There developed also the ideas of mutual production and mutual overcoming 

among the Five Agents, as well as the correspondence of them 

with five colors, five tones, five tastes, and the like. When this interest 

in correspondence was extended to the realm of political affairs, there 

emerged a cyclical philosophy of history on the one hand and the mutual 

influence between man and Nature on the other. Just as the seasons 

rotate, so does history; since man and Nature correspond to each other, 

they are expressions of the same force and therefore can influence each 

other. 

The cyclical theory of history exercised a tremendous influence in the 

Han dynasty (206 B.C.− A.D. 220), especially over Tung Chung-shu 

(c.l79− c.104 B.C.). It turns into a definite theory Mencius' simple idea 

that in every five hundred years a true king will arise. 6 This cyclical interpretation 

of history has been a persistent one in Chinese thought. 

The idea of the cycle is not limited to the interpretation of history, 

5 Hsün Tzu, ch. 6 (SPTK, 3:14b [not translated in Dubs]). 

6 Mencius, 2B:13. 

245


of course. It is thought to characterize all changes. In the cyclical process, 

the idea of one force overcoming another was soon replaced by 

that of one producing another. This idea was particularly strong in the 

Han. Eventually, however, it is the idea that all forces are harmonized 

that has become the typical Chinese conception. 

The theory of the mutual influence of man and Nature is hinted at in 

the Doctrine of the Mean where it is said, "When a nation or family is 

about to flourish, there are sure to be lucky omens. When a nation or 

family is about to perish, there are sure to be unlucky omens." 7 The 

Confucianists intended this to be a moral lesson, but the theory eventually 

led to fatalism and much superstition. Philosophically, however, it 

resulted not only in the concept of a common law governing both man 

and Nature but also in a most important doctrine that has dominated 

Chinese philosophy in the last eight hundred years, namely, the unity 

of man and Nature, or "Nature and man forming one body." 8 

Aside from these significant impacts, the yin yang theory has also put 

Chinese ethical and social teachings on a cosmological basis. It has 

helped to develop the view that things are related and that reality is a 

process of constant transformation. The harmony of yin and yang accounts 

for much of the central emphasis on harmony in Chinese life and 

thought, and it has reinforced the doctrine of the Mean common to 

Confucianism, Taoism, and Buddhism. It formed the backbone of Neo- 

Confucian metaphysics. 

The importance of the yin yang theory is indeed incalculable. Paradoxically, 

there is not a single ancient treatise on it or even a good passage 

embodying its essence. Consequently we have to resort to an account 

of Tsou Yen's life and thought and passages from the Book of 

Changes, 9 the Book of History, 10 and the Lü-shih ch'un-ch'iu (Mr. Lü's 

Spring and Autumn Annals) 11 in which the doctrines of yin yang and the 

Five Agents are stated in simple outline. 

1. TSOU YEN 

In the state of Ch'i there were three scholars named Tsou. . . . The 

second of these was Tsou Yen, who came after Mencius. He saw that the 

rulers were ever more unrestrained and were unable to exalt virtue, as 

7 Ch. 24. 


9 For this book, see below, ch. 13, n.1. 

10 For this book, see below, ch. 1, n.4. 

11 A book in 26 chapters, supposedly written by Lü Pu-wei (d. 235 B.C.) but 

actually a collective work of scholars who were his retainers. It deals with various 

subjects and contains the doctrines of many schools, especially the Confucian and 

the Taoist. There is a German translation by Richard Wilhelm. See Bibliography. 

246


does a real gentleman, 12 who correctly practices it himself and applies 

it in dealing with the common people. He therefore examined deeply into 

the increase and decrease of yin and yang and wrote essays totaling more 

than one hundred thousand words about the phenomenon of extraordinary 

change and the rise and fall of great sages. His words were exaggerating 

and unorthodox. He invariably examined small objects and extended 

this to larger and larger ones until infinity. He first described the 

present and then traced back to the Yellow Emperor, 13 all of which has 

been recorded by scholars. Then following the general outline 14 of the 

rise and fall of the ages he [observed the times and explained the 

events]. Thereupon he recorded their good and evil fortunes and institutions. 

He extended his survey way backward to the time before heaven 

and earth came into existence, to what was obscure and abstruse, and 

on which no more inquiry was possible. 

He first made a list of China's famous mountains, great rivers, deep 

valleys, birds and animals, things produced on land and sea, and select 

objects. On the basis of these he extended his survey to what is beyond 

the seas, to what men are unable to see. He mentioned and cited the 

fact that ever since the separation of heaven and earth the Five Powers 

(Five Agents) have been in rotation. The reign of each power was quite 

appropriate and how has it corresponded to fact! 

He maintained that what scholars called the Middle Kingdom (China) 

constituted only one eighty-first of the world. He called the Middle Kingdom 

the Divine Continent of the Red Region within which are nine 

districts. These are the nine districts with which Yü had formed a system 

[by controlling floods and directing the flow of water]. 15 But these are 

not to be counted among the continents. 

Besides the Middle Kingdom there are continents similar to the Divine 

Continent of the Red Region totaling nine, which are the so-called 

Nine Continents. Around each of these is a small encircling sea. People 

and beasts cannot pass from one to another, thus making each a separate 

12 Ta-ya has been interpreted to refer to the section of the Book of Odes by that 

title and more especially to ode no. 240, which extols the moral influence of King 

Wen (r. 1171-1122 B.C.). But this interpretation is not based on any evidence. In 

none of the editions which have special marks for titles is ta-ya treated as a title. 

Its ordinary meaning of "a gentleman" is both natural and clear here, 

13 A legendary emperor of the 3rd millennium B.C. 

14 Insertion following the Shih chi so-yin (Tracing the Hidden Meanings of 

the Records of the Historian), by Ssu-ma Chen (fl. 727). According to both 

the Shih chi so-yin and the Shih chi cheng-i (Correct Meanings of the Records of 

the Historian), by Chang Shou-chieh (fl. 737), ta-pang (not pronounced ta-ping) 

means following the general outline. 

15 Founder of the traditional Hsia dynasty (2183-1752 B.C.?), who spent nine 

years in conquering China's great flood. 

247


district, which makes a continent. There are nine of these. Around them 

is a large encircling sea, and this sea is where heaven and earth meet. 

His methods and system were all of this sort. But in the final analysis 

they all end up in the virtues of humanity, righteousness, restraint, frugality, 

and the practice of the proper relations of ruler and minister, superior 

and inferior, and the six family relations. 16 It is only at the beginning 

that his [theories] exceeded the proper bounds. 17 

When the rulers and great officials first saw his system, they were 

struck with awe, reflected on it, and followed it, but eventually they were 

unable to practice it. ... (Shih chi, SPTK, 74:1a-b) 

Comment. This is the first attempt in Chinese history to put government, 

society, history, astronomy, and geography under one definite 

formula based on practical observation. Tsou Yen's "extension" 

may be an imagination rather than a logical inference, but his 

general theory is the result of postulation, however crude it may be. 

His use of the here and now as the starting point sharply distinguishes 

him from his predecessors or contemporaries who used the 

past as the standard. 

2. YIN AND YANG 

Heaven is high, the earth is low, and thus ch'ien (Heaven) and k'un 

(Earth) are fixed. As high and low are thus made clear, the honorable 

and the humble have their places accordingly. As activity and tranquillity 

have their constancy, the strong and the weak are thus differentiated. 

Ways come together according to their kinds, and things are divided 

according to their classes. Hence good fortune and evil fortune emerge. 

In the heavens, forms (heavenly bodies) appear and on earth shapes 

(creatures) occur. In them change and transformation can be seen. 

Therefore the strong and the weak interact and the Eight Trigrams 

activate each other. Things are stimulated by thunder and lightning and 

enriched by the influence of wind and rain. Sun and moon revolve on 

their course and cold and hot seasons take their turn. The way of ch'ien 

constitutes the male, while the way of k'un constitutes the female. Ch'ien 

knows the great beginning, and k'un acts to bring things to completion. 

Ch'ien knows through the easy, and k'un accomplishes through the 

simple. (Book of Changes, "Appended Remarks," pt. 1, ch. 1) 

The Master (Confucius) said, "Ch'ien and k'un are indeed the gate of 

Change! Ch'ien is yang and k'un is yin. When yin and yang are united 

16 Between father and son, elder brother and younger brother, and husband and 

wife. 

17 According to the Shih chi so-yin, this sentence means, "These are the source 

and foundation for later ages," a rather far-fetched interpretation. 

248


in their character, the weak and the strong attain their substance. In 

this way the products of Heaven and Earth are given substance and the 

character of spiritual intelligence can be penetrated. . . . (ibid., pt. 2, 

ch. 6) 

Ch'ien is heaven. It is round, it is the ruler, the father, jade, metal, 

cold, ice, deep red, a good horse, an old horse, a lean horse, a piebald 

horse, tree fruit. K'un is the earth, the mother, cloth, kettle, frugality, 

the level, a young heifer, a large carriage, fiber, multitude, a handle, arid 

black soil among the various kinds of soil. . . . (ibid., "Remarks on 

Certain Trigrams," ch. 11) 

3. THE FIVE AGENTS 

Heaven gave him (Great Yü) with its Nine Categories. And the various 

virtues and their relations were regulated. . . . 

The first category is the Five Agents; namely, Water, Fire, Wood, 

Metal, and Earth. The nature of Water is to moisten and descend; of 

Fire, to burn and ascend; of Wood, to be crooked and straight; of Metal, 

to yield and to be modified; of Earth, to provide for sowing and reaping. 

That which moistens and descends produces saltiness; that which burns 

and ascends produces bitterness; that which is crooked and straight produces 

sourness; that which yields and is modified produces acridity; that 

which provides for sowing and reaping produces sweetness. 

The second category is the Five Activities; namely, appearance, 

speech, seeing, hearing, and thinking. The virtue of appearance is 

respectfulness; that of speech is accordance [with reason]; that of seeing 

is clearness; that of hearing is distinctness; and that of thinking is 

penetration and profundity. Respectfulness leads to gravity; accordance 

with reason, to orderliness; clearness, to wisdom; distinctness, to deliberation; 

and penetration and profundity, to sageness [all of which 

should be cultivated by the ruler]. . . . 

The fourth category is the Five Arrangements of Time; namely, the 

year, the month, the day, the stars and planets and the zodiacal signs, 

and the calendaric calculations. . . . The ninth category is the Five Blessings; 

namely, longevity, wealth, physical and mental health, love of virtue, 

and an end crowning life [which will be bestowed by Heaven if the 

ruler is good.] (Book of History, "Great Norm") 18 

Comment. These are but a few correlations of the Five Agents. Almost 

all possible sets of five things—the five directions, five musical 

notes, five colors, five grains, five sense organs, five atmospheric 

18 For a fuller translation of the "Great Norm," see above, ch. 1, sec. 3. 

249


conditions, five metals, five ancient emperors, five virtues, five feelings, 

five social relations—have been equated with them. 

Whenever an emperor or king is about to rise, Heaven will always 

first manifest some good omen to the common people. In the time of the 

Yellow Emperor, Heaven made a large number of earthworms and mole 

crickets appear. The Yellow Emperor said, "The force of Earth is 

dominant." As the force of Earth was dominant, he chose yellow as his 

color and Earth as the model for his activities. 

When it came to the time of Yü, Heaven first made grass and trees appear 

which did not die in the autumn and winter. Yü said, "The force 

of Wood is dominant." As the force of Wood was dominant, he chose 

green as his color and Wood as the model for his activities. 

When it came to the time of T'ang 19 (r. 1751-1739 B.C.?), Heaven 

first made some metal blades appear in the water. T'ang said, "The force 

of Metal is dominant." As the force of Metal was dominant, he chose 

white as his color and Metal as the model for his activities. 

When it came to the time of King Wen, 20 Heaven first made fire appear, 

while red birds holding a red book in their bills gathered on the 

altar of the soil of the House of Chou. King Wen said, "The force of Fire 

is dominant." As the force of Fire was dominant, he chose red as his 

color and Fire as the model for his activities. 

Water will inevitably replace Fire. Now Heaven will first make the 

dominance of Water manifest. As the force of water is dominant, black 

will be chosen as the color and Water the model for activities. The force 

of Water reaches its limit without people realizing it. The course is now 

completed, and the process will revert to Earth. (Lü-shih ch'un-ch'iu, 

ch. 13, sec. 2, SPPY, 13:4a 

Comment. Under the influence of Lü, who was a prime minister of 

Ch'in, the First Emperor (r. 246-210 B.C.) of the dynasty actually 

used the black color for his costumes, banners, and the like, and 

claimed Water to be the model for his activities. If he had respected 

water's qualities of softness and weakness, he would not 

have established the most severe and ruthless dictatorship in Chinese 

history. But the Warring States period (403-222 B.C.) of the 

Chou dynasty was certainly characterized by Fire, and the First 

Emperor needed a rationalization for his conquest of the Chou. 

19 Founder of the Shang dynasty (1751-1112 B.C.). 

20 Founder of the Chou dynasty (1111-249 B.C.). 

250

••• 12 ••• 

LEGALISM 

THE LEGALIST SCHOOL was the most radical of all ancient Chinese 

schools. It rejected the moral standards of the Confucianists and the 

religious sanction of the Moists in favor of power. It accepted no authority 

except that of the ruler and looked for no precedent. Its aim was 

political control of the state and the population, a control to be achieved 

through an intensive set of laws, backed up by generous rewards and 

severe punishments. According to their theory, aggression, war, and 

regimentation would be used without hesitation so long as they contributed 

to the power of the ruler. 

It can be readily seen that Legalism is entirely incompatible with other 

schools, especially Confucianism, which it bitterly attacked. The Confucianists 

were dedicated to the cultivation of virtue, the development of 

individual personality, government for the people, social harmony, and 

the use of moral principles, moral examples, and moral persuasion. On 

the contrary, the Legalists were primarily interested in the accumulation 

of power, the subjugation of the individual to the state, uniformity of 

thought, and the use of force. It is not surprising that they were instrumental 

in setting up the dictatorship of Ch'in (221-206 B.C.), in unifying 

China in 221 B.C., and in instituting the tightest regimentation of 

life and thought in Chinese history. 

The brutality and violence of the Ch'in brought its early downfall in 

206 B.C., and the Chinese, fearful of the ruthlessness of the Legalists, 

have ever since that time rejected them. There has been no Legalist 

School in China in the last two thousand years, or even any Legalist 

scholar of any prominence. When the Ssu-k'u ch'üan-shu (Four Libraries) 

was compiled late in the eighteenth century, of the 3,457 works 

included, only eight were Legalist. The totalitarian goal and authoritarian 

methods promoted by the Legalists have been revived periodically by 

despots, of course. But there has been no continuous Legalist tradition 

comparable to that of the Confucianists and Taoists. It might seem, 

therefore, that Legalist philosophy was entirely negative. Such however, 

is not the case, for it has its positive aspects. It was the only ancient 

school that was consistently and vigorously anti-ancient. It worshiped no 

sage-emperors like Yao and Shun 1 of the Confucianists or Great Yü 2 of 

the Moists. It looked to the present rather than the past, and to changing 

circumstances rather than any prescribed condition. It denounced moral 



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LEGALISM 

platitudes and vain talks. Instead, it demanded actual accomplishments 

and concrete results. It was strongly objective and realistic. In place of 

vague moral doctrines it advocated the novel idea that law must be 

written, uniform, and publicly proclaimed to the people. While it shared 

the Confucian concept that ranks and duties must be clearly differentiated, 

it insisted that laws must be applicable to all. Thus in spite of their 

suppression of the rights and desires of the people, they unwittingly 

promoted the doctrine of equality in which close or distant relationships 

are overlooked and high or low stations are ignored. 

The term "Legalist School" (Fa-chia) did not appear until 90 B.C. 3 

but the Legalist movement had been going on for some five hundred 

years. The first prominent Legalist was Kuan Chung (d. 645 B.C.), 

prime minister of Ch'i, whom Confucius greatly admired. The work 

Kuan Tzu attributed to him is spurious but contains unmistakable 

Legalist ideas. The movement took on great momentum in Shang Yang 

(Kung-sun Yang) or Lord Shang (d. 338 B.C.), prime minister of Ch'in 

who made Ch'in a strong state and who stressed the importance of law. 

The Book of Lord Shang4 may or may not have been his. The momentum 

was enhanced in Shen Pu-hai (d. 337 B.C.), prime minister of the state 

of Han, who emphasized statecraft, techniques, methods, and the like, 

summed up in the word shu, and in Shen Tao (Shen Tzu, 350-275 

B.C?), who emphasized power, circumstances, and natural tendencies, 

all summed up in the word shih. Only fragments of their works have 

survived. The three tendencies—law, statecraft, and power—were synthesized 

in Han Fei Tzu (d. 233 B.C.), prince of Han. He offered his 

services to the powerful king of Ch'in, but through intrigue by his schoolmate 

Li Ssu (d. 208 B.C.), he had to commit suicide. The following 

selections are from his work, the Han Fei Tzu, in which Legalist doctrines 

are synthesized. In addition, there is also a selection on Han Fei's 

interpretation of Tao. In it he took the Taoist philosophy to new heights. 

THE HAN FEI TZU 5 

I. The Synthesis of Legalistic Doctrine 

The dominant systems of learning of our time are Confucianism and 

Moism. . . . Both Confucius and Mo Tzu transmitted the doctrines of 

(sage-emperors) Yao and Shun. Although they differed in what they 

3 In Ssu-ma Ch'ien's (145-86 B.C.?) autobiography in the Shih chi (Records of 

the Historian), ch. 130, PNP, 130:3b. For the term fa, see Appendix. 

4 English translation by Duyvendak, Book of Lord Shang. 

5 The work consists of fifty-five chapters in twenty books. For a complete translation, 

see Bibliography. An incomplete translation of chs. 49 and 50 by Y. P. 

Mei is found in de Bary, Sources of Chinese Tradition, pp. 138-150, 

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LEGALISM 

accepted or rejected, they each claimed to represent the true teachings 

of Yao and Shun. Now Yao and Shun cannot come to life again. Who 

is going to determine the truth of Confucianism or Moism? It has been 

more than seven hundred years from the Yin and Chou times, and more 

than two thousand years from the times of Yao and Shun. 6 If we are 

unable to determine the truth of Confucianism or Moism and yet wish 

to determine the doctrines of Yao and Shun of three thousand years ago, 

I believe it is impossible to be sure of anything. To be sure of anything 

without corroborating evidences is stupidity, and to base one's argument 

on anything about which one cannot be sure is perjury. Therefore those 

who openly base their arguments on the authority of the ancient kings 

and who are dogmatically certain of Yao and Shun are men either of 

stupidity or perjury. Such learning, characterized by stupidity and perjury, 

and such an unrefined and conflicting [doctrine] practiced [by the 

Confucianists and Moists] are unacceptable to an enlightened ruler. . . . 

The severe household has no fierce slaves, but it is the affectionate 

mother who has spoiled sons. From this I know that awe-inspiring power 

can prohibit violence and that virtue and kindness are insufficient to end 

disorder. When the sage rules the state, he does not depend on people to 

do good for him, but utilizes their inability to do wrong. If he depends on 

people to do good for him, we cannot even count ten within the state, 

but if he utilizes the people's inability to do wrong, the whole country 

may be regulated. A ruler makes use of the majority and neglects the 

minority, and so he does not devote himself to virtue but to law. 

If we had to depend 7 on an arrow being absolutely straight by nature, 

there would be no arrow in a hundred generations. If we had to depend 

on a piece of wood being perfectly round by nature, there would not be 

any wheel in a thousand generations. There is not one naturally straight 

arrow or naturally round piece of wood in a hundred generations, and 

yet in every generation people ride carriages and shoot birds. Why? Because 

of the application of the methods of straightening and bending. 

Although there is a naturally straight arrow or a naturally round piece 

of wood [once in a hundred generations] which does not depend on any 

straightening or bending, the skilled workman does not value it. Why? 

6 Ch'en Ch'i-t'ien, in his Han Fei Tzu chiao-shih (Collation and Explanation 

of the Han Fei Tzu), 1958, pp. 4-5, thinks the numbers of years should be interchanged. 

This was done by Liao in The Complete Works of Han Fei Tzu, vol. 2, 

p. 299. However, Yin dated from 1384 to 1112 B.C., and Chou started in 1111 B.C. 

It was just about 700 years to Han Fei's time. From the time of Yao to Han Fei 

Tzu it was just a little over two thousand years. Therefore no interchange of dates 

is necessary. 

7 According to Wang Hsien-shen, Han Fei Tzu chi-chieh (Collected Commentaries 

on the Han Fei Tzu), 1895, 19:16a, the word shih (to depend) should read 

tai (to wait for). Such emendation is quite unnecessary. 

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LEGALISM 

Because it is not just one person who wishes to ride and not just one 

shot that the archer wishes to shoot. Similarly, the enlightened ruler 

does not value people who are naturally good and who do not depend 

on reward and punishment. Why? Because the laws of the state must not 

be neglected and government is not for only one man. Therefore the 

ruler who has the technique does not follow the good that happens by 

chance but practices the way of necessity. . . . (Han Fei Tzu, ch. 50, 

SPTK, 19:7b-8a, 9b-10a) 

Comment. In the necessity of straightening and bending, note the 

similarity to Hsün Tzu (fl. 298-238 B.C.). 8 The theory of the 

originally evil nature of man is a basic assumption of the Legalists. 

But whereas the straightening and bending in Hsün Tzu consist of 

ceremonies and music, education, and the rectification of names, 

those of the Legalists consist of reward and punishment. Hsün 

Tzu had a firm faith in man's moral reform but the Legalists had 

no such faith. Although both Han Fei and Li Ssu were pupils of 

Hsün Tzu, master and pupils were utterly different in their attitudes 

toward man as a moral being. It is misleading, at least, to say, as 

Fung does, that Han Fei Tzu based his doctrines on the teachings 

of Hsün Tzu. 9 

There are four things that enable the enlightened ruler to achieve accomplishments 

and establish fame; namely, timeliness of the seasons, 

the hearts of the people, skill and talents, and position of power. Without 

the timeliness of the seasons, even the Yaos cannot grow a single ear of 

grain in the winter. Acting against the sentiment of the people, even Meng 

Pen and Hsia Yü (famous men of great strength) 10 could not make them 

exhaust their efforts. Therefore with timeliness of the seasons, the grains 

will grow of themselves. If the ruler has won the hearts of the people, 

they will exhort themselves without being pressed. If skill and talents are 

utilized, results will be quickly achieved without any haste. If one occupies 

a position of power, his fame will be achieved without pushing 

forward. Like water flowing and like a boat floating, the ruler follows 

the course of Nature and enforces an infinite number of commands. 

Therefore he is called an enlightened ruler. . . . (ch. 28, SPTK, 8:10b- 

11a) 

Comment. Of all the ideas of the Legalists, perhaps the most philosophical 

is that of following Nature, which was derived from the 



10 Both of the Chou period. Meng Pen was probably from Wei, once served 

Ch'in. 

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LEGALISM 

Taoists. The famous historian Ssu-ma Ch'ien is correct in saying 

that Han Fei Tzu's doctrines can be traced to Lao Tzu. 11 Han Fei 

Tzu commented and elaborated on the Lao Tzu. 12 

The Taoist ideal of taking no action (wu-wei) had a strong appeal 

to the Legalists because if laws worked effectively at all times, 

there would be no need for any actual government. The various 

Taoist tactics, such as withdrawing before advancing, 13 must have 

impressed the Legalists as clever techniques. And Chuang Tzu's 

advice to respond to different situations in different ways must also 

have been attractive to them. These were certainly some of the 

reasons why the Legalists did not attack the Taoists while they 

bitterly attacked the Confucianists and the Moists. But it must be 

remembered that differences between Taoism and Legalism far 

outweigh their similarity, which is both apparent and remote, to 

say the least. Control, violence, superiority of the state, and so 

forth are entirely incompatible with Taoism. 

The questioner asks, "Of the doctrines of the two schools of Shen 

Pu-hai and Shang Yang, which is of more urgent need to the state?" 

I reply: "They cannot be evaluated. A man will die if he does not eat 

for ten days. He will also die if he wears no clothing during the height 

of a severe cold spell. If it is asked whether clothing or food is more 

urgently needed by a man, the reply is that he cannot live without either, 

for they are both means to preserve life." 

Shen Pu-hai advocated statecraft and Shang Yang advocated law. 

Statecraft involves appointing officials according to their abilities 14 and 

demanding that actualities correspond to names. It holds the power of 

life and death and inquires into the ability of all ministers. These are 

powers held by the ruler. By law is meant statutes and orders formulated 

by the government, with punishments which will surely impress the 

hearts of the people. Rewards are there for those who obey the law and 

punishments are to be imposed on those who violate orders. These are 

things the ministers must follow. On the higher level, if the ruler has no 

statecraft, he will be ruined. On the lower level, if ministers are without 

laws, they will become rebellious. Neither of these can be dispensed 

with. They both are means of emperors and kings. . . . (ch. 43, SPTK, 

17:4b-5a) 

11 Shih chi, ch. 63, SPTK, 63:1b. 

12 

Han Fei Tzu, ch. 20, "Lao Tzu Explained," and ch. 21, "Examples for the 

Lao Tzu" 

13 

Lao Tzu, chs. 36 and 77. 

14 

Jen here means ability. See Ch'en Ch'i-yu, Han Fei Tzu chi-shih (Collected 

Explanations of the Han Fei Tzu), 1958, p. 908. 

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LEGALISM 

The important thing for the ruler is either laws or statecraft. A law 

is that which is enacted into the statute books, kept in government offices, 

and proclaimed to the people. Statecraft is that which is harbored in the 

ruler's own mind so as to fit all situations and control all ministers. 

Therefore for law there is nothing better than publicity, whereas in 

statecraft, secrecy is desired. . . . (ch. 38, SPTK, 16:5b-6a) 

The means 15 by which the enlightened ruler controls his ministers are 

none other than the two handles. The two handles are punishment and 

kindness (te). What do we mean by punishment and kindness? To execute 

is called punishment and to offer congratulations or rewards is 

called kindness. Ministers are afraid of execution and punishment but 

look upon congratulations and rewards as advantages. Therefore, if a 

ruler himself applies punishment and kindness, all ministers will fear 

his power and turn to the advantages. As to treacherous ministers, they 

are different. They would get [the handle of punishment] from the ruler 

[through flattery and so forth] and punish those whom they hate and 

get [the handle of kindness] from the ruler and reward those, whom they 

love. If the ruler does not see to it that the power of reward and punishment 

proceeds from himself but instead leaves it to his ministers to apply 

reward and punishment, then everyone in the state will fear the ministers 

and slight the ruler, turn to them and get away from the ruler. This is 

the trouble of the ruler who loses the handles of punishment and kindness. 

For the tiger is able to subdue the dog because of its claws and fangs. 

If the tiger abandons its claws and fangs and lets the dog use them, it 

will be subdued by the dog. Similarly, the ruler controls his ministers 

through punishment and kindness. If the ruler abandons his punishment 

and kindness and lets his ministers use them, he will be controlled by the 

ministers. . . . 

Comment. Confucius was not unaware of the "two handles" of the 

government. 16 But whereas the Confucianists put virtue ahead of 

punishment, the Legalists put punishment ahead of virtue. In fact, 

virtue in the true sense of the word is rejected by the Legalists, for 

te as used here by Han Fei Tzu no longer denotes moral virtue 

but merely kindness in the sense of rewards and favors. Even these 

are to be bestowed with an ulterior motive. 

Whenever a ruler wants to suppress treachery, he must examine the 

correspondence between actuality and names. 17 Actuality and names 

15 According to Yü Yüeh (1821-1906), Chu-tzu p'ing-i (Textual Critiques of 

the Various Philosophers), ch. 21, 1899 ed., 21:7b-8a, tao, ordinarily meaning 

"the way," here means "the way by which." 


17 The term hsing-ming, often mistranslated as "punishment and names," means 

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LEGALISM 

refer to the ministers' words and deeds. When a minister presents his 

words, the ruler assigns him a task in accordance with his words and 

demands accomplishments specifically from that work. If the results 

correspond to the task and the task to the words, he should be rewarded. 

If the accomplishments do not correspond to the task or the task not to 

the words, he will be punished. If the minister's words are big but his 

accomplishment is small, he will be punished. The punishment is not 

for the small accomplishment but for the fact that the accomplishment 

does not correspond to the words. If the minister's words are small and 

his accomplishments are big, he will also be punished. It is not that the 

ruler is not pleased with the big accomplishments but he considers the 

failure of the big accomplishments to correspond to the words worse than 

the big accomplishments themselves. Therefore he is to be punished. . . . 

(ch. 7, SPTK, 2:4a-5a) 

Comment. Like practically all ancient Chinese schools, the Legalists 

emphasized the theory of the correspondence of names and actualities. 

But while the Confucianists stressed the ethical and social 

meaning of the theory and the Logicians stressed the logical aspect, 

the Legalists were interested in it primarily for the purpose of political 

control. With them the theory is neither ethical nor logical but a 

technique for regimentation. 

Indeed customs differ between the past and the present. Old and new 

things are to be applied differently. To try to govern the people of a 

chaotic age with benevolent and lenient measures is like to drive wild 

horses without reins or whips. This is the trouble of the lack of wisdom. 

At present the Confucianists and Moists all praise ancient kings for 

their universal love for the whole world, which means that they regarded 

the people as parents [regard their children]. How do we know this to 

be the case? Because they say, "When the minister of justice carries out 

an execution, the ruler will stop having music" 18 and that "when the 

sovereign gets the report of a capital punishment, he sheds tears." 19 These 

are their praises of ancient kings. Now, to hold that rulers and ministers 

act toward each other like father and son and consequently there will 

necessarily be orderly government, is to imply that there are no disorderly 

fathers or sons. According to human nature, none are more affectionate 

the same as ming-shih, or name and actuality. The word hsing, ordinarily meaning 

punishment, is interchangeable with hsing meaning shape or form, that is, the 

concrete or the actual as contrasted with name. For further discussion on the 


18 Tso chuan (Tso's Commentary on the Spring and Autumn Annals), Duke 

Chuang, 20th year. See Legge, trans., Ch'un Ts'ew, p. 99. 

19 Source not identified. 

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LEGALISM 

than parents who love all children, and yet not all children are necessarily 

orderly. Although the parents' love is deep, why should they cease 

to be disorderly? Now the love of ancient kings for their people could 

not have surpassed that of parents for their children. Since children do 

[not] necessarily cease to be disorderly, then why should the people be 

orderly? Furthermore, if the ruler sheds tears when punishment is carried 

out according to law, that is a way to show humanity but not the 

way to conduct a government. For it is humanity that causes one to shed 

tears and wish for no punishment, but it is law that punishments cannot 

be avoided. Ancient kings relied on laws and paid no heed to tears. It is 

clear that humanity is not adequate for a government. 

Moreover, people are submissive to power and few of them can be 

influenced by the doctrines of righteousness. Confucius was a sage known 

throughout the empire. He cultivated his own character and elucidated 

his doctrines and traveled extensively within the four seas (China). 

People within the four seas loved his doctrine of humanity and praised 

his doctrine of righteousness. And yet only seventy people became his 

devoted pupils. The reason is that few people value humanity and it is 

difficult to practice righteousness. That was why in the wide, wide world 

there were only seventy who became his devoted pupils and only one 

(Confucius) who could practice humanity and righteousness. On the 

other hand, Duke Ai 20 of Lu was an inferior ruler. When he sat on the 

throne as the sovereign of the state, none within the borders of the state 

dared refuse to submit. For people are originally submissive to power 

and it is truly easy to subdue people with power. Therefore Confucius 

turned out to be a subordinate and Duke Ai, contrary to one's expectation, 

became a ruler. Confucius was not influenced by Duke Ai's 

righteousness; instead, he submitted to his power. Therefore on the 

basis of righteousness, Confucius would not submit to Duke Ai, but 

because of the manipulation of power, Confucius became a subordinate 

to him. Nowadays in trying to persuade rulers, scholars do not advocate 

the use of power which is sure to win, but say that if one is devoted to 

the practice of humanity and righteousness, one will become a true king. 

This is to expect that every ruler must be equal to Confucius and that 

all people in the world are equal to his [seventy-odd] followers. This is 

absolutely impossible. . . . 

What are mutually incompatible should not exist together. To reward 

those who kill their enemies in battle and at the same time to exalt acts 

of kindness and benevolence, to bestow honors and offices to those who 

capture cities and at the same time to believe in the doctrine of universal 

love, to sharpen weapons and strengthen troops as preparation for emer- 

20 R. 494-465 B.C. 

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LEGALISM 

gency and at the same time to praise the style of flowing robes and ornamental 

girdles (worn by the literati), to enrich the state through agriculture 

and to depend on the army to resist the enemy and at the same 

time highly to value men of letters, to neglect the people who respect 

the ruler and are afraid of the law and at the same time to support men 

like knights-errant and assassins—how can an orderly and strong state 

result from such self-contradictory acts? The state supports scholars and 

knights-errant in time of peace, but when emergency arises it has to use 

soldiers. Thus those who have been benefited by the government cannot 

be used by it and those used by it have not been benefited. This is the 

reason why those who serve take their work lightly and the number of 

traveling scholars increases every day. This is the reason why the world 

has become disorderly. 

What is now called a worthy person is one who practices correctness 

and faithfulness. What is called wisdom consists of subtle and unfathomable 

doctrines. Such subtle and unfathomable doctrines are difficult even 

for men of highest intelligence to understand. If what men of highest intelligence 

find to be difficult to understand is used to become laws for 

the people, the people will find them impossible to understand. When 

you have not even coarse rice to eat, don't look for refined grains and 

meat. When you don't even have rags to wear, don't wait for fancy embroidery. 

For in governing a state, when urgent matters have not been 

accomplished, efforts should not be directed toward things that can 

wait. If in governmental measures one neglects ordinary affairs of the 

people and what even the simple folks can understand, but admires the 

doctrines of the highest wisdom, that would be contrary to the way of 

orderly government. Therefore subtle and unfathomable doctrines are 

no business of the people. . . . Therefore the way of the enlightened 

ruler is to unify all laws but not to seek for wise men and firmly to adhere 

to statecraft but not to admire faithful persons. Thus laws will never 

fail and no officials will ever commit treachery or deception. 

In regard to the words [of traveling scholars], rulers of today like their 

arguments but do not find out if they correspond to facts. In regard to 

the application of these words to practice, they praise their fame but do 

not demand accomplishment. Therefore there are many in the world 

whose talks are devoted to argumentation and who are not thorough when 

it comes to practical utility. That is why even when the hall of the ruler is 

full of scholars who praise ancient kings and preach humanity and 

righteousness, the government is still not free from disorder. In their 

deeds scholars struggle for eminence but there is nothing in them that is 

suitable for real accomplishment. Therefore wise scholars withdraw to 

caves and decline the offering of positions. Inevitably armies become 

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LEGALISM 

weak and the government becomes disorderly. What is the reason? The 

reason is that what the people praise and what the ruler respects are 

those techniques that bring disorder to the state. . . . 

Therefore in the state of the enlightened ruler, there is no literature of 

books and records but the laws serve as the teaching. There are no sayings 

of ancient kings but the officials act as teachers. And there are no 

rash acts of the assassin; instead, courage will be demonstrated by those 

who decapitate the enemy [in battle]. Consequently, among the people 

within the borders of the state, whoever talks must follow the law, whoever 

acts must aim at accomplishment, and whoever shows courage must 

do so entirely in the army. Thus the state will be rich when at peace and 

the army will be strong when things happen. These are the materials 

for the true king. Having stored up these materials and taken advantage 

of the enemy's moments of weakness, this is surely the method to surpass 

the Five Emperors and match the Three Kings. . . . 21 (ch. 49, SPTK, 

19:2b-3a, 4b, 5a-b) 

Comment. The advocation of prohibiting the propagation of private 

doctrines eventually led to the Burning of Books in 213 B.C. 

and in the periodic prohibition of the propagation of personal doctrines 

throughout Chinese history. 

2. Interpretations of Tao 

Tao is that by which all things become what they are. It is that with 

which all principles are commensurable. 22 Principles are patterns (wen) 

according to which all things come into being, and Tao is the cause of 

their being. Therefore it is said that Tao puts things in order (li). 28 

Things have their respective principles and cannot interfere 24 with each 

other. Since things have their respective principles and cannot interfere 

with each other, therefore principles are controlling factors in things. 

Everything has its own principle different from that of others, and Tao 

is commensurate with all of them [as one]. Consequently, everything 

has to go through the process of transformation. Since everything 

has to go through the process of transformation, it has no fixed mode of 

life. As it has no fixed mode of life, its life and death depend on the en- 

21 The Five Emperors refer to five legendary rulers of antiquity. There are 

three different sets, two of which include Yao and Shun. The Three Kings are 

King Yü (r. 2183-2175 B.C.?), King T'ang (r. 1751-1739 B.C.?), and King Wen 

(r. 1171-1122 B.C.), founders of the Hsia, Shang, and Chou dynasties, respectively. 

22 The word chi is here used in the sense of combining or being equivalent. See 

Ch'en Ch'i-t'ien, Han Fei Tzu chiao-shih, p. 749. 

23 The word li, meaning principle, when used as a verb means to put things in 

order. 

24 According to Wang Hsien-ch'ien (1842-1917), quoted in Wang Hsien-shen, 

Han Fei Tzu chi-shih, 6:13a, the word po means to oppress or invade. 

260

LEGALISM 

dowment of material force (ch'i) [by Tao]. Countless wisdom depends 

on it for consideration. And the rise and fall of all things are because of 

it. Heaven obtains it and therefore becomes high. The earth obtains it 

and therefore can hold everything. . . . 25 

Men seldom see a living elephant. They obtain the skeleton of a dead 

elephant and imagine a living one according to its features. Whatever 

people use for imagining the real is called form (hsiang). Although Tao 

cannot be heard or seen, the sage decides and sees its features on the basis 

of its effects. Therefore it is called [in the Lao Tzu] "shape without shape 

and form without objects." 26 

In all cases principle is that which distinguishes the square from the 

round, the short from the long, the coarse from the refined, and the hard 

from the brittle. Consequently, it is only after principles become definite 

that Tao can be realized. According to definite principles, there are 

existence and destruction, life and death, flourish and decline. Now, a 

thing which first exists and then becomes extinct, now lives and then dies, 

or flourishes at first and declines afterward cannot be called eternal. 

Only that which exists from the very beginning of the universe and neither 

dies nor declines until heaven and earth disintegrate can be called eternal. 

What is eternal has neither change nor any definite particular principle 

itself. Since it has no definite principle itself, it is not bound in any particular 

locality. This is why [it is said in the Lao Tzu] that it cannot be 

told. 27 The sage sees its profound vacuity (hsü) and utilizes its operation 

everywhere. He is forced to give it the name Tao. 28 Only then can it be 

talked about. Therefore it is said, "The Tao that can be told of is not the 

eternal Tao." 29 (ch. 20, SPTK, 16:7a-8a) 

Comment. This is one of the earliest and most important discussions 

on Tao. It is of great importance for two reasons. First, principle 

(li) has been the central concept in Chinese philosophy for 

the last eight hundred years, and Han Fei was one of the earliest 

to employ the concept. Secondly, to him Tao is not an undifferentiated 

continuum in which all distinctions disappear. On the contrary, 

Tao is the very reason why things are specific and determinate. This 

is a radical advance and anticipated the growth of Neo-Taoism 

along this direction in the third and fourth centuries A.D. 

25 26 

Cf. Lao Tzu, ch. 39. ch. 14. 

28 29 Cf. Lao Tzu, ch. 25. Lao Tzu, ch. 1. 

261 

27 Ch. 1.

... 13 ... 

THE PHILOSOPHY OF CHANGE 

THE Book of Changes (I Ching) 1 grew out of the ancient practice of 

divination. Its text is very cryptic and no definite philosophical conclusion 

can be drawn from it. In the commentaries, however, which have 

been ascribed to Confucius by tradition but to unknown writers three 

or four centuries later by some scholars, there is a clear outline of a rational 

approach to a well-ordered and dynamic universe. It is a universe of 

constant change, and whatever issues from it is good. One is reminded 

of "perfect sincerity" in the Doctrine of the Mean, which is the source 

of the good and is unceasing. 2 

Change is simple and easy. (The Chinese word for change, i, also 

1 The Book of Changes is one of the basic Confucian Classics. It is also much 

cherished by the Taoists. It is divided into the texts and commentaries. The texts 

consist of sixty-four hexagrams and judgments on them. These hexagrams are 

based on the Eight Trigrams, each of which consists of three lines, divided or 

undivided, the divided representing the weak, or yin, and the undivided representing 

the strong, or yang. Each of these eight corresponds to a direction, a natural 

element, a moral quality, etc. For example, ch'ien (Heaven) is heaven, k'un 

(Earth) is earth, chen (activity) is thunder, sun (bending) is wind, 

k'an (pit) is water, li (brightness) is fire, ken (to stop) is mountain, 

and tui (pleasure) is a collection of water. Each trigram is combined with 

another, one upon the other, thus making sixty-four hexagrams. These hexagrams 

symbolize all possible situations. For example, the hexagram with the water 

trigram over the fire trigram symbolizes conquest, success, etc. 

Each hexagram is followed by two texts, namely (1) the kua-tz'u or the explanation 

of the text of the whole hexagram and (2) the yao-tz'u or the explanation of 

the component lines. The commentaries number seven. First is (3) the tuan-chuan 

or the commentary on (1) and then there is (4) the hsiang or abstract meaning 

of (1) and (2). For the first two hexagrams (the ch'ien or Heaven and k'un or 

Earth), there are in addition (5) the wen-yen or commentary on the first two 

texts to stress their philosophical or ethical meaning. Following these sixty-four 

hexagrams and their discussions, there are (6) the hsi-tz'u or the appended remarks, 

(7) the remarks on certain trigrams, (8) the remarks on the order of the 

hexagrams, and (9) the random remarks on the hexagrams. Nos. 3, 4, and 6, 

each in two parts, and nos. 5, 7, 8, and 9 form the "ten wings" of the book. 

The most important parts are the texts (1 and 2) and discussions (5) on the 

first two hexagrams, the appended remarks (6), and the remarks on the trigrams 

(7). It is here that much of Chinese philosophical speculation has been based. 

Tradition has ascribed the Eight Trigrams to legendary Fu-hsi, the sixty-four 

hexagrams to King Wen (r. 1171-1122 B.C.), the two texts (1 and 2) to him or 

Duke Chou (d. 1094 B.C.) and the "ten wings" to Confucius. Most modern 

scholars have rejected this attribution, but they are not agreed on when and by 

whom the book was produced. Most probably it is a product of many hands over 

a long period of time, from the fifth or sixth century B.C. to the third or fourth 

century B.C. 

For English translations, see Bibliography. 

2 Ch. 26. 

262


means easy.) It engenders the two forces, yin, the passive or the female 

element, and yang, the active or the male element, and their interaction 

in turn gives rise to all multiplicity. Whether this idea of interaction 

between yin and yang is originally a borrowing from the interaction 

of the male and the female is unimportant. The important point 

is that the universe is not just a well-ordered state of existence in which 

all things are correlated and man and Nature form a unity, as envisaged 

by the Yin Yang School. What is more, it is a continuous change, for 

things are forever interfused and intermingled. The universe is a realm 

of perpetual activity. 

In certain respects, the activity takes the form of cycles, as in the 

Yin Yang School. But the far more important aspect of the interaction 

of yin and yang is its progressive direction leading to the development 

of society, morality, and civilization. In the beginning there is the Great 

Ultimate (T'ai-chi). It engenders yin and yang, which in their turn 

give rise to the four forms. These refer to major and minor yin and 

yang. But the word for form (hsiang) also connotes symbols, patterns, 

and ideas. This means that out of the interaction of the two cosmic 

forces, all patterns, ideas, systems, and culture are evolved. The earlier 

trigrams are now given an entirely new interpretation. Their divided 

and undivided lines are no longer considered elements of good and evil 

fortune, but cosmic forces. When the Eight Trigrams, each containing 

three lines, multiply themselves to become sixty-four hexagrams, they 

are taken to represent all possible forms of change, situations, possibilities, 

and institutions. Thus a complex civilization is conceived of as a 

process of systematic and progressive development which can be traced 

to its simplest beginning. The cosmology may be naïve and crude, but 

the philosophical spirit is clear. Instead of a universe controlled by 

spiritual beings whose pleasures can only be discovered through divination, 

we have a natural operation of forces which can be determined 

and predicted objectively. The word "spirit" does not denote spiritual 

beings any more but natural forces or, as one is tempted to say, natural 

law. It is interesting that things are even assigned numbers in an attempt 

to reduce existence to the simplest formula. As we shall see, the rational 

character of the book had a tremendous appeal to Neo-Confucianists, 

who quoted it frequently. Philosophically speaking, it has exerted more 

influence than any other Confucian Classic. 

263


1. SELECTIONS FROM THE COMMENTARIES 

ON THE BOOK OF CHANGES 

Hexagram No. 1, Ch'ien (Heaven) 

Great is ch'ien, the originator! All things obtain their beginning from 

it. It unites and commands all things under heaven. 3 The clouds move 

and the rain is distributed, and the various things are evolved in their 

respective forms. Thus the beginning and the end are profoundly understood, 

4 and the six positions of the hexagram 5 are achieved at the proper 

time. 

[Ch'ien] at all times rides the six dragons (ch'i or material forces) 

[of the six lines] and controls all things under heaven. The way of ch'ien 

is to change and to transform so that everything will obtain its correct 

nature and destiny (ming) and the great harmony [of natural forces] 

will be self-proficient. There the result will be the advantage [derived 

from the harmony of all things] and firmness [throughout their existence]. 

[Ch'ien] towers above the myriad things [like a king] and all states 

enjoy peace. . . . 

The character of the great man is identical with that of Heaven and 

Earth; his brilliance is identical with that of the sun and the moon; his 

order is identical with that of the four seasons, and his good and evil 

fortunes are identical with those of spiritual beings. He may precede 

Heaven and Heaven will not act in opposition to him. He may follow 

Heaven, but will act only as Heaven at the time would do. ... 

Hexagram No. 2, K'un (Earth) 

Being straight means correctness, and being square means righteousness. 

The superior man applies seriousness (ching) 6 to straighten the 

internal life and righteousness to square the external life. As seriousness 

and righteousness are established, one's virtue will not be an isolated instance. 

Straight, square, and great, [the superior man] works his operations 

without repeated effort, and is in every respect advantageous. 

3 This interpretation follows Wang Pi's (226-249) commentary in the Thirteen 

Classics Series. 

4 This does not refer to the understanding of any sage or holy man, as Legge, 

Yi King, p. 213, and Richard Wilhelm, 1 Ching, vol. 2, p. 3 have it, but to the 

operation of the Principle of Nature. See subcommentary by K'ung Ying-ta 

(574-648), Chou-i cheng-i (Correct Meanings of the Book of Changes), ch. 1, in 

the Thirteen Classics Series. 

5 See above, n.1. Since the hexagram consists of two trigrams, it therefore 

consists of six lines in their six positions. 

6 This word is not to be interpreted in the ordinary sense of reverence, which 

assumes an object. See Appendix. 

264


Comment. The two complementary ethical formulae, seriousness to 

straighten the internal life and righteousness to square the external 

life, eventually became the keystone in the method of moral cultivation 

for many Neo-Confucianists, especially Ch'eng I (Ch'eng 

I-ch'uan, 1033-1107). 

2. SELECTIONS FROM THE "APPENDED 

REMARKS," PT. 1 

Ch. 1. Heaven is high, the earth is low, and thus ch'ien (Heaven) 

and k'un (Earth) are fixed. As high and low are thus made clear, the 

honorable and the humble have their places accordingly. As activity 

and tranquillity have their constancy, the strong and the weak are thus 

differentiated. Ways come together according to their kind, and things 

are divided according to their classes. Hence good fortune and evil 

fortune emerge. In the heavens, forms (heavenly bodies) appear and 

on earth shapes (creatures) occur. In them change and transformation 

can be seen. Therefore the strong and the weak interact and the Eight 

Trigrams activate each other. Things are stimulated by thunder and 

lightning and enriched by the influence of wind and rain. Sun and moon 

revolve on their course and cold and hot seasons take their turn. The 

way of ch'ien constitutes the male, while the way of k'un constitutes 

the female. Ch'ien knows the great beginning, and k'un acts to bring 

things to completion. Ch'ien knows through the easy, and k'un accomplishes 

through the simple. 

Ch. 4. The system of Change 7 is tantamount to Heaven and Earth, 

and therefore can always handle and adjust the way of Heaven and 

Earth. Looking up, we observe the pattern of the heavens; looking 

down, we examine the order of the earth. Thus we know the causes of 

what is hidden and what is manifest. If we investigate the cycle of 

things, we shall understand the concepts of life and death. 

Essence and material force (ch'i) are combined to become things. 

The wandering away of spirit (force) becomes change. From this 

we know that the characteristics and conditions of spiritual beings 

are similar to those of Heaven and Earth and therefore there is no 

disagreement between them. The knowledge [of spirit] embraces all 

things and its way helps all under heaven, and therefore there is no 

mistake. It operates freely and does not go off course. It rejoices 

in Nature (T'ien, Heaven) and understands destiny. Therefore there 

is no worry. As [things] are contented in their stations and earnest in 

practicing kindness, there can be love. It molds and encompasses all 

7 Many commentators have taken this to mean the Book of Changes. 

265


transformations of Heaven and Earth without mistake, and it stoops to 

bring things into completion without missing any. It penetrates to a 

knowledge of the course of day and night. 8 Therefore spirit has no 

spatial restriction and Change has no physical form. 

Comment. Exactly what is meant by "spirit" is not clear, but it is 

surely not the spirit of a deceased person that influences human 

affairs. Traditionally kuei-shen means either simply spirits of ancestors 

or spiritual beings. In the latter case, it may mean either 

good or evil spirits or the positive and negative aspects of the soul, 

respectively. But here it is simply the unfathomable force behind 

all transformations. Later in Neo-Confucianism, it is to be understood 

purely as the spontaneous activity of yin and yang. 9 

Ch. 5. The successive movement of yin and yang constitutes the Way 

(Tao). What issues from the Way is good, and that which realizes it 

is the individual nature. The man of humanity (jen) 10 sees it and calls 

it humanity. The man of wisdom sees it and calls it wisdom. And the 

common people act according to it daily without knowing it. In this 

way the Way of the superior man is fully realized. 11 It [spirit] is manifested 

in humanity but is concealed in its functioning. It promotes all 

things without sharing the anxiety of the sage. How perfect is its eminent 

virtue and great achievement! Its achievement is great because it 

possesses everything, and its virtue is abundant because it renovates 

things every day. 

Comment. The idea of renewing every day has already been found 

in the Great Learning 12 and will be reiterated again and again in the 

Neo-Confucian philosophy. 13 

Changes mean production and reproduction. Ch'ien means the completion 

of forms, and k'un means to model after them. Divination means 

to go to the utmost of the natural course of events in order to know 

the future. Affairs mean to adapt and accommodate accordingly. And 

that which is unfathomable in the operation of yin and yang is called 

spirit. 

8 According to Han K'ang-po (of Chin, 265-420), the foregoing descriptions 

refer to spirit, whereas K'ung Ying-ta thought they refer to the sage. See the 

Chou-i cheng-i. Sun Hsing-yen (1753-1818), in his Chou-i chi-chieh (Collected 

Explanations of the Book of Changes), supports Han K'ang-po. 

9 See below, ch. 30, B, 10, 11, 31, 56; ch. 32, sec. 65, 70, 73, 78; ch. 34, B, 

130-133. 

10 Variously rendered as benevolence, love, human-hearted, etc. 

11 The word hsien here does not mean few, as all translators have understood it, 

but means to the fullest extent. See Sun Hsing-yen, Chou-i chi-chieh. 

12 Ch. 2. 13 See below, pp. 558, 693, 752, 760. 

266


Comment. The concept of production is new and will form an 

important part of Neo-Confucianism. Both change and the characteristic 

of the universe are described in terms of life-giving. 

Ch. 10. ... Change has neither thought nor action, because it is in 

the state of absolute quiet and inactivity, and when acted on, it immediately 

penetrates all things. If it were not the most spirit-like thing 

in the world, how can it take part in this universal transformation? The 

system of Change is that by which the sage reaches the utmost of 

things and examines their subtle emergence (chi, subtle activating 

force). Only through depth can the will of all men be penetrated; 

only through subtle activation can all undertakings in the world be 

brought to completion; and only through spirit is there speed without 

hurry and the destination reached without travel. . . . 

Comment. What is quiet is substance and what penetrates things is 

function. This sets the pattern for the Neo-Confucian theory of 

substance and function. 

Ch. 11. . . . Therefore k'un means closing and ch'ien means opening. 

The succession of closing and opening constitutes transformation. 

The alternate going and coming [of yin and yang] is called penetration. 

What is manifested is called form (hsiang). What has taken physical 

form is called a concrete thing (ch'i). 14 To control and use things is 

called method. And [when they are] used to advantage, either in this or 

that way, so all people utilize them, that is called spirit. 

Therefore in the system of Change there is the Great Ultimate. It 

generates the Two Modes (yin and yang). The Two Modes generate 

the Four Forms (major and minor yin and yang). The Four Forms 

generate the Eight Trigrams. The Eight Trigrams determine good and 

evil fortunes. And good and evil fortunes produce the great business 

[of life]. . . . 

Ch. 12. . . . The system of Change is indeed intermingled with the 

operations of ch'ien and k'un. As ch'ien and k'un take their respective 

positions, the system of Change is established in their midst. If ch'ien 

and k'un are obliterated, there would be no means of seeing the system 

of Change. If the system of Change cannot be seen, then ch'ien and k'un 

would almost cease to operate. 

Therefore what exists before physical form [and is therefore without 

it] 15 is called the Way. What exists after physical form [and is therefore 

with it] is called a concrete thing. That which transforms things and 

14 Literally an implement, a utensil, a particular thing. For a discussion of this 


15 About this translation, see Appendix, comment on Hsing-erh-shang. 

267


controls them is called change. That which extends their operation is 

called penetration. To take them and apply them to the people of the 

world is called the business of life. . . . 

3. SELECTIONS FROM THE "APPENDED 

REMARKS," PT. 2 

Ch. 1. ... The great characteristic of Heaven and Earth is to produce. 

The most precious thing for the sage is [the highest] position. 

To keep his position depends on humanity. How to collect a large 

population depends on wealth. The right administration of wealth, the 

rectification of terms, and prohibiting people from wrong doing constitute 

righteousness. 

Ch, 5. It is said in the Change, "Full of anxious thought you come 

and go. [Only] friends will follow you and think of you." The Master 16 

said, "What is there in the world to think about or to deliberate about? 

In the world there are many different roads but the destination is the 

same. There are a hundred deliberations but the result is one. What is 

there in the world to think about or to deliberate about?" 

Comment. The idea of a hundred roads to the same destination is 

a direct expression of the spirit of synthesis which is extremely 

strong in Chinese philosophy. It is the Confucian version of Chuang 

Tzu's doctrine of following two courses at the same time. 17 

After the sun goes, the moon comes. After the moon goes, the sun 

comes. The sun and the moon push each other in their course and thus 

light appears. After the winter goes, the summer comes. After the summer 

goes, the winter comes. The winter and the summer push 

each other and thus the year is completed. To go means to contract 

and to come means to expand. Contraction and expansion act on each 

other and thus advantages are produced. The looper caterpillar coils 

itself up (contracts) in order to stretch out (expand). Dragons and 

snakes hibernate (contract) in order to preserve life (expand). Investigate 

the principles of things with care and refinement until we enter 

into their spirit, for then their application can be extended, and utilize 

that application and secure personal peace, for then our virtue will be 

exalted. What goes beyond this is something we can hardly know. To 

investigate spirit to the utmost and to understand transformation is the 

height of virtue. . . . 

Ch. 6. The Master (Confucius) said, "Ch'ien and k'un are indeed the 

16 Traditionally identified as Confucius. 

17 See comment on it on p. 184. 

268


gate of Change! Ch'ien is yang and k'un is yin. When yin and yang are 

united in their character, the weak and the strong attain their substance. 

In this way the products of Heaven an4 Earth are given substance 

and the character of spiritual intelligence can be penetrated. . . . 

4. SELECTIONS FROM "REMARKS ON 

CERTAIN TRIGRAMS" 

Ch. 1. In ancient times in instituting the system of Change, the sages, 

with the hidden assistance of spiritual intelligence, created the system 

of divination by the use of milfoil stalks. The number 3 was assigned 

to heaven, 2 to earth, and from these other numbers were established. 18 

They observed the changes in yin and yang (divided and the undivided 

lines) and form the trigrams. From the movements that took place in 

the weak and strong [lines], they produced [the principles of] the individual 

lines. They harmonized [these principles] with the Way and 

virtue, and laid down the order of moral principles. [Their teaching is 

to] investigate principle (li) to the utmost and fully develop one's 

nature until destiny is fulfilled. 

Comment. The three subjects of principle, nature, and destiny cover 

practically the whole philosophy of the Neo-Confucian movement. 

In fact, the movement is called the Philosophy of Nature and Principle. 

In essence, the teaching is no different from Mencius' teaching 

of fully developing one's mind, knowing Heaven, and fulfilling 

one's destiny. 19 But Mencius did not provide the metaphysical basis 

for Neo-Confucianism as does the Book of Changes. It is also to 

be noted that unlike the Taoists who require vacuity (hsü) of 

mind for one to become identified with Nature, here Confucianists 

advocate the fulfillment of one's own nature to achieve the same 

objective. 

Ch. 2. In ancient times, the sages instituted the system of Change 

in order to follow the principle of the nature and destiny. Therefore yin 

and yang were established as the way of Heaven, the weak and the 

strong as the way of Earth, and humanity and righteousness as the way 

of man. [Each hexagram] embraced those three powers (Heaven, Earth, 

and man) and doubled them. Therefore in the system of Change a 

hexagram is complete with six lines. They are distinguished as yin and 

yang and the weak and the strong are employed in succession. Thus in 

18 This is open to various interpretations. The interpretation by Wang Su (195- 

256) is adopted here. See Sun Hsing-yen, Chou-i chi-chieh. 


269


the system of Change there are six positions and the pattern is complete. 

Ch. 11. Ch'ien is heaven. It is round, the ruler, the father, jade, 

metal, cold, ice, deep red, a good horse, an old horse, a lean horse, a 

piebald horse, tree fruit. K'un is the earth, the mother, cloth, kettle, 

frugality, the level, a young heifer, a large carriage, fibre, multitude, a 

handle, and black soil among the various kinds of soil. . . . 

270

... 14 ... 

YIN YANG CONFUCIANISM: TUNG CHUNG-SHU 

ON THE SURFACE, Tung Chung-shu (c.179-c.104 B.C.) seems to be 

of only minor philosophical interest, but historically he is of the utmost 

importance. He was chiefly instrumental in making Confucianism the 

state doctrine in 136 B. C. This supremacy excluded other scholl, and 

lasted until 1905. But a closer examination of his philosophy reveal 

some extremely significant developments. In the Yin Yang School, the 

universe is conceived of as a well-coordinated system in which every 

thing is related to everything else. In the Book of Changes this order 

is conceived of as a process of transformation. In Tung Chung-shu, 

however, both ideas took a step forward: the universe is treated as an 

organic whole. In his belief, not only are things related generally, but 

they are so in exact detail; and not only do things change, but they activate 

each other. The theory that things of the same kind energize one 

another presupposes an organic structure and a pre-established harmony. 

The correspondence of man and Nature is now reduced to numbers. 

Nature can always influence man through portents because the same 

material forces of yin and yang govern both of them. In fact, to Tung 

man is the universe in miniature: man is the microcosm, Nature the 

macrocosm. 

Since things are always activating one another, the universe is not 

static but dynamic. This idea is underscored by the concept of the 

origin (yüan), a concept not much different from that of Change. But 

as the Great Ultimate in the system of Change is confined to the metaphysical 

realm, Tung's concept of the origin finds its richest meaning 

in history and human affairs. To him, origin means foundation, and 

nothing can be correct unless its foundation is correct. This is why, 

according to him, the Spring and Autumn Annals records events beginning 

with the first of the year. According to tradition, Confucius wrote 

the Classic to record the affairs of his native state of Lu from 722 to 

481 B.C., which eventually came to be known as the Period of Spring and 

Autumn. Confucius did record the events in such a way as to suggest 

certain judgment upon them. But Tung regarded the book as laws for 

future dynasties. In his eyes, names used in the book are incidents of the 

rectification of names from which moral and political correctness can be 

discerned. Moreover, the book is the embodiment of the Natural Law. 

One suspects that the reason why Tung honored the Spring and Autumn 

Annals the most highly of all Confucian Classics stems at least partly 

from the fact that in this book human affairs are viewed in the perspec- 

271

YIN YANG CONFUCIANISM 

tive of the origin and what follows from it—that is, in the perspective of 

time. 

Likewise, the time element has an unusual bearing on his doctrine of 

history. He views history as going in a cycle of three periods, symbolized 

by black, white, and red. This in itself is not much different from Tsou 

Yen's (305-240 B.C.?) theory of the revolution of the Five Powers. 1 

What is unique is that the correct period must begin at the right time. 

In this scheme of things, the supreme position belongs to the king. 

When imperial power was fast growing in the Han (206 B.C.− A.D. 220), 

this is not surprising. People, born with greed as well as with humanity, 

are considered to be unenlightened by nature, and require a king to instruct 

them. Applied to human relations, this becomes Tung's Three 

Bonds according to which the ruler, the father, and the husband are to 

be the standards of the ruled, the son, and the wife. Some scholars have 

maintained that it was precisely because of this authoritarianism that 

the Han rulers welcomed Confucianism as the state ideology. Be that as 

it may, it must be pointed out that in Tung's system there are factors that 

would check the ruler. After all, he can rule only if he receives the mandate 

from Heaven, and the will of Heaven is to be discovered not by an 

astrologer to whom the king might dictate but through portents, which 

are expressions of the natural cosmic forces of yin and yang. In the final 

analysis it was Confucius, according to Tung, who understood the origin 

of things, of which portents as well as human and natural events are 

manifestations, and who taught humanity (jen) and righteousness rooted 

in Heaven. Thus the final power of interpreting what is correct or not 

rests with Confucian scholars. Hu Shih (1891-1962) has suggested that 

Tung was probably the first man to make an appeal to the Law of God 

in his attack on the nobles and officials of the empire. 2 

Tung was a professor of the national university, a very high honor, as 

well as twice a chief minister. He was the greatest Confucianist of his 

time, and for several hundred years afterward. Once he studied and 

taught so hard that for three years he did not see his garden. 3 The follow- 


2 "The Natural Law in the Chinese Tradition," in Natural Law Institute Proceedings, 

vol. 5, p. 148. 

3 According to the Ch'ien-Han shu (History of the Former Han Dynasty, 206 

B.C.−A.D. 8), ch. 56, Tung devoted himself to the Spring and Autumn Annals in 

his youth. In 140, 136, or 134 B.C. he was the top scholar commanded to answer 

questions by Emperor Wu (r. 140-87 B.C.). It was largely through his influence 

that non-Confucian scholars were dismissed from the government and Confucianism 

was made state dogma by Emperor Wu. In 140 B.C. Tung was appointed chief 

minister to a prince. Because he applied his belief in portents to governmental 

measures, he was attacked and dismissed. Later he was chief minister to another 

prince. At old age he retired to write. 

272

TUNG CHUNG-SHU 

ing are selections, including four full chapters, from his work the Ch'unch'iu 

fan-lit (Luxuriant Gems of the "Spring and Autumn Annals'') 

LUXURIANT GEMS OF THE SPRING 

AND AUTUMN ANNALS 4 

A. The Profound Examination of Names and Appellations (ch. 35) 

. . . . The present generation is ignorant about human nature. Speakers 

on the subject differ from each other. Why not try to go back to the term 

"nature" (hsing)? Does not the term "nature" mean what is inborn 

(sheng)? 5 If it means what is inborn, then the basic substance naturally 

endowed is called man's nature. Nature is the basic substance. If we inquire 

into the basic substance of nature by applying the term "good," will 

that be correct? If not, why still say that the basic substance is good? The 

term "nature" cannot be separated from the basic substance. When it is 

separated from the basic substance, as in the case of hair, it will no longer 

be nature. This should be clearly understood. The Spring and Autumn 

Annals examines the principles of things and rectifies their names. It applies 

names to things as they really are, without making the slightest mistake. 

Therefore in mentioning [the strange event of] falling meteorites, it 

mentions the number five afterward [because the meteorites were seen 

first and their number discovered later], whereas in mentioning the 

[ominous event of] fishhawks flying backward, it mentions the number 

six first [because six birds were first seen flying away and upon a closer 

look it was then found that they were fishhawks]. 6 Such is the care of the 

Sage (Confucius, its author) to rectify names. [As he himself said], 

"With regard to his speech, the superior man does not take it lightly." 7 

His statements about the five meteorites and the six fishhawks are good 

illustrations of this. 

4 The Ch'un-ch'iu fan-lu (Luxuriant Gems of the Spring and Autumn Annals) 

consists of eighty-two short essays on philosophical and political subjects. For a 

French translation of chs. 44 and 74 see Bibliography. The word lu is often translated 

literally as "dew." According to one interpretation, fan-lu means luxuriant 

dew, that is, the richness of meaning in Confucius' Spring and Autumn Annals. 

But the more common interpretation is that of gems hanging down from a cap, 

symbolizing the connecting links between the use of terms in the Classic and the 

event it describes. For the Spring and Autumn Annals, see above, ch. 1, n.6. 

5 The character of nature, hsing, contains as its chief component the character 

for "birth," sheng, to produce, to create. Furthermore, they sound very much 

alike. In the Chinese language two words pronounced the same or very much 

alike often connote each other. It is not to be dismissed simply as a pun. 

6 According to the Spring and Autumn Annals, five meteorites fell in the state 

of Sung and six fishhawks flew backward over its capital in the 16th year of Duke 

Hsi (642 B.C.). See Legge, trans., Ch'un Ts'ew, p. 170. The Kung-yang Commentary 

explains why the number is given first in the one case but last in the other. 


273


It is the mind that keeps the various evil things weak within so that 

they cannot be expressed outside. Therefore the mind (hsin) is called 

the weak (jen). 8 If in the endowment of material force (ch'i) one is free 

from evil, why should the mind keep anything weak? From the name of 

the mind I know the real character of man. In his real character man has 

both humanity (jen) 9 and greed. The material forces responsible for 

both humanity and greed are found in his person. What is called the 

person is received from Heaven (T'ien, Nature). Heaven has its dual 

operation of yin and yang (passive and active cosmic forces), and the 

person also has his dual nature of humanity and greed. There are cases 

when Heaven restricts the operation of yin and yang, and there are cases 

when the person weakens his feelings and desires. [The way of man] and 

the Way of Heaven are the same. Consequently as yin functions, it cannot 

interfere with spring or summer (which correspond to yang), and 

the full moon is always overwhelmed by sunlight, so that at one moment 

it is full and at another it is not. This is the way Heaven restricts 

the operation of yin. How can [man] not reduce his desires and stop his 

feelings (both corresponding to yin) in order to respond to Heaven? As 

the person restricts what Heaven restricts, it is therefore said that the 

person is similar to Heaven. To restrict what Heaven restricts is not to 

restrict Heaven itself. We must know that without training our nature 

endowed by Heaven cannot in the final analysis make [the feelings and 

desires] weak. If we examine actuality to give names, when there has 

been no training, on what ground can nature be so called (as good)? 

Comment. It is absurd to draw conclusions on human nature from 

similarity in pronunciation of words. The question of human nature, 

however, is a serious one, for it was a central problem during the 

entire history of Confucianism, and with Tung it enters upon a new 

stage. In saying that nature means what is inborn, he seems to be repeating 

Kao Tzu (c.420-c.350 B.C.), and in asserting the dual nature 

of humanity and greed, he seems to be suggesting the theory that 

human nature is a mixture of good and evil. Actually neither is 

true. The theory of mixed nature did not develop until Yang Hsuing 

(53 B.C.-A.D. 18). 10 Tung's own theory is unique: there is goodness 

in human nature, but it is only the beginning of goodness and it requires 

training to be realized. His whole emphasis is on education. 

Therefore man's nature may be compared to the rice stalks and goodness 

to rice. Rice comes out of the rice stalk but not all the stalk be- 

8 Hsin and jen were pronounced much alike. 

9 Jen is often translated as love, goodness, benevolence, etc. For comments on 

translations of this term, see Appendix. 

10 For Kao Tzu, see above, ch. 3, Mencius, 6A:1-6, and for Yang Hsuing, see 

below, ch. 15. 

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comes rice. Similarly, goodness comes out of nature but not all nature 

becomes good. Both goodness and rice are results of human activity in 

continuing and completing the creative work of Heaven, which is outside 

of Heaven's own operation, and are not inherent in what Heaven has 

produced, which is within its operation. The activity of Heaven extends 

to a certain point and then stops. What stops within the operation of 

Heaven is called human nature endowed by Heaven, and what stops 

outside the operation of Heaven is called human activity. Man's activity 

lies outside of his nature, and yet it is inevitable that [through training] 

his nature will become virtuous. The term "people" (min) is derived 

from the term "sleep" (ming, ignorant, literally, closing one's eyes). 11 

If nature is already good [at birth], why are people so called? Take 

the case of meteorites. If they were not supported in place, they would 

be rolling wild. How can they be good? 

Man's nature may be compared to the eyes. In sleep they are shut and 

there is darkness. They must await the awakening before they can see. 

Before the awakening it may be said that they possess the basic substance 

(quality) to see, but it cannot be said that they see. Now the 

nature of all people possesses this basic substance but it is not yet awakened; 

it is like people in sleep waiting to be awakened. It has to be 

trained before it becomes good. Before it is awakened, it may be said to 

possess the basic substance to become good but it cannot be said that it 

is already good. It is the same as the case of the eyes being shut and becoming 

awakened. If we leisurely examine this matter with a calm mind, 

the truth becomes evident. Man's nature being in sleep, as it were, and 

before awakening is the state created by Heaven (Nature). To follow 

what Heaven has done and give it a name, we call the creatures "people" 

(min). By that is meant that they are in sleep (ming). If we inquire into 

principles according to their names and appellations, we shall understand. 

Thus names and appellations are to be rectified in accordance 

with [the principles] of Heaven and Earth. Nature and feelings are produced 

by Heaven and Earth. Both nature and feelings are the same in 

a state of sleep. Feelings are [part of] nature. If we say that nature is 

already good, what can we say about feelings [which are sources of evil]? 

Therefore the Sage never said that nature is good, for to say so would be 

to violate the correctness of the name. 

That the person possesses nature and feelings is similar to the fact 

that Heaven has yin and yang. To say that there is no feeling in man's 

basic substance is like saying that there is yang in Heaven but no yin. 

Such absurd ideas are never acceptable. 12 What we call nature does not 

11 Another case of words pronounced alike with similar meaning. 

12 The sentence is obscure. 

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refer to the highest type of man nor to the lowest, but to the average. The 

nature of man is like a silk cocoon or an egg. An egg has to be hatched 

to become a chicken, and a silk cocoon has to be unravelled to make 

silk. It is the true character of Heaven that nature needs to be trained 

before becoming good. Since Heaven has produced the nature of man 

which has the basic substance for good but which is unable to be good 

[by itself], therefore it sets up the king to make it good. This is the will 

of Heaven. The people receive from Heaven a nature which cannot be 

good [by itself], and they turn to the king to receive the training which 

completes their nature. It is the duty of the king to obey the will of 

Heaven and to complete the nature of the people. 

Comment. Tung's idea of three types of man seems to anticipate 

the theory of three grades of human nature which originated with 

Hsün Yüeh (148-209). 13 That theory was a prevalent one during 

the whole Eastern Han period (25-220). During the Western Han 

(206 B.C.-A.D. 8), however, the prevalent theory was that human 

nature is good whereas feelings are evil, and Tung was the one 

who initiated it. To him, everyone has the beginning of goodness 

in his nature, which also involves evil. The highest type not only has 

the beginning but almost goodness in its activity, and the lowest 

type has almost no beginning at all. Nevertheless, nature as an 

equivalent to yang is good, whereas feelings as equivalent to yin 

are evil. Thus humanity belongs to nature, and greed belongs to 

feelings. But since feelings are included in nature, it is correct to 

say that greed also belongs to nature. Tung tries to resolve the 

conflict between nature and feelings through education. However, 

philosophically it was not resolved until Neo-Confucianism. 

Now to claim on the basis of the true character of the basic substance 

of man that man's nature is already good [at birth] is to lose sight of the 

will of Heaven and to forgo the duty of the king. If the nature of all 

people were already good, then what duty is there for the king to fulfill 

when he receives the mandate from Heaven? To give an incorrect name 

and as a consequence to abandon one's solemn duty and to violate the 

great Mandate of Heaven is not to use any word in an exemplary way. 

In using terms the Spring and Autumn Annals approaches from the 

external aspect of a thing if its internal aspect depends on the external 

aspect [for its full meaning]. Now the nature of all people depends on 

training, which is external, before it becomes good. Therefore goodness 

has to do with training and not with nature. If it had to do with nature, 

it would be much involved and lack refinement, and everyone would be- 


276


come perfect by himself and there would be no such people as worthies 

and sages. This is an erroneous doctrine of highly respected people of 

our time but not the way in which terms are used in the Spring and 

Autumn Annals. Unexemplary words and unfounded doctrines are 

avoided by the superior man. Why utter them? 

Someone says, "Since nature contains the beginning of goodness and 

since the mind possesses the basic substance of goodness, how can nature 

still not be regarded as good?" 

I reply, "You are wrong. The silk cocoon contains [potential] silk but 

it is not yet silk, and the egg contains the [potential] chicken but it is 

not yet a chicken. If we follow these analogies, what doubt can there be? 

Heaven has produced mankind in accordance with its great 14 principle, 

and those who talk about nature should not differ from each other. But 

there are some who say that nature is good and others who say that 

nature is not good. Then what is meant by goodness differs with their 

various ideas. There is the beginning of goodness in human nature. Let 

us activate it and love our parents. And since man is better than animals, 

this may be called good—this is what Mencius meant by goodness. 15 Follow 

the Three Bonds 16 and the Five Relationships. 17 Comprehend the 

principles of the Eight Beginnings. 18 Practice loyalty and faithfulness and 

love all people universally. And be earnest and deep and love propriety. 19 

One may then be called good—this is what the Sage meant by goodness." 

Comment. Although the Confucian five human relations are established 

on the basis of mutual moral obligation, at the same time the 

thought was inherent in the Confucian system that the ruler, the 

father, and the husband are superior to the ruled, the son, and the 

wife. This distinction is strengthened by Tung Chung-shu, for by 

"bond" is meant not merely a relationship but a standard. Ever 

since Han times, in the Confucian ethic, the ruler has become the 

"standard" of the ruled, and so forth. In view of the fact that to 

him yang is superior to yin, it is logical to say that the ruler, who 

14 Read liu (six) as ta (great), according to Su Yü, Ch'un-ch'iu fan-lu i-cheng 

(Textual Studies of the Luxuriant Gems of the Spring and Autumn Annals). 

15 See Mencius, 2A:6; 4B:19; 6A:7, 8. 

16 The Three Bonds are those binding the ruler with the minister, the father 

with the son, and the husband with the wife. 

17 According to Ling Shu, Ch'un-ch'iu fan-lu chu (Commentary on the Luxuriant 

Gems of the Spring and Autumn Annals) Tung means the Six Relationships, 

namely, paternal uncles, brothers, fellow clansmen, maternal uncles, teachers, 

and friends. 

18 Mencius spoke of the Four Beginnings: the feeling of commiseration is the 

beginning of love; the feeling of right and wrong, that of righteousness; the feeling 

of deference and compliance, that of propriety; and the feeling of shame and 

dislike, that of wisdom. Tung probably meant all eight of these. 


277


corresponds to yang, is superior to the ruled. The same is true of 

the other relations. Thus the double standard is put on a natural 

basis. 

Therefore Confucius said, "A good man it is not mine to see. If I 

could see a man of constant virtue, I would be content." 20 From this we 

know that what the Sage called goodness is not easy to match. It is not 

simply because we are better than animals that we may be called good. 

If merely activating the beginning and being better than animals may be 

called goodness, why is it not evident [from the beginning]? That being 

better than animals is not sufficient to be called goodness is the same as 

being wiser than plants is not sufficient to be called wisdom. The nature 

of people is better than that of animals but may not be regarded as good. 

The term knowledge (wisdom) is derived from the word sageliness. What 

the Sage ordered is accepted by the world as correct. To correct the 

course of day and night depends on the polar star, and to correct suspicions 

and doubts depends on the Sage. From the point of view of the 

Sage, the generation without a king and people without training cannot 

be equal to goodness. Such is the difficulty to match goodness. It is too 

much to say that the nature of all people can be equal to it. If evaluated 

in comparison with the nature of animals, the nature of man is of course 

good. But if evaluated in comparison with the goodness according to the 

way of man [as it should be], man's nature falls short. It is all right to 

say that human nature is better than that of animals, but it is not all 

right to say that their nature is what the Sage calls goodness. My evaluation 

of life and nature differs from that of Mencius. Mencius evaluated 

on the lower level the behavior of animals and therefore said that man's 

nature is good [at birth]. I evaluate on the higher level what the Sage considers 

to be goodness, and therefore say that man's nature is not good to 

start with. Goodness is higher than human nature, and the sage is higher 

than goodness. The Spring and Autumn Annals is concerned with the 

great origin. Therefore it is very careful in the rectification of names. If 

a name does not come from its proper origin, how can we talk about 

nature not being good or already being good?" (SPTK, 10:3b-7a) 

Comment. Tung Chung-shu actually departs from Confucius and 

Mencius in the matter of education. Early Confucianists emphasized 

self-education, although teachers and rulers are helpful and 

even necessary. But Tung insists that people by nature and by their 

very name are in the dark (in sleep) and cannot be good without 

instructions from the ruler. Then he offers human nature as a justi- 

20 Paraphrasing Analects, 7:25. 

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fication for authoritarianism. In this he goes even further than Hsün 

Tzu (fl. 298-238 B.C.). 

B. The Meaning of the Five Agents (ch. 42) 

Heaven has Five Agents (i.e. Elements): the first is Wood; the second, 

Fire; the third, Earth; the fourth, Metal; and the fifth, Water. Wood is the 

beginning of the cycle of the Five Agents, Water is its end, and Earth is 

its center. Such is their natural sequence. Wood produces Fire, Fire produces 

Earth, Earth produces Metal, Metal produces Water, and Water 

produces Wood. Such is their father-and-son relationship. Wood occupies 

the left, Metal occupies the right, Fire occupies the front, Water occupies 

the rear, and Earth occupies the center. Such is their order as that 

of father and son, and the way in which they receive from each other and 

spread out. Therefore Wood received from Water, Fire from Wood, 

Earth from Fire, Metal from Earth, and Water from Metal. Those that 

give are fathers and those that receive are sons. It is the Way of Heaven 

that the son always serves his father. Therefore when Wood is produced, 

Fire should nourish it, and after Metal perishes, Water should store it. 

Fire enjoys Wood and nourishes it with yang, but Water overcomes Metal 

and buries it with yin. Earth serves Heaven with the utmost loyalty. Therefore 

the Five Agents are the actions of filial sons and loyal ministers. The 

Five agents are so called because they are tantamount to five actions. 

That is how the term was derived. The sage knows this and 

therefore he shows much love and little sternness, and is generous in supporting 

the living and serious in burying the dead. This is to follow the 

system of Heaven. It is the function of the son to receive and to fulfill. 

For him to support is like Fire enjoying Wood, to bury one's father is 

like Water overcoming Metal, and serving the ruler is like Earth showing 

respect to Heaven. People like these may be said to be good in their 

actions. 

Comment. Unlike the Yin Yang School which puts the Five Agents 

on the same level or in a cycle, Tung arranges them lineally. He did 

so partly because of his strong emphasis on the idea of the origin 

which means that things proceed in time on a straight-line sequence, 

and partly because of his strong feeling for hierarchy. It is no wonder 

that loyalty and filial piety are on the forefront, for that is 

where the ruler and the father are to be found. 

Each of the Five Agents succeeds the others according to its order. 

Each of them performs its official function by fulfilling its capacity. Thus 

Wood occupies the eastern quarter and controls the forces (ch'i) of 

spring, Fire occupies the southern quarter and controls the forces of 

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summer, Metal occupies the western quarter and controls the forces of 

autumn, and Water occupies the northern quarter and controls the 

forces of winter. For this reason Wood controls production, Metal controls 

destruction, Fire controls heat, and Water controls cold. It is the 

course of Nature that people must be employed according to their order 

and officials appointed according to their capacity. Earth occupies the 

center and is the natural benefactor. It is the helper of Heaven. Its character 

is abundant and beautiful and cannot be identified with the affairs of 

any single season. Therefore among the Five Agents and the four seasons, 

Earth includes them all. Although Metal, Wood, Water, and Fire each 

have their own functions, their positions would not be established were 

it not for Earth, just as sourness, saltiness, acridness, and bitterness 

would not become tastes were it not for savoriness. Savoriness is the basis 

of the five tastes, and Earth is the controlling factor of the Five Agents. 

The controling factor of the Five Agents is the material force of Earth. 

It is like the fact that with savoriness the five tastes cannot help being 

tastes. Therefore among the actions of the sage, nothing is more valuable 

than loyalty, for it is the character of Earth. The great office of men, the 

function of which need not be mentioned, is that which they receive from 

each other. The great office of Heaven, the origin of which need not be 

mentioned, is Earth. (SPTK, 11:2b-3b) 

C. The Correspondence of Man and the Numerical 

Categories of Heaven (ch. 56) 

Heaven is characterized by the power to create and spread things, 

Earth is characterized by its power to transform, and man is characterized 

by moral principles. The material force of Heaven is above, that of 

Earth below, and that of man in between. Spring produces and summer 

grows, and all things flourish. Autumn destroys and winter stores, and 

all things are preserved. Therefore there is nothing more refined than 

material force, richer than Earth, or more spiritual than Heaven. Of the 

creatures born from the refined essence of Heaven and Earth, none is 

more noble than man. Man receives the mandate from Heaven and is 

therefore superior to other creatures. 21 Other creatures suffer troubles 

and defects and cannot practice humanity and righteousness; man alone 

can practice them. Other creatures suffer troubles and defects and cannot 

match Heaven and Earth; man alone can match them. Man has 360 

joints, which match the number of Heaven (the round number of days 

in a year). His body with its bones and flesh matches the thickness of 

Earth. He has ears and eyes above, with their keen sense of hearing and 

seeing, which resemble the sun and moon. His body has its orifices and 

21 This reading follows the commentary by Lu Wen-ch'ao (1717-1795). 

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veins, which resemble rivers and valleys. His heart has feelings of sorrow, 

joy, pleasure, and anger, which are analogous to the spiritual feelings 

(of Heaven). As we look at man's body, how much superior it is 

to that of other creatures and how similar to Heaven! Other creatures 

derive their life from the yin and yang of Heaven in a non-erect way, but 

man brilliantly shows his patterns and order. Therefore with respect to 

the physical form of other creatures, they all move about in a non-erect 

and incumbent position. Man alone stands erect, looks straight forward, 

and assumes a correct posture. Thus those who receive little from Heaven 

and Earth take the non-erect posture, while those receiving much from 

them take the correct posture. From this we can see that man is distinct 

from other creatures and forms a trinity with Heaven and Earth. 

Therefore in the body of man, his head rises up and is round and resembles 

the shape of heaven. 22 His hair resembles the stars and constellations. 

His ears and eyes, quick in their senses, resemble the sun and 

the moon. The breathing of his nostrils and mouth resembles the wind. 

The penetrating knowledge of his mind resembles the spiritual intelligence 

[of Heaven]. His abdomen and womb, now full and now 

empty, resemble the myriad things. The myriad things are nearest to the 

earth. Therefore the portion of the body below the waist corresponds to 

earth. As the body resembles heaven and earth, the waist serves as a 

sash. What is above the neck is noble and majestic in spirit, which is to 

manifest the feature of heaven and its kind. What is below the neck is 

full and humble, comparable to the soil. The feet are spread out and 

square, resembling the shape of the earth. Therefore in wearing ceremonial 

sash and girdle, the neck must be straight to distinguish it from 

the heart. What is above the sash (the waist) is all yang and what is 

below the sash is all yin, each with its own function. The yang is the 

material force of heaven, and the yin is the material force of the earth. 

Therefore when yin and yang become operative and cause man to have 

ailment in the foot or numbness in the throat [for example], the material 

force of the earth rises to become clouds and rain. Thus there is resemblance 

in the correspondence. The agreement of heaven and earth 

and the correspondence between yin and yang are ever found complete 

in the human body. The body is like heaven. Its numerical categories and 

those of heaven are mutually interwoven, and therefore their lives are 

interlocked. Heaven completes the human body with the number of days 

22 The Chinese believe heaven to be round and the earth to be square. Many of 

the comparisons between the human body and heavenly bodies are found in the 

Huai-nan Tzu (late 2nd cent. B.C.), ch. 7, SPPY, 7:2a-b. See Morgan, trans., Tao, 

The Great Luminant, pp. 59-60. They are also found in the apocryphal literature 

of Tung Chung-shu's time or shortly afterward. Evidently they were commonly 

held at the time. 

281


in a full year. Consequently the body's 366 lesser joints correspond to 

the number of days in a year, and the twelve larger joints correspond to 

the number of months. Internally the body has the five viscera, 23 which 

correspond to the number of the Five Agents. Externally there are the 

four limbs, which correspond to the four seasons. The alternating of 

opening and closing of the eyes corresponds to day and night. The alternating 

of strength and weakness corresponds to winter and summer. And 

the alternating of sorrow and joy corresponds to yin and yang. The 

mind has calculations and deliberations, which fact corresponds to that 

of periods of time and number of degrees of distance. Man's conduct 

follows the principles of human relations, which fact corresponds to the 

relationship of heaven and earth. All this, whether obscure or obvious in 

the body, is born with man. When it is matched with heaven and earth 

and compared, it is found to be fitting. In what may be numbered, there 

is correspondence in number. In what may not be numbered, there is 

correspondence in kind. They are all identical and correspond to Heaven. 

Thus [Heaven and man] are one. Therefore present the formed so as to 

make manifest the formless and get hold of what may be numbered to 

[make manifest what may not be numbered]. Spoken of in this way, it is 

quite proper for things to correspond to each other in kind. It is like 

the form [of the body]. Its [correspondence to heaven] is correct by 

virtue of its numerical categories. (SPTK, 13:1b-3b) 

Comment. To match the number of bones in the human body with 

the number of days in the year sounds ridiculous and suggests that 

it is no more than a leftover of primitive divination. What is not so 

ridiculous, however, is the possibility of knowledge of the formless 

from the formed and through numbers. This involves the belief that 

all things of the same kind are reducible to the same pattern and 

the same numerical category. Behind all this is the idea of uniformity 

of nature and knowledge by inference, quite aside from 

the mere doctrine of correspondence of man and Nature or their 

unity. 

D. Things of the Same Kind Activate Each Other (ch. 57) 

If now water be poured on level ground, it will avoid the dry area and 

run to the wet area, whereas if two identical pieces of firewood are exposed 

to fire, the fire will avoid the wet piece and go to the dry one. 24 

All things avoid what is different from them and follow what is similar 

to them. Therefore similar forces come together and matching tones 

28 Heart, liver, stomach, lungs, and kidneys. 

24 As Hsün Tzu has said. See Hsün Tzu, ch. 27, SPTK, 19:23a. 

282


respond to each other. 25 This is clear from evidence. Suppose the sevenstringed 

and the twenty-five stringed lutes are tuned and played. When 

the note F in the one is struck, the note F on the other will respond to 

it, and when the note G in the one is struck, the note G in the other will 

respond to it. Among the five notes each one that matches will sound of 

itself. There is nothing supernatural in this. It is their natural course that 

they do so. A beautiful thing calls forth things that are beautiful in kind 

and an ugly thing calls forth things that are ugly in kind, for things of 

the same kind arise in response to each other. For example, when a horse 

neighs, it is horses that will respond, [and when an ox lows, it is oxen that 

will respond]. Similarly, when an emperor or a king is about to rise, 

auspicious omens will first appear, and when he is about to perish, unlucky 

omens will first appear. 26 Therefore things of the same kind call 

forth each other. Because of the dragon, rain is produced, and by the use 

of the fan, the heat is chased away. Wherever armies are stationed, briers 

and thorns grow. 27 All beautiful and ugly things have their origins and 

have their lives accordingly. But none knows where these origins are. 

Comment. The belief in portents is as old as Chinese thought. What 

is new in Tung Chung-shu is that he explains it in terms of natural 

law. Instead of expressions of the pleasure or displeasure of spiritual 

beings, portents are results of the cosmic material forces of yin 

and yang. 

When the sky is dark and it is about to rain, a person's sickness 

affects him first, because the force of yin rises in response. When the 

sky is dark and it is about to rain, people want to sleep, because the 

material force of yin is at work. People who are sad want to lie down, 

because the yin of sadness and lying down seek each other. And 

people who are happy do not want to lie down because the yang of happiness 

and staying up require each other. Because of the night, the water 

level rises in some degree. Because of the east wind, the wine becomes 

further fermented. 28 When the night comes, the sick person's sickness 

becomes worse. When the day is about to dawn, cocks all crow and 

press on each other, their force becoming more and more refined. Therefore 

the yang reinforces the yang and the yin reinforces the yin, for the 

forces of yin and yang can naturally augment or diminish things because 

of their similarity in kind. 

Heaven possesses yin and yang and man also possesses yin and yang. 

25 Paraphrasing Lü-shih ch'un-chiu (Mr. Lü's Spring and Autumn Annals), ch. 

20, sec. 4, SPPY, 20:7b. 

26 The doctrine is taught in The Mean, ch. 24. 

27 Paraphrasing Lao Tzu, ch. 30. 

28 Paraphrasing Huai-nan Tzu, ch. 6, SPPY, 6:2b. 

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When the universe's material force of yin arises, man's material force of 

yin arises in response. Conversely, when man's material force of yin 

arises, that of the universe should also arise in response. The principle is 

the same. He who understands this, when he wishes to bring forth rain, 

will activate the yin in man in order to arouse the yin of the universe. 

When he wishes to stop rain, he will activate the yang in man in order 

to arouse the yang of the universe. Therefore the bringing forth of rain 

is nothing supernatural. People suspect that it is supernatural because its 

principle is subtle and wonderful. It is not only the material forces of yin 

and yang that can advance or withdraw according to their kind. Even the 

way misfortunes, calamities, and blessings are produced follows the same 

principle. In all cases one starts something himself and other things become 

active in response according to their kind. Therefore men of intelligence, 

sageliness, and spirit introspect and listen to themselves, and 

their words become intelligent and sagely. The reason why introspection 

and listening to oneself alone can lead to intelligence and sageliness is 

because one knows that his original mind lies there. Therefore when the 

note of F is struck in the seven-stringed or twenty-one stringed lute, the F 

note in other lutes sound of themselves in response. This is a case of things 

being activated because they are similar in kind. Their activity takes 

place in sound and is invisible. Not seeing the form of their activity, 

people say that they sound of themselves. Furthermore, since they activate 

each other invisibly, it is thought that they do so themselves. In 

reality, it is not that they do so themselves, but that there is something 

that causes them. In reality things are caused, but the cause is invisible. 

According to the tradition mentioned in the commentary of the Book 

of History, when the House of Chou was about to arise, some big red 

crows holding some seeds of grain in their bills gathered on the roof of 

the king's house. King Wu (r. 1121-1116 B.C.?) was happy and all great 

officials were glad. The Duke of Chou (d. 1094 B.C.) said, "Make 

greater effort. Make greater effort. Heaven shows this in order to exhort 

us." 29 The duke was afraid that people depended on [Heaven]. (SPTK, 

13:3b-5a) 

E. Additional Selections 

1. The Origin (Yüan) 

Why does the Spring and Autumn Annals value the origin highly and 

talk about it? 30 The origin means the beginning. It means that the foun- 

29 Shang-shu ta-chuan (Great Commentary on the Book of History), attributed 

to Fu Sheng (fl. 220 B.C.), 2:1b. 

30 Confucius, in writing the Spring and Autumn Annals, began with the first 

year (yüan, first) of each ruler. 

284


dation must be correct. It expresses the kingly way. The king is the 

beginning of man. If the king is correct, then the original material 

force will be harmonious, wind and rain will be timely, lucky stars will 

appear, and the yellow dragon will descend. If the king is not correct, 

then strange transformations will take place in heaven above and bandits 

will appear. . . . (ch. 6, SPTK, 4:1a) 

It is only the Sage who can relate the myriad things to the One and 

tie it to the origin. If the source is not traced and the development from 

it followed, nothing can be accomplished. Therefore in the Spring and 

Autumn Annals the first year is changed to be called the year of yuan 

(origin). The origin is the same as source (yüan). 31 It means that it 

accompanies the beginning and end of Heaven and Earth. Therefore if 

man in his life has a beginning and end like this, he does not have to 

respond to the changes of the four seasons. Therefore the origin is the 

source of all things, and the origin of man is found in it. How does it exist? 

It exists before Heaven and Earth. Although man is born of the force of 

Heaven and receives the force of Heaven, he may not partake the origin 

of Heaven, or rely on its order and violate what it does. Therefore 

the first month of spring is a continuation of the activities of Heaven 

and Earth, continuing the activities of Heaven and completing it. The 

principle is that [Heaven and man] accomplish together and maintain 

the undertaking. How can it be said to be merely the origin of Heaven 

and Earth? What does the origin do? How does it apply to man? If we 

take the connections seriously, we shall understand the order of things. 

The Sage did not want to talk about [the behavior] of animals and such. 

What he wanted to talk about was humanity and righteousness so as to 

put things in order. . . . (ch. 13, SPTK, 5:8a-b) 

Comment. What Jesus did for the West—i.e., form a bridge between 

God and man— would have Confucius do—i.e., form 

a bridge between the myriad things and the One or the origin. 

Actually in the Western Han there was an effort to deify him, but 

it was short-lived. What prevented Confucius' permanent deification 

was his primary concern with a perfect moral life, that of 

humanity and righteousness. 

2. Humanity and Righteousness 

What the Spring and Autumn Annals regulates are others and the 

self. The principles with which to regulate others and the self are humanity 

and righteousness. Humanity is to give others peace and security and 

righteousness is to rectify the self. Therefore the word "humanity" (jen) 

31 The two different Chinese characters are pronounced the same and have 

similar meanings. 

285


means others (people, jen) 32 and the word "righteousness" means the 

self. 33 The distinction is made in the terms themselves. . . . The principle 

of humanity consists in loving people and not in loving oneself, 

and the principle of righteousness consists in rectifying oneself and not 

in rectifying others. If one is not rectified himself, he cannot be considered 

righteous even if he can rectify others, and if one loves himself 

very much but does not apply his love to others, he cannot be considered 

humane. . . . (ch. 29, SPTK, 8:8b-9a) 

Comment. This understanding of humanity (jen) as love is found 

in ancient philosophers, notably in Mo Tzu (fl. 479-438 B.C.), 34 

Chuang Tzu, 35 Hsün Tzu 36 and Han Fei Tzu (d. 233 B.C.). 37 But 

for them it was one of several possible meanings, but in Tung Chungshu 

it is the meaning. This interpretation is characteristic of practically 

all Han Confucianists, and Tung was the first. 

3. Humanity and Wisdom 

Love without wisdom means love without discrimination. Wisdom 

without humanity means knowledge not translated into action. Therefore 

humanity is to love mankind and wisdom is to remove its evil. 

What is meant by humanity? The man of humanity loves people with 

a sense of commiseration. He is careful and agreeable and does not 

quarrel. His likes and dislikes are harmonized with human relations. He 

does not harbor the feeling of hate or a desire to hurt. He has no intention 

to conceal or to evade. He has no disposition of jealousy. He 

has no desires that lead to sadness or worry. He does not do anything 

treacherous or cunning. And he does not do anything depraved. Therefore 

his heart is at ease, his will is peaceful, his vital force is harmonious, 

his desires are regulated, his actions are easy, and his conduct is in 

accord with the moral law. It is for this reason that he puts things in 

order peacefully and easily without any quarrel. This is what is meant 

by humanity. 

What is meant by wisdom? It is to speak first and then act accordingly. 

It is to weigh with one's wisdom whether to act or not and then pro- 

32 As The Mean, ch. 20, says, "Humanity is the distinguishing characteristic of 

man." 

33 The word "righteousness" (i) contains the component wo, which means the 

self. 

34 Mo Tzu, chs. 40 and 42, SPTK, 10:1a, 6b. 

35 Chuang Tzu, ch. 12, NHCC, 5:2b. See Giles, trans., Chuang Tzu, 1961 ed., 

p. 118. 

36 Hsün Tzu, ch. 27, SPTK, 19:5a. 

37 Han Fei Tzu, ch. 20, SPTK, 6:1a. See Liao, trans., Complete Works of Han 

Fei Tzu, vol. 1, p. 171. 

286


ceed accordingly. When one's weighing is correct, what he does will be 

proper, what he handles will be appropriate, his action will bring result, 

his fame will become glorious, benefits will gather around him with 

no trouble, blessings will reach his offspring, and benefits will be bestowed 

on all his people. Such were the cases of wise kings T'ang and 

Wu. 38 When one's weighing is wrong, what he does will be improper, 

what he handles will be inappropriate, his action will bring no result, his 

name will become a shame, injuries will gather around him, his posterity 

will be cut off, and his state will be ruined. Such were the cases of 

[wicked kings Chieh and Chou]. 39 . . . (ch. 30, SPTK, 8:12b-13a) 

Comment. The equal emphasis on humanity and wisdom exercised 

a tremendous influence on K'ang Yu-wei (1858-1927). 40 

4. Historical Cycles 

One becomes a king only after he has received the Mandate of Heaven. 

As the king, he will determine which day is to be the first day of the 

year for his dynasty, change the color of clothes worn at court, institute 

systems of ceremonies and music, and unify the whole empire. All this is 

to show that the dynasty has changed and that he is not succeeding any 

human being, and to make it very clear that he has received the mandate 

from Heaven. . . . Therefore T'ang received the mandate and became 

king. In response to Heaven he abolished the Hsia dynasty [whose 

system was symbolized by red]. He called his dynasty Yin (Shang). The 

system was corrected to be that symbolized by white. . . . King Wu 

received the mandate. . . . Therefore [in the beginning of] the Ch'unch'iu 

period [of the Chou dynasty], in response to Heaven, he undertook 

the business of a new king. The system was corrected to be that symbolized 

by black. . . . The Three Correct Systems 41 began with the system 

symbolized by black. . . . The material force (ch'i), integrated by 

Heaven, begins to penetrate and transform things. It is evident that buds 

beginning to appear in plants are black (or dark, still closed). Therefore 

the color of clothes worn at court is black. . . . In the system symbolized 

by white. . . . the material force integrated by Heaven begins to form 

things. They begin to sprout. The color is white. Therefore the color of 

clothes worn at court is white. . . . In the system symbolized by red. . . . 

38 T'ang (r. 1751-1739 B.C.) was the founder of the Shang (1751-1112 B.C.) 

and Wu was the founder of the Chou (1111-249 B.C.). 

39 They were responsible for the fall of the Hsia (2183-1752 B.C.?) and Shang 

dynasties, respectively. 


41 San-cheng in Chinese. It is also called san-t'ung, Three Systems, t'ung meaning 

a system which is based on a certain correct principle that integrates and 

directs all things within it. For this doctrine in K'ang Yu-wei, see below, ch. 39, 

sec. 1. 

287


[the material force integrated by Heaven extends to all things and things 

begin their activity. The color is red]. 42 . . . The reason why the Three 

Systems are called the Three Correct Systems is because they make 

things operate. When the integration is extended to cover the material 

force of all things, their will all will respond [to Heaven]. As the correct 

system is rectified, everything else will be rectified. . . . (ch. 23, SPTK, 

7:3b-6a) 

42 According to Lu Wen-ch'ao, these words are missing from the text. 

288

••• 15 ••• 

TAOISTIC CONFUCIANISM: YANG HSIUNG 

YANG HSIUNG (53 B.C.-A.D. 18) is usually given a position in the 

history of Chinese thought, though a minor one, because of his doctrine 

of human nature as a mixture of good and evil. The theory is asserted 

only in a sentence and is not elaborated upon or argued. Still it represents 

a real advance because it avoids the extremes of Mencius and 

Hsün Tzu (fl. 298-238 B.C.) and the arbitrary division into the two 

levels of nature and feelings by Tung Chung-shu (c. 179-c. 104 B.C.), 

and offers a significant alternative. It also underlines the fact that the 

problem of human nature remained a major one throughout the history 

of Chinese philosophy. 

As to his metaphysics, by which he is identified with the term T'aihsüan 

(the Supremely Profound Principle or Great Mystery), he does 

no more than repeat Taoism, except that he combines it with Confucian 

ethics, in which his real interests lay. In this respect, he reflects the 

syncretic spirit of the Han period (206 B.C.-A.D. 220). At the same 

time, he exhibits a certain independent quality in refusing to accept the 

Confucian doctrine of the periodic appearance of sages, which was 

explicit in Mencius and implicit in Tung Chung-shu. He also rejects the 

popular belief in immortals. A man of extensive learning and high integrity, 

he endured poverty and led an undistinguished public life. 1 

The following selections are from his two books, the Fa-yen (Model 

Sayings) and the T'ai-hsüan ching (Classic of the Supremely Profound 

Principle). 2 

SELECTIONS 

Man's nature is a mixture of good and evil. He who cultivates the 

good in it will become a good man and he who cultivates the evil in 

it will become an evil man. The material force (ch'i) [with which one 

is endowed] is the driving force 3 that leads one to good or evil. . . . 

Therefore the superior man studies hard and practices earnestly. He 

1 For details of his life, see Ch'ien-Han shu (History of the Former Han Dynasty, 

206 B.C.-A.D. 8), ch. 87. 

2 The Fa-yen consists of questions and answers on ethics, history, and other 

typically Confucian subjects, and to this extent is an imitation of the Analects. 

But, unlike the classic, it has thirteen chapters devoted to thirteen subjects. 

For translations, see Bibliography. The T'ai-hsüan ching is made up of fifteen 

essays and is an imitation of the Book of Changes in form. There is no European 

translation so far. 

3 Literally, a horse. 

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TAOISTIC CONFUCIANISM 

waits till his good becomes a rare treasure before he sells it. He cultivates 

his personal life before he makes friends. And he plans well before 

he acts. This is the way to fulfill the Way. . . . (Fa-yen, SPPY, 3:1a-b) 

Comment. According to Wang Ch'ung (27-100 A.D.?), the theory 

of the mixture of good and evil nature had been advanced long before 

Yung Hsiung. 4 But Wang Ch'ung wrote long after Yang 

Hsiung. There can be no doubt that Yang's theory was original. 

In any event, he has been considered the originator of the theory 

and has been severely criticized by Confucianists. 

Someone asks, "Is it true that every five hundred years a sage will 

appear?" 5 

I reply, "Yao, 6 Shun, 7 and Yü 8 were rulers and ministers, and they 

came one after another. (Sages) King Wen, 9 King Wu, 10 and the Duke of 

Chou 11 were father and sons, and they lived at the same time. King 

T'ang 12 and Confucius lived several hundred years [after the previous 

sage]. Inferring the future on the basis of the past, we do not know 

whether one sage will appear in a thousand years or a thousand sages 

will appear in one year." 13 (SPPY, 8:1a) 

Someone asks, "Don't the dragon, the tortoise, and the wild swan live 

very long?" 

I say, "They live very long." 

"Can man live very long?" 

"Creatures live long because of their nature. Man does so because of 

his humanity (jen)." . . . 

Someone asks, "If there are no immortals in the world, why do people 

talk about them?" 

I reply, "Isn't all this talk hubbub? Because it is hubbub, it can make 

what is nonexistent seem to exist." 

Someone then asks about the actual truth about immortals. 

I say, "I shall have nothing to do with the question. Their existence 

or nonexistence is not something to talk about. What should be asked 

are questions on loyalty and filial piety." (SPPY, 12:4b-5a) 

4 See below, ch. 16, A. 

5 So said Mencius. See Mencius, 2B:13. 

6 Legendary sage-emperor (3rd millennium B.C.). 

7 Yao's successor. 


9 Founder of the Chou dynasty (r. 1171-1122 B.C.). 

10 King Wen's son (r. 1121-1116 B.C.). 

11 Younger brother of King Wu, who died in 1094 B.C. 

12 Founder of the Shang dynasty (r. 1751-1739 B.C.?). 

13 This interpretation follows the commentary by Li Kuei (of Eastern Chin, 

317-420). The text merely says "thousand one" and can mean that a sage may 

appear in a thousand years or in one year. 

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YANG HSIUNG 

Comment: A typical Confucian attitude toward life after death. 

The belief in immortals was being promoted by a religious cult 

worshipping the legendary Yellow Emperor of high antiquity and 

Lao Tzu. But to seek to live forever is contrary to the Taoist philosophy 

of indifference to life and death and to letting things take 

their own course. Therefore the belief had no place in Taoist philosophy 

but only in a popular cult which later assumed the name 

of Taoist religion. 

The Supremely Profound Principle deeply permeates all species of 

things but its physical form cannot be seen. It takes nourishment from 

vacuity (hsü) and nothingness (wu) and derives its life from Nature. 14 

It correlates matters of spiritual intelligence and determines the natural 

course of events. It penetrates the past and present and originates the 

various species. It operates yin and yang (passive and active cosmic 

forces) and starts the material force in motion. As yin and yang unite, 

all things are complete in heaven and earth. The sky and the sun rotate 

and the weak and the strong interact. They return to their original positions 

and thus the beginning and end are determined. Life and death succeed 

each other and thus the nature and destiny are made clear. Looking 

up, we see the forms of the heavens. Looking down, we see the 

condition of the earth. We examine our nature and understand our 

destiny. We trace our beginning and see our end. . . . Therefore the Profound 

Principle is the perfection of utility. To see and understand is 

wisdom. To look and love is humanity. To determine and decide is 

courage. To control things universally and to use them for all is impartiality. 

To be able to match all things is penetration. To have or not 

to have the proper circumstance is destiny. The way by which all things 

emerge from vacuity is the Way. To follow the principles of the world 

without altering them and to attain one's end is virtue. To attend to 

life, to be in society, and to love universally is humanity. To follow 

order and to evaluate what is proper is righteousness. To get hold of the 

Way, virtue, humanity, and righteousness and put them into application 

is called the business of life. To make clear the achievement of Nature 

and throw light on all things is called yang. To be hidden, without form, 

deep and unfathomable is called yin. Yang knows yang but does not 

know yin. Yin knows yin but does not know yang. The Profound Principle 

alone knows both yin and yang, both going and stopping, and both 

darkness and light. . . . (T'ai-hsüan ching, ch. 9, SPTK, 7:5a-9b) 

14 Both punctuation and interpretation of this sentence follow the commentary 

by Fan Weng (of Chin, 265-420). 

291

••• 16 ••• 

THE NATURALISM OF WANG CH'UNG 

CONSIDERABLE INTEREST in Wang Ch'ung (27-100?) has been 

aroused in the last several decades. In our age of critical spirit, skepticism, 

scientific method, demand for evidence, and revolt against the past, 

this is perfectly natural, for Wang Ch'ung represents all these. A thoroughly 

independent thinker, he was not identified with any school and 

has often been classified as a member of the Miscellaneous School. In 

his metaphysics, he is definitely Taoistic, somewhat modified by the idea 

of the interfusion and intermingling of the yin and yang forces in the 

Book of Changes. But even here he is different, for while Taoism is very 

much interested in metaphysics but not much in human institutions, 

Wang took the opposite position. Actually he is neither creative nor 

significant so far as metaphysics is concerned. His chief contribution to 

the history of Chinese thought is to clear the atmosphere of superstition 

and enhance the critical and rational spirit that was already incipient. 

When Wang was born, Confucianism had been the supreme doctrine 

in China for more than a hundred years. Influenced by popular priestmagicians 

who spread superstitions and performed miracles, the essentially 

rationalistic Confucian doctrine of the unity of man and Nature 

had degenerated into one of mutual influence, often of a mysterious 

kind. Furthermore, in an attempt to make Confucius more than the supreme 

sage, efforts were made to deify him, and he was considered the 

"uncrowned king" appointed by Heaven. The beginning of this tendency 

was already evident in Tung Chung-shu (c.l79-c.104 B.C.). During the 

Western Han period (206 B.C.-A.D. 8) a whole body of apocryphal 

literature grew up to supplement the basically humanistic and rationalistic 

Confucian Classics, a literature with fantastic interpretation of the 

Classics in order to support the belief in portents and prophecies. The 

influence of this literature was particularly strong between the Western 

Han and the Eastern Han (25-220). It was very popular during the 

reign of Emperor Wu (r. 140-87 B.C.), and Wang Mang, ruler of Hsin 

dynasty (9-23), loved it exceedingly. The intellectual situation at Wang 

Ch'ung's time was therefore something like this: (1) Confucianism was 

supreme; (2) it was being debased into a mysterious and superstitious 

doctrine; (3) the unity of man and Nature was turned into one of mutual 

influence; (4) these influences were thought to be exerted through 

strange phenomena and calamities; (5) Heaven, though not anthropomorphic, 

was purposive, asserting its will through prodigies as warning 

to men; and (6), on a smaller scale spiritual beings exercised similar 

influence. 

292


Wang Ch'ung rose in revolt against all these prevalent beliefs. In 

clear, critical, and strong terms, he declared that Heaven takes no action, 

that natural events, including prodigies, occur spontaneously, that there 

is no such thing as teleology, that fortune and misfortune come by 

chance, and that man does not become a ghost at death. In addition, 

he insisted that any theory must be tested by concrete evidence, and he 

himself argued in a strictly rational manner supporting his theories with 

one fact after another. For him, the past is no sure guidance, for there is 

no fact to prove that the past is better than the present. Thus in one 

stroke he rejected the total body of beliefs and dogma accumulated over 

several centuries. In doing so, he raised the pitch of skepticism and 

naturalism to a height never before reached in Chinese history. In this 

way he prepared for the growth of rationalism and naturalism in the 

Wei-Chin period (220-420) which probably would not have come about 

without him. Wang's contribution, then, does not lie in any original 

thought but in the fostering of a new spirit. 

Wang grew up in a very poor family and had to read books in a bookstore. 

He was a quiet scholar and devoted teacher, and was known as 

one of three geniuses in his time. 1 The following selections are from his 

extant work, the Lun-heng (Balanced Inquiries). 

THE BALANCED INQUIRIES 2 

A. On Original Nature (ch. 13) 

Man's feelings and nature are the root of government by men and 

the source of ceremonies and music. Therefore as we investigate the 

matter, we find that ceremonies are employed to check the excess of 

the nature and feelings and music is used to regulate them. In man's 

nature there are the qualities of humbleness, modesty, deference, and 

compliance. Hence ceremonies have been instituted to adjust them to 

their proper expression. In men's feelings there are the qualities of 

like and dislike, pleasure and anger, and sorrow and joy. Hence music 

has been created to enable their feeling of reverence to be expressed 

everywhere. Nature and feelings are therefore the reason why systems 

1 An orphan, Wang started school at the age of eight. After studying at the 

national university in the national capital, he returned home to teach. Later he 

served successively as a district officer, a prefect officer in charge of educational 

and ceremonial affairs, and an assistant to an inspecting censor. Eventually he 

resigned and went home. See Lun-heng, ch. 85. 

2 This consists of eighty-four chapters in thirty books. Most chapters are devoted 

to an attack on current beliefs. There are special chapters criticizing Confucius, 

Mencius, and Han Fei Tzu (d. 233 B.C.). For translation, see Bibliography. 

Most people, emphasizing Wang's critical spirit, have translated lun-heng as 

"critical essays," but by Wang's own words (ch. 30), his work aimed at a 

"balanced (or fair) discussion." 

293


of ceremonies and music have been created. Scholars in the past have 

written essays and treatises to discuss the subjects but none of them 

was final or correct. 

Shin Shih 3 of the Chou (1111-249 B.C.) maintained that in nature 

some are born good and some are born evil. Take the good nature and 

cultivate it, and goodness will develop. Take the evil nature and cultivate 

it, and evil will develop. Thus in nature some belong to yin (passive 

cosmic force) and some belong to yang (active cosmic force), and 

some are good and some are evil. It all depends on cultivation. Therefore 

Master Shih wrote the "Book on Cultivating [Nature]." 4 People 

like Mi Tzu-chien, Ch'i Tiao-k'ai, and Kung-sun Ni-tzu 5 also discussed 

the subjects of man's feelings and nature. They varied from Master Shih 

somewhat, and all said that in nature some are good and some are evil. 

Mencius wrote an essay on the goodness of human nature and thought 

that the nature of all men is originally good and that if they are evil, it 

is because material circumstances upset them. 6 . . . According to 

Mencius, all people are good in childhood. . . . When (wicked king) 

Chou 7 was a child, the viscount of Wei saw the evil nature in him. His 

evil nature was no worse than that of the ordinary people, but as he 

grew up, he did violence to it instead of transforming it. . . . What 

Mencius said about the feelings and nature is not true. . . . Kao Tzu 

was a contemporary of Mencius. In his discussion on human nature, 

he said that it is neither good nor evil. . . . 8 When Kao Tzu used the 

analogy of breaching water [to the east or west as nature can be made 

good or evil], he was referring to average people but not to those extremely 

good or extremely evil. Confucius said, "By nature men are 

alike. Through practice they have become far apart." 9 . . . And also, 

"Only the most intelligent and the most stupid do not change." 10 

Nature in some is good and in some is evil, and can no longer be 

changed by the influence of sages or the teachings of worthies. . . . 

Therefore I know that what Kao Tzu said is not true. 

Hsün Tzu (fl. 298-238 B.C.) opposed Mencius and wrote "The Nature 

3 He was a pupil of a Confucian pupil. His book in twenty-one chapters is no 

longer extant, though fragments have survived. 

4 The word "nature" is added according to Kao Su-yüan, Lun-heng, 1935, p. 17. 

Huang Hui, however, does not think so. See his Lun-heng chiao-shih (Balanced 

Inquiries Collected and Annotated), 1938, p. 124. 

5 The first two were Confucius' pupils and the latter was pupil of a pupil. Their 

works disappeared long ago, though fragments of Mi's have survived. 

6 Mencius, 6A:1-7. 

7 R. 1175-1112 B.C. Chinese historians have held him responsible for the fall 

of the Shang dynasty (1751-1112 B.C.). 

8 Mencius, 6A:1-6. 


10 ibid., 17:3. 

294


of Man Is Evil." 11 . . . According to his words, men are not good in 

childhood. But when Chi (worthy minister of sage-emperor Yao, 12 who 

taught people agriculture) was a boy he played planting trees, and as 

soon as Confucius could walk, he performed sacrificial rites for fun. 13 

A stone is hard as soon as it is produced, and an orchid is fragrant as 

soon as it comes into being. . . . What Hsün Tzu said is not true. . . . 

Tung Chung-shu read the works of Mencius and Hsün Tzu and 

originated the theory of human nature and feelings saying, ". . . nature 

is born of yang and feelings are born of yin. The force of yin results 

in greed and that of yang results in humanity. Those who say that nature 

is good have insight about yang and those who say that nature is evil 

have insight about yin." 14 What Tung Chung-shu means is that Mencius 

had insight about yang and Hsün Tzu had insight about yin. So far as 

he asserts that each of them had his own insight, he is correct. But his 

theory does not settle the matter of the nature and the feelings. It is not 

true that the nature and the feelings of all men are both good and evil. 

For both man's nature and his feelings are products of yin and yang. 

Being products of yin and yang, some are rich and some are poor. Jades 

are products of stone. Some are pure and some are impure. How can 

nature and feelings, being [products of] yin and yang, be purely good? 

What Tung Chung-shu said is not true. 

Liu Tzu-cheng (77-6 B.C.) said, "Man's nature is inborn. It is in man 

and is not expressed. His feelings, on the other hand, are what come 

into contact with things. They are revealed externally. What is revealed 

externally is called yang and what is not expressed is called yin." 15 . . . 

According to his words, nature is yin (evil) and feelings are yang 

(good). But don't man's endowed feelings, after all, have both good 

and evil elements? . . . 

The truth is that in nature, some people are born good and some 

born evil. It is just as some people's capacity is high and some people's 

is low. High capacity cannot be made low and low capacity cannot be 

made high. To say that human nature is neither good nor evil is like 

saying that man's capacity is neither high nor low. . . . At bottom I 

consider Mencius' doctrine of the goodness of human nature as referring 

to people above the average, Hsün Tzu's doctrine of evil nature of man 

11 Hsün Tzu, ch. 23. 

12 Legendary emperor (3rd millennium B.C.). 

13 These stories are found in the Shih chi (Records of the Historian), PNP, 4:1b 

and 47:2a. For Chi, see Chavannes, Les mémoires historiques, vol. 1, 210. 

14 These words are not found in Tung's extant works; cf. above, ch. 14, A. 

15 His name was Hsiang. He was a high governmental official and the author 

of many works, including the Hsin-hsü (New Narrations) and Shuo-yüan (Collection 

of Discourses). But the quotation is not found in his extant works. 

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as referring to people below the average, and Yang Hsiung's (53 B.C.— 

A.D. 18) doctrine that human nature is a mixture of good and evil 16 as 

referring to average people. Insofar as their doctrines return to moral 

principles and accord with truth, they may be used to teach people. As 

to principles of nature, however, they have not been able to investigate 

them to the utmost. (SPPY, 3:12a-16a) 

Comment. Wang Chung sums up practically all previous theories 

on human nature: (1) that some people are born good and some 

are born evil (Shih Shin); 17 (2) that man is born good (Mencius); 

(3) that man is originally neither good nor evil (Kao Tzu); (4) 

that man is born evil (Hsün Tzu); (5) that man has the beginning 

of goodness and his nature is good but his feelings are evil (Tung 

Chung-shu); (6) that man's nature is evil but his feelings are good 

(Liu Hsiang); and (7) that man's nature is a mixture of good and 

evil (Yang Hsiung). He also criticized Lu Chia (216-176 B.C.), 

but Lu merely repeated Mencius except that instead of fully 

developing one's nature as Mencius had urged, he advocated "examining 

one's nature." Actually he did not represent any new 

theory. 

Wang's own theory is new but it is not a real advance, for the 

presence of either good or evil is not explained. In accepting Yang 

Hsiung's theory of mixture as referring to average people, he 

seems to believe in three grades of human nature. This would have 

anticipated Hsün Yüeh (148-209). 18 However, his main thesis is 

dualism. Inasmuch as the entire Western Han period is characterized 

by a dualistic approach to human nature, in terms of good nature 

and evil feelings, Wang's own dualism, in terms of good and evil 

natures, shows little progress. 

B. On Spontaneity (ch. 54) 

When the material forces (ch'i) 19 of Heaven and Earth come together, 

all things are spontaneously produced, just as when the vital forces (ch'i) 

of husband and wife unite, children are naturally born. Among the things 

thus produced, blood creatures are conscious of hunger and cold. Seeing 

that the five grains are edible, they obtain and eat them. And seeing that 

silk and hemp can be worn, they obtain and wear them. Some say that 

Heaven produces the five grains in order to feed man and produces silk 

16 See above, ch. 15. 

17 Perhaps he was the one whom Kao Tzu referred to. See Mencius, 6A:6. 

18 See comment on Han Yü's theory, ch. 27, sec. 1. 

19 This word means variously material force or energy, vital force, power, 

breath, and so forth and has to be translated variously. For a discussion on it, 

see Appendix. 

296


and hemp in order to clothe man. This is to say that Heaven becomes a 

farmer or a mulberry girl for the sake of man. This is contrary to spontaneity. 

Therefore their ideas are suspect and should not be followed. 

Let us discuss these concepts according to Taoism. Heaven (T'ien, 

Nature) gives forth and distributes material force universally into all 

things. Grains overcome hunger and silk and hemp save people from 

cold. Consequently people eat grains and wear clothing of silk and hemp. 

Now, that Heaven does not purposely produce the five grains and silk and 

hemp in order to feed and clothe man is very much like the fact that 

there are calamities and strange transformations but not for the purpose 

of reprimanding man. Things are spontaneously produced and man eats 

them and wears them, and material forces spontaneously change [in 

strange ways] and people are afraid of them. To talk otherwise may be 

agreeable to the minds of people. But if lucky influences from Heaven are 

intentional, where would spontaneity be, and where would non-action 

(wu-wei) be found? 

How do we [know] that Heaven is spontaneous? Because it has neither 

mouth nor eyes. Those who engage in [purposive] action are something 

like those with mouth and eyes. The mouth desires to eat and the eyes 

desire to see. When something is desired inside, that desire is expressed 

outside, and the mouth and eyes seek for that thing, considering it an 

advantage to have it. This is the activity of desire. Now that there is no 

desire in the mouth or the eyes, there is no demand for things. What is 

any [intentional] act for? 

How do we know that Heaven has neither mouth nor eyes? We know 

it from Earth. The body of Earth is made up of dirt, and dirt of course 

has neither mouth nor eyes. Heaven and Earth are like husband and wife. 

Since the body of the Earth has neither mouth nor eyes, we know that 

Heaven also has neither mouth nor eyes. If Heaven consists of a body, 

it should be similar to that of the Earth. If Heaven consists of vital 

force, it would be clouds and fog. How can things like clouds and fog 

have a mouth or an eye? 

Someone says: Everything that moves is from the beginning engaged 

in action. 20 It moves because it has desires. Since it moves, it is engaged 

in action. Now, the activities of Heaven are similar to those of man. 

How can we say that it takes no action? 

I reply: The activities of Heaven consist in the giving forth and distributing 

of the material force. As the body moves, the material force 

issues forth, and things are then produced. It is like the fact that as one's 

vital force is moved, his body moves, the vital force issues forth, and a 

20 The text has the word "no" before "action." As Sun Jen-ho suggested, it is 

superfluous. See his Lun-heng chü-cheng (Balanced Inquiries Corrected), 1924, 

p. 156. 

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child is produced. When man gives forth and distributes his vital force, 

it is not for the purpose of producing a child. As the vital force is distributed, 

a child is born spontaneously. Heaven moves without the desire 

to produce things and yet things are produced of themselves. That is spontaneity. 

When material force is given forth and distributed without the 

purpose of producing things and yet things are produced of themselves, 

that is non-action. What do we mean when we say that Heaven is spontaneous 

and takes no action? It is material force. It is tranquil, without 

desire, and is engaged in neither action nor business. . . . 

When the Taoists talk about spontaneity, they do not know how to recite 

facts to prove their theory or practice. That is why their doctrine of 

spontaneity has not yet found credence. However, in spite of spontaneity, 

there must also be activity to help. Ploughing, tilling, weeding, and sowing 

in the spring are human activities. After the grains have entered the 

soil, they grow by day and night. It is not something man can do. If 

someone tries to do it, that would be a way to spoil them. A man of 

Sung was sorry that his corn was not growing. He went and pulled them 

up. The next day it dried up and died. 21 Those who take action to be 

spontaneous are like the man of Sung. 

Someone asks: Man is born from Heaven and Earth. Since Heaven 

and Earth take no action and since man is endowed with the nature of 

Heaven [and Earth], he should take no action either. And yet he does 

take action. Why? 

I reply: A person who is rich and pure in perfect virtue is endowed 

with a large quantity of vital force and is therefore able to approximate 

Heaven in being spontaneous and taking no action. Those who are endowed 

with little vital force do not follow moral principles and do not 

resemble Heaven and Earth. They are therefore called unworthy. By 

that is meant that they are not similar to Heaven and Earth. Since they 

do not resemble Heaven and Earth, they do not belong to the same class 

as sages and worthies and therefore take action. 

Heaven and Earth are like a furnace. Their work is creation. Since 

the endowment of the vital force is not the same in all cases, how can 

all be worthy?. . . 

The Way of Heaven is to take no action. Therefore in the spring it 

does not act to start life, in summer it does not act to help grow, in 

autumn it does not act to bring maturity, and in winter it does not act 

to store up. When the material force of yang comes forth itself, things 

naturally come to life and grow. When the material force of yin arises 

of itself, things naturally mature and are stored up. When we draw water 

from wells or breach water over a dam in order to irrigate fields and 

21 Referring to the story in Mencius, 2A:2. 

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gardens, things will also grow. But if rain falls like torrents, soaking 

through all stalks, leaves, and roots, in an amount equivalent to that in a 

pond, who would prefer drawing water from wells or breaching water over 

a dam? Therefore to act without acting is great. Originally no result is 

sought, and yet results are achieved. Originally no fame is sought, and 

yet fame is attained. Great indeed is the achievement and fame of 

abundant rain. Yet Heaven and Earth do not act for them. When the 

material forces are united in harmony, the rain gathers of itself. . . . 

Since Heaven takes no action, it does not speak. When the time comes 

for calamities and strange transformations, the material force produces 

them spontaneously. Heaven and Earth cannot do it and cannot know it. 

When there is a cold in the stomach, it aches. It is not that man causes 

it. Rather, the vital force does it spontaneously. The space between 

heaven and earth is comparable to that between the back and the 

stomach. If we say that it is Heaven that causes all calamities and strange 

transformations, shall we say that all prodigies, big or small, substantial 

or light, are all made by Heaven? Suppose a cow gives birth to a horse 

or a peach tree produces a plum. Does it mean, according to their theory, 

that the spirit of Heaven enters the belly of the cow to create a horse or 

takes the seed of the plum and places it on the peach tree? . . . (SPPY, 

18:1a-6b) 

Comment. The net effect of Wang Ch'ung's naturalism is to depersonalize 

Heaven and to deny the existence of design in any form. 

One would expect that his rationalism and naturalism would promote 

the development of natural science in China. Joseph Needham, 

however, has suggested that instead of fostering the development 

of science, Wang actually deterred it, for according to Needham, 

there must be a lawgiver before there can be natural laws. If Wang 

Ch'ung were alive, the first question he would ask would be, "What 

is your evidence to prove it?" 22 

C. A Treatise on Death (ch. 62) 

People today say that when men die they become spiritual beings 

(kuei, ghosts), are conscious, and can hurt people. Let us try to prove by 

means of the species of creatures that the dead do not become spiritual 

beings, do not possess consciousness, and cannot hurt people. How shall 

we prove this? We do so by means of other creatures. Man and other 

creatures are all creatures. When other creatures die, they do not become 

spiritual beings. Why should man alone become a spiritual being 

22 See Needham, Science and Civilisation in China, vol. 2: History of Scientific 

Thought, pp. 371, 528. 

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when he dies? If people can make a distinction between man and other 

creatures as to which cannot become a spiritual being, they will still find 

it difficult to make clear why [man] becomes a spiritual being but 

[other creatures] do not. If they cannot make a distinction, then how do 

they know that men become spiritual beings [inasmuch as other creatures 

do not]? 

Man can live because of his vital forces. At death his vital forces are 

extinct. What makes the vital forces possible is the blood. When a person 

dies, his blood becomes exhausted. With this his vital forces are 

extinct, and his body decays and becomes ashes and dust. What is there 

to become a spiritual being? 

If a man has neither ears nor eyes (senses), he will have no consciousness. 

Hence men who are dumb and blind are like plants and trees. When 

the vital forces have left man, is it simply like a man without ears or eyes? 

[The whole body] decays and disappears. It becomes diffused and invisible, 

and is therefore called a spiritual being (kuei-shen, earthly and 

heavenly spirits). When people see the shape of spiritual beings, they of 

course do not see the vital forces of the dead. Why? Because the very 

name "spiritual being" means what is diffused and invisible. When a 

man dies, his spirit ascends to heaven and his flesh and bones return 

(kuei) to earth, and that is why an earthly spiritual being (kuei) [and 

a heavenly spiritual being (shen)] 23 are so-called. To be an earthly 

spiritual being (kuei) means to return (kuei). . . . To be a heavenly 

spiritual being (shen) means to expand (shen). When the expansion 

reaches its limit, it ends and begins again. Man is born of spiritual forces. 

At death he returns to them. Yin and yang are called kuei-shen. After 

people die, they are also called kuei-shen. 

The vital forces produce man just as water becomes ice. As water 

freezes into ice, so the vital forces coagulate to form a man. When ice 

melts, it becomes water. When a man dies, he becomes spirit again. He 

is called spirit just as melted ice changes its name to water. As people 

see that its name has changed, they say that it has consciousness, can 

assume physical form, and can hurt people. But they have no basis for 

saying so. 

People see ghosts with the form of living men. From the fact that they 

appear in the form of living men, we know that they are not spirits of the 

dead. How can we show that to be true? When a sack is filled with rice 

or a bag with millet the rice will stay in the sack or the millet in the bag. 

It will be full and firm, standing up and visible. When people look at it, 

they know that it is a sack of rice or a bag of millet. How? Because the 

23 Additions according to Huang Hui, Lun-heng chiao-shih, p. 869. For a discussion 

of kuei-shen, see Appendix. 

300


contents of the sack or bag can be clearly discerned from the shape. If 

the sack has a hole and the rice runs out, or if the bag is torn and the 

millet is lost, the sack or bag will either be thrown away or folded up. 

When people look at it, it can no longer be seen. The spirit of man is 

stored up inside the body in the same way as the millet is in the bag or 

rice in the sack. At death the body decays and the vital forces disintegrate 

like the sack having a hole or the bag having been torn and the 

rice running out or the millet being lost. When the rice has run out or the 

millet is lost, the sack or bag no longer keeps its shape. How can the 

vital forces of man still possess a body and be seen by men when they 

have disintegrated and become extinct?. . . 

Since the beginning of the universe and rulers of high antiquity, people 

who died according to their allotted time or died at middle age or prematurely 

have numbered in the hundreds of millions. The number of 

men living today is not as great as that of the dead. If everyone who dies 

becomes an earthly spirit, there should be an earthly spirit at every 

pace on the road. If men see spirits when they are about to die, they 

should see millions and millions filling the hall and crowding the road 

instead of only one or two. . . . 

Now, people say that a spiritual being is the spirit of a dead man. If 

the earthly spirit is really the spirit of a dead man, then when people see 

it, they ought to see the form of a nude, for there is no reason why they 

should see any garments. Why? Because garments have no spirit. When 

a man dies, they decay along with his body. How can they be worn by a 

spirit? . . . 

Man is intelligent and wise because he possesses the forces of the Five 

Constant Virtues (of humanity, righteousness, propriety, wisdom, and 

faithfulness). The five forces are in him because there are the five internal 

organs in his body (namely, heart, liver, stomach, lungs, and 

kidneys, which correspond to the five virtues). If the five organs are 

unimpaired, he is wise. If they become diseased, he becomes hazy and 

confused. Being hazy and confused, he becomes stupid and foolish. 

When a man dies, the five organs rot and decay. As they rot and decay, 

the Five Constant Virtues will have nothing to attach to. What embodies 

wisdom will be destroyed, and what exercises wisdom will be gone. The 

body needs the vital forces in order to be complete, and the vital forces 

need the body in order to have consciousness. There is in the world no 

fire burning from itself. How can there be a spirit in the world that has 

consciousness from itself but is without a body?. . . 

Before a person dies, his wisdom and spirit are calm. When he is 

sick, he is dull and confused, because his spirit is disturbed. Now, death 

is sickness much intensified. Since in sickness, which is but a mild form 

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of death, one is already dull and confused, how much more would he 

be when it is intensified? When the spirit is disturbed, one loses consciousness. 

How much more when the spirit disintegrates? Man's death is like 

the extinction of fire. When a fire is extinguished, its light shines no 

longer, and when a man dies, his consciousness has no more understanding. 

24 The two cases are the same in reality and properly so. 25 If people 

still maintain that the dead has consciousness, they are all deluded. What 

is the difference between a sick man about to die and the fire about to be 

extinguished? After the fire is extinguished and the light disappears, 

only the candle remains. After a man dies, his vital forces become extinct 

but only his body remains. To say that a man has consciousness 

after death is to say that a fire still has light after the fire is extinguished. 

. . . 

After a man dies he does not become a spiritual being, has no consciousness, 

and cannot speak. He therefore cannot hurt people. How can 

we prove it? When a man gets angry, he utilizes his vital forces. When he 

hurts people, he has to apply strength. In order to apply strength, his 

sinews and bones must be strong. If they are strong, he can hurt people. 

. . . After a man dies, his hands and arms decay and can no longer hold 

a blade. His teeth have all fallen and he can no longer bite. How can he 

hurt people?. . . (SPPY, 20:9a-14a) 

Comment. In arguing against the existence of ghosts, Wang Ch'ung 

has offered more reasons than has any other Chinese thinker. For 

almost two thousand years now no one has been able to refute him, 

although some of his arguments sound very naive. 

D. Additional Selections 

1. Accidents vs. Necessity 

In their conduct, some men are worthy and some men are stupid. In encountering 

calamity or blessing, some are fortunate and some are unfortunate. 

In their action, some are right and some are wrong. When they 

meet with reward or punishment, some are lucky and some are unlucky. 

Many people may encounter war together, but those who hide themselves 

do not get hit. Several plants may be affected by frost on the same 

day, but the one that is covered does not get injured. Those that get hit 

or injured are not necessarily evil, and those that hide or are covered 

24 Hui, ordinarily meaning wisdom, here means understanding. 

25 Leslie, in his "Contribution to a New Translation of the Lun Heng," T'oung 

Pao, 44 (1956), p. 128, says tung-i-shih means "the same kind" and thinks Forke 

is wrong in translating it as "the nature of both is the same." Actually Forke's 

"nature" is closer to the meaning of shih (reality) whereas Leslie's "kind" is not. 

302


are not necessarily good. Those that hide or are covered are lucky and 

those that get hit or are injured are unlucky. Many people may want to 

offer loyalty. But some are rewarded and some punished. Many people 

may want to do some good. But some are trusted and some doubted. 

Those rewarded and trusted are not necessarily genuine and those punished 

and doubted are not necessarily insincere. The rewarded and trusted 

ones are lucky and the punished and doubted ones are unlucky. . . . 

Crickets and ants creep on the ground. A man lifts his foot and walks 

across it. Those crickets and ants he steps on are pressed to death, whereas 

those he does not step on remain completely alive and unhurt. When 

fires sweep through wild grass, that which has been pressed down 26 by 

wheels does not burn. Some ordinary folks are delighted and call it 

lucky grass. Now, what the feet do not step on and what the fire does not 

reach are not necessarily good, for the lifting of the foot and the spread 

of the fire are accidental. (ch. 5, SPPY, 2:1a-b) 

2. Strange Phenomena 

Those who talk about calamities and strange phenomena have themselves 

already doubted the theory that Heaven uses calamities and 

prodigies as a means of reprimanding people. So they alter their argument 

to say that calamities and prodigies come because the ruler, through his 

governmental measures, moves Heaven to do so. Heaven activates the 

material force to respond to him. It is like beating a drum with something 

or striking a bell with a hammer. The drum is like Heaven, the 

hammer like the governmental measures, and the sound of the drum or 

bell like Heaven's response. As the ruler acts below, the material force 

of Heaven comes after man accordingly. But I say: This is also doubtful. 

For Heaven can activate things, but how can things activate Heaven? 

Why? Because man and things are bound by Heaven and Heaven is the 

master of man and things. . . . Therefore man living in the universe is 

like a flea or louse being inside a garment or a cricket or an ant inside 

a hole or a crack. Can the flea, louse, cricket, or ant, by being obedient 

or disobedient, cause the material force inside the garment or the hole 

to move or to change? Since the flea, louse, cricket, and ant cannot 

do so, to say that man alone can is to fail to understand the principle of 

the material force of things. As the wind comes, trees' branches swing. 

But tree branches cannot cause the wind. (ch. 43, SPPY, 15:1a-b) 

3. Fate 

With respect to man's appointment of fate, when his parents give forth 

their vital forces, he already gets his fortunes and misfortunes. Man's 

26 Liu P'an-sui is correct in this understanding. See Liu's Lun-heng chi-chieh 

(Collected Explanations of the Balanced Inquiries), 1932, p. 19. 

303


nature is different from his fate. There are people whose nature is good 

but whose fate is unlucky, and there are others whose nature is evil but 

whose fate is lucky. Whether one is good or evil in his conduct is due to 

his nature, but calamities and blessings, and fortunes and misfortunes, 

are due to fate. Some people do good but get calamities. This is a case 

of good nature but unlucky fate. Some people do evil but get blessings. 

This is a case of evil nature but lucky fate. Nature may be good or 

evil, and fate may be lucky or unlucky. A person with lucky fate does 

not necessarily miss blessings even if he does no good, and a person with 

unlucky fate does not necessarily escape calamity even if he makes 

good efforts in his conduct. (ch. 6, SPPY, 2:5a-b) 

4. The Equality of Past and Present 

The world was well governed in earlier ages because of sages. It was 

well governed in later ages because of sages. The virtue of sages earlier 

or later was not different, and therefore good government in earlier ages 

and today is not different. The Heaven of earlier ages was the same as 

the Heaven of later ages. Heaven does not change, and its material 

forces do not alter. The people of earlier ages were the same as those of 

later ages. All were endowed with the original material forces, which 

are pure and harmonious and are not different in earlier or later ages. . . . 

In ancient times there were unrighteous people, and today there are 

gentlemen of established integrity. Good and evil intermingle. What age 

is devoid of them? (ch. 56, SPPY, 18:13b, 16a) 

304

••• 17 ••• 

THE TAOISM OF HUAI-NAN TZU 

HUAI-NAN Tzu (d. 122 B.C.) was the most prominent Taoist philosopher 

between ancient Taoism of the fourth century B.C. and Neo-Taoism 

of the third and fourth centuries A.D. His originality is negligible, but he 

maintained Taoism at the time when Confucianism had just assumed the 

dominant and exclusive role in government as well as in the realm of 

thought. Although his ideas are no more than reiteration and elaboration 

of Lao Tzu and Chuang Tzu, at least he kept the fire of Taoism burning 

and helped to make possible the emergence of Neo-Taoism. Because of 

his essentially rational approach to metaphysics and cosmogony, it may 

be said that he indirectly, at least, prepared for that rationalistic critic 

Wang Ch'ung (27-100?). 

His name was Liu An. As Prince of Huai-nan, he had thousands of 

scholars under his patronage. He plotted rebellion, failed, and committed 

suicide. 

The following selections are from the work which is a joint product 

of himself and his guests. 

THE HUAI-NAN TZU 1 

1. The Nature of Tao 

Tao covers Heaven and supports Earth. It is the extent of the four 

quarters of the universe and the dimensions of the eight points of the 

firmament. There is no limit to its height, and its depth is unfathomable. 

It encloses Heaven and Earth and endows things [with their nature] before 

they have been formed. . . . Compressed, it can expand. Hidden, it 

can be manifest. Weak, it can be strong. Soft, it can be firm. . . . With it 

the mountain becomes high and the abyss becomes deep. Because of it, 

animals run and birds fly. Sun and moon shine and the planets revolve 

by it. Through it the unicorn emerges and the phoenix soars. . . . After 

having been polished and cut, it returns to simplicity. It acts without 

action and is in accord with Tao. It does not speak and is identified with 

virtue. Perfectly at leisure and without pride, it is at home with harmony. 

The myriad things are all different but each suits its own nature. Its 

spirit may be set on the tip of an autumn hair, but its greatness combines 

the entire universe. Its virtue softens Heaven and Earth and har- 

1 The Huai-nan Tzu is a lengthy work of twenty-one long chapters on metaphysics, 

astronomy, government, military strategy, etc. Morgan's translation is 

both incomplete and inaccurate. 

305


monizes yin and yang (passive and active cosmic forces). It regulates 

the four seasons and harmonizes the Five Agents (Metal, Wood, Water, 

Fire, and Earth). . . . Therefore those who understand Tao return to 

tranquillity and those who have investigated things ultimately rest with 

non-action. (SPPY, 1:1a-2a, 6b) 

2. The Beginning of Reality 

(1) There was a beginning. (2) There was a time before that beginning. 

2 (3) There was a time before the time which was before the beginning. 

(4) There was being. (5) There was non-being. (6) There 

was a time before that non-being. (7) There was a time before the time 

which was before that non-being. 

(1) What is meant by "There was a beginning" is that there was accumulation 

which has not sprung unto activity. There were signs of 

sprouts and shoots but no physical form. 3 Like insects moving, 4 they are 

about to spring into life but their species have not yet been formed. 

(2) At the time before that beginning, the material force (ch'i) of 

Heaven began to descend and that of Earth began to ascend. Yin and 

yang interacted and united, competing leisurely to expand in the universe. 

Embracing genuine character and containing harmony, they were interfused 

and stayed together. 5 They wanted to come in contact with other 

things but they had not yet had physical form. 

(3) At the stage when there was a time before the time which was 

before the beginning, Heaven contained harmony but had not yet 

descended, and Earth embraced the material force but had not yet 

ascended. It was empty, quiet, desolate, and dark, there was nothing 

which was even indistinct. At last the material force greatly penetrated 

the realm of darkness. 

(4) "There was being" means that the myriad things appeared 6 in 

great numbers. The roots, stems, branches, and leaves of plants were 

young, luxuriant, flourishing, and colorful. Insects flew, moved, crawled, 

and breathed. They could be touched and grasped and they could be 

counted in quantities. 

(5) "There was non-being" means that the eye looked at it but could 

not see any form. The ear listened to it but could not hear any sound. 

The hand touched it but could not feel anything tangible. And as one 

2 The term wei-shih merely means there has not been, and does not mean anterior 

to a beginning. 

3 Interpretation according to Wang Nien-sun (1744-1832), Tu-shu tsa-chih 

(Miscellaneous Notes from Reading), 1933 ed., bk. 12, p. 58. 

4 Interpretation according to Liu Wen-tien, Huai-nan hung-lieh chi-chieh (Collected 

Commentaries on the Huai-nan Tzu), 1926, vol. 2, p. la. 

5 This is the understanding of Kao Yu's (fl. 205) commentary. 

6 Literally, to fall [upon the earth]. 

306


looked at it, its limit could not be reached. Great and extensive, it could 

not be measured and was identical with light. 

(6) At the time before that non-being, Heaven and Earth were enclosed 

and the myriad things were molded and produced. The great 

universal (Tao) 7 was undifferentiated and noumenal. Nothing, however 

deep, extensive, vast, or great, existed beyond it. Even the minutest hair 

and the sharpest point could not exist within it. It was space without 

surrounding walls. It produced the root of being and non-being. 

(7) At the time before the time which was before that non-being, 

heaven and earth had not come into existence and yin and yang had 

not been distinguished. The four seasons had not yet separated and the 

myriad things had not yet been born. It was extremely peaceful and very 

tranquil. Forms were not yet visible. It was like light in the midst of nonbeing 

which retreats and is lost sight of. 8 (SPPY, 2:1a-2a) 

Comment. The seven stages were first mentioned by Chuang Tzu 9 

but Huai-nan Tzu provided them with a content. Hu Shih (1891- 

1962) has arranged them in this order: 7, 3, 6, 2, 1, 4, 5. 10 Huainan 

Tzu's view may not be scientific or logical. It is remarkable, 

however, that in an age of prevalent superstitions and common belief 

in prodigies, he should have maintained an absolutely naturalistic 

attitude toward creation. 

3. Centrifugal Cosmogony 

Before heaven and earth took shape, there was only undifferentiated 

formlessness. Therefore it was called the great beginning. 11 Tao originated 

from vacuity and vacuity produced the universe (of space and 

time). 12 The universe produced the material force. The material force 

was extremely secure. 13 That which was clear and light drifted up to 

become heaven, and that which was heavy and turbid solidified to form 

earth. It was especially easy for the clear and refined to unite but ex- 

7 The Great Universal is Tao, according to Kao Yu. The term, ta-t'ung, comes 

from Chuang Tzu, ch. 6, NHCC, 3:26b. See Giles, trans., Chuang Tzu, 1961 ed., 

p. 85. 

8 There is no need to change chien (space) to wen (to ask) in order to conform 

to the story of Light asking Non-being in Chuang Tzu, ch. 22, NHCC, 7:53B, 

Giles, p. 217, as suggested by Ch'en Kuan-lou, quoted in Wang Nien-sun, Tu-shu 

tsa-chih, ibid., p. 76. 

9 Chuang Tzu, ch. 2, NHCC, 1:33b. See Giles, p. 41. 

10 Huai-nan Wang shu (On Huai-nan Tzu), 1934, pp. 26-27. 

11 Read chao (light) as shih (beginning), according to Wang Nien-sun, ibid., 

p. 89. 

12 According to Kao Yu, yü-chou (universe) means space (yü) and time (chou). 

13 Instead of translating the Chinese phrase as "having limits" as practically all 

other translators have done, I have followed Kao Yu's interpretation. 

307


tremely difficult for the heavy and turbid to solidify. Therefore heaven 

was formed first and the earth became definite later. The material 

forces 14 of Heaven and Earth combined to form yin and yang. The concentrated 

forces of yin and yang became the four seasons, and the 

scattered forces of the four seasons became the myriad things. When the 

hot force of yang accumulated, fire was produced and the essence of the 

material force of fire became the sun. When the cold force of yin accumulated, 

water was produced and the essence of the material force 

of water became the moon. The excess of the essence of the sun and 

moon became the stars and planets. Heaven received the sun, moon, 

and stars, while earth received water and soil. (SPPY, 3:1a) 

Comment. In its broad outline this cosmogony has remained the 

orthodox doctrine among Chinese philosophers, including Neo- 

Confucianists. 

4. Macrocosm and Microcosm 

Heaven, earth, infinite space, and infinite time are the body of one 

person, and the space within the six cardinal points is the form of one 

man. 15 Therefore he who understands his nature will not be threatened 

by Heaven and Earth, and he who comprehends evidences will not be 

fooled by strange phenomena. Therefore the sage knows the far from 

what is near, and to him all multiplicity is one. Men of old were one with 

the universe in the same material force, and were in harmony with the 

age. (SPPY, 8:3a-b) 

14 Ching means material force, according to Kao Yu. 

15 Read chi (system) as hsing (form), according to Wang Nien-sun, ibid., 

bk. 13, p. 47. See also Liu Chia-li, Huai-nan chi-cheng (Collected Textual Commentaries 

on the Huai-nan Tzu), 1924, 8:6a. 

308

••• 18 ••• 

NEGATIVE TAOISM IN THE LIEH TZU 

AND THE "YANG CHU CHAPTER" 

THE TAOISM OF LAO Tzu, Chuang Tzu, and Huai-nan Tzu (d. 

122 B.C.), were all positive in that each represents something new. The 

Taoism in the Lieh Tzu and its "Yang Chu Chapter," however, is purely 

negative. 

The ideas of the equality of all things, indifference to life and death, 

following one's nature, and accepting one's fate are all original ingredients 

of Taoism. But the hedonistic philosophy in the "Yang Chu 

Chapter" is directly opposed to the Taoist philosophy of having no 

desire. In the Lieh Tzu, the Taoist doctrine of inaction, i.e., taking no 

artificial action, has degenerated into a complete abandonment of effort. 

Spontaneity is confused with resignation. And the Taoist doctrine 

of nourishing one's nature is forgotten. Perhaps the only constructive 

aspect is the strong sense of skepticism, which, as in the case of Wang 

Ch'ung (27-100?), did help to set the Chinese mind free from dogmas 

and traditions. 

Lieh Tzu lived in the fifth century B.C. and was a follower of Taoism, 

but the present book under his name is surely not original. 1 Yang Chu 

(440-360 B.C.?) was known for his doctrine of self-preservation to the 

point of not plucking out a single hair even if he could benefit the entire 

world by doing so, according to Mencius. 2 It was for this egoism that 

Mencius strongly attacked him. 3 Records elsewhere confirm this teaching. 

4 This idea is reproduced in the "Yang Chu Chapter." But other 

parts of the chapter contradict it, for self-preservation and indifference 

1 This book, SPTK, called Ch'ung-hsü chih-te chen-ching (Pure Classic of the 

Perfect Virtue of Simplicity and Vacuity), is in eight chapters. Since the majority 

of its material came from other books, chiefly the Chuang Tzu, obviously 

it cannot have been the original work of Lieh Tzu, which was lost in the second 

century B.C. For the same reason, the seventh chapter, entitled "Yang Chu," cannot 

be the work of Yang Chu. It was probably a separate work from the Lieh 

Tzu and somehow got included in it. In both cases, however, some original teachings 

of the two philosophers have been incorporated. For example, the "Yang 

Chu" briefly discusses the problem of names and actualities. As Hu Shih (1891- 

1962) has pointed out, this is a common topic of discussion during the Warring 

States period (403-222 B.C.) but not in later times. (See his Chung-kuo chehsüeh 

shih ta-kang, or Outline of the History of Chinese Philosophy, 1919, p. 176.) 

For translations, see Bibliography. 

2 Mencius, 7A:26. 3 ibid., 3B:9. 

4 See Lü-shih ch'un-ch'iu (Mr. Lü's Spring and Autumn Annals), ch. 17, sec. 6, 

SPPY, 17: 16a, and Huai-nan Tzu, ch. 13, SPPY, 13:7b. See Morgan, trans., Tao, The 

Great Luminant, p. 155. 

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NEGATIVE TAOISM 

to life and death are obviously incompatible. Besides, indulging in 

sensuous pleasure was not Yang Chu's way of preserving nature. 5 In the 

opinion of many scholars, what happened was that at the time of political 

chaos in the third century, some writers, trying to escape from intolerable 

situations, utilized the names of Lieh Tzu and Yang Chu and took 

refuge under the purely negative aspects of Taoism. 

A. THE "YANG CHU CHAPTER" 

Yang Chu said, "One hundred years is the limit of a long life. Not one 

in a thousand ever attains it. Suppose there is one such person. Infancy 

and feeble old age take almost half of this time. Rest during 

sleep at night and what is wasted during waking hours in the daytime 

take almost half of that. Pain and sickness, sorrow and suffering, death 

[of relatives], and worry and fear take almost half of the rest. In 

the ten and some years that is left, I reckon, there is not one moment 

in which we can be happily at ease without worry. 

"This being the case, what is life for? What pleasure is there? For 

beauty and abundance, that is all. For music and sex, that is all. But 

the desire for beauty and abundance cannot always be satisfied, and 

music and sex cannot always be enjoyed. Besides, we are prohibited by 

punishment and exhorted by rewards, pushed by fame and checked by 

law. We busily strive for the empty praise which is only temporary, 

and seek extra glory that would come after death. Being alone ourselves, 

we pay great care 6 to what our ears hear and what our eyes see, and are 

much concerned with what is right or wrong for our bodies and minds. 

Thus we lose the great happiness of the present and cannot give ourselves 

free rein for a single moment. What is the difference between 

that and many chains and double prisons? 

"Men of great antiquity knew that life meant to be temporarily 

present and death meant to be temporarily away. Therefore they acted 

as they pleased and did not turn away from what they naturally desired. 

They would not give up what could amuse their own persons at the time. 

Therefore they were not exhorted by fame. They roamed as their nature 

directed and would not be at odds with anything. They did not care for 

a name after death and therefore punishment never touched them. They 

took no heed of fame, being ahead or being behind, or the span of life." 

Yang Chu said, "The myriad creatures are different in life but the 

same in death. In life they may be worthy or stupid, honorable or 

humble. This is where they differ. In death they all stink, rot, disinte- 

5 According to the Huai-nan Tzu, ibid., Yang Chu would not injure the nature 

with material desires. 

6 Shun (to follow) and shen (to care) were interchangeable. 

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THE LIEH TZU 

grate, and disappear. This is where they are the same. However, being 

worthy, stupid, honorable, or humble is beyond their power, and to 

stink, rot, disintegrate, and disappear is also beyond their power. Thus 

life, death, worthiness, stupidity, honor, and humble station are not 

of their own making. All creatures are equal in these, [that is, they all 

return to nature]. 7 The one who lives for ten years dies. The one who 

lives for a hundred years also dies. The man of virtue and the sage 

both die; the wicked and the stupid also die. In life they were (sageemperors) 

Yao and Shun; 8 in death they were rotten bones. In life they 

were (wicked kings) Chieh 9 and Chou; 10 in death they were rotten 

bones. Thus they all became rotten bones just the same. Who knows 

their difference? Let us hasten to enjoy our present life. Why bother 

about what comes after death?". . . 

Yang Chu said, "Po-ch'eng Tzu-kao 11 refused to pluck one hair to 

benefit things. He gave up his kingdom and became a hermit farmer. 12 

Great Yü 13 refused to benefit himself [but instead devoted his energies 

to diverting floods to rivers and the sea], and his body was half paralyzed. 

Men of antiquity did not prefer to sacrifice one single hair to 

benefit the world. Nor did they choose to have the world support them. 

If everyone refrains from sacrificing even a single hair and if everyone 

refrains from benefiting the world, the world will be in order." (SPTK, 

7:1b-4b) 

B. THE LIEH TZU 

I. Skepticism 

King T'ang 14 of Yin 15 asked Hsia Chi, 16 "Were there things in high 

antiquity?" Hsia Chi said, "If there were nothing in high antiquity, how 

could there be things today? Would it be all right for people in the future 

to say that there is nothing now?" "In that case," said T'ang, 

"don't things have before or after?" "There is no ultimate in the be- 

7 This is the interpretation of Chang Chan (fl. 310). See his commentary on 

the Lieh TZU. 


OR. 1802-1752 B.C.(?). He caused the downfall of the Hsia dynasty (2183- 

1752 B.C.?). 

10 R. 1175-1112 B.C. He caused the downfall of the Shang dynasty (1751-1112 

B.C.). 

11 A feudal lord at the time of Emperor Yao. 

12 For the legend, see Chuang Tzu, ch. 12, NHCC, 5:7b-8a. See Giles, trans., 

Chuang Tzu, 1961 ed., p. 121. 


14 Founder of Shang dynasty (r. 1751-1739 B.C.?). 

15 Part of Shang dynasty (1384-1112 B.C.). 

16 A great official under T'ang. For the pronunciation of his name, see Yang 

Po-chün, Lieh Tzu chi-shih (Collected Explanations of the Lieh Tzu), 1958, p. 92. 

311

NEGATIVE TAOISM 

ginning or end of things," said Hsia Chi. "The beginning may be the 

end and the end may be the beginning. Who knows their order? As to 

what exists outside of things or before the beginning of events, I do 

not know." 

"Is there any limit to the above, the below, or the eight directions?" 

asked T'ang. Hsia Chi answered, "I don't know." As T'ang persisted in 

asking, Hsia Chi said, "If there is nothing, then it is infinite. If 

there is something, then there must be a limit. How do I know? But 

beyond infinity there is no more infinity and within the unlimited there 

is no more unlimitedness. Infinity is followed by no more infinity, and 

the unlimited is followed by no more unlimitedness. From this I know 

there are infinity and the unlimited and do not know that there are the 

finite and the limited." 

"What is there beyond the four seas (China)?" T'ang further asked. 

Hsia Chi replied, "It is just like the district of Ch'i (same as China)." 17 

"How can you prove it?" asked T'ang. "I traveled east to Ying, where 

the inhabitants were the same as those here. I inquired about the countries 

further east and found that they were no different from Ying. I traveled 

west to Pin where the inhabitants were the same as those here. I inquired 

about the countries further west and found that they were no different 

from Pin. From this I know the regions within the four seas, the four 

wildernesses, and the four outermost regions are no different. Thus the 

lesser is always enclosed by a greater, and so on without end. Heaven 

and earth, which enclose the myriad things, are themselves enclosed. 

The enclosing of the myriad things never reaches a limit. Likewise, the 

enclosing of heaven and earth never reaches an end. How do I know that 

there is not a greater universe outside our own? This is something I 

do not know." (SPTK, 5:1a-b) 

Those who maintain that heaven and earth are destructible are wrong 

and those who maintain that they are indestructible are also wrong. 

Whether they are destructible or indestructible, I do not know. However, 

it is the same in one case and also the same in the other. 18 The 

living do not know the dead and the dead do not know the living. What 

is gone does not know what is to come and what is to come does not 

know what is gone. Why should I be concerned whether they are destructible 

or indestructible? (SPTK, 1:6b) 

2. Fatalism 

Effort said to Fate (Ming, Destiny), "How can your achievement be 

17 According to the commentary of Chang Chan. 

18 According to Chang Chan, this means that "the one" refers to destructibility 

and "the other" to indestructibility, and that regardless of which is true, we should 

not be affected. 

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THE LIEH TZU 

equal to mine?" "What effect do you have on things," replied Fate, "that 

you wish to compare with me?" "Well," said Effort, "longevity and 

brevity of life, obscurity and prominence, honorable and humble stations, 

and poverty and richness, are all within my power." 

Fate said, "P'eng-tsu 19 was not superior to (sage-emperors) Yao and 

Shun in wisdom and yet he lived to an age of eight hundred. Yen Yuan 

(virtuous pupil of Confucius) was not inferior to the ordinary people 

in ability but he lived only to eighteen. 20 Confucius was not inferior to 

the feudal lords in virtue, but he was in trouble between Ch'en and 

Ts'ai. 21 (Wicked king) Chou of the Yin dynasty was not superior to 

the three men of virtue 22 in conduct, but he occupied the throne. Chicha 

23 had no noble rank in Wu but T'ien Heng 24 had the state of Ch'i all 

for himself. Po-i and Shu-ch'i starved at Shou-yang Mountain [rather 

than serve the conquerors of the Shang], whereas the Chi family (who 

controlled the state of Lu) were richer than Chan-ch'in (worthy official 

of Lu noted for integrity). 25 If what you mentioned were all within 

your power, how is it that one enjoyed longevity while the other suffered 

brevity of life, that the sage was obscure while a violator of virtue was in 

a prominent position, that the worthy had a humble station while the 

stupid enjoyed honor, and that the good were poor but the wicked 

were rich?" 

Effort said, "If, as you say, I have no effect on things, then are things, 

being what they are, 26 the result of your control?" 

"Since you already speak of it as fate," replied Fate, "how can there be 

any control? As for me, if a thing is straight, I push it straighter, 

and if it is crooked, I let it remain so. Longevity, brevity of life, obscurity, 

prominence, humble and honorable stations, and richness and 

poverty all come of themselves. How can I know them? How can I 

know them?" (SPTK, 6:1a) 

19 A legendary figure supposed to have been an official under Yao and Shun. 

20 Other texts have "four times eight," which is nearer to the truth. 

21 He was surrounded between Ch'en and Ts'ai by officials of those states to 

prevent him from going to Ch'u, their enemy state. He and his pupils were out 

of food and many became sick. See Ssu-ma Ch'ien (145-86 B.C.?), Shih chi 

(Records of the Historian), PNP, 47:19a. See also translation by Chavannes, Les 

mémoires historiques, vol. 5, pp. 364-371. 

22 The viscounts Wei and Chi and Pi Kan who offered good advice to Chou but 

were exiled, imprisoned, and executed by him, respectively. See Analects, 13:1. 

23 He declined the throne in 561 B.C. and became a farmer. 

24 He usurped the throne in 386 B.C. 

25 He is better known as Liu-hsia Hui, whom Confucius highly praised. See 

Analects, 15:13. 

26 According to T'ao Hung-ch'ing, quoted in Yang Po-chün, Lieh Tzu chi-shih, 

1958, p. 121, the first yeh (interrogative article) is to be read as yeh (final positive 

article). 

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NEO-TAOISM 

TOO OFTEN the intellectual movement in the Wei-Chin period (220- 

420) is described as purely an escape from reality. Political conditions 

at the time certainly tend to support such a conclusion. During the 

last four decades of the Han dynasty (206 B.C.-A.D. 220), China was 

divided into three states. In addition to continuous warfare, there were 

repeated floods and droughts. Population was reduced to perhaps the 

lowest point in twenty-five centuries. Eunuchs and royal relatives controlled 

the court, which was marked by intrigue and murders. The 

founder of the Wei (220-265) came to power through usurpation, and 

his court repeated the ugly drama of the Han. Many scholars of integrity 

refused to serve such corrupt governments, and others, looking 

for freedom and security, preferred to withdraw in search of transcendental 

values. Consequently, the whole intellectual movement was 

marked by a transcendental quality, with emphasis on non-being, vacuity, 

and the noumenal world. 

But the movement was negative only on the surface, for there were 

positive forces at work. One of these was the sharp reaction against the 

intellectual trends of the Han. For several hundred years Confucian 

teachings on ranks, functions, and various social and moral dogmas 

had been accumulating weight. The minute and endless studies of Confucian 

Classics had turned the study of Confucian thought into sheer 

scholasticism. The belief in mutual influence of Nature and man, dominant 

since the time of Tung Chung-shu (c. 179-c. 104 B.C.), was no 

longer satisfactory as an explanation of events. At the same time, the 

popular religious movement under the name of Huang-Lao—the legendary 

Yellow Emperor Huang-ti and Lao Tzu—in combination with the 

Yin Yang philosophy, astrology, and divination, had been so influential 

that philosophy was degenerating into occultism. All of these deteriorating 

developments called for revolt, and for some years after A.D. 190 

several thousand scholars, gathered in Ching-chou, 1 turned away from 

scholasticism in their study of Classics. 

The other positive force at work was perhaps even more significant, 

for it pointed not to the past but to the future, and it grew from within 

the intellectual movement itself. In the first and second centuries, a 

bitter controversy between the Ancient Script School and Modern Script 

School centered on the two versions of Confucian Classics. The Modern 

Script School insisted that Confucius was destined as a savior of the 

1 In present Hupeh. 

••• 19 ••• 

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NEO-TAOISM 

world and a throneless king whose subtle doctrines lay behind his written 

words. The Ancient Script School, on the other hand, maintained 

that Confucius was essentially an ancient teacher who transmitted the wisdom 

of the past, and rejected the position of the Modern Script School as 

subjective, unhistorical, and corrupted by the belief in prodigies. Regardless 

of the issues of the controversy, it had created a spirit of free 

inquiry, critical study, and independent thinking. It was impossible for 

this new spirit not to seek new frontiers. 

Furthermore, after two hundred years of Confucian supremacy, the 

revival of a study of ancient philosophers was long overdue. It was no 

accident, therefore, that scholars were now attracted to Lao Tzu, Chuang 

Tzu, Mo Tzu (fl. 479-438 B.C.), and the Logicians. Since Moists and 

the Logicians distinguished themselves as debaters, they exerted considerable 

influence on Wei-Chin scholars who loved nothing better than 

a debate and obviously enjoyed demolishing "objections," whether from 

others or from themselves. But they went a step further than the 

ancient debaters, for instead of being satisfied with argumentation they 

looked for a universal ground on which to base their arguments, and 

they found this in principle (li, reason) which eventually became a 

central concept of Chinese thought. 

The study of the Lao Tzu and Chuang Tzu was of course an aid to 

escape, and Taoism was a natural reaction to Confucianism. But here 

again the Wei-Chin scholars discovered something positive: non-being 

(wu), as no longer simply a contrast to being but as the ultimate of all, 

or pure being, the one and the undifferentiated. Thus the whole movement 

was charged with tremendous possibilities for the future. 

The movement expressed itself in two facets, the Light Conversation 

or Pure Conversation (Ch'ing-t'an) and the Metaphysical Schools 

(Hsüan-hsüeh), 2 one involving the other. Most of the members were the 

younger generation. In their conversations they avoided the vulgarism 

of politics or traditional mores and concentrated on the pure or light 

aspect of matters, whether sex or poetry, in such a way as to free the 

spirit and sharpen the imagination, and to display a lofty ideal and a 

philosophical wit. Many of them acted in a most unconventional and 

carefree manner. The whole outlook was a romantic wandering 

over the universe, as Chuang Tzu would put it, and an intimate union 

with ultimate reality. The most famous group of the Light Conversationists 

were the Seven Worthies of the Bamboo Grove, including Juan Chi 

(210-263), who in his Ta-jen hsien-sheng chuan (Biography of Mr. 

Great Man) advocated becoming one with the universe and transcend- 

2 The word hsüan means profound, deep, dark, abstruse, mysterious. See Appendix 

for further comments. 

315

NEO-TAOISM 

ing all distinctions between right and wrong, wealth and poverty, high 

and humble stations, and Hsi K'ang (223-262), who in his essays expressed 

similar sentiments. These men often met in bamboo groves 

to drink, write poems, and talk and behave with utter disregard for 

social conventions or worldly values. 

The more important facet, however, was the metaphysical. As already 

indicated, Han thought was strongly characterized by the doctrine of the 

correspondence of Nature and man and their mutual influence. It was 

therefore greatly concerned with natural phenomena. The Metaphysical 

Schools of Wei-Chin, on the contrary, went beyond phenomena to find 

reality beyond space and time. They found this in the non-being of 

Lao Tzu and Chuang Tzu but gave it a new meaning. Hence these 

schools are called by modern scholars Neo-Taoism. But these philosophers 

are not exclusively Taoistic. Like philosophers of the Han, they are 

syncretic. While they are Taoistic in their metaphysics, they are Confucian 

in their social and political philosophy. 

The most outstanding Neo-Taoists were Wang Pi (226-249), Ho Yen 

(d. 249), and Kuo Hsiang (d. 312). Wang Pi traced his intellectual 

heritage to Ching-chou. He was once a minister in the Wei government 

and wrote commentaries on both the Book of Changes and the Lao Tzu, 

that on the latter being the oldest in existence. Before he died at the 

early age of twenty-four, he had already inaugurated a new movement, 

for he raised the level of Chinese thought to that of metaphysics. Han 

thought was primarily concerned with cosmology and cosmogony, but 

Wang Pi went beyond the realms of names and forms to ultimate reality, 

namely, original non-being (pen-wu). According to his theory, which 

is developed in his commentary on the Lao Tzu, original non-being 

transcends all distinctions and descriptions. It is the pure being, original 

substance (pen-t'i), and the one in which substance and function are 

identified. It is whole and strong. And it is always correct because it 

is in accord with principle. This emphasis on principle is very conspicuous 

in his commentaries. Where Lao Tzu had destiny (ming, fate), Wang 

Pi would substitute principle, thus anticipating the Neo-Confucianists, 

who preferred to speak of the Principle of Nature (T'ien-li) instead of 

destiny decreed by Heaven (T'ien-ming). 

The idea that there is the one underlying and uniting all phenomena 

is also vigorously stressed in his essay on the Book of Changes. 3 This 

book, consisting of hexagrams made up of six broken lines (representing 

yin or passive cosmic force) and unbroken lines (representing yang or 

active cosmic force), was used in ancient times for divination but later 

used by Confucianists to discern principles underlying events. It had 

3 For this book, see above, ch. 13, n.1. 

316

NEO-TAOISM 

been the custom to equate each of the sixty-four hexagrams with a particular 

object, but Wang argues that this is unnecessary because there is 

a general principle behind all particular objects. This principle is discoverable 

in one of the six lines, so that the other five become secondary. 

In short, he stresses the over-all principle which unites and commands 

all particular concepts and events. It is remarkable that in a time of 

disunity and confusion he should insist on a united system based on one 

fundamental reality, original non-being. 

Like Wang Pi, Ho Yen was known as a brilliant young man, was once 

a minister, and was fond of Taoism. While he never developed the concept 

of non-being to the level of Wang Pi, he brought out more strongly 

the idea that non-being is nameless and is beyond words and forms. In 

their social and political thought, both he and Wang Pi were Confucian. 

Confucius, rather than Lao Tzu, was the sage, for in their view, he and 

not Lao Tzu was the one who demonstrated the highest truth within 

human society. 

Kuo Hsiang was also a high government official and an enthusiast for 

Taoism. Unlike Wang Pi who commented on the Lao Tzu, however, he 

commented on the Chuang Tzu. Evidences show that he incorporated 

much of Hsiang Hsiu's (fl. 250) commentary into his own—thus indicating 

plagiarism, of which he was not at all incapable. Some scholars speak 

of Hsiang-Kuo instead of Kuo Hsiang alone. However, their ideas are 

not different, and all texts still name Kuo Hsiang as the commentator. 

Just as Wang Pi went beyond Lao Tzu, so Kuo Hsiang went beyond 

Chuang Tzu. The major concept is no longer Tao, as in Chuang Tzu, 

but Nature (Tzu-jan). Things exist and transform themselves spontaneously 

and there is no other reality or agent to cause them. Heaven is not 

something behind this process of Nature but is merely its general name. 

Things exist and transform according to principle, but each and every 

thing has its own principle. Everything is therefore self-sufficient and 

there is no need of an over-all original reality to combine or govern them, 

as in the case of Wang Pi. In other words, while Wang Pi emphasizes 

non-being, Kuo emphasizes being, and while Wang Pi emphasizes the 

one, Kuo emphasizes the many. To Wang Pi, principle transcends things, 

but to Kuo, it is immanent in them. 

However, Kuo Hsiang and Wang Pi are similar in that both consider 

that the sage rises above all distinctions and contradictions. He remains 

in the midst of human affairs although he accomplishes things by taking 

no unnatural action. But he is not someone who "folds his arms and sits 

in silence in the midst of some mountain forest." To such a sage, all 

transformations are the same and in dealing with things he has "no 

deliberate mind of his own" (wu-hsin) but responds to them spontane- 

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NEO-TAOISM 

ously without any discrimination. Confucius, and not Lao Tzu or 

Chuang Tzu, was such a sage. 

In their philosophy of life, Kuo Hsiang differed greatly from Wang 

Pi in one respect. Kuo was a fatalist while Wang was not. Since according 

to Kuo everything has its own nature and ultimate principle, everything 

is determined and correct. Therefore he taught contentment in whatever 

situation one may find himself. Neither free will nor choice has meaning 

in his system. 

How much influence did Neo-Taoism have in the development of 

Chinese thought? This is not an easy question to answer. Neither Chinese 

Buddhism nor Neo-Confucianism can be said to have owed their 

development to Neo-Taoism. Nevertheless, as we shall see, its influence 

on early Chinese Buddhist schools is definite and clear. 4 Besides, such 

concepts as principle, original reality, substance, and function may well 

be considered to have set the pattern for later Buddhists and Neo-Confucianists. 

The following selections are designed to show their influence 

as well as their own thoughts. 

1. WANG PI'S 

SIMPLE EXEMPLIFICATIONS OF THE 

PRINCIPLES OF THE BOOK OF CHANGES 

An Explanation of The Explanations of Hexagrams 5 

What is an explanation of a hexagram as a whole? It discusses generally 

the substance of a hexagram and makes clear the controlling principle 

out of which it is developed. Now, the many cannot be regulated 

by the many. They are regulated by the smallest in number (the one). 

Activity cannot be controlled by activity. They are controlled by that 

which is firmly rooted in the one. 6 The reason why the many can exist 

is that their ruling principle returns always to the one and all activities 

can function because they have all come from the same source. Things 

never err; they always follow their principle. There is the chief to unite 

them, and there is the leader to group them together. Therefore, though 

complex, they are not chaotic, and though many, they are not confused. 

4 See below, ch. 20, Introduction. 

5 This is pt. 1 and the most important part of his Chou-i lüeh-li (Simple Exemplifications 

of the Principles of the Book of Changes), a brief essay in six parts. 

The essay is included in the Han-Wei ts'ung-shu (Collection of Works of the Han 

and Wei Dynasties, 206 B.C.-A.D. 265). There are annotations by Hsing Shou (of 

Tang, 618-907), but they are inferior. Pt. 4 of this work has been translated by 

Hellmut Wilhelm in his Change, pp. 87-88. 

6 Paraphrasing the Book of Changes, "Appended Remarks," pt. 2, ch. 1. Cf. 

Legge, Yi King, p. 380. See also Lao Tzu, ch. 39. 

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Hence the intermingling of the six lines in a hexagram can be understood 

by taking up one [of them, for one is always the ruling factor of the 

six] and the interaction of weakness (yin) and strength (yang) can be 

determined by having the basic controlling principle well established. 

Therefore, "for gathering things together, enumerating qualities, and 

distinguishing right and wrong, there would be insufficiency if there were 

not one line among [the six as the ruling factor]." 7 Therefore if we investigate 

things by approaching them as a united system, although they 

are many, we know we can handle them by adhering to the one, and if 

we view them from the point of view of the fundamental, although their 

concepts are broad, we know we can cover all of them under a single 

name. If we view the great heavenly movements through an astronomical 

instrument, we shall not wonder at the movements of heaven and earth, 

and if we occupy the central point to view whatever may come, then all 

things coming in from the six directions will not be beyond control. 

Therefore when the name of the hexagram is mentioned, we have the 

ruling factor of all its concepts, and as soon as we read the explanation 

of a hexagram, we understand more than half of the ideas involved. 

Although past and present are not the same and armies and states 

appear different, we must not neglect the application of the central principle 

[in considering them]. Differences vary in a thousand ways, but the 

leading, ruling principle remains. This is the thing most highly valued 

in the explanation of a hexagram. 

The little is valued by the plentiful, and the few are the leaders of the 

many. If there are five yang (undivided lines) and one yin (undivided), 

the yin is the ruling factor. If there are five yin and one yang, the one 

yang is the ruling factor. For yin seeks after yang and yang seeks after 

yin. If yang is one and unified, how can all the five yin help returning to 

it? If yin is singular, how can all the five yang help following it? Thus 

although the yin is lowly, yet it is the controlling principle of the hexagram 

because it occupies the position of the least. Some people discard 

the lines and split the substance of a hexagram, but does the substance 

of the hexagram not depend on the lines? Although things are complex, 

there is no worry about their becoming chaotic, and although they change, 

there is no worry about their being confused. That which broadens is 

preserved by that which restricts, and the many is helped by the simple. 

The explanation of hexagrams alone can [show this]. Unless the explanation 

represents the most subtle and profound [principle] in the world, 

how can it avoid confusion in chaos and alteration in the process of 

change? If we view an explanation of a hexagram in this way, its concepts 

will become readily clear. 

7 Changes, "Appended Remarks," pt. 2, ch. 9. Cf. Legge, p. 400. 

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2. WANG PI'S 

COMMENTARY ON THE BOOK OF CHANGES 

Only because there is ultimate principle in the world is it possible to 

employ strength and uprightness completely and to drive far away those 

who ingratiate by flattery. . . . If we understand the activities of things, 

we shall know all the principles which make them what they are. (Commentary 

on hexagram no. 1, ch'ien or Heaven in the Book of Changes) 

Taking the position of the superior and contending with the subordinate 

are things that can be changed. Therefore they are not great faults. 

If one can return to obey the fundamental principle and alter the command 

[to violate moral principles], rest with the firm and correct, refrain 

from drifting away from the Way, and practice humanity beginning with 

oneself, 8 good fortune will follow him. (Commentary on hexagram no. 

6, sung or contention) 

If one is agreeable but does not follow indiscriminately and is joyful 

without deviating from the Mean, one will be able to associate with superiors 

without flattery and with subordinates without disrespect. As he 

understands the causes of fortune and misfortune, he will not speak 

carelessly, and as he understands the necessary principles, he will not 

change his good conduct. (Commentary on hexagram no. 16, yü or 

happiness) 

[A superior man sees] similarity in general principles but diversity in 

functions and facts. (Commentary on hexagram no. 38, k'uei or to part) 

Comment. Note the contrast between principle and facts. Later, in 

Chinese Buddhism, the realm of principles and the realm of facts 

constitute the two realms of existence. They are, however, not to be 

sharply contrasted, for they involve each other and are ultimately 

identical. This one-is-all and all-is-one philosophy is a common 

heritage of all Chinese philosophical systems—Confucian, Taoist, 

and Buddhist. 

If a thing has any fault, it will not be [in accord with] its principle. A 

concept is the same as principle. (Commentary on hexagram no. 40, 

chieh or to remove) 

To return is to revert to the original [substance]. The original [substance] 

is the mind of Heaven and Earth. Whenever activity ceases, there 

is tranquillity, but tranquillity is not opposed to activity. Whenever 

speech ceases, there is silence, but silence is not opposed to speech. Thus 

8 Referring to Analects, 12:1, 

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although Heaven and Earth are vast, possessing the myriad things in 

abundance, where thunder moves and winds circulate, and while there 

is an infinite variety of changes and transformations, yet its original 

[substance] is absolutely quiet and perfect non-being. Therefore only 

with the cessation of activities within Earth can the mind of Heaven and 

Earth be revealed. If being were to be the mind [of Heaven and Earth], 

things of different categories will not be able to exist together. (Commentary 

on hexagram no. 24, fu or to return) 

Comment. Wang Pi is characteristically Taoistic in saying that only 

in a state of tranquillity can the mind of Heaven and Earth be seen. 

Like Wang Pi, Neo-Confucianists paid a great deal of attention to 

this hexagram in the Book of Changes. But they maintained that 

the mind of Heaven and Earth is to be seen in a state of activity 

instead of tranquillity. As Ch'eng I (Ch'eng I-ch'uan, 1033-1107) 

said, "Former scholars all said that only in a state of tranquillity 

can the mind of Heaven and Earth be seen. They did not realize 

that the mind of Heaven and Earth is found in the beginning of 

activity." 9 

3. WANG PI'S 

COMMENTARY ON THE LAO TZU 

All being originated from non-being. The time before physical forms 

and names appeared was the beginning of the myriad things. After forms 

and names appear, Tao (the Way) develops them, nourishes them, and 

places them in peace and order; that is, becomes their Mother. This means 

that Tao produces and completes things with the formless and nameless. 

Thus they are produced and completed but do not know why. Indeed it 

is the mystery of mysteries. (Lao Tzu chu, or Commentary on the Lao 

Tzu, ch. 1) 

Man does not oppose Earth and therefore can comfort all things, for 

his standard is the Earth. Earth does not oppose Heaven and therefore 

can sustain all things, for its standard is Heaven. Heaven does not oppose 

Tao and therefore can cover all things, for its standard is Tao. Tao does 

not oppose Nature and therefore it attains its character of being. To follow 

Nature as its standard is to model after the square while within the 

square and the circle while within the circle, and not to oppose Nature 

in any way. By Nature is meant something that cannot be labeled and 

something ultimate. To use knowledge is not as good as to have no 

knowledge. Body and soul are not as good as essence and form. Essence 

9 I ch'uan (Commentary on the Book of Changes), ECCS, 2:33a. 

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and form are not as good as the formless. That with modes is not as good 

as that without modes. Hence, these model after one another. Because 

Tao obeys Nature, Heaven relies on it. Because Heaven models after 

Tao, Earth follows Heaven as its principle. Because Earth models after 

Heaven, man uses Earth as his form. (ibid., ch. 25) 

The sage does not institute forms and names to restrain things. He 

does not formulate standards of advance so that the degenerate will be 

discarded. Instead he assists all things in their natural state and does not 

play the part of their originator. This is why it is said that the sage never 

discards anyone. "Do not exalt the worthy, so that the people shall not 

compete. Do not value rare treasures, so that the people shall not steal. 

Do not display objects of desire, so that the people's hearts shall not be 

disturbed." 10 If people are always enabled to free their minds from doubts 

and desires, they will not be discarded. (ibid., ch. 27) 

When essence is scattered, its different dispositions produce multiplicity, 

and species come into being as concrete things. Because they are 

scattered, the sage institutes rules for them, lets good be their teacher 

and evil be their material [as object lessons], changes their way of life, 

and transforms their customs so they will return to the one. (ibid., ch. 

28) 

Spirit has no physical form and has no spatial restrictions, whereas 

concrete things (ch'i) are produced through an integration of elements. 

When there is an integration without form, it is therefore called a spiritual 

thing. The nature of the myriad things is spontaneity. It should be followed 

but not interfered with. . . . The sage understands Nature perfectly 

and knows clearly the conditions of all things. Therefore he goes 

along with them but takes no unnatural action. He is in harmony with 

them but does not impose anything on them. He removes their delusions 

and eliminates their doubts. Hence the people's minds are not confused 

and things are contented with their own nature. (ibid., ch. 29) 

How is virtue to be attained? It is to be attained through Tao. How is 

virtue to be completely fulfilled? It is through non-being as its function. 

As non-being is its function, all things will be embraced. Therefore in 

regard to things, if they are understood as non-being all things will be in 

order, whereas if they are understood as being, it is impossible to avoid 

the fact that they are products (phenomena). Although Heaven and 

Earth are extensive, non-being is the mind, and although sages and kings 

are great, vacuity (hsü) is their foundation. Therefore it is said that by 

returning and seeing [absolute quiet and perfect non-being], the mind of 

Heaven and Earth will be revealed. 11 . . . Tao is indeed the ultimate of 

10 Lao Tzu, ch. 3. 

11 See above, sec. 2, Wang's comment on hexagram no. 24. 

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greatness. Anything beyond it is not worth honoring. Although [Heaven 

and Earth] are engaged in great undertakings and have great wealth in 

possessing the myriad things, each thing still has its own character. Although 

it is valuable to have non-being as its function, nevertheless there 

cannot be substance without non-being. . . . (ibid., ch. 38) 

Comment. This is the first time in the history of Chinese thought 

that substance (t'i) and function (yung) are mentioned together. 

In the Book of Changes, it is said that "the state of absolute quiet 

and inactivity. . . when acted on, immediately penetrates all 

things." 12 Neo-Confucianists interpreted the two states as substance 

and function, but they are so only by implication. The concepts of 

substance and function definitely originated with Wang Pi. They 

were to become key concepts in Chinese Buddhism and Neo-Confucianism. 

One is the beginning of number and the ultimate of things. All things 

are produced by the one and this is why it is the master of all. And all 

things achieve their completion because of the one. (ibid., ch. 39) 

All things in the world came from being, and the origin of being is 

based on non-being. In order to have being in total, it is necessary to 

return to non-being. (ibid., ch. 40) 

The ten thousand things have ten thousand different forms but in the 

final analysis they are one. How did they become one? Because of nonbeing. 

. . . Therefore in the production of the myriad things, I know its 

master. Although things exist in ten thousand different forms, their material 

forces are blended as one. The multitude have their own minds, and 

different countries have different customs. But if the one is attained, 

there will be kings and dukes as their masters. One is the master. How 

can it be abandoned? The greater the number, the further we go astray. 

We are nearer to [truth] if the number is reduced. When it is reduced to 

the least (one), we shall arrive at the ultimate. . . . Follow Nature and 

place perfect principle in the forefront. If we follow it, there will be 

fortune, and if we disobey it, there will be misfortune. (ibid., ch. 42) 

There is a basis for all affairs and a foundation for all things. There 

may be many roads but their destination is the same, and there may be 

a hundred deliberations but the result is the same. 13 There is a great 

constancy in Tao and there is a generality in principle. By holding on to 

the Tao of old, we can master the present. 14 Although we live in the 

present age, we can know the past. This is why it is said [in this chapter] 

12 "Appended Remarks," pt. 1, ch. 10. Cf. Legge, p. 370. 

13 Paraphrasing Changes, "Appended Remarks," pt. 2, ch. 5. Cf. Legge, p. 389. 


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that one may know [the world] without going out of doors or looking 

through the windows. Non-being is inherent in the one. But when we look 

for it in the multiplicity of things, it is like Tao which can be looked for 

but not seen, listened to but not heard, reached for but not touched. If 

we know it, we do not need to go out of doors. If we do not know it, the 

further we go, the more beclouded we become. If we know the general 

principle of things, we can know through thinking even if we do not 

travel. If we know the basis of things, even if we do not see them, we 

can point to the principle of right and wrong [which governs them]. 

(ibid., ch. 47) 

4. HO YEN'S 

TREATISE ON TAO 

Being, in coming into being, is produced by non-being. Affairs, as 

affairs, are brought into completion by non-being. When one talks about 

it and it has no predicates, when one names it and it has no name, when 

one looks at it and it has no form, and when one listens to it and it has 

no sound—that is Tao in its completeness. Hence it is able to make 

sounds and echoes brilliant, to cause material force (ch'i) and material 

objects to stand out, to embrace all physical forms and spiritual activity, 

and to display light and shadow. Because of it darkness becomes black 

and plainness becomes white. Because of it the carpenter's square draws 

a square and the compass draws a circle. The compass and square obtain 

forms but Tao has no form. Black and white obtain names but Tao has 

no name. (Tao lun, or Treatise on Tao, quoted by Chang Chan (fl. 310) 

in his commentary on the Lieh Tzu, (SPTK, 1:2b) 

Comment. It is characteristic of both the Light Conversation movement 

and the Metaphysical School to reject all words and forms 

as descriptions of the ultimate reality. These may be used, then 

forgotten, as the fish trap is forgotten once the fish is caught. 15 The 

whole spirit is to get at the ultimate totally, which is not to be 

limited even by a name. 

5. HO YEN'S 

TREATISE ON THE NAMELESS 

Those accorded fame by the people have names. Those not given 

fame have no names. As to the sage, his name is really no name, and 

15 This metaphor comes from the Chuang Tzu, ch. 26, NHCC, 9:11a. It is a 

favorite metaphor for Chinese philosophers. See Giles, trans., Chuang Tzu, 1961 

ed., p. 265. 

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his fame really no fame. When one realizes that the nameless is Tao and 

the fameless is great, then the nameless may be spoken of as having a 

name and the fameless may be spoken of as having fame. But is the sage 

similar to those who can be accorded names or fame? It is like possessing 

nothing and thereby possessing everything. However, in possessing things 

one should be in harmony with possessing nothing, and be different from 

those who possess what they have. No matter how far apart things are, 

things of the same kind respond to one another, and no matter how near 

they are, things of different kinds do not violate each other. It is like the 

yang (active cosmic force) in the yin (passive cosmic force) or the yin 

in the yang. Each attracts and responds to its own kind. The sun in the 

summer is yang but at night it is yin in the same way as the sun in far-off 

winter is yin. The sun in the winter is yin but in the daytime it is yang in 

the same way as the sun in far-off summer is yang. They are all different 

while nearby, but similar while far away. Only when such similarity and 

difference are fully comprehended can the discourse on the nameless be 

understood. How does it happen to be this way? Now Tao never possesses 

anything. But since the beginning of the universe it has possessed 

all things and yet it is still called Tao because it can exercise its ability 

not to possess them. Therefore although it dwells in the realm of the 

namable, it shows no sign of the nameless. It is like a substance at 

a distance characterized by yang forgetting that it has a distant 

counterpart in yin. Hsia-hou Hsüan 16 said, "Heaven and Earth rotate 

spontaneously, and the sage functions spontaneously." By spontaneity 

is meant Tao. Essentially speaking, Tao has no name. This 

is why Lao Tzu said that he was "forced to give it a name." 17 Confucius 

praised (sage-emperor) Yao, saying, "The people could find 

no name for him," but continued to say, "How majestic" was "his 

accomplishment!" 18 It is clear that to give a name perforce is merely 

to give an appellation on the basis of only what people know. If one already 

has a name, how can it be said that people could find no name for 

him? It is only because he has no name that all possible names in the 

world can be used to call him. But are these really his names? If from 

this analogy one still does not understand, it would be like looking at the 

loftiness and eminence of Mount T'ai and yet saying that the original 

material force [which makes the productions of things possible] is not 

overwhelming or extensive. (Wu-ming lun, or Treatise on the Nameless, 

quoted by Chang Chan, ibid., 4:2b-3a) 

16 He was born in 209. For his biography, see Wei chih (History of the Wei 

Dynasty, 220-265), ch. 9, PNP, 9:7b. 


18 Yao was a legendary emperor (3rd millennium B.C.). See Analects, 8:19. 

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6. KUO HSIANG'S 

COMMENTARY ON THE CHUANG TZU 

Topics and Reference: 

Following one's nature and Contentment: 2, 4, 9, 13, 15, 20, 21, 27, 28, 

30, 31 

Having no mind of one's own: 8, 14, 29 

Lao Tzu and Chuang Tzu: 5 

Multiplicity of things: 10, 18 

Natural self-transformation: 3, 4, 11, 12, 19, 32, 34, 39 

Past and present, difference of: 22, 36, 37 

Principle (li): 1, 9, 12, 13, 16, 17, 19, 23, 25, 27-29, 32, 34 

Sage: 5, 7, 8, 29 

Sagely government: 5, 24, 26, 38 

Transcendental and mundane worlds: 5, 29 

1. A big thing necessarily comes about in a big situation, and a big 

situation necessarily comes about with a big thing. It is because of principle 

that it is naturally so. We need not worry that this will fail. Why be 

anxious about it? (Chuang Tzu chu or Commentary on the Chuang Tzu, 

ch. 1, NHCC, 1:2a) 

2. The flight of the fabulous (p'eng) bird may take half a year and 

will not stop until it gets to the Celestial Lake. The flight of a small bird 

takes only half of the morning and stops at getting from tree to tree. So 

far as capacities are concerned, there is a difference. But in adapting to 

their nature, they are the same. (ch. 1, NHCC, 1:2b) 

3. The fabulous (p'eng bird) and the small (quail) have different 

interests. Are their interests different because the birds knowingly differ? 

No, they are naturally different and no one knows why. To be natural 

means not to take any unnatural action. This is the general idea of [what 

Chuang Tzu means by] roaming leisurely or freedom. Everything has its 

own nature and each nature has its own ultimate. (ch. 1, NHCC, 1:4b-5a) 

Comment. Kuo Hsiang practically anticipated the Neo-Confucianists, 

who maintained that there is a Great Ultimate in each and every 

thing. 

4. The universe is the general name for all things. They are the substance 

of the universe while Nature is their norm. Being natural means 

to exist spontaneously without having to take any action. Therefore the 

fabulous p'eng bird can soar high and the quail can fly low, the cedrela 

can live for a long time and the mushroom for a short time. They are 

capable of doing these not because of their taking any action but because 

of their being natural. (ch. 1, NHCC, 1:8b) 

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5. It is he who does no governing that can govern the empire. Therefore 

Yao governed by not governing. It was not because of his governing 

that his empire was governed. Now (the recluse) Hsü Yu 19 only realized 

that since the empire was well governed, he should not replace Yao. He 

thought it was Yao who did the actual governing. Consequently he said 

to Yao, "You govern the empire." He should have forgotten such words 

and investigated into that condition of peace. Someone may say, "It was 

Yao who actually governed and put the empire in good order but it was 

Hsü Yu who enabled Yao to do so by refusing to govern himself." This 

is a great mistake. Yao was an adequate example of governing by not 

governing and acting by not acting. Why should we have to resort to Hsü 

Yu? Are we to insist that a man fold his arms and sit in silence in the 

middle of some mountain forest before we will say he is practicing nonaction? 

This is why the words of Lao Tzu and Chuang Tzu are rejected 

by responsible officials. This is why responsible officials insist on remaining 

in the realm of action without regret. . . . For egotistical people set 

themselves up against things, whereas he who is in accord with things 

is not opposed to them. . . . Therefore he profoundly and deeply responds 

to things without any deliberate mind of his own and follows 

whatever comes into contact with him. He is like an untied boat drifting, 

claiming neither the east nor the west to be its own. He who is always 

with the people no matter what he does is the ruler of the world wherever 

he may be. (ch. 1, NHCC, 1:10a-10b) 

Comment. Practically all commentators praise or defend their 

authors. Kuo Hsiang, on the contrary, criticized Lao Tzu and 

Chuang Tzu. Like Wang Pi, he inclined to Taoism in his metaphysics 

but adhered to Confucianism in social and political philosophy. 

For this reason, he rated Confucius far above these Taoist 

philosophers. 20 

6. The cook, the boy impersonating the dead at sacrificial rites, and 

the officer of prayer each is contented with his duties. Birds and animals 

and the myriad things are contented with their endowment. Emperor 

Yao and Hsü Yu were tranquil in their circumstances. This is the perfect 

reality of the universe. When everything attains its reality, why should it 

take any action? Everything will be contented and at ease. Therefore, 

although Yao and Hsü Yu and Heaven and Earth are different, their 

freedom is the same. (ch. 1, NHCC, 1:11a) 

7. Although the sage is in the midst of government, his mind seems 

to be in the mountain forest. . . . His abode is in the myriad things, but 

19 According to legend, Yao yielded the throne to him but he refused it. 

20 See below, comment on sec. 29. 

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NEO-TAOISM 

it does not mean that he does not wander freely. (ch. 1, NHCC, 1:11b- 

14b) 

8. The mind of the sage penetrates to the utmost the perfect union of 

yin and yang and understands most clearly the wonderful principles of 

the myriad things. Therefore he can identify himself with changes and 

harmonize with transformations, and finds everything all right wherever 

he may go. He embraces all things and thus nothing is not in its natural 

state. The world asks him [to rule] because of disorder. He has no deliberate 

mind of his own. Since he has no deliberate mind of his own, 

why should he not respond to the world? He who identifies himself with 

the profoundly mysterious state and understands its wonder to the utmost, 

appreciates the nature of all things, partakes in the creative and 

transforming process of the universe, and fulfills the fame of Yao and 

Shun. 21 He can do so because he acts by taking no [unnatural] action. 

(ch. 1, NHCC, 1:13b) 

9. If one is contented wherever he goes, he will be at ease wherever he 

may be. Even life and death cannot affect him. How much less can flood 

or fire? The perfect man is not besieged by calamities, not because he 

escapes from them but because he advances the principles of things and 

goes forward and naturally comes into union with good fortune. (ch. 

1, NHCC, l:14a) 

10. Pipes and flutes differ in length and the various notes differ in 

pitch. Hence the multiplicity and complexity of long and short, low and 

high, tones. Although tones vary in a thousand ways, the principle of 

their natural endowment is the same. (ch. 2, NHCC, 1:19a) 

11. The music of Nature is not an entity existing outside of things. 

The different apertures, the pipes and flutes and the like, in combination 

with all living beings, together constitute Nature. Since non-being is 

non-being, it cannot produce being. Before being itself is produced, it 

cannot produce other beings. Then by whom are things produced? They 

spontaneously produce themselves, that is all. By this is not meant that 

there is an "I" to produce. The "I" cannot produce things and things 

cannot produce the "I". The "I" is self-existent. Because it is so by itself, 

we call it natural. Everything is what it is by nature, not through taking 

any action. Therefore [Chuang Tzu] speaks in terms of Nature. The 

term Nature (literally "Heaven") is used to explain that things are what 

they are spontaneously, and not to mean the blue sky. But someone says 

that the music of Nature makes all things serve or obey it. Now, Nature 

cannot even possess itself. How can it possess things? Nature is the 

general name for all things. Nature does not set its mind for or against 

anything. Who is the master to make things obey? Therefore all things 

21 Yao's successor. 

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NEO-TAOISM 

exist by themselves and come from nature. This is the Way of Heaven. 

(ch. 2, NHCC, l:21a) 

12. Everything is natural and does not know why it is so. The further 

things differ in physical form, the further they are alike in being natural 

.... Heaven and Earth and the myriad things change and transform into 

something new every day and so proceed with time. What causes them? 

They do so spontaneously. . . . What we call things are all what they are 

by themselves; they did not cause each other to become so. Let us then 

leave them alone and principle will be perfectly realized. The ten thousand 

things are in ten thousand different conditions, and move forward 

and backward differently, as if there is a True Lord to make them do 

so. But if we search for evidences for such True Lord, we fail to find any. 

We should understand that things are all natural and not caused by 

something else. (ch. 2, NHCC, 1:22b-23a) 

13. If people with the capacity of attendants are not contented with 

the responsibilities of attendants, it will be a mistake. Therefore we 

know that whether one is a ruler or a minister, a superior or an inferior, 

and whether it is the hand or the foot, the inside or the outside, it is 

naturally so according to the Principle of Nature. Is it really due to the 

activity of man? Attendants should merely be contented with their 

stations and then they will never fail to govern each other. Mutually 

governing each other is like the four limbs and the various parts of the 

body each having its own function and at the same time employing and 

utilizing each other. (ch. 2, NHCC, 1:24a) 

14. "This" and "that" oppose each other but the sage is in accord 

with both of them. Therefore he who has no deliberate mind of his own 

is silently harmonized with things and is never opposed to the world. 

This is the way to occupy the central position and to be in union with the 

profoundly mysterious ultimate in order to respond with things from 

any direction they may come. (ch. 2, NHCC, 1:28B) 

15. When their physical forms are compared, Mount T'ai is larger 

than an autumn hair. But if everything is in accord with its nature and 

function, and is silently in harmony with its ultimate capacity, then a 

large physical form is not excessive and a small one is not inadequate. If 

the nature of everything is sufficient, the autumn hair will not alone consider 

its smallness as small and Mount T'ai will not alone consider its 

largeness as large. If whatever is sufficient in its nature is considered large, 

then nothing under heaven is more sufficient than the autumn hair. If 

whatever is sufficient in nature is not considered as large, then even 

Mount T'ai may be called small. This is why [Chuang Tzu] says, "There 

is nothing in the world greater than the tip of hair that grows in the 

autumn; while Mount T'ai is small." If even Mount T'ai is regarded as 

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NEO-TAOISM 

small, nothing in the world is large, and if the autumn hair is regarded 

as large, nothing in the world is small. As there is nothing small or 

large, and nothing enjoys longevity or suffers brevity of life, therefore 

the chrysalis does not admire the cedrela but is happy and contented 

with itself, and the quail does not value the Celestial Lake and its desire 

for glory is thus satisfied. If I am satisfied with what comes from Nature 

and am contented with my nature and destiny, even Heaven and Earth 

will not be considered as lasting but will be considered as coexisting with 

me, and the myriad things will not be considered different but will be 

considered to be at ease with me. This being the case, why can't everything 

coexist with Heaven and Earth and all things at ease with themselves 

be unified as one? (ch. 2, NHCC, 1:34a-b) 

16. Everything has its principle and every affair has its proper condition. 

(ch. 2, NHCC, 1:35b) 

17. Things have their spontaneity and principle has its ultimate. If 

one follows them and advances forward, one will deeply and silently 

come into accord with them. (ch. 2, NHCC, 1:40b) 

18. The ordinary people will consider it lack of simplicity to harmonize 

all the changes throughout ten thousand years. With a tired body 

and a frightened mind, they toil to avoid this and to take that. The sage 

alone has no prejudice. He therefore proceeds with utter simplicity and 

becomes one with transformation and always roams in the realm of 

unity. Therefore, although the irregularities and confusions over millions 

of years result in a great variety and infinite multiplicity, as "Tao 

operates and given results follow," the results of the past and the present 

are one. And as "things receive names and are what they are," the 

myriad things are one in being what they are. Since there is nothing 

which is not what it is, and since there is no time in which results are 

not brought about, it may be called simplicity. (ch. 2, NHCC, 1:41b-42a) 

19. If we insist on the conditions under which things develop and 

search for the cause thereof, such search and insistence will never end, 

until we come to something that is unconditioned, and then the principles 

of self-transformation will become clear. . . . There are people 

who say that shade is conditioned by the shadow, the shadow by the 

body, and the body by the Creator. But let us ask whether there is a 

Creator or not. If not, how can he create things? If there is, he is incapable 

of materializing all the forms. Therefore before we can talk 

about creation, we must understand the fact that all forms materialize 

by themselves. If we go through the entire realm of existence, we shall 

see that there is nothing, not even the shade, that does not transform 

itself behind the phenomenal world. Hence everything creates itself 

without the direction of any Creator. Since things create themselves, they 

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NEO-TAOISM 

are unconditioned. This is the norm of the universe. (ch. 2, NHCC, 1:46b- 

47a) 

Comment. The denial of a Creator is complete. Whereas Chuang 

Tzu raised the question whether there is a Creator or not, Kuo 

Hsiang unreservedly denied its existence. Given the theory that all 

things come into existence by themselves and that their transformation 

is also their own doing, this is the inevitable outcome. Thus 

Taoist naturalism is pushed to its ultimate conclusion. 

20. When a person is perfectly at ease with his spirit and his physical 

power, whether he lifts something heavy or carries something light, it is 

due to the fact that he uses his strength to a desired degree. When a 

person loves fame and is fond of supremacy and is not satisfied even 

when he has broken his back in the attempt, it is due to the fact that 

human knowledge knows no limit. Therefore what is called knowledge 

is born of losing sight of what is proper and will be eliminated when one 

is in silent harmony with his ultimate capacity. Being silently in harmony 

with one's ultimate capacity means allowing one's lot to reach its highest 

degree, and [in the case of lifting weights] not adding so much as an 

ounce. Therefore though a person carries ten thousand pounds, if it is 

equal to his capacity he will suddenly forget the weight upon his body. 

Though a person attends to ten thousand matters, [if his capacity is equal 

to them] he will be utterly unaware that the affairs are upon him. These 

are the fundamentals for the cultivation of life. ... If one attains the 

Mean and silently reaches the proper limit, everything can be done. The 

cultivation of life is not to exceed one's lot but to preserve the principle 

of things and to live out one's allotted span of life. (ch. 3, NHCC, 2:1a- 

2a) 

21. Joy and sorrow are results of gains and losses. A gentleman who 

profoundly penetrates all things and is in harmony with their transformations 

will be contented with whatever time may bring. He follows the 

course of Nature in whatever situation he may be. He will be quietly harmonized 

and united with Creation. He will be himself wherever he may 

be. Where does gain or loss, life or death, come in? Therefore, if one lets 

what he has received from Nature take its own course, there will be no 

place for joy or sorrow. (ch. 3, NHCC, 2:6a-b) 

22. Man in society cannot get away from his fellow beings. The 

changes in society vary from generation to generation according to different 

standards. Only those who have no deliberate minds of their own 

and do not use their own judgment can adapt themselves with changes 

and not be burdened by them. (ch. 4, NHCC, 2:7a) 

23. By being a companion with Nature, Chuang Tzu meant to rely 

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NEO-TAOISM 

on the Principle of Nature and apply it to one's own nature and destiny, 

like a child's going straight forward. (ch. 4, NHCC, 2:12a) 

24. When a thousand people gather together without a person as their 

leader, they will be either disorderly or disorganized. Therefore when 

there are many virtuous people, there should not be many rulers, but 

when there is no virtuous person, there should be a ruler. This is the Way 

of Heaven and the most proper thing to do. (ch. 4, NHCC, 2:16b) 

25. Things happen by necessity, and principle, of course, prevails 

at all times. Therefore if we leave things alone, they will accomplish 

their purpose. As things have accomplished their purpose, there has 

never been a case where one's life is not preserved. What is the use of 

being anxious about one's life? (ch. 4, NHCC, 2:17b) 

26. When the king does not make himself useful in the various 

offices, the various officials will manage their own affairs. Those with 

clear vision will do the seeing, those with sharp ears will do the listening, 

the wise will do the planning, and the strong will provide protection. 

What need is there to take any action? Only profound silence, that is 

all. (ch. 4, NHCC, 2:25a) 

27. Allow the foot to walk according to its capacity, and let the hand 

grasp according to its strength. Listen to what the ear hears and see 

what the eye sees. In knowing, stop at what cannot be known. In action, 

stop at what cannot be done. Employ [the faculties] as they would use 

themselves. Do things that would be done by themselves. Be unrestrained 

within your lot but do not attempt the least outside of it. This is the 

easiest way of taking no unnatural action. There has never been a case 

where no unnatural action is taken and yet one's nature and destiny have 

not been preserved, and I have never heard of such a principle according 

to which the preservation of nature and life is not a blessing. (ch. 4, NHCC, 

2:28a) 

28. The principles of things are from the very start correct. None can 

escape from them. Therefore a person is never born by mistake, and 

what he is born with is never an error. Although heaven and earth are 

vast and the myriad things are many, the fact that I happen to be here is 

not something that spiritual beings of heaven and earth, sages and 

worthies of the land, and people of supreme strength or perfect knowledge 

can violate. . . . Therefore if we realize that our nature and destiny 

are what they should be, we will have no anxiety and will be at ease with 

ourselves in the face of life or death, prominence or obscurity, or an 

infinite amount of changes and variations, and will be in accord with 

principle. (ch. 5, NHCC, 2:40a) 

Comment. Determinism and fatalism are here explained in terms 

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NEO-TAOISM 

of principle and correctness. Fate is not merely something beyond 

human control or understanding; it is necessary truth. Nowhere 

else in Chinese thought is it asserted so strongly. 

29. To cry as people cry is a manifestation of the mundane world. To 

identify life and death, forget joy and sorrow, and be able to sing in the 

presence of the corpse is the perfection of the transcendental world. . . . 

Therefore principle has its ultimate, and the transcendental and the mundane 

world are in silent harmony with each other. There has never been 

a person who has roamed over the transcendental world to the utmost 

and yet was not silently in harmony with the mundane world, nor has 

there been anyone who was silently in harmony with the mundane world 

and yet did not roam over the transcendental world. Therefore the sage 

always roams in the transcendental world in order to enlarge the mundane 

world. By having no deliberate mind of his own, he is in accord with 

things. (ch. 6, NHCC, 3:19a-b) 

Comment. As pointed out before, neither Wang Pi nor Kuo Hsiang 

considered Lao Tzu or Chuang Tzu a sage. Instead, their sage was 

Confucius. This is amazing, but the reason is really not far to seek. 

For to Kuo Hsiang, especially, the ideal person is a sage who is 

"sagely within and kingly without" and who travels in both the 

transcendental and mundane worlds. According to the Neo-Taoists, 

Lao Tzu and Chuang Tzu traveled only in the transcendental world 

and were therefore one-sided, whereas Confucius was truly sagely 

within and kingly without. 

30. The expert driver utilizes the natural capacity of horses to its 

limit. To use the capacity to its limit lies in letting it take its own course. 

If forced to run in rapid pace, with the expectation that they can exceed 

their capacity, horses will be unable to bear and many will die. 

On the other hand, if both worn-out and thoroughbred horses are 

allowed to use their proper strength and to adapt their pace to their 

given lot, even if they travel to the borders of the country, their nature 

will be fully preserved. But there are those who, upon hearing the 

doctrine of allowing the nature of horses to take its own course, will say, 

"Then set the horses free and do not ride on them," and there are 

those who, upon hearing the doctrine of taking no action, will immediately 

say, "It is better to lie down than to walk." Why are they so 

much off the track and unable to return? In this they have missed 

Chuang Tzu's ideas to a very high degree. (ch. 9, NHCC, 4:11b) 

31. By taking no action is not meant folding up one's arms and closing 

one's mouth. If we simply let everything act by itself, it will be 

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NEO-TAOISM 

contented with its nature and destiny. To have no alternative but [to 

rule an empire] is not to be forced into doing so by power or punishment. 

Straightly speaking, if only Tao is embraced and simplicity cherished, 

and if what has to be is allowed to run its maximum course, the 

world will naturally be contented with itself. (ch. 11, NHCC, 4:29a) 

32. There is no preconceived give and take in things or in their principles 

of being. If things are natural, they will transform themselves 

without taking any action. (ch. 11, NHCC, 4:38b) 

33. The two sages [the Great Yü and King Wen] had to govern 

their empires because there was disorder. [Emperor Shun] bowed and 

yielded the throne to [Yü] whereas [King Wen] had to resort to military 

expeditions [to take away the power from despotic King Chou] 

because the situations of the time were different. Neither of the two 

procedures is necessarily superior to the other. (ch. 12, NHCC, 5:17a) 

34. In cutting a tree the workman does not take any action; the only 

action he takes is in plying the axe. In the actual managing of affairs, 

the ruler does not take any action; the only action he takes is in employing 

his ministers. If the ministers can manage affairs, the ruler can 

employ ministers, the axe can cut the tree, and the workman can use 

the axe, each corresponding to his capacity, then the Principle of Nature 

will operate of itself, not because someone takes action. If the ruler 

does the work of his ministers, he will no longer be the ruler, and if 

the ministers control the ruler's employment, they will no longer be 

ministers. Therefore when each attends to his own responsibility, both 

ruler and the ruled will be contented and the principle of taking no 

action is attained. We must not fail to discern the term "taking no action." 

In ruling an empire, there is the activity of ruling. It is called "taking 

no action" because the activity is spontaneous and follows the nature 

of things. And those who serve the empire also do so spontaneously. 

In the case of ministers managing affairs, even Shun and Yü, as ministers, 

would still be regarded as taking action. Therefore when the 

superior and inferior are contrasted, the ruler is tranquil and the minister 

is active. . . . But in each case they allowed their nature to work and 

their destiny to unfold itself in its wonderful way. Thus neither the 

superior nor the inferior, neither antiquity nor the later period takes 

any action. Who then will? (ch. 13, NHCC, 5:25a-b) 

35. Events that took place in the past have disappeared with the 

past. Some may be transmitted to us [in writing], but can this make 

the past exist in the present? The past is not in the present and every 

present event is soon changed. Therefore only when one abandons 

the pursuit of knowledge and lets Nature take its own course, and 

changes with the times, can he be perfect. (ch. 13, NHCC, 5:35a) 

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NEO-TAOISM 

36. The ceremonies of ancient kings were intended to meet the needs 

of the time. When the time is past and the ceremonies are still not cast 

away, they will become an evil influence on the people and serve to 

hasten the start of affectations and imitation. (ch. 14, NHCC, 5:42a) 

37. Humanity and righteousness are principles of human nature. 

Human nature undergoes changes and is different past and present. If 

one takes a temporary abode in a thing and then moves on, he will 

silently understand [the reality of things]. If, however, he stops and is 

confined to one place, he will develop prejudices. Prejudices will result 

in hypocrisy, and hypocrisy will result in many reproaches. (ch. 14, 

NHCC, 5:44b) 

38. Although [Yao] ruled the empire, he delegated his government 

to his many officials and left matters to the myriad things themselves 

without interfering with them. This means he did not employ others 

for his own purpose. He was in accord with the people and let things 

take their own course without toiling himself. This means he was not 

employed by others as a servant. (ch. 20, NHCC, 7:18a) 

39. Not only is it impossible for non-being to be changed into being. 

It is also impossible for being to become non-being. Therefore, although 

being as a substance undergoes infinite changes and transformations, it 

cannot in any instance become non-being. . . . What came into existence 

before there were things? If I say yin and yang came first, then since 

yin and yang are themselves entities, what came before them? Suppose 

I say Nature came first. But Nature is only things being themselves. Suppose 

I say perfect Tao came first. But perfect Tao is perfect non-being. 

Since it is non-being, how can it come before anything else? Then what 

came before it? There must be another thing, and so on ad infinitum. 

We must understand that things are what they are spontaneously and 

not caused by something else. (ch. 22, NHCC, 7:54b-55b) 

335

••• 20 ••• 

THE SEVEN EARLY BUDDHIST SCHOOLS 

WHEN BUDDHISM first arrived in China, 1 it was mixed up with popular 

religious beliefs and practices. As translation of Buddhist scriptures 

began in the middle of the second century, 2 Buddhist thought started 

to develop in China. By the first quarter of the third century, there had 

been two Buddhist movements of thought: dhyana (concentration) and 

prajña (wisdom). The objective of dhyana was so to meditate and to 

achieve calmness of mind as to remove ignorance and delusions, while 

that of prajña was to gain the wisdom that things possess no self-nature 

(svabhava). 

As time went on, more and more prajña literature became available 

in China and the movement became as prevalent as it was influential. 

This spread brought the Buddhists, the prajña scholars especially, into 

contact with the Chinese literati. Although in the beginning this contact 

was slight, records show that Buddhist monks came under the influence 

of the Light Conversation 3 movement and the metaphysical 

discussions of the Chinese literati, and followed the vogue. When Loyang, 

in the north (the capital of Chin, 265-420), fell to invaders and 

the government moved to the south, many of the literati and Buddhist 

monks also migrated south. Both groups being refugees, they became 

intimate and the interchange of ideas became free and frequent. 

Before the exodus to the south, there had already been the practice 

of "matching concepts" of Buddhism and Taoism, 4 in which a Buddhist 

concept is equated with one in Chinese thought. Thus tathata (thusness, 

ultimate reality) was translated by the Taoist term "original non-being" 

(pen-wu, pure being). Now close contacts between the Buddhists and 

Neo-Taoists in the south reached a very high philosophical level. As the 

fundamental problem of Neo-Taoism was that of being and non-being, 

and since Neo-Taoists conceived fundamental reality to be original 

non-being, the Buddhists similarly centered their own thoughts along 

these lines. Seven schools developed, all in the south except the School 

of Original Non-being, which arose in the north. Like the Neo-Taoists, 

1 In 2 B.C. a Chinese official received instructions on a Buddhist scripture from 

a foreign envoy. This is the earliest record of Buddhism in China. 

2 Tradition ascribes the translation of the Forty-Two-Chapter Scripture to an 

earlier period but most scholars believe that it is a work of the Wei-Chin times 

(220-420). 

3 See above, ch. 19, Introduction. 

4 For this system, called ko-i, or matching concepts, see T'ang Yung-t'ung, "On 

'Ko-yi,'" in Inge, Radhakrishnan, pp. 276-286. 

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SEVEN EARLY BUDDHIST SCHOOLS 

the Buddhists regarded ultimate reality as transcending all being, names, 

and forms, and as empty and quiet in its nature. As in the case of Neo- 

Taoism this is not nihilism, for non-being thus understood is really 

pure being or reality undifferentiated. 

Records about the seven schools are scanty and the tenets of several 

of them are not quite clear. They did not exert much influence on later 

Buddhists. Nevertheless the records are sufficient to show several things. 

One is that Neo-Taoism was instrumental in the growth of the earliest 

Chinese Buddhist philosophical schools and not vice versa. Second, 

these schools were essentially Chinese both in thought and in language. 

As Liebenthal has aptly put it, "The so-called schools were originated 

by the Chinese and had no relation to Indian controversies. The Chinese 

asked all the questions and Indian Buddhist revelation supplied the 

answers." 5 Third, they showed that in the Eastern Chin (317-420) the 

arena of Chinese philosophy was dominated by Buddhists rather than 

by Confucian or Taoist thinkers. From now on for several hundred 

years, the story of Chinese philosophy was that of Buddhism. Fourth, 

the schools laid down the direction of philosophical discussion in the 

Six Dynasties (222-589), for the problems of being and non-being remained 

basic. 

Furthermore, the schools generally fell into two groups. The School 

of Original Non-being and its Variant School may be labeled as schools 

of non-being, whereas the other five may be labeled as schools of being, 

for while they maintain that matter is empty, they do not deny its 

conditional existence. It happens that later Buddhist schools are usually 

classified into the two categories of being and non-being. It would be 

far-fetched to say that the seven schools set the pattern, but one cannot 

help pointing out that the basic issue remained the same, namely, that 

between being and non-being. As has already been pointed out, the Neo- 

Taoism of Wang Pi (226-249) affirms the one while that of Kuo 

Hsiang (d. 312) affirms the many. 6 Since these Buddhist philosophers 

lived much nearer to the time of Kuo Hsiang than to that of Wang Pi, 

is it unreasonable to suggest that the Neo-Taoist spirit of "saving the 

appearance" in Kuo Hsiang had some bearing on their thought? 

The following selection is from the Chung-kuan lun shu (Commentary 

on the Treatise on the Middle Doctrine, Madhyamika sastra) 

by Chi-tsang, 549-623. 

5 Liebenthal, trans., Book of Chao, p. 147. 


337


THE CHUNG-KUAN LUN SHU 

Before Master Kumarajiva 7 arrived in Ch'ang-an 8 [in 401 9 ], there 

were originally three schools of thought. 

1. The first was the monk Tao-an (312-385) 10 who propagated the 

doctrine of original non-being. He said that non-being existed before 

the myriad things evolved and transformed, and that Emptiness 11 was 

the beginning of all beings with forms. What obstructs man's [mind] 

are derived entities. 12 If the mind finds its abode 13 in original non-being, 

erroneous thoughts will cease. Teacher of the Law Seng-jui (352-436) 14 

said, "The method of matching Buddhist concepts with those of Taoism 

is off the mark and misinterprets the original meaning. The [following] 

six schools are all one-sided and have not touched the truth. Our 

Master said, 'I, Monk Tao-an, cut a desert path to open up a track, 

and signal to the world the doctrine of the emptiness of the nature of 

things as a profound concept.' Tested by the actual results the schools 

have produced, the School of the Emptiness of the Nature of Things 

alone attains the truth in the highest degree." 15 If we understand this 

idea fully, we realize that according to Master Tao-an's explanation of 

original non-being, all dharmas (elements of existence) 16 are in their 

original nature empty and void (tranquil and devoid of differentiated 

character). Hence the name original non-being (pure being). 17 This 

doctrine is no different from those taught in the Mahayana scriptures 

and treatises as well as by schools of Kumarajiva and Seng-chao (384- 

414). 18 

7 8 

For his biography, see below, ch. 21, Introduction. Present Sian. 

9 

He arrived in the last month of the lunar year corresponding to 401 but that 

month actually fell in early 402. 

10 

Tao-an was an orphan, joined the Buddhist order at twelve, and became a 

pupil of Fo T'u-ch'eng (233-248). He became a leading Buddhist in Ch'ang-an, 

with several thousand followers. Extremely earnest in propagating the Buddhist 

faith, he sent followers to various parts of China. For his biography, see the 

Kao-seng chuan (Biographies of Eminent Monks), ch. 5, TSD, 50:351-354. 

11 

The Chinese translated sunya as k'ung, empty or void. It means the unreality 

of all phenomena or anything that is caused or created. It is the Absolute. 

12 

Mo-yu, opposed to original non-being (pen-wu). 

13 

Read ch'a (boast) as chai (abode). This is supported by the quotation of the 

sentence in the biography of T'an-chi (fl. 458), in the Ming-seng chuan ch'ao 

(Biographies and Excerpts from Famous Monks). See Zokuzokyo (Supplement to 

the Buddhist Canon), collection, pt. 2, B, case 7, vol. 1, p. 9b. 

14 

Tao-an's pupil. 

15 See Seng-yu (445-518), Ch'u san-tsang chih-chi (Collection of Records of 

Translation of the Buddhist Canon), TSD, 55:59. 

16 About translation of the word dharma, see Appendix, comment of Fa. 

17 

It is a great mistake to interpret non-being as nihilism. It is really pure being, 

a positive concept. 

18 

See below, ch. 21, sec. 2, and n.2. 

338


Comment. T'ang Yung-t'ung has pointed out the similarity of Taoan's 

theory of original non-being to that of Wang Pi. 19 We should 

also note that Tao-an's way to realize the original non-being is 

through the calmness of mind. Thus in effect he synthesized the 

dhyana and prajna movements. 

2. The next is [the Variant School of Original Non-being of] Teacher 

of the Law Fa-shen (286-374). 20 He said that by original non-being 

is meant that before there was any dharma of form (or matter), 21 there 

was first of all non-being. Therefore being came out of non-being. That 

is, non-being existed before being and being came into existence after 

non-being. This is why it is called original non-being. 

This theory has been demolished by Master Seng-chao in his treatise 

"The Emptiness of the Unreal," 22 and has not been taught in the scriptures 

or treatises. If non-being existed before being, then the original 

nature of what is not existent is non-being. This means that there was 

first non-being and then being, and that things will return from being 

back to non-being. The scripture says, "If dharmas first exist and then 

cease to exist, then all Buddhas and bodhisattvas 23 have erred and 

sinned [because coming into existence and going out of existence consti 

tute suffering]. If they are non-being at first and then become being, a 

Buddhas and bodhisattvas will also have erred and sinned." 24 There 

fore the scripture is not in agreement with this doctrine. 

3. The second school is that of the theory of matter as it is (chi-se, 

"matter as we find it" or actual things). 25 There are two representatives. 

One is the theory of matter as it is of the Kuan-nei area, 26 which ex- 

19 Wei-Chin hsüan-hsüeh lun-kao (Preliminary Treatise on the Metaphysical 

Schools of the Wei-Chin Period, 220-420), 1957, p. 50. 

20 He was Chu Ch'ien. This doctrine was pronounced in 365. For his biography, 

see Kao-seng chuan, ch. 4, TSD, 50:347-348. 

21 This is se in Chinese, which is the translation for the Sanskrit rupa. It means 

appearance, matter, color, form, thing. 


23 A bodhisattva is one who has dedicated himself to achieve enlightenment and 

salvation for all. 

24 I have not been able to trace the source of this quotation. It may refer to 

scriptures in general. 

25 The term chi-se literally means "matter right here." As explained by T'ang 

Yung-t'ung, it is not substantive but matter as apprehended immediately as it 

exists, or appearance. The school maintains that matter has no self-nature but 

depends on external causes and conditions for its existence, and is therefore empty. 

But it does have a conditional or temporary existence, which the school holds to 

be real and not empty. The name probably came from the title of the treatise 

mentioned in the next paragraph. See T'ang's Han Wei Liang-Chin Nan-pei-ch'ao 

Fo-chiao shih (History of Chinese Buddhism from 206 B.C. to A.D. 589), 1938, 

p. 261. 

26 Modern Shensi. Concerning this school, see T'ang, ibid., p. 260. 

339


plains that matter as it is is empty. The explanation for this is that 

matter has no self-nature. [That is, it does not exist by its own nature 

but through external causes and conditions. But as such it does have 

a conditional existence which is not empty]. The theory says that matter 

as it is is empty but does not say that matter as it is is in its very 

nature empty. This doctrine has been criticized by Master Seng-chao. 

He said that this theory understands that "matter has no self-nature but 

does not understand that matter [including its conditional existence] 

is really not matter at all." 27 

The other representative is Chih Tao-lin (314-366). 28 He wrote 

"Roaming in the Supremely Profound State (Hsüan) Inherent in Matter 

As It Is" 29 to explain that matter as it is is empty [because it depends on 

certain conditions for its existence]. This is why he called the treatise 

"Roaming in the Supremely Profound State Inherent in Matter As It 

Is." This means that he speaks of the true state without rejecting 

temporary names (derived or transitory entities which depend on 

causes for their production). This is no different from Master Tao-an's 

theory of the emptiness of original nature. 

Comment. According to T'ang Yung-t'ung, while Tao-an's theory 

of original non-being corresponds to that of Wang Pi, Chih Taolin's 

theory of matter as it is corresponds to the doctrine of Kuo 

Hsiang. 30 In saying that Chih Tao-lin's theory is no different from 

that of Tao-an, Chi-tsang is correct only insofar as the emptiness 

of original nature is concerned. According to Tao-an, as original 

non-being is realized, the conditional existence of matter becomes 

equally empty; according to Chih Tao-lin, on the other hand, it 

remains real, though conditionally so. T'ang Yung-t'ung is therefore 

correct in likening Chih Tao-lin to Kuo Hsiang. 

4. The third school is that of Teacher of the Law Fa-wen (fl. 374) 31 

who advocated the theory of the non-being of mind. 32 By the non-being 

of mind is meant that one should not have any deliberate mind toward 

the myriad things. The myriad things in themselves, however, are not 


28 He was a nobleman turned monk. He wrote extensively, including commentaries 

on the Lao Tzu and Chuang Tzu, and helped to make Buddhism popular 

through the synthesis of Taoist and Buddhist ideas. All his works are lost except 

an introduction. For his biography, see Kao-seng chuan, ch. 4, TSD, 50:348-349. 

29 This work is no longer extant. According to Yüan-k'ang (fl. 627-649), the 

reference is to Chih Tao-lin's Miao-kuan chang (Essay on Subtle Insight). For 

Yüan-k'ang, see below, ch. 21, n.14. 

30 Wei-Chin hsüan-hsüeh lun-kao, p. 53. 

31 Pupil of Fa-shen, For his biography, see Kao-seng chuan, ch. 4, TSD, 50:348. 

32 Actually the theory was first propagated by Chih Min-tu (fl. 326-342). 

340


nonexistent. The explanation of this idea is this: The scriptures say 

that all dharmas are empty because it is intended to enable the substance 

of our minds not to cling to anything unreal or imaginary. This is why 

the non-being of the mind is spoken of. The theory does not assert that 

external things are empty. In other words, it does not hold that the 

objective sphere 33 of the myriad things is empty. As Master Seng-chao 

has well said, "The theory is right about the tranquillity of the spirit 

but it is wrong in not realizing the vacuity of things." 34 The idea of his 

refutation is that the theory recognizes the emptiness of mind but still 

holds that things exist. Thus it is right in one respect but wrong in another. 

Comment, One is reminded of the teaching of "having no deliberate 

mind of one's own (wu-hsin)" in Kuo Hsiang and Chuang Tzu. 35 

In all cases, the emphasis is on the state of mind which should be 

such that it no longer clings to or is affected by external things. 

The above four masters established their theories in the Chin period 

(265-420). When it came to the Liu Sung period (420-479), Teacher 

of the Law T'an-chi of the Ta Chuang-yen Temple wrote the "Treatise 

on the Seven Schools" and recounted the four masters of four different 

schools. 

5. The fifth is the theory of consciousness being contained [in the 

spirit] 36 founded by Yü Fa-k'ai (fl. 364). 37 [According to him], the 

Three Worlds (of desires, matter, and pure spirit) 38 is an abode of a 

long night (of worldly existence), and the mind is the basis of a great 

dream. All that we see is seen in this dream. When we awaken from the 

great dream, and the long night gets to be dawn, then the consciousness 

that produces illusions will be extinguished and the Three Worlds will 

be seen to be all empty. At this time nothing is produced [from the mind] 

and yet nothing is not produced from it. 

Objection: If what is asserted is correct, then at the time of great 

awakening, nothing will be seen and that would not be in accord with 

33 See eh. 23, n.8. 


35 See above, ch. 19, sec. 6, selections 8, 14, 29. 

36 According to T'ang Yung-tung, Yü Fa-k'ai distinguished between the spirit 

and consciousness, and held that consciousness is the function of the spirit. The 

awakening refers to that of the spirit. See Han Wei Liang-Chin Nan-pei-ch'ao 

Fo-chiao shih, p. 265. 

37 He was of the Liu Sung period and famous as a medical practitioner. See his 

biography in Kao-seng chuan, ch, 4, TSD, 50:350. 

38 The world of sensuous desires (which includes the six heavens of desires), 

the world of matter (various heavens which are free of desires), and the world 

of pure spirit (the highest level, where the mind dwells in deep and mystical 

meditation). 

341


worldly (relative, common) truth. 39 Then what do the five kinds of 

eyes 40 of the Tathagata (Buddha) 41 see? 

6. The sixth school is that of Teacher of the Law Tao-i (d. 401). 42 

He said all dharmas of worldly truth are illusory. This is why the scripture 

says that from the very beginning there have never been any [such 

dharmas]. 43 

Objection: According to the scriptures, activities of illusory products 

have neither merit nor demerit. If all dharmas are equally illusory, what 

is the difference between an illusory person and a real person? Furthermore, 

the scripture merely makes use of what is vacuous to refute 

what is actual. Now to give up what is vacuous when what is actual 

is gone is to misunderstand the idea of the scripture. 

7. The seventh is the theory of casual union propagated by Yü Taosui. 

44 He said that [dharmas] are casual unions (results of a combination 

of causes) and as such are called worldly truth. As the causes 

dissipate the dharmas cease to exist. That is called the highest (absolute) 

truth. 

Objection: The scriptures talk about the true nature of dharmas 

without destroying temporary names (dependent entities). Why must 

there be the dissipation of causes before there is the true non-being? 

The non-being that is possible only with the dissipation of causes is 

only the non-being of the realm of worldly affairs. (Chung-kuan lun shu, 

ch. 2, TSD, 42:29) 

39 The theory taught in most Buddhist schools is that there are two levels of 

truth: worldly truth, i.e., relative truth or truth pertaining to the phenomenal world, 

and the highest truth, i.e., absolute truth. These are the Two Levels of Truth, 

paramarthasatya and laukikasatya. 

40 The human vision, that of heavenly things, Hinayana wisdom, bodhisattva 

truth, and Buddha-vision or omniscience. 

41 Literally "thus come" or "thus go," one of the ten titles of the Buddha. It 

means that the Buddha comes as all things come, that is, through causation, but 

he achieves perfect wisdom and attains Buddhahood. It also means that he has 

come by the way of "thus come" to the Three Worlds to preach and save sentient 

beings. 

42 He held that while the dharmas of worldly truth are illusory, the spirit is not. 

See his biography in Kao-seng chuan, ch. 5, TSD, 50:357. 

43 Quoting the Ta-chi ching (Scripture of the Great Assembly of Bodhisattvas), 

ch. 9, TSD, 13:58. 

44 He studied under the same teacher with Yü Fa-k'ai. He was also a medical 

practitioner. He accompanied his teacher on his journey to India, reached Annam, 

fell sick and died at 31. For his biography, see Kao-seng chuan, ch. 4, TSD, 50:350. 

342

••• 21 ••• 

SENG-CHAO'S DOCTRINE OF REALITY 

THE SEVEN SCHOOLS discussed in the preceding chapter represent 

individual philosophers and isolated theories without any systematic 

philosophy. Moreover, they are largely Chinese. With Seng-chao (384- 

414), however, Chinese Buddhist philosophy entered upon a new stage: 

for the first time there was a systematic philosophy. Moreover, his 

philosophy helped to root firmly on Chinese soil a Buddhist philosophy 

from India, namely, the Three-Treatise or the Middle Doctrine School. 

The credit for the growth of systematic development of Buddhist 

philosophy in China must go to Kumarajiva (344-413), for it was he 

who first translated the really philosophical texts into Chinese and it 

was his disciples who developed the philosophies. He was half-Indian 

and half-Kuchen, and became a monk at seven years of age. He had 

such a great reputation in the western regions that in 384 a king of 

Former Ch'in (351-394) sent a general to bring him back to China. 

After the general had kept him in northwestern China for seventeen 

years, a king of Later Ch'in (384-417) dispatched an army to bring 

him to the capital of Ch'ang-an in 401. 1 There he enjoyed the highest 

honors and had the highest title of National Teacher conferred on him. 

Over a thousand monks sat in his daily lectures. In the course of about 

ten years, he translated into excellent Chinese seventy-two works in 

384 chapters. Among his pupils were the famous Ten Philosophers. Of 

these, Seng-chao was his first disciple, and philosophically the most 

outstanding. 

Seng-chao was born in a poor family and had to earn his living by 

repairing and copying books. This enabled him to read extensively in 

literature and history, and he took a special liking to Lao Tzu and 

Chuang Tzu. However, after he read the translation of the Vimalakirtinirdesa 

sutra (Scripture Spoken by Vimalakirti), he was convinced of 

the superiority of Buddhism, and became a monk. His name spread 

over the Shensi area even when he was still a young boy. Around 398, 

when he was hardly fifteen years old, having heard of the fame of 

Kumarajiva, he went far west to become his pupil and later returned 

with him to Ch'ang-an. Besides helping his master in the translations, 

he wrote a number of treatises of his own. Of these, the two translated 

below are the most important. When he died he was barely thirty-one. 2 

1 Actually he arrived in the last month of the lunar year, which happened to 

fall in the beginning of 402. Ch'ang-an is present Sian. 

2 For his life, see Kao-seng chuan (Biographies of Eminent Monks), ch. 6, 

TSD, 50:365-366. 

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SENG-CHAO 

He felt that previous Chinese Buddhist schools were one-sided insofar 

as they still adhered to being or non-being. This is the gist of his criticism 

of the schools. To him, substance and function are identical, and 

activity and tranquillity are the same. He believed that the self-nature 

of things is vacuous, and therefore things defy any determination. All 

dharmas (elements of existence) 3 are merely temporary names (dependent 

entities), as they come into existence through causes and conditions 

and not through any nature of their own. Being temporary names, they 

are unreal, and being unreal, they are empty. 

Such a conclusion is, of course, strictly Buddhistic. In his theory of the 

immutability of things, he follows not only Buddhism in general, but a 

particular school, that of the Middle Doctrine of Nagarjuna (c.100-200), 

which was then very prominent in India. This school was introduced into 

China by Kumarajiva, where it was also known as the Three-Treatise 

School. The ideal of the school is the Absolute or Ultimate Emptiness. 

Its logical weapon was the famous Four Points of Argumentation, 4 

that is, refuting an idea as being, as non-being, as both being and nonbeing, 

and as neither being nor non-being. Seng-chao accepted this doctrine 

of Nagarjuna's through Kumarajiva and applied it fully to 

his treatise on immutability. Thus he prepared for Chi-tsang (549-623) 

who elaborated on the doctrine and made it a major school in China until 

it declined in the ninth century. 

In spite of this purely Indian character, however, Seng-chao was still 

a bridge between Taoism and Buddhism. His fondness for Lao Tzu and 

Chuang Tzu had a lasting influence on him. The Taoist ideas of vacuity 

and the sage having no deliberate mind of his own have a prominent 

place in his philosophy. In this way he not only incorporated Taoism into 

his system but also harmonized the Middle Doctrine philosophy with 

that of the prajña (wisdom) movement which aims at achieving the 

wisdom of realizing that things in their own self-nature are unreal. 

The following two chapters are from the Chao lun (Seng-chao's 

Treatises). 5 

SENG-CHAO'S TREATISES 

1. The Immutability of Things (ch. 1) 

That birth and death alternate, that winter and summer repeatedly 

succeed each other, and that all things move on like a current is an 

ordinary belief of men. But I think that it is not the case. 

3 See Appendix, comment on Fa, for note on the term dharma. 

4 For this school, see ch. 22, Introduction. 

5 This book consists of four chapters. For an English translation, see Bibliography. 

There is a very important study of it in Japanese, the Joron kenkyu 

(Studies on Seng-chao's Treatises), compiled by Tsukamoto Zenryu, 1955. 

344

SENG-CHAO 

The Fang-kuang ching (Scripture of the Shedding of the Light of the 

Buddha) says, "There is no dharma that goes or comes, or moves to 

change its position." 6 As we investigate the meaning of not moving, does 

it mean to cast aside motion (activity) in order to seek rest (tranquillity)? 

No, rest must be sought right in motion. As rest must be sought right 

in motion, therefore there is eternal rest in spite of motion, and as 

motion is not to be cast aside in order to seek rest, therefore although 

there is rest, it is never separated from motion. This being the case, 

motion and rest are from the beginning not different, but deluded people 

consider them to be dissimilar. Consequently, the true words [of Buddhism] 

are obstructed by their competitive arguments and the orthodox 

path is deflected by their fondness of heterodoxy. Thus it is not easy to 

speak about the ultimate [relation] between rest and motion. 7 Why? Because 

when one speaks the truth, he goes against the common folks, but 

if he follows them, he will violate the truth. When one violates the truth, 

he will be deluded about the [original] nature [of things] and will be 

forever lost, and when he goes against the common folks, his words will 

be insipid and tasteless. 8 Consequently, when the average type of men 

[hear the truth] they half believe in it and half doubt it, and the lowest 

type of men clap their hands (in glee) and ignore it completely. 9 Indeed, 

the [original] nature of things is something near at hand but difficult to 

know. But I cannot help setting my mind on the relation between motion 

and rest. I dare not say that my ideas are necessarily true, but I shall try 

to discuss them. 

The Tao-hsing ching (Scripture on Learning and Practicing the Way) 

says, "In reality dharmas do not come from anywhere or go anywhere." 10 

The Chung lun (Treatise on the Middle Doctrine) says, "From one's own 

point of view one knows that a thing has gone away, but what is 

[thought to have] gone does not arrive anywhere." 11 Both of these show 

that rest must be sought right in motion. From this we know that it is 

clear that things are immutable. 

Comment. In both Taoist and early Buddhist thought, the unreality 

of things is often argued from the fact that things are in constant 

6 

Fang-kuang ching (Scripture of the Shedding of the Light of the Buddha, 

Pañcavimsatisahasrikaprajñaparamita sutra, or Scripture of Perfection of Wisdom 

in 25,000 Stanzas), ch. 5, TSD, 8:32. The quotation is not literal. 

7 

It is significant that the two peculiar terms for tranquillity and activity or rest 

and motion are those used in Lao Tzu, ch. 26. 

8 9 

Quoting Lao Tzu, ch. 35. 

Paraphrasing Lao Tzu, ch. 41. 

10 

Tao-hsing ching (Scripture on Learning and Practicing the Way, Dasasahasrikaprajñaparamita 

sutra or Scripture of Perfection of Wisdom in 10,000 

Stanzas), ch. 10, TSD, 8:475. 

11 

Paraphrasing Chung lun (Treatise on the Middle Doctrine, Madhyamaka 

sastra) by Nagarjuna, ch. 1, sec. 2, TSD, 30:3. 

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SENG-CHAO 

flux. Seng-chao, on the other hand, attempts to show that this flux 

itself is unreal. This is a new approach. 

What other people mean by motion is that because things of the past 

[have gone away] and do not reach the present, therefore they are said to 

have moved and are not at rest (continue to exist). What I mean by rest 

is that, similarly, because things of the past do not reach the present, 

therefore they may be said to be at rest and have not moved. [Other 

people believe] things move but are not at rest because [past things] 

have not come down (continue to exist) to the present. [I believe] things 

are at rest and do not move because [past things] have not gone anywhere. 

Thus the situation [that past things have neither come to the 

present nor have gone anywhere] remains the same but our viewpoints 

are different. People who go against [the truth] will call [that situation] 

a barrier but those who follow [the truth] will call it a passage. If one has 

found the right way, what is there to obstruct him? 

It is sad that people have been deluded in their views for such a long 

time. Truth is right before their eyes but they do not realize it. They already 

know that past things cannot come [to the present] but still maintain 

that present things can go (pass on). As past things cannot come 

[to the present], where do present things go? Why? If we look for past 

things in the past, we find that they are never nonexistent in the past, but 

if we search for past things in the present, we find that they are never 

existent there. That they are never existent in the present shows that they 

never come, and that they are never nonexistent in the past shows that 

they do not go away from it. If we turn our attention to investigate the 

present, we know that the present, too, does not go anywhere. This means 

that past things by their very nature exist in the past and have not gone 

there from the present, and present things by their nature exist in the 

present and have not come here from the past. This is why Confucius said, 

"Hui, 12 [every day] I see something new. [Although you and I have been 

associated with each other for a long time], in a single moment you are 

no longer the same as before." 13 Thus it is clear that [past] things do not 

come and [present] things do not go. As there is not even a subtle sign 

of going or returning, what thing can there be that can move? This being 

the case, the raging storm that uproots mountains is always tranquil (at 

rest), rivers rushing to the sea do not flow, the fleeting forces moving 

in all directions and pushing about do not move, and the sun and moon 

12 Yen Hui, Confucius' favorite pupil. 

13 Alluding to the story told in Chuang Tzu, ch. 21, NHCC, 7:32a. See Giles, 

trans., Chuang Tzu, 1961 ed., pp. 200-201. The philosophical idea of impermanence 

is ascribed to this story by Kuo Hsiang (d. 312) in his commentary on the 

Chuang Tzu. Seng-chao is here following Kuo Hsiang. 

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SENG-CHAO 

revolving in their orbits do not turn round. What is there to wonder about 

any more? 

Alas, the Sage has said, "Man's life passes away quickly, more quickly 

than the stream current." 14 Therefore by realizing the impermanence of 

things the Buddha's ordinary disciples (sravaka, those who attain to their 

own salvation by hearing the Buddha's teaching) attain enlightenment, 

and the Buddhas-for-themselves (pratyekabuddha, who attain enlightenment 

by their own exertions), 15 by realizing that causes [which make an 

entity a dependent being] can be removed, become identified with the 

real. If all motions (activities) of things are not changes, why should 

they seek after [the principle] of change in order to ascend the steps to 

enlightenment? [However], if we again investigate the saying of the Sage, 

we shall find its meaning to be subtle, hidden, and unfathomable. Things 

seem to move but are really at rest, and they seem to go away but really 

remain. Such things can only be understood by the spirit and cannot be 

discovered in ordinary facts. Therefore when the Sage said that things 

go, he did not mean that they really go; he merely wanted to prevent 

ordinary thoughts, and when he said that things remain in the same 

state, 16 he did not mean that they really remain; he merely wanted to 

discard what ordinary people call the passing (impermanence) of things. 

He did not mean to say that by going is meant something being sent away 

and by remaining something being retained. Therefore the Ch'eng-chü 

ching (Scripture on Producing and Completing the Light) says, "The 

bodhisattva, 17 living in the midst of people who believe in permanence, 

propagates the doctrine of impermanence." 18 And the Mo-ho-yen lun 

(Treatise of Great Wisdom) says, "Dharmas do not move. They neither 

go anywhere nor come to anywhere." 19 All these are intended to lead 

the common folks to reach enlightenment. The two different sayings aim 

14 Yüan K'ang (fl. 627-649), in his Chao lun shu (Commentary on Seng-chao's 

Treatises), TSD, 45:168, thought this is a quotation from the Nirvana sutra. The 

Chao lun Chung-wu chih-chieh (Commentaries on Seng-chao's Treatises Collected 

by Pi-ssu of Chung-wu [in present Kiangsu]), edited by his pupil Ching-yüan 

(1011-1088), refers to the same scripture. But as Liebenthal has pointed out, this 

scripture was probably not known to Seng-chao. (Book of Chao, p. 49.) He thinks 

that the reference is to Analects, 9:16. Japanese scholars think the same. See 

Tsukamoto Zenryu, Joron kenkyu, p. 10. 

15 See below, ch. 25, n.14. 

16 This word, sthiti in Sanskrit and chu in Chinese, has been variously rendered 

as abiding, dwelling, stagnation, permanence. It is one of the four characteristics 

of all things: coming into existence, remaining in the same state, change, and going 

out of existence. 

17 A bodhisattva is a saint who is strongly determined to seek salvation for himself 

and others. 

18 Ch'eng-chü kuang-ming ching (Scripture on Producing and Completing the 

Light), TSD, 15:451. 

19 Mahaprajñaparamita sastra, ch. 51, TSD, 25:427. 

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SENG-CHAO 

at the same thing. Shall we say that because they differ in language they 

are contradictory in objectives? Although permanence is mentioned, it 

does not mean remaining in the same state, and although going is mentioned, 

it does not mean instability. Since dharmas are not mutable, they 

are always at rest even though they have gone, and because they do not 

remain, they are always gone even though they are at rest. As they are 

always gone although at rest, they do not mutate while being gone, and 

as they are always at rest while they are gone, they do not remain while 

at rest. When Chuang Tzu said that [it is impossible to] hide a mountain 

[in a lake for at midnight a strong man may come and carry it away on 

his back] 20 and when Confucius stood by the stream [and said, "It 

passes on like this, never ceasing day or night"], 21 both expressed the 

feeling that what is gone cannot be retained. Did they say that [things] 

can cast aside the present and pass on? Thus we see that the minds of 

the sages are different from the views of the common people. Why? They 

say that a man possesses the same body in youth and in old age and that 

the same substance persists over a hundred years. They only know that 

the years pass on but do not realize that the body follows. A young 

ascetic seeking Nirvana left his family and when his hair had turned 

white, returned home. When his neighbors saw him and asked, "Is the 

man of the past still living?" he replied, "I look like the man of the past 

but I am not he." The neighbors were all startled and rejected his words. 22 

[When Chuang Tzu] said that a strong man comes and carries it away 

on his back but an ignorant man does not know this, 23 this is the 

meaning. 

The Tathagata (Buddha), 24 in accordance with the obstruction in the 

common people's views, speaks appropriate words to dispel their delusions. 

He exercises his true mind which transcends any duality and 

preaches various doctrines which need not be the same [but which vary 

according to circumstances]. 25 The words of the Sage are indeed conflicting 

but are never different [from the Middle Path]. Therefore when he 

talks about truth, he speaks in terms of [things being] immutable, but 

when he wants to lead the ordinary folk, he talks in terms of [things] 

moving on like a current. Although there are a thousand paths and a 

variety of tunes, they all converge at the same point. 

But people who rely on the letter, when they hear of immutability, 

20 Chuang Tzu, ch. 6, NHCC, 3:8b. See Giles, p. 75. 


22 The source of this story is unknown, even to Yüan-k'ang. See his commentary 

in TSD, 45:169. 

23 Chuang Tzu, ch. 6, NHCC, 3:8b, Giles, p. 75. 

24 See ch. 20, n.41, 

25 This interruption follows that in the Chao lun Chung-wu chi-chieh. 

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SENG-CHAO 

believe that things of the past cannot reach the present, and when they 

hear of things moving on like a current, believe that things of the present 

can reach the past. Since they have already made the distinction of past 

and present, how can things pass on between them? To say that [things] 

have gone does not necessarily mean that they have gone away. Both the 

past and the present exist permanently because they do not move. To say 

that [things] go does not necessarily mean that they really go, for the 

past cannot be reached from the present, since [the past] does not come 

[to the present]. As [things] do not come, there cannot be any shifting 

between past and present, and since they do not move, every thing, in 

accordance with its nature, remains for one period of time. This being 

the case, although the various books differ in language and the many 

schools differ in theory, if we find out where they converge, how can 

different expressions delude us? 

What people call remaining, I call passing on, whereas what people 

call passing on, I call remaining. Although passing on and remaining are 

different, ultimately they are the same. This is why it is said in the 

scripture, "Straight words seem to be their opposite. Who will believe 

them?" 26 There is reason for this saying. 

What shall we say? People seek the past in the present. [Since it is not 

found in the present], they say that it does not remain. I seek the 

present in the past. [Since it is not in the past], I know that it does not 

go anywhere. If the present passes on to the past, then there should be 

the present in the past. If the past reaches to the present, then there 

should be the past in the present. Since there is no past in the present, 

we know that it does not come, and since there is no present in the past, 

we know that it does not go. As neither does the past reach to the present 

nor does the present reach to the past, every thing, according to its 

nature, remains for only one period of time. What thing is there to come 

and go? 

Comment. This is the central issue of the problem, for motion and 

rest imply time. Throughout the essay, Seng-chao follows closely 

the logic of Nagarjuna. According to him, time is unreal. For example, 

the present cannot be either in the past or not in the past. 

If it is in the past, it is obviously not present, and if it is not in the 

past, there would be nothing to cause its present existence. Since 

it is neither in the past nor not in the past, it is unreal. The same is 

true of the past and the future. This is argued in chapter nineteen 

26 P'u-yao ching (Lalitavistara sutra or Scripture of a Detailed Narration of the 

Sport [of the Buddha]), ch. 7, TSD, 3:527. The first sentence also appears in Lao 

Tzu, ch. 78. 

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SENG-CHAO 

of his treatise. By arguing that time is impossible, Seng-chao concludes 

that motion is illusory, since motion depends on time. 

This being the case, although the four seasons are as fleeting as the 

wind and although the polar star revolves with lightning speed, if we 

understand the least bit [that things do not move], we will realize that, 

quick as they are, they do not move. 

For the above reason, the merit 27 of the Tathagata continues for 

countless generations and exists permanently, and his truth remains 

firmer after having gone through a hundred aeons. The completion of a 

mountain lies in the first basket, 28 and arriving at the destination of a long 

journey depends on the first step. 29 The reason, surely, is that merit is 

immortal. 

Since merit is immortal, it does not change though it is in the past. 

Since it does not change, it is immutable. And since it is immutable, it 

is clear that [merit remains] tranquil. Therefore the scripture says, 

"Although the three calamities [of fire, water, and wind] extend everywhere, 

the merit remains tranquil." 30 How true are these words! 

Why? The effect does not exist together with causes, 31 because the 

effect is produced by the causes. Since the result is produced by the 

causes, the causes could not have been extinguished in the past. Since 

the result and the causes do not exist simultaneously, the causes do not 

come to the present. As they neither perish nor come to the present, the 

conclusion that they are immutable is clear. Why should we be deluded 

about [things] going or remaining any more, or be undecided as to 

whether [things] move or are at rest? Thus even if heaven and earth 

turn upside down, it does not mean that they are not at rest, and even 

if floods overflow heaven, it does not mean that they are in motion. If 

one's spirit is harmonized with things as they are found, one can realize 

[the principle of the immutability of things] right where he is. (TSD, 

45:151) 

2. The Emptiness of the Unreal (ch. 2) 

The Supreme Vacuity which neither comes into [nor goes out of] 

existence is probably the subtle principle in the reflection of the mysterious 

mirror of prajña (wisdom) and the source of all existence. Unless 

one possesses the intelligence and special penetrating power of a 

sage, how can he harmonize his spirit with the realm of neither existence 

nor nonexistence? Therefore the perfect man penetrates the infinite with 

27 A good deed brings merit which influences the future favorably. This is the 

doctrine of karma. 

28 29 Alluding to Analects, 9:18. 

Alluding to Lao Tzu, ch. 64. 

30 

Source unidentified. 

31 

In Buddhist philosophy, a result is due to more than one cause. 

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SENG-CHAO 

his wonderful mind and the finite cannot obstruct him. He applies to 

the utmost his ears to listen and his eyes to see, and sound and color 

cannot restrict him. Is this not because he leaves the vacuous self-nature 

of things as it is and therefore they cannot affect his spiritual intelligence? 

Therefore the sage exercises his true mind and is in accord with principle 

(li), and there is no obstruction which he cannot pass through. He 

views the transformation of all things with the clear understanding that 

[they are all of] one material force 32 and therefore he is in accord with 

whatever he may encounter. Since there is no obstruction which he cannot 

pass through, therefore he can mix with the impure and achieve 

purity, and since he is in accord with whatever he encounters, he sees 

the unity of things as he comes in contact with them. Since this is the 

case, although the ten thousand forms (phenomenal things) seem to 

be different, they are not so in themselves. As they are not different in 

themselves, it follows that these [apparent] forms are not the real forms. 

As these forms are not the real forms, although they [appear to be] forms, 

they are not [real] forms at all. 

Comment. This description of the mind of the sage is strikingly 

similar to those by Chuang Tzu and Kuo Hsiang. 33 The desired 

state is practically identical with Chuang Tzu's becoming one with 

the universe and Kuo Hsiang's quiet harmony with all things. In 

all cases there is "no more deliberate mind of one's own" (wuhsin) 

and consequently there is no obstruction between the self and 

the other but complete harmony without distinction. 

Thus things and I sprang from the same root, and right and wrong 

come out of the same breath. [This principle] is deep, subtle, abstruse, 

and hidden, and it is well nigh impossible for ordinary people to understand 

completely. 

This is the reason why in the brief discussion of today everybody has 

his own opinion when it conies to the profound, fundamental doctrine 

[of prajña]. But if agreement is to be arrived at through adhering to differences 

of opinion, what common ground is there for agreement? Therefore 

different theories have come up in competition with one another, and 

by their very nature they cannot agree. 

There is the School of Non-being of Mind. 34 [It says that] "one should 

not have any deliberate mind toward the myriad things. The myriad 

things themselves, however, are not nonexistent." This theory is right 

32 The term "one material force" comes from Chuang Tzu, ch. 6, NHCC, 3:20a, 

Giles, p. 81. See also Yüan-k'ang's commentary, TSD, 45:171. 

33 See above, ch. 19, sec. 6, selections 8, 14, 29. 

34 For this and the following two schools, see above, ch. 20, secs. 1-4. 

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SENG-CHAO 

about the tranquillity of the spirit but is wrong in not realizing the 

emptiness of things. 

Then there is the School of Matter 35 As It Is. It explains that matter 

has no self-nature [but depends on external causes and conditions for 

its existence] and therefore, although it is [called] matter, it is not really 

matter [since it has only conditional existence and is therefore empty]. 

When we speak of matter, we should regard matter as it is [in its conditional 

existence] to be matter. Why must we wait till [a self-nature] 

has transformed it into matter [of absolute existence] before it can be 

called matter? 36 This theory merely says that matter has no self-nature 

but does not understand that matter [including its conditional existence] 

is really not matter at all. 

[Finally] there is the School of Original Non-being. This school is 

very fond of non-being. 37 Regardless of what is said, it tends to 

say that it is non-being. Therefore [when the scriptures say that things] 

are not existent, it immediately interprets existence as non-being, and 

[when the scriptures say that things] are not nonexistent, it immediately 

interprets nonexistence as being non-being also. If we look into the original 

meaning of the sayings, we shall find that they merely mean to say that 

nonexistence means having no real (absolute) existence, and that no 

nonexistence means having no real (absolute) nonexistence. Why must 

having nonexistence be interpreted to mean that [this particular thing] 

has no existence, and not nonexistence be interpreted to mean that that 

[particular thing] has no nonexistence? This theory is nothing but a 

talk partial to non-being. How can it be said to be in accord with things 

or express their true nature? 

As a thing is a thing because it becomes so in relation to other things, 

what is thus made may be called a thing. But since a thing caused by 

another thing is not really a thing, it is not really a thing although it is 

so called [inasmuch as it has no nature of its own]. 

Comment. Another borrowing from Chuang Tzu. The phraseology 

itself comes from him. 38 

Therefore the actuality of things cannot be equated with their names, 

and names in their true meanings cannot be matched by things. This 

being so, absolute truth remains tranquil outside of any elucidation 

35 Rupa in Sanskrit and se in Chinese, variously translated as form, color, phenomenon, 

etc. 

36 According to Yüan-k'ang, statements of the theory end here. See TSD, 45:171. 

37 This is Yüan-k'ang's punctuation (TSD, 45:171). In the text the word to 

(very much, frequently) belongs to the next sentence, making it read, "Frequently, 

regardless. . . ." Actually, the difference is not important. 

38 Chuang Tzu, chs. 11 and 12, NHCC, 4:40a, 7:55a, Giles, pp. 114, 218. 

352

SENG-CHAO 

through names. How can it be expressed by letters and words? But I 

cannot remain silent. Let me, then, employ words to offer some suggestions 

and try to discuss the matter as follows: 

The Mo-ho-yen lun says, "The dharmas have neither the character of 

existence nor the character of nonexistence." 39 The Chung lun says, 

"The dharmas have neither existence nor nonexistence." 40 [These statements 

express] the absolute truth. As we go into the matter, when we say 

that there is neither existence nor nonexistence, does it mean to wipe 

out all the myriad things, blot out our seeing and hearing, and be in a 

state without sound, form, or substance before we can call it absolute 

truth? Truly, [absolute truth is] in accord with things as they are and 

therefore is opposed by none. The false is regarded as false and the true 

is regarded as true, and therefore their nature cannot alter the absolute 

truth. As it cannot be altered by the nature of anything, although it 

seems to be nonexistent, it is really existent. And as it is not opposed by 

anything, although it seems to be existent, it is really nonexistent. As it 

is nonexistent although it seems to be existent, it is the same as being 

nonexistent, and as it is existent although it seems to be nonexistent, it 

is the same as not being nonexistent. Thus not being existent and not 

being nonexistent do not mean that there are no things, but that all 

things are not things in the real (absolute) sense. As all things are not 

things in the real sense, what is there in relation to which a thing can be 

so-called? Therefore the scripture says, "Matter is empty by virtue of 

its own nature; it is not empty because it has been destroyed." 41 This is 

to make clear that the sage, in his attitude toward the myriad things, 

leaves the vacuous nature of things as it is and does not need to disintegrate 

it before he can penetrate it. This is why it is said that the sickness 

of Vimalakirti is unreal, 42 and the Ch'ao-jih ching (Scripture [on Calmness] 

Outshining Sunshine) says that [the four elements of Earth, Water, 

Fire, and Wind] are all empty. 43 Thus although the language in the 

Buddhist Canon varies, what combines and unites it is one. 

The Fang-kuang ching says, "According to the absolute truth, no affair 

is accomplished and no thing is attained, but according to worldly 

(relative) truth, affairs are accomplished and things are attained." 44 

Now, accomplishment is a false name [indicating the relative aspect of] 

accomplishment, and non-accomplishment is the real name [indicating 

the absolute aspect of] accomplishment. Since it is the true name, al- 

39 40 

Ch. 6, TSD, 25:105. 

Ch. 2, sec. 5, TSD, 30:7. 

41 

Vimalakirtinirdesa sutra (Scripture Spoken by Vimalakirti), sec. 9, TSD, 

14:551. 

42 ibid., sec. 3, TSD, 14:545. 

43 Ch'ao-jih-ming san-mei ching, sec. 1, TSD, 15:532. 

44 

Ch. 5, TSD, 8:36. 

353

SENG-CHAO 

though it is true, accomplishment does not exist. And since it is a false 

name, although it is false, accomplishment is not nonexistent. Therefore 

what is said to be true (absolute) is not necessarily existent, and what is 

said to be false (relative) is not necessarily nonexistent. The two terms 

are not the same but the principles are not different. Therefore the scripture 

says, "Are absolute truth and worldly truth different? The answer is, 

'No'." 45 This scripture directly elucidates the absolute truth to make 

clear that [things] are not existent, and elucidates worldly truth to make 

clear that [things] are not nonexistent. Does it mean to say that because 

there are the two levels of absolute and worldly truth, there are two 

different kinds of things? 

Thus there are truly reasons why things are nonexistent and why they 

are not nonexistent. As there are reasons why they are not existent, 

therefore although they [appear to] exist, they are really not existent, and 

as there are reasons why they are not nonexistent, therefore although 

they [appear to] be nonexistent, they are really not nonexistent. Since 

things [appear to be] nonexistent but are really not nonexistent, the nonexistence 

is not absolutely vacuous, and since things [appear to be] 

existent but are really not existent, the existence is not true (absolute) 

existence. Since the existent as it is is not true and the nonexistent is not 

entirely obliterated without any trace, although they are called differently, 

their ultimate meaning is the same. 

Therefore the youth [in the Scripture Spoken by Vimalakirti] says 

with a sigh of admiration, "[The Buddha] has said that dharmas are 

neither existent nor nonexistent, because they are produced by causes." 46 

The Ying-lo ching (Necklace Scripture) says, "When [the bodhisattva] 

turns the Wheel of Law [to preach], there is neither turning nor no 

turning. This means to turn where there is nothing to be turned." 47 These 

are the subtle words of various scriptures. 

What shall we say? Shall we say that things are nonexistent? Then the 

heterodox view [that things are annihilated] would not be erroneous. 

Shall we say that things are existent? Then the view that things are 

eternal would be correct. Because things are not nonexistent, the heterodox 

view is therefore erroneous, and because things are not existent, 

therefore the eternalist's view is incorrect. Thus the true words of the 

absolute truth are that things are neither existent nor nonexistent. 

The Tao-hsing ching says, "The mind is neither existent nor nonexistent." 

48 The Chung lun says, "Things are nonexistent because they originate 

from causes, but because they arise through causation, they are not 

nonexistent." 49 If we pursue the truth, we shall find these to be true. 

The reason for this is this: If the existence of things is true (absolute) 

45 Mahaprajñaparamita sutra, ch. 22, TSD, 8:378. 46 Sec. 1, TSD, 14:537. 

47 The Bodhisattva-keyura sutra, ch. 13, TSD, 16:108. 

49 

Ch. 4, sec. 16, TSD, 30:33. 

354 

48 Ch. 1, TSD, 8:425.

SENG-CHAO 

existence, this existence should be eternal by its own nature and should 

not depend on causes to be existent. If the nonexistence of things were 

absolute nonexistence, it should be eternal nonexistence by its own nature 

and should not depend on causes to be nonexistent. If existence is not 

existence by its own nature but depends on causes to be existent, we 

know that although it [appears to] exist, it has no true existence. Since 

it has no true existence, it cannot be called existence in the real sense 

although it exists. 

As to [what the scriptures describe as] not nonexistent, what is nonexistent 

is tranquil and does not move, and may be called nonexistent. 

If the myriad things were nonexistent, they should not originate (rise). 

If they arise, they are not nonexistent. It is clear that "because things 

arise through causation, therefore they are not nonexistent." 

The Mo-ho-yen lun says, "Since all dharmas arise through causation, 

therefore they should have [only relative] existence. [Likewise] since 

all dharmas arise through causation, therefore they should not have 

[absolute] existence. Since all nonexistent dharmas arise through causation, 

they should have [only relative] existence. And since all existent 

dharmas arise through causation, they should have no [absolute] existence." 

50 As we think about it, are these words about existence and 

nonexistence merely intended for disagreement? 

If by saying that a thing "should have existence" is meant that it 

actually has existence, then it should not be said that it is nonexistent. 

If by saying that a thing "should have nonexistence" is meant that it 

is actually nonexistent, then it should not be said that it is actually 

existent. The reason why it is said to be existent [or nonexistent] is to 

make clear, by employing the concept of existence, that it is not nonexistent, 

and by employing the concept of nonexistence, that it is not 

existent. Here the fact 51 is one but the statements are two. The expressions 

seem to be different, but if we appreciate their identical points, there 

are no differences which are not the same. 

Thus there are reasons why all dharmas are nonexistent and therefore 

cannot be considered to be existent, and there are reasons why they 

are not nonexistent and therefore cannot be considered to be nonexistent. 

Why? Suppose we say that they are existent. Such existence is not true 

(or absolute). Or suppose we say that they are nonexistent. But phenomena 

have already taken shape. Inasfar as things have already taken 

shape, they cannot be said to be nonexistent, and since they have no 

true existence, they cannot be said to be really existent. From this, the 

principle of the emptiness of the unreal should become clear. 

Therefore the Fang-kuang ching says, "All dharmas are temporary 

50 Ch. 80, TSD, 8:425. 

51 The Yüan-k'ang text has "principle" instead of "fact." 

355

SENG-CHAO 

names and not real. They resemble a man produced by magic." 52 This 

man is not nonexistent, but it is a man produced by magic and not a 

real man. 

If we look for a thing through a name, we shall find that there is no 

actuality in that thing which would correspond to the name, and if we 

look for the name through a thing, we shall find that the name is not 

capable of helping us to discover a thing. A thing that has no actuality 

corresponding to a name is not a thing, and a name that is not capable of 

discovering a thing is not a name. Consequently, a name does not correspond 

to an actuality and an actuality does not correspond to a name. 

As name and actuality do not correspond to each other, where do the 

myriad things exist? 

The Chung lun says, "Things are neither this nor that." 53 But one man 

will consider "this" to be "this" and "that" to be "that," while another 

man considers "this" to be "that" and "that" to be "this." Thus "this" 

and "that" do not definitely refer to a particular name, but deluded 

people would believe that they necessarily do. This being the case, [the 

distinction] between "this" and "that" is from the beginning nonexistent, 

but to the deluded it is from the beginning not nonexistent. If we realize 

that "this" and "that" do not exist, is there anything that can be regarded 

as existent? Thus we know that things are not real; they are from the 

beginning only temporary names. This is why the Ch'eng-chü ching 

utters the expression that names are given perforce, 54 and the Chuang 

Tzu resorted to the similes of marks and horses [which are but names]. 55 

Thus profound doctrines [about the relationship between existence and 

nonexistence] can be found anywhere. 

The sage moves within the thousand transformations but does not 

change, and travels on ten thousand paths of delusion but always goes 

through. This is so because he leaves the vacuous self-nature of things 

as it is and does not employ the concept of vacuity to make things 

vacuous. Therefore the scripture says, "Marvellous, the World-Honored 

One (Buddha). You establish all dharmas in their places without disturbing 

Reality." 56 He does not depart from reality in order to establish 

them in their places; reality is right where they are established. This being 

so, is the Way far away? Reality is wherever there is contact with things. 

Is the sage far away? Realize him in one's life and there will be spiritual 

intelligence. (TSD, 45:152-153) 

52 Ch. 18, TSD, 8:128. 

53 According to Yüan-k'ang, TSD, 45:174, this refers to the general idea of the 

treatise but may also be considered to refer specifically to ch. 3, sec. 12, TSD, 30:17. 

54 TSD, 15:454. See also Lao Tzu, ch. 25. 

55 Chuang Tzu, ch. 2, NHCC, l:29a, Giles, p. 38. 

56 Fang-kuang ching, ch. 20, TSD, 8:140. 

356

••• 22 ••• 

THE PHILOSOPHY OF EMPTINESS: CHI-TSANG 

OF THE THREE-TREATISE SCHOOL 

THE Three-Treatise School and the Consciousness-Only School represented 

the two major developments of Mahayana or Great Vehicle philosophy 

in India. The former insists that dharmas (elements of existence) 1 

and their causes are unreal and has therefore been known as the School 

of Non-being, while the latter insists that they are real and has therefore 

been known as the School of Being. Both were introduced into China by 

outstanding philosophers. Both had something profound and subtle to 

offer which China had never known. Both lasted for several centuries. 

But both failed to exert lasting influence on Chinese thought. It is important 

to understand why this has been the case. 

The Three-Treatise School, called Madhyamika (Middle Doctrine) 

in Sanskrit, was founded in India by Nagarjuna (c.100-200 A.D.). 

Kumarajiva (344-413) introduced it into China by translating Nagarjuna's 

two most important treatises, the Madhyamika sastra (Treatise on 

the Middle Doctrine) 2 and the Dvadasanikaya sastra (Twelve Gates 

Treatise) and his disciple Aryadeva's Sata sastra (One Hundred Verses 

Treatise). 3 Hence the school is called the Three-Treatise School. 4 

The central concept of the school is Emptiness (Sunyata) in the sense 

that the nature and characters of all dharmas, together with their causation, 

are devoid of reality. Thus all differentiations, whether being or 

non-being, cause or effect, or coming-into-existence or going-out-ofexistence 

are only "temporary names" and are empty in nature. The 

only reality is Emptiness itself, which is the Absolute, Ultimate Void, the 

Original Substance, or in Chinese terminology, the correct principle 

(cheng-li). As such it is equivalent to Nirvana and the Dharma-body. 5 

The doctrine was transmitted in China through Kumarajiva's pupil 

Seng-chao (384-414) and played a dominant role there from the fourth 

to the seventh century. It had a tremendous attraction for the Chinese 

because its philosophy of Emptiness suited the temper of Chinese intellectuals 

of Wei-Chin times (220-420), who were then propagating the 

Taoist doctrine of non-being. Its highly developed and systematic method 

1 For note on this translation of "dharma," see Appendix, comment on Fa. 

2 See Bibliography for a German translation by Walleser and a partial English 

translation by Stcherbatsky. 

3 For an English translation by Tucci, see Bibliography. 

4 San-lun in Chinese and sanron in Japanese. 

5 For this concept, see below, ch. 26, n.44. 

357

THE THREE-TREATISE SCHOOL 

of reasoning was a stimulating novelty to the Chinese. Its spirit of criticism 

and refutation gave the rebellious Chinese philosophers, including 

the Neo-Taoists, a sense of emancipation. Its nominalism reinforced the 

Chinese opposition to the Confucian doctrine of ranks and names, 

especially in the sixth century. In addition to all this, it had the great 

fortune of having as its systematizer the outstanding figure, Chi-tsang 

(549-623). 

This thinker, who had a Parthian father and a Chinese mother, joined 

the Buddhist order when he was seven, and eventually became one of the 

greatest systematizers of Chinese Buddhist thought and one of the most 

outstanding Chinese commentators on Buddhist texts. In him the Three- 

Treatise School reached its highest development. He wrote in excellent 

prose. His literary activity, including commentaries on the three treatises, 

is unparalleled in his age or before, and it is remarkable that all this was 

achieved during a period of continuous warfare. 6 

Ironically, Chi-tsang's success was at the same time the failure of his 

school, for it became less and less Chinese. As mentioned before, 7 Sengchao 

was still a bridge between Taoism and Buddhism. He combined the 

typical Chinese concept of identity of substance and function, for example, 

with the Buddhist concepts of temporary names and Emptiness. 

In Chi-tsang, substance and function are sharply contrasted instead. In 

that, he was completely Indian in viewpoint, although he quoted Taoists. 

As a systematizer and transmitter of Indian philosophy, he brought 

about no cross-fertilization between Buddhist and Chinese thought. And 

it happened that the Indian thought which he promoted was so utterly 

unacceptable to the Chinese that the school declined in the ninth century. 

It was introduced into Japan in 625 where it has never existed as an 

independent school, although its doctrine has remained an important 

object of learning even to this day. 

The reason for its decline is not so much its metaphysics as its approach 

to it. Its goal of Emptiness is not essentially different from that 

of other Mahayana schools. Its distinction rather lies in its three basic 

doctrines, namely, the Two Levels of Truth, refutation of erroneous 

views, and Eightfold Negation. According to the theory of Two Levels of 

Truth, it is worldly truth (laukikasatya) or common or relative truth that 

things exist provisionally as dependent beings or temporary names, but 

it is absolute truth (paramarthasatya) that all dharmas are empty. 8 The 

doctrine is by no means unique to this school. What distinguishes it is that 

6 For his biography, see Hsü kao-seng chuan (Supplement to the Biographies of 

Eminent Monks), ch. 11, TSD, 50:513-515. He was born in Nanking. Throughout 

his career he was highly honored by both Sui and T'ang emperors. 


8 Or universal relativity, as Stcherbatsky interprets it. 

358

CHI-TSANG 

while the Consciousness-Only School, for instance, affirms dependent 

existence as real, this school insists that it is unreal. Actually this school 

denies both existence and nonexistence, for both are results of causation 

and as such are regarded as empty. The theory of being is looked upon 

as one extreme and that of non-being is looked upon as another. This 

opposition must be synthesized but the synthesis itself is a new extreme 

which has its own antithesis. At the end only the highest synthesis, the 

True Middle, or Emptiness, is true. Hence the school was originally 

known as Madhyamika or the Middle Doctrine School. 

This is the inevitable outcome of the logical methods developed by the 

school, namely, those of refutation and negation. To this school, refutation 

of erroneous views is essential for and indeed identical with the elucidation 

of right views. But when a right view is held in place of a wrong one, 

the right view itself becomes one-sided and has to be refuted. It is only 

through this dialectic process that Emptiness can be arrived at, which 

alone is free from names and character and is "inexplicable in speech and 

unrealizable in thought." The specific method in this dialectic process is 

Nagarjuna's Middle Path of Eightfold Negations, which denies that 

dharmas come into existence or go out of existence, that they are permanent 

or come to an end, that they are the same or different, and that they 

come or go away. The basis of all arguments is the so-called Four Points 

of Argumentation. By the use of this method of argument, a dharma as 

being, as non-being, as both being and non-being, and as neither being 

nor non-being are all refuted and proved to be untrue. Chi-tsang illustrates 

this method fully in his refutation of causation. 

It is obvious that this approach is as nihilistic as it is destructive. The 

school had little new substance to offer and nothing constructive. It is 

true that Emptiness as the Absolute is as pure and perfect as anything 

conceivable, but being devoid of specific characters and divorced from 

mundane reality, it becomes too abstract for the Chinese. It might be 

hoped that its novel and radical method of reasoning at least aroused the 

Chinese mind and led to a new approach to life and reality, but it did not. 

That opportunity was left to the Zen (Meditation, Ch'an) School. 

The writings of Chi-tsang are extremely schematic in presentation and 

highly summary in content, without thorough discussion or sustained 

argumentation. They do, however, represent the essence of the doctrines 

of this school. The following are from two of his most important works, 

a selection from his Erh-ti chang (Treatise on the Two Levels of Truth), 

a short essay in three parts, and several selections from his San-lun 

hsüan-i (Profound Meaning of the Three Treatises), a longer work in 

two parts. 

359


TREATISE ON THE TWO LEVELS OF TRUTH 

1. The Two Levels of Truth 

The three kinds of Two Levels of Truth all represent the principle of 

gradual rejection, like building a framework from the ground. Why? 

Ordinary people say that dharmas, as a matter of true record, possess 

being, without realizing that they possess nothing. Therefore the Buddhas 

propound to them the doctrine that dharmas are ultimately empty and 

void. 

When it is said that dharmas possess being, it is ordinary people who 

say so. This is worldly truth, the truth of ordinary people. Saints and 

sages, however, truly know that dharmas are empty in nature. This is 

absolute truth, the truth of sages. This principle [of worldly versus absolute 

truth is taught] in order to enable people to advance from the worldly 

to the absolute, and to renounce [the truth of] ordinary people and to 

accept that of the sages. This is the reason for clarifying the first level of 

twofold truth. 

Next comes the second stage, which explains that both being and nonbeing 

belong to worldly truth, whereas non-duality (neither being nor 

non-being) belongs to absolute truth. It shows that being and non-being 

are two extremes, being the one and non-being the other. From 

these to permanence and impermanence, and the cycle of life-anddeath 

and Nirvana these are both two extremes. Because the absolute 

[truth of non-being] and the worldly [truth of being] and the cycle of 

life-and-death and Nirvana are both two extremes, they therefore constitute 

worldly truth, and because neither-the-absolute-nor-the-worldly, 

and neither-the-cycle-of-life-and-death-nor-Nirvana are the Middle Path 

without duality, they constitute the highest truth. 

Next comes the third stage in which both duality and non-duality are 

worldly truth, whereas neither-duality-nor-non-duality is the highest 

truth. Previously it has been explained that the worldly and the absolute 

and the cycle of life-and-death and Nirvana are two extremes and onesided 

and therefore constitute worldly truth, whereas neither-the-worldlynor-the-absolute 

and neither-the-cycle-of-life-and-death-nor-Nirvana are 

the Middle Path without duality and therefore constitute the highest 

truth. But these two are also two extremes. Why? Duality is one-sided 

while non-duality is central. But one-sidedness is an extreme and centrality 

is also an extreme. One-sidedness and centrality, after all, are two extremes. 

Being two extremes, they are therefore called worldly truth. Only 

neither-one-sidedness-nor-centrality can be regarded as the Middle Path 

or the highest truth. (Erh-ti chang, pt. 1, TSD, 45:90-91) 

360

CHI-TSANG 

Comment. The similarity of this dialectic is strikingly similar to 

that of Hegel and Chuang Tzu. 9 With Chuang Tzu, both the right or 

the wrong, or the "this" or the "that" are infinite series and are to be 

synthesized in the all-inclusive Tao. It has been said that while the 

dialectic of Hegel includes all in the Absolute, that of Nagarjuna 

excludes everything from Emptiness. This is not correct, for worldly 

truth is not denied but accepted as such. However, like Hegel, 

every new synthesis is regarded as higher, and worldly truth is 

therefore considered inferior. In this respect, Taoism is different 

from both of them, for Taoism grants equality to all things, whether 

worldly or not. 

PROFOUND MEANING OF THE THREE TREATISES 

2. Causes and Effects 

Question: What does it mean to say that there are erroneous causes 

and erroneous effects? 

Answer: Some heterodoxical schools say that the Great Lord of 

Heaven 10 can produce the myriad things, and that when they perish, they 

return to the original Heaven. Therefore they say that if the Great 

Lord is angry, all the four kinds of living beings 11 will suffer, and if the 

Great Lord is pleased, there will be happiness in all the Six Stages of 

Existence. 12 But Heaven is not the cause of things and things are not the 

effects of Heaven. They are imagined by an erroneous mind and are 

therefore called erroneous causes and erroneous effects. 

The objection is this: Good deeds invite happy reward, and evil 

influence brings fruits of suffering. For [this world] is the home of interactions 

[of cause and effect] and the realm of retribution. These schools 

do not understand this principle and therefore produce such falsehood. 

Furthermore, the species of man produces man, and the species of things 

produces things. Since the species of man produces man, man, after all, 

resembles man, and since the species of things produces things, things, 

after all, resemble things. This is the way of one member of the species 

producing another. But to say that a single cause, Heaven, can produce 

ten thousand species as retribution—is that not a falsehood? 

Question: What does it mean to say that there are no causes but effects? 

Answer: There are other heterodoxical schools that have exhaustively 

9 See ch. 8, comment on p. 183. 

10 Mahesvara, the Great Lord of the Universe, who can make all things free 

and at ease. 

11 Those produced from the womb, from eggs, from moisture, and through 

metamorphosis. 

12 Those of hells, hungry ghosts, beasts, demons, human beings, and deities. 

361


traced the origin of the myriad things and have found that they are 

derived from nothing. Therefore they say that there are no causes, but 

that if we presently look at the various dharmas we should know that 

there are effects. Take, for example, Chuang Tzu's story about the 

Shade asking the Shadow. 13 The shadow exists because of the body, and 

the body exists because of the Creator. But the Creator originated from 

nowhere. If the root exists of itself, it means that the branches are not 

caused by anything else. Therefore there are no causes but there are 

effects. 

Question: What is the difference between the absence of cause and 

spontaneity (tzu-jan)? 

Answer: Absence of cause is based on the fact that no cause exists, 

whereas spontaneity shows that the effect exists. While in the strictest 

sense they are different, they still represent the same erroneous conception. 

Our objection to it is this: Cause and effect produce each other very 

much like long and short contrast each other. 14 If there is already an 

effect, how can there be no cause? If there is no cause, how can there be 

the effect alone? If there had to be no cause but had to be effect, then 

good deeds would invite hell and evil deeds would result in going to 

Paradise. 

Question: Someone says that spontaneity may have a cause or it may 

not. The myriad things differ, but they all spontaneously exist. Therefore 

there is no such error as you have just stated. 

Answer: The falsehood arises because the matter has not been examined 

carefully. If one examines carefully, one will find that according 

to reason the conclusion will be otherwise. For spontaneity means not 

[having been caused] by another thing. If a thing has been caused by 

another, it cannot be said to be spontaneous. Therefore given spontaneity, 

there will be no cause, and given a cause, there will be no spontaneity. 

To have asserted a cause and then spontaneity also is to be self-contradictory. 

Question: What does it mean to say that there are causes but no 

effects? 

Answer: According to those who hold the view that things will come 

to an end, 15 there is only the present but no future. Plants, for example, 

last for one season only. 

Our objection to the theory is this: The spiritual principle (Buddhism) 

13 Chuang Tzu, ch. 2, NHCC, l:46b. See Giles, trans., Chuang Tzu, 1961 ed., 

p. 47. 

14 Quoting Lao Tzu, ch. 2. 

15 This view, and the view that things are eternal, are considered two heterodoxical 

extremes. 

362

CHI-TSANG 

is abstruse and profound, but deluded people are very much deceived. 

Moral principles have been gone through by Confucius but are still not 

clear. 16 Principle has been gone through by Duke Chou 17 but it is still 

in the dark. Buddhism alone can show its utmost. The scripture says: 

Suppose a bird is inside a vase, 

Whose opening is covered with silk. 

When the silk is torn and the bird flies away, 

The body is destroyed but the spirit has gone away. 18 

Hui-yüan (334-416) of K'uang-shan 19 said, "The transmission of fire in 

the firewood is similar to the transmission of the spirit in the body. Fire 

is transmitted to another piece of firewood in the same way as the spirit 

is transmitted to another body. The earlier firewood is not the same as 

the later one. From this we know that the art is wonderful for fingers to 

supply no more [firewood while the fire is transmitted elsewhere]. 20 The 

former body is not the later body. From this we realize that the feeling 

about man's destiny 21 is deep. When we see that the body of one life 

perishes, we must not say that consciousness and spirit die with it, and 

when we see the fire ending with one piece of wood, we must not say that 

the time is up and all is finished." 22 A latter-day scholar 23 quoted the 

words of the Yellow Emperor, 24 saying, "Although the body has decomposed, 

the spirit does not disintegrate. It goes along with the transformations 

[of the universe] and changes infinitely." 25 Although the saying 

does not explicitly talk about the three periods (past, present and future 

periods of existence), the idea is clear that [the past, the present, and] 

the future are continuous. 

16 Confucius was believed to have edited the Classics and thus expounded 

moral principles. The point here is that Confucius and Duke Chou understood 

moral and mundane principles but not spiritual principles. 

17 D. 1094 B.C. He was highly praised by Confucius and was a sage to Confucianists. 

He was credited with having written the text and explanations of the 

lines in the Book of Changes in which natural principles are subtly explained. 

18 Ch'i-nü ching (Scripture on the Seven Princesses), TSD, 85:1459. 

19 Another name for Mount Lu, the famous center for Buddhism at Hui-yüan's 

time. 

20 Referring to Chuang Tzu, ch. 3, NHCC, 2:6b. See Giles, p. 50. 

21 Ch'ing-shu, the allotted number or fate of sentient beings. 

22 Hung-ming chi (Essays Elucidating the Doctrine), SPPY, 5:10a. 

23 The phrase "the questioner asked" at the head of this sentence is superfluous, 

according to the San-lun hsüan-i yu-meng (Instructions for Beginners on 

the Profound Meaning of the Three Treatises), pt. 2, TSD, 70:534. In Hui-yüan's 

treatise, the scholar's name Wen Tzu is mentioned (Hung-ming chi, 5:10a). He 

was a mythical figure supposed to have been Lao Tzu's pupil. 

24 Legendary emperor of great antiquity. 

25 Hung-ming chi, 5:10a. In the present Wen Tzu, sec. 13 (SPPY, pt. 1, p. 21a), 

the words are attributed not to the Yellow Emperor but to Lao Tzu. 

363


Question: What does it mean to say that there are neither causes nor 

effects? 

Answer: It means that the idea of receiving the fruits of action in a 

later life is rejected and that there are also no present causes. This is why 

the six teachers 26 said that there are no evil deeds or their recompense, and 

there are no good deeds or their recompense. Of the four perverse doctrines, 

this is the most harmful. It cuts off good for the present and produces 

an evil state of life for the future. ... (San-lun hsüan-i, pt. 1, TSD, 

45:1) 

Comment. We see here the Four Points of Argumentation at work. 

The various theories on cause and effect are reduced to four: theories 

of ens, of non-ens, of both ens and non-ens, and neither ens nor 

non-ens. This pattern of thought is prominent not only in the Three- 

Treatise School but in other Buddhist schools as well. Some Buddhist 

scholars maintain that, generally speaking, Western thought has not 

gone beyond the third stage, that of "both-and," whereas the fourth 

stage of "neither-nor" has been reached in Emptiness which defies 

all descriptions. But does not the Absolute in Western thought include 

all, the negative as well as the positive? 

3. The Four Subsidiary Causes 

Question: Why does the study of Abhidharma 27 result in a perverse 

view? 

Answer: If one says [as does the Abhidharma School] that the Four 

Causes produce all the dharmas, then who produces the Four Causes? 

If the Four Causes are produced by something else, then that something 

26 Purana Kasyapa, Maskari-Gosaliputra, Sañjaya, Vairatiputra, Ajita Kesakambala, 

Kakuda Katyayana, and Nirgrantha Jñatiputra, all contemporaries of the 

Buddha. See Vimalakirtinirdesa sutra (Scripture Spoken by Vimalakirti), sec. 3, 

TSD, 14:540. 

27 The Abhidharma School is an old Hinayana (Small Vehicle) school whose 

origin is traced to the third century B.C. It was introduced into China in the fourth 

century A.D. It maintains that all dharmas are real and that they are produced by 

the Six Primary Causes and Four Subsidiary Causes. The Six Primary Causes 

are (1) the Active Cause, or the leading factor, (2) the Coexistent Cause, or a 

cause working with another, (3) the Similar-species Cause, or a cause helping 

other causes of its kind, (4) the Concomitant Cause, or a cause making an 

effect arise under any circumstance, (5) the Universally Prevalent Cause, a cause 

always connected with wrong views which produce all the errors of men, and 

(6) the Cause Ripening at Later Times, a cause which produces its effect later. 

The Four Subsidiary Causes are (1) the Cause Condition, or the chief condition 

which acts as the chief cause, for example, the wind and water that cause the 

wave, (2) the Immediate Condition, which immediately follows a preceding condition, 

such as waves following one another, (3) the Objective Condition, or the 

objective environment, like the basis or the boat, and (4) the Upheaving Condition, 

the condition that brings all conditions to the climax, such as the last wave 

that upsets the boat. 

364

CHI-TSANG 

else must be produced by something else again, and so on to infinity. If 

the Four Causes exist of themselves and are not produced by something 

else, then the myriad things, too, must not be produced by the Four 

Causes, and should fall into the condition of having no cause at all. 

Therefore if things are produced by something else, the process would 

be unlimited, and if there is a limit, there is no cause. From these two 

points, one may not believe in the existence of causes or effects. Therefore 

if one studies the Abhidharma for long, a perverse view will result 

.... (ibid., TSD, 45:3) 

Comment. The problem of causality is one of the most important 

in Buddhist schools. It is central in the Three-Treatise School, because 

its basic concept of Emptiness is untenable unless causality 

is rejected. The four causes here remind one of Aristotle and 

Scholasticism. They also underlie the fact that all Buddhist schools 

think of plurality of causes and effects instead of the one-to-one 

relationship between cause and effect. They, of course, all reject 

the First Cause. It is also interesting to note that the argument 

against the First Cause here is practically the same as that advanced 

by Taoists. As the Shadow in the Chuang Tzu asks, "Do I 

depend on something else to be this way? Does this something on 

which I depend also depend on something else?" 28 

4. Existence, Nonexistence, and Emptiness 

Question: If both other Buddhist schools and heterodoxical schools 

are denounced and both the Mahayana (Great Vehicle) and Hinayana 

(Small Vehicle) are refuted, what is the basis of your discussion? 

Answer: If one's mind still dwells on Buddhist or heterodoxical 

schools or if one's feelings still linger around the Mahayana or Hinayana, 

one will fall into one-sided perversion and lose sight of correct principle 

(li). If correct principle is lost sight of, correct view will not arise. 

If correct view does not arise, then the views that things come to an 

end and that they are eternal will not be eliminated. If they are not 

eliminated, the wheel of suffering will forever turn, for only when both 

Buddhist and heterodoxical schools are taken out of sight 29 and both the 

Mahayana and Hinayana are silenced can there be anything called correct 

principle. As this correct principle is understood, correct view will 

arise. And when correct view arises, then nonsensical discussion will 

cease. When nonsensical discussion ceases, the wheel of suffering will be 

destroyed. This is the general principle of the Three Treatises. It summarizes 

all conclusions of the various schools and combines the spiritual 

28 See above, p. 190. 

29 The word ming means literally dark or to disappear. 

365


storehouses (merits) of the many sages. Do people who love the Way 

not rest on this principle? 

Question: If both other Buddhist schools and heterodoxical schools are 

rejected and both the Mahayana and Hinayana are refuted, this is a 

[perverse] view that things come to an end. How can it be called a correct 

doctrine? 

Answer: Once they are taken out of sight, then both theories that 

things come to an end and that things are eternal are silenced. When the 

two extremes are abandoned, is that not correct doctrine? 

Objection: As things come to an end or are eternal, we say that they 

exist, and as they neither come to an end nor are eternal, we say that 

they are nonexistent. Since [you virtually say] they are nonexistent, 

how can [your view] be separated from the view that things come to an 

end? 

Answer: Once the theories that things come to an end or are eternal 

are silenced, then existence, nonexistence, and so forth, are all eliminated. 

One may no longer say that our doctrine is defiled by the concept of nonexistence. 

Objection: Although you have this way out, at the end you cannot 

escape objection. When there is the existence of being and when there 

is the existence of non-being, we say there is existence. And when there 

is nonexistence of either being or non-being, there is then great nonexistence. 

Since you have already fallen into the concept of nonexistence, 

how can you be separated from the view that things come to an end? 

Answer: The idea of nonexistence is presented primarily to handle 

the disease of the concept of existence. If that disease disappears, the 

useless medicine is also discarded. Thus we know that the Way of the 

sage has never held to either existence or nonexistence. What obstacle 

can there be? 

Objection: To affirm both existence and nonexistence is a double affirmation. 

To negate both existence and nonexistence is a double negation. 

Since you have fallen into affirmation and negation, you are, after 

all, the same as the Confucianists and Moists. 30 

Answer: Our double negation is primarily intended to negate the 

double affirmation. Once the double affirmation is forgotten, the double 

negation also ceases. Thus we know that to negate an affirmation is also 

to negate a negation. 

Objection: To negate both an affirmation and a negation is after all 

to fall into a double negation. How can you escape negation? 

30 This refers to Chuang Tzu, ch. 2, NHCC, 1:26b-27a, Giles, p. 37. Chuang Tzu 

severely criticized the Confucianists and Moists for their one-sided opinions, on 

the basis of which they engaged in extensive controversy. 

366

CHI-TSANG 

Answer: A double affirmation produces a dream tiger, and a double 

negation reveals a flower in the air. Thus we know that originally there 

is nothing to affirm and there is not now anything to negate. 

Objection: If there is neither affirmation nor negation, then there is 

neither perverseness nor correctness. Why in the beginning section do 

you call it "demolishing the perverse" and "showing the correct"? 

Answer: It is considered perverse to affirm or negate. It is said to be 

correct only when there is neither affirmation nor negation. We therefore 

called the section "explaining the demolition of perverseness and 

the showing of correctness." 

Objection: Since you say there are perverseness to demolish and correctness 

to show, then you have the intention of clinging or discarding. 

How can you say you are not attached to anything? 

Answer: We are forced to use the word "correct" in order to stop the 

perverseness. Once perverseness has been stopped, correctness will no 

longer remain. Therefore the mind is attached to nothing. 

Objection: If one wants both perverseness and correctness to disappear, 

is this not a view of Emptiness [itself an affirmation]? 

Answer: The Cheng-kuan lun (Treatise on the Correct View) says: 

The Great Sage preached the Law of Emptiness 

In order to free men from all [personal] views. 

If one still holds the view that Emptiness exists, 

Such a person the Buddhas will not transform. 31 

If, while ordinarily fire can extinguish fire, now it produces fire instead, 

what shall we use to destroy it? The view that things come to an end or 

are eternal is fire, and Emptiness can destroy it. But if one is still attached 

to Emptiness, then there is no medicine that can eliminate the 

disease. 

Objection: Since one is attached to the disease of Emptiness, why 

talk about giving up his transformation instead of giving him the medicine 

of existence? 

Answer: If one tries to transform by means of the concept of existence, 

one becomes impeded by it instead. If, on the other hand, one goes so 

far as to forget all words, one will then become attached to the view that 

things come to an end. How can persons like these be transformed? 

Question: What is wrong for the mind to have attachment? 

Answer: If the mind is attached to something, it is bound to it and 

cannot be emancipated from birth and old age, sickness and death, sorrow 

and grief, and suffering and distress. Therefore the Lotus Scripture 

says, "I (the Buddha) have used an infinite number of convenient means 

31 Also called Chung lun (Madhymika sastra), ch. 6, sec. 24, TSD, 30:32-33. 

367


to lead sentient beings and to enable them to be free from various attachments." 

32 The Ching-ming (Fame for Purity) says: 

[The Buddha] is unattached to the mundane world and is 

like the lotus flower. 

He is always skillful in entering into the paths of emptiness 

and silence. 

He penetrates the characters of the various dharmas and 

has no more impediment or obstruction. 

Bow your head [to Him who is] like space and leans to 

nothing. . . . 33 

(ibid., TSD, 45:6-7) 

5. Substance and Function 

Question: How many kinds of correctness are there? 

Answer:. . . The first is correctness in substance and the second is 

correctness in function. Correctness in substance means that it is neither 

absolute nor worldly, and correctness in function means being both absolute 

and worldly. The reason for this is that the true nature 34 of all 

dharmas is entirely inexplicable in speech and unrealizable in thought. 

As it has never been either absolute or worldly, it is therefore called substance. 

It is regarded as correct because it is completely cut off from all 

kinds of one-sidedness and perverseness. This is why we speak of correctness 

in substance. The reason why we speak of correctness in function 

is that if substance is completely cut off from names and words, 

things cannot be understood. Although it is neither existent nor nonexistent, 

we are forced to speak of it as absolute and worldly. Therefore 

we called it function. It is regarded as correct because this being both 

absolute and worldly is not one-sided or perverse. Therefore we called 

it correctness in function. 

Question: Since you have already spoken of being absolute and being 

worldly, it means two extremes. How can you call that correctness? 

Answer: Things are produced by causes and therefore have dependent 

existence. That is regarded as worldly. But dependent existence should 

not be said to be definitely existent, nor should it be said to be definitely 

nonexistent. This type of dependent existence is far from the two ex- 

32 Saddharmapundarika sutra, ch. 1, TSD, 9:5. Cf. Soothill, trans., The Lotus of 

the Wonderful Law, p. 65. The point has not been brought out in Soothill's paraphrase. 

33 Ch. 1, TSD, 14:538. Fame for Purity is another title for the Vimalakirtinirdés 

sutra (Scripture Spoken by Vimalakirti). It is what the name Vimalakirti means. 

34 This is lakshana in Sanskrit, meaning character, features, form, appearance, 

etc. True character, however, means essential character, that is, nature. 

368

CHI-TSANG 

tremes and is therefore called correctness. Worldly existence being what 

it is and absolute nonexistence also being what it is, dependent nonexistence 

should not be said to be either definitely nonexistent or definitely 

existent. It is far from the two extremes, and is therefore regarded as 

correct. . . . (ibid., TSD, 45:7) 

369

••• 23 ••• 

BUDDHIST IDEALISM: HSÜAN-TSANG OF THE 

CONSCIOUSNESS-ONLY SCHOOL 

IN SUBTLETY of concepts and refinement of analysis, the Consciousness-Only 

School 1 is the most philosophical of Buddhist schools. Originally 

called Yogacara (way of yoga), it was founded by Asanga (c.410c.500) 

for the purpose of mystical enlightenment through metaphysical 

reflections. When his younger brother Vasubandhu (c.420-c.500) systematized 

and developed its philosophical views, he designated its tenet as 

Consciousness-Only. It and the Three-Treatise School dominated the 

Chinese intellectual scene and rivaled each other from the fifth to the 

seventh century. 

The school first existed as the She-lun School 2 but was eventually replaced 

by the Consciousness-Only School of Hsüan-tsang 8 (596-664). 

Not being satisfied with the conflicting doctrines of his time, he went to 

India in 629 and for sixteen years studied and debated with the greatest 

Indian scholars. When he returned in 645, he brought, among other 

things, 657 Buddhist works, and under imperial patronage he and a large 

group of assistants, in the largest translation project in Chinese history, 

devoted some twenty years to translating seventy-five of them, mostly 

Yogacara works. 4 

The essentials of the Yogacara School are summed up in Vasubandhu's 

Vijñatimatratatrimsika (Treatise in Thirty Verses on Consciousness- 

Only). 5 Ten Indian philosophers, including Dharmapala (439-507), 

elaborated on the meaning of these verses. Hsüan-tsang selected, summarized, 

and systematized their interpretations, following chiefly 

Dharmapala, and the result is his famous Ch'eng-wei-shih lun (Vijñaptimatratasiddhi, 

or Treatise on the Establishment of the Doctrine of 

1 Wei-shih in China, yuishiki in Japanese, and vijñaptimatra in Sanskrit. 

2 Named after Asanga's Mahayanasamparigraha (Acceptance of the Great 

Vehicle) annotated by Vasubandhu, translated into Chinese in 531, 563, and 648- 

649 (this time by Hsüan-tsang), and known as the She ta-ch'eng lun (Treatise on 

Acceptance of the Great Vehicle). For a French translation, see Bibliography. 

3 Variously spelled as Hsüan-chang, Hiuen-tsang, etc. 

4 He entered a monastery of the Pure Land School at thirteen. From 618 he 

went to monasteries in Ch'ang-an, Ch'eng-tu, and other places and studied the 

doctrines taught in those places. In search of the true doctrine, he left China 

against imperial order. But when he returned he was given an overwhelming 

welcome at the capital and when he died the emperor suspended audiences for 

three days. For his biography see Hsü kao-seng chuan (Supplement to the 

Biographies of Eminent Monks), chs. 4-5, TSD, 50:446-459. 

5 The Chinese title for this is Wei-shih san-shih lun. For translations, see 

Bibliography. 

370

HSÜAN-TSANG 

Consciousness-Only). 6 His prose is excellent, and he created such a neat 

and consistent vocabulary that his works are directly comprehensible 

without resorting to the original Sanskrit. Nevertheless, the Chinese 

language was ill equipped to translate the intricate and difficult philosophy. 

During the translation, his pupil K'uei-chi (632-682) 7 took many 

notes, which come to sixty long chapters. Without his Ch'eng-wei-shih 

lun shu-chi (Notes on the Treatise on the Establishment of the Doctrine 

of Consciousness-Only), it is impossible to get at the real meaning of 

Hsüan-tsang's treatise. Even with it, we are not sure whether the Consciousness-Only 

philosophy presented by Hsüan-tsang is originally Vasubandhu's, 

for it has now gone through two interpretations, first by 

Dharmapala and then by Hsüan-tsang. This fact is of tremendous importance. 

Does his very selection not indicate the direction in which 

Buddhist philosophy was developing in China? 

The central doctrine of the school is that of eight consciousnesses. No 

other philosophy has ever analyzed the mind into so many parts. According 

to the school, the eight consciousnesses, that is, the five senseconsciousnesses, 

the sixth or sense-center consciousness (manovijñana) 

which forms conceptions, the seventh or thought-center consciousness 

(manasvijñana) which wills and reasons on a self-centered basis, and the 

eighth or storehouse consciousness (alaya), are in perpetual change 

which involves a threefold transformation. The first transformation is 

the storehouse consciousness. It is so called because it stores the "seed" 

or effects of good and evil deeds which exist from time immemorial and 

become the energy to produce manifestation. This storehouse consciousness 

is in constant flux, constantly "perfumed" (influenced) by incoming 

perceptions and cognitions from external manifestations. At the same 

time, it endows perceptions and cognitions with the energy of the seeds, 

which in turn produce manifestations. According to the stock saying of 

the school: 

A seed produces a manifestation; 

A manifestation perfumes a seed; 

The three elements (seed, manifestation, and perfuming) 

turn on and on; 

The cause and effect occur at one and the same time. 

This is the basic consciousness. All others are "stored" in it and depend 

on it for their own transformation. The second transformation, 

which constitutes the seventh or thought-center consciousness, trans- 

6 For a French translation, see Bibliography. 

7 For K'uei-chi's biography, see Sung Kao-seng chuan (Biographies of Eminent 

Monks Compiled in the Sung Period [988]), ch. 4, TSD, 50:725-726. 

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THE CONSCIOUSNESS-ONLY SCHOOL 

forms with the storehouse consciousness and, unlike the first six consciousnesses, 

has as its object not the external world but the alaya itself. 

Its special function is intellectual deliberation, which clings to the 

alaya consciousness and considers it to be the self. Its operation is deep 

and uninterrupted and is always accompanied by the evils of self-interest. 

The third transformation consists of the five sense-consciousnesses 

and the sixth or sense-center consciousness. They are characterized by 

discrimination and differentiation out of which the external world appears. 

The difference between the sixth and the first five is that while 

each of the five has its own sphere of objects, 8 the sixth takes the external 

world as a whole as its object. In this sense it is self-centered but not to 

the degree of the seventh, which is free from the external world. Because 

these six consciousnesses have external things as their objects, 

they are conditioned by them and are therefore crude, superficial, and 

discontinuous. 

All these transformations take place at the same time and influence 

each other. They are all governed by cause and effect. The law of cause 

and effect is a cardinal one in Buddhism, but in no other school is it so 

closely bound with its central thesis. It must be noted, however, that this 

law is applied here purely in a speculative fashion, with neither historical 

nor scientific support. 

The school further analyzes each consciousness into four functional 

portions, namely, the objective portion, the subjective portion, the selfwitnessing 

portion, and the rewitnessing portion. That is to say that each 

idea not only involves the seeing and the seen, but the witnessing of the 

experience by the self, which witnessing will then be witnessed once 

more. It is out of this complicated process of deliberation and discrimination 

that the external world appears. The result is a world of differentiated 

dharmas (elements of existence) 9 each with its own specific characters. 

10 It is to these dharma-characters that the school has directed its 

attention. Of Vasubandhu's thirty verses, the first twenty are devoted to 

them. Consequently the school is also known as the Fa-hsiang or 

Dharma-character School. 

The characters of dharmas are classified into three different kinds. 

Those "conceived by vast imagination," like horns of a rabbit, are 

purely illusory and therefore have only false existence. Those which 

"depend on others for production" have purely temporary or dependent 

8 Vishaya in Sanskrit and ching in Chinese, meaning the sphere or realm in 

which the mind gropes for an object which is its own imagination. In its various 

contexts, it means the external world, external objects, the sphere of color and the 

eye, the sphere of sound and ear, etc., domain of perception, and the like. 

9 For the translation of "dharma," see Appendix, comment on Fa. 

10 Lakshana in Sanskrit. See Appendix, comment on Hsiang. 

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HSÜTAN-TSANG 

existence, for they depend on causes for their production and have no 

nature of their own. Only those of the "nature of perfect reality" have 

true existence. This perfect reality transcends all specific characters. It 

is simply Thusness or Suchness (Tathata), the Ultimate Reality. 11 This 

reality will be realized when through discipline and enlightenment the 

pure seeds in the storehouse consciousness are cultivated and the impure 

aspect of the storehouse is overcome. 

This type of philosophy is completely alien to the Chinese tradition 

so that, like the Three-Treatise School, it was merely an Indian system 

transplanted on Chinese soil. However, its emphasis on dharma-characters, 

that is, on the mundane world, may have been due to the mundane 

character of Chinese thought. As indicated before, it may have been 

Hsüan-tsang's own choice. Unfortunately, in spite of this mundane 

tendency, it did not survive the Chinese climate and rapidly declined 

since the ninth century. The persecution of Buddhism in 845 dealt all 

Buddhist schools a serious blow. Within Buddhism itself, forces were at 

work to bring about its decline. In the seventh century, the Consciousness-Only 

and the Zen (Meditation or Ch'an) Schools were the two 

major movements in Chinese Buddhism, one essentially a classical 

movement and the other romantic. 12 The romantic movement, because 

of its affinity with Taoism, gradually soared to great heights and overshadowed 

the Consciousness-Only School. At the same time the Huayen 

School, which was growing in influence, relegated it to the position 

of "elementary doctrine" in the Mahayana (Great Vehicle) far below 

other Buddhist schools, because it advocated that some people, being 

devoid of Buddha-nature, can never achieve Buddhahood, thus clearly 

betraying the Mahayana ideal of universal salvation. Its own philosophy 

was too abstract for the practical Chinese mind. Its texts are the most 

difficult to read (and to translate!). Above all, its hair-splitting analysis 

was not harmonious with the Chinese spirit of synthesis. Besides, its 

most important texts were lost and forgotten during the Yüan period 

(1271-1368). With these basic works gone, both knowledge and interest 

evaporated. Its influence on Neo-Confucianism is negligible, if 

any. Wang Fu-chih (1619-1692) showed an interest in it but few other 

scholars did until the late nineteenth century. In the 1880's, a number of 

Buddhist texts were brought back to China from Japan, including K'ueichi's 

Notes. This aroused immediate and strong interest. The leading 

authority on Chinese studies, Chang Ping-lin (Chang T'ai-yen, 1868- 

1936) wrote a commentary on the second chapter of the Chuang Tzu 

11 On this concept, see below, ch. 24, n.19. 

12 This characterization is by Hu Shih (1891-1962). See his Chung-kuo chung-ku 

ssu-hsiang shih ti t'i-yao (Essentials of the History of Medieval Chinese Thought), 

1932, p. 28a. 

373


in terms of Consciousness-Only philosophy. China was by this time on 

the eve of the Intellectual Renaissance. New systems of thought were 

being introduced, and European idealism was becoming popular. The 

new scientific spirit made analysis attractive. Two Buddhist scholars, 

layman Ou-yang Ching-wu (1871-1943) and Abbot T'ai-hsü (1889- 

1947) revived the philosophy and created two strong movements in the 

twentieth century. 13 Actually they contributed little that was new except 

to revive the old. It is in Hsiung Shih-li that the Consciousness-Only 

philosophy has been used constructively, that is, as a stimulation to his 

idealism which is his reconstruction of Neo-Confucian idealistic philosophy. 

14 

The following are selections from Hsüan-tsang's Ch'eng wei-shih lun, 

including all the thirty verses by Vasubandhu. 

THE TREATISE ON THE ESTABLISHMENT OF THE 

DOCTRINE OF CONSCIOUSNESS-ONLY 

1. The Nonexistence of the Self 

1. Because the ideas of the self (atman) and dharmas are 

[constructions produced by causes and therefore] 15 false, 

Their characters of all kinds arise. 16 

These characters are [constructions] based on the transformations 

of consciousness, 

Which are of three kinds. 

2a. They are the consciousness (the eighth or storehouse 

consciousness) whose fruits (retribution) ripen at later 

times, 

The consciousness (the seventh or thought-center consciousness) 

that deliberates, and the consciousness (the 

sense-center consciousness and the five sense consciousness) 

that discriminates spheres of objects. 

The Treatise says: 

Both the world and sacred doctrines declare that the self and dharmas 

are merely constructions based on false ideas and have no reality of their 

13 For their movements, philosophies, and controversy, see Chan, Religious 

Trends in Modern China, pp. 105-126. 


15 This insertion is based on K'uei-chi's Ch'eng wei-shih lun shu-chi, Nanking 

edition, 1901, 2:82. This work is included in TSD, 43:229-606. The Nanking 

edition is used here for more precise reference. 

16 Chuan, literally to change, to turn, to transform, means "to become different 

because of the constructions," according to Hsüan-tsang, p. 1, and "to arise," according 

to K'uei-chi, 2:17a. 

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HSÜAN-TSANG 

own. . . .On what basis are [the self and dharmas] produced? 17 Their 

characters are all constructions based on the evolution and transformation 

of consciousness.... 

How do we know that there is really no sphere of objects but only 

inner consciousness which produces what seem to be the external 

spheres of objects? Because neither the real self nor the real dharma is 

possible. 

Why is the real self impossible? Theories of the self held by the various 

schools may be reduced to three kinds. The first holds that the substance 

of the self is eternal, universal, and as extensive as empty space. 18 It acts 

anywhere and as a consequence enjoys happiness or suffers sorrow. The 

second holds that although the substance of the self is eternal, its extension 

is indeterminate, because it expands or contracts according to the 

size of the body. 19 The third holds that the substance of the self is eternal 

and infinitesimal like an atom, lying deeply and moving around within 

the body and thus acts. 20 

The first theory is contrary to reason. Why? If it is held that the self 

is eternal, universal, and as extensive as empty space, it should not enjoy 

happiness or suffer sorrow along with the body. Furthermore, being 

eternal and universal, it should be motionless. How can it act along with 

the body? Again, is the self so conceived the same or different among 

all sentient beings? If it is the same, when one being acts, receives the 

fruits of action, or achieves salvation, all beings should do the same. But 

this would of course be a great mistake. If it is different, then the selves 

of all sentient beings would universally penetrate one another and their 

substance would be mixed, and since the field of abode of all selves is 

the same, the acts of one being or the fruits of action received by him 

should be the act or fruits of all beings. If it is said that action and fruits 

belong to each being separately and there would not be the mistake just 

described, such a contention is also contrary to reason, because action, 

fruits, and body are identified with all selves and it is unreasonable for 

them to belong to one self but not to another. When one is saved, all 

should be saved, for the Dharma (truth) practiced and realized would 

be identical with all selves. 

The second theory is also contrary to reason. Why? If in substance the 

self always remains in the same state, it should not expand or contract 

along with the body. If it expands or contracts like wind in a bag or a 

pipe, it is not always remaining in the same state. Furthermore, if the 

17 Addition according to K'uei-chi, 2:17b. 

18 The Samkhya and Vaiseshika schools, etc., according to K'uei-chi, 3:11b. See 

nn.30 and 34. 

19 The Nirgrantha school, etc., according to K'uei-chi, 3:12a. See n.36. 

20 The Pasupata school, etc., according to K'uei-chi, 3:12b. 

375


self follows the body, it would be divisible. How can it be held that the 

substance of the self is one? What this school says is like child's play. 

The last theory is also contrary to reason. Why? Since the self is 

infinitesimal like an atom, how can it cause the whole big body [that 

extends throughout the world of form] 21 to move? If it is said that although 

it is small it goes through the body like a whirling wheel of fire 

so that the whole body seems to move, then the self so conceived is 

neither one nor eternal, for what comes and goes is neither eternal nor 

one. 

Furthermore, there are three additional theories of the self. The first 

holds that the self is identical with the aggregates 22 (namely, matter, 23 

sensation, thought, disposition, and consciousness). 24 The second holds 

that it is separated from the aggregates. 25 And the third holds that it is 

neither identical with nor separated from the aggregates. 26 The first 

theory is contrary to reason, for the self would be like the aggregates and 

is therefore neither eternal nor one. Furthermore, the internal matters 

(the five senses) are surely not the real self, for they are physically obstructed 

(or restricted) like external matters. The mind and mental 

qualities are not the real self either, for they are not always continuous 

and depend on various causes to be produced. Other conditioned things 

and matters are also not the real self, for like empty space they are without 

intelligence. 

The second theory is also contrary to reason, for the self would then 

be like empty space, which neither acts nor receives fruits of action. 

The last theory is also contrary to reason. This theory allows that the 

self is based on the aggregates but is neither identical with nor separated 

from them. The self would then be like a vase [which depends on clay] 

and has no reality of its own. Also, since it is impossible to say whether 

it is produced from causes or not produced from causes, it is also impossible 

to say whether it is a self or not. Therefore the real self conceived 

in the theory cannot be established. 

Again, does the substance of the real self conceived by the various 

schools think or not? If it does, it would not be eternal, because it does 

not think all the time. If it does not, it would be like empty space, which 

neither acts nor receives fruits of action. Therefore on the basis of reason, 

the self conceived by the theory cannot be established. 

21 Interpretation according to K'uei-chi, 3:18b. 

22 In Buddhist philosophy, a thing is but a combination of these five aggregates 

or skandhas. 

23 Matter, rupa in Sanskrit and se in Chinese, refers to form, color, appearance, 

phenomenon, etc. 

24 The Yogacara school, according to K'uei-chi, 3:19b. 

25 The three theories refuted above, according to K'uei-chi, ibid. 

26 The Vatsiputriya school, according to K'uei-chi, ibid. 

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HSÜAN-TSANG 

Again, does this substance of the real self conceived by the various 

schools perform any function or not? If it does, it would be like hands 

and feet and would not be eternal. If it does not, it would be like 

[illusory] horns of a hare and not the real self. Therefore in either case, 

the self conceived by them cannot be established. 

Again, is the substance of the real self conceived by the various 

schools an object of the view of the self or not? If it is not, how do advocates 

of the theory know that there is really a self? If it is, then there 

should be a view of the self that does not involve any perversion, for that 

would be knowledge of what really is. In that case, how is it that the 

perfectly true doctrines believed in by those holding the theory of the 

self all denounce the view of the self and praise the view of the nonself? 

[Advocates of the theory themselves] 27 declare that the view of the 

non-self will lead to Nirvana while clinging to the view of the self will 

lead to sinking in the sea of life and death (transmigration). Does an 

erroneous view ever lead to Nirvana and a correct view, on the contrary, 

lead to transmigration? 

Again, the various views of the self [actually] do not take the real self 

as an object, because it has objects [which are not itself] like the mind 

takes others [such as external matters] 28 as objects. The object of the 

view of the self is certainly not the real self, because it [the view] is an 

object like other dharmas. Therefore the view of the self does not take 

the real self as an object. Only because the various aggregates are transformed 

and manifested by inner consciousness, all kinds of imagination 

and conjecture result in accordance with one's own erroneous opinions 

.... (ch. 1, TSD, 31:1-2). 

Comment. The denial of the ego is the starting point of Buddhist 

philosophy in general and the Consciousness-Only School in particular. 

The idealism of Berkeley and that of this school are very 

much alike. But while Berkeley's philosophy is built on the assumption 

of individual minds and therefore finds itself in an "egocentric 

predicament," Buddhist idealism rejects the ego to start 

with and is therefore able to be free from solipsism. 

2. The Nonexistence of Dharmas 

Although the variety of heterodoxical schools is great, their theories 

of existent dharmas 29 are only of four kinds. The first, like the Samkhyas 30 

27 Insertion following K'uei-chi, 4:5a. 

28 This insertion according to K'uei-chi, 4:6a. 

29 Dharmas of being, in contrast with dharmas of non-being, like horns of a 

rabbit. 

30 One of the Six Systems of philosophy in India, probably the oldest. Its name 

means number, because it interprets reality in terms of a number of categories. It 

377


and others, holds that existent dharmas and the nature of being 31 and 

so forth 32 are definitely identical in substance. Their theory is contrary 

to reason. Why? Because it must not be held that all dharmas are 

identical with the nature of being. If they are all the same as the nature 

of being, there would be no difference in their substance. This would 

contradict [the Samkhya theory that] 33 the three qualities [of goodness, 

activity, negativity of matter], the self, and so forth are different in substance. 

It would also contradict the fact that in the world the various 

dharmas are different. Furthermore, if color and so forth are identical 

with the nature of color and so forth, they should not be differentiated as 

green, yellow, and the like. 

The second, like the Vaiseshika 34 and so forth, holds that existent 

dharmas and the nature of being and so forth are definitely different in 

substance. Their theory is also contrary to reason. Why? Because it must 

not be held that dharmas are different from the nature of being. If they 

are extinct and no longer exist, they cannot possess any substance. This 

would contradict [the Vaiseshika theory that] 35 substance and other 

categories are not without nature of their own. It would also contradict 

the fact that in the world things evidently exist. Furthermore, if color 

and so forth are not identical with the nature of color and so forth they, 

like sound, would not be objective spheres of vision. 

The third, like the Nirgrantha 36 and others, holds that existent dharmas 

holds that primal matter (prakrti), the ultimate cause of the world of objects, 

whether physical or psychical, is moved by spirit (purusha), another ultimate 

principle, to interact with it, thus evolving the world. The products of this evolution 

are successively the intellect, the ego, the five organs of perception, the five motor 

organs, the five generic essences of sound, touch, smell, color, and taste, and the 

five gross physical elements of earth, water, fire, air, and ether. These, plus the 

two ultimate principles of spirit and matter, constitute the 25 categories. 

31 Meaning the categories of substance, quality, and action of the Vaiseshika 

School described in n.34. 

32 According to K'uei-chi (6:21b), these are the Vaiseshika categories of generality 

and particularity. 

33 According to K'uei-chi, 6:22a. 

34 Another of the Six Systems. It is an atomistic philosophy stressing particularity 

or differentiation, which is what the name means. According to the school, 

the world of multiplicity is the product of the combination of material atoms of 

various kinds and qualities. It is described in terms of six positive categories, 

namely, substances (nine kinds such as earth and water), qualities (24 kinds, 

such as color, smell, pleasure, pain, desire, and tendency), action (five kinds), 

generality, particularity, and inherence. Besides these there are negative categories. 

At the same time the school is theistic, for in its theory the world is created and 

destroyed by God according to the moral deserts of individual souls, although He 

is not the author of the order of nature or the atoms, minds, and souls. 

35 Following K'uei-chi, 6:23a. 

36 A minor school, called the Shameless School, which believed that sorrow and 

happiness depend on the Great Lord of the Universe (Mahesvara, Great Self- 

Existent Heaven) and one is not responsible for one's moral action and therefore 

should be shameless. 

378

HSÜAN-TSANG 

and the nature of being and so forth are both identical and different. 

Their theory is wrong. Why? Because they are mistaken about identity as 

the first theory and about difference as the second. The two characters 

of identity and difference are mutually exclusive and should be differentiated 

in substance, and it is impossible for identity and difference to share 

the same substance. It must not be held that all dharmas are of the same 

substance or that they should be simultaneously identical and different. 

This view is false and not true but is held to be true. It is certainly 

contrary to reason. 

The fourth, like the Ajivikas 37 and others, holds that existent dharmas 

are neither identical with nor different from the nature of beings and so 

forth. Their theory is contrary to reason. Why? Because the theory that 

existent dharmas are neither identical with nor different from the nature 

of beings is virtually the same as the theory that existent dharmas are both 

identical with and different from the nature of beings. Is the expression 

"neither identical with nor different from" an affirmation or a denial? 

If it is an affirmation, the double negation should not be used. If it is 

purely a denial, then no theory should be held. If it is both an affirmation 

and a denial, it is self-contradictory. And if it is neither an affirmation 

nor a denial, it is nonsense. Furthermore, such a doctrine contradicts the 

fact that the whole world knows that one thing differs from another. It 

also contradicts the doctrine of the schools themselves, which hold that 

existent dharmas such as color are definitely real. . . . (ch. 1, TSD, 31:3- 

4) 

Comment. The Four Points of Argumentation are here employed 

to refute the doctrines of existence of dharmas. 38 Whether the logic 

is sound or not, it cannot be denied that Buddhist thinking is 

rational and methodical, absolutely contrary to the common belief, 

even among some scholars, that the only mental activity of the 

Buddhist is intuition. It is significant that in a school chiefly concerned 

with the thinking process, the rationalistic and methodical 

elements are so strong. 

3. The First Transformation of Consciousness 

From what is said above it is clear that the self and dharmas separated 

from consciousness conceived by the heterodoxical and other 

schools are all unreal. . . . From this we ought to know that there is 

really no external sphere of objects. There is only inner consciousness 

which produces what seems to be the external sphere. . . . 

The characters transformed by consciousness are infinite in variety, 

37 Literally, people who live on others by improper means. 

38 For the Four Points, see above, ch. 22, comment in sec. 2. 

379


but the consciousnesses that transform can be divided into three kinds. 

The first is the consciousness where fruits ripen at a later time. It is the 

eighth consciousness. [It is so called] because it possesses in abundance 

the nature to ripen at later times. The second is called deliberation. It is 

the seventh consciousness. [It is so called] because it is continuously in 

the process of deliberation. The third is called the consciousness that 

discriminates spheres of objects. It is the same as the first six consciousnesses 

(the five sense-consciousnesses and the sense-center consciousness). 

[It is so called] because it discriminates gross spheres of objects.... 

2b. First of all, the storehouse consciousness (alaya), 

Which brings into fruition all seeds (effects of good and 

evil deeds). 

3. [In its state of pure consciousness] it is not conscious of its 

clingings and sensations. 

In both its objective and subjective functions it is always 

associated with contact, 

Volition, sensation, thought, and cognition. 

But it is always indifferent to its associations. 

4. It is not affected by the darkness of ignorance or by an 

indifference to good and evil. 

The same is true in the case of touch and so forth. 

It is always flowing like a torrent, 

And is renounced in the state of the arhat (a saint who 

enters Nirvana) . 39 


The first transformation of consciousness is called storehouse in both 

the Mahayana and Hinayana. . . . Why are the seeds so called? They 

mean that functions and differentiations in the root consciousness (the 

eighth) spontaneously produce their own fruition. These are neither the 

same with nor different from the root consciousness itself or their fruition. 

. . . (ch. 2, TSD, 31:7-8) 

In this way the other consciousnesses which "perfume" (affect) it and 

the consciousness which is perfumed arise and perish together, and the 

concept of perfuming is thus established. The act of enabling the seeds 

that lie within what is perfumed (the storehouse consciousness) to grow, 

as the hemp plant is perfumed, is called perfuming. As soon as the seeds 

are produced, the consciousnesses which can perfume become in their 

turn causes which perfume and produce seeds. The three dharmas (the 

39 Arhat or arhan, the worthy or saint, who is no longer bound in the cycle of 

life and death or transmigration. He is the ideal being in the Hinayana or Small 

Vehicle. 

380

HSÜAN-TSANG 

seeds, the manifestations, and perfuming) turn on and on, simultaneously 

acting as cause and effect. . . . (ch. 2, TSD, 31:9-10) 

Comment. Did this idea of seeds as a generative force have any 

influence on Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) and his 

brother Ch'eng I (Ch'eng I-ch'uan, 1033-1107) who saw the 

universe as a process of "production and reproduction" and jen 40 

(humanity) as growth (sheng)? 41 The Consciousness-Only School 

was still active in the city of Lo-yang where the Ch'eng brothers 

lived. Furthermore, they both studied Buddhism for almost a 

decade before they returned to Confucianism. They had Buddhist 

friends. Their pupil Hsieh Liang-tso (1050-1103) came very close 

to Buddhism and actually said that "the seeds of peaches and apricots 

that can grow are called jen because they produce." 42 Ch'eng I 

himself said, "The mind is like seeds of grain. Their nature of 

growth is jen." 43 The resemblance of these ideas to those of 

Buddhism is amazing. 

It can be argued, of course, that there is a fundamental difference 

between Buddhism and Neo-Confucianism in this respect. In 

Buddhism the seeds mutually "perfume" one another and hence 

the process is circular, whereas in Neo-Confucianism jen is a continuous 

development. Furthermore, the Ch'engs and Hsieh were 

critical of Buddhism. 44 Most important of all, there is no evidence 

that they had derived the idea of seeds from any Buddhist text or 

Buddhist thinker. 

Nevertheless, Buddhist influence on Neo-Confucianism is deep 

and extensive. There is at least an evidence of contact. Hsieh specifically 

pointed out that the Buddhists knew the meaning of seeds 

although he criticized them for ignoring moral efforts in cultivating 

them. 45 In the opinion of Professor Paul Demiéville, there is no 

doubt that the idea is taken from Buddhist philosophy in which it 

was so common that no precise reference is needed. 46 

Does the storehouse consciousness come to an end or is it eternal? It 

40 Variously translated as goodness, benevolence, human-heartedness, etc. See 

Appendix. 

41 For a fuller discussion, see below, ch. 32, comment on sec. 22, and also 

Chan, "The Neo-Confucian Solution of the Problem of Evil," Bulletin of the 

Institute of History and Philology, 28 (1957), 773-791. 

42 Shang-ts'ai yü-lu (Recorded Sayings of Hsieh Liang-tso), Cheng-i-t'ang 

ch'üan-shu (Complete Library of the Hall of Rectifying the Way) ed., pt. 1, p. 2b. 

43 I-shu(Surviving Works), ECCS, 18:2a. 

44 See below, ch. 31, secs. 21, 32, 46, 76, 77; ch. 32, secs. 23, 25, 52-55; Shang- 

ts'ai yü-lu, pt. 1, p. 12b; pt. 2, p. 4b; pt. 3, p. la. 

45 

ibid., pt. 1, p. 2b. 

46 

In a personal letter to me in September 1957. 

381


neither comes to an end nor is eternal, for it is in perpetual transformation. 

By "perpetual" is meant that this consciousness, from time immemorial, 

has continued in the same way without any interruption. For 

it is the basis of the constructions in the [four] realms [which form the 

substance of existence], the [five] stages of transmigration, and the 

[four] kinds of living beings, 47 and its nature is so firm that it holds the 

seeds without losing them. By "transformation" is meant that this consciousness, 

from time immemorial, comes into and goes out of existence 

every moment and changes both before and after, for while it goes out of 

existence as cause, it comes into existence as effect, and thus is neither 

permanent nor one. In this way it can be perfumed by the other transforming 

consciousnesses and produce seeds. The term "perpetual" 

denies the idea that things come to an end, while the term "transformation" 

affirms the idea that things are not eternal. It is like a violent torrent, 

for it is naturally so because of cause and effect. Being like a 

violent torrent, it neither comes to an end nor is eternal. As it continues 

for a long time, some sentient beings will float and others will sink. It is 

the same with this consciousness. . . . 

This consciousness has been in perpetual transformation like a torrent 

from time immemorial. In what state will it be finally renounced? Only 

in the state of the arhat will it be finally renounced. It means that saints 

are called arhats when they completely cut off all obstacles of defilement. 

At that time all seeds of defilement in this consciousness are forever 

eliminated. . . . (ch. 3, TSD, 31:12-13) 

Comment. The theory that consciousness is a constant stream of 

ideas inevitably reminds one of Hume. The comparison between 

him and the Consciousness-Only School has been made by Fung 

Yu-lan, among others. 48 Both the school and Hume hold that the 

mind is nothing but a stream of ideas, that ideas are governed by 

a causal relationship, and that the external world is ultimately 

unreal. But Buddhism is free from the skepticism of Hume, for 

Nirvana is realizable through spiritual cultivation. Furthermore, 

in Buddhism, but not in Hume, the source of ideas is known and 

can be controlled. 

47 In Buddhism, there are the four realms which constitute the substances of all 

existence: earth, water, fire, and air; the five stages of transmigration: the hells, 

those of ghosts, animals, human beings, and heavenly beings; and four kinds of 

beings: those produced from the womb, from eggs, from moisture, and through 

metamorphosis. The Consciousness-Only School, because it denies the reality of 

the self and dharmas, regards all these as constructions of consciousness. 


382

HSÜAN-TSANG 

4. The Second Transformation of Consciousness 

5. The second transformation of consciousness 

Is called the thought-center consciousness, 

Which transforms with that [storehouse consciousness] as 

the basis and has it as an object. 

It has the nature and character of deliberation. 

6. It is always accompanied by the four evil defilements, 

Namely, self-delusion, self-view [as being real and permanent], 

Self-conceit, and self-love, 

And by contact and so forth [volition, feeling, sensation, 

thought, and cognition]. 

7. It is free from an indifference to good and evil but not from 

the darkness of ignorance. 

It follows its objects in their emergence and dependence, 

In [the state of] the arhat, in the state of complete extinction 

[of thought and mental qualities of the thoughtcenter 

consciousness] 

Or in the stage free from mundane delusions, [these defilements] 

do not exist. 


. . . Spontaneously this thought-center consciousness perpetually takes 

the storehouse consciousness as an object and is associated with the 

four basic defilements. What are the four? They are self-delusion, selfview, 

self-conceit and self-love. These are the four. Self-delusion means 

ignorance, lack of understanding of the character of the self, and 

being unenlightened about the principle of the non-self. Therefore it is 

called self-delusion. Self-view means clinging to the view that the self 

exists, erroneously imagining certain dharmas to be the self that are not 

the self. Therefore it is called self-view. Self-conceit means pride. On the 

strength of what is clung to as the self, it causes the mind to feel superior 

and lofty. It is therefore called self-conceit. Self-love means a greedy 

desire for the self. It develops deep attachment to what is clung to as the 

self. It is therefore called self-love... . These four defilements constantly 

arise and pollute the inner mind and cause the [six] 49 other transforming 

consciousnesses to be continuously defiled. Because of this, sentient 

beings are bound to the cycle of life and death and transmigration and 

cannot be free from them. Hence they are called defilements. . . . (ch. 4, 

TSD, 31:19-22) 

49 The consciousness of the five senses and the sense-center consciousness. K'ueichi, 

28:3a. 

383


5. The Third Transformation of Consciousness 

8. Next comes the third transforming consciousness 

Which consists of the last six categories of discrimination 

(the consciousness of touch, sight, hearing, smell, taste, 

and the sense-center consciousness). 

Their nature and character consist in the discrimination 

of spheres of objects. 

They are neither good nor evil. 

Comment. Note the equal emphasis on the nature and characters 

of dharmas, here as well as in verse 5. This equal emphasis gives 

special meaning to the school's acceptance of the doctrine of Two 

Levels of Truth. 50 However, the primary concern of the school has 

always been on characters of dharmas. In accepting them as real, 

the school is not quite Mahayana and has therefore been regarded 

as quasi-Hinayana which, generally speaking, accepts the external 

world as real. One wonders if the Chinese refusal to regard the 

world as illusory did not have something to do with the school's 

position. 

With how many mental qualities are these six consciousnesses associated? 

The verse says: 

9. The mental qualities are: general mental qualities, 

Particular mental qualities, good mental qualities, mental 

qualities of defilement, 

Derived mental qualities of defilement, and indeterminate 

mental qualities. 51 

They are all associated with the mind which is impressed in 

three ways [of joy, of sorrow, and of indifference]. 

10. First, general mental qualities are touch and so forth 

(volition, feeling, thought, cognition). 

Next, particular mental qualities refer to desire, 

Resolve, remembrance, calmness, and wisdom. 

The things that constitute their objects are not the same. 

11. Good mental qualities refer to belief, sense of shame, sense 

of integrity. 

The three roots of absence of covetousness and so forth 

(absence of anger and absence of delusions), 

50 See below, first comment in sec. 7. 

51 These are the six categories of mental qualities, which have fifty-one dharmas 

mentioned in verses 10-14. Besides there are eight dharmas of mind, eleven 

dharmas of matter, twenty-four dharmas not associated with mind, and six 

dharmas not produced by cause, making a total of one hundred dharmas in five 

divisions. For this school these make up all the elements of existence. 

384

HSÜAN-TSANG 

Diligence, repose of mind, vigilance, 

Equanimity, and non-injury. 

12. Mental qualities of defilement are covetousness, anger, 

Delusion, conceit, doubt, and false view. 

Derived mental qualities of defilement are fury, 

Enmity, concealment, affliction, envy, parsimony. 

13. Deception, fraudulence, injury, pride, 

Absence of a sense of shame, absence of a sense of integrity, 

Agitation, low-mindedness, 

Unbelief, indolence. 

14. Idleness, forgetfulness, 

Distraction, and non-discernment. 

Indeterminate mental qualities refer to regret, drowsiness, 

Inquisitiveness, and investigativeness, the former two composing 

a different class from the latter. 52 

15. Based on the root consciousness (the eighth consciousness) 

The five consciousnesses (of the senses) manifest themselves 

in accordance with various causes. 

Sometimes [the senses manifest themselves] together, and 

sometimes not, 

Just as waves [manifest themselves] depending on water 

conditions. 

16. The sense-center consciousness always arises and manifests 

itself, 

Except when born in the realm of absence of thought, 

In the two forms of calmness, namely, calmness in which 

there is no more activity of thought [and calmness in 

which there is the complete extinction of sensation and 

thought]. 

In sleep, and in that state where the spirit is depressed or 

absent. 


The root consciousness is the storehouse consciousness because it is 

the root from which all pure and impure consciousnesses grow.... By 

"causes" are meant rising activities of the mind, the sense organs, and 

spheres of objects. It means that the five consciousnesses arise and manifest 

themselves, internally based on the root consciousness and externally 

as a result of a combination of the causes like the rising activities of the 

mind, the five sense organs, and spheres of objects. These conscious- 

52 According to Hsüan-tsang, there are two other interpretations: (1) the latter 

two may be either pure or impure; (2) all mental qualities and derived mental 

qualities have the nature of evil and indifference to good and evil. 

385


nesses manifest themselves sometimes together and sometimes separately. 

This is so because the external causes may be combined suddenly or 

gradually. . . . (chs. 5-7, TSD, 31:26-37) 

6. Consciousness-Only 

17. Thus the various consciousnesses transform and change. 

Both discrimination (consciousnesses) and the object of 

discrimination 

Are, because of this, unreal. 

For this reason, everything is consciousness only. 


"The various consciousnesses" refer to the three transforming consciousnesses 

previously discussed and their mental qualities. They can 

all transform and appear as the perceiving and the perceived portions. 

The term "transformation" is thus employed. The perceiving portion of 

the transformation is called discrimination because it can grasp the perceived 

portion (as the object of perception). The perceived portion of 

the transformation is called the object of discrimination because it is 

grasped by the perceiving portion. According to this correct principle, 

apart from being transformations of consciousness, the self and dharmas 

are both definitely nonexistent, because apart from what grasps and what 

is grasped, there is nothing else, and because there are no real things 

separated from the two portions. 

Therefore everything produced from causes, everything not produced 

from causes, and everything seemingly real or unreal, are all inseparable 

from consciousness. The word "only" is intended to deny that there are 

real things separated from consciousness, but not to deny that there are 

mental qualities, dharmas, and so forth inseparable from consciousness. 

The word "transform" means that the various inner consciousnesses 

transform and manifest the characters which seem to be the external 

spheres of the self and dharmas. This process of transformation and 

change is called discrimination because it is its own nature to make 

erroneous discriminations [that things are real]. It refers to the mind 

and mental qualities in the Three Worlds. 53 These, what it holds to be 

spheres of objects, are called objects of discrimination, that is, the self 

and dharmas which it erroneously holds to be real. Because of this discrimination, 

which evolves characters which seem to be the external 

spheres of the false self and dharmas, what is discriminated as the real 

self and dharmas are all absolutely nonexistent. This theory has been 

extensively refuted by the doctrines [of our teachers] already cited. 

Therefore everything is consciousness only, because erroneous dis- 

53 See above, eh. 20, n.38. 

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HSÜAN-TSANG 

crimination in itself is admitted as a fact. Since "only" does not deny 

the existence of dharmas not separated from consciousness, therefore 

true Emptiness [mental qualities] 54 and so forth have the nature of being. 

In this way we steer far away from the two extremes of holding that 

dharmas are real [although they have no nature of their own] or holding 

that dharmas are unreal [although they do function as causes and effects], 

establish the principle of Consciousness-Only, and hold correctly 

to the Middle Path. 

7. Nine Objections to the Consciousness-Only 

Doctrine and Their Answers 

(1) Objection: On the basis of what doctrines is the principle of 

Consciousness-Only established? 

Answer: Have we not already explained? However, the explanations 

are not sufficient. One's own principle cannot be established by demolishing 

those of others. One should definitely present his own doctrine in 

order to establish it. 

The true scriptures 55 declare that "in the Three Worlds there is nothing 

but mind," 56 that objects are but manifestations of consciousness-only, 57 

that all dharmas are not separated from the mind, 58 that sentient beings 

become pure or impure in accordance with the mind, 59 that bodhisattvas 60 

(saints of the Mahayana) who perfected the Four Wisdoms will, following 

their awakening, penetrate the truth of consciousness-only and the 

absence of spheres of objects. 61 

The Four Wisdoms are: first, the wisdom that contradictory consciousnesses 

are but characters. This means that the same thing perceived by 

ghosts, human beings, and deities appear differently to them in accordance 

with their past deeds. If there is really an external sphere, how can 

this be possible? Second, the wisdom that consciousness takes non-being 

as its object. This means that the past, the future, images in dreams, 

54 Addition according to K'uei-chi, 42:6a. 

55 Literally, the scriptures that teach correct principles. 

56 Shih-ti ching (Dasabhumi sutra or Ten-Stage Scripture), ch. 4, sec. 6, TSD, 

10:533. See K'uei-chi, 42:7b. 

57 Chieh shen-mi ching (Sandhinirmocana sutra or Scripture Explaining the 

Deep and the Secret), ch. 2, sec. 4-5, TSD, 16:693; see K'uei-chi, 42:8a. 

58 Ju Leng-chia ching (Lankavatara sutra or Scripture about [the Buddha] 

Entering into Lanka), ch. 5, TSD, 16:543. See translation by Suzuki, Lankavatara 

sutra, pp. 171-175. See K'uei-chi, 42:8b. 

59 Shuo Wu-kou-ch'eng ching (Vimalakirtinirdesa sutra or Scripture Spoken by 

Vimalakirti), ch. 1, TSD, 14:559. See K'uei-chi, 42:8b. 

60 A bodhisattva is one who has a strong determination to seek enlightenment 

and salvation for all. 

61 The name of this scripture is uncertain. See de la Vallée Poussin, la siddhe de 

Hiuan-tsang, p. 421, n.l. K'uei-chi was not sure (42:9a). 

387


and things imagined have no real, objective basis. They are possible 

because they are manifestations of consciousness. If these objective 

bases are nonexistent, the rest is also nonexistent. The third is the wisdom 

that naturally there should be no perversion of truth. This means that 

if the intelligence of ordinary people is able to perceive the real spheres 

of objects, they should naturally achieve freedom from perversion and 

should be able to achieve emancipation without any effort. [Since they 

are not emancipated, it shows that the objective spheres they perceive 

are not real at all.] 62 The fourth is the wisdom changing with three 

wisdoms: 

a) Changing with the wisdom of the one who is free and at ease. This 

means that he who has realized the freedom and the ease of mind can 

change and transform earth [into gold] and so forth without fail according 

to his desires. If there was really an external sphere, how can 

these transformations be possible? 

b) Changing with the wisdom of the one who meditates and sees 

clearly. This means that when one who has achieved supreme calmness 

and has practiced the meditation on the Law meditates on one sphere 

of objects, its various characters appear in front of him. If the sphere is 

real, why does it change according to his mind? 

c) Changing with the wisdom of no discrimination. This means that 

as the non-discriminating wisdom which realizes truth arises, all spheres 

of objects and their characters will cease to appear. If there are real 

spheres of objects, why should they do so? The bodhisattva who achieves 

the Four Wisdoms will definitely understand and penetrate the principle 

of consciousness-only. 

Furthermore, the hymn says: 

The objects of mind, thought-center consciousness, and [the 

other six] consciousnesses 

Are not distinct from their own nature. 

Therefore I declare that all things 

Are consciousness only and there is nothing else [which is 

external to the mind]. . . . 63 

(2) Objection: If what seem to be external spheres are simply the 

products of the inner consciousness, why is it that what we see in the 

world, whether sentient beings or non-sentient objects, are definite with 


63 Hou-yen ching (Ghanavyuha sutra or Rich and Splendid (Scripture), according 

to K'uei-chi, 42:11b. The title Hou-yen ching is that of the Tibetan translation. 

The two Chinese translations of the scripture are both entitled Ta-ch'eng mi-yen 

ching (Secret and Splendid Scripture of the Mahayana), but I cannot find the passage 

in them. The general idea, however, runs through the scripture, especially in 

sec. 8 of the first version, TSD, 16:740. 

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HSÜAN-TSANG 

respect to space [for example, a certain mountain is always seen in a 

certain place] and time but indefinite with respect to people [for example, 

when many people see the same mountain at the same time, their consciousness 

of it is not determined by any one of them] and function [for 

example, food has real function in waking life but not in a dream]? 

Answer: Your doubt may be dispelled with reference to the world of 

dreams. 

(3) Objection: Why did the World-Honored One (Bhagavat, the 

Buddha) teach the Twelve Bases (the five senses, the mind, and their 

organs)? 

Answer: These are transformations based on consciousness. They 

are not real things separated from consciousness. In order to introduce 

[his disciples] to the truth of the emptiness of the self, He spoke 

to the six internal bases and six external bases, just as He spoke of the 

continuity of sentient beings in order to deny the [false] view that things 

come to an end. And in order to introduce them to the truth of the 

emptiness of dharmas, He also spoke of consciousness-only, so they 

know that external dharmas are also nonexistent. 

(4) Objection: Is the nature of consciousness-only not also empty? 

Answer: No. Why? Because it is not a matter of clinging? We 

say dharmas are empty because the [so-called] real dharmas erroneously 

conceived on the basis of transformations of consciousness are contrary 

to reason. We do not say dharmas are empty because there is no nature 

of consciousness-only realized by correct and indescribable wisdom. If 

there were no such consciousness, there would be no worldly (relative) 

truth, and if there were no worldly truth, there would be no absolute 

truth, for the Two Levels of Truth are established on the basis of each 

other. To reject the Two Levels of Truth is to have evil ideas of Emptiness, 

a disease the Buddhas consider to be incurable. We should realize 

that some dharmas [which are imagined] are empty and some [which 

depend on something else, i.e., cause, to be complete] 64 are not, and that 

is why Maitreya 65 recited the two verses above [to the effect that some 

dharmas are empty and some are not]. 

Comment. It is interesting to note that the position of this school 

with reference to the Two Levels of Truth is somewhere between 

that of the Three-Treatise School, which subordinates worldly truth 

to absolute truth, and the Hua-yen School, which identifies them. 

Although this school represents the doctrine of being, actually it 

aims at a synthesis of both being and non-being. Consequently both 


65 The next Buddha, who is to come in the future to save the world. 

389


character and nature of dharmas are emphasized and both inner 

and external spheres are stressed. 

(5) Objection: If the bases of the various forms of matter are consciousness 

in substance, why do the various consciousnesses of matter 

appear and manifest themselves in the semblance of characters of matter 

—homogeneous, unchangeable—and transform continuously? 

Answer: Because [these manifestations] arise through the force 

of the influence of names and words [residing in the body from time immemorial], 

and are based on pure and impure dharmas. If there were 

none [of these characters], there would be no perversion of truth, and 

thus there would be neither dharmas of defilement nor pure dharmas. 

This is why the various consciousnesses appear in the semblance of 

matter. . . . 

Comment. Like any idealistic philosophy, Consciousness-Only 

faces the most difficult task of explaining the regularity, consistency, 

and continuity of ideas. Instead of resorting to a belief in God, as 

Berkeley did, who assumes that God is the giver of them, this school 

treats regularity and so forth as simply characters of dharmas and 

as such, to be explained in terms of cause and effect. In this process 

of mutual cause and effect, certain seeds regularly perfume in a 

certain way, and therefore people with similar seeds in them are 

perfumed in the same way. The answer to the second objection 

above is no evasion, for dreams, like ideas in waking life, are 

governed by the law of cause and effect. By the use of this law, 

idealistic Buddhism has avoided the necessity of a belief in God as 

it has avoided the necessity of a belief in an ego. 66 

(6) Objection: The external spheres of color and so forth are clearly 

and immediately realized. How can what is perceived through immediate 

apprehension be rejected as nonexistent? 

Answer: At the time the external spheres are realized through 

immediate apprehension, they are not taken as external. It is later that 

the sense-center consciousness discriminates and erroneously creates the 

notion of externality. Thus the objective spheres immediately apprehended 

are the perceived portion of the consciousnesses themselves. Since 

they are transformations of consciousness, we say they exist. But since 

color and so forth, which the sense-center consciousness conceives as 

external and real, are erroneously imagined to be existent, we say they 

are nonexistent. Furthermore, objective spheres of color and so forth 

are not colors but appear to be color, and are not external but appear 

66 For a fuller answer to these objections, see Vasubandhu's Vimsatika, trans. 

by Hamilton, Wei Shih Er Shih Lun. 

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HSÜAN-TSANG 

to be external. They are like objects in a dream, and should not be taken 

as real, external color. 

(7) Objection: If color and so forth perceived when we are awake 

are all like objects in a dream and inseparable from consciousness, then 

as we awake from a dream, we know that they are only mental. Why is 

it that when we are awake we do not know that the objective sphere of 

color perceived by ourselves is not consciousness only? 

Answer: We do not realize ourselves [that objects in a dream are 

unreal] as long as we have not awakened from the dream. It is only after 

we have awakened that we, in retrospect, come to realize it. We should 

know that the same is true of our knowledge of the objective sphere of 

color in our waking Me. Before we reach the state of true awakening, 

we do not ourselves know it, but when we reach the state of true awakening, 

we can also, in retrospect, come to realize it. Before we achieve 

true awakening, we are perpetually in the midst of a dream. This is why 

the Buddha spoke of the long night of transmigration, because of our 

failure to understand that the objective spheres of color [and so forth] 

are consciousness only. 

(8) Objection: If external matter is really nonexistent, it may be 

granted that it is not a sphere of objects for one's inner consciousness. 

But the mind of another person really exists. Why is it not an object of 

one's own consciousness? 

Answer: Who says that another person's mind is not a sphere 

of objects for one's own consciousness? We only say that it is not its 

immediate and direct object. This means that when the consciousness 

[of another person's mind] arises, it has no real function. The case is 

different from that of the hands and so forth which grasp an external 

thing immediately and directly, or that of the sun and so forth, which 

spread their light and by direct contact shine on external spheres immediately 

and directly. The consciousness is merely like a mirror, in 

which what seems to be an external sphere appears. It is in this sense 

that it is called the mind that discriminates another. But it cannot discriminate 

[another mind] immediately and directly. What it discriminates 

immediately and directly are its own transformations. Therefore the 

true scripture 67 says that not the least dharma [one's own mind] can 

grasp other dharmas [other minds]. 68 It is only when consciousness is 

produced that it manifests a character similar to that of another thing. 

This is called grasping another thing. It seems like taking another person's 

mind as an object. The same is true of matter and so forth. 

(9) Objection: Since there is [another mind] distinct from [one's 

67 Interpretation according to K'uei-chi, 43:15a. 

68 Chieh shen-mi ching, ch. 3, sec. 6, TSD, 16:698. 

391


own] sphere of objects, 69 how can you say there is consciousness only? 

Answer: How extraordinarily obstinate! You raise doubts at 

every point. Does the doctrine of Consciousness-Only assert that there 

is only one individual consciousness? No, it does not. Why? Please 

listen carefully. 

If there were only one individual consciousness, how is it that there 

is a variety of ordinary people, saints, the honored ones and lowly ones, 

and causes and effects in the ten cardinal directions? Who would then 

expound teachings to whom? What dharmas would there be? And what 

goal is there to seek? Therefore there is a deep purpose in saying there 

is consciousness only. 

The word "consciousness" generally expresses the idea that all human 

beings each possess eight consciousnesses, six categories of mental qualities, 

70 the perceiving portion and perceived portion which are products 

of transformation, the different categories of [dharmas of consciousness, 

dharmas of matter and mind, and dharmas not associated with the 

mind], and True Thusness (True Reality) 71 revealed by the principle of 

the emptiness [of the self and dharmas]. 

Because consciousnesses are their own characters, because consciousnesses 

are associated with mental qualities, because of the transformations 

of the perceiving portion and perceived portion, because of the 

three categories of dharmas, and because of these four true realities, 

all dharmas are inseparable from consciousness and the general term 

"consciousness" has been set up. The word "only" is employed merely 

to deny what ordinary people take to be real matter definitely separated 

from the various consciousnesses. . . . 

If there is consciousness only and no external causes, how did the 

various discriminations arise? The verse says: 

18. Because consciousness involves all kinds of seeds, 

Different transformations take place. 

Because of their power to turn on and on, 

All sorts of discriminations are produced. 


By consciousness evolving all kinds of seeds is meant that functions 

and differentiations in the root consciousness spontaneously produce 

their own fruition. . . . (ch. 7, TSD, 31:38-40) 

Comment. The Consciousness-Only philosophy is permeated with 

the concepts of change and transformation like the Book of 

69 These interpretations are K'uei-chi's, 43:15b. 

70 These six categories are mentioned in verses 9-14, above. 

71 See below, ch. 24, n.19. 

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HSÜAN-TSANG 

Changes. However, certain fundamental differences should not be 

overlooked. The change in this philosophy takes place in consciousness, 

whereas that of Change operates in the objective world. In 

both philosophies change operates in the pattern of opposition—in 

perfuming by pure or impure seeds in the one and in the alteration 

of yin and yang (passive and active cosmic forces) in the other. 

But while the direction of perfuming is circular, that of yin yang is 

progressive—from yin yang to the Four Forms (major and minor 

yin and yang) and the myriad things. Most important, change in 

Buddhism leads finally to quietness and silence in Nirvana, but 

transformation in Confucianism is an eternal process of "production 

and reproduction." 

8. The Three Natures of Being, Three Natures 

of Non-being, and Thusness 

19. Due to the force of habit of various pervious deeds 

The force of habit of the six sense organs and that of their 

objects 72 working on each other both ways [by being 

influenced and also by producing their own functions 

within the eighth consciousness]. 73 

As the previous ripening-at-later-times is completed, 

Succeeding ripenings-at-later-times are produced. 

20. Because of a variety of vast imagination, 

Various things [like the hair of a tortoise] 74 are vastly 

imagined. 

What is conceived by this vast imagination 

Has no nature of its own whatsoever. 

21. The self-nature which results from dependence on others 

Consists of discriminations produced by various causes. 

The difference between Perfect Reality and the nature of 

being dependent on others, 

Is that the former is eternally free from being conceived by 

vast imagination [whereas the latter is merely defiled by 

imagination]. 

22. Thus Perfect Reality and the dependent 

Are neither the same nor different. 

As in the cases of impermanence and so forth, 

It is not that when one is not understood, the other can. 

72 According to K'uei-chi, 47:4a-5b, this is only one of eight interpretations of 

erh-ch'ü, literally "two-take." 

73 Insertion following K'uei-chi, 47:5b. 

74 K'uei-chi, 51:3b. 

393


If there is the Threefold Nature of Being (Being Conceived by Vast 

Imagination, Being Dependent on Others for Production, and Being 

of Perfect Reality), why did the World-Honored One say that all 

dharmas are without nature of their own? The verse says: 

23. On the basis of the Threefold Nature of Being 

Threefold Nature of Non-being is established. 

Therefore the Buddha said earnestly 

That all dharmas have no nature [of their own]. 

24. The first is the Non-being of Characters [since they are but 

products of imagination]. 

The second is the Non-being of Self-existence [since it is 

the result of discrimination]. 

The last is [Non-being in the Highest Sense], 

They are forever separated from the self and dharmas 

previously conceived. 

25. In the highest sense all these dharmas 

Are nothing other than True Thusness (True Reality). 

They are forever true to their nature, 

Which is the true nature of consciousness-only. 

26. As long as the consciousness (of wisdom) has not arisen 

To seek to remain 75 in the state of consciousness-only 

The six sense organs and their objects and the seeds of evil 

desires 

Cannot be overcome and annihilated. 

27. To hold something before oneself, 

And to say that it is the nature of consciousness-only, 

Is really not to remain in the state of consciousness-only, 

Because it is the result of grasping. 

28. When in the [sphere of] objects 

There is nothing for the wisdom [which no longer discriminates] 

to grasp, 

The state of consciousness-only is realized, 

Since the six sense organs and their objects are no longer 

present. 

29. Without grasping, mysterious, and indescribable, 

This is supramundane wisdom. 

Because of the abandonment of the force of habits of 

various previous deeds and the six sense organs as well 

as their objects, 

The transformation [of the seeds of defilement] into the 

abiding with [perfect wisdom] will be realized. 

75 Literally "seeking after." 

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HSÜAN-TSANG 

30. This is the realm of the absence of afflictions (end of 

transmigration), 

Which is beyond description, is good, and is eternal, 

Where one is in the state of emancipation, peace, and joy. 

This is the Law of "Great Silence." 76 

(chs. 8-10, TSD, 31:43-57) 

Comment. In the final analysis, Buddhism is mysticism and a 

religion. All speculation is but a way to Nirvana. 

76 The Law realized by the Great Buddha, Sakyamuni, the sage who realized it 

through silence—that is, freedom from words, relative knowledge, and mistakes. 

395

... 24 ... 

THE T'IEN-T'AI PHILOSOPHY 

OF PERFECT HARMONY 

ALL BUDDHIST SCHOOLS claim to teach the Middle Path of the 

Buddha but they differ radically in their interpretations. For the Three- 

Treatise School, it connotes absolute Emptiness without specific characters. 

For the Consciousness-Only School, it is identified with Thusness, 1 

which also transcends all specific characters. 2 The Middle Path of both 

these schools is transcendent although the latter attempts to arrive at a 

middle ground between realism and nihilism. In the T'ien-t'ai School, 

however, the Middle Path means a synthesis of phenomenon and noumenon, 

in which transcendence and immanence are harmonized so that 

"every color or fragrance is none other than the Middle Path." This 

tendency toward synthesis had been characteristic of Chinese thought, 

especially in the Book of Changes and in Neo-Taoism. Its further development 

in Buddhism is only natural. 

The central doctrines of the T'ien-t'ai School may be summed up in 

its three common sayings, namely, "the true nature of all dharmas 

(elements of existence)"; 3 "the perfect harmony of the Three Levels of 

Truth;" and "the three thousand worlds immanent in an instance of 

thought." By the perfect harmony of the Three Levels of Truth is meant 

that all dharmas are empty because they have no nature of their own 

but depend on causes for their production. This is the Truth of Emptiness. 

But dharmas are produced and do possess temporary and dependent 

existence. This is Temporary Truth. Being both empty and temporary 

is the very nature of dharmas. This is the Truth of the Mean. The 

three involve each other, for Emptiness renders dharmas really empty, 

dependent existence makes them relatively real, and the Mean embraces 

both. Consequently the three are one and one is three. This mutual identity 

is the true state of all dharmas. 

In the realm of Temporary Truth, that is, the phenomenal world, 

there are ten realms: Buddhas, bodhisattvas, 4 buddhas-for-themselves, 5 

direct disciples of the Buddha, 6 heavenly beings, spirits, human beings, 

1 See below, n.19. 

2 Hsiang in Chinese and lakshana in Sanskrit, meaning characteristics. 

3 For the translation of dharma, see Appendix, comment on Fa. 

4 A bodhisattva is one with strong determination to seek enlightenment and 

salvation for himself and others. 

5 Pratyekabuddhas, who attain to their personal enlightenment by their own 

exertion in an age in which there is no Buddha. 

6 Sravakas, who attain to their own salvation by hearing the Buddha's preaching. 

396


departed beings, beasts, and depraved men. Since each of these involves 

the others, there are thus one hundred realms. Each of these in turn 

possesses the Ten Characters of Thusness: character, nature, substance, 

energy, activity, cause, condition, effect, retribution, and being ultimate 

from beginning to end, that is, each is "thus-caused," "thus-natured," 

and so forth. Each of these consists of living beings, of space, and of 

aggregates (matter, sensation, thought, disposition, and consciousness). 

The result is three thousand worlds, which is the totality of manifested 

reality. 

This does not mean a pluralistic universe but one in which one is all 

and all is one. The worlds are so interpenetrated that they are said to 

be "immanent in a single instant of thought." This is not to say that they 

are produced by any mind, for production implies a sequence in time. 

Nor are they to be thought of as being included in an instant of thought, 

for inclusion implies space. Rather, it means that all the possible worlds 

are so much identified that they are involved in every .moment of 

thought. In other words, all phenomena are manifestations of the Mind 

of Pure Nature and each manifestation is the Mind in its totality. 

This Mind is to be carefully differentiated from that of the Consciousness-Only 

School. The world is not consciousness itself but the manifestation 

of the Mind. It is not in constant transformation as is the Mind 

of the Consciousness-Only School. Instead, it does not change. Since it 

involves all, it cannot, like the Consciousness-Only School, exclude a 

certain group of people from salvation. In fact, one of the outstanding 

features of T'ien-t'ai is the doctrine of universal salvation. Since everything 

involves everything else, it follows that all beings possess Buddhanature 

and are therefore capable of salvation. The logical position of 

the T'ien-t'ai School cannot tolerate any different position, although the 

Confucian doctrine that everyone can become a sage definitely prepared 

for it. 7 As to methods for salvation, the school lays dual emphasis on 

concentration and insight. 

The school can be traced to Kumarajiva, 8 but the founder was really 

Chih-i (538-597) 9 who lived and taught in the T'ien-t'ai (Heavenly 

Terrace) Mountain in Chekiang. Hence the school is called T'ien-t'ai. 10 

This fact is significant because it indicates that the school is essentially 

Chinese. It is true that it was founded by Chih-i on the authority of the 

7 See Mencius, 6B:2. 


9 He was the most outstanding and the most highly revered Buddhist priest of his 

time. He was repeatedly invited by rulers of the various dynasties to lecture. In 

583 he lectured in the palace at Nanking. Thirty-two pupils spread his doctrines in 

various parts of China. For his biography, see Hsü kao-seng chuan (Supplement to 

the Biographies of Eminent Monks), ch. 21, TSD, 50:264-268. 

10 Tendai in Japan. 

397


Indian text, the Lotus Scripture, 11 that the doctrine of the Ten Characters 

of Thusness comes from this scripture, and that the idea that 

dharmas, Emptiness, and the Middle Path are identical is taught in the 

Chung lun (Treatise on the Middle Doctrine) of the Three-Treatise 

School. 12 But it was Hui-wen (550-577) who discovered the idea in 

that treatise and developed it into a central doctrine. The idea of three 

thousand worlds immanent in a single instant of thought was Chih-i's 

own. 

The philosophical ideas underlie the basic scriptures of the school but 

they are not expressed in lengthy passages. Chih-i's works are mostly 

devoted to spiritual cultivation. 

The following selections are from the Ta-ch'eng chih-kuan fa-men 13 

(The Method of Concentration and Insight) ascribed to Hui-ssu (514- 

577), 14 Hui-wen's pupil and Chih-i's teacher, which is perhaps the most 

philosophical of all. Its authenticity has been questioned because it quotes 

a scripture which appeared earlier. 15 But it is a work in which the equal 

emphasis of the school on the Mind as the totality of the universe and on 

the method of concentration and insight is made. 

THE METHOD OF CONCENTRATION AND INSIGHT 

1. The Various Aspects of the Mind 

By concentration is meant to know that all dharmas (elements of 

existence), from the very beginning have no nature of their own. They 

neither come into nor go out of existence. Because they are caused by 

illusion and imagination, they exist without real existence. But the existence 

of existent dharmas is the same as nonexistence. They are only the 

one mind, whose substance admits no differentiation. Those who hold 

this view can stop the flow of erroneous thought. This is called concentration. 

16 

11 Saddharmapundarika sutra (Scripture of the Lotus of the Good Law). For 

English translation, see Bibliography. 

12 Madhyamika sastra, ch. 6, TSD, 30:33. 

13 The word men has the meanings of both gate and divisions or kinds. Thus it 

means different approaches, methods, variety, etc. This is the idea behind the term 

fa-men, or "gates of dharmas," for dharmas are various. But fa also means model, 

that is, the way that can be taken as a model, referring to the path travelled by 

Buddhas and saints. 

14 Hsü kao-seng chuan, ch. 17, TSD, 50:562-564. The second patriarch of the 

T'ien-t'ai School, he was particularly attracted to the Lotus Scripture. 

15 See below, n. 20. 

16 Chih in Chinese, literally "to stop," or to bring the mind to a rest, the 

Chinese translation for the Sanskrit, samatha, which means calmness of mind and 

cessation of erroneous thoughts. 

398


By insight 17 is meant that although we know that [things] originally 

do not come into existence and at present do not go out of existence, 

nevertheless they were caused to arise out of the mind's nature and hence 

are not without a worldly function of an unreal and imaginative nature. 

They are like illusions and dreams which [seem to] exist but really do 

not. This is therefore called insight. ... It means to base and concentrate 

on the one mind in order to practice concentration and insight. . . . 

This mind is the same as the Mind of Pure Self-nature, True Thusness, 

Buddha-nature, Dharma-body, the Storehouse of the Thus-come (Tathagata), 

the Realm of Dharmas, and Dharma-nature. . . . 

Question: Why is it called the Mind of Pure Self-nature? 

Answer: Although this mind has been obscured from time immemorial 

by contaminating dharmas based on ignorance, 18 yet its nature of 

purity has never changed. Hence it is called pure. Why? Because contaminating 

dharmas based on ignorance are from the beginning separated 

from the mind. Why do we say that they are separated? Because dharmas 

with ignorance as their substance are nonexistent dharmas. Their existence 

is the same as nonexistence. Since they are nonexistent, they 

cannot be associated with the mind. Therefore we say they are separated. 

Since there are no contaminating dharmas based on ignorance to be 

associated with it, therefore it is called pure in nature. Being central 

(without going to the extreme) and real, it is originally awakened. It is 

therefore called the mind. For these reasons it is called the Mind of 

Pure Self-nature. 

Question: Why is it called True Thusness (True Reality)? 19 

Answer: All dharmas depend on this mind for their being and take 

the mind as their substance. When it is compared with dharmas all of 

them are unreal and imaginary, and their existence is the same as nonexistence. 

Contrasted with these unreal and false dharmas, the mind is 

regarded as true. 

Furthermore, although dharmas are really nonexistent, because they 

are caused by illusion and imagination, they have the character of coming 

into and going out of existence. When unreal dharmas come into 

existence, this mind does not come into existence, and when the dharmas 

go out of existence, this mind does not go out of existence. Not coming 

17 Kuan in Chinese and vipasyana in Sanskrit, which means to contemplate, to 

examine, to look into, so as to gain insight of true Thusness. 

18 Especially the ignorance of facts and principles of dharmas. 

19 As indicated in the following passage, True Thusness or Suchness (tathata 

in Sanskrit and chen-ju in Chinese) means truth and it-is-so. As truth, it is antithesis 

to illusion and falsehood, and "being so" it is eternal, unchangeable, indestructible, 

without character or nature, and is not produced by causes. It is the 

Absolute, Ultimate Reality, or True Reality, the Storehouse of the Thus-come, the 

Realm of Dharmas, Dharma-nature, and Perfect Reality. 

399


into existence, it is therefore not increased, and not going out of existence, 

it is therefore not decreased. Because it neither comes into nor goes 

out of existence and is neither increased nor decreased, it is called true. 

The Buddhas of the three ages (past, present, and future) and all sentient 

beings have this one Pure Mind as their substance. All ordinary and 

saintly beings and dharmas each have their own differences and differentiated 

characters. But this True Mind has neither differentiation nor 

characters. It is therefore called Thusness. 

Furthermore, by True Thusness is meant that all dharmas, being thus 

real, are merely this one mind. Therefore this one mind is called True 

Thusness. If there are dharmas outside of the mind, they are neither real 

nor thus so, but are false and differentiated characters. This is why the 

Awakening of Faith says, "From the very beginning all dharmas are free 

from the characters of words and speech, from the characters of terms 

and concepts, and from the characters of mental causation (groping for 

objects). At bottom they are all the same, without differentiation, do not 

change or become different, and cannot be destroyed. They are only one 

mind. Therefore it is called True Thusness." 20 Because of this meaning, 

the Mind of Pure Self-nature is also called True Thusness. 

Comment. We have here the major doctrines of the school in a 

nutshell: the Three Levels of Truth, namely, that dharmas are 

differentiated (Temporary Truth), that the True Mind is not 

differentiated (the Truth of Emptiness), and that True Thusness 

means that dharmas are real in this way (the Truth of the Mean). 

Furthermore, all this is but the one mind. 

Question: Why is this mind also called Buddha-nature? 

Answer: The word "buddha" means awakening, and nature means 

the mind. Because the substance of this Pure Mind is not unawakened, 

it is described as the awakened mind. 

Question: How do you know that this true mind is not unawakened? 

Answer: Unawakening is the basis of ignorance. If this Pure Mind 

were ignorance, then when all sentient beings attain Buddhahood and 

ignorance is annihilated, there would be no true mind. Why? Because 

the mind is ignorance. Since ignorance is naturally annihilated, the 

Pure Mind naturally exists. We therefore know that the Pure Mind is 

not unawakening. Furthermore, only when unawakening is annihilated 

can the Pure Mind be realized. From this we know that the mind is not 

unawakening. (ch. 1, TSD, 46:642) 

20 Ta-ch'eng ch'i-hsin lun (Mahayanasraddhotpada sastra, or Treatise on the 

Wakening of Faith in the Mahayana) by Asvaghosa (c. 100 A.D.), TSD, 32:576; 

cf. Suzuki, p. 57. Suzuki's translation is of a different Chinese version from the 

one quoted here. 

400


Question: Why is this mind called Dharma-body? 21 

Answer: The meaning of dharma consists in functioning, and the 

body means a place to depend and rest upon. Because the substance of 

this mind has the function of being affected by contamination, it is influenced 

by all contaminating dharmas. Precisely because this mind is 

affected by contamination, it can get hold of and control the power of 

this influence and also can, on the basis of this influence, manifest the 

contaminating dharmas. That is to say, the two functions—to hold and 

to manifest—which this mind by its nature possesses, and the two types 

of contaminating dharmas—the held and the manifested—are all established 

on the basis of this one mind, and are neither the same with 

nor different from it. Therefore this mind is called Dharma-body. . . . 

Question: Why is this mind also called the Storehouse of the Thuscome 

(Tathagata)? 22 

Answer: .... Because it embodies both the nature and the fact of 

contamination as well as the nature and the fact of purity without obstacle. 

Therefore it is called the storehouse by virtue of its ability to store. 

Because the substance of the storehouse is the same and not differentiated, 

it is called "thus." And because all causations arise in the same 

way, it is called "come" .... Because this True Mind is stored (covered) 

by the shell of ignorance, it is described as the storehouse that is stored. 

As the substance of the storehouse has neither differentiation nor characters, 

it is called "thus," and as its substance fully possesses both functions 

of contamination and purity, it is called "come." Therefore it is 

called the storehouse by virtue of what is stored in it. ... It is called 

"thus" because contamination and purity are the same and not differentiated, 

and it is called "come" because it can produce both contamination 

and purity. Therefore it is called the Storehouse of Thus-come by virtue 

of its ability to produce. 

Comment. The spirit of synthesis is here carried to the point of 

maintaining that both nature (substance) and fact (function) involve 

contamination and purity at the same time. Fung Yu-lan suggests 

that this is a dualistic theory of human nature. 23 This is true 

only insofar as the world of phenomenon is concerned, for underlying 

contamination and purity there is always the Mind of Pure 

Nature. Applied to the question of salvation, the idea of the coexistence 

of contamination and purity provides a logical basis for 

the idea that ordinary people and the Buddhas possess the nature 

21 See below, ch. 26, n.44. 

22 See above, ch. 20, n.41. 


401


of each other, but through concentration and insight, all can realize 

Buddha nature and be saved. 

Question: Why is the Pure Mind also called the Realm of Dharmas? 24 

Answer: Because dharmas are naturally what they are and because 

the realm means that in which the natures of dharmas are differentiated. 

Because the substance of this mind naturally makes all dharmas fully 

sufficient, it is therefore described as the Realm of Dharmas. 

Question: Why is this Pure Mind called Dharma-nature? 

Answer: Dharma refers to all dharmas and by nature is meant the 

differentiation of substance. Because this Pure Mind possesses the nature 

to differentiate, it can become the substance of all dharmas. Furthermore, 

by nature is meant that the substance is really unchanged, for all 

dharmas take this mind as their substance. The characters of all dharmas 

spontaneously come into and go out of existence. Therefore they are 

called unreal and imaginary, and because this mind is real, unchangeable, 

and indestructible, it is called Dharma-nature. . . . 

As to the substance and features of the mind, there are three:. . . (1) 

From the very beginning this mind has been free from all kinds of 

character. It is the same without differentiation and is in the state of 

Nirvana. It is not with characters. It is not without characters. It is not 

either with or without characters. And it is not neither with nor without 

characters. . . . 

(2) Although it has been explained above that the Pure Mind is free 

from the characters of all discriminative minds and sense objects, nevertheless 

these characters are not different from the Pure Mind. Why? 

Although the substance of this mind is the same and not differentiated, 

it originally possesses both functions of being contaminated and remaining 

pure. Furthermore, because of the power of ignorance and imagination 

to influence it from time immemorial, both its substance and its 

function of being contaminated manifest themselves according to the 

influence. These unreal characters have no substance; they are but the 

Pure Mind. Hence it is said that [substance and features] are not different. 

But at the same time they are not the same. Why? Because, although 

it possesses the two functions of contamination and purity, the substance 

of the Pure Mind does not have the character of distinction between the 

two. It is simply the same and undifferentiated. Simply depending on the 

unreal characters manifested by the power of influence, there are varying 

degrees of difference. But these unreal characters come into and go out 

of existence, whereas the substance of the Pure Mind is eternal: it neither 

comes into nor goes out of existence, and endures forever without change. 

24 Dharmadhatu, the universe. 

402


Hence it is said that [substance and features] are not the same.... (ch. 1, 

TSD, 46:644-645) 

(3) The substance of the storehouse is the same and undifferentiated, 

and in fact has no differentiation. In this respect it is the Storehouse of 

the Thus-come of Emptiness. However, because the substance of this 

storehouse also has mysterious functions, it possesses all dharma natures 

to the fullest extent, including their differentiations. In this respect, it is 

the Storehouse of the Thus-come of Non-emptiness, that is, the differentiation 

of non-differentiation. 

What does this mean? It means that it does not, like a lump of clay, 

possess many particles of dust. Why? The lump of clay is false, whereas 

the particles of dust are real. Therefore each particle has its own distinctive 

material. But since they are combined to form a lump of clay, it 

possesses the distinctiveness of the various particles. But the Storehouse 

of the Thus-come is different from this. Why? Because the Storehouse of 

the Thus-come is the Real Dharma. It is perfectly harmonious without 

duality. Therefore the Storehouse of the Thus-come, in its totality, is 

the nature of a single hair-pore of a single being, and at the same time 

the nature of all hair-pores of that being. And as in the case of the nature 

of the hair-pore, so in that of the nature of every dharma in the 

world. . . . (ch. 2, TSD, 46:648). 

2. Three Ages as an Instant; Substance and Function 

Question: Is an instant of thought on my part an equivalent to the 

three ages? Is what is seen as a particle of dust the equivalent of the ten 

cardinal directions? 

Answer: Not only is an instant of thought equivalent to the three ages; 

we may say that it is the full span of the three ages. Not only is a particle 

of dust equivalent to the ten cardinal directions; we may say that it is 

the world of ten directions. Why? Because all dharmas are but one mind. 

Therefore there is no differentiation in itself, for differentiation is the 

one mind. As the mind involves all functions, the one mind is differentiation. 

They are always the same and always different. The Realm of 

Dharmas [the universe] is naturally so. ... 

Comment. The all-in-one and one-in-all theory is further developed 

in the Hua-yen School. T'ien-t'ai exerted a strong influence on it, 

and through it on Neo-Confucianism. 

Question: If substance and function are not different, it can only be 

said that the Two Levels of Truth (worldly or relative truth and absolute 

truth) involve each other. How can worldly truth also involve worldly 

events? 

403


Answer: By saying substance and function are not different, one does 

not mean collecting the different functions of many particles of dust to 

form the one substance of the lump of clay. It merely means that within 

the level of worldly truth, every event or character is the total substance 

of absolute truth. Therefore we say that substance and function are not 

different. Because of this meaning, if absolute truth involves completely 

all events and characters within the level of worldly truth, at the same 

time every single event or character within the level of worldly truth also 

involves completely all events and characters within the level of worldly 

truth, (ch. 2, TSD, 46:650) 

Comment. Because the school advocates the doctrine of the harmony 

of the Three Levels of Truth, it is a definite advance beyond the 

doctrine of the Two Levels of Truth of other schools. The intention 

here is not to affirm Two Levels of Truth but to stress the idea that 

one involves all and all involve one. 

3. The Function of Concentration and Insight 

As to the function of concentration and insight: It means that because 

of the accomplishment of concentration, the Pure Mind is realized in 

substance, the nature which is without duality is harmonized through 

principle (li, rational nature of things), these and all sentient beings are 

harmoniously identified to form a body of one single character. Thereupon 

the Three Treasures 25 are merged together without being three, and 

because of this the Two Levels of Truth are fused without being two. How 

calm, still, and pure! How deep, stable, and quiet! How pure and clear 

the inner silence! It functions without the character of functioning, and 

acts without the character of acting. It is so because all dharmas are from 

the very beginning the same and not differentiated and because the nature 

of the mind is naturally so. This is the substance of the most profound 

Dharma-nature. 

It also means that because of the accomplishment of insight, the substance 

of the Pure Mind is manifested, and the function of the Realm of 

Dharmas, which is without obstacle, naturally produces all capabilities 

to be contaminated and to be pure. . . . Again, owing to the accomplishment 

of concentration, one's mind is the same and not differentiated and 

one no longer remains within the cycle of life and death. Yet owing to 

the accomplishment of insight, one's characteristics and functions arise 

from causation and one does not enter Nirvana. Moreover, owing to the 

accomplishment of concentration, one remains in the great Nirvana, and 

yet owing to the attainment of insight, one dwells in the realm of life 

25 The Three Bodies of a Buddha. See below, ch. 26, n.44. 

404


and death. Furthermore, owing to the accomplishment of concentration, 

one is not contaminated by the world, but owing to the attainment of 

insight, one is not bogged down in the realm of extinction [of passions, 

that is, Nirvana]. Further, owing to the accomplishment of concentration, 

one achieves eternal extinction in the process of functioning, and owing 

to the attainment of insight, one achieves eternal function in the state of 

extinction. Further, owing to the accomplishment of concentration, one 

knows that the cycle of life and death is the same as Nirvana, and owing 

to the attainment of insight, one knows that Nirvana is the same as the 

cycle of life and death. Further, owing to the accomplishment of concentration, 

one knows that the cycle of life and death and Nirvana cannot 

be attained at the same time, but owing to the attainment of insight, one 

knows that transmigration is the cycle of life and death and the absence 

of transmigration is Nirvana, (ch. 4, TSD, 46:661) 

Comment. Concentration and insight are but two of the stages in 

Indian meditation, but T'ien-t'ai treats them as the total process. 

Furthermore, the two are regarded as two wings of a bird, functioning 

at the same time. The equal emphasis on the volitional and 

intellectual aspects of the mind is itself indicative of the School's 

spirit of synthesis. To a certain extent this reflects the intellectual 

climate of the time, for in sixth-century China, Buddhist thought 

was intellectual in character in the south while contemplative in 

the north. The dual method, however, is dictated by the philosophy 

of the school itself. This is why the two not only go together but 

reinforce each other. Contemplation assists understanding, and 

understanding assists contemplation. 

405

••• 25 ••• 

THE ONE-AND-ALL PHILOSOPHY: FA-TSANG 

OF THE HUA-YEN SCHOOL 

THE Hua-yen philosophy represents the highest development of Chinese 

Buddhist thought. It is the most syncretic, and with the philosophy of 

T'ien-t'ai, forms the metaphysical basis of Chinese Buddhism in the last 

millennium. Except for the Zen School, it is the most Chinese and has 

exercised the greatest influence on Neo-Confucian thought. 

The teachings of the school are based on the Hua-yen ching (Flowery 

Splendor Scripture) 1 and for this reason the school is called Hua-yen 

(Flowery Splendor). 2 But in India it never existed as a school. It was 

in China that it became a movement and a strong one. For a century 

after the treatise was first translated in 420, it attracted little attention. 

Eventually interest was aroused. Tu-shun (557-640) lectured and wrote 

on it and became the nominal founder of the school. The real founder, 

however, was Fa-tsang (643-712), who built up an elaborate and wellcoordinated 

system on the simple ideas of the scripture. 

Fa-tsang became a monk at twenty-eight. There is a record that he 

assisted Hsüan-tsang (596-664) in his translations, 3 but finally left because 

he did not agree with him. Since Hsüan-tsang died before Fa-tsang 

was twenty or had joined the order, the record is probably fiction. But 

the point the story is intended to make is significant, for the doctrines of 

the Hua-yen and the Consciousness-Only Schools are strongly opposed 

at many points. Fa-tsang wrote some sixty works, the most important of 

which are devoted to the exposition of the Hua-yen philosophy. He enjoyed 

the strong favor and support of Empress Wu (r. 684-705), who 

commanded him to lecture on the new translation of the Avatamsaka in 

699 in a temple. According to the story, his lecture was so moving that 

"even the earth shook"! About 704 he lectured before the empress' 

palace and, finding philosophy too abstruse for her to comprehend, used 

1 Avatamsaka sutra in Sanskrit. There are three Chinese translations: the 60chapter 

version of 420 by Buddhabhadra (359-429), TSD, 9:395-788, which is the 

standard text; the 80-chapter version of 699 by Sikshananda (652-710), TSD, 

10:1-444; and the 40-chapter version of 798 by Prajña (date unknown), TSD, 

10:661-851). The last version is but one of the 40 sections of the former two 

scriptures, and of which alone there is in existence the Sanskrit original, called 

the Gandavyuha (Detailed Description of Flowery Splendor). The following 

references are to the 60-chapter version. 

2 It is called Kegon in Japanese, kegon being the Japanese pronunciation of 

hua-yen. 


406

THE HUA-YEN SCHOOL 

the figure of a lion in the palace architecture to illustrate his points. The 

result is the famous treatise by its name. 4 

The whole Hua-yen philosophy centers around its fundamental concept, 

the Universal Causation of the Realm of Dharmas (elements of 

existence). 5 The Realm of Dharmas (Dharmadhatu) connotes the whole 

universe, which in the belief of the school, is fourfold. It involves the 

Realm of Facts, the Realm of Principle (Li), the Realm of Principle 

and Facts harmonized, and the Realm of All Facts interwoven and mutually 

identified. Principle is static, spaceless, formless, characterless, 

Emptiness, the noumenon; while facts are dynamic, have specific forms 

and specific characters, are in an unceasing process of transformation, 

and constitute the phenomenal world. They interact and interpenetrate 

and thus form a Perfect Harmony. 

The basic principle underlying this perfect harmony is the simple idea 

of interpenetration and mutual identification. It is based on the theory 

of the Ten Mysterious Gates, according to which all things are coexistent, 

interwoven, interrelated, interpenetrating, mutually inclusive, reflecting 

one another, and so on. This doctrine in turn rests on the theory of the 

Six Characters to the effect that each dharma possesses the six characteristics 

of universality, specialty, similarity, difference, integration, and 

disintegration, so that each dharma is at once one and all and the world is 

in reality a Perfect Harmony. Consequently, when one dharma rises, all 

dharmas rise with it, and vice versa. In short, the entire universe rises 

at the same time. This is the meaning of the Universal Causation of the 

Realm of Dharmas. 

So far the Hua-yen system seems to be identical with that of T'ien-t'ai 

or at most an elaboration of it. Actually, it is a definite advance. The 

Perfect Harmony in T'ien-t'ai is arrived at through the mutual inclusion 

of their Ten Characters of Thusness. That of Hua-yen, on the other hand, 

is arrived at not only through mutual inclusion but, more important, 

through mutual implication. Dharmas do not merely depend on and 

correspond to each other. They imply each other as well, for their character 

of specialty, for example, implies generality, and vice versa. It is this 

type of interrelationship that makes the one, all, and the all, one, and the 

entire universe a complete concord. Since dharmas have no substance of 

their own, they are empty. It is precisely this Emptiness that combines 

them in these mutual relationships. In a real sense, dharmas exist only in 

4 For Fa-tsang's biography and these stories, see Sung kao-seng chuan (Biographies 

of Eminent Monks Compiled in the Sung Period [988]), ch. 5, TSD, 

50:732. His family was originally from Sogdiana in present Sinkiang and Russian 

Central Asia. Before he joined the Buddhist order, he had studied the Hua-yen 

philosophy extensively. 

5 See Appendix, comment on Fa for the meaning of dharma. 

407

THE ONE-AND-ALL PHILOSOPHY 

relation to each other and to the entire universe, which is a set of interrelationships. 

It is too much to suggest that this is organic philosophy, 

but it certainly points to that direction. Hua-yen exercised considerable 

influence on Neo-Confucianism chiefly because of this organic character. 

Its famous metaphor of the big ocean and the many waves was borrowed, 

with modification, by Chu Hsi (1130-1200). 6 The main concepts of 

Neo-Confucianism, those of principle and material force, were derived 

through, if not from, those of principle and fact in Hua-yen. Its one-is-all 

and all-is-one philosophy shows unmistakable Hua-yen imprints. 

Nevertheless, with respect to the relationship between principle and 

fact, Hua-yen and Neo-Confucianism are diametrically opposed. For 

Hua-yen, all phenomena are manifestations of the mind but this is not 

so in the rationalistic Neo-Confucianism of Ch'eng I (Ch'eng I-ch'uan, 

1033-1107) and Chu Hsi. It may be said that the idealistic Neo-Confucianism 

of Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193) and Wang 

Yang-ming (Yang Shou-jen, 1472-1529), which identifies principle 

with mind, is similar to the idealism of Hua-yen. But historically the 

Buddhist influence on the Lu-Wang School came by way of the Zen 

School rather than Hua-yen. In both rationalistic and idealistic Confucianism, 

it is in accordance with principle that the universe "produces 

and reproduces." The universe is therefore daily renewed. This creative 

element is lacking in the Universal Causation of Hua-yen. 

In comparing the idealistic position of Hua-yen and that of the Consciousness-Only 

School, Fung Yu-lan has observed that inasmuch as 

Fa-tsang regards the permanent and unchanging mind as the basis of all 

phenomena, his system is one of objective idealism—implying thereby 

that the system of Hsüan-tsang is one of subjective idealism. 7 Generally 

speaking, this is true. The fact remains, however, that in both 

schools, the external world, called external sphere by Hsüan-tsang and 

the Realm of Facts by Fa-tsang, is considered manifestations of the 

mind. In both schools, these manifestations have universal and objective 

validity, although the degree of validity is higher in Hua-yen. The 

interesting thing is that Hua-yen presupposes a preestablished harmony 

while the Consciousness-Only School does not. 

Fa-tsang's works are very systematic but unfortunately too summary. 

The following translations, the Chin-shih-tzu chang (Treatise on the 

Golden Lion) in its entirety and two chapters from his Hua-yen- i-hai 

po-men (Hundred Gates to the Sea of Ideas of the Flowery Splendor 

Scripture) in which he summarized the Hua-yen philosophy in one 

hundred points, are from his two most important works. 



408


A. TREATISE ON THE GOLDEN LION 

1. Clarifying the fact that things arise through causation 

It means that gold has no nature of its own. As a result of the conditioning 

of the skillful craftsman, the character 8 of the lion consequently 

arises. This arising is purely due to causes. Therefore it is called arising 

through causation. 

2. Distinguishing matter and Emptiness 

It means that the character of the lion is unreal; there is only real gold. 

The lion is not existent, but the substance of the gold is not nonexistent. 

Therefore they are [separately] called matter and Emptiness. Furthermore, 

Emptiness has no character of its own; it shows itself by means 

of matter. This does not obstruct its illusory existence. Therefore they 

are [separately] called matter 9 and Emptiness. 

3. Simply stating the Three Natures 

The lion exists because of our feelings. This is called [the nature] 

arising from vast imagination. 10 The lion seems to exist. This is called 

[the nature of] dependence on others (gold and craftsman) [for production]. 

11 The nature of the gold does hot change. This is therefore called 

[the nature of] Perfect Reality. 12 

Comment. In name these Three Natures are not different from those 

of the Consciousness-Only School. 13 But there is a radical difference. 

For the Consciousness-Only School, Perfect Reality, as consciousness-only, 

is in perpetual transformation, whereas for Huayen, 

Perfect Reality does not change. 

4. Showing the nonexistence of characters 

It means that as the gold takes in the lion in its totality, apart from 

the gold there is no character of the lion to be found. Therefore it is 

called the nonexistence of characters. 

5. Explaining non-coming-into-existence 

It means that at the moment when we see the lion come into existence, 

it is only gold that comes into existence. There is nothing apart from the 

gold. Although the lion comes into existence and goes out of existence, 

8 

Hsiang in Chinese and lakshana in Sanskrit, meaning feature, form, appearance, 

etc. It is contrasted with the nature of a thing. 

9 

Rupa, meaning form, appearance, phenomenon, color, etc. 

10 11 12 

Parikalpita. Paratantra. Parinishpanna. 

13 

See above, ch. 23, sec. 8. 

409


the substance of the gold at bottom neither increases nor decreases. 

Therefore we say that [dharmas] do not come into existence [nor go out 

of existence]. 

6. Discussing the Five Doctrines 

(1) Although the lion is a dharma produced through causation, and 

comes into and goes out of existence every moment, there is really no 

character of the lion to be found. This is called the Small Vehicle 

(Hinayana) Doctrine of Ordinary Disciples [that is, the Hinayana 

schools]. 14 

(2) These dharmas produced through causation are each without 

self-nature. It is absolutely Emptiness. This is called the Initial Doctrine 

of the Great Vehicle (Mahayana) [that is, the Three-Treatise and Conscious-Only 

Schools]. 

(3) Although there is absolutely only Emptiness, this does not prevent 

the illusory dharmas from being clearly what they are. The two 

characters of coming into existence through causation and dependent 

existence coexist. This is called the Final Doctrine of the Great Vehicle 

[that is, the T'ien-t'ai School]. 

(4) These two characters eliminate each other and both perish, and 

[consequently] neither [the products of] our feelings nor false existence 

remain. Neither of them has any more power, and both Emptiness and 

existence perish. Names and descriptions will be completely discarded 

and the mind will be at rest and have no more attachment. This is called 

the Great Vehicle's Doctrine of Sudden Enlightenment [that is, the 

Zen School]. 

(5) When the feelings have been eliminated and true substance revealed, 

all becomes an undifferentiated mass. Great function then arises 

in abundance, and whenever it does, there is surely Perfect Reality. All 

phenomena are in great profusion, and are interfused but not mixed 

(losing their own identity). The all is the one, for both are similar in 

being nonexistent in nature. And the one is the all, for [the relation 

between] cause and effect is perfectly clear. As the power [of the one] 

and the function [of the many] embraces each other, their expansion and 

contraction are free and at ease. This is called the Rounded (inclusive) 

Doctrine of the One [all-inclusive] Vehicle. [The Hua-yen School.] 

14 This refers to one of the Three Vehicles in Buddhism, namely, the Vehicle 

of Buddha's Direct Disciples (Sravaka), or Hinayana disciples who attain their 

own salvation by hearing the Buddha's teachings; the Vehicle of the Self-enlightened 

Ones (Pratyekabuddha), who attain to their personal enlightenment by 

their own exertion; and the Vehicle of Bodhisattvas, who are strongly determined 

to achieve enlightenment for all people. 

410


Comment. The classification of schools is similar to that of the 

T'ien-t'ai School, which divides the doctrines of the Buddha into five 

periods, with Hinayana literature as elementary and Mahayana 

literature as advanced but that of T'ien-t'ai, the Lotus Scripture, as 

final. It is no surprise that Hua-yen considers itself the culmination 

of other schools. The sectarian spirit is undeniable. But sectarianism 

in Buddhism has been mild and free from hostility. The real significance 

of the classification is its syncretism, which considers an 

all-inclusive doctrine as the highest truth. 

7. Mastering the Ten Mysteries [Gates] 15 

(1) The gold and the lion exist simultaneously, all-perfect and complete 

in their possession. This is called the gate of simultaneous completion 

and mutual correspondence. 

(2) If the eye of the lion completely takes in the lion, then the all 

(the whole lion) is purely the eye (the one). If the ear completely takes 

in the lion, then the all is purely the ear. If all the sense organs simultaneously 

take in [the lion] and all are complete in their possession, then 

each of them is at the same time mixed (involving others) and pure 

(being itself), thus constituting the perfect storehouse. This is called the 

gate of full possession of the attributes of purity and mixture by the 

various storehouses. 

(3) The gold and the lion are mutually compatible in their formation, 

the one and the many not obstructing each other. In this situation the 

principle (the one or the gold) and facts (the many or the lion) are each 

different, but whether the one or the many, each remains in its own 

position. This is called the gate of mutual compatibility and difference 

between the one and the many. 

(4) Since the various organs and each and every hair of the lion 

completely take in the lion by means of the gold, each and every one of 

them penetrates the whole. The eye of the lion is its ear, its ear is its nose, 

its nose is its tongue, and its tongue is its body. They each exist freely 

and easily, one not hindering or obstructing the other. This is called the 

gate of mutual identification of all dharmas existing freely and easily. 

(5) If we look at the lion [as lion], there is only the lion and no gold. 

This means that the lion is manifest while the gold is hidden. If we look 

15 For the idea of "gates," see above, ch. 24, n.13. The idea behind the theory 

of the Ten Mysterious Gates originated with Tu-shun, but it was his pupil Chihyen 

(602-668) who formulated it. This is called the old Ten Mysterious Gates. 

Fa-tsang adopted it and changed its order and supplied his own contents. This is 

called the new Ten Mysterious Gates. Actually the orders in his two pertinent 

works are somewhat different. Here he explains them in terms of the gold and lion, 

following the order in one of these two works but again changing the titles of 

nos. 2 and 10. The purport of all the versions is practically the same. 

411


at the gold, there is only the gold and no lion. This means that the gold 

is manifest while the lion is hidden. If we look at them both, then both 

are manifest and both hidden. Being hidden, they are secret, and being 

manifest, they are evident. This is called the gate of the completion of 

the secret, the hidden, and the manifest. 

(6) The gold and the lion may be hidden or manifest, one or many, 

definitely pure or definitely mixed, powerful or powerless, the one or the 

other. The principal and the companion mutually shine. Principle and 

fact appear together and are completely compatible with each other. They 

do not obstruct each other's peaceful existence, and thus the subtle and 

the minute are accomplished. This is called the gate of the compatibility 

and peaceful existence of the subtle and the minute. 

(7) In each of the lion's eyes, ears, limbs, joints, and in each and 

every hair, there is the golden lion. All the lions embraced by all the 

single hairs simultaneously and instantaneously enter a single hair. Thus 

in each and every hair there are an infinite number of lions, and in addition 

all the single hairs, together with their infinite number of lions, in 

turn enter into a single hair. In this way the geometric progression is infinite, 

like the jewels of Celestial Lord Indra's net. 16 This is called the 

gate of the realm of Indra's net. 

(8) The lion is spoken of in order to show the meaning of ignorance 17 

while its golden substance is spoken of in order to make sufficiently 

clear the true nature/And principle and fact are discussed together as a 

description of the storehouse consciousness 18 so that correct understanding 

may be created. This is called the gate of relying on facts in order to 

explain dharmas and create understanding. 

(9) The lion is a dharma produced from causes, coming into existence 

and going out of existence at every moment. Each of these instants is 

divided into three periods, that is, past, present, and future, and each of 

these periods contains past, present, and future. Altogether there are 

three times three units, thus forming nine ages, and these, grouped together, 

become the total gate [to truth]. Although there are nine ages, 

each separate from the other, yet, since they are formed because of one 

another, they are harmoniously merged and mutually penetrated without 

obstacle and together constitute one instant of time. This is called the 

gate of different formation of separate dharmas in ten ages (the nine 

ages separately and all of them together). 

16 Indra is King of Heaven in Hinduism, who fights demons with his thunderbolt. 

Buddhism adopted him as its defender, but he is considered to be inferior to 

the Buddha. His net is a favorite Buddhist metaphor. The net is decorated with a 

bright jewel on each knot of the mesh. Each of these many jewels reflects not only 

the image of every other jewel, but all the other jewels, and so on to infinity. 

17 Avidya, notably ignorance of facts and principles about dharmas. 

18 This is alaya consciousness. For its characterization, see above, ch. 23, sec. 3. 

412


(10) The gold and the lion may be hidden or manifest, and may be 

one or many. Neither has self-nature. They are [always] turning and 

transforming in accordance with the mind. Whether spoken of as fact 

or principle, there is the way (the mind) by which they are formed and 

exist. This is called the gate of the excellent completion through the turning 

and transformation of the mind only. 

8. Putting together the Six Characters 

The lion represents the character of universality. The five sense organs, 

being various and different, represent the character of specialty. The fact 

that they all arise from one single cause represents the character of similarity. 

The fact that its eyes, ears, and so forth do not exceed their bounds 

represents the character of difference. Since the combination of the 

various organs becomes the lion, this is the character of integration. 

And as each of the several organs remains in its own position, this is the 

character of disintegration. 

9. Achieving perfect wisdom (bodhi) 

"Bodhi" means in Chinese the Way or enlightenment. 19 It means that 

when we look at the lion, we see right away that all dharmas produced 

through causes, even before disintegration, are from the very beginning 

quiescent and extinct. 20 By being free from attachment or renunciation 

one will flow right along this way into the sea of perfect knowledge. 

Therefore it is called the Way. One understands right away that from 

time immemorial all afflictions resulting from passions originally have no 

reality. This is called enlightenment. The ultimate possession of the 

wisdom that knows all 21 is called the achievement of perfect wisdom. 

10. Entering Nirvana 

When we look at the lion and the gold, the two characters both perish 

and afflictions resulting from passions will no longer be produced. Although 

beauty and ugliness are displayed before the eye, the mind is as 

calm as the sea. Erroneous thoughts all cease, and there are no compulsions. 

One gets out of bondage and is free from hindrances, and for- 

19 These are the two translations of the word. It denotes perfect wisdom. 

20 That is, in the state of Thusness (Tathata), devoid of characters. 

21 1-ch'ieh-chung chih in Chinese; it means that one knows from one kind of 

knowledge all the ways of the various Buddhas. It is the highest of the Three 

Wisdoms, namely, the wisdom of Buddha's Direct Disciples, who know the character 

of universality of the emptiness of all dharmas; the wisdom of bodhisattvas 

or saints, who know the character of specialty, that is, differences and diversities; 

and the wisdom of the Buddhas, who know both. Thus the last types of wisdom 

include the preceding two. 

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ever cuts off the source of suffering. This is called entry into Nirvana. 

(TSD, 45:663-667) 

B. HUNDRED GATES TO THE SEA OF IDEAS OF THE 

FLOWERY SPLENDOR SCRIPTURE 

1. All That Come into Existence Through Causation 

End Together in Quiescence (ch. 1) 

All beings arise through causation, and being is necessarily manifested 

in many varieties. On the other hand, the absence of [self] nature is a 

singular principle, and principle shows itself in many characteristics. If 

we analyze their power and function, the meaning of their expansion 

and contraction can then be easily seen, and only when we examine their 

profound principle can the twofold division of principle (li) and fact be 

understood. We shall now, from the point of view of substance and function, 

briefly discuss ten different principles. 

(1) Understanding the fact that things arise through causation 

For example, when dust (that is, a small particle of matter) is perceived, 

it is a manifestation of one's own mind. Since it is manifested by 

one's own mind, it means that one's own mind is the cause. It is only 

because the cause reveals [objects] before us that dharmas of the mind 

arise. This is why the dust is called a dharma arising through causation. 

The scripture says, "All dharmas arise through causation. Without 

causes, they will not arise." 22 The causes for our sinking in the sea of 

suffering do not exist externally. In the final analysis there is no dharma 

outside the mind that can serve as its cause. Although the dust is distinct, 

it still clings to no [external] cause. But the character of this 

round small particle of dust arises on the basis of dharma, is a false 

construction, and seems to exist, but ultimately has no real substance. 

One can neither be attached to it 23 nor renounce it, and because one cannot 

be attached to it or renounce it, we know that the substance of the 

dust is empty and devoid of all things. Now that we understand that 

causes are really not causes, any arising will be wonderful. So long as 

the substance of things arising through causation is void, there will never 

be any arising even though there seems to be, and if it is understood that 

substance is in accord with causes, there will always be arising even though 

there seems to be none. Such a view is called real knowledge and perception. 

22 Source unidentified. A similar saying is found in Hua-yen ching, sec. 10, pt. 1, 

TSD, 9:442. 

23 The word ch'ü here is not to be understood as to take, apprehend, seize, or 

accept, but to cling to or to be attached to. 

414


Comment. The doctrine of all things arising through causation is 

comparable to the T'ien-t'ai doctrine of all dharmas in their True 

Nature. Both are manifestations of the mind and both are identical 

with Thusness. 24 However, to T'ien-t'ai all things are immanent 

and complete and sufficient in each other, whereas to Hua-yen, all 

things arise. In this respect, Hua-yen is closer to the dynamic philosophy 

of the Consciousness-Only School. 

(2) Apprehending the realm of dharmas 

This little particle of dust arises through causes. This means a dharma. 

This dharma is manifested in accordance with wisdom and possesses a 

variety of function. This implies a realm. Because this dharma has no 

nature [of its own], it can be neither divided nor equalized. It is harmonious 

without the twofold character of similarity and difference and 

is identical with reality. It is like the realm of empty space, which extends 

everywhere, permeates everything, manifests itself wherever it may 

be, and is always very clear. But this one particle of dust and all other 

dharmas do not know each other. Nor do they perceive each other. Why? 

Because each of them is a completely perfect realm of dharmas, universally 

involving everything, and apart from it there is no other realm 

of dharmas. Therefore they no longer know or perceive each other. Even 

if we speak of knowing or perceiving, it is none other than the realm of 

dharmas knowing and perceiving [itself], and at bottom there is no other 

realm of dharmas to be known or to be perceived. The scripture says, 

"The realm of dharmas is at the same time no realm of dharmas. A 

realm of dharmas does not know [another] realm of dharmas." 25 If 

neither nature nor character exists, it becomes the realm of dharmas of 

principle. When both fact and character are clearly in existence without 

obstacle, it becomes the realm of dharmas of facts. When principle and 

fact are combined without obstacle, the two are at the same time one and 

one is at the same time two. This is the realm of dharmas. 

Comment. The dual concepts of principle and fact are essentially 

similar to those of nature and character, substance and function, 

and the Two Levels of Truth (worldly or relative truth and absolute 

truth) common in all Mahayana schools, especially T'ient'ai. 

The two terms occur often in T'ien-t'ai literature. But in no 

other place have they occupied such a dominant position as in 

Hua-yen. 

The two concepts can be traced to Neo-Taoism and the Early 

24 For this concept, see above, ch. 24, n.19. 

25 I have not been able to trace the source of this quotation. 

415


Seven Buddhist Schools where the dual concepts of being and nonbeing 

enjoyed their central attention. The idea of principle was 

already prominent in Neo-Taoism. 26 After it was developed in 

Buddhism, it eventually became the basic idea in Neo-Confucian 

thought. 

(3) Discerning not-coming-into-existence 

It means that the dust is a subsidiary cause of the mind and the mind 

is the primary cause of the dust. Only when these causes are combined 

do illusory characters come into existence. Because they come 

into existence through causation, they surely have no nature of their 

own. Why? Because the dust is not self-caused but necessarily depends 

on the mind. Similarly, the mind does not come from itself, but also 

depends on subsidiary causes. Since they depend on each other, they 

do not come into existence through any fixed causes. This being the 

case, we refer to them as not-coming-into-existence. We are not speaking 

of not-coming-into-existence apart from coming-into-existence 

through causation. The treatise says, "A primary cause does not by itself 

cause anything to come into existence but needs subsidiary causes to do 

so. Subsidiary causes do not by themselves cause anything to come into 

existence, but need primary causes to do so." 27 Since a thing can be said 

to come into existence only because it does so through causation, only 

when we understand that coming-into-existence has no nature [of its 

own] can we affirm that there is no coming-into-existence. But cominginto-existence 

and not-coming-into-existence fulfill and negate each 

other. When negated, there is no coming-into-existence, and when fulfilled, 

there is coming into existence through causation. Because there is 

simultaneous fulfillment and negation, therefore at the time of coming 

into existence there is no coming into existence. He who understands this 

understands not-coming-into-existence. 

(4) Having a correct view of the absence of characters 

For example, the characters of this small and round particle of dust 

arise from the transformations of one's own mind. They are false constructions 

without reality. Now that one cannot be attached to them, we 

know that they are unreal and nonexistent. They are produced by the 

mind and have no self-nature at all. This is called the absence of characters. 

The scripture says, "All dharmas are originally empty in their 

nature and have not the least character." 28 

26 

See above, ch. 19, introduction. 


28 

Hua-yen ching, sec. 22, pt. 3, TSD, 9:558. 

416


However, although character cannot be attached to, that does not 

exhaust the idea of nonexistence. From the fact that character has no 

substance, the nature of dharma is established. Because the character 

of dharma is not lost inasmuch as the dharma is the basis of its absence, 

therefore character is at the same time no character and non-character 

is at the same time character. There is really no difference between character 

and the absence of character. This idea of the absence of character 

is similar to the rope appearing as a snake. We say there is no snake at 

all, but we should realize that the rope is the basis of the absence of 

snake. As dharma is the basis of the absence of character, character 

[exists] entirely because dharma possesses no character. 

(5) Discriminating formation and destruction 

For example, the dust arises through causation. That is formation. 

But at the same time its substance does not become dust. That is destruction. 

Now, having discriminated the fact that causes are really not causes, 

we may use the term "formation through causation," and having discriminated 

the fact that destruction is really not destruction, we may use 

the term "destruction through causation." Because destruction does not 

hinder the initial formation of the dharma, therefore the time of destruction 

is precisely the time of formation. And because in formation there 

is nothing to be had, therefore the time of formation is precisely the time 

of destruction. They are simultaneously established, neither earlier nor 

later than each other. If there were formation without destruction, that 

would mean that dharmas exist because of their own nature, and if there 

were destruction without formation, it would mean that dharmas become 

empty through cessation. 20 As formation and destruction are 

identical, characters are thereby manifested. 

(6) Showing the hidden and the manifest 

When we contemplate the characters of the dust and fail to find them, 

it means that characters have ceased to be and Emptiness is manifest. 

It is because when we observe characters we have not directly grasped 

the principle that it is hidden while the facts are manifest. Furthermore, 

this dust and other dharmas depend on and involve each other. They 

differ in their existence or nonexistence. If the dust involves the others, 

then the others become hidden and the dust becomes manifest. If the 

others involve the dust, then the dust becomes hidden while the others 

become manifest. Being hidden and being manifest are identical, for at 

the moment of being manifest it is already hidden. Why? Because at the 

29 To Buddhists, the view that things come to an end is a great heresy, as 

wrong as the view that things are eternal. 

417


time [the one] is manifest, [the others] are all hidden, which makes it 

possible [for the one] to be manifest, and at the time [the one] is hidden, 

[the others] are all manifest, which makes it possible [for the one] to be 

hidden. As being hidden and being manifest establish each other, therefore 

the time of being hidden is precisely the time of being manifest and 

the time of being manifest is precisely the time of being hidden. 

(7) Revealing perfect wisdom (bodhi) 

It means that the fact that this dust is identical with the Nirvana of 

quiescence and extinction (devoid of characters) and is without nature 

[of its own] is revealed by the perfect wisdom of the Buddha. Because of 

the discrimination and understanding of the principle that all living 

beings, dust, hair, and so forth have no nature [of their own], the perfect 

wisdom of the Buddha is achieved. Therefore the teaching for all living 

beings to achieve Buddhahood can be seen in the wisdom of the Buddha 

itself. Furthermore, all living beings, dust, hair, and so forth become so 

because of the principle of the Buddha's perfect wisdom. Therefore the 

Buddha's resolve to achieve perfect wisdom and to cultivate the deeds 

of the bodhisattva 30 can be seen in the wisdom of all living beings itself. 

We should know the perfect wisdom of the Buddha and should have no 

heretical views. The Buddha is now preaching to all living beings in the 

world and all living beings are receiving the Buddha's preaching in this 

world. Therefore the Buddha is the Buddha of all living beings and living 

beings are living beings of the Buddha. Although they do not exactly 

coincide, they are at bottom not different. To hold such a view is to 

resolve to achieve perfect wisdom, to arouse the great compassion which 

considers all as one body with oneself and to teach and transform all 

living beings. 

(8) Explaining Nirvana 

This means that not having understood the manifestations of the dust, 

one is deluded by manifestation and regards it as coming-into-existence. 

He in turn sees that the dust is hidden, and being deluded by it, he regards 

it as going-out-of-existence. Thus on the basis of the characters of 

coming-into- and going-out-of-existence, which move on like a current, 

he takes the dust as an object. Transformations arise from this deluded 

mind, and he considers them to be true and real. Now that in our search 

for the characters of coming-into- and going-out-of-existence, we find 

that after all nothing arises and there is nothing to be found, perturbed 

thoughts naturally cease and erroneous discriminations are annihilated. 

As these are annihilated, there is great Nirvana. Therefore the scripture 

30 One who has dedicated himself to seek salvation for himself and others. 

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says, "To move on like a current means transmigration. Absolute quiescence 

means Nirvana." 31 

(9) Investigating going and coming 

It means that when the dust follows the wind to the east, its character 

of going is not to be found, and when it follows the wind to the west, its 

character of coming is not to be found either. This is all due to the fact 

that the dharma of dust at bottom has no character of coming or going 

for it is not real. When it comes, it comes from nowhere, and when it 

goes, it goes nowhere. The scripture says, "Dharmas neither go nor come, 

for they never remain [at any point from which to go or to come]." 32 

Because the fact that the coming and going of the dust has no substance 

is understood, therefore the coming or going is at the same time notcoming 

or not-going, and not-coming or not-going is always coming or 

going. They are established as one without any difference as between 

"this" or "that." Therefore the scripture says, "The bodhisattva comes 

without the character of coming. He goes without the character of 

going." 33 Therefore although the position of the dust does not change, 

it reaches the ten cardinal directions, and although the ten cardinal 

directions remain where they are, they can always enter into the dust. 

At all times there is neither going nor coming, but the extent of coming 

and going equals the entire realm of dharmas. 

(10) Seeing clearly activity and tranquillity 

It means when the dust floats gently around following the wind, 

that is activity, and when it is absolutely quiet and does not arise, that 

is tranquillity. Now, because at the time of tranquillity activity does not 

cease to be, that means tranquillity is entirely formed by activity; and 

because at the time of activity tranquillity does not cease to be, that 

means activity is entirely formed by tranquillity. Because they completely 

form each other, therefore the time of activity is precisely the time 

of tranquillity, and the time of tranquillity is precisely the time of activity. 

It is like the wind which is originally not active but can activate 

all things. If there were activity to start with, it would lose its own substance 

and be active no more. Think of it. 

From the above principles, the theory of things coming into existence 

through causation is unfathomable; thus its many gates are universally 

alone. All things are exhaustively combined as one, and all infinities are 

31 Hua-yen ching, sec. 10, pt. 2, TSD, 9:443. 

32 ibid., sec. 20, TSD, 10:101. 

33 Vimalakirtinirdesa sutra (Scripture Spoken by Vimalakikti), sec. 5 (with 

slight alteration), TSD, 14:544.I am grateful to Professor Nakamura Hajime of the 

University of Tokyo and Professor Mou Tsung-san of Hong Kong for this information. 

419


embraced to form a totality. If we investigate its mystery, although 

[coming-into-existence through causation] may occupy a narrow position, 

it is always broad, and if we wish to investigate its source, we find that 

the deeper it is, the shallower it becomes. The principle of coming-intoexistence 

through causation is great indeed! (TSD, 45:627-628) 

2. Harmonious Combination and Spontaneity (ch. 4) 

The sea of the nature of things has no shore, and because of that, its 

characteristics have become many and extensive. Coming-into-existence 

through causation is unfathomable; thus its many gates are universally 

prevalent and open. [All things] turn on and on in ten thousand different 

ways, but the form of expansion and contraction accords with wisdom. 

Harmoniously combined as one, the conditions of their opening and 

closing follow the mind. As [the mind is as clear as] shining and does not 

give rise to incipient [and disturbing] activity, although there are varieties 

and differences, it is always in harmony with them. And since function 

does not pervert substance, although [things] are of one flavor, they are 

always free and without obstacle. We shall now, from the point of view 

of substance and tendency, briefly discuss ten different principles. 

(1) Appreciating principle and fact 

For example, the dust has the characters of roundness and smallness. 

This is fact. Its nature is empty and nonexistent. This is principle. Because 

facts have no substance, they merge together in accordance with 

principle. And because the dust has no substance, it universally penetrates 

everything. For all facts are no different from principle and they 

are completely manifested in the dust. Therefore the scripture says, "The 

wide world is the same as the narrow world, and the narrow world is the 

same as the wide world." 34 

(2) Discerning matter and Emptiness 

For example, dust is formed through causation; this is matter. Matter 

has no substance; this is Emptiness. If Emptiness is spoken of apart 

from matter, it would mean that there is no false matter in the realm of 

worldly truth, and that because of false matter there is the True Emptiness 

in the realm of absolute truth. If matter is spoken of apart from 

Emptiness, it would mean that there is no True Emptiness in the realm 

of absolute truth, and that because of True Emptiness there is false matter 

in the realm of worldly truth. Now, it is only necessary to understand 

that True Emptiness means that matter is false and has no substance. 

Emptiness is not so called because there is no matter. The scripture says, 

34 Hua-yen ching, sec. 13, TSD, 9:450. 

420


"Matter is empty not because it has been destroyed, but because it 

is of itself empty. 35 

(3) Penetrating the big and the small 

For example, dust has the character of roundness; this is smallness. 

Mount Sumeru is high and wide; this is bigness. But this dust and that 

mountain, though one is big and the other small, contain each other, 

turn on and on in accordance with the mind, and neither come into nor 

go out of existence. For example, when one sees a mountain as 

high and wide, it is his own mind that manifests it as large; there is no 

largeness distinct from it. When one sees the dust as round and small, it 

is also his own mind that manifests it as small; there is no smallness 

distinct from it. Thus when we see this dust, it is entirely the dust manifested 

by the mind which sees the mountains as high and wide. Therefore 

the large is contained right in the small. The scripture says, "The 

number of Hard Iron Enclosing Mountains 36 is infinite. All of them can 

be placed at the tip of a hair. In order to understand the largest and the 

smallest phenomena the bodhisattva therefore begins his resolution [to 

seek perfect wisdom]." 37 

(4) Taking in both the far and the near 

It means that this dust is near and the world of the ten cardinal directions 

is far away. But as the dust has no substance, it fully penetrates 

all the ten cardinal directions. In other words, the ten directions are all 

those of the dust. Therefore the far is always near. However, although 

the ten directions are far away, they are merely those of the nature of 

dust. Even though they go beyond a world which cannot be described, 

they still do not go outside the nature of dust. Why? Because the extension 

of dust has no substance. It is similar to space and cannot be 

transcended. Therefore all the ten cardinal directions are but manifestations 

of the nature of dust. Furthermore, although one leaves this dust 

and goes to the ten directions, one still sees this dust. Why? Because the 

dust has no substance, and facts [of which dust is an instance] are clearly 

manifested in accordance with principle. Therefore when the nature of 

the dust universally pervades everything, the dust as a fact is also manifested 

at the same time. This means that in one particle of dust everything 

is manifested and both the near and the far are clearly before our eyes. 

As the ten directions enter into one particle of dust, they are always near 

although they are far, and as the dust universally pervades all the ten 

35 Vimalaklrtinirdesa sutra, sec. 9, TSD, 14:551. 

36 These mountains are believed to encircle the earth. 

37 Hua-yen ching, sec. 11, TSD, 9:447. 

421


directions, it is always far although it is near. Both the dust and the ten 

directions, and both the far and the near, are clearly identical without 

any difference. Think of it. 

(5) Understanding the pure and the mixed 

It means that inasmuch as the dust does not come into existence, all 

dharmas do not come into existence. This is purity. Nevertheless, in the 

idea itself that the dust does not come into existence, both principle and 

fact are fully contained. It is both Emptiness and matter, and both 

perfect wisdom and Nirvana. This is a case of what is mixed. Principle 

never obstructs fact, for what is pure is always mixed. Fact always fulfills 

principle, for the mixed is always pure. Because both principle and fact 

are free and at ease, they do not obstruct each other. 

(6) Comprehending the instant and the infinitely long period 

For example, when the dust is perceived, it is a manifestation of the 

mind for an instant. This manifestation of the mind for an instant is 

entirely the same as hundreds and thousands of infinitely long periods. 

Why? Because all these periods are originally formed from an instant. 

Since they establish each other, both lack substance or nature. Because 

an instant has no substance, it penetrates the infinitely long periods, and 

because these periods have no substance, they are fully contained in a 

single instant. Since both the instant and the long periods have no substance, 

the characters of length and shortness are naturally harmonized. 

All worlds, whether far or near, the Buddhas, living beings, and all 

things in the three ages (past, present, and future) are manifested in 

one instant. Why? Because all things and dharmas are manifested in accordance 

with the mind. As there is no obstruction to the instant [of 

thought], all dharmas are consequently harmonized. Therefore in an 

instant [of thought] all facts and things in the three ages are clearly seen. 

The scripture says, "Any instant is the same as hundreds and thousands 

of infinitely long periods, and hundreds and thousands of infinitely long 

periods are the same as a single instant." 38 

Comment. One cannot help recalling the T'ien-t'ai doctrine of 

three thousand worlds immanent in one single instant of thought. 

In fact, the ideas of the two schools are so close that they have 

formed a common foundation for Chinese Buddhist teachings. As 

the saying goes, "The Hua-yen and T'ien-t'ai Schools for doctrines, 

and the Zen and Pure Land Schools for practice." 

38 ibid., sec. 13, TSD, 9:451. 

422


(7) Discriminating the one and the many 

For example, the dust's own character is one. It is because its own oneness 

is quiescent and calm that it can universally respond to become 

many. If its own oneness is perturbed, it will lose its universal correspondence 

[to others] and the many [to which it universally responds] 

cannot be formed. The same is true of the two, the three, and so forth. 

Furthermore, the one and the many established each other. Only when 

the one is completely the many can it be called the one, and only when 

the many is completely the one can it be called the many. There is not a 

separate one outside the many, for we clearly know that it is one within 

[coincides with] the many. There are not the many outside of the one, 

for we clearly know they are the many within the one. The reason is 

that they are not many [separately] and yet they can be many [coinciding 

with] the one, and that it is not [independently] the one and yet it 

can be one [coinciding with] the many. Only when we understand that 

[dharmas] have no nature [of their own] can we have the wisdom about 

the one and the many. The scripture says, "It is like calcution. From 

one gradually to ten down to infinity, all comes from the basic number. 

When viewed with wisdom, there is no difference." 39 

(8) Appreciating the unrestricted and the restricted 

It means that the dust has the character of smallness; that is restriction. 

But the very character has no substance; this is non-restriction. Now, 

an infinite number of lands and seas are always manifested in the dust. 

This means the unrestricted is always restricted. But one particle of dust 

universally pervades all lands and seas. This means the restricted is always 

unrestricted. Furthermore, the small need not be destroyed to contain 

the large, which means that the mysterious particle of dust 

extensively contains the lands [and seas] of the Buddha. The large need 

not be destroyed in order to dwell in the small, which means that the 

mysterious lands and seas of the Buddha are always manifested in the 

dust. This is the non-obstruction between the unrestricted and the restricted. 

(9) Understanding expansion and contraction 

It means that the dust has no nature [of its own]. When substance 

comes to the fore and completely permeates the ten cardinal directions, 

that is expansion. The ten directions have no substance and are entirely 

manifested in the dust through causation—that is contraction. The 

scripture says, "One land of the Buddha fills the ten directions, and the 

39 ibid., sec. 16, TSD, 9:465, a paraphrase. 

423


ten directions enter into the one [land] without residue." 40 When contracted, 

all things are manifested in one particle of dust. When expanded, 

one particle of dust will universally permeate everything. Expanding is 

the same as ever contracting, for a particle of dust involves everything. 

Contracting is the same as ever expanding, for everything involves the 

one particle of dust. This is what is meant by saying that expansion and 

contraction are free and at ease. 

(10) Grasping perfect harmony 

It means that as the character of the dust has already ceased to be, 

deluded consciousness also perishes. Because fact has no substance, it 

follows principle and becomes perfectly harmonized with it. Because 

substance involves facts, therefore principle follows fact and is in complete 

accord with it. Thus they always exist but are at the same time ever 

empty, for Emptiness does not destroy existence. They are always 

empty but at the same time ever existent, for existence does not obstruct 

Emptiness. The Emptiness that does not obstruct existence can harmonize 

all phenomena, and the existence that does not destroy Emptiness 

can complete everything. Therefore all phenomena clearly exist before 

us and one does not obstruct the other. 

From the above principles, the tendency of harmonious combination 

becomes unrestricted because it has no nature, and all phenomena which 

exist spontaneously can be combined because they rise through causation. 

As the one and the many totally involve each other, we look at one 

particle of dust and [everything] suddenly becomes manifest. As the 

"this" takes in the "other," we look at a tiny hair and all things appear 

together. The reason is that, when the mind understands, all dharmas 

can be free and at ease, and because the principle is clear, great wisdom 

can be achieved. Among seekers after wisdom, who will examine its 

source? People talking about it seldom investigate its mystery to the 

limit. What can match the function of spontaneity? (TSD, 45:630-631) 

40 ibid., sec. 2, pt. 3, TSD, 9:414. 

424

••• 26 ••• 

THE ZEN (CH'AN) SCHOOL OF SUDDEN 

ENLIGHTENMENT 

THE CH'AN MOVEMENT, better known as Zen, has been described 

by Hu Shih (1891-1962) as a "reformation or revolution in Buddhism," 1 

and by Suzuki as a movement in which "the Chinese mind completely 

asserted itself, in a sense, in opposition to the Indian mind. Zen could 

not rise and flourish in any other land or among any other people." 2 The 

two outstanding scholars sharply differ in their approaches to Zen: the 

one, historical; the other, religious and mystical. But they reinforce each 

other in characterizing Zen's development in Chinese history, for it was 

through a revolution that Ch'an came completely into its own. 

Literally, the name of the school should be Meditation, for the Sanskrit 

dhyana, pronounced in Chinese "ch'an" and in Japanese "zen," 

means that. But meditation changed its character in China almost from 

the very inception of Buddhism, although the typically Indian form of 

sitting in meditation and concentrating one's mind to the point of ignoring 

the external world has continued in Chinese Buddhist schools. When 

Buddhism first came to China, it was mixed up with the Yellow Emperor-Lao 

Tzu cult. As a result, meditation was not understood in the 

Indian sense of concentration but in the Taoist sense of conserving vital 

energy, breathing, reducing desire, preserving nature, and so forth. This 

was the meditation taught by early Buddhist Masters like An Shih-kao 

(C.A.D. 150), Kumarajiva (344-413), Tao-an (312-385), and Huiyüan 

(334-416). In the end, meditation meant neither sitting in meditation 

nor mental concentration, but simply the direct enlightenment of 

the mind. 

Tradition traces the beginning of the school to Bodhidharma (fl. 

460-534), whose historicity has been questioned in the West. Most 

Chinese and Japanese scholars, however, are satisfied that he did come 

to China. 3 But a clear picture of the school did not emerge until Hung- 

1 Hu Shih, "Ch'an (Zen) Buddhism in China: Its History and Method," Philosophy 

East and West, 3 (1953), p. 12. 

2 Suzuki, "Zen: A Reply to Hu Shih," ibid., p. 40. 

3 See Hu Shih, Hu Shih lun-hsüeh chin-chu (Recent Essays on Learned Subjects 

by Hu Shih), 1931, pp. 486-487, Tang Yung-t'ung, Han Wei Liang-Chin Nan-peich'ao 

Fo-chiao shih (History of Chinese Buddhism from 206 B.C. to A.D. 589), 

Shang-hai, 1938, pp. 779-780, and Lo Hsiang-lin, T'ang-tai wen-hua shih (History 

of the Civilization of the T'ang Dynasty, 618-907), Taiwan, 1955, pp. 110-123. 

Tradition said that Bodhidharma came to Canton in 520 or 527. Hu rejects these 

dates and said he came during 470-475. Lo believes he arrived between 465 and 524. 

T'ang thinks he died in China before 534. For his biography see Hsü kao-seng chuan 

425

THE ZEN (CH'AN) SCHOOL 

jen (601-674). 4 With him the history of Zen in China took a radical 

turn. According to tradition, Bodhidharma handed down the Lankavatara 

sutra (Scripture about [The Buddha] Entering into Lanka) 5 whereas 

Hung-jen taught the Diamond Scripture. 6 The central emphasis of the 

former is Ultimate Reality or the true nature of dharmas (elements of 

existence), whereas the emphasis of the latter is on the mind, and it is 

the mind rather than Ultimate Reality that has become the central focus 

of Chinese Zen. Hung-jen's two outstanding disciples, Shen-hsiu (605?- 

706) in the north 7 and Hui-neng (638-713) 8 in the south, developed 

divergent tendencies. Shen-hsiu stressed gradual enlightenment of the 

mind whereas Hui-neng stressed sudden enlightenment. 

For decades Shen-hsiu had been a celebrated Zen Master in the north. 

In 700, at the age of ninety, he was invited to the capital by Empress Wu 

(r. 684-705), who did him the extraordinary honor of curtseying to him. 

(Supplement to the Biographies of Eminent Monks), ch. 19, TSD, 50:551 and Chingte 

ch'uan-teng lu (Records of the Transmission of the Lamp Compiled during the 

Ching-te Period, 1004-1107), SPTK, 3:1b-9b. It is not certain whether he was a 

Persian or the son of an Indian prince. He first came and settled in a monastery in 

Canton. Unproved traditional accounts have added that he was invited by the emperor 

to go to the capital at Nanking. When the emperor asked if there was any 

merit in building temples or copying scriptures, he said no. Realizing that the emperor 

did not understand, he left and went to Lo-yang. For forty or fifty years he 

propagated the Lanka doctrine in North China and attracted many followers. 

4 For his biography, see Sung kao-seng chuan (Biographies of Eminent Monks 

Compiled in the Sung Period [988]), ch. 8, TSD, 50:54, and Ching-te ch'uan-teng 

lu, 3:14b-16a. Accounts of his life are mostly legends. It is agreed that he was a 

bright boy and that after he joined the Buddhist order he spent most of his time 

in spiritual cultivation and teaching. In 659 he was favored with an imperial 

audience. 

5 See translation by Suzuki, Lankavatara Sutra. It is from the existing Sanskrit 

text. The scripture that Bodhidharma is said to have transmitted is one of the 

four Chinese translations which were evidently made from different Sanskrit 

texts that are lost. 

6 The Chin-kang ching or Vajracchedika, perhaps the most popular Buddhist 

scripture in China. Among English translations, see Conze, Buddhist Wisdom 

Books, pp. 21-71, with commentary, and Shao Chang Lee, Popular Buddhism in 

China, pp. 27-52. 

7 For his biography, see Sung kao-seng chuan, ch. 8, TSD, 50:755-756, and 

Ching-te ch'uan-teng lu, 4:15a-b. He was quite a student of Chinese philosophy 

before he joined the Buddhist order, having thoroughly studied Lao Tzu, Chuang 

Tzu, and the Book of Changes. He became a monk probably at fifteen or older 

and Hung-jen's pupil in 669 when he was at least fifty years old. He was therefore 

Hung-jen's pupil for six years until the latter died. He was an abbot in a monastery 

in Hupei in central China until he was called by the empress. See Lo Hsiang-lin, 

T'ang-tai wen-hua shih, pp. 105-108, 136-143. 

8 See Sung kao-seng ch'uan, ch. 8, TSD, 50:754-755 and Ching-te ch'uan-teng lu, 

5:3a-5b. His life story told in the following selections is probably legendary. He 

was a native of Kwangtung. It is fairly certain that he was an orphan at three, 

went to visit Hung-jen at thirty-four, and became a Buddhist priest in Canton at 

thirty-nine. See Lo Hsiang-lin, ibid., pp. 143-156. 

426

THE ZEN (CH'AN ) SCHOOL 

Shen-hsiu's prestige and influence soared to great heights. He was 

honored as "the Lord of the Law at the Two National Capitals of 

Ch'ang-an and Lo-yang, and the Teacher of Three Sovereigns." His 

movement, later known as the Northern School of Zen, almost completely 

dominated the religious and intellectual life of the time. 

Some years before these triumphant events, Hui-neng, originally an 

illiterate fuel-wood peddler, preached radically new doctrines in Ts'aohsi, 

about 120 miles north of Canton. In 734, his pupil Shen-hui (670- 

762 ) 9 who, like Shen-hsiu before him, enjoyed strong support from the 

aristocrats and had a large following, openly attacked Shen-hsiu's 

school in the north. The freshness and the challenging spirit of their 

teachings became an irresistible attraction. A stampede was soon on, 

and their school, later known as the Southern School, eventually overshadowed 

the Northern School and from the ninth century onward, the 

story of Zen has been that of the Southern School. 

The two schools are usually distinguished by the fact that while the 

Northern School advocates gradual enlightenment, the Southern School 

advocates sudden enlightenment. As a matter of emphasis, this is certainly 

correct. But Shen-hsiu did not rule out sudden enlightenment and 

neither Hui-neng nor Shen-hui rejected gradual enlightenment altogether. 

The contrast between the two schools is much deeper. It lies in the different 

concepts of the mind. 

Both schools started from the major premise that Nirvana is identical 

with the original substance of the Buddha-mind, which is the same as 

Buddha-nature, and that Buddha-nature is in all men so that all can 

become Buddhas. So far both schools remain within the Buddhist traditions 

of idealism and universal salvation. But while the Northern School 

teaches that the pure mind arises from absolute quietude and does so 

only after erroneous thoughts are eliminated, the Southern School insists 

that the mind cannot be split into parts and that all its activities are functions 

of Thusness (True Reality). 10 Consequently, the mind cannot be 

divided into the true mind without differentiation, on the one hand, and 

the false mind with differentiation, on the other. Furthermore, the 

9 For his biography see Sung kao-seng chuan, ch. 8, TSD, 50:756-757 and Chingte 

ch'uan-teng lu, 5:24a-b. His dates are usually given as 668-760, but after recent 

research Hu Shih decided on 670-762. See Bulletin of the Institute of History and 

Philology, Academica Sinica, 29 (1958), p. 875; extra vol. 4 (1960), p. 6. He 

studied Confucianism and Taoism before be became a Buddhist priest. After he 

was thirty, he went south to see Hui-neng. Much affected, he returned north to 

preach the doctrine of sudden enlightenment. In 720 he was appointed to be a 

priest in Honan and in 745 he was invited to live in a temple in the eastern 

capital, Lo-yang. Eight years later he was banished to Kiangsi because he was 

suspected of "gathering large crowds with harmful motives." 

10 For this concept, see above, ch, 24, n.19. 

427


Northern School considers the mind in its undisturbed state as calmness 

(samadhi) and the senses in their undisturbed state as wisdom (prajña), 

but the Southern School refuses to accept the distinction, regarding both 

as of one substance and not two. In fact, it affirms the unity not only of 

the mind but of everything else. The Buddha-mind is everywhere so that 

anything can be an occasion for its realization at any moment and this 

realization can take place in any way. It was out of this major concept 

that the peculiar Zen methods have evolved. 

The standard sayings of the school are: "Point directly to the human 

mind" and "See one's nature and become a Buddha." Everything other 

than the cultivation of the mind, such as reading scriptures, making 

offerings to the Buddha, reciting His name, joining the monastic order, 

are regarded as unnecessary. The total effect is to minimize, if not to 

wipe out, the whole Buddhist organization, creed, and literature and to 

reduce Buddhism to a concern with one's mind alone. The logical 

conclusions are that everyone can achieve enlightenment and become a 

Buddha, since everyone possesses the Buddha-nature, 11 that he can do 

so immediately, and that he can do so "in this very body." No matter 

how one looks at this movement, it was revolutionary in the true sense 

of the word. 

Since the chief concern of the school is the Buddha-mind in everything, 

various methods were developed to realize it. Shen-hui himself 

taught "the absence of thought" so that the mind will return to its 

original state of tranquillity. Another Zen Master (though he cannot be 

said to belong to either the Northern or Southern tradition) emphasized 

"forgetting our feelings" so as to remove selfish clingings and evil desires. 

Still another Zen Master advocated "letting the mind take its own course" 

so it can be at ease and not be disturbed either by its own differentiated 

characters or by the phenomenal world, for both of these are, after all, 

manifestations of the Buddha-mind. The influence of Neo-Taoism and 

early Buddhism on this development is obvious. 

So far these methods are still traditional. From the ninth century to 

the eleventh, however, novel and unconventional techniques were developed, 

and vigorously, if only occasionally, applied. One was travel, 

which was calculated to broaden one's perspective and deepen one's 

insight. When one's experience is enriched, one day he will suddenly 

intuit truth at the singing of a bird, the blooming of a flower, or a drop of 

rain. Another method was "never to tell too plainly," 12 for the obvious 

reason that the student must discover truth himself. 

The more interesting, more radical, and perhaps most misunderstood 

11 For the doctrine of universal salvation, see above, ch. 24 Introduction. 

12 Pu-shuo-p'o. 

428


technique is the koan. 13 Literally koan means an official document on 

the desk, connoting a sense of important decision and the final determination 

of truth and falsehood. To this end Zen Masters made use of any 

story, problem, or situation, the more shocking the better. But more 

often than not, the method consists of a question and an enigmatic 

answer. It is often believed that such answers are due to the belief that 

truth is so mysterious, irrational, or paradoxical that only an illogical 

answer can reveal it. Nothing is farther from the truth. When a pupil 

asked, "Whenever there is any question, one's mind is confused. What 

is wrong?" and the answer was, "Kill! Kill!" this may sound absurd. 14 

But when a pupil asked what the Buddha was, and the Master answered, 

"Three pounds of flax," it is not as silly as one may think. 15 Any alert 

mind will soon realize that conceptualization can never discover what 

the Buddha is and that he should return to his spontaneous mental 

faculty to look for the answer himself. 

But the most puzzling technique is that of shouting and beating. Even 

these are not madness or dramatics but an unorthodox way of shocking 

the pupil out of his outmoded mental habits and preconceived opinions 

so that his mind will be pure, clear, and thoroughly awakened. In short, 

the whole philosophy of the various methods is to broaden a person's 

vision, sharpen his imagination, and sensitize his mind so that he can 

see and grasp truth instantly any time and anywhere. This type of 

mental training is utterly Chinese. Nothing like it can be found in the 

tradition of Indian meditation. In Indian meditation, the mind tries to 

avoid the external world, ignores outside influence, aims at intellectual 

understanding, and seeks to unite with the Infinite. Chinese meditation, 

on the other hand, works with the aid of external influence, operates in 

this world, emphasizes quick wit and insight, and aims at self-realization. 

It was inevitable that such a philosophy would exercise a profound 

influence. Its impact on Chinese philosophy was great. The new doctrine 

of seriousness (ching) 16 in Neo-Confucianism was one of its direct 

products, and the whole idealistic Neo-Confucian movement of several 

hundred years, initiated by Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193) 

and culminating in Wang Yang-ming (Wang Shou-jen, 1472-1529), was 

so much influenced by it that it has often been called Zen in Confucian 

13 Kung-an in Chinese and koan in Japanese. 

14 Ts'ao-shan Pen-chi Ch'an-shih yü-lu (Recorded Conversations of Zen Master 

Pen-chi, 840-901), TSD, 47:539. 

15 Ching-te ch'uan-teng lu, 19:14b. One of the most famous koans. Pi-yen lu 

(Records of the Green Cave), no. 12. 

16 See Appendix for comments on Ching. Also see below, ch. 34, comment on 

sec. 12, and lists of topics in chs. 31 and 32. 

429


disguise. Even the Neo-Confucian tradition of compiling and publishing 

the recorded sayings of philosophers is an imitation of those of Zen. 

The basic teachings of Zen are recorded in the Liu-tsu t'an-ching 

(Platform Scripture of the Sixth Patriarch). The following includes 

selections from it and also some from the Shen-hui yü-lu (Recorded 

Conversations of Shen-hui). In addition, there are selections from the 

Lin-chi Hui-chao Ch'an-shih yü-lu (Recorded Conversations of Zen 

Master I-hsüan, d. 867). He was the founder of the Lin-chi School, one 

of the seven schools that developed within the Southern School in the 

ninth century. Each had its peculiar method, but the Lin-chi "lightning" 

technique was the most radical of all. 

A. THE PLATFORM SCRIPTURE 17 

3. Priest Hung-jen asked me (Hui-neng), "Whence have you come 

to this mountain to pay reverence to me? What do you wish from me?" 

I answered, "Your disciple is a native of Ling-nan, 18 a citizen of Hsinchou. 

I have purposely come a great distance to pay you reverence. I 

seek nothing other than to practice the Law of the Buddha." 

The Great Master reproved me, saying, "You are from Ling-nan, and, 

furthermore, you are a barbarian. How can you become a Buddha?" 

I answered, "Although people are distinguished as northerners and 

southerners, there is neither north nor south in the Buddha-nature. The 

17 These selections are made from the oldest version of the Liu-tsu t'an-ching 

discovered in a Tun-huang cave in 1900. In 1907 Sir Aurel Stein brought 

it to the British Museum. It contains about 11,000 Chinese characters and is included 

in TSD, no. 2007, 48:337-345. There are many mistakes in the Tun-huang 

copy. In these selections, the most obvious mistakes have been corrected. Minor 

corrections, however, have not been noted in footnotes. Sectioning follows the 

collated edition by Suzuki Teitaro and Kuda Rentaro, published in Tokyo in 1934, 

entitled Tonko shutsudo Rokuso dankyo (The Platform Scripture of the Sixth 

Patriarch Uncovered at Tun-huang). For a complete translation and a lengthy 

discussion of this Tun-huang manuscript, see Wing-tsit Chan, trans., The Platform 

Scripture, The Basic Classic of Zen Buddhism, St. John's University Press, 1963. 

There are five later versions of the Liu-tsu t'an-ching. The latest version 

(TSD no. 12008, 48:345-365) is dated 1291. It is included in the Ming dynasty 

(1368-1644) editions of the Buddhist Canon of 1420-1440 and is therefore generally 

called the Ming Canon version. It has been in general use for centuries. For 

two English translations and a partial German version, see Bibliography under 

"Hui-neng." The Tun-huang version bears a very long title, of which Liu-tsu .... 

t'an-ching is only a part, and ascribes it to Hui-neng. Dr. Hu Shih thinks that it 

was probably by an eighth-century monk, most likely a follower of Shen-hui's 

school (Philosophy East and West, 3 [1953], p. 11). In any case, the later the 

version was, the more additions and interpolation, so that the Ming Canon version 

is twice as long as the oldest text. However, elaboration does not alter the 

general story or the fundamental teachings. 

18 Literally "South of the mountain ranges," in the region of present Canton in 

South China. 

430


physical body of the barbarian and [that of] 19 the monk are different. 

But what difference is there in their Buddha-nature?" 

The Great Master intended to argue with me further, but, seeing 

people around, said nothing more. He ordered me to attend to duties 

among the rest. Then a lay attendant ordered me to the rice-pounding 

area 20 to pound rice. This I did for more than eight months. 

4. One day the Fifth Patriarch (Hung-jen) suddenly called all his 

pupils to come to him. When we had already 21 assembled, he said, "Let 

me say this to you: Life and death are serious matters. You disciples 

are engaged all day in making offerings, going after fields of blessings 22 

only, and you make no effort to achieve freedom from the bitter sea of 

life and death. If you are deluded in your own nature, how can blessings 

save you? Go to your rooms, all of you, and think for yourselves. Those 

who possess wisdom use the wisdom (prajña) inherent in their own 

nature. Each of you must write a verse and present it to me. After I see 

the verses, I will give the robe and the Law to the one who understands 

the basic idea [of the Law preached by the Buddha] and will appoint 

him to be the Sixth Patriarch. Hurry, hurry!" 

6. .... At midnight Head Monk Shen-hsiu, holding a candle, wrote 

a verse on the wall of the south corridor, without anyone knowing about 

it, which said: 

The body is the tree of perfect wisdom (bodhi) 

The mind is the stand of a bright mirror. 

At all times diligently wipe it. 

Do not allow it to become dusty. 

7. .... The Fifth Patriarch said, "The verse you wrote shows some 

but not complete understanding. You have arrived at the front door 

but you have not yet entered it. Ordinary people, by practicing in accordance 

with your verse, will not fail. But it is futile to seek the supreme 

perfect wisdom while holding to such a view. One must enter the door 

and see his own nature. Go away and come back after thinking a day or 

two. Write another verse and present it to me. If then you have entered 

the door and have seen your own nature, I will give you the robe and the 

Law." Head Monk Shen-hsiu went away and for several days could not 

produce another verse. 

8. .... I (Hui-neng) also composed a verse.... My verse says: 

19 Insertion according to Ui Hakuju, Zenshushi kenkyu (Studies in the History 

of Zen), vol. 2, Tokyo, 1941, p. 119. 

20 A fang, which could be a sizable area or simply a room. 

21 Read chi (record) as ch'i (already), according to Ui, ibid., p. 120. 

22 Where the blessings will keep on growing. 

431


Fundamentally perfect wisdom has no tree. 

Nor has the bright mirror any stand. 

Buddha-nature is forever clear and pure. 

Where is there any dust? 

Another verse, which says: 

The mind is the tree of perfect wisdom. 

The body is the stand of a bright mirror. 

The bright mirror is originally clear and pure. 

Where has it been defiled by any dust? 

Monks in the hall were all surprised at these verses. I, however, went 

back to the rice-pounding area. The Fifth Patriarch suddenly realized 

that I alone had the good knowledge and understanding of the basic 

idea, but he was afraid lest the rest learn it. He therefore told them, "He 

does not understand perfectly after all." 

9. The Fifth Patriarch waited till midnight, called me to come to the 

hall, and expounded the Diamond Scripture. As soon as I heard this, I 

understood. That night the Law was imparted to me without anyone's 

knowing it, and thus the method of sudden enlightenment and the robe 

were transmitted to me. "You are now the Sixth Patriarch. This robe is 

the testimony of transmission from generation to generation. As to the 

Law, it is to be transmitted from mind to mind. Let people achieve 

enlightenment through their own effort." 

The Fifth Patriarch said, "Hui-neng, from the very beginning, in the 

transmission of the Law one's life is as delicate as hanging by a thread. 

If you remain here, someone might harm you. You must leave quickly." 

Comment. The praise of the Diamond Scripture may conflict with 

the doctrine of total rejection of literature enunciated below. The 

important point, however, is that before Hui-neng, the most important 

scripture in Zen was the Lankavatara sutra (Scripture about 

[the Buddha] Entering into Lanka). 28 Hui-neng praised the 

Diamond Scripture instead. This in itself was a revolt. 

12. Then I came and stayed in this place (the Canton region) and 

associated with government officials, disciples who have renounced their 

families, and lay folk. This, after all, was due to causes operating over 

many long periods of time. The doctrine has been handed down from 

past sages; it is not my own wisdom. Those who wish to hear the teachings 

of past sages must purify their hearts. Having heard them, they 

23 English translation by Suzuki, Lankavatara Sutra. Lanka is an island south 

of India, popularly identified with Ceylon. 

432


must vow to rid themselves of delusions and thereby to become enlightened 

as 24 the former sages. (This is the method described below.) 25 

Great Master Hui-neng declared, "Good and learned friends, perfect 

wisdom is inherent in all people. It is only because they are deluded in 

their minds that they cannot attain enlightenment by themselves. They 

must seek the help of good and learned friends of high standing to show 

them the way to see [their own] nature. Good and learned friends, as 

soon as one is enlightened, he attains wisdom." 

13. "Good and learned friends, calmness (samadhi) and wisdom 

(prajña) are the foundations of my method. 26 First of all, do not be 

deceived into thinking that the two are different. They are one substance 

and not two. Calmness is the substance of wisdom and wisdom is the 

function of calmness. Whenever wisdom is at work, calmness is within 

it. Whenever calmness is at work, wisdom is within it. Good and learned 

friends, the meaning here is that [calmness and] wisdom are identified. 

Seekers of the Way, arouse your minds. Do not say that wisdom follows 

27 calmness or vice versa, or that the two are different. To hold such 

a view [would imply that] the dharmas (elements of existence) possess 

two different characters. In the case of those whose words are good but 

whose hearts are not good, wisdom and calmness are not identified. But 

in the case of those whose hearts and words are both good and in whom 

the internal and the external are one, calmness and wisdom are identified. 

Self-enlightenment and practice do not consist in argument. If one 

is concerned about which comes first, he is a [deluded] 28 person. If he 

is not freed from the consideration of victory or defeat, he will produce 

the dharmas as real entities 29 and cannot be free from the Four 

Characters [of coming into existence, remaining in the same state, 

change, and going out of existence]." 

Comment. This spirit of synthesis is characteristic of the Southern 

School. We have already seen this synthetic character of the mind 

in Hua-yen and T'ien-t'ai. In fact, this goes back to early Taoism 

and Neo-Taoism, and it is no wonder that Zen writers employed 

many Taoist and Neo-Taoist terms, such as "substance" and "function" 

and "original substance." Shen-hui as a youth studied the 

Lao Tzu and Chuang Tzu. 

24 Read yü (in) as ju (as). The popular (Ming Canon) version, sec. 2, has ju. 

25 Original note in the text, 

26 This is fa-men in Chinese. See above, ch. 24, n.13. 

27 Read fa (start) as hou (afterward). 

28 Insertion following Suzuki and Kuda. See n.17. 

29 The popular version, sec. 4, has "self dharma," that is, the dharma of self, 

instead of dharma-self, or dharmas and the self. In this case the four characters 

become those of a self, a human being, a being among men, and a being with a 

definite span of life. 

433


16. "Good and learned friends, in method there is no distinction between 

sudden enlightenment and gradual enlightenment. Among men, 

however, some are intelligent and others are stupid. Those who are 

deluded understand gradually, while the enlightened achieve understanding 

suddenly. But when they know their own minds, then they see their 

own nature, and there is no difference in their enlightenment. Without 

enlightenment, they remain forever bound in transmigration." 

17. "Good and learned friends, in this method of mine, from the very 

beginning, whether in the sudden-enlightenment or gradual-enlightenment 

tradition, absence-of-thought has been instituted as the main doctrine, 

absence-of-characters as the substance, and nonattachment as the 

foundation. What is meant by absence-of-characters? Absence-ofcharacters 

means to be free from characters while in the midst of 

them. Absence-of-thought means not to be carried away by thought 

in the process of thought. Nonattachment is man's original nature. 

Thought after thought goes on without remaining. Past, present, and 

future thoughts continue without termination. But if we cut off and 

terminate thought one instant, the dharma-body (Law-body or spiritual 

body) 30 is freed from the physical body. At no time should a single 

instant of thought be attached to any dharma. If one single instant of 

thought is attached to anything, then every thought will be attached. 

That is bondage. But if in regard to dharmas no thought is attached to 

anything, that is freedom. [This is] the meaning of having nonattachment 

as the foundation, 

"Good and learned friends, to be free from all characters means the 

absence of characters. Only if we can be free from characters will the 

substance of our nature be pure. That is the meaning of taking the 

absence-of-character as the substance. 

"Absence-of-thought means not to be defiled by external objects. 31 It 

is to free our thoughts from external objects and not to have thoughts 

arise over dharmas. But do not 32 stop thinking about everything and 

eliminate all thought. As soon as thought stops, one dies 33 and is reborn 

elsewhere. Take heed of this, followers of the Way. If 34 one does not 

think 35 over the meaning of the Law and becomes mistaken himself, 

that is excusable. How much worse is it to encourage others to be 

30 See below, n.44. 

31 Or spheres of objects. See above, ch. 23, n.8. 

32 The popular version, sec. 4, has "if merely" instead of "don't", which makes 

the sentence say the opposite. 

33 Read wu (no) as ssu (die), following the popular version, sec. 4. 

34 Reading mo (none) as jo (if), following ibid. 

35 Read hsi (stop) as ssu (to think), following Suzuki and Kuda. 

434


[mistaken]! Deluded, he does not realize that he is so, and he even 

blasphemes the scripture and the Law! That is the reason why absenceof-thought 

is instituted as the doctrine. Because people who are deluded 

have thoughts about the spheres of objects, perverse views arise 36 in 

them, and all sorts of afflictions resulting from passions and erroneous 

thoughts are produced. 

Comment. The doctrine of the absence of thought is no cult of 

unconsciousness. Nor is it a Zen invention. It goes back to Taoism, 

Neo-Taoism, and the Early Seven Schools of Buddhism, all of 

which taught "having no mind of one's own," that is, having no 

mental attachment which would keep the mind in bondage. 

"However, this school has instituted absence-of-thought as the doctrine. 

When people of the world are free from erroneous views, no 

thoughts will arise. If there are no thoughts, there will not even be an 

'absence-of-thought.' Absence means absence of what? Thought means 

thought of what? Absence-of-thought means freedom from the character 

of the duality (existence or nonexistence of characters) and from 

all afflictions resulting from passions. [Thought means thought of the 

true nature of True Thusness (True Reality) .] 37 True Thusness is the 

substance of thought and thought is the function of True Thusness. It is 

the self-nature that gives rise to thought. Therefore in spite of the functioning 

of seeing, hearing, sensing, and knowing, self-nature is not 

defiled by the many spheres of objects and always remains free and at 

ease. As the Wei-mo-chieh [so-shuo] ching (Scripture Spoken by Vimalakirti) 

says, "Externally it skillfully differentiates the various dharmacharacters 

while internally it abides immovably in the First Principle." 38 

18. "Good and learned friends, according to this method sitting in 

meditation is at bottom neither looking at 39 the mind nor looking at 

purity. Nor do we say that there should be imperturbability. 40 Suppose 

we say to look at the mind. The mind is at bottom false. Since being 

false is the same as being illusory, there is nothing to look at. Suppose 

we say to look at purity. Man's nature is originally pure. It is by false 

thoughts that True Thusness is obscured. Our original nature is pure as 

long as it is free from false thoughts. If one does not realize that his own 

nature is originally pure and makes up his mind to look at purity, he is 

36 Read ch'ü (go) as ch'i (arise), following ibid. 

37 See ch. 24, n.19. Insertion according to the popular version, sec. 4. 

38 Vimalakirtinirdésa sutra, sec. 1, TSD, 14:537. The words "externally" and 

"internally" do not appear in the original scripture. 

39 Read chao (to attach) as k'an (to look at). The reason is obvious from what 

follows. 

40 This interpretation accords with the sense in the popular version, sec. 5. 

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creating a false purity. Such purity has no objective existence. Hence 

we know that what is looked at is false. Purity has neither physical form 

nor character, but some people set up characters of purity and say that 

this is the object of our task. People who take this view hinder their own 

original nature and become bound by purity. If those who cultivate imperturbability 

would ignore people's mistakes and defects, their nature 

would not be perturbed. Deluded people may not be perturbed physically 

themselves, but whenever they speak, they criticize others and thus 

violate the Way. Thus looking at the mind or at purity causes a hindrance 

to the Way." 

19. "Now, this being the case, in this method, what is meant by sitting 

in meditation? In this method, to sit means to be free from all obstacles, 

and externally not to allow thoughts to rise from the mind 41 over any 

sphere of objects. To meditate means to realize the imperturbability of 

one's original nature. What is meant by meditation and calmness? Meditation 

means to be free from all characters externally; calmness means 

to be unperturbed internally. If there are characters outside and the 

inner mind is not disturbed, one's original nature is naturally pure and 

calm. It is only because of the spheres of objects that there is contact, 

and contact leads to perturbation. There is calmness when one is free 

from characters and is not perturbed. There is meditation when one is 

externally free from characters, and there is calmness when one is internally 

undisturbed. Meditation and calmness mean that external 

meditation is attained and internal calmness is achieved. The Wei-mochieh 

[so-shuo] ching says, 'Immediately we become completely clear 

and recover our original mind.' 42 The P'u-sa chieh ching (Scripture of 

Disciplines for Bodhisattvahood) says, 'We are originally pure in our 

self-nature.' 43 Good and learned friends, realize that your self-nature is 

naturally pure. Cultivate and achieve for yourselves the Law-body of 

your self-nature. Follow the Way of the Buddha yourselves. Act and 

achieve Buddhahood for yourselves." 

20. "Good and learned friends, you must all go through the experience 

yourselves and receive the discipline that frees you from the attachment 

to differentiated characters. Follow me at the same time and 

repeat my slogans. They will enable you, good and learned friends, to 

see that the Three Bodies 44 of the Buddha are within you: 'We take 

41 Read shang (up) as hsin (mind), according to the popular version, sec. 5. 

42 Sec. 3, TSD, 14:541. 

43 The scripture is part of sec. 10 of the Bramajala sutra (Fan-wang ching, or 

Brahma-net Scripture). See TSD, 24:1003. 

44 Buddhism conceives a Buddha to have a threefold body, namely, the Lawbody 

or spiritual body (Dharmakaya), the Reward-body or Enjoyment-body 

(Sambhogakaya), and the Transformation-body or body of incarnation (Nir- 

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refuge in the pure Law-body of the Buddha with our own physical 

bodies. We take refuge in the Myriad Transformation-body with our 

own physical bodies. We take refuge in the Perfect Reward-body with 

our own physical bodies.' (The above is to be chanted three times.) 45 

The physical body is like an inn and cannot be spoken of as a refuge. It 

has always been the case that the Three Bodies lie in one's own nature. 

Everyone has them, yet because they are deluded they do not see, and 

they seek the Three [Bodies] of the Tathagata (Thus-come Buddha) 46 

externally, without realizing that the Three Bodies are inherent in one's 

own physical body. Good and learned friends, listen to your good friend. 

If you, good and learned friends, now see in your own physical bodies 

the self-nature that involves the Three Bodies of the Buddha, these Three 

Bodies will arise from your nature. 

Comment. The doctrine of "becoming a Buddha in this very body" 

is a far cry from the original Indian idea that the body is a hindrance 

to freedom. One cannot help recalling that the Confucianists have 

always regarded the body as a gift from parents and as such it is a 

sacred trust and therefore to be well taken care of, and that for 

centuries the Taoists religion had tried in many ways, including 

medicine, diets, exercise, sex technique, and breath control, to 

make the body suitable for everlasting life on earth. These are 

some of the roots that make Zen essentially Chinese. 

"What is meant by the Pure [Law] 47 of the Buddha? Good and learned 

friends, our nature is originally pure. All dharmas lie in this self-nature. 

If we think of all kinds of evil deeds, we will practice evil. If we think 

of all kinds of good deeds, we will do good. Thus we know that all 

dharmas lie in one's self-nature. Self-nature is always pure, just as the 

sun and moon are always shining. It is only when they are obscured 

by clouds that there is brightness above but darkness below and the sun, 

the moon, and the stars cannot be seen. But when suddenly a gentle 

wind blows and scatters all clouds and fog, all phenomena are abundantly 

spread out before us, all appearing together. The purity of people's 

manakaya). The Law-body is the Buddha-body in its self-nature, the body of the 

Dharma or truth, the body of reality, the body of principle. This "body" has no 

bodily existence. It is identical with truth. In various schools it is identical with 

the Realm of Dharma (Dharmadhatu}, Buddha-nature, or the Storehouse of the 

"Thus-come" (Tathagatagarbha). The Reward-body is the person embodied with 

real insight, enjoying his own enlightenment or that of others. The Transformationbody 

is a body variously appearing to save people. The three bodies are three in 

one, are possessed of all Buddhas, and are potential to all men. 

45 Original note in the text. 

46 See above, ch. 20, n.41. 

47 This word has been added according to the popular version, sec. 6. 

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nature is comparable to the clear sky, their wisdom comparable to the 

sun, and sagacity comparable to the moon. Their sagacity and wisdom 

are always shining. It is only because externally people are attached to 

spheres of objects 48 that erroneous thoughts, like floating clouds, cover 

the self-nature so that it is not clear. Therefore when they meet a good 

and learned friend who reveals to them the true method and scatters 

delusions and falsehood, then they are thoroughly illumined both internally 

and externally, and all dharmas reveal the free and easy character 

in their own nature. This is called the Pure Law-body. By taking refuge 

ourselves is meant to remove evil deeds. This is called taking refuge. 

"What is meant by the Myriad Transformation-body? When there is 

no thought, one's nature is empty of differentiated characters and is 

tranquil, but when there is thought, that is self-transformation. When 

one thinks of evil dharmas, the transformation becomes hell, but when 

one thinks of good dharmas, the transformation becomes Paradise. What 

is poisonous and harmful is transformed into beasts. What is compassionate 

is transformed into bodhisattvas. 49 What is sagacious and wise 

is transformed into the higher realm. What is ignorant and deluded is 

transformed into the lower region. The transformations of self-nature 

are many, 50 but deluded people do not know this themselves. If one 

has a single good thought, sagacity and wisdom arise. 

"What is meant by the Perfect Reward-body? One light can illuminate 

the darkness of a thousand years, and one bit of wisdom can destroy the 

ignorance of ten thousand years. Never mind looking back to the past; 

always consider the future, and always make future thoughts good. This 

is called the Reward-body. The reward of one evil thought will remove 51 

the good of a thousand years, and the reward of one good thought will 

destroy the evil of a thousand years. At all times make the next thought 

a good one. This is called the Reward-body. Thinking on the basis of 

the Law-body is the same as the Transformation-body, and making every 

thought good is the same as the Reward-body. Achieving enlightenment 

oneself and practicing [the Law] oneself is called taking refuge. Skin and 

flesh constitute the physical body. It is an inn and cannot be spoken 52 

of as a refuge. If a person understands the Three Bodies, he will recognize 

my basic idea." 

30. "All scriptures and writings, both Mahayana and Hinayana, and 

48 Read k'an-ching (see reverence) as chao-ching (attach to sphere), according 

to Suzuki and Kuda, and also Ui, p. 130. 

49 A bodhisattva is one who is strongly determined to seek enlightenment and 

salvation for all. 

50 Read ming (name) as to (much), according to Suzuki and Kuda. 

51 Read hsin (mind) as wang (to destroy), according to Suzuki and Kuda. 

52 Read tsai (in) as yen (saying), according to TSD, 48:140. 

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the twelve sections of the scriptures are provided for [men]. 53 It is 

because man possesses the nature of wisdom that these were instituted. 

If there were no men in the world, there would naturally not be 

any dharmas. 54 We know, therefore, that dharmas exist because of man 

and that there are all these scriptures because there are people to preach 

them. 

"The reason is that among men some are wise and others are stupid. 

The stupid are inferior, whereas the wise are superior. The deluded consult 

the wise and the wise explain the Law to the stupid and enable them 

to understand and to open up their minds. 55 When deluded people 

understand and open up their minds, they are no longer different from 

the superior and the wise. Hence we know that without enlightenment, 

a Buddha is no different from other living beings. With enlightenment, 

even in a single instant of thought, all living beings become the same as 

a Buddha. Hence we know that all dharmas are immanent in one's mind 

and person. Why not seek in one's own mind the sudden realization of 

the original nature of True Thusness? The P'u-sa chieh ching says, 'We 

are originally pure in our self-nature. If we understand our minds and 

see our nature, we shall achieve Buddhahood ourselves.' 56 [And the 

Wei-mo-chieh (so-shuo) ching says] Immediately we become completely 

clear and recover our original mind.' " 57 

31. "Good and learned friends, when I was at Priest Hung-jen's 

place, I understood immediately as soon as I heard him, and suddenly 

realized the original nature of True Thusness. For this reason I propagate 

this doctrine so that it will prevail among later generations and 

seekers of the Way will be able to achieve perfect wisdom through sudden 

enlightenment, each to see his own mind, and to become suddenly 

enlightened through his own original nature. If they are not able to enlighten 

themselves, they should seek good and learned friends of high 

standing to show them the way to see their nature. 

"What is meant by a good and learned friend of high standing? A 

good and learned friend of high standing is one who can explain to 

people the very best method and can directly show them the correct 

way. That is a good and learned friend of high standing. That is 

a great cause. That is to [say], 58 he will teach and direct people so 

they can see their own nature. For all good dharmas arise because of 

him. [The wisdom] of the past, present, and future Buddhas as well as 

53 Insertion according to ibid. 

54 This reading follows the popular version. 

55 Read jan (infected) as hsin (mind), to conform with the sentence that 

follows. 

56 See n.43. 57 See n.42. 

58 Read wei (to act) as wei (to say), according to the popular version, sec. 2. 

439


the twelve sections of the scripture are all immanent in human nature. 

It originally possesses them to the fullest extent. Those who cannot enlighten 

themselves should have good and learned friends to show them 

the way to see their nature. Those who can enlighten themselves, however, 

need not depend on good and learned friends. If they seek outside 

for good and learned friends and hope for emancipation, they will get 

nowhere. Understanding coming from the good and learned friend inside 

a person's own mind, however, will lead him to emancipation. But 

if one's own mind is perverse and deluded, [full of] erroneous thoughts 

and perversions, even if good and learned friends from the outside offer 

instructions, no salvation can be attained. 59 If you have not been able to 

enlighten yourselves, you should arouse your wisdom illuminatingly to 

examine [facts and principles]. Then in an instant all erroneous thoughts 

will vanish. This is your true and really good and learned friend, 

who as soon as he is enlightened immediately realizes Buddhahood." 

B. THE RECORDED CONVERSATIONS OF SHEN-HUI 60 

The priest (Shen-hui) said, "There are mundane mysteries and also 

supramundane mysteries. When a commoner suddenly becomes a sovereign, 

for example, it is mundane mystery. If in the first stage of one's 

spiritual progress which consists of ten beliefs, 61 in one's initial resolve 

to seek perfect wisdom, an instant of thought corresponds with truth, 

one will immediately achieve Buddhahood. This is supramundane mystery. 

It is in accord with principle. What is there to wonder about? This 

clarifies the mystery of sudden enlightenment." (p. 100) 

The priest said, "The resolve [to seek perfect wisdom] may be sudden 

or gradual, and delusion and enlightenment may be slow or rapid. Delusion 

may continue for infinitely long periods, but enlightenment takes 

but a moment. This principle is difficult to understand. Let me first give 

an analogy and then clarify the principle, and then you may perhaps 

understand through this example. Suppose there are individual 

strands of light green silk each consisting of numerous threads. If they 

are twisted to become a rope and are placed on a board, one cut with 

a sharp sword will sever all threads at the same time. Although the 

59 This clause is added according to ibid. 

60 These are from the "Recorded Sayings" in the Shen-hui Ho-shang i-chi (Surviving 

Works of Priest Shen-hui), ed. by Hu Shih, Shanghai, 1930. For a French 

translation, see Bibliography. 

61 There are 52 grades, divided into six stages, toward Buddhahood. The first 

stage consists of ten grades, namely, faith, unforgetfulness, serious effort, wisdom, 

calmness, non-retrogression, protection of the Law, the mind to reflect the light 

of the Buddha, discipline, and free will. Ordinarily one has to go through all six 

stages before achieving Buddhahood. 

440


number of silk threads is large, it cannot stand the sword. It is the same 

with one who resolves to seek perfect wisdom. If he meets a truly good 

friend who by the use of [various] 62 convenient means shows him True 

Thusness directly, and if he uses the diamond wisdom (which by its reality 

overcomes all illusory knowledge) to cut off all afflictions hi the 

various stages, he will be completely enlightened, and will realize by 

himself that the nature of dharmas is originally empty and void. As his 

wisdom has become sharp and clear, he can penetrate everything and 

everywhere without obstacle. At this moment of realization, all causes 

[that give rise to attachment to external objects] will perish, and erroneous 

thoughts as numerous as sand in the Ganges will suddenly vanish 

altogether. Unlimited number of merits will be complete at the appropriate 

time. Once the diamond wisdom issues forth, why can't [Buddhahood] 

be achieved?" (pp. 120-121) 

Teacher of the Law Chih-te 63 asked, "Zen Master, you teach living 

beings to seek only sudden enlightenment. Why not follow the gradual 

cultivation of Hinayana? One can never ascend a nine-story tower 

without going up the steps gradually." 

Answer: "I am afraid the tower you talk about ascending is not a 

nine-story tower but a square tomb consisting of a pile of earth. If it 

is really a nine-story tower, it would mean the principle of sudden enlightenment. 

If one directs one's thought to sudden enlightenment as if 

one ascends a nine-story tower with the necessity of going through the 

steps gradually, one is not aiming right but sets up the principle of 

gradual enlightenment instead. Sudden enlightenment means satisfying 

both principle (li) and wisdom. The principle of sudden enlightenment 

means to understand without going through gradual steps, for understanding 

is natural. Sudden enlightenment means that one's own mind 

is empty and void from the very beginning. It means that the mind has 

no attachment. It means to enlighten one's mind while leaving dharmas 

as they are and to be absolutely empty in the mind. It means to understand 

all dharmas. It means not to be attached to Emptiness when one 

hears about it and at the same time not to be attached to the absence of 

Emptiness. It means not to be attached to the self when one hears about 

it and at the same time not to be attached to the absence of the self. It 

means entering Nirvana without renouncing life and death. Therefore 

the scripture says, '[Living beings] have spontaneous wisdom and wisdom 

without teacher.' 64 He who issues from principle approaches the 

Way rapidly, whereas he who cultivates externally approaches slowly. 

62 63 

One word here is missing in the text. 

Nothing is known of him. 

64 

Saddharmapundarika sutra (Scripture of the Lotus of the Good Law), ch. 3, 

TSD, 9:13. See Soothill, trans., The Lotus of the Wonderful Law, p. 93. 

441


People are surprised and skeptical when they hear that there is supramundane 

mystery. There are sudden mysteries in the world. Do you 

believe it?" 

Comment. Note the equal emphasis on wisdom and principle. The 

rational element of principle, which occupies an important place 

in Hua-yen and later in Neo-Confucianism, also has an important 

role in Zen. Intuition does not preclude intellectual understanding. 

Question: "What do you mean?" 

Answer: "For example, Duke Chou (d. 1094 B.C.) 65 and Fu Yüeh 66 

were originally a fisherman and a mason, respectively. 'The choice laid 

in the minds of the rulers.' 67 Consequently, they rose as simple folks and 

suddenly ascended to the position of a prime minister. Is this not a 

wonderful thing in the mundane world? As to wonderful things in the 

mundane world, when living beings whose minds are clearly full of greed, 

attachment, and ignorance, meet a truly good friend and in one instant 

of thought correspond [with truth], they will immediately achieve Buddhahood. 

Is this not a wonderful thing in the mundane world? 

"Furthermore, [the scripture] 68 says, 'All living beings achieve Buddhahood 

as they see their own nature.' Also, Nagakanya, daughter of the 

Dragon King, achieved Buddhahood at the very moment she resolved 

to seek perfect wisdom. 69 Again, in order to enable living beings to 

penetrate the knowledge and perception of the Buddha but not to allow 

sudden enlightenment, the Tathagata everywhere spoke of the Five 

Vehicles (leading to their corresponding destinations for human beings, 

deities, ordinary disciples, the self-enlightened ones, and bodhisattvas). 70 

Now that the scriptures do not speak of the Five Vehicles but merely 

talk about penetrating the knowledge and perception of the Buddha, in 

the strict sense they only show the method of sudden enlightenment. It 

is to harbor only one thought that corresponds with truth but surely not 

to go through gradual steps. By corresponding is meant the understanding 

of the absence of thought, the understanding of self-nature, and 

being absolutely empty in the mind. Because the mind is absolutely 

65 He assisted his brother, King Wu (r. 1121-1116 B.C.) in founding the Chou 

dynasty and later became prime minister during the reign of King Wu's son. He 

used to fish. 

66 Fu Yüeh was helping people build dykes when the sovereign Wu-ting (r. 

1339-1281 B.C.) heard of him and later appointed him prime minister. 

67 This is a quotation from Analects, 20:1. 

68 Hu Shih (Shen-hui Ho-shang i-chi, p. 131) thinks that what follows is probably 

a quotation from some scripture. 

69 Referring to the story in Saddharmapuntdarika sutra, ch. 12, TSD, 9:35. See 

Soothill, p. 174. 

70 For the last three vehicles, see above, ch. 25, n.14. For bodhisattvas, see n.74. 

442


empty, that is Tathagata Meditation. The Wei-mo-chieh [so-shuo] ching 

says, "I contemplate my own body in the sense of real character. I contemplate 

the Buddha in the same way. I see the Tathagata as neither 

coming before, nor going afterward, and not remaining at present." 71 

Because it does not remain (no attachment), it is Tathagata Meditation." 

(pp. 130-132) 

Question: "Why is ignorance 72 the same as spontaneity (tzu-jan)?" 

Answer: "Because ignorance and Buddha-nature come into existence 

spontaneously. Ignorance had Buddha-nature as the basis and Buddhanature 

has ignorance as the basis. Since one is basis for the other, when 

one exists, the other exists also. With enlightenment, it is Buddha-nature. 

Without enlightenment, it is ignorance. The Nieh-p'an ching (Nirvana 

Scripture) says, 'It is like gold and mineral. They come into existence 

at the same time. After a master founder has smelted and refined the 

material, gold and the mineral will presently be differentiated. The more 

refined, the purer the gold will become, and with further smelting, the 

residual mineral will become dust.' 73 The gold is analogous to Buddhanature, 

whereas mineral is analogous to afflictions resulting from passions. 

Afflictions and Buddha-nature exist simultaneously. If the 

Buddhas, bodhisattvas, 74 and truly good friends teach us so we may 

resolve to cultivate perfect wisdom, we shall immediately achieve 

emancipation." 

Question: "If ignorance is spontaneity, is that not identical with the 

spontaneity of heretics?" 

Answer: "It is identical with the spontaneity of the Taoists, but the 

interpretations are different." 

Question: "How different?" 

Answer: "In Buddhism both Buddha-nature and ignorance are spontaneous. 

Why? Because all dharmas depend on the power of Buddhanature. 

Therefore all dharmas belong to spontaneity. But in the spontaneity 

of Taoism, 'Tao produced the One. The One produced the two. 

The two produced the three. And the three produced the ten thousand 

things.' 75 From the One down, all the rest are spontaneous. Because of 

this the interpretations are different." (pp. 98-99) 

The assistant to the governor said, "All palace monks serving the 

emperor speak of causation instead of spontaneity, whereas Taoist 

71 Wei-mo-chieh ching, sec. 12, TSD, 14:554. 

72 Avidya, particularly ignorance of facts and principles about dharmas. 

73 Paraphrasing a passage in Nirvana sutra, ch. 26, TSD, 12:788. 

74 Bodhisattvas are beings who are enlightened and are ready to become Buddhas 

but because of their compassion they remain in the world to save all sentient 

beings. 


443


priests over the world only speak of spontaneity and do not speak of 

causation." 

Answer: "It is due to their stupid mistake that monks set up causation 

but not spontaneity, and it is due to their [stupid] mistake that Taoist 

priests only set up spontaneity but not causation." 

The assistant to the governor asked: "We can understand the causation 

of the monks, but what is their spontaneity? We can understand 

the spontaneity of the Taoists, but what is their causation?" 

Answer: "The spontaneity of the monks is the self-nature of living 

beings. Moreover, the scripture says, "Living beings [have] spontaneous 

wisdom and wisdom without teacher.' This is called spontaneity. But in 

the case of causation of the Taoists, Tao can produce the One, the One 

can produce the two, the two can produce the three, and the three produce 

all things. All are produced because of Tao. If there were no Tao, 

nothing will be produced. Thus all things belong to causation." (pp. 

143-144) 

C. THE RECORDED CONVERSATIONS 

OF ZEN MASTER I-HSÜAN 76 

1. The Prefect, Policy Advisor Wang, 77 and other officials requested 

the Master to lecture. The Master ascended the hall and said, "Today 

it is only because I, a humble monk, reluctantly accommodate human 

feelings that I sit on this chair. If one is restricted to one's heritage in 

expounding the fundamental understanding [of salvation], one really 

cannot say anything and would have nothing to stand on. 78 However, 

because of the honorable general advisor's strong request today, how can 

the fundamental doctrines be concealed? Are there any talented men or 

fighting generals to hurl their banners and unfold their strategy right 

now? Show 79 it to the group!" 

A monk asked, "What is the basic idea of the Law preached by the 

Buddha?" Thereupon the Master shouted at him. The monk paid reverence. 

The Master said, "The Master and the monk can argue all right." 

Question: "Master, whose tune are you singing? Whose tradition are 

you perpetuating?" 

76 For his biography see Sung kao-seng chuan, ch. 12, TSD, 50:779. Not much is 

known of him. His school is called the Lin-chi school (Rinsai in Japanese) because 

he lived in the Lin-chi monastery in Hopei. 

77 He was Wang Ching-ch'u, prefect of the Honan Prefecture, and a Buddhist lay 

pupil of Zen Master Ling-yu (771-853). 

78 Commentators are not agreed on the meaning of this sentence. The present 

interpretation is harmonious with the spirit of independence and revolt of the 

Zen School. 

79 The phrase cheng-chü here does not mean evidence but to make clear. 

444


The Master said, "When I was a disciple of Huang-po, 80 I asked him 

three times and I was beaten three times." 

As the monk hesitated about what to say, the Master shouted at him 

and then beat him, saying, "Don't nail a stick into empty space." 81 

2. The Master ascended the hall and said, "Over a lump of reddish 

flesh there sits a pure man who transcends and is no longer attached to 

any class of Buddhas or sentient beings. He comes in and out of your 

sense organs all the time. If you are not yet clear about it, look, look!" 

At that point a monk came forward and asked, "What is a pure man 

who does not belong to any class of Buddhas or sentient beings?" The 

Master came right down from his chair and, taking hold of the monk, 

exclaimed, "Speak! Speak!" As the monk deliberated what to say, the 

Master let him go, saying, "What dried human excrement-removing 

stick is the pure man who does not belong to any class of Buddhas or 

sentient beings!" Thereupon he returned to his room. (TSD, 47:496) 

Comment. This is one of the most famous koans. The nonsensical 

answer in the koan is a new Zen device, but witty and shocking 

conversations have their precedents in Taoism and Neo-Taoism. 

One can find many in the Chuang Tzu and the Shih-shuo hsin-yü 

(New Discourse on the Talk of the Times), to mention only two 

well-known examples. 

The mention of excrement is no vulgarism. It is derived from 

Chuang Tzu who said that Tao is even in human excrement and 

urine. 82 Japanese scholars have invariably avoided direct translation 

of the term and used such expressions as "dried stick of dirt" 

instead. In doing so, they have missed the extremely important 

point in Taoism and seem to forget that the Buddha, like Tao, is 

everywhere. 

3. The Master ascended the hall. A monk asked, "What is the basic 

idea of the Law preached by the Buddha?" The Master lifted up his 

swatter. The monk shouted, and the Master beat him. 

[The monk asked again], "What is the basic idea of the Law preached 

by the Buddha?" The Master again lifted up his swatter. The monk 

shouted, and the Master shouted also. As the monk hesitated about what 

to say, the Master beat him. 

Comment. The swatter was originally used to hit mosquitoes but 

80 This refers to Zen Master Hsi-yün (d. 850) who lived in the Huang-po 

Mountain. For his work, see Bibliography. 

81 One gets nowhere in so doing. 

82 Chuang Tzu, ch. 22, HHCC, 7:49b. cf. Giles trans., Chuang Tzu, 1961 ed., 

p. 215. See above, ch. 8, comment on C, 2. 

445


in Zen it is used to needle the mind. Hu Shih and Suzuki are diametrically 

opposed in their interpretations of such a technique. 

For Hu Shih, the apparently nonsensical Zen gestures are calculated 

to force the student to think for himself, "a method of education 

by the hard way." 83 For Suzuki, the swatter and various forms of 

gestures represent Zen's "persistent and often violent opposition to 

words and then to the intellect which deals exclusively in words." 84 

Suzuki added that Zen has no prescribed methods. We may add 

that in the typical Buddhist fashion of the Four Points of Argumentation, 

85 the swatter may mean this, it may mean that, it may 

mean both this and that, and it may mean neither this nor that. 

Thereupon the Master said, "Listen, men. Those who pursue after 

the Law will not escape from death. I was in my late Master Huang-po's 

place for twenty years. Three times I asked him about the basic idea of 

the Law preached by the Buddha and three times he bestowed upon me 

the staff. I felt I was struck only by a dried stalk. Now I wish to have 

a real beating. Who can do it to me?" 

One monk came out of the group and said, "I can do it." 

The Master picked up the staff to give him. As he was about to take 

it over, the Master beat him. (TSD, 47:496-497) 

4. The Master ascended the hall and said, "A man stands on top of 

a cliff, with no possibility of rising any further. Another man stands at 

the crossroad, neither facing nor backing anything. Who is in the front 

and who is in the back? Don't be like Vimalakirti (who was famous for 

his purity), and don't be like Great Gentleman Fu (who benefited 

others). 86 Take care of yourselves." (TSD, 47:497) 

5. The Master told the congregation: "Seekers of the Way. In 

Buddhism no effort is necessary. All one has to do is to do nothing, 

except to move his bowels, urinate, put on his clothing, eat his meals, 

and lie down if he is tired. The stupid will laugh at him, but the wise one 

will understand. An ancient person said, 'One who makes effort externally 

is surely a fool.' " 87 (TSD, 47:498) 

6. Question: "What is meant by the mind's not being different at different 

times?" 

83 Hu Shih, "Ch'an (Zen) Buddhism in China: Its History and Method," Philosophy 

East and West, 3 (1953) p. 21 . 

84 Suzuki, "Zen: A Reply to Hu Shih," ibid., p. 36. 


86 Fu Hsüan-feng (b. A.D. 28) put the fish he caught in a basket and submerge d 

it under water so those fish which wished to escape could do so. He and his wife 

worked in the farm for others. 

87 This saying and part of what precedes immediately come from a song by Zen 

Master Ming-tsan (fl. 788) in TSD, 49:606. 

446


The Master answered, "As you deliberated to ask the question, your 

mind has already become different. Therefore the nature and character 

of dharmas have become differentiated. Seekers of the Way, do not 

make any mistake. All mundane and supramundane dharmas have no 

nature of their own. Nor have they the nature to be produced [by causes]. 

They have only the name Emptiness, but even the name is empty. 

Why do you take this useless name as real? You are greatly mistaken! 

... If you seek after the Buddha, you will be taken over by the devil 

of the Buddha, and if you seek after the patriarch, you will be taken 

over by the devil of the patriarch. If you seek after anything, you will 

always suffer. It is better not to do anything. Some unworthy priests 

tell their disciples that the Buddha is the ultimate, and that he went 

through three infinitely long periods, fulfilled his practice, and then 

achieved Buddhahood. Seekers of the Way, if you say that the 

Buddha is the ultimate, why did he die lying down sidewise in the 

forest in Kusinagara after having lived for eighty years? Where is he 

now?. . . Those who truly seek after the Law will have no use for the 

Buddha. They will have no use for the bodhisattvas or arhats. 88 And 

they will have no use for any excellence in the Three Worlds (of desires, 

matter, and pure spirit). 89 They will be distinctly free and not 

bound by material things. Heaven and earth may turn upside down but 

I shall have no more uncertainty. The Buddhas of the ten cardinal directions 

may appear before me and I shall not feel happy for a single 

moment. The three paths (of fire, blood, and swords) to hell may 

suddenly appear, but I shall not be afraid for a single moment. Why? 

Because I know that all dharmas are devoid of characters. They exist 

when there is transformation [in the mind] and cease to exist when there 

is no transformation. The Three Worlds are but the mind, and all 

dharmas are consciousness only. Therefore [they are all] dreams, illusions, 

and flowers in the air. What is the use of grasping and seizing 

them?. . . 

"Seekers of the Way, if you want to achieve the understanding according 

to the Law, don't be deceived by others and turn to [your 

thoughts] internally or [objects] externally. Kill anything that you happen 

on. Kill the Buddha if you happen to meet him. Kill a patriarch or 

an arhat if you happen to meet him. Kill your parents or relatives if 

you happen to meet them. Only then can you be free, not bound by 

material things, and absolutely free and at ease. ... I have no trick to 

give people. I merely cure disease and set people free.... My views are 

88 An arhat or arhan is the ideal being in Hinayana or Small Vehicle, a saint 

or worthy who is no longer subject to incarnation. 

89 For the Three Worlds, see above, ch. 20, n.38. 

447


few. I merely put on clothing and eat meals as usual, and pass my time 

without doing anything. You people coming from the various directions 

have all made up your minds to seek the Buddha, seek the Law, seek 

emancipation, and seek to leave the Three Worlds. Crazy people! If 

you want to leave the Three Worlds, where can you go? 'Buddha' and 

'patriarchs' are terms of praise and also bondage. Do you want to know 

where the Three Worlds are? They are right in your mind which is now 

listening to the Law." (TSD, 47:499-500) 

Comment. This "doing nothing" philosophy means more than the 

Taoist philosophy of leaving things alone and being absolutely 

spontaneous. It assumes that Ultimate Reality is everywhere and 

can be discovered without any special searching. Eating, sweeping 

the floor, simply walking, or anything will do. 

7. Ma-ku 90 came to participate in a session. As he arranged his seating 

cushion, he asked, "Which face of the twelve-face Kuan-yin 91 faces 

the proper direction?" 

The Master got down from the rope chair. With one hand he took 

away Ma-ku's cushion and with the other he held Ma-ku, saying, "Which 

direction does the twelve-face Kuan-yin face?" 

Ma-ku turned around and was about to sit in the rope chair. The 

Master picked up the staff and beat him. Ma-ku having grasped the staff, 

the two dragged each other into the room. 

8. The Master asked a monk: "Sometimes a shout is like the sacred 

sword of the Diamond King. 92 Sometimes a shout is like a golden-haired 

lion squatting on the ground. Sometimes a shout is like a rod or a piece 

of grass [used to attract fish]. And sometimes a shout is like one which 

does not function as a shout at all. How do you know which one to use?" 

As the monk was deliberating what to say, the Master shouted. (TSD, 

47:504) 

9. When the Master was among Huang-po's congregation, his conduct 

was very pure. The senior monk 93 said with a sigh, "Although he is 

young, he is different from the rest!" He then asked, "Sir, how long 

have you been here?" 

90 Zen Master Pao-ch'e of Ma-ku Mountain. 

91 Avalokitesvara, the bodhistattva "who sees the world's sound," or the cries 

of suffering. The name may also mean the one who sees reality as it is, free and at 

ease. Characterized by compassion, this Buddhist saint assumes many forms, has 

many faces and hands the better to see and help sentient beings toward salvation. 

In popular Chinese religion, the saint had assumed a feminine form and has come 

to be known in the West as Goddess of Mercy. 

92 A bodhisattva in the diamond-realm, the realm of wisdom as contrasted with 

the realm of principle, the two realms representing those of effect and cause, 

respectively. 

93 Huang-po's disciple Ch'en Mu-chou. 

448


The Master said, "Three years." 

The senior monk said, "Have you ever gone to the head monk (Huangpo) 

and asked him questions?" 

The Master said, "I have not. I wouldn't know what to ask." 

The senior monk said, "Why don't you go and ask the head monk 

what the basic idea of the Law preached by the Buddha clearly is?" 

The Master went and asked the question. But before he finished, 

Huang-po beat him. When he came back, the senior monk asked him 

how the conversation went. The Master said, "Before I finished my 

question, he already had beaten me. I don't understand." The senior monk 

told him to go and ask again. 

The Master did and Huang-po beat him again. In this way he asked 

three times and got beaten three times. . . . Huang-po said, "If you go to 

Ta-yü's 94 place, he will tell you why." 

The Master went to Ta-yü, who asked him, "Where have you come 

from?" 

The Master said, "I am from Huang-po's place." 

Ta-yü said, "What did Huang-po have to say?" 

The Master said, "I asked three times about the basic idea of the Law 

preached by the Buddha and I was beaten three times. I don't know 

if I was mistaken." 

Ta-yü said, "Old kindly Huang-po has been so earnest with you and 

you still came here to ask if you were mistaken!" 

As soon as the Master heard this, he understood and said, "After all, 

there is not much in Huang-po's Buddhism." (TSD, 47:504) 

Comment. Not only is there not much in Huang-po's Buddhism; 

there is not much in Buddhism itself! 95 This saying has been repeated 

time and again by Zen Buddhists. It expresses not only a 

spirit of revolt, but also the determination to wipe out anything in 

the way of the mind's direct and immediate intuition of truth, including 

Buddhism itself. Fung Yu-lan is right in considering this 

point as one of the five most important in Zen. 96 

94 

This monk lived in the Ta-yü Mountain in Kiangsi Province. 

95 

This was actually said in the same story recorded in Ching-te ch'uan-teng lu, 

12:3b. 

96 

History of Chinese Philosophy, vol. 2, 1953, p. 401. 

449

••• 27 ••• 

THE REVIVAL OF CONFUCIANISM: 

HAN YÜ AND LI AO 

HAN YÜ (768-824) and Li Ao (ft. 798) are usually considered as 

forerunners of the Neo-Confucianism that developed in the eleventh 

century. Actually, they were more than that. For they were not merely 

precursors of a movement; they did much to determine its direction. 

As philosophers they are quite negligible. There is nothing new in 

their theories of human nature, and their dualism of good nature and 

evil feelings is but a continuation of a worn-out theory some eight hundred 

years old. Han Yü's discussion of the Way is superficial and, unlike 

that of the Taoists and Buddhists, does not touch upon its deeper 

aspects. And yet they were key figures in the transition from the Confucianism 

of medieval China to Neo-Confucianism. Han Yü, especially, 

stood out like a giant in the history of Confucianism from the second 

century B.C. to the tenth. He was of course one of the greatest literary 

masters China ever produced. So far as Chinese thought is concerned, 

his greatness and that of Li Ao lie in the fact that they saved Confucianism 

from its possible annihilation by Taoism and Buddhism and that 

they defined the direction and nature of its resurgence. 

They accomplished this remarkable task in several ways. First of all, 

attacking Taoism and Buddhism, which were then at their height, Han 

Yü reversed the tide of Confucian decline. Second, both he and Li Ao 

concentrated on the central problem in the history of Confucianism, 

namely, human nature, and thus kept it central in later Confucianism. 

Significantly, Neo-Confucianism is called the study of human nature and 

destiny. Their study was specifically urged by Li Ao. 1 Third, by quoting 

from the Great Learning, the Doctrine of the Mean, and the Book of 

Changes, they discovered their importance and laid the foundation for 

Neo-Confucianists whose ideas were largely based on these Classics. 

Fourth, both of them singled out Mencius as the person through whom 

the true doctrines of Confucius were transmitted to later ages. Han Yü 

was particularly vehement about this "correct transmission." He rejected 

Hsün Tzu (fl. 298-238 B.C.) and Yang Hsiung (53 B.C.-A.D. 18) 

as unworthy of it. However dogmatic he may have been, this "correct 

transmission" as fixed by Han Yü has been accepted by Confucianists 

ever since. 

Last, and perhaps the most important, by attacking Taoist inaction 

1 Li Wen Kung chi (Collected Works of Li Ao), "Recovery of the Nature," pt. 

1, SPTK, 1:7a-8a. 

450


and Buddhist silence and annihilation instead of their metaphysics, Han 

Yü prevented Confucianism from developing along the line of speculative 

philosophy in order to compete with them, and helped confine Confucian 

objectives to the traditional goal of a moral being and a moral 

society. This may have been a misfortune for Confucianism, for although 

Neo-Confucianists did base their whole movement on the metaphysical 

concept of principle (li), metaphysics is not one of their distinctions. 

But in emphasizing the Confucian Way of having action and of 

sustaining and supporting the life of one another, as Han Yü did, and in 

reiterating the ancient Confucian ideal of the sincerity of the will, the 

rectification of the mind, the cultivation of the personal life, the regulation 

of the family, ordering the state, and bringing peace to the world, 

as both Han and Li did, they did much to retain the real strength of the 

Confucian system. 

Han was an orphan at three and grew up in difficult circumstances, 

but he eventually rose to be a vice-minister in the ministry of civil 

personnel. In 819 he protested against welcoming a Buddhist relic, 

supposed to be a bone of the Buddha, to the palace and almost lost his 

life because of it. Li Ao was his friend, or, according to some, his pupil. 2 

The following selections are from their collected works. 

1. AN INQUIRY ON HUMAN NATURE, BY HAN YÜ 

The nature of man comes into existence with birth, 3 whereas the feelings 

are produced when there is contact with external things. There are 

three grades of human nature, and what constitute that nature are five. 

There are three grades of feelings, and what constitute feelings are seven. 

What are these? I say: The three grades of nature are: superior, the 

medium, and the inferior. The superior is good, and good only. The 

medium may be led to be either superior or inferior. The inferior is 

2 Han's courtesy name was T'ui-chih and his posthumous title was Wen (Culture). 

He had a "presented scholar" degree and served in many governmental 

posts, i.e., professor of the national university, censor, assistant departmental 

chief, and divisional chief. He was demoted several times. As a result of his protest 

against the Buddhist relic in 819, he was banished to Ch'ao-chou in South China, 

where, it is said, he successfully told the crocodiles to leave the place. In the next 

year he was made director of education. Later he became vice-minister in the 

ministry of the army, then censor, and finally vice-minister in the ministry of 

civil personnel. 

Li Ao's courtesy name was Hsi-chih and his posthumous title was also Wen. He 

held a "presented scholar" degree and rose to be a professor at the directorate of 

education. Later he served as divisional chief, censor, and vice-minister in the 

ministry of justice and then in the ministry of revenues and population. 

For more information on the two men, see the Hsin-T'ang shu (New History 

of the T'ang Dynasty, 618-907), chs. 176-177. 

3 Compare this with Kao Tzu's theory. See Mencius, 6A: 1-6. 

451

THE REVIVAL OF CONFUCIANISM 

evil, and evil only. Human nature consists in five virtues, namely, humanity 

(jen), propriety (li), faithfulness, righteousness (i), and wisdom. 

4 In the superior grade, one 5 of these five is the ruling factor while 

the other four also are practiced. In the medium grade, there is more 

or less of one of the five while the other four are not pure. 6 In the inferior 

grade, one rebels against one of these and is out of accord with 

the other four. The relation of nature to feelings depends on its grade. 

Similarly, there are three grades of feelings: the superior, the medium, 

and the inferior, and what constitute the feelings are seven: pleasure, 

anger, sorrow, fear, love, hate, and desire. In the superior grade, 

when any of these seven becomes active, it abides by the Mean. In the 

medium grade, some of the seven are excessive and some are deficient 

but there is an effort to be in accord with the Mean. In the inferior 

grade, whether they are excessive or deficient, action is directed by 

whichever feeling happens to be predominant. The relation between 

feelings and nature depends on their grade. 

In discussing human nature, Mencius said, "Man's nature is good." 

Hsün Tzu said, "Man's nature is evil." And Yang Hsiung said, "Man's 

nature is a mixture of good and evil." 7 Now to say that nature is good at 

first but subsequently becomes evil, or bad at first and subsequently becomes 

good, or mixed at first and is now either good or evil, is to mention 

only the medium grade and leave the superior and inferior grades 

out of account and to take care of one case but to lose sight of the other 

two. 

When Shu-yü was born, his mother knew, as soon as she looked at 

him, that he would die of love of bribes. 8 When Yang I-wo 9 was born, 

Shu-hsiang's mother knew, as soon as she heard him cry, that he would 

cause the destruction of all his kindred. 10 When Yüeh-chiao was born, 

Tzu-wen considered it a great calamity, knowing that because of him the 

4 These five are the traditional Five Constant Virtues. Other editions have them 

in the usual order: humanity, righteousness, propriety, wisdom, and faithfulness. 

The commentary says that the present propriety and faithfulness are nearer to 

humanity than righteousness and wisdom. Chu Hsi (1130-1200) thought that this 

is correct, and added that Han Yü often liked to be different. See commentary on 

the Han Ch'ang-li ch'üan-chi (Complete Works of Han Yü). It was carefully collated 

by Chu Hsi and contains Chu's as well as other people's comments. 

5 According to Chu Hsi, the meaning here is one of the five, not the first of the 

five. 

6 This is Chu Hsi's interpretation. 

7 See Mencius, 6A:6; Hsün Tzu, ch. 23. For Yang Hsiung's doctrine, see 

above, ch. 15. 

8 For this story, see Kuo-yü (Conversations of the States), ch. 14, SPPY, 14:3a. 

See de Harlez, trans., Kuoe-yü, pt. 2, p. 152. 

9 Pronunciation according to the commentary. 

10 See Tso chuan (Tso's Commentary on the Spring and Autumn Annals), Duke 

Chao, 28th year. See Legge, trans., Ch'un Ts'ew, p. 727. 

452


ghosts of the Jo-ao family would be famished. 11 [With all these evidences] 

can we say that human nature is good? 

When Hou-chi was born, his mother did not suffer. As soon as he 

began to creep, he displayed understanding and intelligence. 12 When 

King Wen was in his mother's womb, she had no trouble. 13 After he was 

born, those who assisted him did not have to work hard, and those who 

taught him did not have to labor. [With all these evidences] can we say 

that human nature is evil? 

Emperor Yao's son Chu, Emperor Shun's son Chün, 14 and King Wen's 

sons Kuan and Ts'ai were not without good in their practice, but they 

eventually became wicked. Ku-sou's son Shun and Kun's son Yü 15 were 

not without evil in their practice but they eventually became sages. [With 

all these evidences,] can we say that human nature is a mixture of good 

and evil? 

I therefore say that the three philosophers, in their theories on human 

nature, mentioned the medium grade and left the superior and inferior 

grades out of account. They took care of one case but lost sight of the 

other two. 

It may be asked: In that case, does it mean that the nature of the 

superior and inferior grades can never be changed? 

I reply: The nature of the superior grade becomes more intelligent 

through education. The nature of the inferior grade comes to have few 

faults through an awe of power. Therefore the superior nature can be 

taught and the inferior nature can be controlled. But their grades have 

been pronounced by Confucius to be unchangeable. 16 

It may be asked, Why are those who talk about human nature today 

different from this? 

I reply: Those who talk about human nature today have confused 

their theories with Buddhism and Taoism. Since they have confused 

their theories with Buddhism and Taoism, how can they speak without 

being different from me? (Yüan-hsing or an Inquiry on Human nature, 

Han Ch'ang-li ch'üan-chi, or Collected Works of Han Yü, SPPY, 11:5b- 

7b) 

Comment. Han Yü has often been credited with originating the 

theory of the three grades of human nature. It is true that he was 

the first to use the term "three grades" in connection with man's 

11 ibid., Duke Hsüan, 4th year. See Legge, p. 296. 

12 Odes, no. 245. 

13 See Kuo-yü, ch. 10, SPPY, 10:19a. Cf. de Harlez, trans., Kuoe yü, p. 120. King 

Wen (r. 1171-1122 B.C.) was the founder of the Chou dynasty. 

14 Yao and Shun were legendary sage-emperors (3rd millennium B.C.). 


16 See above, ch. 2, comment on Analects, 17:3. 

453


nature, but the term is found in several places in the Classics, and 

Hsün Yüeh (148-209) six hundred years before him had propounded 

the theory of three grades of human destiny. 17 The theory 

of three grades of human nature itself had been taught in Buddhism, 

specifically in the Ch'eng-wei-shih lun (Vijñaptimatratasiddhi, 

or Treatise on the Establishment of the Doctrine of Consciousness- 

Only), which was translated into Chinese by Hsüan-tsang (596- 

664) about a hundred and fifty years before. 18 The actual source 

of Han Yü's theory may have been Wang Ch'ung (27-100?) 19 

whom he admired. In any case, the originality of Han Yü has 

been overrated. 

2. AN INQUIRY ON THE WAY (TAO), BY HAN YÜ 

Universal love is called humanity. To practice this in the proper manner 

is called righteousness. To proceed according to these is called the 

Way. To be sufficient in oneself without depending on anything outside 

is called virtue. Humanity and righteousness are definite values, whereas 

the Way and virtue have no substance in themselves [but depend on 

humanity and righteousness for it]. Thus we have the Way of the superior 

man [as in Confucianism] and the Way of the inferior man 

[as in Taoism] and there are the inauspicious virtue [as in Taoism] 

and auspicious virtue [as in Confucianism]. Lao Tzu belittled humanity 

and righteousness not because he destroyed them but because 

his viewpoint was small. If a man sits at the bottom of a well, 

looks up at the sky, and says, "The sky is small," it does not mean that 

the sky is really small. Lao Tzu considered little acts [of kindness] as 

humanity and isolated deeds [of good] as righteousness. It is no wonder 

that he belittled them. What he called the Way was only the Way as he 

understood it and not what I call the Way. What he called virtue was 

only the virtue as he understood it and not what I call virtue. What I 

call the Way and virtue always involve both humanity and righteousness, 

which is the opinion shared by the whole world. What Lao Tzu 

called the Way and virtue was devoid of humanity and righteousness, 

which was the private opinion of one man.. .. 

Comment. In declaring that "universal love is called humanity," 

was Han Yü under the influence of the Moist doctrine of universal 

love or the Buddhist gospel of compassion for all? One would think 

that the Confucian teaching of love with distinctions was not al- 

17 Shen-chien (A Mirror Extensively Used), ch. 5, SPPY, 5:2b. 

18 Ch. 5, TSD, 31:23. See La Vallée Poussin, trans., le siddhi de Hsüan Tsang, 

p. 265. 

19 See above, ch. 16, A. 

454


truistic enough to compete with Buddhism and that Han Yü had to 

yield to the doctrine of a system which he strongly attacked. It is 

significant, however, that he avoided the Moist term "mutual love" 

(chien-ai) and the Buddhist term "compassion" but used po-ai 

(universal love) instead. The term first appeared in the commentary 

on the Kuo-yü 20 of the third century and then in the Book of 

Filial Piety 21 and was used by Hsü Kan (171-218) to describe 

humanity. 22 The idea of po had been well understood all along, 

and the very word appears in Analects 6:28. Thus Han Yü was 

merely reiterating a Confucian tradition. 23 

Now the method [of the Taoists and Buddhists] is to insist on dis - 

carding the relationship between ruler and ministers, doing away with 

the relationship between father and son, and stopping the process of 

sustaining and supporting the life of one another, in order to seek for 

what they call silence and annihilation. . . . The Record says, "The 

ancients who wished to manifest their clear character to the world would 

first bring order to their states. Those who wished to bring order to their 

states would first regulate their families. Those who wished to regulate 

their families would first cultivate their personal lives. Those who wished 

to cultivate their personal lives would first rectify their minds. Those 

who wished to rectify their minds would first make their wills sincere." 24 

Thus what the ancients meant by rectifying the mind and making the 

will sincere was to engage in activity [as against the inaction of the 

Taoists and Buddhists]. But now [the Taoists and Buddhists] seek to 

govern their hearts by escaping from the world, the state, and the 

family. They destroy the natural principles of human relations so that 

the son does not regard his father as a father, the minister does not 

regard his ruler as a ruler, and the people do not attend to their work.... 

Now, they take the ways of barbarism and elevate them above the teachings 

of our ancient kings. Does this not almost make all of us barbarians? 

What were the teachings of our ancient kings? Universal love is called 

humanity. To practice this in the proper manner is called righteousness. 

To proceed according to these is called the Way. To be sufficient in oneself 

without depending on anything outside is called virtue. Their literature 

comprised the Books of Odes, History, Changes, and the Spring 

and Autumn Annals. Their methods consisted of rules of propriety, 

20 Ch. 3, SPPY, 3:3a . 

21 Ch. 7. See Makre, trans., Hsiao King, p. 7. 

22 Chung lun (A Treatise on the Mean), ch. 9, SPTK, l:34a. 

23 See above, ch. 3, comment on Mencius, Additional Selections, 3B:9 on the 

question of love with distinctions versus universal love. 

24 The text of the Great Learning. 

455


music, laws, and governmental measures. Their people were the four 

classes of scholars, farmers, artisans, and merchants. Their relationships 

were those between ruler and minister, father and son, teacher and 

friend, guest and host, elder and younger brother, and husband and wife. 

Their clothing was hemp and silk. Their dwellings were halls and houses. 

Their food consisted of grain and rice, fruit and vegetables, fish and 

meat. As methods theirs were easy to understand and as teachings 

theirs were easy to practice. Employed to conduct oneself, they brought 

harmony and blessing, and employed to deal with others, love and impartiality. 

Employed to cultivate the mind, they gave peace and harmony, 

and employed to deal with the world, the state, and the family, 

they were always fitting no matter where they were applied. Consequently, 

in life people were able to express their feelings, and at death the eternal 

relations between them and their descendants were fulfilled [by the 

latter]. They offered sacrifices to Heaven and the gods came to receive 

them. They offered sacrifices to their ancestors and the ancestors enjoyed 

them. What Way is this? I say: This is what I call the Way, and 

not what the Taoists and the Buddhists called the Way.... (Yüan-tao or 

Inquiry on the Way, SPPY, 11:1a-4b) 

3. THE RECOVERY OF THE NATURE, PT. 2, BY LI AO 

Someone asked: Man has been darkened for a long time. If he is to 

recover his original nature, he must do so gradually. May I ask what the 

method should be? 

Answer: Without deliberation and without [anxious] thought, the 

feelings will not arise. When the feelings do not arise, thought becomes 

correct. Correct thought means having neither deliberation nor [anxious] 

thought. The Book of Changes says, "What is there in the world to think 

about or to deliberate about?" 25 It also says, "Guarding against depravity, 

he preserves his sincerity." 26 And the Book of Odes says, "Have 

no depraved thoughts." 27 

Question: Is that all? 

Answer: No. This is the fasting of the mind. It is not yet free of tranquillity. 

As there is tranquillity, it will necessarily be followed by activity, 

and when there is activity, it will necessarily be followed by tranquillity. 

The unceasing alternation of tranquillity and activity means the feelings. 

The Book of Changes says, "Fortune and misfortune, occasion for re- 

25 "Appended Remarks," pt. 2, eh. 5. Cf. Legge, trans., Yi King, p. 389. 

26 Commentary on hexagram no. 1, ch'ien (Heaven). Cf. Legge, p. 410. 

27 No. 297. See above, ch. 2, n.30. 

456


pentance or regret, all arise from activity." 28 Under such conditions, 

how can one recover his nature? 

Question: What can be done? 

Answer: At the time of tranquillity, to know that there is no thought 

in the mind is the fasting of the mind, to realize that originally there is 

no thought in the mind and that it is completely free from tranquillity 

and activity, and to be in the state of absolute quiet and inactivity—that 

is absolute sincerity. The Doctrine of the Mean says, "Given sincerity, 

there will be enlightenment." 29 And the Book of Changes says, "All activities 

in the world obtain their firm nature from one principle." 30 

Question: During the time when there is neither deliberation nor 

thought, things attack from outside and the feelings respond to them 

from the inside, how can one stop the feelings? Is it possible to stop feelings 

with feelings? 

Answer: Man's feelings are the evil aspect of his nature. If one realizes 

that they are evil, then this evil will not exist in the first place. If the 

mind is in the state of absolute quiet and inactivity, depraved thoughts 

will cease of themselves. If human nature shines clearly, how can depravity 

arise? If one is to stop feelings with feelings, that is to magnify 

the feelings. When feelings are used to stop one another, will there be 

an end to it? The Book of Changes says, "The son of the Yen family, 31 

whenever he did anything wrong, never failed to realize it, and having 

realized it, he never did it again. As it is said in the Book of Changes, 

'Returning after not having gone (astray) very far, there is no occasion 

for repentance. There will be great fortune.' " 32 

Comment. There were no new theories about human nature after the 

Western Han (206 B.C.-A.D. 8) when Confucianists developed the 

theory that human nature was good but the feelings were evil, thus 

forming two levels. For several hundred years, then, there was no 

new concept about human nature. In this period both Buddhism and 

Taoism soared to great heights in their discussions of this question. 

Under the stimulation and challenge of Buddhism and in order 

to compete with it, Li Ao sought a compromise doctrine, found it 

in the Western Han Confucianists, and combined it with Mencius' 

doctrine of originally good human nature, the idea of tranquil 

nature in the Book of Changes, and the idea of the full development 


29 Ch. 21. 

30 See n.28. 

31 This refers to Yen Hui, Confucius' favorite pupil. See "Appended Remarks," 

pt. 2, ch. 5. Cf. Legge, pp. 392-393. 

32 Commentary on hexagram no. 24, fu (to return). Cf. Legge, p. 108. 

457


of human nature in both Mencius and the Doctrine of the Mean. 

It is this originally good nature that he advocates recovering. 

Question: You said that originally there is no thought in the mind 

and that it is completely free from activity and tranquillity. But is one, 

then, not to hear the sound that comes or to see the thing that appears? 

Answer: If we were not to see anything or to hear anything, one 

would not be a man. But to see and hear clearly and yet not to be 

aroused by what is seen or heard—that will be all right. To know everything, 

to do everything, to be absolutely quiet in the mind, and yet to 

have its light illumine heaven and earth—that is the enlightenment resulting 

from sincerity. The Great Learning says, "the extension of 

knowledge consists in the investigation of things." 38 And the Book of 

Changes says, "In the operation of Change, there is neither thought nor 

action, because it is the state of absolute quiet and inactivity, and when 

acted on, it immediately penetrates all things. If it were not the most 

spirit-like thing under heaven, how can it be like this?" 34 

Question: May I ask what is meant by "the extension of knowledge 

consists in the investigation of things (ko-wu)"? 

Answer: By things is meant the myriad things, and by ko is meant 

arriving or reaching. When things come before one, his mind clearly 

sifts them and yet he does not respond to (or is not affected by) them. 

This is the extension of knowledge. This is the perfecting of knowledge. 

As knowledge is perfected, the will becomes sincere. As the will is 

sincere, the mind becomes rectified. As the mind is rectified, the personal 

life becomes cultivated. As the personal life is cultivated, the family 

becomes regulated. As the family is regulated, the state will be in order. 

As the state is in order, the world will be at peace. 35 This is how a person 

can form a trinity with Heaven and Earth. . . . (Fu-hsing shu or The 

Recovery of the Nature, in Li Wen Kung chi, or Collected Works of Li 

Ao, SPTK, l:8a-9b) 

Comment. Both the idea of recovering one's nature and that of the 

fasting of one's mind come from Chuang Tzu. 36 In trying to eliminate 

both activity and tranquillity, Li Ao goes even further than Chuang 

Tzu, who still wants activity and tranquillity harmonized. 37 Li Ao's 

dictum, "having no thought," sounds very much like those of Zen 

Buddhism. For this reason he has been described as Buddhistic. 

33 The text. 


35 Paraphrasing the text of the Great Learning. 

36 Chuang Tzu, chs. 16 and 4, respectively, NHCC, 6:5b, 8a, and 2:13a, respectively. 

See Giles, trans., Chuang Tzu, 1961 ed., pp. 156-157 and 54, respectively. 

37 ibid., ch. 13, NHCC, 5:24a-b. See Giles, pp. 132-133. 

458


While a certain amount of Buddhist influence cannot be denied, he 

remains essentially Confucian in culminating his doctrine in personal 

cultivation, social harmony, and world peace through the 

investigation of things and the extension of knowledge. What he 

means by having no thought is at bottom no different from what 

Mencius meant by the undisturbed mind. 38 However, Mencius' 

undisturbed mind is meant to be a condition for action, whereas 

Li Ao was more concerned with a state of mind. It is to be noted 

that while he was profoundly influenced by the idea of sincerity in 

the Doctrine of the Mean, he does not seem to have been particularly 

impressed by the doctrine of earnest practice in the same book. 39 

38 Mencius, 2A:2. 39 The Mean, ch. 20. 

459

••• 28 ••• 

THE NEO-CONFUCIAN METAPHYSICS 

AND ETHICS IN CHOU TUN-I 

NEO-CONFUCIANISM may be traced to earlier Confucianists, but the 

one who really opened its vista and determined its direction was Chou 

Tun-i (Chou Lien-hsi, 1 1017-1073), who is generally called the pioneer 

of Neo-Confucianism. In two short treatises, the T'ai-chi-t'u shuo (An 

Explanation of the Diagram of the Great Ultimate) and the T'ung-shu 

(Penetrating the Book of Changes), he laid the pattern of metaphysics 

and ethics for later Neo-Confucianism. Whether he got the 

diagram from a Taoist priest is a debatable point, but the strong Taoist 

influence on him is unmistakable. The very concept of the Ultimate of 

Non-being (Wu-chi) comes from Lao Tzu. 2 But his diagram is not 

exactly like any diagram of the Taoists, and in his evolutionary process 

of creation from the Great Ultimate through the passive cosmic force, 

yin, and the active cosmic force, yang, to the myriad things, he faithfully 

followed the Book of Changes 3 rather than Taoism. Actually what he did 

was to assimilate the Taoist element of non-being to Confucian thought, 

but in so doing, he discarded the fantasy and mysticism of Taoism. The 

diagram had been used by Taoists in their attempt to obtain elixir for 

immortal life, but Chou Tun-i used it for rational philosophy. In this way 

he restored Chinese philosophy to a healthier climate. 

The fact that he relies on the Book of Changes is important, for although 

many Neo-Confucianists before him had written commentaries 

on the Classic and thus brought the book to the fore, he based his entire 

philosophy on it. From then on the book assumed unusual importance in 

Neo-Confucianism. 

Furthermore, he developed the idea that "the many are [ultimately] 

one, and the one is actually differentiated into the many," and that "the 

one and many each has its own correct state of being," thus starting another 

fundamental concept of Neo-Confucianism and anticipating 

Ch'eng I (Ch'eng I-ch'uan, 1033-1107). 4 He also spoke of principle 

(li), the nature, and destiny together, which eventually became the three 

cardinal concepts in Neo-Confucian thought. But he never explained 

the nature of the Great Ultimate, the relation between it and principle, 

1 Also pronounced Chou Lien-ch'i. 

2 Lao Tzu, ch. 28; also Chuang Tzu, ch. 11, NHCC, 4:36a, Giles, trans., Chuang 

Tzu, 1961 ed., p. 112. 

3 For this book, see above, ch. 13, n.l. 


460

CHOU TUN-I 

or the relation between them and sincerity (ch'eng). The clarification of 

their relationships had to wait for Chu Hsi (1130-1200). 

The idea of sincerity of course comes from the Doctrine of the Mean. 5 

In describing it as tranquil he betrays more Taoist influence. But to him 

sincerity is not just tranquillity. It is the foundation of moral nature and 

the source of all activities. It is true substance and unerring. It is pure 

and perfectly good. The concept is so important that it has often been 

considered the foundation of his teaching. 6 Equally significant is his 

idea that sincerity is the state in which one can detect the subtle, incipient, 

activating force (chi) of good and evil and make the choice either 

for good or for evil. In Chou Tun-i's mind, sincerity in its reality is tranquil 

but in its function is dynamic, and this is a far cry from Taoism. In 

this way he rejected the Taoist over-emphasis on the internal to the 

neglect of the external. For him, the ideal being is the sage, and the 

highest ideal, the Mean. The sage "settles human affairs by the principles 

of the Mean, correctness, humanity (jen) and righteousness," which 

means that the sage equally stresses the internal and the external life. 

This equal emphasis paved the way for Ch'eng Hao's (Ch'eng Ming-tao, 

1032-1085) and his brother Ch'eng I's doctrine of "seriousness to 

straighten the internal life and righteousness to square the external life." 7 

From the foregoing, it is clear that to call him a pioneer of Neo-Confucianism 

is an understatement, although to call him the founder of the 

philosophy, as some have done, is certainly going too far. Perhaps the 

most accurate evaluation is that of Huang Po-chia (fl. 1695), who said, 

"Since the time of Confucius and Mencius, Han (206 B.C.-A.D. 220) 

Confucianists merely had textual studies of the Classics. The subtle doctrines 

of the Way and the nature of man and things have disappeared 

for a long time. Master Chou rose like a giant. . . . Although other Neo- 

Confucianists had opened the way, it was Master Chou who brought 

light to the exposition of the subtlety and refinement of the mind, the 

nature, and moral principles." 8 

Chou was a native of Tao-chou in present Hunan. His personal name 

5 Chs. 16, 20-26, 32. 

6 Notably by Huang Tsung-hsi (1610-1695) and Huang Kan (Huang Mienchai, 

1152-1221). See Huang Tsung-hsi et al., Sung-Yüan hsüeh-an (Anthology 

and Critical Accounts of the Neo-Confucianists of the Sung and Yüan Dynasties, 

960-1368), SPPY, 12:17a, 18a. 

7 See below, ch. 31, secs. 18, 32, 46, 50; ch. 32, sec. 46. 

8 Sung-Yüan hsüeh-an, SPPY, 11:2a. Graham, in his Two Chinese Philosophers, 

pp. 152-175, argues that Chou had little influence on the Ch'eng brothers and 

should not be regarded as the founder of Neo-Confucianism. In view of what has 

been said, his statements like "The philosophy of the Ch'engs is not a development 

of that of Chou Tun-yi; it is based on quite different premises" (p. 162) are 

untenable. See my review of Graham's book in the Journal of the American Oriental 

Society, 79 (1959), p. 154. 

461

NEO-CONFUCIAN METAPHYSICS AND ETHICS 

was Tun-i and courtesy name Mao-shu. He named his study after the 

stream Lien-hsi (Stream of Waterfalls) which he loved, and posterity 

has honored him by calling him Master of Lien-hsi. 

He loved lotus flowers ardently, evidently because of their purity and 

tranquillity. His love for life was so strong that he would not cut the 

grass outside his window. 9 The two Ch'eng brothers had once studied 

under him (in 1046-1047) and were much influenced by him. Because 

of his influence the brothers did not take the civil service examination 

or hunt. 10 He was a great admirer of Buddhism, and Ch'eng I called him 

"poor Zen fellow." 11 But strangely, Buddhist influence on him is negligible. 

In fact, he may be said to have set the course for Neo-Confucianism 

in such a way that neither Buddhist nor Taoist influence changed its 

fundamentally Confucian character. 12 

Below, following the list of major concepts and chapter references of 

the T'ung-shu, are the T'ai-chi-t'u shuo 13 and the T 'ung-shu 14 translated 

in full from the Chou Tzu ch'üan-shu (Complete Works of Chou Tun-i). 

Activity and Tranquillity: 2, 4, 5, 9, 12, 16, 20, 35, 40 

Cosmology and Metaphysics: 1, 11, 16, 36 

Good and Evil: 3, 7, 15 

Government: 12, 32 

Humanity and Righteousness: 3, 5, 6, 11, 12 

Impartiality: 20, 21, 37 

Incipient activating force: 3, 4, 9 

Mean: 6, 7, 17 

Nature and Destiny: 1, 3, 22 

9 I-shu (Surviving Works), 3:2a, in ECCS. 

10 ibid., 2A:2b, 7:1a, 3:1b; Ts'ui-yen (Pure Words), 2:13b, in ECCS. 

11 I-shu, 6:4a. 

12 Chou had a busy official career. He was district keeper of records (1040), 

magistrate in various districts (1046-1054), prefectural staff supervisor (1056- 

1059), professor of the directorate of education and assistant prefect (1061- 

1064), among others. It was when he was assistant prefect that he built his 

study, "Stream of Waterfalls." He resigned from his governmental position in 

1072, the year before he died. See Sung shih (History of the Sung Dynasty, 960- 

1279), SPTK, 427:2b-5a and Bruce, Chu Hsi and His Masters, pp. 18-24. 

13 This short essay is found in many other collections and has been translated 

into several European languages. The diagram, of which the essay is an explanation, 

is not necessary for the understanding of the philosophical ideas in 

general or for the understanding of the essay in particular. 

14 There are many editions. The Cheng-i-t'ang ch'üan-shu (Complete Library 

of the Hall of Rectifying the Way) edition of 1869 has commentaries by Chu 

Hsi. That in the Chou Tzu ch'üan-shu (Complete Works of Chou Tun-i) contains 

comments by other Neo-Confucianist also. For a German version by Grube, see 

Bibliography. Other translations are: de Harlez, L'École philosophique moderne 

de la Chine, pp. 25-32 (partial); P. C. Hsü, Ethical Realism in Neo-Confucian 

Thought, Appendix, pp. i-iv (partial); and Chow Yih-Ching, La philosophie 

morale dans le Néo-Confucianisme, pp. 163-188. The Wan-yu wen-k'u (Universal 

Library) edition of the Chou Tzu ch'üan-shu is used here. 

462

CHOU TUN-I 

Principle: 22 

Propriety and Music: 13, 17, 18, 19 

Sincerity: 1, 2, 3, 4, 35 

1. AN EXPLANATION OF THE DIAGRAM OF 

THE GREAT ULTIMATE 

The Ultimate of Non-being and also the Great Ultimate (T'ai-chi)! 

The Great Ultimate through movement generates yang. When its activity 

reaches its limit, it becomes tranquil. Through tranquillity the Great 

Ultimate generates yin. When tranquillity reaches its limit, activity begins 

again. So movement and tranquillity alternate and become the root 

of each other, giving rise to the distinction of yin and yang, and the two 

modes are thus established. 

By the transformation of yang and its union with yin, the Five Agents 

of Water, Fire, Wood, Metal, and Earth arise. When these five material 

forces (ch'i) are distributed in harmonious order, the four seasons run 

their course. 

The Five Agents constitute one system of yin and yang, and yin and 

yang constitute one Great Ultimate. The Great Ultimate is fundamentally 

the Non-ultimate. The Five Agents arise, each with its specific nature. 

When the reality of the Ultimate of Non-being and the essence of yin, 

yang, and the Five Agents come into mysterious union, integration 

ensues. Ch'ien (Heaven) constitutes the male element, and k'un (Earth) 

constitutes the female element. The interaction of these two material 

forces engenders and transforms the myriad things. The myriad things 

produce and reproduce, resulting in an unending transformation. 

It is man alone who receives (the Five Agents) in their highest 

excellence, and therefore he is most intelligent. His physical form appears, 

and his spirit develops consciousness. The five moral principles 

of his nature (humanity or jen, righteousness, propriety, wisdom, and 

faithfulness) are aroused by, and react to, the external world and engage 

in activity; good and evil are distinguished; and human affairs take 

place. 

The sage settles these affairs by the principles of the Mean, correctness, 

humanity, and righteousness (for the way of the sage is none other 

than these four), 15 regarding tranquillity as fundamental. (Having 

no desire, there will therefore be tranquillity.) Thus he establishes himself 

as the ultimate standard for man. Hence the character of the sage is 

"identical with that of Heaven and Earth; his brilliancy is identical with 

that of the sun and moon; his order is identical with that of the four 

16 This insertion and that immediately following the sentence are Chou's own 

annotations. 

463


seasons; and his good and evil fortunes are identical with those of spiritual 

beings." 16 The superior man cultivates these moral qualities and enjoys 

good fortune, whereas the inferior man violates them and suffers 

evil fortune. 

Therefore it is said that "yin and yang are established as the way 

of Heaven, the weak and the strong as the way of Earth, and humanity 

and righteousness as the way of man." 17 It is also said that "if 

we investigate the cycle of things, we shall understand the concepts of 

life and death." 18 Great is the Book of Changes! Herein lies its excellence! 

(Chou Tzu ch'üan-shu, chs. 1-2, pp. 4-32) 

Comment. This Explanation has provided the essential outline of 

Neo-Confucian metaphysics and cosmology in the last eight hundred 

years. Few short Chinese treatises like this have exerted so 

much influence. Although the whole concept owes much to the 

Book of Changes, it is to be noted that it rejected the idea of the 

Eight Trigrams of the Book of Changes and used the Five Agents 

instead, thus showing that the system was the product of Chou 

Tun-i's own speculation. 

A great amount of literature has grown up on the history of the 

diagram and on the concept of the Great Ultimate. So far as philosophy 

is concerned, most Neo-Confucianists have followed Chou 

although they have differed in many details. However, two of 

Chou's ideas have aroused considerable criticism. One is the idea 

of the Non-ultimate. One of the famous debates between Chu Hsi 

and Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193) was over this 

idea. The word erh in the opening sentence means "and also" or 

"in turn." But it can be interpreted in the sense of "and then," in 

which case, the Non-ultimate and the Great Ultimate would be 

two separate entities. This was precisely what Lu Hsiang-shan was 

objecting to, as he saw in Chou Tun-i a bifurcation of reality as 

two. 19 On the other hand, Chu Hsi claimed that Chou never 

meant that there is a Non-ultimate outside of the Great Ultimate, 20 

that the Non-ultimate is the state of reality before the appearance 

of forms whereas the Great Ultimate is the state after the appear- 

16 Changes, commentary on hexagram no. 1, ch'ien (Heaven). Cf. Legge, 

trans., Yi King, p. 417. 

17 ibid., "Remarks on Certain Trigrams," ch. 2. Cf. Legge, p. 423. 

18 ibid., "Appended Remarks," pt. 1, ch. 4. Cf. Legge, p. 353. 

19 Hsiang-shan ch'üan-chi (Complete Works of Lu Hsiang-shan), SPPY, 2:6a, 

9a. 20 Chu Tzu yü-lei (Classified Conversations of Chu Hsi), 1876 ed., 94:2a-b. 

464

CHOU TUN-I 

ance of forms, and that the two form a unity. 21 This interpretation 

has been accepted by most Neo-Confucianists, including most 

prominent ones like Ts'ao Tuan (Ts'ao Yüeh-ch'uan, 1376-1434) 

and Hsüeh Hsüan (Hsüeh Ching-hsien, 1392-1464) , 22 

The other idea that has attracted much criticism is the Taoistic 

idea of tranquillity. Chu Hsi took pains to explain that Chou meant 

tranquillity to be the basis for activity, and that of the four moral 

qualities of the sage (the Mean, humanity, correctness, and righteousness), 

the first two connote activity while the latter two connote 

tranquillity. This explanation is both arbitrary and unconvincing. 

23 Similarly, Li Kuang-ti (1642-1718) tried to justify Chou 

by saying that his statement in the Explanation, "Having no 

desire, there will therefore be tranquillity," means the same 

thing as his statement in the T'ung-shu, "Having no desire, one 

is vacuous while tranquil and straightforward while in action," 24 

and that in Chou's mind tranquillity is never divorced from activity. 

25 It is true that in the T'ung-shu itself, activity and tranquillity 

are spoken of together. 26 In fact, activity is mentioned alone several 

times 27 and tranquillity not even once alone. But so far as the Explanation 

is concerned, the emphasis on tranquillity is undeniable. 

It is far better to admit his Taoist influence and to point out that in 

spite of it, he steered Neo-Confucianism away from it. 

2. PENETRATING THE BOOK OF CHANGES 

Ch. 1. Sincerity, Pt. 1 

Sincerity (ch'eng) 28 is the foundation of the sage. "Great is the 

ch'ien, the originator! All things obtain their beginning from it." 29 It 

is the source of sincerity. "The way of ch'ien is to change and transform 

21 Chu Tzu wen-chi (Collection of Literary Works of Chu Hsi), CTTC, 36:8a-12a. 

For Chu Hsi's and other comments on this controversy, see Sung-Yüan hsüen-an,t 

SPPY, 12:3a-9a. 

22 See Chou Tzu ch'üan-shu, 1937 ed., pp. 81 and 89. For other Neo-Confucianists' 

discussions of the "Explanations," see Sung-Yüan hsüeh-an, SPPY, 12:1b- 

15a. 

23 Chou Tzu ch'üan-shu, p. 24. 

24 Tung-shu, ch. 20. 

25 Jung-ts'un Tung-shu p'ien (Essay on Penetrating the Book of Changes) 

appended to the Chou Tzu Tung-shu (Penetrating the Book of Changes by 

Master Chou), SPPY, p. 2a. 

26 Chs. 4, 5, 9, 16, 20. 

27 Chs. 2,31, 32. 

28 This word means not only sincerity in the narrow sense, but also honesty, 

absence of fault, seriousness, being true to one's true self, being true to the nature 

of being, actuality, realness. 

28 Changes, commentary on hexagram no. 1, ch'ien. Cf. Legge, p. 213. 

465


so that everything will obtain its correct nature and destiny." 30 In this 

way sincerity is established. It is pure and perfectly good. Therefore "the 

successive movement of yin and yang constitutes the Way (Tao). What 

issues from the Way is good, and that which realizes it is the individual 

nature." 31 Origination and flourish characterize the penetration of sincerity, 

and advantage and firmness are its completion (or recovery). 

Great is the Change, the source of nature and destiny! 

Ch. 2. Sincerity, Pt. 2 

Sagehood is nothing but sincerity. It is the foundation of the Five 

Constant Virtues (humanity, righteousness, propriety, wisdom, and 

faithfulness) and the source of all activities. When tranquil, it is in the 

state of non-being, and when active, it is in the state of being. It is 

perfectly correct and clearly penetrating. Without sincerity, the Five 

Constant Virtues and all activities will be wrong. They will be depraved 

and obstructed. Therefore with sincerity very little effort is needed [to 

achieve the Mean]. 32 [In itself] it is perfectly easy but it is difficult to 

put into practice. But with determination and firmness, there will be no 

difficulty. Therefore it is said, "If a man can for one day master himself 

and return to propriety, all under heaven will return to humanity." 33 

Ch. 5. Sincerity is the Subtle, Incipient, Activating 

Force (CM) of Virtue 

Sincerity [in its original substance] engages in no activity, but is the 

subtle, incipient, activating force giving rise to good and evil. The virtue 

of loving is called humanity, that of doing what is proper is called righteousness, 

that of putting things in order is called propriety, that of penetration 

is called wisdom, and that of abiding by one's commitments is 

called faithfulness. One who is in accord with his nature and acts with 

ease is a sage. One who returns to his nature and adheres to it is a 

worthy. And one whose subtle emanation cannot be seen and whose 

[goodness] is abundant and all-pervasive without limit is a man of the 

spirit. 34 

Comment. The first sentence of this chapter occasioned a great 

deal of discussion among Neo-Confucianists. 85 Chou seems to contradict 

himself, for sincerity, being the original state of man's moral 

nature, is perfectly good and yet it gives rise to both good and evil. 

30 ibid. 

31 ibid., "Appended Remarks," pt. 1, ch. 5. Cf. Legge, pp. 355-356. 

32 Chu Hsi is followed in this interpretation. See Chou Tzu ch'üan-shu, p. 124, 

33 Analects, 12:1. 34 Cf. Mencius, 7B:25, 

35 See Chou Tzu ch'üan-shu, pp. 126-133. 

466

CHOU TUN-I 

Actually the problem of evil had bothered Confucianists right 

along and there was no solution until Chang Tsai (Chang Hengch'ü, 

1020-1077). 36 Chou adheres to the traditional Confucian 

position that human nature is inherently good but as one's nature 

comes into contact with external things, good and evil appear. 

Whereas both Taoism and Buddhism maintain that this external 

influence corrupts, Confucianism puts the responsibility on man 

himself by holding that evil appears when man fails to adhere to 

the Mean. 37 Thus the good moral nature is substance, and good 

and evil appear only in its function. This doctrine was upheld 

throughout the history of Neo-Confucianism. As Sun Ch'i-feng 

(1584-1675) has observed in commenting on this chapter, Chou 

teaches that good results from one's being correct and evil from one's 

being one-sided, a theory quite different from that of Hu Hung 

(Hu Wu-feng, 1100-1155), who said that both good and evil proceed 

from nature. 38 Chou Tzu's important contribution in this 

connection is his idea of subtle, incipient activation. It is also found 

in chapters four and nine and, according to Chu Hsi, is implicit in 

chapter twenty-seven. 39 

The word chi means an originating power, an inward spring of 

activity, an emergence not yet visible, a critical point at which one's 

direction toward good or evil is set. It is here and now that one must 

be absolutely sincere and true to his moral nature so he will not 

deviate from it either in going too far or not going far enough. Thus 

Chou turns a quietistic state into a dynamic one. 

Ch. 4. Sagehood 

"The state of absolute quiet and inactivity" is sincerity. The spirit is 

that which, "when acted on, immediately penetrates all things." 40 And 

the state of subtle incipient activation is the undifferentiated state between 

existence and nonexistence when activity has started but has not 

manifested itself in physical form. Sincerity is infinitely pure and hence 

evident. The spirit is responsive and hence works wonders. And incipient 

activation is subtle and hence abstruse. The sage is the one who is in 

the state of sincerity, spirit, and subtle incipient activation. 

36 See Chan, "The Neo-Confucian Solution of the Problem of Evil," Studies 

Presented to Hu Shih on His Sixty-fifth Birthday, pp. 773-791. 

37 See chs. 7 and 22. 

3 8 Li-hsüeh tsung-ch'uan (Orthodox Transmission of Nee-Confucianism), 1880 

ed.19a 



467


Ch. 5. Caution about Activity 

When activity is directed along its correct course, we have the Way. 

When its operations are harmonized, we have virtue. The violation of 

humanity, of righteousness, of propriety, of wisdom, and of faithfulness 

is depravity. Any activity of depravity is disgraceful. When pushed to a 

high degree, it is even dangerous. Consequently, the superior man is 

cautious about his activity. 

Ch. 6. The Way 

The way of the sage is nothing but humanity, righteousness, the Mean, 

and correctness. Preserve it and it will be ennobling. Practice it and it 

will be beneficial. Extend it and it will match Heaven and Earth. Is it 

not easy and simple? Is it hard to know? (If so), it is because we do not 

preserve, practice, and extend it. 

Comment. Note that "humanity, righteousness, the Mean, and 

correctness" is a quotation from the Explanation of the Diagram. 

This treatise repeats the Explanation four times (chs. 6, 16, 20, 

22). As a matter of fact, as Chu Hsi has said, the entire treatise is 

an elaboration on the Explanation. 41 

Ch. 7. Teachers 

Someone asked, "How can good be promoted in the world?" 

I said, "Through teachers." 

"How is that?" 

I said, "In human nature there are only strength, weakness, good, 

evil, and the Mean." 

The questioner did not understand. 

I explained, "Righteousness, uprightness, decisiveness, strictness, and 

firmness of action are examples of strength that is good, and fierceness, 

narrow-mindedness, and violence are examples of strength that is evil. 

Kindness, mildness, and humility are examples of weakness that is good, 

and softness, indecision, and perverseness are examples of weakness that 

is evil. Only the Mean brings harmony. The Mean is the principle of 

regularity, the universally recognized law of morality, and is that to which 

the sage is devoted. Therefore the sage institutes education so as to 

enable people to transform their evil by themselves, to arrive at the 

Mean and to rest there. Therefore those who are the first to be enlightened 

should instruct those who are slower in attaining enlightenment, and the 

ignorant should seek help from those who understand. Thus the way of 

teachers is established. As the way of teachers is established, there will 


468

CHOU TUN-I 

be many good people. With many good people, the government will be 

correct and the empire will be in order." 

Comment. Chou Tzu's doctrines on education here and on government, 

ceremonies, and music below are traditional and there is 

nothing new. The same is true of later Neo-Confucianists. The 

important philosophical point here is that the Mean is considered 

the highest good. According to Chu Hsi, strength and weakness 

and good and evil refer to physical nature, not original nature. 42 

Ch. 8. Fortune 

It is a misfortune in one's life that he is not told his mistakes, and it 

is a great misfortune not to have a sense of shame. Only with a sense of 

shame can one be educated, and if one is told his mistakes, it will make 

it possible for him to become a worthy. 

Ch. 9. Thought 

It is said in the "Great Norm" that "thought should be penetrating 

and profound. . . . Such thinking leads to sageliness." 43 Having no 

thought is the foundation, and thinking penetratively is its function. 

With subtle incipient activation becoming active on the one hand, and 

with sincerity becoming active in response, on the other—having no 

thought and yet penetrating all—thus is one a sage. 

One cannot penetrate subtlety without thought, and cannot penetrate 

all without profound thought. Thus the ability to penetrate all comes 

from the ability to penetrate subtlety, and the ability to penetrate subtlety 

comes from thinking. Therefore thinking is the foundation of the sage's 

effort and is also the subtle, incipient activation of good and evil. It is 

said in the Book of Changes, "The superior man acts as soon as he sees 

the subtle, incipient activating force [giving rise to good and evil] without 

waiting for the end of the day." 44 It is again said, "One who knows 

subtle incipient activation is a man of the spirit." 45 

Comment. Under Taoist influence, Chou Tun-i emphasized tranquillity. 

Unlike the Taoists, however, he stressed thinking also. It 

is thinking that keeps one alert to the subtle, incipient activation 

of good and evil. Clearly, there is a fundamental difference between 

his tranquillity and that of the Taoists. However, about thinking 

itself, Chou has said very little. 

42 Chu Tzu yü-lei, 94:32b. 

43 History, "Great Norm." Cf. Legge, trans., Shoo King, p. 327. 

44 "Appended Remarks," pt. 2, ch. 5. Cf. Legge, Yi King, p. 392. 

45 ibid. 

469


Ch. 10. The Will to Learn 

The sage aspires to become Heaven, the worthy aspires to become a 

sage, and the gentleman aspires to become a worthy. I-yin and Yen 

Yüan were great worthies. I-yin was ashamed that his ruler would not 

become a sage-emperor like Yao and Shun, 46 and if a single person in 

the empire was not well adjusted, he felt as if he himself were as disgraced 

as if he had been whipped in public. Yen Yüan 47 "did not transfer 

his anger; he did not repeat a mistake," 48 and "for three months there 

would be nothing in his mind contrary to humanity." 49 If one desires 

what I-yin desired and learns what Yen Yüan learned, he will become 

a sage if he reaches the highest degree and a worthy if he reaches the 

proper degree. Even if he does not, he will not miss a good reputation. 

Ch. 11. Harmony and Transformation 

Heaven produces the ten thousand things through yang and brings 

them to completion through yin. To produce is humanity, and to bring 

to completion is righteousness. Therefore when the sage administers an 

empire, he cultivates all things with humanity and sets all people right 

with righteousness. As the Way of Heaven operates, all things are in 

harmony. As the virtue of the sage-ruler is cultivated, all people are 

transformed. The great harmony and great transformation leave no 

trace, and no one knows how they come to be: This is called spirit. 

Therefore, the foundation of the multitude lies in one person. Is the Way 

far away? Need there be many methods [other than humanity and 

righteousness]? 

Ch. 12. Government 

In governing a hamlet of ten families, it is impossible to complete the 

task even if one teaches everybody most earnestly to the point of whispering 

to his ears. How much more difficult in an extensive empire with 

millions of people. The answer is this: Purify the heart, that is all. By 

purity is meant that one, whether he is active or tranquil, does not violate 

humanity, righteousness, propriety, and wisdom in his speech, appearance, 

seeing, or listening. When one's heart is pure, men of virtue 

and talents will come to help him. With the help of such men the empire 

will be governed. Purity of heart is indeed important, and the employment 

of men of virtue and talents is an urgent matter. 

46 I-yin was a minister who helped Tang found the Shang dynasty (1751- 

1112 B.C.). T'ang's grandson, T'ai-chia (r. 1738-1727 B.C.) was not a good 

ruler and banished I-yin. Yao and Shun were 3rd millennium B.C. legendary sages 

for Confucianists. For the story about I-yin, see History, "Charge to Yüeh," pt. 3 

(Legge, trans., Shoo King, p. 262). 

47 Confucius' favorite pupil. 48 Analects, 6:2. 

49 ibid., 6:5. 

470

CHOU TUN-I 

Ch. 13. Ceremony and Music 

Ceremonies are intended to establish order (li) and music means 

to harmonize. Only when yin and yang operate according to order 

can they be in harmony. Then the ruler will truly be the ruler, the 

minister will truly be the minister, the father will truly be the father, the 

son will truly be the son, brothers will truly be brothers, and husband 

and wife will truly be husband and wife. All things must fulfill 

their principle before they are in harmony. Therefore ceremonies come 

first and music afterward. 

Ch. 14. Devotion to Actuality 

When actuality (substance) dominates, it is good, but when name 

dominates, it is shame. Therefore the superior man advances his virtue 

and cultivates all aspects of his task with unceasing diligence, for he 

wants actuality to dominate. If his virtue or task has not become prominent, 

he fears with a sense of alarm that the fact may become known, 

for he wants to be as far away from shame as possible. On the other 

hand, the inferior man is simply insincere. Therefore the superior man 

is at ease at all times whereas the inferior man is anxious at all times. 

Ch. I5. Love and Reverence 

"Suppose I do not measure up to the goodness of others. [What shall 

I do?]" 

"If you do not measure up to it, learn to do so." 

"What if others do evil?" 

"If they do evil, tell them that it is evil and, furthermore, exhort 

them, saying, 'Suppose you change your ways. You will then be a superior 

man.' If one person does good and two do evil, learn from the 

one and exhort the two. If someone should say, 'So-and-so does evil but 

it is not a great wrong,' you should say, 'Who does not make mistakes? 

How do we know that they cannot be corrected? If one corrects his 

mistakes, he will be a superior man. If he does not correct them, that 

will be wrong, and Heaven dislikes the wrong. Does he not fear Heaven? 

How do we know he cannot correct his mistakes?' " 50 Therefore the 

superior man possesses all virtues and is loved and revered by all. 

Ch. 16. Activity and Tranquillity 

Things cannot be tranquil while active or active while tranquil. Spirit, 

however, can be active without activity and tranquil without tranquil- 

50 According to the commentary by Chu Hsi, the answer ends here, not earlier. 

471


lity. 51 Being active without activity and tranquil without tranquillity 

does not mean that spirit is neither active nor tranquil. 52 Things cannot 

penetrate each other but spirit works wonders with all things. The 

passive material force of Water is rooted in yang and the active material 

force of Fire is rooted in yin. The Five Agents are nothing but yin and 

yang and these in turn are the Great Ultimate. The four seasons run 

their course, and all things have their beginnings and ends. How undifferentiated! 

How extensive! And how infinite! 

Ch. 17. Music, Pt. 1 

In ancient times sage-kings instituted ceremonies and cultivated 

moral education. They rectified the Three Bonds (of ruler and minister, 

father and son, and husband and wife) and put in order the Nine Categories 

(of the Great Norm). 53 Consequently all people were in perfect 

harmony and all things were in concord. Thereupon the sage-kings created 

music to give expression to the winds (people's sentiments) coming from 

the eight directions and to appease the feelings of the people. This is the 

reason why the sound of music is calm and not harmful, and is harmonious 

without being licentious. As it enters the ear and affects the 

heart, everyone becomes calm and peaceful. Because of calmness, one's 

desires will be appeased, and because of harmony, one's impetuousness 

will disappear. Peace, calmness, and moderation—these are the height 

of virtue. As the world is transformed and brought to completion, 54 

government reaches its perfection. This is what is meant by moral principles 

which match Heaven and Earth and which are the ultimate standard 

of the ancients. 55 

Later generations have neglected ceremonies. Their governmental 

measures and laws have been in disorder. Rulers have indulged their material 

desires without restraint, and consequently the people below them 

have suffered bitterly. Rulers have claimed that ancient music is not 

worth listening to and replaced it by or changed it into modern music, 

which is seductive, licentious, depressive, and complaining. It arouses 

desires and increases bitterness without end. Therefore there have been 

cases of people destroying their rulers, casting away their fathers, taking 

life lightly, and ruining human relations, and it has been impossible to 

put an end to such atrocities. Alas! Ancient music appeased the heart but 

51 In his commentary Chu Hsi says, "Spirit does not leave physical form but is 

not restricted by it." 

52 Chu Hsi said, "There is tranquillity in activity and there is activity in tranquillity." 


54 Chu Hsi said that according to some, the word chung (middle) should read 

ch'eng (to complete). 


472

CHOU TUN-I 

modern music enhances desires. Ancient music spread a civilizing influence, 

but modern music increases discontent. To hope for perfect 

government without restoring ancient and changing modern music is to 

be far off the mark. 

Ch. 18, Music, Pt. 2 

Music is based on government. As the government is good and the 

people are happy, the hearts of all will be harmonious. The sage therefore 

creates music to give expression to this harmony in their hearts. As 

it penetrates heaven and earth, their vital force (ch'i) will be affected 

and there will be great harmony. As there is harmony throughout heaven 

and earth, all things will be in concord. Therefore spiritual beings will 

come to enjoy sacrifices offered them, and all animals will become 

tamed. 

Ch. 19. Music, Pt. 3 

As the sound of music is calm, the heart of the listener becomes 

peaceful, and as the words of the music are good, those who sing them 

will admire them. The result will be that customs are transformed and 

mores are changed. The influence of seductive sounds and passionate 

words is equally great. 

Ch. 20. Learning to Be a Sage 

"Can one become a sage through learning?" 

"Yes." 

"Is there any essential way?" 

"Yes." 

"Please explain it to me." 

"The essential way is to [concentrate on] one thing. By [concentrating 

on] one thing is meant having no desire. Having no desire, one is vacuous 

(hsü, being absolutely pure and peaceful) while tranquil, and straightforward 

while in action. Being vacuous while tranquil, one becomes 

intelligent and hence penetrating. Being straightforward while active, 

one becomes impartial and hence all-embracing. Being intelligent, penetrating, 

impartial, and all-embracing, one is almost a sage." 

Comment. Confucianists had never advocated having no desire. 

Mencius merely advocated having few desires. 56 The Taoist influence 

here is obvious. Hitherto, it was only a Taoist and Buddhist 

method of moral cultivation, but from now on, it became a Confucian 

method too. But as Chu Hsi said, 57 Chou went too far, and 

as the prerequisite for concentrating on one thing, Ch'eng had to 

56 Mencius, 7B:35. 57 Chou Tzu ch'üan-shu, p. 165. 

473


substitute seriousness (ching) for desirelessness, 58 evidently in 

order to eliminate this Taoist influence. 

Ch. 21. Impartiality and Understanding 

Whoever is impartial toward himself will be impartial toward others. 

There has never been a person who is partial toward himself and yet 

impartial toward others. Doubt arises when understanding is not 

perfect. With understanding there will be no doubt. To say that to 

be able to doubt is to understand is as far wrong as a thousand miles 

off the mark. 

Ch. 22. Principle, Human Nature, and Destiny 

Only the intelligent can understand the manifestations and concealments 

(of the operations of yin and yang). Strength may be good or it 

may be evil. The same is true of weakness. The ideal is the Mean. 

The myriad things are created and transformed out of the two material 

forces and the Five Agents. These Five Agents are the basis of 

their differentiation while the two material forces constitute their actuality. 

The two forces are fundamentally one. Consequently, the many are 

[ultimately] one and the one is actually differentiated in the many. The 

one and the many each has its own correct state of being. The great and 

the small each has its definite function. 

Comment. This is the most important chapter, because, as the 

title indicates, it deals with the three basic subjects in Neo-Confucianism: 

human nature, principle, and destiny. Strangely enough, 

none of the words appears in the chapter. According to Chu Hsi, the 

first sentence deals with principle, the next three deal with nature, 

and the rest deals with destiny. 59 But as Sun Ch'i-feng pointed out, 

destiny refers to the endowment by Heaven and nature refers to 

what is inherent in man and things, and both are principle. 60 Chu 

Hsi identifies the one with the Great Ultimate. The fundamental 

Neo-Confucian tenet, that substance is one but its manifestations 

are many, is here succinctly stated. As Chu Hsi said, "The one and 

the many each having its own correct state of being means that 

principle is one but its manifestations are many." 61 Thus in this 

58 See below, ch. 32, secs. 32 and 46. 

59 Chou Tzu ch'üan-shu, pp. 168-169. 

60 ibid., p. 169. According to Lü Nan (1479-1542), the chapter is primarily 

intended to show that nature and destiny follow the same principle. See his Sung 

ssu-tzu ch'ao-shih (Excerpts from Four Masters of Sung, 960-1279, Explained), 

Hsi-yin-hsien ts'ung-shu (Hall of Being-Careful-with-Time Collection) ed., sec. 

on Master Chou, 1:8a. 

61 Chu Tzu yü-lei, 94:41b. 

474

CHOU TUN-I 

chapter are found the three major subjects of Neo-Confucianism 

and one of its most fundamental tenets. 

Ch. 23. Yen Tzu 

Yen Tzu (Yen Yüan) had only a single bamboo dish of rice, a single 

gourd dish of drink, and lived in his mean narrow lane. Others could not 

have endured this distress but he did not allow his joy to be affected by 

it. 62 Now, wealth and honor are what people love. Yen Tzu did not love 

or seek them but instead enjoyed poverty. What is the idea? There are 

the highest honor and the greatest [wealth to] 63 love and seek. But he 

acted differently because he saw what was great and ignored what was 

small. Since he saw the great, his mind was at peace. His mind being 

at peace, he had no discontent. Having no discontent, he treated wealth, 

honor, poverty, or humble station in the same way. As he treated them in 

the same way, he could transform them and equalize them. 64 This is 

why Yen Tzu has been regarded as second to the Sage. 

Ch. 24. Teachers and Friends, Pt. 1 

The most honorable thing in the world is moral principle, and the 

most valuable thing is virtue. Man is most precious. What makes him 

most precious is his possession of moral principles and virtue. Without 

the help of teachers and friends, it is impossible for one to possess in his 

person what makes man the most precious. 

Ch. 25. Teachers and Friends, Pt. 2 

Moral principles are honorable and valuable only when they are 

possessed by man. At birth man is ignorant. He remains stupid when he 

grows up if he has no teachers or friends to help him. Thus moral principles 

become valuable and honorable when they are possessed by man 

through the help of teachers and friends. Is the meaning not important? 

Is man's possession not enjoyable? 

Ch. 26. Mistakes 

Tzu-lu 65 was happy to hear about his mistakes 66 and his good reputation 

was unlimited. Nowadays when people have faults they do not like 

others to correct them. It is as though a man should hide his illness and 


63 Chu Hsi thought that these words should be added to the text. 

64 Chu Hsi (Chou Tzu ch'üan-shu, p. 172) thought the word ch'i (equal) is out 

of place or it means to be equal to the sage. But there is nothing wrong in accepting 

the word in its ordinary meaning "to equalize." Is it because Chu Hsi did not 

want to associate Master Chou with Chuang Tzu's doctrine of equality of things? 

65 Confucius' pupil, 542-480 B.C. 


475


avoid a physician. He would rather destroy his life than awake. How 

lamentable! 

Ch. 27. Tendencies 

The most important things in the world [with regard to the subtle, incipient 

activation of things] 67 are tendencies. Tendencies may be strong 

or weak. If a tendency is extremely strong, it cannot be controlled. 68 But 

it is possible to control it quickly if one realizes that it is strong. To control 

it requires effort. If one does not realize early enough, it will not be 

easy to apply effort. If one has exerted his effort and does not succeed, 

that is due to Heaven, but if one either does not realize or does not apply 

effort, that is due to man. Is it due to Heaven? No, it is due to man. Why 

complain? 

Ch. 28. Literary Expressions 

Literature is a vehicle of moral principles. If wheels and shafts of carriages 

are decorated but are not used, they would have been decorated 

for nothing. How much less useful would an undecorated carriage be! 

Literary expressions are art and moral principles are substance. If 

one is earnest about substance and writes it down with art, it will be 

beautiful and loved. As it is loved, it will be transmitted to posterity. 

The worthy can then learn it and achieve its object. This is education. 

This is why it is said, "Words without literary quality will not go very 

far." 69 But unworthy people will not learn even if their parents supervise 

them or if teachers and tutors exhort them. They will not obey 

even if they are forced to. They do not know to devote themselves to 

moral principles and virtue and merely apply their ability to literary expressions. 

This is no more than art. Alas! This defect has existed for a 

long time. 

Ch. 29. The All-Embracing Depth of the Sage 

[Confucius said,] "I do not enlighten those who are not eager to learn, 

nor arouse those who are not anxious to give an explanation themselves. 

If I have presented one corner of the square and they cannot come back 

to me with the other three, I should not go over the points again." 70 He 

also said, "I do not wish to say anything. . . . Does Heaven say anything? 

The four seasons run their course and all things are produced." 71 Thus 

the all-embracing depth of Confucius could be seen only by Yen Tzu. He 

was the one who discovered the all-embracing depth of the Sage and 

taught the ten thousand generations without end. A sage is equal to 

67 Chu Hsi is followed in this interpretation. 

68 Literally "to recover." 

69 Tso chuan (Tso's Commentary on the Spring and Autumn Annals), Duke 

Hsiang, 25th year. See Legge trans., Ch'un Ts'ew, p. 517. 

70 Analects, 7:8. 71 ibid., 17:19. 

476

CHOU TUN-I 

Heaven. Is he not profound? When an ordinary person hears or knows 

anything, he is afraid that others will not quickly know that he has it. 

How superficial it is to make haste to let people know and to seek a name! 

Ch. 30. The Refinement and All-Embracing 

Depth of the Sage 

The refinement of the Sage is revealed in the hexagrams, and the allembracing 

depth of the Sage is expressed through them. If the hexagrams 

had not been drawn, it could not have been possible to reveal 

the refinement of the Sage. And if there were no hexagrams, it would 

almost be impossible to know all about the all-embracing depth of the 

Sage. The Book of Changes is not only the source of the Five Classics; 72 

it is the deep and dark abode of Heaven, Earth, and spiritual beings. 

Ch. 31. The Hexagrams of Ch'ien (Heaven), Sun 

(Decrease) I (Increase), 73 and Activity 

"The superior man is active and vigilant and is unceasing in his 

sincerity." But he must "restrain his wrath and repress his desires," 

"move toward good," and "correct his mistakes" 74 before he can achieve 

his objective. Among the functions of ch'ien, none is better than to 

achieve this, and the greatness of sun and i does not go beyond this. 75 

It is the greatness of sun and i, and there is nothing superior. The 

thought of the Sage is deep indeed! "Good fortune, evil fortune, occasion 

for repentance, and reason for regret all arise from activity." 76 

Alas! good fortune is only one out of four. Should we not be careful 

about activity? 

Ch. 32. The Hexagrams of Chia-jen (Family), K'uei (To Part), 

Fu (To Return), and Wu-wang (Absence from Falsehood) 77 

There is a foundation for the government of the world. It is the 

ruler's person. There is a model for the government of the world. It is 

the family. The foundation must be correct. To make the foundation 

correct, there is no other way than to make the heart sincere. The model 

must be good. In order for the model to be good, there is no other way 

than to maintain harmony among kin. It is difficult to govern a family 

whereas it is easy to govern the world, for the family is near while the 

world is distant. If members of the family are separated, the cause surely 

72 Books of History, Odes, Rites, and the Spring and Autumn Annals, besides 

the Book of Changes. 

73 Hexagrams nos. 1, 41, and 42, respectively. 

74 These phrases are from the sections on the three hexagrams. Cf. Legge, 

Yi King, pp. 317, 319, 410. 

75 Read ch'i (that) as mo (none), according to Chu Hsi. 


77 Hexagrams nos. 37, 38, 24, and 25, respectively. 

477


lies with women. This is why k'uei follows chia-jen, for "when two 

women live together, their wills move in different directions." 78 This 

was why (sage-emperor) Yao, having put his empire in order, gave his 

two daughters in marriage to Shun in order to test him and see whether 

the throne should be given to him. Thus it is that, in order to see how a 

ruler governs his empire, we observe the government of his family. In 

order to see how he governs his family, we observe how he governs himself. 

To be correct in one's person means to be sincere in one's heart. And 

to be sincere in one's heart means to return from (turn away from) evil 

activities. Evil activities represent falsehood. When it has been turned 

away, there will be none. Being free from it, one is sincere. This is the 

reason why wu-wang comes after fu. And it is said, "The ancient kings 

made their regulations in complete accordance with the seasons, thereby 

nourishing all things." 79 How profound! 

Ch. 33. Wealth and Honor 

The superior man considers a rich possession of moral principles to 

be honor and peace in his person to be wealth. Therefore he is always 

at peace and is never discontented. To him carriages and ceremonial 

caps (symbols of honor) are as light as a cash, and gold and jade are as 

tiny as a speck of dust. Nothing can be added to the great value [of rich 

possession of moral principle and peace in the person]. 

Ch. 34. Vulgarity 

The way of the Sage is to be heard through the ear, to be preserved 

in the heart, to be deeply embraced there and to become one's moral 

character, and to become one's activities and undertakings when it is 

put into practice. Those who are engaged purely in literary expressions 

are vulgar people. 

Ch. 35. Consideration and Deliberation 

Perfect sincerity leads to activity. Activity leads to change. And 

change leads to transformation. Hence it is said, "One will consider 

before he speaks and deliberate before he acts. By such consideration 

and deliberations he undertakes to complete all changes and transformations." 

80 

Ch. 36. Punishment 

Heaven produces all things in the spring and stops producing in the 

autumn. All things have been produced and matured and it would be 

78 ibid., commentary on hexagram no. 38, kuei. Cf. Legge, p. 243. 

79 ibid., commentary on hexagram no. 25, wu-wang. Cf. Legge, p. 299. 


478

CHOU TUN-I 

a mistake not to stop. Therefore there is the autumn to complete the 

process. The sage models after Heaven in governing and nourishing all 

people. So he regulates them with punishment. As people have abundance, 

their desires are aroused. Their feelings become dominant and 

they are guided by advantages and disadvantages. Consequently they 

would attack one another without cease. They would destroy themselves 

and human relations would be ruined. Therefore they receive punishment 

[from the sage] so that they may become regulated. 

Feelings are not genuine but are obscure. They change in a thousand 

ways. They cannot be regulated except by a person who is characterized 

by the Mean, correctness, intelligence, penetration, courage, and firmness. 

The explanation of the hexagram sung (contention) says, "It 

will be advantageous to see the great man". . . for the strong has occupied 

the central position. 81 The explanation of the hexagram shih-ho 

(biting and uniting) says, "It will be advantageous to use legal restraint" 82 

for it is an activity with intelligence. Ah! Those who administer punishment 

control the lives of the people throughout the empire. Should their 

appointment not be careful? 

Ch. 37. Impartiality 

The way of the sage is nothing other than absolute impartiality. 

Someone asked, "What does that mean?" 

I said, "Heaven and Earth are nothing other than absolute impartiality." 

Ch. 38. Confucius, Pt. 1 

The Spring and Autumn Annals 83 is to set the kingly way correct and 

to make clear the fundamental principles of government. Confucius 

wrote it for the benefit of kings of later generations, and, by recording 

the capital punishments of rebellious ministers and villainous sons in 

the past, to warn ministers and sons that were to come. It is fitting that 

for ten thousand generations without end kings have offered sacrifice to 

Confucius to repay his infinite kindness and contributions. 

Ch. 39. Confucius, Pt. 2 

Confucius was the only one who possessed virtue in abundance, who 

exercised an unlimited amount of civilizing influence, and who could 

really form a trinity with Heaven and Earth and be equal to the four 

seasons. 

81 Commentary on hexagram no. 6, sung. Cf. Legge, p. 69. 

82 Commentary on hexagram no. 21, shih-ho. Cf. Legge, p. 230. 

83 For this Classic, see above, ch. 1, n.6. 

479


Ch. 40. The Hexagrams of Meng (Obscure) and Ken (To Stop) 84 

"The youthful and ignorant comes and seeks me." 85 I follow the correct 

way and determine his conduct as in the case of divination. Divination 

is to seek advice from spirits. "To ask for the second or third time 

[thus showing lack of concentration] would be to indicate doubt. In that 

case, the spirits would not give him any advice." 86 [The hexagram represents] 

a spring issuing forth beneath a mountain. 87 It will be clear if it 

is still, but if it is disturbed, it will be confused. Being confused, it loses 

its destination. One must be careful. The only right thing to do is to be 

timely and to follow the Mean. 

"Stop in the back of a thing." 88 The back is not seen. If one is tranquil, 

one will stop [at the right point]. To stop means not to do anything 

[deliberate], for if one does anything [deliberate], one will not be able 

to stop [at the right point]. The truth [in these hexagrams] is deep indeed! 

84 Hexagrams nos. 4 and 52, respectively. 

85 ibid., commentary on hexagram no. 4, meng. Cf. Legge, p. 64. 

86 ibid. Cf. Legge, p. 216. 

87 ibid. Cf. Legge, p. 271. 

88 ibid., commentary on hexagram no. 52, ken. Cf. Legge, p. 175. 

480

••• 29 ••• 

THE NUMERICAL AND OBJECTIVE TENDENCIES 

IN SHAO YUNG 

IN SPITE OF its metaphysics, Neo-Confucianism as a whole is homocentric. 

It proceeds from man to embrace the whole universe. In the 

case of Shao Yung (Shao K'ang-chieh, Shao Yao-fu, 1011-1077), however, 

the direction is reversed. To him, man is only one of many creatures, 

though the most important one, and he is only part of an extensive 

process of universal operation. This is clear from his major concepts. 

Shao's fundamental concepts are three. First, there are the supreme 

principles governing the universe. Second, these principles can be discerned 

in terms of numbers. And third, the best knowledge of them is 

the objective, that is, viewing things from the viewpoint of things. In 

holding that all things have principles in them, he is not different from 

other Neo-Confucianists. To this concept, he devoted his major work, 

the Huang-chi ching-shih shu (Supreme Principles Governing the 

World). However, while he followed the same pattern of cosmic evolution 

in the Book of Changes as most other Neo-Confucianists did, that 

is, the evolution from the Great Ultimate through yin and yang or negative 

and positive cosmic force, to the myriad things, he added the element 

of number. To him universal operation, or Change, is due to 

spirit, which gives rise to number, number to form, and form to concrete 

things. The whole process works according to principle and is natural. 

Man is the most intelligent of the products of natural evolution, but like 

all other things he is governed by numbers. 

The concept of number is not new. It is present in the Lao Tzu, the 

Book of Changes, the Five Agents School, the apocryphal literature of 

the Western Han period (206 B.C.-A.D. 8), and Yang Hsiung (53 B.C.- 

A.D. 18), but he was the first one to base his whole philosophy on it and 

build a system of numerical progression. Evidently under the influence of 

the Book of Changes in which the Great Ultimate engenders the four 

forms of major and minor cosmic forces yin and yang, he used the number 

4 as the basis of classification of all phenomena. Thus there are the 

four heavenly bodies (sun, moon, stars, and zodiacal space), the four 

earthly substances (water, fire, earth, and stone), the four kinds of 

creatures (animals, birds, grass, and plants), the four sense organs (eye, 

ear, nose, and mouth), the four ways of transforming the world (by 

truth, virtue, work, and effort), the four kinds of rulers, the four kinds 

of Mandate of Heaven, and so forth. The whole scheme is neat and sys- 

481

NUMERICAL AND OBJECTIVE TENDENCIES 

tematic but also mechanical and arbitrary. However, in its progression 

from 4 to 64, which is the number of hexagrams in the Book of Changes, 

it clearly indicates the evolutionary development from the one to the 

many. Furthermore, since the process is essentially the work of spirit, 

which expresses itself in interpenetrating activity and in the tranquillity 

of yin and yang, the universal operation is conceived of as opening (expansion) 

and closing (contraction) and thus the dynamic character of 

Change is dominant. What is new in the numerical approach is that 

things are definite and that by mathematical calculation they can be 

predicted. He applied this to history and equated it with the four seasons 

with calculable beginning and predictable end. 

In this scheme of things, objective viewing of things is not only desirable 

but necessary. To view things this way meant not to be subjective 

but to follow principle which is inherent in things, and to maintain 

the mean in one's emotions so they would not lead one to partiality. 

In such ideas as these, he comes close to other Neo-Confucianists. 

Generally speaking, however, he stands in a class by himself. Historians 

of Chinese philosophy usually refer to the "Five Masters of the early 

Sung period," namely, Chou Tun-i (Chou Lien-hsi, 1017-1073), Shao 

Yung, Chang Tsai (Chang Heng-ch'ü, 1020-1077), Ch'eng Hao 

(Ch'eng Ming-tao, 1032-1085), and Ch'eng I (Ch'eng I-ch'uan, 1033- 

1107). They were contemporaries and friends. But in his anthology of 

early Sung philosophy, Chu Hsi (1130-1200) did not include Shao 

Yung. The other outstanding anthologies do include him but put him 

after Chang Tsai, although he was nine years senior to Chang and both 

died in the same year. 1 The reason for this is that Chu Hsi fixed the 

line of the orthodox transmission of Neo-Confucianism from Chou 

Tun-i through the Ch'eng brothers to Chang Tsai. Later Neo-Confucianists 

included Chu Hsi but not Shao Yung. 2 

1 The Chin-ssu lu (Reflections on Things at Hand) contains selections from 

the works of the other four but not Shao. The other anthologies are: the Hsing-li 

ta-ch-üan (Great Collection of Neo-Confucianism) compiled by Hu Kuang 

(1370-1418) et al., 1405; Sun Ch'i-feng (1584-1675), Li-hsüeh tsung-ch'uan (Orthodox 

Transmission of Neo-Confucianism), 1666; and the Hsing-li ching-i (Essentials 

of Neo-Confucianism), compiled by Li Kuang-ti (1642-1718), 1717. In 

the Sheng-hsüeh tsung-ch'uan (Orthodox Transmission of the Doctrine of the 

Sage), compiled by Chou Ju-teng (1547-1629), 1605, however, Shao Yung is 

included and comes before Chang Tsai. Chou belonged to the idealistic school of 

Neo-Confucianism, that of Wang Yang-ming (1472-1529), which is directly opposed 

to the rationalistic school of Chu Hsi. Also in the Sung-Yüan hsüeh-an 

(Anthology and Critical Accounts of the Neo-Confucianists of the Sung and Yüan 

Dynasties, 960-1368), compiled by Huang Tsung-hsi (1610-1695) et al., Shao 

precedes Chang. Huang also belonged to the Wang Yang-ming school. 

2 For example, in the Tao-t'ung lu (Record of the Transmission of the Way) 

by Chang Po-hsing (1651-1725), Chou, the Ch'engs, Chang, and Chu are included 

but not Shao. Chang Po-hsing was an ardent follower of Chu Hsi. 

482

SHAO YUNG 

This belittling of Shao is partly due to the partisan spirit of Chu Hsi 

and other Neo-Confucianists. All records agree that Shao received Ms 

learning from a Taoist. But the more important reason for not considering 

him important is his failure to discuss such central Confucian problems 

as humanity and righteousness. As Hsieh Liang-tao (Hsieh Shangts'ai, 

1050-1103) has remarked, "He had insight on the principle of 

progress and retrogression of the universe and the rise and fall of all 

things . . . but had not devoted himself to the task of studying things on 

the lower level (human affairs) before penetrating things on the higher 

level." 3 One may say in Shao's defense that he does regard man as the 

most important creature, that for him as for other Neo-Confucianists 

the sage is the ideal man, and that nature, destiny, and principle are for 

him as for other Neo-Confucianists basic problems. There is no denial, 

however, that he was not as much concerned with social and moral 

problems as his fellow Neo-Confucianists. It was primarily because of 

this that he exercised little influence on his contemporaries and had no 

followers and that his doctrine has not been propagated by later Neo- 

Confucianists. 

As a man, he was much respected. For forty years he lived in Loyang 

in poverty. He was offered two minor offices but he declined. 

When he approached in a small cart, all people, whether adults or children, 

welcomed him with warm smiles. 4 He wrote a number of works, 

but the most important is the Huang-chi ching-shih shu (Supreme Principles 

Governing the World). 5 

3 

Shang-ts'ai yü-lu (Recorded Sayings of Hsieh Liang-tso), Cheng-i-t'ang ch'üanshu 

(Complete Library of the Hall of Rectifying the Way) ed., pt. 1, 8a. Ch'eng 

Hao also said that Shao's philosophy was "castle in the air." I-shu (Surviving 

Works), 7:1b, in ECCS. 

4 

According to the Sung shih (History of the Sung Dynasty, 960-1279), PNP, 

427:18b-21b, Shao learned from Li Chih-ts'ai, a magistrate from Pei-hai in 

modern Shantung, certain diagrams connected with the Book of Changes, out of 

which Shao's theory of diagrams and numbers evolved. Li learned them from the 

Taoist Ch'en T'uan (c. 906-989). Shao supported himself by farming and called 

himself "Mr. Happiness" and his place "Happy Nest." Out of respect, many 

prominent scholars and officials, including eminent Ssu-ma Kuang (1019-1086), 

often visited him. Ch'eng Hao and Ch'eng I were his great friends. About 1060 he 

was appointed keeper of records in the board of public works and about a decade 

later a militia judge. In both occasions he refused to assume office. See Bruce, 

Chu Hsi and His Masters, pp. 31-35. 

5 This is the most important work by Shao Yung. The number of chapters 

varies from eight to seventeen. There are many editions, including one in the 

Tao-tsang (Taoist Canon), chs. 705-718. The one used here is the SPPY edition, in 

nine chapters. Chs. 5 and 6 make up the "Inner Chapters on the Observation of 

Things" and chs. 7A to 8B the "Outer Chapters on the Observation of Things." 

Selections are from these chapters. Selected passages have been translated by 

de Harlez, L'École philosophique modern de la Chine, pp. 82-110. 

483


Following the list of its major topics and references are selections 

from it. 

Cosmology: 1, 10-13, 21, 23 

Form: 12, 16, 17, 19, 20, 23, 26 

History and Time: 5-7, 22 

Man: 2, 3, 14, 15, 24 

Mind and Sincerity: 27, 30 

Number: 9, 12, 16, 17, 19, 20, 21, 26 

Principle, Nature, and Destiny: 3, 8, 16, 20, 23, 25, 27, 31 

Spirit: 13, 18, 19, 24, 26, 29 

Viewing things as things: 8, 24, 28, 29 

Yin yang and Great Ultimate: 1, 10-12, 15, 24-27 

SUPREME PRINCIPLES GOVERNING THE WORLD 

1. Heaven is born of activity and Earth is born of tranquillity. The 

interaction of activity and tranquillity gives Ml development to the Way 

of Heaven and Earth. At the first appearance of activity, yang is produced. 

As activity reaches its limit, yin is produced. The interaction of 

yin and yang gives full development to the functions of Heaven. At the 

first appearance of tranquillity, the element of weakness is produced. 

When weakness reaches its limit, the element of strength is produced. 

The interaction of these two elements gives full development to the 

functions of Earth. Greater activity is called major yang, while greater 

tranquillity is called major yin. Lesser activity is called minor yang, 

while lesser tranquillity is called minor yin. Major yang constitutes the 

sun; major yin, the moon; lesser yang, the stars; and lesser yin, the 

zodiacal spaces. The interaction of the sun, moon, stars, and zodiacal 

spaces gives full development to the substance of Heaven. Greater 

tranquillity is called major weakness, while lesser tranquillity is called 

minor weakness. Greater activity is called major strength, while lesser 

activity is called minor strength. Lesser weakness constitutes water; 

major strength, fire; lesser weakness, earth; and lesser strength, stone. 

The interaction of water, fire, soil, and stone gives full development to 

substance of Earth. 

The sun constitutes heat, the moon constitutes cold, the stars constitute 

daylight, and the zodiacal spaces constitute the night. The interaction 

of heat, cold, daylight, and night gives full development to the 

transformations of Heaven. Water constitutes rain, fire constitutes wind, 

earth constitutes dew, and stone constitutes thunder. The interaction of 

rain, wind, dew, and thunder gives full development to the changes of 

Earth. The transformations of heat result in the dormant nature of 

things; those of cold, their manifested nature; those of daylight, the 

physical forms of things; and those of night, their substance. The inter- 

484

SHAO YUNG 

action of the dormant nature, manifested nature, physical form, and substance 

of things gives full development to the external influence on plants 

and animals. Rain affects animals; wind, birds; dew, grass; and thunder, 

plants. The interaction of animals, birds, grass, and plants gives full 

development to the response of animals and plants to external influence. 

(5:1b-2b) 

2. Man is the most intelligent of all things because his eyes can perceive 

the colors of all things, his ears can perceive the sounds of all 

things, his nose can perceive the smell of all things, and his tongue can 

perceive the tastes of all things. Color, sound, smell, and taste are the 

substance of things and the four senses are the functions of all men. 

Substance has no definite function—its function is to transform itself. 

Function has no definite substance—its substance is change itself. In 

the interaction of substance and function, the principles of man and 

things are complete. (5:5a) 

3. It is said in the Book of Changes, "Investigate principle (li) to 

the utmost and fully develop nature, until destiny is fulfilled." 6 By principle 

is meant the principle inherent in things. By nature is meant nature 

endowed by Heaven (T'ien, Nature). And by destiny is meant to abide 

in principle and one's nature. How else can we abide in principle and 

our nature except through the Way? 

From this we know that the Way is the basis of Heaven and Earth, 

and that Heaven and Earth are the basis of all things. Viewed from 

Heaven and Earth, the myriad things are the myriad things (that is, 

individual entities). When Heaven and Earth are viewed from the 

Way, then they themselves are also the myriad things. The principle 

of the Way finds its full development in Heaven; the principle of Heaven, 

in Earth; the principle of Earth, in the myriad things; and that of the 

myriad things, in man. One who knows how the principles of Heaven, 

Earth, and all things find their full development in man can give full 

development to his people. (5:7a) 

4. With truth, virtue, work, and effort, the august sovereigns transformed 

the people, the emperors educated the people, the kings encouraged 

the people, and the despots led them. (5:14a) 

5. The past and the present in the universe is comparable to morning 

and evening. When the present is viewed from the past, it is called the 

present, but when viewed from posterity, it will become the past. When 

the past is viewed from the present, it is called the past, but when 

viewed from the past itself, it would be its present. Thus neither the 

present nor the past is necessarily the present or the past as such. The 

6 Changes, "Remarks on Certain Trigrams," ch. 1. Cf. Legge trans., Yi King, 

p. 422. 

485


distinction is entirely due to our subjective points of view. People generations 

ago and people generations to come all have this subjective 

viewpoint. (5:14b) 

6. Therefore from the times of old, in the administration of their 

empires, rulers have had four kinds of Mandates of Heaven, namely, 

correct mandate (given by Heaven), accepted mandate (given by man), 

modified mandate (such as revolution), and substituted mandate (such 

as a minister acting for a ruler). 7 Correct mandate is that which is completely 

followed. Accepted mandate is that which is followed with 

certain changes. Modified mandate is mostly changed but partly followed. 

And substituted mandate is that which is changed completely. 

That which is followed completely is augmented further and further. 

That which is followed with certain changes is augmented with some 

diminution. That which is mostly changed but partly followed is diminished 

with some augmentation. That which is changed completely is 

diminished further and further. That which is changed completely is 

work meant for one generation. That which is mostly changed but partly 

followed is work meant for ten generations. That which is mostly followed 

but partly changed is work meant for a hundred generations. That 

which is followed completely is work meant for a thousand generations. 

That which follows what ought to be followed and changes what ought 

to be changed is work meant for countless generations. Work meant for 

one generation, is this not the way of the Five Despots? 8 Work meant 

for ten generations, is this not the way of the Three Kings? 9 Work meant 

for a hundred generations, is this not the way of the Five Emperors? 10 

Work meant for a thousand generations, is this not the way of the Three 

August Sovereigns? 11 Work meant for countless generations, is this not 

the way of Confucius? Thus we know that the despots, kings, emperors, 

and sovereigns had what were called mandates for a limited number of 

7 Explanations in parentheses are by Shao Po-wen (1057-1134) in his commentary 

in the Hsing-li ta-ch'üan (Great Collection of Neo-Confucianism), 9:34a. Chu 

Pi (fl. 1279), however, thinks that accepted mandate means hereditary rule, 

modified mandate means either reform or revolution, and substituted mandate 

means expedient and temporary rule. See his Kuan-wu p'ien chieh (Explanation of 

the Chapter on Viewing Things), Ssu-k'u ch'üan-shu chen-pen (Rare Editions of 

the Four Libraries) ed., 5:44b. 

8 They were: Duke Huan (r. 685-643 B.C.) of Ch'i, Duke Wen (r. 636-628 

B.C.) of Chin, Duke Mu (r. 659-619 B.C.) of Ch'in, King Chuang (r. 613-589 

B.C.) of Ch'u, and Duke Hsiang (r. 650-635 B.C.) of Sung. 

9 Founders of the three dynasties, Hsia (2183-1752 B.C.?), Shang (1751-1112 

B.C.), and Chou (1111-249 B.C.). 

10 There are three different sets of Five Emperors in the various Classics, all 

of whom were legendary rulers of the third millennium B.C. Sage emperors Yao 

and Shun are included in two of these sets. 

11 Fu-hsi, Shen-nung, and the Yellow Emperor, legendary rulers before the 

Five Emperors. 

486

SHAO YUNG 

generations. But the mandate of Confucius transcends generations. 

(5:15a-b) 

7. The period of the Three August Sovereigns [when cultural institutions 

were quietly formed] was the spring of history; that of the Five 

Emperors [when they grew], the summer; that of the Three Kings [when 

they matured], the autumn; and that of the Five Despots [when they 

were destroyed], the winter. 12 As to the Seven States, 13 they were the 

tail end of winter. (6:15a) 

Comment. Shao was one of the few Chinese philosophers who tried 

to formulate a metaphysical theory of history. Like most others, he 

could not get away from the concept of cycles. By combining the 

idea of cycles with his own theory of numbers, he viewed history 

as an infinite series of cycles. Starting with the traditional unit of 

30 years for a generation, he held that a revolution consists of 

12 generations (like a day with 12 periods), or 360 years, that 

an epoch consists of 30 revolutions (like a month with 30 days), 

or 10,800 years, and that a cycle consists of 12 epochs (again like 

12 months in a year), or 129,600 years. The first three epochs, 

according to him, correspond to the first three months of the year 

or the first three periods of the day in which yang begins to rise 

and things grow gradually. Thus the first three epochs are the 

periods of the birth of heaven, earth, and man, successively. By 

the end of the sixth epoch (64,800 years), or June, yang reaches 

its height. This is the time of sage-emperors Yao and Shun. In his 

own time (75,600 years), or the eleventh century, yang begins to 

decline and yin rises. Eventually, after 129,600 years, the whole 

cycle would end and another cycle would begin all over. 

The whole scheme is as arbitrary as it is superficial. The idea 

that one world succeeds another is evidently Buddhist-influenced, 

for Buddhism conceives existence in terms of an infinite series of 

worlds, whereas the Chinese idea of cycles means rise and fall 

within the history of this world. 

8. By viewing things is not meant viewing them with one's physical 

eyes but with one's mind. Nay, not with one's mind but with the principle 

inherent in things. There is nothing in the universe without principle, 

nature, and destiny. These can be known only when principle has 

been investigated to the utmost, when nature is completely developed, 

and when destiny is fulfilled. The knowledge of these three is true knowl- 

12 

Interpretation according to Shao Po-wen's commentary, in Hsing-li ta-ch'üan, 

10:23b. 

13 Warring states during the Warring States period (403-222 B.C.). 

487


edge. Even the sage cannot go beyond it. Whoever goes beyond it cannot 

be called a sage. 

A mirror reflects because it does not obscure the physical form of 

things. But water (with its purity) does even better because it reveals 

the universal character of the physical form of things as they really are. 

And the sage does still better because he reflects the universal character 

of the feelings of all things. The sage can do so because he views things 

as things view themselves; that is, not subjectively but from the viewpoint 

of things. Since he is able to do this, how can there be anything between 

him and things? (6:26a-b) 

Comment. Shao Yung's doctrine of viewing things from the standpoint 

of principle has received particular emphasis by Neo-Confucianists 

not so much for its merit as to offset his reputation as 

one who could foretell future events. He has not been described 

as a Taoist magician or diviner but he was very popular as a prophet. 

Wang Chih (b. 1685) thinks that Shao Yung purposely emphasized 

viewing things from the standpoint of principle in order to 

correct any wrong impression of him. 14 Huang Po-chia (fl. 1695) 

took care to point out that Shao's prophecies were results of his 

insight into the principle of things and not occultism. 15 But Chu 

Hsi insisted that although Shao Yung saw principle, he did not 

pay enough attention to it. 16 The whole effort of later Neo-Confucianists 

has been to minimize any element of occultism in Shao 

Yung's philosophy. Such is the rationalism of Neo-Confucianist 

thought. 

9. The numbers of Heaven are five (1, 3, 5, 7, 9). The numbers of 

Earth are also five (2, 4, 6, 8, 10). Together they form the ten numbers 

in all. Heaven differentiates from 1 (Great Ultimate) to 4 (the Four 

Forms of greater and lesser yin and yang). Earth also differentiates from 

1 to 4 (the Four Forms of greater and lesser strength and weakness). 

The four are physical, but the one is not. This is the ultimate distinction 

of being and non-being. The substance of Heaven numbers 4 (Four 

Forms), but its function numbers only 3 (minus greater yin). The 

same is true of Earth (minus greater strength). 17 (7A:1a) 

14 Huang-chi ching-shih ch'üan-shu chieh (Commentary on the Supreme Principle 

Governing the World), 6:65b. 

15 Sung-Yüan hsüeh-an, SPPY, 9:2b. 

16 Chu Tzu yü-lei (Classified Conversations of Chu Hsi), 1876 ed., 100:1b. 

17 These explanations follow Shao Po-wen's commentary in Hsing-li ta-ch'üan, 

11:1b. Function numbers 3 because yin does not operate in Heaven and greater 

strength does not operate in Earth. Huang Yüeh-chou (of Ming, 1368-1644), in 

his commentary, said that function is the interaction of corporeality and incor- 

488

SHAO YUNG 

10. Yang is superior and spiritually powerful. Being superior, it can 

control the external world. Being spiritually powerful, it can preserve its 

unlimited efficiency. For this reason the Way creates heaven and earth 

and all things without showing itself. All these are patterned after the 

Way. Yang is the function of the Way, while yin is its substance. Yin 

and yang operate on each other. When yang is the function, yin becomes 

superior. When yin is the function, yang becomes superior. (7A:16a) 

11. Yang cannot exist by itself; it can exist only when it is supported 

by yin. Hence yin is the foundation of yang. Similarly, yin cannot alone 

manifest itself; it can manifest itself only when accompanied by yang. 

Hence yang is the expression of yin. Yang controls the origination and 

enjoys the completion [of things] while yin follows the way [yang produces] 

and completes the work of yang. (7A: 17a) 

12. As the Great Ultimate becomes differentiated, the Two Modes 

(yin and yang) appear. Yang descends and interacts with yin, and yin 

rises to interact with yang, and consequently the Four Forms (major 

and minor yin and yang) are constituted. Yin and yang interact and 

generate the Four Forms of Heaven: the element of weakness and the 

element of strength interact and generate the Four Forms of Earth; and 

consequently the Eight Elements (heaven, water, fire, thunder, wind, 

water in motion, mountain, and earth) are completed. The Eight Elements 

intermingle and generate the myriad things. Therefore the one 

is differentiated into the two, two into four, four into eight, eight into 

sixteen, sixteen into thirty-two, and thirty-two into sixty-four. Thus it 

is said (in the Book of Changes) that "they are distinguished as yin and 

yang and the weak and the strong are employed in succession. Thus in 

the system of Change there are six positions and the pattern is complete." 

18 Ten is divided to become 100, 1,000, and 10,000. This is 

similar to the fact that the root engenders the trunk; the trunk, branches; 

and the branches, leaves. The greater the division, the smaller the result, 

and the finer the division, the more complex. Taken as a unit, it is one. 

Taken as diffused development, it is the many. Hence the hexagrams 

ch'ien (Heaven) divides, k'un (Earth) unites; chen (activity) augments, 

and sun (bending) diminishes. Augmentation leads to division, division 

leads to diminution, and diminution leads to closing. (7A:24b) 

13. Material force is one. It is produced by ch'ien (the Principle of 

Heaven). Spirit is also one. Through material force it changes and 

transforms, and operates freely in the realm of existence and non- 

poreality. As incorporeality is involved in corporeality (4) itself, the net result is 3. 

(Huang-chi ching-shih shu, 7A:1a-b). 

18 Changes, "Remarks on Certain Trigrams," ch. 2. Cf. Legge, Yi King, p. 423. 

489


existence as well as in the realm of life and death. It has no spatial restrictions 

and is unfathomable. (7B:2b) 

14. The origin of Heaven and Earth is based on the principle of the 

Mean (the central principle). Thus ch'ien and k'un never deviate from 

this central principle of existence although they are engaged in incessant 

transformation. Man is central in the universe, and the mind is central 

in man. The sun is most glorious and the moon is full when they are in 

the central position. Therefore, the superior man highly values the principle 

of centrality. (7B:4a) 

15. In the human being, ch'ien constitutes the male element while 

k'un constitutes the female element. On the infra-human, ch'ien constitutes 

yin while k'un constitutes yang. (7B:7a) 

16. Forms come from physical shapes, and number comes from substance. 

Names come from language, while concepts come from function. 

All numbers in the world are derived from principle. If principle is violated, 

they will be degenerated into divination techniques. Ordinary 

people associate numbers with divination techniques and therefore they 

are not associated with principle. (7B:19b) 

Comment. Insofar as Shao Yung's number is calculable and is not 

left to the whims of spirits, his system is sharply different from occultism. 

But a numerical interpretation of things like his is too 

rigid and too mechanical to leave any room for any human effort. 

There is no doubt that this mechanism was one factor for the unpopularity 

of his philosophy among Neo-Confucianists. Ch'eng I 

associated with him for thirty years and discussed with him many 

subjects but never touched on the subject of numbers. 19 

17. Internal forms and numbers are what exist naturally and cannot 

be changed. The rest is all external forms and numbers. 

What exists naturally is due to Heaven. Only the sage can investigate 

it. Man follows it as the model. But if man can act or not act [as 

principle dictates] 20 even though he is a man, he would be [equivalent 

to] Heaven. 

Change has internal forms and external forms. The former are principles 

and numbers while the latter refer to individual, concrete, unchanging 

objects. (7B:20a-b) 

19 Chu Hsi, I-Lo yüan-yüan lu (Record of the Origins of the Schools of the 

Two Ch'engs), Cheng-i-t'ang ch'üan-shu (Complete Library of the Hall of Rectifying 

the Way) ed., 5:7a. 

20 This interpretation follows Chang Hsing-ch'eng (fl. 1170), Huang-chi chingshih 

kuan-wu wai-p'ien yen-i (Elaboration of the Meanings of the Outer Chapter 

on Viewing Things of the Supreme Principles Governing the World), Ssu-k'u 

ch'üan-shu chen-pen ed., 8:2a. 

490

SHAO YUNG 

18. Spirit is the master of Change. It therefore has no spatial restriction. 

Change is the function of spirit. Therefore it has no physical 

form. "Spirit has no spatial restriction and Change has no physical 

form." 21 If spirit is impeded spatially, it would not be able to effect 

transformation and would cease to be spirit. If Change had a definite, 

physical form, it would not be able to penetrate things and would cease 

to be Change. Although Change seems to have physical form, it is but 

a symbol by which physical form is manifested. Actually Change itself 

has no physical form. (7B:21a-b) 

19. By its nature, the Great Ultimate is unmoved. When it is aroused, 

it becomes spirit. Spirit leads to number. Number leads to form. Form 

leads to concrete things. Concrete things undergo infinite transformations, 

but underlying them is spirit to which they must be resolved. 

(7B:23b) 

20. Forms and numbers in the universe can be calculated, but their 

wonderful operations cannot be fathomed. The universe can be fully 

investigated through principles but not through physical forms. How 

can it be fully investigated through external observation? (8A:16b) 

21. The numerical principle of Change penetrates the universe from 

its beginning to end. Someone asked, "Does the universe have a beginning 

and an end?" 

Answer: "Since it is involved in the process of augmentation and 

diminution, how can it be without a beginning and an end? Although 

heaven and earth are vast, they are also physical forms and concrete 

things. As such they are two individual entities." (8A:31b) 

22. The law (of history) began with Fu-hsi, completed in Emperor 

Yao, modified in the period of the Three Kings, reached its limit in the 

period of the Five Despots, and disappeared in the time of Ch'in (221- 

206 B.C.). This is the track of the cycle of peace and chaos throughout 

the ten thousand generations. (8A:32a) 

23. Everything follows the evolutionary order of the Great Ultimate, 

the Two Modes (of yin and yang), the Four Forms, and the Eight 

Elements. Everything also possesses the two forms of time, the past and 

the present. As form is externalized in physical form, the result is physical 

substance, for substance is derived from physical form. As form contains 

the dormant nature of things, the result is their manifested nature, 

for manifested nature is the expression of dormant nature. In fire, the 

nature is fundamental, while its physical substance is secondary, whereas 

in water the opposite is true. Each of the Eight Elements has its own 

nature and physical substance, but none can exist outside of the operation 

of ch'ien and k'un. Thus all things receive their nature from 


491


Heaven but the nature of each is peculiar to it. In man it becomes human 

nature. In animals and plants it becomes the nature of animals and 

plants. (8B:9b) 

24. Our nature views things as they are, but our feelings cause us to 

see things subjectively and egotistically. Our nature is impartial and enlightened, 

but our feelings are partial and deceived. When the material 

endowment in man is characterized by equilibrium and harmony, the elements 

of strength and weakness in him will be balanced. If yang predominates, 

he will be off balance toward strength, and if yin predominates, 

he will be off balance toward weakness. As knowledge directed 

toward the nature of man increases, the knowledge directed toward 

things will decrease. 

Man occupies the most honored position in the scheme of things because 

he combines in him the principles of all species. If he honors his 

own position and enhances his honor, he can make all species serve him. 

The nature of all things is complete in the human species. 

The spirit of man is the same as the spirit of Heaven and Earth. 

Therefore, when one deceives himself, he is deceiving Heaven and 

Earth. Let him beware! 

Spirit is nowhere and yet everywhere. The perfect man can penetrate 

the minds of others because he is based on the One. Spirit is perforce 

called the One and the Way. It is best to call it spirit. (8B: 16a-17a) 

25. Without physical substance, the nature (of man and things) cannot 

be complete. Without nature, physical substance cannot be produced. 

The yang has the yin as its physical substance and the yin has 

the yang as its nature. Nature is active but physical substance is tranquil. 

In heaven, yang is active while yin is tranquil, whereas in earth 

yang is tranquil while yin is active. When nature is given physical substance, 

it becomes tranquil. As physical substance follows nature, it 

becomes active. Hence yang is at ease with itself but yin is fast moving 

without control. (8B:22a) 

26. The Great Ultimate is the One. It produces the two (yin and 

yang) without engaging in activity. 22 The two (in their wonderful 

changes and transformations) constitute the spirit. Spirit engenders 

22 Forke, Geschichte der neueren chinesischen Philosophie, p. 22, and Fung, 

History of Chinese Philosophy, vol. 2, p. 458 and Short History of Chinese 

Philosophy, p. 276, all mispunctuated the sentence to read, in effect, that "the 

Great Ultimate does not move. It produces. . . ." This is to separate the phrases 

"not move" and "it produces" and thereby the two ideas. This is a serious mistake 

because the emphasis here is that the Great Ultimate produces without engaging 

in any activity. This point is made quite clear in the commentary. 

Furthermore, in Wang Chih, Huang-chi ching-shih ch'üan-shu chieh, 8:73a, the 

text is punctuated as I have translated here. 

492

SHAO YUNG 

number, number engenders form, and form engenders concrete things. 

(8B:23a) 

Comment. In saying that the Great Ultimate produces without 

activity, Shao Yung is different from Chou Tun-i who said that the 

Great Ultimate generates yang through movement. 23 Shao did not 

want to differentiate activity and tranquillity or yin and yang 

sharply as in the case of Chou. As Huang Yüeh-chou said in his 

commentary, the point is that spirit produces the two not as two 

separate entities but the two embraced in the One, namely, the 

Great Ultimate. 24 

27. The mind is the Great Ultimate. The human mind should be as 

calm as still water. Being calm, it will be tranquil. Being tranquil, it will 

be enlightened. 

In the study of prior existence 25 sincerity 26 is basic. Perfect sincerity 

can penetrate all spirits. Without sincerity, the Way cannot be attained. 

Our nature comes from Heaven, but learning lies with man. Our 

nature develops from within, while learning enters into us from without. 

"It is due to our nature that enlightenment results from sincerity," 27 but 

it is due to learning that sincerity results from intelligence. 

The learning of a superior man aims precisely at enriching his personality. 

The rest, such as governing people and handling things, is all 

secondary. 

Without sincerity, one cannot investigate principle to the utmost. 

Sincerity is the controlling factor in one's nature. It is beyond space 

and time. 

He who acts in accordance with the Principle of Nature will have the 

entire process of creation in his grip. When the Principle of Nature is 

achieved, hot only his personality, but his mind also, are enriched. And 

not only his mind but his nature and destiny are enriched. To be in accord 

with principle is normal, but to deviate from principle is abnormal. 

(8B:25a-26a) 

28. When one can be happy or sad with things as though he were the 

things themselves, one's feelings may be said to have been aroused and 

to have acted to a proper degree. (8B:26a) 


24 Commentary in Huang-chi ching-shih shu, 8B:23b. 

25 The Chinese term for a priori existence literally means existence preceding 

Heaven. According to Yu Pen (1482-1529), Huang-chi-ching-shih shih-i (Explanation 

of the Meanings of the Supreme Principles Governing the World), 

1934 ed., 2:74a, it means existence before things came into existence. 

26 The Chinese word ch'eng means not only sincerity in the ordinary sense, 

but also absence of fault, seriousness, being true to one's real self, being true to 

the nature of things, actuality, and realness. 


493


29. We can handle things as they are if we do not impose our ego 

on them. The sage gives things every benefit and forgets his own ego. 

To let the ego be unrestrained is to give rein to feelings; to give rein 

to feelings is to be beclouded; and to be beclouded is to be darkened. To 

follow the natural principles of things, on the other hand, is to grasp 

their nature; to grasp their nature is to be in possession of spiritual 

power; and to possess spiritual power is to achieve enlightenment. 

(8B:27b) 

30. When the mind retains its unity and is not divided, it can respond 

to all things. Thus the mind of the superior man is vacuous (absolutely 

pure and peaceful) and is not disturbed. 

The Way is in all events, whether great or little. They conform to the 

Way when they are contented with their state of being. They violate the 

Way when they are in discord with their state of being. (8B:29a) 

31. The principles governing Heaven (Nature) and man are found in 

all events, great or little. It is the duty of man to cultivate his person, but 

whether he enjoys good fortune or suffers from evil fortune is up to 

Heaven. The way to obey Heaven is to remain undisturbed whether one 

succeeds or fails, but one disobeys Heaven when he takes to a dangerous 

course and hopes for luck. 28 It is the duty of man to seek, but whether he 

gets or not is up to Heaven. The way to obey Heaven is not to be disturbed 

whether he gets or not, but one violates the Principle of Nature 

if he tries to obtain by force. Calamity will fall on those who violate the 

Principle of Nature. (8B:31b) 

28 Paraphrasing The Mean, ch. 14. 

494

••• 30 ••• 

CHANG TSAI'S PHILOSOPHY OF 

MATERIAL FORCE 

LIKE OTHER Neo-Confucianists, Chang Tsai (Chang Heng-ch'ü, 1020- 

1077) drew his inspiration chiefly from the Book of Changes. But unlike 

Chou Tun-i (Chou Lien-hsi, 1017-1073) according to whom evolution 

proceeds from the Great Ultimate through the two material forces (yin 

and yang) and the Five Agents (Metal, Wood, Water, Fire, and Earth) 

to the myriad things, and unlike Shao Yung (1011-1077) according to 

whom evolution proceeds from the Great Ultimate through the two 

material forces and other stages to concrete things, Chang Tsai identifies 

material force (ch'i) with the Great Ultimate itself. He discards both 

yin and yang and the Five Agents as generative forces. To him, yin and 

yang are merely two aspects of material force, and as such are basically 

one. As substance, before consolidation takes place, material force is 

the Great Vacuity. As function, in its activity and tranquillity, integration 

and disintegration, and so forth, it is the Great Harmony. But the 

Great Vacuity and the Great Harmony are the same as the Way (Tao), 

the One. As contraction and expansion, the two aspects of material 

force are kuei-shen, or negative and positive spiritual forces. Here Chang 

replaces the traditional theory of spiritual beings or spirits of deceased 

persons and things with a completely rationalistic and naturalistic interpretation, 

and establishes a doctrine from which later Neo-Confucianists 

have never deviated. Also, believing existence to be perpetual integration 

and disintegration, he strongly attacked Buddhist annihilation and 

Taoist non-being. In this process of perpetual integration and disintegration, 

certain fundamental laws of the universe follow. Evolution 

abides by definite principles and has a certain order. Nothing is isolated. 

And yet everything is distinct from others. 

The universe is one but its manifestations are many. This is a fundamental 

idea in Chang Tsai, an idea that exercised a tremendous influence 

over his contemporaries and later Neo-Confucianists. As applied 

to the way of life, this idea becomes the concept of Heaven and Earth as 

universal parents and love for all in the "Western Inscription." This is 

one of the most celebrated essays in Neo-Confucian literature. Each 

human relation has its specific moral requirement, but love embraces 

them all. At the end, the man of love not only has affection for all men 

but identifies himself with Heaven and Earth. Here we have another 

fundamental idea of his, which has also exercised an extensive influence 

over his contemporaries and over later Neo-Confucianists. 

495

THE PHILOSOPHY OF MATERIAL FORCE 

Chang was a native of Ch'ang-an in modern Shensi, four years junior 

to Chou Tun-i. In his youth he loved military craft. As he was not satisfied 

with Confucian learning, he turned to study Buddhism and Taoism 

for years but finally returned to Confucian Classics, especially the Book 

of Changes and the Doctrine of the Mean, which eventually formed the 

basis of his own philosophy. When he lectured on the Book of Changes 

in the capital, his students included the outstanding Neo-Confucian 

scholar and statesman, Ssu-ma Kuang (1019-1086), and his two 

nephews, Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) and Ch'eng I 

(Ch'eng I-ch'uan, 1033-1107) who became his critics and central 

figures in the Neo-Confucian movement. In his political views, he was 

at odds with the reformer Wang An-shih (1021-1086), for he insisted 

on reviving ancient Confucian economic systems, including the "wellfield" 

system in which a field was divided into nine squares with eight 

families each cultivating one square separately for its own support and 

one square jointly for governmental revenues. He retired from minor 

governmental positions to teach in his home and actually attempted to 

have other scholars join him to put the "well-field" system into practice. 1 

Among Chang's works, the most important are the short treatise Hsiming 

(Western Inscription) and the longer one, Cheng-meng (Correcting 

Youthful Ignorance). The first in its entirety and the two most important 

chapters of the second are translated below, plus a selection from 

Chang's other works. A list of major topics and references is provided 

here for easy reference. 

Being and Non-being: 3, 4, 6, 7, 29, 63 

Buddhism and Taoism: 3, 4, 60, 61, 63, 64, 67 

Cosmology and Metaphysics: 5, 12, 13, 16, 17, 56-58 

Knowledge: 20, 25, 34, 47, 59 

Material force: 2-9, 16, 30, 36, 42, 43 

Mind: 9, 37, 59, 68 

Nature and Destiny: 3, 4, 9, 18, 25-33, 35, 37, 39, 40, 42, 43, 45, 46, 

51-53, 55, 61, 63 

One and Many: 3, 12-14, 17-19 

Physical nature: 40-43, 50, 59, 66 

1 Chang was son of a prefect. At twenty-one he wrote to and then saw the 

outstanding scholar official, Fan Chung-yen (989-1052), who told him to study 

the Doctrine of the Mean. This started his search from Confucianism through 

Buddhism and Taoism and back to Confucianism. He obtained a "presented 

scholar" degree in 1057 and was appointed a magistrate. In 1069 he pleased the 

emperor with his orthodox Confucian answers to questions on government and 

was appointed a collator in the imperial library. But he disapproved of the radical 

reforms of Wang An-shih, and eventually resigned. In 1077 he was a director 

of the board of imperial sacrifices but was unhappy and resigned. He became 

sick and died on his way home. See Sung shih (History of the Sung Dynasty, 

960-1279), PNP, 427:15b-18b and Bruce, Chu Hsi and His Masters, pp. 50-52. 

496

CHANG TSAI 

Principle: 3, 7, 22, 34, 35, 43, 48, 51, 54, 55, 61, 63, 65, 67 

Sincerity: 20-24, 54 

Spirit: 1, 8, 15, 16, 44 

Spiritual forces: 10, 11, 31, 56, 64 

Vacuity: 2-9, 16, 63 

Yin yang: 1-5, 10, 17, 18, 22, 31, 56 

A. THE WESTERN INSCRIPTION 2 

Heaven is my father and Earth is my mother, and even such a small 

creature as I finds an intimate place in their midst. 

Therefore that which fills the universe I regard as my body and that 

which directs the universe I consider as my nature. 

All people are my brothers and sisters, and all things are my companions. 

The great ruler (the emperor) is the eldest son of my parents (Heaven 

and Earth), and the great ministers are his stewards. Respect the aged 

—this is the way to treat them as elders should be treated. Show deep love 

toward the orphaned and the weak—this is the way to treat them as 

the young should be treated. The sage identifies his character with that 

of Heaven and Earth, and the worthy is the most outstanding man. Even 

those who are tired, infirm, crippled, or sick; those who have no brothers 

or children, wives or husbands, are all my brothers who are in distress 

and have no one to turn to. 3 

When the time comes, to keep himself from harm—this is the care of 

a son. To rejoice in Heaven and to have no anxiety—this is filial piety 

at its purest. 

He who disobeys [the Principle of Nature] violates virtue. He who 

destroys humanity is a robber. He who promotes evil lacks [moral] 

capacity. But he who puts his moral nature into practice and brings his 

physical existence into complete fulfillment can match [Heaven and 

Earth]. 

One who knows the principles of transformation will skillfully carry 

forward the undertakings [of Heaven and Earth], and one who penetrates 

spirit to the highest degree will skillfully carry out their will. 4 

Do nothing shameful in the recesses of your own house 5 and thus bring 

2 This is originally part of ch. 17 of the Cheng-meng. It was inscribed on the 

west window of Chang's lecture hall. There are several European translations, 

including an English version by Bodde, in Fung, History of Chinese Philosophy, 

vol. 2, pp. 493-495. The Chang Tzu ch'üan-shu (Complete Works of Master 

Chang), SPPY, is used in this and the following translations. 

3 For treating the young, the crippled, etc., see Mencius, 1A:7, 1B:5. 

4 Cf. The Mean, ch. 19. 

5 Quoting Odes, ode no. 256. The recesses refer to the northwest corner, the 

darkest in the house. 

497


no dishonor to them. Preserve your mind and nourish your nature and 

thus (serve them) with untiring effort. 

The Great Yü hated pleasant wine but attended to the protection and 

support of his parents. 6 Border Warden Ying brought up and educated 

the young and thus extended his love to his own kind. 7 

Shun's merit lay in delighting his parents with unceasing effort, 8 and 

Shen-sheng's reverence was demonstrated when he awaited punishment 

without making an attempt to escape. 9 

Tsang Shen received his body from his parents and reverently kept 

it intact throughout life, 10 while Po-ch'i vigorously obeyed his father's 

command. 11 

Wealth, honor, blessing, and benefits are meant for the enrichment of 

my life, while poverty, humble station, and sorrow are meant to help 

me to fulfillment. 

In life I follow and serve [Heaven and Earth]. In death I will be at 

peace. (1:1a-6b) 

Comment. Just as Chou Tun-i's short essay on the diagram of the 

Great Ultimate has become the basis of Neo-Confucian metaphysics, 

so Chang's "Western Inscription" has become the basis of 

Neo-Confucian ethics. Ch'eng I was not exaggerating when he said 

that there was nothing like it since Mencius. 12 It is important because, 

as Ch'eng I said, it deals with the substance of humanity 

(jen). 13 Its primary purpose, as Yang Shih (Yang Kuei-shan, 

1053-1135) pointed out, was to urge students to seek jen. 14 

The development of the concept of jen is a long and continuous 

one in the history of Confucianism. It progressed from Confucius' 

6 

Founder of the Hsia dynasty (r. 2183-2175 B.C.?). The story refers to 

Mencius, 4B:20. 

7 

The story is found in the Tso chuan (Tso's Commentary on the Spring and 

Autumn Annals), Duke Yin, 1st year. See Legge, trans., Ch'un Ts'ew, p. 4. 

8 Legendary sage-emperor (3rd millennium B.C.). The story refers to Mencius, 

4A:28. 

9 Heir-apparent of the state of Chin who committed suicide because he was 

falsely accused of attempting to poison his father, Duke Hsien (r. 676-651 B.C.). 

See Book of Rites, "T'an-kung," pt. 1 (Legge, trans., Li Ki, vol. 1, pp. 126-127). 

10 

Tseng Tzu (505-C.436 B.C.), pupil of Confucius, was well known for his 

filial piety. In the Book of Filial Piety (Hsiao ching), falsely attributed to him, 

it is said, "Our bodies—to every hair and bit of skin—are received by us from our 

parents, and we must not presume to injure or wound them." See Makre, trans., 

Hsiao King, p. 3. 

11 Yin Po-ch'i was a ninth century B.C. prince. He obediently accepted his 

father's expulsion of him at the instigation of his stepmother who wanted her 

own son to be the crown prince. See annotation on the eulogy at the end of ch. 79 

of the Ch'ien-Han shu (History of the Former Han dynasty, 206 B.C.-A.D. 8). 

12 13 

Chang Tzu ch'üan-shu, 15:1b. ibid., 15:1a. 

14 

Kuei-shan yü-lu (Recorded Sayings of Yang Shih), SPTK, 3:28a. 

498

CHANG TSAI 

doctrine of jen as the general virtue through jen as love in the Han 

times (206 B.C.-A.D. 220) to Han Yü's "universal love." 15 So far 

Confucian jen has been largely confined to the mundane world. 

Chang, however, extended it to encompass the entire universe. 

There is no doubt that the idea reflects Buddhist influence, for the 

object of moral consciousness in Buddhism is the entire realm of 

existence. Yang Shih thinks that Chang's doctrine comes from 

Mencius' saying, "The superior man . . . loves all things," 16 but 

"things" in the quotation refers only to living beings whereas 

Chang extended jen to cover the whole universe. The outcome of 

this extension is the doctrine of "forming one body with the universe"—an 

all-important doctrine throughout Neo-Confucianism. 

The question whether this universal love is similar to that of 

Buddhism and Moism raises an important issue; for if it were, it 

would destroy the orthodox Confucian doctrine of love with distinctions. 

17 Yang Shih himself objected that the essay deals only 

with the substance of jen but not its function, but as Ch'eng I explained 

to him, it is precisely in harmonizing substance and function 

that the "Western Inscription" is of great significance to Confucian 

ethics. Underlying the essay, according to Ch'eng, is Chang's epochshaking 

theory that "Principle is one but its manifestations are 

many." 18 The universal love, as Ch'en Ch'un (Ch'en Pei-hsi, 1153- 

1217) has observed, is not mere identification with all things, but 

the actual operation of principle which combines all as one. 19 It is 

principle that love should be universal (as substance), but it is 

also principle that there should be special affection for parents (as 

function) because they are the root of one's life. Thus the doctrine 

of universal love and that of the traditional Confucian doctrine of 

love with distinctions are harmonized. Yang Shih himself has said, 

"As we know, the principle is one, and that is why there is love. The 

functions are many, and that is why there is righteousness. . . . 

Since functions are different, the applications [of jen] cannot be 

without distinctions." 20 Or as Chu Hsi (1130-1200) put it: 

"There is nothing in the entire realm of creatures that does not 

regard Heaven as the father and Earth as the mother. This means 

that the principle is one. . . . Each regards his parents as his own 

parents and his son as his own son. This being the case, how can 

15 

See above, comment on ch. 21, sec. 2. 

16 

Mencius, 7A:45; Yang Shih, Kuei-shan yü-lu, 2:18b. 

17 

See above, ch. 3, comment on Mencius, Additional Selections, 3B:9. 

18 

I-ch'uan wen-chi (Collection of Literary Works by Ch'eng I), 5:12b, in 

ECCS. See below, ch. 32, sec. 2. 

19 20 

ibid., 1:9b. 

Kuei-shan yü-lu, 2:18b. 

499


principle not be manifested as many? . . . When the intense affection 

for parents is extended to broaden the impartiality that knows no 

ego, and absolute sincerity in serving one's parents leads to the 

understanding of the way to serve Heaven, then everywhere there 

is the operation that 'the principle is one but its manifestations are 

many.' 21 As Neo-Confucianists see it, there is a vast difference 

between Chang's doctrine and that of the Moists, for the latter 

recognizes no distinctions and therefore fails to understand function." 

22 

Actually the "Western Inscription" does not say anywhere that 

"the principle is one but its manifestations are many," and only five 

or six of its sentences can be taken to imply it. But in the view of Chu 

Hsi and others, the references to father, mother, and other human 

relations clearly point to differentiation. In any case, in the understanding 

of Neo-Confucianists, the "Western Inscription," in thus 

preserving the harmony of substance and function of jen and putting 

it on the metaphysical basis, carries the doctrine of jen to a 

level higher than before. It also paves the way for the culmination 

of Neo-Confucian theories of jen in Chu Hsi. 23 

B. CORRECTING YOUTHFUL IGNORANCE 24 

1. Great Harmony (ch. 1) 

1. The Great Harmony is called the Way (Tao, Moral Law). It 

embraces the nature which underlies all counter processes of floating 

and sinking, rising and falling, and motion and rest. It is the origin of 

the process of fusion and intermingling, of overcoming and being overcome, 

and of expansion and contraction. At the commencement, these 

processes are incipient, subtle, obscure, easy, and simple, but at the end 

they are extensive, great, strong, and firm. It is ch'ien (Heaven) that 

begins with the knowledge of Change, and k'un (Earth) that models 

after simplicity. That which is dispersed, differentiated, and capable of 

assuming form becomes material force (ch'i), 25 and that which is pure, 

21 Chu Hsi's commentary on the "Western Inscription," Chang Tzu ch'üan-shu, 

1:7a. 

22 ibid., 1:8a. 

23 See Chan, "The Evolution of the Confucian Concent of Jen," Philosophy 

East and West, 4 (1955), 305-308. Also see below, ch. 34, comment on treatise 

1; ch. 31, secs. 1 and 11; ch. 32, sec. 42; ch. 40, Introduction. 

24 This book is in seventeen chapters. There are many commentaries on it by 

prominent Neo-Confucianists. Some selected passages have been translated in 

de Harlez, L'École philosophique moderne de la Chine, pp. 36-76, and in Graf. 

Djin-si lu, passim. See above, n.2. 


500

CHANG TSAI 

penetrating, and not capable of assuming form becomes spirit. Unless the 

whole universe is in the process of fusion and intermingling like fleeting 

forces moving in all directions, it may not be called Great Harmony. 

When those who talk about the Way know this, then they really know 

the Way, and when those who study Change (or the Book of Changes) 

understand this, then they really understand Change. Otherwise, even 

though they possess the admirable talents of Duke Chou, 26 their wisdom 

is not praiseworthy. 

2. The Great Vacuity (Hsü) 27 has no physical form. It is the original 

substance of material force. Its integration and disintegration are but 

objectifications caused by Change. Human nature at its source is absolutely 

tranquil and unaffected by externality. When it is affected by contact 

with the external world, consciousness and knowledge emerge. Only 

those who fully develop their nature can unify the state of formlessness 

and unaffectedness, and the state of objectification and affectedness. 

3. Although material force in the universe integrates and disintegrates, 

and attracts and repulses in a hundred ways, nevertheless the 

principle (li) according to which it operates has an order and is unerring. 

As an entity, material force simply reverts to its original substance 

when it disintegrates and becomes formless. When it integrates and assumes 

form, it does not lose the eternal principle (of Change). 

The Great Vacuity of necessity consists of material force. Material 

force of necessity integrates to become the myriad things. Things of 

necessity disintegrate and return to the Great Vacuity. Appearance and 

disappearance following this cycle are a matter of necessity. When, in 

the midst [of this universal operation] the sage fulfills the Way to the 

utmost, and identifies himself [with the universal processes of appearance 

and disappearance] without partiality (i.e., lives the best life and takes 

life and death objectively), his spirit is preserved in the highest degree. 

Those (the Buddhists) who believe in annihilation expect departure 

without returning, and those (the Taoists) who cling to everlasting life 

and are attached to existence expect things not to change. While they 

differ, they are the same in failing to understand the Way. Whether integrated 

or disintegrated, it is my body just the same. One is qualified to 

discuss the nature of man when he realizes that death is not annihilation. 

Comment. As Chang Po-hsing (1651-1725) has noted, to say that 

death is not annihilation is dangerously close to Buddhist transmigration. 

He quickly points out, however, that what Chang meant 

26 

Duke Chou (d. 1044 B.C.) was greatly praised by Confucius. See Analects, 

8:11. 

27 


501


is neither Buddhist transmigration nor Taoist immortality on earth 

but the indestructibility of material force whether it is integrated 

or disintegrated. What is not annihilated, then, is not the person 

but principle, according to which material force operates. 28 

4. When it is understood that the Vacuity, the Void, is nothing but 

material force, then existence and nonexistence, the hidden and the 

manifested, spirit and eternal transformation, and human nature and 

destiny are all one and not a duality. He who apprehends integration and 

disintegration, appearance and disappearance, form and absence of 

form, and trace them to their source, penetrates the secret of Change. 

If it is argued that material force is produced from the Vacuity, then 

because the two are completely different, the Vacuity being infinite while 

material force is finite, the one being substance and the other function, 

such an argument would fall into the naturalism of Lao Tzu who claimed 

that being comes from non-being and failed to understand the eternal 

principle of the undifferentiated unity of being and non-being. If it is 

argued that all phenomena are but things perceived in the Great Vacuity, 

then since things and the Vacuity would not be mutually conditioned, 

since the physical form and the nature of things would be selfcontained, 

and since these, as well as Heaven and man, would not be 

interdependent, such an argument would fall into the doctrine of the 

Buddha who taught that mountains, rivers, and the total stretch of land 

are all subjective illusions. This principle of unity is not understood because 

ignorant people know superficially that the substance of the nature 

of things is the Vacuity, the Void, but do not know that function is based 

on the Way of Heaven (Law of Nature). Instead, they try to explain the 

universe with limited human knowledge. Since their undertaking is not 

thorough, they falsely assert that the universal operation of the principles 

of Heaven and Earth is but illusory. They do not know the essentials 

of the hidden and the manifest, and jump to erroneous conclusions. They 

do not understand that the successive movements of the yin and the yang 

(passive and active cosmic forces) cover the entire universe, penetrate 

day and night, 29 and form the central standard of Heaven, Earth, and man. 

Consequently they confuse Confucianism with Buddhism and Taoism. 

When they discuss the problems of the nature (of man and things) and 

their destiny or the Way of Heaven, they either fall into the trap of illusionism 

or are determined that being comes from non-being, and re- 

28 Chang Po-hsing's commentary on the Cheng-meng in Chang Heng-ch'ü chi 

(Collected Works of Chang Tsai), Cheng-i-t'ang ch'üan-shu (Complete Library 

of the Hall of Rectifying the Way) ed., 2:4a. 

29 Paraphrasing Changes, "Appended Remarks," pt. 1, ch. 4. Cf. Legge, trans., 

Yi King, "Appended Remarks," p. 354. 

502

CHANG TSAI 

gard these doctrines as the summit of philosophical insight as well as 

the way to enter into virtue. They do not know how to choose the proper 

method for their investigation. This clearly shows they are obscured by 

one-sided doctrines and fall into extremes. 

5. As the Great Vacuity, material force is extensive and vague. Yet 

it ascends and descends and moves in all ways without ever ceasing. This 

is what is called in the Book of Changes "fusion and intermingling" 30 

and in the Chuang Tzu "fleeting forces moving in all directions while all 

living beings blow against one another with their breath." 31 Here lies the 

subtle, incipient activation of reality and unreality, of motion and rest, 

and the beginning of yin and yang, as well as the elements of strength 

and weakness. Yang that is clear ascends upward, whereas yin that is 

turbid sinks downward. As a result of their contact and influence and of 

their integration and disintegration, winds and rains, snow and frost 

come into being. Whether it be the countless variety of things in their 

changing configurations or the mountains and rivers in their fixed forms, 

the dregs of wine or the ashes of fire, there is nothing (in which the principle) 

is not revealed. 

6. If material force integrates, its visibility becomes effective and 

physical form appears. If material force does not integrate, its visibility 

is not effective and there is no physical form. While material force is integrated, 

how can one not say that it is temporary? While it is disintegrated, 

how can one hastily say that it is non-being? For this reason, the 

sage, having observed phenomena and examined above and below, only 

claims to know the causes of what is hidden and what is manifest but 

does not claim to know the causes of being and non-being. 

What fills the universe is but molds and forms (copies). With our 

insight (or clarity of mind), the system and principles of the universe 

cannot be examined. When there are physical forms, one may trace back 

to the causes of that which is hidden, and when there is no physical form, 

one may trace back to the cause of that which is manifested. 

7. The integration and disintegration of material force is to the Great 

Vacuity as the freezing and melting of ice is to water. If we realize that 

the Great Vacuity is identical with material force, we know that there is 

no such thing as non-being. Therefore, when discussing the ultimate 

problems of the nature of things and the Way of Heaven, the sage limits 

himself to the marvelous changes and transformations of yin and yang 

and the Five Agents (of Metal, Wood, Water, Fire, and Earth). The 

doctrine of those superficial and mistaken philosophers who draw the 

30 ibid., pt. 2, ch. 5. Cf. Legge, p. 393. 

31 Chuang Tzu, ch. 1, NHCC, 1:2b. See Giles, trans., Chuang Tzu, 1961 ed., p. 27. 

503


distinction between being and non-being is not the way to investigate 

principle to the utmost. 

Comment. Chang's theory of material force exercised considerable 

influence on Wang Fu-chih (Wang Ch'uan-shan, 1619-1692), 

whose philosophy of principle as inherent in material force is as 

materialistic as the philosophy of Chang. It is easily understandable 

why Wang was an admirer of Chang but a severe critic of Chu Hsi 

and Ch'eng I, who contrasted principle and material force too 

sharply to suit him. As to Chang's own theory of material force, he 

has never explained why some is clear and some is turbid. Neither 

has he made his idea of the nature clear. For these, we have to wait 

till Ch'eng and Chu. 

8. The Great Vacuity is clear. Being clear, it cannot be obstructed. 

Not being obstructed, it is therefore spirit. The opposite of clearness is 

turbidity. Turbidity leads to obstruction. And obstruction leads to physical 

form. When material force is clear, it penetrates; and when it is 

turbid, it obstructs. When clearness reaches its limit, there is spirit. When 

spirit concentrates, it penetrates like the breeze going through the holes 

(of musical instruments), producing tones and carrying them to great 

distances. This is the evidence of clearness. As if arriving at the destination 

without the necessity of going there, penetration reaches the highest 

degree. 

9. From the Great Vacuity, there is Heaven. From the transformation 

of material force, there is the Way. In the unity of the Great Vacuity and 

material force, there is the nature (of man and things). And in the unity 

of the nature and consciousness, there is the mind. 32 

Comment. Although Chang made it quite clear that the Great Vacuity 

is identical with material force (before its integration) and is 

nothing like the Taoist non-being, still the concept is too Taoistic to 

be acceptable to Neo-Confucianists, for vacuity is a typical and 

prominent Taoist concept. 33 Ch'eng I thought that reality should 

not be described simply as clear and vacuous, but should also be 

considered turbid and substantial. 34 Chu Hsi thought that to describe 

reality purely as integration and disintegration of material 

force would be to view it as a great process of transmigration. 35 

These criticisms are by no means unfair. There is no doubt that 

Chang's materialistic philosophy tends to be one-sided and me- 

32 

For Chu Hsi's criticism of this idea, see below, ch. 34, sec. 80. 

33 

Hsün Tzu did use the term hsü but he used it to describe a state of mind 

(Hsün Tzu, ch. 21, SPTK, 15:7b. See Dubs, trans., Works of Hsüntze, p. 267). 

34 35 

Chang Tzu ch'üan-shu, 2: 1a. 

ibid., 2:1b. 

504

CHANG TSAI 

chanical. At any rate, his philosophy of vacuity has never been 

propagated by any later Neo-Confucianist. 

10. The negative and positive spiritual forces (kuei-shen) 36 are the 

spontaneous activity of the two material forces (yin and yang). Sagehood 

means absolute sincerity 37 forming a unity with Heaven, and spirit 

means the Great Vacuity in its wondrous operation and response. All 

molds and forms in the universe are but dregs of this spiritual transformation. 

Comment. This is a completely new interpretation of kuei and shen. 

The rationalistic approach to kuei-shen, which had meant spiritual 

beings, is evident in the Book of Changes, 38 but no one before 

Chang had understood kuei-shen as the spontaneous activity of 

material force and incorporated the concept into a coherent metaphysical 

system. 

11. The Way of Heaven is infinite but does not go beyond the succession 

of summer and winter [for example]. The activities of things are 

infinite but do not go beyond expansion and contraction. The reality 

of the negative and positive spiritual forces does not go beyond these 

two fundamental elements (of yin and yang). 

12. If yin and yang do not exist, the One (the Great Ultimate) 39 cannot 

be revealed. If the One cannot be revealed, then the function of the 

two forces will cease. Reality and unreality, motion and rest, integration 

and disintegration, and clearness and turbidity are two different substances. 

In the final analysis, however, they are one. 

13. Only after [the One] is acted upon will it begin to penetrate 

[through yin and yang]. Without the two forces there cannot be the One. 

Hence the sage establishes the two principles of strength and weakness as 

the foundation of things. "If ch'ien and k'un are obliterated, there would 

be no means of seeing the system of Change." 40 

14. Material force moves and flows in all directions and in all manners. 

Its two elements unite and give rise to the concrete. Thus the 

multiplicity of things and human beings is produced. In their ceaseless 

successions the two elements of yin and yang constitute the great principles 

of the universe. 

15. "The sun and moon push each other in their course and thus light 

36 For a discussion of these terms, see Appendix. See also secs. 11 and 56. 

37 The word ch'eng means more than sincerity in the ordinary sense. It means 

absence of fault, seriousness, being true to one's nature and the nature of things, 

actuality, reality, etc. 


39 Chu Hsi is followed in this interpretation. 

40 Changes, ibid., ch. 12. Cf. Legge, p. 377. 

505


appears. The winter and summer push each other and thus the year is 

completed." 41 Spirit has no spatial restrictions and Change has no physical 

form. 42 "The successive movement of yin and yang" and "unfathomable 

is the movement of yin and yang." 43 These describe the way in 

which day and night are penetrated. 

16. Day and night are but a moment of the universe, and winter and 

summer but its day and night. According to the Way of Heaven, material 

force changes as spring and autumn succeed each other, just as 

man's soul exists in different states between waking and sleeping hours. 

In such alternating states, dreams are completed and a great variety of 

feelings are expressed in utter confusion. This and the contrasting waking 

hours constitute the day and night of a person. Material force enters into 

a new state in the spring and the myriad things flourish in profusion. 

This and its contrasting autumn constitute the day and night of Heaven. 

In its original state of Great Vacuity, material force is absolutely tranquil 

and formless. As it is acted upon, it engenders the two fundamental 

elements of yin and yang, and through integration gives rise to forms. 44 

As there are forms, there are their opposites. These opposites necessarily 

stand in opposition to what they do. Opposition leads to conflict, which 

will necessarily be reconciled and resolved. Thus the feelings of love 

and hate are both derived from the Great Vacuity, and they ultimately 

result in material desires. Suddenly to bring into existence and promptly 

to bring to completion without a moment's interruption—this is indeed 

the wonderful operation of spirit. 

17. No two of the products of creation are alike. From this we know 

that although the number of things is infinite, at bottom there is nothing 

without yin or yang [which differentiate them]. From this we know also 

that the transformations and changes in the universe are due to these two 

fundamental forces. 

18. The multiple forms and appearances of the myriad things are the 

dregs of spirit. The nature and the Way of Heaven are but Change. The 

mind varies and differs in a thousand ways because it is acted on by the 

external world in various ways. Heaven is vast and there is nothing outside 

of it. What acts on the mind are the two fundamental processes of 

fusion and intermingling. 

19. In the mutual interaction of things, it is impossible to know the 

41 ibid., pt. 2, ch. 5 Cf. Legge, p. 389. 

42 Paraphrasing ibid., pt. 1, ch. 4. Cf. Legge, p. 354. 

43 ibid., ch. 5. Cf. Legge, pp. 355, 357. 

44 Generally referring to physical forms and specifically referring to the Four 

Secondary Forms or Modes variously identified as Metal, Wood, Water, and Fire, 

or yin, yang, strength, and weakness, or major and minor yang and major and 

minor yin. 

506

CHANG TSAI 

directions of their operation and of their appearance and disappearance. 

This is the wonder that lies in all things. These are principles by which 

material force and the will, as well as Heaven and man, overcome each 

other. When the sage-ruler reigns above, all his subjects follow his good 

example. This demonstrates the principle that when material force is 

concentrated and acts, it moves the will. When the male and female 

phoenix arrive and perform their ceremonial dance (peace and order 

prevail). 45 This demonstrates the principle that when the will concentrates 

and acts, it moves material force. (SPPY, 2:1b-5b) 

2. Enlightenment Resulting from Sincerity (ch. 6) 

20. Knowledge gained through enlightenment which is the result of 

sincerity 46 is the innate knowledge 47 of one's natural character. It is not 

the small knowledge of what is heard or what is seen. 48 

21. When the Way of Heaven [or principle] and the nature of man 

[or desires] 49 function separately, there cannot be sincerity. When there 

is a difference between the knowledge obtained by following (the Way 

of) Heaven and that obtained by following (the nature of) man, there 

cannot be perfect enlightenment. What is meant by enlightenment resulting 

from sincerity is that in which there is no distinction between 

the Way of Heaven as being great and the nature of man as being small. 

22. When moral principles and human destiny are united in harmony, 

they will be preserved and abide in principle. When humanity and wisdom 

are united in harmony, they will be preserved and abide in the 

sage. When activity and tranquillity are united in harmony, they will be 

preserved and abide in spirit. When yin and yang are united in harmony 

they will be preserved and abide in the Way. And when the nature of 

man and the Way of Heaven are united in harmony, they will be preserved 

and abide in sincerity. 

23. Sincerity is the way according to which heaven can last for long 

45 According to ancient beliefs, the appearance of these mystical birds is a 

good omen that right principles are going to triumph in the world. See History, 

"I and Chi." Cf. Legge, trans., Shoo King, p. 88. Confucius said, "The Phoenix 

does not come. It is all over with me." (Analects, 9:8) 

46 This phrase is derived from The Mean, ch. 21. 

47 The term liang-chih is from Mencius, 7B:15. It means native knowledge of 

the good. 

48 See also sec. 59. 

49 The interpretation here follows Wang Fu-chih, Chang Tzu cheng-meng chu 

(Commentary on the Correcting Youthful Ignorance by Master Chang), 3:6b, in 

Ch'uan-shan i-shu (Surviving Works of Wang Fu-chih), 1933 ed. Liu Chi (fl. 

1513), however, did not contrast Heaven and man so sharply. To him Heaven 

meant principle as it originally is and man meant imperfect realization of principle. 

See his Cheng-meng hui-kao (Commentary on the Correcting Youthful 

Ignorance Drafted at a Meeting), Hsi-yin-hisen ts'ung-shu (Hall of Being-Carefulwith-Time 

Collection) ed., 2:6b. 

507


and is unceasing. The reason why the man of humanity and the filial 

son can serve Heaven and be sincere with himself is simply that they are 

unceasing in their humanity and filial piety. Therefore for the superior 

man sincerity is valuable. 

24. Sincerity implies reality. 50 Therefore it has a beginning and an 

end. Insincerity implies absence of reality. How can it have a beginning 

or end? Therefore it is said, "Without sincerity, there will be nothing." 51 

25. By "sincerity resulting from enlightenment" 52 is meant to develop 

one's nature fully through the investigation of things to the utmost, 

and by "enlightenment resulting from sincerity" 53 is meant to 

investigate things to the utmost through fully developing one's nature. 

26. One's nature is the one source of all things and is not one's own 

private possession. It is only the great man who is able to know and 

practice its principle to the utmost. Therefore, when he establishes himself, 

he will help others to establish themselves. He will share his 

knowledge with all. He will love universally. When he achieves something, 

he wants others to achieve the same. As for those who are so 

obstructed themselves [by selfishness] 54 as not to understand this principle 

of mine, nothing can be done. 

27. Nature connotes what one can do by natural endowment. Ability 

connotes what one can do through his own planning. In fully developing 

his nature, the great man does not consider the ability endowed 

by Heaven to be ability but considers man's planning to be ability. 

This is why it is said, "Heaven and earth have their fixed positions and 

the sages are able to carry out and complete their abilities." 55 

28. Only through fully developing one's nature can one realize that 

he possesses nothing in life and loses nothing at death. 

29. There has never been any substance which is nonexistent. Nature 

means examining and practicing the substance. 

30. Nature endowed by Heaven completely permeates the Way. It 

cannot be obscured by the material force (one's physical nature) 

whether it is clear or dark. What has been decreed by Heaven (ming, 

destiny, fate) completely permeates one's nature. It cannot be destroyed 

by one's fortune, whether it is good or evil. If they are obscured or destroyed, 

it is because one has neglected to learn. Nature permeates beyond 

the material force and destiny operates within the material force. 

But the material force is neither internal nor external. We speak in this 

50 Ch'eng means both being real and being sincere. 

52 

ibid., ch. 21. 


53 ibid. 

54 According to Chiang Yung (1681-1762), the obstruction means that one only 

thinks of himself. See his Chin-ssu lu chi-chu (Collected Commentaries on the 

Reflections on Things at Hand), SPPY, 1:17b. 


508

CHANG TSAI 

way only because it temporarily assumes physical form. Therefore those 

who wish to know [the way of] man must know [the nature endowed by] 

Heaven. Only when one has fully developed his nature can one fulfill his 

destiny. 

31. If one knows his nature and Heaven, then [all the operations] 

of yin and yang and negative and positive spiritual forces are all part 

of my lot. 

32. The Heavenly endowed nature in man is comparable to the 

nature of water in ice. It is the same whether the ice freezes or melts. 

Water's reflection of light may be much or little, dark or bright, but in 

receiving the light, it is the same in all cases. 

33. The innate ability endowed by Heaven is fundamentally my own 

innate ability. Only I may have lost some of it. 

Comment. Wang Fu-chih has observed that whereas Mencius 

stressed both innate ability and innate knowledge, 56 Chang stressed 

only innate ability and Wang Yang-ming later stressed only innate 

knowledge. 57 

34. Those who understand the higher things return to the Principle 

of Nature (T''ien-li, Principle of Heaven) while those who understand 

lower things 58 follow human desires. 

Comment. Chang was the first Confucianist to have made a clearcut 

distinction between the Principle of Nature and human desires. 

The sharp distinction was maintained through Sung (960-1279) 

and Ming (1368-1644) Neo-Confucianism until Ch'ing (1644- 

1912) Confucianists vigorously revolted against it. 

35. It is the function of nature to combine. In so doing it unites the 

two. 59 It is the function of destiny to receive. In receiving it follows spe- 


57 Wang Fu-chih, Chang Tzu cheng-meng chu, 3:10b. 


59 Just what "the two" are is not clear. As Huang Po-chia (fl. 1695) has pointed 

out, scholars from Chu Hsi down have found this puzzling. Huang understood 

"the two" in the sense of destiny, on the one hand, and nature, on the other. That 

is, despite the inequalities in men's destinies, everyone can fulfill his destiny if 

he fully develops his nature, since it is the embodiment of principle and combines 

all. See Huang Tsung-hsi (1610-1695), et al., Sung-Yüan hsüeh-an (Anthology 

and Critical Accounts of the Neo-Confucianists of the Sung and Yüan 

Dynasties, 960-1368), SPPY, 17:20b. According to Liu Chi, the nature combines 

all principles and the two means multiplicity (Cheng-meng hui-kao, 2:12a). To 

Li Kuang-ti (1642-1718), "the two" refers to yin and yang, weak and strong, 

humanity and righteousness. (Cheng-meng chu, or Commentary on the Correcting 

Youthful Ignorance, Jung-ts'un ch'üan-shu, or Complete Works of Li Kuangti 

ed., 1:46b.) Ch'ien Mu, however, offered probably the best explanation when 

he said "the two" refers to Great Vacuity and material force, for it is said in 

509


cific principles. If the fundamental principle of combining (the highest 

good) 60 is not applied to the utmost, the lot received cannot be perfectly 

understood. When in the full development of my nature and the investigation 

of things to the utmost there are things that cannot be changed, 

they would be in accord with principles applied to me. Destiny is that 

whose operation even Heaven cannot stop, and the nature of man is 

necessarily affected by the external world. Therefore the sage does not 

allow what he should worry about (the state of affairs that affects his 

nature) to be confused with what he should not worry about (the natural 

operation of destiny). There is the principle of assisting [Heaven] in its 

task of production and bringing things to perfection. That depends on 

me. 

36. Stillness and purity characterize the original state of material 

force. Attack and seizure characterize it when it becomes desire 

[upon contact with things]. The relation between the mouth and the 

stomach on the one hand and food on the other, and between the nose 

and tongue on the one hand and smell and taste on the other are all 

cases of [physical] nature's attacking and seizing. He who understands 

virtue will have a sufficient amount, that is all. He will not allow 

sensual desires to be a burden to his mind, the small to injure the great, 

or the secondary to destroy the fundamental. 

37. If one's mind can fully develop one's nature, it shows that "it is 

man that can make the Way great." If one's nature does not know how to 

discipline one's mind, it shows that "it is not the Way that can make 

man great." 61 

38. One who can fully develop his nature can also develop the nature 

of other people and things. He who can fulfill his destiny can also fulfill 

the destiny of other people and things, 62 for the nature of all men and 

things follows the Way and the destiny of all men and things is decreed 

by Heaven. I form the substance of all things 63 without overlooking any, 

and all things form my substance, and I know that they do not overlook 

anything. Only when one fulfills his destiny can he bring himself and 

things into completion without violating their principle. 

39. To consider what is inborn as one's nature is to fail to penetrate 

to a knowledge of the course of day and night. 64 Furthermore, that doc- 

sec. 9 that in the unity of these two there is nature. See his "Cheng-meng ta-i fawei" 

(Revealing the Subtleties of the Great Principles of the Correcting Youthful 

Ignorance), Ssu-hsiang yü shih-tai (Thought and the Age), 48 (1947), p. 13. 

60 According to Chang Po-hsing's commentary in Chang Heng-ch'ü chi, 3:6b. 

61 Both quotations in this section are from Analects, 15:28. 

62 Cf, The Mean, ch. 22. 

63 See n.83. 

64 Paraphrasing Changes, "Appended Remarks," pt. 1, ch. 4. Cf. Legge, p. 354. 

510

CHANG TSAI 

trine considers man and things to be equal. Therefore the mistake of 

Kao Tzu 65 must not be left unrefuted. 

40. Nature in man is always good. It depends on whether man can 

skillfully return to it or not. To exceed the transforming operation of 

Heaven and Earth (such as food and sex) means not to return skillfully. 

Destiny in man is always correct. It depends on whether or not one obeys 

it. If one takes to dangerous courses and hopes for good luck, he is not 

obeying his destiny. 66 

41. With the existence of physical form, there exists physical nature. 

If one skillfully returns to the original nature endowed by Heaven and 

Earth, then it will be preserved. Therefore in physical nature there 

is that which the superior man denies to be his original nature. 67 

Comment. Chu Hsi said, "The doctrine of physical nature originated 

with Chang and Ch'eng (Ch'eng I). It made a tremendous 

contribution to the Confucian School and is a great help to us 

students. None before them had enunciated such a doctrine. Hence 

with the establishment of the doctrine of Chang and Ch'eng, the 

theories [of human nature] of all previous philosophers collapse." 68 

Chu Hsi is correct because for the first time Confucianism has 

found an at least tentatively satisfactory answer to the question of 

evil. Mencius gave no answer because he merely put the responsibility 

on man himself. Han and T'ang (618-907) Confucianists 

ascribed evil to feelings, but they never explained why feelings 

should be evil. There was no convincing answer until Chang, and 

his answer is physical nature. 

In his theory, Reality is one but its manifestations are many. In 

the state of differentiatedness, there is bound to be opposition, discrimination, 

conflict, and imbalance. These characteristics are attendant 

in one's endowment of physical nature by the very fact 

of its differentiatedness. Such imbalance leads to excess in the 

natural transformation process, that is, deviation from the Mean, 

and that is evil. It is not that physical nature as such is evil, for that 

would be following the Buddhist doctrine that the world is an illusion. 

Rather, in the physical nature is the occasion for evil, and 

how to use this occasion depends on man. 69 


66 Cf. The Mean, ch. 14. 

67 Cf. Mencius, 7B:24. Physical nature means the nature of man and things conditioned 

by the material force and concrete stuff of the universe. 

68 Chu's commentary on the Cheng-meng, Chang Tzu ch'üan-shu, 2:19a. Also 

Chu Tzu yü-lei, 4:15a. 

69 See Chan, "The Neo-Confucian Solution to the Problem of Evil," Studies 

Presented to Hu Shih on His Sixty-fifth Birthday, pp. 780-783. 

511


42. Man's strength, weakness, slowness, quickness, and talent or lack 

of talent are due to the one-sidedness of the material force. Heaven 

(Nature) is originally harmonious and not one-sided. If one cultivates 

this material force and returns to his original nature without being onesided, 

one can then fully develop his nature and [be in harmony with] 

Heaven. Before man's nature is formed, good and evil are mixed. Therefore 

to be untiring in continuing the good which issues [from the Way] 70 

is good. If all evil is removed, good will also disappear [for good and evil 

are relative and are necessary to reveal each other]. Therefore avoid 

just saying "good" but say, "That which realizes it (the Way) is the 

individual nature." 71 

43. When moral character does not overcome the material force, our 

nature and destiny proceed from the material force. But when moral 

character overcomes the material force, then our nature and destiny 

proceed from moral character. If one investigates principle to the utmost 

and fully develops his nature, then his nature will be in accord 

with the character of Heaven and his destiny will be in accord with the 

Principle of Heaven (Nature). Only life, death, and longevity and brevity 

of life are due to the material force and cannot be changed. 

Therefore, in discussing life and death, [Confucius said] that they "are 

the decree of Heaven," referring to material force, and in discussing 

wealth and honor he said that they "depend on Heaven" 72 referring to 

principle. This is why a man of great virtue (the sage ruler) always receives 

the Mandate of Heaven (T'ien-ming). He is in accord with the 

easy and simple Principle of Heaven and Earth, and occupies the central 

position in the universe. What is meant by the Principle of Heaven is the 

principle which can make the hearts of all people happy and give free 

expression to the will of the whole world. As it can make the world 

happy and free in their expression, the world will all turn to him. If some 

do not do so, it would be because of differences in circumstances and 

opportunities, as in the cases of Confucius [who never had a chance to 

be a ruler] and those rulers who succeeded [sage rulers in spite of their 

own wickedness]. 

[Confucius said,] "Shun and Yü held possession of the empire as if it 

were nothing to them." 73 This was because they achieved the Principle 

of Heaven through moral effort and not because they were entitled to 

rule because of their endowment in physical nature or because they obtained 

it through their ambition. Shun and Yü were mentioned by Confucius 

because the rest of the rulers did not come to the throne through 

natural tendencies but because they sought it. 

70 Changes, "Appended Remarks" pt. 1, ch. 5. Cf. Legge, p. 356. 

71 Quoting Changes, ibid. 72 Analects, 12:5. 73 Analects, 8:18. 

512

CHANG TSAI 

44. Spirit moves smoothly, whereas a material object is obstructed. 

Therefore because of their physical form wind and thunder cannot be as 

quick as the mind. However, the mind is limited by what one sees and 

hears and is therefore not as great as the nature. 

45. Because they have departed from their nature too far, the most 

intelligent and the most stupid cannot change. 74 

46. If one removes even the slightest evil, goodness will become his 

nature. If he fails to detect evil completely, although his nature is good, 

it will become impure. 

47. "Without awareness or knowledge, follow the principle of the 

Lord." 75 If one does so consciously or knowingly, one will lose the 

[Principle of] Heaven. What belongs to the nature of the superior man 

forms the same current with Heaven and Earth. He merely acts differently 

[from the ordinary man]. 

48. By "being on the left and on the right of the Lord" 76 is meant to 

understand the Principle of Heaven whether one is on the left or on the 

right. The Principle of Heaven operates according to the circumstances 

of time and according to moral principle. When a superior man teaches 

others, he presents the Principle of Heaven and explains it to them. 

In his own conduct, he follows the Principle of Heaven according to the 

circumstances of the time. 

49. Peace and joy are the beginning of the Way. Because it is peaceful, 

it can be great, and because it is joyous, it can be lasting. The nature 

of Heaven and Earth is nothing other than being great and lasting. 

50. Everything is due to Heaven. If yang that is clear dominates, 

one's moral nature will function. If yin that is turbid dominates, one's 

material desires will have their way. To "remove evil and complete the 

good" 77 surely depends on learning. 

51. Can a person who is not sincere [within] and grave [without] be 

said to be able to develop his nature fully and investigate principle to the 

utmost? The character of one's nature is never insincere or disrespectful. 

Therefore, I know that he who is not free from insincerity or disrespect 

does not know his nature. 

52. If effort is needed to be sincere or grave, that is not our nature. 

To be sincere or grave without effort may be said of the superior man who 

"is truthful without any words" and "does not resort to anger and the 

people are awed." 78 

53. If one is upright in his life and follows principle, then all his 

74 See above, ch. 2, comments on Analects, 17:2-3. 

75 Odes, ode no. 241. 76 ibid., ode no. 235. 

77 Book of Rites, "Confucius at Home at Leisure." Cf. Legge, trans., Li Ki, vol. 

2, p. 271. 


513


good and evil fortunes are correct. If one is not upright in his life, either 

he enjoys blessings that are evil or he shirks from danger. 

54. "Contraction and expansion act on each other and thus advantages 

are produced." 79 This is so because they are influenced by sincerity. 

"Truthfulness and insincerity act on each other and advantages 

and disadvantages are produced." 80 This is so because insincerity is 

mixed with sincerity. A person with perfect sincerity obeys principle and 

finds advantages, whereas a man of insincerity disobeys principle and 

meets harm. If one obeys the principle of nature and destiny, then all 

the good and evil fortunes are correct. If one violates principle, then 

evil fortune is of his own choice and good fortune is luck obtained by 

taking to a dangerous course. 

55. "Everything is destiny. A man should accept obediently what is 

correct [in his destiny]." 81 If one obeys the principles of his nature and 

destiny, he will obtain what is correct in them. If one destroys principle 

and indulges in desires to the limit, he will be inviting evil fortune. 

(SPPY, 2:17a-21a) 

C. ADDITIONAL SELECTIONS FROM THE WORKS 

OF CHANG TSAI 

56. The life of animals is based on heaven [for their heads tend upward]. 

Their transition from integration to disintegration depends on 

their inhalation and exhalation of breath. The life of plants is based on 

earth [for their roots grow downward]. Their transition from integration 

to disintegration depends on the rise and fall of yin and yang. When a 

thing first comes into existence, material force comes gradually into 

it to enrich its vitality. As it reaches its maturity, material force 

gradually reverts to where it came from, wanders off and disperses. Its 

coming means positive spiritual force (shen), because it is expanding 

(shen). Its reversion means negative spiritual force (kuei), because it 

is returning (kuei). (Cheng-meng, ch. 5, Chang Tzu ch'üan-shu, SPPY, 

2:16a) 

57. In the process of production, some things come first and some 

afterward. This is Heaven's sequence. They coexist and contrast one 

another in their different sizes and levels. This is Heaven's orderliness. 

In the production of things, there is sequence, and in their existence in 

physical forms, there is orderliness. Only when sequence is understood 


80 ibid., ch. 12. Cf. Legge, p. 405. 

81 Mencius, 7A:2. See above, ch. 3, comment on Mencius, Additional Selections, 

7A:1. 

514

CHANG TSAI 

will moral principles be correct, and only when orderliness is understood 

will the principle of propriety operate. (ch. 5, SPPY, 2:16b) 

58. According to principle nothing exists alone. Unless there are 

similarity and difference, contraction and expansion, and beginning and 

end among things to make it stand out, it is not really a thing although it 

seems to be. To become complete (to attain individuality), a thing must 

have a beginning and an end. But completion cannot be achieved unless 

there is mutual influence between similarity and difference (change) and 

between being and non-being (becoming). If completion is not achieved, 

it is not really a thing although it seems to be. Therefore it is said, "Contraction 

and expansion act on each other and thus advantages are produced." 

82 (ibid.) 

59. By enlarging one's mind, one can enter into all the things in the 

world [to examine and understand their principle]. 83 As long as anything 

is not yet entered into, there is still something outside the mind. 

The mind of ordinary people is limited to the narrowness of what is seen 

and what is heard. The sage, however, fully develops his nature and does 

not allow what is seen or heard to fetter his mind. He regards everything 

in the world to be his own self. This is why Mencius said that if one 

exerts his mind to the utmost, he can know nature and Heaven. 84 

Heaven is so vast that there is nothing outside of it. Therefore the mind 

that leaves something outside is not capable of uniting itself with the 

mind of Heaven. Knowledge coming from seeing and hearing is knowledge 

obtained through contact with things. It is not knowledge obtained 

through one's moral nature. Knowledge obtained through one's moral 

nature does not originate from seeing or hearing. (ch. 7, SPPY, 2:21a) 

60. The Buddhists do not understand destiny decreed by Heaven and 

think that the production and annihilation of the universe are due to the 

elements of existence (dharmas) created by the mind. They regard the 

small (human consciousness) as the cause of the great (reality), and 

the secondary as the cause of the fundamental. Whatever they cannot 

understand thoroughly, they regard as illusion or error. They are indeed 

[summer insects] which doubt the existence of ice. (ibid., 2:22b) 

61. Confucianists investigate principle and therefore can follow their 

nature. This constitutes the Way. Buddhists, on the other hand, do not 

know how to investigate principle and arbitrarily consider [Emptiness] 


83 Chu Hsi's interpretation. In his commentary, Chu Hsi says t'i-wu here means 

entering into things, unlike the term in sec. 38 and in The Mean, 16 (see above, 

ch. 5, n.25), where it means forming the substance of things. Some commentators, 

Wang Fu-chih, for example, prefer the latter meaning here. Both meanings are 

possible. 


515


as the true nature. Consequently their theory cannot prevail. (ch. 8, 

SPPY, 2:26a) 

62. In one's words there should be something to teach others. In 

one's activities there should be something to serve as model for others. In 

the morning something should be done. In the evening something should 

be realized. At every moment something should be nourished. And in 

every instant something should be preserved. (ch. 12, SPPY, 3:9a) 

63. It is according to one's nature that being and non-being, and 

reality and unreality pervade a thing. If they are not united as one, 

nature cannot be developed fully. Food and sex are both nature. How 

can they be obliterated? Thus being and non-being are both nature. How 

can there be no opposition? The Taoists and Buddhists have for long 

maintained that there is none. Do they really understand truth? (ch. 17, 

SPPY, 3:21b) 

64. In trying to understand spirits, Buddhists say that beings with 

consciousness die and are born in cycles. They are therefore tired 

of suffering and seek to escape from it. Can they be said to understand 

spiritual beings? They consider human life as a delusion. Can they be 

said to understand man? Heaven and man form a unity, but they accept 

one (the ultimate nature of Heaven) and reject the other (human affairs). 

Can they be said to understand Heaven? What Confucius and 

Mencius called Heaven, they call the Path. "The wandering away of the 

spirit (material force) [as it disintegrates] becomes change," 85 but the 

deluded Buddhists call this transmigration. They just don't think. (ibid., 

3:22a) 

Comment. Neo-Confucianists attacked Buddhism on all fronts. 

Chang did so mostly on philosophical grounds. Other Neo-Confucianists, 

like Ch'eng Hao, Ch'eng I, and Wang Yang-ming (1472- 

1529), stressed the social and ethical aspects by emphasizing 

Buddhist escape from social responsibility and selfish desire for 

personal salvation. 

65. Things should be investigated gradually. By seeing more and 

more things and investigating their principles more and more, one can 

fully develop the nature of things. ("Recorded Sayings," ibid., 12:1b) 

66. The great benefit of learning is to enable one to transform his 

physical nature himself. Otherwise he will have the defect of studying in 

order to impress others, in the end will attain no enlightenment, and cannot 

see the all-embracing depth of the sage. (ibid., 12:3a.) 

Comment. The phrase, "transform the physical nature," has been 

hailed by Neo-Confucianists as an outstanding contribution and 


516

CHANG TSAI 

has remained a golden teaching in the Confucian School. The doctrine 

holds man himself responsible, and puts faith in education. 

Philosophically, the significant point is that evil can be transmuted 

to be good. As he said before, when virtue overcomes material 

force, one's nature and destiny are controlled and determined by 

virtue. Only life and death are material forces that cannot be 

changed. As to method, the best is to enlarge the mind. 86 

67. Everything has principle. If one does not know how to investigate 

principle to the utmost, he would be dreaming all his life. Buddhists do 

not investigate principle to the utmost. They consider everything to be 

the result of subjective illusion. Chuang Tzu did understand principle, 

but when he went to its utmost, he also considered things to be a dream. 

Therefore in referring to Confucius and Yen Yüan, 87 he said that they 

both were dreaming. 88 (ibid.) 

68. The mind commands man's nature and feelings. ("Additional 

Sayings on the Nature and Principle," ibid., 14:2a) 

Comment. This is a simple saying but the doctrine became a major 

one in Neo-Confucianism because it not only restores feeling to a 

position of equality with nature; it also makes the mind the master 

of a person's total being. What is more, Neo-Confucianists were 

very insistent that reality and function, and in this theory substance 

(nature) and function (feelings), are harmonized by the mind. 

86 See Chan's article noted in n.69. 

87 Confucius' pupil. 

88 Chuang Tzu, ch. 6, NHCC, 3:23a. See Giles, trans., Chuang Tzu, p. 83. 

517

••• 31 ••• 

THE IDEALISTIC TENDENCY 

IN CH'ENG HAO 

THE TWO Ch'eng brothers (Ch'eng Hao, also called Ch'eng Ming-tao, 

1032-1085, and Ch'eng I, also called Ch'eng I-ch'uan, 1033-1107) 

represent a unique and an extremely interesting case in the history of 

Chinese philosophy. Both brothers became outstanding philosophers, reminding 

one of the two brothers, Asanga (c.410-c.500) and Vasubandhu 

(c.420-c.500) in the history of Indian philosophy. They were 

students of Chou Tun-i (Chou Lien-hsi, 1017-1073), friends of Shao 

Yung (1011-1077), and nephews of Chang Tsai (Chang Heng-ch'ü, 

1020-1077). 1 These five are often called the Five Masters of eleventhcentury 

Chinese philosophy. As noted before, the two brothers set 

the pattern for Neo-Confucianism. They were of utterly different 

temperament, and yet they agreed essentially in their philosophies. 

Many of the sayings in the I-shu (Surviving Works) and Wai-shu (Additional 

Works) of the Erh-Ch'eng ch'üan-shu (Complete Works of the 

Two Ch'engs) are assigned to both, and in most cases scholars do not 

agree to which brother they should be ascribed. When Chu Hsi (1130- 

1200) referred to "Master Ch'eng," most of the time he meant Ch'eng 

I, oftentimes Ch'eng Hao, but sometimes both. 

This does not mean that there are no differences between them. In 

fact, Ch'eng I is so much more rationalistic than Ch'eng Hao and Ch'eng 

Hao is so much more idealistic than Ch'eng I that it is permissible to say 

that Ch'eng Hao inaugurated the idealistic wing of Neo-Confucianism 

while his brother inaugurated the rationalistic wing, although their differences 

have been exaggerated in recent years. Their similarities and 

dissimilarities will be brought out in the comments and in the next chap- 

1 Ch'eng Hao's courtesy name was Po-ch'un and he was called Master Mingtao 

(Illuminating the Way). His father was a chief officer. After he obtained the 

"presented scholar" degree in 1057, he became a keeper of records (assistant magistrate) 

and scored a great success in averting a famine by saving the dikes. Later 

he was a magistrate for three years (1065-1067), brought peace and order, and 

gained the great affection of the populace. In 1069 he became undersecretary of 

the heir apparent. Emperor Shen-tsung (r. 1068-1085) gave him a number of 

audiences and was much impressed with his recommendations. But he strongly 

opposed Wang An-shih (1021-1086) in his radical reforms. In 1070 he was 

demoted to be an assistant prefect. In 1078-1080 he was again a magistrate 

but his political enemies finally had him dismissed. The new emperor, Che-tsung 

(r. 1086-1093) appointed him a bureau assistant executive, but before he took 

office he died. See Sung shih (History of the Sung Dynasty, 960-1279), PNP, 

247:5a-10a, I-ch'uan wen-chi (see n.21), 7:1a-7a, the introduction to the next 

chapter, and Bruce, Chu Hsi and His Masters, pp. 41-45. 

518

CH'ENG HAO 

ter. 2 But their fundamental agreement, which forms the keynote to their 

philosophy in particular and to Neo-Confucianism in general, namely, 

the concept of principle (li), must be pointed out right away. 

The concept of principle is found in ancient Chinese philosophy, in 

Neo-Taoism, and in Buddhism, 3 but the Ch'eng brothers were the first 

ones to build their philosophy primarily on it. More especially for 

Ch'eng Hao, principle is the Principle of Nature (T'ien-li, Principle of 

Heaven). As conceived and understood by the brothers, principle is 

self-evident and self-sufficient, extending everywhere and governing all 

things. It cannot be augmented or diminished. It is many but it is essentially 

one, for all specific principles are but principle. It is possessed 

by all people and all things. Even a very small thing has principle. It is 

laid before our very eyes. Man and all things form one body because all 

of them share this principle. To be sincere is to be sincere to it, and to be 

serious is to be serious about it. In short, it is one and all. It is identical 

with the mind and it is identical with the nature. All things exist because 

of it and can be understood through it. It is universal truth, universal 

order, universal law. Most important of all, it is a universal 

process of creation and production. It is dynamic and vital. 

It can easily be seen that to the Ch'eng brothers this principle means 

both natural principles and moral principles, and both general principles 

and specific principles. They were not much concerned with abstract 

reality, for they were primarily interested in the meaning of principle for 

man. Thus they turned Neo-Confucianism from speculation on cosmology 

to concentrate on the problems of principle and human nature, thereby 

making Neo-Confucianism truly a School of Nature and Principle 

(Hsing-li hsüeh). 

What is equally even more significant is that Ch'eng Hao (and also 

his brother) used the term T'ien-li. As Hu Shih has pointed out, it 

stands for the Natural Law. 4 Where did the Ch'engs get their ideas? 

Much of their philosophy may be traced to ancient Confucian Classics. 

As Ch'eng I said of his brother, "From the time when, at fifteen or sixteen, 

he heard Chou Tun-i discourse on the Way, he got tired of preparing 

for civil service examinations and arduously made up his mind 

to seek the Way. Not knowing the essential steps, he drifted among the 

various schools of thought and went in and out of the Taoist and 

Buddhist schools for almost ten years. Finally he returned to the Six 

Classics 5 and only then did he find the Way." 6 Of these Classics, the 

2 See below, ch. 32, Introduction. 

3 See above, pp. 122, 131, 202, 260, 269, 318, 323, 326, 412, 415. 

4 Hu Shih (1891-1962), "The Natural Law in the Chinese Tradition," Natural 

Law Institute Proceedings, 5 (1953): 119-153. 

5 The Books of History, Odes, Changes, Rites, the Chou-li (Rites of Chou) and 

519


Book of Changes and the Doctrine of the Mean, which is part of the 

Book of Rites, are the ones to which he often turned. But so far as the 

concept of the Principle of Nature is concerned, he got no help from 

them. The term T'ien-li appears in the Book of Rites. 7 However, there 

it means the principle endowed in man by Heaven and does not have 

the connotation of universal truth or natural law. As related by his 

follower Hsieh Liang-tso (Hsieh Shang-ts'ai, 1050-1103), Ch'eng himself 

once said, "Although I have learned some of my doctrines from 

others, the concept of the Principle of Nature, however, has been realized 

by myself." 8 What is said of Ch'eng Hao could have been said of Ch'eng I. 

This does not mean that they developed their philosophy in a vacuum. 

Chou Tun-i's influence on their ideas and personality has already been 

pointed out. 9 Some people have denied this influence. Ch'üan Tsu-wang 

(1705-1755), for example, said that "while the two Ch'engs studied 

with Chou in their youth, what they achieved did not come from him. . . . 

Throughout their life the two Masters Ch'eng never praised Chou very 

much. . . . Chu Hsi was the first one to decide definitely that the philosophy 

of the two Ch'engs came from Chou and later generations followed 

him. . . . But the two Ch'engs never transmitted the doctrines of 

Chou." 10 In his I-Lo yüan-yüan lu (Record of the Origin of the School 

of the Two Ch'engs) 11 Chu Hsi places Chou first, then the two brothers, 

and then Shao Yung and Chang Tsai, and others, thus implying that the 

Ch'eng philosophy originated with Chou and was transmitted through 

Shao and Chang. This line of transmission is too simple and direct to be 

true and Ch'üan was correct in rejecting it. But to deny Chou's influence 

on the Ch'engs 12 is to ignore certain indisputable facts. The two brothers 

certainly did study with Chou. 13 It has been suggested that their relationship 

was not that of teacher and pupil, because the Ch'engs always 

the Spring and Autumn Annals. The ancient Six Classics included the Book of 

Music, now lost, instead of the Chou-li. 

6 I-ch'uan wen-chi, 7:6a. See n.21. 

7 "Record of Music." See trans. by Legge, Li Ki, ch. 17, p. 96. 

8 Shang-ts'ai yü-lu (Recorded Conversations of Hsien Liang-tso), Cheng-i-t'ang 

ch'üan-shu (Complete Library of the Hall of Rectifying the Way) ed., pt. 1, p. 5b, 

also Wai-shu, 12:4a. (See n.21) 

9 See above, pp. 461-462. 

10 Huang Tsung-hsi (1610-1695) et al., Sung-Yüan hsüeh-an (Anthology and 

Critical Accounts of the Neo-Confucianists of the Sung and Yüan Dynasties, 960- 

1368), SPPY, 11:1a. 

11 The term "I-Lo" refers to the I and Lo Rivers in which area Lo-yang is located. 

Both brothers lived and taught there. 

12 As Graham does. See his Two Chinese Philosophers, pp. 152-168. See my review 

of it in the Journal of American Oriental Society, 79 (1959), p. 154. 

13 I-shu, 2A:2b, 3:1b; I-ch'uan wen-chi, 7:6a; Ts'ui-yen, l:24b. See n.21. 

520

CH'ENG HAO 

referred to his courtesy name, Mao-shu, 14 and once even called him 

"poor Zen fellow," 15 not very respectful ways to refer to a teacher. However, 

it is not entirely unknown, though unusual, for pupils to call their 

teachers by courtesy names. For example, Hu Yuan (993-1059), Ch'eng 

I's teacher, was referred to by his courtesy name An-ting. 16 It is also 

argued that the Ch'engs never mentioned the Great Ultimate, 17 perhaps 

the central concept in Chou's philosophy. This is certainly a puzzle. But 

their failure to mention the term does not necessarily mean that Chou 

had had no influence on them, any more than it meant that the Book of 

Changes did not have any influence on them. It had enough influence 

on Ch'eng I for him to write a commentary on it, although he never 

mentioned the Great Ultimate, which is one of the basic concepts in the 

book. They did not mention the Great Ultimate perhaps because they 

wanted to avoid Taoist influence, since Chou's "Diagram of the Great 

Ultimate" came from the Taoist tradition. Ch'üan Tsu-wang is correct 

in contending that the Ch'engs did not transmit the philosophy of Chou, 

but it is still true that the basic problems and the general direction of 

their philosophy were within the broad outline of Chou's philosophy, 

including the concept of principle. 

All this does not remove the fact that it was the Ch'eng brothers' own 

idea to make principle the central focus of their philosophy. While the 

two brothers shared common ideas about it, they also had different 

emphases. As will be shown, Ch'eng I stressed the doctrine that principle 

is one but its manifestations are many. Compared with his brother, 

Ch'eng Hao has emphasized more strongly the idea of production and 

reproduction as the chief characteristic of the universe. He saw the spirit 

of life in all things. To him, this creative quality is jen (humanity), 18 

which removes all distinctions between the self and the other and combines 

Heaven, Earth, and man as one. 

As the great virtue of Heaven and Earth is to produce, whatever is 

produced in man, that is, whatever is inborn in him, is his nature. To 

him this is identical with material force (ch'i). In its original, tranquil 

state, human nature is neither good nor evil. The distinction arises when 

human nature is aroused and is manifested in feelings and actions, and 

when these feelings and actions abide by or deviate from the mean. The 

chief task of moral and spiritual cultivation is to calm one's nature, 

through absolute impartiality and the identification of internal and ex- 

14 

For example, I-shu, 2A:2b, 3:1b, 2a, 6:4a, 7:1a, 22A:1b; Wai-shu, 2:4b, 

10:4b. See Graham, p. 173, n.38. 

15 16 

I-shu, 6:4a. 

For example, I-shu, 2A:4a, 4:3b. 

17 

It is mentioned in a preface to Ch'eng I's I chuan (see n.21), but as Graham 

has well shown (p. 144), this preface is unauthentic. 

18 


521


ternal life. Any opposition between the internal and the external, he 

said, must be forgotten. In fact, he rejects dichotomy of any kind, whether 

between the human mind and the moral mind, between the Principle of 

Nature and human desires, or between human nature and feelings. To 

achieve unity, he advocated sincerity and seriousness (ching), 19 that is, 

concentrating on one thing and not getting away from it. 

There can be no denial that in advocating such a method of moral 

cultivation he tended to quietism. Whether he was influenced by Chou 

Tun-i or by Zen Buddhists or both is a moot point. We must not forget, 

however, that he looked upon Chou Tun-i's doctrine of tranquillity as 

unbalanced and substituted for it seriousness. Moreover, to him the universe 

is a great current of production. Whatever quietism there is in him, 

then, is not Buddhist emptiness and silence but a vital, if gentle and 

quiet, process. Like the Buddhists, however, he almost exclusively emphasizes 

the mind. To him, "Principle and the mind are one," 20 and he 

stresses holding on to the mind with seriousness and preserving the mind 

as fundamental steps to moral perfection. In thus stressing the mind, he 

and his brother, who stressed more strongly the extension of knowledge, 

moved in different directions, he the idealistic, later developed by Lu 

Hsiang-shan (Lu Chiu-yüan, 1139-1193) and Wang Yang-ming (Wang 

Shou-jen, 1472-1529), the other the rationalistic, later culminated in 

Chu Hsi. 

Following the list of major topics and references are selections from 

the Erh-Ch'eng ch'üan-shu (Complete Works of the Two Ch'engs). 

Buddhism: 21, 32, 46, 76, 77 

Goodness; Good and Evil: 7, 8, 15, 19, 64 

Human Nature; Destiny: 1, 2, 5, 7, 12, 36, 51, 56, 67 

Jen (Humanity): 1, 11, 13, 23, 27, 28, 40, 50, 51, 65 

Life, Spirit of; Origination; Production: 19, 21, 27-29, 38, 39, 51 

Material force (ch'i) and Physical form: 5, 7, 36, 37, 42, 58, 75 

Mean, Equilibrium, and Centrality: 4, 8, 34, 61, 69, 73, 74 

Nature and man forming one body: 1, 4, 11, 18, 21, 35, 48, 51, 54 

Principle of Nature (Heaven): 3, 8, 15, 16, 18, 20-24, 26, 33, 34, 37, 

53, 60, 62, 64, 65, 67, 69, 70-72, 75 

Seriousness (ching): 1, 10, 18, 20, 23, 30, 32, 45, 46, 49, 50, 66, 69 

Sincerity: 1, 5, 6, 17, 20, 41, 45, 66, 68 

Way, the: 1, 5, 19, 32, 41, 42, 44, 50 

19 For comment on this term, see ibid. 

20 I-shu, 5:1a. 

522

CH'ENG HAO 

THE COMPLETE WORKS OF THE TWO CH'ENGS 21 

1. On Understanding the Nature of Jen (Humanity) 

The student must first of all understand the nature of jen. The man 

of jen forms one body with all things without any differentiation. Righteousness, 

propriety, wisdom, and faithfulness are all [expressions of] 

jen. 

[One's duty] is to understand this principle (li) and preserve jen with 

sincerity and seriousness (ching), that is all. There is no need for 

caution and control. Nor is there any need for exhaustive search. Caution 

is necessary when one is mentally negligent, but if one is not negligent, 

what is the necessity for caution? Exhaustive search is necessary when 

one has not understood principle, but if one preserves jen long enough, 

it will automatically dawn on him. Why should he have to depend on exhaustive 

search? 

Nothing can be equal to this Way (Tao, that is, jen). It is so vast 

that nothing can adequately explain it. All operations of the universe are 

our operations. Mencius said that "all things are already complete in 

oneself" and that one must "examine oneself and be sincere (or absolutely 

real)" and only then will there be great joy. 22 If one examines 

himself and finds himself not yet sincere, it means there is still an op- 

21 This is the Erh-Ch'eng ch'üan-shu, which includes (1) the I-shu (Surviving 

Works), consisting of conversations of the brothers, (2) the Wai-shu (additional 

Works), consisting of additional conversations of theirs, (3) the Ming-tao wen-chi 

(Collection of Literary Works by Ch'eng Hao), consisting of poems, letters, and 

the like, (4) the I-ch'uan wen-chi (Collection of Literary Works by Ch'eng I), 

(5) the I ch'uan (Commentary on the Book of Changes) by Ch'eng I, (6) his 

Ching-shuo (Explanations of the Classics), and (7) the Ts'ui-yen (Pure Words), 

which contains additional conversations of the two brothers, mostly duplicates of 

the I-shu and the Wai-shu. (Ts'ui-yen has sometimes been mistranslated as "choice 

sayings" and "collected sayings.") For the present work, the SPPY edition is used. 

It is interesting to note that the Ts'ui-yen is put at the end of the Complete Works. 

For a good account of these works, see Tsai, The Philosophy of Ch'eng I, pp. 27- 

61. Tsai is sometimes too skeptical and used untenable arguments. For example, he 

said that the Ts'ui-yen is unreliable because it is in the literary style whereas the 

editor of this work, Yang Shin (Yang Kuei-shan, 1053-1135) always referred to 

it as yü-lu or "recorded sayings in the vernacular" (p. 60). But yü-lu merely 

means recorded sayings and does not necessarily mean sayings in the vernacular. 

The Chang Tzu yü-lu (Recorded Conversations of Chang Tsai), for example, is 

in the literary style. Besides, not all the recorded conversations of the Ch'eng 

brothers are in the vernacular. They are vernacular in the I-shu but literary in 

the Wai-shu, which was compiled by Chu Hsi. 

None of the above works has been translated into any European language. A 

good number of sayings of both brothers has been translated by Graham in his 

book and a considerable number of sayings by Ch'eng I has been translated by 

Ts'ai in his work. Chu Hsi's selections from the two brothers in his Chin-ssu lu 

(Reflections on Things at Hand) have been translated into German by Graf, 

Djin-sï lu, passim. 


523


position between the two (the self and the non-self). Even if one tries 

to identify the self with the non-self, one still does not achieve unity. How 

can one have joy? 

The purpose of (Chang Tsai's) "Western Inscription" 23 is to explain 

this substance (of complete unity) fully. If one preserves it (jen) with 

this idea, what more is to be done? "Always be doing something without 

expectation. Let the mind not forget its objective, but let there be no 

artificial effort to help it grow." 24 Not the slightest effort is exerted! This 

is the way to preserve jen. As jen is preserved, the self and the other 

are then identified. 

For our innate knowledge of good and innate ability to do good are 

originally not lost. However, because we have not gotten rid of the mind 

dominated by habits, we must preserve and exercise our original mind, 

and in time old habits will be overcome. This principle 25 is extremely 

simple; the only danger is that people will not be able to hold on to it. 

But if we practice it and enjoy it, there need be no worry of our being 

unable to hold to it. (I-shu, 2A:3a-b) 

Comment. As has been pointed out, in Chang Tsai's "Western 

Inscription," jen is universalized to include the whole universe. 26 

It was in the Ch'eng brothers, however, that the Neo-Confucian 

doctrine of man and the universe forming one body took root and 

became a cardinal concept. In this little essay, which has been a 

vade mecum for many a Chinese scholar, unity of man and Nature 

(T'ien, Heaven) is affirmed on the basis of the elimination of all 

opposition between the self and the other. In section 11 of Selected 

Sayings, below, unity is also argued on the basis of the all-loving 

character of jen. His brother also said that "The man of jen regards 

Heaven and Earth and all things as one body." 27 And the 

doctrine is later fully developed in Wang Yang-ming, 28 

Strangely enough, Chu Hsi left this essay out of his Chin-ssu lu 

(Reflections on Things at Hand) 29 because it is "too broad" and 

"may easily be misunderstood." 30 Evidently the teaching that 

there is no need for caution, control, or exhaustive search sounds 

dangerous. But in defense of Ch'eng, Liu Tsung-chou (1578-1645) 

has pointed out that Ch'eng did not teach people to meditate out of 

23 24 


Mencius, 2A:2. 

25 

The text has shih (fact) instead of li (principle). 

26 

See above, ch. 30, comment on sec. 1. 

27 

Ts'ui-yen, 1:7b. 

28 

See below, ch. 35, B, secs. 89, 93, 274, and 337. 

29 

The Chin-ssu lu is an anthology of the Ch'eng brothers, Chou Tun-i and 

Chang Tsai. 

30 

Chu Tzu yü-lei (Classified Conversations of Chu Hsi), 1876 ed., 97:5b-6a. 

524

CH'ENG HAO 

a vacuum but merely stressed the fundamental as the first step. 31 

Nevertheless, as Ch'ien Mu has noted, Ch'eng did not tell in detail 

how to know the substance of jen except to advise us to preserve 

it according to the idea in the "Western Inscription." This task was 

left to his brother. 32 

2. Reply to Master Heng-ch'ü's Letter 

on Calming Human Nature 33 

I have received your letter in which you said that nature in the state 

of calmness cannot be without activity and must still suffer from the 

influence of external things. This problem has been ardently pondered 

by a worthy [like you]. What need is there for a humble person like 

myself to say anything? However, I have gone over the matter in my 

mind, and dare present my ideas to you. By calmness of nature we mean 

that one's nature is calm whether it is in a state of activity or in a state 

of tranquillity. One does not lean forward or backward to accommodate 

things, nor does he make any distinction between the internal and external. 

34 To regard things outside the self as external, and force oneself 

to conform to them, is to regard one's nature as divided into the internal 

and the external. Furthermore, if one's nature is conceived to be following 

external things, then, while it is outside what is it that is within the self? 

To conceive one's nature thus is to have the intention of getting rid of 

external temptations, but to fail to realize that human nature does not 

possess the two aspects of internal and external. Since one holds that 

things internal and things external form two different bases, how can 

one hastily speak of the calmness of human nature? 

The constant principle of Heaven and Earth is that their mind is in 

all things, and yet they have no mind of their own. The constant principle 

of the sage is that his feelings are in accord with all creation, and 

yet he has no feelings of his own. Therefore, for the training of the superior 

man there is nothing better than to become broad and extremely 

impartial and to respond spontaneously to all things as they come. The 

Book of Changes says, "Firm correctness brings good fortune and prevents 

all occasions for repentance. If he is hesitant in his movements, 

only his friends will follow his purpose." 35 If one merely attempts to 

remove external temptations, then no sooner do some disappear in the 


32 Chung-kuo ssu-hsiang shih (History of Chinese Thought), 1952, p. 138. 

33 According to Chu Hsi, this was written when Ch'eng Hao was twenty-two or 

twenty-three. See Chu Tzu yü-lei, 93:9a. 

34 Indirectly quoting Chuang Tzu, ch. 22, NHCC, 7:55b. See Giles, trans., 


35 Commentary of hexagram no. 31, hsien (influence). Cf. Legge, trans., Yi 

King, p. 123. 

525


east than others will arise in the west. Not only is one's time limited, 

but the source of temptation is inexhaustible and therefore cannot be 

removed. 

Everyone's nature is obscured in some way and as a consequence he 

cannot follow the Way. In general the trouble lies in resorting to selfishness 

and the exercise of cunning. Being selfish, one cannot take purposive 

action to respond to things, and being cunning, one cannot be 

at home with enlightenment. For a mind that hates external things to 

seek illumination in a mind where nothing exists, is to look for a reflection 

on the back of a mirror. The Book of Changes says, "Stop in the 

back of a thing. See not the person. Walk in the hall and do not see the 

people in it." 36 Mencius also said," What I dislike in your wise men is their 

forced reasoning." 37 Instead of looking upon the internal as right and the 

external as wrong, it is better to forget the distinction. When such a distinction 

is forgotten, the state of quietness and peace is attained. Peace 

leads to calmness and calmness leads to enlightenment. When one is enlightened, 

how can the response to things become an impediment? 

The sage is joyous because according to the nature of things before him 

he should be joyous, and he is angry because according to the nature of 

things before him he should be angry. Thus the joy and anger of the 

sage do not depend on his own mind but on things. Does not the sage 

in this way respond to things? Why should it be regarded wrong to follow 

external things and right to seek what is within? Compare the joy and 

anger of the selfish and cunning man to the correctness of joy and anger 

of the sage. What a difference! Among human emotions the easiest to 

arouse but the most difficult to control is anger. But if in time of anger 

one can immediately forget his anger and look at the right and wrong of 

the matter according to principle, he will see that external temptations 

need not be hated, and he has gone more than halfway toward the Way. 

My subtle ideas cannot be expressed in words. On top of my usual 

lack of skill in writing, my official duties have kept me busy, so that I 

have not given the finest thought to this matter. Whether I am correct or 

not, I pray you to let me know. However, I believe I am not far from the 

truth in essential points. The ancients considered it wrong to seek afar 

when the truth lies nearby. Will you, a man of wisdom and intelligence, 

draw your own conclusions. (Ming-tao wen-chi, 3:1a-b) 

Comment. As Liu Tsung-chou has well pointed out, this essay is 

essentially an elaboration of Chou Tun-i's doctrine of "considering 

tranquillity to be fundamental." 38 

36 The text of hexagram no. 52, ken (to stop). Cf. Legge, pp. 175-176. 


38 Sung-Yüan hsüeh-an, 13:8a. For Chou's doctrine, see above, ch. 28, sec. 1. 

526

CH'ENG HAO 

SELECTED SAYINGS 39 

3. There is no creature in the world that does not possess sufficient 

principle. I have always thought that rulers and ministers, fathers and 

sons, brothers, and husbands and wives have somewhat failed to fulfill 

their functions. 40 (1:2a)* C CH S 

4. Man is not the only perfectly intelligent creature in the universe. 

The human mind (in essence) is the same as that of plants and trees, 

birds and animals. It is only that man receives at birth the Mean of 

Heaven and Earth (balanced material force). (1:3a)* C M S 

5. "The operations of Heaven (Nature) have neither sound nor 

smell." 41 Their substance is called Change; their principle, the Way; and 

their function, spirit. What Heaven imparts to man is called the nature. 

To follow the law of our nature is called the Way (Tao). Cultivation 

according to the Way is called education. . . . 42 What exists before 

physical form [and is therefore without it] constitutes the Way. What 

exists after physical form [and is therefore with it] constitutes concrete 

things. Nevertheless, though we speak in this way, concrete things are 

the Way and the Way is concrete things. So long as the Way obtains, it 

does not matter whether it is present or future, or whether it is the self 

or others. (1:3a-b)* C CH M 

6. Sincerity is the way to unify the internal and the external. "Without 

sincerity there will be nothing." 43 (1:7a)* M 

7. "What is inborn is called nature." 44 Nature is the same as material 

force and material force is the same as nature. They are both inborn. 

39 All these sayings are from the I-shu. The asterisk following the page reference 

indicates that the saying is ascribed in the I-shu to the "two Masters" without 

specifying which of the two. The letters C, CH, L, M, and S indicate that it has 

been taken to be Ch'eng Hao's saying in the anthologies represented by them as 

follows. With two exceptions, to be pointed out, none of these anthologies ascribes 

any of these sayings to Ch'eng I: 

c. Chu Hsi, Chin-ssu lu (Reflections on Things at Hand). 

CH. Ch'en Lung-cheng (1585-?), Ch'eng Tzu hsiang-pen (Detailed and Classified 

Anthology of Masters Ch'eng). 

L. Sun Ch'i-feng (1584-1675), Li-hsüeh tsung-ch'uan (Orthodox Transmission 

of Neo-Confucianism). 

M. Shen Kuei (of Ming, 1368-1644), Ming-tao ch'üan-shu (Complete Works 

of Ch'eng Hao). 

s. Huang Tsung-hsi (1610-1695) et al., Sung-Yüan hsüeh-an (Anthology 

and Critical Accounts of the Neo-Confucianists of the Sung and Yuan 

Dynasties, 960-1368). 

40 According to Yeh Ts'ai (fl. 1248), function here means what is correct according 

to principle. See Djin-sï lu, trans. by Graf, vol. 2, p. 58. 


42 ibid., ch. 1. 

43 ibid., ch. 25. 

44 A saying by Kao Tzu (c.420-c.350 B.C.). Mencius, 6A:3. 

527


According to principle, 45 there are both good and evil in the material 

force with which man is endowed at birth. However, man is not born with 

these two opposing elements in his nature to start with. Due to the material 

force with which men are endowed some become good from childhood 

and others become evil. 46 Man's nature is of course good, but it cannot be 

said that evil is not his nature. For what is inborn is called nature. "By 

nature man is tranquil at birth." 47 The state preceding this cannot be 

discussed. As soon as we talk about human nature, we already go beyond 

it. Actually, in our discussion of nature, we only talk about (the 

idea expressed in the Book of Changes as) "What issues from the Way is 

good." 48 This is the case when Mencius speaks of the original goodness of 

human nature. The fact that whatever issues from the Way is good may 

be compared to the fact that water always flows downward. Water as 

such is the same in all cases. Some water flows onward to the sea without 

becoming dirty. What human effort is needed here? Some flows only a 

short distance before growing turbid. Some travels a long distance before 

growing turbid. Some becomes extremely turbid, some only slightly 

so. Although water differs in being clean or turbid, we cannot say that 

the turbid water (evil) ceases to be water (nature). This being the 

case, man must make an increasing effort at purification. With diligent 

and vigorous effort, water will become clear quickly. With slow 

and lazy effort, water will become clear slowly. When it is clear, it 

is then the original water. Not that clear water has been substituted for 

turbid water, nor that turbid water has been taken out and left in a 

corner. The original goodness of human nature is like the original clearness 

of water. Therefore it is not true that two distinct and opposing 

elements of good and evil exist in human nature and that each of them 

issues from it. This principle is the Mandate of Heaven. For anyone to 

obey and follow it is the Way. For anyone to follow it and cultivate it so 

that he attains his function [corresponding to his nature] is education. 

From the Mandate of Heaven to education, one can neither augment nor 

diminish [this function]. Such is the case of Shun, who [obeying and 

45 According to Sun Ch'i-feng, Li-hsüeh ts'ung-ch'uan, 1880 ed., 2:11b, the 

word "principle" should read "nature." 

46 "Such as Hou-chi having an outstanding appearance and when Tzu-yüehchiao 

was born, people knew that he would destroy his own clan," says Ch'eng 

Hao's own note. Hou-chi was Emperor Shun's (3rd millennium B.C.) minister, 

who is described in the Book of Odes, ode no. 245, as having an outstanding appearance 

at birth, thus indicating his inborn virtue. The reference to Tzu-yüehchiao 

is found in the Tso chuan, Duke Hsüan, 4th year. 

47 Book of Rites, "Record of Music." Cf. Legge, trans., Li Ki, vol. 1, p. 96. 

48 Changes, "Appended Remarks," pt. 1, ch. 5. Cf. translation by Legge, Yi 

King, p. 353. 

528

CH'ENG HAO 

following the Way], possessed his empire as if it were nothing to him. 49 

(1:7b-8a)* C L M S 

Comment. This passage has aroused considerable critical comments. 

In the Chu Tzu yü-lei (Classified Conversations of Chu 

Hsi), there is more discussion on it than on almost any other subject 

concerning the Ch'engs. 50 Ch'eng Hao used the expression 

"What is inborn is called nature," which is the same as Kao Tzu's 

saying, and thus seems to follow Kao Tzu's theory that by nature 

man is born morally neutral or that his nature is a mixture of good 

and evil. But as Chu Hsi has pointed out, no such idea is intended. 

From the fact that water is clear originally, and turbid only when 

flowing has started, it is clear that Ch'eng meant two natures, 

namely, man's basic nature, which is originally good, and his 

physical nature, which involves evil. 51 Actually Ch'eng Hao did 

not depart from the general Neo-Confucian position so far as human 

nature is concerned. The trouble arises from ambiguity in the 

passage. One possible explanation for his using an expression 

identical with Kao Tzu's is perhaps that its emphasis was on the 

process of production and reproduction. 

8. Good and evil in the world are both the Principle of Nature, What 

is called evil is not original evil. It becomes evil only because of deviation 

from the Mean. Yang Chu (440-360 B.C.?) and Mo Tzu (fl. 479- 

438 B.C.) 52 are examples of this. (2A:1b) 

Comment. This utterance has been most severely condemned by 

Neo-Confucianists. It seems to destroy one of the foundations of 

Neo-Confucian metaphysics, namely, that nature, which is identical 

with principle, is good, and it also seems to tolerate evil. 

Judged by his whole philosophy, nothing is further from his mind. 

He merely echoed Mencius' contention that things are unequal 

(see sec. 15). He accepted evil as a fact, but insisted on removing it. 

This is obvious in the preceding section. 

9. The student should completely preserve his mind [so it will not be 

overcome by selfish desires]. 53 Although his studies may not be complete, 

as things come to him he should not fail to respond, but should 

respond according to his capacity. If he does not hit the mark, he will 

not be far from it. (2A:2a)* C M 

49 50 Paraphrasing Analects, 8:18. Chu Tzu yü-lei, 95:lla-18a. 

51 

ibid., 95:11a-b. 

52 

See above, ch. 3, Mencius, Additional Selections, 3A:5, 3B:9. 

53 

This is Chu Hsi's understanding. See Chu Tzu yü-lei, 96:1b. 

529


10. The student should hold fast to the mind with seriousness. He 

should not be anxious. Instead he should nourish and cultivate it deeply 

and earnestly, immerse and soak himself in it. Only then can he be at 

ease with himself. If one seeks anxiously, that is merely selfishness. 

In the end he will not be able to understand the Way. (2A:2a)* CH M 

11. A book on medicine describes paralysis of the four limbs as 

absence of jen. 54 This is an excellent description. The man of jen regards 

Heaven and Earth and all things as one body. To him there is nothing 

that is not himself. Since he has recognized all things as himself, can there 

be any limit to his humanity? If things are not parts of the self, naturally 

they have nothing to do with it. As in the case of paralysis of the four 

limbs, the vital force no longer penetrates them, and therefore they are 

no longer parts of the self. Therefore, to be charitable and to assist all 

things is the function of a sage. It is most difficult to describe jen. Hence 

Confucius merely said that the man of jen, "wishing to establish his 

own character, also establishes the character of others, and wishing to 

be prominent himself, also helps others to be prominent. To be able to 

judge of others by what is in ourselves may be called the method of 

realizing jen." 55 The hope was that by looking at it this way, we might 

get at the substance of humanity. (2A:2a-b) 

Comment. The all-important concept of jen went through radical 

developments in Neo-Confucianism, especially in Chang Tsai and 

the Ch'eng brothers. 56 In the I-shu of the brothers, jen is discussed 

more than any other topic. In section 1, righteousness, propriety, 

wisdom, and faithfulness are considered as expressions of jen. 

This is a new development, for traditionally the five are called the 

Five Constant Virtues, all being equal, whereas he and his brother, 

who developed the idea further, regarded jen as embracing the 

other four. Here jen is understood as a feeling for life, an even 

more radical interpretation of jen. As Chu Hsi explained, jen is 

the mind of Heaven and Earth to produce things. Since man has 

received this mind to be his own mind, he and Heaven and Earth 

and all things share the same mind. It is for this reason that there 

is penetration through all things. 57 

54 

Su-wen (Question on the Original Simplicity), sec. 42, Erh-shih-erh tzu 

(Twenty-two Philosophers) ed., 12:2a. The meaning of the title is not clear, but 

according to the commentary in the book (1:1a), su refers to the original substance, 

and therefore does not mean purity or plainness. 


56 

See above, ch. 30, comment on sec. 1, and below, ch. 32, comment on sec. 

42. 

57 

Chu Tzu yü-lei, 95:10a. For further comment on jen, see sec. 1; also see 

above, ch. 30, sec. 1; and see below, ch. 32, comment on sec. 42; ch. 34, comment 

on treatise 1; and ch. 40, Introduction. 

530

CH'ENG HAO 

12. The investigation of principle to the utmost, the full development 

of nature, and the fulfillment of destiny (ming, fate)—these three things 

are to be accomplished simultaneously. There is basically no time sequence 

among them. The investigation of principle to the utmost should 

not be regarded merely as a matter of knowledge. If one really investigates 

principle to the utmost, even one's nature and destiny can be fulfilled. 

(2A:2b) 

13. A student should understand the substance of jen (namely, the 

Principle of Nature) 58 and make it concretely part of his own self. Then 

all that is necessary is to nourish it with moral principles. All such things 

as seeking the meanings of the Classics are meant to nourish it. (2A:- 

2b)* C M 

14. Formerly when [we] received instructions from Chou Mao-shu 

(Chou Tun-i), 59 he often told [us] to find out wherein Confucius and 

Yen Tzu 60 found their joy. (2A:2b)* C CH L M S 

Comment. Neither Chou nor the Ch'eng brothers ever indicated 

where Confucius or Yen Tzu found his joy. In Analects, 6:9, Confucius 

praised his pupil for enjoying extremely simple life and in 

7:15, Confucius said he himself found joy in having only coarse 

rice to eat, water to drink, and his bent arm for a pillow. But Neo- 

Confucianists were not contented with such a general expression of 

love of virtue, and so each of them described joy in his own way— 

as extensive study of literature and self-restraint with rules of conduct, 

self mastery, enjoying the Way, complete elimination of selfish 

desires, following the Principle of Nature, and so forth. This is an 

excellent example of how Neo-Confucianists always went back to 

ancient Classics for authority and expressions but always interpreted 

them in their own way. 61 

15. Good and evil among things are both Principle of Nature. In the 

Principle of Nature, some things must be good and others bad, for "It 

is the nature of things to be unequal." 62 We should examine the matter 

and should not enter into evil ourselves and be dragged by any particular 

thing. (2A:3b) 

16. We should know the origin of life and death, and existence and 

extinction, and be very clear and absolutely sure about them. There is 

58 Interpretation according to Sun Ch'i-feng, Li-hsüeh tsung-ch'uan, 2:20b. 

59 For Chou Tun-i, see above, ch. 28. 

60 Confucius' most virtuous pupil (521-490 B.C.). The reference is to Analects, 

6:9. 

61 For Chu Hsi's various interpretations, see Chiang Yung (1681-1762), Chinssu 

lu chi-chu (Collected Commentaries on the Reflections on Things at Hand), 

SPPY, 2:8b. 


531


only this principle governing them. When Confucius said, "If we do not 

yet know about life, how can we know about death?", 63 he spoke in a 

general way. The matter of death is part of life. There is no separate 

principle [governing it]. (2A:4a) 

17. Wisdom, humanity, and courage are "the three universally recognized 

virtues," but "the way by which they are practiced is one." 64 

As it is one there is sincerity. It merely means to make three virtues real. 

Apart from these three virtues, there is no other kind of sincerity. 

(2A:5a)* M 

18. The student need not seek afar but search right here in himself. 

All he has to do is to understand the Principle of Nature and be serious. 

This is where restraint lies [as against extensive learning]. In the section 

on the ch'ien (Heaven) hexagram of the Book of Changes, the learning of 

the sage is discussed, and in the section on the k'un (Earth) hexagram 

the learning of the worthy is discussed. They only say that "seriousness 

is to straighten one's internal life and righteousness is to square one's 

external life" 65 and that "as seriousness and righteousness are established, 

one's virtue will not be an isolated instance." 66 Even for a sage 

this is all; there is no other way. To force things and to drag things along 

is naturally not to be in accord with the Way and principle. Therefore 

when the Way and principle are followed, Heaven and man will be one 

and can no longer be separable. The great moving power is my own 

power. If it is nourished and not injured, it fills up all between heaven 

and earth. 67 However, as soon as it is obscured by selfish ideas, it will be 

diminished and feeble. From this we know it is small. "Have no depraved 

thoughts." 68 "Never lack seriousness." 69 If one follows only these two 

teachings and puts them into practice, how can he make any mistake? 

Any mistake is due to the lack of seriousness and to incorrectness of 

thought. (2A:5b-6a) 

19. "Change means production and reproduction." 70 This is how 

Heaven becomes the Way. To Heaven, the Way is merely to give life. 

What follows from this principle of life-giving is good. Goodness involves 

the idea of origination (yüan), for origination is the chief 

quality of goodness. All things have the impulses of spring (spirit of 

growth) and this is goodness resulting from the principle of life. "That 

which realizes it is the individual nature." 71 Realization is possible only 

when the myriad things fully realize their own nature. (2A:12b)* M S 

63 64 Analects, 11:11. 


65 66 Cf. Legge, Yi King, p. 420. 

ibid. 

67 68 Quoting Mencius, 2A:2. 


69 

Book of Rites, "Summary of Ceremonies," pt. 1. Cf. Legge, Li Ki, vol. 1, 

p. 61. 

70 Changes, "Appended Remarks," pt. 1, ch. 5. Cf. Legge, Yi King, p. 356. 

71 ibid. 

532

CH'ENG HAO 

Comment. To look upon the universe as an unceasing process of 

life-giving is a new development in Chinese thought and gives 

Neo-Confucianism a distinctive character. Few developments are 

as important as this. It is significant that the Ch'eng brothers did 

not talk about the idea of the Great Ultimate in the Book of 

Changes but instead they talked about Origination. The universe is 

conceived to be a continuous process of production, creation, and 

growth. This is a far cry from the Buddhist concept of annihilation 

or cycles and a definite advance over Chou Tun-i's idea of the 

interaction of yin and yang and Chang Tsai's idea of perpetual interfusing 

and intermingling of the material forces. Where did the idea 

come from? What is its bearing on the central Neo-Confucian doctrines 

of jen, and man forming one body with the universe? These 

are discussed elsewhere. 72 It suffices to note here that running 

through the apparently quietistic philosophy of Ch'eng Hao there 

is this dynamic, vital, and creative life-giving concept. 

20. As to the meaning of the Principle of Nature: To be sincere is to 

be sincere to this principle, and to be serious is to be serious about this 

principle. It is not that there is sincerity by itself and there is further 

seriousness by itself. (2A:13b)* M 

21. The reason why it is said that all things form one body is that 

all have this principle, simply because they all have come from it. 

"Change means production and reproduction." 73 In production, once a 

thing is produced, it possesses this principle complete. Man can extend 

this principle to others, but because their material force with which they 

are endowed is dark, things cannot do so. But we must not say that they 

do not share principle with others. Simply because of selfishness, man 

thinks in terms of his own person, and therefore, from the point of view 

of principle, belittles them. If he lets go this person of his and views all 

things in the same way, how much 74 joy would there be! Because the 

Buddhists do not know this, they think in terms of the self. As they cannot 

cope with it, they become disgusted and want to get rid of sense-perception, 

and because the source of their mind is not calm, they want to be 

like dry wood and dead ashes. But this is impossible. It is possible only 

with death. The Buddhists say all that because they in reality love their 

own persons and cannot let go. They are like those worms that carry 

things on their backs which are already unable to bear their load, and 

still add more things on their bodies, or like a man who sinks in a river 

72 See comment on sec. 11, and below, ch. 32, comments on secs. 22 and 42. 


74 According to Chiang Yung, Chin-ssu lu chi-chu, 13:3a, ta-hsiao-ta is a 

Sung period (960-1279) colloquial meaning "so much." 

533


holding a rock, and although its weight makes him sink deeper, never 

thinks of letting the rock go but merely resents its weight. (2A:15b)* M 

22. "All things are already complete in oneself." 75 This is not only 

true of man but of things also. Everything proceeds from the self, only 

things cannot extend [the principle in them] to others whereas man can. 

However, although man can extend it, when has he augmented it to any 

extent? And although things cannot extend it, when have they diminished 

it to any extent? All principles exist in complete sufficiency and are 

openly laid before us. How can we say that (sage-emperor) Yao, 76 in 

fulfilling the Way of the ruler, added anything to it, or Shun, 77 in fulfilling 

the Way of the son, added anything to it? They are always there as 

ever before. (2A:16a)* L M S 

23. There is only one principle in the world. You may extend it over 

the four seas and it is everywhere true. It is the unchangeable principle 

that "can be laid before Heaven and Earth" and is "tested by the experience 

of the Three Kings." 78 Therefore to be serious is merely to 

be serious with this principle. To be humane (jen) is to be humane with 

this principle. And to be faithful is to be faithful to this principle. (Confucius) 

said, "In times of difficulty or confusion, [a superior man] acts 

according to it." 79 (His pupil) also said, "I do not yet have the confidence 

to do so." 80 They could say this much. Principle is extremely 

difficult to describe. (2A:19a)* M 

24. The principles of things are most enjoyable. (2A: 19b)* M 

25. There is nothing in the world which is purely yin (passive cosmic 

force) or purely yang (active cosmic force), as yin and yang are interfused 

and irregular. Nevertheless, there cannot be anything without the 

distinction between rising and falling, and between birth and extinction. 

(2A:19b-20a)* M 

26. By "the state of absolute quiet and inactivity" and "that which 

when acted upon immediately penetrates all things," 81 is meant that the 

Principle of Nature is self-sufficient and from the very beginning lacks 

nothing. It does not exist because of sage-emperor Yao nor does it cease 

to exist because of wicked Chieh. 82 The constant principle governing the 

relations of father and son and of ruler and minister are unchangeable. 

When has it moved? Because the Principle of Nature is unmoved, there- 



77 Legendary ruler, Yao's successor. 

78 The Mean, ch. 29. The Three Kings were founders of the three dynasties 

(Hsia, 2183-1752 B.C.?; Shang, 1751-1112 B.C.; and Chou, 1111-249 B.C.). 

79 Analects, 4:5. 80 ibid., 5:5 . 


82 The last king of Hsia (r. 1802-1752 B.C.), who caused the downfall of the 

dynasty. 

534

CH'ENG HAO 

fore it is described as absolutely quiet. Although it is unmoved, when 

acted on it reacts and penetrates, for the influence is not from without. 

(2A:22b)* CH M S 

27. Feeling the pulse is the best way to embody jen. (3:1a) 

28. Observe the chicks. (One can see jen in this way.) 83 (3:1a) 

29. Chou Mao-shu (Chou Tun-i) did not cut the grass growing outside 

his window. When asked about it, he said that he felt toward the 

grass as he felt toward himself. (When Tzu-hou [Chang Tsai] heard the 

cry of a donkey he said the same thing.) 84 (3:2a) 

Comment. Like Chou, Ch'eng also refused to cut the grass outside 

his window. When asked why, he said that he wanted always to 

see the spirit of creation. He also kept several small fish and frequently 

observed them. When asked for his reason, he said, "I 

wish to see that all things are at ease with themselves." 85 It is clear 

that Chou's love of life had a definite influence on him. 86 

30. When I practice calligraphy, I am very serious. My objective is 

not that the calligraphy must be good. Rather my practice is the way 

of moral training. (3:2a) 

31. What fills the whole body is the feeling of commiseration. (3:3a) 

32. There is nothing outside of the Way, and there is no Way outside 

of things. Thus within heaven and earth there is nowhere without the 

Way. Right in the relation of father and son, the way of father and son 

lies in affection, and right in the relation between ruler and minister, 

the way of ruler and minister lies in seriousness. 87 From these to being 

husband and wife, elder and younger, and friends, there is no activity 

that is not the Way. This is why "The Way cannot be separated from us 

for a moment." 88 This being the case, to renounce human relations and 

to do away with the Four Elements (Earth, Water, Fire, and Wind) [as 

the Buddhists try to do] is to deviate very far from the Way. Therefore 

"a superior man in dealing with the world is not for anything or against 

anything. He follows righteousness as the standard." 89 If one is for or 

against anything, there will be distinction between him and the Way 

and that would not be Heaven and Earth in their completeness. In the 

learning of the Buddhists there is seriousness to straighten the internal 

life but no righteousness to square the external life. Therefore those who 

83 

This sentence in parentheses is Ch'eng Hao's own. 

84 

This additional saying is Ch'eng Hao's own. 


86 

For Chou's additional influence on the personality of the Ch'eng brothers, 

see above, ch. 28, Introduction. 

87 

One version has "reverence" instead. 

88 89 



535


are rigid become like dry wood and those who are relaxed end up in 

recklessness. This is why Buddhism is narrow. Our Way is different. It 

is to follow our nature, that is all. The Sage has fully explained this in 

the Book of Changes. (4:4b)* C L M 

33. Principle and the mind are one, and man cannot put them together 

as one. (5:1a)* M 

34. When none of the myriad things is not adjusted, that is the Mean 

maintained at all times according to the Principle of Nature. 90 (5:1b)* M 

35. Nature and man are basically not two. There is no need to speak 

of combining them. (6:1b)* C L M 

36. It would be incomplete to talk about the nature of man and things 

without including material force and unintelligible to talk about material 

force without including nature. (It would be wrong to consider them 

as two.) 91 (6:2a)* CH L M 92 

37. Due to (the interaction of) the two material forces (yin and 

yang) and the Five Agents (of Metal, Wood, Water, Fire, and Earth), 

things vary as weak and strong in thousands of ways. What the sage follows, 

however, is the one principle. People must return to their original 

nature, [Which is identical with principle]. (6:2b)* M S 

38. Observe the disposition of all living things within heaven and 

earth. (So viewed Chou Mao-shu.) 93 (6:3a)* C M S 

Comment. This advocacy of observing dispositions is common to 

the Ch'eng brothers. Ch'eng I urged the observation of the disposition 

of the Sage. 94 Their follower, Chu Hsi's teacher, Li T'ung 

(Li Yen-p'ing, 1088-1163), taught people to observe the disposition 

before the feelings are aroused. 95 All this was certainly a tendency 

toward quietism. Evidently being aware of this, Chu Hsi 

said that Master Ch'eng merely happened to have said it and that 

one should not simply keep observing the disposition of living 

things. 96 While Chu Hsi is correct, it should not be forgotten that 

Ch'eng is primarily interested in the spirit of life in things, as the 

following selection indicates. To him everything is full of life, and 

90 Another version: That is the Principle of Nature. 

91 Ch'eng's own note. 

92 It is not explicitly stated in the I-shu whether this is Ch'eng Hao's or Ch'eng 

I's saying. It is attributed to Ch'eng I in Chu Tzu yü-lei, 95:12a but to Ch'eng 

Hao in ibid., 62:14b and Chu Tzu wen-chi, 44:19b. In Ms Meng Tzu chi-chu, ch. 

11, comment on Mencius, 6B:6, Chu Hsi quotes this saying and another from 

I-shu, 18:17b as those of "Master Ch'eng." Since the latter saying is definitely 

Ch'eng I's, this saying must also be his. In Chin-ssu lu, ch. 2, sec. 30, it seems to 

belong to Ch'eng I. 

93 Ch'eng's own note. 94 I-shu, 22A:5b, 9a. 

95 Li Yen-p'ing chi (Collected Works of Li T'ung), Cheng-i-t'ang ch'üan-shu 

ed., 2:16a-b. 

96 Chu Tzu yü-lei, 96:17b-18a. 

536

CH'ENG HAO 

this is jen, which can be seen by feeling the pulse or watching the 

chicks. (secs. 27-28) 

39. When one observes the myriad things after one becomes tranquil, 

they will all naturally show their impulses of spring. (6:4a)* C M S 

40. Humanity implies impartiality, that is, to make (the moral principle) 

human. Righteousness means what is proper, the standard for 

weighing what is of greater or smaller importance. Propriety means 

to distinguish (to determine ranks and functions). Wisdom is to know. 

And faithfulness (belief) means "We have it." All things have nature. 97 

These Five Constant Virtues are nature. As to commiseration and so 

forth (the sense of shame, the sense of deference and compliance, and 

the sense of right and wrong), 98 they are all feelings. Whatever is aroused 

is called feeling. (One's nature is naturally self-sufficient. Faithfulness 

merely means "We have it." It shows itself only because of disbelief. 

Therefore faithfulness is not mentioned among the Four Beginnings.) 99 

(9:1a)* M 

41. There is one basis for the Way. Some have said that it is better 

to embrace the mind with sincerity than to embrace sincerity with the 

mind, and it is better to enter into man and things with sincerity than to 

become a triad with Heaven and Earth with it. That would mean two 

bases. To know that there are not two bases is the way to be genuinely 

respectful and to bring peace to the world. (11:1b) 

42. "What exists before physical form [and is therefore without it] 

is called the Way. What exists after physical form [and is therefore with 

it] is called a concrete thing." 100 If anyone regards purity, vacuity, oneness, 

and greatness as the Way of Nature, he is speaking in terms of 

concrete things and not the Way. (11:1b) 

43. "Heaven and earth have their fixed positions and yet the system 

of Change operates in them." 101 Why not say man operates in them? 

Because man is also a thing. If we say spirit operates in them, people 

would look for it only in spiritual beings. It is also all right to say principle 

or sincerity operates in them. Change is purposely mentioned in 

order that people may silently remember it and realize for themselves. 

(11:1b) 

44. In the "Appended Remarks," (of the Book of Changes) it is said, 

"What exists before physical form [and is therefore without it] is called 

the Way. What exists after physical form [and is therefore with it] is 

97 The text has "faithfulness" instead of "nature." Obviously a misprint. 

98 Referring to the Four Beginnings discussed in Mencius, 2A:6. 

99 Ch'eng's own note. 



537


called a concrete thing. 102 It is also said, "Yin and yang are established 

as the Way of Heaven; the weak and the strong as the way of Earth; 

and humanity and righteousness as the Way of man." 103 It further says, 

"The successive movement of yin and yang constitutes the Way." 104 Yin 

and yang also exist after physical form, and yet here they are called the 

Way. This expression clearly distinguishes what exist before and after 

physical form. From the beginning the Way is nothing but this. The important 

thing is that man must in his own mind appreciate this truth. 

(11:1b) 


of Change operates in them." This is nothing but seriousness. With 

seriousness, there will be no interruption. To form the substance of all 

things and nothing can be without it 105 means nothing but sincerity and 

seriousness, for "without sincerity there will be nothing." 106 The Book 

of Odes says, "The Mandate of Heaven, how beautiful and unceasing. 

How shining is it, the purity of King Wen's virtue!" 107 "Purity is also 

unceasing." 108 With purity, there will be no interruption. (11:2a) 

46. "Seriousness is to straighten one's internal life and righteousness 

is to square one's external life." This is the way to unify internal and 

external life. (The Buddhist way of internal and external life is incomplete.) 

109 (11:2a) 

47. Between substance and function there is neither earlier nor later. 

(11:2b) 

48. There is no division between Nature and man. (11:2b) 

49. Seriousness overcomes all evil. (11:2b) 

50. Mencius said, "Humanity is the distinguishing character of man. 

When embodied in man's conduct it is the Way." 110 This is what the 

Doctrine of the Mean means when it says that "to follow human nature 

is called the Way." 111 Jen is to humanize. "Seriousness is to strengthen 

the internal life and righteousness is to square the external life." 112 This 

means yen. If one purposely uses seriousness to straighten his internal 

life, it will not be straightened. Must one be [purposely] straight in the 


103 "Remarks on Certain Trigrams," ch. 2. Cf. Legge, p. 423. 


105 Quoting The Mean, ch. 16. 

106 ibid., ch. 25. 

107 Ode no. 267. King Wen (r. 1171-1122 B.C.) was founder of the Chou 

dynasty. 

108 The Mean, ch. 26, commenting on the ode. 

109 Ch'eng's own note. The quotation is from Changes, commentary on hexagram 

no. 2, k'un (Earth). Cf. Legge, p. 426. 


111 Ch. 1. 

112 Changes, commenting on hexagram no. 2, k'un. Cf. Legge, p. 420. 

538

CH'ENG HAO 

practice of humanity and righteousness? If one is "always doing something 

without expectation," 113 one will be straight. For if one can practice 

seriousness to straighten the internal life and righteousness to square the 

external life, one can be harmonious with things. This is why it is said 

that "as seriousness and righteousness are established, one's virtue will 

not be an isolated instance." 114 Thus the man of jen has nothing in opposition 

to him. He can wander over the four seas and always hits the 

mark. (11:3a) 

51. "The great characteristic of Heaven and Earth is to produce." 

115 "In the fusion and intermingling of Heaven and Earth, the ten 

thousand things are transformed and attain their purity." 116 What is 

inborn is called one's nature. The most impressive aspect of things is 

their spirit of life. This is what is meant by origination being the chief 

quality of goodness. 117 This is jen. Man and Heaven and Earth are one 

thing. Why should man purposely belittle himself? (11:3a-b) 118 

52. Only because it is spirit that is swiftness without hurrying and 

arrives without having traveled. 119 Spirit is neither swift nor arrives. We 

speak of it in this way because otherwise we cannot describe it. (11:3b) 

53. According to the Principle of Heaven and Earth and all things, 

nothing exists in isolation but everything necessarily has its opposite. All 

this is naturally so and is not arranged or manipulated. (11:3b) 

54. The cold of winter and the heat of summer are due to yin and 

yang, and what causes movement and transformation is spirit. Spirit has 

no spatial restriction and Change itself has no physical form. 120 If someone 

should separately establish Nature and say that man cannot embrace 

it, there would be spatial restriction. There would be two bases. (11:3b) 

55. "By thoroughly investigating spirit, transformation may be understood." 

121 Spirit is the mystery of transformation. (11:3b) 


of one's nature, and the fulfillment of destiny are one thing. (11:3b) 

Comment. These three things remained for the Ch'eng brothers, as 

for practically all Neo-Confucianists, the chief objectives in their 

philosophy. In this they did not depart from the Book of Changes 

113 


114 

Changes, ibid. 

115 

ibid., "Appended Remarks," pt. 2, ch. 1. Cf. Legge, p. 381. 

116 

ibid., ch. 5. Cf. Legge, p. 393. 

117 Changes, commentary on hexagram no. 1, ch'ien (Heaven). Cf. Legge, 

p. 408. 

118 In Chu Tzu yü-lei, 95:19a, Chu Hsi's pupil mistakenly ascribed this saying 

to Ch'eng I. 


120 ibid., ch. 4. Cf. Legge, 354. 

121 ibid., pt. 2, ch. 5. Cf. Legge, p. 390. 539


from which these concepts have been derived. 122 However, whereas 

in the Book of Changes and in Chang Tsai, for example, the fulfillment 

of destiny always follows the two other steps, 123 the Ch'eng 

brothers stressed their simultaneity. They were the first ones to do 

so. But Chang criticized them as too high sounding, for according 

to him, the full development of nature involves the nature not only 

of oneself but of all men and even things, and therefore there must 

be a sequence. 124 


of Change operates in them." 125 This is because of spirit. (11:4a) 

58. There is no spirit outside of material force and there is no material 

force outside of spirit. If it is said that the pure is spirit, does it 

mean that the turbid is not spirit? (11:4a) 

59. When one says that there is non-being, the word "is" is superfluous. 

When one says that there is not being, the term "is not" is 

superfluous. Being and non-being are comparable to activity and tranquillity. 

Before winter solstice, when heaven and earth seem to close up, 

tranquillity prevails, and yet the sun, the moon, and the stars move by 

themselves without cease. Can it be said to be without activity? Only 

people do not understand the true nature of being and non-being, and 

activity and tranquillity! (11:4a) 

60. Loyalty and faithfulness are spoken of with reference to man. 

Essentially, they are concrete principles. (11:4a) 

61. The principle of the Mean is perfect. Nothing can be produced 

with yin or yang alone. Those who possess them partially are animals and 

barbarians, while those who possess them in balanced proportions are 

men, (11:4b) 

62. All things have their principle. It is easy for a thing to function 

if it is in accord with principle but difficult if it violates it. When everything 

follows its own principle, what is the necessity of one's own hard 

toil? (11:5a) 

63. Every human mind possesses knowledge. Only when it is obscured 

by human desires does it forget the Principle of Nature. 126 (11:5a) 

64. All the myriad things have their opposites. When there is yin, 

122 

"Remarks on Certain Trigrams," ch. 1. Cf. Legge, p. 422. 

123 

See Chang's Cheng-meng (Correcting Youthful Ignorance), ch. 6, in Chang 

Heng-ch'ü chi (Collected Works of Chang Tsai), Cheng-i-t'ang ch'üan-shu ed., 

3:5a. 

124 

See I-shu, 10:5a. 

125 Changes, "Appended Remarks," pt. 1, ch, 7. Cf. Legge, p. 360. 

126 The text has "virtue" but one version has "principle." It is used here for the 

contrast between human desires and the Principle of Nature that was to play a 

great role in the controversy among Neo-Confucianists. 

540

CH'ENG HAO 

there is yang. When there is good, there is evil. As yang increases, yin 

decreases, and as goodness is augmented, evil is diminished. This principle 

can be extended far and wide. Man only needs to know this principle. 

(11:5a-b) 

65. Jen means to devote oneself to the benefit of other people and 

things. Altruism means putting oneself in their position. Conscientiousness 

and altruism form the central thread running through all conduct. 

Conscientiousness is the Principle of Nature whereas altruism is the way 

of man. Conscientiousness is unerring and altruism is the way to practice 

that conscientiousness. Conscientiousness is substance, while altruism 

is function. They are the great foundation and universal way of life. 

(11:5b) 

66. To be sincere is the way of Heaven (Nature). To be serious is 

the basis of human affairs. (Seriousness is function.) 127 One who is 

serious will be sincere. (11:7b) 

67. To use oxen for carts and horses for chariots is to do so in accordance 

with their nature. Why not use oxen for chariots and horses for 

carts? Because principle does not permit this. (11:8a) 

68. "All things are already complete in oneself. There is no greater 

joy than to examine oneself and be sincere (or absolutely real). 128 If one 

lacks sincerity, one will violate the principle of things and will not be in 

harmony with them. (11:9a) 

69. The Mean is the great foundation of the universe. It is the correct 

principle of all under heaven which is central and straight. Any deviation 

from it is wrong. Only when one cultivates it with seriousness without 

fail can one fully preserve it. (11:11a) 

70. Nature is identical with principle. By spirit is meant the mystery 

of the ten thousand things. The Lord is so-called because it is the 

master of things. (11:11b) 

71. "Heaven produced the virtue that is in me." 129 "Since the death of 

King Wen, is not the course of culture (wen) in my keeping?" 130 In 

saying this the Sage absolutely and decisively based it on principle. 

(11:11b) 

Comment. It had always been understood that Confucius was 

thinking of fate (ming, destiny) but Ch'eng Hao substituted principle 

for it. This testifies to the rationalism in Neo-Confucian 

thought. 

72. Principle and righteousness are substance and function, respectively. 

(11:12a) 

127 

Ch'eng's own note. 


541 

128 


130 

ibid., 9:5.


73. Men are born with the endowment of the Mean from Heaven 

and Earth. This is what is meant by "What Heaven imparts to man is 

called human nature." 131 [When Confucius said], "Man is born with 

uprightness," 132 he meant the same. (12:1a) 

74. With reference to what is called centrality (the Mean), if it 

means the center of a square, then is there no centrality in the four sides? 

If centrality means the middle between the inside and outside, then is 

there no centrality on the outside? "Change means production and reproduction. 

. . ." 133 Thus can we only consider the Book of Changes to be 

Change! Let us call what is central, central, but we must not hold on to 

that point as centrality. (12:1a) 

75. Even sweeping the floor and answering questions belong to the 

realm of what exists before physical form, for in principle there is neither 

great nor small. Therefore the superior man should simply be watchful 

over himself when alone. (13:1b) 

76. The Buddhists do not understand yin and yang, day and night, 

life and death, or past and present. How can it be said that their metaphysics 

is the same as that of the Sage? (14:1b) 

77. The Sage extends his mind of impartiality and exhausts the principle 

of Heaven, Earth, and all things to the utmost, each according to 

its proper function. But the Buddhists are all devoted to their own 

selfishness. How can their doctrines be the same as that of the Sage? The 

Sage follows principle and therefore his doctrines are even, straight and 

can easily be practiced. But the machination of the heterodox school requires 

so much effort. It is not natural. Therefore it is far, far wrong. 

(14:2a) 

Comment. Like other Neo-Confucianists, Ch'eng Hao was not 

unattracted to Buddhism at first. As pointed out before, he "went 

in and out of the Taoist and Buddhist Schools for almost ten 

years," 134 and once when he visited a Buddhist temple and saw 

the marvelous etiquette, he exclaimed, "All the decorum of the 

Three Dynasties 135 is found here!" But he must not be made to appear 

Buddhistic as Tokiwa has done. 136 After all he was a severe 

131 132 




134 135 

See above, Introduction. 

Hsia, Shang, and Chou. 

136 

Tokiwa Daijo, Shina ni okeru bukkyo to jukyo dokyo (Buddhism in Relation 

to Confucianism and Taoism in China), 1930. Here Ch'eng's doctrine of 

calming one's nature is considered to be a result of his understanding, though not 

experience, of Buddhism, and his doctrine of "there is nothing outside the Way 

and there is no Way outside of things" (sec. 32) as similar to the Buddhist doctrine 

that matter and emptiness are identical! (pp. 277, 297) 

542

CH'ENG HAO 

critic of Buddhism. To him, the Buddhists were selfish, limited, and 

partisan in their views, incapable of handling human affairs, and 

threatening people with the cycle of birth and death. 137 While he 

offered no unusual argument, his antagonism is unmistakable. 

137 

I-shu, 13:1a-b. 

543

... 32 ... 

THE RATIONALISTIC TENDENCY IN CH'ENG I 

THE GREAT IMPORTANCE of Ch'eng I (Ch'eng I-ch'uan, 1033- 

1107) and his elder brother Ch'eng Hao (Ch'eng Ming-tao, 1032- 

1085) in the history of Chinese philosophy, the origin of their ideas, 

and their fundamental agreement in their basic concept of principle (li) 

have been dealt with in the previous chapter. As indicated there, with 

reference to principle, while Ch'eng Hao emphasizes its aspect of production 

and reproduction, Ch'eng I emphasizes the aspect of the harmony 

of one and many. His saying, "Principle is one but its manifestations 

are many," 1 has become one of the most celebrated philosophical 

statements in China. It also sums up Neo-Confucian metaphysics in 

brief. 2 There is a strong probability that the idea came from Buddhism, 

particularly the Hua-yen School, for its similarity to the Hua-yen doctrine 

of harmony of principle and facts is too close to be dismissed as 

coincidence. 3 

As to the relation between principle and material force (ch'i), it is 

popular to contrast Ch'eng I as dualistic and Ch'eng Hao as monistic. It 

is true that Ch'eng Hao said, "There is no spirit outside of material 

force and there is no material force outside of spirit," 4 while Ch'eng I 

said material force exists after physical form [and is therefore with it] 

whereas the Way exists before form [and is therefore without it]. 5 But 

Ch'eng I also said that there is no yin or yang (material forces or passive 

and active cosmic forces) outside the Way. 6 For him the two realms are 

not widely separate or sharply different. As he said, "What makes [the 

material force] yin or yang is the Way." 7 In other words, principle and 

material force are merely two aspects. Whatever dualism there may be, it 

is superficial. 

Fung Yu-lan has asserted that to Ch'eng I, principle is comparable to 

the "idea" or "form" in ancient Greek philosophy, whereas to Ch'eng 

Hao, it is "nothing more than the natural tendency or force inherent in 

any concrete object." 8 In view of their common ideas of principle, it is 

difficult to understand this diametric opposition. Carsun Chang is right 

in taking Fung to task. 9 As Chang has pointed out, both brothers main- 

1 

See secs. 2 and 75; also Ts'ui-yen (Pure Words), l:23b-24a, in ECCS. 

2 

For the application of the theory to Chinese ethics, see above, ch. 30, comment 

on sec. 1. 

3 

See above, ch. 25, Introduction; A, 7; B, 1; B, 2, (1). 

4 5 6 7 

See above, ch. 31, sec. 58. See sec. 36. ibid. ibid. 

8 

History of Chinese Philosophy, vol. 2, pp. 507-508. 

9 

Development of Neo-Confucian Thought, pp. 192-194. 

544

CH'ENG I 

tained that the Way cannot be found outside of material force. A thing 

involves both the corporeal (material force) and incorporeal (principle) 

aspects. This is what Ch'eng I meant by one manifesting as many. 

It should be apparent that while the Ch'eng brothers resemble Chang 

Tsai (Chang Heng-ch'ü, 1020-1077) in emphasizing material force, with 

them it is no longer the basis of existence as with Chang 10 but only the 

corporeal aspect. Also, while Chang conceived material force to be perpetual 

contraction and expansion, to the Ch'eng brothers each operation 

is new. This is a new note in Chinese philosophy, a note more strongly 

struck by Ch'eng I than by his brother. Again and again he underlines the 

fact that in each new production fresh material force is used. Thus as the 

universe is a perpetual process of production and reproduction, new 

material force is perpetually generated by Origination. But exactly how 

this process works has never been explained. 

To both brothers this creative process is jen. To Ch'eng Hao, jen is 

a matter of feeling, but Ch'eng I conceives it to be a seed that grows. 11 

This obviously reflects his idea of the universe as production and reproduction. 

It also indicates that while Ch'eng Hao is more subjective and 

tends toward the internal, Ch'eng I tends to the external as well and is 

more objective. In his emphasis on seriousness (ching), 12 he seems to 

stress the internal as does Ch'eng Hao, although for both of them 

"Seriousness to straighten the internal life and righteousness to square 

the external life" must go hand in hand. However, while Ch'eng Hao 

more or less concentrates on self-cultivation, Ch'eng I insists that selfcultivation 

and the extension of knowledge must be pursued at the same 

time. Here lies perhaps the greatest divergence between the two brothers. 

Ch'eng Hao said very little about the investigation of things. Ch'eng I, 

on the contrary, makes the investigation of things a cardinal concept in 

his system. Besides, for Ch'eng Hao, the investigation of things means 

to correct the mind of bad habits, but for Ch'eng I it means inductive 

and deductive study and handling human affairs, for, according to him, 

everything, however small, contains principle and is to be investigated. 

This is the rationalistic spirit that characterizes his whole philosophy and 

later that of his follower, Chu Hsi (1130-1200), so that their school, 

called the Ch'eng-Chu School, may properly be called the Rationalistic 

School. 

The two brothers are as widely different in temperament as can be 

imagined. Ch'eng Hao was warm, always at ease, tolerant, agreeable, 

understanding, amiable, and never angry for as long as twenty years. 

10 For Chang, see above, ch. 30, secs. 2-9, 16, 30, 36, 42, and 43. 

11 See above, ch. 31, sec. 11, and ch. 32, sec. 42. See also comment on the latter 

For comments on the term jen, see Appendix. 

12 For a discussion on this term, see Appendix. 

545

THE RATIONALISTIC TENDENCY 

Ch'eng I, on the other hand, was stern, grave, straight, not hesitating to 

shout at people, and so strong in self control that when the boat in 

which he was riding was about to sink, he was not disturbed at all. Perhaps 

the most dramatic event that shows the differences between the two 

brothers is that once when they entered a hall, all people followed 

Ch'eng Hao on one side but none followed Ch'eng I on the other. 13 

Both brothers exerted a tremendous influence on the philosophical 

and political thinking of their time, having, as they did, prominent official 

scholars as their followers. Ch'eng I's influence was comparatively 

greater because he enjoyed a long life. Although he declined high official 

positions, he openly and freely criticized those in power and in this way 

was to no small degree responsible for the rise of bitter struggle between 

his and opposing parties. 14 His teachings were prohibited most of the 

time from 1103, five years before his death, to 1155. The antagonism of 

the rulers against his moralistic lectures was so strong that only four 

people were courageous enough to attend his funeral. 15 However, his 

philosophy contained too many sound ideas to be suppressed forever. By 

1155, Chu Hsi was already twenty-five years old. Within a decade, he 

was already expounding a philosophy that made him Ch'eng I's greatest 

follower. The Ch'eng-Chu School developed rapidly. 

13 Wai-shu (Additional Works), 11:5b, 12:3b, 5b, 6b, in ECCS; I-Lo yüan-yüan 

lu (Record of the Origin of the School of the Two Ch'engs), Cheng-i-t'ang ch'üanshu 

(Complete Library of the Hall of Rectifying the Way) ed., 2:15a, 4:15a. 

14 Ch'eng I's courtesy name was Cheng-shu. Because he and his brother lived 

in the I River area in Honan, he was called Master I-ch'uan (I River). In 1056 he 

and his brother entered the national university where he was so outstanding that a 

schoolmate treated him as a teacher. At twenty-five (1057) he memorialized the 

emperor to practice the Confucian kingly way. Two years later he obtained the 

"presented scholar" degree. He lived and taught in Lo-yang, and repeatedly declined 

high offices, including a professorship at the directorate of education in 

1085. In 1086 he was appointed expositor in waiting, and he lectured in 

great seriousness on Confucian principles to the emperor. He did this for twenty 

months and attracted many followers. But his uncompromising attitude, his critical 

opinions, and his attack on many things created bitter enemies, particularly 

Su Shih (Su Tung-po, 1036-1101), leader of the Szechuan group. This led to the 

bitter factional struggle between it and the Lo-yang group led by Ch'eng I. In 

1087 he was appointed director of the directorate of education in the western 

capital but resigned a few months later. When he was supervisor of the directorate 

in 1092, censors repeatedly petitioned for his impeachment. He finally resigned and 

returned to Lo-yang. In 1097 his teachings were prohibited, his land was confiscated, 

and he was banished to Fu-chou in modern Szechuan. He was pardoned 

three years later and resumed his position at the directorate. By that time, government 

persecution of factions had become severe. Both he and Su Shih, along with 

several hundred scholars, were blacklisted. His followers left him. In 1103 his 

books were destroyed and teachings prohibited. He was pardoned again in 1106, a 

year before he died. See Sung shih (History of the Sung Dynasty, 960-1279), PNP, 

427:10a-15b, Yao Ming-ta, Ch'eng I-ch'uan nien-p'u (Chronological Biography 

of Ch'eng I), 1937, and Bruce, Chu Hsi and His Masters, pp. 45-47. 

15 Yao Ming-ta, Ch'eng I-ch'uan nien-p'u, pp. 262, 273-283. 

546

CH'ENG I 

Below are selections of Ch'eng I's sayings covering various subjects as 

follows: 16 

Buddhism and Taoism: 23, 25, 50-55 

Good and Evil: 58, 63, 66, 71 

Investigation of things: 14, 16, 17, 31, 44, 47, 62 

Jen (humanity): 6, 7, 28, 40-42, 71, 74 

Knowledge: 4, 11, 38, 67, 68 

Material force (ch'i): 12, 13, 21, 33, 35-37, 39, 63 

Mind: 3, 58, 64 

Moral cultivation: 1, 15, 18, 20, 24, 45, 56 

Nature and Destiny: 8, 12, 49, 58-61, 63, 66, 67, 72 

Principle (li): 2, 17, 18, 24, 31, 34, 47, 48, 58, 62, 66, 75-77 

Production and reproduction: 21, 22, 39, 64, 70 

Seriousness (ching): 5, 9, 15, 29, 32, 43, 45, 46 

Spiritual forces: 65, 70, 73, 78 

Way (Tao): 10, 13, 22, 26, 30, 33, 36, 57, 69, 73, 78 

THE COMPLETE WORKS OF THE TWO CH'ENGS 17 

1. A Treatise on What Yen Tzu 18 Loved to Learn 

When Master Ch'eng studied at the national university as a 

young man [1056], 19 Hu An-ting (Hu Yüan, 993-1059) 

examined his students on this subject. When he read this treatise, 

he was greatly amazed. He immediately asked to meet 

him and forthwith appointed him to an academic position. 20 

In the school of Confucius, there were three thousand pupils. Yen 

Tzu alone was praised as loving to learn. It is not that the three thousand 

scholars had not studied and mastered the Six Classics such as the Book 

of Odes and the Book of History. Then what was it that Yen Tzu alone 

loved to learn? Answer: It was to learn the way of becoming a sage. 

Can one become a sage through learning? Answer: Yes. What is the 

way to learn? Answer: From the essence of life accumulated in Heaven 

and Earth, man receives the Five Agents (Water, Fire, Wood, Metal, 

and Earth) in their highest excellence. His original nature is pure and 

tranquil. Before it is aroused, the five moral principles of his nature, 

called humanity, righteousness, propriety, wisdom, and faithfulness, are 

16 All the sayings are from ECCS. 

17 For this work, see above, ch. 31, n.21. 

18 Yen Hui, Confucius' favorite pupil. Confucius once remarked that the pupil 

loved learning more than anyone else. See Analects, 6:2. 

19 Chu Hsi said that this was written when Ch'eng I was eighteen, that is, in 

1060. See Chu Tzu yü-lei (Classified Conversations of Chu Hsi), 1880 ed., 93:9a. 

Yao Ming-ta, however, in his Ch'eng I-ch'uan nien-p'u, p. 16, contends with convincing 

evidence that the date was 1056. 

20 This note is in the text. 

547


complete. As his physical form appears, it comes into contact with external 

things and is aroused from within. As it is aroused from within, 

the seven feelings, called pleasure, anger, sorrow, joy, love, hate, and 

desire, ensue. As feelings become strong and increasingly reckless, his 

nature becomes damaged. For this reason the enlightened person controls 

his feelings so that they will be in accord with the Mean. He rectifies 

his mind and nourishes his nature. This is therefore called turning the 

feelings into the [original] nature. The stupid person does not know 

how to control them. He lets them loose until they are depraved, fetter 

his nature, and destroy it. This is therefore called turning one's nature 

into feelings. 

The way to learn is none other than rectifying one's mind and nourishing 

one's nature. When one abides by the Mean and correctness and becomes 

sincere, he is a sage. In the learning of the superior man, the first 

thing is to be clear in one's mind and to know where to go21 and then act 

vigorously in order that one may arrive at sagehood. This is what is 

meant by "sincerity resulting from enlightenment." 22 

Therefore the student must exert his own mind to the utmost. If he 

does so, he will know his own nature. And if he knows his own nature, 

examines his own self and makes it sincere, he becomes a sage. Therefore 

the "Great Norm" says, "The virtue of thinking is penetration and 

profundity. . . . Penetration and profundity lead to sageness." 23 The 

way to make the self sincere lies in having firm faith in the Way. As there 

is firm faith in the Way, one will put it into practice with determination. 

When one puts it into practice with determination, he will keep it 

securely. Then humanity, righteousness, loyalty, and faithfulness will 

never depart from his heart. In moments of haste, he acts according to 

them. In times of difficulty or confusion, he acts according to them. 24 

And whether he is at home or outside, speaking or silent, he acts according 

to them. As he holds on to them for a long time without fail, 

he will then be at home with them and in his movements and expressions, 

he will always be acting in a proper manner, and no depraved 

thought will arise in him. This is the reason why Yen Tzu, in his behavior, 

"did not see what was contrary to propriety, did not listen to 

what was contrary to propriety, did not speak what was contrary to 

propriety, and did not make any movement which was contrary to propriety." 

25 Confucius praised him, saying, "When he got hold of one 

thing that was good, he clasped it firmly, as if wearing it on his breast, 

and never lost it." 26 He also said, "[Hui] did not transfer his anger; he 

did not repeat a mistake." 27 "Whenever he did anything wrong, he never 

21 22 

One version has "what to nourish." The Mean, ch. 21. 

23 

History, "Great Norm." Cf. translation by Legge, Shoo King, p. 327. 

24 

Analects, 4:5. 25 ibid., 12:1. 

26 27 



548

CH'ENG I 

failed to realize it. Having realized it, he never did it again." 28 This is 

the way he earnestly loved and learned. 

All [Yen Hui's] seeing, listening, speaking, and movement were in 

accord with propriety. Therein he differed from a sage in that whereas 

a sage "apprehends without thinking, hits upon what is right without 

effort, and is easily and naturally in harmony with the Way," 29 Yen Tzu 

had to think before apprehending, and had to make an effort before 

hitting upon what was right. Hence it has been said, "The difference 

between Yen Tzu and the sage is as little as a moment of breathing." 30 

Mencius said, "He [whose goodness] is abundant and is brilliantly 

displayed is called a great man. When one is great and is completely 

transformed [to be goodness itself], he is called a sage. When a sage 

is beyond our knowledge, he is called a man of the spirit." 31 The virtue of 

Yen Tzu may be said to be abundant and brilliantly displayed. What was 

lacking in him was that he held on to [goodness] but was not yet completely 

transformed [into goodness itself]. Since he loved to learn, had 

he lived longer, 32 he would have achieved transformation in a short time. 

Therefore Confucius said, "[Hui] unfortunately lived a short life." 33 Confucius 

was lamenting the fact that he did not reach the state of the sage. 

What is meant by being transformed [to be goodness itself] is to enter 

into the spirit and be natural with it, so that one can apprehend without 

thinking and hit upon what is right without effort. When Confucius said, 

"At seventy I could follow my heart's desire without transgressing moral 

principles," he meant this. 34 

Someone asks: A sage is one who is born with knowledge. Now you 

say that sagehood can be achieved through learning. Is there any basis 

for this contention? Answer: Yes, Mencius said, "Sage-emperors Yao 

and Shun 35 [practiced humanity and righteousness] because of their 

nature, and Kings T'ang and Wu 36 [practiced them] because of their 

effort to return (to their nature)." 37 Those who do so by nature are those 

born with the knowledge (of the good), and those who return to their 

nature are those who obtain knowledge (of the good) through learning. 

It is also said, "Confucius was born with such knowledge but Mencius 

28 

Changes, "Appended Remarks," pt. 2, ch. 5. Cf. translation by Legge, Yi 

King, p. 392. 

29 


30 

This is probably Ch'eng I's own statement. In Ch'eng I-ch'uan nien-p'u, p. 17, 

this saying is not in quotation marks while actual quotations are. 

31 

Mencius, 7B:25. 32 He died at thirty-two. 



35 

Legendary rulers (3rd millennium B.C.). 

36 

Founders of the Shang (1751-1112 B.C.) and Chou (1111-249 B.C.) dynasties, 

respectively. 

37 


549


obtained it through learning." 38 Not understanding the true meaning of 

this, in later years people thought that sagehood was basically due to inborn 

knowledge (of the good) and could not be achieved through learning. 

Consequently the way to learn has been lost to us. Men do not seek 

within themselves but outside themselves and engage in extensive learning, 

effortful memorization, clever style, and elegant diction, making 

their words elaborate and beautiful. Thus few have arrived at the Way. 

This being the case, the learning of today and the learning that Yen Tzu 

loved are quite different. (I-ch'uan wen-chi, 4:1a-2a) 

2. Letter in Reply to Yang Shih's 39 Letter on the Western Inscription 

The opinions expressed in the ten essays on history which you sent 

me are quite correct. Soon after I looked at them, they were borrowed 

from me. I shall have to read them again carefully. Your opinions on the 

"Western Inscription," however, are incorrect. It is true that Chang Tsai 

has sometimes gone too far in what he says, notably in his Cheng-meng 

(Correcting Youthful Ignorance). 40 As a written work, however, the 

"Western Inscription" extends principle to cover all in order to preserve 

righteousness (what is correct and proper in specific social relations), 

thus expounding on something that previous sages has not expressed. 

In this his contribution is equal to that of Mencius' doctrines on the 

original goodness of human nature and on nourishing the strong moving 

power. 41 (Both of these had also not been expressed by previous sages.) 42 

How can there be any comparison with Mo Tzu (fl. 479-438 B.C.)? 

The "Western Inscription" makes it clear that principle is one but its 

manifestations are many, but Mo Tzu's teachings involve two bases 

without differentiation. (To treat the elders in one's own family with 

respect and the young with tenderness and then extend that respect and 

tenderness to include the elders and young in other families shows 

that principle is one, whereas Mo Tzu's doctrine of universal love 

without distinction means that there are two bases [one's own parents 

as the source of life and also other people's parents]). The fault of 

38 

Probably referring to Mencius, 2A:2. It is not a quotation from any work. 

In his translation of the treatise, P. C. Hsü omitted the phrase "It is also said" 

(Ethical Realism in Neo-Confucian Thought, p. xviii). 

39 

Yang Kuei-shan (1053-1135) was one of the outstanding pupils of the Ch'eng 

brothers and a prominent Neo-Confucianist. For an account of him and his 

thought, see Forke, Geschichte der neueren chinesischen Philosophie, pp. 104-110; 

also Huang Tsung-hsi (1610-1695) et al., Sung-Yüan hsüeh-an (Anthology and 

Critical Accounts of the Neo-Confucianists of the Sung and Yuan Dynasties, 

960-1368), ch. 25. Yang's letter to Ch'eng is found in the Yang Kuei-shan Hsiensheng 

chi (Collected Works of Master Yang Shih), 1707 ed., 16:6a-b. For the 

"Western Inscription," see above, ch. 30, A. 

40 41 

See above, ch. 30, B. 

Mencius, 6A:2, 2A:2. 

42 

This and the following sentence in parentheses are Ch'eng's own insertions. 

550

CH'ENG I 

having [only] the many manifestations [that is, distinctions in human 

relations but no universal principle underlying them] is that selfishness 

will dominate and humanity (jen) will be lost. On the other hand, the 

sin of having no manifestations is that there will be universal love for all 

without righteousness. To establish the many manifestations and to 

extend the one principle in order to check the tendency of being dominated 

by selfishness, is the method of jen. To make no distinction in 

human relations and to be deluded in universal love to the extreme of 

recognizing no special relationship with the father, 43 is to do violent 

injury to rightousness. You are mistaken in comparing and equating 

them. Furthermore, you said that the "Western Inscription" speaks of substance 

[jen] without including function [its specific application in various 

human relations according to righteousness]. But its intention is to enable 

people to extend [principle] and put it into practice. The purpose 

is primarily for its function (practice). And yet you said that it does 

not include function. How strange! (ibid., 5:12b) 

SELECTED SAYINGS 44 

3. The mind of one man is one with the mind 45 of Heaven and Earth. 

The principle of one thing is one with the principle of all things. The 

course of one day is one with the course of a year. (2A:1a) 

4. True knowledge and ordinary knowledge are different. I once saw 

a farmer who had been wounded by a tiger. When someone said that a 

tiger was hurting people, everyone was startled. But in his facial expression 

the farmer reacted differently from the rest. Even a young boy 

knows that tigers can hurt people, but his is not true knowledge. It is 

true knowledge only if it is like the farmer's. Therefore when men know 

evil and still do it, this also is not true knowledge. If it were, they would 

surely not do it. (2A:2b-3a)* 46 

To devote oneself to investigate principle to the utmost does not 

mean that it is necessary to investigate the principle of all things in the 

world to the utmost nor does it mean that principle can be understood 

merely by investigating one particular principle. It is necessary to accumulate 

much and then one will naturally come to understand principle. 

(2A:22b)* CH 47 

43 

This is Mencius' criticism of Mo Tzu's doctrine of universal love. See Mencius, 

3B:9. 

44 

Unless otherwise indicated, all sayings are from the I-shu. See above, ch. 

31, nn.21 and 39. Here the letters indicate that the sayings have been taken to be 

Ch'eng I's in the anthologies represented by the letters. 

45 

One version has t'i (substance) instead of "mind." 

46 

Ch'eng I said virtually the same thing in I-shu 15:4a. For an explanation of 

the asterisk, see above, ch. 31, n.39. 

47 

For an explanation of this and other letters, see above, ch. 31, n.39. 

551


5. Seriousness without fail is the state of equilibrium before the 

feelings of pleasure, anger, sorrow, and joy are aroused. 48 Seriousness is 

not equilibrium itself. But seriousness without fail is the way to attain 

equilibrium. (2A:23b)* S CH M 49 

6. With jen (humanity) there will be unity. Without jen, there will 

be duality. (3:3b) 

7. The way of jen is difficult to describe. Impartiality alone is close 

to it. But impartiality is not identical with jen. (3:3b) 

8. One's nature cannot be spoken of as internal or external. (3:4a) 

9. Only after one forgets seriousness can he be serious at all times. 

(3:5b) 

10. "The successive movement of yin and yang (passive and active 

cosmic forces) constitutes the Way (Tao)." 50 The Way is not the same 

as yin and yang but that by which yin and yang succeed each other. It 

is like Change, which is the succession of closing (contracting) and 

opening (expanding). (3:6a) 

11. The source of learning is thought. (6:1a)* C 

12. It would be incomplete to talk about the nature of man and 

things without including material force and unintelligible to talk about 

material force without including nature. (It would be wrong to consider 

them as two.) 51 (6:2a)* C S 

13. All that has physical form is identical with material force. Only 

the Way is formless. (6:2b)* M 

14. The extension of knowledge consists in the investigation of 

things. 52 As things approach, knowledge will arise. Leave things as they 

are and do not labor your knowledge of them. Then you will be sincere 

and not disturbed. As the will is sincere, it will naturally be calm and the 

mind will be rectified. This is the task of beginning to learn. (6:3b)* S 

15. If one concentrates on one thing and does not get away from it and 

be serious in order to straighten the internal life, he will possess strong, 

moving power. (15:1a) 

16. If one extends knowledge to the utmost, one will have wisdom. 

Having wisdom, one can then make choices. (15:1a) 

17. A thing is an event. If the principles underlying the event are 

investigated to the utmost, there all principles will be understood. (15:- 

1a) 


49 It is not clear whether this saying is assigned to Ch'eng I or Ch'eng Hao in 

Chu Hsi's Chin-ssu lu (Reflections on Things at Hand), ch. 4, but Chu Hsi in his 

Chu Tzu wen-chi (Collection of Literary Works by Chu Tzu), CTTC, 64:29a, 

quotes part of this as Ch'eng I's. 


51 Ch'eng's own note. See above, ch. 31, n.92. 

52 Quoting the text of the Great Learning. 

552

CH'ENG I 

18. If one does not look, listen, speak, or move in violation of principle, 

that is propriety, for propriety is none other than principle. What 

is not of the Principle of Nature (T'ien, Heaven) is of human (selfish) 

desire. In that case, even if one has the intention to do good, it will still 

be contrary to propriety. When there is no human (selfish) desire, then 

all will be the Principle of Nature. (15:1b) 

19. Where there is impartiality, there is unity, and where there is 

partiality, there is multiplicity. The highest truth is always revolved into 

a unity, and an essential principle is never a duality. If people's minds 

are as different as their faces are, it is solely due to partiality. (15:1b) 

20. In nourishing the mind there is nothing better than having few 

desires. Without desires, there will be no delusion. One does not need to 

be submerged in desires. Merely to have the intention is already desire. 

(15:2b) 

21. If we say that the material force which has already returned [to 

Nature] must be needed to become once more the expanding material 

force, such a theory would be entirely at odds with the transformation 

of Heaven and Earth. The transformation of Heaven and Earth naturally 

produces and reproduces without end. What is the need for any physical 

form that has perished or material force that has returned [to Nature] to 

constitute creation? Let us take an example near at hand in our own 

body. The opening and closing, going and coming [of the material or 

vital force] can be seen in breathing. It is not necessary to depend on 

inhaling the already exhaled breath for the second time in order to 

breathe out. Material (vital) force naturally produces it. The material 

force of man is produced from the true source (chen-yüan, true origin). 

The material force of Nature also naturally produces and reproduces 

without end. Take, for example, the case of tides. They dry up because 

yang (the sun) is very strong. When yin (the moon) is strong and tides 

are produced, it is not that the dried-up water is used to produce them. 

They are produced by themselves. Going and coming, and expansion 

and contraction, are but principle. As there is growth, there is decline; 

as there is morning, there is evening; and as there is going, there is coming. 

The universe is like a vast furnace. What cannot be burned up? 

(15:4b-5a) 

22. The Way spontaneously produces all things. What has grown in 

the spring and what has matured in the summer are all productions of 

the Way. When things grow in the next season, we should not say that 

the material force already used for production now produces again. It 

is the Way that spontaneously produces and reproduces without end. 

(15:5b) 

553


Comment. The significance of this new idea of the universe as production 

and reproduction has been indicated. 53 Where did this idea 

come from? The idea that the characteristic of Heaven and Earth 

is to give life comes from the Book of Changes. 54 But why did it 

suddenly occur with the Ch'eng brothers after having been dormant 

for a thousand years? In all likelihood, Chou Tun-i's love of life and, 

through his influence, Ch'eng Hao's love of the spirit of life certainly 

had something to do with it. Perhaps the Buddhist doctrine of 

"seeds" was a contributing factor. According to the Consciousness- 

Only School of Buddhism, the mind is a storehouse of "seeds" or 

effects of good and evil deeds which exist from time immemorial and 

become the energy to produce manifestations that make up the 

world. The Ch'engs had been for years interested in Buddhism, and 

it is not unreasonable to suppose that the idea of the generative 

"seeds" might have made some impression on them although there 

is no concrete evidence to prove the point. 55 The most important 

factor, however, is the fact that the idea of "sustaining and supporting 

the life of one another" had been a long tradition in the Confucian 

School. Han Yü (768-824) brought it to the fore when he 

attacked Buddhism and Taoism in his celebrated essay, Yüan-tao 

(An Inquiry on the Way). From that idea it was a logical step to 

the concept of giving life or production and reproduction, not only 

as way of man's life, but of the universe as well. 56 All these ideas 

are expressed by the word sheng. 

23. The doctrines of Buddhism are not worthy of matching the doctrines 

of our Sage. One need only compare them and having observed 

that they are different, leave Buddhism alone. If one tries to investigate 

all its theories, it is probably an impossible task. Before one has done 

that, he will already have been transformed into a Buddhist. But let us 

take a look at Buddhism from the point of view of facts. In deserting his 

father and leaving his family, the Buddha severed all human relationships. 

It was merely for himself that he lived alone in the forest. Such a 

person should not be allowed in any community. Generally speaking, he 

did to others what he himself despised. Such is not the mind of the sage, 

nor is it the mind of a superior man. The Buddhists themselves will not 

abide by the principles of the relationship between the ruler and minister, 

between father and son, and between husband and wife, and criticize 

53 See above, ch. 31, comment on sec. 19. 

54 "Appended Remarks," pt. 2, ch. 1. Cf. trans. by Legge, p. 381. 


56 For a more lengthy discussion of the idea, see Chan, "The Neo-Confucian 

Solution of the Problem of Evil," Studies Presented to Hu Shih on His Sixty-fifth 

Birthday, pp. 787-791. 

554

CH'ENG I 

others for not doing as they do. They leave these human relationships to 

others and have nothing to do with them. They set themselves apart as 

a special class. If this is the way to lead the people, it will be the end of 

the human race. As to their discourse on principle and the nature of 

things, it is primarily for the sake of life and death. Their feelings are 

basically love of life and fear of death. This is selfishness. (15:5b) 

24. If one guards against depravity, that of course constitutes [conconcentration 

on] 57 one thing. But if one concentrates on one thing, there 

will be no need to speak of being on guard against depravity. There 

are some who think that singlemindedness is difficult to recognize 

and not easy to work for, and do not know what to do. Singlemindedness 

is nothing but orderliness and graveness. With these the mind will be 

concentrated. As it is concentrated, it will naturally not do anything 

wrong. If one cultivates the mind for a long time, the Principle of Nature 

will become clear to him. (15:6b) 

25. You cannot say that the teachings of the Buddhists are ignorance, 

for actually they are extremely lofty and profound. But essentially speaking, 

they can finally be reduced to a pattern of selfishness. Why do we 

say this? In the world there cannot be birth without death or joy without 

sorrow. But wherever the Buddhists go, they always look for an opportunity 

to tell subtle falsehood and exercise deception, and to preach the 

elimination of birth and death and the neutralization of joy and sorrow. 

In the final analysis this is nothing but self-interest. The teachings of 

the Taoists even carry with them an element of treachery, as evidenced 

in their sayings that the purpose of giving is to take away and the purpose 

of opening is to close. 58 Furthermore, their general intention is to 

fool the people and to be wise themselves. When the ruler of Ch'in 

(221-206 B.C.) fooled his people, his tricks probably derived from the 

Taoists. (15:7b) 

26. Within heaven and earth there is only the process of action and 

response. What else is there? (15:7b) 

27. Empty and tranquil, and without any sign, and yet all things are 

luxuriantly present. 59 The state before there is any response to it is not 

an earlier one, and the state after there has been response to it is not a 

later one. It is like a tree one hundred feet high. From the root to the 

branches and leaves, there is one thread running through all. We should 

57 58 

This appears in one version. Lao Tzu, ch. 36. 

59 

Many Japanese historians of Chinese philosophy have asserted that this saying 

is of Buddhist origin but none has given any direct reference. Yamazaki Ansai 

(1618-1682), in his essay on the saying (Zoku Yamazaki Ansai zenshu, or Supplement 

to the Complete Works of Yamazaki Ansai, pt. 2, pp. 78-86), has listed 

all quotations of this saying and discussions of it by Neo-Confucianists but did 

not say a word about its Buddhist origin. The Daikanwa jiten (Great Chinese- 

Japanese Dictionary), the fullest dictionary of its kind so far, gives Ch'eng I as 

its author and not any Buddhist. 

555


not say that the state described above, which has neither form nor sign, 

depends on man to manipulate it when the occasion requires, in order to 

pull it into a track. Tracks are, after all, tracks. 60 Actually there is only one 

track. 61 [That is to say, all specific principles or tracks come from the 

same source.] 62 (15:8a) 

Comment. The first sentence is one of the most important sayings 

by Ch'eng I, and has been much quoted and discussed. Chu Hsi 

said that the passage is "nothing more than an explanation of [Chou 

Tun-i's (1017-1073) dictum], 'The Ultimate of Non-being and 

also the Great Ultimate.' " 63 This was said in spite of the fact that 

Ch'eng I never mentioned the Great Ultimate once! Chu Hsi usually 

saw in the philosophy of the two Ch'engs more of Chou's philosophy 

than is justified, 

28. Essentially speaking, the way of jen may be expressed in one 

word, namely, impartiality. However, impartiality is but the principle 

of jen; it should not be equated with jen itself. When one makes impartiality 

the substance of his person, that is jen. Because of his impartiality 

there will be no distinction between himself and others. Therefore a 

man of jen is a man of both altruism and love. Altruism is the application 

of jen, while love is its function. (15:8b) 

29. "When you go abroad, behave to everyone as if you were receiving 

a great guest. Employ the people as if you were assisting at a great 

sacrifice." 64 [When Confucius said that], he meant nothing other than 

seriousness. Seriousness means unselfishness. As soon as one lacks seriousness, 

thousands of selfish desires arise to injure his humanity. (15:- 

9a) 

30. In the state of absolute quiet and inactivity, 65 all things are 

luxuriantly present. When it is "acted upon and it immediately penetrates 

all things," 66 the action is merely action from within. It is not that there 

is something outside with which to act on it. (15:9a) 

31. To investigate things in order to understand principle to the 

utmost does not mean that it is necessary to investigate all things in the 

world. One has only to investigate the principle in one thing or one event 

to the utmost and the principle in other things or events can then be in- 

60 Interpretation according to Chu Hsi, Chu Tzu yü-lei, 95:22a. 

61 Chu Hsi thought that possibly the recorder of the saying missed some words, 

but he was not sure. ibid., 95:22b. 

62 This is Chu Hsi's interpretation, ibid., 95:22a. 

63 ibid., 95:22b. For Chou's dictum, see above, ch. 28, sec. 1. 


65 Quoting Changes, "Appended Remarks," pt. 1, ch. 10. Cf. Legge, Yi King, 

p. 370. 

66 ibid. 

556

CH'ENG I 

ferred. For example, when we talk about filial piety, we must find out 

what constitutes filial piety. If principle cannot be investigated to the 

utmost in one event, investigate another. One may begin with either the 

easy or the most difficult, depending on the degree of one's capacity. 

There are thousands of tracks and paths to go to the capital. Yet one 

can enter if he has found just one way. Principle can be investigated to 

the utmost [in this way] because all things share the same principle. 

Even the most insignificant of things and events has this principle. (15:- 

11a) 

32. One who is serious is naturally vacuous (absolutely pure and 

peaceful, not being disturbed by incoming impression) and tranquil. But 

vacuity and tranquillity cannot be called seriousness. If one dwells in 

seriousness, one naturally behaves with an easy feeling. But if one 

"dwells in an easy feeling in order to carry it out in his practice," 67 there 

will not be an easy feeling, for what he dwells in is already too excessive. 

(15:11a) 

33. "The successive movement of yin and yang constitutes the Way." 68 

This principle is very profound and cannot be explained. The Way is 

that through which yin and yang operate. The very term "material 

force" implies a duality and the very expression "opening and closing" 

implies one thing acting on another. Wherever there is a duality, there 

is always such an action. The Way is that through which opening and 

closing operate, and opening and closing are the same as yin and yang. It 

is wrong for the Taoists to say that material force comes from the vacuity. 

There is no time sequence in yin and yang or in opening and closing. 

It should not be said that there is yin today and yang tomorrow. Take, 

for example, man's body and shadow. As they are simultaneous, it 

should not be said that a man has his body today and his shadow tomorrow. 

To have them is to have them at the same time. (15:13b) 

34. To know the Mandate of Heaven means to understand the Principle 

of Heaven (Nature). Surely to receive the mandate (ming, destiny) 

means to get the retribution of Heaven. Destiny is what has been decreed 

by Heaven. It is like a command. The retribution of Heaven is always 

like a shadow or an echo. It is normal to have its retribution and it is 

abnormal not to get the retribution. However, upon careful examination, 

we know that retribution is inevitable. Only because people seek it with 

shallow and limited views, they say that it is irregular. Furthermore, the 

Mandate of Heaven cannot be changed except by a man of virtue. (15: 

14a) 

35. A meteor is not produced from any species; its species is the 

material force. Likewise, the unicorn is not produced from any species; 


68 

Changes, "Appended Remarks," pt. 1, ch. 5. Cf. Legge, p. 355. 

557


it is also evolved from material force. The same is true of the origin of 

man in the beginning. When, for example, a sandbank rises from the 

beach, many insects, animals, and plants will grow there. They are not 

produced from any species. This, however, is something we can see. But 

in a fairly large island away out in the sea where we cannot see, who 

knows that there are not men living there who were not produced from 

any species? Ever since mankind came into existence, however, surely 

no man has evolved from material force. (15:14b) 

36. There is no Way independent of yin and yang. What makes [the 

material force] yin or yang is the Way. Yin and yang are material force. 

Material force is what exists after physical form [and is with it], whereas 

the Way is what exists before physical form [and is without it]. What 

exists before physical form is hidden. (15:14b-15a) 

37. When a thing disintegrates, its material force is forthwith exhausted. 

There is no such thing as material force returning to its source. 

The universe is like a vast furnace. Even living things will be burned to 

the last and no more. How can material force that is already disintegrated 

still exist? Furthermore, what is the need of such a disintegrated material 

force in the creative process of the universe? It goes without saying that 

the force used in creation is vital and fresh. (15:15b) 

38. When knowledge is profound, action will be thorough. No one 

ever knows without being able to act. If one knows without being able 

to act, the knowledge is superficial. Because they know the danger, 

people do not eat poisonous herbs when hungry and do not tread on 

water or fire. People do evil simply because they do not know. (15:16b) 

Comment. Both Huang Tsung-hsi 69 and Sun Ch'i-feng (1584- 

1675) 70 maintained that Ch'eng I anticipated Wang Yang-ming's 

(Wang Shou-jen, 1472-1529) famous doctrine of the unity of 

knowledge and action. 71 However, Ch'eng merely says that true 

knowledge will lead to action but does not say that action leads to 

knowledge, as Wang does. It is significant to note, however, that 

the relationship between knowledge and action has always been of 

great concern to the Confucianists. 72 Ch'eng also distinguishes two 

types of knowledge, that obtained through information and that 

obtained through the exercise of moral nature, 73 thus echoing Chang 

Tsai. 74 This does not mean intuitive knowledge, but knowledge 

obtained through experience. 75 

69 

Sung-Yüan hsüeh-an, SPPY, 15:10a. 

70 

Li-hsüeh tsung-ch'uan (Orthodox Transmission of Neo-Confucianism), 1880 

ed., 3:17a. 

71 72 

See below, ch. 35. 

See below, ch. 35, comment on sec. 5. 

73 74 See sec. 67. 

See above, ch. 30, secs. 20 and 59. 

75 

See sec. 4. 

558

CH'ENG I 

39. The material force of the true source is the source from which 

material force is produced and is not mixed with external force. It is 

nourished and cultivated only by external force. It is like fish in water. 

The life and nature of fish are not made by the water, but they must be 

nourished and cultivated by water in order that they may live. Man's 

position in the force of the universe is not different from that of fish in 

water. As to the nourishment of food, it is a way in which man is 

nourished and cultivated by external force. And as to inhaling and exhaling 

of breath, it is only the operation of opening and closing. The 

breath that has just been exhaled is not the material force that is inhaled 

in the next breath. But the true source can create material force by 

itself. The material force that is inhaled simply enters the human body 

when the body closes. This material force is not needed to assist the 

true source. (15:17b) 

40. When asked about humanity, the Teacher said: It is up to you 

gentlemen to think for yourselves, gather and examine what the sages 

and worthies have said about it, and personally realize what humanity 

is. Because Mencius said, "The feeling of commiseration is what we 

call humanity," 76 later scholars have therefore considered love to be 

humanity. The feeling of commiseration is of course [an expression of] 

love. But love is feeling whereas humanity is the nature. How can love 

be taken exclusively as humanity? Mencius said that the feeling of commiseration 

is humanity because he had said that the feeling of commiseration 

is the beginning of humanity. 77 Since it is called the beginning 

of humanity, it should not be called humanity itself. It is wrong for 

Han Yü to say universal love is humanity. 78 A man of humanity of 

course loves universally. But one may not therefore regard universal 

love as humanity. (18:1a) 

41. Question: "Filial piety and brotherly respect are the root of 

humanity." 79 Does that mean that jen can be achieved through filial 

piety and brotherly respect? Answer: No. It means that the practice 

of humanity begins with filial piety and brotherly respect. Filial piety and 

brotherly respect are items in the practice of humanity. It is all right to 

say that they are the root of the practice of humanity but not all right 

to say that they are the root of humanity itself. For humanity is nature, 80 

while filial piety and brotherly respect are its function. There are in our 

nature only humanity, righteousness, propriety, and wisdom. Where 


77 ibid. 

78 Yüan-tao (Inquiry on the Way), Han Ch'ang-li ch'üan-chi (Collected Works 

of Han Yu), SPPY, 11:1a. See above, ch. 27, sec. 2. 


80 One edition has "the root" instead of "the nature." 

559


do filial piety and brotherly respect come in? 81 The controlling factor 

of humanity is love, and there is no greater love than to love parents. 

Hence it is said, "Filial piety and brotherly respect are the root of jen!" 

(18:1b) 

42. Question: What is the difference between jen and the mind? 

Answer: The mind is comparable to seeds of grain. The nature of growth 

is jen. (18:2a) 

Comment, The concept of jen has gone through many stages of 

development. From the earliest idea of jen as a specific virtue, 

notably benevolence, Confucius changed it to the general virtue 

(humanity). Throughout the ages it has been variously interpreted 

as affection, love, universal love, impartiality, consciousness, unity 

with Heaven and Earth, and so forth, but the idea that jen is "seed," 

which is life-giving, is a unique contribution of Ch'eng I. As such 

it brought the concept of jen to the highest stage of development 

up to this time. It is more than a pun on the word jen, meaning 

seed. It is the generative force of all virtues. It is this life-giving 

quality that enables man to form a unity with Heaven, Earth and 

all things and makes it possible for him to overcome evil. This is 

the reason why the Ch'eng brothers said that jen embraces the four 

virtues of righteousness, propriety, wisdom, and faithfulness instead 

of treating all five virtues on an equal basis and calling them 

the Five Constant Virtues as has been done in tradition. 82 Chu Hsi 

hits the right note in saying that jen embraces the four virtues because 

of its spirit of life and because it is originating. 83 No doubt 

the Ch'eng brothers' general concept of the universe as a process 

of production and reproduction has contributed to the idea. 84 

43. Question: What about people who devote all their effort to 

seriousness in order to straighten the internal life but make no effort to 

square the external life? Answer: What one has inside will necessarily 

be shown outside. Only worry that the internal life is not straightened. 

If it is straightened, then the external life will necessarily be square. 

(18:3a) 

44. Someone asked what the first step was in the art of moral cultivation. 

Answer: The first thing is to rectify the mind and make the will 

sincere. The sincerity of the will depends upon the extension of knowledge 

and the extension of knowledge depends upon the investigation 

81 In the Chao edition, "Where do all these miscellaneous items come in?" 

82 83 

See sec. 71. 

Chu Tzu yü-lei, 6:8b-9a. 

84 

See sec. 22. See also above, ch. 30, sec. 1; ch. 31, comment on secs. 1 and 

11; ch. 34, comment on treatise 1; and, ch. 40, Introduction. 

560

CH'ENG I 

of things. The word ko (investigate) means to arrive, as it is used in the 

saying "the spirits of imperial progenitors have arrived." 85 There is 

principle in everything, and one must investigate principle to the utmost. 

There are many ways to do this. One way is to read books and elucidate 

moral principles. Another way is to discuss people and events of the 

past and present, and to distinguish which are right and which are 

wrong. Still another way is to handle affairs and settle them in the proper 

way. All these are ways to investigate the principle of things exhaustively. 

Someone asked: In investigating things, is it necessary to investigate 

every thing or can one know all principles by investigating only one 

thing? Answer: How can one understand everything like this? Even Yen 

Tzu 86 would not dare say he could readily understand all principles by 

investigating only one thing. One must investigate one item today and 

another item tomorrow. When one has accumulated much knowledge 

he will naturally achieve a thorough understanding like a sudden release. 

(18:5b) 

Comment. The doctrine of the investigation of things is a cardinal 

one in the Ch'eng-Chu system. More will be said about it when we 

come to Chu Hsi. 87 At least three important observations can now 

be made. First, just as the Ch'eng brothers were the first ones in 

the history of Chinese philosophy to make principle the basis of 

their philosophy, so were they the first ones to employ the investigation 

of things as the method. Before the Sung dynasty (960- 

1279), no one had ever written an essay on the subject of the investigation 

of things. The first one to do so was Ssu-ma Kuang 

(1019-1086), 88 but the Ch'eng brothers were the first ones to use 

the investigation of things as an important means for moral cultivation. 

Secondly, he and Chu gave a new interpretation to the term ko. 

The term ko-wu of course comes from the Great Learning. 89 According 

to one source, from Han times (206 B.C.-A.D. 220) there 

have been seventy-two explanations of the term ko-wu. 90 Four of 

these have become prominent. The first is the interpretation by 

85 History, "I and Chi." Cf. Legge, Shoo King, p. 87. 

86 When he knew one part, he knew all about the subject. See Analects, 5:8. 


88 See his "A Treatise on the Extension of Things Consisting in the Investigation 

of Things," in the Ssu-ma Wen Kung wen-chi (Collection of Literary Works by 

Ssu-ma Kuang), SPPY, 13:66-72. 

89 The text. 

90 Ching-i ts'ung-ch'ou (Excerpts on the Meaning of the Classics), in Huang- 

Ch'ing ching-chieh (Explanations of Classics by Scholars of the Ch'ing Dynasty, 

1644-1912), vol. 1388, p. 25a. 

561


Cheng Hsüan (127-200), who took ko to mean to come, the idea 

being that when one's knowledge of the good is perfect, good 

things will come. 91 His interpretation became standard. The second 

interpretation was given by Ssu-ma Kuang, who asserted that ko 

meant to ward off or to resist. "Only when external things are 

warded off can ultimate truth be known," he said. 92 The third 

interpretation is that of rectification or cheng as used in the 

Analects 93 and the Book of Mencius. 94 The fourth interpretation is 

that of ko as a model or measure, as given in the Yü-p'ien (Book 

of Jade), a dictionary of A.D. 1386. 95 The important thing to note 

in these interpretations is that they are all ethical. Furthermore, they 

all have one thing in common, namely, they stressed the point 

that knowledge is to be achieved by the mind without the aid of 

external things. Ch'eng I and Chu Hsi, however, took a completely 

new approach. They understood ko as to arrive, but to arrive means 

to investigate to the utmost the principles of all things we come into 

contact with. The third observation is that the doctrine of the investigation 

of things has become a major tenet in all Neo-Confucian 

schools, although each interpreted it differently. As to 

whether it is scientific, the matter will be taken up when we comment 

on Chu Hsi. 

45. Self-cultivation requires seriousness; the pursuit of learning 

depends on the extension of knowledge. (18:5b) 

Comment. This represents the basic formula of Ch'eng's method 

of cultivation and is often quoted as a summary statement of his 

teachings. It bears a striking resemblance to the Buddhist twofold 

formula of meditation (dhyana) and wisdom (prajña). Perhaps 

Hu Shih has gone too far in calling it a new version of the Buddhist 

method. 96 But the similarity is unmistakable. It must be quickly 

added, however, that this formula has the rationalistic flavor totally 

absent in its Buddhist counterpart. Besides, even seriousness is to 

acquire meaning in the world of human affairs, quite different from 

the Buddhist inward, personal meditation. 97 

Huang Tsung-hsi said that Ch'eng Hao substituted seriousness 

for Chou Tun-i's tranquillity because he felt tranquillity was an 

91 In his commentary on the text of the Great Learning, 

92 Ssu-ma Wen Kung wen-chi, 13:72. This interpretation was followed by Yen 

Yuan (1635-1704). See below, ch. 37. 



95 Yü-p'ien (Book of Jade), SPPY, 2:13a. 

96 "Religion and Philosophy in Chinese Philosophy," in Sophia Zen, ed., Symposium 

on Chinese Culture, p. 57. 

97 See the next section. 

562

CH'ENG I 

extreme. Likewise, Ch'eng I felt that seriousness alone was not 

enough and therefore he supplemented it with the extension of 

knowledge. 98 This is a keen observation. It may be added that with 

regard to seriousness, while Ch'eng Hao is primarily concerned 

with the mental state of seriousness, Ch'eng I pays attention to its 

external aspect also, such as orderliness of dress. Even regarding 

the mental state, Ch'eng I offers more ideas, like guarding against 

depravity, concentration on one thing, and so forth. 

46. Someone asked: Is it necessary to exert the will in order to be 

serious? Answer: In the beginning, how can one not exert the will? If it 

is possible not to exert the will, then there will be nothing. Further 

question: Is seriousness not tranquillity? Answer: As soon as you speak 

of tranquillity, you fall into the doctrine of Buddhism. Don't use the 

word "tranquillity." Only use the word "seriousness." As soon as you 

use the word "tranquillity," you imply forgetfulness. Mencius said, "Always 

be doing something without expectation. Let the mind not forget 

its objective, but let there be no artificial effort to help it grow." 99 

Always be doing something means [presence of] mind. Not to 

forget and not to expect means not to help it grow. (18:6b) 

47. Question: Do observation of things and self examination mean 

returning to the self and seeing [principles] after [some principles] have 

been discovered in things? Answer: You do not have to say it in this 

way. Things and the self are governed by the same principle. If you 

understand one, you understand the other, for the truth within and the 

truth without are identical. In its magnitude it reaches the height of 

heaven and the depth of earth, but in its refinement it constitutes the 

reason of being in every single thing. The student should appreciate 

both. Further question: In the extension of knowledge, how about seeking 

first of all in the Four Beginnings (of our nature, namely, humanity, 

righteousness, propriety, and wisdom)? Answer: To seek in our own 

nature and feelings is indeed to be concerned with our own moral life. 

But every blade of grass and every tree possesses principle and should 

be examined. (18:8b-9a) 

48. All things under heaven can be understood in the light of their 

principle. As there are things, there must be their specific principles. 100 

One thing necessarily has one principle. (18:9a) 


of the nature, and the fulfillment of destiny are only one thing. As principle 

is investigated to the utmost, one's nature is fully developed, and 

as one's nature is fully developed, destiny is fulfilled. (18:9a) 

98 Sung-Yüan hsüeh-an, SPPY, 16:10a. 99 Mencius, 2A:2. 

100 Paraphrasing Odes, ode no. 260. 

563


50. Question: About the theory of immortals—are there such beings? 

Answer: I don't know. If you mean such things as people ascending to 

heaven in clear daylight, there is none. But if you mean people living 

in mountain forests to preserve their physical form and to imbibe 

energy to prolong life, then there are. It is like fire in a stove. 

If it is placed in the wind, it will be easily blown out. But if it is placed 

in a tightly closed room, it will not be easily blown out. This is in accordance 

with principle. Further question: Yang Hsiung (53 B.C.-A.D. 18) 

said that "the sage does not learn from immortals, for their art is not a 

normal one." 101 Can sages practice the art of immortals? Answer: An 

immortal is a thief in the world. If he does not steal the secret of creation, 

how can he extend life forever? If sages cared to do it, Duke Chou 102 

and Confucius would have done it. (18:10a) 

51. Question: How about hating external things? Answer: This is 

due to ignorance of the Way. How can things be hated? That is the doctrine 

of the Buddhists. They want to cast aside affairs, and do not ask 

whether according to [principle] they exist or not. If they exist, how can 

you cast them aside? If they do not exist, they naturally are not there. 

What is there to be cast aside? Those who live outside the mundane 

world carelessly devote themselves to tranquillity and set their feet far 

away in mountains and forests. They don't understand principle. And 

yet the world thinks they are lofty. The world is fooled. (18:10b) 

52. The Buddhists have the doctrine of renunciation of the family 

and the world. Fundamentally the family cannot be renounced. It is of 

course possible for them to run away inasmuch as they do not treat their 

fathers as fathers and their mothers as mothers. But as to the world, how 

can they escape from it? As they have already claimed to have renounced 

it, that is possible only when they no longer stand under heaven or upon 

the earth. But they still drink when thirsty and eat when hungry, and 

still stand under heaven and set their feet on the earth. (18:10b) 

53. The Buddhists talk about formation, remaining in the same state, 

deterioration, and extinction. This indicates that they are ignorant of 

the Way. There are only formation and deterioration but no remaining 

or extinction. Take plants, for example. When they are first produced, 

they are already formed. As they approach the highest point of growth, 

they immediately begin to decay. The Buddhists think that in the life of 

plants, they grow until they reach maturity, remain in that state for 

some time, and then gradually deteriorate. But nothing in the world 

101 Fa-yen (Model Sayings), ch. 12, SPPY, 12:4b-5a. For Yang Hsiung, see 

above, ch. 15. 

102 Duke Chou (d. 1094 B.C.) helped found the Chou dynasty and was greatly 

admired by Confucius for his virtue. 

564

CH'ENG I 

remains in the same state. Any day added to the life of an infant means 

a day spent. Since when can one stay in the same state? (18:10b-lla) 

54. Someone asked about the Buddhist doctrine of obstruction by 

principle. Answer: The Buddhists do have such a doctrine. By this they 

mean that when one understands principle and is attached to it, principle 

becomes an obstruction. This shows they have misunderstood principle. 

There is only one principle in the universe. If it is understood, what is 

there to obstruct? If principle is understood as an obstruction, there 

would be a dichotomy of principle and the self (which principle obstructs). 

(18:11a) 

55. Followers of Zen Buddhism always talk about the realms of 

human nature and human destiny in high-sounding words. As to human 

affairs, very often some of them are just totally ignorant. This is simply 

because they really achieve nothing by their talk. (18:11a) 

Comment. Ch'eng criticized Buddhism on many grounds, but mostly 

on ethical ones. In this he differs from Chang Tsai, who attacked 

Buddhism more on philosophical grounds. 103 

56. Su Chi-ming 104 asked: Is the principle of equilibrium the same 

as the equilibrium before the feelings of pleasure, anger, sorrow, and 

joy are aroused? 105 Answer: No. Before the feelings of pleasure, anger, 

sorrow, and joy are aroused, equilibrium is in that state. The same word 

"equilibrium" is used but differently. Someone asked: Is it all right to 

seek equilibrium before the feelings of pleasure, anger, sorrow, and joy 

are aroused? Answer: No. Thinking of seeking it before the feelings of 

pleasure, anger, sorrow, and joy are aroused is already thought, and 

thought is an aroused state (like the four feelings). The aroused state 

may be described as harmony but not as equilibrium. Further question: 

Academician Lü 106 said that one should seek in the state before the feelings 

are aroused. If we follow his words, I am afraid there will be nothing 

to hold on. What can we do? Answer: We must understand the basic 

meaning of the saying. If it means to preserve and nourish oneself before 

his feelings are aroused, that will be all right. But if it means to seek 

equilibrium in the state before feelings are aroused, that is incorrect. 


104 Pupil of the two Ch'engs, who first studied under Chang Tsai. He became 

a professor of the national university and an official but was eventually banished to 

South China because his recommendations offended those in power. He recorded 

the conversations in bk. 10 of the I-shu. 


106 Lü Yü-shu (Lü Ta-lin, 1044-1090), one of the Ch'engs' outstanding pupils. 

He recorded the sayings in bk. 2 of the I-shu. For an account of him, see Forke, 

Geschichte der neueren chinesischen Philosophie, pp. 116-119, and Sung-Yüan 

hsüeh-an, ch. 31. This doctrine of his is found in 31:9a of the latter. 

565


Further question: A student should of course exert effort to discipline 

himself as his feelings are aroused. How should he apply his effort 

before feelings are aroused? Answer: How can we seek anything before 

our feelings are aroused? The only thing to do is to cultivate oneself 

every day. After a sufficient period of time, feelings will naturally attain 

due measure and degree when they are aroused. Someone said: Then 

there is an equilibrium before the feelings are aroused and another 

equilibrium after they are aroused. Answer: No. The state after the 

feelings are aroused is harmony. It is of course equilibrium when feelings 

are aroused and attain due measure and degree (such as equilibrium at 

all times), but when we speak of equilibrium and harmony separately, 

the state after feelings are aroused is harmony. (18:14b-15a) 

57. Su Chi-ming asked: You said that in the sentence, "Before the 

feelings of pleasure, anger, sorrow, and joy are aroused, it is called 

equilibrium," 107 equilibrium means being in the center. I do not know 

what that means. Answer: Equilibrium is simply the state in which the 

feelings of pleasure, anger, sorrow, and joy have not been aroused. 

Question: Does that mean that equilibrium has no physical form or body 

but only a subject in the discussion about the Way? Answer: No. What 

physical form has equilibrium? However, since it is called equilibrium 

it must possess some feature. Question: At the moment of equilibrium, 

is it true that the ear hears nothing and the eye sees nothing? Answer: 

Although the ear hears nothing and the eye sees nothing, nevertheless the 

principle of hearing and seeing must be already there before hearing 

and seeing are possible. ... Suppose you describe the condition of tranquillity. 

Chi-ming said: One cannot say that there is anything. 108 But one 

is naturally conscious of something. The Teacher said: Since there is 

consciousness, there is activity. How can it be said to be tranquillity? 

When people explain the sentence "In the fu (to return) hexagram we 

see the mind of Heaven and Earth," they all say that in the state of 

perfect tranquillity we can see the mind of Heaven and Earth. 109 This 

is wrong. The line at the bottom of the hexagram fu indicates activity. 

How can we say that it is tranquillity? From ancient times scholars 

all have said that the mind of Heaven and Earth can be seen in a state 

of tranquillity, but I say that the mind of Heaven and Earth can be seen 

in a state of activity. (18:15a) 

58. Question: Are there good and evil in the mind? Answer: What is 

107 The Mean, ch. 1, 

108 Chu Hsi said (Chu Tzu yü-lei, 96:9a) that "there is nothing" in the text 

should read "there is anything." This is confirmed by Ts'ui-yen, 1:6a. 

109 The quotation is from Changes, commentary on hexagram no. 24, fu (to 

return). Cf. Legge, Yi King, p. 233. Wang Pi (226-249) is the chief exponent of 

the theory. See above, ch. 19, sec. 2. 

566

CH'ENG I 

received by man and things from Heaven are called destiny. What is inherent 

in things 110 is called principle. What is endowed in man is called 

nature. And as the master of the body it is called the mind. In 

reality they are all one. The mind is originally good. As it is aroused 

and expresses itself in thoughts and ideas, there is good and evil. When 

the mind has been aroused, it should be described in terms of feelings, 

and not as the mind in itself. For instance, water is water. But as it flows 

and branches off, some to the east and some to the west, it is called 

streams and branches. (18:17a) 

59. Question: Do joy and anger come from one's nature? Answer: 

Yes, of course. As soon as there is consciousness, there is nature. As 

there is nature, there must be feelings. Without nature, how can there 

be feelings? Further question: [Suppose you say that] joy and anger 

come from the outside. How is that? Answer: They do not come from 

the outside. They arise from within under external influence. Question: 

Are joy and anger to man's nature as waves are to water? Answer: Yes. 

It is the nature of water to be clear, level, and tranquil like a mirror. 

But when it strikes sand and stone, or when the ground underlying it is 

not level, it immediately begins to move violently. Or perhaps wind 

moves over it, and it immediately gives rise to waves and currents. But 

are these the nature of water? In man's nature there are only the Four 

Beginnings and not the various forms of evil. But without water, how 

can there be waves? Without man's nature, how can there be feelings? 

(18:17b) 

60. Question: Since man's nature is originally clear, why is there 

obscuration? Answer: This must be investigated and understood. Mencius 

was correct in saying that man's nature is good. 111 Even Hsün Tzu 

(fl. 298-238 B.C.) and Yang Hsiung failed to understand man's nature. 

Mencius was superior to other Confucianists because he understood 

man's nature. There is no nature that is not good. Evil is due to capacity. 

Man's nature is the same as principle, and principle is the same from the 

sage-emperors Yao and Shun 112 to the common man in the street. Capacity 

is an endowment from material force. Material force may be 

clear or turbid. Men endowed with clear material force are wise, while 

those endowed with turbid material force are stupid. Further question: 

Can stupidity be changed? Answer: Yes. Confucius said, "The most 

intelligent and the most stupid do not change." 113 But in principle they 

110 The text has i (moral principle) but Chu Hsi thought it should be "things." 

In the Honan Ch'eng-shih i-shu (Surviving Works of the Ch'engs of Honan), another 

edition of the work, Kuo-hsüeh chi-pen ts'ung-shu (Basic Sinological Series) 

ed., p. 226, there is a note by Chu Hsi to this effect. 

111 Mencius, 6A:2-8. 



567


can. Only those who ruin themselves and cast themselves away do not 

change. Question: Is it due to their capacity that the most stupid ruin 

and throw themselves away? Answer: Certainly. But it cannot be said 

that they cannot be changed. Since all have the same basic nature, who 

cannot be changed? Because they ruin and cast themselves away and are 

not willing to learn, people are unable to change. If they are willing to 

learn, in principle they can change. (18:17b) 

61. [Someone asked: Confucius said,] "By nature men are alike. 

Through practice they have become far apart." 114 Nature is one. Why 

should it be said to be alike? Answer: This refers to physical nature, as 

in popular phrases, "quick by nature," "slow by nature," and so forth. 

How can nature itself be slow or quick? The word "nature" used here is 

the same as the one used in "What is inborn is called nature." 115 

Further question: [Confucius said,] "The most intelligent and the 

most stupid do not change." 116 Is this due to the nature? Answer: This 

is due to capacity. We must understand the difference between the nature 

and capacity. Further question: [Confucius said,] "To those who are 

above average, one may talk of the higher things, but may not do so to 

those who are below the average." 117 Is this due to capacity? Answer: 

Of course it is, but this is only speaking generally. It means that it is all 

right to talk with men above the average on things near the high level 

but not all right to talk with men below the average on things near 

the high level. As to the saying, "What is inborn is the nature," whenever 

the nature is talked about, we must see what the objective of the 

speaker is. When, for example, [Mencius] said that human nature is 

good, 118 he was referring to the fundamental character of nature. But 

when [Kao Tzu (c.420-c.350 B.C.) said] that what is inborn is nature, 

he meant what is endowed in man. Confucius said that man's nature is 

alike. How can one say so if he is thinking of the fundamental character 

of nature? Confucius only referred to man's endowment. What Kao Tzu 

said is of course in answer to Mencius' question. But what he said is 

wrong. (18:19b) 

62. Question: In the investigation of things, should these be external 

things or things within our nature and function? Answer: It does not 

matter. All that is before our eyes is nothing but things, and all things 

have principle. For example, from that by which fire is hot or water is 

cold to the relations between ruler and minister, and father and son, are 

all principle. Further question: If one investigates only one thing, does 

he understand only one thing or does he understand the various principles? 

Answer: We must seek to understand all. However, even Yen 

114 115 

Analects, 17:2. Mencius, 6A:3. This is Kao Tzu's doctrine. 

116 117 118 

Analects, 17:3. Analects, 6:19. Mencius, 6A:2-8. 

568

CH'ENG I 

Tzu could understand only ten points when he heard one. 119 When one 

finally understands principle, even millions of things can be understood. 

(19:1a) 

63. Nature comes from Heaven, whereas capacity comes from material 

force. When material force is clear, capacity is clear. When material 

force is turbid, capacity is turbid. Take, for instance, wood. 

Whether it is straight or crooked is due to its nature. But whether it can 

be used as a beam or as a truss is determined by its capacity. Capacity 

may be good or evil, but the nature is always good. (19:4b) 

64. The mind is the principle of production. As there is the mind, a 

body must be provided for it so it can produce. The feeling of commiseration 

is the principle of production in man. (21B:2a) 

Comment. A great deal of doubt has been raised about this. As 

Chu Hsi explains it, "The mind is the principle of production, and 

the sense of commiseration is man's principle of production. That 

means that man creates because he has received the mind of 

Heaven to do so." 120 But as Chiang Yung (1681-1762) has observed, 

"Chu Hsi also said that the mind belongs to Heaven and 

Earth and not to a person. I am afraid this is not Chu Hsi's final 

conclusion." 121 

65. Further question: The Book of Changes 122 says [that a sage 

knows] the features of positive and negative spiritual forces (kueishen). 

123 Are there really such features? Answer: Yes. Further question: 

If there are features there must be spiritual beings. [Is that right?] 

Answer: Positive and negative spiritual forces referred to in the Book 

of Changes are the same as production and transformation. Further 

question: How is it that famous mountains and great rivers can give 

rise to clouds and cause rain to fall? Answer: They are the results of 

material force rising as vapor. Question: Since there are the sacrifices 

[to these mountains and rivers], must there not be their spirits? Answer: 

Material force itself is spirit. Nowadays people are ignorant of this principle. 

They go to temples and pray for rain as soon as there is a drought. 

(22A:8a-b) 

66. The nature is the same as principle. This is what we call rational 

nature. Traced to their source, none of the principles in the world is not 

good. Before they are aroused, have pleasure, anger, sorrow, and joy 

ever been found to be not good? As they are aroused and attain due 

119 Analects,5:8. 120 Chu Tzu yü-lei, 95:25a. 

121 See his Chin-ssu lu chi-chu, ch. 1, SPPY, 1:16a. His reference to Chu Hsi is 

to Chu Tzu yü-lei, 95:25b. 

122 "Appended Remarks," pt. 1, ch. 4. Cf. Legge, Yi King, p. 253. 


569


measure and degree, they are good, no matter in what connection. Whenever 

we speak of good and evil, good always precedes evil. Whenever 

we speak of good and evil fortune, good fortune always precedes evil 

fortune. And whenever we speak of right and wrong, right always precedes 

wrong. (22A:11a) 

67. The knowledge obtained through hearing and seeing is not the 

knowledge obtained through moral nature. When a thing (the body) 

comes into contact with things, the knowledge so obtained is not from 

within. This is what is meant by extensive learning and much ability 

today. The knowledge obtained from moral nature does not depend on 

seeing and hearing. (25:2a) 

68. A student must first of all learn to doubt. (Wai-shu, 11:2b) 

69. Substance and function come from the same source, and there 

is no gap between the manifest and the hidden. 124 (Preface to I chuan) 

70. Spoken of as one, Heaven is the Way (Tao). This is the meaning 

when it is said that "Heaven will not be in opposition." 125 Spoken of 

in its different aspects, it is called heaven with respect to its physical 

body, the Lord (Ti) with respect to its being master, negative and 

positive spiritual forces with respect to its operation, spirit (shen) with 

respect to its wonderful functioning, and ch'ien with respect to its 

nature and feelings. Ch'ien is the beginning of all things. Therefore 

it is Heaven, yang, father, and ruler. Origination, flourish, advantage, 

and firmness are called the Four Moral Qualities. Origination is the 

beginning of all things, flourish the growth of all things, advantage the 

success of all things, and firmness the completion of all things. (I chuan, 

l:la) 

71. Origination in the Four Moral Qualities is comparable to humanity 

in the Five Constant Virtues (humanity, righteousness, propriety, 

wisdom, and faithfulness). Separately speaking, it is one of the several, 

but collectively speaking, it embraces all the four. (ibid., 1:2b) 

124 Japanese sources (e.g., Daikanwa jiten or Great Chinese-Japanese Dictionary) 

maintain that the first half of the saying originated with Ch'eng-kuan (c.760- 

838) in his commentary on Hua-yen ching (Avatamsaka sutra, or Flower Splendor 

Scripture), but as Ota Kinjo (1765-1825) has pointed out (Gimon roku, or 

Records of Questioning, 1831 ed., pt. 1, p. 6), it does not appear here or in any 

of Ch'eng-kuan's works. It is possible that it was in the portion of his commentary 

which is now lost, but if so, no one has given any specific source. However, Ch'engkuan 

virtually said the same thing rather extensively, though in slightly different 

words, in his commentary (Zokuzokyo, or Supplement to the Buddhist Canon, 

1st collection, case 88, 3:35a-b). By the eleventh century, the saying was common 

among both Buddhists and Neo-Confucianists. As T'ang Shun-chih (1507-1560) 

said, "Both Buddhists and Confucianists said the same thing and none could tell 

whose words they were." (T'ang Ching-ch'uan chi, or Collected Works of Tang 

Shun-chih, 1553 ed., 6:2b.) As to the second half of the saying, Ota said that it is 

Fa-tsang's (643-712), but he gave no specific reference. 

125 Changes, commentary on hexagram no. 1, ch'ien (Heaven). Cf. Legge, p. 

417. 

570

CH'ENG I 

72. Destiny is what is endowed by Heaven and the nature is what 

things have received from Heaven. (ibid., 1:2b) 

73. In identifying himself with Heaven and Earth, sun and moon, the 

four seasons, and positive and negative spiritual forces, the great man 

identifies himself with the Way. Heaven and Earth are the Way. Positive 

and negative spiritual forces are traces of creation, (ibid., 1:7b-8a) 

74. Humanity is universal impartiality; it is the foundation of goodness. 

(ibid., 2:34a) 

75. Principle in the world is one. Although there are many roads in 

the world, the destination is the same, and although there are a hundred 

deliberations, the result is one. 126 Although things involve many manifestations 

and events go through infinite variations, when they are united 

by the one, there cannot be any contradiction, (ibid., 3:3b) 

76. According to the principle of the world, nothing can last forever 

without activity. With activity, a thing will begin again when it ends, and 

can therefore last forever without limit. Among things in the universe, 

even as solid and dense as huge mountains, nothing can remain unchanged. 

Thus being long lasting does not mean being in a fixed and 

definite state. Being fixed and definite, a thing cannot last long. The 

way to be constant is to change according to circumstances. This is a 

common principle. . . . Unless one knows the Way, how can he understand 

the constant and lasting way of the universe and the constant and 

lasting principle of the world? (ibid., 3:6a) 

77. That which is inherent in things is principle. That by which things 

are managed is moral principles. (ibid., 4:20b) 

78. The beginning and ending of all things are nothing but integration 

and disintegration. Positive and negative spiritual forces are the function 

of creation. If viewed from the causes of what is hidden and what is 

manifest, from the principle of life and death, and from the features of 

positive and negative spiritual forces, the Way of Heaven and Earth 

can be understood. . . . Activity and tranquillity have no beginning and 

yin and yang have no starting point. Unless one knows the Way, how 

can he understand this? Activity and tranquillity cause each other and 

thus changes and transformation are produced. What follows this Way is 

good. . . . Heaven and Earth do not share the anxiety of the sage. For 

Heaven and Earth do not act as master whereas the sage has a mind of 

his own. Heaven and Earth create and transform without having any 

mind of their own. The sage has a mind of his own but does not take an 

[unnatural] action. How perfect is the eminent virtue and great achievement 

of Heaven and Earth and the sage! 127 (Ching-shuo or Explanations 

of the Classics, 1:1b-2a) 

126 Quoting Changes, "Appended Remarks," pt. 2, ch. 5. Cf. Legge, p. 389. 

127 Quoting Changes, "Appended Remarks," pt. 1, ch. 5. Cf. Legge, p. 356. 

571

... 33... 

THE UNITY OF MIND AND PRINCIPLE 

IN LU HSIANG-SHAN 

WE HAVE SEEN that in the Ch'eng brothers there was a strong emphasis 

on the single and the fundamental. For Lu Hsiang-shan (Lu- 

Chiu-yüan, 1139-1193), 1 these formed the very bases of his philosophy 

and methodology as well as his personality. 

As a man, he led a simple life, devoting much of it to lecturing on 

moral principles. Thousands of scholars gathered to listen to his simple 

and straight lectures, which always went directly into the fundamentals. 

In his lecture on righteousness versus profit, in 1183, he moved his 

audience to tears. In methodology, he rejected details and superfluous 

writing and advocated the concentration on the most essential. In both 

moral cultivation and intellectual pursuit, he simply relied on the mind. 

The mind is conceived by him to be morally self-sufficient, and endowed 

with innate knowledge of the good and innate ability to do 

good. It is one and indissoluble. It fills the whole universe. As such it is 

identical with principle (li). The investigation of things means nothing 

more than to investigate this mind. 

This doctrine was simply put forth with no literary embellishment and 

little logical deliberations, but it started a strong current that was to 

oppose the rationalism of the Ch'eng-Chu School for several hundred 

years. It can readily be seen that he is opposed to Chu Hsi (1130-1200) 

at every point. To Chu Hsi, principle and the element that gives being 

its substance and physical form, namely material force (ch'i), are sharply 

different. To Lu, on the contrary, there is nothing outside the Way 

(Tao) and there is no Way outside things. Chu Hsi discussed human 

nature extensively. Lu hardly mentioned the subject. To Chu Hsi, mind 

1 Lu's courtesy name was Tzu-ching. He obtained the "presented scholar" degree 

in 1.172 and in 1174 served as a district keeper of records (assistant magistrate). 

Three years later he and Chu engaged in one of the most famous debates in Chinese 

history (see sec. 31). In 1179 he was district keeper of records again and in 1182 he 

became a professor of the national university. For four years he lectured there and 

attracted much following. Minor posts followed. After he resigned he returned to 

his home in Kiangsi and lived in Hsiang-shan (Elephant Mountain) to teach and 

lecture. Hence the honorary title "Master Hsiang-shan." In 1190 he was appointed 

a magistrate and gave an excellent account of himself. He died while he was in 

office. Throughout his life he mostly taught and lectured. He wrote no books, for 

his emphasis was not on them. Even the Classics, he said, were his footnotes only. 

(See sec. 20.) He died in the third year of the Shao-hsi period, which is ordinarily 

equated with 1192. But he died on the fourteenth day of the twelfth month, which 

happened to fall on January 10, 1193. This fact has been pointed out in Siu-chi 

Huang, Lu Hsiang-shan, p. 9, n.2. 

572

LU HSIANG-SHAN 

is the function of human nature, and human nature is identical with 

principle. To Lu, however, mind is principle. Although both philosophers 

insisted that mind is one, Chu Hsi made the distinction between 

the human mind, which is in a precarious position because it 

is liable to mistakes, and the moral mind, which always follows the 

Way. Lu refused to accept such a distinction. To him, the mind is 

one and the same, and it is the same whether in each individual or 

in the entire universe. Chu Hsi considered the Great Ultimate above 

physical forms and yin and yang (passive and active cosmic forces) 

within physical forms. Lu rejected such a dichotomy, declaring that 

yin and yang are already above the realm of corporeality. While both 

philosophers agreed that human nature is originally good, Chu Hsi contrasted 

the Principle of Nature (T'ien-li, Principle of Heaven) with 

human desires. To Lu, such a contrast is untenable. For Chu Hsi, the 

investigation of things means investigating the principle in things. For 

Lu, investigation means investigating the mind, for to him all principles 

are inherent and complete in the mind. 

These philosophical differences are as sharp as they are incompatible. 

Their opposition in the way of life, however, is even more direct. In 

Lu's opinion, the way of Chu Hsi was one of divided mind, aimless 

drifting, and devotion to isolated details that meant little to life. Instead, 

he advocated the simple, easy, and direct method of recovering one's 

original good nature, by having a firm purpose, by establishing the nobler 

part of one's nature, and by coming to grips with fundamentals. In short, 

Chu's way is that of "following the path of inquiry and study," while 

Lu's way is that of "honoring the moral nature." 2 Thus they intensified 

the different emphasis of Ch'eng I (Ch'eng I-ch'uan, 1033-1107) and 

his brother Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) and formed 

the two wings of Neo-Confucianism, the rationalistic or the School of 

Principle and the idealistic or the School of Mind, that were to flourish 

for several centuries. While in the long run the influence of Lu was not 

anywhere so great as that of Chu, the idealism of Lu culminated in the 

philosophy of Wang Yang-ming (Wang Shou-jen, 1472-1529) that 

overshadowed the rationalistic movement in the Ming period (1368- 

1644), as we shall see. 

Following the list of topics and references are selections from the 

Hsiang-shan ch'üan-chi (Complete Works of Lu Hsiang-shan) . 3 

Book learning: 20, 34 

Buddhism: 4 

2 These two ways are taught in The Mean, ch. 27 as complementary. 

3 This is in thirty-six chapters, consisting of letters, short essays, poems, official 

documents, and recorded conversations. A selection from the letters and conversations 

has been made by Cady. See Bibliography. 

573

UNITY OF MIND AND PRINCIPLE 

Chu Hsi: 5, 23, 29, 31 

Investigation of things: 7, 34 

Mind: 2, 3, 10, 13, 15, 30, 35, 40; Original mind: 2, 3, 10 

Moral self-sufficiency: 2, 3, 10, 28, 37, 39 

Nature, feeling, capacity, and mind: 35 

Principle, the Way: 1-3, 8-9, 11-13, 15, 17-19, 30, 33, 36, 42 

Principle vs. desire: 21, 40, 41 

Self, others, and the universe: 14, 26, 27, 35 

Self-cultivation: 1, 16, 22, 25, 37 

Self-establishment: 8, 24, 28, 32, 38 

THE COMPLETE WORKS OF LU HSIANG-SHAN 

1. Principle is endowed in me by Heaven, not drilled into me from 

outside. If one understands that principle is the same as master and 

really makes it his master, one cannot be influenced by external things 

or fooled by perverse doctrines. ( 1:3a ) 

2. The mind is one and principle is one. Perfect truth is reduced to 

a unity; the essential principle is never a duality. The mind and principle 

can never be separated into two. That is why Confucius said, "There is 

one thread that runs through my doctrines," 4 and Mencius said, "The 

Way is one and only one." 5 (Quoting Confucius), Mencius also said, 

"There are but two ways to be pursued, that of humanity (jen) and 

that of inhumanity." 6 To do in a certain way is humanity. Not to do in 

a certain way is the opposite of humanity. Humanity is the same as the 

mind and principle. "Seek and you find it" 7 means to find this principle. 

"Those who are the first to know" know this principle, and "those who 

are the first to understand" 8 understand this principle. It is this principle 

that constitutes the love for parents, reverence for elders, and the sense 

of alarm and commiseration when one sees a child about to fall into a 

well. It is this principle that makes people ashamed of shameful things 

and hate what should be hated. It is this principle that enables people 

to know what is right to be right and what is wrong to be wrong. It is 

this principle that makes people deferential when deference is due and 

humble when humility is called for. Seriousness (ching) 9 is this principle. 

Righteousness is also this principle. What is internal is this principle. 

What is external is also this principle. Therefore it is said, "Straight, 

square, and great, (the superior man) works his operation, without 

repeated effort, (and is) in every respect advantageous." 10 Mencius said, 

"The ability possessed by men without their having acquired it by learning 

is innate ability, and the knowledge possessed by them without de- 

4 Analects, 4:15. 5 Mencius, 3A:1. 6 ibid., 4A:2. 

7 ibid., 6A:6. 8 ibid., 5A:7. 

9 Ching is here not used in the sense of respect for people but in the sense of 

absolute equanimity and absolute steadfastness. See Appendix. 

10 Changes, commenting on hexagram no. 2, k'un (Earth). Cf. translation by 

Legge, Yi King, p. 420. 

574


liberation is innate knowledge." 11 These are endowed in us by Heaven. 

"We originally have them with us," and "they are not drilled into 

us from outside." 12 Therefore Mencius said, "All things are already 

complete in oneself. There is no greater joy than to examine oneself 

and be sincere (or absolutely real)." 13 (1:3b-4a) 

3. The Way fills the universe. It does not hide or escape from anything. 

With reference to Heaven, it is called yin and yang (passive and 

active cosmic forces). With reference to Earth, it is called strength and 

weakness. With reference to man, it is called humanity and righteousness. 

Thus humanity and righteousness are the original mind of man. Mencius 

said, "Is there not a heart of humanity and righteousness originally existing 

in man?" 14 He also said, "We originally have them with us 

(the senses of humanity and righteousness, propriety, and wisdom)" and 

"they are not drilled into us from outside." 15 The stupid and the unworthy 

do not come up to them and thus they are obscured with selfish 

desires and lose their original mind. The worthy and the wise go beyond 

them and thus are obscured by subjective viewpoints and lose their 

original mind. 16 (1:6b) 

4. I use these two words, righteousness and profit, to distinguish between 

Confucianism and Buddhism. I also use the terms "public-spiritedness" 

and "selfishness", but actually they mean righteousness and profit. 

The Confucianists consider man, living in the world, as more intelligent 

than the myriad things and more noble than the myriad things, and that 

man and Heaven and Earth coexist as three ultimates. For Heaven there 

is the Way of Heaven, for Earth there is the Way of Earth, and for man 

there is the way of man. Unless man fully practices the Way of man, he 

will not be qualified to coexist with Heaven and Earth. Man has five 

senses and each sense has its own function. From this [common experience 

of mankind] we have the right and wrong and success and failure, 

and we have education and learning. This is the basis on which Confucian 

doctrines have been founded. Therefore we call them righteous 

and public-spirited. Buddhists, on the other hand, consider man, living 

in the world, as consisting of a chain of birth and death, a wheel of 

transmigration, and afflictions resulting from passions, and regard them 

as most painful, and seek to escape from them. Those who realize the 

truth and achieve awakening realize that there is originally no chain of 

birth and death, no transmigration, and no afflictions resulting from 

passions. Therefore they say, "The matter of the chain of birth and 

death is important." What you 17 called resolution to become a bodhi- 

11 Mencius, 7A: 15. 12 ibid., 6A:6. 13 ibid., 7A:4. 

14 ibid., 6A:8. 15 ibid., 6A:6. 

16 For the deviation from the Mean, see The Mean, ch. 4. 

17 This selection is part of a letter Lu Hsiang-shan wrote to Wang Po-shun. 

575


sattva (a Buddhist saint) is merely for the sake of this important matter. 

This is the basis on which Buddhist doctrines are founded. Therefore we 

call them profit-seeking and selfish. It is precisely because of righteousness 

and public-spiritedness that we Confucianists are engaged in putting 

the world in order, and because of their desire for profit and selfishness 

that the Buddhists withdraw from the world. Even when Confucianists 

reach to the realms of (Heaven) which has neither sound nor smell, 18 

(spirit) which is not spatially restricted, and (Change) which has no 

physical form, 19 they always emphasize putting the world in order. Although 

the Buddhists would save all people in the future, they always 

emphasize withdrawing from the world. Now, those who follow Buddhism 

are all human beings. As they are human beings, how can they cast 

aside our Confucian humanity and righteousness? Although they renounce 

the family, they still want to repay the Four Kindnesses (of parents, teachers, 

the king, and benefactors). 20 Thus in their daily life they of course 

sometimes preserve this principle which is rooted in the human mind and 

cannot be obliterated. However, their doctrines did not arise in order to 

preserve it. Therefore whether it is preserved or not is of no sufficient importance 

to those who are advanced in the Buddhist way of life. We 

Confucianists, on the other hand, say that "That whereby man differs 

from the lower animals is but small. The ordinary people cast it away, 

while the .superior man preserves it." 21 The Buddhists pity people because 

they have not escaped the wheel of transmigration but continue 

in the chain of birth and death, regarding them as floating and sinking in 

the sea of life and death. Do sages and worthies in Confucianism merely 

float and sink in this sea of life and death of theirs. Our sages and worthies 

are free from that which the Buddhists pity. Their doctrines did not arise 

for the sake of escaping from it and therefore their teachings do not emphasize 

it. Therefore our Confucian sages and worthies are free from 

that which the Buddhists pity, but Buddhist sages and worthies are 

not free from those things for which we Confucianists show concern. 

If we judge the Buddhist sages and worthies by the law of the Spring and 

Autumn Annals [which demands putting the world in order], even a 

boy knows that they cannot get away from its condemnation. From the 

point of view of the origin of their respective doctrines, we see that the 

distinction between the Confucianists and the Buddhists as one for 

public-spiritedness and righteousness and the other for selfishness and 

profit is perfectly clear and that they are absolutely incompatible. (2:- 

1b-2a) 



20 For the layman, the four kindnesses are those of parents, all sentient beings, 

the king, and the Three Treasurers (Buddha, the Law, and the Order). 


576


Comment. Many writers, past and present, have described Lu 

Hsiang-shan as Buddhistic. Chu Hsi said that Lu taught the doctrines 

of Zen Buddhism in Confucian disguise like a salt smuggler 

who covers his load with salted fish. 22 Ch'en Chien (Ch'en Ch'inglan, 

1497-1567), strong defender of the Chu Hsi School and 

severe critic of Lu Hsiang-shan and Wang Yang-ming, ruthlessly 

attacked both as advocates of Zen throughout his book, Hsüeh-pu 

t'ung-pien (General Critique of Obscurations of Learning). To 

the extent that Lu over-emphasized the mind, the criticisms are 

valid. But he is far more different from Zen than he is similar to it. 

His doctrine of the mind, for example, has none of the profound 

mystery of Zen. He stressed thinking, doubt, and judgment, and 

that is a far cry from Zen. In the above discussion, he pointed out 

a key difference between him and Buddhists. Whatever similarities 

exist between his philosophy and Buddhism are superficial. Incidentally, 

many writers, including such outstanding scholars as 

Tokiwa Daijõ, have exaggerated the similarities between Neo- 

Confucianism and Buddhism. 23 

5. In your (Chu Hsi's) second letter [to my brother Lu Tzu-mi] you 

also said that the Ultimate of Non-being is the same as the absence of 

physical form and the Great Ultimate is the same as the presence of 

principle, and that Master Chou Tun-i (Chou Lien-hsi, 1017-1073) 24 

for fear that students might misunderstand the Great Ultimate to be a 

separate entity and therefore applied the name Ultimate of Non-being to 

clarify the matter. 25 In the "Appended Remarks" of the Book of Changes, 

it is said, "What exists before physical form [and is without it] is the 

Way." 26 It is also said, "The successive movement of yin and yang 

(passive and active cosmic forces) constitutes the Way." 27 The successive 

movement of yin and yang already exists- before physical forms. How 

much more is the Great Ultimate!. . . 

The Explanation of the Diagram of the Great Ultimate begins with 

the term "ultimate of non-being," but the entire Tung-shu (Penetrating 


23 This is true of Tokiwa Daijo's (1870-1945) Shina ni okeru bukkyo to jukyo 

dokyo (Buddhism in Relation to Confucianism and Taoism in China), 1930, and 

Kubota Ryoon's Shina judobutsu koshoshi (The Interrelations between Confucianism, 

Taoism, and Buddhism in China), 1943. However, the latter's Shina judobutsu 

sankyo shiron (Historical Discussion of the Three Systems of Confucianism, 

Taoism, and Buddhism in China), 1931, brings out the Neo-Confucianists' criticism 

of Buddhism rather fully. 

24 For Chou's doctrine on the Great Ultimate, see ch. 28, sec. 1. 

25 This letter is found in the Chu Tzu wen-chi (Collection of Literary Works by 

Chu Hsi), CTTC, 36:4b-5b. 

26 Pt. 1, ch. 12. Cf. Legge, Yi King, p. 377. 

27 Pt. 1, ch. 5. Cf. Legge, p. 355. 

577


the Book of Changes) 28 makes not a single mention of the term. The 

two Ch'engs (Ch'eng Hao and Ch'eng I) both said and wrote much, 

but never used the term "ultimate of non-being." Even if Master Chou at 

first really had such a diagram, from the fact that later he never mentioned 

the ultimate of non-being, it is clear that he had advanced in his 

thought and no longer considered his earlier position correct. (2:6a-b) 

6. In your (Chu Hsi) letter [to me] you maintained that the term 

"ultimate of non-being" (in Chou Tun-i's Explanation of the Diagram 

of the Great Ultimate) is intended to clarify principle. In essence, you 

said that "it clearly shows the true substance of the Great Ultimate." 29 

I am afraid that you do not really know the Great Ultimate. If you did, 

you would realize that it is entirely unnecessary to precede the term 

"great ultimate" with "ultimate of non-being" or follow it with "true 

substance." To add "ultimate of non-being" is really, [as you said], to 

"put a bed above a bed" and to follow it with "true substance" is really, 

[as you said], to "build a house under a house." 30 . . . . Lao Tzu regarded 

non-being as the beginning of Heaven and Earth and being as the mother 

of all things, and tried to see the subtlety of things through eternal nonbeing 

and to see the outcome of things through eternal being. 31 To add 

"non-being" to "ultimate" is precisely to follow the teaching of Lao Tzu. 

How can this be denied? Primarily because the Taoists were beclouded 

in this way that they have degenerated into indulging in divination and 

magic and have become unscrupulous. Principle exists in the universe 

from the very beginning. How can it be said to be non-being? If it is 

considered non-being, then the ruler [since there is no principle of the 

ruler] would not be the true ruler, the minister not the true minister, the 

.father not the true father, and the son not the true son. (2:9a-b) 

7. Of course study should not be without thought. But the way to 

think should emphasize reflection on things at hand, and should be 

done in a free, easy, and leisurely manner. With reflection on things 

at hand, the self will not be at a loss, and with free and leisurely thinking 

one will not be impeded by material things. (3:1b-2a) 

8. This principle existing throughout the universe is hidden from 

nothing and nothing can escape from it. Heaven and Earth are what 

they are because they follow this principle without partiality. Man coexists 

with Heaven and Earth as the three ultimates. How can man be 

selfish and disobey principle? Mencius said, "First build up the nobler 

part of your nature and then the inferior part cannot overcome it." 32 It 


29 In Chu Hsi's letter to Lu. See Chu Tzu wen-chi, CTTC, 36:8a. 

30 ibid., 36:9a. 

31 Lao Tzu, ch. 1. Lu Hsiang-shan understood the sentences in this way because 

he followed a certain punctuation. See ch. 7, n.11. 


578


is because people fail to build up the nobler part of their nature that it 

is overcome by the inferior part. In consequence they violate principle 

and become different from Heaven and Earth. (11: 1a) 

Comment. Lu Hsiang-shan quoted Mencius even more than Confucius. 

The quotation here is his favorite one. And it is also the 

keynote of his philosophy. 

9. This principle fills the universe. Even Heaven and Earth and 

spiritual beings cannot deviate from it. How much less can man? (11:- 

4a) 

10. Mencius said, "That whereby man differs from the lower animals 

is but small. The ordinary people cast it away, while the superior man 

preserves it." 33 What is cast away is the mind. That is why Mencius said 

that some people "cast their original mind away." 34 What is preserved 

is this mind. That is why Mencius said that "The great man is one 

who does not lose his child's heart." 35 (What Mencius referred to as) 

the Four Beginnings (of humanity, righteousness, propriety, and wisdom, 

that is, the sense of commiseration, the sense of shame, the sense of 

deference and compliance, and the sense of right and wrong) 36 are this 

mind. It is what Heaven has endowed in us. All men have this mind, and 

all minds are endowed with this principle. The mind is principle. (11:- 

5b-6a) 

11. There is of course concrete principle in the universe. The value 

of study lies in understanding this principle. If it is understood, concrete 

action and concrete accomplishments will naturally result. (14: 1a) 

12. This principle fills the universe. Who can escape from it? Those 

who follow it will enjoy good fortune and those who violate it will 

encounter calamities. People (whose minds) are obscure and beclouded 

are darkened and stupid, and those (whose minds) are penetrative and 

discerning are intelligent and wise. The darkened and stupid do not see 

this principle and therefore they often violate it and suffer calamity. The 

intelligent and wise understand this principle and are therefore able to 

follow it and achieve good fortune. Commentators of the Book of 

Changes say that yang is honorable while yin is lowly, and the element 

of strength is bright while the element of weakness is dark. It is quite 

true. (21: 1a) 

13. The four directions plus upward and downward constitute the 

spatial continuum (yü). What has gone by in the past and what is to 

come in the future constitute the temporal continuum (chou). The 

universe (these continua) is my mind, and my mind is the universe. 

33 Mencius, 4B: 19. 

34 ibid., 6A: 10. , 

35 36 

ibid., 4B:12. ibid., 2A:6. 

579


Sages appeared tens of thousands of generations ago. They shared this 

mind; they shared this principle. Sages will appear tens of thousands 

of generations to come. They will share this mind; they will share this 

principle. Over the four seas sages appear. They share this mind; they 

share this principle. (22:5a) 

Comment. This is Lu's philosophy in a word. Chu Hsi is correct in 

saying that all Lu talked about was the one mind. 37 Unfortunately, 

Lu has never explained the mind fully beyond saying that it is the 

mind of everyone, that it is the original mind, that it is equivalent 

to jen (humanity), 38 and that it consists of the Four Beginnings 

of humanity, righteousness, propriety, and wisdom taught by Mencius. 

In short, he added nothing to what Mencius had taught. 

His importance in the history of Chinese philosophy does not lie 

in his philosophical originality but in the fact that he made the mind 

the center of a philosophical movement. 

14. The affairs in the universe (yü-chou) are my own affairs. My 

own affairs are affairs of the universe. (22:5a) 

15. The human mind is most intelligent and principle is most clear. 

All people have this mind and all minds contain this principle in full. 

(22:5a) 

16. Moral principles inherent in the human mind are endowed by 

Heaven and cannot be wiped out. Those who are beclouded by material 

desires so as to pervert principles and violate righteousness, do so because 

they do not think, that is all. If they can truly examine themselves 

and think, their sense of right and wrong and their choice between right 

and wrong will have the qualities of quiet alertness, clear-cut intelligence, 

and firm conviction. (32:4a) 

17. The Teacher always said that outside of the Way there are no 

events and outside of events there is no Way. (34: 1a) 

18. When has the Way existing in the universe any defect? Only men 

themselves have defects. Sages and worthies of all ages merely remove 

the defects of man. How can the Way be augmented or diminished? 

(34:la) 

19. Moral principles are nothing but those moral principles right 

before our eyes. Even when our understanding reaches the level of 

sages, they are nothing but moral principles right before our eyes. (34:la) 

20. If in our study we know the fundamentals, then all the Six 

Classics 39 are my footnotes. (34:1b) 

37 38 Chu Tzu yü-lei, 124:4b. For a discussion of this term, see Appendix. 

39 

The Books of Odes, History, Rites, Changes, the Chou-li (Rites of Chou), 

580


Comment. A most daring statement by a Confucianist! This revolt 

against the heavy weight of literature has nothing to do with the 

Zen doctrine of having no use for words or literature. He rejected 

commentaries, but he still read the original. This is in line with 

his philosophy of ignoring details and concentrating on fundamentals. 

It is true, however, that, generally speaking, he did not 

care for reading or writing. Among Neo-Confucianists only he and 

Ch'eng Hao did not write anything except letters, prefaces, and 

the like. As in the case of Ch'eng, his philosophy was expressed 

chiefly in letters and conversations. If they lack systematic presentation 

and logical arguments, they are products of actual living 

and are meant not for academic debate but for the guidance of 

everyday life. 

21. The theory that principle is due to Nature (T'ien, Heaven) 

whereas desire is due to man is, without saying, not the best doctrine. 

If principle is due to Nature and desire due to man, then Nature and 

man must be different. This theory can be traced to Lao Tzu. In the 

"Record of Music" it is said, "By nature man is tranquil at birth. When, 

influenced by external things, he begins to be active, that is desire arising 

from his nature. As one becomes conscious of things resulting from 

this impact, one begins to have likes and dislikes. . . . When [as a result 

of these likes and dislikes] one is unable to return to his original mind, 

the Principle of Nature is destroyed." 40 Here is the origin of the theory 

that principle is from Nature whereas desire is from man. And the words 

of the "Record of Music" are based on the Taoists. 41 If it is said that 

only tranquillity is inborn nature, is activity not inborn nature also? It 

is said in the Book of History that "the human mind is precarious, the 

moral mind is subtle." 42 Most interpreters have explained the human 

mind (which is liable to make mistakes) as equivalent to [selfish] human 

desires and the moral mind (which follows the Way, the Moral Law) 

as equivalent to the Principle of Nature. This interpretation is wrong. 

The mind is one. How can man have two minds? (34: 1b) 

22. Someone asked, "In learning your doctrines, where should one 

begin?" The Teacher answered, "Genuine and personal concern, selfexamination, 

correcting one's mistakes, reforming to do good. That is 

all." (34:4b) 

and the Spring and Autumn Annals. The ancient Six Classics had the Book of 

Music, now lost, instead of the Chou-li. 

40 Book of Rites, "Record of Music." Cf. translation by Legge, Li Ki, p. 96. 

41 The term Principle of Nature of course does not appear in the Lao Tzu. Lu 

was evidently thinking of the general Taoist doctrine of having no or few desires 

in chs. 3, 19, 34, 37, 57. 

42 "Counsels of the Great Yü." Cf. translation by Legge, Shoo King, p. 61. 

581


23. Chu Yüan-hui (Chu Hsi) once wrote to one of his students saying, 

"Lu Tzu-ching (Lu Hsiang-shan) taught people only the doctrine 

of 'honoring the moral nature.' 43 Therefore those who have studied 

under him are mostly scholars who put their beliefs into practice. But 

he neglected to follow the path of study and inquiry. 44 In my teaching 

is it not true that I have put somewhat more emphasis on 'following 

the path of study and inquiry'? As a consequence, my pupils often do 

not approach his in putting beliefs into practice." From this it is clear 

that Yüan-hui wanted to avoid two defects (failure to honor the moral 

nature and failure to practice) and combine the two merits (following 

the path of study and inquiry and practicing one's beliefs). I do not 

believe this to be possible. If one does not know how to honor his moral 

nature, how can he talk about following the path of study and inquiry? 

(34:4b-5a) 

24. My learning is different from that of others in the fact that with 

me every word comes spontaneously. Although I have uttered tens of 

thousands of words, they all are expressions of what is within me, and 

nothing more has been added. Recently someone has commented of 

me that aside from [Mencius'] saying, "First build up the nobler part 

of your nature," 45 I had nothing clever. When I heard this, I said, "Very 

true indeed." (34:5a) 

25. My brother Fu-chai one day asked me, "Where do you devote 

your efforts now?" I answered: "I devote my efforts to the area of 

human feelings and human affairs, practical situations, and principles 

of things." He nodded, that was all. When a person knows whether the 

prices of goods are high or low and can discriminate whether a thing is 

beautiful or ugly and genuine or false, I cannot say that he is not an able 

man. However, what I call making effort does not refer to these. (34:5a) 

26. Men living in the world all share the same material force. It is in 

accordance with moral principles that they should support each other 

in doing good and stop each other from doing evil. Why should there 

be any idea to divide one another? And why should there be any idea 

of imposing one's own will? (34:5a) 

27. The universe has never separated itself from man. Man separates 

himself from the universe. (34:5b) 

28. When the Teacher resided in the Hsiang-shan, he often said to 

his pupils, "Your hearing is by nature distinct and your vision is by 

nature clear. By natural endowment you are capable of serving your 

father with filial piety and your elder brother with respect. Fundamentally 

there is nothing wanting in you. There is no need to seek elsewhere. All 

depends on your establishing yourself in life." (34:10b) 

43 The Mean, ch. 27. 44 ibid. 45 Mencius, 6A: 15. 

582


29. Someone said that the Teacher's doctrines concern morality, 

human nature and destiny, and what exists before physical form, whereas 

the doctrines of Chu Hsi concern the names, varieties, and systems of 

things and what exist after physical form, and that a student should learn 

the doctrines of both teachers. The Teacher said, "Chu Hsi would not 

be satisfied with what you have said about him. He himself said that 

there is one thread running through his doctrines. However, he has not 

understood the Way clearly and in the end there is no thread running 

through them. I once wrote him and said, 'When imagination and imitation 

are skillful and copying and borrowing are close, their particulars 

are enough to make one self-confident, and their details enough to give 

him self-comfort.' 46 These words cut into the very heart of his doctrines." 

(34:18b) 

30. The Teacher said that all things are luxuriantly present in the 

mind. What permeates the mind, emanates from it, and extends to fill 

the universe is nothing but principle. (34:21a) 

31. Lü Po-kung (Lü Tsu-ch'ien, 1137-1181) 47 arranged a meeting 

at the Goose Lake Temple. 48 My late elder brother Fu-chai said to me, 

"Po-kung has invited Yüan-hui (Chu Hsi) to meet us particularly because 

we differ from him in doctrines.". . . [Chu Hsi] was debating with 

my brother. I said, "On the way I wrote a poem. . . : 

Work that is easy and simple will in the end be lasting and great, 

Understanding that is devoted to isolated details will end up in 

aimless drifting. . . ." 

When I recited my poem up to these lines, Yüan-hui's face turned pale. 

(34:24a-b) 

'Comment. This meeting in 1175 was one of the most celebrated in 

Chinese history. It was a dramatic meeting of the three leading 

scholars of the time. More important, it was an encounter of two 

sharply different ways of life—one for "honoring the moral nature" 

and the other for "following the path of inquiry and study." As 

Huang Tsung-hsi (1610-1695) has said, these two ways are, 

respectively, the foundations of Lu Hsiang-shan's and Chu Hsi's 

46 Hsiang-shan ch'üan-chi, 2:9a. 

47 He was a high official and a prominent scholar, to whom Chu Hsi wrote 

many letters discussing various philosophical problems. These letters are found in 

the Chu Tzu wen-chi, chs. 33-35. For an account of him, see Forke, Geschichte 

der neueren chinesischen Philosophie, pp. 226-229 or Huang Tsung-hsi et al., Sung- 

Yüan hsüeh-an (Anthology and Critical Accounts of the Neo-Confucianists of 

the Sung and Yuan Dynasties, 960-1368), ch. 51. Hu, Chu, and Lu represented 

the most outstanding currents of thoughts at this time. His system is a synthesis of 

Chu's rationalism and Lu's idealism. 

48 In present Kiangsi Province. 

583


systems. 49 This diametrical opposition is not the only one between 

the two, as already pointed out in the introduction. They also debated 

over metaphysics (sec. 6). That debate, which took place in 

1188, is equally famous, although it was not as dramatic because 

it was conducted through correspondence. 

32. A student must make up his mind. To read books and merely 

understand their literal meanings means not to have made up one's 

mind. (35:1b) 

33. The Way in the universe cannot be augmented or diminished. 

Neither can it be taken or be given away. Man must find this out for 

himself. (35:3a) 

34. Li Po-mien 50 asked how to investigate things. The Teacher 

said, "Study the principles of things." Po-mien said, "There are so 

many things in the world. How can one study all of them?" The Teacher 

said, " 'All things are already complete in oneself.' 51 It is only necessary 

to understand principle. ... In the past I did not read the writings of the 

I-Lo School of Ch'eng Hao and Ch'eng I. 52 Only recently have I read 

them. I find there are incorrect ideas in them. Nowadays when people 

read, they pay no attention to what is simple and easy, but devote their 

vigorous efforts to study what can arouse people's admiration. When 

did ancient sages aim to arouse people's admiration? It is because the 

Way has not prevailed that when people see something unusual, their 

admiration is aroused. . . . When I read, I merely look at ancient annotations, 

and the words of the sages are clear of themselves. Take the 

saying, ' Young men should be filial when at home and respectful to their 

elders when away from home.' 53 This clearly means that when at home 

you are to be filial and when away from home you are to be respectful. 

What is the need for commentaries? Students have exhausted their 

energies in them and therefore their burden has become even heavier. 

When they come to me, I simply reduce the burden for them. This alone 

means the investigation of things." (35:7b-8a) 

Comment. It is correct to say that Ch'eng I and Chu Hsi represented 

the rationalistic wing of Neo-Confucianism while Ch'eng 

Hao, Lu Hsiang-shan, and Wang Yang-ming represented the 

idealistic wing. But we must not say that Lu's philosophy is an 

49 Sung-yüan hsüeh-an, SPPY, 58:2a. 

50 Among Lu's pupils, he studied with him for the longest period. He recorded 

the conversations in Hsiang-shan ch'üan-chi, 35:5a-11b. 


52 So-called because the two Ch'eng brothers lived and taught in the I River 

area and Lo-yang. Later the term also applied to Chu Hsi, that is, the Ch'eng-Chu 

School as a whole. 


584


offshoot of that of Ch'eng Hao. There was little historical connection 

between Lu and Ch'eng Hao. Ch'üan Tsu-wang (1705- 

1755) said that Lu represented the full development of the Ch'eng 

Hao School through Hsieh Liang-tso (Hsieh Shang-ts'ai, 1050- 

1103) 54 but he offered no evidence. 55 Chu Hsi confessed that he 

did not know who Lu's teachers were. 56 And Lu Hsiang-shan himself 

said that he conceived his ideas from reading the Book of 

Mencius. 57 As in the case of Ch'eng Hao, any realization was 

achieved through his own effort. This is the very foundation for the 

spirit of independence in his thought. 

In a way, Lu went too far in his independent thinking. As was to 

be expected, Lu had little to say about the investigation of things. 

His theory that it is nothing but understanding principle, which is 

identical with mind, is surely an extreme. For this he had no support 

from Mencius and offered no logical justification. 

35. [In answer to Li Po-mien the Teacher said], "Students of today 

only pay attention to details and do not search for what is concrete. 

Mencius said, 'He who exerts his mind to the utmost knows his nature. 

He who knows his nature knows Heaven (Nature).' 58 There is only 

one mind. My mind, my friends' mind, the mind of the sages thousands 

of years ago, and the mind of sages thousands of years to come are all 

the same. The substance of the mind is infinite. If one can completely develop 

his mind, he will become identified with Heaven. To acquire learning 

is to appreciate this fact. This is what is meant by the saying, 'Sincerity 

means the completion of the self, and the Way is. self-directing.' 59 

When is it necessary to depend on words?" 

Po-mien asked, "What is meant by exerting the mind to the utmost? 

What is the difference between mind, capacity, the nature, and feeling?" 

The Teacher said, "What you say is also details. However, this is not 

your fault, my friend; it is the defect of the entire world. When scholars 

read today, they only try to understand words and do not go further to 

find out what is vital. As to feeling, the nature, mind, and capacity, they 

are all one thing in general and simply happen to be expressed differently." 

Po-mien said, "Is it that they 'are the same, but after they are produced, 

they have different names'?" 60 

54 

One of the most outstanding pupils of the Ch'eng brothers and a prominent 

Neo-Confucianist. For an account of his philosophy see Forke, Geschichte der 

neueren chinesischen Philosophie, pp. 110-116, or Sung-Yüan hsüeh-an, ch. 24. 

55 56 

Sung-Yüan hsüeh-an, SPPY, 58:1a. Chu Tzu yü-lei, 124:1a. 

57 58 Hsiang-shan ch'üan-chi, 35:29a. Mencius, 7A:1. 

59 60 


Quoting Lao Tzu, ch. 1. 

585


The Teacher said, "You do not have to talk about them. If you do, 

you will be wrong, and in the future you will only depend on words, and 

study not for your own sake but to impress others. If you pay attention 

to what is concrete to yourself, you will eventually understand. But if 

you insist on talking about them, you may say that with respect to 

Heaven, it is the nature, and with respect to man, it is the mind." (35:- 

10a-b) 

36. Principle exists in the universe without any obstruction. It is 

only that you sink from it, hide yourself in darkness as in the trap, and lose 

all sense of what is high and far beyond. It is imperative that this trap 

be decisively broken and the confining net be penetrated and destroyed. 

(35:15b-16a) 

37. Collect your spirit. Be your own master. "All things are already 

complete in oneself." 61 What is it that is lacking? When I should be 

commiserative, I am naturally commiserative. When I should be 

ashamed, liberal, generous, affectionate, tender, or strong and firm, I 

am naturally so. (35:18a) 

38. Establish yourself in life and respect yourself. Don't follow other 

people's footsteps nor repeat their words. (35:22a) 

39. The Four Beginnings (of humanity, righteousness, propriety, and 

wisdom) are all originally present in the self. Nothing need be added 

from the outside. (35:22a) 

40. It is wrong to say that the human mind is identical with human 

artificiality whereas the moral mind is identical with the Principle of 

Nature [as suggested in the saying, "The human mind is precarious 

(liable to make mistakes), and the moral mind is subtle"]. 62 By the 

human mind is meant the mind of everyone. To be subtle means [for the 

mind] to be refined, and that if it is coarse to any extent, it will not be 

refined. To say that one is human desires and the other the Principle of 

Nature is wrong. There are good and evil in man, and there are also 

good and evil in Nature [such as eclipses and evil stars]. 63 How can it be 

correct to ascribe all good to Nature and all evil to man? (35:23a) 

41. The theory of the distinction between the Principle of Nature and 

human desires is extremely defective. Since it was enunciated in the 

Book of Rites people have repeated it. In the "Record of Music" it is 

said that "By nature man is tranquil at birth. When influenced by external 

things, he begins to be active, which is desire." 64 If all this is 

good, then both activity and tranquillity are good. Is there any distinction 


62 History, "Counsels of the Great Yü." Cf. Legge, Shoo King, p. 62. 

63 Lu's own insertion. 

64 Cf. Legge, Li Ki, vol. 1, p. 97. 

586


between the Principle of Nature and human desires in this respect? If 

it is not good, then tranquillity is also not good. What is there between 

tranquillity and activity? (35:31b) 

42. The Way refers to existence before physical form [and is without 

it], whereas concrete things refer to existence after physical form [and 

is with it]. Both heaven and earth are concrete things. What they produce 

and support necessarily have principle in them. (35:32b) 

587

... 34 ••• 

THE GREAT SYNTHESIS IN CHU HSI 

NO ONE has exercised greater influence on Chinese thought than Chu 

Hsi (Chu Yüan-hui, 1130-1200), except Confucius, Mencius, Lao Tzu, 

and Chuang Tzu. He gave Confucianism new meaning and for centuries 

dominated not only Chinese thought but the thought of Korea and Japan 

as well. 

Our philosopher early distinguished himself as a patriot-scholar, having 

repeatedly petitioned the emperor to practice the Confucian principles 

of "the investigation of things" and "the extension of knowledge," 

to impeach inefficient officials, and not to make peace with the invading 

enemy. But he preferred a life of peace and poverty. From 1163 to 1178, 

he declined official positions and devoted his time to scholarship. 

Eventually he spent nine years in public service, and gave an excellent 

account of himself in promoting education and agriculture. He revived 

the intellectual center at the White Deer Grotto in present Kiangsi 

Province, and his lectures there attracted all prominent scholars of the 

time. But his philosophical views were too radical for the rulers to accept. 

He was repeatedly dismissed from office. In 1196, his teachings 

were prohibited, and someone even demanded his execution. He continued 

to write after his dismissal from government service, and in so 

doing made tremendous contributions. 1 

1 Chu Hsi was a native of Fukien. For several years he studied under his father 

who was head of various departments but eventually left the capital because he 

opposed accepting humiliating peace terms from the northern invaders. In 1154-57, 

Chu Hsi was a district keeper of records. But he preferred quiet study. From 

1158 he studied under Li T'ung (Li Yen-p'ing, 1088-1163) who continued the 

tradition of the Neo-Confucianism of Ch'eng Hao and Ch'eng I. Most of his life, 

Chu Hsi was off and on a guardian of some temple, utilizing the peace and quiet 

to study, write, and talk with the most prominent scholars of the day. His official 

life, other than the guardianship, was intermittent and turbulent, for he strongly 

opposed concluding peace and repeatedly memorialized the throne to criticize 

officials and policies. Time and again he declined official positions. In 1179 he was 

appointed a prefect. In 1182 he was demoted to a minor post because he incurred 

the anger of the emperor by attacking the incompetency of officials on all levels. 

In 1188 he was appointed vice minister of the army department, but the viceminister 

himself vigorously attacked him and he was shifted to a small position. 

Later in the year he was appointed a junior expositor in waiting to expound the 

Classics to the emperor, but he declined. In 1190 he became a prefect in Fukien 

and in 1194 a prefect in Hunan for one month. Later that year he became 

expositor in waiting but because he memorialized to attack the wicked but 

powerful officials he was dismissed and given the sinecure of a temple guardian. 

Two years later a censor accused him of ten crimes, including refusing to serve 

and spreading false learning, and someone even petitioned for his execution. 

All his posts were taken away. Although the attack on "false learning" was severe, 

588

CHU HSI 

His contributions were by no means confined to philosophy, although 

that is the most important. He synthesized Confucius' concept of jen 

(humanity), Mencius' doctrines of humanity and righteousness, the idea 

of the investigation of things in the Great Learning, the teaching of sincerity 

in the Doctrine of the Mean, the yin yang (passive and active 

cosmic forces) and the Five Agents (Water, Fire, Wood, Metal, Earth) 

doctrines of Han times (206 B.C.− A.D. 220), and practically all the important 

ideas of the Neo-Confucianists of early Sung (960-1279), as we 

shall point out later on. His breadth of insight and his scholarship are 

equalled by few men in Chinese history. Rightly or wrongly, he was the 

one who established the orthodox line of transmission of the Confucian 

School from Confucius through Mencius, Chou Tun-i (Chou Lien-hsi, 

1017-1073), Chang Tsai (Chang Heng-ch'ü, 1020-1077), Ch'eng Hao 

(Ch'eng Ming-tao, 1032-1085), and his brother Ch'eng I (Ch'eng Ich'uan, 

1033-1107). 2 He inaugurated new tendencies in textual criticisms. 

Among other things, he considered the Book of Changes as a book 

primarily for divination, thus radically differing from other Neo-Confucianists 

who depended on it for much of their philosophical inspiration. 

His most radical innovation was to select and group the Analects, the 

Book of Mencius, the Great Learning, and the Doctrine of the Mean 

(both of which are chapters of the Book of Rites), as the Four Books, 

wrote commentaries on them, interpreted them in new lights, and made 

them the foundation of his social and ethical philosophy. From 1313 to 

1905 the Four Books were the basis of the civil service examinations. As 

a result, they have exercised far greater influence on Chinese life and 

thought in the last six hundred years than any other Classic. Through his 

interpretations of the Four Books, he made Neo-Confucianism truly 

Confucian, stripped of the Buddhist and Taoist influence which had been 

conspicuous in previous Neo-Confucianists. 

Generally speaking, while he reaffirmed the basic doctrines of Confucianism, 

he brought its development over the centuries, especially 

during the Sung period, into a harmonious whole and gave it a new 

complexion. 

Up to this time, Neo-Confucianism was characterized by six major 

concepts advocated by the different philosophers, namely, the Great 

almost a thousand people attended his funeral when he died. For greater details, 

see Wang Mou-hung (1668-1741), Chu Tzu nien-p'u (Chronological Biography of 

Chu Hsi), Kuo-hsüeh chi-pen ts'ung-shu (Basic Sinological Series), ed., Sung 

shih (History of the Sung Dynasty, 960-1279), ch. 429, and Bruce, Chu Hsi and 

His Masters, pp. 56-96. 

2 In his I-Lo yüan-yüan lu (Record of the Origin of the School of the Two 

Ch'engs), he placed Chou Tun-i ahead of the two Ch'engs, thus asserting that 

Chou was the founder of Neo-Confucianism and the two Ch'engs more or less 

transmitted his doctrines. For comments on this matter, see above, pp. 482, 520. 

589

THE GREAT SYNTHESIS 

Ultimate, principle (li), material force (ch'i), 8 the nature, the investigation 

of things, and humanity. All of these were developed, systematized, 

and synthesized in the greatest of Neo-Confucianists, Master Chu. 

Assimilating the concepts of the Great Ultimate advocated by Chou 

Tun-i and combining it with the concept of principle of Ch'eng Hao and 

his brother Ch'eng I, Chu Hsi held that the Great Ultimate has no 

physical form but consists of principle in its totality. All actual and potential 

principles are contained in the Great Ultimate, which is complete 

in all things as a whole and in each thing individually. The relationship 

between the Great Ultimate in the universe and the Great Ultimate in 

each individual thing is not one of whole and part, but one similar to 

moonlight shining on objects. Each object has its own moonlight but 

this moonlight is moonlight as a whole. 

It is the principle of things to be actualized, and actualization requires 

principle as its substance and material force as its actuality. Thus the 

Great Ultimate involves both principle and material force. The former 

is necessary to explain the reality and universality of things. It is incorporeal, 

one, eternal and unchanging, uniform, constituting the essence 

of things, always good, but it does not contain a dichotomy of 

good and evil, does not create things. The latter is necessary to explain 

physical form, individuality, and the transformation of things. It is physical, 

many, transitory and changeable, unequal in things, constituting 

their physical substance, involving both good and evil (depending on 

whether its endowment in things is balanced or partial), and is the agent 

of creation. 

While seemingly dualistic, principle and material force are never 

separate. Principle needs material force in order to have something to 

adhere to, and material force needs principle as its own law of being. 

The fact that they always work together is due to the direction of the 

mind of the universe, which is the universe itself. In man this mind becomes, 

on the one hand, the moral mind, which is the principle of his 

original nature, and on the other, the human mind, which is the principle 

of original nature mixed with physical endowment and human desires. 

The principle of a thing or man is his very nature, real and concrete, 

unlike the nature in Buddhism, which is Emptiness. Original mind is 

principle in itself, unmoved, and perfectly good, while physical nature, 

on the other hand, is principle mixed with material force; it is the 

aroused state, involving both good and evil. The two natures, however, are 

always interfused, one the substance and the other, function. As substance, 

it is the nature, and as function, it is the feelings. That which unites and 

commands both human nature and feelings, according to Chang Tsai, 

3 See Appendix for a discussion of these two terms. 

590

CHU HSI 

is the mind. By unifying and commanding is meant the mind unifying 

itself by harmonizing man's nature and his feelings and by transforming 

the human mind into the moral mind. Hence the possibility of morality. 

Moreover, all human beings and things have a mind, and this mind is 

in essence identical with the mind of the universe. Therefore there is 

the possibility of knowledge and the mutual influence and response 

among things and human beings, whether living or dead. Hence the investigation 

of things and religious sacrificial rites. 

In his doctrine of the investigation of things, Chu Hsi follows closely 

Ch'eng I, as he does in the doctrine of principle. Indeed he was a fourthgeneration 

pupil of the two Ch'eng brothers; and of the two, Ch'eng I 

was his main source of ideas. But he did not merely follow him or 

elaborate on him. He differs from him at many points. For example, 

while to Ch'eng I physical nature is outside principle, to Chu Hsi they 

are intermingled. Like Ch'eng, he taught seriousness (ching) 4 as the 

psychological prerequisite for true knowledge and exhaustive investigation 

as the method. But he was careful to emphasize equally both the 

deductive and inductive methods and both objective observation and 

intuitive understanding. 

The greatest understanding to be achieved is that of jen, 5 an idea close 

to the hearts of all Confucianists. It was one of the most persistent subjects 

in the history of Chinese philosophy, and its long evaluation finally 

culminated in Chu Hsi's famous description that it is "the character of 

man's mind and the principle of love." The significance and implications 

of this idea as well as of other ideas of his will be elaborated in the comments. 

Suffice it to say here that virtually every cardinal Confucian concept 

was brought to a higher peak by Chu Hsi. 

Such a well organized and freshly envigorated philosophy could not 

but overwhelm the Chinese. Although not without opposition from such 

outstanding Neo-Confucianists as Lu Hsiang-shan (Lu Chiu-yüan, 

1139-1192), his philosophy and that of Ch'eng I, that is, the Ch'eng- 

Chu School of Principle, dominated the intellectual life of the Southern 

Sung period (1127-1279). In the Yuan dynasty (1271-1368) that followed, 

the supremacy of the Ch'eng-Chu School remained unchallenged. 

With a few exceptions, great scholars were all exponents of Chu Hsi's 

rationalism. Even those who attempted to reconcile the conflicts between 

him and Lu Hsiang-shan were essentially faithful disciples of his. In the 

Ming period (1318-1644), before the idealism of Wang Yang-ming 

(Wang Shou-jen, 1472-1529) emerged as the leading philosophy, his 

rationalism was the strongest intellectual current. Even during the fif- 

4 For comment on this term, see ibid. 

5 See ibid, for a discussion of the term. 

591


teenth and sixteenth centuries when Wang overshadowed him, it did not 

entirely disappear. There were philosophers like members of the Tunglin 

School who defended it and others like Liu Tsung-chou (1578- 

1645) who tried to synthesize it with the idealism of Wang. Consequently 

as opposition against idealism grew in the seventeenth century, 

Chu's philosophy was revived in strength. This period was one of independent 

and critical thinking, but some of the most outstanding scholars 

of the time, notably Ku Yen-wu (1613-1682) and Wang Fu-chih 

(1619-1692) were greatly influenced by and strongly inclined toward 

Chu Hsi. While eventually the critical spirit overthrew the speculative 

philosophies of both Wang and Chu, the latter had left a permanent 

imprint on the philosophical life of China. From the beginning of the 

fourteenth century on, his and Ch'eng I's interpretation of the Confucian 

Classics were officially held as the orthodox doctrines, and as already 

mentioned they formed the basis of civil service examinations and were 

therefore the intellectual standards for the Chinese literati until 1905 

when the examination system was abolished. His philosophy survived 

the Intellectual Revolution of 1917 and became in the thirties the foundation 

of Professor Fung Yu-lan's new rationalism. His influence was 

not limited to China. It became an orthodoxy in Korea and the outstanding 

school of thought in the history of Japan. 

The following selections include three short essays and a letter from 

the Chu Tzu wen-chi (Collection of Literary Works by Chu Hsi), 6 and 

a number of sayings from the Chu Tzu ch'üan-shu (Complete Works of 

Chu Hsi). 7 

6 This work, dated 1532, consists of letters, official documents, short essays, 

poems, and the like in 121 chapters (36 vols.). The SPPY edition of 1930, entitled 

Chu Tzu ta-ch'üan (Complete Literary Works of Chu Hsi), is used. 

7 The 1714 edition is used. The title "Complete Works" is misleading, for 

actually it consists of selected passages from the Chu Tzu wen-chi and sayings from 

the Chu Tzu yü-lei (Classified Conversations of Chu Hsi) of 1270 which is in 

140 chapters (40 vols.). It was compiled by imperial command in 1713 in a 

topical arrangement in 66 chapters (25 vols.) and published in 1714. It is worth 

noting that in the arrangement, moral cultivation comes first and metaphysics 

comes very much later. In practically all anthologies of Chu Hsi's works in 

Chinese, this characteristic dominates. The best example is the Hsü Chin-ssu-lu 

(Supplement to the Reflections on Things at Hand) by Chang Po-hsing (1651- 

1725). Even sayings on metaphysics are selected with moral cultivation in mind, 

as can be seen by his annotations. In our selections, the original topical arrangement 

is followed simply to keep the original order. 

Chapters 42-48 of this work have been translated by Bruce into English, called 

The Philosophy of Human Nature, and ch. 49 has been rendered in European 

languages several times, the most recent in French by Pang Ching-Jen, in his 

L'idée de Dieu chez Malebranche et I'idée de Li chez Tchou Hi, pp. 73-119. 

592

CHU HSI 

A. TREATISES 

I. A Treatise on Jen 

Original note: In the Chekiang edition, the "Treatise on Jen" by 

Chang Shih (Chang Nan-hsien, 1133-1180) is erroneously considered 

to be by Master Chu and Master Chu's treatise is considered 

to be a preface to Chang's essay. There is also a note saying 

that this treatise is perhaps a preface to Chang's essay. This is a 

mistake and is here corrected. 

"The mind of Heaven and Earth is to produce things." 8 In the production 

of man and things, they receive the mind of Heaven and Earth 

as their mind. Therefore, with reference to the character of the mind, 

although it embraces and penetrates all and leaves nothing to be desired, 

8 Wai-shu (Additional Works), 3:1a, in ECCS. There is no indication which of 

the two brothers said this. It is considered to be Ch'eng Hao's in the Ming-tao 

ch'üan-shu (Complete Works of Ch'eng Hao) by Shen Kuei (of Ming, 1368- 

1644). 

593


nevertheless, one word will cover all of it, namely, jen (humanity). Let 

me try to explain fully. 

The moral qualities of the mind of Heaven and Earth are four: 

origination, flourish, advantages, and firmness. 9 And the principle of 

origination unites and controls them all. In their operation they constitute 

the course of the four seasons, and the vital force of spring permeates 

all. Therefore in the mind of man there are also four moral 

qualities—namely, jen, righteousness, propriety, and wisdom—and jen 

embraces them all. In their emanation and function, they constitute the 

feeling of love, respect, being right, and discrimination between right 

and wrong—and the feeling of commiseration pervades them all. Therefore 

in discussing the mind of Heaven and Earth, it is said, "Great is 

ch'ien (Heaven), the originator!" and "Great is k'un (Earth), the 

originator." 10 Both substance and function of the four moral qualities 

are thus fully implied without enumerating them. In discussing the 

excellence of man's mind, it is said, "Jen is man's mind." 11 Both substance 

and function of the four moral qualities are thus fully presented 

without mentioning them. For jen as constituting the Way (Tao) consists 

of the fact that the mind of Heaven and Earth to produce things is 

present in everything. Before feelings are aroused this substance is already 

existent in its completeness. After feelings are aroused, its function 

is infinite. If we can truly practice love and preserve it, then we have 

in it the spring of all virtues and the root of all good deeds. This is why 

in the teachings of the Confucian school, the student is always urged to 

exert anxious and unceasing effort in the pursuit of jen. In the teachings 

(of Confucius, it is said), "Master oneself and return to propriety." 12 

This means that if we can overcome and eliminate selfishness and return 

to the Principle of Nature, (T'ien-li, Principle of Heaven), then the 

substance of this mind (that is, jen) will be present everywhere and its 

function will always be operative. It is also said, "Be respectful in private 

life, be serious in handling affairs, and be loyal in dealing with 

others." 13 These are also ways to preserve this mind. Again, it is said, 

"Be filial in serving parents," "Be respectful in serving elder brothers." 14 

and "Be loving in dealing with all things." 15 These are ways to put this 

9 Changes, commentary on hexagram no. 1, ch'ien (Heaven). Cf. translation 

by Legge, Yi King, p. 57. 

10 ibid., commenting on hexagram nos, 1 and 2, k'un (Earth). See Legge, pp. 

213-214. 

11 Mencius, 6A:11. 12 Analects, 12:1. 13 ibid., 13:19. 

14 Both quotations from Book of Filial Piety, ch. 14. See Makre, trans., Hsiao 

Ching p. 31. 

15 This is not a quotation from early Confucian texts but Ch'eng I's interpretation 

of the Confucian concept of altruism. See I-shu (Surviving Works), 11:5b, in 

ECCS. 

594

CHU HSI 

mind into practice. It is again said, "They sought jen and found it," 16 

for (Po-i) declined a kingdom and left the country (in favor of his 

younger brother, Shu-ch'i) and they both remonstrated their superior 

against a punitive expedition and chose retirement and hunger, 17 and in 

doing so, they prevented losing this mind. Again it is said, "Sacrifice life 

in order to realize jen." 18 This means that we desire something more than 

life and hate something more than death, so as not to injure this mind. 

What mind is this? In Heaven and Earth it is the mind to produce things 

infinitely. In man it is the mind to love people gently and to benefit 

things. It includes the four virtues (of humanity, righteousness, propriety, 

and wisdom) and penetrates the Four Beginnings (of the sense of commiseration, 

the sense of shame, the sense of deference and compliance, 

and the sense of right and wrong). 

Someone said: According to our explanation, is it not wrong for 

Master Ch'eng 19 to say that love is feeling while jen is nature and that 

love should not be regarded as jen? 20 

Answer: Not so. What Master Ch'eng criticized was the application 

of the term to the expression of love. What I maintain is that the term 

should be applied to the principle of love. For although the spheres of 

man's nature and feelings are different, their mutual penetration is like 

the blood system in which each part has its own relationship. When have 

they become sharply separated and been made to have nothing to do 

with each other? I was just now worrying about students' reciting Master 

Ch'eng's words without inquiring into their meaning, and thereby coming 

to talk about jen as clearly apart from love. I have therefore purposely 

talked about this to reveal the hidden meaning of Master Ch'eng's words, 

and you regard my ideas as different from his. Are you not mistaken? 

Someone said: The followers of Master Ch'eng have given many 

explanations of jen. Some say that love is not jen, and regard the unity 

of all things and the self as the substance of jen. Others maintain that 

love is not jen but explain jen in terms of the possession of consciousness 

by the mind. If what you say is correct, are they all wrong? 

Answer: From what they call the unity of all things and the self, 21 it 

can be seen that jen involves love for all, but unity is not the reality 

16 


17 

When their father left the throne to Shu-ch'i, he declined in deference to his 

elder brother Po-i, but Po-i would not violate the order of his father and therefore 

chose to flee. Later, when King Wu (r. 1121-1116 B.C.) overthrew the Shang 

dynasty in spite of their remonstration, and founded the Chou dynasty, they would 

not eat the grains of Chou and starved to death. 

18 19 Analects, 15:8. 

Presumably Ch'eng I. 

I-shu, 18:1a. 

21 

Referring to Yang Kuei-shan (Yang Shih, 1053-1135), in the Kuei-shan 

yü-lu (Recorded Conversations of Yang Shih), SPTK, 2:28a. 

595


which makes Jen a substance. From what they call the mind's possession 

of consciousness, 22 it can be seen that jen includes wisdom, but that is 

not the real reason why jen is so called. If you look up Confucius' answer 

to (his pupil) Tzu-kung's question whether conferring extensive benefit 

on the people and bringing salvation to all (will constitute jen) 23 and 

also Master Ch'eng's statement that jen is not to be explained in terms of 

consciousness, 24 you will see the point. How can you still explain jen in 

these terms? 

Furthermore, to talk about jen in general terms of the unity of things 

and the self will lead people to be vague, confused, neglectful, and make 

no effort to be alert. The bad effect—and there has been—may be to 

consider other things as oneself. To talk about love in specific terms of 

consciousness will lead people to be nervous, irascible, and devoid of 

any quality of depth. The bad effect—and there has been—may be to 

consider desire as principle. In one case, (the mind) forgets (its objective). 

In the other (there is artificial effort to) help (it grow). 25 Both are 

wrong. Furthermore, the explanation in terms of consciousness does not 

in any way approach the manner of (a man of jen who) "delights in 

mountains" (while a man of wisdom delights in water) 26 or the idea 

that (jen alone) "can preserve" (what knowledge has attained), 27 as 

taught his pupil by Confucius. How then can you still explain love in 

those terms? I hereby record what they said and write this treatise on 

jen. (Chu Tzu wen-chi, or "Collection of Literary Works of Chu Hsi," 

CTTC, 67:20a-21b) 

Comment. This short treatise is both a criticism of certain theories 

and the incorporation of others into a harmonious whole. In addition, 

as Sun Ch'i-feng (1584-1675) has said, it expresses what 

the Ch'eng brothers had not expressed. 28 As can readily be seen, 

the central point is the synthesis of substance and function. In a 

way Chang Heng-ch'ü had implied it, 29 but the relationship between 

substance and function of jen was not clear until Chu. 

In ignoring the nature of jen and confining his teachings only to 

22 This is a reference to Hsieh Shang-ts'ai (Hsieh Liang-tso, 1050-1103), who 

described jen as consciousness. See Shang-ts'ai yü-lu (Recorded Conversations of 

Hsieh Liang-tso), Cheng-i-t'ang ch'üan-shu (Complete Library of the Hall of 

Rectifying the Way) ed., pt. 1, 2a-b. See also Forke, Geschichte der neueren 

chinesischen Philosophie, pp. 110-116. 

23 For the answer to Tzu-kung (520-c. 450 B.C.), see Analects, 6:28 (in ch. 2, 

above). 

24 25 

I-shu, 24:3a. 

Quoting Mencius, 2A:2. 

26 27 


ibid., 15:32. 

28 

Li-hsüeh tsung-ch'uan (Orthodox Transmission of Neo-Confucianism), 1880 

ed., 6:17a-b. 

29 

See above, ch. 30, comment on sec. A. 

596

CHU HSI 

its practice, Confucius taught only the function of jen. In a sense 

Mencius was the first to stress both substance and function when 

he laid equal emphasis on jen and righteousness. In interpreting 

jen as love, Han Confucianists viewed it almost exclusively from 

the point of view of function. Early Neo-Confucianists, on the 

other hand, whether in their doctrines of jen as impartiality, as 

forming one body with Heaven and Earth, or as consciousness, 

viewed jen almost exclusively from the point of view of substance. 

Here Chu Hsi gives substance and function equal importance, as 

they are synthesized neatly in the saying that jen is "the character 

of the mind" and "the principle of love." 30 This has become a Neo- 

Confucian idiom. It means that, as substance, jen is the character 

of man's mind, and, as function, it is the principle of love. 

Since jen is the character of the mind, it is the nature of every 

man, and as such, universal nature. Thus it includes wisdom, propriety, 

and righteousness. The reason for this is the generative 

character of jen, which he got from the Ch'eng brothers. 31 

2. A Treatise on Ch'eng Ming-tao's Discourse on the Nature 

[Master Ch'eng Hao also said,] "What is inborn is called nature. . . . 

They (nature and material force, ch'i) are both inborn." 32 [His meaning is 

this]: What is imparted by Heaven (Nature) to all things is called 

destiny (ming, mandate, fate). What is received by them from Heaven 

is called nature. But in the carrying out of the Mandate of Heaven, 

there must first be the interaction, mutual influence, consolidation, and 

integration of the two material forces (yin and yang) and the Five 

Agents (of Metal, Wood, Water, Fire, and Earth) before things can be 

produced. Man's nature and destiny exist before physical form [and are 

without it], while material force exists after physical form [and is with 

it]. What exists before physical form is the one principle harmonious 

and undifferentiated, and is invariably good. What exists after physical 

form, however, is confused and mixed, and good and evil are thereby 

differentiated. Therefore when man and things are produced, they have 

in them this material force, with the endowment of which they are produced. 

But the nature endowed by Heaven is therein preserved. This is 

30 These phrases appear separately in the treatise. However, they form one 

sentence in his Lun-yü chi-chu (Collected Commentaries on the Analects'), ch. 

1, commentary on Analects, 1:2. For a refutation of the theory that these phrases 

were borrowed from a Buddhist, see Yamaguchi Satsujo, Jin no kenkyu (An Investigation 

on Jên), 1936, pp. 370-372. 

31 On jen, see above, ch. 30, sec. 1, ch. 31, comment on secs. 1 and 11, and 

ch. 32, comment on sec. 42. 

32 I-shu, 1:7b. In the beginning sentence, Ch'eng is quoting Kao Tzu (c.420c.350 

B.C.) See Mencius, 6A:3. 

597


how Master Ch'eng elucidated the doctrine of Kao Tzu that what is 

inborn is called nature, and expressed his own thought by saying that 

"One's nature is the same as material force and material force is the same 

as nature." 33 

[Master Ch'eng also said,] "[According to principle, there are both 

good and evil] in the material force with which man is endowed at birth. 

. . . [Nature is of course good], but it cannot be said that evil is not 

nature." 34 It is the principle of nature that the material force with which 

man is endowed necessarily has the difference of good and evil. For in 

the operation of material force, nature is the controlling factor. In accordance 

with its purity or impurity, material force is differentiated into 

good and evil. Therefore there are not two distinct things in nature opposing 

each other. Even the nature of evil material force is good, and 

therefore evil may not be said to be not a part of nature. The Master 

further said, "Good and evil in the world are both the Principle of 

Nature. What is called evil is not original evil. It becomes evil only because 

of deviation from the mean." 35 For there is nothing in the world 

which is outside of one's nature. All things are originally good but degenerated 

into evil, that is all. 

[The Master further said,] "For what is inborn is called one's nature. 

. . . [The fact that whatever issues from the Way is good may be compared 

to] water always flowing downward." 36 Nature is simply nature. 

How can it be described in words? Therefore those who excel in talking 

about nature only do so in terms of the beginning of its emanation and 

manifestation, and what is involved in the concept of nature may then 

be understood in silence, as when Mencius spoke of the Four Beginnings 

(of humanity, righteousness, propriety, and wisdom). 37 By observing 

the fact that water necessarily flows downward, we know the nature of 

water is to go downward. Similarly, by observing the fact that the emanation 

of nature is always good, we know that nature involves goodness. 

[The Master further said,] "Water as such is the same in all cases. . . . 

[Although they differ in being turbid or clear, we cannot say that the 

turbid water ceases to be water. . . . The original goodness of human 

nature is like the original clearness of water. Therefore it is not true that 

two distinct and opposing elements of good and evil exist in human 

nature and that] each issues from it." This is again using the clearness and 

turbidity of water as an analogy. The clearness of water is comparable 

to the goodness of nature. Water flowing to the sea without getting 

dirty is similar to one whose material force with which he is endowed 

33 I-shu, 1:7b. 34 ibid. 35 ibid., 2A: 1b. 

36 ibid.t 1:7b. The same for all the following quotations from Ch'eng Hao. 


598

CHU HSI 

is pure and clear and who is good from childhood. In the case of a 

sage it is his nature to be so and he preserves his Heavenly endowment 

complete. Water that flows only a short distance and is already 

turbid is like one whose material endowment is extremely unbalanced 

and impure and is evil from childhood. Water that flows a long distance 

before becoming turbid is like one who, as he grows up, changes 

his character as he sees something novel and attractive to him, and loses 

his child's heart. That water may be turbid to a greater or smaller extent 

is similar to the fact that one's material force may be dark or clear and 

pure or impure in varying degrees. "We cannot say that the turbid water 

ceases to be water" means that it cannot be said that evil is not nature. 

Thus although man is darkened by material force and degenerates into 

evil, nature does not cease to be inherent in him. Only, if you call it 

nature, it is not the original nature, and if you say it is not nature, yet 

from the beginning it has never departed from it. Because of this, man 

must increase his effort at purification. If one can overcome material 

force through learning, he will know that this nature is harmonious and 

unified and from the beginning has never been destroyed. It is like the 

original water. Although the water is turbid, the clear water is nevertheless 

there, and therefore it is not that clear water has been substituted by 

turbid water. When it is clear, it is originally not turbid, and therefore it is 

not that turbid water has been taken out and laid in a corner. This being 

the case, the nature is originally good. How can there be two distinct, 

opposing, and parallel things existing in nature? 

[Master Ch'eng finally said,] "This principle is the Mandate of 

Heaven. [To obey and follow it is the Way. . . . One can neither augment 

nor diminish this function which corresponds to the Way.] Such 

is the case of Shun 38 who, [obeying and following the Way], possessed 

the empire as if it were nothing to him. 39 The sentence "This principle 

is the Mandate of Heaven" includes the beginning and ending, and the 

fundament and the secondary. Although the cultivation of the Way is 

spoken of with reference to human affairs, what is cultivated is after 

all nothing but the Mandate of Heaven as it originally is and is nothing 

man's selfishness or cunning can do about it. However, only the sage 

can completely fulfill it. Therefore the example of Shun is used to make 

the meaning clear. (Chu Tzu wen-chi, 67:16b-18a) 

Comment. In this essay, Chu Hsi not only removes the ambiguity 

in Ch'eng Hao's original treatise, which uses the same term, 

"nature," for basic nature—which is perfectly good—in the first 

part, and for physical nature—which involves both good and 

38 Legendary sage-emperor (3rd millennium B.C.) 

39 Paraphrasing Analects, 8:18. 

599


evil—in the second part. He also harmonizes all theories of human 

nature before him, whether Mencius' theory of original goodness, 

Hsün Tzu's (fl. 298-238 B.C.) theory of original evil, or Chang 

Tsai's theory of physical nature. 40 Evil can now be explained, while 

the key Confucian teaching that evil can be overcome is reaffirmed. 

In addition, the ambiguity in Ch'eng Hao's statement that there 

are both good and evil in man's nature, which led to severe criticism 

of him, is now removed. 41 

3. First Letter to the Gentlemen of Hunan 42 

on Equilibrium and Harmony 

Concerning the meaning in the Doctrine of the Mean that equilibrium 

(chung, centrality, the Mean) is the state before the feelings of pleasure, 

anger, sorrow, and joy are aroused and that harmony is that state after 

they are aroused, 43 because formerly I realized the substance of the 

operation of the mind, and, furthermore, because Master Ch'eng I had 

said that "whenever we talk about the mind, we refer to the state after 

the feelings are aroused," 44 I looked upon the mind as the state after the 

feelings are aroused and upon nature as the state before the feelings are 

aroused. However, I have observed that there are many incorrect points 

in Master Ch'eng's works. I have therefore thought the matter over, and 

consequently realized that in my previous theory not only are the 

[contrasting] terms "mind" and "nature" improper but the efforts in 

my daily task also completely lack a great foundation. Therefore the loss 

has not been confined to the meanings of words. 

The various theories in Master Ch'eng's Wen-chi (Collection of 

Literary Works) and I-shu (Surviving Works) seem to hold that before 

there is any sign of thought or deliberation and prior to the arrival of 


41 See above, ch. 31, comments on secs. 7-8. 

42 According to Wang Mou-hung, Chu Tzu nien-p'u, p. 37, this letter was 

written in 1169 when Chu Hsi was forty. The Hunan friends included Chang Nanhsien 

(Chang Shih, also called Chang Ching-fu and Chang Ch'ien-fu, 1133-1180), 

with whom Chu Hsi carried on extensive correspondence on equilibrium and 

harmony and other subjects. (Chu Tzu wen-chi, chs. 31-33). For an account of 

him, see Forke, Geschichte der neueren chinesischen Philosophie, pp. 260-264 or 

Sung-Yüan hsüen-an, ch. 50. Chang was a resident of Hunan. According to the 

Chu Tzu nien-p'u, in 1167 when Chu Hsi was thirty-eight, he and Chang visited 

Mount Heng in Hunan. The group also included Lin Tse-chih with whom Chu 

Hsi once visited Chang in Ch'ang-sha, Hunan, and with whom he also corresponded 

extensively, chiefly on equilibrium and harmony (Chu Tzu wen-chi, 43-17a-32b). 

In a letter to Lin, Chu Hsi mentioned "Human friends" and also Chang (ibid., 

43:3Ob), who is also mentioned in other letters to Lin. 


44 I-ch'uan wen-chi (Collection of Literary Works by Ch'eng I), 5:12a, in ECCS. 

600

CHU HSI 

[stimulus] of external things, there is the state before the feelings of 

pleasure, anger, sorrow, and joy are aroused. At this time, the state is 

identical with the substance of the mind, which is absolutely quiet and 

inactive, and the nature endowed by Heaven should be completely embodied 

in it. Because it is neither excessive nor insufficient, and is neither 

unbalanced nor one-sided, it is called equilibrium. When it is acted 

upon and immediately penetrates all things, the feelings are then 

aroused. 45 In this state the functioning of the mind can be seen. Because 

it never fails to attain the proper measure and degree and has nowhere 

deviated from the right, it is called harmony. This is true because of the 

correctness of the human mind and the moral character of the feelings 

and nature. 

However, the state before the feelings are aroused cannot be sought 

and the state after they are aroused permits no manipulation. So long 

as in one's daily life the effort at seriousness and cultivation is fully extended 

and there are no selfish human desires to disturb it, then before 

the feelings are aroused it will be as clear as a mirror and as calm as 

still water, and after the feelings are aroused it will attain due measure 

and degree without exception. This is the essential task in everyday life. 

As to self-examination when things occur and seeking understanding 

through inference when we come into contact with things, this must also 

serve as the foundation. If we observe the state after the feelings are 

aroused, what is contained in the state before the feelings are aroused 

can surely be understood in silence. This is why in his answers to Su 

Chi-ming, Master Ch'eng discussed and argued back and forth in the 

greatest detail and with extreme care, but in the final analysis what he 

said was no more than the word "seriousness" (ching). 46 This is the 

reason why he said, "Seriousness without fail is the way to attain 

equilibrium," 47 and "For entering the Way there is nothing better than 

seriousness. No one can 48 ever extend knowledge to the utmost without 

depending on seriousness," 49 and again, "Self-cultivation requires seriousness; 

the pursuit of learning depends on the extension of knowledge." 50 

Right along, in my discussions and thinking, I have simply considered 

the mind to be the state after the feelings are aroused, and in my daily 

efforts I have also merely considered examining and recognizing the 

clues [of activities of feelings] as the starting points. Consequently I have 

neglected the effort of daily self-cultivation, so that the mind is disturbed 

45 Generally stating the ideas in Changes, "Appended Remarks," pt. 1, ch. 10. 

Cf. Legge, Yi King, p. 370. 

46 The discussions are found in I-shu, 18:14b-16a. 

47 ibid., 2A:23b. 

48 This word is added according to the I-shu. 

49 I-shu, 3: 5b. 50 ibid., 18: 5b. 

601


in many ways and lacks the quality of depth or purity. Also, when it is 

expressed in speech or action, it is always characterized by a sense of 

urgency and an absence of reserve, and there is no longer any disposition 

of ease or profoundness. For a single mistake in one's viewpoint can 

lead to as much harm as this. This is something we must not overlook. 

When Master Ch'eng said that "whenever we talk about the mind, we 

refer to the state after the feelings are aroused," he referred [only] to the 

mind of an infant [whose feelings have already been aroused]. When he 

said "whenever we talk about the mind," he was mistaken in the way he 

expressed it and therefore admitted the incorrectness and corrected himself 

[by saying, "This is of course incorrect, for the mind is one. Sometimes 

we refer to its substance (namely, the state of absolute quietness 

and inactivity) and sometimes we refer to its function (namely, its being 

acted on and immediately penetrating all things). It depends on one's 

point of view"]. 51 We should not hold on to his saying which he had already 

corrected and on that basis doubt the correctness of his various 

theories, or simply dismiss it as incorrect without examining the fact 

that he was referring to something else. What do you gentlemen think 

about this? (Chu Tzu wen-chi, 64:28b-29b) 

Comment. As Liu Tsung-chou (Liu Ch'i-shan, 1578-1645) has 

pointed out, this letter represents Chu Hsi's final doctrine on moral 

efforts. 52 Chou Lien-hsi had taught tranquillity. Chu Hsi's own 

teacher, Li T'ung (Li yen-p'ing, 1088-1163) had taught sitting in 

meditation. Chu Hsi was at first much convinced. But after he 

learned the doctrine of seriousness from the Ch'eng brothers, he felt, 

as the Ch'engs did, that tranquillity was an extreme, and in seriousness 

one maintains the balance of internal and external life. In this 

letter, Chu Hsi emphasizes the point that the key to moral cultivation 

is to have a great foundation. Once the foundation is firm, 

tranquillity, sitting in meditation, and seriousness are all helpful. 

This is not only a synthesis of the teachings of his predecessors 

but a new approach. 

4. A Treatise on the Examination of the Mind 

Someone asked whether it is true that the Buddhists have a doctrine 

of the examination of the mind. 

Answer: The mind is that with which man rules his body. It is one 

and not a duality, is subject and not object, and controls the external 

51 I-ch'uan wen-chi, 5:12a. The insertions in parentheses are Ch'eng's own. 

52 See Liu's comment on this letter in the Sung-Yüan hsüeh-an, (Anthology and 

Critical Accounts of the Neo-Confucianists of the Sung and Yuan Dynasties, 960- 

1368), ed. by Hüang Tsung-hsi (1610-1695) et al., SPPY, 48:9a. 

602

CHU HSI 

world instead of being controlled by it. Therefore, if we examine external 

objects with the mind, their principles will be apprehended. Now 

(in the Buddhist view), there is another thing to examine the mind. If 

this is true, then outside this mind there is another one which is capable 

of controlling it. But is what we call the mind a unity or a duality? Is it 

subject or object? Does it control the external world or is it controlled 

by the external world? We do not need to be taught to see the fallacy of 

the Buddhist doctrine. 

Someone may say: In the light of what you have said, how are we to 

understand such expressions by sages and worthies as "absolute refinement 

and singleness (of mind)," 53 "Hold it fast and you preserve it. 

Let it go and you lose it," 54 "Exert the mind to the utmost and know 

one's nature. . . . Preserve one's mind and nourish one's nature," 56 

and "(Standing) let a man see (truthful words and serious action) in 

front of him, and (riding in a carriage), let him see them attached to the 

yoke." 56 

Answer: These expressions and (the Buddhist doctrine) sound similar 

but are different, just like the difference between seedlings and weed, 

or between vermilion and purple, and the student should clearly distinguish 

them. What is meant by the precariousness of the human mind 

is the budding of human selfish desires, and what is meant by the subtlety 

of the moral mind is the all-embracing depth of the Principle of Heaven 

(Nature). 57 The mind is one; it is called differently depending on 

whether or not it is rectified. The meaning of the saying, "Have absolute 

refinement and singleness (of mind)" is to abide by what is right and 

discern what is wrong, as well as to discard the wrong and restore the 

right. If we can do this, we shall indeed "hold fast the Mean," 58 and 

avoid the partiality of too much or too little. The saying does not mean 

that the moral mind is one mind, the human mind another, and then 

still a third one to make them absolutely refined and single. By "holding 

it fast and preserving it" is not meant that one mind holds fast to another 

and so preserves it. Neither does "letting it go and losing it" mean that 

one mind lets go another and so loses it. It merely means that if the 

mind holds fast to itself, what might be lost will be saved, and if the 

mind does not hold fast but lets itself go, then what is preserved will be 

lost. "Holding it fast" is another way of saying that we should not allow 

our conduct during the day to fetter and destroy our innate mind 

characterized by humanity and righteousness. 59 It does not mean that we 

58 

History, "Counsels of Great Yü." Cf. translation by Legge, Shoo King, p. 62. 

54 56 


ibid., 7A: 1. 


57 History, ibid. Cf. Legge, p. 62. 

58 ibid. 

59 Paraphrasing Mencius, 6A:8. 

603


should sit in a rigid position to preserve the obviously idle consciousness 

and declare that "This is holding it fast and preserving it!" As to the 

exerting of the mind to the utmost, it is to investigate things and study 

their principles to the utmost, to arrive at broad penetration, and thus 

to be able fully to realize the principle (li) embodied in the mind. By 

preserving the mind is meant "seriousness (ching) to straighten the 

internal life and righteousness to square the external life," 60 a way of 

cultivation similar to what has just been called absolute refinement, 

singleness, holding fast, and preserving. Therefore one who has fully 

developed his mind can know his nature and know Heaven, 61 because 

the substance of the mind is unbeclouded and he is equipped to search 

into principle in its natural state, and one who has preserved the mind 

can nourish his nature and serve Heaven, 62 because the substance of 

the mind is not lost and he is equipped to follow principle in its natural 

state. Is this the same as using one mind fully to develop another, or one 

mind to preserve another, like two things holding on to each other and 

refusing to let go? 

The expressions "in front of him" and "attached to the yoke" are 

intended to teach loyalty, faithfulness, earnestness, and seriousness, 63 as 

if saying that if these moral qualities are always borne in mind, we will 

see them no matter where we may go. But it does not mean that we 

observe the mind. Furthermore, suppose the body is here while the 

mind is in the front beholding it, and the body is in the carriage while the 

mind is attached to its yoke. Is that not absurd? Generally speaking, the 

doctrine of the sage is to base one's mind on investigating principle to 

the utmost and to respond to things by following it. It is like the body 

using the arm and the arm using the finger. The road will be level and 

open, the abiding place will be broad and easy, and the principle concrete 

and its operation natural. 

According to the doctrine of the Buddhists, one seeks the mind with 

the mind, one employs the mind with the mind, like the mouth gnawing 

the mouth or the eye seeing the eye. Such an operation is precarious and 

oppressive, the road dangerous and obstructed, and the principle empty 

and running against its own course. If their doctrine seems to have something 

similar (to the Confucian), in reality it is different like this. But 

unless one is a superior man who thinks accurately and sifts clearly, how 

can he avoid being deluded in this matter? (Chu Tzu wen-chi, 67:18b- 

20a). 

60 Changes, commentary on hexagram no. 2. k'un (Earth). Cf. Legge, Yi King, 

p. 420. 

61 Mencius, 7A:1. 62 ibid. 63 Analects, 15:5. 

604

a. How to Study 

CHU HSI 

B. THE COMPLETE WORKS OF CHU HSI 

1. Moral Cultivation 

1. Question: Does what is called the fundamental task consist only 

in preserving the mind, nourishing the nature, and cultivating and controlling 

them? 

Answer: Both the effort of preserving and nourishing and that of the 

investigation of principle to the utmost must be thorough. However, the 

effort of investigating principle to the utmost is already found within 

that of preserving and nourishing, and the effort of preserving and 

nourishing is already found within that of the investigation of principle 

to the utmost. To investigate principle to the utmost is the same as investigating 

to the utmost what is preserved, and to preserve and nourish 

is the same as nourishing what has been investigated. (l:18b-19a) 

2. Now there is nothing for the student to do except to examine all 

principles with his mind. Principle is what is possessed by the mind. Always 

preserve this mind to examine all principles. These are the only 

things to do. (l:19a) 

3. Although literature cannot be abolished, nevertheless the cultivation 

of the essential and the examination of the difference between the 

Principle of Nature (T'ien-li, Principle of Heaven) and human selfish 

desires are things that must not be interrupted for a single movement in 

the course of our daily activities and movement and rest. If one understands 

this point clearly, he will naturally not get to the point where he 

will drift into the popular ways of success and profit and expedient 

schemes. I myself did not really see the point until recently. Although my 

past defect of emphasizing fragmentary and isolated details showed different 

symptoms from these ways of life, yet the faults of forgetting the 

self, chasing after material things, leaving the internal empty, and 

greedily desiring the external remain the same. Master Ch'eng said, 

"One must not allow the myriad things in the world to disturb him. 

When the self is established, one will naturally understand the myriad 

things in the world." 64 When one does not even know where to anchor 

his body and mind, he talks about the kingly way and the despotic way, 

and discusses and studies the task of putting the world in order as if it 

were a trick. Is that not mistaken? (1:30a-b) 

4. I have heard the sayings of Master Ch'eng I, "Self-cultivation re- 

64 I-shu, 6:2a. 

605


quires seriousness. The pursuit of learning depends on the extension of 

knowledge." 65 These two sayings are really the essentials for the student 

to advance in establishing himself in life. And the two efforts have never 

failed to develop each other. However, when Master Ch'eng taught 

people to hold fast to seriousness, he meant nothing more than the primary 

importance of being orderly in clothing and appearance, and by 

the extension of knowledge he meant no more than to find out, in reading 

books and history and in dealing with things, where their principles are. 

The teachings are nothing like the absurd, wild, and unreasonable 

theories of recent times. (l:37b-38a) 

b. Preserving the Mind and Nourishing the Nature 

5. If one can in his daily life and at leisurely moments decidedly collect 

his mind right here, that is the equilibrium before the feelings of 

pleasure, anger, sorrow, and joy are aroused, and is the undifferentiated 

Principle of Nature. As things and affairs approach, the mind can clearly 

see which is right and which is wrong accordingly. What is right is the 

Principle of Nature, and what is wrong is in violation of the Principle of 

Nature. If one can always collect the mind like this, it would be as if he 

holds the scale and balance to measure things. (2:2a) 

6. The mind embraces all principles and all principles are complete 

in this single entity, the mind. If one is not able to preserve the mind, he 

will be unable to investigate principle to the utmost. If he is unable to 

investigate principle to the utmost, he will be unable to exert his mind 

to the utmost. (2:4b) 

7. Someone asked: How about guarding against depravity and concentrating 

on one thing? Answer: Concentrating on one thing is similar 

to "holding the will firm," and guarding against depravity is similar to 

"never doing violence to the vital force." 66 To guard against depravity 

merely means to prevent depraved forces from entering [the 

mind], whereas in concentrating on one thing one protects it from the 

inside. Neither should be unbalanced in any way. This is the way the 

internal and the external mutually cultivate each other. (2:8b) 

c. Holding Fast to Seriousness (Ching) 

8. The task of seriousness is the first principle of the Confucian 

School. From the beginning to the end, it must not be interrupted for a 

single moment. (2:21b) 

9. Seriousness merely means the mind being its own master. (2:22a) 

10. If one succeeds in preserving seriousness, his mind will be tranquil 

and the Principle of Nature will be perfectly clear to him. At no 

65 ibid., 18:5b. 66 Mencius, 2A:2. 

606

CHU HSI 

point is the slightest effort exerted, and at no point is the slightest effort 

not exerted. (2:22a) 

11. To be serious does not mean to sit still like a blockhead, with the 

ear hearing nothing, the eye seeing nothing, and the mind thinking of 

nothing, and only then it can be called seriousness. It is merely to be 

apprehensive and careful and dare not give free rein to oneself. In this 

way both body and mind will be collected and concentrated as if one is 

apprehensive of something. If one can always be like this, his dispositions 

will naturally be changed. Only when one has succeeded in preserving 

this mind can he engage in study. (2:22a) 

12. It is not necessary to talk much about the doctrine of holding 

fast to seriousness. One has only to brood over thoroughly these sayings 

[of Ch'eng I], "Be orderly and dignified," 67 "Be grave and austere," 68 

"Be correct in movement and appearance and be orderly in thoughts 

and deliberations," 69 and "Be correct in your dress and dignified in your 

gaze," 70 and make real effort. Then what [Ch'eng] called straightening 

the internal life and concentrating on one thing will naturally need no 

manipulation, one's body and mind will be serious, and the internal and 

external will be unified. (2:22a-b) 

Comment. Like Ch'eng I, Chu Hsi struck the balance between 

seriousness and the investigation of things in moral cultivation. He 

said that seriousness is the one important word transmitted in the 

Confucian School, that it is the foundation in Ch'eng I's teachings, 

and that it is Ch'eng's greatest contribution to later students. 71 His 

own contribution in this regard is to have steered the doctrine away 

from the subjective emphasis evident in Ch'eng Hao toward a unity 

of internal and external life. 

d. Tranquillity 

13. In the human body there is only a [combination of] activity and 

tranquillity. Tranquillity nourishes the root of activity and activity is to 

put tranquillity into action. There is tranquillity in activity. For example, 

when the feelings are aroused and all attain due measure and degree, 

that is tranquillity in activity. (2:38a) 

14. About response to things. Things and the principle [inherent] in 

my mind are fundamentally one. Neither is deficient in any degree. What 

67 I-shu, 15:5a. 

68 ibid., 15:21a; originally from the Book of Rites, "Meaning of Sacrifices." Cf. 

translation by Legge, Li Ki, vol. 2, p. 216. 

69 I-shu, 15:5a; the first half originally from Analects, 8:4. 

70 I-shu, 18:3a. 

71 See Chu Tzu ch'üan-shw, 2:17b-18b, 2:21b. 

607


is necessary is for me to respond to things. Things and the mind share 

the same principle. To be calm is to be tranquil. To respond is to be 

active. (2:38b) 

15. Ch'eng I sometimes also taught people sitting in meditation. But 

from Confucius and Mencius upward, there was no such doctrine. We 

must search and investigate on a higher plane and see that sitting in 

meditation and the examination of principle do not interfere with each 

other, and then it will be correct. (2:44a-b) 

e. The Examination of the Self and Things 

16. There is dead seriousness and there is living seriousness. If one 

merely adheres to seriousness in concentrating on one thing and, when 

things happen, does not support it with righteousness to distinguish 

between right and wrong, it will not be living seriousness. When one 

becomes at home with it, then wherever there is seriousness, there is 

righteousness, and wherever there is righteousness, there is seriousness. 

When tranquil, one examines himself as to whether one is serious or 

not, and when active, one examines himself as to whether he is righteous 

or not. Take, for example, the cases of "going abroad and behaving to 

everyone as if you were receiving a guest and employing the people as 

if you were assisting at a great sacrifice." 72 What would happen if you 

were not serious? Or the cases of "sitting as if one is impersonating an 

ancestor, and standing as if one is sacrificing." 73 What would happen if 

you were not serious? Righteousness and seriousness must support each 

other, one following the other without beginning or end, and then both 

internal and external life will be thoroughly penetrated by them. (3:lb- 

2a) 

17. If the Principle of Nature exists in the human mind, human selfish 

desires will not, but if human selfish desires win, the Principle of Nature 

will be destroyed. There has never been a case where both the Principle 

of Nature and human selfish desires are interwoven and mixed. This is 

where the student must realize and examine for himself. (3:3a) 

18. "Thinking alone can check passionate desires." 74 What do you 

think of the saying? Answer: Thinking is the same as examining. It 

means that when one is angry, if one can directly forget his anger and 

examine the right and wrong according to principle, then right and wrong 

will be clearly seen and desires will naturally be unable to persist. (3:3b) 

19. To say that one must examine at the point where the feelings are 

about to be aroused means to be careful when thoughts and deliberations 


73 Book of Rites, "Summary of Ceremonies," pt. 1. Cf. Legge, Li Ki, vol. 1, 

p. 62. 

74 Ch'eng I's saying. I-shu, 25:3a-b. 

608

CHU HSI 

are just beginning, and to say that one must examine after the feelings 

have been aroused means that one must examine one's words and actions 

after they have taken place. 75 One must of course be careful about 

thoughts and deliberations when they begin, but one must not fail to 

examine his words and action after they have taken place. (3:7a) 

f. Knowledge and Action 

20. Knowledge and action always require each other. It is like a 

person who cannot walk without legs although he has eyes, and who cannot 

see without eyes although he has legs. With respect to order, knowledge 

comes first, and with respect to importance, action is more important. 

(3:8a) 

21. The efforts of both knowledge and action must be exerted to the 

utmost. As one knows more clearly, he acts more earnestly, and as he 

acts more earnestly, he knows more clearly. Neither of the two should 

be unbalanced or discarded. It is like a person's two legs. If they take 

turn to walk, one will be able gradually to arrive at the destination. If 

one leg is weak and soft, then not even one forward step can be taken. 

However, we must first know before we can act. This is why the Great 

Learning first talks about the extension of knowledge, 76 the Doctrine of 

the Mean puts wisdom ahead of humanity and courage, 77 and Confucius 

first of all spoke of knowledge being sufficient to attain its objective. 78 

But none of extensive study, accurate inquiry, careful thinking, clear 

sifting, and vigorous practice 79 can be omitted. (3:8b) 

22. When one knows something but has not yet acted on it, his 

knowledge is still shallow. After he has experienced it, his knowledge 

will be increasingly clear, and its character will be different from what it 

was before. (3:12b) 

23. Generally speaking, in any matter there is only one right or 

wrong. When the right or wrong is determined, one should choose the 

right and keep acting on it. How can one expect that by wavering he can 

win approval from everyone? Whether a thing is right or wrong will 

eventually become definite of itself. For the moment what is important 

is that one is satisfied within himself, so that looking up, he has no occasion 

for shame, and looking down, he has no occasion to blush. 80 

Never mind whether other people say they like it or not. (3:12b-13a) 

24. Throughout a person's handling of affairs and dealing with 

75 The question of examination before and after the feelings are aroused was 

extensively discussed by Chu Hsi and his friends. See Chu Tzu wen-chi, 53:18a- 

21a. 

76 The text. 77 Ch. 20. 78 Analects, 15:32. 

79 The five efforts taught in The Mean, ch. 20. 

80 Quoting Mencius, 7A:20. 

609


things, there is no point at which moral principles are not present. Although 

one cannot know all of them, in all likelihood he has heard the 

great essentials. The important point is to put into action vigorously what 

he has already known and make efforts to go beyond it. In this way he can 

go from the near to the far and from the coarse to the refined, methodically 

and in an orderly manner, and observable effect can be achieved 

every day. (3:22b-23a) 

g. The Extension of Knowledge 

25. What sages and worthies call extensive learning means to study 

everything. From the most essential and most fundamental about oneself 

to every single thing or affair in the world, even the meaning of one 

word or half a word, everything should be investigated to the utmost, 

and none of it is unworthy of attention. Although we cannot investigate 

all, still we have to keep on devoting our attention to them in accordance 

with our intelligence and ability, and in time there will necessarily be 

some accomplishment. Is this not better than not to pay attention at all? 

If we absolutely pay no attention, even ignoring things passing before us 

whose names are unknown to us, is that the way to investigate things to 

the utmost? (3:26a) 

26. Ch'i-yüan 81 asked: In investigating the principles of things and 

affairs to the utmost, should one investigate exhaustively the point where 

all principles converge? What do you think? Answer: There is no need 

to talk about the converging point. All that is before our eyes is things 

and affairs. Just investigate one item after another somehow until the 

utmost is reached. As more and more is done, one will naturally achieve 

a far and wide penetration. That which serves as the converging point is 

the mind. (3:26a-b) 

27. Moral principles are quite inexhaustible. No matter what past 

scholars have said, they have not necessarily exhausted the subject. We 

must examine them this way and that way ourselves. The more deeply 

we go into them, the more we shall discover. (3:27a) 

28. Pay no attention to names. We must investigate into the reason 

things are as they are. (3:27b) 

29. There is no other way to investigate principle to the utmost than 

to pay attention to everything in our daily reading of books and handling 

of affairs. Although there may not seem to be substantial progress, 

nevertheless after a long period of accumulation, without knowing it one 

will be saturated [with principle] and achieve an extensive harmony 

81 There is no record of any of Chu Hsi's pupils by this name. He was probably 

Ts'ao Shu-yüan, whose courtesy name was Ch'i-yüan, and who as a young man 

was a follower of Ch'en Fu-liang (1137-1203). In one of Chu Hsi's letters to 

Ch'en (Chu Tzu wen-chi, 38:46a), he mentioned a visit of Ts'ao Ch'i-chih. 

610

CHU HSI 

and penetration. Truly, one cannot succeed if one wants to hurry. 

(3:33b) 

30. To investigate principle to the utmost means to seek to know the 

reason for which things and affairs are as they are and the reason according 

to which they should be, that is all. If we know why they are as 

they are, our will will not be perplexed, and if we know what they should 

be, our action will not be wrong. It does not mean to take the principle 

of something and put it in another. (3:34a) 

Comment. The philosophical basis for all these sayings on the investigation 

of things and the extension of knowledge is that principle 

is universal. The mind can investigate things because both 

share the same principle. Furthermore, since all things have the 

same principle, investigation can therefore exhaust all things. One 

major difference between Ch'eng I and Chu Hsi is that while Ch'eng 

largely confined investigation to the mundane world, Chu Hsi extended 

it to cover the entire universe. This is stated in his commentary 

on the Great Learning, which is not only a clear summary 

of his doctrine but also the most important statement on the investigation 

of things in the history of Chinese thought. 82 

The significance of the Ch'eng-Chu doctrine of investigation has 

been indicated. 83 The whole spirit of their doctrine, involving both 

induction and deduction, is definitely consonant with science. Chu 

Hsi himself discovered the nature of fossils. 84 Early Neo-Confucianists 

wrote on pharmaceutical botany, the magnetic compass, fossils, 

mathematics, geography, cartography, and so forth. 85 And yet his 

doctrine in particular and Neo-Confucian in general did not develop 

natural science in China. Many theories have been advanced, 

especially those to the effect that Neo-Confucianists were more 

concerned with moral training than objective study of nature and 

they depended too much on books. 86 In this connection, what Hu 

Shih has to say is worth repeating. According to him, the Neo- 

Confucianists had the scientific spirit but not the scientific method. 

Their methods were observation and reflection. Without a scientific 

tradition such as the Greeks and the medieval doctors bequeathed 

to modem Europe, these Chinese philosophers were greatly handi- 

82 See above, eh. 4, Chu's remarks on sec. 5. 


84 See his theory about the mountains being formerly waves in sec. 124. 

85 Needham, Science and Civilisation in China, vol. 2. History of Scientific 

Thought, pp. 494-495. 

86 For a lengthy discussion of Neo-Confucianism and science, see Needham, 

ibid., pp. 455-495, and Chan, "Neo-Confucianism and Chinese Scientific Thought," 

Philosophy East and West, 6 (1957), 309-332. 

611


capped. The result was that to "investigate things" came to mean 

understanding right and wrong and handling human affairs. In the 

seventeenth century, the Ch'eng-Chu scientific spirit brought on an 

age of scientific scholarship in the critical study of classical and 

historical literature, an age ushered in by Chu Hsi himself. This 

new critical scholarship reached its maturity in the seventeenth 

century under the leadership of Ku Yen-wu (1613-1682), founder 

of the science of Chinese phonology, and Yen Jo-ch'ü (1636- 

1704), founder of the science of higher criticism of the classics. 

Ku once offered 160 cases as evidence to prove the ancient pronunciation 

of a single word. The similarity in the scientific spirit 

and the methods used by these masters is striking. But even then 

they were working with books, words, and documents, when their 

contemporaries in Europe were working with natural phenomena. 

Nevertheless, the tradition of the scientific spirit since their day has 

never been broken. Because of this tradition, the modern Chinese 

have not found themselves at sea in the scientific age. 87 

2. The Relation between the Nature of Man and 

Things and Their Destiny 

31. Question: About the distinction between Heaven (Nature), 

destiny (ming, fate), nature, and principle. Heaven refers to what is 

self-existent; destiny refers to that which operates and is endowed in all 

things; nature refers to the total substance and that by which all things 

attain their being; and principle refers to the laws underlying all things 

and events. Taken together, Heaven is principle, destiny is nature, and 

nature is principle. Is this correct? 

Answer: Yes. Nowadays, it is maintained that Heaven does not refer 

to the blue sky. In my view it cannot be left out of account. (42:1a-b) 

32. Principle is the substance of Heaven, while destiny is the function 

of principle. One's nature is what is endowed in man. And one's feelings 

are the function of one's nature. (42: 1b) 

33. I-ch'uan (Ch'eng I) said that destiny is that which is endowed by 

Heaven and nature is what things have received from Heaven. 88 Principle 

is one. As endowed by Heaven in all things it is called destiny. As 

received by creatures from Heaven, it is called nature. The difference 

lies really in the different points of view. (42:2b) 

34. On being asked about (Chang Tsai's) section on moral character 

failing to overcome material force, 89 (Chu Hsi) said: Master Chang 

Tsai merely said that both man's nature and material force flow down 

87 Hu Shih (1891-1962), The Chinese Renaissance, pp. 64-74. 

88 I-shu, 6:8a. 


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CHU HSI 

from above. If my moral character is not adequate to overcome material 

force, then there is nothing to do but to submit to material force as endowed 

by Heaven. If my moral character is adequate to overcome material 

force, however, then what I receive from the endowment is all 

moral character. Therefore if I investigate principle to the utmost and 

fully develop my nature, then what I have received is wholly Heaven's 

moral character, and what Heaven has endowed in me is wholly Heaven's 

principle. The cases in which material force cannot be altered are life, 

death, longevity and brevity of life, for these, and poverty and wealth, 

and honor and humble station, all depend on material force. On the 

other hand, the practice of righteousness between the ruler and his 

ministers and the exercise of humanity between father and son, are 

what we call matters of fate. But there is also man's nature. The 

superior man does not say they are matters of fate." 90 They must proceed 

from myself, not from fate. (42:3a-b) 

35. Question: [Chang Tsai said,] "If one investigates principle to the 

utmost and fully develops his nature, then his nature will be in accord 

with the character of Heaven and his destiny will be in accord with the 

Principle of Heaven." 91 How are nature and destiny to be distinguished? 

Answer: Nature refers to what is stabilized whereas destiny refers 

to what is operating. Destiny, for example, refers to water flowing, while 

nature refers to water contained in a bowl. A big bowl contains more 

water, whereas a small one contains less. The water in a clean bowl will 

be clear, whereas that in a dirty bowl will be turbid. (42:3b) 

36. Question: Destiny is what Heaven endows in man and things and 

nature is what they receive from Heaven. But nature and destiny each 

has two aspects. From the point of view of their principle, the principle 

that is destined in man and things by Heaven is called destiny, and the 

principle received by them from Heaven is called their nature. From the 

point of view of material force, the material force that is destined in 

man and things by Heaven is also called destiny and the material force 

received by them from Heaven is also called their nature. Is this correct? 

Answer: Material force cannot be called the nature or destiny. They 

exist because of it, that is all. When the nature of Heaven and Earth 

are spoken of, it refers to principle only; when the physical nature is 

spoken of, it refers to principle and material force combined. Material 

force is not to be referred to as nature or destiny. (42:4b) 

37. "Heaven produces the teeming multitude. As there are things, 

there are their specific principles." 92 This means that at the very time 

when a person is born, Heaven has already given him his nature. Man's 

90 Mencius,7B:24. 91 See above, ch. 30, sec. 43. 

92 Odes, ode no. 260. 

613


nature is nothing but principle. It is called nature because it is endowed 

in man. It is not a concrete entity by itself which is to be destined as 

nature and which neither comes into nor goes out of existence. As I 

once illustrated, destiny (mandate) is like an appointment to office by 

the throne, and nature is like the office retained by the officer. This is why 

Master I-ch'uan (Ch'eng I) said, "Destiny is what is endowed by Heaven 

and nature is what things receive." 93 The reason is very clear. Therefore 

when ancient sages and worthies spoke of nature and destiny, they always 

spoke of them in relation to actual living. For example, when they spoke 

of the full development of human nature, they mean the complete realization 

of the moral principles of the Three Bonds (between ruler and 

minister, father and son, and husband and wife) and the Five Constant 

Virtues (that is, righteousness on the part of the father, love on the part 

of the mother, brotherliness on the part of the elder brother, respect on 

the part of the younger brother, and filial piety on the part of the son), 94 

covering the relationships between the ruler and ministers and between 

father and son. When they spoke of nourishing our nature, they mean 

that we should nourish these moral principles without doing them any 

harm. This central truth runs through the most subtle principles and the 

most obvious facts, with nothing left uncovered. These are not empty 

words. (42:5a) 

3. The Nature of Man and Things 

38. The Way (Tao, Moral Law) is identical with the nature of man 

and things and the nature is identical with the Way. They are one and 

the same but we must understand in what connection it is called the 

nature and in what connection it is called the Way. (42:6a) 

39. [Ch'eng I said,] "The nature is the same as principle." 95 In relation 

to the mind, it is called the nature. In relation to events, it is called 

principle. (42:6a) 

40. The principle of life is called the nature. (42:6b) 

41. The nature consists of innumerable principles created by Heaven. 

(42:6b) 

42. The nature consists of concrete principle, complete with humanity, 

righteousness, propriety, and wisdom. (42:6b) 

Comment. Chu Hsi liked to quote Ch'eng I's statement that nature 

is the same as principle. This does not mean that he was merely 

repeating Ch'eng. As a matter of fact, the Neo-Confucian doctrine 

93 I-shu, 6:8a. 

94 In other connections the Five Constant Virtues are humanity, righteousness, 

propriety, wisdom, and faithfulness. 

95 I-shu, 22A:11a. 

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CHU HSI 

of nature was not quite clear until Chu Hsi made it so. With him, 

the relationships between nature and the Way, between nature and 

the feelings, and between basic nature and physical nature became 

well defined. In his system it is quite clear that nature refers to what 

is endowed in man and things, whereas the Way (principle) refers 

to that which is inherent in all existence. That is to say, generally 

and objectively speaking, it is the Way, while particularly and subjectively 

speaking it is nature. Likewise, the distinction between 

nature and the feelings is unmistakable, for nature is the substance, 

the form, the state before activity takes place, whereas the feelings 

are the function, the phenomena, the state after activity has started. 

Through the doctrine that principle is one but its manifestations are 

many, any conflict or bifurcation is eliminated. 96 

43. After reading some essays by Hsün 97 and others on nature, the 

Teacher said that in discussing nature it is important to know first of all 

what kind of entity it really is. (At bottom nature has neither physical 

form nor shadow. It is merely the moral principle possessed by the 

mind.) 98 Master Ch'eng I put it best when he said that "nature is the 

same as principle," Now if we regard it as principle, then surely it has 

neither physical form nor shadow. It is nothing but this very principle. 

In man, humanity, righteousness, propriety and wisdom are his nature, 

but what physical form or shape have they? All they have are the principles 

of humanity, righteousness, propriety, and wisdom. As they 

possess these principles, many deeds are carried out, and man is enabled 

to have the feelings of commiseration, shame, deference and compliance, 

and right and wrong. Take for example the nature of drugs, such as their 

property of increasing or decreasing heat (vigor, strength, vitality). 

There is no external form of this nature to be found in the drugs. Only 

after the drug is taken, heat or cold is produced—this is their nature. 

In man, nature is merely humanity, righteousness, propriety, and wisdom. 

According to Mencius, humanity, righteousness, propriety, and 

wisdom are rooted in the mind." When, for example, he speaks of the 

mind of commiseration, he attributes feeling to the mind. 

The Teacher further said: Shao Yao-fu (Shao Yung, 1011-1077) 

said that "nature is the concrete embodiment of the Way and the mind 

96 For the relationship between basic nature and physical nature, see above, ch. 

30, comment on sec. 41. 

97 Huang Hsün, 1147-1212, Chu Hsi's pupil who recorded his conversation in 

1188. For a brief account of him, see Sung-Yüan hsüeh-an, SPPY, ch. 69:12a. 

98 This sentence is added in the record by pupil Wu Pi-ta (fl.1188) who recorded 

the conversations in 1188-1189. For a brief account of him, see Sung- 

Yüan hsüeh-an, 69:33b. 


615


is the enclosure of the nature." 100 This theory is very good. For the Way 

itself has no physical form or body; it finds it only in man's nature. But 

if there were no mind, where could nature be? There must be mind 

before nature can be gotten hold of and put forth into operation, for the 

principles contained in man's nature are humanity, righteousness, propriety, 

and wisdom, and these are concrete principles. We Confucianists 

regard nature as real, whereas Buddhists regard it as unreal. However, 

it is incorrect to equate mind with nature. Nowadays people often explain 

nature in terms of mind. They should first understand before they talk. 

(If they consider consciousness as nature, they are only talking about 

the mind.) 101 For example, wherever there is the nature as endowed by 

Heaven, there is also the physical nature. If we regard the nature endowed 

by Heaven as rooted in the mind, then where will you place the 

physical nature? When, for example, it is said that "the human mind is 

precarious (liable to make mistakes), the moral mind is subtle (the 

mind that follows Tao, the Moral Law)," 102 the word "mind" is used 

in both cases. It is incorrect to say that the mind following the Moral 

Law is mind whereas the mind of the natural man is not mind. (42:6b- 

7a) 

44. The Teacher asked how the nature is concrete embodiment of 

the Way. Ch'un 103 replied: The Way is principle inherent in the nature. 

The Teacher said: The term Way is used with reference to a universal 

order, whereas the term nature is used with reference to an individual 

self. How do we know that the Way operates in the world? Simply by 

putting it into operation in one's own experience. 104 Wherever nature 

is, there is the Way. The Way is the principle inherent in things, whereas 

nature is the principle inherent in the self. But the principle in all things is 

also in the principle inherent in the self. One's nature is the framework of 

the Way. (42:9b) 

45. Chi-sui, 105 adhering to the doctrine of his family, said that 

nature cannot be spoken of as good, for the goodness that is originally 

100 preface to his Chi-jang chi (Striking Earthen Musical Instruments—a Collection 

of Poems), Shao Tzu ch'üan-shu (Complete Works of Shao Yung), 1606 

ed., 18:2a. 

101 This sentence in parentheses is added in Wu Pi-ta's record. 

102 History, "Counsels of the Great Yü." Cf. Legge, Shoo King, p. 62. 

103 Ch'en Ch'un (Ch'en Pei-hsi, 1153-1217). For an account of him, see Sung- 

Yüan hsüeh-an, ch. 68. Also Forke, Geschichte der neueren chinesischen Philosophie, 

pp. 211-225. 

104 As recorded by Liu Ti (fl. 1173-1190), who recorded the conversations of 

1190, this sentence read: By returning to our own persons and seeking it there. 

For an account of him, see Sung-Yüan hsüh-an, ch. 69:34a. 

105 Hu Chi-sui, grandson of Hu An-kuo (1073-1138), and son of Hu Hung 

(1100-1155), founder and expounder, respectively, of the Hu school of Neo-Confucian 

philosophy. See Sung-Yüan hsüeh-an, chs. 34 and 42. 

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CHU HSI 

so has no opposite. As soon as you describe nature as good, you are 

already contrasting it with evil, and when you speak of it in terms of the 

opposites of good and evil, it is no longer the original nature you are 

talking about. Original nature is transcendent, absolute, and beyond 

comparison, whereas goodness applies to the mundane world. The 

moment you say it is good, you are contrasting it with evil and you are 

no longer talking about original nature. When Mencius said that nature 

is good, he did not mean that nature is morally good, but simply used the 

language of admiration, like saying "How fine the nature!" just as the 

Buddha exclaimed, "Excellent is the Path!" 106 

I have criticized this theory and said that it is true that original nature 

is an all-pervading perfection not contrasted with evil. This is true of 

what Heaven has endowed in the self. But when it operates in man, 

there is the differentiation between good and evil. When man acts in 

accord with it, there is goodness. When man acts out of accord with it, 

there is evil. How can it be said that the good is not the original nature? 

It is in its operation in man that the distinction between good and evil 

arises, but conduct in accord with the original nature is due to the 

original nature. If, as they say, there is the goodness that is originally 

so and there is another goodness contrasted with evil, there must be two 

natures. Now what is received from Heaven is the same nature as that 

in accordance with which goodness ensues, except that as soon as good 

appears, evil, by implication, also appears. Therefore good and evil 

must be spoken of as contrast. But it is not true that there is originally 

an evil existing out there, waiting for the appearance of good to oppose 

it. We fall into evil only when our actions are not in accordance with 

the original nature. (42:9b-10a) 

46. Again, referring to Master Shao's saying, "Man's nature is the 

concrete embodiment of the Way," the Teacher said: The Way exists 

everywhere, but how are we to find it? Simply by returning to the self 

and discovering it within one's nature and function. From the fact that we 

possess the principles of humanity, righteousness, propriety, and wisdom, 

we know that others also possess them. Of the thousands and tens 

of thousands of human beings and of all things, there is none independent 

of these moral principles. Even if extended to include all existence, 

you will find none to be independent of them. He put it very well when he 

said that "The nature is the concrete embodiment of the Way." (42:13ab) 

106 This is Hu An-kuo's doctrine but more developed by his son Hu Hung in his 

Chih-yen ("Understanding Words"), on which Chu Hsi wrote lengthy critical 

comments, especially on Hu's theory that the nature is neither good nor evil. See 

Sung-Yüan hsüeh-an, ch. 42:3a-8a. Also Forke, pp. 122-135. 

617


47. It is said that the word "good" in the expression "Nature is good" 

is different from the good as contrasted with evil. On that theory I hold 

that the good traced to the source of our being and the good in the 

process of life involving both good and evil are not two different things. 

They merely refer to two different states before and after it has emanated 

into activity. But it is the same good whether before it has 

emanated or afterward when it becomes contrasted with evil. Only after 

its emanation is it intermingled with evil. But the good in this state is 

the same good that emanates from the source of our being. (42:13b- 

14a) 

48. In your (Ho Shu-ching's) letter you say that you do not know 

whence comes human desire. This is a very important question. In my 

opinion, what is called human desire is the exact opposite of the Principle 

of Nature. It is permissible to say that human desire exists because 

of the Principle of Nature, but it is wrong to say that human desire is 

the same as the Principle of Nature. For in its original state the Principle 

of Nature is free from human desire. It is from the deviation in 

the operation of the Principle of Nature that human desire arises. Master 

Ch'eng Hao says that "Good and evil in the world are both the Principle 

of Nature. What is called evil is not originally evil. It becomes evil only 

because of deviation from the mean." 107 Your quotation, "But it cannot 

be said that evil is not nature," 108 expresses the same idea. (42:14b-15a) 

49. Before material force exists, there is already nature. There is a 

time when material force does not exist, but nature is eternal. Although 

it is implanted in material force, yet material force is still material force 

and nature is still nature, the two not being confused. As to nature 

being inherent in all things and existing everywhere, there is no material 

force, whether refined or coarse, without principle. It is incorrect 

to regard the more refined part of material force as nature and the 

coarser part of nature as material force. (42:18b) 

50. It is true that nature cannot be without activity, but its all-inclusiveness 

is not due to its inevitable activity. Even if it were without 

activity, is there anything wanting in its all-inclusiveness? The fallacy 

of the Buddhists lies in their erroneously regarding the heavenly and 

earthly aspects of the soul (hun-p'o) as nature and not in their ignorance 

of the fact that nature does not become all-inclusive through activity. 

(42:19a) 

51. Master Ch'eng I said that nature is the same as principle and 

Master Shao Yung said that nature is the concrete embodiment of the 

Way. 109 These two sayings explain each other. But in your (Chiang Shuch'üan's) 

deliberation you consider one better than the other. In this, 

107 I-shu, 2A:1b. 108 I-shu, l:7b. 109 See above, n.100. 

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CHU HSI 

you not only have failed to grasp Master Shao's idea, but I fear you 

also have not reached the depth of Master Ch'eng's expression. When 

Mr. Fang Pin-wang says that "the Way is Heaven as the self-existent 

and that nature is what Heaven has endowed in all things and what they 

have received from Heaven," 110 he is transmitting the old doctrines of 

past scholars. While in reality nature and the Way are not two different 

things, yet there is a difference in the two terms which must be distinguished. 

Furthermore, in the passage that [immediately] follows, 

he says, "Although nature is received from Heaven, it is no more or less 

as compared with Heaven as such." This clearly shows that he does not 

cut them into pieces. However, he says, "The substance of the Way has 

no activity, whereas the human mind does have activity." 111 This means, 

that nature (which is the concrete embodiment of the Way) and the 

mind operate in two different spheres, a theory hardly tenable. Master 

Shao is nearer to the truth when he says that "The mind is the enclosure 

of nature." 112 However, the meaning of such an expression is much too 

unrefined. We must know that the mind is the master of the body, and 

nature is the moral principle inherent in the mind, and then we will 

not be wrong. (42:19b-20a) 

52. "Nature is the same as principle." If you regard it as the source 

of the ten thousand principles, it would seem to be a different thing. 

Master K'ang-chieh (Shao Yung) said, "Man's nature is the concrete 

embodiment of the Way." His statement seems to the point. He also 

said, "Although the nature remains tranquil, but if we do not know how 

to preserve it, it will not attain the mean." 113 Now, the nature should 

necessarily attain the Mean, just as water should necessarily be cold and 

fire be hot. But the Mean is sometimes not attained because man loses 

his original nature and beclouds it by habits engendered by material 

force. It is not that nature fails to attain the Mean. (42:21b) 

53. "Nature is the concrete embodiment of the Way" is a sentence in 

(Shao Yung's) preface to his Chi-jang ko (Striking Earthen Musical 

Instruments; A Collection of Poems). Its meaning is that nature is the 

concrete substance of what man receives from Heaven while the Way 

is the principle by which things are as they are. The principle of things 

is, of course, inherent in their nature, but when it is spoken of as the 

Way, it means something indefinite, boundless, and different in infinite 

variety, where concreteness is not to be seen. Only when we look 

into nature—and nowhere else—do we find the Way in its concreteness. 

110 Fang's letter to Chu Hsi. See Chu Tzu wen-chi, 56:10b. 

111 ibid. 

112 See above, n.100. 

113 I cannot trace the source of this saying. It is not found in the existing works 

of Shao Yung. It was probably orally transmitted. 

619


When the Doctrine of the Mean says "To follow human nature is called 

the Way," 114 it means this. (42:21b-22a) 

54. "Nature is the concrete embodiment of the Way." When it is 

spoken of as the Way, it means something to spread over all things, with 

no clue for us to find it. But if we look for it in the mind, we shall find 

that all the principles inherent in it have definite substance and are unchangeable. 

These principles inherent in the mind are what we call 

nature. Therefore Master Shao goes on to say, "The mind is the endowment 

of nature." If you examine the matter in this way, the truth or 

error of what you (Fang Pin-wang) say can readily be seen. (42:22a) 

4. The Nature of Man and the Nature of Things Compared 

55. Question: Do all the Five Agents (Metal, Wood, Water, Fire, 

and Earth) possess the Great Ultimate? 

Answer: They all do. 

Question: Does man embody all the Five Agents while things embody 

only one of them? 

Answer: Things also embody all the Five Agents, except that they 

embody them partially. (42:25a) 

56. Question: Man and things are all endowed with the principle of 

the universe as their nature, and receive the material force of the universe 

as their physical form. The difference in personality is of course 

due to the various degrees of purity and strength of the material force. 

But in the case of things, are they as they are because of the incompleteness 

of the principle with which they are endowed or because of 

the impurity and beclouding character of the material force endowed in 

them? 

Answer: The principle received by things is precisely in the same 

degree as the material force received by them. For example, the physical 

constitution of dogs and horses being what it is, they know how to do 

only certain things. 

Further question: If each individual thing possesses its own Great 

Ultimate in its completeness, then principle can never be incomplete. 

[In this case, how is it that things possess principle only to a limited 

degree?] 

Answer: You may consider it complete or you may consider it partial. 

From the point of view of principle, it is always complete, but from the 

point of view of material force, it cannot help being partial. This is why 

Lüi Ta-lin (Lü Yü-shu, 1044-1090) said that in certain cases the nature 

114 Ch. 1. 

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CHU HSI 

of things approximates to the nature of man and in some cases the 

nature of man approximates that of things. 115 (42:26b-27a) 

57. Question: Physical nature differs in the degree of purity. Does 

the nature bestowed by Heaven differ in the degree of its completeness? 

Answer: No, there is no difference in the degree of its completeness. 

It is like the light of the sun and moon. In a clear, open field, it is seen 

in its entirety. Under a mat-shed, however, some of it is hidden and obstructed 

so that part of it is visible and part of it is not. What is impure 

is due to the impurity of material force. The obstruction is due to the 

self, like the mat-shed obstructing itself. However, man possesses the 

principle that can penetrate this obstruction, whereas in birds and animals, 

though they also possess this nature, it is neverthless restricted 

by their physical structure, which creates such a degree of obstruction as 

to be impenetrable. In the case of love, for example, in tigers and 

wolves, or in the sacrificial rites in the wolf and otter, 116 or in the 

righteousness in bees and ants, only the obstruction to a particular part 

of their nature is penetrated, just as light penetrates only a crack. As 

to the monkey, whose bodily form resembles that of man, it is the most 

intelligent among other creatures except that it cannot talk. (42:27a-b) 

58. Chi 117 submitted to the Teacher the following statement concerning 

a problem in which he was still in doubt: The nature of man and 

the nature of things are in some respects the same and in other respects 

different. Only after we know wherein they are similar and wherein they 

are different can we discuss nature. Now, as the Great Ultimate begins 

its activity, the two material forces (yin and yang, passive and active 

cosmic forces) assume physical form, and as they assume physical 

form, the myriad transformations of things are produced. Both man 

and things have their origin here. This is where they are similar. But the 

two material forces and the Five Agents, in their fusion and intermingling, 

and in their interaction and mutual influence, produce innumerable 

changes and inequalities. This is where they are different. They are 

similar in regard to principle, but different in respect to material force. 

There must be principle before there can be that which constitutes the 

nature of man and things. Consequently, what makes them similar can- 

115 To Chu Hsi, he was the most outstanding of the Ch'engs' pupils. He recorded 

the conversations in bk. 2 of the I-shu. For an account of Lü, see Forke, 

Geschichte der neueren chinesischen Philosophie, pp. 116-119, or Sung-Yüan 

hsüeh-an, ch. 31. The saying here referred to is not found in the Sung-Yüan 

hsüeh-an or in any of Lü's existing works. It was probably orally transmitted. 

116 These animals would often catch more prey than they could devour at once 

and would spread it, walk around it, and watch it, as though devoutly performing a 

sacrificial rite. Ancient Confucianists drew a moral lesson from such animal behavior. 

See Book of Rites, "Monthly Order" (Legge, trans., Li Ki, ch. 22, p. 251). 

117 Ch'en Chi, a pupil from Foochow. 

621


not make them different. There must be material force before there can 

be that which constitutes their physical form. Consequently, what makes 

them different cannot make them similar. For this reason, in your 

Ta-hsüeh huo-wen (Questions and Answers on the Great Learning), 

you said, "From the point of view of principle, all things have one 

source, and of course man and things cannot be distinguished as higher 

and lower creatures. From the point of view of material force, that 

which receives it in its perfection and is unimpeded becomes man, while 

those that receive it partially and are obstructed become things. Because 

of this, they cannot be equal, but some are higher and others are 

lower." 118 However, while in respect to material force they are unequal, 

they both possess it as the stuff of life, and while in respect to principle 

they are similar, in receiving it to constitute his nature, man alone 

differs from other things. This consciousness and movement proceed 

from material force while humanity, righteousness, propriety, and wisdom 

proceed from principle. Both man and things are capable of consciousness 

and movement, but though things possess humanity, righteousness, 

propriety, and wisdom, they cannot have them completely. 

Now Kao Tzu (c.420-c.350 B.C.) pointed to material force and neglected 

principle. He was confined to what is similar and ignorant of 

what is different, and was therefore attacked by Mencius. 119 In your 

[Meng Tzu] chi-chu (Collected Commentaries on the Book of Mencius) 

you maintain that "in respect to material force, man and things do not 

seem to differ in consciousness and movement, but in respect to principle, 

the endowment of humanity, righteousness, propriety, and wisdom 

are necessarily imperfect in things." 120 Here you say that man and 

things are similar in respect to material force but different in respect to 

principle, in order to show that man is higher and cannot be equaled 

by things. In the Ta-hsüeh huo-wen, you say that man and things are 

similar in respect to principle but different in respect to material force, 

in order to show that the Great Ultimate is not deficient in anything and 

cannot be interfered with by any individual. Looked at this way, there 

should not be any question. When someone was puzzled by the discrepancies 

in the Ta-hsüeh huo-wen and the chi-chu, I explained it in this 

way. Is this correct? 

The Teacher commented: On this subject you have discussed very 

clearly. It happened that last evening a friend talked about this matter 

and I briefly explained it to him, but not as systematically as you have 

done in this statement. (42:27b-29a) 

118 Ta-hsüeh huo-wen, p. 8b. 

119 Mencius, 6A:l-4, 6. 

120 Meng Tzu chi-chu, ch. 1, commenting on Mencius, 6A:3. 

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CHU HSI 

59. Question: How is it that dry and withered things also possess the 

nature? 

Answer: Because from the very beginning they possess this nature. 

This is why we say so. There is not a single thing in the universe that is 

outside nature. 

Thereupon the Teacher walked up the step and said: The bricks of 

these steps have in them the principle of bricks. Then he sat down and 

said: A bamboo chair has in it the principle of the bamboo chair. It is 

correct to say that dry and withered things have no spirit of life, but it 

is incorrect to say that they have no principle of life. For example, rotten 

wood is useless except as fuel—there is in it no spirit of life. But when a 

particular kind of wood is burned, a particular kind of force is produced, 

each different from the other. This is so because of the principle 

originally inherent in it. (42:29b-30a) 

60. Question: Principle is what is received from Heaven by both 

man and things. Do things without feelings also possess principle? 

Answer: They of course have principle. For example, a ship can go 

only on water while a cart can go only on land. (42:30a) 

61. Question: Man and birds and animals all have consciousness, 

although with varying degrees of penetration or impediment. Do plants 

also have consciousness? 

Answer: Yes, they also have. Take a pot of flowers, for example. 

When watered, they flourish gloriously, but if broken off, they will wither 

and droop. Can they be said to be without consciousness? Chou Mao-shu 

(Chou Tun-i) did not cut the grass growing outside his window and 

said that he felt toward the grass as he felt toward himself. 121 This shows 

that plants have consciousness [in so far as it has the spirit of life]. But 

the consciousness of animals is inferior to that of man, and that of 

plants is inferior to that of animals. Take also the example of the drug 

rhubarb, which, when taken, acts as a purgative, and the drug aconite, 

which, when taken, produces heat (vitality and strength). In these 

cases, the consciousness acts in one direction only. 

When asked further whether decayed things also have consciousness, 

the Teacher said: They also have, as when burned into ashes, made into 

broth, and drunk, they will be caustic or bitter. (42:31b-32a) 

5. Physical Nature 

62. Nature is principle only. However, without the material force and 

concrete stuff of the universe, principle would have nothing in which 

to inhere. When material force is received in its state of clearness, there 

will be no obscurity or obstruction and principle will express itself freely. 

121 I-shu, 3:2a. 

623


If there is obscurity or obstruction, then in its operation of principle, the 

Principle of Heaven will dominate if the obstruction is small and human 

selfish desire will dominate if the obstruction is great. From this we 

know that original nature is perfectly good. This is the nature described 

by Mencius as "good," 122 by Master Chou Tun-i as "pure and perfectly 

good," 123 and by Master Ch'eng I as "the fundamental character of our 

nature" 124 and "the nature traced to the source of our being." 125 However, 

it will be obstructed if physical nature contains impurity. Hence, 

[as Chang Tsai said] "In physical nature there is that which the superior 

man denies to be his original nature," and "If one learns to return 

to the original nature endowed by Heaven and Earth, then it will 

be preserved." 126 In our discussion of nature, we must include physical 

nature before the discussion can be complete. (43:2b-3a) 

63. When we speak of the nature of Heaven and Earth, we refer to 

principle alone. When we speak of the physical nature, we refer to principle 

and material force combined. Before material force existed, basic 

nature was already in existence. Material force does not always exist, 

but nature is eternal. Although nature is implanted in material force, 

yet material force is still material force and nature is still nature, without 

being confused or mixed up. As to its immanence in things and universal 

existence, regardless of whether material force is refined or coarse, there 

is nothing without its principle. (43:3a-b) 

64. The physical nature is no different from the nature of Heaven 

and Earth. The point is that the nature of Heaven and Earth runs 

through the physical nature. For example, the good nature is like water. 

The physical nature is as though you sprinkled some sauce and salt in 

it and it then acquired a peculiar flavor. (43:4a) 

65. The nature of all men is good, and yet there are those who are 

good from their birth and those who are evil from their birth. This is 

because of the difference in material force with which they are endowed. 

The revolutions of the universe consist of countless variety and are endless. 

But these may be seen: If the sun and moon are clear and bright, 

and the climate temperate and reasonable, the man born at such a time 

and endowed with such material force, which is clear, bright, wellblended, 

and strong, should be a good man. But if the sun and moon are 

darkened and gloomy, and the temperature abnormal, all this is evidence 

of violent material force. There is no doubt that if a man is endowed with 

122 Mencius, 6A:l-6. 

123 T'ung-shu (On Understanding the Book of Changes), ch. 1. 

124 I-shu, 18:19b, 22A:10b. 

125 ibid., 3:3b. 

126 Cheng-meng (Correcting Youthful Ignorance), ch. 6, Chang Tzu ch'üan-shu 

(Complete Works of Master Chang), SPPY, 2:18b. 

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CHU HSI 

such material force, he will be a bad man. The objective of learning is 

to transform this material endowment. (43:4b) 

66. Nature is like water. If it flows in a clean channel, it is clear, 

if it flows in a dirty channel, it becomes turbid. When physical nature 

that is clear and balanced is received, it will be preserved in its completeness. 

This is true of man. When physical nature that is turbid and 

unbalanced is received, it will be obscured. This is true of animals. Material 

force may be clear or turbid. That received by men is clear and 

that received by animals is turbid. Men mostly have clear material 

force; hence the difference between them and animals. However, there 

are some whose material force is turbid, and they are not far removed 

from animals. (43:7a-b) 

67. Someone asked about the inequality in the clearness of the material 

endowment. The Teacher said: The differences in the material 

endowment are not limited to one kind and are not described only in 

terms of clearness and turbidity. There are men who are so bright that 

they know everything. Their material force is clear, but what they do 

may not all be in accord with principle. The reason is that their material 

force is not pure. There are others who are respectful, generous, loyal, 

and faithful. Their material force is pure, but in their knowledge they 

do not always penetrate principle. The reason is that their material 

force is not clear. From this you can deduce the rest. (42:8a) 

68. Although nature is the same in all men, it is inevitable that [in 

most cases] the various elements in their material endowment are unbalanced. 

In some men the material force of Wood predominates. In 

such cases, the feeling of commiseration is generally uppermost, but 

the feeling of shame, of deference and compliance, and of right and 

wrong are impeded by the predominating force and do not emanate into 

action. In others, the material force of Metal predominates. In such 

cases, the feeling of shame is generally uppermost, but the other feelings 

are impeded and do not emanate into action. So with the material forces 

of Water and Fire. It is only when yin and yang are harmonized and the 

five moral natures (of humanity, righteousness, propriety, wisdom, and 

good faith) are all complete that a man has the qualities of the Mean 

and correctness and becomes a sage. (43:8a-b) 

69. Question: Men often differ in the degree of clearness and purity. 

These are of course due to material endowment. By necessity their 

minds differ depending on their material endowment. Now, the mouth, 

the ear, and the eye, as well as the mind are all organs. Why is it that 

Heaven, in imparting the physical nature, invests the qualities of clearness 

and turbidity and purity and impurity only in the mind but not in 

the mouth, ear, or eye?. . . . Answer: The mouth, ear, and eye also differ 

625


in clearness and turbidity and in purity and impurity. For example, 

people like I-ya (famous cook of the seventh century B.C.), the musicmaster 

Kuang 127 (music-master shortly before Confucius), and Li-lou 

(legendary figure famous for power of vision) 128 preserved clearness in 

the highest degree. It is the same with the mind. (43:17a-b) 

70. Question about man's nature and destiny. Answer: If those born 

wise are completely and perfectly good, material force is there as material 

force and principle is there as principle, without any connection 

between each other. In such cases, there is no need to speak of the 

physical nature. But in the cases of men inferior to those born wise, 

[those who learn through study to be wise, those who learn through hard 

work, and those who work hard but still do not learn], 129 even the Principle 

of Nature is not deficient. Nevertheless it is tied up with material 

force. When material force is clear, principle will be obvious. When 

material force is turbid, principle will be obscured. The two—material 

force and principle—always go together, and therefore we designate this 

state as physical nature. It means that principle advances or retards 

depending on material force, and not to consider physical nature as the 

nature and destiny. 

Answer: In the cases of those who are born wise, material force is 

extremely clear and principle is not obstructed. In the cases of those who 

learn to be wise and those below them, the clearness or turbidity of 

material force varies in degree. Whether principle is complete or incomplete 

depends on this. (43:18a) 

6. Destiny 

71. Question: You, sir, say that there are two kinds of destiny, one 

determining wealth and poverty, honor or humble station, life or death, 

and longevity or brevity of life, the other determining clearness or turbidity, 

partiality or balance, the wise or the stupid, and the worthy or 

the unworthy. The former pertains to material force, while the latter 

pertains to principle. As I (Hsien) 130 see it, both seem to pertain to 

material force, for the wise or the stupid, the worthy or the unworthy, 

clearness or turbidity, or partiality or balance are all caused by material 

force. 

Answer: That is of course true. However, nature consists of the principles 

of destiny (principles underlying wisdom, stupidity and so forth). 

(43:27a) 

72. Question: (The Confucian pupil) Yen Yuan [because of fate] 

unfortunately lived a short life. 131 When (another pupil) Po Niu died, 

127 128 129 Mencius, 4A:1. ibid. Analects, 16:9. 

130 131 

Chou Hsien. Nothing is known of this pupil. Analects, 6:2. 

626

CHU HSI 

Confucius said, "Alas! It is fate (ming, also meaning destiny, mandate). 

132 And in regard to his obtaining office or not, he said, "That 

depends on fate." 133 Is there no difference between fate (destiny) in 

these cases and the fate (decree) in the sentence "What Heaven imparts 

(decrees) to man is called human nature"? 134 

Answer: Correct destiny proceeds from principle, whereas modified 

destiny proceeds from physical nature. Essentially in both cases it is 

imparted by Heaven. Mencius said, "That which happens without man's 

causing it to happen is the Mandate of Heaven." 135 However, man ought 

to fulfill his duty, and then whatever mandate he meets with is correct 

mandate. 

Thereupon the question: At present the school of occultism (divination 

and the use of numbers), such as that of Shao Yung, asserts that all 

is predetermined and cannot be changed. What do you say? 

Answer: They can only show the general course in which the principle 

of the prosperity and decline and the augmentation and diminution 

of yin and yang is revealed. Such theories were not held by sages or 

worthies. At present people expounding Shao Yung's [system based on] 

number assert that he said that everything and every event succeeds or 

fails at a predetermined point of time. Such exposition is superficial. 

(43:28b-29a) 

73. Question: Yin and yang should be equal and therefore the number 

of worthy and unworthy people should be equal. Why is it that there 

are always fewer superior men and more inferior men? 

Answer: Naturally things and events are confused and mixed. How 

can they be equal?. . . 

Further question: Although things and events are confused and 

mixed, nevertheless they are nothing but the successive movement of 

the material forces of yin and yang. How is it that they are not equal? 

Answer: It is not as you say. If there were only a single yin and a 

single yang, everything would be equal. But because of the great complexity 

and infinite transformation of things, it is impossible to have 

everything just right. 

Further question: If so, then Heaven produces sages and worthies only 

accidentally and not with any intention. 

Answer: When does Heaven say that it purposely wanted to produce 

a sage or a worthy? The mere fact is that whenever the courses of material 

force reach certain point and meet, a sage or a worthy is born. 

After he is born, it does seem that Heaven had such an intention. (43:30a-b) 

132 133 

ibid., 6:8. 


134 135 

The Mean, ch. 1. Mencius, 5A:6. 

627


74. In the I-shu (Surviving Works) where destiny is discussed (by 

Ch'eng I), [his own] note says that "It is not that the sage does not know 

destiny, but he must do his very best." 136 What do you say of this? 

Answer: It is true that each man has his destiny, but he should not 

fail to obey the correct destiny. For example, the man who understands 

destiny will not stand beneath the precipitous wall. 137 If he should say 

that everything depends on the Mandate of Heaven and goes to stand 

under a precipitous wall, and if by any chance the wall should crumble 

and crush him, he cannot blame it on destiny. Whenever a man has done 

his very best, there he has his destiny alone. (43:33a-b) 

7. The Mind 

75. The principle of the mind is the Great Ultimate. The activity 

and tranquillity of the mind are the yin and yang. (44:1b) 

76. Mind alone has no opposite. (44:1b) 

77. Question: Is consciousness what it is because of the intelligence 

of the mind or is it because of the activity of material force? 

Answer: Not material force alone. [Before material force existed], 

there was already the principle of consciousness. But principle at this 

stage does not give rise to consciousness. Only when it comes into 

union with material force is consciousness possible. Take, for example, 

the flame of this candle. It is because it has received this rich 

fat that there is so much light. 

Question: Is that which emanates from the mind material force? 

Answer: No, that is simply consciousness. (44:2a) 

78. Question: Mind is consciousness and the nature is principle. How 

do the mind and principle pervade each other and become one? 

Answer: They need not move to pervade each other. From the very 

start they pervade each other. 

Question: How do they pervade each other from the very start? 

Answer: Without the mind, principle would have nothing in which to 

inhere. (44:2a) 

79. Question: Mind as an entity embraces all principles. The good 

that emanates of course proceeds from the mind. But the evil that emanates 

is all due to selfish material desires endowed by material force. 

Does it also proceed from the mind? 

Answer: It is certainly not the original substance of the mind, but it 

also emanates from the mind. 

Further question: Is this what is called the human mind? 138 

Answer: Yes. 

136 I-shu, I8:20b. 137 Mencius, 7A:2. 

138 Such contrast is made in the Book of History, "The Counsels of Yü." Cf. 

Legge, Shoo King, p. 61. 

628

CHU HSI 

Thereupon Ch'ien Tzu-sheng 139 asked: Does the human mind include 

both good and evil? 

Answer: Both are included. (44:2b-3a) 

80. Master Chang Tsai said that "in the unity of the nature and consciousness, 

there is the mind." 140 I am afraid this idea is not free from 

error, as though there was a consciousness outside our nature. (44:5a) 

81. Question: The mind is essentially an active thing. It is not clear 

to me whether before (feelings) are aroused the mind is completely 

quiet and tranquil or whether its tranquillity contains within it a tendency 

toward activity. 

Answer: It is not that tranquillity contains within it a tendency toward 

activity. Master Chou Tun-i said that "when tranquil, it is in the state 

of non-being. When active, it is in the state of being." 141 Tranquillity is 

not non-being as such. Because it has not assumed physical form, we 

call it non-being. It is not because of activity that there is being. Because 

(activity makes) it visible, we call it being. Heng-ch'ü's (Chang Tsai's) 

theory that "the mind commands man's nature and feelings" 142 is excellent. 

The nature is tranquil while feelings are active, and the mind 

involves both tranquillity and activity. Whether these refer to its substance 

or its function depends on one's point of view. While it is in the 

state of tranquillity, the principle of activity is already present. Ch'eng I 

said that in the state of equilibrium (before the feelings are aroused), 

"Although the ear hears nothing and the eye sees nothing, nevertheless 

the principles of hearing and seeing must be already there before hearing 

and seeing are possible." 143 When activity takes place, it is the same 

tranquillity that becomes active. (44:6b-7a) 

82. In the passage, "By enlarging one's mind, one can enter into all 

things in the world," 144 the expression "enter into" is like saying that 

humanity enters into all events and is all-pervasive. It means that the 

operation of the principle of the mind penetrates all as blood circulates 

and reaches the entire body. If there is a single thing not yet entered, the 

reaching is not yet complete and there are still things not yet embraced. 

This shows that the mind still excludes something. For selfishness separates 

and obstructs, and consequently one and others stand in opposition. 

This being the case, even those dearest to us may be excluded. 

"Therefore the mind that leaves something outside is not capable of 

uniting itself with the mind of Heaven." 145 (44:12b) 

139 

This pupil recorded the conversations of 1197. 

140 141 

Cheng-meng, 2:7b. 

T'ung-shu, ch. 2. 

142 143 

Chang Tzu ch'üan-shu, 14:2b. I-shu, 18:15a. 

144 Chang Tsai, Cheng-meng, ch. 7, Chang Tzu ch'üan-shu, 2:21a. See above, ch. 

30, n.83. 

145 

ibid. 

629


83. Question: How can the mind by means of moral principles (Tao) 

penetrate all things without any limit? 

Answer: The mind is not like a side door which can be enlarged 

by force. We must eliminate the obstructions of selfish desires, and 

then it will be pure and clear and able to know all. When the principles 

of things and events are investigated to the utmost, penetration will 

come as a sudden release. Heng-ch'ü (Chang Tsai) said, "Do not allow 

what is seen or heard to fetter the mind." "By enlarging one's mind one 

can enter into all things in the world." This means that if penetration is 

achieved through moral principles, there will be penetration like a sudden 

release. If we confine (the mind) to what is heard and what is seen, 

naturally our understanding will be narrow. (44:13a-b) 

84. "The mind is the principle of production. . . . The feeling of 

commiseration is the principle of production in man." 146 This is because 

man is born with the mind of Heaven. The mind of Heaven is to produce 

things. (44:14a) 

Comment. The Ch'eng brothers' doctrine that the character of 

Heaven and Earth is to produce is here applied to the character of 

the mind. This concept underlies all Chu Hsi's ideas about the 

mind. It is this creative force of the mind that makes it the master 

of the universe, unites principle and material force, and enables 

consciousness to function without end in its activity and tranquillity. 

8. The Mind, the Nature, and the Feelings 

85. The nature is comparable to the Great Ultimate, and the mind to 

yin and yang. The Great Ultimate exists only in the yin and yang, and 

cannot be separated from them. In the final analysis, however, the 

Great Ultimate is the Great Ultimate and yin and yang are yin and 

yang. So it is with nature and mind. They are one and yet two, two and 

yet one, so to speak. Philosopher Han Yü (768-824) described nature 

as humanity, righteousness, propriety, wisdom, and faithfulness and the 

feelings as pleasure, anger, sorrow, and joy. 147 This is an advance over 

other philosophers on the problem of human nature. As to his division of 

human nature into three grades (superior, medium, and inferior), 148 he 

has only explained material force but not nature. (45: 1a) 

86. Although nature is a vacuity, it consists of concrete principles. 

Although the mind is a distinct entity, it is vacuous, and therefore embraces 

all principles. This truth will be apprehended only when people 

examine it for themselves. (45:2a) 

146 Ch'eng I's saying. I-shu, 21B:2a. 

147 Yüan-hsing (Inquiry on Human Nature). See above, ch. 27, sec. 1. 

148 ibid. 

630

CHU HSI 

87. Nature consists of principles embraced in the mind, and the mind 

is where these principles are united. (45:2a) 

88. Nature is principle. The mind is its embracement and reservoir, 

and issues it forth into operation. (45:2a) 

89. Some time ago I read statements by Wu-feng (Hu Hung, 1100- 

1155) in which he spoke of the mind only in contrast to nature, leaving 

the feelings unaccounted for. 149 Later when I read Heng-ch'ü's (Changtsai's) 

doctrine that "the mind commands man's nature and feelings," 150 

I realized that it was a great contribution. Only then did I find a satisfactory 

account of the feelings. His doctrine agrees with that of Mencius. 

In the words of Mencius, "the feeling of commiseration is the beginning 

of humanity." 151 Now humanity is nature, and commiseration is feeling. 

In this, the mind can be seen through the feelings. He further said, 

"Humanity, righteousness, propriety, and wisdom are rooted in the 

mind." 152 In this, the mind is seen through nature. For the mind embraces 

both nature and the feelings. Nature is substance and feelings 

are function. (45:3a-b) 

90. Nature is the state before activity begins, the feelings are the state 

when activity has started, and the mind includes both of these states. For 

nature is the mind before it is aroused, while feelings are the mind after 

it is aroused, as is expressed in [Chang Tsai's] saying, "The mind commands 

man's nature and feelings." Desire emanates from feelings. The 

mind is comparable to water, nature is comparable to the tranquillity of 

still water, feeling is comparable to the flow of water, and desire is 

comparable to its waves. Just as there are good and bad waves, so there 

are good desires, such as when "I want humanity," 153 and bad desires 

which rush out like wild and violent waves. When bad desires are substantial, 

they will destroy the Principle of Heaven, as water bursts a 

dam and damages everything. When Mencius said that "feelings enable 

people to do good," 154 he meant that the correct feelings flowing from 

our nature are originally all good. (45:4a) 

91. The mind means master. It is master whether in the state of activity 

or in the state of tranquillity. It is not true that in the state of 

tranquillity there is no need of a master and there is a master only when 

the state becomes one of activity. By master is meant an all-pervading 

control and command existing in the mind by itself. The mind unites and 

apprehends nature and the feelings, but it is not united with them as a 

vague entity without any distinction. (45:4a-b) 

92. In his reply to Heng-ch'ü's dictum that "nature in the state 

149 

Chih-yen, ch. 3. See also Sung-Yüan hsüeh-an, 42:2a. 

150 Chang Tzu ch'üan-shu, 14:2b. 

151 Mencius, 2A:6, 6A:6. 

152 ibid., 7A:21. 

154 



631


of calmness cannot be without activity," Ming-tao's (Ch'eng Hao's) 

idea is that we should not hate things and events nor chase after 

them. Nowadays people who hate things avoid them completely, and 

who chase after them are continuously lured away by them. The best 

thing is neither to shun away from things nor to drift with them, but to 

face and respond to them in various ways. For Heng-ch'ü's idea was to 

cut ourselves from the external world and achieve calmness internally, 

whereas Ming-tao's idea was that the internal and the external must be 

harmonized and unified. If (as Ming-tao said) that nature is calm 

"whether it is in a state of activity or in a state of tranquillity," 155 then 

in our response to things we will naturally not be bound by them. If 

nature can be calmed only in a state of tranquillity, I am afraid that in 

time of activity it will be tempted and carried away by external things. 

(45:11b-12a) 

93. Question: Is it correct to suppose that sages never show any 

anger? 

Answer: How can they never show anger? When they ought to be 

angry, they will show it in their countenances. But if one has to punish 

someone for his crime and purposely smiles, that would be wrong. 

Question: In that case, does it not show some feeling of wrath? 

Answer: When Heaven is angry, thunder is also aroused. When sageemperor 

Shun executed the four cruel criminals, 156 he must have been 

angry at that time. When one becomes angry at the right time, he will 

be acting in the proper degree. When the matter is over, anger disappears, 

and none of it will be retained. (45:14b-15a) 

94. Question: "How can desires be checked? Simply by thought. In 

learning there is nothing more important than thought. Only thought can 

check desires." 157 Someone said that if thought is not correct, it will 

not be adequate to check desires. Instead, it will create trouble. How 

about "having no depraved thoughts"? 158 

Answer: Thoughts that are not correct are merely desires. If we think 

through the right and wrong, and the ought and ought-not of a thing, 

in accordance with its principle, then our thought will surely be correct. 

(45:19b) 

9. Jen 

95. Whenever and wherever humanity (jen) flows and operates, 

righteousness will fully be righteousness and propriety and wisdom will 

155 

For both Chang's dictum and Ch'eng's response, see Ming-tao wen-chi (Collection 

of Literary Works by Ch'eng Hao), 3: 1a, in ECCS. 

156 Accounts of this vary. According to the Book of History, "Canon of Shun" 

(Legge, p. 40), he banished or imprisoned them. 

157 Ch'eng I's saying, I-shu, 25:3a-b. 


632

CHU HSI 

fully be propriety and wisdom. It is like the ten thousand things being 

stored and preserved. There is not a moment of cessation in such an 

operation for in all of these things there is the spirit of life. Take for 

example such things as seeds of grain or the peach and apricot kernels. 

When sown, they will grow. They are not dead things. For this reason 

they are called jen (the word jen meaning both kernel and humanity). 

This shows that jen implies the spirit of life. (47:3a) 

96. Jen is spontaneous, altruism (shu) is cultivated. Jen is natural, 

altruism is by effort. Jen is uncalculating and has nothing in view, altruism 

is calculating and has an object in view. (47:6a-b) 

97. Jen is the principle of love, and impartiality is the principle of 

jen. Therefore, if there is impartiality, there is jen, and if there is jen, 

there is love. (47:6b) 

98. Question: Master Ch'eng Hao said, " 'Seriousness is to straighten 

the internal life and righteousness is to square the external life.' This 

means jen." 159 How can these be sufficient to be regarded as jen? 

Answer: These two are jen. Wherever selfish desires can be entirely 

eliminated and the Principle of Nature freely operates, there is jen. For 

example, if one can "study extensively," be "steadfast in one's purpose," 

"inquire earnestly," and "reflect on things at hand (that is, what one can 

put into practice)," then "humanity (jen) consists in these," 160 "To 

master oneself and return to propriety" 161 is also jen. "When you go 

abroad, behave to everyone as if you were receiving a great guest. Employ 

the people as if you were assisting at a great sacrifice" 162 —this is 

also jen. To "be respectful in private life, be serious in handling affairs, 

and be loyal in dealing with others" 163 —these are also jen. All these 

depend on what path you follow. Once you have entered that path, exert 

effort until the limit is reached—all this is jen. (47:14b) 

99. "When one makes impartiality the substance of his person, that is 

jen." 164 Jen is the principle originally inherent in man's mind. With impartiality, 

there is jen. With partiality, there is no jen. But impartiality as 

such should not be equated with jen. It must be made man's substance 

before it becomes jen. Impartiality, altruism, and love are all descriptions 

of jen. Impartiality is antecedent to jen; altruism and love are subsequent. 

This is so because impartiality makes jen possible, and jen makes love 

and altruism possible. (47:19b-20a) 

159 

I-shu, 11:3a. Ch'eng was quoting Changes, commentary on hexagram no. 2, 

k'un. See Legge, Yi King, p. 420, 

160 161 

Analects, 19:6. ibid., 12:1. 

163 

164 

ibid., 13:19. 

I-shu, 15:8b. 

162 

ibid., 12:2. 

633


10. Principle (Li) and Material Force (Ch'i) 

100. In the universe there has never been any material force without 

principle or principle without material force. (49: 1a) 

101. Question: Which exists first, principle or material force? 

Answer: Principle has never been separated from material force. 

However, principle "exists before physical form [and is therefore without 

it]" whereas material force "exists after physical form [and is therefore 

with it]." 165 Hence when spoken of as being before or after physical 

form, is there not the difference of priority and posteriority? Principle has 

no physical form, but material force is coarse and contains impurities. 

(49:1a-b) 

102. Fundamentally principle and material force cannot be spoken 

of as prior or posterior. But if we must trace their origin, we are obliged 

to say that principle is prior. However, principle is not a separate entity. 

It exists right in material force. Without material force, principle would 

have nothing to adhere to. As material force, there are the Agents 

(or Elements) of Metal, Wood, Water, and Fire. As principle, there are 

humanity, righteousness, propriety, and wisdom. (49:1b) 

Comment. Much discussion has taken place on the question 

whether Chu Hsi is a dualist. No one can doubt that principle is a 

universal, that there is a distinction between what exists before 

physical form and is therefore without it and what exists after form 

and is therefore with it, and that principle and material are different 

in many respects. As already suggested, Ch'eng Hao tended more to 

the monistic view while Ch'eng I tended more to the dualistic view, 

but it was also noted that whatever dualism there was, was superficial. 

166 What Chu Hsi did was to harmonize the two trends of the 

Ch'eng brothers. In his system, principle has not only a logical 

priority. It actually exists before physical form and is without it 

because it is the principle of being. But it is not something outside 

of material force that imparts a principle of being into it. This is 

the reason why he said that principle has never been separate from 

material force. Thus principle is both immanent and transcendent. 

In other words, he is neither a monist nor a dualist, or he is both a 

monist and a dualist. Perhaps one may say that with respect to 

ultimate reality, he is a monist but with respect to phenomena he 

is a dualist. But since principle and material force are never separate, 

they do not exist independently of each other, much less in 


About this translation, see Appendix, comment on "Hsing-erh-shang." 

166 See above, p. 544. 

634

CHU HSI 

opposition. The fact is that any contrast of monism and dualism 

does not apply to his philosophy. 

103. Question about the relation between principle and material 

force. 

Answer: I-ch'uan (Ch'eng I) expressed it very well when he said that 

principle is one but its manifestations are many. 167 When heaven, earth, 

and the myriad things are spoken of together, there is only one principle. 

As applied to man, however, there is in each individual a particular 

principle. (49:1b) 

104. Question: What are the evidences that principle is in material 

force? 

Answer: For example, there is order in the complicated interfusion of 

the yin and the yang and of the Five Agents. Principle is there. If 

material force does not consolidate and integrate, principle would have 

nothing to attach itself to. (49:2b) 

105. Question: May we say that before heaven and earth existed 

there was first of all principle? 

Answer: Before heaven and earth existed, there was after all only 

principle. As there is this principle, therefore there are heaven and 

earth. If there were no principle, there would also be no heaven and 

earth, no man, no things, and in fact, no containing or sustaining (of 

things by heaven and earth) to speak of. As there is principle, there 

is therefore material force to operate everywhere and nourish and develop 

all things. 

Question: Is it principle that nourishes and develops all things? 

Answer: As there is this principle, therefore there is this material 

force operating, nourishing, and developing. Principle itself has neither 

physical form nor body. (49:3a-b) 

106. K'o-chi 168 asked: When the creative process disposes of things, 

is it the end once a thing is gone, or is there a principle by which a thing 

that is gone may return? 

Answer: It is the end once a thing is gone. How can there be material 

force that has disintegrated and yet integrates once more? (49:3b-4a) 

107. Question: "The Lord on High has conferred even on the inferior 

people a moral sense." 169 "When Heaven is about to confer a great responsibility 

on any man. . ." 170 "Heaven, to protect the common people, 

made for them rulers." 171 "Heaven, in the production of things, is sure 

167 Ts'ui-yen (Pure Words), 1:24a; in ECCS. Also I chuan (Commentary on the 

Book of Changes), 3:3b. 

168 Lu K'o-chi, a pupil. Otherwise nothing is known of him. 

169 History, "Announcement of T'ang." Cf. Legge, Shoo King, p. 185. 

170 Mencius, 6B:15. 171 History, "Great Oath." Cf. Legge, p. 286. 

635


to be bountiful to them, according to their natural capacity." 172 "On the 

good-doer, the Lord on High sends down all blessings, and on the evildoer, 

He sends down all miseries." 173 "When Heaven is about to send 

calamities to the world, it will always first produce abnormal people as a 

measure of their magnitude." 174 In passages like these, does it mean that 

Heaven has no personal consciousness and the passages are merely 

deductions from principle? 

Answer: These passages have the same meaning. It is simply that 

principle operates this way. (49:4a) 

108. Principle attaches to material force and thus operates. (49:4b) 

109. Throughout the universe there are both principle and material 

force. Principle refers to the Way, which exists before physical form 

[and is without it] and is the root from which all things are produced. 

Material force refers to material objects, which exists after physical form 

[and is with it]; it is the instrument by which things are produced. Therefore 

in the production of man and things, they must be endowed with 

principle before they have their nature, and they must be endowed with 

material force before they have physical form. (49:5b) 

Comment. Needham correctly understands Neo-Confucian philosophy, 

especially as developed by Chu Hsi, as essentially organic. 

As he aptly summarizes it: "The Neo-Confucians arrive at essentially 

an organic view of the universe. Composed of matterenergy 

[material force] and ordered by the universal principle of 

organization [principle], it was a universe which, though neither 

created nor governed by any personal deity, was entirely real, and 

possessed the property of manifesting the highest human values 

(love, righteousness, sacrifice, etc.) when beings of an integrative 

level sufficiently high to allow of their appearance, had come into 

existence." 175 Surely the Neo-Confucian conception of the universe 

is that of a single organism. All things exist in relations, and all 

relations follow a definite pattern according to which things are 

organized on various levels. That the universe is a set of relations 

goes far back to the Book of Changes, for Change itself is but relation. 

Tao as the principle of being is basically a principle of 

relationship. Impressed with this relational character of Chinese 

philosophy, Needham saw a striking similarity between Chinese 

organism and that of Whitehead. He also has made a most illuminating 

study of Chu Hsi's influence on Leibniz and the philoso- 


173 History, "Instructions of I." Cf. Legge; p. 198. 

174 Source not traced. 

175 Science and Civilisation in China, vol. 2: History of Scientific Thought, p. 

412. 

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CHU HSI 

phy of organism. 176 We must remember, however, that in Chu Hsi's 

philosophy, the world is more than just an organism, for principle 

is metaphysical. Moreover, while the many similarities between 

Neo-Confucianism and Whitehead's organism as pointed out by 

Needham are surprising, there is absent in Neo-Confucianism 

Whitehead's God, who, as the principle of concretion, is ultimate 

irrationality. 

110. What are called principle and material force are certainly two 

different entities. But considered from the standpoint of things, the two 

entities are merged one with the other and cannot be separated with 

each in a different place. However, this does not destroy the fact that 

the two entities are each an entity in itself. When considered from the 

standpoint of principle, before things existed, their principles of being 

had already existed. Only their principles existed, however, but not yet 

the things themselves. Whenever one studies these aspects, one should 

clearly recognize and distinguish them, and consider both principle and 

material force from the beginning to the end, and then one will be free 

from error. (49:5b-6a) 

111. There is principle before there can be material force. But it is 

only when there is material force that principle finds a place to settle. 

This is the process by which all things are produced, whether large as 

heaven and earth or small as ants. Why should we worry that in the 

creative process of Heaven and Earth, endowment may be wanting? 

Fundamentally, principle cannot be interpreted in the senses of existence 

or nonexistence. Before Heaven and Earth came into being, it already 

was as it is. (49:6a) 

112. Considering the fact that all things come from one source, we 

see that their principle is the same but their material force different. 

Looking at their various substances, we see that their material force is 

similar but their principle utterly different. The difference in material 

force is due to the inequality of its purity or impurity, whereas the difference 

in principle is due to its completeness or partiality. If you will 

please examine thoroughly, there should be no further doubt. (49:7a) 

113. The nature of man and things is nothing but principle and cannot 

be spoken of in terms of integration and disintegration. That which 

integrates to produce life and disintegrates to produce death is only 

material force. 177 What we called the spirit, the heavenly and earthly 

aspects of the soul (hun-p'o), 178 and consciousness are all effects of ma- 

176 ibid., pp. 291, 454, 466, 474, 496-505, 562. 

177 This sentence does not appear in the text but in Chu Tzu wen-chi, 45:19b 

from which the passage is selected. 

178 For a description of hun-p'o, see above, ch. 1, n.30. 

637


terial force. Therefore when material force is integrated, there are these 

effects. When it is disintegrated, there are no more. As to principle, 

fundamentally it does not exist or cease to exist because of such integration 

or disintegration. As there is a certain principle, there is the material 

force corresponding to it, and as this material force integrates in a particular 

instance, its principle is also endowed in that instance. (49:8a) 

11. The Great Ultimate 

114. The Great Ultimate is nothing other than principle. (49:8b) 

Comment. This is the central idea in Chu Hsi's philosophy. 179 He 

considered Chou Tun-i's doctrine of the Great Ultimate as based 

on principle instead of material force, as was the case before Chou's 

time. The concept was implied in Chou but firmly established in 

Chu Hsi 

115. Question: The Great Ultimate is not a thing existing in a chaotic 

state before the formation of heaven and earth, but a general name for 

the principles of heaven and earth and the myriad things. Is that correct? 

Answer: The Great Ultimate is merely the principle of heaven and 

earth and the myriad things. With respect to heaven and earth, there 

is the Great Ultimate in them. With respect to the myriad things, there 

is the Great Ultimate in each and every one of them. Before heaven and 

earth existed, there was assuredly this principle. It is the principle that 

"through movement generates the yang." It is also this principle that 

"through tranquillity generates the yin." 180 (49:8b-9a) 

116. Question: [You said,] "Principle is a single, concrete entity, and 

the myriad things partake it as their substance. Hence each of the myriad 

things possesses in it a Great Ultimate." 181 According to this theory, does 

the Great Ultimate not split up into parts? 

Answer: Fundamentally there is only one Great Ultimate, yet each 

of the myriad things has been endowed with it and each in itself possesses 

the Great Ultimate in its entirety. This is similar to the fact that there 

is only one moon in the sky but when its light is scattered upon rivers 

and lakes, it can be seen everywhere. It cannot be said that the moon has 

been split. (49:10b-lla) 

179 This was pointed out by Shih Huang (fl. 1705) in commenting on the saying 

in his Wu-tzu chin-ssu lu fa-ming (Exposition of the Reflections on Things at 

Hand by Five Philosophers), l:34b. 

180 Chou Tun-i, An Explanation of the Diagram of the Great Ultimate. 

181 Chu Hsi's commentary on Chou Tun-i's T'ung-shu, ch. 22. See Chou Tzu 

ch'üan-shu (Complete Works of Chou Tun-i), Wan-yu wen-k'u (Universal Library) 

ed., p. 170. 

638

CHU HSI 

Comment. The idea that principle is one but its manifestations are 

many is derived from Ch'eng but the doctrine was not fully developed 

until Chu Hsi. Its similarity with the doctrine of one and 

many in the Hua-yen School of Buddhism has been noted. Chu's 

analogy of the moon is a specific, though indirect, borrowing of the 

Hua-yen analogy of the moon and its many reflections. 182 According 

to Fung Yu-lan, it is similar to the Hua-yen metaphor of 

"the realm of Indra's net" which contains many jewels each of 

which reflects not only the image of every other jewel but also all 

the multiple images reflected in each of those other jewels. However, 

Fung correctly adds that while according to the Hua-yen 

School within any given individual concrete object all other concrete 

objects are actually present, to Chu Hsi, each concrete object has 

within it the Great Ultimate, that is, the principles of all things but 

not the physical objects themselves. 183 

117. The Great Ultimate has neither spatial restriction nor physical 

form or body. There is no spot where it may be placed. When it is considered 

in the state before activity begins, this state is nothing but tranquillity. 

Now activity, tranquillity, yin, and yang all exist only after 

physical form [and are with it]. However, activity is after all the activity 

of the Great Ultimate and tranquillity is also its tranquillity, although 

activity and tranquillity themselves are not the Great Ultimate. This is 

why Master Chou Tun-i only spoke of that state as Non-ultimate. 184 

While the state before activity begins cannot be spoken of as the Great 

Ultimate, nevertheless the principles of pleasure, anger, sorrow, and joy 

are already inherent in it. Pleasure and joy belong to yang and anger 

and sorrow belong to yin. In the initial stage the four are not manifested, 

but their principles are already there. As contrasted with the state after 

activity begins, it may be called the Great Ultimate. But still it is difficult 

to say. All this is but a vague description. The truth must be personally 

realized by each individual himself. (49:11a-b) 

Comment. The difference between Chou Tun-i and Chu Hsi is that 

for Chou the Great Ultimate involves activity and tranquillity, 

whereas for Chu, it has only the principle of activity and tranquillity, 

for the Great Ultimate is absolute and is therefore above phenomenal 

manifestations. Actually, Chou's Great Ultimate is identical with 

material force, whereas Chu's Great Ultimate is identical with 

principle. As to how the Great Ultimate can produce the two material 

forces (yin and yang), Chu's answer is vague. 

182 See above, ch. 25, introduction. Cf. Hua-yen ching, verse in ch. 23. 

183 Fung, History of Chinese Philosophy, vol. 2, pp. 541-542. 


639


118. Someone asked about the Great Ultimate. Reply: The Great 

Ultimate is simply the principle of the highest good. Each and every 

person has in him the Great Ultimate and each and every thing has in it 

the Great Ultimate. What Master Chou calls the Great Ultimate is a 

name to express all the virtues and the highest good in Heaven and 

Earth, man, and things. (49:11b) 

Comment. Commenting on this passage, Fung Yu-lan said, "The 

Supreme Ultimate is very much like what Plato called the Idea of 

the Good, or what Aristotle called God." 185 Previously, Bruce 

had asserted that Chou Tun-i's doctrine of the Supreme Ultimate 

was expanded and interpreted by the Ch'eng brothers and Chu Hsi 

along lines suggestive of Plato and Aristotle. 186 Recently, Carsun 

Chang compared Chu Hsi and Aristotle in the greatest detail so far. 

He pointed out that Chu Hsi agrees with Aristotle that Ideas do 

not exist for themselves, that the Idea as the one does not exist 

apart from the many, that matter exists in the sense of possibility 

or capacity, that matter and form exist together, that there is an 

eternal principle, that it is at once form, end, and moving cause, 

that matter is the ultimate source of the imperfection in things and 

that it is the principle of individuation and plurality, that an 

entity (God or Heaven) exists which imparts motion but is itself 

unmoved, and that it is pure energy, eternal, and good per se. However, 

he added that although Chu Hsi is an Aristotelian in the field 

of nature, he is a Platonist in the field of moral values, recognizing 

that there exists an eternal, unchanging truth. 187 

Needham, however, rejects any comparison with Aristotle. He 

says: "It is true that form was the factor of individuation, that 

which gave rise to the unity of any organism and its purposes; so 

was Li. But there the resemblance ceases. The form of the body 

was the soul; but the great tradition of Chinese philosophy had no 

place for souls. . . Again, Aristotelian form actually conferred 

substantiality on things, but . . . the ch'i [material force] was not 

brought into being by Li, and Li had only a logical priority. Ch'i 

did not depend upon Li in any way. Form was the 'essence' and 

'primary substance' of things, but Li was not itself substantial or 

any form of ch'i. ... I believe that Li was not in any strict sense 

metaphysical, as were Platonic ideas and Aristotelian forms, but 

rather the invisible organizing fields or forces existing at all levels 

within the natural world. Pure form and pure actuality was God, 

185 Fung, vol. 2, p. 537. 

186 Bruce, Chu Hsi and His Masters, pp. 48-49. 

187 Carsun Chang, Neo-Confucian Thought, pp. 255-256. 

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CHU HSI 

but in the world of Li and ch'i there was no Chu-Tsai [Director] 

whatsoever." 188 

These comparisons show that in any comparative study similarities 

are usually accompanied by dissimilarities. The important point 

to note is that Chu Hsi is neither Platonic nor Aristotelian. The 

usual Western polarities do not apply in Chinese philosophy. 

119. The Great Ultimate is similar to the top of a house or the 

zenith of the sky, beyond which point there is no more. It is the ultimate 

of principle. Yang is active and yin is tranquil. In these it is not the 

Great Ultimate that acts or remains tranquil. It is simply that there are 

the principles of activity and tranquillity. Principle is not visible; it becomes 

visible through yin and yang. Principle attaches itself to yin and 

yang as a man sits astride a horse. As soon as yin and yang produce the 

Five Agents, they are confined and fixed by physical nature and are 

thus differentiated into individual things each with its nature. But the 

Great Ultimate is in all of them. (49:14a) 

120. The Great Ultimate contains all principles of the Five Agents 

and yin and yang. It is not an empty thing. If it were a void, it would 

approach the Buddhist theory of dharma-nature (which maintains that 

the nature of dharmas, that is, elements of existence, are void). (49:14a) 

121. Question: Is the Great Ultimate the highest principle of the 

human mind? 

Answer: There is an ultimate in every thing or event. That is the 

ultimate of principle. 

Someone asked: Like humanity on the part of the ruler and respect 

on the part of ministers. These are ultimates. 

Answer: These are ultimates of a particular thing or event. When all 

principles of heaven and earth and the myriad things are put together, 

that is the Great Ultimate. The Great Ultimate originally has no such 

name. It is merely a name to express its character. (49:14b-15a) 

122. There is no other event in the universe except yin and yang 

succeeding each other in an unceasing cycle. This is called Change. However, 

for these activity and tranquillity, there must be the principles 

which make them possible. This is the Great Ultimate. (49:16a) 

12. Heaven and Earth 

123. In the beginning of the universe there was only material force 

consisting of yin and yang. This force moved and circulated, turning 

this way and that. As this movement gained speed, a mass of sediment 

was compressed (pushed together), and since there is no outlet for 

188 Science and Civilisation in China, vol. 2: History of Scientific Thought, 

p. 475. 

641


this, it consolidated to form the earth in the center of the universe. The 

clear part of material force formed the sky, the sun, and moon, and the 

stars and zodiacal spaces. It is only on the outside that the encircling 

movement perpetually goes on. The earth exists motionless in the center 

of the system, not at the bottom. (49:19a) 

124. In the beginning of the universe, when it was still in a state of 

undifferentiated chaos, I imagine there were only water and fire. The 

sediment from water formed the earth. If today we climb the high mountains 

and look around, we will see ranges of mountains in the shape of 

waves. This is because the water formed them like this, though we do 

not know in what period they solidified. The solidification was at first 

very soft, but in time it became hard. 

Question: I imagine it is like the tide rushing upon and making waves 

in the sand. 

Answer: Yes. The most turbid water formed the earth and the purest 

fire became wind, thunder, lightning, the stars, and the like. (49:19b- 

20a) 

125. Question: From the beginning of the universe to this day, it has 

not yet been ten thousand years. I do not know how things looked before 

then. 

Answer: The past is to be understood in the same way. 

Further question: Can the universe be destroyed? 

Answer: It is indestructible. But in time man will lose all moral principles 

and everything will be thrown together in a chaos. Man and things 

will all die out, and then there will be a new beginning. 

Further question: How was the first man created? 

Answer: Through the transformation of material force. When the 

essence of yin and yang and the Five Agents are united, man's physical 

form is established. This is what the Buddhists call production by transformation. 

There are many such productions today, such as lice. (49:- 

20a) 

Comment. This is a curious compromise between the traditional 

Confucian human cycles within the world and the Buddhist doctrine 

of cycle of the world itself. 

126. Question: With reference to the mind of Heaven and Earth and 

the Principle of Heaven and Earth. Principle is moral principle. Is mind 

the will of a master? 

Answer: The mind is the will of a master, it is true, but what is called 

master is precisely principle itself. It is not true that outside of the mind 

there is principle, or that outside of principle there is a mind. (49:23a) 

127. Heaven and Earth have no other business except to have the 

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CHU HSI 

mind to produce things. The material force of one origin (the Great 

Ultimate including principle and material force) revolves and circulates 

without a moment of rest, doing nothing except creating the myriad 

things. 

Question: Master Ch'eng I said, "Heaven and Earth create and transform 

without having any mind of their own. The sage has a mind of his 

own but does not take any [unnatural] action." 189 

Answer: That shows where Heaven and Earth have no mind of their 

own. It is like this: The four seasons run their course and the various 

things flourish. When do Heaven and Earth entertain any mind of their 

own? As to the sage, he only follows principle. What action does he 

need to take? This is the reason why Ming-tao (Ch'eng Hao) said, "The 

constant principle of Heaven and Earth is that their mind is in all things 

and yet they have no mind of their own. The constant principle of the 

sage is that his feelings are in accord with all creation, and yet he has no 

feelings of his own." 190 This is extremely well said. 

Question: Does having their mind in all things not mean to pervade 

all things with their mind without any selfishness? 

Answer: Heaven and Earth reach all things with this mind. When 

man receives it, it then becomes the human mind. When things receive 

it, it becomes the mind of things (in general). And when grass, trees, 

birds, animals receive it, it becomes the mind of grass, trees, birds, and 

animals (in particular). All of these are simply the one mind of Heaven 

and Earth. Thus we must understand in what sense Heaven and Earth 

have mind and in what sense they have no mind. We cannot be inflexible. 

(49:23b-24a) 

128. When the myriad things are born and grow, that is the time 

when Heaven and Earth have no mind. When dried and withered things 

desire life, that is the time when Heaven and Earth have mind. (49:24a) 

129. The Lord (Ti) is principle acting as master. (49:25a) 

13. Spiritual Beings and Spiritual Forces (Kuei-Shen) 

130. Someone asked whether there are spiritual beings (kueishen)? 

191 

Answer: How can this matter be quickly explained? Even if it could, 

would you believe it? You must look into all principles of things and 

gradually understand, and then this puzzling problem will be solved by 

itself. When Fan Ch'ih asked about wisdom, Confucius said, "Devote 

oneself earnestly to the duties due to men, and respect spiritual beings 

189 Ching-shuo (Explanation of the Classics), in ECCS, 1:2a. 

190 Ming-tao wen-chi, 3: 1a. 

191 For a discussion on kuei-shen, see above, ch. 30, comment on sec. 10. 

643


but keep them at a distance. This may be called wisdom." 192 Let us attend 

to those things that should be attended to. Those that cannot be attended 

to, let us set aside. By the time we have attended thoroughly to ordinary 

daily matters, the principles governing spiritual beings will naturally be 

understood. This is the way to wisdom. [When Confucius said], "If we 

are not yet able to serve man, how can we serve spiritual beings?" 193 he 

expresses the same idea. (51:2a) 

131. Is expansion positive spiritual force (shen) and contraction 

negative spiritual force (kuei)? 

The Teacher drew a circle on the desk with his hand and pointed to 

its center and said: Principle is like a circle. Within it there is differentiation 

like this. All cases of material force which is coming forth belong 

to yang and are positive spiritual force. All cases of material force which 

is returning to its origin belong to yin and are the negative spiritual force. 

In the day, forenoon is the positive spiritual force, afternoon is the 

negative spiritual force. In the month, from the third day onward is the 

positive spiritual force; after the sixteenth day, it is the negative spiritual 

force. 

T'ung Po-yü 194 asked: Is it correct when speaking of the sun and moon 

as opposites, to say that the sun is the positive spiritual force and the 

moon is the negative spiritual force? 

Answer: Yes, it is. Plants growing are the positive spiritual force, 

plants declining are the negative spiritual force. A person from childhood 

to maturity is the positive spiritual force, while a man in his declining 

years and old age is the negative spiritual force. In breathing, breath 

going out is the positive spiritual force, breath coming in is the negative 

spiritual force. (51: 6b) 

132. The positive and negative spiritual forces are so called with 

respect to function. Spirit is so-called with respect to the wonderful 

functioning. In the cases of positive and negative spiritual forces, like 

yin and yang, contraction and expansion, going and coming, and diminution 

and augmentation, there are rough traces that can be seen. In 

the case of spirit which is so-called because of the mysterious functioning, 

it happens all of a sudden and is unfathomable. It suddenly comes, 

suddenly goes; it is suddenly here, suddenly there. (51:7b) 

133. Question about the principles of life and death and spiritual 

beings. (Question: Although we know that spiritual beings and life 

and death are governed by one and the same principle, we do not understand 

the exact point. Answer: "Essence and material force are combined 

192 Analects, 6:20. 193 ibid., 11:11. 

194 Chu Hsi's pupil. People in his community called him "Master of Respect 

for Moral Principles." For a brief account of him, see Sung-Yüan hsüeh-an, 

69:39a. 

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CHU HSI 

to be things. The wandering away of the spirit becomes change." 195 

This is the principle of life and death. The questioner did not understand. 

Further remark: Essence and material force consolidate to become 

man, and as they disintegrate, they become a spiritual being. 

Further question: When essence and material force consolidate, is 

this principle attached to material force?) 196 

Answer: As the Way of Heaven operates, the myriad things develop 

and grow. There is (logically) principle first and then material force. 

Although they coexist at the same time, in the final analysis principle is 

basic. Man receives it and thus possesses life. (But material force may be 

clear or turbid.) The clear part of material force becomes his vital force 

(ch'i), while the turbid part becomes his physical nature. (The clear 

part belongs to yang while the turbid part belongs to yin.) Consciousness 

and movement are due to yang, while physical form and body (bones 

and flesh, skin and hair) are due to yin. The vital force belongs to the 

heavenly aspect of the soul (hun) and the body is governed by the 

earthly aspect of the soul (p'o). In his commentary on the Huai-nan Tzu, 

Kao Yu (fl. 205) said, "Hun is the spirit of yang and p'o is the spirit 

of yin." 197 By spirit is meant the master of the body and the vital force. 

Man is born as a result of integration of essence and material force. He 

possesses this material force only in a certain amount, which in time necessarily 

becomes exhausted. (This is what is meant by physicians when 

they say that yin or yang no longer rises or falls.) When exhaustion takes 

place, the heavenly aspect of the soul and the vital force return to Heaven, 

and the earthly aspect of the soul and the body return to the Earth, and 

the man dies. When a man is about to die, the warm material force leaves 

him and rises. This is called the hun rising. The lower part of his body 

gradually becomes cold. This is called the p'o falling. Thus as there is 

life, there is necessarily death, and as there is beginning, there must be an 

end. What integrates and disintegrates is material force. As to principle, 

it merely attaches itself to material force, but from the beginning it does 

not consolidate into a separate thing by itself. However, whatever in 

one's functioning that is correct is principle. It need not be spoken of in 

terms of integration and disintegration. When a man dies, his material 

force necessarily disintegrates. However, it does not disintegrate completely 

at once. Therefore in religious sacrifices we have the principle 

of spiritual influence and response. Whether the material force (or vital 

force) of ancestors of many generations ago is still there or not cannot be 

known. Nevertheless, since those who perform the sacrificial rites are 


196 Passages in parentheses in this section are added in the record by Chou Mingtso, 

Chu Hsi's pupil, who recorded his conversations after 1192. 

197 SPPY, 7:6a. 

645


their descendants, the material force between them is after all the same. 

Hence there is the principle by which they can penetrate and respond. 

But the material force that has disintegrated cannot again be integrated. 

And yet the Buddhists say that man after death becomes a spiritual being 

and the spiritual being again becomes a man. If so, then in the universe 

there would always be the same number of people coming and going, 

with no need of the creative process of production and reproduction. 

This is decidedly absurd. (51:18b-19b) 

14. Buddhism 

134. Question: What is the difference between Buddhist non-being 

and Taoist non-being? 

Answer: For the Taoists, there is still being after all. For example, 

the saying, "Let there [always] be non-being so we may see their subtlety, 

and let there [always] be being so we may see their outcome," 198 

is an evidence of this. The Buddhists, however, consider heaven and 

earth as illusory and erroneous and the Four Elements (Earth, Water, 

Fire, and Wind) as temporary (unreal) aggregates. This means complete 

non-being. (60:12b) 

135. The mistake of the Buddhists arises from their dislike [of the 

world] which is the result of their selfishness, and the mistake of the 

Taoists arises from their trickery which is the result of their selfishness. 

The mistake of the Buddhists is to dislike and take lightly human affairs 

and therefore wish completely to turn everything into a void. The mistake 

of the Taoists is to take advantage of critical situations and opportunities 

and to resort to tricks and expediency, thus exploiting all kinds of 

schemes and crafts in the world. That is why military strategy, the art of 

calculation, and the technique of debate 199 today are mostly based on 

Taoist ideas. (60:12b-13a) 

136. It is not necessary to examine the doctrines of Buddhism and 

Taoism deeply to understand them. The mere fact that they discard the 

Three Bonds (between ruler and minister, father and son, and husband 

and wife) and the Five Constant Virtues (righteousness on the part of 

the father, deep love on the part of the mother, friendliness on the part of 

the elder brother, respect on the part of the younger brother, and filial 

piety on the part of the son) is already a crime of the greatest magnitude. 

Nothing more need be said about the rest. (60:13a) 

137. Where the Buddhists have lofty views, they are really lofty. 

Someone asked why they only talk about Emptiness. The Teacher said: 


199 Hsing-ming in Chinese, meaning actuality and name. For a discussion of 

this term, see Appendix. 

646

CHU HSI 

They talk about Stubborn Emptiness 200 and also True Emptiness. Stubborn 

Emptiness means that there is Emptiness without anything, whereas 

True Emptiness means that there is still something. The latter theory is 

somewhat similar to our Confucian doctrine. However, the Buddhists 

ignore the universe completely and only pay attention to the mind, very 

much like the Taoists, who also merely want to preserve the spirit and 

power [of the mind]. 201 I-ch'uan (Ch'eng I) said that we can draw a 

final conclusion [that Buddhism and Confucianism are different] from 

the manifestations 202 of Buddhism alone. 203 I do not know what use 

there is for such doctrines as these. (60:13a-b) 

138. Someone talked about the harm of Chuang Tzu, Lao Tzu, Zen, 

and [orthodox] Buddhism. The Teacher said: The doctrines of Zen are 

the most harmful to the Way. Chuang Tzu and Lao Tzu still did not 

completely destroy moral principles. In the case of [orthodox] Buddhism, 

human relations are already destroyed. When it comes to Zen, however, 

from the very start it wipes out all moral principles completely. Looked 

at this way, Zen has done the greatest harm. 

After a moment he said again: Generally speaking, actually [these 

schools are all harmful] just the same. In the matter of doing harm, 

there has never been a case which does not proceed from the smaller to 

the greater degree. (60:13b) 

139. Ts'ao 204 asked how to tell the difference between Confucianism 

and Buddhism. The Teacher said: Just take the doctrine, "What Heaven 

imparts to man is called human nature." 205 The Buddhists simply do not 

understand this, and dogmatically say that nature is empty consciousness. 

What we Confucianists talk about are concrete principles, and from our 

point of view they are wrong. They say, "We will not be affected by a 

single speck of dust [such as distinction of right and wrong or subject 

and object]. . . . and will not discard a single element of existence 

(dharma) [such as the minister's loyalty to the ruler or the son's filial 

piety to the father]." 206 If one is not affected by any speck of dust, how is 

200 Wan-k'ung, literally "stubborn emptiness," which is so stubborn as to resist 

and therefore negate everything. 

201 

The term shen-ch'i has many meanings, such as the mysterious force that 

produces all things, the essence of the Five Agents, feeling and disposition, expression, 

spirit and power of the mind. The latter is a Taoist concept, and is contrasted 

with the body. See Chuang Tzu, ch. 12, NHCC, 5:13a, or Giles, trans., 


202 

Chi, literally trace or track, means manifestation, sign, effect, evidence, or 

fact. 

203 

I-shu, 15:10a. 

204 

Most likely one of Chu Hsi's three pupils with such a family name. 

205 


206 

A saying by Zen Master Ling-yu (771-853). According to him, on the level 

of absolute truth there is only One Nature, which is free of any contamination 

647


it possible for him not to discard a single element of existence? When he 

arrives at what is called the realm of Emptiness, he does not find any 

solution. Take the human mind, for example. There is necessarily in it 

the Five Relations between father and son, ruler and minister, old and 

young, husband and wife, and friends. When the Buddhists are thorough 

in their action, they will show no affection in these relationships, whereas 

when we Confucianists are thoroughgoing in our action, there is affection 

between father and son, righteousness between ruler and minister, order 

between old and young, attention to their separate functions between 

husband and wife, and faithfulness between friends. 207 We Confucianists 

recognize only the moral principles of sincerity and genuineness. Sincerity 

is the essence of all good deeds. (60:14a) 

140. The only difference between the Confucianists and Buddhists in 

their discourses on the nature is that the Buddhists talk about emptiness 

whereas the Confucianists talk about concreteness, and whereas the 

Buddhists talk about non-being, the Confucianists talk about being. 

(60:14b) 

141. The Buddhists are characterized by vacuity, whereas we Confucianists 

are characterized by concreteness. The Buddhists are characterized 

by duality (of Absolute Emptiness and the illusory world), 

whereas we Confucianists are characterized by unity (one principle 

governing all). The Buddhists consider facts and principles as unimportant 

and pay no attention to them. (60:14b) 

142. With us Confucianists, although the mind is vacuous, principle 

is concrete. The Buddhists, on the other hand, go straightly to their 

destination of emptiness and void. (60:14b) 

143. We consider the mind and principle as one but they consider 

the mind and principle as two. It is not that the two groups purposely 

[differ] like this; it is the result of their different points of view. From 

their point of view, the mind is empty and is without principle, while 

from our point of view, although the mind is empty, all the principles 

are complete in it. However, although [we] say that the mind and principle 

are one, [we] fail to discern the selfishness resulting from material 

desires with which man is endowed in their physical nature. It is because 

such as the distinction between right and wrong or subject and object, but on the 

level of worldly truth, Buddhism does not discard any element of existence and 

therefore exhorts the minister to be loyal and the son to be filial. See Wu-teng huiyüan 

(Five Lamps Combined), ch. 8, in Zokuzokyo (Supplement to the Buddhist 

Canon), pt. collection, pt. 2, B, case 24, p. 426a, and Ching-te ch'uan-teng lu 

(Records of the Transmission of the Lamp Compiled During the Ching-te Period, 

1004-1007), SPTK, 9:3a. 

207 Quoting Mencius, 3A:4. 

648

CHU HSI 

[we] do not see correctly that [we] have this defect. This is why the 

Great Learning highly values the investigation of things. 208 (60:15a-b) 

144. Hsü Tzu-jung 209 has a theory that dry and withered things have 

[only physical] nature but not [the basic] nature [that is identical with 

principle]. The Teacher said: The nature is merely principle. As there is 

a thing, there is a principle for it. Where Tzu-jung is wrong is to have 

mistaken the mind for the nature. This is just like the Buddhists, except 

that the Buddhists polish the mind to the highest degree of refinement. It 

is like a lump of something. Having peeled off one layer of skin, they 

peel off another, until there is no more layer of skin to peel. When the 

mind is polished to the point of having nothing [else but its true nature], 

they recognize it as the nature. They do not realize that is precisely what 

the Sage called the mind. Therefore Hsieh Shang-ts'ai said, "What the 

Buddhists call the nature is precisely what the Sage called the mind, and 

what the Buddhists call the mind is precisely what the Sage called the 

will." 210 The mind is simply to embrace principle. At bottom the Buddhists 

do not understand this part, namely principle, and look upon consciousness 

and movement as the nature. Take the cases of seeing, hearing, 

speaking, and appearance. With the Sage, in seeing there is the 

principle of seeing, in hearing there is the principle of hearing, in speaking 

there is the principle of speaking, in acting there is the principle of 

acting, and in thinking there is the principle of thinking, as what Viscount 

Chi called clearness [in seeing], distinctness [in hearing], accordance 

[with reason in speech], respectfulness [in appearance], and penetration 

and profundity [in thought]. 211 The Buddhists recognize only that which 

can see, hear, speak, think, and move, and consider that to be the nature. 

Whether the seeing is clear or not, whether the hearing is distinct or not, 

whether the speech is in accord with reason or not, and whether the 

thought is penetrating and profound or not, they do not care at all. No 

matter whether it goes this way or that way, they always accept it as 

nature. They are most afraid of the very mention of the word principle, 

and want to get rid of it also. This is exactly Kao Tzu's doctrine that 

"What is inborn is called nature." 212 

Shen Hsien 213 asked: Zen Buddhists also regard "raising the eyebrow 

208 for the doctrine of the investigation of things in the Great Learning, see 

above, ch. 4, sec. 5. 

209 He was Chu Hsi's pupil, whom the Teacher highly praised for his integrity. 

See Chu Tzu wen-chi, 58:12a. His doctrine and Chu Hsi's criticism of it are found 

in the latter's letter to him, ibid., 58:13a-14b. 

210 Paraphrasing Hsieh Liang-tso, Sheng-ts'ai yü-lu, pt. 2, p. 7a. 

211 History, "Great Norm." Cf. Legge, Shoo King, pp. 326-327. 


213 Chu Hsi's pupil who recorded the conversations of 1198 and those after. 

649


and winking the eye," 214 and consciousness and movement as "playing 

with the spirit" 215 and condemn it. Why? 

Answer: Simply because it is playing with the spirit. It is merely 

polishing the spirit to be so refined that it is brilliant and no longer 

coarse. 

Hsien asked: The Buddhists say that all things will be annihilated. The 

Law-body (Dharmakaya) alone remains forever and will not be extinct. 

Is this the only one they call the Law-body? 

Answer: Yes. But I do not know how you can foretell that this thing 

remains forever. Both heaven and earth are destructible. How can you 

foretell that this thing is permanent and will not be extinct? 

Question: They probably want to regard Emptiness as the substance. 

They say that heaven, earth, and all things will finally be reduced to 

Emptiness. This Emptiness is their substance. 

Answer: They do not want to regard Emptiness as substance either. 

They merely say that the inside of this thing is fundamentally empty and 

not a single thing can be attached to it. (60:16b-17a) 

145. Asked about the Buddhist practice of meditation and the Taoist 

practice of counting breath, the Teacher said: All they want is tranquillity, 

so that they will not err in their response to and dealing with things. 

Mencius also wanted to preserve the restorative influence of the night. 

But in order to do so, one has to pay attention to what he does during the 

day, [for if the originally good mind is disturbed by what one does during 

the day, the restorative influence of the night will not be sufficient to 

preserve the proper goodness of the mind]. 216 

Question: Why don't we Confucianists imitate them in doing these? 

Answer: [It is useless], for as soon as they open their eyes from meditation, 

what they try to get hold of is again gone from them as before. 

They just stubbornly cling to it. It is not as good as our Confucian ways 

of not seeing, hearing, speaking or acting what is contrary to propriety, 

217 being cautious over what one does see and apprehensive over what 

one does not hear, 218 and being serious to straighten the internal life 

and righteous to square the external life. 219 They want to block everything 

from the outside. 

Question: Is it correct that the Buddhists merely refrain from seeing 

214 

See Hsü-t'ang yü-lu (Recorded Conversations of Hsü-t'ang), ch. 4, TSD, 

47:1002. 

215 

See commentary on the Pi-yen chi (Green Cave Collection), sec. 1, TSD, 

48:140. 

216 217 218 

Mencius, 6A:8. Analects, 12:1. The Mean, ch. 1. 

219 

Changes, commentary on hexagram no. 2, k'un, Cf. Legge, Yi King, p. 420. 

650

CHU HSI 

and hearing as such and make no effort whatever [to avoid] what is 

contrary to propriety? 

Answer: Yes. 

Thereupon Ts'ai Chi-t'ung 220 said: Things in the world must be 

handled by men. If we sit in meditation like them, what can be done? 

The sun and moon must circulate, and heaven and earth must rotate. 

The Teacher said: In not circulating and not rotating, the Buddhists are 

of course wrong. Here we do circulate; we do rotate. But in our circulation 

and rotation we make mistakes. Now we are happy for no reason 

and are angry for no reason. Is that not a mistake? They go to the 

excess, while nowadays people do not go far enough [in the control of 

the mind]. (60:21a-b) 

146. The I-Shu (of Master Ch'eng Hao) says that the Buddhists 

have the teaching of exerting the mind to the utmost and knowing the 

nature but do not have the teaching of preserving the mind and nourishing 

the nature 221 [whereas Mencius taught all four]. 222 I am afraid there 

is some mistake in the record of the conversation. Generally speaking, 

the Buddhists merely see a little bit of the shadow of the mind and the 

nature in a confused situation and have not been able to see in detail the 

mind and the nature in their reality and concreteness. That is why they 

do not see the many moral principles inherent in them. Even 223 if they 

have made an effort at preserving and nourishing, they can only preserve 

and nourish the shadow they see. Of course we cannot say that they see 

nothing. Nor can we say that they cannot nourish anything. But what 

they see and nourish is not the reality of the mind or the nature. (60:- 

30a-b) 

147. Although there is a slight resemblance between the doctrines of 

the Buddhists and our own Confucian doctrines, they are really what is 

called similar in appearance but different in spirit, or appearing to be so 

but actually not. This must be clearly understood. Master Ming-tao 

(Ch'eng Hao) said, "Every sentence [of theirs] is similar [to ours] and 

every thing fits in. But we are different." 224 This is really very interesting. 

If he had not seen the matter very closely, how did he dare pass a judgment 

like this? 

220 

Ts'ai Chi-t'ung (Ts'ai Yuan-ting, 1135-119$) was one of Chu Hsi's outstanding 

pupils and a prominent scholar in his own right. For his philosophy and 

life, see Forke, Geschichte der neueren chinesischen Philosophic, pp. 203-205, or 

Sung-Yüan hsüeh-an, ch. 62. 

221 I-shu, 13:1b. 


223 Cheng in Chinese. Ordinarily meaning government, it is interchangeable 

with cheng (correct) and is used here in the sense of precisely or truly. 

224 Ota Kinjo in his Gimon Roku (Records of Questioning), 1831 ed., pt. 2, 

p. 19, said that this is Ch'eng Hao's saying in the I-shu, but I have been unable to 

find it there. Chu Hsi was probably repeating Ch'eng's idea rather than quoting 

his exact words. 

651


In what the Confucian School calls hearing the Way, 225 hearing merely 

means to see, hear, reflect, brood over and acquire the Way by oneself, 

and the Way is simply the self-evident principle governing the daily 

activities in the relations between ruler and minister and father and 

son [and so forth]. There is nothing deep, mysterious, or unfathomable 

in them similar to what the Buddhists describe as a wide and far-reaching 

great awakening or the whole body sweating. Now there is no need to 

devote one's effort elsewhere but to hold fast to seriousness in order to 

investigate things. People today often misinterpret the Confucian saying, 

"(Standing), let a man see (truthful words and serious action) in front 

of him, (riding in a carriage), let him see them attached to the yoke," 226 

and have therefore repeatedly drifted into Buddhist doctrines. When the 

ancient Sage said this, he merely meant for us "to be surely loyal and 

faithful in our words and surely earnest and serious in our action" 227 and 

for us not to forget in every moment of our thoughts, but to seem to see 

these two things at all times and in all places without allowing them to 

get away from our minds or our eyes. Taking the sayings "Seeing Emperor 

Yao 228 in the soup" and "Seeing Emperor Yao on the wall," 229 does 

it mean that my mind sees itself as another thing outside of myself? The 

substance of the mind is originally without thought or activity. Before it 

is acted on by external things, it has the ability to remain so. When acted 

on, it immediately penetrates all things. I am afraid it is not like what 

you have described. 230 As to your contention that in Zen, entering into 

meditation is to cut off thought and to reveal the Principle of Nature 

completely, that is especially wrong. When thinking is correct, there is 

the Principle of Nature. In all operations and functioning, there is none 

which is not a revelation of the Principle of Nature. Does it need to wait 

to have all thoughts cut off before the Principle of Nature can be revealed? 

Furthermore, what is this that we call the Principle of Nature? 

Are humanity, righteousness, propriety, and wisdom (the four moral 

qualities natural to man) not the Principle of Nature? Are the five human 

relations between ruler and minister, between father and son, between 

old and young, between husband and wife, and between friends not the 

Principle of Nature? If the Buddhists have really seen the Principle of 

Nature, why should they violate and confuse [truth] like this, destroy 

225 Analects, 4:8. 226 ibid., 15:5. 227 ibid. 

228 Legendary sage-ruler (3rd millennium B.C.). 

229 According to Hou-Han shu (History of Later Han, 25-220 A.D.), PNP, 

63:13a. Emperor Shun admired Yao so much that for three years after Yao's 

death, he saw Yao on the wall whenever he sat down and saw Yao in the soup 

whenever he ate. 

230 This selection is part of Chu Hsi's reply to a letter from Wu Tou-nan, which 

is found in Chu Tzu wen-chi, 59:22a-24b. What Wu had to say, however, is not 

repeated in this reply and is nowhere recorded. 

652

CHU HSI 

everything, and darken and delude their original mind without realizing 

it themselves? All these (Buddhistic doctrines) are great defects of 

recent generations which have fallen and degenerated into depraved 

doctrines. I am surprised that an enlightened person (like you) cannot 

avoid the popular trend and express such ideas. (60:31a-32a) 

Comment. Chu Hsi's knowledge of Buddhism was very superficial 

and in saying that Buddhist ideas came from the Chuang Tzu and 

the Lieh Tzu, for example, he revealed both his prejudice and ignorance. 

231 But his attack on Buddhism was more comprehensive 

than his predecessors', for he criticized Buddhism from all points 

of view—ethical, theoretical, practical, historical, and textual. 232 

In his philosophical criticism, he concentrated on two points, 

namely that the Buddhists divide the mind into two so that one 

examines the other, 233 and that the Buddhists identify the mind with 

nature, thus leading to the erroneous conclusion that the world is 

empty. The first criticism may well be applied to the Neo-Confucian 

doctrine of self-examination itself, which Chu Hsi advocated. 

As to the second, Chu Hsi had in mind that to the Buddhists only 

the mind in its pure consciousness can be called nature whereas all 

phenomena, being imagination of the mind, are devoid of true 

nature. On the other hand, to the Confucianists, all things have 

their nature. There is no question whether they have nature or not 

but only whether nature is balanced or not. Therefore he said the 

Buddhist position is empty but the Confucian position is concrete. 

Actually he confused the Buddhist single meaning of nature as true 

reality and the Confucian twofold meaning of nature as both consciousness 

and physical nature. He also ignored the fact that, in 

the Hua-yen School of Buddhism, principle and facts are harmonized 

so that no fact needs to be sacrificed for the sake of principle. 

234 

231 Chu Tzu yü-lei, 126:1a-7b. 

232 See Sargent, Tchou Hi contre le Bouddhisme, pp. 10-39. 

233 This point is stressed in his "Treatise on the Examination of the Mind." See 

above, treatise 4. 

234 For Hua-yen doctrines, see above, ch. 25, especially A, 7, (3), (6), and (8), 

and B, 2, (1). 

653

... 35 ... 

DYNAMIC IDEALISM IN WANG YANG-MING 

THE DYNAMIC IDEALISM of Wang Yang-ming (Wang Shou-jen, 

1472-1529) 1 dominated China during his lifetime and for 150 years 

thereafter. Confucius, Mencius, Chu Hsi (1300-1200) and others have 

exerted stronger influence on Chinese thought, but they had prominent 

rivals whereas Wang shone alone. 

The reason for his strong impact lies in the dynamic quality of his 

philosophy. It was the result of the unhealthy state of Chu Hsi's philosophy, 

on the one hand, and the bitterness of Wang's own life and time, on 

the other. 

Since 1313 Chu Hsi's interpretation of Confucianism had been made 

orthodox and the basis of the civil service examinations. Its spirit of 

rational inquiry and genuine search for fundamental principles had, by 

Wang's time, degenerated into trifling with what Wang called "fragmentary 

and isolated details and broken pieces." What was worse, the examinations 

were no longer an avenue for serving the people and bringing 

peace to the world but for personal profit and success. To Wang, the 

source of the trouble was the erroneous theory of the investigation of 

1 Wang was a native of Yüeh in present Chekiang. His private name was Shoujen 

and courtesy name Po-an. His father was an earl and a minister of civil personnel. 

In his youth he was with his father in Nanking and then Peking. In 1492 he 

obtained the "recommended person" degree and in 1499 the "presented scholar" 

degree. He then served in the government as an executive assistant in one department 

after another. In 1506, because he offended a eunuch, he was banished to 

modern Kueichow where he stayed for more than two years. 

In 1510 he was appointed a magistrate in Kiangsi, where he built up a remarkable 

record of administration in seven months. From late 1510 through 1516, he 

served in various posts in Peking and Nanking. From 1517 to 1519, he suppressed 

several rebellions in Kiangsi and Fukien, including the one by Prince Ning. He 

also established schools, rehabilitated the rebels, and reconstructed the economy. 

He was awarded the title Earl of Hsin-chien and promised certain hereditary 

privileges, but his enemies at court accused him of conspiring with the prince and 

he was therefore ostracized by them. From 1521 to 1527 he was in virtual retirement 

in his native Yüeh. 

In 1527, he was called to suppress rebellions in Kwangsi, which he did successfully. 

On his return he died on the way in the seventh year of the Chia-ching 

period at the age of fifty-seven. Ordinarily this year is equated with 1528, but his 

death actually occurred on January 10, 1529. 

Now he was accused of spreading false doctrines and opposing Chu Hsi. His 

hereditary privileges were revoked. It was not until 1567, thirty-eight years after 

his death, that he was given the title Marquis of Hsin-chien and honored with the 

posthumous title of Wen-ch'eng (Completion of Culture). In 1584 by imperial 

decree it was ordered that he be offered sacrifice in the Confucian temple. This 

was the highest honor for a scholar. Only four scholars were so honored during 

the whole Ming period. 

654

WANG YANG-MING 

things propagated by Ch'eng I (Ch'eng I-ch'uan, 1033-1107) and Chu 

Hsi. In insisting that every blade of grass and every tree possesses principle 

and therefore should be investigated, 2 the theory diverted people 

from the basic principles of things and the fundamentals of life. Moreover, 

by saying that the mind should go to things to investigate the principles 

inherent in them, the theory considered things as external and 

separated the mind and principle. As a result, according to Wang, the 

mind lost its direction and its motivating power. If principles were outside 

the mind, he said, then the principle of filial piety and therefore the 

desire to be filial would cease to be as soon as the parents die. 3 To him, 

principle and the mind are one and the principle of filial piety is nothing 

but the exercise of the mind. Things (and affairs), too, are not external, 

for they are likewise inside the mind. 

By the mind Wang meant essentially the will. There would be no principle 

or things unless the mind were determined to realize it. This is the 

reason why Wang insisted that the sincerity of the will must precede the 

investigation of things. In this he directly opposed Chu Hsi who shifted the 

chapters of the Great Learning so that that on the investigation of things 

comes before that on the sincerity of the will. Wang rejected this rearrangement 

and returned to the old text as it is found in the Book of 

Rites where the chapter on the sincerity of the will comes first. 

The fundamental difference between Chu and Wang lies in the fact 

that while Chu's approach is intellectual, Wang's is moral. Chu Hsi interpreted 

the term ko-wu as the rational and objective investigation of 

things, but Wang preferred to interpret it to mean to "eliminate what is 

incorrect in the mind so as to preserve the correctness of its original substance." 

4 That is to say, to investigate things or affairs is to do good and 

to remove evil. 5 

Actually Wang's theory is entirely subjective and confuses reality with 

value. It is difficult to accept his version of ko-wu, for if the term means 

to rectify the mind, why should it be ko-wu (to ko things) instead of 

ko-hsin (to ko the mind)? His interpretation is of course based on the 

theory that the mind and things are one. But this theory of his is founded 

on very shaky grounds. When he was asked what the mind has to do with 

blossoming trees on the high mountains, he merely answered that their 

colors show up when you look at them. 6 The point, however, is that his 

whole emphasis is on moral values. He was convinced that if the mind is 

divided or devoted to external things, it will be concerned only with frag- 

2 I-shu (Surviving Works), 18:9a, ECCS. Also see above, ch. 32, comment on 

sec. 30. 

3 Ch'uan-hsi-lu (Instructions for Practical Living), sec. 135. 

4 ibid., secs. 7, 85, 174. 5 ibib., sec. 315. 6 ibid., sec. 275. 

655

DYNAMIC IDEALISM 

mentary details and will lack the essentials. Scholars with such a mind 

will trifle with things and lose their purpose in life. For him this was the 

reason for the decline of the Confucian teachings, which in turn brought 

on the intellectual, political, and moral decay of his time. 

What was Wang's remedy for this sad situation? The remedy is his 

greatest contribution to Chinese philosophy, namely, the doctrine of 

the extension of the innate knowledge of the good (chih liang-chih). The 

idea of the extension of knowledge comes from the Great Learning 7 and 

the idea of innate knowledge of the good from Mencius. 8 Wang's theory 

is not merely a combination of the two but it gives them a new meaning 

which gives a new complexion to Chinese thought. 

Wang describes innate knowledge as "the original substance of the 

mind," "the Principle of Nature," "the pure intelligence and clear consciousness 

of the mind," the mind that is "always shining" and reflects 

things as they come without being stirred, the spirit of creation, which 

"produces heaven, earth, spiritual beings and the Lord," and "man's root 

which is intelligent. ... It naturally grows and grows without cease." 9 

In short, it is the Principle of Nature (T'ien-li), which is not only the 

principle of right and wrong but also the principle that naturally extends. 

The mind in its original substance naturally knows the principle of filial 

piety, for example, when one sees one's parents, and naturally extends 

it into action. 

This leads to another major contribution he made to Chinese philosophy, 

namely, the doctrine of the unity of knowledge and action. The 

Confucianists have always stressed the correspondence and equal importance 

of knowledge and action, 10 but Wang was the first to identify 

them as one. According to him, knowledge is the beginning of action 

and action the completion of knowledge. 11 No one really knows food 

unless he has tasted it, he argued. He was thinking only of a particular 

kind of knowledge, but his total emphasis on the will is clear. In his 

doctrine of the identity of the mind and principle, he was following Lu 

Hsiang-shan (Lu Chiu-yüan, 1139-1193), but in his doctrine of the 

unity of knowledge and action, he offered something neither Lu nor 

anyone else in Chinese history ever thought of. Ordinarily the idealistic 

movement in Neo-Confucianism is called the Lu-Wang School, in contrast 

to the rationalistic Ch'eng-Chu School. But it was Wang's doctrines, 

rather than Lu's, that had the tremendous impact in the Ming dynasty 

(1368-1644). His doctrines demand forthright, direct, and spontaneous 

action. 

7 Great Learning, ch. 5. 

8 Mencius, 7A: 15. 

9 Ch'uan-hsi lu, secs. 152, 135, 137, 151, 261, and 244, respectively. 

10 See above, ch. 32, comment on sec. 38 and n.72. 

11 Ch'uan-hsi lu, sec. 5. 

656


As said before, his philosophy is partly a product of the bitterness of 

his own life and time. China in the fifteenth century was externally harassed 

by semi-nomadic tribes in the north. Internally, China was ruled 

by incompetent rulers who allowed eunuchs to usurp power and to suppress 

scholars. Great domains were established for court favorites and 

members of the imperial family. Heavy taxes drove many people to become 

bandits. Even a prince was in revolt. The cultural brilliancy and 

economic prosperity of the first half of the Ming dynasty had turned into 

decadence and chaos. Many scholars struggled hard to find a solution 

but were persecuted for so doing. 

Wang had a searching mind from his youth. It is said that on his 

wedding day, he became so absorbed in talking to a Taoist priest about 

everlasting life that he did not go home until the next morning. At first 

he studied military crafts. In 1492 he began to study Chu Hsi's philosophy. 

Following Chu Hsi's doctrine of the investigation of things, he and 

a friend sat in front of bamboos to try to investigate their principles, 

only to become ill after seven days. After trying the writing of flowery 

compositions, he went back to military crafts and then to Taoist techniques 

of nourishing everlasting life. Only after having found all these 

to be futile did he return to Confucianism. 

He started his official career at twenty-eight. In the next several years 

he developed his own philosophy and began to attract disciples. He lectured 

on the primary importance of making up one's mind to become a 

sage, and he severely attacked the current habits of recitation and flowery 

compositions. This did not please the rulers or conservative scholars. 

In 1506, when he protested the imprisonment of a scholar official by a 

powerful eunuch, he was beaten forty times before the emperor and 

then banished to modern Kueichow which was then inhabited by 

aborigines. There, having to face in isolation political, natural, as well 

as cultural hardships, he was driven to search within his own mind. One 

night in 1508, he suddenly understood the doctrine of the investigation 

of things and the extension of knowledge. A year later, he realized the 

unity of knowledge and action. Later, in 1514-1516, when he was an 

official at Nanking, his fame spread and many scholars became his followers, 

including one of his superior officials. But his radical doctrines, 

including his insistence on following the old text of the Great Learning 

instead of the one rearranged by Chu Hsi, attracted more and more criticism. 

From 1516 to 1519 he was ordered to suppress several rebellions, 

which he successfully did. But the combination of his blunt personality, 

his attack on orthodoxy, and his novel ideas worked against him. Instead 

of being rewarded for his accomplishments, he became persona 

non grata. From 1521 to 1527 he was in virtual retirement in his native 

657


place. Hundreds of scholars from all over China came to him. It was in 

1521, when he was fifty, that he arrived at the doctrine of the extension 

of innate knowledge which culminated his philosophy, and it was about 

1527, a little over a year before his death, that he wrote down the 

Inquiry on the Great Learning which embodies virtually all of his major 

doctrines. During this last decade of his life, attack and ridicule on him 

grew in extent and intensity, but they only served to reinforce his search 

for fundamental values. As he said, his doctrines were "achieved from 

a hundred deaths and a thousand sufferings." 12 This is why he demanded 

determination, firm purpose, self-examination and self-mastery, "always 

be doing something," "polishing and training in the actual affairs of life," 

and realization of truth through personal experience. 

Both his teachings and technique are new and challenging. But his 

final goal—forming one body with all things—and his basic value—humanity 

(jen)—are typically Confucian. He has many similarities with 

Zen Buddhism and has been attacked for centuries because of this, but 

any superficial similarity is far outweighed by his stress on active involvement 

in human affairs and a dynamic approach to the mind. 

His influence extended to Japan where his school, known as the 

Yomeigaku, rivaled the Chu Hsi School (Shushigaku) from the seventeenth 

through the nineteenth century and provided strong leadership 

for the Meiji Restoration in 1868. In China itself, Wang's followers 

disagreed on their interpretations of his teachings, especially on the 

meaning of innate knowledge. This led to division and confusion. Moreover, 

some of his followers became socially uncomformative and intellectually 

undisciplined. In many cases they even committed evil in the 

name of innate knowledge. Many historians have gone too far in blaming 

the collapse of the Ming dynasty on his degenerated followers, but there 

is no doubt that the Wang School had allowed the pitfalls of an unorthodox 

system to spoil itself. However, the dynamic quality and the 

purposefulness of his philosophy appealed to modern thinkers like Sun 

Yat-sen (1866-1925), T'an Szu-t'ung (1865-1898), and Hsiung Shihli 

(1885—). 13 As in the fifteenth century, the contemporary situation, 

in the eyes of many, requires a solution that only a dynamic and idealistic 

system like Wang's can offer. 

The following selections include the Inquiry on the Great Learning in 

its entirety and some selections from the Ch'uan-hsi lu (Instructions for 

Practical Living) which consists of conversations with his pupils, letters, 

and several short essays. 14 

12 Wang Wen-ch'eng Kung ch'üan-shu (Complete Works of Wang Yang-ming), 

preface, SPTK, p. 15b. 

13 See below, chs. 40 and 43. 

14 Both of these are included in the Wang Wen-ch'eng Kung ch'üan-shu and 

658


Chu Hsi: 6, 33, 135, 319 

Extension of knowledge and Investigation of things: A, 6, 7, 89, 135, 

262, 315, 319, 331 

Forming one body with all things: A, 89, 93, 274, 337 

Highest good, Good and evil: A, 3, 6, 34, 53, 101, 228, 308, 315 

Humanity (jen): A, 89, 93, 133 

Innate knowledge: A, 135, 155, 262, 274, 315, 331 

Knowledge and action: 5, 26, 132, 133 

Methods of cultivation: A, 53, 93, 101, 132, 155, 262, 315, 331 

Mind: A, 3, 5, 6, 32, 33, 34, 78, 94, 108, 135, 228, 275, 277, 315, 337 

Principle: A, 3, 6, 32, 33, 34, 94, 133, 135 

Principle of Nature: 7, 53, 101, 135, 228 

Sincerity of the will: A, 6, 101 

A. INQUIRY ON THE GREAT LEARNING 

Question: The Great Learning was considered by a former scholar 

[Chu Hsi] as the learning of the great man. 15 I venture to ask why the 

learning of the great man should consist in "manifesting the clear character"? 

16 

Master Wang said: The great man regards Heaven and Earth and the 

myriad things as one body. He regards the world as one family and the 

country as one person. As to those who make a cleavage between objects 

and distinguish between the self and others, they are small men. That the 

great man can regard Heaven, Earth, and the myriad things as one body 

is not because he deliberately wants to do so, but because it is natural to 

the humane nature of his mind that he do so. Forming one body with 

Heaven, Earth, and the myriad things is not only true of the great 

man. Even the mind of the small man is no different. Only he himself 

makes it small. Therefore when he sees a child about to fall into a well, 

he cannot help a feeling of alarm and commiseration. 17 This shows that 

his humanity (jen) forms one body with the child. It may be objected 

that the child belongs to the same species. Again, when he observes the 

pitiful cries and frightened appearance of birds and animals about to 

be slaughtered, he cannot help feeling an "inability to bear" their suffering. 

18 This shows that his humanity forms one body with birds and 

have been translated by Chan in his Instructions for Practical Living, and Other 

Neo-Confucian Works by Wang Yang-ming, New York, Columbia University 

Press, 1963. The section numbers of the Ch'uan-hsi lu are retained in the following 

selections. 

15 Chu Hsi, Ta-hsüeh chang-chü (Commentary on the Great Learning), the 

text. Actually by "great learning" (ta-hsüeh) Chu Hsi meant "education for the 

adult," but the Chinese phrase can also mean the learning of the great man. Wang 

preferred this latter interpretation. 

16 17 The text of the Great Learning. 


18 ibid. 

659


animals. It may be objected that birds and animals are sentient beings 

as he is. But when he sees plants broken and destroyed, he cannot help 

a feeling of pity. This shows that his humanity forms one body with 

plants. It may be said that plants are living things as he is. Yet even when 

he sees tiles and stones shattered and crushed, he cannot help a feeling 

of regret. This shows that his humanity forms one body with tiles and 

stones. This means that even the mind of the small man necessarily has 

the humanity that forms one body with all. Such a mind is rooted in his 

Heaven-endowed nature, and is naturally intelligent, clear, and not beclouded. 

For this reason it is called the "clear character." Although the 

mind of the small man is divided and narrow, yet his humanity that 

forms one body can remain free from darkness to this degree. This is 

due to the fact that his mind has not yet been aroused by desires and 

obscured by selfishness. When it is aroused by desires and obscured by 

selfishness, compelled by greed for gain and fear of harm, and stirred by 

anger, he will destroy things, kill members of his own species, and will 

do everything. In extreme cases he will even slaughter his own brothers, 

and the humanity that forms one body will disappear completely. Hence, 

if it is not obscured by selfish desires, even the mind of the small man has 

the humanity that forms one body with all as does the mind of the great 

man. As soon as it is obscured by selfish desires, even the mind of the 

great man will be divided and narrow like that of the small man. Thus 

the learning of the great man consists entirely in getting rid of the obscuration 

of selfish desires in order by his own efforts to make manifest 

his clear character, so as to restore the condition of forming one body 

with Heaven, Earth, and the myriad things, a condition that is originally 

so, that is all. It is not that outside of the original substance something 

can be added. 

Question: Why, then, does the learning of the great man consist in 

loving the people? 

Answer: To manifest the clear character is to bring about the substance 

of the state of forming one body with Heaven, Earth, and the 

myriad things, whereas loving the people is to put into universal operation 

the function of the state of forming one body. Hence manifesting 

the clear character consists in loving the people, and loving the people 

is the way to manifest the clear character. Therefore, only when I love 

my father, the fathers of others, and the fathers of all men can my humanity 

really form one body with my father, the fathers of others, and the 

fathers of all men. When it truly forms one body with them, then the 

clear character of filial piety will be manifested. Only when I love my 

brother, the brothers of others, and the brothers of all men can my 

humanity really form one body with my brother, the brothers of others, 

660


and the brothers of all men. When it truly forms one body with them, 

then the clear character of brotherly respect will be manifested. Everything 

from ruler, minister, husband, wife, and friends to mountains, 

rivers, spiritual beings, birds, animals, and plants should be truly loved 

in order to realize my humanity that forms one body with them, and then 

my clear character will be completely manifested, and I will really form 

one body with Heaven, Earth, and the myriad things. This is what is 

meant by "manifesting the clear character throughout the empire." 19 

This is what is meant by "regulation of the family," "ordering the state," 

and "bringing peace to the world." 20 This is what is meant by "full development 

of one's nature." 21 

Question: Then why does the learning of the great man consist in 

"abiding in the highest good"? 22 

Answer: The highest good is the ultimate principle of manifesting 

character and loving people. The nature endowed in us by Heaven is 

pure and perfect. The fact that it is intelligent, clear, and not beclouded 

is evidence of the emanation and revelation of the highest good. It is 

the original substance of the clear character which is called innate 

knowledge of the good. As the highest good emanates and reveals itself, 

we will consider right as right and wrong as wrong. Things of greater 

or less importance and situations of grave or light character will be 

responded to as they act upon us. In all our changes and movements, we 

will stick to no particular point, but possess in ourselves the Mean that is 

perfectly natural. This is the ultimate of the normal nature of man and 

the principle of things. There can be no consideration of adding to or 

subtracting from it. If there is any, it means selfish ideas and shallow 

cunning, and cannot be said to be the highest good. Naturally, 

how can anyone who does not watch over himself carefully when 

alone, and who has no refinement and singleness of mind, attain to such 

a state of perfection? Later generations fail to realize that the highest 

good is inherent in their own minds, but exercise their selfish ideas and 

cunning and grope for it outside their minds, believing that every 

event and every object has its own peculiar definite principle. For this 

reason the law of right and wrong is obscured; the mind becomes concerned 

with fragmentary and isolated details and broken pieces; the 

selfish desires of man become rampant and the Principle of Nature is at 

an end. And thus the learning of manifesting character and loving people 

is everywhere thrown into confusion. In the past there have, of course, 

been people who wanted to manifest their clear character. But simply 

because they did not know how to abide in the highest good, but instead 

19 

The text of the Great Learning. 

21 


661 

20 ibid. 

22 The text of the Great Learning.


drove their own minds toward something too lofty, they thereby lost 

them in illusions, emptiness, and quietness, having nothing to do with 

the work of the family, the state, and the world. Such are the followers 

of Buddhism and Taoism. There have, of course, been those who wanted 

to love their people. Yet simply because they did not know how to abide 

in the highest good, but instead sank their own minds in base and 

trifling things, they thereby lost them in scheming strategy and cunning 

techniques, having neither the sincerity of humanity nor that of commiseration. 

Such are the followers of the Five Despots 23 and the pursuers 

of success and profit. All of these defects are due to a failure to know 

how to abide in the highest good. Therefore abiding in the highest good 

is to manifesting character and loving people as the carpenter's square 

and compass are to the square and the circle, or rule and measure to 

length, or balances and scales to weight. If the square and the circle do 

not abide by the compass and the carpenter's square, their standard will 

be wrong; if length does not abide by the rule and measure, its adjustment 

will be lost; if weight does not abide by the balances, its exactness 

will be gone; and if manifesting clear character and loving people do not 

abide by the highest good, their foundation will disappear. Therefore, 

abiding in the highest good so as to love people and manifest the clear 

character is what is meant by the learning of the great man. 

Question: "Only after knowing what to abide in can one be calm. 

Only after having been calm can one be tranquil. Only after having 

achieved tranquillity can one have peaceful repose. Only after having 

peaceful repose can one begin to deliberate. Only after deliberation can 

the end be attained." 24 How do you explain this? 

Answer: People fail to realize that the highest good is in their minds 

and seek it outside. As they believe that everything or every event has its 

own definite principle, they search for the highest good in individual 

things. Consequently, the mind becomes fragmentary, isolated, broken 

into pieces; mixed and confused, it has no definite direction. Once it is 

realized that the highest good is in the mind and does not depend on any 

search outside, then the mind will have definite direction and there will 

be no danger of its becoming fragmentary, isolated, broken into pieces, 

mixed, or confused. When there is no such danger, the mind will not be 

erroneously perturbed but will be tranquil. Not being erroneously perturbed 

but being tranquil, it will be leisurely and at ease in its daily 

functioning and will attain peaceful repose. Being in peaceful repose, 

whenever a thought arises or an event acts upon it, the mind with its 

23 They were: Duke Huan of Ch'i (r. 685-643 B.C.), Duke Wen of Chin (r. 

636-628 B.C.), Duke Mu of Ch'in (r. 659-619 B.C.), King Chuang of Ch'u (r. 

613-589 B.C.), and Duke Hsiang of Sung (r. 650-635 B.C.). See Mencius, 6B:7. 


662


innate knowledge will thoroughly sift and carefully examine whether 

or not the thought or event is in accord with the highest good, and thus 

the mind can deliberate. With deliberation, every decision will be excellent 

and every act will be proper, and in this way the highest good 

will be attained. 

Question: "Things have their roots and their branches." 25 A former 

scholar [Chu Hsi] considered manifesting the clear character as the root 

(or fundamental) and renovating the people as the branch (or secondary), 

and that they are two things opposing each other as internal and 

external. 26 "Affairs have their beginnings and their ends." 27 The former 

scholar considered knowing what to abide in as the beginning and the attainment 

of the highest good as the end, both being one thing in harmonious 

continuity. According to you, "renovating the people" (hsin-min) 

should be read as "loving the people" (ch'in-min). If so, isn't the theory 

of root and branches in some respect incorrect? 

Answer: The theory of beginnings and ends is in general right. Even 

if we read "renovating the people" as "loving the people" and say that 

manifesting the character is the root and loving the people is the 

branches, it is not incorrect. The main thing is that root and branches 

should not be distinguished as two different things. The trunk of the 

tree is called the root (or essential part), and the twigs are called the 

branches. It is precisely because the tree is one that its parts can be 

called roots and branches. If they are said to be two different things, 

then since they are two distinct objects, how can we speak of them as 

root and branches of the same thing? Since the idea of renovating the 

people is different from that of loving the people, obviously the task of 

manifesting the character and that of loving the people are two different 

things. If it is realized that manifesting the clear character is to love the 

people and loving the people is to manifest the clear character, how can 

they be split in two? What the former scholar said is due to his failure 

to realize that manifesting the character and loving the people are basically 

one thing. Instead, he believed them to be two different things and 

consequently, although he knew that root and branches should be one, 

yet he could not help splitting them in two. 

Question: The passage from the phrase, "The ancients who wished 

to manifest their clear character throughout the world" to the clause, 

"first [order their state . . . regulate their families . . . ] cultivate their 

personal lives." 28 can be understood by your theory of manifesting the 

character and loving the people. May I ask what task, what procedure, 

and what effort are involved in the passage from "Those who wished to 

25 ibid. 


663 

26 Chu Hsi, Ta-hsüeh chang-chü. 

28 ibid.


cultivate their personal lives would first rectify their minds ... make their 

will sincere . . . extend their knowledge" to the clause, "the extension of 

knowledge consists in the investigation of things"? 29 

Answer: This passage fully explains the task of manifesting the character, 

loving the people, and abiding in the highest good. The person, the 

mind, the will, knowledge, and things constitute the order followed in the 

task. While each of them has its own place, they are really one thing. 

Investigating, extending, being sincere, rectifying, and cultivating are 

the task performed in the procedure. Although each has its own name, 

they are really one affair. What is it that is called the person? It is the 

physical functioning of the mind. What is it that is called the mind? It is 

the clear and intelligent master of the person. What is meant by cultivating 

the personal life? It means to do good and get rid of evil. Can the 

body by itself do good and get rid of evil? The clear and intelligent master 

must desire to do good and get rid of evil before the body that functions 

physically can do so. Therefore he who wishes to cultivate his personal 

life must first rectify his mind. 

Comment. The Great Learning clearly says that there is an order 

from "the investigation of things" to "bringing peace to the world," 

but Wang says they are but one affair. To the extent that he, like 

other Neo-Confucianists, depended on ancient Classics for authority 

and used ancient Confucian terminology, he was a conservative. 

But he used the Great Learning in his own way. 

Now the original substance of the mind is man's nature. Human nature 

being universally good, the original substance of the mind is correct. 

How is it that any effort is required to rectify the mind? The reason is 

that, while the original substance of the mind is originally correct, incorrectness 

enters when one's thoughts and will are in operation. Therefore 

he who wishes to rectify his mind must rectify it in connection with 

the operation of his thoughts and will. If, whenever a good thought arises, 

he really loves it as he loves beautiful colors, and whenever an evil 

thought arises, he really hates it as he hates bad odors, then his will will 

always be sincere and his mind can be rectified. 

However, what arises from the will may be good or evil, and unless 

there is a way to make clear the distinction between good and evil, there 

will be a confusion of truth and untruth. In that case, even if one wants 

to make his will sincere, he cannot do so. Therefore he who wishes to 

make his will sincere must extend his knowledge. By extension is meant 

to reach the limit. The word "extension" is the same as that used in the 

saying, "Mourning is to be carried to the utmost degree of grief." 30 In 

29 ibid. 30 Analects, 19:14. 

664


the Book of Changes it is said: "Knowing the utmost, one should reach 

it." 31 "Knowing the utmost" means knowledge and "reaching it" means 

extension. The extension of knowledge is not what later scholars understand 

as enriching and widening knowledge. 32 It is simply extending 

one's innate knowledge of the good to the utmost. This innate knowledge 

of the good is what Mencius meant when he said, "The sense of right 

and wrong is common to all men." 33 The sense of right and wrong requires 

no deliberation to know, nor does it depend on learning to function. 

34 This is why it is called innate knowledge. It is my nature endowed 

by Heaven, the original substance of my mind, naturally intelligent, 

shining, clear, and understanding. 

Whenever a thought or a wish arises, my mind's faculty of innate 

knowledge itself is always conscious of it. Whether it is good or evil, my 

mind's innate knowing faculty itself also knows it. It has nothing to do 

with others. Therefore, although an inferior man may have done all 

manner of evil, when he sees a superior man he will surely try to disguise 

this fact, concealing what is evil and displaying what is good in himself. 35 

This shows that innate knowledge of the good does not permit any selfdeception. 

Now the only way to distinguish good and evil in order to 

make the will sincere is to extend to the utmost the knowledge of the 

innate faculty. Why is this? When [a good] thought or wish arises, 

the innate faculty of my mind already knows it to be good. Suppose I do 

not sincerely love it but instead turn away from it. I would then be regarding 

good as evil and obscuring my innate faculty which knows the 

good. When [an evil] thought or wish arises, the innate faculty of my 

mind already knows it to be evil. If I did not sincerely hate it but instead 

carried it out, I would be regarding evil as good and obscuring my innate 

faculty which knows evil. In such cases what is supposed to be knowledge 

is really ignorance. How then can the will be made sincere? If what the 

innate faculty knows to be good or evil is sincerely loved or hated, one's 

innate knowing faculty is not deceived and the will can be made sincere. 

Now, when one sets out to extend his innate knowledge to the utmost, 

does this mean something illusory, hazy, in a vacuum, and unreal? No, 

it means something real. Therefore, the extension of knowledge must 

consist in the investigation of things. A thing is an event. For every 

emanation of the will there must be an event corresponding to it. The 

event to which the will is directed is a thing. To investigate is to rectify. 

It is to rectify that which is incorrect so it can return to its original cor- 

31 Commentary on hexagrams, no. 1, ch'ien (Heaven), Cf. Legge, trans., Yi 

King, p. 410. 

32 Chu Hsi, Ta-hsüeh chang-chü, commentary on the text. 

33 34 Mencius, 2A:6, 6A:6. 

Quoting Mencius, 7A:15. 

35 

Paraphrasing the Great Learning, ch. 6. 

665


rectness. To rectify that which is not correct is to get rid of evil, and to 

return to correctness is to do good. This is what is meant by investigation. 

The Book of History says, "He (Emperor Yao) investigated (ko) 

heaven above and earth below"; 36 "[Emperor Shun] investigated (ko) 

in the temple of illustrious ancestors"; 37 and "[The ruler] rectifies (ko) 

the evil of his heart." 38 The word "investigation" (ko) in the phrase 

"the investigation of things" combines the two meanings. 

If one sincerely loves the good known by the innate faculty but does 

not in reality do the good as we come into contact with the thing to which 

the will is directed, it means that the thing has not been investigated and 

that the will to love the good is not yet sincere. If one sincerely hates the 

evil known by the innate faculty but does not in reality get rid of the 

evil as he comes into contact with the thing to which the will is directed, 

it means that the thing has not been investigated and that the will to hate 

evil is not sincere. If as we come into contact with the thing to which 

the will is directed, we really do the good and get rid of the evil to the utmost 

which is known by the innate faculty, then everything will be investigated 

and what is known by our innate faculty will not be deficient 

or obscured but will be extended to the utmost. Then the mind will be 

joyous in itself, happy and without regret, the functioning of the will will 

carry with it no self-deception, and sincerity may be said to have been 

attained. Therefore it is said, "When things are investigated, knowledge 

is extended; when knowledge is extended, the will becomes sincere; 

when the will is sincere, the mind is rectified; and when the mind is 

rectified, the personal life is cultivated." 39 While the order of the tasks 

involves a sequence of first and last, in substance they are one and cannot 

be so separated. At the same time, while the order and the tasks 

cannot be separated into first and last, their function must be so refined 

as not to be wanting in the slightest degree. This is why the doctrine of 

investigation, extension, being sincere, and rectification is a correct 

exposition of the true heritage of the Sage-Emperors Yao and Shun and 

why it coincides with Confucius' own ideas. (Wang Wen-ch'eng Kung 

ch'üan-shu, or Complete Works of Wang Yang-ming, SPTK, 26:1b-5a) 

Comment. This is the most important of Wang's works, for it contains 

all of his fundamental doctrines—that the man of humanity 

forms one body with all things and extends his love to all, that the 

mind is principle, that the highest good is inherent in the mind, that 

to investigate things is to rectify the mind, and that the extension 

36 History, "Canon of Yao." Cf. Legge, trans., Shoo King, p. 15. 

37 ibid., "Canon of Shun"; Legge, p. 41. 

38 ibid., "The Charge to Ch'iung"; Legge, p. 585. 

39 Great Learning, the text. 

666


of innate knowledge is the way to discover the highest good and 

to perfect the moral life. The theory of the unity of knowledge and 

action is not mentioned, but since he refuses to separate the internal 

and the external or substance and function, the theory is clearly 

implied. In fact, he explicitly says that manifesting the clear character, 

which may be equated with knowledge, and loving the people, 

which is action, are identical. 

B. INSTRUCTIONS FOR PRACTICAL LIVING 

3. I 40 said, "If the highest good is to be sought only in the mind, I am 

afraid not all principles of things in the world will be covered." 

The Teacher said, "The mind is principle. Is there any affair in the 

world outside of the mind? Is there any principle outside of the mind?" 

I said, "In filial piety in serving one's parents, in loyalty in serving 

one's ruler, in faithfulness in intercourse with friends, or in humanity in 

governing the people, there are many principles which I believe should 

not be left unexamined." 

The Teacher said with a sigh, "This idea has been obscuring the 

understanding of people for a long time. Can they be awakened by one 

word? However, I shall comment along the line of your question. For 

instance, in the matter of serving one's parents, one cannot seek for the 

principle of filial piety in the parent. In serving one's ruler, one cannot 

seek for the principle of loyalty in the ruler. In the intercourse with friends 

and in governing the people, one cannot seek for the principles of faithfulness 

and humanity in friends and the people. They are all in the mind, 

that is all, for the mind and principle are identical. When the mind is 

free from the obscuration of selfish desires, it is the embodiment of the 

Principle of Nature, which requires not an iota added from the outside. 

When this mind, which has become completely identical with the Principle 

of Nature, is applied and arises to serve parents, there is filial 

piety; when it arises to serve the ruler, there is loyalty; when it rises 

to deal with friends or to govern the people, there are faithfulness and 

humanity. The main thing is for the mind to make an effort to get 

rid of selfish human desires and preserve the Principle of Nature." 

I said, "Having heard what you said, sir, I begin to understand. However, 

the old theory still lingers in my mind, from which I cannot entirely 

get away. Take, for example, the matter of serving one's parents. The 

filial son is to care for their comfort both in winter and summer, and to 

inquire after their health every morning and evening. 41 These things in- 

40 Hsü Ai (1487-1518), Wang's favorite pupil, who recorded secs. 1-14 of the 

Ch'uan-hsi lu. 

41 Quoting the Book of Rites, "Summary of the Rules of Propriety." Cf. translation 

by Legge, Li Ki, ch. 1, p. 67. 

667


volve many actual details. Should we not endeavor to investigate them?" 

The Teacher said, "Why not endeavor to investigate them? The main 

thing is to have a basis. The main thing is to endeavor to investigate 

them by ridding the mind of selfish human desires and preserving the 

Principle of Nature. For instance, to investigate the provision of warmth 

for parents in the winter is none other than the extension of the filial 

piety of this mind to the utmost, for fear that a trifle of human selfish 

desires might creep in, and to investigate the provision of coolness for 

parents in the summer is none other than the extension of the filial piety 

of this mind to the utmost, for fear that a trifle of selfish human desires 

might creep in. It is merely to investigate this mind. If the mind is free 

from selfish human desires and has become completely identical with 

the Principle of Nature, and if it is the mind that is sincere in its filial 

piety to parents, then in the winter it will naturally think of the cold of 

parents and seek a way to provide warmth for them, and in the summer 

it will naturally think of the heat of parents and seek a way to provide 

coolness for them. These are all offshoots of the mind that is sincere in 

its filial piety. Nevertheless, there must first be such a mind before there 

can be these offshoots. Compared to the tree, the mind with sincere filial 

piety is the root, whereas the offshoots are the leaves and branches. There 

must first be roots before there can be leaves and branches. One 

does not seek to find leaves and branches and then cultivate the root. 

The Book of Rites says, 'A filial son who loves his parents deeply is sure 

to have a peaceful disposition. Having a peaceful disposition, he will 

surely have a happy expression. And having a happy expression, he will 

surely have a pleasant countenance.' 42 There must be deep love as the 

root and then the rest will naturally follow like this." (1:3a-4b) 

5. I did not understand the Teacher's doctrine of the unity of knowledge 

and action and debated it back and forth with Huang Tsung-hsien 43 

and Ku Wei-hsien 44 without coming to any conclusion. Therefore I took 

the matter to the Teacher. The Teacher said, "Give an example and let 

me see." I said, "For example, there are people who know that parents 

should be served with filial piety and elder brothers with respect but cannot 

put these things into practice. This shows that knowledge and action 

are clearly two different things." 

42 ibid., "The Meaning of Sacrifices." Cf. Legge, ch. 21, pp. 215-216. 

43 The courtesy name of Huang Wan (1477-1551), Wang's pupil. His daughter 

was married to Wang Yang-ming's son. 

44 The courtesy name of Ku Ying-hsiang (1483-1565). He departed from the 

teaching of Wang Yang-ming in holding that knowledge and action were not 

identical. 

668


The Teacher said, "The knowledge and action you refer to are already 

separated by selfish desires and are no longer knowledge and action in 

their original substance. There have never been people who know but 

do not act. Those who are supposed to know but do not act simply do 

not yet know. When sages and worthies taught people about knowledge 

and action, it was precisely because they wanted them to restore the 

original substance, and not simply to do this or that and be satisfied. 

Therefore the Great Learning points to true knowledge and action for 

people to see, saying, they are 'like loving beautiful colors and hating 

bad odors.' 45 Seeing beautiful colors appertains to knowledge, while 

loving beautiful colors appertains to action. However, as soon as one 

sees that beautiful color, he has already loved it. It is not that he sees it 

first and then makes up his mind to love it. Smelling a bad odor appertains 

to knowledge, while hating a bad odor appertains to action. 

However, as soon as one smells a bad odor, he has already hated it. 

It is not that he smells it first and then makes up his mind to hate it. 

A person with his nose stuffed up does not smell the bad odor even if 

he sees a malodorous object before him, and so he does not hate it. This 

amounts to not knowing bad odor. Suppose we say that so-and-so knows 

filial piety and so-and-so knows brotherly respect. They must have actually 

practiced filial piety and brotherly respect before they can be said to 

know them. It will not do to say that they know filial piety and brotherly 

respect simply because they show them in words. Or take one's knowledge 

of pain. Only after one has experienced pain can one know pain. The same 

is true of cold or hunger. How can knowledge and action be separated? 

This is the original substance of knowledge and action, which have not 

been separated by selfish desires. In teaching people, the Sage insisted 

that only this can be called knowledge. Otherwise, this is not yet knowledge. 

This is serious and practical business. What is the objective of 

desperately insisting on knowledge and action being two different things? 

And what is the objective of my insisting that they are one? What is the 

use of insisting on their being one or two unless one knows the basic 

purpose of the doctrine?" 

I said, "In saying that knowledge and action are two different things, 

the ancients intended to have people distinguish and understand them, 

so that on the one hand they make an effort to know and, on the other, 

make an effort to act, and only then can the effort find any solution." 

The teacher said, "This is to lose sight of the basic purpose of the 

ancients. I have said that knowledge is the direction for action and 

action the effort of knowledge, and that knowledge is the beginning of 

45 Great Learning, ch. 6. 

669


action and action the completion of knowledge. If this is understood, 

then when only knowledge is mentioned, action is included, and when 

only action is mentioned, knowledge is included. The reason why the 

ancients talked about knowledge and action separately is that there are 

people in the world who are confused and act on impulse without any 

sense of deliberation or self-examination, and who thus behave only blindly 

and erroneously. Therefore it is necessary to talk about knowledge to 

them before their action becomes correct. There are also those who are 

intellectually vague and undisciplined and think in a vacuum. They are 

not willing at all to try to practice concretely. They only pursue 

shadows and echoes, as it were. It is therefore necessary to talk about 

action to them before their knowledge becomes true. The ancient 

teachers could not help talking this way in order to restore balance and 

avoid any defect. If we understand this motive, then a single word 

[either knowledge or action] will do. 

"But people today distinguish between knowledge and action and 

pursue them separately, believing that one must know before he can act. 

They will discuss and learn the business of knowledge first, they say, and 

wait till they truly know before they put their knowledge into practice. 

Consequently, to the last day of life, they will never act and also will 

never know. This doctrine of knowledge first and action later is not a 

minor disease and it did not come about only yesterday. My present 

advocacy of the unity of knowledge and action is precisely the medicine 

for that disease. The doctrine is not my baseless imagination, for it is the 

original substance of knowledge and action that they are one. Now that 

we know this basic purpose, it will do no harm to talk about them 

separately, for they are only one. If the basic purpose is not understood, 

however, even if we say they are one, what is the use? It is just idle talk." 

(l:5b-8a) 

Comment. The relation between knowledge and action has been a 

perennial subject among Confucianists. Both Confucius 46 and the 

Doctrine of the Mean 47 insist that words and action should correspond. 

The whole doctrine of the rectification of names in ancient 

Chinese philosophy as well as the whole extensive discussion of the 

correspondence between names and actuality in ancient China 48 

reinforced this tradition. In the entire Neo-Confucian movement, 

the equal emphasis on words and action was faithfully maintained. 49 

The stress so far, however, had been on the correspondence and 

46 Analects, 5:9, 13:4, 14:4, 15:5, 18:8. 


48 See above, ch. 2, comment on 13:3 

49 See above, ch. 34, secs. 20-24. 

670


equal importance of knowledge and action but not their identity. 

Ch'eng I came nearest to it when he said that the extension of 

knowledge and actual demonstration should proceed simultaneously, 

50 but he still thought of them as two. Wang's theory definitely 

struck a new note. 

In spite of this identification, however, the Confucian tradition 

has always emphasized action. This tradition goes back to the 

Book of History where it is said that "it is not difficult to know but 

difficult to act." 51 Chu Hsi considered action more important than 

knowledge. 52 When Sun Yat-sen turned the ancient doctrine 

around and said that "it is difficult to know but easy to act," 53 he 

was really upholding the ancient tradition of emphasizing action. 

6. I said, "Yesterday when I heard your teaching about abiding in 

the highest good, I realized I had some grasp of this task. But I still feel 

that your teaching does not agree with Chu Hsi's doctrine of the investigation 

of things." 

The Teacher said, "The investigation of things is the work of abiding 

in the highest good. Once we know what the highest good is, we know 

how to investigate things." 

I said, "Yesterday when I examined Chu Hsi's doctrine of the investigation 

of things in the light of your teaching, I seemed to understand 

it in general. But I am still not clear in my mind, because Chu 

Hsi's doctrine, after all, has the support of what is called 'refinement 

and singleness of mind' in the Book of History, 'extensive study of 

literature and self-restraint by the rules of propriety' in the Analects, 

and 'exerting one's mind to the utmost and knowing one's nature' in the 

Book of Mencius." 54 

The Teacher said, "Tzu-hsia (507-420 B.C.) had strong faith in the 

Sage whereas Tseng Tzu (505-C.436 B.C.) turned to seek the highest 

good in himself. 55 It is good to have strong faith, of course, but it is not as 

real and concrete as seeking in oneself. Since you have not understood 

this idea, why should you cling to Chu Hsi's old tradition and not seek 

what is right? Even with Chu Hsi, while he respected and believed in Mas- 

50 

Ts'ui-yen (Pure Words), 1:162b, in ECCS. 

51 

History, "Charge to Yüeh," pt. 2. Cf. Legge, trans., Shoo King, p. 258. 

52 


53 

Sun Chung-shan ch'üan-chi (Complete Works of Sun Yat-sen), 1928, vol. 2, 

p. 53ff. 

54 

History, "Counsels of the Great Yü." Cf. Legge, Shoo King, p. 6; Analects, 

6:25; Mencius, 7A:1; respectively. 

55 Quoting Chu Hsi, Meng Tzu chi-chu (Collected Commentaries on the Book of 

Mencius) ch. 3, comment on Mencius, 2A:2. 

671


ter Ch'eng I, he would not carelessly follow him whenever he came to 

something he could not understand. 56 The teachings of refinement and 

singleness, extensive study and self-restraint, and exerting the mind to the 

utmost are basically harmonious with my doctrine. Only you have not 

thought about it. 

"Chu Hsi's teaching on the investigation of things is not free from 

being forced, arbitrary, and far-fetched, and is not what the investigation 

of things originally meant. Refinement is the work of achieving singleness 

and extensive study the work of achieving restraint. Since you 

already understand the principle of the unity of knowledge and action, 

this can be explained in one word. As to exerting one's mind to the utmost, 

knowing one's nature, and knowing Heaven, these are the acts of 

those who are born with such knowledge and practice it naturally and easily. 

Preserving the mind, nourishing one's nature, and serving Heaven are 

the acts of those who learn them through study and practice them for 

their advantage. To maintain one's single-mindedness regardless of longevity 

or brevity of life, and to cultivate one's personal life while waiting 

for fate to take its own course, are the acts of those who learn through 

hard work and practice them with effort and difficulty. 57 But Chu Hsi 

wrongly interpreted the doctrine of the investigation of things. Because 

he reversed the above order, and thought that the higher attainments of 

exerting one's mind to the utmost and knowing one's nature are equivalent 

to the investigation of things and the extension of knowledge, he 

required the beginner to perform the acts of those who are born to know 

and who practice naturally and easily. How can that be done?" 

I asked, "Why are exerting the mind to the utmost and knowing one's 

nature the acts of those who are born to know and who practice naturally 

and easily?" 

The Teacher said, "Our nature is the substance of the mind and 

Heaven is the source of our nature. To exert one's mind to the utmost 

is the same as fully developing one's nature. Only those who are absolutely 

sincere can fully develop their nature and 'know the transforming 

and nourishing process of Heaven and Earth.' 58 Those who merely 

preserve their minds, on the other hand, have not yet exerted them to the 

utmost. Knowing Heaven is the same as knowing the affairs of a district 

or a county, which is what the titles prefect and magistrate mean. It is a 

matter within one's own function, and it means that one in his moral 

character has already become one with Heaven. Serving Heaven, on the 

other hand, is like the serving of the parents by the son and the serving 

56 

See, for example, Chu Tzu yü-lei (Recorded Conversations of Chu Hsi), 1880 

ed., 69:22a. 

57 

Quoting alternately from Mencius, 7A:1 and The Mean, ch. 20. 

58 

Quoting The Mean, ch. 22. 

672


of the ruler by the minister. It must be done seriously and reverently to 

please them if it is to be perfect. Even then, one is still separated from 

Heaven. This is the difference between a sage [who exerts the mind to 

the utmost and knows Heaven] and the worthies [who preserve their 

minds and serve Heaven]. 

"As to allowing no double-mindedness regardless of longevity or 

brevity of life, it is to teach the student to do good with single-mindedness, 

and not to allow success or failure, longevity or brevity of life, to 

shake his determination to do good, but instead to cultivate his personal 

life and wait for fate to take its own course, realizing that success and 

failure, or longevity and brevity of life, are matters of fate and one need 

not unnecessarily allow them to disturb his mind. Although those who 

serve Heaven are separated from Heaven, they nevertheless already see 

Heaven right in front of them. Waiting for fate to take its own course, 

however, means that one has not yet seen Heaven but is still waiting for 

it, so to speak. It is the beginner's first step in making up his mind, involving 

a certain amount of effort and difficulty. But Chu Hsi reversed 

the order, so that the student has no place to start." 

I said, "Yesterday when I heard your teaching, I vaguely realized that 

one's effort must follow this procedure. Now that I have heard what you 

said, I have no further doubt. Last night I came to the conclusion that 

the word 'thing' (wu) in the phrase *the investigation of things' (ko-wu) 

has the same meaning as the word 'event' (shih), both referring to the 

mind." 

The Teacher said, "Correct. The master of the body is the mind. What 

emanates from the mind is the will. The original substance of the will is 

knowledge, and wherever the will is directed is a thing. For example, 

when the will is directed toward serving one's parents, then serving 

one's parents is a 'thing.' When the will is directed toward serving one's 

ruler, then serving one's ruler is a 'thing.' When the will is directed 

toward being humane to all people and feeling love toward things, 

then being humane to all people and feeling love toward things are 

'things,' and when the will is directed toward seeing, hearing, speaking, 

and acting, then each of these is a 'thing.' Therefore I say that 

there are neither principles nor things outside the mind. The teaching in 

the Doctrine of the Mean that 'without sincerity there would be nothing,' 

59 and the effort to manifest one's clear character described in the 

Great Learning mean nothing more than the effort to make the will 

sincere. And the work of making the will sincere is none other than the 

investigation of things." (l:8a-10a) 

7. The Teacher further said, "The word ko in ko-wu is the same as 


673


the ko in Mencius' saying that 'a great man rectified (ko) the ruler's 

mind.' 60 It means to eliminate what is incorrect in the mind so as to preserve 

the correctness of its original substance. Wherever the will is, the 

incorrectness must be eliminated so correctness may be preserved. In other 

words, in all places and at all times the Principle of Nature must be preserved. 

This is the investigation of principles to the utmost. The Principle 

of Nature is clear character, and to investigate the principle of things to 

the utmost is to manifest the clear character." (1: l0a) 

26. [The Teacher said,] "Knowledge is the beginning of action and 

action is the completion of knowledge. Learning to be a sage involves 

only one effort. Knowledge and action should not be separated." (1:22b) 

32. [The Teacher said,] "The original mind is vacuous (devoid of selfish 

desires), intelligent, and not beclouded. All principles are contained 

therein and all events proceed from it. 61 There is no principle outside the 

mind; there is no event outside the mind." (1:24b) 

33. Someone asked, "Master Hui-an (Chu Hsi) said that 'man's 

object of learning is simply mind and principles.' 62 What do you think 

of this saying?" 

The Teacher said, "The mind is the nature of man and things, and 

nature is principle. I am afraid the use of the word 'and' makes inevitable 

the interpretation of mind and principle as two different things. It is 

up to the student to use his good judgment." (1:25a) 

34. Someone said, "All people have this mind, and this mind is 

identical with principle. Why do some people do good and others do 

evil?" 

The Teacher said, "The mind of the evil man has lost its original substance." 

(ibid) 


61 The two sentences are paraphrases of Chu Hsi's Ta-hsüeh chang-chü, commentary 

on the text. According to Ota Kinjo (1765-1825) (Gimon roku, or 

Records of Questioning, 1831 ed., p. 15a), the phrase "vacuous, intelligent, and 

not beclouded" comes from the Ta-chih tu lu (Mahaprajñaparamita sastra, Treatise 

on Great Wisdom) and was also used by Fa-tsang (643-712), but he gave no specific 

reference. It is probably derived from the common Buddhist phrase, "intelligent, 

knowing, and not beclouded," which was uttered by Zen Masters like Ch'engkuan 

(c. 760-838) (see Ching-te ch'uan-teng lu, or Records of the Transmission of 

the Lamp Compiled During the Cheng-te Period, 1004-1007, SPTK, 30:8a). The 

terms "intelligent and knowing" and "not beclouded" were also used by Tsung-mi 

(780-841) (in his Ch'an-yüan chu-ch'üan chi tu-hsü or General Preface to Collection 

of Source Material of the Zen School, TSD, 48:404-405). Chu Hsi considered 

the Buddhist concept too abstract and therefore added the second sentence. 

See Chu Tzu yü-lei, 1880 ed., 104:17a 

62 Ta-hsüeh huo-wen (Questions and Answers on the Great Learning), 1902 ed., 

60a-b, in Ssu-shu ta-ch'üan (Great Collection of Commentaries on the Four 

Books). Hui-an was Chu Hsi's literary name. 

674


53. T'ang Hsü 63 asked, "Does making up the mind mean retaining 

good thought at all times and wanting to do good and remove evil?" 

The Teacher said, "When a good thought is retained, there is the 

Principle of Nature. The thought itself is goodness. Is there another 

goodness to be thought about? Since the thought is not evil, what evil is 

there to be removed? This thought is comparable to the root of a tree. 

To make up one's mind means always to build up this good thought, 

that is all. To be able to follow what one's heart desires without transgressing 

moral principles 64 merely means that one's mind has reached 

full maturity." (l:31b-32a) 

78. I 65 asked, "The mind is the master of the body. Knowledge is the 

intelligence of the mind. The will is knowledge in operation. And a thing 

is that to which the will is directed. Is this correct?" 

The Teacher said, "Generally correct." (l:39b-40a) 

89. [The Teacher said,] "The various steps from the investigation of 

things and the extension of knowledge to bringing peace to the world 66 

are nothing but manifesting the clear character. Even loving the people 

is also a matter of manifesting the clear character. The clear character 

is the character of the mind; it is humanity. The man of humanity regards 

Heaven and Earth and all things as one body. 67 If a single thing is deprived 

of its place, it means that my humanity is not yet demonstrated 

to the fullest extent." (l:41b) 

93. I said, "Master Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) said 

that 'the man of humanity regards Heaven, Earth, and all things as one 

body.' How is it that Mo Tzu's [fl. 479-438 B.C.] doctrine of universal 

love 68 is not considered one of humanity?" 

The Teacher said, "It is very difficult to say. You gentlemen must find 

it out through personal realization. Humanity is the principle of unceasing 

production and reproduction. Although it is prevalent and extensive 

and there is no place where it does not exist, nevertheless there is an 

order in its operation and growth. That is why it is unceasing in production 

and reproduction. For example, at the winter solstice the first 

(active cosmic force) yang grows. There must be the growth of this first 

yang before all the six stages of yang (the six months between December 

and June) gradually grow. If there were not the first yang, could there 

63 Nothing is known of him. 


65 Lu Ch'eng, Wang's pupil, whose courtesy name was Yüan-ching. He recorded 

secs. 15-94 of the Ch'uan-hsi lu. 

66 As taught in the Great Learning, the text. 

67 I-shu, 2A:2. See the following section. 

68 Mo Tzu was strongly attacked by Mencius because Mo Tzu did not acknowledge 

the special affection due a father. Mencius, 3B:9. For Mo Tzu's doctrine, see 

Mo Tzu, ch. 14-16, English translation by Mei, Works of Motse, p. 78ff. 

675


be all the six? It is the same with the (passive cosmic force) yin. Because 

there is order, so there is a starting point. Because there is a starting 

point, so there is growth. And because there is growth, it is unceasing. 

Take a tree, for example. When in the beginning it puts forth a shoot, 

there is the starting point of the tree's spirit of life. After the root appears, 

the trunk grows. After the trunk grows, branches and leaves 

come, and then the process of unceasing production and reproduction 

has begun. If there is no sprout, how can there be the trunk, branches, 

or leaves? The tree can sprout because there is the root beneath. With 

the root the plant will grow. Without it, the plant will die, for without 

the root, how can it sprout? 

"The love between father and son and between elder and younger 

brothers is the starting point of the human mind's spirit of life, just like 

the sprout of the tree. From here it is extended to humaneness to all 

people and love to all things. It is just like the growth of the trunk, 

branches, and leaves. Mo Tzu's universal love makes no distinction in 

human relations and regards one's own father, son, elder brother, or 

younger brother as being the same as a passer-by. That means that Mo 

Tzu's universal love has no starting point. It does not sprout. We therefore 

know that it has no root and that it is not a process of unceasing 

production and reproduction. How can it be called humanity? Filial 

piety and brotherly respect are the root of humanity. 69 This means that 

the principle of humanity grows from within." (l:42a-43a) 

Comment. The idea that humanity is life-giving is an important 

development in Neo-Confucianism. It was developed by Ch'eng 

Hao and his brother Ch'eng I. 70 Wang, however, made the idea 

clearer than ever, 

94. I asked, "Yen-p'ing (Li T'ung, 1088-1163) said, 'Be in accord 

with principle and have no selfish mind.' 71 What is the difference between 

being in accord with principle and having no selfish mind?" 

The Teacher said, "The mind is principle. To have no selfish mind is 

to be in accord with principle, and not to be in accord with principle is 

to have a selfish mind. I am afraid it is not good to speak of the mind 

and principle as separated." 

I asked further, "The Buddhists are [internally] free from all kinds of 

selfishness of lust in the world and thus appear not to have a selfish mind. 

69 A saying in Analects, 1:2. 

70 See above, ch. 31, comment on sec. 11, and ch. 32, comment on 42. See also 

ch. 30, comment on sec. 1; ch. 31, comment on sec. 1; and ch. 34, comment on 

treatise 1. 

71 Li Yen-p'ing chi (Collected Works of Li T'ung), Cheng-i-t'ang ch'üan-chu 

(Complete Library of the Hall of Rectifying the Way) ed., 2:24a. 

676


But externally they discard human relations and thus do not appear to 

be in accord with principle." 

The Teacher said, "These are the same kind of things, all building up 

a mind of selfishness." (l:43a-b) 

101. I 72 was pulling weeds out from among the flowers and thereupon 

said, "How difficult it is in the world to cultivate good and remove evil!" 

The Teacher said, "Only because no effort is made to do so." A little 

later, he said, "Such a view of good and evil is motivated by personal 

interest and is therefore easily wrong." I did not understand. The 

Teacher said, "The spirit of life of Heaven and Earth is the same in 

flowers and weeds. Where have they the distinction of good and evil? 

When you want to enjoy flowers, you will consider flowers good and 

weeds evil. But when you want to use weeds, you will then consider them 

good. Such good and evil are all products of the mind's likes and dislikes. 

Therefore I know you are wrong." 

I asked, "In that case, there is neither good nor evil, is that right?" 

The Teacher said, "The state of having neither good nor evil is that 

of principle in tranquillity. Good and evil appear when the vital force is 

perturbed. If the vital force is not perturbed, there is neither good nor 

evil, and this is called the highest good." 

I asked, "The Buddhists also deny the distinction between good and 

evil. Are they different from you?" 

The Teacher said, "Being attached to the non-distinction of good and 

evil, the Buddhists neglect everything and therefore are incapable of 

governing the world. The sage, on the other hand, in his non-distinction 

of good and evil, merely makes no special effort whatsoever to like or 

dislike and is not perturbed in his vital force. As he pursues the kingly 

path and sees the perfect excellence, 73 he of course completely follows 

the Principle of Nature and it becomes possible for him to assist in and 

complete the universal process of production and reproduction and 

apply it for the benefit of the people." 74 

Comment. Because Wang talked about the state of having neither 

good nor evil, he has been accused of being a Buddhist in Confucian 

garment. This passage makes the distinction between Confucianism 

and Buddhism quite clear. What is more important, 

Wang not only criticized the Buddhists for their escape from social 

responsibility, but also for their inability to be free from attach- 

72 Hsüeh K'an (d. 1545), Wang's pupil, who recorded secs. 95-129 of the 

Ch'uan-hsi lu. 

73 Quoting History, "Great Norm." Cf. Legge, Shoo King, p. 331. 

74 Quoting Changes, commentary on hexagram no. 11, t'ai (successful). Cf 

Legge, Yi King, p. 281. 

677


ment. In other words, the Buddhists were incapable of handling the 

mind itself. Although he was not as hostile to Buddhism as many 

other Neo-Confucianists, he attacked the very foundation of Buddhism. 

75 

"If weeds are not evil, they should not be removed." 

"This, however, is the view of the Buddhists and Taoists. If they are 

harmful, what is the objection to your removing them?" 

"What would be a case of making a special effort to like or to dislike." 

"Not making special effort to like or to dislike does not mean not to 

like or dislike at all. A person behaving so would be devoid of consciousness. 

To say 'not to make a special effort' merely means that one's like 

and dislike completely follow the Principle of Nature and that one does 

not go on to attach to that situation a bit of selfish thought. This amounts 

to having neither likes nor dislikes." 

"How can weeding be regarded as completely following the Principle 

of Nature without any attachment to selfish thought?" 

"If weeds are harmful, according to principle they should be removed. 

Then remove them, that is all. If for a moment they are not removed, 

one should not be troubled by it. If one attaches to that situation a bit of 

selfish thought, it will be a burden on the substance of his mind, and his 

vital force will be much perturbed." 

"In that case, good and evil are not present in things at all." 

"They are only in your mind. Following the Principle of Nature is 

good, while perturbing the vital force is evil." 

"After all, then, things are devoid of good and evil?" 

"This is true of the mind. It is also true of things. Famous but mediocre 

scholars fail to realize this. They neglect the mind and chase after 

material things, and consequently get a wrong view of the way to investigate 

things. All day long they restlessly seek principle in external 

things. They only succeed in getting at it by incidental deeds of righteousness. 

All their lives they act in this way without understanding it and 

act habitually without examination." 76 

"How about loving beautiful color and hating bad odor?" 

"This is all in accord with principle. We do so by the very nature of 

the Principle of Nature. From the beginning there is no selfish desire to 

make special effort to like or dislike." 

"How can the love of beautiful color and the hatred of bad odor not be 

regarded as one's own will?" 

"The will in this case is sincere, not selfish. A sincere will is in accord 

with the Principle of Nature. However, while it is in accord with the 

75 See comment on sec. 315. 

76 A quotation from Mencius, 7A:5. 

678


Principle of Nature, at the same time it is not attached in the least to 

selfish thought. Therefore when one is affected to any extent by wrath or 

fondness, the mind will not be correct. 77 It must be broad and impartial. 

Only thus is it in its original substance. Knowing this, you know the 

state of equilibrium before feelings are aroused." 

Meng Po-sheng 78 said, "You said that if weeds are harmful, according 

to principle they should be removed. Why should the desire to remove 

them be motivated by personal interest?" 

"You must find this out yourself through personal realization. What is 

your state of mind when you want to remove the weeds? And what was 

the state of mind of Chou Mao-shu (Chou Tun-i, 1017-1073), when he 

would not cut down the grass outside his window?" 79 (l:47b-49b) 

108. I asked, "A former scholar considered the mind in its tranquil 

state as substance and the mind in its active state as function. 80 What 

about it?" 

The Teacher said, "The substance and function of the mind cannot 

be equated with its tranquil and active states. Tranquillity and activity 

are matters of time. When we speak of substance as substance, function 

is already involved in it, and when we speak of function as function, substance 

is already involved in it. This is what is called 'Substance and function 

coming from the same source.' 81 However, there is no harm in saying 

that the substance of the mind is revealed through its tranquillity and its 

function through its activity." (l:52a) 

132. Your 82 letter says, "You teach us that knowledge and action 

should proceed simultaneously, that no distinction should be made as 

to which one should precede the other, and that this is the task of 

'honoring the moral nature and following the path of study and inquiry' 

as taught in the Doctrine of the Mean, 83 in which the two nourish and 

develop each other and the internal and external, the fundamental and 

the secondary form one thread running through all. Nevertheless, in 

the performance of a task there must be a distinction between what is 

to be done first and what later. For example, one knows the food before 

he eats it, knows the soup before he drinks it, knows the clothes before 

he wears them, and knows the road before he travels on it. It is not true 

77 According to the Great Learning, ch. 7. 

78 Nothing is known of him except that his private name was Yüan. 

79 I-shu, 3:2a, in ECCS. 

80 Ch'eng I, Wen-chi (Collection of Literary Works), 5:12a, in ECCS. Wang 

Yang-ming said the same thing in Wang Wen-ch'eng K'ung ch'üan-shu, 5:62. 

81 Ch'eng I, preface to his I chuan (Commentary on the Book of Changes), in 

ECCS. See above, ch. 32, n.124. 

82 This refers to Ku Tung ch'iao (Ku Lin, 1476-1545), a high official and a 

renowned poet. 

83 Ch. 27. 

679


that one performs an act without first of all knowing the thing to 

be acted on. The difference [between knowing first and acting later] 

is of course a matter of an instant. I do not mean to say that it is comparable 

to one's knowing today and then acting tomorrow." 

Since you have said that the two nourish and develop each other, and 

the internal and the external, the fundamental and the secondary form 

one thread running through all, the idea that knowledge and action proceed 

simultaneously should no longer be doubted. You also say that in 

the performance of a task there must 84 be a distinction between what is to 

be done first and what later. Are you not self-contradictory? This is 

particularly clear and can easily be seen in your theories that one knows 

the food before he eats, but your understanding is obscured by recent 

opinions and you do not realize that it is obscured. A man must have 

the desire for food before he knows food. This desire to eat is the will; 

it is already the beginning of action. Whether the taste of the food is 

good or bad cannot be known until the food enters the mouth. Is there 

anyone who knows the taste to be good or bad before the food enters his 

mouth? A man must have the desire to travel before he knows the road. 

This desire to travel is the will; it is already the beginning of action. 

Whether the forks of the road are rough or smooth cannot be known 

until he himself has gone through them. Is there anyone who knows 

whether the forks of the road are rough or smooth before he has gone 

through them? The same can be said without a doubt about the theories 

that one knows the soup before he drinks it and that one knows the 

clothes before he wears them. The examples you have given are exactly 

those which show, as you say, that one first of all performs an act without 

knowing the thing to be acted on. You said also that the difference 

[between knowing first and acting later] is of course a matter of an 

instant and that you do not mean to say that it is clearly comparable 

to one's knowing today and then acting tomorrow. This shows that you 

have not examined the matter thoroughly. But even as you say, the fact 

that knowledge and action form a unity and proceed simultaneously is 

as a matter of course absolutely beyond any doubt. (2:3a-4b) 

133. Your letter says, "[You say that] true knowledge is what constitutes 

action, and unless it is acted on it cannot be called knowledge. This 

idea is all right as an urgent doctrine for the student, meant to enable 

him to put his learning into actual practice. But if you really mean that 

knowledge and action are identical, I am afraid a student will only seek 

his original mind and consequently neglect the principles of things, and 

there will be points at which his mind will be closed to the outside world 

84 In the text there is the word pu (not) here. It is obviously a misprint and is 

therefore omitted from the translation. 

680


and unable to penetrate it. Is this the established method of the Confucian 

school for the simultaneous advance of knowledge and action?" 

Knowledge in its genuine and earnest aspect is action, and action in its 

intelligent and discriminating aspect is knowledge. At bottom the task of 

knowledge and action cannot be separated. Only because later scholars 

have broken their task into two sections and have lost sight of the original 

substance of knowledge and action have I advocated the idea of their 

unity and simultaneous advance. My idea that true knowledge is what 

constitutes action and that unless it is acted on it cannot be called 

knowledge can be seen in such ideas as those expressed in your letter 

that one knows the food before he eats it, and so forth. I have already 

stated this briefly. Although my idea arose as an urgent remedial measure, 

nevertheless the substance of knowledge and action is originally 

like this. It is not that I have promoted or suppressed either of them 

according to my own wishes, and purposely propounded such a doctrine 

carelessly to effect a temporary remedy. He who only seeks his 

original mind and consequently neglects the principles of things is one 

who has lost his original mind. For the principles of things are not external 

to the mind. If one seeks the principles of things outside the mind, 

there will not be any to be found. And if one neglects the principles of 

things and only seeks his mind, what sort of a thing would the mind 

be? The substance of the mind is nature, and nature is identical with 

principle. Consequently, as there is the mind of filial piety toward parents, 

there is the principle of filial piety. If there is no mind of filial piety, 

there will be no principle of filial piety. As there is the mind of loyalty 

toward the ruler, there is the principle of loyalty. If there is no mind of 

loyalty, there will be no principle of loyalty. Are principles external to 

the mind? Hui-an (Chu Hsi) said, "Man's object of learning is simply 

mind and principles. Although the mind is the master of the body . . . 

actually it controls all principles in the world. And although principles 

are distributed throughout the ten thousand things . . . actually they are 

not outside one's mind." 85 These are but the two aspects of concentration 

and diversification but [the way Chu Hsi put it] has inevitably opened 

the way to the defect among scholars of regarding the mind and principles 

as two separate things. This is the reason why later generations have 

the trouble of only seeking their original minds and consequently neglecting 

the principles of things. This is precisely because they do not 

realize that the mind is identical with principle. The idea that if one 

seeks the principles of things outside the mind there will be points at 

which the mind is closed to the outside world and cannot penetrate it is 

the same as Kao Tzu's (c.420-c.350 B.C.) doctrine that righteousness 

85 Ta-hsüeh huo-wen, 60a-b. 

681


is external. 86 This is the reason why Mencius said that he did not know 

the nature of righteousness. The mind is one, that is all. In terms of total 

commiseration, it is called humanity. In terms of attainment of what is 

proper, it is called righteousness. And in terms of orderliness, it is called 

principle. If one should not seek humanity or righteousness outside the 

mind, should one make an exception and seek principles outside the 

mind? Knowledge and action have been separated because people seek 

principles outside the mind. The doctrine of unity of knowledge and 

action of the Confucian school means seeking principles in the mind. 

Why do you doubt it? (2:4b-6a) 

135. Your letter says, "I have heard that you told students that following 

[Chu Hsi's] theory of the investigation of the principles of all 

things that we come into contact with 87 is to trifle with things and to lose 

one's purpose, and that you have also selected Chu Hsi's doctrines of 

rejecting the complex and preferring the simple, 88 cultivating the fundamental, 

89 and so forth, to show students, labeling them as Chu Hsi's 

final conclusions arrived at late in life. 90 I am afraid this is also wrong." 

What Chu Hsi meant by the investigation of things is "to investigate 

the principle in things to the utmost as we come in contact with them." 91 

To investigate the principles in things to the utmost as we come in contact 

with them means to look in each individual thing for its so-called 

definite principles. This means to apply one's mind to each individual 

thing and look for the principle in it. This is to divide the mind and principle 

into two. To seek for the principle in each individual thing is like 

looking for the principle of filial piety in parents. If the principle of filial 

piety is to be sought in parents, then is it actually in my own mind or is 

it in the person of my parents? If it is actually in the person of my 

parents, is it true that as soon as the parents pass away the mind will 

lack the principle of filial piety? When I see a child fall into a well 

[and have a feeling of commiseration], there must be the principle of 

commiseration. Is this principle of commiseration actually in the person 

of the child or is it in the innate knowledge of my mind? Perhaps one 

cannot follow the child into the well to rescue it. Perhaps one can rescue 

it by seizing it with the hand. All this involves principle. Is it really in 

the person of the child or does it emanate from the innate knowledge of 

my mind? What is true here is true of all things and events. From this we 

know the mistake of dividing the mind and principle into two. 

86 See Mencius, 6A: 4. 

87 Chung-yung chang-chü (Commentary on the Doctrine of the Mean), ch. 5. 

88 Chu-tzu wen-chi (Collection of Literary Works of Chu Hsi), CTTC, 35:26a. 

89 ibid., 47:31a. 

90 Wang Wen-ch'eng Kung ch'üan-shi. 3:63a-80a. 

91 Ta-hsüeh chang-chü, ch. 5. 

682


Such division is the doctrine of Kao Tzu who taught that righteousness 

is external to the mind, a fallacy which Mencius strongly attacked. You 

know the defects of devoting oneself to external things and neglecting 

the internal, and becoming broad but lacking essentials. Why are these 

defects? Is it not permissible to say that to investigate the principle of 

all things as we come into contact with them, as Chu Hsi has taught, is 

trifling with things and losing one's purpose in life? What I mean by the 

investigation of things and the extension of knowledge is to extend the 

innate knowledge of my mind to each and every thing. The innate 

knowledge of my mind is the same as the Principle of Nature. When the 

Principle of Nature in the innate knowledge of my mind is extended to 

all things, all things will attain their principle. To extend the innate 

knowledge of my mind is the matter of the extension of knowledge, and 

for all things to attain their principle is the matter of the investigation of 

things. In these the mind and principle are combined into one. As the 

mind and principle are combined into one, then all my humble opinions 

which I have just expressed and my theory that Chu Hsi arrived at his 

final conclusions late in life can be understood without discussion. (2:- 

8b-10a) 

155. Your 92 letter says, "Innate knowledge is the original substance 

of the mind. It is what is called the goodness of human nature, the equilibrium 

before the feelings are aroused, the substance that is absolutely 

quiet and inactive, and the state of being broad and extremely impartial. 

When were ordinary people incapable of it and had to learn? Since equilibrium, 

absolute quiet, and impartiality are characteristics of the substance 

of the mind, then it must be innate knowledge. But as I examine 

the mind, I find that while knowledge is innate and good, it does not 

really have the characteristics of equilibrium, quiet, and impartiality. Can 

innate knowledge transcend substance and function?" 

There is no human nature that is not good. Therefore there is no innate 

knowledge that is not good. Innate knowledge is the equilibrium 

before the feelings are aroused. It is the state of broadness and extreme 

impartiality. It is the original substance that is absolutely quiet and inactive. 

And it is possessed by all men. However, people cannot help 

being darkened and obscured by material desires. Hence they must study 

in order to get rid of the darkness and obscuration. But they cannot add 

or subtract even an iota from the original substance of innate knowledge. 

Innate knowledge is good. The reason why equilibrium, absolute quiet, 

broadness, and impartiality are not complete in it is that darkness and 

obscuration have not been entirely eliminated and its state of preservation 

is not yet complete. The substance and function [you refer to] are 

92 Referring to Lu Ch'eng. See n.65. 

683


the substance and function of innate knowledge. How can it transcend 

them? (2:38a-39a) 

228. I 93 asked, "Sir, you once said that good and evil are one thing. 94 

But good and evil are opposed to each other like ice and burning coals. 

How can they be said to be only one?" 

The Teacher said, "The highest good is the original substance of the 

mind. When one deviates a little from this original substance, there is 

evil. It is not that there is a good and there is also an evil to oppose it. 

Therefore good and evil are one thing." 

Having heard our Teacher's explanation, I know that we can no 

longer doubt Master Ch'eng Hao's sayings, "Man's nature is of course 

good, but it cannot be said that evil is not our nature" 95 and "Good and 

evil in the world are both the Principle of Nature. What is called evil is 

not originally evil. It becomes evil only because of deviation from the 

Mean." 96 (3:12b-13a) 

262. A friend who was engaging in sitting in meditation attained some 

insight. He ran to make an inquiry of the Teacher. The Teacher said, "Formerly, 

when I stayed in Ch'u-chou, 97 seeing that students were mostly occupied 

with intellectual explanations and debate on similarities and differences, 

which did them no good, I therefore taught them sitting in meditation. 

For a time they realized the situation a little bit (they saw the true 

Way) and achieved some immediate results. In time, however, they gradually 

developed the defect of fondness of tranquillity and disgust with activity 

and degenerated into lifelessness like dry wood. Others purposely 

advocated abstruse and subtle theories to startle people. For this reason 

I have recently expounded only the doctrine of the extension of innate 

knowledge. If one's innate knowledge is clear, it will be all right either 

to try to obtain truth through personal realization in a quiet place or to 

discover it through training and polishing in the actual affairs of life. The 

original substance of innate knowledge is neither tranquil nor active. 

Recognition of this fact is the basis of learning. From the time of Ch'uchou 

until now, I have tested what I said several times. The point is 

that the phrase 'the extension of innate knowledge' is free from any 

defect. Only a physician who has broken his own arm can understand 

the causes of human disease." 98 (3:25a-b) 

Comment. Under the influence of Zen Buddhism, most Neo-Confucianists 

taught sitting in meditation. Wang was no exception. In 

93 Huang I-fang, Wang's pupil, whose private name was Chih. He recorded 

secs. 222-236 and 317-343 of the Ch'uan-hsi lu. Otherwise nothing is known of him. 

94 95 

Ch'uan-hsi lu, sec. 101. 

I-shu, l:7b. 

96 

ibid., 2A:1b. 

97 

In modern Anhui Province, near Nan-ch'ang. 

98 

Quoting the Tso chuan (Tso's Commentary), Duke Ting, 13th years. 

684


fact, in the first phase of his teaching, he emphasized it. However, 

it was soon replaced by an active approach, notably "polishing and 

training in actual affairs." This doctrine has exerted great influence 

on both China and Japan. 

274. Chu Pen-ssu 99 asked, "Man has innate knowledge because he 

possesses pure intelligence. Have such things as plants and trees, tiles 

and stones innate knowledge also? 

The Teacher said, "The innate knowledge of man is the same as that 

of plants and trees, tiles and stones. Without the innate knowledge inherent 

in man, there cannot be plants and trees, tiles and stones. This is 

not true of them only. Even Heaven and Earth cannot exist without the 

innate knowledge that is inherent in man. For at bottom Heaven, Earth, 

the myriad things, and man form one body. The point at which this unity 

manifests in its most refined and excellent form is the clear intelligence 

of the human mind. Wind, rain, dew, thunder, sun and moon, stars, 

animals and plants, mountains and rivers, earth and stones are essentially 

of one body with man. It is for this reason that such things as the grains 

and animals can nourish man and that such things as medicine and 

minerals can heal diseases. Since they share the same material force, 

they enter into one another." (3:29b-30a) 

275. The Teacher was roaming in Nan-chen. 100 A friend pointed to 

flowering trees on a cliff and said, "[You say] there is nothing under 

heaven external to the mind. 101 These flowering trees on the high mountain 

blossom and drop their blossoms of themselves. What have they to 

do with my mind?" 

The Teacher said, "Before you look at these flowers, they and your 

mind are in the state of silent vacancy. As you come to look at them, 

their colors at once show up clearly. From this you can know that these 

flowers are not external to your mind." (3:30a) 

277. The Teacher said, "The eye has no substance of its own. Its 

substance consists of the colors of all things. The ear has no substance 

of its own. Its substance consists of the sounds of all things. The nose 

has no substance of its own. Its substance consists of the smells of all 

things. The mouth has no substance of its own. Its substance consists of 

the tastes of all things. The mind has no substance of its own. Its substance 

consists of the right or wrong of the influences and responses of 

Heaven, Earth, and all things." (3:3la) 

308. I 102 asked, "In the discussion on the nature of man and things, the 

99 He was Chu Te-chih, Wang's pupil. 

100 The Hui-chi Mountain in present Chekiang. 


102 Referring to Huang Mien-chih, who recorded secs. 248-316 of the Ch'uanhsi 

lu. 

685


ancients agreed in certain respects but differed in others. Which is the 

final and accepted conclusion?" 

The Teacher said, "One's nature has no definite form. The discussion 

of nature also has no definite form. Some discussed it from the point of 

view of its original substance, some from the point of view of its emanation 

and functioning, some from the point of view of its source, and 

some from the point of view of the defects that may develop in the course 

of its operation. Collectively, they all talked about this one nature, but 

their depth of understanding it varied, that is all. If one held rigidly to 

one aspect as they did it would be a mistake. In its original substance, 

nature is in fact neither good nor evil. In its function it can indeed be 

made to be good or evil, and in its defects it is indeed definitely good or 

evil. It may be compared to the eyes. There are eyes when one is joyous 

and there are eyes when one is angry. When one looks straight ahead, 

the eyes see openly. When one looks stealthily, the eyes peep. Collectively 

speaking, they are all eyes. If one sees a person with angry eyes and 

forthwith declares that he has no joyous eyes, or if one sees a person 

with peeping eyes and forthwith declares that he has no openly seeing 

eyes, one is holding onto a fixed viewpoint and from this we know that 

one is making a mistake. When Mencius talked about nature, he discussed 

it directly from the point of view of its source and said only that 

generally speaking [nature is originally good]. Hsün Tzu's (fl. 298- 

238 B.C.) doctrine that nature is originally evil 103 was arrived at from 

the point of view of its defects and we should not say that he was 

entirely wrong, only that he did not understand the matter perfectly. As 

to ordinary people, they have lost the original substance of the mind." 

(3:42a-43a) 

315. In the ninth month of the sixth year of Chia-ching (1527), our 

Teacher had been called from retirement and appointed to subdue once 

more the rebellion in Ssu-en and T'ien-chou 104 [when the earlier expedition 

under another official had failed]. As he was about to start, Juchung 

(Wang CM) 105 and I (Ch'ien Te-hung) discussed learning. He 

repeated the words of the Teacher's instructions as follows: 

In the original substance of the mind there is no distinction 

between good and evil. 

When the will becomes active, however, such distinction exists. 

103 Hsün Tzu, ch. 17. See above, ch. 6. sec. 3. Hsün Tzu strongly criticized 

Mencius' doctrine of original goodness (Mencius, 2A:6). 

104 Both were counties in Kwangsi, 

105 Wang CM (Wang Lung-hsi, 1498-1583), one of the two most prominent 

followers of Wang. He developed the intuitive tendency of Wang and had a large 

following. 

686


The faculty of innate knowledge is to know good and evil. 

The investigation of things is to do good and remove evil. 

I 106 asked, "What do you think this means?" 

Ju-chung said, "This is perhaps not the final conclusion. If we say 

that in the original substance of the mind there is no distinction between 

good and evil, then there must be no such distinction in the will, in 

knowledge, and in things. If we say that there is a distinction between 

good and evil in the will, then in the final analysis there must also be 

such a distinction in the substance of the mind." 

I said, "The substance of the mind is the nature endowed in us by 

Heaven, and is originally neither good nor evil. But because we have a 

mind dominated by habits, we see in our thoughts a distinction between 

good and evil. The work of the investigation of things, the extension of 

knowledge, the sincerity of the will, the rectification of the mind, and 

the cultivation of the personal life is aimed precisely at recovering that 

original nature and substance. If there were no good or evil to start with, 

what would be the necessity of such effort?" 

That evening we sat down beside the Teacher at the T'ien-ch'üan 

Bridge. Each stated his view and asked to be corrected. The Teacher 

said, "I am going to leave now. I wanted to have you come and talk this 

matter through. You two gentlemen complement each other very well, 

and should not hold on to one side. Here I deal with two types of people. 

The man of sharp intelligence apprehends straight from the source. The 

original substance of the human mind is in fact crystal-clear without 

any impediment and is the equilibrium before the feelings are aroused. 

The man of sharp intelligence has accomplished his task as soon as he 

has apprehended the original substance, penetrating the self, other 

people, and things internal and things external all at the same time. On 

the other hand, there are inevitably those whose minds are dominated 

by habits so that the original substance of the mind is obstructed. I 

therefore teach them definitely and sincerely to do good and remove 

evil in their will and thoughts. When they become expert at the task 

and the impurities of the mind are completely eliminated, the original 

substance of the mind will become wholly clear. Ju-Chung's view is the 

one I use in dealing with the man of sharp intelligence. Te-hung's view 

is for the second type. If you two gentlemen use your views interchangeably, 

you will be able to lead all people—of the highest, average, 

and lowest intelligence—to the truth. If each of you holds on to one 

side, right here you will err in handling properly the different type of 

106 Referring to Ch'ien Te-hung (Ch'ien Hsü-shan, 1496-1574). The other 

prominent follower of Wang's, he differed from Wang Chi radically and emphasized 

moral cultivation. 

687


man and each in his own way will fail to understand fully the substance 

of the Way." 

After a while he said again, "From now on whenever you discuss 

learning with friends be sure not to lose sight of my basic purpose. 

In the original substance of the mind there is no distinction 

of good and evil. 

When the will becomes active, however, such distinction exists. 

The faculty of innate knowledge is to know good and evil. 

The investigation of things is to do good and to remove evil. 

Just keep to these words of mine and instruct people according to their 

types, and there will not be any defect. This is indeed a task that penetrates 

both the higher and the lower levels. It is not easy to find people 

of sharp intelligence in the world. Even Yen Hui (Confucius' most 

virtuous pupil) and Ming-tao (Ch'eng Hao) dared not assume that they 

could fully realize the original substance of the mind as soon as they 

apprehended the task. How can we lightly expect this from people? 

People's minds are dominated by habits. If we do not teach them concretely 

and sincerely to devote themselves to the task of doing good and 

removing evil right in their innate knowledge rather than merely imagining 

an original substance in a vacuum, all that they do will not be 

genuine and they will do no more than cultivate a mind of vacuity and 

quietness [like that of the Buddhists and Taoists]. This defect is not a 

small matter and must be exposed as early as possible." On that day both 

Ju-chung and I attained some enlightenment. (3:45b-47b) 

Comment. This conversation concerning the famous "doctrine in 

four axioms" raises a fundamental issue and led to a bitter controversy 

both inside and outside the Wang Yang-ming School. The 

issue is whether the mind in its original substance transcends good 

and evil, as the Buddhists would say, or is fundamentally good, as 

the Confucianists insist. 

In his teachings Wang Chi interpreted the four axioms to mean 

the absence of distinction between good and evil and that sagehood 

comes through a direct intuition of reality in its totality. Ch'ien 

Te-hung, on the other hand, interpreted them to mean that the distinction 

exists and that sagehood comes only through moral efforts 

to do good and overcome evil. Actually Wang Yang-ming taught 

both, as the conversation clearly shows. It is only because they 

represented two sharply divergent tendencies within the Wang 

Yang-ming School, one emphasizing intuitive awakening and the 

other emphasizing moral endeavor, that they have given the doctrine 

a one-sided interpretation. Of the two, Ch'ien comes closer 

688


to the teacher, for the teacher definitely stated that the original 

nature of the mind is characterized by the highest good. 107 To him 

the mind is a unity and absolutely good and not divided between 

good and evil. Moral good and evil come in when our will becomes 

active, that is, when we begin to make a choice. Even accepting the 

one-sided views of the two pupils, there should have been no quarrel, 

for Ch'ien's understanding is on the moral plane whereas 

Wang's is on the religious plane, and the teacher's doctrine covers 

both. 

For a hundred years outsiders, on the basis of Wang Chi's interpretation, 

attacked Wang Yang-ming's doctrine as a surrender to 

Buddhist indifference to good and evil. The attack kept the Confucian 

mind alert about the distinction between good and evil but 

only at the expense of a great injustice to Wang Yang-ming. 

319. The Teacher said, "People merely say that in the investigation 

of things we must follow Chu Hsi, but when have they carried it out in 

practice? I have carried it out earnestly and definitely. In my earlier 

years 108 my friend Ch'ien 109 and I discussed the idea that to become a 

sage or a worthy one must investigate all things in the world. But how 

can a person have such tremendous energy? I therefore pointed to the 

bamboos in front of the pavilion and told him to investigate them and 

see. Day and night Mr. Ch'ien went ahead to try to investigate to the 

utmost the principles in the bamboos. He exhausted his mind and 

thoughts and on the third day he was tired out and took sick. At first I 

said that it was because his energy and strength were insufficient. Therefore 

I myself went to try to investigate to the utmost. From morning till 

night, I was unable to find the principles of the bamboos. On the seventh 

day I also became sick because I thought too hard. In consequence we 

sighed to each other and said that it was impossible to be a sage or a 

worthy, for we do not have the tremendous energy to investigate things 

as they have. After I had lived among the barbarians for [almost] three 

years, 110 I understood what all this meant and realized that there is 

really nothing in the things in the world to investigate, that the effort to 

investigate things is only to be carried out in and with reference to one's 

body and mind, and that if one firmly believes that everyone can become 

a sage, one will naturally be able to take up the task of investigating 

things. This idea, gentlemen, I must convey to you." (3:50b-51b) 


108 According to the Nien-p'u (Chronological Biography), the following incident 

took place in 1492. 

109 This friend was not Ch'ien Te-hung, since he did not meet Wang until 1521. 

110 When he was banished to become an official in Kuei-chou between 1506 

and 1508. 

689


331. I said, "A former scholar said that the flying of the hawk, the 

leaping of fishes, 111 and the feeling that one must always be doing something 

112 are all very lively and dynamic in the same way," 113 

The Teacher said, "Correct. The whole universe is very lively and 

dynamic because of the same principle. It is the unceasing universal 

operation of one's innate knowledge. To extend innate knowledge is the 

task of always doing something. Not only should this principle not be 

departed from, in reality it cannot be. The Way is everywhere, and so is 

our task." (3:56a) 

337. I said, "The human mind and things form the same body. 114 In 

the case of one's body, blood and the vital force in fact circulate through 

it and therefore we can say they form the same body. In the case of men, 

their bodies are different and differ even more from those of animals and 

plants. How can they be said to form the same body?" 

The Teacher said, "Just look at the matter from the point of view 

of the subtle incipient activating force of their mutual influence and 

response. Not only animals and plants, but heaven and earth also, form 

the same body with me. Spiritual beings also form the same body with 

me." 

I asked the Teacher kindly to explain. 

The Teacher said, "Among the things under heaven and on earth, 

which do you consider to be the mind of Heaven and Earth?" 

"I have heard that 'Man is the mind of Heaven and Earth.' " 115 

"How does man become mind?" 

"Clear intelligence and clear intelligence alone." 

"We know, then, in all that fills heaven and earth there is but this 

clear intelligence. It is only because of their physical forms and bodies 

that men are separated. My clear intelligence is the master of heaven and 

earth and spiritual beings. If heaven is deprived of my clear intelligence, 

who is going to look into its height? If earth is deprived of my clear intelligence, 

who is going to look into its height? If earth is deprived of 

my clear intelligence, who is going to look into its depth? If spiritual 

beings are deprived of my clear intelligence, who is going to distinguish 

their good and evil fortune or the calamities and blessings that they will 

bring? Separated from my clear intelligence, there will be no heaven, 

earth, spiritual beings, or myriad things, and separated from these, there 

111 Quoting the Book of Odes, ode no. 239. 

112 Mencius' saying, in Mencius, 2A:2. 

113 Ch'eng Hao, I-shu, 3:1a. 

114 Undoubtedly a quotation of Wang's although it cannot be located. The idea 

is quite obvious in sec. 267. 

115 Book of Rites, "The Evolution of Rites." Cf. Legge, Li Ki, vol. 1, p. 382. 

690


will not be my clear intelligence. Thus they are all permeated with one 

material force. How can they be separated?" 

I asked further, "Heaven, earth, spiritual beings, and the myriad things 

have existed from great antiquity. Why should it be that if my clear 

intelligence is gone, they will all cease to exist?" 

"Consider the dead man. His spirit has drifted away and dispersed. 

Where are his heaven and earth and myriad things?" (3:57a-58b) 

691

... 36 ... 

THE MATERIALISM OF WANG FU-CHIH 

IT HAS TAKEN two hundred years to appreciate the philosophical 

significance of Wang Fu-chih (Wang Ch'uan-shan, 1619-1692). Son 

of a scholar, he passed the civil service examination and obtained the 

first degree in 1642. By that time, the Manchus were already overrunning 

China. In 1648, as the Manchus oppressed his native province of Hunan, 

he raised a small army to fight them and to save the Ming dynasty (1368- 

1644). After his inevitable defeat, he retired at the age of thirty-three 

to the mountains near his home, and for forty years dedicated his life to 

writing, covering both ancient and modern periods, and Taoist and Buddhist 

as well as Confucian schools. 1 But he was practically forgotten until 

almost a century later, and his many works, of which seventy-seven 

have survived, were not published until the middle of the nineteenth 

century. Even then attention was attracted only to his bold political 

theory and unorthodox interpretation of history. It was not until our 

own time that his unique philosophy was appreciated. Because of his 

materialism, he has been praised in Communist China as one of the 

greatest philosophers in Chinese history. 2 

Aside from ideological considerations, his philosophy is significant 

in more senses than one. He was an independent thinker, attacking both 

the rationalistic Neo-Confucianism of Sung (960-1279) and the idealistic 

Neo-Confucianism of Ming and moving in a new direction. In so 

doing, he anticipated, though did not directly influence, Chinese thought 

in the following two centuries. One may even say that he inaugurated 

the modem era of Chinese philosophy. 

Wang rejected the central thesis of both rationalistic and idealistic 

schools, namely, that principle (li) is a universal transcending and prior 

to material force (ch'i). Instead, he contended that principle is identical 

with the material force, not a finished product that can be grasped, 

but the order and arrangement of things. There are no such transcendental 

and abstract things as the Great Ultimate or the Principle of Nature 

(T'ien-li). They, along with the mind and the nature of things, are all 

within material force. 

This philosophy is essentially similar to that of Chang Tsai (Chang 

Heng-ch'ü, 1020-1077), and Wang has been correctly described as 

Chang's successor. But he actually went beyond Chang. What he wanted 

1 For more information on his life, see Hummel, ed,, Eminent Chinese, pp. 

817-819. 


692

WANG FU-CHIH 

was not only materiality, but concreteness of materiality. To him, 

Chang's Great Vacuity is not an abstract entity but concrete. Because the 

Taoist idea of non-being was too abstract for him, he vigorously attacked 

it. Consequently, his most famous dictum is: "The world consists 

only of concrete things (ch'i)." This word ch'i is to be differentiated 

from the ch'i that means material force. The two words are represented 

by two different Chinese characters. Ch'i as material force means the 

general stuff of which things are made, but ch'i as concrete things means 

specific and tangible objects or systems. Literally implement, it means 

more than individual concrete objects but systems and institutions as 

well, so long as they are understood as being concrete. 3 A concrete 

thing is not just simple stuff; it possesses an order and exhibits definite 

principles inherent in it. Thus the Way or principle and ch'i are two 

aspects of an entity. As there is a concrete thing, there is always its 

principle in it, and there has never been a principle independent of a 

concrete thing. 

Since he relegated principle to a secondary position, it is not surprising 

that he overthrew another major concept of Sung-Ming Neo-Confucianism, 

namely, the contrast between principle and human desires 

and the subordination of the latter. He refused to accept their opposition, 

although he conceded that desires should be correct. As to how the principle 

of correctness is to be obtained, he had to assume that concrete 

things have in them the tendency toward correctness. 

In one respect he perpetuated the Sung-Ming Neo-Confucian tradition 

and pushed it further, notably the doctrine that things are daily renewed. 

Like Neo-Confucianists before him, he conceived of the universe as a 

process of continuous production and reproduction. In this process, the 

yin and yang elements (passive and active cosmic forces) of material 

force are in constant fusion and intermingling, so that both material 

force and principle are daily renewed. 

Applied to government and history, this philosophy leads to some unorthodox 

and bold conclusions. Since principle is found only in concrete 

objects and systems, there is no Principle of Nature which Sung-Ming 

Neo-Confucianists employed as the model for history and society. 

Furthermore, since concrete things at present are different from those 

in the past, the past cannot be a pattern for today. This is the reason why 

he rejected feudalism. He also believed that the later the period, the 

more civilized society becomes. The ideas of progress and evolution are 

unmistakable. But he also felt that inasmuch as concrete things are 

never isolated but are always related and change from time to time, they 

3 For the translation of this ch'i as "concrete thing," see Appendix, comment on 

Ch'i. 

693

NEO-CONFUCIAN MATERIALISM 

follow certain principles in them. This being their tendency, it is wise 

for us to follow them. Here we have a conservative note in an essentially 

radical philosophy. 

From the above, it is clear that while Wang clearly departed from 

Neo-Confucianism, he nevertheless continued its heritage to some extent. 

He is still close to Chu Hsi (1130-1200), though he is definitely 

opposed to Wang Yang-ming (Wang Shou-jen, 1472-1529). He was not 

the only one at his time, nor the first in Chinese history, to hold that 

principle is identical with material force. Liu Tsung-chou (1578-1645) 

had taught it 4 and Wang's contemporary, Huang Tsung-hsi (1610- 

1695) had said the same thing. 5 But none had built up a whole philosophical 

system on the basis of this concept. His revolt against principle 

in favor of concrete things and against the Principle of Nature in favor 

of human desires anticipated Yen Yuan (Yen Hsi-chai, 1635-1704) 

and Tai Chen (Tai Tung-yüan, 1723-1777). He also exerted considerable 

influence on T'an Ssu-t'ung (1865-1898). 

Wang's ideas spread over many works. The following selections are 

from the Ch'uan-shan i-shu (Surviving Works of Wang Fu-chih). 

1. THE WORLD OF CONCRETE THINGS 

The world consists only of concrete things. The Way (Tao) is the 

Way of concrete things, but concrete things may not be called concrete 

things of the Way. People generally are capable of saying that without 

its Way there cannot be the concrete thing. However, if there is the concrete 

thing, there need be no worry about there not being its Way. A 

sage knows what a superior man does not know, but an ordinary man or 

woman can do what a sage cannot do. A person may be ignorant of the 

Way of a thing, and the concrete thing therefore cannot be completed. 

But not being completed does not mean that there is no concrete thing. 

Few people are capable of saying that without a concrete thing there 

cannot be its Way, but it is certainly true. 

Comment. Ch'eng Hao (Ch'eng Ming-tao, 1032-1085) also 

equated the Way with concrete things. 6 However, Ch'eng's emphasis 

is on the Way, while Wang's emphasis is on concrete things. 

In the period of wilderness and chaos, there was no Way to bow and 

yield a throne. At the time of Yao and Shun, 7 there was no Way to pity 

the suffering people and punish the sinful rulers. During the Han 

(206 B.C.-A.D. 220) and T'ang (618-907) dynasties there were no Ways 

4 Liu Tzu ch'üan-shu (Complete Works of Master Liu), 11:3a. 

5 Nan-lei wen-ting (Literary Works of Huang Tsung-hsi), SPTK, 3:6b. 


7 Legendary emperors (3rd millennium B.C.). 

694

WANG FU-CHIH 

as we have today, and there will be many in future years which we do 

not have now. Before bows and arrows existed, there was no Way of 

archery. Before chariots and horses existed, there was no Way to 

drive them. Before sacrificing oxen and wine, presents of jade and silk, 

or bells, chimes, flutes, and strings existed, there were no Ways of ceremonies 

and music. Thus there is no Way of the father before there is a 

son, there is no Way of the elder brother before there is a younger 

brother, and there are many potential Ways which are not existent. 

Therefore without a concrete thing, there cannot be its Way. This is 

indeed a true statement. Only people have not understood it. 

Sages of antiquity could manage concrete things but could not manage 

the Way. What is meant by the Way is the management of concrete 

things. When the Way is fulfilled, we call it virtue. When the concrete 

thing is completed, we call it operation. When concrete things function 

extensively, we call it transformation and penetration. When its effect 

becomes prominent, we call it achievement. . . . 

By "what exists before physical form" [and is therefore without it] 8 

does not mean there is no physical form. There is already physical form. 

As there is physical form, there is that which exists before it. Even if 

we span past and present, go through all the myriad transformations, and 

investigate Heaven, Earth, man, and things to the utmost, we will not 

find any thing existing before physical form [and is without it]. Therefore 

it is said, "It is only the sage who can put his physical form into full 

use." 9 He puts into full use what is within a physical form, not what is 

above it. Quickness of apprehension and intelligence are matters of the 

ear and the eye, insight and wisdom those of the mind and thought, humanity 

that of men, righteousness that of events, equilibrium and harmony 

those of ceremonies and music, great impartiality and perfect 

correctness those of reward and punishment, advantage and utility those 

of water, fire, metal, and wood, welfare that of grains, fruits, silk, and 

hemp, and correct virtue that of the relationship between ruler and minister 

and between father and son. If one discarded these and sought for 

that which existed before concrete things, even if he spanned past and 

present, went through all the myriad transformations, and investigated 

Heaven, Earth, man, and things to the utmost, he would not be able to 

give it a name. How much less could he find its reality! Lao Tzu was 

blind to this and said that the Way existed in vacuity. But vacuity is the 

vacuity of concrete things. The Buddha was blind to this and said that the 

Way existed in silence. But silence is the silence of concrete things. One 

may keep on uttering such extravagant words to no end, but one can 

8 

Changes, "Appended Remarks," pt. 1, ch. 12. Cf. Legge, trans., Yi King, 

p. 377. 

9 


695


never escape from concrete things. Thus if one plays up some name that 

is separated from concrete things as though he were a divine being, whom 

could he deceive? (Chou-i wai-chuan, or Outer Commentary on the 

Book of Changes, 5:25a-b, in Ch'uan-shan i-shu, 1933 ed.) 

2. SUBSTANCE AND FUNCTION 

All functions in the world are those of existing things. From their 

functions I know they possess substance. Why should we entertain any 

doubt? Function exists to become effect, and substance exists to become 

nature and feelings. Both substance and function exist, and each depends 

on the other to be concrete. Therefore all that fills the universe 

demonstrates the principle of mutual dependence. Therefore it is said, 

"Sincerity (realness) is the beginning and end of things. Without sincerity 

there will be nothing." 10 

What is the test for this? We believe in what exists but doubt what 

does not exist. I live from the time I was born to the time I die. As there 

were ancestors before, so there will be descendants later. From observing 

the transformations throughout heaven and earth, we see the productive 

process. Is any of these facts doubtful?. . . . Hold on to the concrete 

things and its Way will be preserved. Cast aside the concrete things 

and its Way will be destroyed. . . . Therefore those who are expert in 

speaking of the Way arrive at substance from function but those who are 

not expert in speaking of the Way erroneously set up substance and dismiss 

function in order to conform to it. 

Comment. That substance and function come from the same 

source is a persistent tradition in both Chinese Buddhism and Neo- 

Confucianism. Wang, however, obviously gives priority to function. 

Nowhere else in the history of Chinese philosophy is function 

stressed so strongly. 

The state preceding man's birth when his nature is tranquil is beyond 

their knowledge. Sometimes when they happen to exercise their intelligence 

abnormally, they paint a picture out of the void, and perforce 

call it substance. Their intelligence gives them what they are looking for, 

surveys all things and gets an echo of them, and is therefore able to 

dismiss all functions completely. From this point on, they can indulge 

in their perverse doctrines. But how much better it is to seek in the 

realm where [the process of Change] is acted on and immediately penetrates 

all things, 11 daily observe its transformations and gradually dis- 


11 The reference is to Changes, "Appended Remarks," pt. 1, ch. 10. Cf. Legge, 

trans., Yi King, p. 370. 

696

WANG FU-CHIH 

cover their origin? Therefore if we get hold of descendants and ask for 

their ancestors, their genealogical lines will not be confused. But how 

can one correctly imagine the names of descendants when he passes by 

the ancestral temples and graves? (ibid., 2:1a-1b) 

3. BEING AND NON-BEING 

Those who talk about non-being do so because they are roused by 

speakers of being and want to demolish it, and on the basis of what the 

speakers call being, they say that being does not exist. Is there really 

anything in the world that can be called non-being? To say that a tortoise 

has no hair is to talk about a dog [for example, which has hair] and not 

a tortoise. To say that a rabbit has no horn is to talk about a deer and 

not a rabbit. A speaker must have a basis before his theory can be established. 

Suppose a speaker wants to establish non-being in front of 

him as the basis. Even if he extensively searches for it throughout the 

universe and throughout history, there will be no end. (Ssu-wen lu, or 

Record of Thoughts and Questionings, "inner chapter," p. 7a, in Ch'uanshan 

i-shu) 

There will really be non-being only when there is nothing which can 

be described as non-being. Since non-being is so-called, it follows that 

it is merely a denial of being. Because the eye cannot see a thing or the 

ear cannot hear it, people hastily say that it does not exist. They are 

obscured because they follow their inferior faculties (eye and ear). 

Good and evil can be seen and heard but that which produces good and 

evil cannot be seen or heard. Therefore people hastily say that there is 

neither good nor evil. (ibid., p. 9b) 

Those who speak of non-self do so from the point of view of the self. 

If there were no self, who is going to deny the self? It is obvious that to 

speak of non-self is to utter extravagant and evasive words. (ibid., 

p. 11a) 

4. PRINCIPLE AND MATERIAL FORCE 

Principle depends on material force. When material force is strong, 

principle prevails. When Heaven accumulates strong and powerful material 

force, there will be order, and transformations will be refined and 

daily renewed. This is why on the day of religious fasting an emperor 

presents an ox [to Heaven] so that the material force will fill the universe 

and sincerity will penetrate everything. All products in the world are 

results of refined and beautiful material force. Man takes the best of it 

to nourish his life, but it is all from Heaven. Material force naturally becomes 

strong. Sincerity naturally becomes solidified. And principle 

naturally becomes self-sufficient. If we investigate into the source of 

697


these phenomena, we shall find that it is the refined and beautiful transformation 

of Heaven and Earth. (ibid., p. 12b) 

At bottom principle is not a finished product that can be grasped. It 

is invisible. The details and order of material force is principle that is 

visible. Therefore the first time there is any principle is when it is seen 

in material force. After principles have thus been found, they of course 

appear to become tendencies. We see principle only in the necessary 

aspects of tendencies. (Tu Ssu-shu ta-ch'üan shuo or Discussions After 

Reading the Great Collection of Commentaries on the Four Books, 

9:5a, in Ch'uan-shan i-shu) 

Let us investigate principle as we come into contact with things but 

never set up principle to restrict things. What I dislike about the heterodoxical 

schools is not that they cannot do anything with principle, but 

that because they clearly have scarcely understood principle they set it 

up as a generalization for the whole world. . .. The heterodoxical schools 

say, "None of the myriad transformations can go beyond our basis." 

The basis is clearly what they have scarcely understood. But inasmuch 

as they say it is their basis, can it produce all the myriad transformations? 

If it cannot produce these transformations, then it is they who cannot 

go beyond their basis and not the myriad transformations. . . . They 

(natural phenomena) all follow principle to accomplish their work. It is 

permissible to say that their principle is identical with the order of their 

basis. But if they say that all that work is the construction and operation 

of their basis, who will believe them unless one is the most boastful 

talker in the world? (Hsü Ch'un-ch'iu Tso-shih chuan po-i, or Extensive 

Discussion to Supplement Tso's Commentary on the Spring and Autumn 

Annals, pt. 2, p. 4a, in Ch'uan-shan i-shu) 

5. UNCEASING GROWTH AND 

MAN'S NATURE AND DESTINY 

The fact that the things of the world, whether rivers or mountains, 

plants or animals, those with or without intelligence, and those yielding 

blossoms or bearing fruits, provide beneficial support for all things is 

the result of the natural influence of the moving power of material force. 

It fills the universe. And as it completely provides for the flourish and 

transformation of all things, it is all the more spatially unrestricted. As 

it is not spatially restricted, it operates in time and proceeds with time. 

From morning to evening, from spring to summer, and from the present 

tracing back to the past, there is no time at which it does not operate, 

and there is no time at which it does not produce. Consequently, as one 

sprout bursts forth it becomes a tree with a thousand big branches, and 

as one egg evolves, it progressively becomes a fish capable of swallowing 

698

WANG FU-CHIH 

a ship. . . . (Chou-i nei chuan, or Inner Commentary on the Book of 

Changes, 3:36a, in Ch'uan-shan i-shu) 

Comment. The power to change lies within material force itself. In 

the passage below, Wang seems to say that daily growth is due to 

the Mandate of Heaven. Actually, he is emphasizing that even the 

Mandate of Heaven grows every day. 

By nature is meant the principle of growth. As one daily grows, one 

daily achieves completion. Thus by the Mandate of Heaven is not meant 

that Heaven gives the decree (ming, mandate) only at the moment of 

one's birth. ... In the production of things by Heaven, the process of 

transformation never ceases. It is not that at the moment of birth there 

is no decree. How do we know that there is a decree? Without it, humanity, 

righteousness, propriety, and wisdom would be without any foundation. 

Similarly, when one grows from infancy to youth, from youth to 

maturity, and from maturity to old age, it is not that there are no [continual] 

decrees. How do we know that there are such decrees? For without 

further decrees, then as the years pass by, one's nature would be 

forgotten. A change in physical form is a change leading to excellence. 

A change through material force, however, is a change leading to growth. 

The evolution of the two material forces (yin and yang or passive and 

active cosmic forces) and the substance of the Five Agents (Water, 

Fire, Wood, Metal, and Earth) are first used to become an embryo and 

later for growth and support. In either case, there is no difference in the 

acquisition of the vital essence and the utilization of things, for they all 

come from the excellence of production by Heaven and Earth. The 

physical form gets its support every day, every day the material force 

enjoys its flourish, and principle attains completion every day. These 

things are received as one is born, but as one continues to live for a day, 

one keeps receiving them for a day. What one receives has a source. Is 

this not Heaven? Thus Heaven gives decrees to man every day and man 

receives decrees from Heaven every day. Therefore we say that by 

nature is meant the principle of growth. As one daily grows, one daily 

achieves completion. . . . 

Since the mandate is never exhausted and is not constant, therefore 

nature repeatedly changes and is perpetually different. At the same time, 

as principle is fundamentally correct and is without any inherent defect, 

therefore it can return to its own principle without difficulty. What is not 

completed can be completed, and what has been completed can be 

changed. Does nature mean that once one has received a physical form, 

there cannot be any alteration? Therefore in nourishing his nature, the 

superior man acts naturally as if nothing happens, but that does not 

699


mean that he lets things take their own course. Instead, he acts so as to 

make the best choices and remain firm in holding to the Mean, and dares 

not go wild or make careless mistakes. (Shang-shu yin-i, or Elaboration 

on the Meanings of the Book of History, 3:6a-7b, in Ch'uan-shan i-shu) 

6. THE PRINCIPLE OF NATURE AND HUMAN DESIRES 

Although rules of propriety are purely detailed expressions of the 

Principle of Nature, they must be embodied in human desires to be seen. 

Principle is a latent principle for activities, but its function will become 

prominent if it varies and conforms to them. It is precisely for this reason 

that there can never be a Heaven distinct from man or a principle distinct 

from desires. It is only with the Buddhists that principle and desires 

can be separated. . . . Take fondness for wealth and for sex. Heaven, 

working unseen, has provided all creatures with it, and with it man puts 

the great virtue of Heaven and Earth into operation. They all regard 

wealth and sex as preserved resources. Therefore the Book of Changes 

says, "The great characteristic of Heaven and Earth is to produce. The 

most precious thing for the sage is [the highest] position. To keep his 

position depends on humanity. How to collect a large population depends 

on wealth." 12 Thus in sound, color, flavor, and fragrance we can broadly 

see the open desires of all creatures, and at the same time they also constitute 

the impartial principle for all of them. Let us be broad and greatly 

impartial, respond to things as they come, look at them, and listen to them, 

and follow this way in words and action without seeking anything outside. 

And let us be unlike Lao Tzu, who said that the five colors blind 

one's eyes and the five tones deafen one's ears, 13 or the Buddha, who 

despised them as dust and hated them as robbers. ... If we do not understand 

the Principle of Nature from human desires that go with it, then 

although there may be a principle that can be a basis, 14 nevertheless, it 

will not have anything to do with the correct activities of our seeing, 

hearing, speech, and action. They thereupon cut off the universal operation 

of human life, and wipe it out completely. Aside from one meal a 

day, they would have nothing to do with material wealth and aside from 

one sleep under a tree, they would have nothing to do with sex. They 

exterminate the great character of Heaven and Earth and ruin the great 

treasure of the sage. They destroy institutions and eliminate culture. 

Their selfishness is ablaze while principles of humanity are destroyed. 

It is like the fire of thunder or a dragon. The more one tries to overcome 



14 Wang's own note: Like the Taoist emphasis on the supremely profound 

principle (hsüan) and the Buddhist seeing the Buddha-nature. 

700

WANG FU-CHIH 

it, the more it goes on. Mencius continued the teaching of Confucius 

which is that wherever human desires are found, the Principle of Nature 

is found. (Tu Ssu-shu ta-ch'üan shuo, 8:10b-11a) 

7. HISTORY AND GOVERNMENT 

For the best way of government, there is nothing better than to examine 

the Book of History and modify it with the words of Confucius. 

But the central point is whether the ruler's heart is serious or dissolute. 

The danger lies in being too lax or too harsh. Those who are deficient 

are lazy, and those who are excessive are impatient. The great function 

of government is to make use of worthy men and promote education. 

In dealing with people, it should bestow humanity and love to the highest 

degree. Whether in the government of Yao and Shun, or in the Three 

Dynasties, 15 or from the Ch'in (221-206 B.C.) and Han down to the 

present, in no case can these principles not be extended and applied. 

Whether the administration or the selection of officials, the equalization 

of taxes and the conscription for service, the management of the army 

and weapons, the regulation of punishment, or the institution of law and 

ceremonies, they all depend on these principles to attain their appropriateness. 

As to setting up schemes or arranging for details, neither the 

Book of History nor Confucius said anything about them. Is it because 

they ignored substance and overlooked details? Probably because the 

ancient institutions were meant to govern the ancient world and cannot 

be generally followed today, the superior man does not base his activities 

on them, and because what is suitable today can govern the world of 

today but will not necessarily be suitable for the future, the superior man 

does not hand it down to posterity as a model. Therefore neither the 

Book of History nor Confucius talked about the regulations for the 

feudal system, the "well-field" system, 16 feudal lords' meetings and 

audience with the emperor, punitive expeditions, the establishment of 

offices, or the bestowing of emolument. How then dare anyone who is 

not equal in virtue to sage-emperors Shun and Yü 17 or Confucius determine 

the fundamental standards for ten thousand generations with 

what they have memorized and recited in books? There is a section 

entitled "The Tribute to Yü" in the "Book of Hsia" (of the Book of 

History) but the section is confined to Yü (founder of Hsia). Thus 

15 Hsia, 2183-1752 B.C., Shang, 1751-1112 B.C., and Chou, 1111-249 B.C. 

16 The system, most probably legendary, in which a piece of land was divided 

into nine squares, thus looking like the Chinese character for a well. Eight families 

would each cultivate a square for its own support and cultivate the central 

square jointly for the government. 

17 Founder of the Hsia dynasty, r. 2183-2175 B.C.? 

701


the systems of the Hsia dynasty did not operate in the Shang or Chou. 

There is also a section entitled "Institutes of Chou" in the "Book of 

Chou," but this section is confined to the Chou dynasty. Thus the 

regulations of the Chou did not follow those of Shang or Hsia. . . . 

(Tu T'ung-chien lun, or Discussions After Reading the Mirror of Universal 

History, last chapter, p. 42-b, in Ch'uan-shan i-shu) 

702

... 37 ... 

PRACTICAL CONFUCIANISM IN YEN YÜAN 

IN REACTION to the speculative Neo-Confucianism of Sung (960- 

1279) and Ming (1368-1644) times and to some extent under the influence 

of Western knowledge introduced by Jesuits, Confucianists in 

the seventeenth century turned to practical learning and objective truth. 

Both Ku Yen-wu (1613-1682) and Yen Jo-ch'ü (1636-1704), the two 

leading Confucianists of the century, attacked Sung-Ming Neo-Confucianism 

and demanded practical and objective study. We have already 

seen Wang Fu-chih's (Wang Ch'uan-shan, 1619-1692) radical departure 

from earlier Neo-Confucianism. Yen Yüan (Yen Hsi-chai, 1635- 

1704) 1 went much further than all of them. In spite of the new spirit, 

the general tendency at the time was to compromise between the rationalistic 

Neo-Confucianism of Chu Hsi (1130-1200) and the idealistic 

Neo-Confucianism of Wang Yang-ming (Wang Shou-jen, 1472-1529). 

Yen, however, turned away from them completely and went directly 

back to Confucius and Mencius. 

Yen Yuan considered the Neo-Confucian sitting in meditation and 

book learning as a waste of time and a sure cause for social degeneration. 

To him, principle (li), nature, destiny, and the sincerity of the will, and 

similar subjects close to the hearts of Sung-Ming Neo-Confucianists can 

be found only in practical arts like music, ceremony, agriculture, and 

military craft. He himself practiced medicine while he taught, and later 

he farmed with his students. He taught them mathematics, archery, 

weight-lifting, singing, dancing, and so forth. In his school, there were 

four halls for classics and history, literary matters, military craft, and 

practical arts. Like Wang Fu-chih, he believed that there is no principle 

apart from material force (ch'i). Opposed to Sung-Ming Neo-Confucianists, 

he insisted that physical nature is just as good as human nature 

itself. The investigation of things is to him not a study of principle, as in 

Chu Hsi, nor an examination of the mind, as in Wang Yang-ming, but 

learning from actual experience and solving practical problems. No one 

had so uncompromisingly opposed the several centuries of thought before 

him, and none had stressed practical experience so forcefully. 

Nevertheless, as in the case of Wang Fu-chih, he was not free from the 

1 Yen was a native of Chih-li. As a youth he studied fencing and later studied 

military craft. In his twenties he was first interested in the idealism of Wang Yangming 

but later shifted to the rationalism of Chu Hsi. He was a poor man. In 1696 

he was invited to be the director of an academy. There he put his theory of practical 

learning into practice. For details of his life, see Hummel, ed., Eminent Chinese, 

pp. 912-915. 

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PRACTICAL CONFUCIANISM 

pattern of thought of his own day. He looked back to Confucius and 

Mencius. He advocated the return to the "well-field" system supposedly 

in practice in ancient times, in which land was equally divided into nine 

squares, thus resembling the Chinese character for a well, and in which 

eight families would cultivate a square each for its own support and 

jointly cultivate the central square for the government. What he called 

the practical affairs were the "six departments" dealing with water, fire, 

metal, wood, soil, and grains, the "six virtues" of wisdom, humanity, 

sageliness, righteousness, loyalty, and peace, the "six arts" of ceremonies, 

music, archery, carriage driving, writing, and mathematics, and the like 

taught in the ancient Classics. Tempered by this conservativism, his 

teachings, however dynamic, did not develop into a strong movement. 

He had few followers, although his pupil Li Kung (1659-1733), who 

reiterated his teachings, became as well known as he. But his school did 

not last, for all his targets of attack, like the doctrines of Chu Hsi, book 

learning, and literary composition, were still popular among Confucian 

scholars. And his attack on Chu Hsi was intolerable. Nevertheless his 

new ideas prepared for Tai Chen (Tai Tung-yüan, 1723-1777) and 

greatly strengthened the growing tendency toward practical learning. 

Yen Yüan's philosophical ideas are quite naive and superficial; he 

was really not much of a philosopher. The following selections are intended 

to bring out his most philosophical points. 

1. IN DEFENSE OF PHYSICAL NATURE 

Master Ch'eng [Hao (Ch'eng Ming-tao, 1032-1085)] said that in discussing 

human nature and material force, "It would be wrong to consider 

them as two." 2 But he also said, "Due to the material force with which 

men are endowed, some become good from childhood and others become 

evil." 3 Chu Hsi said, "As soon as there is the endowment by Heaven, 

there is the physical nature. They cannot be separated," 4 but he also said, 

"Since there is this principle, why is there evil? What is called evil is 

due to material force." 5 It is regrettable that although they were highly 

intelligent, they were unwittingly influenced and confused by the Buddhist 

doctrine of the "Six Robbers" (the six senses, which avoid perception 

or give wrong perception), and said two different things in the 

same breath without realizing it. If we say that material force is evil, 

then principle is also evil, and if we say that principle is good, then material 

force is also good, for material force is that of principle and prin- 


3 ibid., 1:7b. 


5 ibid., 4:9b. 

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YEN YUAN 

ciple is that of material force. How can we say that principle is purely 

and simply good whereas material force is inclined to be evil? 

Take the eye, for example. Its socket, lid, and ball are its physical 

nature, whereas that which possesses vision and can perceive things is 

its nature. Shall we say that principle of vision sees only proper colors 

whereas the socket, lid, and ball see improper colors? I say that while 

this principle of vision is of course endowed by Heaven, the socket, lid, 

and ball are all endowed by Heaven. There is no need any more to distinguish 

which is the nature endowed by Heaven and which is physical 

nature. We should only say that Heaven endows man with the nature 

of his eyes. The fact that one can see through vision means that the 

nature of the eye is good. The act of seeing is due to the goodness of its 

feeling [which is the external expression of the nature]. Whether one 

sees distinctly or not and whether one sees far or not depends on the 

strength or weakness of its capacity. None of these can be spoken of as 

evil, for it is of course good to see distinctly and far, but to see near and 

indistinctly merely means that the goodness is not refined. How can we 

attribute any evil to them? It is only when vision is attracted and agitated 

by improper and evil colors which obstruct or becloud its clearness 

that there is evil vision, and only then can the term "evil" be applied. But 

is human nature to be blamed for the attraction and agitation? Or shall 

physical nature be blamed? If we blame physical nature, it surely means 

that the nature of the eye can be preserved only when the eye is eliminated. 

If this is not the Buddhist doctrine of "Six Robbers," what is 

it?. . . 

Comment. For several hundred years Neo-Confucianists had regarded 

physical nature as the source of evil. Yen threw this theory 

overboard. He still had to explain the origin of evil, of course, and 

he ascribed it to attraction and agitation from outside. These have 

to come through physical nature, and therefore it can be said that 

he is not entirely different from the Sung-Ming Neo-Confucianists. 

However, to them physical nature itself is the cause for evil. To 

Yen, on the other hand, it is only the means. 

Originally Chu Hsi understood nature, but he was influenced by Buddhists 

and mixed up with the bad habits of people of the world. Had 

there been no doctrine of physical nature advocated by Ch'eng I (Ch'eng 

I-ch'uan, 1033-1107) and Chang Tsai (Chang Heng-ch'ü, 1020-1077), 6 

we would surely distinguish man's nature, feeling, and capacity, on the 

one hand, and attraction, obscuration, and bad influence, on the other, 

and the fact that man's nature, feeling, and capacity are all good and that 


705


evil originates later would be perfectly clear. But as these former scholars 

inaugurated this doctrine, they forthwith ascribed evil to physical nature 

and sought to transform it. Have they never thought that physical nature 

is a concentration of the two material forces (yin and yang or passive 

and active cosmic forces) and the Four Virtues (Origination, Flourish, 

Advantage, and Firmness)? 7 How can we say that it is evil? Evil is due 

to attraction, obscuration, and bad influence. . . . 

Comment. In saying that evil is due to bad influence and so forth, 

Yen is practically repeating Mencius. In fact, in his whole concept 

on human nature, he went directly back to Mencius. Later, Tai 

Chen did the same. 

Scholars often compare human nature with water, material force with 

earth, and evil with turbidity. 8 They regard physical nature, which is the 

loftiest, as the most honorable and the most useful endowment given to 

man by Heaven and Earth, as if it were a burden to his human nature. 

They did not realize that if there were no physical nature, to what will 

principle be attached? Furthermore, if physical nature were discarded, 

then human nature would become an empty principle without any function 

in the world. . . . 

Master Ch'eng Hao (using water as an analogy) said, "Although 

they differ in being clear or turbid, we cannot say that the turbid water 

ceases to be water." 9 Does this not mean that although good and evil 

are different, it is incorrect to regard evil not as nature? Is this not precisely 

to regard evil as the property of physical nature? Let me ask: Is 

turbidity the physical nature of water? I am afraid that clearness and 

calmness are the physical nature of water and that what is turbid is a 

mixture with earth which is originally absent from the nature of water, 

just as human nature is subject to attraction, obscuration, and bad influence. 

Turbidity may be of high or low degree, and may be of great 

or small quantity, just as attraction, obscuration, and bad influence may 

be heavy or light and deep or shallow. If it is said that turbidity is the 

physical nature of water, then it would mean that turbid water has 

physical nature but clear water is without it. How can that be?. . . . 

(Ts'un-hsing pien, or Preservation of Human Nature, 1:1a-3b, in Yen- 

Li ts'ung-shu or Yen Yüan and Li Kung Collection, 1923 ed.) 

7 These are the characteristics of Change, the universal process of creation and 

existence. The Chinese term may be translated as "Four Powers," which would 

indicate that the four are dynamic in character, but "Four Virtues" retains the 

literal meaning of te and, furthermore, indicates that the four are good. 

8 For example, Cheng Hao. See above, ch. 31, sec. 7. 

9 I-shu, 1:7b. 

706

YEN YÜAN 

2. THE IDENTITY OF PRINCIPLE AND 

MATERIAL FORCE 

The nature of the ten thousand things is an endowment of principle, 

and their physical nature is a consolidation of material force. What is 

balanced is this principle and material force, what is unbalanced is also 

this principle and this material force, and what is mixed is none other 

than this principle and this material force. What is lofty and bright is 

this principle and this material force, and what is lowly and dark is also 

this principle and this material force. What is clear or sturdy is this 

principle and this material force, and what is turbid or slight is also this 

principle and this material force. The long and the short, the perfect and 

the imperfect, the penetrating and the obstructed, are none other than 

this principle and material force. 

As to man, he is especially the purest of all things, one who "receives 

at birth the Mean of Heaven and Earth (balanced material force)." 10 

The two material forces and the Four Virtues are man before his consolidation, 

and man is the two material forces and the Four Virtues after 

their consolidation. As the Four Virtues are preserved in man, they are 

humanity, righteousness, propriety, and wisdom. They are called the 

nature with reference to the internal existence of origination, flourish, 

advantage, and firmness. When externally manifested, they become commiseration, 

shame and dislike, deference and compliance, and the sense 

of right and wrong. These are called feelings with reference to the application 

of the Four Virtues to things. Capacity is that which manifests 

one's nature in feelings; it is the power of the Four Virtues. To say that 

feeling involves evil is to say that the Four Virtues before manifestation 

is not the same as the Four Virtues after manifestation. To say that capacity 

involves evil is to say that what is preserved is the Four Virtues 

but what can be aroused into action is not the Four Virtues. And to 

say that physical nature involves evil is to say that the principle of the 

Four Virtues may be called the Way of Heaven but the material force of 

the Four Virtues may not be so called. Alas! Is there in the world any material 

force without principle, or principle without material force? Are 

there principle and material force outside of yin and yang and the Four 

Virtues? (ibid., 2:2b-3a) 

3. LEARNING THROUGH EXPERIENCE 

Knowledge has no substance of its own. Its substance consists of 

things. It is similar to the fact that the eye has no substance of its own; 

10 I-shu, l:3a. Although it is not indicated whether this is an utterance by 

Ch'eng I or Ch'eng Hao, it is most likely by the latter. See above, ch. 31, sec. 4. 

707


its substance consists of physical forms and colors. Therefore although 

the human eye has vision, if it does not see black or white, its vision cannot 

function. Although the human mind is intelligent, if it does not ponder 

over this or that, its intelligence will find no application. Those who 

talk about the extension of knowledge today mean no more than reading, 

discussion, questioning, thinking, and sifting, without realizing that the 

extension of one's knowledge does not lie in these at all. Take, for example, 

one who desires to understand the rules of propriety. Even if he 

reads a book on the rules of propriety hundreds of times, discusses and 

asks scores of times, thinks and sifts scores of times, he cannot be considered 

to know them at all. He simply has to kneel down, bow, and 

otherwise move, hold up the jade wine-cup with both hands, hold the 

present of silk, and go through all these himself before he knows what 

the rules of propriety really are. Those who know propriety in this way 

know them perfectly. Or take, for example, one who desires to know 

music. Even if he reads a music score hundreds of times, and discusses, 

asks, thinks, and sifts scores of times, he cannot know music at all. He 

simply has to strike and blow musical instruments, sing with his own 

voice, dance with his own body, and go through all these himself before 

he knows what music really is. Those who know music this way know it 

perfectly. This is what is meant by "When things are ko (investigated, 

reached, etc.), true knowledge is extended." 11 . . . . The word ko is the 

same as that in the expression, "Ko (submit and kill) fierce animals 

with one's own hands." (Ssu-shu cheng-wu, or Corrections of Wrong 

Interpretations of the Four Books, 1:2b, in Yen-Li ts'ung-shu) 

Comment. Several important points are indicated in these simple 

statements: Learning is an active pursuit through personal experience. 

The object of knowledge is not ideas but actual and concrete 

things, and knowledge and action form a unity. Without saying, 

he selected only those experiences that would support his case, 

but if his logic is defective, his outlook is extremely modern. As to 

his interpretation of ko, he comes close to Ssu-ma Kuang (1019- 

1086) and is diametrically opposed to Ch'eng I and Chu Hsi. 12 



708

... 38 ... 

TAI CHEN'S PHILOSOPHY OF PRINCIPLE 

AS ORDER 

IN EIGHTEENTH-CENTURY CHINA, the rationalistic Neo-Confucianism 

of Chu Hsi (1130-1200) was still influential, but the tide 

had turned against it. The movement, inaugurated by Ku Yen-wu 

(1613-1682) and Yen Jo-ch'ü (1636-1704), to search for objective 

truth and shun speculation had by this time become strong and extensive. 

Scholars refused to accept anything without evidence, and their sole interest 

was to get at the truth through concrete facts. Consequently, the 

movement has been called "Investigations Based on Evidence." Although 

their center of interest was still the Confucian Classics, they were 

deeply engaged in studying such concrete subjects as philology, history, 

astronomy, mathematics, geography, collation of texts, and the like. 

They revolted against the abstract learning of the Sung dynasty (960- 

1279) of which rationalistic Neo-Confucianism was the major product, 

and looked to the earliest studies of the Classics during the Han (206 

B.C.-A.D. 220) for evidence. For this reason, the movement is also 

known as Han Learning. It is characterized philosophically by a revolt 

against Chu Hsi, and methodologically by objective, inductive, and critical 

methods. The towering figure in this whole movement was Tai Chen 

(Tai Tung-yüan, 1723-1777). 

Actually Tai was better known as a Great Master of Investigations- 

Based-on-Evidence than as a philosopher. But his investigations and 

philosophy are really inseparable, for they reinforce each other. He was 

an expert in mathematics, astronomy, water-works, phonetics, collation 

of texts, and textual criticism, in which he employed critically the inductive 

and comparative methods. Unlike his contemporaries who pursued 

investigation-based-on-evidence for their own sake, he regarded 

them as primarily a means to reveal truth. At the same time, because of 

his method and concrete studies, he viewed truth as an order, a systematic 

arrangement of concrete, ordinary daily matters and human affairs. 

Obviously a thinker of this frame of mind would not entertain an abstract, 

transcendental concept of principle (li), which, he said, the Neo- 

Confucianists of Sung and Ming (1368-1644) looked upon "as if it were 

a thing." To him, principle was nothing but the order of things, and by 

things he understood "daily affairs such as drinking and eating." 

The concept of principle as order goes back to Han times and so Tai 

was not original in this respect. But none had developed the idea as 

709

PRINCIPLE AS ORDER 

fully as he and none had pushed it more forcefully. With such a concept 

of principle as the premise, it follows that the way to investigate principle 

is not by intellectual speculation, as in the case of Chu Hsi, or by 

introspection of the mind, as in the case of Wang Yang-ming (Wang 

Shou-jen, 1472-1529), but by a critical, analytical, minutely detailed, 

and objective study of things. 

His concept of principle led him also to oppose vigorously Sung-Ming 

Neo-Confucianists with regard to human feelings and desires, which he 

thought they had undermined. In his belief, principle can never prevail 

when feelings are not satisfied, for principle consists of "feelings that do 

not err." In point of fact, Sung-Ming Neo-Confucianists never condemned 

feelings and desires as such, only selfish and excessive ones, 

which are no different from those that err. It cannot be denied, however, 

that while Sung-Ming Neo-Confucianists contrast principle as good and 

desire as evil, Tai would not tolerate such an opposition. In this he drew 

support from Mencius' doctrine of the original goodness of human nature, 

and explains error in terms of selfishness. Since he maintained that 

principle is feelings that do not err, he had to postulate an unalterable, 

objective, and necessary principle as the standard. This is what he meant 

by "necessary" moral principles. He did not reject universal truth after 

all, except that he insisted that these are definite and inherent in concrete 

and ordinary things. 

In another respect he perpetuated a major doctrine of Sung-Ming 

Neo-Confucianists but again interpreted it in terms of order. To him as 

to Sung-Ming Neo-Confucianists, the universe is an unceasing process 

of production and reproduction. 1 However, this process is not just a 

universal operation. In addition, it is a natural order, an order in which 

basic moral values can be seen. 

Tai was perhaps the greatest thinker in the Ch'ing period (1644- 

1912). He was a poor man and never passed the higher civil service 

examinations. 2 He did not attack Chu Hsi until his late years. It was 

then that he wrote the Meng Tzu tzu-i shu-cheng (Commentary on the 

1 For this idea, see above, eh. 32, sec. 22, and ch. 34, sec. 84. 

2 He was a native of Anhui. The family being poor, he taught primary school 

in 1740-1742 in a place where his father was a cloth merchant. He continued 

studies and did tutoring and thus became acquainted with both established and 

potential scholars. His own scholarship was gradually making him famous. In 

1762, he obtained the "recommended person" degree. But he failed in the metropolitan 

examinations several times. In 1773, he was appointed a compiler of the 

famous Four Libraries by imperial command. He failed once more in the metropolitan 

examination in 1775 but was bestowed the degree of "presented scholar" 

and made an academician in the Han-lin Academy, a position of high honor. He 

continued his compilation work until death. For more information on him, see Hummel, 

ed., Eminent Chinese, pp. 695-700. 

710

TAI CHEN 

Meanings of Terms in the Book of Mencius), from which the following 

selections are made. It is his most important work and one that contains 

his most philosophical ideas. But for a hundred years it did not exert 

any influence, partly because his doctrines are not really profound and 

partly because interest in philosophy during the whole Ch'ing dynasty 

was very slight. In the twentieth century, however, he has suddenly 

become popular, undoubtedly because his philosophy suits the temper 

of the age. 

COMMENTARY ON THE MEANINGS 

OF TERMS IN THE BOOK OF MENCIUS 3 

1. On Principle (Li) 

Sec. 1. Li is a name given to the examination of the minutest details 

with which to make necessary distinctions. This is why it is called the 

principle of differentiation. In the case of the substance of things, we 

call it "fibre in muscle," "fibre in flesh," and "pattern and order" (wenli) 

. 4 When the distinctions obtain, there will be order without confusion. 

This is called order (t'iao-li). Mencius called Confucius a complete 

concert, 5 saying, "To begin the order (harmony of an orchestra) is the 

work of wisdom, and to terminate the order is the work of sageness." 6 

Sageness and wisdom reached their height in Confucius merely in the 

sense that order was attained. The Book of Changes says, "With the attainment 

of ease and simplicity all principles in the world will obtain." 7 

Ease and simplicity are mentioned here but not humanity (jen) and wisdom 

because the principle of ch'ien (Heaven) and k'un (Earth) are 

under discussion. The principle of ch'ien knows through the easy" means 

that it knows that humanity, love, justice, and altruism are the same. And 

"the principle of k'un accomplishes through the simple" 8 means that it 

accomplishes in such a simple way that nothing seems to happen. "He 

who attains to this ease will be easily understood. ... He who is easily 

understood will have adherents. ... He who has adherents can continue 

long. ... To be able to continue long shows the virtue of the worthy." 9 

One who answers to this description is a man of humanity. "He who attains 

to this simplicity will be easily followed. . . . He who is easily fol- 

3 This work consists of forty-three sections divided into three parts. Actually it 

is not a commentary on the Book of Mencius, Rather it is a discussion of philosophical 

concepts all of which are important in the Book of Mencius, which Tai 

quotes frequently. The edition used is that in Hu Shih's (1891-1962) Tai Tungyüan 

ti che-hsüeh (Philosophy of Tai Chen), Shanghai, 1927. 

4 Tai's own note: Also called "pattern and grains'' wen-lü, li and lü, being 

similar in pronunciation. 

5 Mencius, 5B:1. 6 ibid. 

7 "Appended Remarks,'' pt. 1, ch. 1. Cf. translation by Legge, Yi King, p. 349. 

8 ibid. 9 ibid.


lowed will achieve success. ... He who achieves success can become 

great. ... To be able to become great is the heritage of the worthy." 10 

One who answers this description is a man of wisdom. When events and 

situations in the world are distinct in their order and clear in their details 

and one responds to them with both humanity and wisdom, can there 

even be the slightest error? The Doctrine of the Mean says, "Pattern, 

order, refinement, and penetration enable him (the perfect sage) to exercise 

discrimination." 11 The Record of Music says, "Music is [the sound 

of the human mind] penetrating the order (li) of human relations." 12 

In his annotation Cheng K'ang-ch'eng (Cheng Hsüan, 127-200) said 

that "li means to differentiate." In the preface to his Shuo-wen chiehtzu 

(Explanation of Words and Elucidation of Characters), Hsü Shuchung 

(Hsü Shen, fl. A.D. 100) said, "[The inventor of the script] knew 

that [from the traces of birds and animals] patterns and order (fen-li) 

can be distinguished and differentiated." What the ancients understood 

as li was never anything like what is understood by latter-day scholars. 

Sec. 2. Question: What did the ancients mean when they speak of the 

Principle of Nature (T'ien-li)? 

Answer: Principle consists of feelings that do not err. Principle can 

never prevail when [correct] feelings are not satisfied. When one does 

something to others, one should examine oneself and think quietly to 

see whether he could accept if others did the same thing to him. When 

one gives some responsibility to others, one should examine himself and 

think quietly to see whether he could fulfill it if others give the same responsibility 

to him. When the measure of the self is applied to others, 

principle will become clear. The Principle of Nature (T'ien-li, Principle 

of Heaven) means natural discrimination. 13 With natural discrimination, 

one measures the feelings of others in terms of one's own, and there will 

be no injustice or imbalance. . . . When feelings are balanced and just, 

this means that like and dislike are in proper measure. It means accord 

with the Principle of Nature. 14 What the ancients understood as the 

10 ibid. 

11 Ch. 31. 

12 Book of Rites, "Record of Music." Cf. Legge, trans., Li Ki, vol. 2, p. 95. 

13 Fen-li, literally fibre in muscle, is extended to mean distinction and discrimination, 

especially between right and wrong. 

14 Tai's own note: In the Chuang Tzu, King Wen-hui's cook was cutting up a 

bullock. The cook himself said, "Following the natural fibres (t'ien-li), my 

chopper slips through the great cavities and slides through the great openings in 

accordance with the natural conditions. I did not attempt the central veins or 

their branches, or the connections between flesh and bone. How much less the 

great bones." T'ien-li is what he meant by cavities between the joints, and the 

chopper was not thick. To apply what is not thick to cavities is just like natural 

discrimination." (Prince Wen-hui was King Hui of Liang, r. 371-320 B.C. The 

story is found in Chuang-Tzu, ch. 3, NHCC, 2:2a. Cf. Giles, trans., Chuang Tzu, 

1961 ed., p. 48). 

712

TAI CHEN 

Principle of Nature was never anything like what is understood by 

latter-day scholars. 

Comment. Tai's relentless attack on the doctrine of the Principle of 

Nature was partly motivated by the fact that the Yung-cheng 

emperor (r. 1723-1735) used it as justification for his oppressive 

measures. 

Sec. 3. Question: If one measures the feelings of others by one's own 

without error, one will surely be in accord with principle in his deeds. 

What is the difference between feeling and principle? 

Answer: Feelings are the same in oneself as in others. They become 

principle when they are neither excessive nor deficient. The Book of 

Odes says, "Heaven produces the teeming multitude. As there are things, 

there are their specific principles. When the people keep to their normal 

nature, they will love excellent virtue." 15 Confucius said, "The writer 

of this poem indeed knew the Way (Tao)." 16 Elaborating on the poem, 

Mencius said, "Therefore as there are things, there must be their specific 

principles, and since people keep to their normal nature, therefore 

they love excellent virtue." 17 Specific principle means to regard keeping 

to [normal nature] and holding on to it as the standard, principle means 

to be in accord with the distinction in each case, and excellent virtue 

means to demonstrate concretely in words and action. A thing is an 

affair or event. When we talk about an event, we do not go beyond daily 

affairs such as drinking and eating. To neglect these and talk about 

principle is not what the ancient sages and worthies meant by principle. 

Sec. 10. Question: From the Sung dynasty on, those who talk 

about principle have maintained that what does not issue from principle 

issues from desire and what does not issue from desire issues from 

principle. They have therefore clearly drawn the line between principle 

and desire, and held that this is where the superior man and the inferior 

man are distinguished. Now, however, you hold that principle is feelings 

that do not err. This means that principle is contained in desires. Is it, 

then, wrong to have no desire? 

Answer: Mencius said, "For nourishing the mind there is nothing 

better than to have few desires." 18 It is clear that men should not be without 

desires at all but should have only a few. There is no greater pain 

in man's life than being unable to preserve and fulfill one's own life. 

To desire to preserve and fulfill one's own life and also to preserve and 

fulfill the lives of others is humanity (jen). To desire to preserve and fulfill 

one's own life to the point of destroying the lives of others without 

15 Ode no. 260. 16 Quoted in Mencius, 6A:6. 

17 ibid. 18 ibid., 7B:35. 

713


any regard is inhumanity. . . . Therefore it is correct to say that what 

does not issue from correctness issues from perverseness and what does 

not issue from perverseness issues from correctness, but not correct to 

say that what does not issue from principle issues from desire and what 

does not issue from desire issues from principle. Desire is a fact, whereas 

li is its specific principle (its measure of right and wrong).... Whatever 

issues from desire is always concerned with life and its support. When 

desire is wrong, it is the result of selfishness and not of obscuration. 19 

[The selfish person] thinks that he is in accord with principle but what 

he adheres to is erroneous. Consequently, he is obscured and unenlightened. 

The greatest troubles of people in the world, whether past or present, 

are the two items of selfishness and obscuration. Selfishness is the product 

of error in desire, and obscuration is the product of error in knowledge. 

Desire is produced by blood and vital force (ch'i), while knowledge 

is produced by the mind. People blame desire because of selfishness, 

and blame blood and vital force because of desire. Likewise, 

they blame knowledge because of obscuration and blame the mind 

because of knowledge! 20 This is why Lao Tzu said, "He (the sage) always 

causes his people to be without knowledge or desire." 21 [The 

Taoists] neglected their own bodies and honored the True Lord (Creator). 

Later the Buddhists held theories that seem different but are 

really the same. Neo-Confucianists of Sung times went in and out of 

Taoist and Buddhist schools 22 and therefore what they had to say is 

mixed with the words of Taoists and Buddhists. The Book of Odes says, 

"The people are secured. 23 They daily enjoy their drink and food." 24 

And the Book of Rites says, "Man's greatest desires are for drink, food, 

and sexual pleasure." 25 In governing the world, the sage understands 

the feelings of the people, satisfies their desires, and the kingly way is 

thereby completed.... 

Comment. The theory that selfishness and obscuration are the 

causes of moral evil is reminiscent of Mencius. 26 But central to 

Tai's idea is also the Confucian doctrine of the Mean. 

19 Hu Shin's comment: "No one has expressed this idea before." Tai Tungyüan 

ti che-hsüeh, Appendix, p. 54. 

20 The word "mind" is added, quite correctly, by Hu Shih. ibid., p. 55. 


22 In a long note, Tai recounted how Ch'eng I (Ch'eng I-ch'uan, 1033-1107), 

Chang Tsai (Chang Heng-ch'ü, 1020-1077), and Chu Hsi studied Taoism and 

Buddhism. 

23 Chih, also interpreted as contended, simple, etc. 

24 Ode no. 166. 

25 "Evolution of Rites." Cf. Legge, Li Ki, vol. 1, p. 380. 

26 See Mencius, 6A:6-8. 

714

TAI CHEN 

Sec. 13. Question: From the Sung dynasty on, scholars have said 

that principle "is received from Heaven and completely embodied in the 

mind." 27 Since they considered it to have been received by all people, 

they have therefore ascribed the inequality of wisdom and stupidity to 

physical nature, and their doctrines of seriousness and dissoluteness, 

perverseness and correctness are all directed to give substance to their 

doctrine of [the contrast of] principle and desire. Lao Tzu's sayings, 

"Embracing the One" 28 and "Having no desire," 29 and the Buddhist 

saying, "Be always alert" 30 refer to the [Taoist] True Lord and the Buddhist 

True Emptiness, respectively. 31 The Neo-Confucianists replaced 

them with the word "principle," and thought that was enough to be 

considered as the teachings of Confucius. Since they have regarded principle 

to have been received from Heaven, they therefore further invented 

the doctrine of principle and material force, and compare them to two 

things merged one with the other. 32 They described principle in a most 

elaborate manner, calling it "pure and vast." 38 They did no more than 

describe the principle of Heaven in terms of the Taoist True Lord and 

the Buddhist True Emptiness, and transfer the words of Lao Tzu, 

Cruang Tzu, and the Buddha to Confucius and Mencius in the Six 

Classics. 34 How can they be distinguished now so they absolutely cannot 

confuse or compound each other? 

27 This is Chu Hsi's utterance. See Chu Tzu yü-lei (Classified Conversations of 

Chu Hsi), 1880 ed., 98 : 9a. 


29 ibid., ch. 57. 

30 A common Zen saying derived from a dictum by Zen Master Jui-yen (c.850c.910). 

See Wu-teng hui-yüan (Five Lamps Combined), ch. 7, in Zokuzokyo (Supplement 

to the Buddhist Canon), 1st collection, pt. 2, B, case, 11, p. 120b. The 

saying is quoted in Ming-chiao Ch'an-shih yü-lu (Recorded Sayings of Zen Master 

Ming-chiao, 980-1052), ch. 3, TSD, 47:690. This saying, however, is not found in 

the section on Jui-an in Ching-te ch'uan-teng-lu (Records of the Transmission of 

the Lamp Completed During the Ching-te Period, 1004-1007). See SPTK, 17:17b- 

18a. 

31 Here in an inserted note Tai cites Chuang Tzu, ch. 3, NHCC, 1:23a. Cf. Giles, 

Chuang Tzu, 1961 ed., p. 35, where "true Lord" is mentioned, and three Buddhist 

passages where "True Emptiness" is used, including one from Shen-hui's (670- 

762) treatise, Hsien-tsung chi (Elucidating the Doctrine) in Ching-te ch'uan-teng 

lu, SPTK, 30:7a. Cf. translation by Chan, in Sources of Chinese Tradition, ed. by 

de Bary, Chan, and Watson, p. 398. 

32 This refers to Chu Hsi's saying in Chu Tzu ch'üan-shu (Complete Works of 

Chu Hsi), 1713 ed., 49:5b. See above, ch. 34, sec. 110. According to the reference 

in the Complete Works this saying is from Chu Hsi's letter in reply to Liu Shuwen 

in the Chu Tzu wen-chi (Collection of Literary Works by Chu Hsi), but there 

is no letter under such name. 

33 Chu Hsi's description. See Chu Tzu yü-lei, 1:3a. 

34 Originally these were: Book of History, Odes, Changes, Rites, Spring and 

Autumn Annals, and the Book of Music, which is now lost. Since the Sung 

dynasty, the Chou-li (Rites of Chou) has taken its place. 

715


Answer: With respect to heaven, earth, men, things, events and activities, 

I have never heard of any of these to be without the principle 

which we can talk about [in contrast to True Emptiness, which is indescribable]. 

"As there are things, there are their specific principles." 35 

This is what it means. The term "things" refers to concrete objects or 

concrete events, while the term "specific principles" refers to their 

unmixed purity and central correctness. Concrete objects and concrete 

events are what is natural. When they arrive at the state of what is 

necessary (according to moral laws) then heaven, earth, men, things, 

events, and activities will be in accord with principle. Heaven and earth 

are vast, men and things are numerous, and events and activities are 

complex and varied. But if they are in accord with principle, and are 

similar to something as straight as the plumb line, something level 

as the water-level, something round as the compass, and something 

square as the measuring square, then they will remain standard 

even if they are extended to the whole world and to ten thousand 

generations to come. The Book of Changes says, "He (the great 

man) may precede Heaven and Heaven will not act in opposition to him. 

He may follow Heaven but will act only as Heaven at the time would do. 

If even Heaven does not act in opposition, how much less will men! How 

much less will spiritual beings!" 36 The Doctrine of the Mean says, "It is 

tested by the experience of the Three Kings and found without error, 

applied before Heaven and Earth and found to be without contradiction 

in their operation, laid before spiritual beings without question or fear, 

and can wait a hundred generations for a sage without a doubt." 37 When 

men and things are like this, they will be in accord with principle and will 

be "what is common in our minds." 38 Mencius said, "The compass and 

the square are the ultimate standards of circles and squares. The 

sage is the ultimate standard of human relations." 39 When we talk about 

Heaven and Earth and, as a matter of refinement, we talk about their 

principle it is just as, in talking about the sage, we say that he can be 

our model. To exalt principle and say that Heaven and Earth, or yin 

and yang (passive and active cosmic forces) are not worthy of being its 

equal necessarily means that it is not the principle of Heaven and Earth 

or yin and yang. The principle of Heaven or Earth or yin and yang is 

similar to the sageness of the sage. Is it correct to exalt sageness and say 

that the sage is not worthy of being its equal? A sage is also a man. Be- 

35 Ode no. 260. 

36 Commentary on hexagram no. 1, ch'ien (Heaven). Cf. Legge, Yi King, p. 417. 

37 Ch. 29. The Three Kings were the founders of the Hsia (2183-1752 B.C.), 

Shang (1751-1112 B.C.) and Chou (1111-249 B.C.) dynasties. 

38 Mencius' saying, by which he meant moral principles. See Mencius, 6A:7. 

39 ibid., 4A:2. 

716

TAI CHEN 

cause he completely fulfills the principle of man, all people praise him 

as sagely and wise. Completely fulfilling the principles of men does 

not mean anything other than completely fulfilling what is necessary 

(moral principles) in the daily activities in human relations. When we 

extend the principles to the ultimate point where they cannot be 

altered, we call them necessary. We are describing their ultimate character 

and not investigating their origin. Latter-day scholars have gone too 

far and have regarded opinions, words, ideas, and theories, which are 

merely describing the ultimate state, as a thing, and said that it attains 

its being by being merged with material force. Those who hear this 

theory keep hearing it habitually without examination, and none realizes 

that it is different from the teachings of Confucius and Mencius in the Six 

Classics. If we seek what is necessary and unalterable in heaven, earth, 

men, things, events, and activities, we shall find principle in them to be 

perfectly clear and evident. But if we exalt it and glorify it, not only 

calling it the principle of heaven, earth, men, things, events, and activities, 

but instead calling it omnipresent principle, regarding it as if it 

were a thing, the result will be that even until their hair turns white, 

students will be at a loss and will not be able to find this thing. It is not 

that the teachings of Confucius and Mencius in the Six Classics are hard 

to understand. It is rather that commentaries and annotations [of the 

Classics, such as those by Sung Neo-Confucianists] have followed one 

another, and people learned them from childhood without giving them 

any more thought. 

Comment. In Tai's theory, animals know what is natural but man 

knows what is necessary, that is, what is morally correct. It is the 

human mind alone that can direct the natural to the necessary. 

Since he considers blood, vital force, the mind, and intelligence 40 

as components of human nature, it follows that blood and vital 

force lead man to error. Since these are physical nature, he virtually 

subscribes to the Neo-Confucian theory that physical nature is 

responsible for man's error, a theory he strongly criticized. 

2. On Nature 

Sec. 20. Nature means an allotment of yin and yang and the Five 

Agents (Water, Fire, Wood, Metal, Earth) which becomes blood, vital 

force, the mind, and intelligence, with which the ten thousand things are 

differentiated. All activities they engage in, all potentialities they possess, 

and all qualities they preserve from the time of their production are 

based on this fact. This is why the Book of Changes says, "That which 

40 See the next section. 

717


realizes it is the individual nature." 41 It has been a long time since man 

and things were created through the transformation of material force 

and each flourishes within its own category, but the distinction of categories 

have been the same for a thousand ages. They simply follow the 

same old pattern. The transformation of material force is described in 

terms of yin and yang and the Five Agents. Their completion and transformation 

of things involves a great complexity and an infinite variation. 

Therefore in their changing configurations, not only are the ten thousand 

things different. Even within a category things are not the same. To 

receive an allotment of physical form and vital force from one's parents 

is the same as receiving an allotment from yin and yang and the Five 

Agents. The fact that men and things flourish according to their categories 

is natural in the process of the transformation of material force. 

The Doctrine of the Mean says, "What Heaven imparts (ming, orders) 

to man is called human nature." 42 Because life is limited by Heaven, 

we say "the Mandate of Heaven" (T'ien-ming, Heaven's order). The 

Book of Rites of the Elder Tai says, "What gets an allotment of the 

Way is called destiny (ming). What makes a thing assume one particular 

form is called nature." 43 To receive an allotment of the Way means to 

receive an allotment of yin, yang, and the Five Agents. Since assuming 

one particular form is spoken of as allotment, there is a limitation from 

the beginning, and things are unequal in their completeness or incompleteness, 

thickness or thinness, clearness or turbidity, darkness or 

brightness, each following its allotment and assuming one particular 

physical form, and each completing its nature. However, although the 

individual natures are different, they are generally differentiated by their 

categories. Therefore the Analects says, "By nature men are alike." 44 

This is said from the point of view that men are alike. Mencius said, 

"All things of the same kind are similar to one another. Why should 

there be any doubt about men? The sage and I are the same in kind." 45 

Since it says that things of the same kind are similar to one another, it 

is clear that things of different kinds are not similar. Therefore Mencius 

questioned Kao Tzu's (c.420-c.350 B.C.) theory that "what is inborn 

is called the nature," 46 saying, "Then is the nature of a dog the same as 

the nature of an ox, and is the nature of an ox the same as the nature 

of a man?" 47 This was said to make clear that they cannot be confused 

or identified. The Way of Heaven is none other than yin and yang and 

the Five Agents. The natures of men and things are all allotments of the 

Way and each becomes different, that is all. 

41 

"Appended Remarks," pt. 1, ch. 5. Cf. Legge, p. 356. 

42 

Ch. 1. 

43 Sec. 80, SPTK, 13:3a. 44 45 


46 

ibid., 6A:3. 

47 

17:2. 

ibid. 

718

TAI CHEN 

3. On Capacity 

Sec. 29. Through capacity man and creatures assume physical form 

and solid substance in accordance with their nature, and their intelligence, 

and ability are thereby differentiated. This is what Mencius called 

"natural capacity endowed by Heaven." 48 Man and things are produced 

through the transformation of material force. Destiny is so called on the 

basis of their limitation of allotment. Man's nature is so called on the 

basis of the fact that the transformation of material force is the basic 

beginning of men and things. Capacity is so called on the basis of their 

physical substance. Because they each differ in their completed nature, 

therefore they each also differ in their capacity. Capacity is the manifestation 

of one's nature. Without capacity, how can one's nature be revealed?. 

. . Latter-day scholars ascribed evil to physical nature. What 

Mencius called nature and capacity both denote nothing but physical 

nature. Man's nature is endowment in its completeness and capacity is 

the physical substance in its completeness. There is no basis on which to 

describe endowment in its completeness. For example, the nature of a 

peach or an apricot is complete in the whiteness of their kernels. Their 

[potential] physical forms, colors, smells, and flavors are all contained 

therein, but they cannot be seen. But when the budding sprouts burst 

forth, the stems, branches, and leaves of the peach and apricot become 

different. From this to flowers and fruits, their physical forms, colors, 

smells, and flavors are all differentiated and distinguished. Although 

they are so because of their natures, they depend on the capacities of the 

plants to reveal them. As their natures are completed, there is this 

capacity. Separately, we speak of destiny, nature, and capacity, but 

totally speaking, it is called Heavenly endowed nature. . . . 

4. On Humanity, Righteousness, Propriety, and Wisdom 

Sec. 36. Humanity is the character of production and reproduction. 

"The people are secured. They daily enjoyed their drink and food." 49 

All this is none other than how the way of man produces and reproduces. 

When one person fulfills his life and by extension helps all 

others to fulfill their lives, that is humanity. ... If we trace the way of 

Nature from the way of man and trace the character of Nature from that 

of man, we shall know that the universal operation of the transformation 

of material force consists in unceasing production and reproduction. 

This is humanity. Because in the process of production and reproduction 

there is a natural order, and as we see in it a regular procedure, we can 

understand propriety. As we see that the order can never be confused, we 

48 ibid., 6A:7. 

719 

49 See n.24.


can understand righteousness. In Nature the virtue of humanity is the 

production and reproduction of the transformation of material force, and 

in man it is the mind to produce and reproduce. In Nature the virtue of 

wisdom is the order in which the transformation of material force operates, 

and in man it is the mind's realization that the order is without any 

confusion. Only because there is order that there are production and reproduction. 

Without it, the way of production and reproduction will 

cease. . . . 

Comment. To regard humanity as production and reproduction is a 

Sung Neo-Confucian contribution. 50 

5. On the Variety of Circumstances 

Sec. 41. Question: The Sung Neo-Confucianists knew also how to 

seek principle in things, but because they were attracted to Buddhism, 

they have applied what the Buddhists used to designate spiritual consciousness 

to designate principle. Therefore they look upon principle as if 

it were a thing. They not only talk about the principle of things, but also 

say that principle lies scattered through events and things. Since principle 

is that of things, it can be discovered only after things have been analyzed 

to the minutest detail. And since principle lies scattered through events 

and things, they therefore seek it through deep and quiet concentration 

of the mind. They said the substance [of principle] is one but [in function] 

it has ten thousand manifestations, and "Unroll it (extended) and 

it reaches in all directions. Roll it up (contracted) and it withdraws and 

lies hidden in minuteness." 51 Actually they got this idea by imitating the 

Buddhists, who say that "Universally manifested, it includes the whole 

Realm of Law. Collected and grasped, it is a single speck of dust." 52 

Since they seek principle through a deep and quiet [concentration] of the 

mind, thinking they have understood that the substance of principle is 

one, they are quite confident that principle means having no desire. 

Even their partial opinions are regarded as issuing from principle but 

not from desire. Simply because they regard principle as if it were a 

thing, they could not help regarding it to be one principle. But since 

everything necessarily has its own principle, and principles change with 

things, therefore they also say, "The mind embodies all principles and 

responds to all things. The mind embodies principle and issues it forth." 53 

50 See below, ch. 31, sec. 11 and ch. 32, sec. 42. 

51 Chu Hsi's introductory remark on The Mean. See above, ch. 5. 


53 Chu Hsi Ta-hsüeh chang-chü (Commentary on the Great Learning), commenting 

on the opening sentence of the text. Also in his Meng tzu chi-chu (Collected 

Commentaries on the Book of Mencius), ch. 13, commenting on Mencius, 

7A:1. See above, ch. 35, n.61. 

720

TAI CHEN 

What could this be if it is not mere opinion? Furthermore, if all principles 

are contained in the mind, then when one event occurs, the mind 

issues one principle to respond to it. When another event occurs, it has to 

issue another principle to respond to it. And so on to hundreds and 

thousands and millions, there is no end. Since the mind contains all 

principles, they should be described in terms of number. There must be 

an explanation whether it is one or innumerable. Therefore they say, 

"Principle is one but its manifestations are many." The Analects twice 

mentions the one thread running through Confucius doctrines. 54 In his 

commentary on the chapter where Confucius told Tseng Tzu 55 about 

this, Chu Hsi said, "The mind of the Sage is one undifferentiated principle, 

but in its various responses and applications, it functions differently 

in each case. With respect to its functioning, Tseng Tzu had understood 

principle clearly as things occurred and had earnestly put it into practice, 

but he did not understand that its substance is one." 56 This interpretation 

must be wrong. Will you please tell us the original meanings of the two 

chapters? 

Answer: By one thread running through the doctrines is not meant 

to run one certain thing through them. In understanding moral principle, 

efforts may differ in studying things on the lower level or in penetrating 

the higher level. In learning, people's objectives may differ in knowing 

the traces of moral principles or in discriminating the principles themselves. 

To say that there is a thread running through my doctrines 

means that the doctrines to be understood by penetrating the higher 

level are the same as those to be understood by studying the lower 

level. . . . Mencius said, "Study extensively and discuss thoroughly. This 

is in order to go back and discuss the most restrained." 57 By being 

restrained is meant the most correct. He further said, "Moral principles 

which, when held, are restrained, while their application is 

extensive, are good principles . . . The way the superior man holds these 

principles is to cultivate his personal life and peace will thereby prevail 

throughout the world." 58 To restrain means to cultivate one's person. 

When the Six Classics, the books of Confucius and Mencius, talk 

about restraining action, they aim at nothing more than the cultivation 

of one's personal life, and when they talk about restraining knowledge, 

they aim at nothing more than extending the intelligence of the mind 

to the utmost. They have never designated a One in a vacuum and tell 

people to understand and seek it. If one extends his intelligence to the 

54 Analects, 4:15, 15:3. 

55 Confucius' pupil, 505-C.436 B.C. The chapter referred to is Analects, 4:15. 

56 Lun-yü chi-chu (Collected Commentaries on the Analects), ch. 2, commenting 

on Analects, 4:15. 

57 Mencius, 4B:15. 58 ibid., 7B:32. 

721


utmost, he can naturally judge situations and does not make the slightest 

mistake. What is the need for understanding the One and seeking it? 

Comment. Sung-Ming Neo-Confucianists never looked upon principle 

as if it were a thing. They differentiated what exists before 

form [and is therefore with it] (hsing-erh-shang), such as principle, 

and what exists after physical form [and is therefore with it] (hsingerh-hsia), 

such as a thing. Tai, however, would not accept this 

distinction. In this respect he resembles Wang Fu-chih (Wang 

Ch'uan-shan, 1619-1692) and Yen Yüan (Yen Hsi-chai, 1635- 

1704). 

722

... 39 ... 

K'ANG YU-WEI'S PHILOSOPHY OF GREAT UNITY 

LIKE MOST CONFUCIANISTS, K'ang Yu-wei (1858-1927) 1 attempted 

to put Confucian teachings into practice in government and 

society. But as no other Confucianist had ever done, he changed the traditional 

concepts of Confucius, of the Confucian Classics, and of certain 

fundamental Confucian doctrines for the sake of reform. 

Several factors made this transformation unavoidable. In the last 

decades of the nineteenth century, the call for reform was getting 

louder and louder in China. The influence of Western science and Christianity 

was increasingly felt. Interest in Buddhism was being revived. The 

controversy between the Modern Script School of those who upheld the 

Classics written in ancient script, and the Modern Script School of those 

who accepted the Classics written in the script current during the second 

and first centuries B.C., which was modern at the time, arose once more. 

The Modern Script School was winning because instead of regarding 

Confucius as only a great teacher and the Classics as purely historical 

documents, it looked upon Confucius as an "uncrowned king" to reform 

the world and the Classics as containing "esoteric language and great 

principles" to support his reforms. K'ang promoted this current of thought 

1 K'ang was a native of the Nan-hai district of Kwangtung. Hence the honorary 

title "Master Nan-hai." At nineteen he became a pupil of Chu Tz'u-ch'i. In 

1888 he addressed a memorial to the Kuang-hsü emperor (r. 1875-1908) for 

reform, but the memorial was prevented from reaching him. In 1891 he taught at 

Canton, with Liang Ch'i-ch'ao among his pupils. In 1895 he obtained the "presented 

scholar" degree in Peking and founded the Society for National Strength 

and New Learning there. When China was defeated by Japan in that year, he organized 

the graduates from eighteen provinces into a mass meeting to petition 

for rejection of the peace treaty with Japan but for reform instead. The petition 

never reached the emperor. Two years later he memorialized once more. The 

emperor now intended to start reform. In 1898, at the introduction of the imperial 

tutor, K'ang and the emperor met for two hours and decided on reform measures. 

Many edicts were rapidly issued ordering wholesale reform. But when Yüan Shihk'ai 

(1858-1916), army commander guarding the capital, was asked to help the 

emperor and arrest a chief opponent, the Empress Dowager, he informed her 

instead. The reform movement collapsed. 

K'ang fled to Hong Kong, and thence to Japan, the South Seas, America, and 

Europe, traveling for a period of sixteen years. While in Canada in 1899, he 

founded the Party to Preserve the Emperor who was then virtually under house 

arrest. With the establishment of the Republic in 1912, K'ang returned to China. 

In 1914 he advocated Confucianism as the state religion and in 1917 took part in 

the abortive attempt to restore the deposed Hsüan-t'ung emperor (r. 1909- 

1912) to the throne. He tried restoration and failed again in 1924. A radical 

reformer turned arch-reactionary, he died in disgrace, but because of his great 

scholarship and loyalty to Confucianism, he has been called Sage K'ang from his 

youth. For details of his life, see Lo, Jung-pang, ed., K'ang Yu-wei. 

723

THE PHILOSOPHY OF GREAT UNITY 

and eventually became the center of the school. In addition, the fire of 

the rationalistic Neo-Confucianism of Ch'eng I (Ch'eng I-ch'uan, 1033- 

1107) had burned out by this time. Scholars gradually turned to the 

idealistic Neo-Confucianism of Lu Hsiang-shan (Lu Chiu-yüan, 1139- 

1193) and Wang Yang-ming (Wang Shou-jen, 1492-1529), which is 

imbued with the spirit of purposeful action instead of Ch'eng-Chu's cold 

and abstract speculation. Not only was there this general trend toward 

Lu-Wang. He was also strongly influenced by his teacher, Chu Tz'u-ch'i 

(Chu Chiu-chiang, 1807-1881), a prominent scholar at the time, who 

was an enthusiastic follower of the Lu-Wang School. It was the combination 

of these factors that caused him to enunciate his extraordinary 

theories that Confucius was first and last a reformer, that history evolves 

through three stages toward Utopia, or the Age of Great Unity, and that 

humanity (jen) 2 is ether and electricity. 

K'ang presented Confucius as a reformer who purposely attributed 

institutional reforms to antiquity in order to have precedents, even to the 

extent of imagining great achievements of sage-emperors Yao and Shun 3 

whose historicity is doubtful. This bold dismissal of the age-old Confucian 

idols virtually amounted to a revolution. Liang Ch'i-ch'ao (1873- 

1929), his outstanding disciple, was not exaggerating when he said that 

K'ang's three most important works were comparable to a cyclone, a 

mighty volcanic eruption, and a huge earthquake. 4 But it is interesting 

to note that K'ang the reformer had to look to the past for authority and 

that his authority, in turn, had to look to the past for authority also, even 

if he had to invent it. 

Whatever conservatism he had, however, was more than offset by his 

novel concept of historical progress. The theory of three ages is not new. 

Tung Chung-shu (c.l79-c.l04 B.C.), for example, 5 great leader of the 

Modern Script School who had a tremendous influence on K'ang, had 

propounded it. But K'ang conceived of history not as a cycle, as Tung 

did, but as an evolution. The source of this idea is probably Western, 

but he insisted on tracing it to Confucius. 

He set forth his theory of the Three Ages in his commentary on a 

passage in the Confucian Classic, the Book of Rites, in which Confucius 

is said to have taught that history progresses from the Age of Chaos to 

that of Small Peace and finally to that of Great Unity. K'ang advocated 

this doctrine not so much as an echo of the new idea of progress as to 

provide a philosophical foundation for his political reforms. In the 

1880's, when he was still a young man, he plunged into reform move- 

2 For this translation, see Appendix, comment on Jen. 

3 Legendary rulers of 3rd millennium B.C. 

4 Liang Ch'i-ch'ao, Intellectual Trends in the Ch'ing Period, p. 94. 

5 See above, ch. 14, sec. E, 4. 

724

K'ANG YU-WEI 

ments. Together with other scholars, he repeatedly petitioned the emperor 

to reconstruct China. In 1898, he actually engineered the dramatic 

Hundred Days Reform. In this reform he was convinced that though 

China was not ready for the Age of Great Unity, she had to enter upon 

an Age of Small Peace. Edicts were issued in rapid order to reform the 

political, educational, economic, and military institutions, modeled after 

the West, only to be defeated by the conservative Empress Dowager and 

he had to flee for his life. 

T'ang's ideas about the Age of Great Unity are so radical that the 

book in which he expresses them, the Ta-t'ung shu (Book of Great Unity) 

was kept unpublished until 1935, eight years after his death. There 

was already a hint of the idea in his commentary on the passage mentioned 

above. This commentary was written in 1884-1885. But the book, 

based on earlier drafts of the 1880's, was not finished until 1901-1902. 

Anyway, since he called for the total abolition of nations, families, 

classes, and all kinds of distinctions, his doctrine was too far ahead of 

his age to be accepted. Other philosophers had had Utopias before. But 

different from them, K'ang drew inspiration from many sources—Confucian, 

Christian, and Buddhist—and spelled out in detail the organization 

and program of the ideal society, such as communal living, public 

nurseries for all children, and cremation and the use of ashes for fertilizer. 

The philosophical bases for this Utopia are two, namely, his theory of 

historical progress and his interpretation of the central Confucian ethical 

concept of humanity. He equates this with what Mencius called "The 

mind that cannot bear [to see the suffering of] others." 6 Humanity is 

also the power of attraction that unites all people as one. It is the force 

of origination permeating everywhere. It is ether and electricity. It is 

production and reproduction. It is universal love. In the traditional 

Confucian theory of love, one proceeds from affection for one's parents 

to being humane to all people, and finally to kindness to all creatures. 7 

The Age of Great Unity is the logical culmination of this gradual extension. 

K'ang was certainly revolutionary in both vision and action, 

but in this as in other respects he remained within the main stream of 

Confucianism. 

SELECTIONS 

1. The Three Ages 

In the progress of mankind there have always been definite stages. 

From the clan system come tribes, which in time become nations, and 

from nations the Great Unification comes into existence. From the indi- 


7 See ibid., 7A:45. 

725


vidual man the rule of tribal chieftains gradually becomes established, 

and from the rule of tribal chieftains the correct relationship between 

ruler and minister is gradually defined. From autocracy gradually comes 

[monarchic] constitutionalism, and from constitutionalism gradually 

comes republicanism. From men living as individuals gradually comes 

the relationship between husband and wife, and from this the relationship 

between father and son is gradually fixed. From the relationship 

between father and son gradually comes the system in which blessings 

are also extended to all the rest of mankind. And from this system, that 

of Great Unity comes into being, whereby individuals again exist as 

individuals [in a harmonious world without the bonds of father and son, 

husband and wife, and so forth]. 

Thus in the progress from the Age of Disorder to the Age of Rising 

Peace, and from the Age of Rising Peace to the Age of Great Peace, 

their evolution is gradual and there are reasons for their continuation or 

modification. Examine this process in all countries and we shall find that 

the pattern is the same. By observing the infant one can foretell the 

future adult and further the future old man, and by observing the sprout 

one can foretell the future tree large enough to be enclosed with both 

arms and further the future tree high enough to reach the sky. Similarly, 

by observing what the Three Systems 8 of the Hsia (2193-1752 B.C.?), 

Shang (1751-1112 B.C.) and Chou (1111-249 B.C.) added to or subtracted 

from the previous period, one can infer the changes and modifications 

in a hundred generations to come. 

When Confucius wrote the Spring and Autumn Annals, he extended 

it to embrace the Three Ages. During the Age of Disorder, he considered 

his own state (of Lu) as native and all other Chinese feudal states as 

foreign. In the Age of Rising Peace, he considered all Chinese feudal 

states as native and the outlying barbarian tribes as foreign. And in the 

Age of Great Peace, he considered all groups, far or near, big or small, 

as one. In doing this he was applying the principle of evolution. 

Confucius was born in the Age of Disorder. Now that communications 

have extended throughout the great earth and important changes have 

taken place in Europe and America, the world has entered upon the Age 

of Rising Peace. Later, when all groups throughout the great earth, far 

and near, big and small, are like one, when nations will cease to exist, when 

racial distinctions are no longer made, and when customs are unified, 

all will be one and the Age of Great Peace will have come. Confucius 

knew all this in advance. 

However, within each age there are Three Rotating Phases. In the 

Age of Disorder, there are the phases of Rising Peace and Great Peace, 

8 See above, ch. 14, n.41. 

726

K'ANG YU-WEI 

and in the Age of Great Peace are the phases of Rising Peace and Disorder. 

Thus there are barbarian red Indians in progressive America and 

primitive Miao, Yao, T'ung, and Li tribes in civilized China. Each age 

can further be divided into three ages. These three can further be extended 

(geometrically) into nine ages, then eighty-one, then thousands 

and tens of thousands, and then innumerable ages. After the arrival of 

the Age of Great Peace and Great Unity, there will still be much progress 

and many phases. 

It will not end after only a hundred generations. (Lun-yü chu, or Commentary 

on the Analects, Wan-mu ts'ao-t'ang ts'ung-shu or Thatched 

Hall Surrounded by Ten Thousand Trees Series ed., 12:10b-11a) 

Comment. Coupled with the cycle theory, Confucianists have always 

looked upon history as a movement of ups and downs. In 

modifying his theory of the Three Ages with that of Three Rotating 

Phases, K'ang was in effect perpetuating this traditional outlook. 

In his methods and institutions Confucius emphasized their adaptability 

to the times. If, in the age of primitivism and chaos, when the transforming 

influence of moral doctrines had not operated, one were to practice 

the institutions of Great Peace, it would surely result in great harm. 

But at the same time, if, in the Age of Rising Peace, one still clung to the 

institutions of the Age of Disorder, it would also result in great harm. 

At the present time of Rising Peace, for example, we should promote 

the principles of self-rule and independence and the systems of parliamentarianism 

and constitutionalism. If institutions are not reformed, 

great disorder will result. Confucius thought of these troubles and prevented 

them. He therefore inaugurated the doctrine of the Three Rotating 

Phases so that later generations may adapt and change in order to 

remove harm. This is Confucius' perfect humanity in establishing institutions. 

(Chung-yung chu, or Commentary on the Doctrine of the Mean, 

Yen-K'ung ts'ung-shu or Exposition of Confucianism Collection ed., p. 

36b) 

2. Confucius' Institutional Reforms 

In high antiquity, people esteemed valor and competed in physical 

strength. Chaos was impending and misery prevalent. Heaven was sorry 

for them and decided to save them. It was not to save one generation 

alone but a hundred generations. Therefore Heaven produced the sagely 

king of spiritual intelligence. He did not become a ruler of men but a 

master of creation of institutions. The entire world followed him and all 

people, far or near, flocked to him. In the eight hundred years from the 

Warring States Period (403-222 B.C.) to Later Han (25-220), all 

727


scholars regarded Confucius as the king. . . . He had the actuality of 

people flocking to him. Therefore he had the actuality of a king. It is a 

matter of course that one who had the actuality of a king should have 

the name of a king. But the great Sage reluctantly followed the path of 

expediency. He humbly negated the reality of the rank and title of a 

king. He [promoted institutional reforms] by attributing them to ancient 

kings and the king of Lu, 9 and only assumed the role of a "king behind 

the scene" and an "uncrowned king." (K'ung Tzu kai-chi k'ao or An 

Investigation on Confucius' Institutional Reforms, Wan-mu ts'ao-t'ang 

ts'ung-shu ed., 8:1b-2a) 

Founders of religions in all great lands have always reformed institutions 

and established systems. Even ancient Chinese philosophers did 

this. All Chinese moral institutions were founded by Confucius. His 

disciples received his instructions and transmitted his teachings, so that 

they spread over the whole empire and changed its traditional customs. 

Among the outstanding changes have been costumes, the three-year 

mourning (of one's parents' deaths), marriage ceremonies, the "wellfield" 

land system, 10 the educational system, and the civil service examination 

system, (ibid., 9:1a) 

Confucius was the founder of a religion. He was a sagely king with 

spiritual intelligence. He was a counterpart of Heaven and Earth and 

nourished all things. All human beings, all events, and all moral principles 

are encompassed in his great Way. Thus he was the Great Perfection 

and Ultimate Sage the human race had never had. . . . 

On what basis did he become founder of a religion and a sagely king 

with spiritual intelligence? Answer: On the Six Classics. 11 They are the 

works of Confucius. This was the unanimous opinion before the Han 

dynasty (206 B.C.-A.D. 220). Only when the student knows that the Six 

Classics are the works of Confucius does he understand why Confucius 

was a great sage, was the founder of a religion, encompassed ten thousand 

generations, and has been venerated as supreme. Only when a student 

knows that Confucius was founder of a religion and that the Six 

Classics are his works does he know Confucius' achievements in wiping 

out the Age of Disorder and bringing about the Age of Great Peace, and 

that everyone with blood and vital force is daily benefited by his great 

achievements and great virtue and should never forget it. (ibid., 10:1ab) 

9 Confucius' native state. 

10 For a description of this system, see above, ch. 3, no. 81. There is no evidence 

that the system was ever practiced, though many Confucianists and Neo-Confucianists 

insisted that it was the practice in high antiquity and urged its revival. 

11 Namely, the Books of History, Odes, Changes, Rites, Music (now lost) and 

the Spring and Autumn Annals. Since the Sung dynasty (960-1279) the Book of 

Music has been replaced by the Chou-li (Rites of Chou). 

728

K'ANG YU-WEI 

Comment. K'ang was the first to regard Confucius as the founder of 

a religion, and he vigorously advocated Confucianism as the state 

religion. Because of this he was branded in his late years as reactionary. 

He may also be so considered in his theory that Confucius 

wrote all the Six Classics. He was not so reactionary, however, 

when he devoted a whole book to show that all Classics in the 

ancient script were forgeries, for this theory uprooted the whole 

foundation of Ch'ing scholarship and forced scholars to reexamine 

the entire Confucian heritage in new lights. 

All the Sage wanted was to benefit the world. Therefore "his words 

are not necessarily [literally] truthful. . . . He simply speaks what is 

right." 12 "Without evidence, they (ancient institutions) could not command 

credence, and not being credited, the people would not follow 

them." 13 Therefore he put all institutions into operation by citing the 

ancient kings of the Three Dynasties 14 as precedents and authority. If 

it is said that in his work a sage should not cite others as precedent 

and authority, then one would be equating Confucius, who possessed 

spiritual transforming power, with an obstinate inferior man, (ibid., 

11:1b) 

3. The Mind That Cannot Bear to See the Suffering of Others 

In consciousness and perception, forms and sounds of objects are 

transmitted to my eyes and ears. They rush against my soul. Chilly and 

cold, they attack the active aspects (yang, active cosmic force) of my 

existence. Dark and quiet, they enter my negative aspects (yin, passive 

cosmic force). They continue at moderate speed as if they could not 

stop. Of what are they the clue? Is it what Europeans call ether? Is it 

what the ancients called the "mind that cannot bear [to see the suffering 

of] others"? Do all people have this mind that cannot bear to see the 

suffering of others? Or do I alone have it? And why should I be deeply 

affected by this clue? 

Thereupon Master K'ang says: Do I not have a body? If not, how do 

I have knowledge or affection? Since I have a body, can that which permeates 

my body as well as the material force (ch'i) of Heaven, the 

concrete stuff of Earth, and the breath of man be cut off or not? If it 

could be cut off, then one could draw a knife and cut water to pieces. 

If it cannot be cut off, then it is like material force filling space and being 

possessed by all things, like electricity operating through material force 

and penetrating everything, like water spreading all over the land and 

permeating everything, and like blood-vessels spreading through the 

12 Mencius, 4B:11. 13 The Mean, ch. 29. 14 Hsia, Shang, and Chou 

729


foody and penetrating every part of it. Cut the material force off the 

mountain and it will collapse. Cut the blood-vessels off the body and it 

will die. And cut the material force off the earth and it will disintegrate. 

Therefore if man cuts off the substance of love which is the mind that 

cannot bear to see the suffering of others, moral principles of mankind 

will be destroyed and terminated. If these are destroyed and terminated, 

civilization will stop and mankind will revert to barbarism. Furthermore, 

barbarism will stop and men will revert to their original animal 

nature. 

Great is the material force of origination. It created Heaven and 

Earth. By Heaven is meant the spiritual substance of a thing (the universe), 

and by man is also meant the spiritual substance of a thing (the 

body). Although they differ in size, they are no different in partaking the 

great force of great origination, just as if both were scooping up small 

drops of water from the great sea. Confucius said, "Earth contains 

spiritual energy, which produces the wind and thunder. As a result of 

movements of wind and thunder, a countless variety of things in their 

changing configurations ensue, and the myriad things show the appearance 

of life." 15 Spirit is electricity with consciousness. The electric light 

can be transmitted everywhere, and spiritual energy can act on everything. 

It makes spiritual beings and gods spiritual. It produces Heaven 

and Earth. In its entirety it is origination; divided, it becomes man. 16 

How subtle and how wonderful does spirit act on things! There is nothing 

without electricity, and there is nothing without spirit. Spirit is the power 

of consciousness, the consciousness of the soul, spiritual intelligence, 

clear intelligence, and clear character. These are different in name but 

the same in actuality. As there is consciousness, there is attraction. This is 

true of the lodestone. How much more is it with man! Not being able to 

bear to see the suffering of others is an instance of this power of attraction. 

Therefore both humanity and wisdom are stored in the mind, but wisdom 

comes first. Both humanity and wisdom are exercised (in action), 

but humanity is nobler. . . . 

The love of those whose consciousness is small is also small, and the 

humanity of those whose consciousness is great is also great. (Ta-t'ung 

shu or Book of Great Unity, Peking, 1956, pp. 2-4) 

4. The Age of Great Unity 

Therefore all living creatures in the world only aim at seeking happiness 

and avoiding suffering. They follow no other course. There are 

15 

Book of Rites, "Confucius at Home at Ease." Cf. Legge, trans., Li Ki, vol. 1, 

p. 282. 

16 The word wei here does not mean only but is interchangeable with wei (to 

become). 

730

K'ANG YU-WEI 

some who take a roundabout way, take an expedient way, 17 or zig-zag 

in their course, going through painful experiences without getting tired. 

They, too, only aim at seeking happiness. Although men differ in their 

nature, we can decidedly say that the way of mankind is never to seek 

suffering and avoid happiness. To establish institutions and inaugurate 

doctrines so as to enable men to have happiness but no suffering is the 

highest of goodness. To enable men to have much happiness and little 

suffering is good but not perfectly good. And to cause men to have much 

suffering and little happiness is no good. . . . 

Having been born in an age of disorder, and seeing with my own eyes 

the path of suffering in the world, I wish to find a way to save it. I have 

thought deeply and believe the only way is to practice the way of Great 

Unity and Great Peace. Looking over all ways and means in the world, 

I believe that aside from the way of Great Unity there is no other method 

to save living men from their sufferings or to seek their great happiness. 

The way of Great Unity is perfect equality, perfect impartiality, perfect 

humanity, and good government in the highest degree. Although there 

are good ways, none can be superior. 

The sufferings of mankind are so innumerable as to be unimaginable, 

changing from place to place and from time to time. They cannot be all 

listed, but let us roughly mention the major ones that are readily apparent: 

(1) Seven sufferings from living: 1, rebirth, 2, premature death, 

3, physical debilities, 4, being a barbarian, 5, living in frontier areas (on 

the fringe of civilization), 6, being a slave, and 7, being a woman. 

(2) Eight sufferings from natural calamities: 1, famines resulting 

from floods or droughts, 2, plagues of locusts, 3, fire, 4, flood, 5, volcanic 

eruptions (including earthquakes and landslides), 6, collapse of 

buildings, 7, shipwrecks (including collisions of cars), and 8, epidemics. 

(3) Five sufferings from conditions of life: 1, being a widow or 

widower, 2, being an orphan or childless, 3, being ill without medical 

care, 4, being poor, and 5, being humble in social station. 

(4) Five sufferings from government: 1, punishment and imprisonment, 

2, oppressive taxation, 3, military conscription, 4, the existence 

of the state, and 5, the existence of the family. 

(5) Eight sufferings from human feelings: 1, stupidity, 2, hatred, 

3, sexual love, 4, burden imposed by others, 5, toil, 6, desires, 7, oppression, 

and 8, class distinction. 

(6) Five sufferings from being objects of honor and esteem: 1, a rich 

man, 2, a man of high station, 3, a man of longevity, 4, a king or emperor, 

and 5, a god, a sage, an immortal, or a Buddha. (ibid., pp. 6-10) 

17 Literally, "borrow a way." 

731


All these are sufferings of human life, not to mention the conditions 

of sufferings of the feathered, furred, or scaly animals. But if we broadly 

survey the miseries of life, we shall find that all sufferings originate from 

nine spheres of distinction. What are these nine? The first is the distinction 

between states [as a cause of suffering], because it divides the world 

into territories and tribes. The second is class distinction, because it 

divides people into the honored and the humble, the pure and the impure. 

The third is racial distinction, which divides people into yellows, 

whites, browns, and blacks. The fourth is the distinction between physical 

forms, because it makes the divisions between male and female. The 

fifth is the distinction between families, because it confines the various 

affections between father and son, husband and wife, and brothers to 

those personal relations. The sixth is the distinction between occupations, 

because it considers the products of farmers, artisans, and merchants as 

their own. The seventh is the sphere of chaos, because it has systems that 

are unfair, unreasonable, non-uniform, and unjust. The eighth is the 

distinction between species, because it divides them into human beings, 

birds, animals, insects, and fish. And the ninth is the sphere of suffering. 

Suffering gives rise to suffering, and so they pass on without end and in 

a way that is beyond imagination. . . . 

Comment. To consider life as suffering is Buddhistic and utterly 

un-Confucian, but the Buddhist outlook leads to compassion, and 

compassion is none other than the mind that cannot bear to see the 

suffering of others. K'ang was syncretic, but Confucianism remains 

in the center. 

My way of saving people from these sufferings consists in abolishing 

these nine spheres of distinction. First, do away with the distinction between 

states in order to unify the whole world. Second, do away with 

class distinction so as to bring about equality of all people. Third, do 

away with racial distinction so there will be one universal race. Fourth, 

do away with the distinction between physical forms so as to guarantee 

the independence of both sexes. Fifth, do away with the distinction between 

families so men may become citizens of Heaven. Sixth, do away 

with the distinction between occupations so that all productions may 

belong to the public. Seventh, do away with the spheres of chaos so that 

universal peace may become the order of the day. Eighth, do away with 

the distinction between species so we may love all sentient beings. And 

ninth, do away with the sphere of suffering so happiness may reach its 

height. (ibid., pp. 51-52) 

In the world of Great Unity, the whole world becomes a great unity. 

732

K'ANG YU-WEI 

There is no division into national states and no difference between races. 

There will be no war. (ibid., p. 255) 

In the Age of Great Unity, the world government is daily engaged in 

mining, road building, reclamation of deserts, and navigation as the primary 

task. (ibid., p. 264) 

In the Age of Great Peace, all agriculture, industry, and commerce 

originate with the world government. There is no competition at all. 

(ibid., p. 270) 

In the Age of Great Peace, there are no emperors, kings, rulers, elders, 

official titles, or ranks. All people are equal, and do not consider position 

or rank as an honor either. Only wisdom and humanity are promoted 

and encouraged. Wisdom is to initiate things, accomplish undertakings, 

promote utility and benefits, and advance people, while humanity is to 

confer benefits extensively on all the people and bring salvation to them, 

to love people and to benefit things. There is no honor outside of wisdom 

and humanity. (ibid., p. 275) 

In the Age of Great Peace, since men's nature is already good and his 

ability and intelligence is superior, they only rejoice in matters of wisdom 

and humanity. New institutions appear every day. Public benefits 

increase every day. The humane mind gets stronger every day. And 

knowledge becomes clearer every day. People in the whole world together 

reach the realm of humanity, longevity, perfect happiness, and 

infinite goodness and wisdom. (ibid., pp. 277-278) 

In the Age of Great Unity, since there is no more state, there is therefore 

no severe military discipline. As there is no ruler, there is no rebellion 

or instigation of disturbance. As there are no husbands or wives, 

there is no quarrel over women, necessity to prevent adultery, suppression 

of sex desires, complaint, hatred, divorce, or the calamity of 

murder. As there are no blood relatives of clansmen, there is no reliance 

on others for support, [authoritarian] admonition to do good, or litigation 

over inheritance. As there are no ranks or positions, there is no such 

thing as relying on power or strength to oppress or rob others, or resorting 

to intrigue or flattery to get jobs. As there is no private property, 

there is no litigation over land, residence, or industrial or business property. 

As there is no burial [but cremation], there is no litigation over 

grave land. As there is no tax, customs, or conscription, there is no crime 

of cheating or desertion. And as there is neither title nor status, there is 

no insulting or oppression, or such things as offense or counterattack. 

(ibid., p. 283) 

In the Age of Great Peace, all people are equal. There are no servants 

or slaves, rulers or commanders, heads of religion or popes. (ibid., p. 

284) 

733


In the Age of Great Unity, all people live in public dwellings. . . . 

There will be automatic boats and cars. . . . New inventions appear 

every day. . . . There will be no difference in dress between men and 

women. . . . There will be no disease. . . . People think of nothing because 

happiness will reach its limit. They only think of immortality on 

earth. (ibid., pp. 294-300) 

5. Humanity 

The mind that cannot bear to see the suffering of others is humanity. 

It is electricity. It is ether. Everyone has it. This is why it is said that 

the nature of all men is originally good. 18 Since there is already this 

mind that cannot bear to see the suffering of others, when it is aroused 

and applied externally, it results in a government that cannot bear to see 

the people's suffering. If man were without this mind that cannot bear 

to see the suffering of others, then the sage ruler would be without this 

seed and that means that none of the benevolent governmental measures 

can be produced. Therefore we know that all benevolent governmental 

measures proceed from this mind that cannot bear to see the suffering 

of others. It is the seat of all transformations, the root of all things, the 

source of all things, the seed that will become the tree reaching up to the 

sky, the drop of water that will become the great sea. Man's feeling of 

love, human civilization, the progress of mankind, down to Great Peace 

and Great Unity all originate from it. ... 

The mind that cannot bear to see the suffering of others is a humane 

mind. The government that cannot bear to see the people's suffering is 

a humane government. Although they differ as inner and outer and as 

substance and function, their constituting the Way is the same. It is 

humanity, that is all. Humanity means "people living together." 19 Chuang 

Tzu said that in an empty valley "One is happy when he sees someone 

similar in appearance." 20 It is the natural feeling of men that when they 

see someone with a similar appearance, a similar form, or a similar 

voice, the feeling is inevitably aroused in their minds to love each other. 

. . . All people have the mind to love each other. All people work 

for each other. . . . 

Confucius instituted the scheme of Three Ages. In the Age of Disorder, 

humanity cannot be extended far and therefore people are merely 

affectionate to their parents. In the Age of Rising Peace, humanity is 

extended to one's kind and therefore people are humane to all people. 

In the Age of Great Peace, all creatures form a unity and therefore 

18 This refers to Mencius, 2A:6, on which K'ang's present remarks are a com- 

mentary. 

19 This is the definition given by Cheng Hsüan (127-200) in his commentary on 


20 Chuang Tzu, ch. 24, NHCC, 8:21b. Cf. Giles, trans., Chuang Tzu, 1961 ed., 

p. 233. 

734

K'ANG YU-WEI 

people feel love for all creatures as well. 21 There are distinction and 

gradation in humanity because there are stages in historical progress. . . . 

History goes through an evolution, and humanity has its path of development. 

As the path may be large or small, so humanity may be large 

or small. Before the time is ripe, it cannot be forced. (Meng Tzu wei, 

or Subtle Meanings of the Book of Mencius, Wan-mu ts'ao-t'ang ts'ungshu 

ed., 1:2b-4b) 

With respect to Heaven, humanity is the principle of production and 

reproduction, and with respect to man, it is the virtue of universal love. 

. . . Heaven is humane. It sustains and nourishes all things, transforming 

them, producing them, and further nourishing them and bringing 

them to completion. Man takes humanity from Heaven and thus becomes 

a man of humanity. . . . 

The word jen consists of one part meaning man and another part 

meaning many. It means that the way of men is to live together. It connotes 

attraction. It is the power of love. It is really electrical energy. 

(Chung-yung chu, pp. 20b-21a) 

Comment. K'ang synthesized most Confucian concepts of humanity 

—humanity as the basic virtue, as "people living together," as universal 

love, and as "production and reproduction" 22 —and made it 

more emphatic by equating it with "the mind that cannot bear [to 

see the suffering of others]." He did more than just synthesizing, 

however. Under the influence of Western science, he identified jen 

with ether and electricity, thus for the first time in Chinese history extending 

jen to the realm of natural science. He added the new notes 

that jen is power of attraction and that it is based on the "feeling 

of the same kind," so that the gradual extension of love for one's 

parents to all men is not just a result of natural moral feelings as 

Mencius and Neo-Confucianists had thought, but also a result of 

the power of attraction. 

Fung Yu-lan thinks that K'ang's use of the concept of all-pervasive 

ether and electricity is no more than the Neo-Confucianist 

doctrine that all things form one body supplemented with theories 

of physics without his understanding them. 23 But he overlooked at 

least three new elements in the picture, namely, that forming one 

body is a process of some energy, that it is a result of mutual attraction, 

and that it is a natural phenomenon. The one drawback 

21 This refers to Mencius, 7A:45. 

22 For discussions on jen, see above, ch. 30, sec. 1; ch. 31, secs. 1 and 11; ch 

32, sec. 42; ch. 34, treatise no. 1. 


735


in K'ang's treatment of jen is that he did not develop the Neo-Confucian 

idea of jen as the will to grow, although he has hinted at the 

idea of humanity as seeds. 24 If he had developed it, his theory would 

have been much more dynamic. 

24 See n.22 and also Chan, K'ang Yu-wei and the Confucian Doctrine of Humanity 

(Jen)," in Lo, Jung-pang, ed., K'ang Yu-wei. 

736

... 40 ... 

THE PHILOSOPHY OF HUMANITY (JEN) 

IN T'AN SSU-T'UNG 

T'AN SSU-T'UNG (1865-1898) is a replica of K'ang Yu-wei (1858- 

1927) on a small scale. 1 Like K'ang, he followed the idealistic Neo- 

Confucianism of Lu Hsiang-shan (Lu Chiu-yüan, 1139-1193) and 

Wang Yang-ming (Wang Shou-jen, 1472-1529), was a syncretist in 

lumping together Confucianism, Buddhism, Christianity, and Western 

science, was a reformer, and propounded a philosophy of universalism. 

T'an's philosophy is presented and expounded in his Jen-hsüeh 

(Philosophy of Humanity). According to Liang Ch'i-ch'ao (1873- 

1929), it is an elaboration of K'ang's basic doctrine. 2 He never studied 

under K'ang and met him only during the Hundred Days Reform in 

1898. When that movement collapsed, K'ang fled abroad but T'an became 

a martyr at the age of thirty-three. Two years before that, he had 

heard of K'ang's teachings through Liang and declared himself K'ang's 

pupil. Thus he was deeply influenced by K'ang, quickly became the 

elaborator and modifier of K'ang's basic philosophy of humanity, and 

wrote the Jen-hsüen in 1896-1897. There is no evidence that T'an had 

read K'ang's manuscript of the Ta-t'ung shu (Book of Great Unity), 

but it is difficult to imagine what else Liang could have told him. 3 

As an elaborator and modifier, T'an was neither thorough nor profound. 

His book is unsystematic and spotty and has been described as a 

confused dream. His ideas of humanity as universal love, as production 

and reproduction, as ether and electricity, and as power of attraction are 

no more than repetition of K'ang. However, he did refine them to some 

1 He was from Hunan. His courtesy name was Fu-sheng. After the Sino-Japanese 

war of 1895, he promoted new learning in Hunan. Attracted by the Society 

for National Strength and New Learning founded by K'ang Yu-wei in Peking, he 

went there to see him. K'ang had left for his native Kwangtung, but T'an met the 

secretary of the society, Liang Ch'i-ch'ao. In 1896 he was put on the waiting list 

to become a prefect, spending the year at Nanking where he studied Buddhism. In 

the next year he and Liang promoted modern education in Hunan. When the 

reform of 1898 was started by K'ang in Peking, they were called there to help. 

T'an was appointed one of four secretaries in the Grand Council to supervise the 

reforms. He was sent to persuade Yuan Shih-k'ai (1858-1916), commander of an 

army guarding the capital, to help the reformers and eliminate the opposition. 

Yuan promised him but betrayed the reformers. As a result T'an was arrested and 

executed. For greater details see Hummel, ed., Eminent Chinese, pp. 702-705. 

2 Liang Ch'i-ch'ao, Yin-ping-shih wen-chi (Collection of Literary Works of 

Yin-ping Study), 1st collection, 1936, 3:51a. 

3 On the question of K'ang's influence of Tan, see Chan, "K'ang Yu-wei and the 

Confucian Doctrine of Humanity (Jen)," in Lo, Jung-pang, ed., K'ang Yu-wei. 

737

THE PHILOSOPHY OF HUMANITY 

extent. For example, whereas K'ang brought in the idea of jen as penetration 

incidentally, T'an made it his basic concept, or "the first principle," 

as he put it. But the most important refinement is that while K'ang 

merely mentioned ether as jen, he attempted to formulate some sort of 

system and postulate jen in the sense of ether as the element of elements, 

as uncreated and indestructible, and as the source of all elements of 

existence and of all creatures. In doing so he was the first one to regard 

jen not only as a characteristic of reality but as reality itself. He is still the 

only one in Chinese history to have devoted a whole book to jen. 

No other Chinese philosophical concept has gone through so many 

interesting phases of development as jen. Before Confucius' time, it was 

the specific virtue of benevolence. Confucius turned it into the universal 

virtue and basis of all goodness. In the Han times (206 B.C.-A.D. 220) 

it was interpreted as love, affection, and "people living together." In 

Han Yü (768-824), it became universal love. Neo-Confucianists of the 

Sung period (960-1279) understood it variously as impartiality, consciousness, 

unity with Heaven and Earth, the character of love and the 

principle of the mind, the character of production and reproduction, 

seeds that generate virtue, and so forth. And now K'ang describes it in 

terms of ether and electricity and T'an identifies it with the indestructible 

element of all elements of existence. In bringing the development to a 

higher stage, T'an has made a significant contribution. 4 

SELECTIONS 

1. Ether and Humanity 

Throughout the realms of elements of existence (dharmas), 5 empty 

space, and sentient beings, there is something supremely refined and 

subtle, which makes everything adhere, penetrates everything, and connects 

everything so that all is permeated by it. The eye cannot see its 

color, the ear cannot hear its sound, and the mouth and nose cannot 

perceive its flavor and fragrance. There is no name for it but we shall 

call it ether. As manifested in function, Confucius referred to it as humanity 

(jen), origination, and nature. Mo Tzu (fl. 479-438 B.C.) referred 

to it as universal love. The Buddha referred to it as ocean of 

ultimate nature (all-embracing reality) and compassion, Jesus referred 

to it as the soul and as loving others as oneself and regarding one's 

enemies as friends, and scientists refer to it as the power of love and 

power of attraction. They all refer to this thing. The realms of elements 

of existence, empty space, and sentient beings all issue from it. 

4 For comments on jen, see above, ch. 30, sec. 1; ch. 31, secs. 1 and 11; ch. 32, 

sec. 42; and ch. 34, sec. 1. 

5 For the translation of this term, see Appendix, comment on Fa. 

738

T'AN SSU-T'UNG 

There is nothing more intimate to man than his body. There are more 

than two hundred bones and in addition a great number of tendons, 

muscles, blood vessels, and internal organs. It is ether alone that produces 

them, makes them adhere, and causes them not to scatter apart. It 

is ether alone that causes men to go from individuals to the (five human 

relations) between husband and wife, father and son, elder and younger 

brothers, ruler and minister, and friends, and from individuals to families, 

states, and the world, and remain interrelated without scattering 

apart. It is ether alone that causes the earth . . . the moon . . . the planets 

. . . the infinite number of worlds . . . to attract each other and not to 

scatter apart. (Jen-hsüeh, or Philosophy of Humanity, in T'an Liu-yang 

ch'üan-chi, or Complete Works of T'an Ssu-t'ung, Shanghai, 1917, pt. 1, 

3a-4a) 

The most intelligent function of ether that can be shown by evidence is 

the brain in the case of man . . . and electricity in the case of empty 

space. Electricity is not confined to space, for there is nothing which it 

does not integrate and penetrate. The brain is one of the instances in 

which electricity assumes physical form and solid substance. Since the 

brain is electricity with physical form and solid substance, then electricity 

must be brain without physical form or solid substance. Since 

men know that it is the power of the brain that pervades throughout the 

five sense organs and the hundred bones and makes them one body, they 

should know that the power of electricity pervades throughout heaven, 

earth, the ten thousand things, the self and the other, and makes them 

one body. . . . Electricity is everywhere. It follows that the self is everywhere. 

Erroneously to make a distinction between the self and the other 

is to be without humanity. . . . Without humanity, the same body would 

be like different regions. . . . Therefore the distinction between humanity 

and inhumanity lies in whether there is penetration or obstruction. The 

basis of penetration or obstruction is simply humanity or inhumanity. Penetration 

is like electric lines reaching out in all directions, and there is 

nowhere which they do not reach. This means that different regions are 

like one body. . . . Unless I can penetrate heaven, earth, all things, 

myself and other selves as one body, I shall have no way to appreciate 

the knowledge of that which penetrates and I would regard it as strange. 

Actually, if there is penetration throughout the self, which knows all, 

there is nothing strange at all. The difference between having knowledge 

and having no knowledge depends on whether there is humanity 

or not. There is only humanity in the universe; there is no wisdom to 

speak of. (ibid., 4a-6a) 

Comment. Here T'an departs from K'ang. Instead of equally em- 

739


phasizing humanity and wisdom, as K'ang did, T'an stresses humanity 

exclusively. 

If humanity is violated, will ether become extinct? Answer: There is 

no extinction. Not only does ether not become extinct; humanity does 

not, of course. None can extinguish them and they cannot become extinct 

in any case. To violate it or to extinguish it means not to follow the 

order which it possesses. Who can arbitrarily make an existing thing 

nonexistent? By the same token, none can arbitrarily make a nonexistent 

thing existent. Since none can arbitrarily make a nonexistent thing existent, 

even a person as perfectly humane as Heaven cannot augment 

humanity by any degree. And since none can arbitrarily make an existent 

thing nonexistent, even a person as inhumane as beasts cannot diminish 

it by any degree. It cannot be augmented because there is no production, 

and it cannot be diminished because there is no extinction. Knowing 

that there is neither production nor extinction, we can then talk about 

human nature. . . . Nature is a function of ether. Since ether possesses 

the power to cause things to perfect each other and to love each other, 

therefore we say that human nature is good. (ibid., 8a) 

2. The Principle of Nature and Human Desires 

Ordinary society and petty scholars regard the Principle of Nature 

(T'ien-li) as good and human desires as evil. They do not realize that 

without human desires there cannot be any Principle of Nature. I 

therefore feel sad that the world has erroneously made a distinction 

between them. The Principle of Nature is good, but human desires are 

also good. Wang Fu-chih (Wang Ch'uan-shan, 1619-1692) said that 

the Principle of Nature is within human desires and that without human 

desires the Principle of Nature cannot be revealed. 6 This agrees with the 

Buddhist doctrines that the Buddha and all sentient things are identical 

and that ignorance (avidya) and Thusness (Tathata, True Reality) 7 

are the same. 

Let us prove it. Function has been called evil, it is true. But a name 

is only a name and not an actuality. Function is also a name and not an 

actuality. How did names originate? When did function begin? Names 

are given by men and function is given its name by men. They are all 

products of men. "Function" is only one of many names. Why do we 

say this? Sexual intercourse is called lust. "Lust" is but a name. This 

name has been followed for long since the beginning of man, and has not 

been changed, and therefore people have customarily called lust evil. 

But suppose from the beginning of man there had been the custom of 


7 For this concept, see above, ch. 24, n.19. 

740

T'AN SSU-T'UNG 

considering this lust as a great institution in imperial audiences and public 

banquets, practicing it in imperial temples, in cities, and in the midst 

of large crowds, like kneeling and bowing low in China and embracing 

and kissing in the West, and being followed as a tradition up to the 

present, who will know that it is evil? Somehow it was called evil and as 

a result people have considered it evil. (ibid., 8b-9a) 

Comment. T'an was the first one to have launched such a frontal 

attack on Confucian moral dogmas. This is extraordinary, for he 

was essentially a Confucianist. 

3. Neither Production nor Extinction 

Is there any evidence that there is neither production nor extinction? 

Answer: You can see it everywhere. For example, take the principles of 

chemistry already referred to. Even if we study them to the utmost, they 

involve no more than analyzing a certain number of physical elements to 

divide and synthesizing to combine them. All we do is to make use of 

what elements there already and necessarily are and take into consideration 

their attraction or repulsion at the time, and adjust their proficiency 

or deficiency, and call the product this or that thing, that is all. How can 

we eliminate a physical element or create another one? (ibid., 12b-13a) 

4. Daily Renovation 

What is seen by our eye or heard by our ear is not the real object 

itself. The eye has a lens. When the shape of the thing enters it, it makes 

an image. . . . By the time the image is made, the shape of the thing has 

long been gone. Furthermore, the image depends on the brain to be 

known. By that time the image itself has become a past image and the 

true image cannot be seen. . . . 

When we view things in the opposite direction from those that are 

gone, we have what is called daily renovation. Confucius said, "The 

symbolism of the ko (change) hexagram means to cast away the old and 

the ting (caldron, symbolizing reform) hexagram means to take on the 

new." 8 He also said, "Its (the Way's) virtue is abundant because it 

renovates things every day." 9 Good reaches its limit when it is daily renewed, 

and evil also reaches its end when it does not daily renew. If 

heaven does not renew itself, how can it produce things? If the earth 

does not renew itself, how can it revolve? If the sun and moon do not 

renew themselves, how can they be bright? And if the four seasons do 

not renew themselves, how can there be the cold and warm seasons?. . . 

8 Changes, "Random Remarks on the Hexagrams." Cf. Legge, trans., Yi King, 

p. 443. Ko and ting are the 49th and 50th hexagrams in the Book of Changes. 

9 ibid., "Appended Remarks," pt. 1, ch. 5. Cf. Legge, ibid., p. 356. 

741


If ether does not renew itself, all the elements of existence in the three 

realms (the threefold world of sensuous desire, of form, and of formless 

world of pure spirit, that is, our world) will become extinct. . . . 

Comment. The idea of daily renovation is a traditional one. In 

quoting Confucius about casting away the old, T'an is hinting at 

the idea of renovation not only as a new phase but as reform or 

even revolution, for that is what the caldron symbolizes. Unfortunately 

T'an did not develop this idea. 

On what is daily renovation based? It is based on the activating power 

of ether. Have you not heard thunder? There is nothing in the vast and 

quiet empty space. Then suddenly cloud and rain meet, involving two 

charges of electricity. As there are two charges, there are the positive and 

the negative. As there are the positive and the negative, there are similarity 

and difference. Because of difference, there will be mutual attack, 

and because of similarity, there will be mutual attraction. Thus fleeting 

lightning and roaring thunder burst out. . . . Sweet rain follows and 

gentle wind moves back and forth. . . . As a result, all kinds of things 

flourish and thus grow and mature. Is this not because of the activity 

of ether which goes on indefinitely? This may be said to be the beginning 

of humanity. . . . Do those who govern the world well not follow 

this way? They advance and change, lead the people and work hard, 

create and promote things, raise what is neglected, and replace what is 

worn out. . . . (ibid., 23a-b) 

742

...41... 

CHANG TUNG-SUN'S THEORY OF KNOWLEDGE 

NOT SINCE the third century B.C. have there been "one hundred 

schools" of thought contending in China as in the twentieth century. 

The combination of Western thought and revolt against traditional heritage 

caused many intellectual currents to run in all directions. The introduction 

of modern Western philosophy began with Yen Fu's (1853- 

1921) translation of Huxley's Evolution and Ethics in 1898. His translation 

of works of Mill, Spencer, and Montesquieu soon followed. At 

the turn of the century, ideas of Schopenhauer, Kant, Nietzsche, Rousseau, 

Tolstoi, and Kropotkin were imported. After the intellectual 

renaissance of 1917, the movement advanced at rapid pace. In the following 

decade important works of Descartes, Spinoza, Hume, James, 

Bergson, Marx, and others became available in Chinese. Dewey, Russell, 

and Dreisch came to China to lecture, and special numbers of journals 

were devoted to Nietzsche and Bergson. Clubs and even schools were 

formed to promote a particular philosophy. Almost every trend of 

Western thought had its exponent. James, Bergson, Eucken, Whitehead, 

Hocking, Schiller, T. H. Green, Carnap, and C. I. Lewis had their own 

following. For a time it seemed Chinese thought was to be completely 

Westernized. 

But that was not to be the case. Simultaneously with the propagation 

of Western thought, efforts were made to revive and reconstruct Chinese 

philosophy. We have already seen the attempt by T'an Ssu-t'ung (1865- 

1898). The great rebel Sun Yat-sen (1866-1925) himself incorporated 

part of Confucian ethics into his political ideology. In 1921, Liang Souming 

(1893-1962) championed Confucian moral values and aroused the 

Chinese to a degree seldom seen in the contemporary world. Both Ouyang 

Ching-wu (1871-1943) and Abbot T'ai-hsü (1889-1947) promoted 

the revival of the Buddhist Consciousness-Only philosophy for 

many years. While Liang created a strong current in reevaluating and 

revitalizing Confucianism, he did not develop a philosophy of his own. 

Neither Ou-yang nor T'ai-hsü added anything really new to Buddhist 

philosophy in spite of the latter's attempt to synthesize it with Western 

thought and modern science. The two outstanding philosophers who have 

achieved concrete success in reconstructing traditional philosophy and 

establishing a system of their own are Fung Yu-lan (1895—) and 

Hsiung Shih-li (1885-1968) who will be the subjects of the next two 

chapters. Significantly, they have derived their philosophies from the two 

743

THEORY OF KNOWLEDGE 

major Neo-Confucian tendencies, the rationalistic and the idealistic, 

respectively. 

The number of scholars advocating Western philosophy has been far 

greater than those oriented toward Chinese thought, although they cannot 

match the latter group either in originality or in influence until 

Marxism overcame China. Pragmatism, introduced and advocated by 

Hu Shin (1891-1962), vitalism, materialism, and new realism were 

particularly strong. But these were but Western philosophy transplanted 

on Chinese soil without any fundamental change. Chin Yüeh-lin (1894 

—), an expert in logical analysis and much influenced by T. H. Green, 

has developed his own system of logic and a metaphysics based on it. 

The one who has assimilated the most of Western thought, established 

the most comprehensive and well coordinated system, and has exerted 

the greatest influence among the Western oriented Chinese philosophers, 

however, is indisputably Chang Tung-sun (1886-1962). 1 

Chang is a self-educated man. From editor of newspapers and magazines, 

he rose to be a professor and dean of several universities. He has 

never been to the West but has translated Plato's Dialogues and Bergson's 

Matter and Memory and Creative Evolution, among others, into 

Chinese, and has read more of Western philosophy than perhaps any 

of his Chinese colleagues. He has written thirteen books, in which he 

has developed a system which may be called revised Kantianism, epistemological 

pluralism, or panstructuralism. 

Chiefly formulated between 1929 and 1947, Chang's philosophy is 

derived from Kant but he rejects Kant's bifurcation of reality into the 

manifold and unity and the division of the nature of knowledge into the 

given and the innate. To him knowledge is a synthetic product of sense 

data, form, and methodological assumption. Perception, conception, 

mind, and consciousness are all syntheses or "constructs," and constructs 

are products of society and culture. He said that he has combined 

Western logic with modern psychology and sociology, but that his system 

is his own. He shows not only the influence of Kant and Hume, but 

also that of Dewey, Russell, and Lewis. 

During World War II he shifted more and more from metaphysics to 

1 He was a native of Chekiang. Some say he was born in 1884. He did not study 

in Tokyo University as sometimes stated but did spend some time in Japan. After 

serving as an editor of various newspapers and magazines and as a university 

professor in Shanghai and Canton, he became a professor in Yenching University 

in Peking. Originally a leader of the Progressive Party, he later became a leader 

of the State Socialist Party and as such was opposed to both the Nationalist Party 

and the Communist Party. During World War II, he was imprisoned by the Japanese 

in Peking. After the war he left his party and joined the leftist Democratic 

League. In 1949 he became a member of the Central Committee of the People's 

Government in Peking. Soon afterward he retired. He died in 1962. 

744

CHANG TUNG-SUN 

the sociology of knowledge and thus was drawn closer to Marxism. This 

is a far cry from his anti-Marxian stand in 1934 when he edited a symposium 

mostly critical of dialectical materialism. But his theory of concepts 

as products of culture made it easy, if not inevitable, for him to 

accept the Marxian philosophy. 

The following selections are from his two most important philosophical 

works, the Jen-shih lun (Epistemology), Shanghai, 1934, and the 

Chih-shih yü wen-hua (Knowledge and Culture), Chungking and Shanghai, 

1946. 

SELECTIONS 

In my theory, the knowing cannot be absorbed by the known, nor can 

the known be absorbed by the knowing. But my theory is different from 

epistemological dualism, for it only recognizes the opposition of subject 

and object, which seems to me to be too simple. Of course my theory is 

also a kind of epistemological criticism. . . . For example, critical realism 

is a tri-ism, for it holds that apart from mind or the knowing and matter 

or the known, there is also what is called "meaning as essence." The 

critical philosophy of Kant still resorts to bifurcation, although not obviously, 

for he separates sense data and form, except that the latter can 

advance progressively. My epistemological pluralism may be said to follow 

Kant's path generally. But there are important points of difference, 

and that is that I do not consider form as a subjective construction. Unlike 

Kant, I do not regard the external world as without order, or regard 

sense data as material for knowledge. I hold that sensation cannot give 

us orderly knowledge. Although I agree with Kant in this, I disagree 

with him in that I hold that order cannot be entirely the product of the 

synthesizing power of the mind. For this reason I hold that there is order 

in the external world and that there is also construction in the internal 

world. The construction in the internal world is further divided into two, 

namely, the a priori form of intuition and the a priori form of understanding. 

As to sensation, it is not really an existent. Therefore there 

are several aspects in my theory and I have therefore called it pluralism. 

(Jen-shih lun, pp. 45-46) 

Comment. Aside from these technical differences from Kant, Chang 

also thinks that Kant's theory of knowledge is within the limits of 

the Western type of knowledge and therefore has no universal 

validity. Since Chang's approach is fundamentally sociological, it 

is inevitable that he looks upon Kant's epistemology as having been 

conditioned by his time and culture. 

As to the origin of knowledge, an epistemological pluralist thinks that 

745


it should not be generally discussed. Knowledge is a synthetic product of 

sense data, form, and assumption. There is no knowledge apart from 

sense data, form, or assumption. But as there are sense data, there must 

be an order behind them. . . . Therefore with respect to the nature of 

knowledge, we can hold the view that between two ends there is the 

middle section. At the one end is the knower, and at the other end the 

known. . . . At the end of the knower, there are external things which 

are absolutely unknowable but there is also an external world that is 

relatively knowable. At the end of the known there is the self which is 

absolutely unknowable but also an internal world which is relatively 

knowable. . . . Although epistemological pluralism adopts the theory of 

functionalism, nevertheless it does not hold that knowledge is produced 

only because of action. To regard knowledge as an instrument of action 

is an extreme of functionalism. Although knowledge cannot be separated 

from action or even restricted by it, nevertheless knowledge itself is not 

the product of action nor does it exist solely as an instrument of action. 

I hold that knowledge and action are intimately related but do not admit 

that action can absorb knowledge. . . . 

In short, our universe has no substance of its own. It is only a construct. 

The process of construction is not entirely natural, and there 

must be the part of our knowing activity in it. For we cannot cast aside 

knowledge and see the true nature of this construct. Although in our 

knowledge this construct is not what it is originally, nevertheless it 

certainly does not deviate too much from its original nature. We can 

therefore say that the universe is a construct. (ibid., pp. 123-133) 

Scholars have generally divided knowledge into two general types. 

One is called direct acquaintance and the other indirect comprehension. 

. . . Of course we also accept this general distinction and use the common 

terms of sense perception and conception, but we prefer to regard 

one as perceptual knowledge and the other as interpretative knowledge. 

For example, when I see a lump of black stuff moving, accompanied by 

some rumbling noise, I immediately know that it is a train. For us adults 

this recognition is instantaneous. Surely we do not "see" it and at the 

same time do not "know" what it is. For the sake of analysis, however, 

we assign what appears as a dark lump that moves to "acquaintance" 

and the recognition that it is a train to "discrimination." Some hold that 

the former is the material for knowledge while the latter is the faculty of 

knowledge. Without material there is nothing for the faculty to work 

with and without the faculty material cannot function even if it was 

there. The former is sensation, whereas the latter is conception induced 

by sensation. Therefore this distinction between direct acquaintance and 

indirect discrimination is merely a kind of analysis. They are not two 

746


different independent parts. . . . Although (direct) acquaintance merely 

exists in (indirect) 2 discrimination, nevertheless there is no necessary 

relation between them. . . . There can be different understandings of the 

same perception. It seems that this point has been overlooked by the 

sensationistic empiricists. They think that all kinds of knowledge can be 

reverted back to direct acquaintance, thus wiping out all explanations 

and discriminations. In this way it is very difficult to explain why there 

is error. We must realize that there is error only because perception and 

thought do not agree. If our knowledge always depends on direct acquaintance 

and is in accord with its face value, then the question of error 

cannot be answered. It is because of this that new realism has been criticized. 

. . . In short, direct acquaintance and discrimination cannot be 

separated. There is no direct acquaintance which is not involved in discrimination, 

and there is no discrimination which does not involve direct 

acquaintance. . . . 

In psychology, act and content are usually distinguished as two different 

aspects. . . . We must realize that act is involved in content and 

content is produced by act. The two cannot be separated, for they are 

but the two aspects of the same thing. . . . Modern science supports my 

view, namely, that content is produced by act. For this reason I feel that 

what Kant saw more than a hundred years ago is not inferior to what 

contemporary scholars see. The idea of threefold synthesis presented 

in his Critique of Pure Reason really cannot be shaken. Unfortunately 

he almost did not explain sensation at all. What I am doing is to amend 

his deficiency with the relatively reliable theories of modern psychology. 

Comment. One wonders if Chang's persistent refusal to accept any 

absolute bifurcation is not an influence of Chinese traditional 

thought, for the doctrines that "substance and function come from 

the same source" 3 and that knowledge and action form a unity have 

been major Chinese traditions. Chang is a profound student of both 

Neo-Confucianism and Buddhism. 

On the basis of the ideas set forth above, we must first of all admit 

that "mind" or "consciousness" is merely an act of continuous and progressively 

advanced synthesis. Progress from psychological activities on 

the low level (such as sensing a shadow or form) to those on the high 

level (such as thought and judgment), form all but continuous stages in 

this synthesis. Synthesis can advance continuously to the degree of 

changing its nature. In other words, synthesis can advance from one 

2 These and the following parentheses are Chang's own. 

3 Ch'eng I (Ch'eng I-ch'uan, 1033-1107), preface to the I chuan (Commentary 

on the Book of Changes), in ECCS. 

747


level to another and thus move up so that the content of each level becomes 

different. I call the result of this synthesis "the constructs." Even 

that which synthesizes is a product of synthesis. 

We must realize that sensation is still only a synthesis, although it 

is on the lowest level, or a synthesis that tends to be biological. As to the 

ordinary person's idea that whiteness, hotness, or fragrance is a simple 

thing, that is wrong. Kant called this thoroughgoing synthesis a Verbindung, 

but I rather call it collectively "physical integration." Within it 

there are four levels, to each of which I have given a name. With respect 

to sensation I call it "fusion or sensory fusion." With respect to perception, 

I call it "configuration." With respect to conception, I call it "unification." 

And with respect to categories, I call it "regulation." (Chihshih 

yü wen-hua, pp. 7-9) 

Now we have to explain unification, or the nature of concepts. We 

must realize that sensation is necessarily related to perception and perception 

to conception. In their aspect of advancing upward, they are 

continuous. But in their special characteristics, perception involves meaning 

which sensation does not possess, and concepts can enter into another 

person's mind, which perception cannot do. ... 

According to Kant, no knowledge can be separated from concepts. 

This means that when we discriminate a thing or an event, we simply 

have to use concepts. Without concepts there will be no knowledge. What 

is called knowledge is simply the use of concepts we already have and 

concepts newly formed. Therefore it is quite natural that perception 

changes to concepts. But when we analyze them, we cannot help saying 

that conception is more advanced than perception, that is all. For a 

concept can detach itself from the immediate perception and goes from 

one's own mind into another person's mind. 

Now our question is this: How is a concept produced? In other words, 

how is it formed? Of course concept is formed by "unification to become 

one. . . ." We learn in psychology that perception always leaves an image 

. . . . When the image becomes weaker and weaker, it naturally changes 

to be a sign. A sign means a vague and general outline. When the sign 

is transferred, it becomes a symbol. By transferring is meant that a sign 

for A becomes the sign for B. This is the mobility of signs. I believe that 

this is the origin of the concepts of things, because as soon as the sign 

appears, the concept is formed. What we ordinarily call a concept is 

really a sign. We talk about the origin of concepts purely from the point 

of view of psychological process. In reality a concept is the same as a 

sign, and a sign is the same as a concept. In short, a concept is not like 

what the new realists call the subsistent which subsists in things but 

exists in them as an independent entity. [On the contrary] a concept is 

748


formed when a concreta changes from a sign into a symbol and can be 

applied to another concreta so that it becomes an abstraction. . . . 

The concreta from which the concept emerges is not limited to the 

object of perception. The most important concreta is the meaning of 

the perception, and relation is one of the meanings. All of these can be 

abstracted to be concepts. For example, when I see two things, I perceive 

that they coexist. This coexistence can become a concept. Or I 

perceive that A is larger than B. This comparative largeness can also 

become a concept. . . . 

The reason why a concept can become a norm for other concepts is 

that when a concept arises, it immediately becomes a world or group 

of concepts, in which all concepts are related. In other words, in a group 

of concepts, the concept with the strongest normalizing power can cause 

other concepts to follow it and change their color (or become tainted by 

its color). Although this normalizing function only operates among the 

concepts themselves, it does definitely have a negative condition, and 

that is that the concept cannot conflict with perception or oppose it. If in 

perception there appears a phenomenon conflicting with it, the concept 

will immediately collapse. Then another concept must emerge to explain 

the phenomenon, so that the new phenomenon and other existing concepts 

will not conflict. This is why experimental knowledge can correct 

and revise concepts. 

If it is necessary to give examples to show that concepts can be advanced 

to categories, we have some excellent ones. Take, for example, 

purpose. This concept arose from the fact that primitive people felt that 

they had the will to do something. Gradually this feeling is broadened 

until it is believed that all changes are due to a will. Take, for example, 

a man killed by lightning. Primitive people thought it was God's will that 

he died. The man's death is a fact. It remains the same but its interpretations 

are different. Explained in scientific terms, it is electric shock, and 

in terms of superstition, it is God's punishment. These two interpretations 

are completely compatible with the culture of their times. If in 

our day of scientific culture we still believe that it is God's punishment, 

we will be considered wrong. But in the whole of ancient culture, only 

the theory of God's punishment was compatible. Therefore it could not 

have been discovered by the people of the time that it was not the truth 

. . . . (ibid., pp. 19-26) 

Western religious concepts like God and Supreme Being and philosophical 

concepts like substance, ultimate stuff, the highest idea, oneness, 

and the absolute all serve to reflect society as a whole, so that when 

people believe in them they will feel more and more united with it and 

will be willing to sacrifice for it. For when society needs a centripetal 

749


force stronger than the centrifugal force, some theory or idea must arise 

to hold the people together so that they feel in their own minds that it is 

the truth and only then will they be willing to practice it and seek its 

realization. We must realize that any concept has a suggestive power. 

French scholars have called it the idea force. The term itself (that is, the 

concept) has a suggestive power to urge us to move toward a united 

society. On the other hand, philosophical concepts like freedom, personality, 

and dialectics all reflect social conflicts. When people believe in 

them, a psychology of conflict naturally arises in society. . . . 

Since government is a "force," it is in itself a necessary evil. But the 

degree of its evil cannot be higher than the degree of goodness which 

society needs. Otherwise society will completely disintegrate. This is a 

natural check and balance. Therefore no matter in what evil society, 

when moralists promote social unity they always have an appeal to 

people, can exert their influence, and can prove their usefulness. What 

we have been talking about does not concern society as such but to 

show how social conditions are reflected in ideas so readers may realize 

that while ideas seem on the surface to be independent and represent 

laws of logic or the structure of the universe that we talk about, actually 

they are secretly controlled by social needs, that is all. . . . (ibid., pp. 

80-82) 

750

... 42... 

THE NEW RATIONALISTIC CONFUCIANISM: 

FUNG YU-LAN 

THERE IS NO DOUBT that Fung Yu-lan (1895—) has been the most 

outstanding philosopher in China in the last thirty years. 1 He was already 

on the way to sure prominence when he published his two-volume History 

of Chinese Philosophy 2 in 1930, 1934. With the publication of his 

Hsin li-hsüeh (The New Rational Philosophy) in 1939, his position as 

the leading Chinese philosopher was firmly established. It is the most 

original Chinese philosophical work in this century. It has been the most 

discussed. Aside from Hsiung Shih-li's Hsin wei-shih lun (New Doctrine 

of Consciousness-Only) it is also the only work in twentieth-century 

China presenting a person's comprehensive philosophical system. Significantly, 

Fung's system is a reconstruction of rationalistic Neo-Confucianism 

while Hsiung's is a reconstruction of idealistic Neo-Confucianism. 

The term li-hsüeh, literally "school of principle," is the usual name 

for the Neo-Confucianism of Sung (960-1279) and Ming (1368-1644) 

times. Fung explicitly said that his system is derived from, though does 

not follow, Neo-Confucianism. 3 It is based on four main metaphysical 

concepts, namely, principle (li), material force (ch'i), the substance of 

Tao, and the Great Whole. 4 Collectively, they are deduced from the 

statement that "Something exists." They are all formal concepts and 

logical implications, empty and without content. 5 Specifically, each of 

them is deduced from a proposition or a set of propositions developed 

chiefly in the rationalistic Neo-Confucianism of Ch'eng I (Ch'eng Ich'uan, 

1033-1107) and Chu Hsi (1130-1200) but also in Taoism. 

The first concept, that of principle, is derived from the Ch'eng-Chu 

proposition that "As there are things, there must be their specific principles." 

6 In order to be, a thing must follow the principle by which it is 

what it is. 

1 

He is from Honan. After graduating from Peking University in 1919, he went 

to Columbia University and obtained a Ph.D. in 1923. Returning to China, he was 

a professor in various universities and from 1928 on was professor and dean of 

Tsing-hua University in Peking. In 1933, he lectured in England. During World 

War II, he was dean at the Southwest Associated University. He has been visiting 

professor at the University of Pennsylvania and University of Hawaii and has an 

LL.D. from Princeton. He is now professor at Peking University. 

2 3 

See Bibliography. See also his Spirit of Chinese Philosophy, p. 204. 

4 ibid., p. 205. For comments on the translation of the terms li and ch'i see 

Appendix. 

5 ibid., p. 205; Fung, Short History of Chinese Philosophy, p. 335. 

6 

Hsin li-hsüeh, p. 53; Spirit of Chinese Philosophy, p. 205. 

751

THE NEW RATIONALISTIC CONFUCIANISM 

Principle is self-existent, absolute, eternal, a universal as understood 

in Kung-sun Lung (b. 380 B.C.?) 7 and in Western philosophy. It is 

neither in nor above the world, for in itself it does not enter into any 

temporal or spatial relationship. A thing needs to follow principle but 

principle does not have to be actualized in a thing. It belongs to the 

realm of reality but not actuality. 8 Hence there are more principles than 

are actualized in the world. The sum total of principles is the Great 

Ultimate. 9 

The second concept, that of material force, is derived, as in the 

Ch'eng-Chu School, from the proposition that "If there is principle, 

there must be material force." This means that if a thing is to exist, there 

must be the material force by which it can exist. 10 This material, comparable 

to matter in Western philosophy, is the material force in Neo- 

Confucianism. Being the material of actualization, it has the characteristic 

of existence but itself does not exist either in principle or in the 

actual world. Like principle, it is only a formal logical concept. 11 

The third concept, that of the substance of Tao, is derived from the 

Neo-Confucian proposition of "The Ultimate of Non-being and also the 

Great Ultimate." 12 This means that the universe is a "universal operation" 

or a "great functioning" through the processes of "daily renewal" 13 

and incessant change. 14 

The fourth concept is that of the Great Whole, Tao, or Heaven, 15 in 

which, according to Buddhism and Neo-Confucianism, one is all and 

all is one. 16 This is a formal concept, because it is merely the general 

name for all and not an assertion about the actual world. 17 It is the 

Absolute in Western philosophy, just as the concepts of principle, material 

force, and the substance of Tao may be compared to the concepts 

of being, non-being, and becoming, respectively. 18 

The Great Whole is the goal of life which is to be fulfilled through the 

investigation of things, the fulfillment of one's nature, and serving 

Heaven. When this is done, one will reach the highest sphere of life, that 

of "forming one body with all things," which is the sphere of "great jen 

(humanity)." 

7 8 

Hsin li-hsüeh, p. 43. 

ibid., pp. 10, 27-28. 

9 

ibid., pp. 38, 42, 47, 53-55, 61-62; Spirit of Chinese Philosophy, pp. 205-207. 

10 Hsin li-hsüeh, pp. 63-68. 

11 

Spirit of Chinese Philosophy, pp. 207-209. 

13 

Chou Tun-i (Chou Lien-hsi, 1017-1073), T'ai-chi t'u-shuo (An Explanation 

of the Diagram of the Great Ultimate). See above, ch. 28, sec. 1. 

13 

A term originating from the Great Learning, ch. 2. 

14 Hsin li-hsüeh, pp. 97, 99, 100, 109-121; Spirit of Chinese Philosophy, pp. 209- 

211. 

15 Hsin li-hsüeh, pp. 36-38. 

16 Spirit of Chinese Philosophy, p. 211. 

17 Hsin li-hsüeh, p. 40; Spirit of Chinese Philosophy, p. 212. 

18 ibid., p. 213. 

752

FUNG YU-LAN 

Such is a bare outline of the Hsin li-hsüeh. Following it Fung wrote 

five books to complete his system in its various phases. The Hsin shihlun 

(China's Road to Freedom, 1939) deals with social, political and 

cultural reconstruction and is an economic interpretation of Chinese 

civilization and history. The Hsin shih-hsün (A New Treatise on the 

Way of Life, 1940) presents his mainly Confucian but to some extent 

also Taoistic ethics. The Hsin yüan-jen (A New Treatise on the Nature 

of Man, 1943) offers a theory of four different spheres of living. The 

scheme involves an advance from the innocent sphere where one does not 

know what he is doing, to the utilitarian sphere where one lives primarily 

for self-benefit, to the moral sphere of serving society, and finally to the 

transcendental sphere when one becomes a "citizen of Heaven" and 

serves Heaven. 19 The Hsin yüan-tao (The Spirit of Chinese Philosophy, 

1944) interprets the historical development of Chinese philosophy. In 

the Hsin chih-yen (A New Treatise on the Methodology of Metaphysics, 

1946), Fung develops his own methodology. These works supplement 

but do not alter the fundamental position of his philosophy. 

Fung frankly calls his own system a "new tradition," which to him 

not only represents a revival of Chinese philosophy but is also the 

symbol of a revival of the Chinese nation. 20 Thus his is not only a new 

system, but also one that continues and reconstructs the orthodox tradition 

from Confucius through the Sung Neo-Confucianists to himself. 

Quite aside from this confident sense of destiny, his system is new in the 

sense that he incorporates into the traditional rationalistic Neo-Confucianism 

the Western elements of realism and logic as well as the 

Taoist element of negativism and transcendentalism. 21 

Fung's greatest innovation is of course his conversion of Neo-Confucian 

ideas into logical concepts. In so doing he has transformed Neo- 

Confucianism fundamentally. Neo-Confucianism, which is essentially a 

philosophy of immanence, is now replaced by one of transcendence. In 

Neo-Confucianism, problems of the mind and the nature are basic, and 

metaphysical speculation about the universe is intended primarily to help 

understand them. Fung considers the mind and the nature to belong to 

the world of actuality, and does not seem to take them as seriously as 

logical concepts. In emphasizing universals, he found more of them in 

Chinese philosophy than there really are. To interpret Kung-sun Lung's 

chih (mark?) as a universal is no more than a conjecture. As to principle, 

if it only belongs to the realm of reality and does not imply actuality, is 

the actual world then an accident or even a mistake? How can reality be 

19 Short History of Chinese Philosophy, pp. 338-339. 

20 Spirit of Chinese Philosophy, ch. 10; Short History of Chinese Philosophy, 

p. 335. 

21 Spirit of Chinese Philosophy, pp. 203-204. 

753


real without existence? How can principle be the moral nature of things 

and yet in our nature transcends the actual world? If principle is not immanent 

in things, it is difficult to conceive any direct relation between 

universal operation and principle. In rejecting the Neo-Confucian 

philosophy of immanence, he also undermines its practical and thisworldly 

character. This is in direct opposition to the persistent tendency 

of Chinese philosophy and raises the serious question whether Fung's 

claim of a new tradition is justified. 

These questions call for answers. The more vital question, however, 

is whether Fung still holds this new rational philosophy. In 1950 he 

repudiated it, saying that it is but a twilight of old Chinese philosophy, 

just as Neo-Thomism is a twilight of Western philosophy. He regretted 

his neglect of the concrete and the particular, and compared Marxism- 

Leninism to modern medicine and traditional Chinese philosophy to 

medieval medicine. 22 Later in the year he specifically renounced the 

main thesis of his five books mentioned above. To him becoming a 

citizen of Heaven was no longer the highest sphere of living but escapism. 

As to the Hsin li-shüeh itself, he said that it over-stressed the universal 

and was too strongly influenced by Taoism and Buddhism, thus 

reflecting the crumbling feudal society. 23 

It is difficult to appraise utterances of this sort. Fung's attraction to 

Marxism is by no means an unlikely possibility. After all, as early as 

1939, he wrote his Hsin shih-lun from the point of view of materialistic 

interpretation of history. Later he said that the Taoist idea of returning 

to the root or reversion and the whole concept of daily renewal are 

dialectic. In 1952, however, he maintained that the difference between 

the new philosophy and the old philosophy in China is that the former 

is close to the people. The old philosophy should be criticized, he added, 

but what is correct in it should be adopted. 24 In 1957, he argued that 

Confucius was not a materialist but an idealist who brought facts into 

harmony with abstract concepts, as when he said, "Let the ruler [fact] 

be a ruler [concept]. 25 To defend both idealism and abstract concepts 

when these were under strong attack seems to indicate that much of traditional 

Chinese philosophy in general and his own philosophy in par- 

22 

See his "I discovered Marxism-Leninism," People's China, 1, 1950, no. 6, 

p. 11. 

23 

"Hsin li-hsüeh ti tzu-wo chien-t'ao (Self-appraisal about the New Rational 

Philosophy)," Kuang-min jih-pao (Bright Light Daily), Oct. 8, 1950; reprinted in 

Hsin-hua yüeh-pao (New China Monthly), 3, 1950, no. 1, pp. 193-197. 

24 "Philosophy in New China According to Fung Yu-lan," East and West, July, 

1952, pp. 105-107. For a digest of the article, see Far East Digest, no. 66, 1952, pp. 

12-13. 

25 

Fung, "Problems in the Study of Confucius," People's China, 1957, no. 1, pp. 

21-22, 27-31. The quotation is from Analects, 12:11. 

754

FUNG YU-LAN 

ticular is still with him. More will be said about him in chapter fortyfour. 

We are here concerned solely with his new rationalism for which 

the following selections have been made from his Hsin li-hsüeh, Changsha, 

1939. 

SELECTIONS 

1. The World and Principle 

What makes a thing square is the square. As explained before, the 

square can be real but not actual. If in fact there are no actual square 

things, the square is then not actual. But if in fact there are actual square 

things, they must have four corners. An actual square thing necessarily 

follows that which makes a square square; it cannot avoid this. From 

this we know that the square is real. Since the square is real but not 

actual, it belongs to the realm of pure reality. . . . 

When we say "There is a square," we are making a formal affirmation 

about reality. The statement "There is a square" does not imply an 

actual square thing. Much less does it imply a particular actual square 

thing. Therefore the statement does not affirm anything about actuality, 

but merely makes a formal affirmation about reality. From the point of 

view of our acquisition of knowledge, we must in our experience see an 

actual square thing before we can say that there is a square. But since 

we have said that there is square, we see that even if in fact there is no 

actual square thing, we still can say there is a square. (pp. 27-28) 

Chu Hsi regards principle as that by which actual things necessarily 

are what they are and the specific principle according to which they 

should be. Our idea of principle is the same. A square thing must follow 

the principle of the square before it can be square, and it must completely 

follow the principle of the square before it can be perfectly 

square. Whether a square thing is perfectly square depends on whether 

or not it follows the principle of the square completely. According to 

this reasoning, the principle of the square is the standard of all square 

things; it is the specific principle according to which they should be. 

The Book of Odes says, "Heaven produces the teeming multitude. As 

there are things, there are their specific principles." 26 This was often 

quoted by the Neo-Confucianists of the Sung period. Ch'eng I-ch'uan 

said, "As there are things, there must be their specific principles. One 

thing necessarily has one principle." 27 The principle of a class of things 

is the same as the specific principle of that class of things. We often say, 

"This square thing is more square or less square than the other square 

thing." In saying so we are following this standard. Without this standard 

26 Ode no. 260. 


755


no criticism is possible. Those who do not accept the existence of principle 

have overlooked this point. (p. 53) 

Sung Neo-Confucianists also have the theory that the "principle is one 

but its manifestations are many," which Chu Hsi also held. But when he 

talked about principle being one and its manifestations being many, the 

principle he talked about is already different from the principle when he 

discussed it [as such]. In commenting on the Western Inscription by 

Chang Heng-ch'ü (Chang Tsai, 1020-1077), Chu Hsi said, ". . . . There 

is nothing in the entire realm of creatures that does not regard Heaven 

as the father and Earth as the mother. This means that the principle is 

one. . . . Each regards his parents as his own parents and his son as his 

own son. This being the case, how can principle not be manifested as 

many?. . ." 28 The principle referred to here concerns the realm of that 

which exists after physical form and is with it (hsing-erh-hsia). It makes 

an affirmation about actuality. According to this theory, among individual, 

actual things there are certain internal relations. But this is a 

question about actuality. To say that there must be relations [among 

them] is to make an affirmation about actuality. 

In our system we can still say that "the principle is one but its manifestations 

are many." But when we say so, the principle we are talking 

about is still the principle when we discuss it as such. Let us first take 

things in a certain class. The things in this class all follow one principle. 

However, although they all follow the same principle, they each have 

their own individuality. From the point of view of things of this class 

being related within the class, we can say that their principle is one but 

its manifestations are many. As we said before, the principle of a class 

implies the principle of a general class. From the point of view of specific 

classes within a general class, all specific classes belong to the 

general class but at the same time possess that which makes them specific 

classes. The relation among the specific classes within the general 

class can also be stated in terms that the principle is one but its manifestations 

are many. . . . 

This is our theory that the principle is one but its manifestations are 

many. This theory is presented in its logical aspect. It only makes an affirmation 

about reality. It does not imply that there are internal relations 

among actual things, and therefore does not make any affirmation about 

actuality. (pp. 60-62) 

Comment. The doctrine of principle being one and its manifestations 

being many is in Neo-Confucianism precisely taught to har- 

28 See above, ch, 30, sec. 1. See Chang Tzu ch'üan-shu (Complete Works of Master 

Chang), SPPY, 1:7a, Chu Hsi's comment following the Western Inscription. 

756

FUNG YU-LAN 

monize the abstract universal and the concrete particular. 29 Instead, 

Fung applies the doctrine only to the realm of reality, thus leaving 

multiplicity in the realm of actuality still to be accounted for. 

2. Principle and Material Force 

There are two aspects in every actually existing thing, namely, its 

"what" and that on which it depends for its existence or to become 

actually what it is. For example, every round thing has two aspects. 

One is that "it is round." The other is that on which it depends for 

existence, that is, to become actually round. This "what" is the thing's 

essential element in the class to which it belongs and the thing's nature. 

The reason that it exists is the foundation of the thing's existence. Its 

"what" depends on the principle it follows. That on which it depends for 

existence is the material which actualizes the principle. . . . 

Material is either relative or absolute. Relative material has the two 

aspects just described. Absolute material, on the other hand, has only 

one of these aspects, namely, that it can be material simple and pure. 

Take a building, for example. . . . Bricks and tiles are material for the 

building, but they are relative and not absolute material. Earth is material 

for bricks and tiles, but it is still relative and not absolute material, 

for it still possesses the two aspects described above. . . . 

When the nature of the building is removed, it will cease to be a building 

but only bricks and tiles. When the nature of bricks and tiles is removed, 

they will cease to be bricks and tiles but only earth. The nature 

of earth can also be removed, ad infinitum. At the end there is the absolute 

material. This material is called matter in the philosophies of Plato 

and Aristotle. . . . Matter itself has no nature. Because it has no nature 

whatsoever, it is indescribable, inexplicable in speech, and unrealizable 

in thought. . . . 

We call this material ch'i (material force). . . . In our system material 

force is entirely a logical concept. It is neither a principle nor an actual 

thing. An actual thing is that which is produced by what we call material 

force in accordance with principle. Those who hold the theory of principle 

and material force should talk about material force in this way. 

But in the history of Chinese philosophy, those who held the theory of 

principle and material force in the past never had such a clear view of 

material force. In Chang Tsai's philosophy, material force is entirely a 

scientific concept. If there is the material force which he talked about, 

it is a kind of an actual thing. 30 This point will be taken up in detail later. 

Even what Ch'eng I and Chu Hsi called material force does not seem to 

29 For this doctrine, see above, ch. 34, sec. 116. 

30 For Chang's doctrine of material force, see above, ch. 30, secs. 2-9, 16, 30, 36, 

42, 43, 

757


be a completely logical concept. For instance, they often described material 

force as clear or turbid. 31 The way we look at the matter, the 

material force that can be described as clear or turbid is no longer 

material force [as such] but material force in accordance with the principle 

of clearness or turbidity. When they talked about material force as 

clear or turbid, they did not make clear whether they were talking about 

material force itself or about material force achieving the principle of 

clearness or turbidity. (pp. 64-68) 

Comment. Only Buddhists characterize the absolute as indescribable 

or unthinkable. Fung definitely equates material force with the 

Taoist and Neo-Taoist "unnamable" or non-being. 32 

We shall first discuss [Chu Hsi's statement], "There has never been 

any material force without principle." 33 This can very easily be proved. 

When we said that [what Ch'eng I called] 34 the material force of the true 

source has no nature whatsoever, we spoke entirely from the point of 

view of logic. From the point of view of fact, however, material force has 

at least the nature of existence. If not, it fundamentally does not exist. If 

material force does not exist, then there will not be any actual thing at 

all. If material force has the nature of existence, it means that it follows 

the principle of existence. Since it at least has to follow the principle of 

existence, therefore "There has never been any material force without 

principle." 

(Chu Hsi also said), "There has never been any principle without 

material force." 35 This saying cannot be interpreted to mean that all 

principles are with material force, for if so, it would mean that all principles 

are actually exemplified and that there would be no principle 

which is only real but not actual. This statement merely says, "There 

must be some principles with material force," or "There has never been 

the time when all principles are without material force." This has been 

proved above, for at least the principle of existence is always followed 

by material force. (p. 75) 

3. Tao, Substance and Function, and Universal Operation 

What we call the material force of the true source is the Ultimate of 

Non-being, and the totality of all principles is the Great Ultimate. The 

process from the Ultimate of Non-being to the Great Ultimate is our 

world of actuality. We call this process "The Ultimate of Non-being and 

also the Great Ultimate." The Ultimate of Non-being, the Great Ultimate, 

and the Ultimate of Non-being-and-also-the-Great-Ultimate are, 

31 

See above, ch. 32, sec. 63; ch. 34, secs. 57, 66, 69. 

32 33 

Spirit of Chinese Philosophy, p. 209. See above, ch. 34, sec. 100. 

34 35 



758

FUNG YU-LAN 

in other words, the material force of the true source, the totality of 

principle, and the entire process from material force to principle, respectively. 

Collectively speaking, they are called Tao (the Way). . . . 

Why have Tao in addition to the Great Whole or the universe? Our 

answer is that when we talk about the Great Whole or the universe, we 

speak from the aspect of tranquillity of all things, whereas when we talk 

about Tao, we speak from the aspect of activity of all things. . . . 

The principle followed by "fact" (which includes all facts) is the 

Great Ultimate in its totality, and the material force depended on by 

"fact" is the Ultimate of Non-being in its totality. (Actually the Ultimate 

of Non-being has no totality to speak of. We merely say so.) 36 In the 

first chapter we said that according to the old theory (of Sung Neo- 

Confucianists), principle is substance while actual things that actualize 

principle are function. But according to the concept of "the Ultimate of 

Non-being and also the Great Ultimate," the Great Ultimate is substance 

and the "and also" is function. As all functions are included in this 

function, it is therefore (what Chu Hsi called) the total substance and 

great functioning. . . . 37 

All things (meaning both things and events) go through the four 

stages of formation, flourish, decline, and destruction. Old things go 

out of existence this way and new things come into existence this way. 

This successive coming-into-existence and going-out-of-existence is the 

universal operation of the great functioning. The universal operation of 

the great functioning is also called the process of creation and transformation. 

The formation and flourish of things are creation, while their 

decline and destruction are transformation. The creation and transformation 

of all things are collectively called the process of creation and 

transformation. At the same time each thing or event is a process of 

creation and transformation. Since all things are each a process of 

creation and transformation, they are collectively called ten thousand 

transformations (all things). The term "transformation" may also involve 

both meanings of creation and transformation. Therefore the 

process is also called great transformation. The universal operation of 

the great transformation is the same as the universal operation of the 

great functioning. Our actual world is a universal operation. (pp. 97- 

100) 

The Lao Tzu and the "Appended Remarks" of the Book of Changes 

have a common idea, that is, that when things reach their limit, they return 

to their origin. 38 . . . . According to the law of circular movement described 

above, things in the universe come into existence and go out of 

36 Fung's own note. 

37 See above, ch. 4, Chu Hsi's commentary on sec. 5. 

38 Lao Tzu, chs. 16, 40, and 78; Changes, commentary on hexagram no. 11, 

t'ai (successfulness). See Legge, trans., Yi King, p. 81. 

759


existence at all times. They are always in the process of change. This is 

the daily renewal of the substance of Tao. 

The daily renewal of the substance of Tao can be seen from four points 

of view. . . . (1) We can, from the point of view of classes, see the production 

and extinction of their actual members. Looked at this way, the daily 

renewal of the substance of Tao is cyclical. (2) We can, from the point 

of view of principle, see whether its actual exemplification tends to be 

perfect or not. Looked at this way, the daily renewal of the substance 

of Tao is one of progress and retrogression. (3) We can, from the point 

of view of the universe, see the increase or decrease of classes which 

have members in the actual world. Looked at this way, the daily renewal 

of the substance of Tao is one of increase and decrease. (4) And we 

can, from the point of view of an individual entity, see the process of its 

movement from one class to another. Looked at this way, the daily renewal 

of the substance of Tao is one of transformation and penetration. 

(pp. 110-111) 

4. Principle and the Nature 

Principle is the moral nature of things. From one point of view, if the 

moral nature of things is perfectly good, then the physical nature of 

things is also good, for the physical nature of things is that by which 

things actually follow their principle. Their following may not be perfect, 

but since they are following the highest good, they should be good. They 

may be eighty percent good or seventy percent good or not very good, 

but we cannot say they are not good. . . . 

If a thing can follow its principle perfectly, it can be said to have 

"investigated principle to the utmost." To get to the utmost of the principle 

which it follows means to develop its own nature fully. Therefore 

investigating principle to the utmost is the same as fully developing 

one's nature. According to the idea of destiny set forth in this chapter, 

investigating principle to the utmost and full development of one's nature 

are the same as getting to the point of fulfilling one's destiny. 39 I-ch'uan 

(Ch'eng I) said, "The investigation of principle to the utmost, the full 

development of one's nature, and the fulfillment of destiny are only one 

thing. As principle is investigated to the utmost, one's nature is fully 

developed, and as soon as one's nature is fully developed, destiny is 

fulfilled." 40 We also say the same. We further believe that this does not 

apply only to man but to things also. (pp. 134-136) 

39 These three points are derived from Changes, "Remarks on Certain Trigrams," 

ch. 1, and became common topics in Neo-Confucianism. Cf. Legge, Yi 

King, p. 422. 


760

FUNG YU-LAN 

5. Serving Heaven and Jen (Humanity) 

From the point of view of Heaven (T'ien, Nature), every class of 

things has its own principle. Its principle is also its ultimate. With 

reference to the things in this class, their ultimate is the highest good, 

and their physical nature is that by which they actually follow principle. 

It is "what issues [from the Way]" and "is good." 41 From the point of 

view of Heaven, what things in a given class should do in the great 

process of "the Non-ultimate and also the Great Ultimate" is to follow 

their principle completely. To be able to do so is to develop their nature 

fully and to investigate their principle to the utmost. This point has been 

discussed in chapter four. There the investigation of things means the 

use of my knowing faculty to know the principle of things. Here the term 

has a different meaning; it means to direct my conduct to realize fully 

the principle I am following. To use my knowing faculty to know the 

principle of things enables me to transcend experience and be free from 

the restriction of experience. This is transcendence of and freedom 

from experience. To direct my conduct to realize fully the principle I 

am following enables me to transcend myself and be free from selfbondage. 

This is transcendence and freedom from the self. 

From the point of view of Heaven, men are also a class, and what they 

should do in the process of "the Non-ultimate and also the Great Ultimate" 

is also to follow their principle completely. Shao K'ang-chieh 

(Shao Yung, 1011-1077) said, "The sage is the ultimate of man." 42 

By the ultimate of man is meant the perfect man, one who can fully 

develop the nature of man and investigate the principle of man to the 

utmost. 

Mencius said, "The sage is the ultimate standard of human relations." 

43 Human relations means to carry on the social relations, and 

to carry out human relations means the social activities of men. 

We said in chapter four that man's nature is social and that his social 

life issues from his nature. Therefore the full development of our 

nature and our investigation of principle to the utmost must be carried 

out in society. 

In social life man's most social conduct is moral conduct. We can 

approach moral conduct in two different ways, one from the point of 

view of society and the other from the point of view of Heaven. From 

the point of view of society, man's moral conduct consists in fulfilling 

one's social duty. From the point of view of Heaven, one's moral con- 

41 Quoting from Changes, "Appended Remarks," pt. 1, ch. 5. Cf. Legge, p. 356. 

42 

Huang-chi ching-shih shu (Supreme Principles Governing the World), SPPY, 

5:5b. 

43 


761


duct consists in fulfilling his universal duty, that is, fulfilling the way of 

man. From this point of view, in doing something moral, one is serving 

Heaven. . . . 

We said previously that viewing things from the point of view of 

Heaven gives us a sympathetic understanding of them. In the sphere 

where the self is transcended, sympathy toward things is also increasingly 

enlarged until the sphere of what Sung and Ming Neo-Confucianists 

called "forming one body with all things" is reached. They call this 

sphere that of jen. 

The word jen has two meanings. One is moral, the jen (humanity) in 

the (Five Constant Virtues) of humanity, righteousness, propriety, wisdom, 

and faithfulness discussed in chapter five. The other meaning refers 

to the sphere we are discussing. Ch'eng Ming-tao (Ch'eng Hao, 1032- 

1085) said, "The man of jen forms one body with all things without any 

differentiation. Righteousness, propriety, wisdom, and faithfulness are 

all [expressions of] jen." 44 What he meant is this jen. In order to distinguish 

the two meanings, we shall call this jen "the great jen." (pp. 300- 

304) 

Comment. In spite of Fung's Taoistic tendencies, he remains a 

true Confucianist after all. His Tao is certainly more that of the 

Taoists than that of the Confucianists, and his highest sphere of 

serving Heaven is close to the Taoist identification with Tao. But 

Fung's serving Heaven is moral, and instead of rejecting knowledge 

as a way of reaching Tao, Fung, like all Neo-Confucianists, insists 

on the investigation of things. 

44 I-shu, 2A:3a. 

762

...43 ... 

THE NEW IDEALISTIC CONFUCIANISM: 

HSIUNG SHIH-LI 

JUST AS Fung Yu-lan has attempted to reconstruct rationalistic Neo- 

Confucianism, so Hsiung Shih-li (1883-1968) has tried to reconstruct 

idealistic Neo-Confucianism. He has written eight books on his philosophy. 

1 The whole system is systematically presented in the Hsin weishih 

lun (New Doctrine of Consciousness-Only, 1944). 2 

According to its central thesis, reality is perpetual transformation, 

consisting of "closing" and "opening" which are a process of unceasing 

production and reproduction. The "original substance" is in perpetual 

transition at every instant, arising anew again and again, thus resulting 

in many manifestations. But reality and manifestation, or substance and 

function, are one. In its "closing" aspect, it is the tendency to integrate— 

the result of which may "temporarily" be called matter—while in its 

"opening" aspect it is the tendency to maintain its own nature and be its 

own master—the result of which may "temporarily" be called mind. This 

mind itself is one part of the "original mind," which in its various 

aspects is mind, will, and consciousness. 

It can readily be seen that the ideas of closing and opening and production 

and reproduction come from the Book of Changes, which, 

Hsiung said, is the main source of his ideas. The analysis of the mind 

comes from the Buddhist school of Consciousness-Only, the idea of the 

unity of substance and function from Neo-Confucianism, and that 

of the primacy of the original mind from Wang Yang-ming (Wang 

Shou-jen, 1472-1529). Like all Neo-Confucianists, he characterizes the 

original mind as jen (humanity) and aims at Heaven (Nature) and man 

forming one body. 

1 He was a native of Hupei. He was at first interested in political revolution and 

science but later shifted to the study of Buddhism and Indian philosophy. As a 

young man he studied the Ch'eng wei-shih lun (Treatise on the Establishment of 

the Doctrine of Consciousness-Only) at the Institute of Buddhism at Nanking. 

But he soon became dissatisfied and turned to the Book of Changes. He became 

professor of philosophy at Peking University in 1925. He continued to write 

and died in Mainland China in 1968. 

2 This book is in three parts. The first deals with consciousness and transformation, 

the second with function, and the third with mind and matter. The first two 

parts were in classical Chinese and printed for private circulation in 1932. They 

were translated into colloquial Chinese and published in 1942. Later the third 

part was added and the whole book was published in Chungking in 1944 and 

again in Shanghai in 1947, both in one volume. In the same year, it was published 

in four volumes in Shanghai as part of the Shih-li ts'ung-shu (Hsiung Shih-li Collection), 

1947. 

763

THE NEW IDEALISTIC CONFUCIANISM 

Hsiung at first followed the Buddhist school of Consciousness-Only. 

Later he became dissatisfied, turned to Neo-Confucianism, criticized, 

synthesized, and transformed both, and borrowed elements from Western 

philosophy to constitute his "New Consciousness-Only Doctrine." As 

he has emphasized, the word "consciousness" here means not the mind 

or alaya (storehouse) as in the Consciousness-Only School which 

evolves an apparent world but the original mind or the original substance 

of all existence, and the word "only" means "especially." He has 

subjected Buddhism to lengthy, careful, and profound criticism. 3 In 

fact, he is the first one in Chinese history to do so. Nevertheless, he has 

not been able to be free from one outstanding defect of Buddhism, and 

that is to consider the external world as "temporary" or chia. In Buddhism 

the word means tentative, transitory, or even false. Hsiung has 

not gone as far as the Consciousness-Only School which considers external 

objects to have only false existence. But since he considers concrete, 

physical things as a threat to the original nature of the mind, his 

tendency to subordinate the external world is clear. This weakens his 

theory of perpetual transformation, for unless concrete, physical things 

possess the true nature of original substance, transformation with and 

through them would be on a shaky foundation. 

What Hsiung has benefited from Buddhism is not so much idealism 

as the concept of instantaneous transformation. He applies it to the doctrine 

of production and reproduction in the Book of Changes and reinforces 

it. The idea of dynamic change was already prominent in Neo- 

Confucianism, especially in Wang Yang-ming, but Hsiung provides it 

with a metaphysical basis. In this he was partly influenced by Western 

philosophy, notably that of Bergson. But he is more critical than appreciative 

of Western philosophy. Without knowledge of Western languages, 

he incorrectly asserts that there is in Western philosophy not 

enough emphasis on realization of truth through personal experience 

(t'i-jen), too much pursuit after external things, and no understanding 

of the unity of substance and function. 

In spite of these weaknesses, Hsiung has definitely made an advance 

in Neo-Confucianism, particularly in the identification of principle (li) 

and material force (ch'i). The objection of Chu Hsi's (1130-1200) 

bifurcation of them and Wang Yang-ming's idea that material force is 

only an aspect of the mind is now overcome. It is true that he has not 

clarified the relationship between the mind and principle, but he has 

given idealistic Neo-Confucianism a more solid metaphysical basis and 

a more dynamic character. 

Aside from Fung and Hsiung, there were others in the twentieth cen- 

3 For this see Chan, Religious trends in Modern China, pp. 126-135. 

764


tury who have tried to reconstruct traditional philosophy, especially 

Ou-yang Ching-wu (1871-1943), Abbot T'ai-hsü (1889-1947), and 

Liang Sou-ming (1893—). Both Ou-yang and T'ai-hsü only revived the 

Consciousness-Only philosophy and added nothing new. Liang, in giving 

the Confucian concept of jen a new interpretation of dynamic intuition, 

exerted tremendous influence on the New Culture movement in the 

1920's, but he did not evolve a philosophical system of his own. Hsiung 

has done this. Besides, he has influenced more young Chinese philosophers 

than any other contemporary Chinese philosopher. Most importantly, 

he has restated, as no other has done, his whole philosophy in 

a book since the Communist accession to power in 1949, and he has 

done so without employing Communist slogans or referring to Marx, 

Stalin, or Mao Tse-tung. Philosophically, this book, entitled Yüan-ju 

(An Inquiry on Confucianism, 1956) 4 has not altered the fundamental 

thesis of the Hsin wei-shih lun, but it indicates that Confucianism is 

very much alive in China. The following selections are made from these 

two books. 

1. "CLOSING AND OPENING" 

From one point of view transformation is closing and opening (hop'i). 

5 The two terms in this expression merely indicate a difference in 

tendencies. Opening is merely a tendency and closing is also merely a 

tendency. We should not say that each has a substance of its own, nor 

should we say that closing comes first and then opening. In another respect, 

transformation means that as soon as there is coming-into-existence, 

there is going-out-of-existence. In other words, as soon as closing 

or opening takes place, it disappears, without preserving its former tendency 

in the slightest degree but at all times destroying the old and 

producing the new. If we want to understand the nature of transformation, 

we must carefully analyze and thoroughly understand these two 

aspects. Otherwise we shall never be able to appreciate transformation. 

Let us now talk about closing and opening. What are they? As it has 

been said before, original substance becomes function when it reveals 

itself as many manifestations. Thus if we say that original substance is 

that which can transform, or call it perpetual transformation, we must 

realize that perpetual transformation is formless and is subtle in its 

movement. This movement is continuous without cease. This kind of 

unceasing movement is of course not a simple tendency. In each move- 

4 Published in two volumes in Shanghai. The first volume deals with "kingliness 

without" and the second volume with "sageliness within," the twofold ideal in 

Chinese, especially Confucian, philosophy. 

5 Referring to Changes, "Appended Remarks," pt. 1, ch. 11. Cf. Legge, trans., 

Yi King, p. 372. 

765


ment there is always a sort of integration. Without it the movement would 

be aimless, drifting, and baseless. Therefore when the tendency to act 

begins, there is at the same time a sort of integration. This tendency to 

integrate is positive consolidation. Consequently, without anyone's intention, 

an infinite number of "physical becoming" come into being 

from which the physical universe is formed. The tendency from integration 

to physical becoming is called closing. 

We must realize that original substance has neither physical form nor 

character, is not physically obstructed by anything, is absolute, whole, 

pure, strong, and vigorous. However, in the functioning of the original 

substance to become many manifestations, it is inevitable that there is 

what we called closing. This closing possesses a tendency to become 

physical forms and concrete stuff. In other words, through the process 

of closing individual concrete things obtain their physical form. As perpetual 

transformation manifests itself as a tendency to close, it almost 

has to be completely materialized as if it were not going to preserve its 

own nature. This may be said to be a reaction. 

However, as the tendency to close arises, there is another tendency 

arising simultaneously. It rises with perpetual transformation as the 

basis. It is firm, self-sufficient, and would not change itself to a process 

of closing. That is to say, this tendency operates in the midst of closing 

but is its own master, thus showing its absolute firmness and causes the 

process of closing to follow its own operation. This tendency—strong, 

vigorous and not materialized—is called opening. . . . 

Comment. In the Buddhist school of Consciousness-Only, perpetual 

transformation is identified with consciousness (alaya), whereas 

here it is identified with original substance. Also, in Consciousness- 

Only, the energy to transform comes from "seeds," which "perfume" 

or influence previous seeds to produce transformation, but 

Hsiung ascribes the cause of transformation to natural tendencies. 6 

The tendency to close is integrative and tends to form physical 

things. On the basis of what it is, we temporarily call closing "matter" or 

"the operation of matter." The tendency to open is strong and vigorous, 

operating in the midst of closing but makes it follow itself. On the basis 

of what it is, we temporarily call opening "mind," or "the operation of 

mind." (Hsin wei-shih lun, pp. 56-59) 

2. THE UNITY OF PRINCIPLE AND MATERIAL FORCE 

In my opinion the word ch'i (material force) means the tendency to 

produce and reproduce, or energy. It operates universally without com- 

6 For the Buddhist doctrines of alaya and seeds, see above, ch. 23, sec. 3. 

766


ing to a standstill. The character of activity falsely appears as if the 

material force is distributed. For this reason we call it material force. 

Please understand thoroughly what is called material force here is precisely 

what I have called function in this treatise. As to the myriad things 

or material force in physical forms, it is tentatively so called because it 

is the trace or manifestation of transformation. There is no material 

force in concrete, physical forms apart from the various tendencies. 

The word li (principle) originally has the meaning of order or pattern. 

But we should not say, as Sung (960-1279) and Ming (1368-1644) 

Neo-Confucianists said, that it is order within material force. Many of 

them considered material force to be real being, and consequently considered 

principle to be merely order within material force. According 

to this, principle itself is an empty form and material force alone is real. 

This view was more prevalent among Ming Neo-Confucianists. Even 

within the [idealistic] Wang Yang-ming School scholars generally held 

this view. On the one hand, they talked about innate knowledge of the 

good and necessarily admitted that the mind is the master. On the other 

hand they said that material force is real being and principle is a form 

belonging to it. Their theory seems to be a dualism of mind and matter, 

which violates very much the fundamental teachings of Wang Yang-ming. 

Here I do not want to criticize them too much. I merely want to explain 

my idea of principle and material force. I believe they cannot be sharply 

divided into two pieces. The word "principle" is a general term for both 

substance and function, whereas the word "material force" refers only 

to function. When the meaning of the word ch'i was explained above, it 

was already made quite clear that material force is function. 

Why is "principle" the general term for both substance and function? 

Because spoken from the point of view of substance, it is originally absolute 

quiet and without [distinguishing] character, but it manifests itself 

as the countless phenomena involved in closing and opening. It means 

that all principles are brilliantly present. Therefore this substance is also 

called principle. 

Substance also means the source of all transformations, the foundation 

of all things, and the converging point of all principles. It should be 

called true principle or concrete principle. It can also be called ultimate 

principle. Spoken from the point of view of function, in the wonderful 

functioning of closing and opening, all characters and phenomena seem 

to be manifest. Here phenomena follow a certain order, easily pervasive 

without any obstruction. It is also called principle, for phenomena and 

principle are identical, that is, phenomena are principle. Principle in the 

first instance refers to substance. It is the one source, which actually 

involves all manifestations. Principle in the second instance derives its 

767


name from function. It is the many manifestations which returns to the 

one source. Although principle may be said to be two, essentially it is 

neither one nor two. As its meanings as substance and function differ, it 

is not one. But since it is at the same time substance and function, it is 

not two. (ibid., pp. 157-158) 

3. THE MIND AND HUMANITY (JEN) 

The original mind is an absolute whole. But because of its manifestations 

it is differentiated and necessarily has many names. First of all, 

it is called the mind, which means master. It pervades the concrete substance 

of all things but is not matter itself. It consolidates to become the 

myriad things, but these are the means to manifest itself and not materialization 

in which it loses its own nature. Since it is not materialized, 

it always remains true to its nature. For this reason, it is called master 

with respect to things. 

Secondly it is called the will. The will implies a definite direction. 

What is called the mind is the universal substance penetrating all things 

and not just the master of my own body. But my body is part of the 

myriad things, and the master pervading all things is the same master controlling 

my body. Things differ but their master is the same. Now, when I 

search for the master of my own body, I find that in a subtle way it always 

has a definite direction. Spoken this way, it is the will. 

What is meant by a definite direction? It means that it always unfolds 

itself in accordance with its original nature of unceasing production and 

reproduction and refuses to be materialized. This definite direction 

means life, and unique and definite substance, on the basis of which the 

self is established. In spite of countless transformations, it always remains 

firm as one, for it is the master. 

Thirdly, it is called consciousness. The mind and the will refer to substance, 

whereas consciousness refers to the function of substance. When 

the deep and quiet substance is acted on, immediately penetrates everything, 

and utilizes sense organs to understand sense objects, it is called 

sense consciousness. When its activity develops further and further and 

without depending on sense organs can initiate deliberation itself, it is 

called sense-center consciousness. (ibid., pp. 282-283) 

Comment. Instead of dividing the mind into eight categories as the 

school of Consciousness-Only does, Hsiung divides it into three. 

The emphasis on the will comes from Wang Yang-ming who traced 

it back to the Doctrine of the Mean. 

Humanity (jen) is the original mind. It is the original substance common 

to man, Heaven, Earth, and all things. . . . From Confucius and 

768


Mencius to teachers of the Sung and Ming periods, all directly pointed 

to humanity which is the original mind. The substance of humanity is 

the source of all transformations and the foundation of all things. (ibid., 

pp. 260-261) 

4. THE UNITY OF SUBSTANCE AND FUNCTION 

In Chinese studies when discussing substance and function in cosmology, 

it is considered that they are basically one and yet are different. 

Some do not understand this. I offer the analogy of water in the big 

ocean and the many waves so as to lead them to understand this principle. 

. . . Original substance has physical form but in its function it involves 

internally the two processes of strong movement and consolidation. 

Consolidation means concrete stuff, and strong movement means 

spirit. As the two processes revolve, there is unceasing universal operation. 

Therefore we say that the universal operation of the original 

substance is its great functioning. By functioning is meant putting 

substance into functioning, and by substance is meant the true character 

of function. Therefore substance and function are basically one. However, 

although they are one, yet in the final analysis they cannot but be 

different, for in universal operation there are physical forms which are 

fathomable, whereas the original substance of the universal operation 

has no physical form, is most hidden and subtle, and is difficult to know. 

(Yüan-ju, pt. 2, p. 32b) 

Comment. The analogy of the oceans and the many waves for the 

relationship between substance and function is a favorite Buddhist 

one. Chu Hsi preferred the use of the moon and its scattered light. 7 

Substance means the original substance of the universe. By function 

is meant the universal operation of the original substance, which is 

absolutely strong and unceasing, arising anew again and again, whose 

transformation results in many manifestations. This is called function. . . . 

What is meant by arising anew again and again? The universal 

operation of the original substance is in perpetual transition at every 

instant. As soon as there is production, there is destruction, and as soon 

as there is destruction, there is production. There is not a single instant 

in which the operation comes to a standstill and produces something 

new without something destroyed. The Book of Changes says, "Change 

means production and reproduction." 8 We should ponder over the term 

"production and reproduction" carefully. In every passing instant there 

is a new production. This is why it is called production and reproduction. 



769


Since in every passing instant there is a new production, without saying, 

it is clear that in no instant does the operation come to a standstill. The 

universal operation of this great transformation never stops or is obstructed 

for a moment. This is why we say that it arises anew again and 

again; by that we mean that the operation does not stand still. 

Someone may object and say, "According to you, sir, the universal 

operation of the original substance is in perpetual transition at every 

instant, arises anew again and again, without standing still for a moment. 

It would mean there is a sudden change at every instant, and transformation 

would seem to be baseless." I reply: Universal operation is not the 

operation which suddenly appears out of a vacuum but the universal 

operation of the original substance. This original substance is the true 

source of all transformations and changes. It embraces the entire universe 

and is infinite. The Doctrine of the Mean describes its wonderful functioning 

as "deep and unceasingly springing . . . coming forth at all times." 9 

It is an excellent analogy. Precisely because the original substance is the 

true source, it is never exhausted. Therefore this great operation changes 

suddenly at every moment and is perpetually creating something new 

without being exhausted. Are you not mistaken in saying that it is baseless? 

We must realize that true source and universal operation cannot 

be divided into two sections. . . . The original substance and its wonderful 

operation can be compared only with water in the ocean and the 

many waves. They are basically one and yet are different. While different, 

they are really one. (ibid., p. 48a-b) 

The universe from the past to the present and from the present rushing 

into the infinite future is truly an undifferentiated great current, in perpetual 

transition at every instant, discarding the old and going toward 

the new, jumping [like fish] in a lively manner without cease, rich, and 

inexhaustible. We must realize that although this undifferentiated great 

current changes and is daily renewed, yet for every change there must 

be the cause for its occurrence. No matter how novel a development 

may be, it cannot occur without cause and suddenly evolve an extremely 

strange phenomenon. For example, the seed of a pea cannot produce 

hemp, for it is not the generating cause of hemp. Spirit and matter are 

the two aspects of the universal operation of original substance, which 

is ch'ien (Heaven), the Originator. 10 We should not regard spirit as part 

of matter. If we say that in the beginning of the universe there was only 

layers of physical obstruction and originally no manifestation of any spiritual 

phenomena and therefore conclude that spirit does not originally exist, 

then, if this theory is to be maintained, we must first of all affirm that 


10 A reference to hexagram no. 1, ch'ien (Heaven) of the Book of Changes. See 

Legge, p. 213. 

770


matter originally involves the character and nature of spirit. Otherwise 

there will be no cause from which organic matter and the function and 

manifestations of the mind can emerge. But I don't see how this theory 

can be maintained. We must also realize that matter is not fixed concrete 

stuff. As the Book of Changes has already said, as there is concrete stuff, 

there is function. 11 It further affirms spirit as brilliant, strongly active, 

moving forward, pure, and developing things. It is merged with matter 

as one but also controls and directs it. Is this theory erroneously formulated 

on the basis of fancy and imagination? (ibid., 64b-65a) 

Question: I have already learned the ultimate principle of the great 

Book of Changes, namely, substance is at the same time function and 

function is at the same time substance. But I still have some doubt. Are 

the ten thousand things in the universe the same as the great functioning 

or are they its products? 

Answer: According to principle, the ten thousand things and the 

great functioning cannot be separated. Why is this the case? Because 

the ten thousand things are not separated from the universal operation 

of the great functioning and each independently possesses a concrete 

character of its own. From this we should say that the ten thousand 

things and the great functioning are basically one. Once this principle is 

ascertained, there should be no further doubt. If you say that the ten 

thousand things in the universe are produced by the great functioning, 

then I should ask you what you mean by the word "production." 

If it means the same as a mother producing a son, then it will be greatly 

mistaken. Fundamentally the word "production" means manifestation. 

According to this meaning, as the great functioning universally operates 

in a lively and dynamic manner, it manifests all kinds of traces and phenomena. 

These are called the ten thousand things. The ancients meant 

this when they said that the ten thousand things are traces of transformation. 

Spoken this way, the ten thousand things are traces and forms of 

the universal operation of great functioning. Put differently, the concrete 

self-nature of the ten thousand things consists in the great functioning 

which operates unceasingly and in a very lively and dynamic manner. 

Can they and the great functioning be said to be two? 

Question: If the ten thousand things and the great functioning are 

one, then the ten thousand things will lose their own selves. Why is this 

the case? The reason is that if the ten thousand things are merely traces 

of transformations, how can they possess evidently independent selves? 

Lao Tzu sighed over [the fact that Heaven and Earth regard all things 

11 This refers to the general philosophy of the Book of Changes rather than 

to any particular saying in the book. 

771


as] sacrificial straw dogs, 12 and Chuang Tzu theorized [that the Creator, 

after people die, turns them into] the liver of a rat or the arm of an 

insect. 13 They both wanted to merge all things with great transformation 

so they will lose their own selves. 

Answer: How extremely deluded you are! In the universal operation 

of great functioning, there are forms clearly before us. Take, for example, 

lightning. With each flash some red light is manifested. The red lights 

are traces and forms. Do you think the lightning at this time is outside 

the red lights? Or take, for example, water in the ocean manifesting 

itself as lively and active waves. The many waves are also traces and 

forms. Do you think that the water is outside the waves? Or take, for 

example, a torrent bursting violently, with thousands and thousands of 

white drops lashing up and down. These white drops are also traces and 

forms. Do you think that they are outside the torrent? Please think it 

over. The ten thousand things manifest themselves and seem to be individual 

objects, but really their self-nature consists in the great functioning 

universally operating without cease. (ibid., 72b-73a) 


13 Chuang Tzu, ch. 6, NHCC, 3:17a. Cf. Giles, trans., Chuang Tzu, 1961 ed., p. 79. 

772

... 44 ... 

CHINESE PHILOSOPHY IN COMMUNIST CHINA 

PHILOSOPHY in Communist China can be summed up in one word, 

"Maoism." 

Mao Tse-tung (1893—) has not claimed to be a philosopher, and he 

has not been labeled as such. But his ideas have determined the directions 

in which philosophy has been developing in New China since its establishment 

in 1949. Of his many works, two are of extreme importance in 

this connection, namely, On Practice (1937) and On New Democracy 

(1940). 1 In the former, the nature of philosophy for New China is 

defined and in the latter the future of Chinese traditional philosophy is 

virtually decided. 

The thesis of On Practice, which is the most philosophical of Mao's 

works, is simple and definite. In his own words: 

"To discover truth through practice, and through practice to verify 

and develop truth. To start from perceptual knowledge and actively 

develop it into rational knowledge, and then, starting from rational 

knowledge, actively direct revolutionary practice so as to remold the subjective 

and the objective world. Practice, knowledge, more practice, 

more knowledge; the cyclical repetition of this pattern to infinity, and 

with each cycle, the elevation of the content of practice and knowledge 

to a higher level. Such is the whole of the dialectical materialist theory 

of knowledge, and such is the dialectical materialist theory of the unity 

of knowing and doing." 2 

The fact that Mao concluded his essay with the theory of the unity of 

knowledge and action is most interesting, for it is one of the most prominent 

theories in the history of Chinese philosophy. 3 However, the source 

of Mao's inspiration is Engels, Marx, Lenin, and Stalin and not the 

Confucianists. In his essay he repeatedly refers to Communist writings 

but not to Chinese culture. In his On New Democracy, however, he made 

his attitude toward Chinese culture abundantly clear: 

"New-democratic culture is scientific . . . but it can never form a 

united front with any reactionary idealism. ... A splendid ancient 

culture was created during the long period of China's feudal society. To 

clarify the process of development of this ancient culture, to throw away 

its feudal dross, and to absorb its democratic essence is a necessary con- 

1 These are included in his Selected Works, vol. 1, New York, International 

Publishing Co., 1954, pp. 282-297, and vol. 3, pp. 106-156, respectively. 

2 ibid., vol. 1, p. 297. 


773


dition for the development of our new national culture and for the increase 

of our national self-confidence; but we should never absorb 

anything and everything uncritically. We must separate all the rotten 

things of the ancient feudal ruling class from the fine ancient popular 

culture that is more or less democratic and revolutionary in character. 

As China's present new politics and new economy have developed out 

of her old politics and old economy, and China's new culture has also 

developed out of her old culture, we must respect our own history and 

should not cut ourselves adrift from it. However, this respect for history 

means only giving history a definite place among the sciences, respecting 

its dialectical development, but not eulogizing the ancient while disparaging 

the modern, or praising any noxious feudal element." 4 

From the foregoing, it is clear that philosophy in New China must be 

practical, scientific, democratic, and popular. There have been radical 

changes in New China on many fronts, but so far as philosophy is concerned, 

its direction has been definite and straight. At first philosophers 

confessed their mistakes. This was followed by their study of Marxism. 

Then they corrected their wrong views. Subsequently there were more 

attacks on revisionism and rightism. With the establishment of communes 

in 1958, both philosophy and philosophers have been put to work 

among the masses. Throughout all these various movements, the theme 

of philosophy has remained the same, namely, philosophy for practical 

use for the masses. 

Since knowledge must come from practice, all abstract concepts, 

idealistic theories, and subjectivism of any kind are considered feudalistic 

and are to be totally rejected. Philosophy acquires its true meaning 

only in the discovery and solution of practical problems. Therefore the 

chief lesson of philosophy is the concrete development of society. Philosophy 

and production must be united, not only because philosophy can 

thus fulfill its function but also because objective analysis can best be 

carried out in production. 

Furthermore, this practical application of philosophy must be done 

among and indeed through the masses, for philosophy must be popular 

as well as scientific. This is the logic behind sending philosophers to work 

in the communes. To be democratic, philosophers must work and study 

with the masses. In fact, the masses are their best teachers, for theirs is 

really the philosophy of the people. Therefore, just as thought and practice 

must be identical, so intellectuals and workers must be united. 

In this situation, there can be no distinction between theory and practice. 

There are in Communist China courses and research on philosophy, 

departments of philosophy, philosophical journals, philosophical con- 

4 ibid., vol. 3, pp. 154-155. 

774


ferences, and many publications on philosophy. But these are regarded 

as only aids to the practical function of philosophy. The effort is not 

being devoted to the development of new theories of technical philosophy 

or the production of individual philosophical works but to the transformation 

of existing philosophy according to the Marxist pattern. It is 

significant that in a book which is virtually the official Communist history 

of Chinese philosophy in English, the section on contemporary 

philosophy, 1919 to 1959, is entirely devoted to the Communist political 

and social revolution with almost not a single word on technical philosophy. 

5 We have noted that Hsiung Shih-li (1883-1968) published his 

Yüan-ju (An Inquiry on Confucianism) in 1956, a presentation of his 

Neo-Confucian philosophy without quoting any Communist writer or 

using any Communist terminology. 6 But Hsiung's is essentially a new 

statement of an old theme and he is entirely outside the main stream. 

Like the distinction between theory and practice, that between the 

philosophical expert and the layman must also disappear, for philosophy 

is to be identified with the masses. To be sure, there are many teachers 

of philosophy and many writers on it. Among them Fung Yu-lan (1895 

—) is still the most outstanding. Evidently he is not yet completely 

converted to Marxian philosophy, and therefore he has been the chief 

target of attack. The constant demand is that he must forsake the capitalist 

camp and serve the masses. 

Under such circumstances what is the future of Chinese philosophy? 

In point of fact, research on Chinese philosophy is going on. Studies and 

commentaries on Chinese philosophical classics are being published. It 

can be said, however, that its fate is the same as that of philosophy in 

general, namely, that it must be reconstructed according to the Marxist 

pattern. 

Nothing can show this tendency better than the conference on Chinese 

philosophy held on January 21-26, 1957 in which the nature of the 

history of Chinese philosophy and the question of the continuation of 

the Chinese philosophical heritage were vigorously debated on among 

more than one hundred participants. Materials presented at the conference 

have been published in a volume with subsequent statements. 

The following selections are made from this volume. 

It may be said that since the conference took place shortly before the 

"Let one hundred schools contend" campaign in which relative freedom 

of thought was allowed, and since that campaign was short lived, the 

results of the conference may not be indicative of things to come. Fung 

Yu-lan, who upheld Chinese philosophy, was continuously criticized. 

5 Hou Wai-lu, Short History of Chinese Philosophy, pp. 108-169. 

6 See the preceding chapter. 

775


More than a year later, he had to criticize himself as a member of the 

capitalistic class, an idealist, and one who used the metaphysical method. 7 

Nevertheless, it is not Chinese philosophy as such that has been attacked. 

Rather, it is its idealism and abstract ideas. Fung's self-criticism serves 

to show that Marxian philosophy will dominate Communist China, but 

that Chinese philosophy will continue, although it will be reconstructed 

and directed to practical problems for the benefit of the masses. Confucius, 

Chu Hsi (1130-1200), Wang Yang-ming (1472-1529), and the 

rest may be branded as feudalists, but who can deny that they were primarily 

interested in the solution of practical problems for all? 

SELECTIONS 8 

I. The Nature of the History of Chinese Philosophy 

Fung Yu-lan: 

There are many struggles in social and political thought, which are in 

reality struggles between materialism and idealism. For example, in the 

history of Chinese philosophy, the question whether human nature is 

good or evil has continuously aroused extensive controversy from the 

pre-Ch'in (221-206 B.C.) period to modern times. In the pre-Ch'in 

period, Mencius held that nature is good, believing that inborn nature 

is good because there is originally a moral principle endowed by "Heaven." 

This is of course the view of idealism. Hsün Tzu (fl. 298-238 B.C.), 

on the other hand, held that human nature is evil, believing "Heaven" 

to be merely "Nature" in which there is no moral principle and that 

man's moral qualities are acquired through education. Such an idea 

directly negating Mencius' idealism should be regarded as materialistic. 

Later, the Neo-Confucianism of Sung (960-1279) and Ming (1368- 

1644) distinguished the Principle of Nature and human desire and emphasized 

that the former should control the latter. What was called the 

Principle of Nature is really feudalistic moral principles objectified and 

made absolute. Philosophers who opposed the Neo-Confucianism of 

Sung and Ming like Ch'en Liang (1143-1194), Wang Fu-chih (Wang 

Ch'uan-shan, 1619-1692) and Tai Chen (Tai Tung-yüan, 1723-1777), 

regarded the Principle of Nature as the correct development of human 

desires, denied that the Principle of Nature had any right to control 

human desires, and placed man's desires and feelings in the position of 

7 Che-hsüeh yen-chiu (Studies in Philosophy), 1958, no. 5, p. 42. 

8 These are made from the Chung-kuo che-hsüeh shih wen-t'i t'ao-lun chuan-chi 

(Proceedings of the Discussions on Problems Concerning the History of Chinese 

Philosophy), Peking 1957. 

776


first importance. This is a direct negation of the idealism of Sung-Ming 

Neo-Confucianism. This type of thought should also be regarded as 

materialistic. . . . 

In the past several years in our effort to settle the problem of the 

struggle between materialism and idealism in the history of Chinese 

philosophy, we have only emphasized their conflicts and have paid no 

attention to their mutual influence and mutual penetration. Of course 

this side of the story is a relative one, but to ignore it is an error of onesidedness. 

Let us take an example. In the beginning Sung-Ming Neo-Confucianism 

was fundamentally materialistic. In the philosophies of both Chou 

Tun-i (Chou Lien-hsi, 1017-1073) and Chang Tsai (Chang Hengch'ü, 

1020-1077), material force was considered as primary. Later 

Ch'eng I (Ch'eng I-ch'uan, 1033-1107) and Chu Hsi (1130-1200) 

reverted to idealism. But Wang Fu-chih set aside the idealism of Ch'eng 

and Chu, directly continued the materialism of Chang Tsai, and thus 

established his great materialistic system of thought. This line of development 

is quite clear, and this is what we have said in instructing our 

students. 

But this is only one side of the story. On the other side, while Wang 

continued Chang, he did not simply do so or revert to him without 

change. Similarly, while he set aside Ch'eng and Ch'u, he did not simply 

do so. What he did was to develop his own philosophy out of that of 

Ch'eng and Ch'u, then set them aside, and at the same time continued 

Chang Tsai. In the dialectical development of history and human knowledge, 

to go through something is not a simple matter. It involves absorbing 

its rational elements and throwing away its dregs. It involves 

an advance. . .. 

In our recent work on the history of philosophy, we have generally 

employed the metaphysical and materialistic methods and have oversimplified 

and vulgarized the struggle between materialism and idealism 

in the history of philosophy, so that the history of philosophy, which is 

originally rich and active, has become poor and static. Actually the 

history of philosophy is what Lenin has described as a great development. 

. . . (pp. 14-23) 

Chang Tai-nien: 

What is the fundamental direction in the study of the history of 

Chinese philosophy since emancipation? Its essential expressions are 

three: First, the recognition that the problems of thinking and existence 

are basic in Chinese philosophy. Although the terminology employed in 

Chinese philosophy is different from that of the West, since these prob- 

777


lems are also basic in Chinese philosophy [as in the West], the history 

of Chinese philosophy is also the history of the struggle between materialism 

and idealism [as in the West] and its area of struggle is also 

similar to that of the West. Second, the recognition that social consciousness 

is determined by social existence and that in philosophical studies 

the method of class analysis must be used. That is to recognize that the 

struggle between materialism and idealism is a reflection of class struggle. 

Third, learning from the enlightened experience of Russian philosophers 

and their method of studying the history of philosophy. ... (p. 84) 

Fung Yu-lan: 

2. The Chinese Philosophical Heritage 

To understand totally certain philosophical premises in the history of 

Chinese philosophy, we must pay attention to their two meanings, one 

abstract and the other concrete. In the past I have paid attention almost 

entirely to the abstract meaning of some of these premises. This, of 

course, is wrong. Only in the last several years have we paid attention to 

their concrete meaning. Without saying, it is correct to pay attention to 

their concrete meaning, but it would be wrong to pay attention to it 

alone. In trying to understand these premises in the history of philosophy 

we should of course place their concrete meaning in the position of first 

importance, for they have a direct relation to the concrete social conditions 

in which the authors of these premises lived. But their abstract 

meaning should also be taken into consideration. To neglect it would be 

to miss the total picture. . . . 

Take for example Wang Yang-ming's doctrine of innate knowledge 

of the good (liang-chih). From the point of view of its concrete meaning, 

the content of what is called innate knowledge is the same as feudal 

morality and nothing new. The fact is that feudal morality at his time 

had become a dogma and not very effective. Wang therefore provided 

feudal morality with a new foundation. According to him, feudal morality 

was not imposed from the outside but something evolved from man's 

innate knowledge itself. . . . 

Such a premise seems to advocate the emancipation of the individual, 

but the actual effect is that he is even more strongly bound by feudal 

morality. However, although this appraisal rests on a solid foundation, 

it concerns only one side of the matter, for aside from the concrete meaning 

of the premise, there is also its abstract meaning. . . . According to 

its abstract meaning, "Every one can become (sages) Yao and Shun," 9 

B.C. 

9 Mencius, 6B:2. Yao and Shun were legendary sage emperors of 3rd millennium 

778


"People filling the street were all sages," 10 and "All people are equal." 11 

That is to say, in their original nature all men are equal. . . . From this 

point of view, the philosophy of the school of Lu Hsiang-shan (Lu Chiuyüan, 

1139-1193) and Wang should not be simply denied in its entirety. 

(pp. 273-277) 

[Later Fung added:] 

(1) What we have to continue is essentially the materialistic thought 

in the history of Chinese philosophy, the type of thought that is for the 

people, scientific, and progressive. I did not particularly mention this 

because I thought it was a matter of course. That shows that I believed 

in continuing anything abstract, regardless of whether it was idealistic 

or materialistic. 

(2) According to my article, premises in the history of philosophy 

have both abstract and concrete meanings, as if they were arrayed in 

parallel before us, so that there seems to be a finished, concrete thing that 

we can take up and continue at any time without reconstructing it. ... 

(3) In my second statement I substituted general and special meanings 

for abstract and concrete meanings. My defect indicated above still 

remains. 

What I said in my article is incomplete and my presentation of the 

problem is also incorrect. (p. 284) 

Yang Cheng-tien: 

There are three points in Mr. Fung's theory that are worth discussing: 

(1) Philosophy as a form of social consciousness surely has its own 

special characteristics in the development of thought and the process of 

continuation, but it also has a universal principle which is unalterable, 

namely, that of partisanship. Instead of focusing his attention on the 

continuation of the materialistic tradition and proceeding from an 

analysis of the concrete substance of philosophical theories, Mr. Fung 

set aside the opposition and struggle of the two major camps in the 

history of philosophy and generally started with philosophical premises, 

reduced the problem of continuing the philosophical heritage to that of understanding 

the meanings of those premises. He thereby eliminated the 

historical content and class characteristics of philosophical thought and 

unconsciously separated the history of philosophy from Marxism in 

both objective and scope. 

(2) Mr. Fung subjectively wishes to employ the Marxian method of 

thought to solve the problem of the continuation of philosophical herit- 

10 Wang Yang-ming, Ch'uan-hsi lu (Instructions for Practical Living), sec. 313. 

11 A common saying in Buddhism and Neo-Confucianism. 

779


age, but the fact is that his method and Marxism have nothing in common. 

When dialectical materialism is used as a weapon in methodology, 

its principles and categories are intensely and organically united as one 

and will not allow any split or isolation. "Content and form" is merely 

one of the many categories in the system of dialectical materialism. 

"Abstractness and concreteness" is also merely one form of expression 

of the "generality and particularity" of things. To exaggerate abstractness 

and concreteness or form and content to the point of absolute contrasts, 

and to think that this method and these categories apply to all and embrace 

all, and even to use them as the only standard in determining the 

value of philosophical heritage, is unreasonable according to formal 

logic. . . . 

(3) The process of historical development of Chinese philosophy itself 

shows that it is based on the principle of partisanship and the use [of 

the heritage] for reconstruction. In Chinese history the expression of 

the partisan spirit of philosophers has been extremely clear, although 

the expression was not necessarily completely conscious. For example, 

the T'ai-hsüan ching (Classic of the Supremely Profound Principle) 12 

written by Yang Hsiung (53 B.C.-A.D. 18), a materialist of the Han 

dynasty (206 B.C.-A.D. 220) was slandered and rejected by Liu Hsin 

(c.46 B.C.-A.D. 23), an idealistic thinker who was a representative of 

the benefits of the ruling class. . . . But in his Lun-heng (Balanced Inquiries) 

Wang Ch'ung (27-100 A.D.?) praised him. . . . These historical 

facts and their direction of the continuation of thought show that there 

were already opposite camps and it was not a matter of accident. (pp. 

325-327) 

3. Guidance for Future Developments 

Hsiao Sha-fu: 

Classical writers on Marxism have shown us in detail the principles and 

methods for the study and continuation of philosophical heritage. Moreover, 

they have set examples by practicing those principles and methods 

themselves and have produced norms and standards for us. The profound 

studies and classical criticism of European philosophy by Marx, Engels, 

Lenin, and Stalin are forever models in our study. The philosophical 

writings of comrade Mao Tse-tung and his comrades-in-arms especially 

are most glorious examples showing us how to continue our philosophical 

heritage and to unify Marxian philosophy and the Chinese people's good 

traditions of thought. For example, to the problems of the relation between 

knowledge and conduct, the good or evil nature of man, of ethical 

ideals, of methods of cultivation and the like, about which inquiries and 

12 See above, ch. 15. 

780


controversies have been carried on for a long time in the history of 

Chinese philosophy, they have given us the Marxian final conclusion and 

answer in such works as On Practice, 13 [Liu Shao-ch'i's] On the Cultivation 

of Communist Party Members, 14 and other writings. In his "On 

Contradictions" 15 Mao reconstructed and elaborated on the basis of the 

science of Marxian dialectics such dialectical ideas long discussed by 

[Chinese] philosophers throughout the ages as "When a thing reaches 

the limit in one direction, it will turn back to the other direction," 16 

"Opposition leads to mutual completion," 17 and "If yin and yang do not 

exist, the one (the Great Ultimate) cannot be revealed. If the one cannot 

be revealed, then the function of the two forces will cease." 18 In 

this way he has enriched science of Marxian dialectics. 

The direction given by the Party is the direction of our efforts and 

the compass for our work. (p. 436) 

Ai Ssu-ch'i: 

How do we understand the problem of philosophical heritage? I 

think we can use as reference Chairman Mao's viewpoint in his On 

New Democracy concerning the continuation of cultural heritage. He 

pointed out that the attitude of Marxists-Leninists toward the cultural 

heritage of the past is to select its quintessence and to throw away its 

dregs. 19 What is its quintessence? It is that part of the heritage that is 

democratic, scientific, and for the masses. What are the dregs? They are 

what is anti-democratic, anti-scientific, and anti-people or aristocratic. 

The culture we want to build up is that which is nationalistic, democratic, 

scientific, and for the masses. Therefore what we want to continue is 

that in the old culture which is democratic, scientific, and for the masses 

and we must throw away what is anti-democratic, anti-scientific, and 

anti-people. This should be the general attitude of Marxists-Leninists 

toward cultural heritage. This is a universal principle. In handling the 

history of Chinese philosophy we should also pay attention to this principle. 

. . . We must follow the principle enunciated by Chairman Mao. 

(p. 438) 

13 Mao Tse-tung, Selected Works, vol. 1, 1954, pp. 282-297. 

14 By Liu Shao-ch'i, written in 1949. English translation entitled How to Be a 

Good Communist, 2d ed., rev., 1952. 

15 Mao, Selected Works, vol. 2, 1954, pp. 11-53. 

16 Cf. Ho-kuan Tzu, sec. 5, the last sentence. 

17 cf. Lao Tzu, ch. 2. 

18 Chang Tsai, Chang Tzu ch'üan-shu (Complete Works of Master Chang), 

SPPY, 2:4b. 

19 Selected Works, vol. 3, p. 154. 

781


... APPENDIX ... 

ON TRANSLATING CERTAIN CHINESE 

PHILOSOPHICAL TERMS 

NO TWO translators of Chinese terms will ever agree entirely on their 

translations. Since each Chinese character has several meanings, different 

emphases by different translators are inevitable. Some terms are so complicated 

in their meanings, like yin (dark, negative, passive, or female 

principle, force, or element) and its opposite, yang, that they have to be 

transliterated. Others call for interpretation rather than a literal translation. 

The title Ta-hsüeh chang-chü, for example, literally means punctuation 

and redivision of the Great Learning. But the work is actually a 

commentary containing some of Chu Hsi's (1130-1200) most important 

sayings. Therefore "Commentary" tells a better story than a 

literal rendering. Again, i-shu means a transmitted work. But transmission 

suggests a line of transmission which is totally absent from the term, 

which simply denotes a work which we still have today. Therefore it 

should be rendered as "surviving work" or "preserved work." 

Some have to be translated variously. For example, wen means pattern, 

literature, signs, ornament, culture, and many more, and cannot 

be rendered in the same way. Likewise, tzu-jan means spontaneity, 

nature, to follow nature, etc. The word ch'ü generally means to take, 

but in Buddhism it means to cling to or to apprehend. Shu refers to number, 

truth, principle, the course of things, one's lot, repeatedly, etc. 

None of these can be rendered consistently. It is because Duyvendak 

failed to appreciate the correct idea of shu in the Hsün Tzu that he considered 

Hu Shih's translation of it as truth to be wrong. 1 

Without saying, in the choice of alternative renderings, one must 

choose the one intended by the writer or specific to the particular philosophical 

system. The title Ts'ui-yen, for example, can mean either 

"collected sayings" or "pure words." While the former is more general, 

it is clear from the preface of the book that the latter is intended. Again, 

p'ing-teng ordinarily means equality, but in Buddhism it expresses a 

much more refined idea, namely, sameness and absence of differentiation. 

T'ung, of course, is the word for penetration, but in Buddhism it has the 

special meaning of being free und unrestricted. 

In a number of cases, the translation is difficult and controversial. 

While personal choice is in order, there should be adequate reasons 

behind it. The following sets forth the reasons for my own choice which 

I hope are sufficient: 

1 See above, ch. 6, n.31. 

783

APPENDIX 

Chi, "subtle, incipient, activating force." Graham expresses the sense 

of the term most correctly in the phrases "inward spring of movement" 

and "incipient movement not yet visible outside." 2 Both Bodde's "motive 

force" 3 and Carsun Chang's "state of subtlety" 4 are correct but incomplete. 

See above, ch. 28, comment on sec. 2, ch. 3. 

Ch'i, "concrete thing." This is a technical philosophical term that 

should not be understood in its popular meanings of an instrument, an 

implement, or a vessel, or be distorted to mean matter, substance, or 

material entity. Philosophically it means a concrete or definite object in 

contrast to Tao which has neither spatial restriction nor physical form. 

It also includes systems and institutions, or any thing or affair that has 

a concrete form. 

Ch'i, "material force." Every student of Chinese thought knows that 

ch'i as opposed to li (principle) means both energy and matter, a distinction 

not made in Chinese philosophy. Both "matter" and "ether" 

are inadequate. Dubs' "matter-energy" 5 is essentially sound but awkward 

and lacks an adjective form. Unless one prefers transliteration, "material 

force" seems to be the best. In many cases, especially before the 

Neo-Confucian doctrine of li developed, ch'i denotes the psychophysiological 

power associated with blood and breath. As such it is translated 

as "vital force" or "vital power," and in the case of hao-jen chih ch'i as 

"strong, moving power." Such are the cases in Mencius, 2A:2. 

Chin-ssu, "reflections on things at hand." The term chin-ssu refers to 

Analects, 19:6, in which Confucius said that what one thinks about 

should be matters near at hand, that is, matters of immediate application. 

Chin also refers to the self, as in Analects, 6:28, "To judge of others by 

what is near to ourselves." Bruce incorrectly translated it as "modern 

thought" 6 and he has been followed by others, such as Alfred Forke. 7 

In a footnote Bruce cited for his support a saying by Chu Hsi to the 

effect that his Chin-ssu lu (Records of Reflections on Things at Hand) 

contains sayings of recent people and is therefore more to the point. 

This saying is quoted in the Chu Tzu nien-p'u (Chronological Biography 

of Chu Hsi) in the beginning of ch. 2, pt. 1. But in this saying Chu Hsi 

was not explaining the title of the Chin-ssu lu but was characterizing its 

contents. Evidently Bruce misunderstood the saying. The meaning of 

the title is quite clear from the comments of Lü Tsu-ch'ien (1137-1181), 

2 Two Chinese Philosophers, 1958, p. 35. 

3 In Fung, History of Chinese Philosophy, vol. 2, 1953, p. 450. 

4 Neo-Confucian Thought, 1957, p. 157. 

5 "Mencius and Sun-dz on Human Nature," PEW, 6 (1956), p. 219. 

6 Chu Hsi and His Masters, 1923, p. 74. 

7 Neueren chinesischen Philosophie, 1938, p. 170. 

784

APPENDIX 

co-compiler with Chu Hsi, in the same paragraph of the Nien-p'u. 8 

Waley's "thinks for himself about what he has heard" 9 is entirely unjustified. 

Likewise, Needham's "systematic thought" 10 is unsatisfactory. 

Carsun Chang's "reflective thought" 11 and Vincent Yu-chung Shin's 

"intimate thinking" 12 are interpretations. Legge's "reflecting with selfapplication" 

13 expresses well the meaning of self-application but not the 

idea of nearness. I have struggled hard to choose from "thoughts for 

immediate application," "reflections for immediate application," and 

"reflections on things at hand," but finally settled on the latter because 

it implies, at least, the idea of application also. 

Ching, "seriousness." In ancient Confucianism the word ching is 

often interchangeable with kung and means reverence but in Neo-Confucianism 

the two words are sharply different. As Ch'en Ch'un (1153- 

1217) has pointed out, kung has to do with one's appearance and expression 

in respect for others while ching has to do with one's effort; the 

former is external and the latter internal. 14 The main difference is that 

reverence implies an object whereas ching is a state of mind. This seems 

to be similar to the Buddhist calmness of mind and has probably led 

Carsun Chang to translate it as "attentiveness" and "concentration," 15 and 

Graham to render it as "composure." 16 But the Neo-Confucianists emphasized 

making an effort in handling affairs, an effort not stressed by 

the Zen Buddhists. As Ch'en Ch'un said, in ancient Classics the word 

only denotes composure but the Neo-Confucianists stress making 

effort in handling affairs. Chai Ch'u's "prudence" comes close to the 

Neo-Confucian meaning 17 but Bruce's translation of "seriousness" is the 

best. 18 

Chung-shu, "conscientiousness and altruism." This is open to many 

possible translations but the central meaning must not be lost. As the 

Confucian pupil Tseng Tzu said, it is the one thread of the Confucian 

8 See also discussion on the title by Olaf Graf, Dschu Hsi Djin-sï Lu, vol. 1, 

1953, pp. 19-20. 

9 Waley, Analects of Confucius, 1938, 19:6. 

10 History of Chinese Scientific Thought, 1956, p. 459. 

11 Neo-Confucian Thought, p. 50. 

12 "The Mind and the Moral Order," MEB, 10, 1955, p. 352. 

13 Legge, Confucian Analects, 19:6. 

14 Hsing-li tzu-i (Meanings of Neo-Confucian Philosophical Terms), pt. 2, 

sections on ching and kung-ching, and Liu Shih-p'ei (1884-1919), Li-hsüeh tzu-i 

t'ung-shih (General Explanation of the Meanings of Neo-Confucian Terms), 1936, 

p. 20a-b. 

15 Neo-Confucian Thought, pp. 197 and 222. 

16 Two Chinese Philosophers, p. 67. 

17 "Neo-Confucianism of the Sung-Ming Period." SR, 18 (1951), p. 389. 

18 Philosophy of Human Nature by Chu Hsi, 1922, p. 439ff. 

785

APPENDIX 

doctrine. 19 In essence, chung means the full development of one's 

originally good mind and shu means the extension of that mind to 

others. In other words, it is the Confucian golden rule, or jen (humanity), 

with chung referring to the self and shu referring to others. Any 

translation must involve these two aspects. 20 

Fa. The word fa covers a wide range of meanings, such as law, punishment, 

custom, duty, discipline, method, technique, and model, and has 

to be translated variously. In the Legalist School, it involves the three 

concepts of law, statecraft, and power. In Buddhism, it means Buddhism 

itself, the Law preached by the Buddha, Reality, Truth. As a philosophical 

term, however, it is the Chinese rendering of dharma, which means 

"that which is held to." It connotes all things, with or without form, real 

or imaginary, the material or principle of an entity, something that holds 

onto its nature as a particular thing. In this connection it is a most difficult 

term to translate. The nearest English term to it is "element of 

existence," taking unreal dharmas as having a negative existence. It is 

best left untranslated except when it means the Law of the Buddha. 21 

Hsiang, "character." As a technical Buddhist term, hsiang (lakshana 

in Sanskrit) is related to hsing (svabhava, nature) as characteristic is to 

nature or phenomenon to noumenon, although in some connections, 

such as shih-hsiang (true state), it means nature itself. Essentially the 

self-nature is hsing whereas what can be described is hsiang. Of course in 

ordinary usage it means a sign, feature, appearance, form, etc. 

Hsing-erh-shang, "what exists before physical form [and is therefore 

without it]," hsing-erh-hsia, "what exists after physical form [and is 

therefore with it]." These phrases first appeared in the Book of Changes, 

"Appended Remarks," pt. 1, ch. 12. 22 K'ung Yung-ta (574-648) said in 

his commentary, "Physical form is established according to the Way. 

Therefore there is first the Way and then physical form and the Way 

exists before physical form. . . . Physical form is in objects, not in the 

Way. As there is physical form, there can be objects and functions." The 

relationship, then, is one of both sequence and attribute. Thus Legge's 

and Duyvendak's rendering of "antecedent" and "subsequent to the 

material form," Wilhelm's and Bodde's "what is above form" and "what 

is within form," Bruce's "the corporeal" and "the incorporeal," etc. are 

all correct only in one of these two aspects. 23 Boodberg is correct in 

19 20 


See above, ch. 2, comment on 4:15. 

21 

For the meaning of fa-men, see above, ch. 24, n.12. 

22 

Cf. translation by Legge, Yi King, p. 377. 

23 

See Bodde, "On Translating Chinese Philosophic Terms," FEQ, 14 (1955), 

232-233. Also J. J. L. Duyvendak, trans., Tao Te Ching, The Book of the Way and 

its Virtue, 1954, p. 73. 

786

APPENDIX 

believing that erh has the meaning of transition, but it is not a verb as 

he suggested, and hsing-erh-shang does not mean, as he thought, "what 

is shaped and transcends." 24 Rather it means "what is without shape and 

transcends." The meaning of sequence is important. Without it Chu Hsi's 

discussion of the terms cannot be understood. 25 In ordinary usage, 

however, hsing-erh-shang simply means before and hsing-erh-hsia simply 

means after. The Daikanwa jiten (Great Chinese-Japanese Dictionary) is 

correct in simply defining these phrases as "with form" and "without 

form." 26 

Hsing-ming, "actuality and name." The term is generally understood 

to mean the relation between name and actuality, which was a major 

topic of debate among ancient scholars. As Creel has pointed out, most 

translators have mistranslated hsing to mean punishment. 27 It is interchangeable 

with HSING, meaning form or body. 28 Creel maintains that 

hsing-ming means performance and title, especially in connection with 

the selection and appraisal of government officials, but he has not provided 

any etymological basis or any clear-cut collateral evidence to show 

that hsing means to perform. The most important passage bearing on the 

term HSING-ming is found in the Yin Wen Tzu, to which Creel has not 

referred. The book begins by saying, "The Great Way (Tao) has no 

HSING and what are called material objects have ming." Here HSING 

clearly means form and ming means name, and cannot be understood as 

performance and title. Creel also does not accept the traditional 

equation of hsing-ming or HSING-ming with ming-shih (name and actuality), 

but the Yin Wen Tzu definitely says that name is to examine 

form 29 also to examine shih (reality). Creel said that HSING (form or 

appearance) is opposed to shih (reality), 30 evidently forgetting that 

HSING also means body. He does not accept the interchange of hsing 

with HSING and thinks that scholars and copyists have simply confused 

them. 31 Where they are used interchangeably, as in the Han Fei Tzu, 

he arbitrarily chose the former to suit his thesis. In order to be consistent, 

he had to interpret hsing in the term hsing-cheng (government) in the 

Mo Tzu as a verb, to perform or to administer. 32 This would destroy the 

parallelism in such sentences as "the wealth of the country, the size of 

24 Far Eastern Quarterly, 13 (1954), p. 377. 

25 


26 

Daikanwa jiten, vol. 9, p. 167. 

27 Creel, "The Meaning of Hsing-Ming," Bernhard Karlgren Dedicata, pp. 199- 

211. 

28 

See, for example, Han Fei Tzu, chs. 5, 7, 8, SPTK, 1:8b, 2:5a, 6b, 7a. 

29 

Yin Wen Tzu, SPTK, pp. 1b and 2b, respectively. 

30 

Bernhard Karlgren Dedicata, p. 205. 

31 

ibid., p. 204. 

32 

ibid., p. 205. 

787

APPENDIX 

the population, and the order of government," 33 and make the phrase 

wei (act) hsing-cheng to mean to do the administering of government, a 

most extraordinary construction in Chinese for which there is no parallel. 

A title is of course one of many kinds of names, and performance 

(what one has actually done) is one form of actuality. But hsing is not a 

verb and the ancient interchange of hsing and HSING and the common 

equation of hsing-ming with HSING-ming are not mistakes, as Creel 

maintains. Chu Hsi condemned strategists, calculators, and hsing-ming 

alike because they used tricks and were opportunists. Hsing-ming does not 

seem to fit the description of rulers who demanded performance according 

to titles. 34 And Chu Hsi said they were based on Taoism rather than 

Legalism with which Creel has associated hsing-ming. 35 Chu Hsi was of 

course thinking of Lao Tzu, ch. 36, where it is said, "In order to grasp, 

it is first necessary to give," a technique used by strategists, calculators, 

and debaters alike and for which Confucianists have strongly condemned 

them as immoral. 

Hsü, "vacuous." A Taoist term often used by Neo-Confucianists also. 

As a description of a state of mind, it means absolute peacefulness and 

purity of mind and freedom from worry and selfish desires and not to be 

disturbed by incoming impressions or to allow what is already in the 

mind to disturb what is coming into the mind. Hsü-shih means unreality 

and reality, but hsü also means profound and deep continuum in which 

there is no obstruction. It is not to be equated with the Buddhist term 

k'ung (empty). Although k'ung is not really nihilistic but means the 

absence of specific characters, hsü is a more positive concept. Even then, 

Neo-Confucianists used it sparingly. 

Hsüan, "profound" or "mysterious." This word has as wide a range of 

meanings as any other Chinese word. It means dark, abstruse, deep, profound, 

secret, etc. In Taoist religion the aspect of mystery should be 

stressed, but in Taoist philosophy, the profound or metaphysical aspect 

is paramount. Thus hsüan-hsüeh should be "metaphysical school," while 

hsüan-te should be "profound and secret virtue." The word simply has 

to be understood in its context. Hsüan-ming, for example, is not just 

"profoundly dark," but means noumenon. 

Jen, "humanity." Jen has been variously translated as benevolence, 

perfect virtue, goodness, human-heartedness, love, altruism, etc. None 

of these expresses all the meanings of the term. It means a particular 

virtue, benevolence, and also the general virtue, the basis of all goodness. 

33 Mo Tzu, ch. 8, SPTK, 2:1a, 


35 Bernhard Karlgren Dedicata, p. 210. 

788

APPENDIX 

In the Book of Mencius (6A:11), it is "man's mind." In Han times 

(206 B.C.-A.D. 220), Confucianists understood it to mean love or "men 

living together." To Han Yü (768-824) it was universal love. Neo- 

Confucianists interpreted it as impartiality, the character of production 

and reproduction, consciousness, seeds that generate, the will to grow, 

one who forms one body with Heaven and Earth, or "the character of love 

and the principle of mind." In modern times, it has even been equated 

with ether and electricity. 36 Etymologically, jen means man in society, as 

the Chinese character for jen consists of both the word for man and 

the word for two (signifying a group). In both the Book of Mencius 

(7B:16) and the Doctrine of the Mean (ch. 20) jen is equated with man. 

Waley's "Goodness," 37 Hughes' "human-heartedness," 38 Bodde's "love," 39 

and Dubs' "benevolent love," 40 all fail to convey the etymological meaning, 

although they cover most of the other aspects. Furthermore, "love" 

is the correct translation for ai, and it would confuse jen and ai in Chu 

Hsi's dictum, "jen is the character of love," 41 and Mencius' saying, "The 

man of jen loves others." 42 Boodberg's "humanity" and "co-humanity" 43 

and Lin Yutang's "true manhood" 44 are good. My choice is "humanity," 

for it seems to express all meanings and also has an adjective form while 

"true manhood" does not. Of course it is absurd to say that humanity is 

ether or electricity, but these are used really as metaphors. "Humanity" 

takes care of all the Neo-Confucian interpretations, for humanity certainly 

possesses the characteristics of life-giving and the like, and it is man 

who forms one body with Heaven and Earth. 45 

Kuei-shen, "spiritual beings" and "positive spiritual force and negative 

spiritual force." Ch'en Ch'un said that kuei-shen should be discussed 

under four categories: that in the Confucian Classics, that in ancient 

religious sacrifices, that in latter-day religious sacrifices, and that referring 

to demons and gods. 46 By the Confucian Classics he meant the 

Classics as interpreted by the Neo-Confucianists, namely, kuei-shen as 

36 For comments on these interpretations, see above, ch. 30, sec. 1; ch. 31, secs. 

1 and 11; ch. 32, sec. 42; ch. 34, treatise 1; ch. 40, Introduction. 

37 Analects of Confucius, p. 83. 

38 Chinese Philosophy in Classical Times, p. 13. Lucius Porter and Bodde also 

used this translation. See Fung, History of Chinese Philosophy, vol. 1, p. 69. 

39 "On Translating Chinese Philosophic Terms," FEQ, 14 (1955), 235-237. 

40 "The Development of Altruism in Confucianism,'' PEW, 1 (1951), 48-49. 

41 See above, ch. 34, treatise 1. 


43 "The Semasiology of Some Primary Confucian Concepts," PEW, 2 (1953), 

327-330; also book review in FEQ, 13 (1954), p. 334. 

44 Wisdom of Confucius, p. 184. 

45 For a succinct but excellent discussion on jen and Neo-Confucian interpretations, 

see Ch'en Ch'un, Hsing-li tzu-i, pt. 1, sections on jen. 

46 op.cit., pt. 2, entry on kuei-shen. 

789

APPENDIX 

positive and negative forces behind events. Thus expansion is shen while 

contraction is kuei. This naturalistic and philosophical meaning should 

always be kept entirely distinct from the other meaning in the first three 

categories, namely, kuei-shen as spiritual beings. In ancient times shen 

usually refers to heavenly beings while kuei refers to spirits of deceased 

human beings. In latter-day sacrifices, kuei-shen together refers to ancestors. 

In popular religion shen means gods (who are good) and demons 

(who are not always good). In Neo-Confucianism kuei-shen may refer 

to all these three categories but more often than not the term refers to the 

activity of the material force (ch'i). Chang Tsai's dictum, "The negative 

spirit (kuei) and positive spirit (shen) are the spontaneous activity of 

the two material forces (yin and yang)," 47 has become the generally accepted 

definition. 

Li, "ceremony," etc. Li originally means a religious sacrifice but has 

come to mean ceremony, ritual, decorum, rules of propriety, good form, 

good custom, etc., and has even been equated with Natural Law. 48 Obviously 

the translation "rites" or "ceremony" is too narrow and misleading. 

I use "Book of Rites" for the Li chi simply because it is becoming 

common and because of want of a good translation. But the term li itself 

has to be rendered differently in different context. Boodberg is right in 

saying that "Form" understood as ritual form, social form, or good form 

serves best, 49 but in this case it is difficult to use a uniform translation. 

Te, "virtue" or "character." Te ordinarily means moral character but 

in relation to Tao it means Tao particularized when inherent in a thing. 

The classical definition of it is to te (attain or be able to). Waley is correct 

in understanding it as a latent power, a virtue inherent in something 

and in rendering it as "power." 50 But "power" does not connote moral 

excellence which the word te involves. Both "virtue" and "character" 

seem to be better. 

T'i-jen, "realization through personal experience." Literally "to recognize 

through one's own person," this basic Neo-Confucian term denotes 

a special method of knowledge, namely, to realize through sincere effort 

and personal experience in order to attain an intimate and genuine 

realization. 

47 


48 

See Hu Shih, "The Natural Law in the Chinese Tradition," in Natural Law 

Institute Proceedings, 1953, 5:142-145. Hu is not inclined to accept the equation 

by Kenneth Scott Latourette and Joseph Needham, but he believes that li has time 

and again played the role of a higher law. 

49 

"The Semasiology of Some Primary Confucian Concepts," PEW, 2 (1953), pp. 

326-327. 

50 

The Way and Its Power, 1934, p. 33. 

790

APPENDIX 

T'i-yung, "substance and function." Variously rendered as "essence 

arid application" or "operation." The term originated with Wang Pi 

(226-249) in his commentary on Lao Tzu, ch. 38. 51 There he equated 

wu (non-being) with t'i, thus providing the term with a metaphysical 

meaning. It became one of the most prominent terms in Buddhism and 

Neo-Confucianism and the metaphysical concept is a major one in those 

systems. In this connection the term is not to be understood in the sense 

of form or body as Boodberg has contended. 52 

Wu, "non-being." There is nothing wrong in rendering wu as a negative. 

However, in some cases it has to be interpreted. For example, wuhsin 

is not just "no mind" but "no deliberate mind of one's own," and 

wu-wei is not simply "inaction" but "taking no unnatural action," or in 

Buddhist usage, "not produced from causes." Boodberg thinks yu and 

wu should not be rendered as "being" and "non-being," because they are 

essentially transitive verbs. 53 But in Lao Tzu, chs. 2, 40, etc., and in 

many places in the Chuang Tzu, 54 for example, they are not verbs and 

mean exactly "being" and "non-being." 


52 op.cit., pp. 335-336. 

53 Peter Boodberg, "Philosophical Notes on Chapter One of the Lao Tzu," 

Harvard Journal of Asiatic Studies, 20 (1957), pp. 598-618. 

54 For example, Chuang Tzu, chs. 2, 6 and 12, SPTK, l:33b-34a, 3:15a; 5:9a. Cf. 

Giles, trans., Chuang Tzu, 1961 ed., pp. 41, 79, 122. 

791


... BIBLIOGRAPHY ... 

THIS BIBLIOGRAPHY is largely limited to the most essential titles. For a more 

extensive bibliography with specific page references on specific topics and 

with comments on works referred to, see Chan, Outline and Annotated 

Bibliography. For full titles and publication facts, see the alphabetical 

list at the end. 

The best history of Chinese philosophy is Fung, History, 2 vols. Next 

come Fung, Short History, which is more technical, and Creel, Chinese 

Thought, which is more general, as are Day's Philosophers of China and 

Chai's Story. For short surveys, see Chan's "Chinese Philosophy," Encyclopedia 

Britannica, 1960, and "Story of Chinese Philosophy," in 

Moore, ed., Philosophy East and West, pp. 24-68. For the ancient period, 

add Hu, Logical Method, and Waley, Three Ways of Thought. Source materials 

are found in de Bary, Chan, and Watson, comp., Chinese Tradition 

(all periods); Hughes, Classical Times (ancient), and Lin Yutang, Wisdom 

of China and India (ancient). 

CH. 1. THE GROWTH OF HUMANISM 

The best accounts are found in Fung, History, vol. 1, pp. 7-42 and Hu, 

Logical Methods, pp. 1-9. Hughes, Classical Times, pp. xxiv-xxx gives some 

helpful additional information. 

CH. 2. THE HUMANISM OF CONFUCIUS 

Excellent studies are: Fung, History, vol. 1, pp. 43-75, Short History, 

pp. 38-48, Spirit of Chinese Philosophy, pp. 10-28, Hu, Logical Methods, 

pp. 22-27, Creel, Chinese Thought, pp. 25-45, Lin Yutang, Wisdom of Confucius, 

pp. 3-24, and Liu, Confucian Philosophy, pp. 13-25. For a general 

survey, see Chan, "Confucius," Encyclopedia Britannica, 1960. On Confucius' 

life, Lin, Wisdom of Confucius, pp. 53-100 contains a translation of 

the standard biography, and Creel, Confucius, pp. 75-141, offers some interesting 

theories, and Liu, Confucius, pp. 141-156, gives a general picture. 

For a discussion of Confucian humanism, see Chan, "Chinese Theory and 

Practice," in Moore, ed., Philosophy and Culture, pp. 80-95. For translations 

of the Analects, read Legge, Confucian Analects, in Chinese Classics, vol. 

1, pp. 137-354, Waley, Analects of Confucius, and also selections by Lin 

Yutang, in Wisdom of Confucius, pp. 160-204. 

CH. 3. IDEALISTIC CONFUCIANISM: MENCIUS 

For general discussions, see Fung, History, vol. 1, pp. 106-131, Short 

History, pp. 68-79, Liu, Confucian Philosophy, pp. 59-89, Creel, Chinese 

Thought, pp. 68-93, and Waley, Three Ways of Thought, pp. 115-162. For 

a brief survey, see Chan, "Mencius," Encyclopedia Britannica, 1960. For 

translation, see Legge, Works of Mencius, Ware's Sayings of Mencius is a 

fairly free rendering. 

CH. 4. MORAL AND SOCIAL PROGRAMS: THE Great Learning 

The only instructive studies are Fung, History, vol. 1, pp. 361-369, and 

Short History, pp. 181-183. Good translations are Legge, "Great Learning," 

793

BIBLIOGRAPHY 

in Chinese Classics, vol. 1, pp. 355-381, and Lin Yutang, "The Great Learning," 

Wisdom of Confucius, pp. 135-152. 

CH. 5. SPIRITUAL DIMENSIONS: THE Doctrine of the Mean 

For helpful discussions, see Fung, History, vol. 1, pp. 369-377 and Short 

History, pp. 172-177. Legge's translation, "Doctrine of the Mean," in 

Chinese Classics, vol. 1, pp. 382-434, is sound and Ku Hung-ming's interpretative 

rendering in Lin Yutang, Wisdom of Confucius, pp. 100-134, is stimulating. 

CH. 6. NATURALISTIC CONFUCIANISM: HSÜN TZU 

For profitable reading see Hu, Logical Methods, pp. 149-158, Fung, 

History, vol. 1, pp. 279-311, Short History, pp. 143-154, Liu, Confucian 

Philosophy, pp. 90-103, Dubs, Hsüntze, pp. xxv-xxxi, 48-56, and Creel, 

Chinese Thought, pp. 115-134. For translation, see Dubs, Works of Hsüntze. 

Compare his translation of ch. 22 on the rectification of names with those by 

Duyvendak, TP, 23, pp. 221-254 and by Mei, PEW, 1, pp. 51-66. For ch. 1, 

see Mei, "Hsün Tzu's Theory of Education," THJ, 2, pp. 361-377. 

CH. 7. THE NATURAL WAY OF LAO TZU 

Good studies include Fung, History, vol. 1, pp. 170-191, Short History, 

pp. 93-103, Hu, Logical Methods, pp. 13-20, Chan, The Way of Lao Tzu, 

Introduction, Creel, Chinese Thought, pp. 94-114, T. C. Lin, "The Chinese 

Mind," JHI, 8, pp. 259-273, and C. Y. Ching, "Concept of Tao," RR, 17, pp. 

126-130. For translations see Waley, The Way and Its Power, Chan, op.cit., 

Lin Yutang, The Wisdom of Laotse, and Duyvendak, Tao Te Ching. 

CH. 8. THE MYSTICAL WAY OF CHUANG TZU 

Fung, History, vol. 1, pp. 221-245, Short History, pp. 104-117, Spirit of 

Chinese Philosophy, pp. 65-80, Creel, Chinese Thought, pp. 94-114, and 

Waley, Three Ways of Thought, pp. 67-86, are all helpful. Herbert Giles' 

translation, Chuang Tzu, is complete but not good, while that of Fung, 

Chuang Tzu, is good but confined to chs. 1-7. Lin Yutang's version of chs. 

1-6, 8-11, and 17 in Wisdom of China and India and of ch. 33 in Wisdom of 

Laotse, pp. 23-37, is excellent. 

CH. 9. MO TZU'S DOCTRINES OF UNIVERSAL LOVE, HEAVEN, AND SOCIAL 

WELFARE 

The best account is found in Hu, Logical Methods, pp. 63-82. Fung, History, 

vol. 1, pp. 76-105, Short History, pp. 49-59, Spirit of Chinese Philosophy, 

pp. 34-44, Creel, Chinese Thought, pp. 46-67, and Mei, Motse, pp. 183- 

195, are also authoritative. Mei's translation, Works of Motse, is good. 

CH. 10. DEBATES ON METAPHYSICAL CONCEPTS: THE LOGICIANS 

An original approach is found in Hu, Logical Methods, pp. 109-130. Fung 

offers a different approach in History, vol. 1, pp. 192-220, Short History, 

pp. 80-92, and Spirit of Chinese Philosophy, pp. 45-58. Mei, "Some Observations 

on the Problems of Knowledge," TJ, n.s. 1, no. 1, pp. 114-121, is 

794

BIBLIOGRAPHY 

suggestive, and Needham, Scientific Thought, pp. 189-197, dealing with 

science, is penetrating. Mei's translation, Kung-sun Lung Tzu, is the best. 

CH. 11. THE YIN YANG SCHOOL 

The best account is found in Fung, Short History, pp. 129-138. Also helpful 

is his History, vol. 1, pp. 159-169; vol. 2, pp. 7-16. For fundamental Yin 

Yang ideas of science, see Needham, Scientific Thought, pp. 232-278. 

CH. 12. LEGALISM 

For good discussions see Hu, Logical Methods, pp. 170-187, Fung, History, 

vol. 1, pp. 312-336, Short History, pp. 155-165, and Waley, Three 

Ways of Thought, pp. 199-247. Also consult Liang, Chinese Political 

Thought, pp. 113-138; John Wu, "Chinese Legal Philosophy," cc, 1, no. 4, 

pp. 7-48; and Chen En-cheng, "Han Fei's Principle of Government by Law," 

ibid., pp. 91-103. For translations of Legalist works, see under "Han Fei 

Tzu" and "Shang Yang" in the alphabetical list below. 

CH. 13. THE PHILOSOPHY OF CHANGE 

Y. T. T'ang, "Wang Pi's New Interpretation of the I-ching and Lun-yü" 

HJAS, 10, pp. 124-161, is indispensable. An original treatment is Hu, Logical 

Methods, pp. 28-45, and so is Fung, History, vol. 1, pp. 379-395 (also Short 

History, pp. 138-142, and Spirit of Chinese Philosophy, pp. 81-103). On 

scientific thought, see Needham, Scientific Thought, pp. 304-340. A general 

and excellent survey is Hellmut Wilhelm, Change. The best translation is 

still Legge, Yi King. Richard Wilhelm's German version rendered into 

English, I Ching, is good but interpretative to some extent. 

CH. 14. YIN YANG CONFUCIANISM: TUNG CHUNG-SHU 

Fung, History, vol. 2, pp. 16-87, Short History, pp. 191-203, Spirit of 

Chinese Philosophy, pp. 117-125, and Liu, Confucian Philosophy, pp. 124- 

126, are all satisfactory. Yao, "Cosmological and Anthropological Philosophy," 

JNCBRAS, 73, pp. 40-68, is comprehensive and informative. Only a 

small amount of Tung's works has been translated, in Lectures chinoises, 1, 

pp. 1-17, de Bary, Chinese Tradition, pp. 178-183, and Hughes, Classical 

Times, pp. 293-308. 

CH. 15. TAOISTIC CONFUCIANISM: YANG HSIUNG 

The only reading really worth while on Yang Hsiung is Fung, History, 

vol. 2, pp. 136-150. There are a German translation of his Fa-yen (Model 

Sayings) by von Zach, "Fa-yen," in SB, 4, pp. 1-74, and a French version by 

Belpaire, Yang-Hiong-tsé. 

CH. 16. THE NATURALISM OF WANG CH'UNG 

Fairly good studies are found in Fung, History, vol. 2, pp. 150-167, Li, 

"Wang Ch'ung," THM, 5, pp. 162-184, 290-307, and Alfred Forke, in Wang 

Ch'ung, Lun-Heng, vol. 1, pp. 13-44. Needham, Scientific Thought, pp. 371- 

386, concerns science. Alfred Forke, "Wang-Chung and Plato on Death and 

Immortality," JNCBRAS, 31, pp. 40-60, is a critical study. Translation by 

Forke, Lun-Heng, is reliable. 

795

BIBLIOGRAPHY 

CH. 17. THE TAOISM OF HUAI-NAN TZU 

See Fung, History, vol. 1, pp. 395-399, and Spirit of Chinese Philosophy, 

pp. 112-117. Morgan, Tao, The Great Luminant, is poor both in translation 

and in study. 

CH. 18. NEGATIVE TAOISM IN THE Lieh Tzu AND THE YANG CHU CHAPTER 

Fung, History, vol. 2, pp. 190-204 and Short History, pp. 232-235, are 

recommended. Needham, Scientific Thought, pp. 40-41, 53-54, is brief but 

significant. For translation, see Graham, Book of Lieh Tzu. 

CH. 19. NEO-TAOISM 

For Wang Pi, there are excellent studies: Y. T. Tang, "Wang Pi's New 

Interpretations of the I-ching and Lun-yü" HJAS, 10, pp. 124-161, Fung, 

History, vol. 2, pp. 168-189, and Spirit of Chinese Philosophy, pp. 135-138, 

154, Kenneth Ch'en, "Neo-Taoism and the Prajña School," cc, 1, no. 2, 

pp. 38-41, and Wright, Review of Petro: Wang Pi, HJAS, 10, pp. 75-88. For 

Kuo Hsiang, see Fung, History, vol. 2, pp. 205-236, Short History, pp. 220- 

230, Spirit of Chinese Philosophy, pp. 135-146, 154, and Chuang Tzu, comments 

on chs. 1 and 2, and pp. 145-157. 

CH. 20. THE SEVEN EARLY BUDDHIST SCHOOLS 

Fung, History, vol. 2, pp. 244-258, Liebenthal, Book of Chao, pp. 149- 

166, Kenneth Ch'en "Neo-Taoism and the Prajña School," cc, 1, no. 2, pp. 

35-37, Zürcher, Buddhist Conquest of China, pp. 95-102, 116-137, 177-179, 

184-204, Demiéville, "La penetration du bouddhisme," CHM, 1, pp. 25-27, 

30-31, Link, "Problem of Buddho-Taoist Terminology," JAOS, 77, pp. 1-14 

(translation) are all top-notch works. 

CH. 21. SENG-CHAO'S DOCTRINE OF REALITY 

See Fung, History, vol. 2, pp. 258-270, Short History, pp. 246-248, Spirit 

of Chinese Philosophy, pp. 146-155, and Liebenthal, Book of Chao, pp. 46- 

66 (translation) and pp. 21-38 (study). 

CH. 22. THE PHILOSOPHY OF EMPTINESS: CHI-TSANG OF THE THREE- 

TREATISE SCHOOL 

Basic references are: Fung, History, vol. 2, pp. 293-299, Short History, 

pp. 245-246, Takakusu, Buddhist Philosophy, pp. 96-107, and Chan, Religious 

Trends, pp. 102-103. 

CH. 23. BUDDHIST IDEALISM: HSÜAN-TSANG OF THE CONSCIOUSNESS-ONLY 

SCHOOL 

Fung, History, vol. 2, pp. 299-338, Takakusu, Buddhist Philosophy, pp. 

80-95, Keith, Buddhist Philosophy, pp. 242-251, Thomas, Buddhist Thought, 

pp. 230-248, Chan, Religious Trends, pp. 105-135, are all important. Expert 

translation of Hsüan-tsang's work is La Vallée-Poussin's Le siddhi de Hiuan- 

Tsang, and those of Vasubandhu's works are Hamilton, Treatise in Twenty 

Stanzas and Lévi, L'étude du système Vijñaptimatra. 

796

BIBLIOGRAPHY 

CH. 24. THE T'IEN-T'AI PHILOSOPHY OF PERFECT HARMONY 

Excellent accounts are given in Fung, History, vol. 2, pp. 360-386, Takakusu, 

Buddhist Philosophy, pp. 126-141, Chan, Religious Trends, pp. 95- 

105, and Petzold, Tendai Teaching, pp. 1-49. On the Lotus Scripture, see 

Chan, "The Lotus Sutra," in de Bary, ed., Approaches to the Oriental 

Classics, pp. 153-165. 

CH. 25. THE ONE-AND-ALL PHILOSOPHY: FA-TSANG OF THE HUA-YEN SCHOOL 

For good discussions, see Fung, History, vol. 2, pp. 339-359, Takakusu, 

Buddhist Philosophy, pp. 29-56, 108-125, and Chan, Religious Trends, pp. 

95-105. 

CH. 26. THE ZEN (CH'AN) SCHOOL OF SUDDEN ENLIGHTENMENT 

Much of the tremendous literature on Zen is inspirational rather than 

philosophical. Good systematic presentations are Fung, History, vol. 2, pp. 

386-406, Short History, pp. 255-265, Spirit of Chinese Philosophy, pp. 156- 

174, Chen-chi Chang, Practice of Zen, passim, Takakusu, Buddhist Philosophy, 

pp. 153-165, and Chan, trans., Platform Scripture, Introduction. For 

historical and mystical approaches to Zen, see Hu, "Chan (Zen) Buddhism in 

China," PEW, 3, pp. 3-24, and Suzuki, "Zen: A Reply to Hu Shih," ibid., pp. 

25-46. A brief history of Zen is contained in Dumoulin, Development of 

Chinese Zen, pp. 3-44. Special topics are discussed in Suzuki's well-known 

series of Essays in Zen Buddhism. His Studies in the Lankavatara is an authoritative 

philosophical study. More general treatises on special subjects are 

his Studies in Zen, and Zen Doctrine of No-Mind, and also Chan's "Transformation 

of Buddhism in China," PEW, 7, pp. 107-116. For translations of 

Zen works, aside from Suzuki and Dumoulin mentioned above, see under 

Lankavatara sutra, Hui-neng, Shen-hui, Hui-hai, Hsi-yün, and Chan. Also see 

Day, Philosophers of China, pp. 129-159. 

CH. 27. THE REVIVAL OF CONFUCIANISM: HAN YÜ AND LI AO 

Illuminating accounts are found in Fung, History, vol. 2, pp. 407-424, 

Carsun Chang, Neo-Confucian Thought, pp. 79-111, and Liu, Confucian 

Philosophy, pp. 138-143. Special problems are discussed in Chan, "Confucian 

Concept Jen," PEW, 4, pp. 303-304, de Bary, "Reappraisal of Neo-Confucianism," 

in Wright, Studies in Chinese Thought, pp. 83-88, and Rideout, 

"Context of the Yuan Tao and Yüan Hsing," BSOAS, 12, pp. 403-408. 

CH. 28. THE NEO-CONFUCIAN METAPHYSICS AND ETHICS IN CHOU TUN-I 

Systematic treatments have been given in Fung, History, vol. 2, pp. 434- 

451, Short History, pp. 269-272, Carsun Chang, Neo-Confucian Thought, 

pp. 137-158, Alfred Forke, Neueren chinesischen Philosophie, pp. 45-56, 

and Chow, Philosophie morale, pp. 80-140. For a French translation of the 

Tung-shu (On Understanding the Book of Changes), see Chow, pp. 163- 

188, and for translations of selections, see Hsü, Neo-Confucian Thought, pp. 

i-vi, Graf, Djin-sï lu, vol. 2, passim, de Harlez, L'école philosophique moderne, 

pp. 25-32, and de Bary, Chinese Tradition, pp. 513-515. 

797

BIBLIOGRAPHY 

CH. 29. THE NUMERICAL AND OBJECTIVE TENDENCIES IN SHAO YUNG 

General surveys are: Fung, History, vol. 2, pp. 451-476, Short History, 

pp. 272-278, Carsun Chang, Neo-Confucian Thought, pp. 159-167, Liu, 

Confucian Philosophy, pp. 155-157, and Alfred Forke, Neueren chinesischen 

Philosophie, pp. 18-40. de Harlez, L'école philosophique moderne, pp. 82-110, 

and de Bary, Chinese Tradition, pp. 516-520, offer limited translations. 

CH. 30. CHANG TSAI'S PHILOSOPHY OF MATERIAL FORCE 

See Fung, History, vol. 2, pp. 477-498, Short History, pp. 278-280, Spirit 

of Chinese Philosophy, pp. 175-179, Carsun Chang, Neo-Confucian Thought, 

pp. 167-183, and Liu, Confucian Philosophy, pp. 157-159. C. I. T'ang, 

"Chang Tsai's Theory of Mind," PEW, 6, pp. 113-136, Chan, "The Concept 

of Man in Chinese Thought," in Radhakrishnan and Raju, ed., Concept of 

Man, pp. 177-182, and his "Neo-Confucian Solution of the Problem of 

Evil," BIHPAS, 28, pp. 780-783, are excellent discussions. Translations can 

be found in Eichhorn, "Die Westinschrift," AKM, 22, pp. 9-75, Hsü, Neo-Confucian 

Thought, pp. vi-xii, Graf, Djin-sï lu, vol. 2, passim, de Harlez, L'école 

philosophique moderne, pp. 36-76, and de Bary, Chinese Tradition, pp. 521- 

525. 

CH. 31. THE IDEALISTIC TENDENCY IN CH'ENG HAO and 

CH. 32. THE RATIONALISTIC TENDENCY IN CH'ENG I 

Good studies are: Fung, History, vol. 2, pp. 498-532, Short History, pp. 

281-293, Spirit of Chinese Philosophy, pp. 179-186, Graham, Two Philosophers, 

pp. 3-151, Carsun Chang, Neo-Confucian Thought, pp. 185-229, Liu, 

Confucian Philosophy, pp. 159-160, Chan, "Confucian Concept Jen," PEW, 

4, pp. 311-314, and his "Neo-Confucian Solution of the Problem of Evil," 

BIHPAS, 28, pp. 784-791. Extensive translations are found in Ts'ai, Philosophy 

of Ch'eng I, and limited translation in Graf, Djin-si lu, vol. 2, passim, and 

de Bary, Chinese Tradition, pp. 527-533, 559-564. 

CH. 33. THE UNITY OF MIND AND PRINCIPLE IN LU HSIANG-SHAN 

Fung, History, vol. 2, pp. 572-579, 585-592, Huang, Lu Hsiang-shan, 

pp. 30-97, Carsun Chang, Neo-Confucian Thought, pp. 146-151, 285-307, 

Creel, Chinese Thought, pp. 209-213, and Cady, Lu Hsiang-shan, pp. 348- 

415, are all excellent. There are extensive translations in Cady, pp. 95-115, 

129-180, and brief selections in de Bary, Chinese Tradition, pp. 565-569. 

CH. 34. THE GREAT SYNTHESIS IN CHU HSI 

Valuable studies are Fung, History, vol. 2, pp. 533-571, Short History, pp. 

294-306, Spirit of Chinese Philosophy, pp. 186-192, Carsun Chang, Neo- 

Confucian Thought, pp. 146-151, 243-283, 290-336, Liu, Confucian Philosophy, 

pp. 160-164, Creel, Chinese Thought, pp. 206-209, Bruce, Chu Hsi, 

pp. 99-314, Hsü, Neo-Confucian Thought, pp. 25-146, and Alfred Forke, 

Neueren chinesischen Philosophie, pp. 164-202. For superior discussions on 

special problems, see Needham, Scientific Thought, pp. 496-505, Bodde, "The 

Chinese View of Immortality," RR 6, pp. 369-383, Graf, Djin-sï lu, vol. 1, pp. 

278-286, Chan, "Confucian Concept Jen," PEW, 4, pp. 307-314, his "Synthe- 

798

BIBLIOGRAPHY 

sis in Chinese Metaphysics," in Moore, Essays, pp. 163-177, and his 

"Neo-Confucianism and Chinese Scientific Thought," PEW, 6, pp. 301-310, 

Sargent, Tchou Hi contre le Bouddhisme, pp. 10-45, and his "Tchou Hi en 

matière de methodologie," JA, 243, pp. 213-228. For translations, see Bruce, 

Philosophy of Human Nature, Graf, vol. 2, Pang, L'idée de Dieu, pp. 73- 

119, Le Gall, Tchou Hi, pp. 81-123, de Harlez, La Siao Hio, Wieger, Textes 

philosophiques, pp. 187-254, Sargent, pp. 55-148, de Bary, Chinese Tradition, 

pp. 536-557. 

CH. 35. DYNAMIC IDEALISM IN WANG YANG-MING 

Enlightening discussions are given in Fung, History, vol. 2, pp. 596-620, 

Short History, pp. 308-318, Carsun Chang, "Wang Yang-ming's Philosophy," 

PEW, 5, pp. 3-18, and his Wang Yang-ming, pp. 13-73, Chan, Instructions 

for Practical Living, Introduction, his "How Buddhistic Is Wang Yang-ming," 

PEW, 11 (1962), 203-216, and his "Wang Yang-ming," Encyclopedia Britannica, 

1960, Hsü, Neo-Confucian Thought, pp. 138-146, T. T. Wang, "La 

philosophie morale de Wang Yang-ming," pp. 38-119, Liu, Confucian Philosophy, 

pp. 167-173. Iki, "Wang Yang-ming's Doctrine of Innate Knowledge," 

PEW, 11, pp. 27-44, and Day, Philosophers of China, pp. 215-228. 

For translations, see Chan's rendering of Wang's works, which supplants 

Henke, Philosophy of Wang Yang-ming, and selections in de Bary, Chinese 

Tradition, pp. 571-581. 

CH. 36. THE MATERIALISM OF WANG FU-CHIH 

One can have a glimpse in Fung, History, vol. 2, pp. 641-643, 648-649. 

Lin Mousheng's Men and Ideas, pp. 200-214, deals with Wang's political 

thought. For translation, see de Bary, Chinese Tradition, pp. 597-606. 

CH. 37. PRACTICAL CONFUCIANISM IN YEN YÜAN 

Not much material. Fung, History, vol. 2, pp. 631-639, 644-648, and 

Creel, Chinese Thought, pp. 224-226 are satisfactory for a general survey. 

CH. 38. TAI CHEN'S PHILOSOPHY OF PRINCIPLE AS ORDER 

See Fung, History, vol. 2, pp. 651-672, and Creel, Chinese Thought, pp. 

226-234 for good discussions. Summaries of Tai's philosophy are given in 

Chan's "The Story of Chinese Philosophy," in Moore, ed., Philosophy East 

and West, pp. 65-68, and his "Neo-Confucianism," in MacNair, ed., China, 

pp. 261-263. Hummel, Eminent Chinese, pp. 695-700 gives a general account 

of his life, works, and ideas. 

CH. 39. K'ANG YU-WEI'S PHILOSOPHY OF GREAT UNITY 

By far the best study is Hsiao, Kung-ch'üan's "K'ung Yu-wei and Confucianism," 

MS 18, 96-212. Fung, History, vol. 2, pp. 676-705 is good. Account 

of his life and translation of his Ta Tung-shu (Book of Great Unity) 

is found in Thompson, Ta T'ung-shu. See also Lo, Jung-pang, ed., K'ang 

Yu-wei for good studies. 

CH. 40. THE PHILOSOPHY OF HUMANITY (Jen) IN T'AN SSU-T'UNG 

The best study is Fung, History, vol. 2, pp. 691-705. For comprehensive 

studies, see Oka, "The Philosophy of T'an Ssu-t'ung," POC, 9, pp. 1-47, and 

799

BIBLIOGRAPHY 

Kiang Shao-yuen, "The Philosophy of Tang-Ssu-Tung," OP, 36, pp. 449- 

471. Talbott's "T'an Ssu-t'ung and the Ether," in Sakai, ed., Studies on Asia, 

1960, pp. 20-34, dealing with science, is helpful. There is a general account 

in Hummel, Eminent Chinese, pp. 702-705. 

CH. 41. CHANG TUNG-SUN'S THEORY OF KNOWLEDGE 

Only one of Chang's works is available in English: "A Chinese Philosopher's 

Theory of Knowledge," Etc., 9, pp. 203-226. There are short summaries 

of his thought in Chan, "Trends in Contemporary Philosophy," in 

MacNair, ed., China, pp. 319-320, and Brière, Fifty Years of Chinese Philosophy, 

pp. 66-72. 

CH. 42. THE NEW RATIONALISTIC CONFUCIANISM: FUNG YU-LAN 

For his own summary of his ideas, see his Short History, pp. 334-342. For 

a summary and discussion, see Chan, Religious Trends, pp. 43-53, and Day, 

Philosophers of China, pp. 330-346. Shorter summaries are found in Chan, 

"Philosophies of China," in Runes, ed., Twentieth Century Philosophy, pp. 

562-567, or his "Trends in Contemporary Philosophy," in MacNair, ed., 

China, pp. 326-330, and Brière, Fifty Years of Chinese Philosophy, pp. 50- 

53. See also Sheehan, A Summary of Fung Yu-lan's Hsin Yüan-jen. 

CH. 43. THE NEW IDEALISTIC CONFUCIANISM: HSIUNG SHIH-LI 

Hsiung is virtually unknown in the West. For a summary of his philosophy 

and his criticism of Buddhism, see Chan, Religious Trends, pp. 32-43, 126- 

135. A very brief resume is also found in Brière, Fifty Years of Chinese Philosophy, 

pp. 48-50, Day, Philosophers of China, pp. 327-330, and Chan, 

"Trends in Contemporary Philosophy," in MacNair, ed., China, p. 324. 

CH. 44. CHINESE PHILOSOPHY IN COMMUNIST CHINA 

There is a brief account in Brière, Fifty Years of Chinese Philosophy, pp. 

75-85. Some reference, though little, is contained in T. K. David, Philosophy 

in Contemporary China, FECR, 23, pp. 35-37, and Willetts, "Philosophy in 

Changing China," Humanist, 71, no. 9, pp. 22-24. For Fung Yu-lan, see 

his "Philosophy in New China," EW, 1952, pp. 105-107; "I Discovered 

Marxism-Leninism," PC, 1950, no. 6, pp. 10-11, 21; and "Problems in the 

Study of Confucius," ibid., 1957, no. 1, pp. 21-22, 27-31. Dai Shen-yu's 

comparative study in his Mao Tse-tung and Confucianism, is quite instructive. 

The following list includes works in the European languages referred to 

in this work. For a longer list, see Chan, Outline and Annotated Bibliography. 

Asanga, Le somme du Grand Véhicule, trans. into French by Étienne Lamotte, 

2 vols., Louvain, Bureaux du Muséon, 1938-1939. 

Asvagosha, Asvaghosa's Discourse on the Awakening of Faith in the Mahayana, 

trans. by Teitaro Suzuki. Chicago, Open Court, 1900. 

Baynes, Cary F., trans. See I ching. 

Belpaire, B., trans. See Yang Hsiung. 

Blackney, R. B., trans. See Lao Tzu. 

800

BIBLIOGRAPHY 

Blofeld, John, trans. See Hsi-yün, Huang-po, and Hui-hai. 

Bodde, Derk, "The Chinese View of Immortality: Its Expression by Chu Hsi 

and Its Relationship to Buddhist Thought," Review of Religion, 6 

(1942), 369-383. 

————, "On Translating Chinese Philosophical Terms," Far Eastern Quarterly 

14 (1955), 235-237. 

————, "A Perplexing Passage in the Confucian Analects," Journal of the 

American Oriental Society, 53 (1933), 347-351. 

————, trans. See Fung Yu-lan. 

Boodberg, Peter, "The Semasiology of Some Primary Confucian Concepts," 


Book of Changes. See I ching. 

Book of History. See Shu ching. 

Book of Mencius. See Mencius. 

Book of Odes. See Shih ching. 

Bruce, J. Percy, Chu Hsi and His Masters, London, Probsthain, 1923. 

————, trans. See Chu Hsi. 

————, "The Theistic Import of the Sung Philosophy," Journal of the 

North China Branch of the Royal Asiatic Society, 49 (1918), 111-127. 

Cady, Lyman Van Law, "The Philosophy of Lu Hsiang-shan, A Neo-Confucian 

Monistic Idealist," typescript, 2 vols., New York, Union Theological 

Seminary, 1939. 

Chai, Ch'u, "Neo-Confucianism of the Sung-Ming Periods," Social Research, 

18 (1951), 370-392. 

————, with Winberg Chai. The Story of Chinese Philosophy, paperback. 

New York: Washington Square Press, 1961. 

Chan, Wing-tsit, Articles on Ch'i, Jen, Li, etc., in Dagobert D. Runes, ed., 

The Dictionary of Philosophy, New York, Philosophical Library, 1942, 

passim. 

———, "The Chinese Concept of Man in Chinese Thought," in S. Radhakrishnan 

and P. T. Raju, ed., The Concept of Man: A Study in Comparative 

Philosophy, London, Alien and Unwin, 1960, pp. 158-205. 

————, "Chinese Philosophy," Encyclopedia Britannica, 1960, vol. 5, pp. 

581-584. 

————, "Chinese Theory and Practice, with Special Reference to Humanism," 

in Moore, ed., Philosophy and Culture, pp. 80-95. 

————, "Confucianism," ibid., vol. 6, pp. 237-239. 

—————, "The Evolution of the Confucian Concept Jen," Philosophy East 

and West, 4 (1955), 295-319. 

————, "How Buddhistic Is Wang Yang-ming?" Philosophy East and West, 

12 (1962), pp. 203-216. 

————, "The Lotus Sutra," in Wm. Theodore de Bary, ed., Approaches to 

the Oriental Classics, New York, Columbia University Press, 1959, pp. 

153-165. 

————, "Mencius," Encyclopedia Britannica, 1960, vol. 15, pp. 239-240. 

————, "The Neo-Confucian Solution of the Problem of Evil," Studies 

Presented to Hu Shih on His Sixty-fifth Birthday, The Bulletin of the 

Institute of History and Philology, Academia Sinica, 28 (1957), 773- 

791. 

801

BIBLIOGRAPHY 

————, "Neo-Confucianism and Chinese Scientific Thought," Philosophy 

East and West, 6 (1957), 309-332. 

————, An Outline and an Annotated Bibliography of Chinese Philosophy, 

New Haven, Far Eastern Publications, Yale University, 1961. 

————, Religious Trends in Modern China, New York, Columbia University 

Press, 1953. 

————, Review of A. C. Graham, Two Chinese Philosophers: Ch'eng Yich'uan 

and Ch'eng Ming-tao, in Journal of the American Oriental 

Society, 79 (1959), 150-155. 

————, "The Story of Chinese Philosophy," in Charles A. Moore, ed., 

Philosophy—East and West, pp. 24-68. 

————, "Synthesis in Chinese Metaphysics," in Moore, ed., Essays in East- 

West Philosophy, pp. 163-177 

————, "Transformation in Buddhism in China," Philosophy East and 

West, 1 (1957-1958), 107-116. 

————, "Wang Yang-ming," Encyclopedia Britannica, 1960, vol. 23, pp. 

320-321. 

————, The Way of Lao Tzu, a Translation and Study of the Tao-te ching, 

paperback, New York, Bobbs-Merrill, 1963. 

————, See also Wang Yang-ming, de Bary, Hui-neng, and Takakusu. 

Chang, Carsun, The Development of Neo-Confucian Thought, New York, 

Bookman Associates, 1957. 

————, Wang Yang-ming, the Idealist Philosopher of the Sixteenth-Century 

China, New York, St. John's University Press, 1962. 

————, "Wang Yang-ming's Philosophy," Philosophy East and West, 5 

(1955), 3-18; reprinted in Asian Culture (Spring 1959), 55-75. 

Chang, Chen-chi, The Practice of Zen, New York, Harper, 1959. 

Chang Chung-Yüan, "The Concept of Tao in Chinese Culture," Review of 

Religion, 17 (1953), 115-132. 

Chang Tung-sun, "A Chinese Philosopher's Theory of Knowledge," Etc.; A 

Review of General Semantics, 9 (1952), 203-226; reprinted in S. I. 

Hayakawa, ed., Our Language and Our World: Selections from Etc.: 

A Review of General Semantics, New York, Harper, 1959, pp. 299-323. 

Changes, The Book of. See I ching. 

Chavannes, Édouard, trans. See Ssu-ma Ch'ien. 

Chen En-cheng, "Han Fei's Principle of Government by Law," Chinese 

Culture, 1, no. 4 (1958), 91-103. 

Ch'en, Kenneth, "Neo-Taoism and the Prajña School during the Wei and 

Chin Dynasties," Chinese Culture, 1, no. 2 (1957), 33-46. 

Ch'en, L. T., trans. See Liang Ch'i-ch'ao. 

Ch'eng I, "The Philosophy of Ch'eng I, A Selection of Texts from the Complete 

Works," Typescript, New York, Columbia University, 1950; Ann 

Arbor, University Microfilms, 1950. 

Chou Tun-i, Ein Beitrag zur Kenntnis der chinesischen Philosophie Tung-Su 

des Ceu-tsi, mit Cu-hi's Kommentare, trans. by Wilhelm Grube, 1890- 

1891, completed by Werner Eichhorn in Asia Major, 8 (1932), 23-104. 

Chow Yih-ching, La philosophie morale dans le Néo-Confucianisme (Tcheou 

Touen-Yi), Paris, Presses Universitaires de France, 1953. 

Chu Hsi, Djin-sï lu, trans. into German by Olaf Graf, 3 vols., Tokyo, Sophia 

University Press, 1953. 

802

BIBLIOGRAPHY 

————, The Philosophy of Human Nature, by Chu Hsi, trans. by J. Percy 

Bruce, London, Probsthain, 1922. 

————, La Siao Hio, ou morale de la jeunesse, trans. into French by Ch. de 

Harlez (Annales du Musée Guimet, 15), Paris, Musée Guimet, 1889. 

Chuang Tzu, Chuang Tzu, A New Selected Translation with an Exposition 

of the Philosophy of Kuo Hsiang, trans. by Yu-lan Fung, Shanghai, 

Commercial Press, 1933. 

————, Chuang Tzu, Mystic, Moralist, and Social Reformer, trans. by 

Herbert A. Giles, reprinted, London, Alien and Unwin, 1961. 

Ch'un-ch'iu, The Ch'un Ts'ew, with the Tso Chuen, trans. by James Legge, 

The Chinese Classics, vol. 5, London, Oxford University Press, 1895. 

Chung-yung, "Central Harmony," trans. by Ku Hung Ming (originally published 

as The Conduct of Life, London, John Murray, 1906), in Lin 

Yutang, ed., The Wisdom of Confucius, pp. 104-134; also entitled "The 

Golden Mean of Tsesze," in Lin Yutang, ed., The Wisdom of China and 

India, pp. 845-864. 

————, "The Doctrine of the Mean," trans. by James Legge, in his The 

Chinese Classics, vol. 1, Oxford, Clarendon Press, 1893, pp. 382-434; 

also in James Legge, trans., The Four Books. 

———, "The Mean-in-Action," trans. by E. R. Hughes, in his The Great 

Learning and the Mean-in-Action, New York, Dutton, 1943, pp. 105- 

144. 

Confucius, The Analects of Confucius, trans. by Arthur Waley, London, 

Alien and Unwin, 1938; paperback, Vintage. 

————, Confucian Analects, trans. by James Legge, in his The Chinese 

Classics, vol. 1, Oxford, Clarendon Press, 1893, pp. 137-354; also in 

James Legge, trans., The Four Books. 

————, The Wisdom of Confucius, ed. and trans. by Lin Yutang, New 

York, The Modern Library, 1938. 

Conze, Edward, Buddhist Wisdom Books, London, Alien and Unwin, 1958. 

Creel, H. G., Chinese Thought: From Confucius to Mao Tse-tung, Chicago, 

University of Chicago Press, 1953; paperback, New American. 

————, "The Meaning of Hsing-Ming," Studia Serica, Bernhard Karlgren 

Dedicata, Copenhagen, International Booksellers, 1959, pp. 199-211. 

Dai Shen-yu, "Mao Tse-tung and Confucianism," typescript, University of 

Pennsylvania, 1952; Ann Arbor, University Microfilms, 1953. 

David, T. K., "Philosophy in Contemporary China," Far Eastern Economic 

Review, 23 (1957), 35-37. 

Day, Clarence Burton, The Philosophers of China, Classical and Contemporary, 

New York, Philosophical Library, 1962; paperback, Citadel. 

de Bary, Wm. Theodore, "A Reappraisal of Neo-Confucianism," in Arthur 

F. Wright, ed., Studies in Chinese Thought, pp. 81-111. 

————, ed., Approaches to the Oriental Classics, New York, Columbia 


————, Wing-tsit Chan, and Burton Watson, eds., Sources of Chinese Tradition, 

New York, Columbia University Press, 1960. 

de Harlez, Ch., L'École philosophique modern de la Chine ou système de la 

nature (Sing-Li) (Mémoires de L'Académie Royale des Sciences des 

Lettres et des Beaux-Arts de Belgique, 49), 1890. 

————, trans. See Chu Hsi. 

803

BIBLIOGRAPHY 

Demiéville, P., "Enigmes taoïstes," in Kaizuka Shigeki, ed., Silver Jubilee 

Volume of Zinbun-Kagaku-Kenkyusyo, Kyoto, Kyoto University, 1954, 

pp. 54-60. 

————, "La pénétration du bouddhisme dans la tradition philosophique 

chinoise," Cahiers d'Histoire Mondiale, 1 (1956), 19-38; an elaboration 

of the summary, "Résumé des cours et travaux de 1'année scolaire 1946- 

47—langue et littérature chinoise," Annuaire du Collège de France, 47 

(1947), 151-157. 

————, "Le miroir spirituel," Sinologica, 1 (1948), 112-137. 

Doctrine of the Mean. See Chung-yung. 

Dubs, H. H., "The Archaic Royal Jou Religion," T'oung Pao, 46 (1959), 

218-259. 

————, "Comparison of Greek and Chinese Philosophy," Chinese Social 

and Political Science Review, 17 (1933), 307-327. 

————, "The Date and Circumstances of the Philosopher Lao-dz," Journal 

of the American Oriental Society, 61 (1941), 215-221. Further discussions 

with Bodde, ibid., 62 (1942), 8-13, 300-304; 64 (1944), 24-27. 

————, "The Development of Altruism in Confucianism," in W. R. Inge 

et al., eds., Radhakrishnan, Comparative Studies in Philosophy, London, 

Alien and Unwin, 1951, pp. 267-275; an expansion of "The Development 

of Altruism in Confucianism," in E. W. Beth, H. J. Pos, and J. H. 

A. Hollak, eds., Proceedings of the Tenth International Congress of 

Philosophy, Amsterdam, North-Holland Publishing Co., 1949, pp. 235- 

237; also in Philosophy East and West, 1 (1951), 48-55. 

————, trans., See Hsün Tzu. 

Dumoulin, Von Heinrich, The Development of Chinese Zen after the Sixth 

Patriarch in the Light of Mumonkan, trans. from the German by Ruth 

Fuller Sasaki, New York, The First Zen Institute of America, 1953. 

Duyvendak, J. J. L., trans. See Hsün Tzu, Lao Tzu, and Shang Yang. 

Eichhorn, Werner, "Die Westinschrift des Chang Tsai, em Beitrag zur Geistesgeschichte 

der nördlichen Sung," Abhandlungen für die Kunde des 

Morgenlandes, 22 (1937), 1-85. 

Erkes, E., "Ssu erh pu-wang," [on death], Asia Major, n.s. 3 (1952), 156- 

159; Note by H. H. Dubs, 159-161; Erkes' reply, 4 (1954), 149-150. 

All in English. 

Filial Piety, Book of. See Hsiao ching. 

Forke, Alfred, Geschichte der neueren chinesischen Philosophie, Hamburg, 

Friederichsen, de Gruyter and Co., 1938. 

————, "Wang-Chung and Plato on Death and Immortality," Journal of 

the North China Branch of the Royal Asiatic Society, 31 (1896-1897), 

40-60. 

————, trans. See Mo Ti and Wang Ch'ung. 

Fung Yu-lan, A History of Chinese Philosophy, trans. by Derk Bodde, 2 

vols., Princeton, Princeton University Press, 1952-1953. 

————, "I Discovered Marxism-Leninism," People's China, 1, no. 6 (1950), 

10-11, 21. 

————, "Philosophy in New China according to Fung Yu-lan," East and 

West, July, 1952, 105-107. 

————, "Problems in the Study of Confucius," People's China, 1957, no. 1 

(January), 21-22, 27-31. 

804

BIBLIOGRAPHY 

————, A Short History of Chinese Philosophy, New York, Macmillan, 

1948; paperback, Macmillan. 

————, The Spirit of Chinese Philosophy, trans. by E. R. Hughes, London, 

Kegan Paul, 1947. 

————, trans. See Chuang Tzu. 

Gernet, Jacques, trans. See Shen-hui. 

Giles, Herbert A., trans. See Chuang Tzu. 

Graf, O., trans. See Chu Hsi. 

Graham, A. C., Two Chinese Philosophers; Ch'eng Ming-tao and Ch'eng Yich'uan, 

London, Lund Humphries, 1958. 

————, trans. See Lieh Tzu. 

Grube, Wilhelm, trans. See Chou Tun-i. 

The Great Learning, "The Great Learning," trans. by E. R. Hughes in his 

The Great Learning and The Mean-in-Action, New York, Dutton, 1943, 

pp. 145-166. 

————, "The Great Learning," trans. by James Legge, in his The Chinese 

Classics, vol. 1, pp. 355-381; also in James Legge, trans., The Four 

Books. 

Hamilton, Clarence H., trans. See Vasubandhu. 

Han Fei Tzu, The Complete Works of Han Fei Tzu, trans. by W. K. Liao, 

2 vols., London, Probsthain, 1939 and 1960. 

Henke, Frederick Goodrich, trans. See Wang Yang-ming. 

History, Book of. See Shu ching. 

Hou Wai-lu et al., A Short History of Chinese Philosophy, Peking, Foreign 

Language Press, 1959. 

Hsi-yün, The Zen Teaching of Huang Po on the Transmission of Mind, trans. 

by John Blofeld, London, Rider, 1958. 

Hsiao ching, The Hsiao Ching, trans. by Mary Lelia Makra, New York, St. 

John's University Press, 1961. 

————, "Hsiao King," trans. by James Legge, in The Sacred Books of the 

East, vol. 3, Oxford, Clarendon Press, 1879, 464-488. 

Hsiao, Kung-ch'üan, "K'ang Yu-wei and Confucianism," Monumenta 

Serica, 18 (1959), 96-212. 

Hsü, Immanuel C. Y., trans. See Liang Ch'i-ch'ao. 

Hsü, P. C. Ethical Realism in Neo-Confucian Thought, Peiping, privately 

published, 1933. 

Hsüan-tsang, trans., Vijñaptimatratasiddhi, le siddhi de Hiuan-Tsang, 2 vols., 

trans. into French by Louis de La Vallée Poussin, Paris, Geuthner, 1928- 

1929. 

Hsün Tzu, "Ein chinesischer Beamterspiegel aus dem 2 Jahrhundert v. Chr. 

Hsün-tzi, Abschnitt 13," trans. by H. Köster, Oriens Extremus, 3, no. 

1 (1956), 18-27. 

————, "Hsün-tzu on Terminology," trans. by Y. P. Mei, Philosophy East 

and West, 1, no. 2, (July, 1951), 51-66. 

————, "Hsün-tzu on the Rectification of Names," trans. by J. J. L. 

Duyvendak, T'oung Pao, 23 (1924), 221-254. 

————, The Works of Hsüntze, trans. by H. H. Dubs, London, Probsthain, 

1928. 

Hu Shih, "Ch'an (Zen) Buddhism in China: Its History and Method," Philosophy 

East and West, 3 (1953), 3-24. 

805

BIBLIOGRAPHY 

————, The Chinese Renaissance, Chicago, University of Chicago Press, 

1934. 

————, "Chinese Thought," Asia, 42 (1942), 582-584. 

————, "Chinese Thought," in Harley Farnsworth MacNair, ed., China, 

Berkeley, University of California Press, 1946, pp. 221-230. 

————, "A Criticism of Some Recent Methods Used in Dating Lao Tzu," 

Harvard Journal of Asiatic Studies, 2 (1937), 373-397. 

————, The Development of the Logical Method in Ancient China, 3rd ed., 

Shanghai, The Oriental Book Co., 1928. 

————, "The Natural Law in the Chinese Tradition," in Edward F. Barrett, 

ed., Natural Law Institute Proceedings, 5, Notre Dame, University of 

Notre Dame Press, 1953, pp. 119-153. 

————, "Religion and Philosophy in Chinese History," in Sophia H. Ch'en 

Zen, ed., Symposium on Chinese Culture, Shanghai, China Institute of 

Pacific Relations, 1931, pp. 31-58. 

Huai-nan Tzu, Tao, The Great Luminant, trans. by Evan Morgan, Shanghai, 

Kelly and Walsh, 1934. 

Huang-po, The Zen Teaching of Huang Po on the Transmission of Mind, 

trans. by John Blofeld, London, Rider, 1958, paperback, Evergreen. 

Huang, Siu-chi, Lu Hsiang-shan, A Twelfth Century Chinese Idealist Philosopher, 

New Haven, American Oriental Society, 1944. 

Hughes, E. R. Chinese Philosophy in Classical Times, London, Dent, rev., 

1954. 

————, trans. See Chung-yung, Fung Yu-lan, and Great Learning. 

Hui-hai, The Path to Sudden Attainment, trans. by John Blofeld, London, 

The Buddhist Society, 1948. 

Hui-neng, "The Altar Sutra of the Sixth Patriarch," trans., by Lu K'uan-yu, 

in his Ch'an and Zen Teaching, Third Series, London, Ryder and Co., 

1962, pp. 15-102. 

————, "Das Sutra des sechsten Patriarchen," trans. into German by 

Erwin Rousselle, Sinica, 5 (1930), 117-191; 6 (1931), 26-34; 11 

(1936), 131-137, 202-210. 

————, The Platform Scripture, The Basic Classic of Zen Buddhism, trans. 

by Wing-tsit Chan, New York, St. John's University Press, 1963. 

————, The Sutra of Wei Lang, trans. by Wong Mou-lam, London, Luzac, 

rev., 1953. 

Hummel, Arthur W., ed., Eminent Chinese of the Ch'ing Period, Washington, 

D.C., Library of Congress, 1944. 

I ching, The I Ching or Book of Changes, trans. by Gary F. Baynes from 

the German version of Richard Wilhelm, 2 vols., New York, Pantheon 

Books, 1950. 

————, The Yi King, trans. by James Legge, The Sacred Books of the East, 

vol. 16, Oxford, Clarendon Press, 1882. 

Iki, Hiroyuki, "Wang Yang-ming's Doctrine of Innate Knowledge of the 

Good," Philosophy East and West, 11 (1961), 27-77. 

K'ang Yu-wei, Ta T'ung Shu, The One-World Philosophy of K'ang Yu-wei, 

trans. by Laurence G. Thompson, London, Alien and Unwin, 1958. 

Kao Ming-k'ai, trans. See Tung Chung-shu. 

Karlgren, B., trans. See Shih ching. 

806

BIBLIOGRAPHY 

Keith, A. Berriedale, Buddhist Philosophy in India and Ceylon, Oxford, 

Clarendon Press, 1923. 

Kern, H. trans. See Lotus Scripture. 

Kiang Shao-yuen, "The Philosophy of Tang-Szu-Tung," The Open Court, 

36 (1922), 449-471. 

Köster, H., trans. See Hsün Tzu. 

Ku Hung-ming, trans. See Chung-yung. 

Kung-sun Lung. See Mei. 

Kuo-yü, "Koue yü (Discours des Royaumes)," p. 1, Journal Asiatique, 9 

(1893), 373-419, 3 (1894), 5-91; pt 2, Louvain, 1895, pp. 1-268. 

La Vallée Poussin, Louis, trans. See Hsüan-tsang. 

Lamotte, Étienne, trans. See Asanga. 

Lankavatara sutra, trans. by Daisetz Teitaro Suzuki, London, Routledge, 

1932. 

Lao Tzu, Tao Te Ching, The Book of the Way and Its Virtue, trans. by 

J. J. L. Duyvendak, London, John Murray, 1954, paperback, Taplinger. 

————, Tao Teh Ching, trans. by John C. H. Wu, New York, St. John's 


————, The Way and Its Power, trans. by Arthur Waley, London, Alien 

and Unwin, 1935; paperback, Evergreen. 

————, The Way of Lao Tzu. See Chan. 

————, The Way of Life; Lao Tzu, trans. by R. B. Blakney, paperback, a 

Mentor Book, New York, The New American Library of World Literature, 

1955. 

————, The Wisdom of Laotse. See Lin Yutang. 

Laufer, B., "Lun Yü IX, 1," Journal of the American Oriental Society, 54 

(1934), p. 83. 

Le Gall, Le P. Stanislas, Tchou Hi, sa doctrine, son influence, Shanghai, La 

Mission Catholique, 1923. 

Lee, Shao Chang, Popular Buddhism in China, Shanghai, Commercial Press, 

1939. 

Legge, James, trans. See Ch'un-ch'iu, Chung-yung, Confucius, Great Learning, 

Hsiao ching, Li chi, Mencius, and Shu ching. 

Leslie, D., "Contribution to a New Translation of the Lun Heng," T'oung 

Pao (1956), 100-149. 

Lévi, Sylvain, trans. See Vasubandhu. 

Li chi, The Li Ki, trans. by James Legge, The Sacred Books of the East, vols. 

27 and 28, Oxford, Clarendon Press, 1885. 

Li Shi-yi, "Wang Ch'ung," T'ien Hsia Monthly, 5 (1937), 162-184, 209- 

307. 

Liang Ch'i-ch'ao, History of Chinese Political Thought during the Early 

Tsin Period, trans. by L. T. Ch'en, London, Kegan Paul, 1930. 

————, Intellectual Trends in the Ch'ing Period, trans. by Immanuel C. Y. 

Hsü, Cambridge, Mass., Harvard University Press, 1959. 

Liao, W. K., trans. See Han Fei Tzu. 

Liebenthal, Walter, trans. See Seng-chao and T'ang Yung-t'ung. 

Lieh Tzu, The Book of Lieh Tzu, trans. by A. C. Graham, London, John 

Murray, 1960. 

Lin Mousheng, Men and Ideas, An Informal History of Chinese Political 

Thought, New York, John Day, 1942. 

807

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Lin Tung-chi, "The Taoist in Every Chinese," in T'ien Hsia Monthly, 11 

(1940-1941), 211-225; reprinted as "The Chinese Mind: Its Taoist 

Substratum," Journal of the History of Ideas, 8 (1947), 259-273. 

Lin Yutang, The Wisdom of China and India, New York, Random House, 

1942. 

————, The Wisdom of Laotse, New York, The Modern Library, 1948. 

————, trans. See Chung-yung and Confucius. 

Link, Arthur E., "Shyh Daw-an's Preface to Sangharaksa's Yogacarabhumisutra 

and the Problem of Buddho-Taoist Terminology in Early Chinese 

Buddhism," Journal of the American Oriental Society, 77 (1957), 1-14. 

Liu Shao-ch'i, How to be a Good Communist, 2d ed., rev., Peking, Foreign 

Language Press, 1952. 

Liu, Wu-chi, A Short History of Confucian Philosophy, Baltimore, Penguin 

Books, 1955. 

Lo, Jung-pang, ed., K'ang Yu-wei, 1858-1927, A Symposium, Seattle, University 

of Washington Press (in press). 

Lotus Scripture, The Lotus of the Wonderful Law, or The Lotus Gospel, 

trans. by W. E. Soothill, Oxford, Clarendon Press, 1930. 

————, The Saddharmapundarika or the Lotus of the True Law, trans. by 

H. Kern, The Sacred Books of the East, vol. 21, London, Oxford University 

Press, 1884. 

Lu K'uan-yu, trans. See Hui-neng. 

Lü Pu-wei, Frühling und Herbst des Lü Bu We, trans. into German by 

Richard Wilhelm, Jena, Eugen Diederichs Verlag, 1928. 

Makra, Mary Lelia, trans. See Hsiao ching. 

Mao Tse-tung, Selected Works, 4 vols., New York, International Publishing 

Co., 1954. 

Mean, The Doctrine of the. See Chung-yung. 

Mei, Y. P., "Hsün Tzu's Theory of Education, with an English translation 

of the Hsün Tzu, Chapter I, An Exhortation to Learning," Tsing Hua 

Journal of Chinese Studies, n.s. 2, no. 2 (1961), 361-377. 

————, "The Kung-sun Lung Tzu, with a Translation into English," 

Harvard Journal of Asiatic Studies, 16 (1953), 404-437. 

————, Motse, The Neglected Rival of Confucius, London, Probsthain, 

1934. 

————, "Some Observations on the Problem of Knowledge among the 

Ancient Chinese Logicians," Tsing Hua Journal of Chinese Studies, 

n.s. 1, no. 1 (1956), 114-121. 

————, trans. See Hsün Tzu and Mo Ti. 

Mencius, The Sayings of Mencius, trans. by James Ware, paperback, New 

York, New American Library, 1960. 

————, The Works of Mencius, trans. by James Legge, The Chinese Classics, 

vol. 2, Oxford, Clarendon Press, 1895 (previously published as 

The Life and Works of Mencius, London, Trübner, 1875). 

Mo Ti, The Ethical and Political Works of Motse, trans. by Y. P. Mei, 

London, Probsthain, 1929. 

————, Me Ti des Sozialethikers und seiner Schüler philosophische Werke, 

trans. into German by Alfred Forke, Berlin, Kommissionsverlag der 

Vereinigung Wissenschaftlicher Verlager, 1922. 

Moore, Charles A., ed., Essays in East-West Philosophy, Honolulu, University 

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808

BIBLIOGRAPHY 

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————, Philosophy East and West, Princeton, Princeton University Press, 

1944. 

Morgan, Evan, trans. See Huai-nan Tzu. 

Nagarjuna, Die mittlere Lehre des Nagarjuna nach des chinesischen version 

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entwieklung, vol. 3), trans. into German by Max Welleser, Heidelberg, 

Winter, 1904. 

Needham, Joseph, Science and Civilisation in China, vol. 2: History of 

Scientific Thought, Cambridge, Cambridge University Press, 1956. 

Odes, Book of. See Shih ching. 

Ogata, Sohaku, Zen for the West, London, Rider, 1959. 

Oka, Takashi, "The Philosophy of T'an Ssu-t'ung," Papers on China, Harvard 

University Committee on Regional Studies, 9 (1955), 1-47. 

Pang Ching-jen, L'idée de Dieu chez Malebranche et I'idée de Li chez Tchou 

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Petzold, Bruno, The Chinese Tendai Teaching, n.p,, n.d. 

Rideout, J. K., "The Context of the Yuan Tao and Yüan Hsing," Bulletin of 

the School of Oriental and African Studies, 12 (1947), 403-408. 

Rites, Book of. See Li chi. 

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Saddharmapundarika, see Lotus Scripture. 

Sargent, Galen Eugène, "Les débats entre Meng-tseu et Siun-tseu sur la 

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Sasaki, Ruth Fuller, trans. See Dumoulin. 

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809

BIBLIOGRAPHY 

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810

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811


A GLOSSARY OF CHINESE CHARACTERS 

The names and titles of the same man are given in the same entry. Wellknown 

place names and names of dynasties are omitted. 

813

CHINESE GLOSSARY 

814

GLOSSARY 

815


816

GLOSSARY 

817


818

GLOSSARY 

819


820

GLOSSARY 

821


822

GLOSSARY 

823


824

GLOSSARY 

825


826

GLOSSARY 

827


828

GLOSSARY 

829


830

GLOSSARY 

831


A 

Abhidharma School, 364n 

accidents and necessity, 302-3 

activation, 11 

activity and tranquillity: in Yin Yang 

School, 248; in Buddhism, 344, 419; 

in Neo-Confucianism, 462, 567, 607-8, 

630; see also tranquillity 

actuality, 712, 755-57, 760 

Ai, Duke, 104, 258 

Ai Ssu-ch'i, 781 

Ajivikas, 379 

alaya (storehouse consciousness), see 

storehouse consciousness 

An Shih-kao, 425 

Analects: emphasis on, ix; discussed, 

14-18; described, 18n; selections from, 

18-48, difficult passage in, 34 

ancestors: in ancient times, 5-8; Confucius 

on, see p. 18; see also spiritual 

beings 

Ancient Script School, 314, 723 

argumentation, 186, 189 

arhat, 380, 383 

Aristotle, 115, 365, 640-44, 757 

art, 210; see also p. 18 

Aryadeva, 357 

Asanga, 370, 518 

atom, 233, 375-76 

Avatamsaka sutra, 406 

avidya, 740 

Awakening of Faith, 400 

B 

bamboo, investigation of, 689 

Bamboo Grove, 315 

barbarians, 36, 41, 101, 430-31, 727 

being and non-being: in Neo-Confucianism, 

14, 578, 646-48, 697, see also 

p. 496 and non-being; in Taoism, 86, 

202, 306, see also p. 138; in Neo- 

Taoism, 336-37; in Buddhism, 350-57, 

360, 393-95 

benefit, see utilitarianism 

benevolence (Jen), see humanity 

Bergson, 743-44, 764 

Bhagavat, 389 

Bodde, 34, 786, 789 

Bodhidharma, 425-26 

Boodberg, 786, 790-91 

INDEX 

833 

Bruce, 786 

Buddha-mind, 427-28 

Buddha-nature, 402, 427 

Buddhas-for-themselves, 347 

Buddhism: and the Mean, 95; and Neo- 

Confucianism, 403-4, 406, 662, 677, 

see also p. 522; criticized by Confucianists, 

453-56, 695, 700, 714-15, 

see also pp. 496, 547, 574, 593; in 

contemporary Chinese philosophy, 

725, 738; and Taoism, see Taoism 

Buddhist schools, seven early, 336-43 

C 

calmness: in Taoism, 207-8; in Buddhism, 

428, 431-33, 435-36; in Neo- 

Confucianism, 525-27 

capacity, 574, 705, 719 

Carnap, 743 

causal union, 342 

causation, 414, 420 

cause and effect, 350, 354-55, 361-64, 

372 

ceremonies and music: Confucius on, 18; 

Hsün Tzu on, 128-34; Chou Tun-i on, 

466, 469, 473 

Chai Ch'u, 785 

Chan-ch'in, 313 

Ch'an, see Zen 

Chang, Carsun, 784-85 

Chang Ch'ien-fu, see Chang Shih 

Chang Ching-fu, see Chang Shih 

Chang Heng-ch'ü, see Chang Tsai 

Chang I, 71-72 

Chang Nan-hsien, see Chang Shih 

Chang Ping-lin, 234, 373 

Chang Po-hsing, 501 

Chang Shih, 26, 600n 

Chang Tai-nien, 777 

Chang T'ai-yen, see Chang Ping-lin 

Chang Tsai: discussed, 495-96; life of, 

496n; doctrines of, see topical index 

on p. 496 

on vacuity and Lao Tzu, 142; on 

evil, 467; on humanity, 498, 596; on 

vacuity, 501-4; on principle, 504, 508- 

14, 517; on investigation of principle, 

504, 508, 515; on spiritual forces, 505, 

514, 790; on sincerity, 507-8, 513; on 

Principle of Nature and human desires, 

509; on innate knowledge, 509;

on spirit, 513; on human nature, 600; 

on material force, 757 

and other Neo-Confucianists, 490, 

498-99, 504, 540, 545; compared with 

Chou Tun-i, 495; and Chu Hsi, 499, 

504, 511, 520; influence on Wang 

Fu-chih, 504, 509, 692; and materialism, 

777 

Chang Tung-sun: and Kant, 743, 744- 

48; theory of knowledge, 743-50; discussed, 

743-45; on concepts, 748-50; 

influence of Western philosophy on, 

744; life of, 744n 

Chang Tzu-hou, see Chang Tsai 

Ch'ang-an, 338 

Ch'ang-chü, 48 

change, 238-40, 262, 265; see also immutability, 

transformation 

Changes, Book of: discussed, 202-3; described, 

262n; Wang Pi's commentary 

on, 320-21 

on change, 262, 265; cosmology 

of, 263; on Great Ultimate, 263; on 

ch'ien and k'un, 264-70; on seriousness 

and righteousness, 264-65; on 

nature and destiny, 264-65, 269; on 

spirit, 266; on yin and yang, 266-69; 

on number, 269; on principle, 269; on 

production and reproduction, 763 

and Confucius, 18; compared with 

Lao Tzu, 151; compared with the 

Mean, 262; and Yin Yang School, 

266-69; compared with Tung Chungshu, 

271; and Buddhist schools, 392- 

93, 396; and Han Yü and Li Ao, 450; 

and Neo-Confucianists, 460, 496; and 

Hsiung Shih-li, 763-64 

Chao Ching-tzu, 12 

Chao lun, 344-56 

Chao Meng, 60 

Chao-wen, 185 

Ch'ao-chou, 451n 

Ch'ao-jih ching, 353 

characteristics (hsiang), 786 

Ch'en, 313 

Ch'en Chi, 621 

Ch'en Chun, 499, 616, 785, 789 

Ch'en Fu-liang, 610n 

Ch'en Hsiang, 69-70 

Ch'en Liang, 776 

Ch'en Mu-chou, 448n 

Ch'en Tuan, 483n 

Cheng, 12 

cheng-chü (to show), xi 

INDEX 

834 

Cheng Hsüan, 6, 21, 33, 108, 562, 712 

Cheng K'ang-ch'eng, see Cheng Hsüan 

Cheng-kuan lun, 367 

Cheng-meng, 469, 500-517, 550 

Ch'eng Cheng-shu, see Ch'eng I 

Ch'eng-Chu, 546, 591, 612 

Ch'eng-chü ching, 347, 356 

Ch'eng Hao: discussed, 518-22; life of, 


on p. 522 

"On Understanding the Nature of 

Jen (Humanity)," 523-25; "Reply to 

Master Chang Heng-ch'ü's Letter on 

Calming Human Nature," 525-26 

on the Analects, 29; on response to 

things, 201; on seeds, 381; on Classics, 

520; on internal and external, 521-22, 

525-26, 538; on principle, 523, 526- 

27, 529, 532-34, 536, 539-41; on 

Chang Tsai, 524, 530, 540; on calmness, 

525-27; on Mencius, 528-29; on 

mind, 536; on nature and material 

force, 700, 704 

and Chang Tsai, 496, 518, 530; 

and Shao Yung, 518; and Chu Hsi, 

518, 520; and Chou Tun-i, 518-20, 

526, 531, 535, 562; compared with 

Ch'eng I, 518-21; and Lu Hsiang-shan, 

584-85; and Wang Yang-ming, 675-88 

Ch'eng I: discussed, 544-46; life of, 


on p. 547 

"A Treatise on What Yen Tzu 

Loved to Learn," 547-50; "Letter in 

Reply to Yang Shih's Letter on the 

Western Inscription," 550-51 

on the Analects, 27, 36; on ko, 89, 

708; on the Mean, 97; on seeds, 381, 

554, 560; on the sage, 549, 564; on 

concentration, 552, 555; on Principle 

of Nature, 553, 555, 557; on knowledge 

and action, 558; on internal and 

external, 560, 564; on tranquillity, 

562-63; on immortals, 564; on equilibrium, 

565-66; on material force, 

757-58 

and the Mean, 110; and Chou Tun-i, 

460-62, 556; and Shao Yung, 490; 

and Chang Tsai, 496, 504, 545; compared 

with Ch'eng Hao, 518-21, 544- 

46; and Buddhism, 544; and Wang 

Yang-ming, 558, 672; criticism of 

Han Yü, 559; criticism of Hsün Tzu, 

567; criticism of Yang Hsiung, 567; 

and Lu Hsiang-shan, 584; and Fung

Yu-lan, 751, 755; and idealism, 777; 

and Chu Hsi, see Chu Hsi 

Ch'eng I-ch'uan, see Ch'eng I 

Ch'eng-kuan, 570n, 674n 

Ch'eng Ming-tao, see Ch'eng Hao 

Ch'eng Po-chun, see Ch'eng Hao 

Ch'eng-wei-shih lun, 370, 374-95 

Ch'eng-wei-shih lun shu-chi, 371 

Chi (king), 103 

Chi (minister), 295 

Chi (viscount), 8-9, 649 

chi (incipient activating force), 784 

Chi-cha, 313 

Chi-jang ko, 619 

Chi K'ang Tzu, 40 

Chi-lu, see Tzu-lu 

Chi-tsang, 340, 344; see also Three- 

Treatise School 

Ch'i (district), 312 

Ch'i (mountain), 224 

Ch'i (person), 54 

Ch'i (state), 49, 111, 133, 246 

ch'i (concrete thing), 784, see also concrete 

thing 

ch'i (material force), see material force 

Ch'i Tiao-k'ai, 294 

Ch'i-yüan, 610 

chia-jen (family) hexagram, 477-78 

Chiang Shu-ch'üan, 618 

Chiang Yung, 569 

Chiao Hsün, 35 

Chieh: punished, 62, 220, 226; wicked 

ruler, 73, 116, 119, 132-33, 287, 534; 

same as others at death, 311 

Chieh-ni, 48 

ch'ien (Heaven) hexagram: in Yin Yang 

School, 248-49; in the Changes, 264- 

65, 267-70; in Neo-Confucianism, 

463, 465, 477, 489-91, 500, 505, 532, 

570, 594, 711 

Ch'ien Hsü-shan, see Ch'ien Te-hung 

Ch'ien Mu, 109, 525 

Ch'ien Te-hung, 686-89 

Chih, 132-33 

chih (marks), 238; see also marks 

Chih-i, 397-98 

Chih-shih yü wen-hua, 746-50 

Chih Tao-lin, 340 

Chih-te, 441 

Chih-yen, 411n 

Child's heart, 76, 579, 599 

Chin, Marquis of, 11 

Chin-shih-tzu chang, 408-14 

chin-ssu (reflections on things at hand), 

784-85 

INDEX 

835 

Chin-ssu lu, 482n, 524, 784 

Chin Yüeh-lin, 744 

Ch'in, 133 

Ching, Duke, 39, 66 

ching (seriousness), xi, 785; see also 

seriousness 

Ching-chou, 314 

Ching Ch'un, 71 

Ching-ming Scripture, 368 

Ching-shuo, 571 

Ch'ing dynasty, Confucianism in, 509, 

592, 711 

Ch'iu, 57 

Chou, Duke: instructions of, 6-7; 

praised, 15, 103, 284, 442, 501; a sage, 

66, 290; author of the Changes, 262n; 

Buddhist view of, 363 

Chou, King: wicked king, 54, 73, 132, 

287; punished, 62, 220, 226; born evil, 

294; same as others at death, 311 

Chou dynasty, 6-7, 67 

Chou-i lüeh-li, 318-19 

Chou-i nei-chuan, 698-99 

Chou-i wai-chuan, 694-97 

Chou Lien-hsi, see Chou Tun-i 

Chou Mao-shu, see Chou Tun-i 

Chou Ming-tso, 645 

Chou Tun-i: discussed, 460-62; life of, 


on p. 462 

"Explanation of the Diagram of 

the Great Ultimate," 463-65; T'ungshu, 

465-80; not removing weeds, 623, 

679; on non-ultimate, 460, 463 

on one and many, 460, 474; on 

sincerity, 461, 465-67; on the sage, 

461, 466-68, 470; on Great Ultimate, 

463-65, 472, 577-78; on having no 

desires, 465, 473; on origination, 465- 

66; on ceremonies and music, 466, 

469, 473; on education, 469; on literature, 

476 

and Lao Tzu, 151; and the Changes, 

460; influence on the Ch'eng brothers, 

460-62; and Neo-Confucianism, 460- 

67; and Chu Hsi, 461, 464-65, 473, 

602; and Neo-Confucianists, 495, 498, 

526, 531, 535, 556, 562; being placed 

ahead of Ch'engs, 589n; and materialism, 

777 

Chou Tzu ch'üan-shu, 462n 

Christianity, 42, 212, 725, 737 

Chu, 453 

Chu Ch'ien, see Fa-shen 

Chu Chiu-chiang, see Chu Tz'u-ch'i

Chu Hsi: contribution of philosophy, 

588-89; life of, 588-89n; doctrine summarized, 

588-90; discussed, 588-92; 

historical development of his philosophy, 

591-92; doctrines of, see topical 

index on p. 593 

"A Treatise on Jen," 593-97; "A 

Treatise on Ch'eng Ming-tao's Discourse 

on the Nature," 597-600; "First 

Letter to the Gentlemen of Hunan 

on Equilibrium and Harmony,'' 600- 

602; "A Treatise on the Examination 

of the Mind," 602-4 

on Mandate of Heaven, 6; on love 

with distinction, 73; explanation of 

ko (investigation of things), 84, 89, 

708; on vacuity, 142, 650; on orthodox 

transmission, 520; on production 

and reproduction, 593, 630; on Principle 

of Nature, 594, 598, 603, 605-8, 

613, 618, 652; on Four Virtues, 594- 

95, 598; on substance and function, 

596-97, 612, 629, 631; on physical 

form, 597, 634-36, 639, 787; on good 

and evil, 597-600; on Mandate of 

Heaven, 599; on internal and external, 

600, 607-8, 633, 650; on concentration, 

606-8; on sitting in meditation, 

608; on words and deeds, 609; on one 

and many, 615; on moral mind, 616, 

628; on the soul, 618, 637, 645; on 

the mind of Heaven and Earth, 630, 

642-43; on differences between Confucianism 

and Buddhism, 647-48, 

651; explanation of jen, 789 

commentary on the Analects, 19, 

23, 26, 28-29, 34, 36, 38; arrangement 

of Great Learning, 84-85; commentary 

on it, 85-94; commentary on 

the Mean, 97-98, 100, 107, 110, 113- 

14 influenced by the Mean, 110; criticizing 

Chuang Tzu, 178; and Hua-yen 

School, 408; and Lu Hsiang-shan, 464, 

572-73, 577-78, 582-83, 585-86, 591; 

and Chang Tsai, 499, 504, 511, 589; 

and Ch'eng I, 545, 556, 562, 589-91, 

595-96, 601-2, 605-8, 611-19, 624, 

628-29, 634-35, 643; and Shao Yung, 

589, 613, 617-19, 627, 629, 631; and 

Chou Tun-i, 589-90, 602, 623-24, 629, 

638-39; and Ch'eng Hao, 589-91, 

596-602, 605-6, 630, 632-34; and 

Ch'ing Confucianists, 592; influence 

in Japan and Korea, 592; and Fung 

INDEX 

836 

Yu-lan, 592, 751; compared with 

Western philosophy, 637-38, 640-41; 

and Wang Yang-ming, 654-55, 663, 

671, 681, 683, 689, 703; criticized by 

Tai Chen, 709-10; and idealism, 777; 

criticizing Legalism, 788 

Chu Hui-an, see Chu Hsi 

Chu Pen-ssu, see Chu Te-chih 

Chu Te-chih, 685n 

Chu Tzu ch'üan-shu, 592, 605-53 

Chu Tzu nien-p'u, 784-85 

Chu Tzu wen-chi, 592, 597-99 

Chu Tzu yü-lei, 592 

Chu Tz'u-ch'i, 723n, 724 

Chu Yüan-hui, see Chu Hsi 

Ch'u Master, 77 

Ch'u-chou, 684 

Chuan-sun, see Tzu-chang 

Ch'uan-hsi lu, 658, 667-91 

Ch'uan-shan i-shu, 694-702 

Ch'üan Tsu-wang, 520, 585 

Chuang Tzu: discussed, 177-79, life of, 

179 "The Equality of Things," 179-91; 

"The Great Teacher," 191-202 

on music of Heaven, 180; on the 

True Lord, 180; on Nature and man, 

180, 190-93, 205-7; on great knowledge, 

180, 191; on relativity, 182, 185- 

86, 189; on following two courses, 

184; on the One, 184, 186, 193, 195- 

96, 200; on the sage, 185-86, 189, 194; 

on being and non-being, 186, 202; on 

transformation, 186, 204-5, 209; on 

argumentation, 186-89; on the pure 

man, 188, 191-93, 207; on life and 

death, 189, 192, 196-98, 209; dreaming 

of butterfly, 190; on evolution, 

190, 204; on fate, 193, 202, 209; on 

art, 202; on principle, 202, 206; on 

Tao, 202-5; on flux, 203-4, 348; on 

calmness, 207-8; on sageliness within, 

208-9; cosmology of, 307; on having 

no mind of one's own, 341 

compared with Lao Tzu, 149, 156; 

criticized, 178; and Mencius, 178; and 

Kuo Hsiang, 178, 327; and Buddhism, 

183, 197, 351-52, 445; and Nagarjuna, 

183, 361; and Han Yü and Li Ao, 458 

Chuang Tzu: x, 177, 179-210, 315, 433, 

653 

Ch'un-ch'iu, see Spring and Autumn 

Annals 

Ch'un-ch'iu fan-lu, 273-87

chung-hsin (loyalty and faithfulness), x; 

see also loyalty and faithfulness 

Chung-kuan lun shu, 338-42 

Chung-kung, 39 

Chung-kuo che-hsüeh shih wen-t'i t'aolun 

chuan-chi, 776-81 

Chung lun, 345, 353-54, 356 

Chung-ni, see Confucius 

Chung Shen-fu, 5 

chung-shu (conscientiousness and altruism), 

785; see also golden rule 

Chung Yu, see Tzu-lu 

Chung-yung chu, 727, 735 

ch'ü (to take), 783 

Chün, 453 

circumstances, 26, 720-21, 328 

classes, social, see p. 51 

Classics, 709, 723; see also Five Classics, 

Six Classics 

Communist China, philosophy in, 733- 

81 

competition, see p. 138 

concentration, 144, see also meditation, 

sitting in meditation 

concentration and insight, 397-99, 404-5 

concentration and wisdom, see dhyana 

concentration on one thing, 63, 606-8 

concepts: in Chang Tung-sun, 748-50; 

in Fung Yu-lan, 752-54 

concrete things: in the Changes, 267; 

Shao Yung on, 491; Ch'eng Hao on, 

527, 537; Lu Hsiang-shan on, 587; 

Wang Fu-chih on, 693-97 

Confucianism: compared with Taoism, 

22, 33, 42, see also Lao Tzu, Chuang 

Tzu; Han Fei's criticisms of, 22-23; 

compared with Moism, 211-12, 216; 

Buddhist criticism of, 366; compared 

with Buddhism, 647-48, 651; see also 

under Han, Sung, Ming, and Ch'ing 

dynasties 

Confucius: discussed, 14-18; life of, 17; 

doctrines of, see topical index on p. 

18; visit to Lao Tzu, 18, 138; and 

water, 36; standing by the stream, 36, 

346, 348; ridiculed, 48; as sage, 258, 

290, 318, 486; as Supreme Sage, 292; 

born good, 295; as teacher, 315; his 

joy, 531; as "complete concord," 711; 

as "uncrowned king," 723, 728; as 

prophet, 726; as reformer, 727-29; as 

religious founder, 728-29 

new ideas of, 15-16; on golden rule, 

INDEX 

837 

16-17, 42; on loyalty and faithfulness, 

20, 29, 32; on friendship, 20, 45; on 

obeying father's will, 21; on ancestors, 

25; on hate, 25, 42; on expediency, 

26; on barbarians, 36, 41; on war, 

41-42; on taking no action, 43 

and humanism, 3; and Chinese 

philosophy, 14-15; and Duke Chou, 

16; and Classics, 17-18, 726-29; and 

Great Learning, 87; and Hsün Tzu, 

117; compared with Lao Tzu, 167, 

169, 173; Chuang Tzu on, 198-99, 

205; and the Changes, 262n; and 

Tung Chung-shu, 278; Buddhist view 

of, 363; Fung Yu-lan on, 754 

consciousness as a stream, 382 

consciousness contained in spirit, 341 

Consciousness-Only School: philosophy 

summarized, 370-73; discussed, 370- 

74; decline of, 373; influence of, 373- 

74 

on eight consciousnesses, 371, 374ff; 

on transformation, 371, 374, 379ff; 

on seeds, 371, 380, 392-94; on storehouse 

consciousness, 371-72, 380ff; on 

classification of dharmas, 372; on four 

functional portions, 372; on dharmacharacter, 

374ff; theories of self, 374- 

77; theories of dharmas, 377-79; on 

mental qualities, 384ff; Four Wisdoms, 

387-88; nine objections to consciousness-only, 

387-88; on being and 

non-being, 393-95 

and Three-Treatise School, 359, 

370; and Hua-yen School, 406-10; and 

Hsiung Shih-li, 764, 766 

contentment, see p. 326 

correspondence of man and Nature, 280- 

82; see also man and Nature 

cosmology: in Chuang Tzu, 307; in the 

Changes, 263; in Huai-nan Tzu, 305-8; 

in Chou Tun-i, see p. 462; in Shao 

Yung, see p. 484; in Chang Tsai, see 

p. 496; in Chu Hsi, see p. 593 

creation, see production and reproduction 

Creative Evolution, 744 

Creator, 181, 196-97, 200, 331, 362, 714 

Creel, 787 

Critique of Pure Reason, 747 

cycles: in Yin Yang School, 245-47; in 

the Changes, 263, 265; Chu Hsi on, 

641-42; of Tao, 760; see also history

INDEX 

D 

Daikanwa jiten, 787 

daily renewal: in the Changes, 266; 

absence of, in Buddhism, 408; Wang 

Fu-chih on, 693, 698-99; Tan Ssut'ung 

on, 741-42; Fung Yu-lan on, 

752, 760 

deeds and words, see words and actions 

Demiéville, 181, 381 

Descartes, 743 

desires: Lao Tzu on, see p. 138; Mencius 

on, 473; Chou Tun-i on, 465, 473; 

Ch'eng I on, 553; Tai Chen on, 713- 

15, 719-20; see also Principle of 

Nature 

despots: 50, 486-87, 491, 605, 662, see 

also Five Despots 

destiny: theories of, 78; Confucius on, 

see p. 18; Mencius on, 78-79, 82-83; 

the Mean on, 101-2; the Changes on, 

264, 266; Wang Ch'ung on, 303-4; 

Neo-Taoism on, 316; Chou Tun-i on, 

see p. 462; Shao Yung on, see p. 484; 

Chang Tsai on, see p. 496; Ch'eng 

Hao on, see p. 522; Ch'eng I on, see 

p. 547; Chu Hsi on, see p. 593; Wang 

Yang-ming on, 673; Fung Yu-lan on, 

760 

destiny of man, 363 

determinism, 332, see also fatalism 

Dewey, 107, 743-44 

dharma, in early Buddhism, 338-42; in 

Seng-chao, 344; in Three-Treatise 

School, 357ff; in Consciousness-Only 

School, 372ff; in T'ein-t'ai School, 

398ff; in Zen, 426ff; translation of, 

786 

Dharma-body, see Law-body 

dharma-character, in Consciousness- 

Only School, 374ff; in Hua-yen 

School, 416 

Dharma-character School, see Consciousness-Only 

School 

dharma-nature, 402-4 

Dharmadhatu, see Realm of Dharmas 

Dharmapala, 370-71 

dhyana and prajña, 336 

dialectic method, 361, 365-68, see also 

Four Points of Argumentation 

Dialogues, 744 

Diamond Scripture, 426, 432 

disciples, Buddha's ordinary, 347, see 

also Buddhas-for-themselves 

divination, 488, 627 

dream, 189, 200, 341, 391, 399 

dualism, 544, 635 

Dubs, 156n, 784, 789 

dust, 422-23 

Duyvendak, 783, 786 

Dvadasamkaya sastra, 357 

E 

education, 278, 469, see also p. 18 

Eight Beginnings, 277 

eight consciousnesses, see Consciousness- 

Only School 

Eight Governmental Offices, 9 

Eight Trigams, 248, 263, 265-67, 491 

Eightfold Negation, 358-59 

electricity, jen as, 737-40 

empiricism, 117, see also Yen Yüan 

Empress Dowager, 723n 

emptiness (hsü), see vacuity 

Emptiness: in early Buddhist schools, 

338-42; Ultimate, 344; in Three- 

Treatise School, 357, 360, 367; in 

T'ien-t'ai School, 398; in Hua-yen 

School, 420; Chu Hsi's criticism of, 

647; Tai Chen's criticism of, 715-16 

Engels, 773, 780 

enlightenment, see Zen 

equality, see p. 51 and Chuang Tzu 

equilibrium: 98, see also pp. 522, 593 

Erh-Ch'eng ch'üan-shu, 496n, 518, 523- 

43, 547-71 

Erh-ti chang, 358-61 

Erkes, 156n 

ether, jen as, 729, 737 

ether (ch'i), see material force 

Eucken, 743 

evil: Yen Yüan on, 704-6; Tai Chen 

on, 713-14; see also good and evil 

evolution, 190, 204, see also history, 

daily renewal 

Evolution and Ethics, 743 

existence, see being and non-being 

expediency, see circumstances 

experience, learning from, 366 

Explanation of the Diagram of the Great 

Ultimate, 62, 577-78 

extension of knowledge: in Great Learning, 

86; Li Ao on, 458-59; Chu Hsi 

on, see p. 593; see also investigation 

of things 

838

F 

fa (law), 786 

Fa-chia, see Legalist School 

Fa-hsiang School, see Consciousness- 

Only School 

Fa-shen, 339 

Fa-tsang, 406, 408 

Fa-wen, 340 

Fa-yen, 289-90 

Fan Ch'ih, 23, 30, 31, 40, 643 

Fan Chung-yen, 496n 

Fan Hsü, see Fan Ch'ih 

Fan Hsüan Tzu, 13 

Fan Tsu-yü, 21 

Fan Tzu-ch'ih, see Fan Ch'ih 

Fang-kuang ching, 345, 353, 355 

Fang Pin-wang, 620 

fatalism: in ancient China, 78; Mo Tzu's 

attack on, 221-26; in Lieh Tzu, 312-13 

fate, see destiny 

feelings, see nature, human 

female, emphasis on, in Lao Tzu, see p. 

138 

feudalism, 332, 693 

filial piety: Confucius on, see p. 18; in 

the Mean, 103 

Filial Piety, Book of, 455 

First Cause, 345 

First Emperor, 250 

Five Activities, 9, 249 

Five Agents: in ancient philosophy, 9; 

in Yin Yang School, 244-45, 249; in 

Han Confucianism, 279-82, 306; in 

Sung Neo-Confucianism, 463-64, 466, 

472, 474, 503, 536, 547; in Ch'ing 

Neo-Confucianism, 699, 718 

Five Arrangements, 9, 249 

Five Classics, 477 

Five Constant Virtues, 301, 452, 537, 

560, 570, 597, 614, 646 

Five Despots, 80, see also despots 

Five Doctrines, 410-11 

Five Emperors, 260, 486 

five kinds of eyes, 342 

five offices, 229n 

Five Powers, 247 

Five Relations, 70, 105, 277 

five stages of transmigration, 382 

flux: in Chuang Tzu, 203-4; in Consciousness-Only 

School, 371; see also 

immutability of things 

following Nature, see taking no action 

force (ch'i), see material force 

INDEX 

839 

form (hsiang), see characteristics, 

dharmas 

form and names, 235-38 

Forty-Two-Chapter Scripture, 336n 

Four Beginnings: Mencius on, 55-56; 

Lu Hsiang-shan on, 579-80, 586; Chu 

Hsi on, 594-95, 598; see also Four 

Virtues and humanity, righteousness, 

propriety and wisdom 

Four Books, x 

Four Causes, 364-65 

Four Characters, 433 

Four Elements, 535, 646 

Four Forms, 263, 267, 489, 491 

four functioning portions, 372 

Four Kindnesses, 576 

four kinds of living beings, 361, 382 

Four Moral Qualities, 570 

Four Points of Argumentation, 344, 359, 

364, 379, 446 

four stages, 759 

Four Subsidiary Causes, 364-65 

Four Virtues, 707, see also Four Beginnings 

and humanity, righteousness, 

propriety, and wisdom 

Four Wisdoms, 387-88 

friendship, 20, 45 

fu (to return) hexagram, 477-78, 566 

Fu-hsi, 262n, 491 

"Fu-hsing shu," 456-59 

Fu Hsüan-feng, 446n 

Fu Yüeh, 195, 442 

functioning, universe as, 765-69, 771-72 

funerals, elaborate, 227-28 

Fung Yu-lan: life of, 751n; discussed, 

751-55; philosophy of, 751-61 

on Kung-sun Lung, 241; on actuality, 

712, 755-57; on principle and 

material force, 751, 754-60; on Tao, 

751, 758-59, 762; on unity of man 

and Nature, 751-54; on universals, 

751-54; on daily renewal, 752; on 

Great Ultimate, 752, 758; on concepts, 

752-54; on Great Whole, 752- 

59; on humanity, 752-62; on investigation 

of things, 760-62 

on Mencius, 82; on Western philosophy, 

382; on Buddhism, 401, 408, 

449; and Chu Hsi, 592, 639-40, 751; 

criticism of K'ang Yu-wei, 735; and 

Ch'eng Hao, 743; and Ch'eng I, 751; 

influenced by Western philosophy, 

751-53; and Kung-sun Lung, 752; 

criticism of Confucius, 754; criticism 

of Chinese philosophy, 776

INDEX 

G 

H 

God, 637, 640; see also Lord on High Han dynasty Confucianism, 22, 27, 122, 

golden rule, 16-17, 27, 42, 100, 162, 289, 316, 511, 709 

see also p. 18 

Han Fei Tzu: and Hsün Tzu, 115, 254; 

good and evil: Lao Tzu on, see p. 138; interpretation of Tao, 159, 260-61; 

Consciousness-Only School on, 384; discussed, 251-52; criticism of Con- 

Chou Tun-i on, see p. 462; Ch'eng fucianism and Moism, 252-53; on 

Hao on, see p. 522; Ch'eng I on, see human nature, 253-54; on following 

p. 547; Chu Hsi on, 597-98, 600 Nature, 254-55; on law and statecraft, 

Goose Lake Temple, 583 

255-56; on names and actuality, 255government: 

Confucius on, see p. 18; 57; on universal love, 257-58 

Mencius on, see p. 51; in Great Learn- Han Fei Tzu, 252-61, 787 

ing, 86, 91-92; in the Mean, 104-7; Han Wen Kung, see Han Yü 

Hsün Tzu on, 130-34; Lao Tzu on, Han Yü: discussed, 450-51; life of, 451n 

see p. 138; Mo Tzu on, 229-31; Han explanation of the Analects, 35, 38; 

Fei on, 252-60; Chou Tun-i on, see on nature and feelings, 451-54, 630; 

p. 462; Wang Fu-chih on, 693, 701-2; on humanity, righteousness, Tao, and 

K'ang Yu-wei on, 734 

virtue, 454-55; on rectification of the 

Graham, 461n, 785 

mind and sincerity of the will, 455; 

Great Learning: discussed, 84-85; de- on universal love; 499; explanation 

scribed, 85n; main ideas of, 85ff of jen, 789 

on cultivation of personal life, 86; and ancient Classics, 450; and Li 

on extension of knowledge, 86; on Ao, 450; criticism of Hsün Tzu and 

manifesting the clear character, 86, 87; Yang Hsiung, 450; and Mencius, 450, 

on highest good, 86, 88; on sincerity 452; attack on Taoism, 453-56; at- 

of the will, 86, 89-90; on daily retack on Buddhism, 453-56, 554; atnewal, 

87; on root and branches, 88; tack on Moism, 454-55; Ch'eng I's 

on investigation of things, 89; on criticism of, 559 

watchful over oneself when alone, hao-jen chi-ch'ih (strong moving 

89; on rectification of the mind, 90; power), 784 

on regulating the family, 90; on order Hao-sheng Pu-hai, 82 

of the state, 91-92; on internal and hardness and whiteness, 185, 240, 

external, 92; on bringing peace to the hate, 25, 42, 93 

world, 92-94; on humanity and right- Heaven (Lord), see p. 18 and Lord on 

eousness, 93-94; on righteousness and High 

profit, 94 

Heaven and hell, 362, 438 

compared with Mencius, 79; Chu Heaven and man, see unity of Heaven 

Hsi's arrangement of, 84; and Wang and man 

Yang-ming, 84, 656; Chu Hsi's com- Hegel, 183, 361 

mentary on, 85-94; compared with the hexagram, explanation of, 721 

Mean, 95-96; and Hsün Tzu, 96 Hinayana: criticized by the Three- 

"Great Norm," 8-11, 249, 548 

Treatise School, 365-66; and Con- 

Great Ultimate: in Neo-Confucianism, sciousness-Only School, 384; in Shen- 

14; in the Changes, 263, 271; in Chou hui, 441 

Tun-i, 472, 463-65; in Shao Yung, history: Mencius on, 72; Yin Yang 

see p. 484; in Ch'eng Hao, 535; in School on, 245-47; Han Fei on, 257; 

Lu Hsiang-shan, 585; in Chu Hsi, see Tung Chung-shu on, 272, 287-88; 

p. 593; in Fung Yu-lan, 752, 758 Wang Ch'ung on, 304; Kuo Hsiang 

"great unit,'' 233 

on, see p. 326; Shao Yung on, see p. 

Great Unity, Age of, 730-31 

484; Wang Fu-chih on, 693, 701-2; as 

Great Whole, 752, 759 

cycles, 724, 727 

Greek philosophy, 143, 544, 611 History, Book of, 8-10, 17n, 81, 249, 

Green, T. H., 743-44 

701 

growth, see production and reproduction ho-p'i (closing and opening), 765 

840

Ho Shu-ching, 618 

Ho Yen: and Wang pi, 316; discussed, 

317; on non-being, 324; on Tao, 324; 

on names, 324-26 

Hocking, 743 

horse and whiteness, 235-37, 240 

Hou-chi, 453 

Hsi K'ang, 316 

Hsi-ming, see Western Inscription 

Hsi-yün, 445n 

Hsia Chi, 311-12 

Hsia dynasty, 111 

Hsia-hou Hsüan, 325 

Hsia Yü, 254 

Hsiang, 53 

hsiang (character), 786, see also characteristics 

hsiang (form), 261 

Hsiang Hsiu, 317 

Hsiang-shan ch'üan-shu, 574-87 

Hsiao-i, 133 

Hsiao Sha-fu, 780 

Hsieh, Minister, 69 

Hsieh Liang-tso, 381, 520, 585, 596n, 

649 

Hsieh Shang-ts'ai, see Hsieh Liang-tso 

Hsin, 11 

hsin (mind), 274 

Hsin-chien, see Wang Yang-ming 

Hsin chih-yen, 753 

Hsin li-hsüeh, 751, 755-62 

Hsin shih-lun, 753 

Hsin wei-shih lun, 763, 765-69 

Hsin yüan-jen, 753 

Hsin yüan-tao, 753 

hsing (nature), see nature, human 

hsing-cheng (government), 787-88 

hsing-erh-hsia (after physical form), 

786, see also physical form 

hsing-erh-shang (before physical form), 

786-87, see also physical form 

Hsing-li Hsüeh, see School of Nature 

and Principle 

Hsing-li ta-ch'üan, 482n 

HSING-ming (form and name), 787-88 

hsing-ming (actuality and name), 787-88 

Hsing Ping, 20, 34, 36 

Hsing Ping, 20, 34, 36 

Hsiung Shih-li: life of, 753n; discussed, 

on one and many, 763, 765, 771; on 

substance and function, 765, 767, 769, 

771; on "closing" and "opening," 765- 

66; on original substance, 765-66, 769- 

70; on production and reproduction, 

766, 769; on principle and material 

INDEX 

841 

force, 766-68; on mind and humanity 

768-69 

and Consciousness-Only School, 

374, 763-64; and the Changes, 764; 

and Wang Yang-ming, 658, 763-64, 

758 

hsü (vacuity), 788, see also vacuity 

Hsü Ai, 667n 

Hsü Ch'un-ch'iu Tso-shih chuan po-i, 

698 

Hsü Hsing, 69 

Hsü Kan, 455 

Hsü Pei, 670-71 

Hsü Shen, 712 

hsü-shih (unreality and reality), 788 

Hsü Shu-chung, see Hsü Shen 

Hsü Tzu-jung, 649 

Hsü Yu, 200, 327 

Hsüan, King, 62, 76 

hsüan (profound, mysterious), 788 

hsüan-hsüeh (metaphysical school), 788 

hsüan-ming (noumenon), 788 

Hsüan-tsang, 370-71, 373, 406, 408, 454 

Hsüan-t'ung, 723n 

Hsüeh-chai chan-pi, 34 

Hsüeh Ching-hsien, see Hsüeh Hsüan 

Hsüeh Hsüan, 465 

Hsüeh K'an, 677n 

Hsüeh-pu fung-pien, 577 

Hsün Ch'ing, see Hsün Tzu 

Hsün K'uang, see Hsün Tzu 

Hsün Tzu: discussed, 115-16; life of, 

116 on Nature, 116-24; on religious 

sacrifice, 121; on sincerity, 121, 125- 

26; on controlling Nature, 122; on 

rectification of names, 124-28; on law 

and government, 124-25, 130-34; on 

mind, 125-26; on modeling after 

latter-day kings, 127; on Three Fallacies 

of Names, 127; on propriety 

and righteousness, 128-34; on evil 

nature of man, 128-35; on human 

effort, 128-35; on accumulation of 

effort, 134; on the sage, 134; his 

theory of human nature referred to, 

289, 294, 776 

and Confucius, 36, 117; and Mencius, 

51, 117; criticism of various 

philosophers, 123, 178; criticism of 

Mencius, 129-33; and Legalists, 254; 

criticized by Han Yu, 450; criticized 

by Ch'eng I, 567; and Chu Hsi, 600; 

and Wang Yang-ming, 686 

Hsün Tzu, 116-35

Hsün Yüeh, 276, 296, 454 

Hu An-kuo, 616n, 617n 

Hu An-ting, see Hu Yüan 

Hu Chi-sui, 616 

Hu Hung, 467, 616n, 631 

Hu Shin: on Mencius, 79; on Chuang 

Tzu, 204; on Logicians, 234; on 

Natural Law, 272, 519; on Huai-nan 

Tzu, 307; on Zen, 425, 430n; on 

scientific spirit, 611; and pragmatism, 

744; and Hsün Tzu, 783 

Hu Wu-feng, see Hu Hung 

Hu Yüan, 521 

Hua-yen ching, 406 

Hua-yen i-hai po-men, 408, 414-24 

Hua-yen School: discussed, 406-8 

on universal causation, 407; on Ten 

Mysterious Gates, 407, 411-14; on 

Six Characters, 407, 413; on Three 

Natures, 409; on Five Doctrines, 410; 

on one and many, 411-13, 423; on 

principle and facts, 412-15, 420, 422, 

424; on substance and function, 414- 

15; on causation, 414-15, 420; on 

activity and tranquillity, 419; on matter 

and Emptiness, 420 

and Consciousness-Only School, 

373, 406, 408-9; and T'ien-t'ai School, 

403, 406-7, 411; and Neo-Confucianism, 

408; and Zen, 433 

Huai-nan Tzu: and Wang Ch'ung, 305; 

discussed, 305; on Tao, 305-6; cosmology 

of, 305-8; macrocosm and microcosm 

in, 308 

Huai-nan Tzu, 305-8 

Huan T'ui, 32 

Huang-chi ching-shih shu, 481, 483-94 

Huang Chih, see Huang I-fang 

Huang-fu mi, 4n 

Huang Hsün, 615 

Huang I-fang, 684n 

Huang Kan, 461n 

Huang K'an, 34 

Huang-Lao, 314 

Huang Mien-chai, see Huang Kan 

Huang Mien-chih, 685n 

Huang-po, 445-46, 448-49 

Huang Po-chia, 461, 488 

Huang Shih-nan, 35 

Huang Tsung-hsi, 461n, 558, 562, 583, 

694 

Huang Tsung-hsien, 668 

Huang Wan, see Huang Tsung-hsien 

Huang Yüeh-chou, 493 

Hughes, 789 

Hui, King, 60-61 

INDEX 

842 

Hui-neng, 426-27, 430-40 

Hui Shih: and Chuang Tzu, 209; discussed, 

232-33; paradoxes of, 233-35; 

on similarities and differences, 233-35; 

on universal love, 234; on space and 

time, 234-35; on knowledge, 235; on 

names, 235 

Hui-yüan, 363, 425 

human heartedness (jen), see humanity 

human relations, see p. 51 and Five Relations 

humanism, 3-13, 14-18 

humanity, 18, 51, 84, 115, 138, 212, 

285, 454, 462, 498, 522, 547, 593, 

603, 659, 719, 734, 738, 788 

Hume, 382, 743-44 

hun (soul), 12 

Hung-jen, 425, 430, 432, 439 

Hung, William, xvi 

Huxley, 743 

I 

i (increase) hexagram, 477 

I, Master, 60 

I Chih, 70, 71 

I chuan, 570-71 

i-kan (one thread), see one thread 

I-shu, 551, 600, 783 

I-ya, 55 

I-yin, 470 

idealism, 370-95, 408, 737, 776-78 

immortality, 11-13 

immortals, 289-91, 564 

immutability of things, 344-50 

impartiality, 537, 552-53, 556, 635 

inaction, see taking no action 

Indian philosophy: significance of water 

in, 36; compared with Chuang Tzu, 

191; and Buddhism, 337, 343-44, 358, 

373; and meditation, 405, 425, 429 

Indra's net, 412 

infant, 144, 150, 154, 165, 602 

inferior man, see superior man and p. 18 

innate knowledge: Mencius on, see p. 

51; Shao Yung on, 509; Lu Hsiangshan 

on, 575; Wang Yang-ming on, 

see p. 659. 

"Inquiry on the Great Learning," 658-67 

"Inquiry on Human Nature," 451-54 

"Inquiry on the Way," 254-56 

Instructions for Practical Living, xv 

instruments (ch'i), see concrete things 

internal and external: Mencius on, 52- 

53; in Great Learning, 92; in the 

Mean, 108; Chou Tun-i on, 461; 

Ch'eng Hao on, 521-22, 525-26, 531;

Chu Hsi on, 606, 608, 633; Wang 

Yang-ming on, 680-82 

investigation of principle; see investigation 

of things 

investigation of things: in Great Learning, 

89; Han Yü and Li Ao on, 458- 

59; Chang Tsai on, 504, 508, 515; 

Ch'eng Hao on, 531, 539; Ch'eng I on, 

see p. 547; Lu Hsiang-shan on, see 

p. 574; Chu Hsi on, see p. 593; Wang 

Yang-ming on, see p. 659; Fung Yulan 

on, 760-62; see also extension of 

knowledge 

J 

James, William, 743 

Jan Ch'iu, see Jan Yu 

Jan Tzu, see Jan Yu 

Jan Yu, 37 

Jan Yung, see Chung-kung 

Japan, 373, 592, 658, 685 

jen (humanity), 788-89, see also humanity 

Jen-hsüeh, 733-42 

Jen-shih lun, 745-46 

Jesus, 738 

Juan Yuan, 34 

INDEX 

K 

K'ang, Duke, 228 

K'ang Yu-wei: discussed, 723-25; life 

of, 737n 

explanation of the Analects, 35; 

on Confucius, 723, 726-29; on Six 

Classics, 723, 728; on Western philosophy 

and science, 723, 736; on Three 

Ages, 724-27; on humanity, 725, 734- 

36; on Confucius* reforms, 727; on 

humanity and ether, 729; on suffering, 

729-36; on Great Unity, 732-34; on 

humane government, 734-39; on production 

and reproduction, 735 

Mencius' influence on, 66; and 

Modern Script School, 724; Tung 

Chung-shu's influence on, 724; and 

Buddhism, 725 

Kao Tzu: and Mencius, 51-52, 62, 63; 

compared with Tung Chung-shu, 274; 

on human nature, 294; criticized, 529, 

622, 649, 681, 718 

Kao Yu, 645 

Karlgren, 7 

ken (to stop) hexagram, 480 

843 

kingly way, see despots 

knowledge: Confucius on, see p. 18; Lao 

Tzu on, see p. 138; Chuang Tzu on, 

180, 191; Logicians on, 235; Chang 

Tsai on, see p. 496; Ch'eng I on, see 

p. 547; Yen Yuan on, 707-8; Chang 

Tung-sun's theory of, 745-50 

knowledge and action: in the Mean, 

105; Chu Hsi on, see p. 593; theories 

of, 708; Communist philosophy and, 

737ff, 780 

ko (change) hexagram, 741 

ko (to investigate), 458, 561, 708, see 

also investigation of things 

ko-wu (investigation of things), 84, see 

also investigation of things 

koan, see Zen 

Korea, 592 

Kou-chien, 215 

Kropotkin, 743 

Ku Lin, 679n 

Ku-sou, 53, 453 

Ku Tung-ch'iao, see Ku Lin 

Ku Wei-hsien, 668 

Ku Yen-wu, 592, 612, 709 

Ku Ying-hsiang, see Ku Wei-hsien 

Kuan, 453 

Kuan-nei, 339 

Kuan Tzu, 252 

Kuan Tzu, 252 

Kuan Yin, 137 

Kuan-yin, 448 

Kuang-hsü, 723n 

K'uang, 35 

K'uang-shan, 363 

Kuda Rentaro, 430n 

kuei-shen (spiritual beings, spiritual 

forces), 505, 514, 593, 789, see also 

spiritual beings 

k'uei (to part) hexagram, 477-78 

K'uei-chi, 371, 373 

Kumarajiva, 338, 343-44, 357, 397, 425 

Kun, 9, 453 

k'un (Earth) hexagram: in Yin Yang 

School, 248-49; in the Changes, 263, 

267-70; in Neo-Confucianism, 463, 

477, 489-91, 500, 505; 582, 594 

Kung, 41 

kung (impartiality), 785, see also impartiality 

Kung Chih-ch'i, 11 

Kung-hsi Ch'ih, see Kung-hsi Hua 

Kung-hsi Hua, 37 

Kung-ming I, 66 

Kung-sun Ch'ou, 62, 75

Kung-sun Lung: discussed, 232-33; on 

whiteness and horse, 235-37, 240; on 

form and names, 235-38; on marks, 

237-38; on change, 238-40; on hardness 

and horse, 240-43; and Fung 

Yu-lan, 241, 752-53; on names and 

actuality, 243 

Kung-sun Lung Tzu, 235-43 

Kung-sun Ni-tzu, 294 

Kung-sun Yang, see Shang Yang 

Kung-sun Yen, 71-72 

Kung-tu Tzu, 53-59 

k'ung (empty), 788; see also Emptiness 

K'ung An-kuo, 21 

K'ung Ch'iu, see Confucius 

K'ung Fu-tzu, see Confucius 

K'ung Tzu kai-chi k'ao, 727-29 

K'ung Ying-ta, 786 

Kuo, 11 

Kuo Hsiang: commentary on Chuang 

Tzu, 178, 196, 199; on Tao and Nature, 

317; on the sage, 317; discussed, 

317-18; doctrines of, see topical index 

on p. 326; on taking no action, 327, 

332; on one and many, 337; and Buddhism, 

340, 351; on having no mind, 

341; see also Neo-Taoism 

Kuo-yü, 11, 455 

L 

laksana, 786 

lankavatara sutra, 426, 432 

Lao-Chuang, 177 

Lao Lai Tzu, 138 

Lao Tzu: discussed, 136-38; doctrines 

of, see topical index on pp. 138-39 

on the profound and mysterious, 

139, 142, 144, 147, 164, 166, 170; on 

vacuity, 141-42, 147; on the infant, 

144, 150, 154, 165; on war, 154-55, 

162, 171; golden rule of, 162, 169; 

primitivism of, 175 

criticized by Hsün Tzu, 123; compared 

with Confucius, 136, 146, 148, 

150, 157, 167, 169, 173; compared 

with Chuang Tzu, 136, 149, 156, 178; 

compared with Buddhism, 140-41; 

compared with the Changes, 151; 

worshipped, 291, 314, 425; Kuo 

Hsiang on, 327; criticized by Neo- 

Confucianists, 578, 695, 714-15; see 

also Taoism 

Lao Tzu: x, 136-76, 315, 433, 791 

Laufer, 34 

INDEX 

844 

law, 130, 134, 255-56, see also Legalist 

School 

Law, Realm of, 720 

Law-body, 357, 401, 434-37 

learning, 552, 707-8, see also pp. 18, 573, 

593 

Legalist School, 251-52, 286, 788, see 

also Han Fei Tzu 

Legge, 7, 785-86 

Leibniz, 636 

Lenin, 754, 773, 780 

"Letter in Reply to Yang Shih's Letter 

on the Western Inscription,'' 550-51 

Lewis, C. L., 743-44 

Li, King, 53, 220, 226 

li (order), 260, 784, see also principle 

li (propriety), 7, see also propriety 

Li Ao: discussed, 450-51; life of, 451n 

on tranquillity, 456-58; on human 

nature, 456-59; on sincerity, 457-59; 

on ko (to investigate), 458; on trinity 

with Heaven and Earth, 458; on extension 

of knowledge, 458-59 

influenced by Mencius, 50, 450; and 

Han Yü, 450; and the Mean and 

Great Learning, 450, 459; criticism 

of Lao Tzu and Mo Tzu, 454; and 

Zen, 456-59; and Chuang Tzu, 458 

Li Chi, 187, 189 

Li chi, 95 

Li Chih-ts'ai, 483n 

Li Hsi-chih, see Li Ao 

li-hsüeh (school of principle), 751; see 

also Neo-Confucianism 

Li-hsüeh tsung-ch'uan, 482n 

Li Kuang-ti, 465 

Li Kung 704 

Li Po-mien, 584-85 

Li Ssu, 115 

Li, Tien-yi, xv 

Li Tung, 536, 588n, 602, 676 

Li Wen Kung, see Li Ao 

Li Wen Kung chi, 458 

Li Yen-p'ing, see Li T'ung 

Li-yün chu, 725-27 

Liang Sou-ming, 743, 765 

Liebenthal, 337 

Lieh Tzu: on desires, 309; on taking 

no action, 309; described, 309n; on 

skepticism in, 309, 311-12; discussed, 

309-10; on life and death, 311; on 

fatalism, 312-13; Chu Hsi on, 653 

life and death: Chuang Tzu on, 189, 

192, 190-98; in the Changes, 265; 

Shao Yung on, 490; Chang Tsai on,

512; Ch'eng Hao on, 531; Ch'eng I 

on, 555 

Light Conversation, 315, 336 

Lin-chi Hui-chao Ch'an-shih yü-lu, 430, 

444-49 

Lin Fang, 25 

Lin Tse-chih, 600n 

Lin Yutang, 789 

Ling, King, 215 

Ling-yu, 444n, 647 

Lingnan, 420 

Linton, Howard P., xv 

literature, 260, 476, see also pp. 18, 573 

Liu Hsiang, 295 

Liu Hsin, 5n, 780 

Liu Pao-nan, 19, 36, 38 

Liu Shao-ch'i, 781 

Liu Ti, 616n 

Liu Tsung-chou, 524, 526, 592, 602, 694 

Liu-tsu t'an-ching, 430-49 

Liu Tzu-cheng, see Liu Hsiang 

logic, 222, 753, see also Logicians, Eightfold 

Negation, Four Points of Argumentation 

Logicians: on names and actuality, 232; 

discussed, 232-33; influence on Neo- 

Taoism, 315; see also Hui Shih, Kungsun 

Lung 

Lord, The True, 714-15, see also Lord 

on High 

Lord on High, 3-6, 23, 104, 219, 541, 

635-36, 643, see also Heaven, Creator, 

and p. 18 

Lord Shang, see Shang Yang 

Lotus Scripture, 398, 411 

love, see universal love, humanity, and 

p. 18 

loyalty and faithfulness: in ancient 

philosophy, 59-61, 94, 128; in Han 

Confucianism, 277; in Neo-Confucianism, 

540, 548, 604, 652 

Lu, 17, 133 

Lu Ch'ang-keng, 201 

Lu Ch'eng, 675n 

Lu Chia, 296 

Lu Chiu-yüan, see Lu Hsiang-shan 

Lu Fu-chai, 582 

Lu Hsiang-shan: discussed, 572-74; life 

of, 572n; doctrines of, see topical 

index on pp. 573-74 

on innate knowledge, 575; on 

righteousness and profit, 575; on righteousness 

and humanity, 576; on 

honoring the moral nature, 582-83 

influenced by Mencius, 59; influ- 

INDEX 

845 

enced by the Mean, 110; and Zen, 

429; and Chu Hsi, 572-73, 577-78, 

582-83, 585, 591, see also p. 574; and 

Mencius, 579; and the Ch'eng 

brothers, 584; and Wang Yang-ming, 

584; and T'an Ssu-t'ung, 737; and 

Zen, 429; criticized by Fung Yu-lan, 

779 

Lu K'o-chi, 635 

Lu Te-ming, 19n 

Lu Tzu-ching, see Lu Hsiang-shan 

Lu-Wang, 724 

Lu Yüan-ching, see Lu Ch'eng 

Lun-heng, 293-304 

Lun-yü chi-chieh, 19 

Lun-yü chi-chu, 19 

Lun-yü chu, 35, 725-27 

Lun-yü hou-an, 35 

Lun-yü pi-chieh, 35 

Lun-yü pu-shu, 35 

Lung Tzu, 67 

Lü Po-kung, see Lu Tsu-ch'ien 

Lü-shih ch'un-ch'iu, 250 

Lu Ta-lin, 565, 620 

Lü Tsu-ch'ien, 583, 784 

Lü Tung-lai, see Lü Tsu-ch'ien 

Lü Yü-shu, see Lü Ta-lin 

M 

Ma Jung, 29 

Ma-ku, 448 

macrocosm, 271, 308 

Madhyamika, see Middle Doctrine 

School 

Madhyamika sastra, 357 

Mahayana, 365-66, 384 

man and Nature, 274-75, 280-82, 316, 

see also unity of Heaven and man 

manasvijñana, 371 

Mandate of Heaven: in ancient philosophy, 

3, 6-8, 22-23, 45, 62, 78, 93, 

225; discussed, 23; in Neo-Taoism, 

316; in Neo-Confucianism, 528, 599, 

699, see also p. 484 

manifestations, see one and many 

manovijñana, 371 

Mao Ch'iang, 187 

Mao Tse-tung, 765, 773, 780-81 

marks, 237-38 

Marx, 743, 765, 773, 780, 781 

Marxism, 744-45, 754, 774-75, 779-81 

matching concepts, 336, 338 

material force: in the Changes, 265; in 

Wang Ch'ung, 296-99; in Neo-Confu-

cianism, 414; in Sung Neo-Confucianism, 

see pp. 496, 522, 547, 593; 

in Ch'ing Neo-Confucianism, 692-95, 

697-701, 703, 707; in contemporary 

philosophy, 751-52, 757-60, 760 

matter, 339, 353, 420 

matter (ch'i), see material force 

Matter and Energy, 744 

Mean, 96-99, 714, see also pp. 18, 462, 

522 

Mean, Doctrine of the: discussed, 95-96; 

described, 97n 

on human nature, 95-96, 98; on the 

Way of Heaven, 95-96, 98, 100; on 

sincerity, 96, 102-9, 112-13; on the 

Mean, 96-99; on principle, 97; on 

golden rule, 100; on destiny, 101; on 

Mandate of Heaven, 102; on spiritual 

beings, 102; on filial piety, 103; on 

government, 104-7; on humanity, 104, 

789; on knowledge and action, 105; 

on humanity and wisdom, 105, 609 

and Mencius, 79, 96; and Buddhism, 

95; and Li chi, 95; and Taoism, 

95; and Great Learning, 95-96; Chu 

Hsi's commentary on, 97-98, 100, 107, 

110, 113-14; and Neo-Confucianism, 

110; and the Changes, 262; and 

Hsiung Shih-li, 768 

meditation, 429, 435-36; 562, 650, see 

also concentration and insight, sitting 

in meditation, Zen 

Mei Tse, 4n 

Meiji Restoration, 658 

Mencius: life of, 49; discussed, 49-51; 

doctrines of, see topical index on 

p. 50 

on expediency, 26; on innate knowledge, 

50; on despotism, 50; on righteousness 

and profit, 50, 60-61; on 

revolution, 51; on internal and external, 

52-53; on Four Virtues, 54; on 

the sage, 55, 73, 77, 80; on the lost 

mind, 58; on original mind, 58; on 

Mandate of Heaven, 62, 78; on history, 

72; on sincerity, 74; on the 

child's heart, 76; on nature and 

destiny, 78-79, 82, 83, 269, 289, 294, 

528, 776; on the History, 81; on evil, 

714; on humanity, 789 

compared with Confucius, 49, 63; 

influence on other Confucianists, 50, 

60; compared with Li Ao, 50, 450; 

compared with Hsün Tzu, 55; influence 

on Lu Hsiang-shan, 59, 579; 

INDEX 

846 

compared with Zen, 64; compared 

with Wang Yang-ming, 64, 80; and 

Hsün Tzu, 117; criticized by Hsün 

Tzu, 129-33; attack on Mo Tzu and 

Yang Chu, 309; and theory of substance 

and function, 597; and Chu 

Hsi, 600 

Mencius, Book of, 19n, 51-83, 789 

meng (obscure) hexagram, 480 

Meng Chi Tzu, 53 

Meng-hsien, 94 

Meng I Tzu, 23 

Meng Peng, 254 

Meng Po-sheng, see Meng Yüan 

Meng Tzu chi-chu, 622 

Meng Tzu tzu-i shu-cheng, 711-22 

Meng Tzu wei, 735 

Meng Wu-po, 23 

Meng Yüan, 679 

Mi Tzu-chien, 294 

Middle Doctrine, 344, 359, see also 

Three-Treatise School 

Middle Path, 360, 387, 396 

Mill, 743 

min (people), 275 

Min Tzu-ch'ien, 133 

mind: Hsün Tzu's theory of, 125-26; in 

Consciousness-Only School, 370-73; 

in T'ien-t'ai School, 397; Shao Yung 

on, see p. 484; Chang Tsai on, see 

p. 496; Ch'eng Hao on, 536; Lu 

Hsiang-shan on, see p. 574; Wang 

Yang-ming on, see p. 659; Chu Hsi 

on, see p. 768; Hsiung Shih-li on, see 

p. 768 

mind, having no, of one's own, 317, 525, 


mind, human, and moral mind, 581, 586, 

616, 628 

mind, non-being of, 341, 344, 351 

mind, various aspects of, 398-403 

mind of Heaven and Earth, 530, 593, 

630, 642-43, 690 

Mind of Pure Self-nature, 399 

mind unable to bear the suffering of 

others, 729-30, see also p. 51 

ming (fate), see destiny 

wing (sleep), 275 

Ming-chia, 232, see also Logicians 

Ming dynasty, Confucianism: principle 

and desires in, 509, 776; materialism 

of, 777; Wang Fu-chih's reaction to, 

692; Yen Yüan's reaction to, 705; 

Tai Chen's reaction to, 777 

Ming-pien, 232, see also Logicians

INDEX 

ming-shih (names and actuality), 787 

Ming-tsan, 446n 

mirror, 207, 350, 431-32, 488, 567, 601 

Miscellaneous School, 292 

Mo-ho-yen lun, 347, 353, 355 

Mo Ti, see Mo Tzu 

Mo Tzu: discussed, 211-13; on righteousness, 

211, 218, 223; utilitarianism 

of, 212, 226-31; on universal love, 

213-17, 675; on the will of Heaven, 

217-21; attack on fatalism, 221-26; 

three standards of, 222; condemnation 

of war, 227; condemnation of wasteful 

musical activities and elaborate 

funerals, 227-28; on elevating the 

worthy, 229-30; on agreement with 

the superior, 230-31 

Mencius' attack on, see p. 51; Hsün 

Tzu's criticism of, 123; compared with 

Confucius, 211-12, 216; compared 

with Christianity, 212; Han Fei's attack 

on, 252-53; influence on Neo- 

Taoism, 315; Han Yü's attack on, 

454-55; the Ch'eng brothers' attack 

on, 529, 550 

Mo Tzu, 213-32 

Modern Script School, 314, 723-24 

Moism, see Mo Tzu 

Montesquieu, 743 

moon, analogy of, 621, 638 

moral nature, honoring the; the Mean 

on, 110; Lu Hsiang-shan on, 582-83; 

Wang Yang-ming on, 679 ! 

motion, see immutability of things 

Mount Sumeru, 421 

Mu-shu, 13 

multiplicity, see one and many and p. 

326 

mundane world, see transcendental 

world 

Music, Book of, 17n 

musical activities, Mo Tzu's attack on, 

227-28 

mysticism, 29, 33, 82, 188, 191-93, 200, 

207 

N 

Nagakanya, 442 

Nagarjuna: compared with Chuang Tzu, 

183, 361; logic of, 183, 349; Middle 

Doctrine of, 344; founder of Three- 

Treatise School, 357; Eightfold Negations 

and Four Points of Argumentation 

of, 358-59 

847 

names: Hsün Tzu's theory of, 124-28; 

Lao Tzu on, see p. 138; Logicians on, 

235; Neo-Taoists on, 316, 322, 324-26 

names, rectification of: Confucius on, 

see p. 18; Hsün Tzu on, 124-28; Tung 

Chung-shu on, 271, 273-75 

names, temporary, 340, 342, 344, 357 

names and actuality: Confucius on, 30, 

40; discussed, 40, 740; Legalists on, 

41, 255-57; Hsün Tzu on, 124, 127; 

Lao Tzu on, 139; Chuang Tzu on, 

203; Kung-sun Lung on, 241, 243; 

Tung Chung-shu on, 274; Seng-chao 

on, 352 

Nan-chen, 685 

Nan-kuo Tzu-chi, 179 

Nan-tzu, 31 

Natural Law, 272, 790 

naturalism, 292-304, 307, see also Kuo 

Hsiang, Nature (Heaven) 

Nature (Heaven): in Hsün Tzu, 116-24; 

in Lao Tzu, see p. 138; in Chuang 

Tzu, 180, 190-93, 199, 205-7; see also 

spontaneity 

nature, human: in Neo-Confucianism, 

14; Confucius on, see p. 18; evolution 

of theories of, 46; Mencius on, 

see p. 51; the Mean on, 95-96, 98; 

Hsün Tzu on, 128-35; Han Fei on, 

253-54; Tung Chung-shu on, 274-78; 

Yang Hsiung on, 289; various theories 

of, 294-96; Han Yü on, 456-59; Chou 

Tun-i on, see p. 462; Shao Yung on, 

see p. 484; Chang Tsai on, see p. 496; 

Ch'eng Hao on, see p. 522; Ch'eng I 

on, see p. 547; Lu Hsiang-shan on, 

see p. 574; Chu Hsi on, see p. 593; 

Tai Chen on, 717-19; see also nature 

and destiny, nature and feelings 

nature and destiny: in the Changes, 264, 

269; Wang Fu-chih on, 698-700; see 

also nature, human 

nature and feelings: Tung Chung-shu 

on, 275-76; Wang Ch'ung on, 293, 

295; Lu Hsiang-shan on, see p. 574; 

see also nature, human 

necessity, 302-3, 716-17 

Needham, 299, 636, 785 

Neo-Confucianism: main topics of, 14; 

compared with Mencius, 55; Buddhist 

influence on, 381, 403; and Chou 

Tun-i, 460-67; see also under individual 

philosophers, chs. 28-38 

Neo-Taoism: discussed, 314-18; on nonbeing, 

315-16, 324; on principle, 315-

16, 318, 320-24; on destiny, 316; on 

original substance, 316; on names and 

form, 316, 322, 324-26; on having 

no mind, 317; on one and many, 317; 

on the sage, 317; on Tao, 317, 324; 

on taking no action, 322; on substance 

and function, 323; on numbers, 323 

Han Fei's influence on, 261; Mo 

Tzu's influence on, 315-16; Logician's 

influence on, 316; the Changes' influence 

on, 316; and Buddhism, 336-37, 

358, 415-16, 428, 433, 445 

Neo-Thomism, 754 

Nieh-p'an ching, 443 

Nietzsche, 743 

nihilism, 359, 396 

Nine Categories, 9, 472 

nine standards, 106 

Nirgrantha, 378n 

Nirvana: in Three-Treatise School, 360; 

entrance to, 348, 395, 404-5, 413; in 

Consciousness-Only School, 380; discussed, 

382, 418; in Zen, 427 

Niu, 56 

non-action, see taking no action 

non-being: in Neo-Taoism, 315-16, 324; 

Wang Ch'ung on, 320-24; Fung Yulan 

on, 758; see also being and nonbeing 

non-ultimate, see Ultimate of Non-being 

Northern and Southern Schools, 427- 

28 

numbers, 269, 323, see also p. 484 

O 

Ocean, analogy of, 769 

Odes, Book of, 4n, 5-7, 17n 

On the Cultivation of Communist Party 

Members, 781 

On New Democracy, 773-74, 781 

On Practice, 773, 781 

One, The: Lao Tzu on, see p. 138; 

Chuang Tzu on, see Chuang Tzu; 

Shao Yung on, 492-93 

one and many: in Neo-Taoism, 317; in 

Buddhism, 411-13, 423; in Neo-Confucianism, 

460, 471, 571, 615, see also 

p. 496; in Hsiung Shih-li, 756, 763, 

765, 771; see one is all 

one body, Heaven and man forming, see 

unity of Heaven and man 

one is all, all is one: in Neo-Taoism, 

320; in Buddhism, 397, 403, 411-13; 

see also one and many 

INDEX 

848 

one thread: Confucius on, see p. 18; 

discussed, 27, 721; Lu Hsiang-shan 

on, 574; Wang Yang-ming on, 679-80 

One Vehicle, 410 

origin: Tung Chung-shu on, 271-85; 

Chou Tun-i on, 465-66; Ch'eng Hao 

on, see p. 522; Ch'eng I on, 545, 560; 

see also origination 

original non-being, 336, 338-39, see also 

being and non-being 

original substance: in Neo-Taoism, 316; 

in Buddhism, 357, 433; in Hsiung 

Shih-li, 765-66, 769-70; see also Wang 

Yang-ming 

origination, 263; see also origin 

Ota Kinjo, 570n, 651n, 674n 

Ou-yang Ching-yu, 374, 743, 765 

P 

Pao-ch'e, see Ma-ku 

Paradise, 438, see also Heaven and hell 

past and present, see history 

P'eng, 31 

P'eng-tsu, 186, 195, 313 

permanence, see immutability of things 

physical form: in the Changes, 267; 

Shao Yung on, see p. 484; Ch'eng 

Hao on, see pp. 522, 527, 537, 542; 

Lu Hsiang-shan on, 577, 583, 587; 

Chu Hsi on, 597, 634-36, 639; 

Wang Fu-chih on, 695; discussed, 722 

physical nature: Chang Tsai on, see p. 

496; Chu Hsi on, see p. 593; Tai Chen 

on, 715; Fung Yu-lan on, 760 

Pi Chan, 68 

Pi-kan, 54 

Pin, 312 

p'ing-teng (equality), 783 

Plato, 49, 115, 640-41, 744, 757 

Po-ch'eng Tzu-kao, 311 

Po-ch'i, 498 

Po-i, 593 

Po-niu, 626 

Po-yu, 12 

p'o (soul), 12 

portents, belief in, 292 

pragmatism, 744 

prajña, 336, 344, 350, 428 

pratyekabuddha, see Buddhas-for-themselves 

principle: in the Odes, 5-6; in Nee-Confucianism, 

14; in the Mean, 97; in the 

Changes, 269; Han Fei on, 260-61; 

Wang Ch'ung on, 315-16, 318, 320-

24; Kuo Hsiang on, see p. 326; Sengchao 

on, 351; in Three-Treatise 

School, 357, 365; in Zen, 442; Shao 

Yung on, see p. 489; Chang Tsai on, 

504, 508-14, 517; Ch'eng Hao on, 

see Ch'eng Hao; Ch'eng I on, see p. 

547; Lu Hsiang-shan on, see p. 574; 

Chu Hsi on, see p. 593; Wang Fuchih 

on, 692-95, 697-701; Yen Yuan 

on, 703, 707; Tai Chen on, 709-10; 

Fung Yu-lan on, 751, 754-59; Hsiung 

Shih-li on, 767; see also principle and 

facts, Principle of Nature 

principle and facts: Wang Pi on, 320; 

Hua-yen School on, 408, 412-15, 420, 

422, 424; see also principle, Principle 

of Nature 

Principle of Nature: in Neo-Taoism, 

316, 329, 332, 334; Shao Yung on, 

493-94; Chang Tsai on, 509, 512; 

Ch'eng Hao on, see p. 522; Lu Hsiangshan 

on, see p. 574; Chu Hsi on, see 

Chu Hsi; Wang Fu-chih on, 692, 700- 

701; Tai Chen on, 712-13; Tan Ssut'ung 

on, 740-41; see also principle, 

principle and facts 

prodigies: 120, 299, 303, 315 

production and reproduction: in the 

Changes, 266-68; compared with 

transformation of Consciousness-Only 

School, 393; absence of, in Hua-yen 

School, 408; Ch'eng I on, see p. 547; 

Chu Hsi on, 593, 630; Wang Yangming 

on, 675-76; Wang Fu-chih on, 

693; Tai Chen on, 710, 717-19; K'ang 

Yu-wei on, 735; T'an Ssu-t'ung on, 

737; Hsiung Shih-li on, 766, 769 

profit, see righteousness and profit 

propriety, see ceremonies and music 

Propriety, Book of, see Rites, Book of 

Pu Sheng, see Tzu-hsia 

P'u-sa chieh ching, 436, 439 

pure being, 336 

Pure Conversation, see Light Conversation 

R 

rationalism, 117, 488 

realism, 753 

Realm of Dharmas, 402, 404, 407, 419 

Realm of Law, see Law, Realm of 

reason (li), see principle 

reciprocity (shu), see golden rule 

Record of Music, 712 

INDEX 

849 

"Recovery of Nature," 456-59 

relativity, 182, 185-86, 189, see also 

p. 138 

religious sacrifices, 121, see also ancestors, 

spiritual beings 

response, 282-84 

return, 781, see also p. 139 

retribution, 361-62, 350 

reverence (ching), see seriousness 

reversal, see return 

revolution, see p. 51 

reward and punishment, see retribution 

righteousness, see righteousness and 

profit, Four Virtues, and p. 18 

righteousness and profit: Mencius on, 

50-61; in Great Learning, 94; Lu 

Hsiang-shan on, 575 

Rites, Book of, 520, 724 

rotation, 247, see also history 

Rousseau, 743 

Russell, 743-44 

Russia, 778 

S 

sage: Mencius on, 55, 74, 77, 80; Hsün 

Tzu on, 134; Chuang Tzu on, 185-86, 

189, 194; appearance of, 289; Kuo 

Hsiang on, see p. 326; Seng-chao on, 

351; Chou Tun-i on, 461, 466-68, 

470; as ultimate of man, 761 

sageliness within, 208-9, 333 

samadhi, see calmness 

Samkhya, 377-78 

San-lun, see Three-Treatise School 

San-lun hsüan-i, 359, 361-69 

Sanron, see Three-Treatise School 

Sata astra, 357 

Schiller, 743 

scholasticism, compared with Buddhism, 

365 

School of Being, 357 

School of Matter, 339, 352 

School of Matter as It Is, 339 

School of Mind, 573, see Lu Hsiangshan, 

Wang Yang-ming 

School of Nature and Principle, see Neo- 

Confucianism 

School of Non-being, 357 

School of Non-being of Mind, 340, 351 

School of Original Non-being, 337, 352, 

see also Variant School of Original 

Non-being 

School of Principle, 573, see also Ch'eng 

I, Chu Hsi

science: Hsün Tzu and, 122; Mo Tzu 

and, 222; Wang Ch'ung and, 299; 

influence on K'ang Yu-wei, 723-36; 

influence on Chinese philosophy, 737 

Scripture Spoken by Vimalakirti, 343, 

354 

seeds, as humanity and transformation, 

371, 380-81, 392-94, 766 

self, in Consciousness-Only School, 374- 

77 

self-transformation, see p. 326 

Seng-chao: discussed, 343-44; on immutability 

of things, 344-50; on emptiness 

of the unreal, 350-56; on two 

levels of truth, 353-54 

and Tao-an, 338; criticisms of early 

Buddhist schools, 339-41, 351-52; and 

Chi-tsang, 344; and Nagarjuna, 344; 

and Taoism, 344, 348, 351-52, 358; 

and Confucianism, 348; and Three- 

Treatise School, 357 

Seng-jui, 338 

seriousness: in the Changes, 264-65; and 

Zen, 429; Ch'eng Hao on, see p. 522; 

Ch'eng I on, see p. 547; Chu Hsi on, 

see p. 593 

Seven Gentlemen, 315 

Shadow, 362 

Shang-shu yin-i, 699-700 

Shang-ti, see Lord on High 

Shang Yang, 252, 255 

Shao, Duke, 6n 

Shao K'ang-chieh, see Shao Yung 

Shao Yao-fu, see Shao Yung 

Shao Yung: discussed, 481-83; and Chu 

Hsi, 482, 520; doctrines of, see topical 

index on p. 484; on despotism, 486- 

87, 491; rationalism of, 488; and the 

Ch'eng brothers, 490; on concrete 

things, 491; on the One, 492-93; and 

Chou Tun-i, 493, 495 

She, Duke of, 32, 41 

Shen Hsien, 649 

Shen-hsiu, 426-27, 431 

Shen-hui, 427-28, 433 

Shen-hui yü-lü, 430, 440-41 

Shen Pu-hai, 252, 255 

Shen-sheng, 498 

Shen Tad, 123, 252 

Shen Tzu, see Shen Tao 

sheng (inborn), 273 

Sheng-hsüeh tsung-ch'uan, 482n 

Shih, Prince, 6 

shih (tendency), 252 

Shih chi, 246-48 

INDEX 

850 

shih-ho (biting and uniting) hexagram, 

479 

shih-hsiang (true state), 786 

Shih K'uang, 55, 185 

Shih Sheng-tsu, 34 

Shih Shih, 294 

Shih-shuo hsm-yü, 445 

Shih, Vincent Yu-chung, 785 

Shou-yang, 313 

shu (numbers), 783 

shu (statecraft), 252 

Shu-ch'i, 313 

Shu-sun Wu-shu, 48 

Shu-yü, 452 

Shun: an ideal ruler, 43, 512, 528; a 

sage, 53, 69, 334, 701; marriage of, 

75; transmission of throne to, 77-78; 

great filial piety of, 102, 498; all 

people can become, 778; see also Yao 

and Shun 

Shun-yü K'un, 75 

Shuo-wen chieh-tzu, 712 

Shushkigaku, 658, see also Chu Hsi 

similarities and differences: Hsün Tzu 

on, 125-26; Logicians on, 234; in 

Hua-yen School, 413 

simplicity, see p. 139 

sincerity: Mencius on, 74; Great Learning 

on, 89-90; the Mean on, 96, 102-9, 

112-13; Li Ao on, 457-59; Chou 

Tun-i on, 461, 465-67; Shao Yung 

on, see p. 489; Chang Tsai on, 507-8, 

513; Ch'eng Hao on, see p. 522; 

Ch'eng I on, 552, 560 

sitting in meditation, 144, 201, 608, 684, 

703, see also meditation, concentration 

six arts, 17 

six categories of mental qualities, 384 

Six Characters, 407, 413 

Six Classics, 547, 580, 715, 728, see also 

Classics 

six departments, 704 

Six Extremities, 10 

six family relations, 248 

six robbers, 704 

Six Stages of Existence, 361 

six teachers, 364n 

six virtues, 704 

skepticism, 181, 188, 302, 309, 311-12 

Social Science Research Council, xv 

soul, 11-13 

Source Book in Indian Philosophy, viii 

Sources of Chinese Tradition, xv-xvi

space and time, 234-35 

Spencer, 743 

sphere of objects, 374ff 

Spinoza, 743 

spirit; in the Changes, 266-69; Chou 

Tun-i on, 466-67; Shao Yung on, see 

p. 484; Chang Tsai on, 513; Ch'eng I 

on, 549 

spiritual beings: importance of, in Shang 

dynasty, 3-4; in Tso chuan, 11-13; 

Confucius on, see p. 18; in the Mean. 

102; Mo Tzu on, 220-27; Wang 

Ch'ung on, 299-320; Ch'eng I on, 

see p. 547; Chu Hsi on, see p. 593; 

Wang Yang-ming on, 690; see also 

kuei-shen 

spontaneity: Wang Ch'ung on, 296-99; 

in Zen, 443-44; see also Nature 

Spring and Autumn Annals, 5n, 17n, 

18, 271, 273, 276, 278, 284, 479, 726 

sravaka, see disciples, Buddha's ordinary 

Ssu-en, 686 

Ssu-ma Hsiang, see Ssu-ma Niu 

Ssu-ma Kuang, 483n, 496, 561-62, 708 

Ssu-ma Niu, 39 

Ssu-shu cheng-wu, 707-8 

Stalin, 765, 773, 780 

statecraft, 255 

Stein, Aurel, 430n 

Storehouse consciousness, 371-72, 380ff 

Storehouse of the Thus-come, 403 

strange phenomena, see prodigies, portents 

strife, see p. 138 

Su Chi-ming, 565-66, 601 

Su Shih, 546n 

Su Tung-po, see Su Shih 

substance, 241, see also Kung-sun Lung, 

original substance 

substance and function: in Nee-Confucianism, 

14, 485-89, 502, 517, 535, 

541, 570, 596-97, 696-97; in Lao Tzu, 

141, 159; in the Changes, 267; in Neo- 

Taoism, 323; in Buddhism, 344, 358, 

368-69, 401, 403-4, 414-15, 433, 435; 

in contemporary philosophy, 758, 765, 

767-69, 771; of one source, 747 

sufferings that the mind cannot bear to 

see, 729-36 

sun (decrease) hexagram, 477 

Sun Ch'i-feng, 467, 474, 558, 596 

Sun Chung-shan, see Sun Yat-sen 

Sun Yat-sen, 658, 743 

Sung, man of, 63, 298 

INDEX 

851 

sung (contention) hexagram, 479 

Sung Confucianism: interpretation of 

Confucian teachings, 22, 23; on 

principle and desires, 509, 776; Wang 

Fu-chih's reaction to, 692, 703, 705; 

Tai Chen's reaction to, 709-10, 714- 

15; influence on Fung Yu-lan, 752-53; 

materialism in, 777 

Sung Tzu, 123 

Sung-Yüan hsüeh-an, 482n 

Sunyata, see Emptiness 

superior man: Confucius on, see p. 18; 

Hsün Tzu on, 120 

Supreme Ultimate, see Great Ultimate 

Suzuki Teitaro, 425, 430n 

svabhava, 786 

T 

Ta-ch'eng chih-kuan fa-men, 398-405 

Ta-chih tu lun, 674n 

Ta Chuang-yen, 341 

Ta-hsüeh chang-chü, 783 

Ta-hsüeh huo-wen, 622 

"Ta-jen hsien-sheng chuan," 315 

Ta-t'ung shu, 729-34 

Ta-yü, 449 

Tai Chen: discussed, 709-11; on principle, 

709-17; on production and reproduction, 

710, 717-19; emphasis on 

feelings, 710, 712-15; on Principle of 

Nature, 712-13, 776; theory of evil, 

713-14; on desires, 713-15, 719-20; 

on physical nature, 715; on necessity, 

716-17; on human nature, 717-19; on 

capacity, 719-20; on Four Virtues, 

719-20; on circumstances, 720-22 

influenced by Mencius, 50; and Yen 

Yüan, 704; reaction against Sung and 

Ming Nee-Confucianism, 709-10, 714- 

15, 722; compared with Wang Fu-chih 

and Yen Yüan, 722 

Tai Tung-yüan, see Tai Chen 

Tai, King, 103, 119 

T'ai, Mount, 186, 216-17, 329 

T'ai-chi (Great Ultimate), see Great 

Ultimate 

T'ai-chi-t'u shuo, 8n, 460, see also Explanation 

of the Diagram of the Great 

Ultimate 

T'ai-hsü, 374, 743, 765 

Tai-hsüan (Supremely Profound Principle), 

291 

T'ai-hsüan ching, 289-91 

taking no action: in Confucius, 43; Lao

Tzu on, see p. 139; Legalists on, 254- 

55; Wang Ch'ung on, 297-99; Wang 

Pi on, 322; see also Kuo Hsiang 

T'an-chi, 341 

T'an Fu-sheng, see Tan Ssu-t'ung 

T 'an Liu-yang ch'üan-chi, 739 

T'an Ssu-t'ung: discussed, 737-38; life 

of, 737n; idealism in, 737; on production 

and reproduction, 737; on universal 

love, 737-38; on ether, 737-40; 

on humanity, 737-42; on Principle of 

Nature and human desires, 740-41; 

on daily renewal, 741-42 

and Wang Yang-ming, 658, 737; 

and Wang Fu-chih, 694, 740; and 

K'ang Yu-wei, 737, 739-40; and Buddhism, 

738 

T'ang, King, a wise king, 62, 64, 287; 

recovering his nature, 80, 83, 549; 

questions of, 311-12 

T'ang dynasty Confucianism, 27, 511 

T'ang Hsü, 675 

T'ang Shun-chih, 570n 

T'ang Yung-t'ung, 339-40 

Tao: Confucius on, see p. 18; in the 

Mean, 95-96, 98, 100; Lao Tzu on, 

see p. 139; Chuang Tzu on, 202-5; 

Han Fei on, 260-61; Huai-nan Tzu 

on, 305-6; Kuo Hsiang on, 317; Ho 

Yen on, 324; Han Yü on, 454-55; 

Ch'eng Hao on, see p. 522; Ch'eng I 

on, see p. 547; Lu Hsiang-shan on, 

see p. 574; Fung Yu-lan on, 751, 758- 

59, 762 

Tao-an, 338, 340, 425 

Tao-chou, 461 

Tao-hsing ching, 345, 354 

Tao-i, 342 

Tao lun, 324 

Taoism: compared with Confucianism, 

22, 33, 42-43, see also Lao Tzu, 

Chuang Tzu; and the Mean, 95; compared 

with Buddhism, 140-41, 344, 

358, 433, 445; Chu Hsi and, 142; and 

Wang Ch'ung, 292; Han Yü's attack 

on, 450, 453-56; Chang Tsai's criticism 

of, see p. 496; Ch'eng I's criticism 

of, see p. 547; and hsing-ming, 

788 

Tathagata, 342, 348, 350, 401, 437 

Tathata, see Thusness 

te (virtue), 790 

Ten Characters of Thusness, 397-98 

Ten Mysterious Gates, 407, 411-14 

T'eng, 66 

INDEX 

852 

three ages, 363, 403-4, 422, 724-27 

Three August Emperors, 487 

Three Bodies, 436-37 

Three Bonds, 277, 472, 614, 646 

Three Correct Systems, 287-88 

three dharmas, 380-81 

Three Dynasties, governments of, 219, 

701 

Three Fallacies of Names, 127 

three grades, 451, 630 

Three Kings, 111, 486-87, 491 

Three Levels of Truth, 396, 400, see 

also Two Levels of Truth 

three ministers, 169, 218-19, 230 

Three Natures of Being, 393-94, 409 

three paths, 447 

three standards, 222 

Three Treasures, 404 

Three-Treatise School: history of, 343- 

44, 357; discussed, 357-59 

central concepts of, 357; on Emptiness, 

357, 360, 367; on two levels of 

truth, 359-61; on cause and effect, 

361-64; on Four Causes, 364-65; on 

substance and function, 368 

and Neo-Taoism, 357-58; and Consciousness-Only 

School, 358-59, 370, 

373; classified, 410 

Three Virtues, 9 

Three Worlds, 341, 386, 447-48 

three-year mourning, 103, 728 

Thusness: explained, 336, 740; in Consciousness-Only 

School, 373, 392, 394; 

Ten Characters of, 397; in T'ien-t'ai 

School, 399-400; in Hua-yen School, 

415; in Zen School, 427, 435, 439 

Ti (Lord), see Lord on High 

t'i-jen (personal realization), 790 

t'i-yung (substance and function), 791, 

see also substance and function 

T'ien (Heaven, Nature), see Heaven, 

Nature 

T'ien-chou, 680 

T'ien-ch'üan Bridge, 687 

T'ien Heng, 313 

T'ien-ming (Mandate of Heaven), see 

Mandate of Heaven 

T'ien-t'ai School: discussed, 396-98 

on three levels of truth, 396; on 

ten realms of being, 396-97; on Ten 

Characters of Thusness, 397-98; on 

concentration and insight, 397-99, 

404-5; on dharmas, 398ff; on various 

aspects of mind, 398-403; on Mind of 

Pure Nature, 399; on True Thusness,

INDEX 

399; on Buddha-nature, 400; on 

Dharma-body, 401; on substance and 

function, 401, 403-4; on Realms of 

Dharmas, 402, 404; Dharma-nature 

in, 402, 404; on Storehouse of the 

Thus-come, 403; theory of three ages 

in an instant, 403-4 

compared with Three-Treatise 

School and Hua Yen School, 396; 

and the Changes and Taoism, 396; 

and Hua-yen, 403, 406-7, 411; and 

Zen, 433 

T'ien-tao (Way of Heaven), 6 

time, 234-35, see also history, immutability 

of things 

Ting, Duke, 25 

ting (caldron) hexagram, 741 

Tokiwa, 542, 577 

Tolstoi, 743 

tranquillity: Lao Tzu on, see p. 139; 

Li Ao on, 456-58; Chu Hsi on, see p. 

593; see also activity and tranquillity 

transcendental world, 198-99, 440-42, 


transformation: Chuang Tzu on, 190, 

204-5, 209; Yin Yang School on, 248; 

the Changes on, 264; Consciousness- 

Only School on, 371; Wang Fu-chih 

on, 698; Fung Yu-lan on, 759; Hsiung 

Shih-li on, 763, 766, 770 

"Treatise on What Yen Tzu Loved to 

Learn," 547, 550 

trinity with Heaven and Earth: Hsün 

Tzu on, 117; Tung Chung-shu on, 

281; Li Ao on, 458 

Ts'ai (person), 453 

Ts'ai (state), 313 

Ts'ai Chi-t'ung, 651 

Ts'ai Yuan-ting, see Ts'ai Chi-t'ung 

Tsang Wen-chung, 13 

Ts'ao Ch'i-chih, 610n 

Ts'ao-hsi, 427 

Ts'ao Shu-yüan, 610n 

Ts'ao Tuan, 465 

Ts'ao Yüeh-ch'uan, see Ts'ao Tuan 

Tseng Hsi, 37-38 

Tseng Shen, see Tseng Tzu 

Tseng Tien, see Tseng Hsi 

Tseng Tzu, 20, 27, 33, 87, 133, 498, 671, 

721, 785 

Tso Ch'iu-ming, 4n, 5n 

Tso chuan, 11-13 

Tsou Yen: and Yin Yang School, 244- 

45; life and doctrines of, 246-48; 

theory of Five Powers, 247; on his- 

853 

tory, 247; on humanity and righteousness, 

248 

"Ts'un-hsing pien," 706-7 

Tsung-mi, 674n 

Tu-shun, 406, 411n 

Tu Ssu-shu ta-ch'üan shuo, 697-98 

Tuan-mu Tzu, see Tzu-kung 

Tung Chung-shu: explanation of Confucius, 

36; influence of Yin Yang 

School on, 245; macrocosm-microcosm 

in, 271; discussed, 271-73; and 

the Spring and Autumn Annals, 271, 

273. 276, 278, 284; and yin yang, 

274. 276, 279, 281, 283; and K'ang 

Yu-wei, 724 

on rectification of names, 271, 273- 

75; on origin, 271, 284-85; on history, 

272, 287-88; on correspondence 

of Heaven and man, 274-75, 280-82; 

on human nature, 274-78, 289, 295; 

on Three Bonds, 277; on education, 

278; on Five Agents, 279-82; on activation 

and response, 282-84; on 

humanity and righteousness, 285-86; 

on humanity and wisdom, 286-87; on 

Three Correct Systems, 287-88; 

honoring of Confucius, 292 

Tung-kuo Tzu, 203 

t'ung (penetration), 783 

T'ung Po-yü, 644 

T'ung-shu, 460, 465-80, 577 

Twelve Bases, 389 

two courses, following, 184, 268 

Two Levels of Truth: in early Budhism, 

342, 353-54; Three-Treatise 

School on, 358; Consciousness-Only 

School on, 384, 389; T'ien-t'ai School 

on, 403-4; Hua-yen School on, 415, 

420 

Two Modes, 267, 463, 489, 491 

Tzu-ch'an, 12 

Tzu-chang, 24, 36, 46 

Tzu-hsia, 36, 39, 48, 671 

Tzu-hua, see Kung-hsi Hua 

tzu-jan (spontaneity), 783, see also 

spontaneity 

Tzu-kung, 21, 25, 28, 36, 39, 42-44, 47, 

198, 596 

Tzu-lu, 24, 28, 31, 36-37, 40, 43, 47-48, 

99, 475 

Tzu-mo, 80 

Tzu-ssu, 49, 98 

Tzu-tu, 55 

Tzu-wen, 452 

Tzu-yu, 23

U 

Ultimate, Great, see Great Ultimate 

Ultimate of Non-being, 154, 460, 463, 

556, 577-78, 752, 758-9 

unity of Heaven and man: in "Great 

Norm," 10; in Neo-Confucianism, 14; 

in Confucius, 40; in Han Confucianism, 

292; Chang Tsai on, 516; Ch'eng 

Hao on, see p. 522; Lu Hsiang-shan 

on, see p. 574; Chu Hsi on, 595; Wang 

Yang-ming on, see p. 659; Fung Yulan 

on, 752, 762; Hsiung Shih-li on, 

763 

Universal Causation, 407-8 

universal love: Mo Tzu on, 213-17; 

Logicians on, 233; Legalists on, 257- 

58; Han Yü on, 454-55; Chang Tsai 

on, 499; Ch'eng I on, 550, 559 

universals, 751-52 

utensils (ch'i), see concrete things 

utilitarianism, 212, 226-31 

Utopia, K'ang Yu-wei's, 732-34 

V 

vacuity: in the Analects, 33; Lao Tzu 

on, 141-42, 147; Chu Hsi on, 142, 

650; Taoist ideas of, 269, 344; Wang 

pi on, 322; Seng-chao on, 350; Yang 

Hsiung on, 291; Chang Tsai on, 501-4; 

Wang Fu-chih on, 693, 695 

Vaiseshika, 378n 

Variant School of Original Non-being, 

337, 339; see also School of Original 

Non-being 

Vasubandhu, 370, 372, 518 

Vijñaptimatra, see Consciousness-Only 

School 

Vijñatimatratatrimsika, 370 

Vimalakirti, 446 

Vimalakirtinirdesa sutra, see Scripture 

Spoken by Vimalakirti 

virtue: emphasis on, 6-8; Confucius' 

teaching of, see p. 18; Lao Tzu on, 

see p. 139; Han Yü on, 454-55 

vitalism, 744 

Void, Absolute, 357 

w 

Wai-shu, 518 

Waley, 8, 785, 789, 790 

Wang An-shih, 496, 518n 

Wang Chi, 686-89 

Wang Chih, 488 

Wang Ching-ch'u, 444 

INDEX 

854 

Wang Ch'uan-shan, see Wang Fu-chih 

Wang Ch'ung: discussed, 292-93; skepticism 

of, 292, 299-304, 309; naturalism 

in, 292-304; materialism of, 780 

explanation of the Analects, 29, 38; 

on human nature, 290, 293-96, 454; 

on material force, 290-99; on spontaneity, 

296-99; on taking no action, 

297-99; on death and spiritual beings, 

299-302; on strange phenomena, 299- 

303; on accident and necessity, 302-3; 

on fate, 303-4; on equality of past 

and present, 304 

Wang Fu-chih: life of, 692; discussed, 

692-94 

on Principle of Nature, 692, 700- 

701, 776; on principle and material 

force, 692-95, 697-701; on daily renewal, 

693, 698-99; on concrete 

things, 693-97; on substance and 

function, 696-97; on being and nonbeing, 

697; on nature and destiny, 

698-700; on history and government, 

701-2; and Buddhism, 373 

reaction against Sung and Ming 

Neo-Confucianism, 692, 703; and 

Chu Hsi, 592; Chang Tsai, 504, 

509, 692; and Ch'ing Confucianism, 

694; compared with Tai Chen, 722; 

and T'an Ssu-t'ung, 740; and materialism, 

777 

Wang Ju-chung, see Wang Chi 

Wang Lung-hsi, see Wang Chi 

Wang Mang, 292 

Wang Pi: discussed, 316-17 

on principle, 315-16, 318, 320-24; 

on the One, 318-19; explanation of 

hexagrams, 318-24; on yin yang, 319; 

on non-being, 320-24; on names and 

form, 322; on taking no action, 322; 

on numbers, 323; on substance and 

function, 323, 791; on one and many, 

337; on original non-being, 339-40 

commentary on Lao Tzu, 156, 159, 

321-24; commentary on the Changes, 

320-21 

Wang Po-an, see Wang Yang-ming 

Wang Su, 4n, 19 

Wang-sun Chia, 25 

Wang Wen-ch'eng, see Wang Yangming 

Wang Wen-ch'eng Kung ch'üan-shu, 

659-66 

Wang Yang-ming: discussed, 654-58;

life of, 654n; doctrines of, see topical 

index on p. 659 

explanation of the Analects, 38; 

interpretation and investigation of 

things, 84; on vacuity, 142; on unity 

of Heaven and man, 524; on original 

substance, 669, 673-74, 679, 681, 686; 

on internal and external, 680-2; on 

flowering tree, 685; Four Axioms of, 

686-88; investigating bamboos, 689; 

on fate, 763 

influenced by Mencius, 50; compared 

with Mencius, 64, 80, 686; and 

Great Learning, 84, 656; influenced 

by the Mean, 110; and Buddhism 

and Taoism, 429, 662, 677; and 

Ch'eng I, 558, 654-55, 672; Ch'ing 

Confucianists' attempt at compromising 

Chu Hsi and, 654-55, 663, 671, 

681, 683, 689; influence in Japan, 

658; influence on contemporary Chinese 

philosophy, 658, 737, 763-64, 

768; and Chu Hsi, 703; Tai Chen's 

reaction to, 710; Fung Yu-lan's comments 

on, 778-79 

war: Confucius on, 41-42; Lao Tzu's 

attack on, 154-55, 162, 171; Mo Tzu's 

attack on, 227 

Way, The, see Tao 

weakness, see p. 139 

Wei, viscount of, 294 

Wei-Chin period, philosophy of, 293, 

314-35, 357 

Wei-mo-chieh ching, 435-36, 439, 443 

Wei-shih, see Consciousness-Only School 

well-field system, 701 704, 728 

Wen, Duke, 66, 215 

Wen, King: praised, 6, 8, 88, 103, 453; 

wise ruler, 53, 62, 64, 119; a sage, 

290, 334, 453, 541 

Wen-yen, 203n 

"Western Inscription," 496-500, 525, 

550-51, 756 

Western philosophy: compared with 

Taoism, 143; compared with Buddhism, 

364-65, 382; influence on Chinese 

Buddhism, 374; influence on contemporary 

Chinese philosophy, 723, 

751-53, 744; introduction into China, 

743-44 

White Deer Grotto, 588 

Whitehead, 636-37, 743 

Wilhelm, 786 

wisdom, see humanity and wisdom and 

p. 18 

INDEX 

855 

women: Confucius on, 47; Lao Tzu on, 

see p. 138 

words and action: Confucius on, see 

p. 18; Han Fei on, 257; Chu Hsi on, 

609 

Wu, Empress, 272n, 292, 406, 426 

Wu, King: activities of, 8, 217; praised, 

53, 103, 284, 287, 290; recovering 

his nature, 80, 83, 549 

Wu (state), 313 

wu (non-being), 791 

Wu Ch'eng, 156 

wu-hsin (having no mind of one's own), 

791 

wu-hsing (Five Agents), 244 

"Wu-ming lun," 325 

Wu Pi-ta, 615n 

Wu-ting, 194, 442n 

wu-wang (absence from falsehood) hexagram, 

477-78 

wu-wei (taking no action), 255, 791, 

see also taking no action 

Y 

Yamazaki Ansai, 555n 

yang (active force), 783 

Yang Cheng-tien, 779 

Yang Chu: Mencius' attack on, see p. 

51; on preserving life, 146; discussed, 

309; on life and death, 311; Ch'eng 

Hao's criticism of, 529 

"Yang Chu" Chapter, 309-11 

Yang Hsiung: compared with Tung 

Chung-shu, 274; discussed, 289; on 

human nature, 289, 296, 567; on the 

sage, 289-90; on immortals, 289-91, 

565; on Supremely Profound Principle, 

291; and Han Yü, 450; and materialism, 

780 

Yang Hu, 35n 

Yang I-wo, 452 

Yang Kuei-shan, see Yang Shih 

Yang Lien-sheng, xvi 

Yang Shih, 498-99, 550 

Yao: transmission of throne, 77-78, 327; 

wise ruler, 70, 200, 491; a sage, 116; 

praised, 325, 652; see also Yao and 

Shun 

Yao and Shun: praised, 15, 133; sages, 

66, 73, 132, 134, 251, 290, 453, 470, 

534, 567; age of, 72, 694; recovering 

their nature, 80, 83, 549; tradition 

transmitted by Confucius, 111; transmission 

of thrones, 252; not different

INDEX 

from others, 311; wise men, 313, 328; 

governments of, 701; their historicity 

doubted, 724; all people can be equal 

to, 778 

Yellow Emperor, 188, 195, 200, 247, 

250, 263, 425; worshiped, 291, 314 

Yen-ch'eng Tzu-yu, 179 

Yen Fu, 743 

Yen Hsi-chai, see Yen Yüan 

Yen Hui, see Yen Yüan 

Yen Jo-ch'ü, 612, 709 

Yen-Li ts'ung-shu, 706 

Yen Tzu, see Yen Yüan 

Yen Yüan (Yen Hsi-chai): discussed, 

703-4; life of, 703n; on principle and 

material force, 703, 707; on evil, 704- 

6; on physical nature, 705-7; on learning 

from experience, 707-8 

and Wang Fu-chih, 694; reaction 

against Sung and Ming Nee-Confucianism, 

703, 705; and Tai Chen, 704, 

722 

Yen Yüan (Yeh Hui): man of virtue, 

29, 38, 99, 688; sitting down and 

forgetting everything, 144, 201; in 

Chuang Tzu, 199; died young, 313, 

626; praised, 457, 470, 548-49; his 

joy, 475, 531; what he loved to learn, 

547, 550 

Yin dynasty, 6-7, 67 

Yin Wen Tzu, 787 

yin yang: in Neo-Confucianism, 14; in 

the Changes, 263, 266-69; in Tung 

Chung-shu, 274, 276, 279, 281, 283; 

in Yang Hsiung, 291; in Wang Ch'ung, 

292; in Huai-nan Tzu, 306; in Chou 

Tun-i, 403, 464, 471; in Shao Yung, 

see p. 484; in Chang Tsai, 503, 506; 

in Ch'eng Hao, 534; in Ch'eng I, 553, 

557-58; in Tai Chen, 718; see also 

Yin Yang School 

Yin Yang School: Five Agents in, 244- 

45, 249; on cycles, 245-47; on man 

and Nature, 246; on yin yang, 247; 

on activity and tranquillity, 248; on 

transformation, 248; on the universe, 

271 influence of, 244-47; and the Mean, 

246; see also Tsou Yen 

Ying (district), 312 

Ying (warden), 498 

Ying-lo ching, 354 

yoga, 191, 437 

Yogacara, see Consciousness-Only 

School 

Yomeigaku, 658, see also Wang Yangming 

Yu, King, 53, 220, 226 

yu (being), 791 

Yu Jo, see Yu Tzu 

Yu Tzu, 19, 21 

Yu Yen, see Tzu-yu 

Yuishiki, see Consciousness-Only School 

Yung-cheng, 713 

Yü: sage ruler, 76, 182, 216, 251, 311, 

334, 512, 701; greatly filial, 498; 

praised, 133-34; time of, 119, 250 

YüFa-k'ai, 341 

Yü Tao-sui, 342 

Yüan, Prince, 210 

yüan (origin), see origin 

"Yüan-rising," 451-53 

"Yüan-ju," 765, 769-72 

Yüan Shih-k'ai, 723n, 737n 

"Yüan-tao," 454-56, 554 

Yüeh, 82, 234 

Yüeh-chiao, 452 

Z 

Zen: on dharmas, 426; on mind, 426; 

on wisdom and calmness, 428, 431- 

33; techniques of, 428; theory of forgetting 

one's own feelings, 428; on 

enlightenment, 428, 433-35, 442; 

theory of absence of thought, 428, 

434-35; on meditation and calmness, 

429, 435-36; koans of, 429, 444-49; 

on Buddha-nature, 430-31, 443; on 

substance and function, 433, 435; on 

spontaneity, 433-34; on purity, 435; 

on self-nature, 437-42; on scriptures, 

438-39 

and Mencius, 64; and other Buddhist 

schools, 359, 433; classified, 

410; Southern and Northern Schools 

of, 427-28; and Taoism and Neo-Taoism, 

428, 433, 445; influence on 

Neo-Confucianism, 429; discussed, 

525-30 

856

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