The Huainanzi

by An Liu

  125. Qu Shang was another minister of the tyrant Djou.

  126. San Yishing was a worthy who entered the service of King Wen on hearing the report of his virtue.

  127. Fei Zhong was a sycophantic minister of Djou credited with exacerbating his ruler’s flaws.

  128. This is a famously cruel punishment, also mentioned in 2.13, 11.1, 15.2, and 21.4.

  129. Laozi 28.

  130. King Cheng , the third ruler of the Zhou dynasty, was the son of King Wu and ward of the Duke of Zhou.

  131. Yin Yi (also known as Scribe Yi), the grand historian of the Zhou court, was an astronomer and a diviner of renowned skill. A text bearing his name was listed in the “Mohist” section of the Hanshu yiwenzhi but now exists only as fragments.

  132. Odes 195.

  133. Laozi 20.

  134. This story also appears in LSCQ 11.4/55/25–11.4/56/1 and ZZ 10/24/27–10/25/3. For other translations, see Riegel and Knoblock 2000, 251; and Mair 1997, 85.

  135. Laozi 19.

  136. That is, ignoring all the norms of propriety. Zifa is so overwhelmed by his guest’s significance that he “forgets his manners.” Compare Mencius (4B.29), who taught that a gentleman should never leave his house, no matter what the provocation or emergency, unless his hair was properly arranged and his hat strings tied.

  137. Laozi 27.

  138. This anecdote also appears in ZZ 6/19/17–20.

  139. Laozi 10. For the hun “ethereal soul,” see 7.7.

  140. Jian Shu was a grandee of the Qin court.

  141. A briefer version of this story appears in 13.11 and another version in 18.12; Xian Gao is mentioned again in 20.34. See also LSCQ 16.4/93/20–16.4/94/11.

  142. Duke Xiang of Jin (r. 627–621) was the successor of Duke Wen.

  143. Xian Zhen (d. 627) was a high minister of the Jin court, commander of the Army of the Center.

  144. This anecdote first appears in the Zuozhuan, Xi 33. A longer version appears in LSCQ 16.4/93/20–16.4/94/11. See Knoblock and Riegel 2000, 385–89.

  145. Laozi 71.

  146. The Duke of Xue (also known as Tian Ying and Lord Jingguo ) was a scion of the Qi royal house during the Warring States period and the father of Lord Mengchang. He served as prime minister under King Xuan (r. 319–301 B.C.E.).

  147. Laozi 52.

  148. Lu Ao was a famous (but possibly legendary) erudite of the time of Qin Shihuangdi, late third century B.C.E.

  149. A reference to the darkness, damp, and cold (all yin qualities) of the northern regions. At its most extreme, north could be regarded as entirely yin, beyond the influence of yang.

  150. Although Lau does not emend the text here, he does suggest two possible emendations in his notes to this passage. We follow emendation A. See Lau, HNZ, 116n.1. Menggu, the “Hidden Valley” or “Vale of Obscurity,” also is found in 3.25, as part of a passage describing the sun’s path across the sky.

  151. For the “extremes of the four directions,” see 4.1 and 4.2.

  152. The “Wangliang” of this passage appears to be a nonstandard graphic loanword for “Wangliang” (Penumbra [see 12.44]), and we translate it accordingly.

  153. ZZ 1/1/19.

  154. Mizi (also known as Mi Buqi and Zijian [b. 521 B.C.E.]) was a disciple of Confucius.

  155. Wuma Qi (also known as Wuma Shi ) was a native of Lu and a disciple of Confucius.

  156. This parable appears as part of a longer story in LSCQ 18/8.2. See Knoblock and Riegel 2000, 471.

  157. Laozi 72.

  158. Penumbra and Shadow appear as characters in Zhuangzi 2, but in the context of quite a different anecdote.

  159. The Fusang Tree falls into darkness when the sun crow takes off from its branches to begin its daily journey across the sky.

  160. Laozi 43.

  161. This anecdote also appears in Zhuangzi, chap. 22. See ZZ 22/63/1–3; and Mair 1997, 210. It is also quoted in an abbreviated version in 2.1.

  162. Laozi 43.

  163. Duke Sheng was said to be consumed by a desire to avenge the murder of his father by the state of Zheng. Hence the comment of the “person from Zheng” is an expression of apprehension.

  164. This anecdote also appears in Hanfeizi 21. See HFZ 21/44/18–21.

  165. Laozi 47. This line is also quoted in 7.4.

  166. The First Emperor of Qin (also known as Zhao Zheng and King Zheng of Qin [259–210 B.C.E., r. 221–210 B.C.E.]) conquered the Warring States and founded the Qin dynasty (221–206 B.C.E.). He created the title of emperor and thus is known as the first ruler of China’s imperial period. His reign is chronicled in Shiji 6.

  167. All the actions of King Wu illustrate the ways in which he reversed the course of rulership adopted by Djou Xin, the last ruler of the Shang. According to Chinese tradition, the tyrant-king Djou Xin cut out the heart of Bi Gan. Shang Rong was supposedly prime minister under King Djou. Jizi was the uncle of King Djou and feigned madness to avoid being associated with his nephew’s actions. Cheng Tang was the virtuous founder of the Shang dynasty. The Juqiao Granary and Deer Pavilion were places where King Djou stored his grain and money.

  168. Laozi 27.

  169. Yin Ru was a famous charioteer of the Spring and Autumn period.

  170. This was the name of a special technique of charioteering.

  171. A version of this story appears in LSCQ 24.5/158/24–29. See Knoblock and Riegel 2000, 619.

  172. Laozi 75.

  173. For parallels with this section, see LSCQ 20.3/131/1–5; and Knoblock and Riegel 2000, 518.

  174. Presumably as a reward or as plunder from that famous battlefield; see 12.13. The story of Ci Fei is mentioned in 13.21 and 18.25, and a version appears in LSCQ 20.3/131/1–5.

  175. Emending to . The implication is that the two dragons were trying to steal Ci Fei’s rare and valuable sword; he refused to give it up without a fight.

  176. Laozi 75.

  177. Chunyu Kun , a native of Qi, was a scholar who served at the Qi court during the Warring States period and was ranked among the venerable masters of Jixia. He wrote a text, the Wang du ji , which has not survived.

  178. The story of Chunyu Kun also appears in LSCQ 18/4.6. See Knoblock and Riegel 2000, 455–56. The image of Chui portrayed as biting his fingers also appears in 8.5.

  179. This incomplete citation is from a lost passage of the Shenzi. Although Lau does not emend the main text here, we follow his suggested possible emendations at HNZ 12/118/14nn.2, 3. See also Zhang Shuangdi 1997, 2:1315n.8.

  180. Tian Jiu (also known as Tian Qiu ) was a native of Qi and a latter-day disciple of Mozi. A text bearing his name, the Tian Qiuzi, once circulated, but now exists only as fragments.

  181. For parallels, see LSCQ 14.3/72/25–14.3/73/4; and Knoblock and Riegel 2000, 313.

  182. The translation of this passage follows Rickett 1985, 203.

  183. Some commentators emend “thousand” to “ten,” which yields a more plausible picture of the river’s depth as eighty feet rather than eight thousand feet.

  184. Although Lau (HNZ 12/118/21–24) attaches this paragraph to the end of 12.51, we follow the majority of Chinese and Japanese commentators, who include it at the beginning of the current passage. The paragraph, however, does not seem to fit either of the two passages very well.

  185. Viscount Wen of Zhao (also known as Zhao Wu ), head of the Zhao clan and minister of Jin during the reigns of Dukes Dao (r. 572–558 B.C.E.) and Ping (r. 557–532 B.C.E.), was credited with helping revive the prosperity and power of Jin.

  186. Shuxiang (also known as Yangshe Xi ) was an influential grandee and minister of Jin who served in several capacities at the Jin court and whose ideas helped shape its policies.

  187. Jin was unique among Spring and Autumn states in organizing its military forces into Six Armies instead of the customary three. As in many other states, in Jin the command of each of the armies was the hereditary privilege of a particular ministerial clan. In effect, the “Six Generals” is an alternative des
ignation for the “Six Counselors” (or “Six Excellencies,” liu qing ) of the Zhonghang, Fan, Zhi, Zhao, Hann, and Wei clans. The term “general” here thus denotes a hereditary privilege or title held by an aristocratic clan rather than its Warring States period meaning of the professional rank of an individual.

  188. Laozi 58.

  189. Tian Ziyang was a minister of Qi.

  190. This story also appears in Yanzi chunqiu (Master Yan’s Spring and Autumn).

  191. Laozi 58.

  192. Marquis Wen of Wei (r. 446–396 B.C.E.), the first ruler of the independent state of Wei, was renowned for undertaking vigorous reforms and attracting able knights to his court.

  193. Jian Zhong was a minister of Wei.

  194. Bao Shu (also known as Bao Shuya ) was an adviser to Duke Huan of Qi who convinced him to employ Guan Zhong, even though the latter had served the duke’s brother in the struggle over his succession.

  195. Yu Rang appears in Shiji 86:2519–2522. His story is told in the “Book of Zhao” of the Zhanguoce, chap. 232 in Crump, Chan-kuo Ts ’e, 279–81.

  196. Laozi 18.

  197. That is, Confucius.

  198. Duke Huan was the ruler of Lu from 711 to 694 B.C.E.

  199. For a different version of this story, see HSWZ 3.30/23/14–20.

  200. Laozi 15; Lau, Tao Te Ching, 71. Lau notes that the negative bu must have crept into the text by mistake.

  201. Laozi 38.

  Thirteen

  BOUNDLESS DISCOURSES

  USING NUMEROUS examples, “Boundless Discourses” shows that change has always been a part of human history, from remote antiquity to the present day. It argues that successful rulers do not resist change in a futile attempt to uphold the policies and standards of the past but instead modify their actions to suit changing customs and circumstances. Sages, on whom rulers are urged to model themselves, are portrayed as having a unique insight that allows them to see the enduring reality behind superficial qualities. That in turn enables them to adapt to change and innovate while following diverse strategies to realize the Way under varying circumstances.

  The Chapter Title

  The title of the chapter is “Fan lun” , which we translate as “Boundless Discourses,” although “Far-reaching Assessments” would also be a suitable rendering. Fan is closely related to the word fan , “general” or “common,” but with the “water” radical, it has connotations of “floodlike,” “inundating,” “boundless,” and “spreading in all directions.” Lun was used in many senses during the Han, from the verbal senses of “to consider, examine, appraise, argue, elucidate,” and, most prominently, “to discuss, argue, or dispute,” to the nominal sense of “discussion” and “discourse.”

  As is often the case in the Huainanzi, the authors exploit the multivalence of ancient Chinese words so that the chapter title exhibits several important resonances germane to understanding the aims and import of the chapter, nuances that are nearly impossible to capture in a single English translation. On the one hand, rendering the title as “Boundless Discourses” underscores two important aspects of the chapter. It highlights the human phenomenon addressed in this chapter and the object of the sage’s acuity: the “boundless” quality of human society to develop over time toward ever-increasing differentiation, complexity, and multidimensionality. It also relates the chapter title to a genre of writing known as the discourse. Here, however, we would argue that the term is employed rather loosely, as the chapter is not one long discursive essay but is constituted from smaller segments of discourse that together yield a coherent and cogent argument.

  On the other hand, translating the title as “Far-Reaching Assessments” would capture a central theme of the chapter, the sage’s far-reaching ability to assess change and diversity in the world. Such a rendering proposes a narrower and more focused reading of lun. In the Qin legal system, which, largely intact, continued to be used in Han times, the judgment rendered by the presiding official in a legal case was a lun —an “opinion” or a “judgment” legally binding on all parties to the case. Here the term “assessment” indicates that this chapter provides numerous illustrations of how the sage assesses a wide range of situations and historical examples and renders judgments about them to guide the ruler. These are wide-ranging and can be generalized to inform the conduct of the ruler in many kinds of situations; hence the alternative translation “Far-Reaching Assessments.”1

  Summary and Key Themes

  The Huainanzi’s own summary of “Boundless Discourses” in chapter 21, “An Overview of the Essentials,” says that the chapter will enable a reader to “stitch up the spaces in ragged seams and hems, and plug up the gaps in crooked and chattering teeth.” This vivid metaphor for the shortcomings of the present age, depicted as a ragged and disreputable vagrant, uses the image of how things grow old and unserviceable over time to suggest that sage-rulers cannot rest content to follow the ways of ancient times but instead must remain attuned to changes wrought by time and circumstance. The sage must be deeply acquainted with the historical past but not in servitude to bygone ways; he must be prepared to abandon old policies when they become obsolete, innovate when faced with new challenges, and adopt diverse approaches as the circumstances warrant. Nowhere in the text do we find a more comprehensive discussion of change, replete with an elaborate vocabulary that brings out subtle distinctions within the concept, including such terms as “to change” (yi ), “to transform” (hua ), “to alter” (bian ), and “to adjust” (yi ). Numerous historical anecdotes illustrate how sages through the ages have assessed, responded to, and adapted to changing circumstances, and, indeed, one subtheme of the chapter is the ruler’s need for a historically grounded understanding of human affairs.

  The authors of “Boundless Discourses” accept the view, common at the time, that in the most ancient eras of human history, life was idyllic, sages ruled through the inherent Potency of the Way, and governance was uncomplicated. But time, the chapter insists, has marched on and brought with it changes and new challenges that sages met by constantly innovating in diverse ways, including the invention of such virtues as Humaneness and Rightness. Even the sages of remote antiquity are not portrayed as static figures but are celebrated for inventing devices and techniques— rudimentary forms of shelter, clothing, agriculture, transportation, and weaponry— that eased the peoples’ daily struggle to survive and improved their material wellbeing. The Duke of Zhou provides an example of a sage who often altered his course of action to adapt to changing circumstances. Change is both normal and necessary. Early rulers and dynasties that were able to transform themselves and adapt to times and customs thrived; those that did not, perished. Most recently, the founding emperor of the Han is lauded as a model ruler because he adjusted his policies to suit the demands of his day, all the while cultivating moderation as he did so. (This no doubt reflects not only Liu An’s pride in the imperial Liu clan, of which he was a member, but also his strong political interest in the dynastic founder’s policy of establishing and maintaining large, semiautonomous kingdoms such as Huainan.)

  Because sages embrace change, they are anything but uniform in their actions. Rather, they follow historical precedents for both creativity and diversity. Do not blindly revere or follow antiquity, the authors argue, or your state will perish. Laws and rites suitable for any given age will become obsolete with the passage of time. Rulers of the present day must emulate the ancient sages (as they are portrayed here), not in their specific actions and policies, but in their willingness to adjust rites and laws to changing circumstances. In some instances, this adjustment demands promulgating new laws or reforming rites; in others, it recognizes that it is sometimes necessary for a ruler to depart from the usual legal regulations and ritual standards of his time.

  Sages think and act in the context of change, guided by their cultivated and internalized understanding of the Way. Thus they are able to discard obsolete policies that no longer suit the times and use timeliness
and expediency to respond to changing circumstances. As in other chapters, timeliness (shi ) involves seizing the opportune moment to implement a particular course of action. Expediency (quan ) sanctions the suspension of normal standards of conduct, as the context demands, to achieve a greater good. Expediency involves the weighing, sorting, and prioritizing of competing moral imperatives. Choosing properly leads to moral equilibrium (another meaning of quan); the choice depends on the sage’s innate sense of moral values, guided by the Way. Only a sage understands expediency and the power of circumstance from which it derives.2

  Although “Boundless Discourses” emphasizes that the ability to change is an essential component of successful rulership, it also insists that a ruler has to possess the qualities of a sage to understand when and how to change. This begs the question: What, then, is a sage? This chapter points to a number of qualities that add up to sageliness. Attuned to the Way, sages enjoy a unique capacity to assess (lun) the world around them. They can understand and evaluate, in the context of the times in which they live, the circumstances of the moment, the actions of other men, and their own strengths and weaknesses. Sages understand that self-preservation is the foundation of all future policies. They weigh and assess circumstances and preserve themselves, even at the cost of temporary setbacks or humiliation, so as to make their policies effective in the long run.

  Sages seek out worthy individuals wherever they may be found, and they can assess their worth before it is apparent to others, sometimes on the basis of a single word or deed. Ordinary people equate lowly position with lack of merit, but sages overlook superficial negatives to discover underlying worth. Similarly, sages are not confused by strange phenomena and aberrations but use the ordinary and the usual as the basis for assessing situations. Nor are sages distracted by tales of ghosts and spirits, but understand that the common people are guided by superstition and fear, which can be used to control them. But sages do not rely on terrifying and cruel punishments to deter misconduct or on extravagant rewards to encourage good conduct. They understand that the love and loyalty of the people cannot be commanded through fear or bought with bribes, but it can be won through Moral Potency. Sages look for the best in their subordinates and for ways to bring out their best, and they overlook minor shortcomings in favor of significant strengths. Thus good judgment is an essential quality for a ruler: many things are superficially alike but really different, or superficially different but really alike. Sages know how to tell them apart.