Merging Horizons: Authority, Hermeneutics, and the Zuo Tradition from Western Han to Western Jin (2nd c. BCE –3rd c. CE) By Pauli Wai A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Chinese in the Graduate Division of the University of California, Berkeley Committee in charge: Professor Robert Ashmore, Chair Professor Michael Nylan Professor Mark Csikszentmihalyi Fall 2013 Abstract Merging Horizons: Authority, Hermeneutics, and the Zuo Tradition from Western Han to Western Jin (2nd c. BCE–3rd c. CE) by Pauli Wai Doctor of Philosophy in Chinese University of California, Berkeley Professor Robert Ashmore, Chair This dissertation examines the central forms of exegetical authority from early to early medieval China, focusing on the reception history of the Zuo Tradition 左傳 from Western Han to Western Jin (2nd c. BCE–3rd c. CE). Most modern scholarly works treat the Zuo Tradition as a historical narrative of great literary value about China’s Spring and Autumn period (722–468 BCE). My research, however, studies the value and status of this text as an exegetical tradition from the perspective of classicists spanning five centuries. These early scholars on the Zuo Tradition measured its worth according to how well it preserved and explicated the visions of Confucius as lodged in the wording of Annals 春秋 the Classic. Conceptions about the Zuo Tradition evolved through a series of debates and arguments in expository letters, memorials, and essays, as well as commentaries on the Annals and Zuo Tradition. During the Western Han (206 BCE–9 CE), the Shiji 史記 advanced the conception of the Zuo Tradition as a corrective to the divergent interpretations of the Annals. In late Western Han, Liu Xin 劉歆 (46 BCE–23 CE) vied to establish the Zuo Tradition on equal footing with officially sponsored exegetical traditions. But during early Eastern Han (25–220 CE), the Fan Sheng 范升 (fl. 29 CE) versus Chen Yuan 陳元 (fl. 29 CE) debate showed that doubts remained about the authority of the text as an interpretation of Confucius’ messages. Implicitly responding to such doubts, Ban Gu’s 班固 (32–92) writings elaborated on previous accounts about the authorship, transmission, and official precedence of the Zuo Tradition. During the mid-Eastern Han, Jia Kui 賈逵 (30–101) represented the Zuo Tradition as a source of legitimization for the imperial house, while other scholars added to the myths about the Zuo Tradition. The Western Jin (265–317) scholar Du Yu 杜預 (222–284) worked to further shore up the text’s authority by both redefining conceptions about the Annals and privileging the Zuo Tradition as an exclusive system of interpretation of the Classic. In the period under study, successive generations of Zuo Tradition scholars made steps to secure its status in a range of ways, all of them aiming to strengthen the text’s relationship to the Classic. These incremental steps enabled the Zuo Tradition to attain definitive authority in the early Tang (7th c. CE), allowing us to observe a process fraught with conflicting ideas about the text. Thus 1 the study of this historical process helps to merge the intellectual horizons of modern scholars with those of classicists. 2 For my mother and father sister Christine brother-in-law Vu Hong husband Eric Tashima i TABLE OF CONTENTS Abbreviations p. v Acknowledgments p. vi Introduction p. viii Chapter 1 Establishing the Hermeneutic of the Annals (Western Han) p. 1 The general and specific “Annals” in Mencius Confucius as interpreter of historical annals Confucius as compiler of the Annals Textual embedment in Shiji 130 Confucius’ textualized judgments The Annals as embedded standards The Zuo Tradition as stand-in for Confucius in Shiji 14 Elaborating Confucius’ role as editor-compiler Transmission of criticisms Chapter 2 Struggle for Status as an Exegetical Tradition (Late W. Han to Early E. Han) p. 21 The Zuo Tradition in Liu Xin’s “Letter to the Academicians” Mutual corroboration of the Zuo Tradition and other traditions Restoration of fragmented traditions The Fan Sheng vs. Chen Yuan debates over the Zuo Tradition The Zuo Tradition in the context of empire-building Official vs. personal authority Mediation vs. immediacy of instruction from Confucius Problems vs. advantages: Zuo Tradition’s relationship to the Grand Historian Worth by established consensus vs. individual perception Results of the debates ii Chapter 3 Elaborating Accounts about the Zuo Tradition (Hanshu) p. 63 The ardent champion in Liu Xin’s biography Image of Liu Xin as ardent champion Underlining the exegetical character of the Zuo Tradition The myth of Zuo Qiuming Historicizing the Zuo Tradition in the “Yiwen zhi” Reconceiving degrees of separation Double concealment Transmission and institution in the “Rulin zhuan” The account of transmission The question of the Zuo’s establishment during Pingdi’s reign Chapter 4 Omenology and Accounts of Discovery (Mid-Eastern Han) p. 85 Shifting the bases of authority – Jia Kui Background Rewriting the past Shifting of authority: from Confucius to the sovereign Application of apocrypha Assessing veracity and authenticity – Wang Chong Text as artifact and omen Textual correspondence as authority Legends about students of the Zuo Tradition Ascribing antiquity – Xu Shen Interlude: The Zuo Tradition as Perceived Threat – He Xiu Chapter 5 Du Yu’s Reinvention of the Hermeneutic of the Annals (Western Jin) p. 111 Background The Bamboo Annals and Du Yu’s innovations Twin conceptions of authorship: the institutional and the personal Differences from Han conceptions of the Annals Reorientation toward Western Zhou models iii The Classic as summary of Western Zhou political ideals Reestablishment of scribal foundations Establishing the moral neutrality of chronological data Exalting the status of official scribes Redefining Confucius as human author The personal lyric of Confucius Chapter 6 Du Yu’s Creation of a Hermeneutical System (Western Jin) p. 155 Breakthroughs Du Yu’s policy of exclusion Zuo Qiuming as student-disciple Schematization of the interdependent Classic and Zuo Tradition The four methods of structural support Tri-partite structure of the Classic Five categories of “norms” Invitation for Readers’ Inquiry and Experience Conclusion p. 172 Bibliography p. 177 iv ABBREVIATIONS CHC Cambridge History of China Vol. I ECT Early Chinese Texts: A Bibliographical Guide HFHD History of the Former Han Dynasty HHS Hou Hanshu HS Hanshu HSBZ Hanshu buzhu SJ Shiji SSJZS Shisanjing zhushu: Chunqiu Zuozhuan Zhengyi Edition used: Du Yu 杜預 (W. Jin), Kong Yingda 孔穎達 (Tang), comps. Chunqiu Zuozhuan Zhengyi 春秋左傳正義. Vols. 13–16, Shisanjing zhushu fenduan biaodian 十三經注疏分段標點, ed. Shen Qiuxiong 沈秋雄. Taipei: Xinwenfeng chuban gongsi 新文豐出版公司, 2001. ZY Chunqiu Zuozhuan zhengyi 春秋左傳正義. Vols. 16–19, Shisanjing zhushu zhengli ben 十三經注疏整理本, ed. Li Xueqin 李學勤. Beijing: Beijing daxue chubanshe, 2000. v ACKNOWLEDGMENTS Nothing gives me greater joy than to reminisce about the people who journeyed with me to complete this manuscript and the degree. They worked behind the scenes, nourishing, guiding, and giving me company through the past decade or so. As long as it took, the journey would have taken much longer, and been much drearier, had there not been the gracious help of so many. I have had the great privilege to work with Professor Robert Ashmore and Professor Michael Nylan, my revered teachers since my days as an undergraduate and master’s student. The history I had with them is irreplaceable. I grew up intellectually under their wings, knowing that every comment or piece of advice they had was infused with their hope and faith in me. Their indefatigable spirit is inspiring, as they met with me over days, weeks, and years, to shape up my drafts. We have all lost count of the number of drafts they have discarded or cleaned up. But all mistakes remain mine. Other faculty I am thankful for include Professor Mark Csikszentmihalyi, whose balanced criticism and humor lit up my darker days. Professor Paula Varsano encouraged me with her cheer and outsider’s perspective, not to mention helping me land jobs with her prompt letters. Besides being my first inspiration in Chinese studies when I was but a college freshman, Professor Andrew Jones also stepped in as I applied for fellowships. All of them helped to guarantee my livelihood and future for years to come. Professor Sophie Volpp gave me a stronger foundation in Ming-Qing studies as I prepared for my general exam. As the graduate advisor, Professor Dan O’Neill helped to secure funding, giving me the peace of mind to continue my work. Professor Li Wai-yee (Harvard) read my early proposals and drafts, while Professor Stephen Durrant (University of Oregon) generously imparted me the opportunity to critique translations of the Zuozhuan. I have fond memories of sharing meals and watching Chinese opera with them in Taiwan. This project took off with immense help from Professor Lee Long-shien 李隆獻 and Professor Chang Su-ching 張素卿 at the National Taiwan University. They gifted me books and articles and brought me to conferences. They welcomed me to sit in their courses on the Zuo Tradition, taught by Professor Lee in 2006–07, and Professor Chang in 2009–10. My foundation in Zuo Tradition scholarship was laid there during those years. Both of them were generous with their time, responding to my untutored questions with care and respect. I am deeply grateful to Professor Lee for accepting me into his academic and family circles; his warmth and hospitality enlivened my stay in Taiwan, giving me a home away from home. I also extend my heartfelt thanks his daughter, Lee Wei-hsuan 李慰萱, and his student, Tsai Ying-ying 蔡瑩瑩, both my reading partners, spending many a delightful afternoon discussing texts together. Through Professor Lee’s introductions, I also had the great fortune to meet Visiting Professor Gao Jiyi 郜 積意 (Nankai University), who came to mentor me with extraordinary empathy and insight.