China: An Interpretive History: From the Beginnings to the Fall of Han

CHINA:

An Interpretive History

CHINA:

AN INTERPRETIVE

HISTORY

From the Beginnings

to the Fall of Han

Joseph R. Levenson

and

Franz Schurmann

University of California Press

BERKELEY AND LOS ANGELES, I969

University of California Press

Berkeley and Los Angeles, California

University of California Press, Ltd.

London, England

Copyright © 1969 by the Regents of the University of California

Library of Congress Catalog Card Number: 75-78566

Printed in the United States of America

In Memory of a Friend

On April 6, 1969, my friend Joe Levenson drowned in the Russian River of Northern California.

When a friend is alive, we see him only in his parts. Only when he is gone forever, do these parts come together in the unity of a full man. In reading the proofs of this book which bears Joe’s imprint throughout, I sensed for the first time the nature of his quest. The history of China was an analogy to his own life, as a human being, as an intellectual, as a giver of love and friendship to many others, as a believing Jew, as a man who valued beauty and community. What he saw in China was not change with continuity, but fierce diversity which again and again reconstituted itself into unity. For Joe, China was not the triumph of Confucianism as it has been conventionally seen in the field. Nor was China the resultant institutionalization of forces, as it has appeared to me. He saw Confucianism, the doctrines of authoritarian social responsibility, as sharply opposed to the self-oriented anarchism of Taoism. These creeds and the men who upheld them did not live harmoniously together over the many centuries of Chinese history. They fought each other, sometimes bloodily. Yet somehow out of these conflicts came the spirit of syncretism. Confucianism and Taoism, and the many other conflicting currents in China, did not compromise with each other, nor did they learn to live together in peace. What made syncretism possible was the consciousness, learning, and above all humankindness of the Chinese. They realized, already in antiquity, that man has many needs, many parts. If one part overrides or is stunted, then the dialectic of yin and yang will change the constellation of forces, sometimes peacefully, sometimes violently. But the invisible hand of harmony always operates.

Joe began his life of thought on China with questions on the decline of Confucianism, and the substitution for it of revolutionary creeds. Then he looked at contemporary China, seeing there the reappearance of diversity (regionalism). When we conceived this volume on China’s history, we injected into the material of history the problems of our own lives we each wrestled with. Our problems differed, yet the country and history of China are so rich that there were analogies enough for all. The spirit of syncretism preoccupied Joe more and more, as is reflected in this volume.

Like the rich country and history of China, Joe was a human being of many parts. In his life and thought, with more struggle than many of us recognized, he began to realize a syncretism. Perhaps as these volumes were coming into being, the syncretism of his own life and thought would too have developed.

Alone now, I only can offer this volume to the readers. But if we read what Joe has written over the years, we may be able to finish in thought what he has not been able to do in life.

Franz Schurmann

May, 1969

Preface

What should China mean in a history curriculum for western students? Once upon a time it may have seemed that knowledge of China had its value because it was explicitly outside the student’s main concern; this is the value of an exotic fillip. More recently, and plausibly, the emphasis has shifted to China as a major area in world affairs— what one seeks is knowledge of an area that is politically important to the fate of western peoples.

These two points of view seem quite different. Yet, both of them are solipsistic, both of them measure the value of Chinese studies by how they embroider a western culture or how they contribute to western political survival. The intrinsic intellectual interest of this history tends to be overlooked. But China, ancient and modern, is more than exotic, and China is more than a political factor that we need to take into account (though it is that, too); it is an area whose history raises questions of the broadest intellectual concern. If we really mean what we all say now about our discovery of the full dimensions of the modern world, our moral and intellectual realization that European and American histories are not the whole story, we will study Chinese history for its universal significance, not just for its relevance to the needs, political or cultural, of our part of the world.

We have written this book, then, in the conviction that Chinese history is neither an intellectual frill for the western student, nor a discipline simply forced on the good citizen by what he may feel to be the distastefully growing complexity of the modern world. Instead it is really, organically, involved in modern knowledge. Chinese material belongs in the truly universal world of the understanding, transcending area boundaries.

Hoping to bring this out, we have written a book perhaps unconventional as a history text. The chronological principle has been maintained — history has to be, after all, a study of process in unilinear time. However, with our em-

PREFACE

phasis on the intellectual content of the study rather than on area accumulation, we have tried to make the process of learning a process of deepening sophistication, not just a lengthening catalogue of data as time and pages go by. The book is not spun out on the principle of another day, another dynasty. The dynasties come, but new material is not just tacked on to the raw end; rather, as the are of time lengthens, the old material is constantly reinvoked, as more complex, overarching problems are formulated. In effect, as far as the chronologically accumulating data are concerned, the student’s notes are taken for him, in the first section of each chapter. In the second section, assuming the data and emerging out of them, are those definitions of intellectual problems that are at least some of the ends of study, but that so often struggle vainly to be born in the minds of students diverted wholly to means. These problems might be the core of a course, and through them an instructor who is not a specialist in Chinese studies may yet make his training in his own special field really relevant here (instead of irrelevant to a need felt to work up the area data). He really has something to add — the maturity of the guide — instead of just feeling dependent on the same aggregation of foreign detail as he may be assigning his students. And Chinese specialists, too, may welcome a presentation of their subject as a contrapuntal series of problems, which may convert students from passive listeners to questing, creative users of their instructor’s expertise.

Acknowledgments

We wish to acknowledge with thanks permission from Mr. M. B. Yeats, the Macmillan Companies of Canada and London, and Macmillan & Co., Inc., New York, to quote on p. 52 from The Scholars in The Collected Poems of W. B. Yeats (1959);

George Allen & Unwin Ltd., London, to quote on p. 52 from The Book of Songs, trans, by Arthur Waley (1937);

Harvard University Press, Cambridge, Mass., to quote on p. 52 from Ezra Pound, The Classic Anthology by Confucius (1954);

Alfred A Knopf, Inc., New York, to quote on p. 114 from Chinese Poems trans, by Arthur Waley (1964).

Contents

Contents

Background Peking Man (Homo Erectus Pekinensis)

Implications History and Cultural Continuity

Background Chinese Origins: The Legends

Implications The Relation of Legend to Fact

Background Prehistory and the Emergence of Shang

Implications The Historical Point of Departure—to What?

Background Shang Society

Background The Western Chou

Implications The Problem of Historical Analogy: (a) Feudalism as System

Background Incipient Feudal Breakdown: the Spring and Autumn and Confucius

Implications Dialectical Change — the Traditionalist as Innovator

Background The Hundred Schools

Implications Disputation and Creativity

Implications The Problem of Historical Analogy: (b) Feudalism as Stage

Background From Ch’in to Han: I, Confucianists and Office

Implications Bureaucracy, Monarchy, and Social Stability: Confucianism and Legalism as Political Correlatives

Background Han: II, Confucianists and Landownership

Implications Bureaucracy, Monarchy, and Social Tensions: Obstacles to a Capitalist Resolution

Background The Yellow Turbans and the End of the First Great Dynastic Period: the Descent into Disunity

Implications Intellectual Implications of Social Stability: (b) Confucianism and Taoism as Symbolic Opposites

A Note on Bibliography

Index

Background

Peking Man

(Homo Erectus Pekinensis)

Beginning summer, 1926, with the discovery of two human teeth in a cave in Hopei province, thirty-seven miles southwest of Peking, a series of finds through 1929 in related sites established the existence of palaeolithic (old stone age) man in China, about 400,000 years ago. Bones (including a complete cranium), fossilized animal remains, and crude stone tools of an unstandardized or occasional type were found together. (Palaeolithic tools, though no human remains, had been found in 1920.) Analogies have been seen with Mous- terian and Aurignacian palaeolithic remains in Europe, dating from the latter part of the Pleistocene or Ice Age.

On the evolutionary scale, Peking man comes later than Pithecanthropus erectus (Java man) and earlier than Neanderthal.

This bit of information begins Chinese history with what seems easy and indisputable: the beginning. But this topic and the next one raise a difficult question. Here, in Background, we record an undoubted fact about the past, something literally true. Is it unequivocally history? In Background of Chapter 1, dealing with legends, we shall record some nonfacts, things literally false. Are they unequivocally nonhistory? In our discussion in Implications, and subse CHINA: AN INTERPRETIVE HISTORY quently, we suggest that a mode of thought, the historical point of view, must intrude on the data to settle the question. History is neither just a receptacle for fact nor a repeller of fantasy.

Reading

Fairservis, Walter A., Jr., The Origins of Oriental Civilization (New York: Mentor Books, 1959). Paperback.

Implications

History and Cultural Continuity

Before people ever lived, geological processes were working themselves out in time. Was this history? What gives it an air of history, if anything does, is the fact that people finally arrived on the geological scene, with their lives conditioned by what had happened in geological time. At some point, culture must impinge upon landscape, the earth become the world, if human beings (the only ones who have the historical mode of knowledge) are to qualify passing time as historical.

But do people in the abstract have a history as merely universal people, with individual cultures still undifferentiated? If a sense of cultural continuity is indispensable to the historical appreciation, then prehistoric man is rightly named; without such things as an aesthetic and a script, style and stylus — precisely the sort of cultural achievement that sets one people off from another (as Chinese, for example) — no continuity can be traced, and man has no more history than the animals from which he derives. Biological evolution is just that — biological — not historical, and there is nothing about Peking man in himself to make him a figure in Chinese history. He is just man

PEKING MAN in the abstract at an evolutionary stage, with no visible ties of particular cultural continuity down through time to the Chinese people, one of those differentiated groups of humans that alone can have a history.

And yet, like the moon which has no light of its own but nevertheless shines with the borrowed light of the sun, Peking man is given a historical character by the historical retrospect of culturally differentiated men. The very name, Peking man, conveys its sense of location only because true history eventually happened there and in the larger China which Peking inescapably suggests. The very ideas, Peking, China, would be unthinkable if history had not intervened. Without it (and at the time of Peking man himself the world was still without it), these primitive human remains would belong to just a nondescript bit of geological crust.

By naming him Peking man, modern historical man creates him as a historical figure. Objectively speaking, Peking man does not begin Chinese history; it is only because Chinese history ultimately (long after) really does begin that he comes to be placed at its beginning. That is why, when in the 1920’s one Western interpretation of the palaeontological evidence suggested that Peking man was a cannibal (and probably within his own family circle), some Chinese, consciously imbued with historical Chinese culture, with its humanism and its emphasis on family solidarity, were shocked and resentful. Peking man did nothing we will ever know to set a specifically Chinese history in motion. Rather, it was that history which imposed a historical status on Peking man, by placing him in a space that only history stamped as China, and by suggesting, therefore, that continuity somehow must exist.

CHAPTER

Background

Chinese Origins: The Legends

By the fourth century A.D., the Chinese succession of mythic creative figures was completely formulated, as follows (in main lines):

P’an Ku (shaper of the universe: never near the center of Chinese political or religious ideas. His myth was nonChinese in origin.)

The Three August Ones (Fu Hsi, Shen Nung, Huang Ti or the Yellow Emperor), (associated respectively with hunting, agriculture, and the establishing of family names).

The Five Rulers (the last two being Yao and Shun).

Yü (founder of the Hsia dynasty, first of the three eras that became for later generations the Classical Period).

An eighteenth-century Chinese scholar (who did not himself make cross-cultural comparisons) established these figures as illustrations of what seems almost a law of folklore: the later the story teller, the more readily he will supply detail about an earlier and earlier past. Thus, ostensibly the earliest figure in this