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A CLASSICAL CHINESE PERSPECTIVE TOWARD LITERATÜRE:

LIU XIE’S THEORY OF ^^WENXIN”

DISSERTATION

Presented in Partial Fulfillment of the Requirements for

the Degree Doctor of Philosophy in the Graduate

School of The Ohio State University

MINRULI,B. A.,M. A.

*****

The Ohio State University

1996

Dissertation Committee: Approved by

David Y. Ch’en

Yan-shuan Lao Adviser, Department of Kirk Denton East Asian Languages & Literatures UMI Number: 9620036

This microform edition is protected against unauthorized copying under Title 17, United States Code.

UMI 300 North Zeeb Road Ann Arbor, MI 48103 To My Mother and Ailian

II ACKNOWLEDGEMENTS

My deepest appreciation goes to Professor David Y. Ch’en, whose

instructions, especially that of Wenxin diaolong, have a great influence on my

academic thinking, and have shaped my development as a scholar during the

years at the Ohio State. Without his encouragement, insightful advice, and

criticism, the completion of this dissertation would not have been possible. I

express sincere appreciation to Professor Yan-shuan Lao for his guidance in my reading of the Chinese classics, for his advice, suggestions, comments on the dissertation drafts, and for his open and innovative intellectual attitude he exemplifies. I would like to thank Professor Kirk Denton for his friendship, careful reading and invaluable critical comments, which have tremendously helped to improve the quality of this work. My gratitude goes to Professor

Timothy Wong for his encouragement and discussions on the project, and to

Professor Frank F. Hsueh for his insightful instruction in Chinese linguistics. I am deeply indebted to the late Professor James Liu for his acceptance of me as his student at Stanford. I regard my critical comments on his work as a best memory of him and his pioneering works in the field of classical Chinese poetics. I am

iii grateful to the Department of East Asian Languages and Literatures at The Ohio

State University, and the East Asian Section of the Main Library-especially

Carmen Lee and Daphne Hsueh-for their support and encouragement, I also wish to express my thanks to Professor Yang Mingzhao for teaching me

Wenxin diaolong at Sichuan University, Professor Wang Wensheng for providing me with valuable materials and suggestions. Dr. Hu Wenze for his technical assistance in computer, Mr. He Dajiang for his friendship and inspired discussions, Ms. Robyn Hamilton for reading of my draft of Chapter One, Ms.

Juming Tong for checking several notes, and Dr. Mark Bender for reading of my draft and suggesting stylistic changes. I highly appreciate Li Jianzhong and Yi

Zhongtian for mailing me their works and Professor Cao Shunqing for his discussions. I thank my parents, brothers, and sisters for their warm support in all my endeavors for these years. To my wife, Ailian Peng, I deeply appreciate her sufferings and hard work during my lengthy project. I also owe a debt to my son, Han, for his patience and cooperation.

IV VTTA

October 16,1953 ...... Bom, Changsha, Hunan, People’s Republic of China

1980 ...... B. A. Chinese Department, Changsha Metal College, Hunan, China

1982 ...... M. A. Chinese Department, Sichuan University, Chengdu, China

1983-1985 ...... Lecturer, Chinese Department, Wuhan University, China

1985-198 6 ...... Visiting Scholar, Yale University

1986-198 7 ...... Ph. D. Student, Department of East Asian Languages, Stanford University

1987-199 0 ...... Graduate Teaching Assistant, The Ohio State University

1991...... M. A. Department of East Asian Languages and Literatures, The Ohio State University

1990-1994...... Graduate Administrative Assistant, Main Library, The Ohio State University

1995...... Lecturer, Department of Asian Languages and Literature, The University of Auckland, Auckland, New Zealand

FIELDS OF STUDY

Major Field; East Asian Languages and Literatures Specialities: Chinese Literary Criticism and Classical Chinese Poetry Minor Field: Comparative Literature TABLE OF CONTENTS

DEDICATION...... ii

ACKNOWLEDGMENTS...... iii

VITA...... V

TABLE OF CONTENTS...... vi

LIST OF FIGURES...... vii

CHAPTER PAGE

Introduction...... 1

I. Expressive or Metaphysical: A Controversial...... Issue 14 n. Wenxin: The Central Concept...... 39 ni. The Integrated Theory Originated from the PerspectiveWenxin.S5 of

IV. Wenxin as a Medium Between the Reader and the Author...... 142

V. Functions ofWenxin in Chinese Culture...... 187

Conclusion...... 217

Bibliography...... 222

VI LIST OF FIGURES

FIGURES PAGE

1. M. H. Abrams’ Triangular Diagram ...... 15

2. James Liu’s Circular Diagram ...... 21

3. Wai-lim Yip’s Diagram ...... 32

4. James Liu’s Diagram of Dao, Sage and Literature ...... 57

VII INTRODUCTION

This work attempts to solve the puzzle that has bothered the writer for years;

Is there any systematic viewpoint behind the fragmentary statements, with the notable

exception of Liu Xie’s (ca. 465-538) Wenxin diaolong hr classical

Chinese literary criticism (classical here refers to the time from the earliest period to

the late Qing Dynasty)? Answering this question will help us understand the nature

of Liu Xie’s Wenxin diaolong and that of classical Chinese literary criticism as a

whole.

Classical Chinese literary criticism, generally speaking, takes the following

six forms: 1) scattered comments on literature in works such as Lunyu

(Analects) and Zhuangzi (Works of Zhuangzi); 2) essays and letters, usually

very short, such as Cao Pi’s W3S (187-226) Dian lun, “Lun wen” (A

Discourse on Literature) and Bai Juyi’s (772-846) “Yu Yuan Jiu shu

(Letter to Yuan Zhen); 3) prefaces and postscripts, often terse and brief,

such as Zhaoming wenxuan (Preface to Literary Anthology

Edited by Prince Zhaoming); 4) poems on poetry, usually quatrains offering allusive comments, such as Yuan Haowen’s (1190-1257) ‘Xun shi jueju sanshi shou” (Thirty Quatrains on Poetry); 5) remarks and random notes on poetry, characterized by short entries, such as Lii^i shihm ^ —'HfU

1 2 (Talks on Poetry) by Ouyang Xiu # # # (1007-1072); and 6) interpretive

comments, interspersed in, and jotted down on the margins of, literary works, such as

Jin Shengtan’s (16107-1661) marginalia and comments on Shui hu zhuan

(All Men Are Brothers). These forms share a fragmentary and unsystematic

structure of discourse. Zhu Guangqian thus comments that pre-modem

Chinese literary criticism is largely “chaotic and fragmentary, unsystematic; it tends

toward the subjective and placing too much faith in tradition, and lacks the spirit of

science and methodolo©^.”^ Yang Songnian in an article entitled

“Zhongguo shilun zuopin qianque xitong zhi wend

(The Problems of the Absence of Systematically in Chinese Works on

Poetry)” also points out; “In a comprehensive survey of these works, we discover that critics often stated their opinions in fragmentary comments, or random notes, or compilation and annotations on poetry. Hence the problem of an absence of system appeared.”^

Standing apart from these unsystematic works in classical Chinese literary criticism, however, is a book that is strikingly systematic both in structure and content. That is Liu Xie’s Wenxin diaolong, a work remarkably well organized, consisting of 50 chapters, consciously matching the great number of 50 mentioned in the Yi jing (Book of Changes).** These SO chapters are divided into four parts:

Chapter One to Five belong to Part One, a guideline of his theory, or in his own words, discussion of "the crucial factors of literature”;^ Chapter Six to Twenty-five constitute Part Two, in wfrich there is a discussion of 34 genres or sub-genres; 3 Chapter Twenty-six to Forty-four are Part Three, discussing issues of composition,

including the writing process, techniques of writing, and the relation between

tradition and creativity; Chapter Forty-five to Forty-nine are devoted to literary

criticism, touching upon issues such as interpretation, reading, and understanding.

The work concludes with an “Afterward.” ®

Not only is the structure of his text uniquely systematic among works of

classical Chinese literary criticism, the expository style Liu uses is also rarely seen in

pre-modem China, In each chapter, some basic concepts are amplified, as Stephen

Owen says, “by tracing the origins of the term, developing each element of a

compound, drawing analogies from other uses of the term, mentioning important

source passages, and building highly structured sets of illustrative examples.”’

Moreover, these basic concepts reappear in other chapters, forming strands that

weave the work into an organic whole. For instance, the idea of “zongy/«g”^ M

(revering the Classics) finds its echoes in various chapters such as “Bian Sao”

(Analysis of Sao), “Ming shi” (An Exegesis of Poetiy), and “Qingcai”

(Emotion and Literary Expression). The term qi ^ (vital energy) appears in

chapters “Yang qi” (The Nourishing of Vitality), “Tixing” (Style and

Nature) and “Feng gu” (Wind and Bone). In terms of structure and rhetoric,

Liu Xie’s Wenxin diaolong is abnormal in classical Chinese literary criticism and is often compared with Aristotle’s Poetics}"

How can one explain this phenomenon that there exists but one systematic work in the long history of classical Chinese literary thought? Did pre-modem 4 Chinese after Liu Xie not have the logical capacity to establish and develop their own

system(s)? Is Liu Xie’s work alien to other works of Chinese literary criticism and is

his work thus outside the Chinese cultural tradition? To answer these questions, we

have to, first, study Liu Xie’s theoretical system.

System in literary criticism has two meanings. One concerns discursive

structure. If a work is divided into several parts and then well organized within a

framework, which means a central theory governing others, and all theoretical issues

are clearly ananged in a certain order, we can claim that this work is systematic. In

this sense of system, Zhu Guangqian and others are correct to name classical Chinese

literary criticism unsystematic, for fi-agmentaiy comments and random notes indeed

constitute its dominant forms. Hence, I name this unsystematic in form. The other

meaning of “systematic” refers to content If a work contains an organic and consistent perspective toward literature, fi-om which the critic expresses his opinions of literature, we can say that there is a system in the work, though on the surface its statements are fragmentary and scattered fit this way, some works of classical

Chinese literary criticism after Liu Xie may be systematic. That is, the author views literature from a certain perspective and there are no fundamental conflicts among various theories in the work, though they are unsystematic in form or structure. By studying these formally unsystematic statements, we may discover that the fragmentary opinions come from a certain systematic and organic viewpoint In other words, unsystematic statements perhaps reflect a systematic view or perspective. It is from the second definition of ^stem that Ji Xianlin writes: 5 “I am always aware that there is a comprehensive system in classical Chinese literary

criticism.”’ When Xu Zhongyu # ( # 2 discusses Liu Xizai's ( 1839-1881 )

works of literary criticism, he also points out that although Liu Xizai’s works on art

are mostly in the form of quotations and notes, seemingly fragmentary, scattered, and

without any obvious system, if we read them more closely, we will discover that his

opinions adhere to a logical system. It is from the second definition of system that I

shall proceed in my research of Liu Xie’s Wenxin diaolong and its relationship with other works of Chinese literary criticism.

The study of the theoretical system in the Wenxin diaolong still needs to develop. As Mou Shijin points out; “As for the study of the theoretical system in the Wenxin diaolong, although there have been a small number of articles touching upon this issue (1914-1977), there was no special study devoted to it.” Since

1977, scholars have paid more attention to this issue, but because of “the complexity of this issue, the current various opinions can be regarded as merely preliminary studies.”^^ Scholarly opinions on the subject of ^stem in Wenxin diaolong can be divided into two groups. The first uses traditional terms to describe Liu Xie’s system.

Mou Shijin for instance, describes the core of Liu Xie’s system as “flowers and fruits” xianhna peishi , which focuses on the relations between outside things and affections, the affections and language, language and things.’^ Li

Miao regards “Six characteristics” liicyi as the backbone of Liu’s system. The problem with this approach is that it lacks a solid framework to guide 6 the analysis and misses the essential connection between Liu Xie’s Wenxin diaolong

with other works of Chinese literary criticism.

The second approach uses Western frameworks, especially that which M. H.

Abrams offers in his book. The Mirror and the Lamp: Romantic Theory and the

Critical Tradition Abrams selects the tour essential elements of literature: the

universe, the author, the work, and the reader and thus forms a triangular diagram,

containing four theories (orientations)-the imitative (universe-oriented), the

expressive (author-oriented), the objective (work-oriented), and the pragmatic

(reader-oriented)—in order to summarize various theories of literature in the West.

Abrams’ approach is strong in theoretical thinking, but the various opinions concerning Liu Xie’s book indicate the problem of merely adopting a Western model. For example, Di Zhaojun views Liu Xie’s system as mainly

“pragmatic,” while James Liu regards it as “metaphysical,” and Donald A. Gibbs as

“expressive.”*^ Their differences not only reveal the complexity of the issue but also raise the question of the suitability of using Western frameworks in the study of

Chinese literary thought, which I shall discuss at length in Chapter One.

The approach I take in this study differs from both of the above. I do not insist on using traditional Chinese terms, nor adopt purely Western ones. Instead I attempt to place Liu Xie’s work in the context of Chinese culture and study his system by means of comparative poetics. The framework I shall use is based on a diagram developed by Wai-lim Yip. In his diagram. Yip adds another element, cultural background, to Abrams’ diagram, and forms a new one, in which socio- 7 cultural/historical context locates in the center, radiating to various orientations.

Moreover, he emphasizes that the combination of the cosmological, the social, and

the aesthetic orders should be an ideal field for literaiy criticism, which I shall

introduce in Chapter One. By applying Yip’s approach to studying Liu Xie’s work, I

find Liu’s theoretical system embodied in one compound (the English

translation of which is discussed in Chapter Two). My analysis of this compound

constitutes the important and original contributions of this study. Surprisingly, there

is no entry for the term “wenx/n” in either the Ciyuan or the Cihai and

almost all the works studying the Wenxin diaolong explain this compound by merely

quoting Liu Xie’s words “"wenxin zhe, yan wei wen zhiyongxinye”

(The patterned/literary mind \yvenxin] means the use of mind [or

“intent effort”] in writing [making wen],) without detailed interpretation (as for the problem of translation also see Chapter Two). My study sees that wenxin as a synthetic and tripartite system. It consists of three meanings, the wenxin of Heaven

{tian wen and Daoxin of the Sages (shengren zhi wen and shengren zhi xin W and of literature (wenren zhi wen and wenren zhi xin Furthermore, it identifies with the three orders in Yip’s framework: the cosmological, the social, and the aesthetic. By playing on the polysemy of the Chinese language, Liu Xie skillfully combines the three meanings into an organic compound and establishes his system highlighting Chinese cosmology, social idea and literary thought. Previous scholarship, like that discussed above, each reflects one side of this integrated system. Di Zhaojun focuses on the social functions of wenxin, while James Liu emphasizes its cosmological order, and

Donald Gibbs the importance of the individual poet’s expression. They grasp one

aspect of Liu Xie’s system but fail to see the whole picture. My study is predicated

on the control idea that the three aspects of wenxin cannot be separated and must be

understood as a whole. I locate Liu Xie’s system in the center of Yip’s diagram and

show how it radiates towards the various orientations.

The dissertation is structured as follows. Chapter One introduces my approach by setting it off from those taken by James Liu and Donald Gibbs and raising the issue of the suitability of Western frameworks in studying Chinese literaiy thought. Chapter Two is devoted to a definition of wenxin, especially its three meanings and orders. Chapter Three discusses Liu Xie’s integrated theory, focusing on the relation between wenxin and its orientations toward the universe and the author. Chapter Four illustrates Liu Xie’s ideal reader; a perfect understanding between the reader and the author via the medium of wewx/n. Chapter Five focuses on the social functions of wenxin concerning the interactions among the author, the work, the reader, and the universe. The conclusion will discuss the appropriateness of the term “Zongrne” f l j p (the study of dragons) to designate Wenxin diaolong scholarship and suggest changing it to “Wenxinxue” (the study of wenxin).

From my research into the concept of wenxin, I shall offer a hypothesis to solve the puzzle of why later Chinese literaiy criticism lacked systematicity. Since

Liu Xie illustrated the system of wenxin, which was shaped by, and originates from, Chinese culture, Chinese critics followed it till the late Qing, when Western 9 methodology and theories were first imported and began to shake the foundation

of the old system. Therefore the so-called unsystematic treatises on literature

after Liu Xie do not mean there was no system at all. On the contrary, the

Chinese had a system and practiced it in their literary criticism. As Xu Zhongyu

points out “The masters in classical Chinese literary criticism did not write

systematic works. This does not mean they could not do it, but they did not want

to do so, or they regarded doing so as unnecessary or even looked down upon doing this.”'® The key-point here is that they regarded doing so as unnecessary, for there existed Liu Xie’s model before them, and it was unnecessary to repeat its formal properties. In other words, later Chinese literary criticism feels no obsessive need to assert new systems against the old. The theoretical assumptions of Liu Xie’s system simply remain latent within later critics’ works.

The influence of Wenxin diaolong on classical Chinese literary criticism supports the above hypothesis. Unlike Aristotle’s Poetics which was lost for about a thousand years, the Wenxin diaolong was read continuously in Chinese history. When Liu Xie was alive, his work was praised by Shen Yue (441-

513) as “understanding deeply the principles of literature,” and Shen kept it within easy reach on his desk.'^ In the Tang Dynasty, Yao Silian in his

Liang shu (History of the Liang), and Li Yanshou in Nan shi

(History of the Southern Dynasties) recorded a biography of Liu Xie, and quoted

Wenxin diaolong. Yan Shigu Lu Zhaolin Liu Zhiji and Lu Guimeng of the Tang had high praise for Liu’s book. Liu Zhiji, 10 for example, in his “Preface to Shi admitted that his own work

followed the structure and system of Wenxin diaolong. Therefore the modem

scholar Li Xiang agreed that; “Liu Zhiji’s Shi long imitates Liu Xie’s

Wenxin diaolong in structure/system (ti Sun Guangxian of the

Song realized the significance of Liu’s work:

The way of fengya is completely represented in the Confucian edition of the Booh o f Songs. The theoiy of praise and satire is presented clearly in Âe “Great Preface of the Book o f Songs’^ by Bu Shang. Down to Qu Yuan and Song Yu, to the Qi and Liang Dynasties, only Liu Xie’s Wenxin diaolong could trace the source and development of poetry, analyze the meanings of words, and discuss deeply controversial issues, then form his own maxims. Later on no book in literary criticism can surpass it. mmzm, jLszam^i mizm, hwzm^. m s B m , M fwm , m m m m . * * * # , » , » z s , w , iSltfc. "

Sun’s comments not only point out that Liu Xie’s system is rooted in

Chinese tradition, but more importantly that Liu’s work was so influential that no

works did surpass it. In the Qing Dynasty, Liu Xie’s work has attracted more

attention and the study of the work became an illustrious field in the late Qing.

When I say that there existed only one system in literary thought does not mean there were no developments in the history of Chinese literary criticism. Rather, these developments failed to change Liu X e ’s system in any fundamental way.

Moreover, Liu’s system is not a closed but an open one, radiating from the center towards various directions and inviting developments in every direction. We can observe the fhiitful developments in later generations. If the above hypothesis 11 were accepted, the history of classical Chinese literary criticism should be

rewritten to illustrate how the Chinese system was established, has developed,

and what the characteristics of classical Chinese literary criticism are. I hope my

study will contribute to future research of Wenxin diaolong as well as the history

of classical Chinese literary criticism in general.

Due to the excellent efforts made by Vincent Yu-chung Shih and Stephen

Owen and others in their translations of Liu Xie’s work and other Chinese literary critical works, I shall adopt their translations as much as possible and cite the original sources in my notes. Otherwise, the translation will be mine. As for the romanization of Chinese words, I use the Pinyin system throughout my work and transfer uses of other systems to it without specific note. 12 NOTES:

‘ Liu Xie’s dates are a veiy controversial issue in the academic field. Yang Mingzhao’s suggests that his &tes should be ca. 466-538, see his Wenxin diaolongjiaozhu shtyi (Shanghai: Shanghai guji chubanshe, 1982), 1-4. Fang Wen Lan regards Liu’s dates as ca. 465-521. See his Wenxin diaolong zhu juan 1. Wang Gengsheng holds the opinion that Liu’s dates should be ca 464-522. See his "Liang Liu Yanhe xiansheng nianpu in his Wenxin diaolongyanjiu (Taibei: Wen shi zhe chubanshe, 1976), 71-123. Li Q in g jia ^ ^ ^ raises his opinion that Liu’s dates should be ca. 465-532. See his “Liu Xie zunian kao” in Wenxin diaolong yanjiu lunwenxuan ed. Fu Zhi and Tu Guangshe (Jinan; Qi Lu shushe, 1987), 52-63. This issue needs my further study.

^Zhu Guangqian Shi lun, “Kangzhan ban xu” in Zhu Guangqian meixue wenji (Shanghai: Shanghai wenyi chubanshe, 1982), 2:3-4. Kirk A. Denton, ed. Modern Chinese Literary Thought: Writings on Literature, 1893-1945 {Statafoxd: Stanford University Press, 1996), 13-4.

^ Yang Songnian "Zhongguo shilun zuopin qianque xitong zhi wenti in his Zhonggyo gudian wenxue piping lunji (Hong Kong: Sanlian shudian, 1987), 58.

^ Liu Xie, Wenxin diaolong, “Xu zhi” in Zhou Zhenfu Wenxin diaolongJinyi (Beijing: Zhonghua shuju, 1986), 448. Also see Zhou yi, “ Xici shang” "Among the great number 50,49 are about functions," in Shi san Jing ed. Wu Shaping (Beijing: Yanshan chubanshe, 1991), 78.

^ Vincent Yu-chung Shih, trans. Literary Mind and the Carving o f Dragons (Hong Kong: The Chinese University Press, 1983), 7. Zhou, 448.

® As for the structure of the whole book, there appear different opinions. For example, Luo Genze 0 ^ ^ regards the first 25 chapters as "theory of genres," and the rest 25 chapters as “theory of composition,” except four chapters- “Shixu” , “Zhiyin” “Chengqi” and “Xu zhi” Jÿife. See his Zhongguo wenxue piping shi (Shanghai: Gudian wenxue chubanshe, 1958), 225. There are more arguments about the position of Chapter Five “Bian Sao” which I shall discuss in Chapter Two. I follow Zhou’s opinion, see Zhou, 1-3.

^ Stephen Owen, Readings in Chinese Literary Thought (Cambridge: Harvard University Press, 1992), 184. *Ibid, 185.

^ Cited in Wang Yuanhua Wenxin diaolong chuan^uo lun (Shanghai; Shanghai guji chubanshe, 1984), 310.

’°Xu Zhongyu and Xiao Huarong # # # , “Xu lun j f # " toLiuXizai lun y i zAoMg (Chengdu: Ba Shu shushe, 1990), 3.

” Mou Shijin, “Longxue qishi nian gaiguan” in Wenxin diaolong xin yanjiu huicui ed. Rao Pengzi # ^ (Shanghai: Shanghai shudian, 1988), 31.

Mou, 32.

'^Mou Shijin, “Wenxin diaolong de zonglunjiqi lilun tixi” in Wenxin diaolong yanjiu lunwen xuan ed. Fu Zhi and Tu Guangshe (Jinan: Qilu shushe, 1987), 216-234.

‘'^Li Miao “Lue lun Wenxin diaolong de wenxue lilun tixi” Wenxin diaolong xuekan'SC.>ÙW^^^>\ 1 (1983).

^®Di Zhaojun Zhong Ying bijiao shixue (Shanghai: Shanghai waiguoyu xueyuan, 1992). James Liu, Chinese Theories o fLiterature (Chicago: The University of Chicago Press, 1975), 122. Donald A. Gibbs, “Literary Theory in the Wenxin diaolong'' (Ph. D. dissertation. University of Washington, 1970).

Ciyuan (Beijing: Shangwu janshuguan, 1981). Cihai (Shanghai: Shanghai cishu chubanshe, 1979). Jia Jinfu ed. Wenxin diaolong cidian (Jinan: Jinan chubanshe, 1993). “Wgnxm drao/ong ciyu jianshi” in Zhou, 473. English translation, see Owen, 292.

"X u Zhongyu, “Du jindai wenlun zhaji, di si: Liu Xizai di YvyiyueyarC^ H23. Wenyi lilun y a n jiu 'S C ^ '^ ^ W ^ 6 (1990)55.

'®See Liang shu, “Liu Xie zhuan” cited in Yang Mingzhao, 407.

Yang, 433,452.

^®Sun Guangxian “Bailian ji xu” cited in Yang, 434. CHAPTER!

EXPRESSIVE OR METAPHYSICAL;

A CONTROVERSIAL ISSUE

In the study of Wenxin diaolong by means of Western analytic approaches,

especially that in M. H. Abrams’ work The Mirror and the Lamp: Romantic

Theory and the Critical Tradition, two of the most significant studies attract my

attention. Whereas one regards the system in Wenxin diaolong as "expressive," or

in M. H. Abrams' words, "writer-oriented," the other classifies it under the rubric

of "metaphysical," or as Abrams calls it "universe-oriented." In this chapter, I shall examine not only the validity of the above opinions, but also the suitability of a Western approach to the study of Wenxin diaolong and classical Chinese literaiy criticism as well. Moreover, I shall look for a new approach that can be used in my study of Liu Xie's work.

In 1970, five years after the publication of the first complete English translation of Wenxin diaolong by Vincent Yu-chung Shih, Donald Arthur Gibbs,

Shih's student, finished his Ph.D. dissertation, an analysis of the theoretical system in Wenxin diaolong. The reason Gibbs chose this as the topic of his dissertation is that: “Liu's work has been admired for nearly fifteen centuries in

14 15 China as its most famous extensive treatise on literature, but we cannot yet point

to any modem, objective study, in any language, which undertakes a systematic treatment of the entire fifty chapters of the work.” ' In order to undertake this systematic treatment of Wenxin diaolong, Gibbs adopts M.H. Abrams’ framework. Based on his survey of the history of Western literaiy criticism,

Abrams offers a triangular pattern for placing diverse aesthetic theories onto a single plane of discourse:

Universe

Work

Artist Audience

Figure 1. Abrams’ Triangular Diagram

Abrams points out a veiy important feature of Western theories of literature: "Although any reasonably adequate theory takes some account of all four elements, almost all theories, as we shall see, exhibit a discernible orientation toward one only."^ He thus classifies all the theories in the history of

Western literary criticism into four basic orientations, each corresponding with one theoiy:

1) Mimetic (universe-oriented) 16 2) Pragmatic (audience-oriented)

3) Expressive (writer-oriented)

4) Objective (work-oriented)^

By applying the above approach to Liu Xie's Wenxin diaolong, Gibbs puts

Liu's treatise on literature under the rubric of "expressive theory." According to

Gibbs, Liu's theoiy meets Abrams' criteria of “expressive theory,” which may be

summarized in this way;

A work of art is essentially the internal made external, resulting from a creative process operating under the impulse of feeling, and embodying the combined product of the poefs perceptions, thoughts, and feelings. The primary source and subject matter of a poem, therefore, are the attributes and actions of the poefs own mind; or if aspects of the external world, then these only as they are converted from fact to poetry by the feelings and operations of the poefs mind.'*

In the light of Abrams' criteria, Gibbs finds that in Wenxin diaolong:

Liu cast his theoretical approach in the compelling terms of a cosmology that regards all phenomena as having been conceived in both inner and outer aspects. The inner configuration of attributes is the determinant of outward appearance; e.g.. the inner constitution of a sphere determines that it appears round, and that it rolls. For the artist, the locus of his inner attributes is his heart, or mind ‘t>{xiny, and its outward aspect, in the form of writing, is wen'SC.. ■■.. This same wenxin 'SC‘Ù‘ concept in fact governs all subsequent chapters, including those in which Liu expands his critical attention to include objective and pragmatic concerns.^

As a pioneering work that applies a Western model to Liu Xie's Wenxin diaolong,

Gibbs' effort is worthwhile. He pays attention to the theoretical system in Liu 17 Xie’s work and paves the way for later studies. In Wenxin diaolong, there does

exist a theoiy close, or similar, to the concept of the expressive theory in the

West. And his penetrating insight that regards wenxin as the central concept

which "governs all subsequent chapters" is admirable. In examining Gibbs'

analysis of Wenxin diaolong as a whole, however, we must raise the following

questions.

First of all, classifying Liu Xie's system as "expressive" creates problems when we come to the chapter "Yuan Dao" MüË (On Dao, the Source,^ or

Retracing the Genesis \ Gibbs' treatment of this question is to shift the relationship between Dao ^ and natural phenomena to the relationship between the writer and his writings by saying: “His [Liu Xie's] first chapter describes a conception of mind and of writing which takes the position that all perceivable phenomena come into being in a simultaneous creation of an inner constitution and an exterior appearance.”^ In this way, he conflates the two relationships, that between Dao and natural phenomena, and that between the writer and his writings, into one—inner and outer correspondence. He cites natural phenomena like “ripples of water” and “tiger’s skin” as examples of outer phenomena coming from internal contents, to support his point:

One of his [Liu Xie's] examples is that of water. Water, he explains, is by nature fluid, and therefore produces ripples on its surface, whereas trees, which are solid in substance, produce the tangibles of foliage and blossom. These are obvious instances, he says, in which the external content is subordinate to the internal 18 content. But so perfect is the inner-outer correspondence in nature that there are instances, too, where the reverse is evident, and the inner nature of a thing is subordinate to its outer nature, or appearance. His illustration for this is the example of two animals known best for the dignity and awesomeness of their appearance. “If the tiger or the leopard had no markings,” Liu says, “then by hide alone they would not differ from dog or sheep.

Equaling the natural phenomena with the writer's internal power, he ignores a

vital difference between manifestation and expression. James Liu in his book

entitled Chinese Theories o f Literature, criticizes Gibbs' opinion:

The analogy between tiger's and leopard’s skins, on one hand, and literature, on the other, points at a crucial difference between Liu's conception of literature and the purely expressive one: whereas Liu sees literature as part of the cosmic process of natural manifestation of irmer qualities through outward patterns, purely expressive theorists see it as self-expression intended by the writer. To ignore this vital difference and call Liu Xie a primarily expressive theorist is to confuse manifestation with expression, which would lead to the absurd conclusion that tigers and leopards consciously express their natures by means of stripes and spots.

1 will illustrate the difference between manifestation and expression later. My

point here is that Gibbs’ adoption of Abrams' framework leads to a failure to

capture the complexity of Liu Xie’s thinking.

A second question to raise about Gibbs’ approach is that, in the process of fitting the system of Wenxin diaolongXo Abrams’ framework, he eventually distorts both Abrams' theoretical framework and Liu Xie's theory. An example is the objective theory in Liu Xie’s work. According to Abrams, the objective theoiy, or orientation, is one "which on principle regards the work of art in 19 isolation from all these external points of reference, analyzes it as a self-sufficient

entity constituted by its parts in their internal relations, and sets out to judge it

solely by criteria intrinsic to its own mode of being."" That is to say, the

objective theory is at the level of a theory of literature that answers questions

such as the nature of literature and its functions, not at the level of literary

theory that refers to discussions of technical issues, such as "how to write a

literary work?" This distinction between theory of literature and literary theory is made clear by James Liu in his Chinese Theories o f Literature, in which he states that theory of literature concerns nature and functions of literature, and literary theory deals with practical criticism in such aspects of literature as form, genre, style, and techniques. It is clear that Abrams here defines the objective theory as one theory of literature. Hence he admits that the "objective orientation" has been comparatively rare in the history of Western literary criticism, and as an all-inclusive approach to literature, which was just beginning to emerge in the late eighteenth and early nineteenth century in the West. The famous representative of this theory is New Criticism. " Obviously, “the objective theory,” in Abrams’ work, does not refer to a theory at the level of literary theory, e.g., discussion of techniques in composition, which can be found in documents all the ages. In the same consideration, when he studies

Chinese theories of literature, James Liu eliminates the "objective theory" from 20 his diagram by dissolving it into writers’ and readers’ points of view. Another

scholar, Wai-lim Yip points out very clearly that we still cannot decide whether or

not there is an "objective theory" in classical Chinese literary criticism.'^

Gibbs, however, spends a whole chapter discussing Liu Xie's "Objective

Considerations" and wants to place this orientation under the rubric of the

expressive theory. He focuses on the technical issues in Liu Xie’s work instead of

theory of literature without making any different definition from Abrams'. In

the same way, he tries arduously to find mimetic theory in Liu Xie's work and

recognizes that in Liu Xie’s work, there are "only a very limited critical regards

for the mimetic aspect of literary art."'’

Gibbs regards his research in Wenxin diaolong as an evidence of the

universality of Abrams’ framework. At the end of Chapter One of Gibbs’

dissertation, he hopes that "if we are successful [in applying Abrams' approach to

Wenxin diaolong\, then we may also be able to show that the universality claimed for Abrams' theoretical framework is valid for at least this major treatise in

China's medieval period, and that literary thought in China and Europe can be brought, as Abrams hopes, to 'a single plane of discourse.'"'* Unfortunately, from the above questions we can see that his experiment is not as successful as he hopes, though it is a worthwhile one. 21 Realizing the problems in Gibbs' approach, James Liu in his study of

classical Chinese theories of literature rearranges Abrams' diagram into the

following:

UNIVERSE

Phase IV Phase I

READER WRITER

Phase m ' / Phase II

WORK

Figure 2. James Liu’s Circular Diagram

Comparing James Liu's diagram with Abrams', we notice the following changes.

First, unlike Abrams’ diagram which locates the work at its center, James Liu

changes Abrams' triangular pattern into a circle, for he believes that in literature,

no work can come into being and reveal the reality of the universe without the writer’s labor. Second, he changes the term "orientation" into "phase,” as we will see in his classifications below. For Abrams, the focus is on the poles in which

Western theories are located, while in James Liu's, the "interrelations" among the four poles (or elements) are emphasized. Third, following the principle of

"interrelation," Liu classifies classical Chinese theories of literature into six categories:

1) metaphysical theories—on Phase I between universe and writer; 22 2) deterministic theories—on Phase II between writer and work;

3) expressive theories-on Phase U;

4) technical theories-on Phase U;

5) aesthetic theories—on Phase HI between work and reader;

6) pragmatic theories—on Phase IV between reader and universe.

Liu’s classifications omit two of Abrams’ theories, “the mimetic" and “the

objective." As Liu puts it, "while some Chinese theories are remarkably similar to

Western ones and may be classified in the same way, others do not fall easily into

any of Abrams’ four classes. The above changes raise one important issue:

the suitability of Western models. Abrams' approach may not be used in the study

of classical Chinese literary criticism without any emendations. Liu's

reconstruction of Abrams' framework shows a great improvement in applying

Western methods to the study of classical Chinese literary criticism. His work is

a significant achievement that introduces classical Chinese theories of literature

to the West, in a way easily understood by Western readers. His insightful

analyses of Chinese theories of literature increase our understanding of Chinese

literary criticism and have stimulated my research.

However, I am still not satisfied with his amended framework, which is still, by and large, on Abrams’ Western track. By following Abrams' analytical scheme, Liu often breaks a work of Chinese literary criticism into separate pieces. 23 and places them into various categories. An example is his treatment of “Shi da

xu” (Major Preface to the Book o f Songs). Liu dissects this short

document into four isolated theories in his framework; determinism, expressive

theory, pragmatism, and aesthetic concept, and he fails to see the connections

among them by claiming it inconsistent. Another example is his reading of Lu

Ji’s (261-303) “W e n fu "jt^ (Exposition on Literature), in which Liu

reveals “metaphysical, expressive, aesthetic, and pragmatic concepts," and places

them in various chapters.^* Hence it is difficult for a student of Chinese literary

criticism to see the “system(s)” of Chinese literary thought. As Wang Wensheng

comments on James Liu's book:

Therefore the system of Chinese literary thought is dissolved into separated pieces. Although those pieces may arouse the attention of Western scholars and be quoted by them in their works, the grand wholeness of Chinese literary thought is missing. It is similar to introducing a Chinese building to the Western architects in that he [James Liu] shows them merely particular constructive materials, such as black bricks, glazed tiles and white marble stones, but fails to demonstrate the structure and the way to construct a building in the Chinese style.

Even James Liu himself realizes this problem. He admits that he has "isolated

each kind" of these different theories, and designs a whole chapter of

"hiteratctions and Syntheses" among these theories.^^ However, following

Abrams’ model, Liu limits himself to the four elements (universe, author, work,

and reader) and applies a Western standard to judge classical Chinese literary 24 criticism. According to Abrams, even though a theoretical work may contain

elements of several different orientations, there must be a dominant theory that

controls the others in the boundary Abrams draws. Only those theories that meet

the above principle can be regarded as logical and consistent.

Assuming this standard of consistency, in his reading of Chinese theories

of literature, James Liu finds classical Chinese literary criticism to be, generally

speaking, "of inconsistency and illogicality."^'^ He claims, for instance, that the

“Major Preface to the Book o f Songs” “presents the most glaring non sequiturs.”'^

He finds four different theories (expressive, deterministic, pragmatic and

aesthetic) in the short document. “After announcing the expressive concept in the

first three sentences,” Liu writes, “the author, either consciously or unwittingly,

introduces an aesthetic element in the next sentence when he speaks of ‘patterns’

of sound; then after expressing the deterministic concept,” the author shifts to the

pragmatic theoiy, and the "attempt to reconcile the expressive concept of poetry

with the deterministic and the pragmatic is not successful. In the same way, Lu

Ji’s “Exposition on Literature” seems, in Liu’s opinion, "to be eclectic rather than synthetic, for he makes no attempt to integrate these different concepts into a single system, but expresses them at different points in his work."^^ Such complaints of self-contradiction and illogicality permeate Liu’s reading of classical Chinese theories. 25 We can thus pose the following questions; what kind of criteria of logic

and consistency does James Liu use to judge classical Chinese literary criticism?

Is it possible that the ancient Chinese have their own type of logic? Should we

seek out another perspective, beyond the four elements in Abrams’ work, or not

limited to Western Aristotelian logic, to understand and explain the above

phenomenon in classical Chinese literary criticism?

When discussing the Mingjia (The Logicians), a philosophical

school in the period of the Warring States (about 475-221 B.C.), Joseph Needham

makes a remarkable statement: “Perhaps the most significant thing about them is

that they show an unmistakable tendency towards dialectical rather than

Aristotelian logic, expressing it in paradox and antinomy, conscious of entailed

contradiction and kinetic reality.”^® Needham here points to the existence of logic in China, but a logic different fi-om the Aristotelian one. Wfiiether this logic should be called dialectic or something else will be discussed in Chapter Two.

Here I simply want to point out that the standard Liu uses to judge Chinese literary criticism is Aristotelian logic, which insists that A must be A, not non A, black is black, not white, etc., while the ancient Chinese, including critics, tend to use another type of logic, characterized by paradox, contradiction and antinomy.

Fortunately, James Liu excludes Wenxin diaolong fi"om other “illogical” works in China, for it is, as Liu recognizes, the most systematic work in the 26 history of Chinese literary criticism. By using his amended Abrams’ framework,

Liu claims that Liu Xie’s basic conception of literature is primarily metaphysical.^^ By metaphysical theory, James Liu means the concept of literature as "a manifestation of the principle of the universe," Dao^^ While he admits that these metaphysical theories were not the most influential among

Chinese theories of literature, he is glad to see that the metaphysical concept of literature found its most eloquent expression in Wenxin diaolong?^

In interpreting the title of Chapter One, “Yuan Dao,” into "literature originates from Dao,” or "tracing the origin of literature to Dao,” Liu discovers that “ by linking literature {wen) with the configurations {wen) of natural phenomena, Liu [Liu Xie] is able to trace the origin of literature to the beginning of the universe, and to elevate literature to a status of cosmic significance.”^^

Moreover, Liu Xie

formed his basic conception of literature by amalgamating several concepts all denoted by the word wen jC: (1) wen as patterns or configurations of natural phenomena, considered to be manifestations of the cosmic Dao\ (2) wen as culture, the configuration of human institutions, and a parallel to natural wen-, (3) wen as embellishment; (4) wen as the script, which represents language, which in turn expresses the human mind, identified with the mind of the universe. The result of this amalgamation of concepts is the concept of literature as a manifestation of the principle of the universe and a configuration of embellished words. 27 James Liu thus concludes that "this conception of literature is of course primarily

metaphysical."^”*

Whereas Gibbs classifies the system of Wenxin diaolong as one

dominated by the expressive theory, or in Abrams’ term "author-oriented," James

Liu regards it as metaphysical theory, in Phase I (interaction between the world

and the writer). As much as Gibbs tries hard to subordinate the chapter "Yuan

Dao" to the expressive theory, James Liu struggles to put the expressive theoiy

under the rubric of metaphysical th e o ry .A s I mentioned before, Liu criticizes

Gibbs for confusing a very important distinction between natural manifestation

and self-expression; but like a double-edged sword, this criticism can be turned

back against itself. His new interpretation that subordinates the expressive theory

to the metaphysical is also not convincing. Even though I accept Liu's

explanations and admit that Liu Xie's expressive theory is consonant with the

metaphysical theory, James Liu himself points out that there are still inconsistencies in reconciling the pragmatic and the expressive theories;

It would be pleasant if we could claim on Liu Xie’s behalf that his attempts to reconcile different theories of literature are totally successful, but such a claim would hardly be true. I have pointed out elsewhere instances of his apparent inconsistencies due to his efforts to reconcile the pragmatic (or didactic) and the expressive (or individualist) theories,. . . . He perpetuates the omission of any logical explanation of the connection between the expressible nature ascribed to poetry and the pragmatic functions it is supposed to serve. 28 In other words, Liu discovers that there still exists inconsistency and illogicality

in such a systematic work as Wenxin diaolong.

The above opposing opinions of Gibbs and Liu actually share a Western

analytic scheme for studying Wenxin diaolong. While I have no doubt of their

ability to understand classical Chinese language and its culture, and agree that

there do exist various theories (orientations) in Wenxin diaolong, I question the

suitability of Abrams’ approach itself to studying classical Chinese literature

criticism/^

The above concern is also a central issue in Wai-lim Yip's work, entitled

Diffusion o f Distance: Dialogues between Chinese and Western Poetics. In this

book. Yip emphasizes the importance of dialogue and advocates a just attitude

toward comparative poetics between the West and China by saying;

We must not see other cultures from one master code or one hegemonic center of concern but from several differing codes or several centers of concerns. The goal of cultural exchange, like economic exchange, should not be to conquer one mode with another but to provide a truly open forum for dialogue through interreflection and "double perception."^*

The concept of culture, according to him, implies a model, by which he means

"human-imposed structuring activities in our process of ordering things into some

manageable form."^^ Since different cultures have different models, "we must

first have this historical awareness of differences in models in order to come to a more just perspective in East-West comparative sttidies."‘*° Therefore, Yip doubts 29 the possibility of using a universal model, at least at the present time (perhaps it

will be possible in the future), to treat various cultures appropriately:

We do not know how to establish such a fundamental model that can subsume other models vrithout doing an injustice to them. Over the centuries people have employed many models-all of which are historically derived and determined, many of which are radically different from one another.'^'

Abrams' model is derived from, and determined by, the historical

development of Western literary criticism. In the history of Western literary

criticism, there do exist distinct theories that demonstrate clearly various

orientations. Aristotle in his Poetics starts with the following statements:

I propose to treat of Poetry in itself and of its various kinds, noting the essential quality of each; to inquire into the structure of the plot as requisite to a good poem; into the number and nature of the parts of which a poem is composed; and similarity into whatever else falls within die same inquiry. Following, then, the order of nature, let us begin with the principles which come first.

The essential principle of poetry, according to Aristotle, is that "Epic poetry and

Tragedy, Comedy also and Dithyrambic poetry, and the music of the flute and of the lyre in most of their forms, are all in their general conception modes of imitation."'^^ Starting from the main principle of imitation, Aristotle assembles various theories concerning the functions of poetry, the relation between works and the author, the relation between works and audience, and thus forms a systematic theory. It is because each system has its own orientation toward 30 literature that one theory will ignore, or overlook, some other aspects of poetry.

As Abrams comments on Aristotle's mimetic theory:

While Aristotle makes a distribution among the objects imitated, the necessary emotional effects on an audience, and the internal demands of the product itself, as determinants of this or that aspect of a poem, he does not assign a determinative function to the poet himself.. .. His [the poet's] personal faculties, feelings, or desires are not called on to explain the subject matter or form of a poem.'*^

In other words, Aristotle does not pay enough attention to the poet himself, giving

rise to new theories seeking to fill in the gap. To put in a simplistic way, as a

result, when history develops to a certain point, the once dominant theory

(orientation) will gradually recede into the background and the focus of critical

interest will shift to another orientation.'*^ Hence on the Western historical stage

after the imitative theory, we observe the emergence of the pragmatic theory.

And then Romanticism appeared, replaced it with a new theoiy, the expressive: author-oriented. The same pattern repeats itself: when Romanticism passed its golden age. New Criticism (objective theoiy or, in Abrams' words, work-oriented) came out and became a prevailing trend. After about 30 years from the 1920's to

1950's when New Criticism was in its heyday, other theories such as the reader's receptive theory emerged to claim the importance of the reader (reader-oriented).

The history of Western literary criticism is thus typical of the shift of orientations.

In making a general comparison of the historical development between

Western and Chinese literary criticisms, I am aware of the problem of over- 31 simplification, as Hajime Nakmura in his book, fVqys o f Thinking o f Eastern

Peoples: India, China, Tibet, .Japan, says:

There has been long tendency to think of terms of a dichotomy between East and West, presupposing two mutually opposed cultural sets of values labeled ‘Occidental’ and ‘Oriental.’ ...... The cultures of the ‘Orient’ and ‘Occident’ are too diversified and each one is extremely complex. If we inquire into what these words refer to, we are struck by the fact that the sense of each is composite, embracing a range of various narrower concepts.'*^

However, being cautious in dealing with the complex issue does not deny the

differences between the two cultures. My aim is to pin down the differences in

detail to reduce the risk of over-simplification.

The history of classical Chinese literary criticism, on the other hand,

draws a different picture. First of all, classical Chinese literary criticism does not

show clear orientations as defined by Abrams. Not only do there rarely exist the

imitative and objective theories in the strict Western sense, but also various theories in classical Chinese literary criticism cannot be subject to a single orientation as in Abrams' diagram. This has been pointed out by James Liu.'^’

In the West, Aristotle's theory can be easily defined as imitative and

Wordsworth’s as expressive, while in classical Chinese literary criticism, to state that Liu Xie's theory is either expressive or metaphysical or pragmatic is misleading. Second, the development of Chinese literary criticism has its own pattern. Different from the West, ancient China had no Romantic Movement or 32 Realist Movement, which shift literary orientations from one pole to the other/®

In contrast, the concept, formed in early China, that "poetry expresses in words

the heart's-wish/mind-intent,” shiyanzhi has been the dominant

doctrine for about two thousand years/^ It has been echoed from one dynasty to the other by critics, and also enhanced by several Archaistic Movements in the

Tang, Song, Ming and Qing Dynasties/®

Realizing that we should search for different perspectives beyond the

Western ones to treat different literary criticisms, Wai-lim Yip offers a pattern by adding another orientation to Abrams' diagram; cultural and historical elements as follows:

. Universe • % Linguistic field R eader^ Cultural and historical^> Writer elements Î Work 4r

Figure 3. Wai-lim Yip’s Diagram

Yip believes that cultural and historical elements, ignored by Abrams, are so important to literature that any literary work cannot exist without them/' The study of social-cultural/historical context is an interdisciplinary field By social- cultural/historical context, I refers to a definition made by Wai-lim Yip in the 33 description of an ideal field of literary criticism, which is located in the center of

his diagram:

The critics who have the sense of historical wholeness will attempt to find out the “Cosmological order” (the wen of Dao—phenomena of Heaven and geographical forms of Earth), the “Social order” (humanity-social organizations and human relationship) and the “Aesthetic order” (literature-structure of literary textures) in social and cultural materials. The three aspects share the same body, interrelated and mutually depending on, like three different codes (natural, social and linguistic phenomena ) sharing the same vein. The study of this ideal field of criticism still awaits further development.^^

I follow this definition in this dissertation. This is a new perspective, a trinity of

universe, society, and literature, different from what both Abrams and Liu list in

their diagrams. We should not confuse the orientation of social-cultural/historical context in this dissertation with that in Abrams' diagram. Each orientation in

Abrams’ refers to a theory that posits on a pole, either on the universe, or the author, or the work, or the reader. The study of social-cultural/historical context emphasizes the combination of the three orders, locating at the center of the diagram and being surrounded by the orientations of the universe, the author, the work and the reader. Furthermore, it places a work of literary criticism in its cultural context and breaks the boundary of disciplines such as philosophy, history, and literature.

This is a sparkling idea about the study of literary criticism and literature as well. Wai-lim Yip, however, only mentions it once in his book and he does not 34 elaborate it, nor ofifer any critic, whether in China or in the West, as an example

to support his point. The reason may be revealed in his last sentence of the above

paragraph, "The study of this ideal field of criticism still awaits further

development." Possibly in his mind this is an ideal field, a virgin land, not

existing in the history of literary criticism, whether in the East or the West.

It is fi’om the perspective of this trinity that inspires me to write this dissertation. I attempt to illustrate that this trinity has already existed in classical

Chinese literary criticism. In this sense, the Chinese make great contributions to the field of study of social-cultural/historical context, and Liu Xie is one of the most outstanding representatives in this field. I try to solve the argument between

Gibbs and James Liu by offering a third viewpoint. The concept Liu Xie uses to present this perspective of trinity is his wenxin. 35 NOTES:

’Donald Arthur Gibbs, “Literary Theory in the Wen-hsin tiao-lung" (Ph. D. Diss., University of Washington, 1970), 1.

" M. H. Abrams, The Mirror and the Lamp: Romantic Theory and the Critical Tradition (New York: Oxford University Press, 1953), 6.

^ Abrams, 6-29. Also see Gibbs, 9-10.

^ Abrams, 22. Gibbs, 8-9.

^ Gibbs, Abstract of his dissertation, n. p.

® Vincent Yu-chung Shih, trans.. The Literary Mind and the Carving o f Dragons (Taipei: Chung Hwa Book Company, Ltd., 1970), 9.

^ Gibbs, 40.

*Ibid.

^ Ibid., 41.

James Liu, Chinese Theories o f Literature (Chicago: The University of Chicago Press, 1975), 122-123.

” Abrams, 26.

Liu, 1.

Abrams, 26-27.

Liu, 11. Liu's thought concerning this issue experiences a development. In his early book, entitled The Art o f Chinese Poetry, he classifies the technical view as a theory similar to Abrams' "objective theory." See his The Art o f Chinese Poetry (Chicago: The University of Chicago Press, 1962), 77-80.

Wai-lim Yip, "Bijiao wenxue congshu zongxu” j f , 10. In his Bijiao shixue: lilun jiagou de tantao (Taibei: Dongda tushu gongsi, 1983). Gibbs, 81-93.

Ibid., 111.

Ibid., 11.

Liu, 10.

Ibid., 64-67, 69-70, 111-12,119.

2) Ibid., 121.

^ Wang Wensheng 3EJC&, '"Shi yan zhi': Zhongguo wenxue sixiang de zuizao gangling” Zhongguo -wenzheyanjiujikan 3 (1993); 219.

^ Liu, 117.

Ibid., 2.

Ibid., 119.

Ibid., 119-120.

27 Ibid., 121.

Joseph Needham, Science and Civilization in China, vol. 2, History o f Scientific Thought (London: Cambridge University Press, 1956), 199.

Liu, 122.

Ibid., 16.

Ibid., 16,21.

Ibid., 22

Ibid., 24-25.

Ibid., 25. 35 37 Ibid., 122. This passage reads: "As for the expressive concept,. .. in Liu's (Liu Xie's) work, it is demonstrably subordinated to the metaphysical through the concept o f naturalness.'"

Ibid., 125-126.

This problem is also shown in Karl-Heinz Pohl's paper, "Ye Xie's 'On the Origin of Poetry'," T’oungPao LXXXVDI (1992): 1-32. When discussing Ye Xie's theory of literature, the author raises the question: “Is Ye's approach to literature "mimetic, pragmatic, or, as James Liu suggested, expressive?” (p. 27) Although Pohl's answer is that Ye's approach “appears to fall into the category which M. H. Abrams calls ‘transcendental-mimetic,’” we can see his puzzle in applying Abrams' model to studying a Chinese critic. As for the classification of Ye's approach, I have my own opinion, which is closely related to my interpretation of Liu Xie's perspective of literature. By the way, I would like to take the opportunity to thank my fiiend, Nicholas Kaldis, for his providing me with the article.

Wai-lim Yip, Diffusion o f Distance: Dialogues between Chinese and Western Poetics (Berkeley: University of California Press, 1993), 4.

Ibid., p. 10.

Ibid.

S.H. Butcher, Aristotle’s Theory o f Poetry and Fine Art: With a Critical Text and Translation of The Poetics (New York: Dover Publications, Inc., 1951), 7.

^^Ibid.

'‘^Abrams, 11.

The reasons behind the history of Western literary criticism are much more complicated than what I have described here. However, this is a historical development summarized by M.H. Abrams. I agree with him and view the history of Western literary criticism, to some extent, as a series of orientation shifts.

^ Hajime Nakamura, Ways o f Thinking o f Eastern Peoples: India, China, Tibet, Jqpctn (Hawaii: East-West Center Press, 1964), 1-2. 38

My agreement with James Liu's analysis does not mean I concur with his opinion that classical Chinese literaiy criticism is illogical and inconsistent.

48 Yip, "Bijiao wenxue congshu zongxu", 8-9.

49 It is a disputable issue concerning the accurate date of the concept. Some believe it to be as early as the fifth century B.C., at least no later than the second century B.C.. See James Liu, Chinese Theories o f Literature, 69. Others insist that its appearance should be in the ninth century B.C.. See Wang Wensheng, "Shi yan zhi: Zhongguo wenxue sixiang de zuizao gangling", 34. Later critics echo this doctrine again and again, though using it in various ways. Hence Zhu Ziqing i^ Ê ^ c a lls it "the pioneering guiding principle of Clhnese literary criticism for generations." See his "Shi yan zhi bian in Zhu Ziqing w e n j i ^ ^ (Hong Kong: Guangzhi shuju, 1971), 2: 1116.

^ See Guo Shaoyu Zhongguo wenxue piping shi (Shanghai: Zhonghua shuju, 1961). Luo Genze wenxue piping shi 4*M ^^ftt^.^l(S hanghai: Gudian wenxue chubanshe, 1957), the two most authoritative ones.

Yip, 11. His original diagram was more complicated and delicate. I simplified it in order to illustrate my opinion.

^^Yip, 15-16. PLEASE NOTE

Page(s) missing in number only; text follows. Filmed as received.

39&40 CHAPTER H

ffENXlN: THE CENTRAL CONCEPT

In the histoiy of Chinese literaiy criticism, it is Liu Xie who first coined the term wenxin Like numerous compounds in the Chinese language, it consists of two distinguishable parts, wen 'X. and xin each with an independent history before Liu Xie. When Liu Xie combined the two words into one, the new word, like a baby given birth by parents, became an independent entity with a life of its own. This chapter will, first, trace the histoiy and the basic meanings of the two words. Then it will discuss the English translation of the compound. Finally, the meanings and implications of wenxin as a compound in

Liu Xie's Wenxin diaolong will be illustrated.

The multiple meanings of the word wen have already been studied and elaborated by James Liu and others.^ According to them, the earliest known occurrences of wen are found among the inscriptions on tortoise shells of the late

4 1 42 part of the Shang or Yin dynasty (ca. 1300-1100 B.C.), used as part of the title of

a deceased king, though the original meaning of the word is not known for

certain. Later, in the Shujing (Book of Documents), a compound wenbei

means "striped cowries."^ And wenyin j C # in theShi jing # # (Book of

Songs) refers to a patterned mat, made of tiger skin."* Xu Shen's Shuowen jiezi (Explanations of Simple and Compound Characters, ca. 100)

defines wen as a simple xiangxing (pictograph) character, representing "a

criss-cross pattern." cuohua Wen thus refers to decoration in general.

One particular use of wen as decoration refers to tattoos, used to decorate the human body. The Zhuangzi (Works of Zhuangzi) writes; "The Yue people cut their hair and wen (tattoo) their bodies.” In the Li ji

(Book of Rites), there is also a record that "The people in the East are called Yi, who dishevel their hairs and wen (tattoo) their bodies.”

Therefore, the Guangya ^ 0 (Expansion of the Erya # # ca. 300) defines that: "Wen means decoration.” A , Han Feizi (Works of Han

Fei) also writes: "wen decorates the inner substance.” In the Lunyu

(Analects), Confucius' remark that "wen and zhi should make balance.”

puts wen (decoration) and zhi M (inner substance) in contrast.

Wen could be used in abstract sense, When the L m yu records Confucius’ words: "Since King Wen (reigned 1171-1122 B.C.) passed away, has wen 43 disappeared here?” W.? wen here refers to culture, such

as rites, regulations and morality. As James Liu points out, apart from the title of

the Yin king which meaning is uncertain. King Wen here means “the ‘Civil King’

or ‘Civilized King’ or ‘Civilizing King,’ one who excelled in civil virtues and the

arts of peace and who exerted civilizing influence on his subjects, in contrast to

his son King Wu the “Martial King,” who conquered the Yin and officially

proclaimed the new dynasty.”^ ^ In modem Chinese, the words wenming

(civilization) and wenhua (culture) indicates the historical heritage of wen

in the abstract sense.

The last, but not the least, important usage of wen refer to language or

literature. There is a saying in the Mengzi (Works of Mencius): "The commentators of the Book of Poetry should not permit the wen (literary patterning) to affect adversely the ci (statement).” KX The

Han Feizi blames Confucian scholars for "disordering the law with wen”

H L ^ where wen refers to Confucian writings. Today, is more and more used in this direction, like wenxue (literature) and wenzhang

(writing/compositi on).

In short, wen stands for, as far as my dissertation concerns, three meanings at three levels. First, at physical level, it means a pattern, usually as decoration. 4 4 Second, at the metaphysical level, it refers to civilization or culture in general.

Third, at the literary level, it signifies writing or composition.

Whereas the word wen has been discussed in a great number of scholarly

works and articles,''^ the concept oïxin has not attracted adequate attention in the

field of Chinese literary criticism, though, in my mind, the concept is no less

polysémie than that of wen. Moreover, xin is more important and influential than

wen in the light of traditional Chinese culture. Xin is not only a central concept in

the pre-Qin classics such as the Zhuangzi^ M en^i, zxAXunzi (Works of

Xun Qing), but also forms a strong tradition, which develops into Wang

Yangming’s Xinxue (study of mind/heart) of the Ming. Thus I

will not only list its various meanings, but also discuss the theories o f xin in early

Chinese philosophy.

Originally, xin in Chinese documents before Liu Xie referred to the heart

in the human body. Xu Shen defined it in his Shuowen jiezi as: “the human heart,

an organ of earth, in the central part of human body. [This character is a]

pictograph.” Among the organs, .x/«

(heart) was regarded as the most important and dominant: "Heart is the ruler of the organs." It was also regarded, in ancient times, as organ

of thinking. "The function of xin (heart/mind) is thinking," says

Mengzi.Xunzi makes a similar definition: "The xin (heart/mind) is the governor 45

of body and the master of spirit. " > W # # Xin thus

holds a dual role as the heart and mind in Chinese tradition, different from the

West where heart and mind are separated into two concepts.

Since the xin (heart/mind) is located in the center of the human body and

is so important and crucial, it extends into another meaning: center. There is an

expression in the Li ji “Shao yi” "The lungs of ox and sheep are

isolated (from the rest of their bodies) but not from the xin (the center)."

|i?» InûieZhaoming Wenxuanfljn^JCÆ(Anliiology of

Literature edited by Prince Zhaoming), an anthology at Liu Xie’s time, the

relationship between the emperor and his subjects is described with the word xin:

"The emperor is at the xin (center), and his subjects are surrounded outside."

The compound means center in

Modem Chinese, derived from this kind of usage.

The most interesting applications of xin are in the field of morality and philosophy. In the Yi Jing “Xici shang” we found the following expression: "If two people share the same xin (mind/emotion/will), the sharpness will cut metal." In the iS/j/ymg, there appears the phrase: "The other person has his xin (mind/ intention /emotion), which I can speculate." Here the xin does not refer to heart/mind merely, but develops into a broad field, referring to a general concept of human 46 mind/will/emotion. In the Lunyu, Confucius’ saying that "when I reaches

seventy years old, I shall follow my xin (mind/heart/intention/emotion) to do what

I wants to do without violating the rules” also fits into

the above definition. When Confucius says that "Hui’s [Yan Yuan’s a

disciple of Confucius] xin has never departed from the ren iZ (benevolence) for

three months," (HiÈ > he connects xin with morality, ren}^

Following Confucius, Mencius established his theory of xin, which emphasized the importance ofx/« in morality by saying: "Whoever is devoid of the heart of compassion is not human, whoever is devoid of the heart of shame is not human, whoever is devoid of the heart of courtesy and modesty is not human, and whoever is devoid of the heart of right or wrong is not human.." ,

# # #6 ±, #AiÈ;

The xin here refers to a feature of the human being and becomes a very important moral term in Chinese culture. Mencius wrote:

Can what is in man be completely lacking in moral inclinations? A man’s letting go of his true heart is like the case of the trees and the axes.. .. Hence, given the right nourishment there is nothing that will not grow, and deprived of it there is nothing that will not wither away. Confucius said: “Hold on to it and it will remain; let go of it and it will disappear. One never know the time it comes or goes, neither does one know the direction.” It is perhaps to the heart this refers.

# , a?B= “msm, -i-Mut:. mx* 47

If the xin is nurtured appropriately, anybody can be a sage, because the sage is he

who nurtures his xin}^ Consequently, Mencius raises the issue of "cultivating my

boundless and surging qi # (energy/force/inner power)," which

exerts tremendous influence on ancient Chinese literary thought, and which I will

elaborate in Chapter Three and Four/^ Mencius' theory oîxin not only discusses

what the human conscience is and how to cultivate it, but also illustrates the relation between Heaven and the xin of Man. "For a man to give full realization to his heart is for him to understand his own nature,” says Mencius, "and a man who knows his own nature will know Heaven. By retaining his heart and nurturing his nature he is serving Heaven." o

Thus, serving Heaven and fostering one's xin are part of the same process. To know and serve Heaven is to know and nurture one's xin. Heaven and Man are combined into one via the medium of JC/«.

Different from Mencius' emphasis on the importance of nurturing the moral xin (conscience), Laozi and Zhuangzi advocate a simple xin (the natural status of human mind/heart without being corrupted by civilization).

Laozi says, "The Sage has no constant xin (conscience/principle) and takes an ordinary person's xin as his own xin." The 48 ordinary xin is a xin of flexibility without a strictly moral sense. The ideal model

of the ordinary jf/n is the baby. Laozi thus interprets the ultimate de 0 (virtue) as

returning to the “state of infancy,”^® for the infant has not been influenced by

social morality and does not have an adults’ desires for wealth, honor and power,

thus is without “great artifice.” "When intelligence and knowledge appeared, the

great artifice was bom,” writes Laozi.^' By abandoning man-

made morality, intelligence and knowledge, Man will return to a natural state and

thus understand Dao. The appropriate way to do so is by “emptying one’s xin”

cleaning one's mind/heart polluted by civilization in order to access to the great Dao. Laozi points out that the emptiness and stillness of xin are the original state of nature in which we can reach the highest wisdom and retrieve the real human nature, thus the two (Nature and human xin) are combined into one, just as Heaven and xin are linked in the Mencian firamework. A passage in the

Laozi reads:

The [state] of emptiness should be brought to the utmost degree, and that of stillness guarded with unwearying vigor. All things alike go through their processes of activity, and [then] we see them return to their original state. When things [in the vegetable world] have displayed their luxuriant growth, we see each of them return to its root. This returning to their root is what we call the state of stillness; and that stillness may be called a reporting that they have fulfilled their appointed end.

, # B # , ” 4 9 Following Laozi, Zhuangzi divides xin into two types: one is called

chengxin (predetermined mind) or jixin (artificial mind),^'* the other

called wuxin (mind without being of mind) ox xushi sheng bat zhi xin

(the mind, coming from emptiness but producing all),^^ each

being connected with rendao A lË (the way of Man) and tiandao (the way

of Heaven), respectively. A zhenren (true man) should transcend the limits

of chengxin and jixin and gain a pure xin of xujing wuwei (empty and

still mind with no-action). Zhuangzi describes the Sages as follows:

The stillness of the Sages does not belong to them as a consequence of their skillful ability; all things are not able to disturb their xin (minds); — it is on this account that they are still.. .. The still xin (mind) of the Sage is the mirror of heaven and earth, the glass of all things. Vacancy, stillness, placidity, tastelessness, quietude, silence, and non-action; -this is the Level of heaven and earth, and the perfection of the Dao and its characteristics. mxZ'ùm, mmm, » f A A z e m .

When reaching at the level of Heaven and Earth, man's mind will understand

Dao and he will become part of Nature. As Zhuangzi says: "I was bom with

Heaven and Earth together, and everything is equal with me."^’ One of the approaches to reaching this goal is through xin zhai (the fast of the mind) which Zhuangzi defines as maintaining 50 a perfect unity in every movement of your zhi (will). You will not wait for the hearing of your ears about it, but for the hearing of your xin (mind). You will not wait even for the hearing of your mind, but for the hearing of the qi (spirit). Let the hearing of the ears rest with the ears. Let the mind rest in the verification [of the rightness of what is in the will]. But the spirit is an emptiness ready to receive all things. Dao abides in the emptiness; the emptiness is the ^ t of the Mind. #c. «jt»?, 'ù-jm#. mm###*,m m m m . m ,

In summary, Laozi and Zhuangzi's theory of jcrn rejects pre-occupations with

limitations of human morality, intelligence, knowledge, and aims at

understanding Dao and comprehensively apprehending the world. It is another

type of combining Heaven and Man into one.

The xin has also been a central topic in Buddhism since it was introduced

to China. In Chinese Buddhism, xin is regarded as the origin of creating

everything. Pannihuanjing (The Parinirvana Sutra) says, “The xin

(mind) makes Heaven, the xin makes a human being, the xin makes ghost, god,

animals and hell. All of these are made by the xin.” Before Liu Xie, a

Buddhist sutra takes the xin as its title Abitan xin lim (The

Abhidharmahrdaya Sastra). Huiyuan (334 -416) interprets the title by saying: "The Abhidharmahrdaya is the keynote of Sutra. It [has] the subtle words

[with deep meanings] of the songs. It governs all Sutra and guides the essential 51 principles. Therefore, the author used xin as its title."'*' Liu Xie thus in his

Wenxin diaolong says: "How great and excellent the xin is indeed! Therefore I use

it [as the title of my book]." By comparing this

statement with the above Buddhist documents, Liu Yongji # 1 ; ^ ^ traces the

source of the title of Wenxin to the above Buddhist documents and Fan Wenlan

^ claims that Liu Xie's book may be named after this sutra.'*^

In summary, the Chinese word also has meanings at three levels: at the physical level, it means heart/emotion and mind/intention of human beings. Its abstract meaning refers to a center or essence. At the level of metaphysics,

Confucianism, Daoism and Buddhism employ it as a central concept in their own theories. Although there are many disagreements among these schools, they have one thing in common: the connection between human xin and some metaphysical other (Nature, Dao, or Heaven). From the early period of Chinese culture to the

Song and Ming Dynasties when neo-Confucianism and Wang Yangming's Xin xue (study of mind/heart) appeared, the xin and xing ^ (nature) as well, has been a central issue in the history of Chinese philosophy and culture. Therefore

Charles A. Moore correctly entitles a book The Chinese Mind: Essentials o f

Chinese Philosopfy and Culture!^^ We will see the theories of the xin exert great influences on Chinese literary criticism and culture in the following chapters. 52 After this brief introduction to the polysemy of both -wen and xin, we can

understand the problem of translating the compound. The most popular English

translation of the concept wenxin is "literary mind."'*'^ However, the grammatical

relationship between wen and xin is not that wen merely modifies xin, but also

that wen is "of and "by" the xin. Furthermore, "literary mind," as a well

established Western literary term with its own implications and history, leads

readers to ignore Liu Xie's synthetic perspective toward literature. Stephen Owen

in his book Readings in Chinese Literary Thought specifically discusses the issue

of translations of the term. He renders various translations, such as “the literary

mind,” “to make the mind literaiy/cultivated/pattemed,” “to consider mind in

regard to the question of we«," or "the use/effort of mind in literature.” In the end

he acknowledges that no rendering satisfactorily covers its original and complex

meanings. "To avoid the serious problems," he has "chosen to leave it in

romanization throughout."'*^ Since there is no appropriate English word to

translate the term, I also, following Owen, leave the term wenxin in

romanization, and add various English interpretations to the Chinese

romanization in the text. By introducing the romanized Chinese concept wenxin

to the West, I hope this term, like the terms Dao , yin yang and taiji

will be accepted by the West and become one of the essential and typical

Chinese terms used by scholars all over the world. 53

Although we cannot find an adequate English translation, we still need to

make it clear what the concept wenxin means. Liu Xie himself makes the

following definition; "The wenxin refers to the functions oïxin in making wen.''

» WStephen Owen regards this statement as a

"remarkably unhelpful explanation."'^’ Although it is not comprehensive enough,

this statement conveys very important information. First, the wenxin as a part of

the title in Wenxin diaolong illustrates that the central topic of the book is not

only about wen, but also about xin, to explore how the xin functions in making wen, or the relationship between xin and wen. Second, in the case of Chinese language, when two or more individual characters form a compound, the meaning(s) of the compound is/are beyond the original meanings of the two or more separated characters and new meaning(s) is/are produced. The new meanings of Wenxin are embodied in the whole book. Thus the definition above by Liu Xie is only a starting point for his book and the new meanings are the goal the work pursues: as Gibbs points out, this wenxin concept "in fact governs all subsequent chapters.

In my reading of Wenxin diaolong, the concept wenxin mainly consists of the following three levels of meanings, or aspects, that are consonant with the three aspects of the ideal field in literary criticism mentioned in Wai-lim Yip's work, and as a whole, illustrate Liu Xie’s synthetic perspective of trinity. Since 54 the first five chapters are claimed by Liu Xie as "crucial factors" # # and

"general outline" # # to "demonstrate their unity," I shall focus on

these chapters and describe Liu Xie’s tripartite perspective by examining the

concept wenxin.

In Chapter One “Yuan Dao” M îË, the concept wenxin declares a

cosmological order, which refers to the universe as the source of wenxin. At the

beginning of his work, Liu Xie states that

As De [of Dao or functions of Dad], wen (pattern) is very great indeed. It is bom together with Heaven and Earth. And how is this? All color-pattems are composed of two primary colors, the deep blue that represents Heaven and the yellow that represents Earth. All forms are distinguished through two primary forms. Earth's squareness and Heaven's circularity. The sun and moon are like two successive disks of jade, displaying the beautiful images of Heaven. Mountains and rivers with their glittering finery manifest the shapes of Earth. These are the wen of Dao.

In order to emphasize the importance of wen in the universal order, Liu Xie praises the wen as De ^ (functions or manifestation of Dao), as in Laozi’s Dao

De jing Clearly, wen here is not limited to today's usage of language or human expressions and or civilization but attains an ontological meaning at the metaphysical level. In terms of time, wen was bom together with Heaven and 55 Earth; of space, it involves everything in the universe. The following examples given by Liu Xie make the point clearer:

If we consider further the thousands of categories of things, each plant and animal has its own wen (pattern). Dragon and phoenix display auspicious omens by their intricacy and bright colors; the visual appearance of a tiger is determined by its stripes, and that of a leopard, by its spots. The sculpted forms and colors of the clouds possess a subtlety that transcends the painter’s craft; the intricate luxuriance of trees and plants does not depend upon the wondrous skill of an embroiderer. These are in no way external adornments: they are Nature itself.

As for the term xin, Liu Xie employs a term Daoxin (Essence of

Dao) to match the wen of Dao. This term appears twice in the Chapter "Yuan

Dao" and elsewhere in the book:

From Fu Xi the mysterious Sage who founded the canon, up to Confucius, the Uncrowned King who transmitted the teaching, all took for their source the Daoxin (essence of Dad) to set forth their writing, and they investigated the divine principles to establish their teachings.

ag fttt. SKTLR,

The Daoxin is subtle, it is taught through divine principles.

53 wO 56 The Daoxin here is a synonym of Dao, for yuan Dao and yuan Daoxin are used

here without any difference. Therefore, Liu gives wenxin an ontological meaning

and wenxin thus manifests a cosmological order.

In ancient Chinese minds, the universe is not created by God, but the

result of a natural course of development. Everything is part of nature which is in

a constant stage of transformation. Dao is characteristic of combination of

ontology and phenomenon, between which there is no gap. Dao is totally

immanent in this world, being embodied in all the things, in here and now.

Furthermore, in the traditional Chinese cosmology, Man is regarded as part of

Nature. Liu Xie first divides the cosmological order into Heaven and Earth, two

basic Forms, and thus inserts Man into the pattern, forming a trinity;

When the high (i.e. Heaven) and the low (i.e. Earth) each had its position fixed, then the Two Forms (Liangyi) were bom. Man alone made a third, being the concentration of natural spiritual powers (xing/ing). These are called the Trinity (Heaven, Earth and Man). [Man] is the finest essence of the Five Agents, and truly the xin (essence/mind) of Heaven and Earth. mx»z, mmm,a

Then he gradually reaches his conclusion: “Now if things which are devoid of consciousness demonstrate [Dao} so extremely decoratively, can that which is endowed with xin (mind) lack a wen (pattem/literature) [proper to itself]?"

Since all things in 57

Nature have their own wen (pattern) to manifest Dao, and since Man is part of

Nature, Man's wen (pattem/literature) should, and must, reflect Dao, a cosmic principle and natural order. Therefore Liu Xie skillfully shifts from the cosmological order to the social order and ties them together.

Another approach to tying the two orders together is to play on the polysémie meanings oîxin. Although Dao and Daoxin are synonyms, they are still different in nuance. In Liu Xie's mind, Dao refers to the universe that could exist without Man, or before the birth of Man, while Daoxin is specifically connected with human beings, especially the Sage's teachings in human society.

That is why he regards Confucius as Uncrowned King (su wang ^ i ) whose teachings are from the source of Daoxin, the divine principle. With regard to the relationship among Dao!Daoxin, Sages and wen (pattern/Sages' Classics), Liu Xie defines it in a clear way; “Dao sent down its wen (pattern) through the Sages, and the Sages made Dao manifest in their wen (writing, more specifically. Classics).”

The relationship could be formed as

DAO

LITERATURE SAGE

Figure 4. James Liu’s Diagram of the Dao, Sage and Literature 56 58 a tripartite structure. In this way, the two orders are tightly connected.

Liu Xie's social order is built on his social ideal. He lived in a time that

was in great chaos. Politically, China was split into several parts, because of the

invasion of “barbarians.” Economically, there were natural calamities and

famines. As records in the Jin shu (History of the Jin Dynasty);

After Emperor Hui (reign 290-306), the power of government to teach declined. To the Yongjia period (307-312), the chaos was even more serious. From Yongzhou to the east, the people starved and were exhausted, selling everything [for survival] and there were innumerable who fled from famine.

Moreover, there was confusion in ideology. Confucianism was in decline while

Daoism and Buddhism replaced it as dominant theories. Like many of his

contemporaries Liu Xie was worried about the political situation and unsatisfied

with it. His ideal was to restore the authority of Confucianism as the dominant ideology in society. In his mind, the Confucian Classics represented the correct approach to solving the current social problems, for the Classics manifest Dao, the divine principle that both the universe and human society should embody.

Confucianism not only instructs people how to restore order to society, but also how to set up a model for literature. Liu, therefore, wrote three chapters to illustrate his concept wenxin of the social order : "Zhengsheng" WiM. (Evidence from the Sages), which advocates the importance of the writings of the Sages;

"Zongjing" (The Classics as Literary Sources), which elaborates on the Five 5 9 Classics, as models for literary writings; and "Zhengwei" I E # (Emendation of

Apocrypha), which distinguishes the apocrypha from the Classics and discusses

their functions in literary compositions.

In these three chapters, we find out that wenxin is much more specifically

described. The relationship between xin and wen can be seen in the following

statement in the Chapter “Yuan Dao”: "When zm (Mind) was bom, then language, yan ^ was established; when language was established, then wen

[writings/patterns] shone forth. This is a natural Dao."

» ê What is interesting here is the tripartite structure,

"j:in-language-wen, " that occurs again, and by which wen and xin are thus tied together. At the level of the social order, the concept wenxin develops into various sub-categorize. The term xin is extended to four sub-categories: qing

(feeling/emotion), zhi (intention/will), and li 3# (reason/principle) or si

(thought/idea); and the term wen to several sub-terms: ci ^ (literary expression), zhang $ (composition) and zi ^ (word). For example, xin further becomes grng W (feelings/sentiments) and wen into ci ^ (literary expression) in the following statements: "The Sage's qing (feelings/sentiments) are displayed by wenci (writing).” M "One should be truthful in one's qing

(feelings/sentiments), but also masterly in ci (expression).”

Confucius "indulges in a iowen (comp’ehensive discussion) of his qing 60 (feelings/sentiments).” The xin also refers to zhi j^(intention)

while wen refers to zhang # (composition). In discussing the Chun qiu

(Spring and Autumn Annals), Liu Xie praises that it "finely phrased zhang

(composition), the zhi (intention) obscure: truly the work is profound.”

He comments on the-S'/z/y/ng that it mainly

"expresses zhi (intention)” ife. while "its zaoci (elegant phrasing) is

elusive and suggestive; there is a gentleness in the recitation [of the Songs], and

thus they touch our inner lives (zhong i.e. xin) most deeply.” ^

Third, xin means li M (principle/reason) or si M

(idea/thinking) and wen refers to zi ^ (words). For instance: "The Spring and

Autumn Annals is characterized by its clear li (reasoning). Yi (reason) may appear in the choice of a single zi (word).” ^ ^ 0 .^ ^ And "[our

Master’s] literary forms {wen) are perfect examples and his si (ideas) are perfectly coherent.”

In giving these specific meanings to the synthetic concept wenxin, Liu Xie demonstrates that the Classics not only manifest Dao but also have their social functions. These functions are divided by him into three aspects. First is government and education:

When praising the ancient Tang [when literature first began to flourish], Confucius described [its ruler Yao] as brilliant and great [in mastery of literary form]; he also praised the contemporary Zhou [when literary form surpassed its substance], calling its 61 culture rich and worthy of adoption. This shows us what importance Confucius attached to literary form in government and education.

a n i i t t ,

Second is practical affairs;

When the Earl of Zheng entered Chen, Confucius believed that it was his mastery of rhetoric that brought him success. And when the people of Song entertained [Wenzi from Zhao] by preparing a formal feast, Confiicius commended them for the observance of proper ceremony shown in their attention to the language they used. This shows us what importance Confucius attached to literary form in practical affairs. iPffiAK, warn»; *«Sr m , xm .. *

The third is self-cultivation:

In praising Zichan, Confucius said, "His words are adequate for the expression of his ideas, and his literary forms are adequate to ornament his words," and in his general discussion of a superior man he said, "One should be truthful in one's sentiments, but also masterly in expression." This shows us what importance Confucius attached to literary form in self-cultivation. Ideas adequately expressed by words combined into literary forms- sincere sentiments embodied in masterly expressions: these are the touchstones of literary composition. xiM&a, gi&s-f- Me

This is a clearly pragmatic view of literature.^ That is, the importance of literature is for pragmatic purpose. Liu Xie's theory, however, is not limited to 62 the pragmatic or the didactic, for it also illustrates the aesthetic aspect of

literature, which is revealed at the level of aesthetic order of wenxin. The

distinction and connection of the social order and the literary order are shown in

his discussion of the value of apocrypha.

The importance of the chapter “Zhengwei” in Liu Xie’s system is not fully

re v e a le d .In my reading, this chapter has a dual position between the two

orders: social and aesthetic. The apocrypha are a companion to the orthodox

Classics. They are closely connected to, and easily confused with, the Classics;

on the other hand, they are valuable in composition, for they are a literary

reservoir for literature.^® In Liu Xie’s words, "They [the apocrypha] record a

great wealth of strange and sublime events in language both rich and brilliant.

While they add nothing to the Classics, they are a great help to literary

composition. Therefore later literary men picked out and treasured the best

elements in them.” # # # #######"» ,

In other words, the dual position of apocrypha is

that of a bridge between the social and the aesthetic orders. Bridge also implies a division: while wenxin of the aesthetic order should follow the Sage's models for the social order, it also has its own characteristics.

These characteristics of wenxin at the level of the aesthetic order are mainly shown in the fifth chapter “Bian Sao ” (An Analysis of Sao). 63 Concerning this chapter, there are several controversial issues in the scholarship:

what is the appropriate location of the chapter “Bian Sao ” in Wenxin diaolong"!

Why does Liu Xie call it "changes in the Sao" # ? What is Liu Xie's attitude

toward Qu Yuan MJM (7343-278 B.C.)? In the light of the tripartite perspective I

have developed above, the above questions will, I believe, attain satisfactory answers.

The chapter “Bian Sao ” in Liu Xie's work, according to some scholars, should not be included in the first part of general outline, as Liu Xie intended, but in the next part- discussion of genres, such as shi g f, and fu, for the Sao itself is a genre. Thus they reorganize the structure of Wenxin diaolong and remove this chapter from the “general outline” by placing it in the second part: discussion of genres.™ This rearrangement raises a question. Is there a logical problem in the structure of the whole book? It seems unlikely that this is the case, for Wenxin diaolong is famous for its systematic approach to literature and Liu

Xie studied Buddhist logic for years and clearly announced that the chapter “Bian

Sao” belonged to the first part of the book. My view is that these scholars fail to understand the importance and significance of the chapter “Bian Sao”.

In my reading, this chapter must be retained in the “general outline,” for it is the chapter that discusses wenxin at the level of the aesthetic order in Liu Xie’s system. Liu Xie logically assigns various issues to each chapter. The chapter 64 “Yuan Dao " deals with the cosmological order, the next three chapters

“Zhengsheng,” “Zongjing” and “Zhengwei ” focus on the social order, then the

discussion of the aesthetic order is left for the fifth chapter “Bian Sao It plays

an important role in Liu Xie's tripartite perspective and must stay in the part of

“general outline.” The main theme of the Chapter “Bian Sao” is to defend Sao

and its author Qu Yuan in terms of the relation between his works and the

Confucian Classics.” Liu Xie first quotes six comments on Qu Yuan’s works;

some praise them for being consistent with the Classics, while others criticize

them for not agreeing with the Classics. Liu Xie does not agree with any of them,

for “both in commendation and in censure all have been quite arbitrary, and both

their blame and their praise have been exaggerated. In their judgments they may

be said to be observant but not discriminating; they have been appreciative but

imcritical,” * E f f i ® .

Then Liu Xie analyzes Qu Yuan’s works in detail; there are four aspects that are in accord with the Classics, and four that are not. However, in spite of the differences from Confucian Classics, he still highly praises Qu Yuan that “he is a knowlegeable person in the realm oîya and song and a hero in the land of poetry,.

.. [his works] influenced poets for more than one generation.”

Furthermore, Liu Xie points out “although the works adopt the basic idea of the Classics, there are yet 65

magnificent literary expressions which are the original work of the authors

themselves... .All the phases and forms of the works are of gold and jade. And

its minutes fragments overflow with beauty.” ^ ^ 0 ^ ^ ^ . . . .

From Liu Xie’s comments and analyses, we can see that his attitude toward Qu Yuan and his works is positive. According to Liu Xie, the problem of the previous commentary on Qu Yuan and his works is that they take the Confucian Classics as sole standard, whether in praise or in condemnation. Liu Xie takes another approach to judging Qu Yuan’s works from the literary point of view. He analyzes not only the similarity between the

Classics and Qu Yuan’s works, but more importantly, the differences between them. In other words, Liu Xie points out that while the social order and the aesthetic order share some basic principles, they are still different in terms of expression and content. That is why he emphasizes “changes in the Sao” in this chapter. From the Confucian Classics to Qu Yuan’s “Li Sao,” the changes are not merely of historic evolution, as many scholars interpret it, but most importantly, of the distinction between the two orders in Liu Xie’s system: shift from the social order to the aesthetic order. “Li Sao” represents the independence of literature from the Classics, for it has its own characteristics, which should not be judged by the Classics alone. In this sense, the whole chapter can be read as an apologia of literature in general. 66 As is well known, apologia of literature is one of the central issues in

Western literary criticism. Since Plato accused literature of being false and

morally dangerous to youths, the history of Western literary criticism has been

full of apologia from various perspectives. Chinese apologia for literature,

however, take a different perspective. Since the Han Dynasty, when the

Confucian Classics were established as the orthodox doctrine, whether a literary

work accorded with the Classics became a significant issue. If a literary work is

in agreement with the Classics, it would be praised, if not, it would be criticized.

In “Bian Sao,” Liu Xie’s defense of Qu Yuan and his works, against the

accusation that Qu’s works are not in accord with the Classics, is the first

apologia in the history of Chinese literary criticism.’^ The significance of the

Chapter in Liu Xie’s whole system and his apologia for literature can be

comparable to Aristotle’s Poetics and Sidney’s Defense ofPoesie in the West and

are worthy of further study.

What is most interesting in the chapter "Bian Sao" is Liu Xie's descriptions of the special characteristics of Qu Yuan's works in terms of the aesthetic order, by using the central concept wenxin. As for the concept xin, Liu

Xie further classifies it intoywun ^ (resentment), cai (talents), and qi ^

(vital energy).’^ These terms are crucial to literature and they do not appear in

Chapters One to Four, which illustrate the universal and social orders of wenxin. 67 At the level of the aesthetic order, these terms have specific importance. Qian

Zhongshu # # # wrote an article “Shi keyi yuan” (Poetry Can

Complain) to claim as a distinctive feature of Chinese poetry. David Ying

Ch’en interprets the “Bian Sao” as a special discussion of talents of literary

person. Zhu Rongzhi has a book titled Wenqi Im (On Wenqi) which traces the historical development of the term wenqi in Chinese literary criticism. These terms further indicate that Liu Xie’s wenxin in the Chapter

“Bian Sao” is at the level of the aesthetic order, different from that of the social order. As for the concept wen, Liu Xie emphasizes the characteristics in Qu

Yuan’s works such as qi ^(remarkable), qimi (delicate and lyrical), guigMi

(odd and eccentric), huiqiao (intelligent and artful), and zhuang cat

(vigorously colorful). Different from the Sage's wen, which is characteristic of simplicity, comprehensiveness, and brightness, wen of the literaiy order is allowed to be remarkable, delicate, lyrical, odd, eccentric, intelligent, artful, and vigorously colorful. However, based on the principle that wen and xin must correspond, he requests that literary works "should absorb their wondrous qualities without losing sight of their truths and appreciate their flowers without neglecting their fruits.” Here

"wondrous qualities" and "flowers" are metaphors of wen, while "truths" and

"fruits" are other expressions for jczn. 68 Up to now, a sketch of Liu Xie's tripartite perspective has been drawn, the

hidden structure behind the first five chapters revealed and a new meaning of the

concept wenxin illustrated. Liu Xie’s perspective consists of three levels: the

Dao, the sages, and literature. The origin of literature is Z)ao. However, Dao is not an abstract existence, not as idea in Plato or form in Aristotle. In the

Chinese Dao, the ontological and the phenomenological are combined into one, and it is immanent in this world and in its concreteness. Therefore, it can be manifested by the sages and their works. Following Dao, the sages undertake the responsibility to establish a social order and set up a model for literature.

Following the sages, literary men produce their works according to the natural principles embodied in the Classics and at the same time develop distinguishable features, different from the Classics. Each represents a distinct phase of Liu

Xie’s system and the relations among the three aspects are complementary, interrelated and mutually dependent. One cannot separate them and emphasize one aspect by ignoring others. These aspects match the three orders in Wai-lim

Yips’ framework that I discussed in Chapter One. By playing with the polysemy of the concept wenxin, Liu Xie skillfully describes the synthetic perspective in terms of three levels and then ties them together. This is the new meaning of the central concept wenxin: a systematic perspective that combines the cosmological, social, and aesthetic orders into one synthetic whole. 6 9 It IS worth noting that Liu Xie himself does not create the system. This

system already existed in Chinese cosmology, philosophy, ideology and literary

thought before Liu Xie. In other words, as Confucius claims “[I] transmits but

does not create,” Liu Xie merely illustrates (transmits) the pre

existing system in a systematic way. This system has the following three

characteristics. First, it is a synthesis of Confiicianism, Daoism and Buddhism.

Liu Xie claimed himself a follower of Confucius, but at the same time he was a

Buddhist; not only did he study Buddhism for years, he also wrote Buddhist

essays, and became a monk later in his life. Besides his use of Buddhist terms such as “banruo” {pradjna, intelligence), his systematic structure also shows the result of Buddhist training.®’ As I mentioned above, Daoism was very popular during his life, and Liu Xie, without doubt, was familiar with Daoist works, which influence can be seen from his employment of Daoist thought throughout his work. Since the three schools have their own features and doctrines, Liu Xie applies them in various ways in his system. When he discusses the social functions of literature, Liu Xie mainly takes Confucianism as his guideline. When he deals with the operations of the mind, Daoism is paid more attention. His Buddhist background helps him organize the materials and shapes his method of thinking. 7 0 The combination or complementarity of Confucianism and Daoism is

fully recognized by scholars in the field of Chinese literary criticism. However,

the influence of Buddhism on Liu Xie’s Wenxin diaolong is a controversial issue.

I do not agree with some scholars who regard Buddhism as Liu Xie’s dominant

theory, on the one hand, nor with some scholars who totally remove Buddhism

from Liu Xie’s work, on the other.Basically, my opinion is very close to

Zhang Wenxun and others’ opinions that the influence of Buddhism is

mainly on his method of thinking. That is one of the reasons that his work is

more systematic than the previous ones and later books cannot be compared with

it in terms of structure.

Second, this system is a synthesis of three disciplines; philosophy, history

and literature. During Liu Xie’s time, ancient Chinese had a clear picture of the

different disciplines. They already classified philosophy and history separately.

Xiao Tong (501-531), Liu Xie’s contemporary, in his Zhaoming wenxuan

does recognize the distinct features of literature by excluding Confucian canons

and historical works from his literary anthology.®'^ Liu Xie, however, includes all

genres, such as philosophical works {zhuzi historical works (shthuan

and literary work (shi and fu |^ ^ ) . Does Liu Xie not recognize the

independent features of literature as well as Xiao Tong does?®^ Or does Liu Xie have a different point of view that allows him to employ a broad definition of 71 literature? The answer again lies in Liu Xie’s tripartite perspective of literature.

In his synthetic perspective, we note that the three orders in his system roughly

correspond to three disciplines; the cosmological order is similar to the discipline

of philosophy, the social order to history, and the aesthetic order to literature.

Though well aware of the classification of different fields, Liu Xie purposely puts

them together into his synthetic system. In other words, Liu Xie knows that these

are different fields. He does not view literature as an isolated field, but tries to

coimect it with the other two, and this constitutes his interdisciplinary perspective.

In the Chinese classical traditions, as generally understood by Chinese classicists, there is a synthesis of literature, history, and philosophy, and this synthesis has experienced two stages. In its early and primitive stage, the ancient

Chinese did not note disciplinary differences, their synthesis was unconsciousness. During Liu Xie’s time, however, the Chinese realized the differences, but attempted to unite them into one as a cultural and humane discipline. The representative of the tradition at the second stage is, of course,

Liu Xie’s Wenxin diaolong.

The third characteristic of Liu Xie’s perspective is his tripartite logic. In

Chapter One, I mentioned that Needham named Chinese logic a dialectical one.

Although I agree with his opinion that the Chinese have their own logic that is 72 different from Aristotelian logic, I do not think that dialectical is an appropriate

name. Dialectical logic derives from Hegel, who discovered that besides

Aristotelian Logic, there is another kind of logic, consisting of three parts; thesis,

antithesis, and synthesis. The three parts represent three stages of a procedure.

Every thesis leads necessarily to its opposite, antithesis. Then, antithesis continues

negating itself and leads to another stage, synthesis, a higher reconciliation

between thesis and antithesis. However, the development does not stop here. This

synthesis again contains in itself a contrasting element that leads to its own

negation. It is an unending progress from thesis to antithesis to synthesis..

In the case of Liu Xie, we find a similar structure. He first divides things

into three parts and then synthesizes them into a unit. For instance, with respect

to cosmology, he first classifies Heaven and Earth as two distinct elements: Hang

yi (two archetypal Forms), and then introduces Man to join them, forming

the Great Trinity.®^ fri terms of literature in his broad definition, he unites Dao,

Sages, and wen into one chain, as I pointed out previously. The wenxin of Dao,

of Sages (shengren and of aesthetics {meiwen is another example in

his works of this triangular thinking. Comparing Liu Xie’s tripartite structure

with Hegel’s dialectical logic, however, I see the following differences. First,

Hegel’s is characteristic of progress, in other words, of chronology. That is,

thesis is negated and replaced by antithesis, then the antithesis is by synthesis, and 73

SO on. Eveiy step occurs in the framework of time. While Liu Xie’s is mainly

synchronous: the three parts coexist simultaneously. We might say that Hegel’s

method is temporal, while Liu Xie’s logic is spatial. Of course, there could be a

chronological relationship among the three parts in Liu Xie’s system, but it is not

as crucial as in Hegel’s method.®’

Second, struggle and conflict are primary forces in Hegel’s dialectical method, while harmony is the key point in Liu Xie’s structure. There does exist tension among the three parts, but the tension does not lead to replacement or dissection. The result of the tension is to form a harmonious union. The relations among the three parts are interactive, mutually dependent, different from Hegel’s in which one substituting and winning over the other becomes a pattern.

Hence I do not agree with the applicability of the term dialectical, and instead adopt “tripartite scheme” from Stephen Owen. I call Liu Xie’s logic a tripartite logic.®® This issue needs further study. However, these differences are important to understanding the Chinese method of thinking. Looking at the three characteristics of Liu Xie’s tripartite system in a broader context, we will discover that they are also characteristics of Chinese culture: first, the complement/combination of Confucianism, Daoism and Buddhism; second, the synthesis of philosophy, history and literature; and third, the tripartite logic. Liu 74 Xie’s system is formed by assumptions deeply rooted in Chinese culture, and the

system reflects, in turn, the main characteristics of Chinese culture.

Two famous comments by Zhang Xuecheng (1738-1801) can be

used here as a summary of Liu Xie’s perspective. One is that “its [PFenxin

diaolong] system is enormous and its thought is comprehensive.

The other is that “in discussion of wen (literature), people in the past only

discussed the literary expressions. When Liu Xie appeared, he followed Lu Ji’s

theory and started discussing the theory of wenxin!'

Liu Xie’s most important

contributions to classical Chinese literary: criticism are embodied in the above

comments. In the history of Chinese theory of literature, Liu Xie was the first to

discover and illustrate a comprehensive and systematic view of literature. The

new term wenxin, coined by Liu Xie, gives a name to this synthetic, enormous and comprehensive system. The invention of the central term can be regarded as

Liu Xie's most significant contribution to the theory of Chinese literature.

Keeping the tripartite perspective in mind, we can see why both Gibbs and

James Liu do not interpret Liu Xie's perspective correctly and appropriately.

Wenxin cannot be understood only from the orientation of writer, for it also includes aspects of the universal order; nor only from that of the universe, for it concerns not only manifesting the universe but also expressing the individual's 75 feelings. Therefore, in Wai-lim Yip's diagram, I locate Liu Xie’s tripartite perspective at its center. From the center, this system radiates toward the various elements of universe, writer, work and reader. The following chapters will discuss these theories in detail. 76 NOTES:

' I have found no earlier usage of wenxin as a compound in the extant documents before Liu Xie, though nobody claims that it is Liu Xie's invention. The invention of the term wenxin should be regarded as one of Liu Xie's greatest contributions to classical Chinese literary thought.

^ See James Liu, Chinese Theories of Literature (Chicago; The University of Chicago Press, 1975), 7-9. Yi Zhongtian # 4 ^ ^ , “Wenxin diaolong" meixue sixiang lungao (Shanghai: Shanghai wenyi chubanshe, 1988), 26-29.

^ Shang shu, “ Gu ming” in Shi san jing "p H M , ed. Wu Shuping (Beijing: Yanshan chubanshe, 1991), 203.

Shi jing, “Qin feng. Xiao rong” ibid., 278.

^Xu Shen Shuowen jiezi in Shuowenjiezi gulin ed. Ding Fubao X Iw fë (Shanghai: Shangwu, 1928), 3983 b.

® Zhuan^i, “Xiaoyao you” in Zhuangzi jijie ed. Wang Xianqian Zhuzijicheng (Beijing: Zhonghua shuju, 1954, reprint 1986), 3: 4.

^ Liji, “Wang zhi” in Lijixun zuan ed. Zhu Bin (Sibu beiyao edition), 15b.

* Guangya, “ Shi xun” @ #l, in Guangya shu zheng by Wang Niansun {Sibu beiyao edition),ywa« 2, 1 lb.

^ Han Feizi. “Jie Lao”# ^ ^ X - ^ : ^ , in Han Feizi jijie ed. Wang Xianshen X Æ 'K , in Zhuzi jicheng, 5: 97.

Lunyu, “Yongye” inLuyuzhengyi, ed. LiuBaonan va Zhuzi jicheng, 1: 125.

' ‘ Lunyu, “Zihan” Ira to-ibid., 176. Liu, 7-8. Wenming in the phrase '■‘■tianxia wenming” of Yi jing, “Qian gua. Wenyan” BjM.MM'-'X.n. also has abstract meaning. See Zhouyi zhengyi in Shisan jing zhu shu X H M iÈSÎt. ed. Ruan Yuan ^ J C (Taibei: Qitning shuju, reprint, 1959), 4. 7 7

Mengzi, “Wan zhang shang” in Mengzi zhengyi jE # , ed. Jiao Xun in Zhuzi jicheng, 1; 377.

Han Feizi, “Wu du” in Zhuzi jicheng, 5: 344. Xu Shen in his “Preface to Shuowen JiezF indicates that “simple characters are the root of physical phenomena” in which wen refers to writing, too. Xu, 6727b.

For instance, James Liu spends a whole section in discussion of the meaning of wen, but does not mention the polysemy of xin at all. See his The Chinese Theories o f Literature, 7-9. In regard to the concept xin, Zhou Zhenfu merely gives a short interpretation. See his “Ciyu jianshi” attached to the Wenxin dialong jinyi (Beijing: Zhonghua shuju, 1986), 471.

Xu Shen, 4646 b.

Baihu tang de lun, “Wu si” (Sibu congkan chubian edition), 15a. As for its author. Hung Yeh disagrees with the popular opinion that it is compiled by Ban Gu and he guesses the book was finished between 214 and 245. See his “Introduction to the Index to Po Hu Tung,” in no. 2 of Harvard-Yeching Institute Series (Taipei, reprint 1966), i-xiv.

Mengzi, “Gao zi shang” in Zhuzi jicheng, 1: 467.

Xunzi, “Jie bi” inXunzi jijie ed. Wang Xianqian Zhuzi jicheng, 2: 265.

19 Li ji, “Shao yi ” in Li ji xun zuan ®8a.

Xiao Tong Wen xuan “Wang Ziyuan si zi jiang de lun” 0 (Sibu beiyao edition),yuan 51, 7b.

Ji jing, “Xi ci shang” in Zhouyi annotated by Wang Bi (Sibu congkan chubian edition), 45.

Shi jing, “Xiao ya. qiao yan” in Shi Mao shi zhuan shu ed. Chen Huan (Beijing: Zhongguo shudian, reprint 1984), juan 19,41a. 78

Lunyu, “Wei zheng” and “Yong ye” in Zhuzi jicheng, 1: 23, 118.

D. C. Lau, trans. Mengzi (New York; Penguin Books, 1970), 82-3. Mengzi, “Gongsun Chou shang” in Zhuzi Jicheng, 1: 138.

Lau, 165. “Gaozi shang” ibid., 457-8.

^ “Cao Jiao asked, ‘Is it true that all men are capable of becoming a Yao or a Shun?’ ‘Yes,’ said Mencius.” # ^ ^ # 8 ; # ” Lau, 172. “Gaozi xia” ibid., 477.

“Gongsun Chou shang” ibid., 117.

“Jinxin shang” ibid., 517.

Laozi, “49 zhang” in Laozi zhu annotated by Wang Bi 3 E ^ , in Zhuzi jicheng, 3: 30.

“28 zhang”.Z2"f'/V #, ibid., 16. Fung Yu-lan, A History o f Chinese Philosophy (?evp\ng: Henri Veth, 1937), 189.

“18 zhang” - f A # , ibid., 10. D. C. Lao, tr., Tao Te Ching (HongKong: Chinese University Press, 1982), 74. Fung Yu-lan, 189.

^"“3 zhang” 5 # . ibid., 2.

“16 zhang” ibid., 9. James Legge, Texts o f Taoism (New York: The Julian Press, Inc., 1959), 107.

"''Chengxinf in Zhuangzi, “Qiwu lun” in Zhuangzi jishi ed. Guo Qingfan in Zhuzi jicheng, 3: 29. Legge, 107. Wantson's translation is that "mind given him." It does not reflect the rich and profound meaning of the term, while Schwartz's "the fully complicated or individualized heart" is overelaborated. See Burton Watson, tr., Chuang Tzu: Basic Writings (New York: Columbia University Press, 1964), 34, and Benjamin I. Schwartz, The World o f Thought in Ancient China (Cambridge: Harvard University Press, 1985), 229. As for the term jixin, see “Tian di” ibid., 194. 79

“Qiwu lun” ibid., 45, and “Ren jian shi” A K tS . 69.

“Tian dao”A i t , ibid., 204. Legge, 378-379.

” “Qiwu lun” # # # , ibid., 39.

“Renjian shi’A ^ t t t , ibid., 67-8. Legge, ibid., 257. Fung Yu-lan, 241.

It is a question when Buddhism was introduced into China. According to E. Zurcher, the earliest record in apocryphal stories about Buddhists occurred in the reign of Qin Shihuangdi (221-208 B.C.). ^QQh\shook The Buddhist Conquest o f China: The Spread and Adaptation ofBuddhism in Early Medieval China (Leiden: E.J. Brill, 1959), 19-20. However, one thing is for sure that Buddhism was very popular and influential in Liu Xie's time.

E. Zurcher, 376, and J. Takakusu, ed., Taisho issaikyo (Tokyo, 1924-1929), V.6, chapter 1,181.1.26.

Huiyuan 0 ) ^ , Apitan xin xu in Zhongguo fojiao sixiang ziliao xuanbian ed. Shi Jun (Beijing: Zhong hua shuju, 1981), 1:96.

■^’Liu Yongji Wenxin diaolong zhu (Hong Kang; Shangwu yinshuguan, 1960), 725, 728. Stephen Owen, Readings in Chinese Literary Thought (Cambridge: Harvard University Press, 1992), 292. Vincent Yu-chung Shih, The Literary Mind and the Carving o f Dragons (Taipei: Chung Hwa Book Co., Ltd., 1975), 1.

See Charles A. Moore, ed.. The Chinese Mind: Essentials o f Chinese Philosophy and Culture (Honolulu: University of Hawaii Press, 1967), Meng Peiyuan Zhongguo xin xing lun (Taiwan: Xuesheng shuju, 1990), and Robert E. Allinson, ed.. Understanding the Chinese Mind: The Philosophical Roots (Hong Kong: Oxford University Press, 1989).

'‘'^The most influential translation is Vincent Yu-chung Shih's. He renders the wenxin as "literary mind." Shih, 1. 80 Owen, 185. His suggested translations, actually, are not comprehensive enough. He only offers various meanings of wen, but not of xin, which denotes mind, heart, essence and spirit, etc.

46 Liu Xie, “Xu zhi” in Zhou, 442.

Owen, 185.

^ See note 5, in Chapter One of the dissertation. While I agree with Gibbs' opinion that wenxin is a central concept in the Wenxin diaolong, I disagree with him in that he regards xin merely as mind of the writer, by which he distorts its polysémie meaning to fit into his expressive theory. Like the polysemy of the concept wen, xin also is rich in meaning, which cannot be limited to mind.

Zhou, 448. Shih, 4-5.

Zhou, 9. Shih, 9. Owen, 187.

Zhou, 10. Owen, 189. Ziran Shih interprets as "natural," see Shih, 9. I prefer Owen's translation, "Nature." However, Owen interprets this phrase gai ziran ye ^ as "they are of Nature. " I treat it as "Nature itself," for the sentence pattern is as same as gai Dao zhi wenye (see note 6) which is unanimously interpreted as "These are wen of Dan" Whether according to grammatical structure or to the context, ziran here should be understood as a noun form, hence "Nature itself."

Zhou, 13-14. See Owen, 193, and Shih, 12-13.

Liu Xie’s concept ‘^Daoxin” is perhaps from Xunzi, which quotes; “Dao Jing yue: renxin zhi wei, Daoxin zhi wei” (“Jie bi” in Zhuzi jicheng, 2:266). In Shangshu, “Yu shu” a passage reads: '‘‘’Renxin wei wei, Daoxin wei wet' (Ruan, Shisan Jing, 1: 24). According to Zhang Xincheng , and Pi Xirui this passage is a forged one. See Zhang’s Weishu tongkao (Shanghai: Shangwu yinshuguan, 1957), 153-54, and Pi’s Jingpcue lishi (Hong Kong: Zhonghua shuju, 1961), 234-35. The concept Dao in Wenxin diaolong is a debated issue, for Liu Xie himself does not make any definition. It has been regarded as Confucian Dao, see Chen Yaonan "Yuan 'Yuan Dao',"jK"MîË" Shehui kexue zhanxian 1980 (2); as Buddhist Dao, see Ma Hongshan Wenxin 81 diaolong sanlun (Xinjiang renmin chubanshe, 1982); as combination of Daoist Dao and Confucian Dao, see Qi Xubang "Yi Dao wei ti, yi Ru wei yong-cong Wenxin diaolong “Yuan Dao” kan Liu Xie de jiben weraueguan" # #Beijing shiyuan xuebao jb ;^ B i# l^ # # :I9 8 3 (2); as natural law, see Zhang Shaokang "Wenxin diaolong de yuan Dao lun" 3 Ë # Wenxin diaolong xuekan 1983 (No. 1)); or as mixed one of Confucianism, Buddhism and Daoism, see Qiu Shiyou "Guanyu Wenxin diaolong zhiD slo" M^'X*(s>^W^'^^Zhexueyanjiu # # # % : 1981 (5). Basically, I agree with Qiu's opinion.

54 J. Liu, 22, with changes. Zhou, 10.

Owen, 193. Zhou, 14.

Liu, 24.

Fang Xuanling et. al, Jin shu, “Shi huo zhi” (Beijing: Zhonghua shuju, 1974), 2: 791.

^ J. Liu, 22. I change "mind" to "Mind," for I regard it here as an abstract and universal concept. Zhou, 10. Owen comments on this paragraph: "In the peculiar natural philosophy of Wenxin diaolong the impulse within natural process to make inherent distinctions manifest already implies the necessity that mind arise; manifestation is complete only if there is a subject to recognize it and know it." Owen, 189. I think that he confuses the universal order with the social order. On the former, the manifestation of Dao through wen is without human interruptions, no "subject" existing. Only concerning the social order, when xin [human xin] was bom, was the language established, and consequently, wen [pattern/writing] shone forth. The following passage makes the above distinction more clearly by Liu Xie: "Now if things which are devoid of consciousness possess such lush colours, can that which is endowed with xin [mind/heart] be without wen [embellishment/culture/literature]?" Zhou, 10, J. Liu, 23, Shih, 10, and Owen, 190. Therefore 1 do not follow Owen’s interpretation of wen merely as "pattern," but J. Liu's "writings/patterns," the dual position I mentioned above.

Shih, 16-17. Zhou, 19. 82 Shih, 17. Zhou, 20.

Owen, 198. Zhou, 28.

Shih, 23. Zhou, 28.

^Shih, 17. Zhou, 20.

Shih, 16. Zhou, 19.

^ J. Liu complains that Liu Xie is inconsistent in his theory of pragmatic and metaphysical, see Chapter One, note 36. If we view Liu Xie's point from the perspective of trinity, we will not claim his inconsistency.

For example, Owen regards the Apocrypha as “a good example of the compulsion of form, the Confucian Apocrypha having no importance whatsoever in the work except as a complement for the chapter on the classics.” Owen, 185.

^ Shih, 30. "Since the Classics are adequate as teachings, what contribution do the apocrypha make to them?” Zhou, 34.

®^Shih, 32. Zhou, 37.

Owen, 185; “After four opening chapters on the Way, the Sage, the Classics, and the Apocrypha..., Liu treats the major genres.” Obviously, Owen here dismisses the Chapter “Bian Sao” from the part of the “General outline.” Owen here possibly adopts the opinion of Fan Wenlan and Du Lijun who also classify this chapter in the section of discussion of genres. See Fan Wenlan, Wenxin diaolong zhu (Taiwan; Kaiming shudian, 1959). And Du Lijun, Wenxin diaolong wenxue lilunyanjiu heyishi (Beijing: Beijing chubanshe, 1982), 239. Wang Y u ^ u a on the other hand, insists that this Chapter should belong to the “general outline” of Liu Xie’s book. His arguments are mainly two: 1 ) Liu Xie takes an attitude to absorbing all useful elements outside of the Confucian Classics, and Liu summarizes the compositional principles in Sao in this Chapter; 2) the structure of this Chapter is different from other chapters in the section of genre discussion. See his Wenxin diaolong chuangzuo lun (Shanghai: Shanghai guji chubanshe, 1984), 227-233. If Wang Yuanhua could point out the relation 83 between this chapter and other four chapters in terms of Liu Xie’s whole system, his conclusion would be more convincing.

’’The character bian # in the title “B i^ Sao” has three often used meanings in Chinese; 1) analysis; 2) change ( # , # & ) ; and 3) defense/apologia = # ) . An expert to play with the polysemy of words, does Liu Xie employ its three meanings simultaneously here, too? Huang Shulin’s edition of Wenxin diaolong uses ^ instead of see Wenxin diaolongjiaozhu ed. Yang Mingzhao (Shanghai: Zhonghua shuju, 1959).

72 Shih, 28. Zhou, 41.

Shih, 30-1. Zhou, 44. The previous scholarly interpretation of the word “botu was “ruffian.” I changed it to “a knowlegeable person,” following Han Huchu’s Wenxin diaolong meixue sixiang tixi chutan (Guangzhou: Jinan daxue chubanshe, 1993).

74 Ibid.

Yang Mu says in his “Wenxue de bianhu (Apology of Literature)”: “Literature in traditional Chinese society has never needed anybody to apologize for it,... In China, it has been unnecessary to defend poetry and literature,” in Zhongguo wenxue piping nianxuan ed. by Ko Qingming (Taipei: Juren chubanshe, 1976), 106-107. His comments perhaps should be amended in consideration of Liu Xie’s apology of Qu Yuan’s literary works.

Shih, 30-1. Zhou, 44-5.

David Y. Ch’en’s lecture on Chinese literary criticism. Zhu Rongzhi Wenqi lun (Taibei: Xuesheng shuju, 1986).

™ Shih, 30-1. Zhou, 44-6.

Shih, 30. Zhou, 46

Confucius, Lunyw, “Shuer” Zhuzi jicheng, 1:134.

Liang shu, “Liu X e zhuan zhu” , in Yang, 1-10. 84 ^ See Ma Hongshan. Fang Yuanzhen Wenxin diaolong yu fojiao guanxi zhi kaobian (Taibei: Wen shi zhe chubanshe, 1987).

*^Zhang Wenxun MJCSJj, “Liu Xie meixue sixiang mianmian guan in Wenxin tongdiaoji jC-'Ù"!»)##, ed. by Cao Shunqing (Chengdu: Chengdu chubanshe, 1990), 66-8. Wang Yuanhua, 315-17.

^'’Xiao Tong, {Sibu beiyao version). David R. Knechtges, tr., Wenxuan or Selections o f Refined Literature (Princeton: Princeton University Press, 1982).

®^Miao Junjie “Wenxin diaolong yanjiu zhong ying zhuyi wenti lun de yanjiu in Wenxin diaolong yanjiu lunwen ji ed. Zhonguo Wenxin diaolong xuehui (Beijing: Renmin wenxue chubanshe, 1990), 435. In this article, Miao criticizes Liu Xie’s classification of genres that does not make a clear distinction between literature and non literature.

86 Shih, 9. Zhou, 10.

*’Xiaobin Jian argues that in Chinese narrative, there is a method of spatilization, in contrast with Western narrative characteristic of temporality, sequentially and follow-ability. Perhaps my comparison of difference in logic can support his point from another perspective. See his PhD dissertation, “Spatialization in the Shiji” (Columbus, Ohio State University, 1992).

Owen, 207. It reads: “These problematic relations lead Liu Hsieh [Xie] to his own version of the venerable tripartite scheme to link language to mind and the world.” This term is originally from Qian Zhongshu, see Owen, 81. Qian Zhongshu Guan zhuipian (Beijing: Zhonghua shuju, 1979), 1177. Also see Tu Guangshe “Liu Xie sibian de sanwei moshi in Wenxin diaolong yanjiu huicui ed. Rao Pengzi ^ (Shanghai: Shanghai shudian, 1988), 203-12.

Zhang Xuecheng Wen shi tongyi, “Shihua pian” (Beijing: Zhonghua shuju, 1961), 157.

^ “Wendepian”± # M , 59. CHAPTER m

THE INTEGRATED THEORY ORIGINATED FROM

THE PERSPECTIVE OF WENXIN

The term "integrated" is an English translation of the Chinese word jiaorong

' By integration, I mean a method of composition that emphasizes interaction between, and fusion of, the outside world and the author’s subjectivity, scenes described and the author’s emotions/intentions expressed in a literary work. The term is used here to describe Liu Xie’s theory of literature originated from his synthetic perspective, in comparison with the prevailing Western mimetic and expressive theories. As M. H. Abrams points out, the mimetic theory is universe- oriented, and the expressive theory author-oriented. The orientation of Liu Xie’s theory, however, as we have discussed in Chapter Two, is a tripartite and synthetic one, neither simply on the universe, nor on the author. Therefore, when Liu Xie deals with issues of composition, he develops a theory different from the mimetic and the expressive ones. Using the term “integration” will not only benefit our understanding of Liu Xie’s views of literature, but also help illustrate the meanings of some terms that are unique in traditional Chinese literary criticism, such as qingjing

85 86 jiaorong (integration of the affections and scene), xingshen jie bei

W'fê (combination of the appearance and spirit). This chapter will, first,

define the integrated theory by drawing from Liu Xie's work. It will consist of three

parts according to the process of composition: (1 ) outside world stirring the author’s

feelings; (2) the author’s mind traveling with objects; and (3) literary images as the

products characteristic of the integration of the author’s affections and the scene. At

the end, I shall briefly compare Liu Xie's integrated theory with Western theories.

In the chapter “Wu se (Physical Phenomena), there is a couplet stating the integrated theory. It reads:

They [the poets] sketched qi (natural atmosphere) and delineated outward appearance, as they themselves were rolled round and round in the course of wu (things/materiel world); they applied coloration and matched sound, lingering on about things with their x/n (minds/hearts).

* « « « , s m » , '

The two sentences in the parallel couplet, syntactically, are called huwen

(reciprocal phrasing),^ which means that the two parts of the couplet cannot be separated and have to be connected and mutually interpreted as a whole. The couplet deals with two aspects of a composition: on the one hand, the writing describes the things in the world; on the other, it goes hand in hand with the mind/heart. They are not two opposite activities but two sides of the same coin. This statement is interpreted by the modem scholar Liu Yongji as being about “the principle 87 of integration of the world and the author’s mind/heart. Liu Xie

offers the following examples to illustrate this theory by saying:

Thus the phrase “glowing” (zhuozhuo) catches the quality of the freshness of peach blossom; “waving lightly” (yiyi) gives the fullness of the manner of willows; “shimmering” (gaogao) is the way the sun looks when it just comes out; “billowing” {biaobiao) imitates the quality of snow falling;. .. A “gleaming sun” (jiaori) or “faint stars” (huixing) each gives, in a single phrase, the fullness of natural principles. “Of varying lengths” {cenci) and “lush and moist” (yvonio) say in two characters everything that can be said about shape All of these use little to comprehend much, with nothing omitted of circumstance {qing) or appearance.

... m , ^

The above examples are taken from the Shi jing, the first anthology of Chinese

poetry. Zhuo, in Chinese, means burning, luminous and bright. The original text

reads: “Ho, graceful little peach-tree/ Brightly thy blossoms bloom! /Go, maiden,

to thy husband;/ Adorn his hall, his room.” 0 ,

^ This word z/iwozhwo not only describes the freshness and

flourishing of the peach blossoms, which imply the beauty of the maiden, but also

expresses the maiden’s subjective feeling: a burning and urgent feeling to get

married, and go to her husband and family. In Liu’s second example, the word yi

has two meanings in classical Chinese: one is to depend on, or attach to, the other is

luxuriant. The original poem reads: “At first, when we started on our track/ The willows green were growing and waving lightly.” ’ When he departed from home, the traveler saw the willow trees, luxuriant and sweeping in 88 the wind. Being reluctant to leave, he thus projected his emotional state onto the

trees and attributed to them human feelings of attachment. Thusjt/iyi here combines

the two meanings into one and willow trees become a symbol of homesickness and

feeling of nostalgia for home in Chinese poetry. The term gaogao, a description of

sun rising brightly, is in contrast with a lady’s desire for rain, which stands for uniting

with her husband, as in the text “Come rain, come rain!/ Yet still the Sun appears in

cloudy sky. ” H The description of weather reveals the

lady’s strong emotions of missing her husband. While in the case of biaobiao, the

text “Falls of snow, be deep as they may/ Melt at the sun’s warm glance. M W

M ” does not merely describe the weather but also personalizes the natural phenomena as human affairs. Here snow symbolizes the evil things, while the sun the proper.^ Liu Xie recognizes the importance of description, but more importantly, he emphasizes the embodiment of subjective emotions and feelings in such a description. The poet’s feelings and die appearance of the objects the poet describes should be integrated together. This is the revelation of the Shijing as an ideal model from Liu Xie’s perspective.

In the combination of nature and the poet’s emotions, as we can see from the above examples, nature plays a very important role. Liu Xie amplifies die impact of nature on human beings by saying;

Springs and autumns follow on in succession, with the brooding gloom of dark Yin and the easeful brightness of Yang. And as the sensuous colors of physical things are stiired into movement, so the mind, too, is shaken. When the Yang force sprouts [in the twelfth month], the black ant scurries to its hole; and when the Yin begins to 89 coalesce [in the eighth month], the mantis feasts. It touches the responses of even the tiniest insects: the four seasons stir things into movement deeply. Then there is the tablet of jade that draws forth the kindly mind, and the splendor of flowers that brings clear qi to stand out high {xiu). All the sensuous colors of physical things call to one another, and how amid all this may man find stillness? -£^0, mmmms, mzu»mm m M M A. m m X ' ù , A*

In the process of Dao, that is, the movement of Yin and Yang, all the things in the

world, such as the mantis, the tiniest insects, the tablet of jade and flowers are deeply

influenced. Human beings, as part of nature, cannot avoid such an influence and their emotions and feelings must be stirred by the universe and the change of seasons.

According to Liu Xie, nature, or the outer world, is not a cold and pure object to be imitated or copied but one that corresponds to human moods. He says:

When spring appears with the incoming year, feelings (qing ) of delight and ease infuse us; in the billowing luxuriance of early summer, the mind, too, becomes burdened And when autumn skies are high and its air (qi) is clear and chill, our minds, sunken in the darkness of Yin, are intent upon far things, then fi’ost and snow spread over limitless space, and our concerns deepen, serious and stem. The year “has its physical things, and these things have their appearances”; by these things our affections are shifted, and from our affections language comes. The fall of a single leaf may meet a concept (yi) [and we know tiiat autumn is coming]; in the voices of insects, we find something capable of drawing forth our thoughts, and how much stronger [than these merely partial evidences] are cool breezes and a bright moon together on the same night, or radiant sunlight and spring groves in the same morning.

s*». KZükm, m m m ,

». wmm, mmm. „ 90

In this poetical statement, the keynotes are that human affections are moved/shifted

by the things in the natural world, then the language/literary work emerges from the

affections originated from contact with things, thus forming a tripartite pattern as

follows;

Things in the World {wu) — Affections {qing) — Language {ci).

This pattern roughly identifies the pattern of the three orders of wenxin: the

cosmological, the social, and the aesthetic. Or to say, it is a variety of the basic

archetype. In various places, Liu Xie describes the relationship between the outside

world and the writer as response. In Chinese, “response” is expressed with terms

such as gan ^ (feel) màying M (respond). For example, in the chapter "Ming shi”

(An Exegesis of Poetry), a passage reads: “Man is endowed with seven emotions. When stimulated by external objects, these emotions rise in response. In responding to objects one sings to express his sentiments. All this is perfectly natural.” # , # # # # , In the chapter

"Quan fu (Elucidation of Fu), we encounter a similar expression:

The reason for making "ascension to the height" the peculiar quality of fu is that it is the sight of concrete objects which excites the emotions. Since the emotions have been excited by concrete objects, the idea associated with the objects always remain clear; and since the objects are viewed with feeling, the language used to describe them is always beautiful. WiSMt-w,mm, mmm.'* mmm, scmmm-, * 91 In the above quotations, the mutual and integrated relationship between concrete

objects and human emotions/feelings is very clear. If one side is missing, the other

will not exist, and only do the two sides cooperate well, the literary work will be

excellent. Qu Yuan’s work can be taken as a sample. In Chapter Two, I mentioned

Liu Xie’s appreciation of Qu Yuan’s works and his giving credit for Qu Yuan’s

literaiy achievements to his talents. Qu Yuan’s talents, after all, are shown in his

properly responding to nature’s stimulation. Here we read;

If mountain forests and the marshy banks of rivers are indeed the secret treasure houses of literary thought; yet if the words are too brief, the description wants something; and if too detailed, it’s over lush. Yet the reason Qu Yuan was able to fully examining the mood of the Book of Songs and “Li Sao” was perhaps the result of assistance of those rivers and mountains?

Liu Xie’s statement that regards nature as the “secret treasure house of literary

thought” sounds similar to the Western theoiy “Return to Nature.” However, Liu

Xie does not need advocating “Returning,” for the ancient Chinese did not depart from nature as the 18th centmy Western poets did under die pressure of industrialization. Liu here merely reveals the importance of nature in Chinese poetry, for nature, where Dao lodges, in Chinese poetics has a profound ontological meaning. In addition, Liu’s emphasis on nature is to promote a classical mood rather than a kind of individualism. The result of attaining the assistance of nature, therefore, is to better understand the mood of the Book o f Songs, and to produce a 9 2 literary work by following these models. The importance of the mutual relation

between the poet and the outer world is best illustrated in the following passage,

which reads:

The mountains in folds with rivers winding. Mixed trees where the clouds merge: When the eyes have roamed over them. The mind expresses them. The days of spring pass slowly. The winds of autumn howl. Our affections go out as a gift. And stirring comes back like an answer.

t» ......

A picture of harmony between Man and Nature is well drawn, in which the poet and nature communicate with each other. The poet’s affections are stirred by nature, and in return, he projects his affections on nature as a gift. As a result, the poet’s subjectivity and nature are integrated together. It is named “wugan shud’"

(theory of being stirred by things) in Chinese literary thought. We should note that the idea of the mutual interaction of the poet and the world was not created by Liu

Xie, but inherited by him from the Chinese tradition. In the section “Yueji” ^ |B

(Records of Music) of the Liji M r2 (The Book of Rites), two paragraphs discusses the relation between the universe and music (a combination of music, dance and poetry at that time) as follows:

All tones (yin) that arise are generated from the human mind (xin). When the human mind is moved (dong), some external thing (wu) has caused it. Stirred by external things into movement, it takes on form 93 (xing) in sound When these sounds respond (ying) to one another, mutations {bian, i.e., changes from one sound to another) arise; and when these mutations constitute a pattern (wen), they are called “tones.” ÈA'ii'Æ*. A‘ù±», mm f f i * , w m , m m c , m z * .

Music originates from tone. Its root (ben) lies in the human mind’s being stirred (gan) by external things.

The logical connection at the above can be sketched as follows:

Music— Tones—The Human Mind —External Things.

If we place music and tones on the same level, we will see the pattern of the three orders, the cosmological, the social, and the aesthetic, to appear again, but in a reversed order. In seeking the origin of music, and literature as well, the ancient

Chinese traced it back to nature, which stirs the human mind to produce music.

Following the “Yue ji,” Lu Ji illustrates the theory with regard to literature in particular in his “Wen fri” jCM (Exposition on Literature):

He moves along with the four seasons and sighs at their passing on. Peers on all the things of the world, broods on their profusion. Grieves for the falling leaves in strong autumn. Rejoices in the pliant branches in sweet spring; His mind shivers, taking the frost to heart; His intent is remote, looking down on the clouds.

m m m m < B m m m , „ 94 In other words, the change of seasons stirs the poet’s feelings and the poet responds

to external things in an active way, integrating nature with his mind and affections.

Zong Bing (375-443) applied the theoiy to painting and emphasized the

importance for art of getting to know nature, which has its own tastes and spirits,

corresponding to human beings:

The Sages respond to external things by comprehending Dao and the worthy men ponder the images of [the world] by distilling their minds (xin). Since mountains and waters have their own tastes and spirits in nature, Sages such as Xuanyuan, Yao, Confucius, Guangcheng, Dakui, Xuyou, Guzhu must have travels on Kongtong, Juci, Miaogu, Jishou and Dameng, and they call it joy of benevolent and wise men. Sages demonstrate Dao with their spirits and worthy men understand. Mountains and waters flatter Dao with their shapes and benevolent men feel happy.

ÎL, Am. m s t M , m

■ 1 . m . , « t t . x m c w z m 19

It is important to note that responding to nature is a way to understand Dao, and that nature has its own tastes and spirits: the cosmological order appearing here. Zhong

Rong (469-518), Liu Xie’s contemporary critic, held a similar idea, and traced the origin of literature back to the outer world by saying: “The vital force (qi ) moves natural objects, and objects elicit a response in man; thus the stimulation of one’s nature and feelings takes shape in dance and song.” »

Since the time of these early critics, the theory of the mutual response between the world and the poet has been popular in the classical 95 Chinese literary thought. For instance, the Ming critic Xu Zhenqing typifies

this theoiy in his Tanyi lu (Records of Talking of Arts): “Affections are the

essence of the mind/heart. The affections do not have fixed positions and are stirred

by touching and feeling [external things]. When [the poet] is moved inside, he must

form [his feelings] in sound This is the source of poetry.

aagWgSinî ...jtb TAfang

Fuzhi ( 1619-1692) also clearly states the mutual dependence of things and

affections:

Even though the affections {qing) are distinguished fi-om scene by the one’s belonging to the mindfieart (xin), and the other’s belonging in things {wu), still with scene giving rise to the affections and affections giving rise to scene, with the conflict of misery and joy, with the encounter of splendor and despair, they take secret lodging in one another. mmwi'ùwiz». ro*â£if. Mmzm,

The relationship between the affections and the scene will be discussed later. Here I merely emphasize the idea of the mutual dependence of scene and affections was central to much criticism throughout the tradition. Liu Xizai (1813-1881) similarly recognized that “There is appearance of things outside, and there is living spirit inside of me. WThen the two sides touch and stir mutually, thenjir comes out.”

That is » say, the literary work, here/M as an example, originates from the mutual response of the universe and the mind/heart. 96 The above discussion reveals the integrated theory at the level of the

cosmological order; literature demonstrating Dao and the mutual relation between

nature and the poet’s mind/heart. In the following I shall discuss another aspect of

the integrated theory: the mind {xin) traveling with things in the process of

composition. Liu Xie’s chapter entitled “Shensi # # (Spirit Thought) best

illustrates this notion. As for the meaning of the title, there are two interpretations,

based on the structure of the Chinese compound. Some regard shen (spirit) as the

subject while si (thought/thinking) as predicate. In this way the compound can refer

to a mental activity, which is close to imagination {xiangxiang ^ i'^ ) or imagistic

thought {xingxiang siwei in the West. Others views shen as modifying si. Thus, the compound means marvelous thinking/thought, similar to the Western

notion of inspiration.^^ In my opinion, both meanings should be retained. Therefore

I take Owen’s translation “spirit thought” that is closer to the original text. Liu Xie defines the concept shensi at the beginning of the chapter:

Long ago someone spoke of “the physical form’s being by the rivers and lakes, but the mind’s remaining at the foot of the palace towers of Wei.” This is what is meant by spirit thought (shensi). and spirit goes far indeed in the thought that occurs in writing (wen). When we silently focus our concerns, thought may reach to a thousand years in the past: and as our countenance stirs ever so gently, our vision may cross (tong) ten thousand leagues.

“m m m z i . , " m z m •fe. itZBA.sa»B. “ SS=P«; # 97 The quotation in the above passage-is from Zhuangzi’s work, a chapter entitled

“Rangwang” M i - It refers to “the inability to escape political attachment, even

while ostensibly living in retirement.” However, Liu Xie changes the political

implication in the original text to the operation of the mind. The mind, according to

Liu Xie, can remove itself from empirical circumstances by traveling far away in

terms of both time and space and can get in touch with things all over the world. It

recalls Sima Xiangru’s (179-117 B.C.) statement; “The mind of fu

writers embraces the universe and completely includes human beings and things.”

Huan Tan’s (ca. 23-56 B.C.) also describes the operation of the mind as that: “The spirit and mind are obscure and far- reaching, m an^ng myriad things in the world.” jf/L » He further equates the shen and xin by saying: “Someone asks what is spirit, the answer is mind.” , SSince the mind has the capacity to embrace myriad things when it works, it will wander with things, according to Liu Xie: “When the basic principle of thought is at its most subtle, the spirit wanders with things.”

The shen is a synonym of the xin as Huan Tan said at the above, and things here are objects in the outer world on the one hand, and the images of the things in the mind on the other. Things can correspond to the human spirit, for in the Chinese mind, “Among all things that exist by getting the vital force {qi) of

Heaven and Earth, none of them does not have their own spirits.”

Thus they can accompany the mind in its travels. Moreover, wandering (you) refers to an active movement of the mind in its 98 freedom. Th\xsyou in Chinese also has the both meanings of managing (traveling)

and playing. Confiicius’ saying “[One should ] be intent on Dao, depend on de

(morality)... and wandefrplay with}//." contains

both meanings. ïi refers to the six subjects Confricius requires his students to master.

They include music, though they are not equal to “arts” in today’s understanding.

After mastering the subjects, man will have the freedom to manage and play.

Zhuangzi also indicates the mutual dependent relationship between the mind and

things by saying; “ To ride with things in order to let the mind travel.”

"To enter and leave the six directions and travel among the nine states (i.e., the

world).” lB Liu Xie may have developed his idea from

various sources, however, the most direct would have been from Lu Ji, who describes the spirit movement as follows:

Thus it begins: retraction of vision, reversion of listening. Absorbed in thought, seeking all around. My essence galloping to the world’s eight bounds. My mind roaming ten thousand yards, up and down.

On the spirit journey, the poet can instantly encompass all time and space: “He observes all past and present in a single moment/ Touches all the world in the blink ofaneye.” M ‘è ‘"v'5^M ^> Furthermore, the poet’s mind/affections (qing)-as Owen says, “Qing is usually an aspect ofx/n, “mind,” a condition of perception rather than an object of perception.”^’ - wander together 99 with things: “When it is attained: light gathers about moods {qing) and they grow in

brightness/ Things {wu) become luminous and draw one another forward.”

Following the tradition, Liu

Xie emphasizes the fusion of things in the outer world and the poet’s subjectivity by

saying: “When poets were stirred by physical things, the categorical associations

were endless. They remained drifh'ng through all the images {xiang) of the world,

even to their limit, and brooded thoughtfully on each small realm of what they saw

and heard”

It is noteworthy that there is no gap between the “being stirred by physical things

{gan wu)” and the poet’s spirit thought {shensi). When the poet is stimulated by the

outer world he perceives, he immediately associates them with other things

disjuncted in time and space. The concept lianlei 0 ^ (categorical association)” in

Liu Xie explain how the association works in ancient Chinese minds. In the Werç^an

J e w (Embellished Words) a commentary on the first hexagram, qian of the Yi jing (Classic of Changes) explains this prototypical notion of categorical association:

The Master said: things of a similar tone respond to one another. Things of similar vital force seek each other. Water flows to what is damp; fire seeks what is dry. Clouds follow the dragon: wind follows the tiger. The sage acts, and the myriad phenomena observe him. What has its root in heaven feels close to what is above. What has its root in earth feels close to what is below. Thus each follows that to which it corresponds by category.

T. ■” 100

Dong Zhongshu (ca. 179-100 B.C.) interprets that “things that categorically

correspond move each other. From this, Joseph Needham notices

that the concept categorical correspondence (gan lei 0 ^ ) as a “symbolic

correlation system” is central to many fields of traditional Chinese thought.'*^ It is

clear that Liu Xie’s idea of categorical association is based in traditional Chinese

thought. The human mind has the capacity of associating different things together,

for the human mind and nature belong to, fundamentally, the same category. Being

shaped by tradition, Liu Xie describes the spirit movement:

When the spirit thought is set in motion, ten thousand paths sprout before it; rules and regulations are still hollow positions; and the cutting or carving as yet has no form. If one climbs a mountain, one’s affections (qing) fill the mountain; if one contemplates the sea, one’s concepts (yi) brim over the sea. And, according to the measure of talent in the self, one may speed off together with the wind and clouds.

m m #, stuasit

6 43

When Liu Xie theorizes traditional Chinese thought into that “the spirit wanders with things,” he refers to a reciprocal activity, a two way traffic. On the one direction, the poet’s affections are stirred by the outer world when climbing the mountain or observing the sea; on the other, the poet projects his affections onto the world by filling the mountain and the sea with his affections. It is the same process as that we discussed at the above in the section of the theory “being stirred by things.” Here, however, I focus on the side of the poet. To put in another way, the theories “being 101 stirred by things” and “spirit thought” are two sides of the same coin and as a result,

the two must be combined into one. This is the essence of the integrated theoiy: non

separation between the object and the subject, and fusion or integration of the two.

The same idea echoes in other critics’ works. For instance, Sikong Tu (837-

908) regards the spirit journey with things as one of the most important parts of the

poetic process: “Wang [Wang Jia] is excellent in making the thought harmonize with

circumstances/world {jing). This is what poets esteem.” T.4^. . .

'M > Tang Xianzu (1550-1616), from another angle,

wrote that the achievements of a literary work are due to the ability of the mind to

travel with things:

The reason the literary work in the world has living spirit lies absolutely in that the writer is a marvelous man. When a man is marvelous, thus his mind (xin) is ingenious. When his mind is ingenious, thus his mind can fly. Because the mind can fly, thus it can fly up to Heaven and down to Earth, come and go between the past and the present. mm, mmmr±m.,

When discussing how to write seven-syllable regulated poetry, Hu Yinglin

(1551-1602) states that one of the criteria is that “your thouj^rt should travel in every direction and your spirit wander in antiquity.” This is very close to Liu Xie’s words “Thought reaching to a thousand years in the past,”

and “vision crossing ten thousand leagues.” That is to say, the poet’s thought can transcend the limitation of time and space and travel freely 102 with the outer world, no matter where and when. Or in Liu Xie’s words, the talented

poet can speed off together with the wind and clouds.'^* Ye Xie # # (1627-1703)

has a similar saying as follows:

Let one’s thought {xinsi) generate and travel boundlessly, high and low in every direction. It cannot be limited by the six points of the universe. When he puts his thought down in words (wenci\ the ultimate principle will reside therein, thousands of events will be regulated, and deep affections {qing) will be brought out This can be called “having talent.”

± T « , m m z . m s m m , w w ,

Ye Xie regards the mind traveling with things as a precondition of “having talent.”

Liu Xie not only describes the talent in terms of the ability to travel with things, but also discusses how to cultivate the ability. His theoiy regarding this issue consists of three points: (1) the idea oVxu jing (emptiness and stillness); (2) the idea of

'yang qi (nourishing the qi, the vital force in the mind); and (3) the idea of learning, all closely connecting with his synthetic perspective of wenxin.

Liu Xre’s theory of emptiness and stillness can be found in the chapter

“Shensi”: “Thus in shaping and turning [as on a potter’s wheel] literary thought

(wensi), the most important thing is emptiness and stillness within. Dredge clear the inner organs and wash the spirit pure.”

This theory is closely related to the Daoist understanding of the creative process of Nature and one’s contemplation of it, as Laozi notes: “Attain complete vacuity/ Maintain steadfast quietude./ All things comes into being/ And I 103 see thereby their return."

According to Laozi, the world is not created by a transcendent God, but is simply a

natural course. Since all the things in the world are bom from nothing, the human

mind, as the mind/heart of Heaven and Earth, must keep empty and still in order to

observe the movement of all things. Therefore, Lu Ji describes the process of

composition by saying: “A trial of void and nothing to demand of it being/A knock

upon silence, seeking sound." This indicates

a paradoxical method in literary composition. In order to create, one has to first seek

the void and silence of the primordial condition of the universe out of which

“being” or “presence” (you) e m e r^ . Once again, we see that the Chinese primordial cosmogony plays an important role in shaping Chinese literary thought, and that Liu Xie inherits the tradition and applies it to his theory of the “emptiness and stillness.A nother passage in the chapter “Yang qi” further illustrates the functions of “keeping empty and still”:

Water shines because of its tranquillity, A fire brightens when it bums quietly. Never overtax your literary thought. But always keep the spirit fresh.

Liu Xie uses the metaphors of still water and quiescent fire to refer to preconditions of active mental activity. When the mind is empty and still, it can travel with things and become very creative, as a poem by Su Shi (1037-1101) reads:

If [you] wish to make the words of your poetry subtle and marvelous 104 Never detest emptiness and stillness Being still, one can thus understand the movement of the myriad Being empty, one can thus receive ten thousand worlds.

Emptiness and stillness do not mean nothing literally, but are, paradoxically,

conditions to understand everything, receive ten thousand worlds, and produce a

marvelous work. The same idea was expressed by Zhu Tingzhen of the

Qing Dynasty in a more philosophical way:

Those who write landscape poems should identity what is attained in the human mind with what the mountain and water attain from Heaven. They should think and comprehend deeply and silently. While meditating in the universe of non-sign, and investigating their thoughts in Heaven of non-thinking, they can comprehend the mind of Heaven and Earth with their own minds in order to exhaust the mutation of the creative energy [of Heaven and Earth].

The keywords are “to think and comprehend deeply and silently.” In other words, one should keep his mind empty and still first, then he can identify himself with

Heaven and understand Dao. Thus, he will make great achievements in the landscape poetry and literature as well. Zhu’s words indicate that the relation among the theory of “Heaven and Man combining into one” \ that of “spirit wandering with things” and of “emptiness and stillness” Keeping one’s mind “empty and still” is one part of, or a condition of, “spirit wondering with things,” which, in turn, is based on the cosmological concept “Heaven and Man 105 combining into one.” Zhu’s statement also shows that the strong tradition of Chinese synthetic thinking, which was demonstrated in Liu Xie’s Wenxin diaolong, continues to the Qing Dynasty.

Accompanying the theory “emptiness and stillness” is the theoiy “nourishing the qi, the vitality.” It is also an important part of the theory “mind wondering with things.” Liu Xie states its importance at the beginning of the chapter “Yangqi”

Wang Chong [of the Later Han] wrote a Chapter on the theme of nourishing one’s vitality {qi)-, it was based on his own personal experience, and not just on unfounded speculation. Ears, eyes, nose, and mouth are organs which serve our physical life; thinking, pondering, speech, and linguistic expression are functions of our spirit. When all these operate spontaneously, in accordance with our nature and in perfect harmony, the principles of things are revealed and feeling finds unobstructed expression. But if a man works too hard, he becomes weary in spirit and sapped in vitality. This is the law governing our nature and feeling. mMzs, maze, ammai *5 a # n , M S m m m » , "

If the idea “keeping mind empty and still” is with regard to the mental operation, the notion “nourishing of vitality” concerns the connection between one’s physical life and mental operation.

Therefore, in the art of literary writing, temperance and readiness for expression are of prime importance; that is, it is essential to keep the mind pure and tranquil so that its vitality (qi) may find spontaneous expression. As soon as one feels vexed, he should immediately give up thinking, so as not to let his mind become choked When inspired, give vent to your heart and entrust it to the brush; but when ideas hide themselves, put the brush down and fold up your mind A pleasant trip is a sure cure for weariness, and talk and laughter will bring restoration from fatigue. One should always try the sharpness of his talent in leisure, and spur on his literary courage when there is plenty 106 of surplus energy, so that his knife may ever be as sharp as one newly honed, and the circulation of the air [i.e., oxygen] through the veins to his muscles may be unobstructed. Although this method of achieving refreshment may not achieve the results obtained by the art of breath control, it is one way to protect our vitality. fKnigxf. « » * , wmm., mmw jmms, mmÆm, nmxm, m m i m , m * » , m m m z -

As Huang Kan says about the chapter “Yang qi”;

The concept qi used here is different from those that are used in the Chapter “Feng gu (Wind and Bone)”. The purpose of this chapter is to complete what is said in the Chapter “Spirit Thought” and further seek the way to keep the literary thought (wensi) always sharp.

The difference between the qi (vital force) discussed in the two chapters, I think, is that in the Chapter “Wind and Bone” M'S'j Liu Xie talks about the qi (vital force) as an outstanding quality demonstrated in literary works, while in the Chapter

“Nourishing the Vital Force,” he mainly concerns its function in the human mind and the body, as a quality of a poet’s personality, though the two have veiy close connection. In classical Chinese literary thought, the importance of the concept “gr” cannot be overemphasized. Mencius writes:

I have mastered the fostering of boundless and surging qi As for the qi, it is ultimately large and strong, one thus should nourish it with righteousness and not harm it. It thus fills in between Heaven and Earth. Even though Mencius’ ""qf’ has very strong moral implications, the resonance

between human qi and qi of heaven and earth is stimulating and significant. The Han

Daoist text Huainami amplifies the issue from the cosmological point of

view; “Dao originated from vacuity and vacuity produced the universe [of space and

time]. The Universe produced the material force (g/).”

W » Then Cao Pi (187-226) applied the concept of qi to the

literary field by saying:

In literature qi is the dominant factor. Qi has its normative forms (ti)- clear and murky. It is not to be brought by force. Compare it to music; though melodies be equal and though the rhythms follow the rules, when it comes to an inequality in drawing on a reserve of qi, we have grounds to distinguish skill and clumsiness. Although it may reside in a father, he cannot transfer it to his son; nor can an elder brother transfer it to the younger.

Since qi cannot be brought by force, it therefore has to be cultivated; and since it cannot be transferred to others, it has to be nourished by the poet himself It is in this sense that Liu Xie develops Cao Pi’s theory. A passage in the Chapter “Yangqi” reads;

Thus if one grasps the mind and nourishes its techniques, it will not be requisite to brood painfully. If you retain the design within and retain control of the creditor’s half of the contract (siqi), you need not force the affections to suffer.

64 108

The reason not to brood painfully is that;

Learning requires diligence; therefore [Su Qin of the Warring States period pricked his leg with an awl [to keep himself awake to study.] But in literary composition, the purpose is to express feeling which has been repressed; therefore, it is necessary that the writer be able to give free vent to his feelings in a happy and spontaneous manner. If in the process he has to bum up his inner force and dry up the harmonious natural flow of his vitality, his writing will only serve to shorten his years and do violence to his nature. Could this have been the conscious purpose of the sages and worthies, or indeed the reason for any literary writing?

a##**, mmm*. m m m , m m w » , immm, txztm^'. “

Even though Liu Xie notices the difference between learning and writing, he does not ignore the importance of learning. His idea concerning cultivating the spirit thought is about learning, about which Liu Xie writes:

Amass learning to build a treasure house; consult principle (/r) to enrich talent; investigate and experience to know all that appears [literally, “exhaust what shines”]; guide it along to spin the words out.

mmumm, m m m ^. wMmm, “

Liu Xie further points out:

Although ginger and cassia need soil to grow, their bitter taste comes from their nature; similarly, although literary composition requires hard stutfy, real ability to compose comes out of one’s natural talent. Talent issues from within, and study is achieved by external effort. Sometimes one is erudite and yet lacking in talent, and sometimes one is talented and yet a pauper in learning. Poverty in learning makes a writer hesitant in alluding to facts to prove his ideas; while a lack of talent results in a laborious effort to coin phrases to express adequately the feelings. This illustrates the distinction between what proceeds from within and what is achieved by external effort. 109 i g f t j e t . t ê P i

First, the writer should learn from the Classics, because

The Classics and ancient historical records are deep and profound, and they are voluminous in quantity. They are the profound source of all writings, and the spiritual realm in which talent and imagination make their abode. Writers like Yang [Xiong], Ban [Gu], and others all drew upon them as their sources. In them they tilled and farmed with all their might, and they fished and hunted as they wishes. Therefore, the development of a writer’s talent depends on the breadth of his literary experience.

m m & r , m m . , » » S I. m m m ®

The writer also needs to learn from Qu Yuan and others’ works:

If one is able to lean on theya and the song as one leans on the cross bar of a carriage, or to harness the Chuci poetry as one harnesses a horse, ...... then, just as effortlessly as he glances, he will be fully able to utilize his literary power, and just as spontaneously as he coughs, he will be able to reach the literary heights. emmKwmm*. mvjMmn,... wimn&mm t s , ®

As a conclusion, Liu Xie says in the Chapter “Wind and Bone”:

When one casts and molds according to the model of the Classics, or soars and roosts among the techniques of the thinkers and historians, then one will comprehend the mutations of the affections {qingbian), and one will have revealed the forms of literature (wenti) in their minute particulars. Only then can one case fresh concepts (yi) to sprout; only then can one carve out and paint wondrous phrasing (ci).

m m m m , s i® ^ : « , ...... 110 The emphasis on learning is also an inherited tradition. For example, before Liu Xie,

Lu Ji regarded that ‘'Nourishing feeling {qing) and intent {zhi) in the ancient canons.

as one crucial preparation for the creative process.” After Liu Xie,

Yan Yu # 9 9 of the Song, though famous for his theory of “sudden enlightenment,”

still pays much attention to learning and views it as a precondition for “sudden

enlightenment” by saying:

First of all, you should read the Songs o f Chu (i.e., Chuci) until you are thoroughly familiar with them and chant them day and night to have them as your basis {ben). Next read the “Nineteen Old Poems,” the four principal “Ballads” (yuefu), Li Ling, Su Wu, and the pentasyllabic poems of the Han and Wei-you should read these until you are thoroughly familiar with them. Then consider these works piled side by side with the collected poems of Li Bai and Du Fu-just as people study the classics nowadays. Only after that should you pick and choose widely among the other famous writers of the High Tang, letting them ferment in your breast. Finally, after a long time, you will spontaneously {ziran) achieve enlightened insight {-wuru).

. I » , m m ^ , « a , m s s . v s m m , bp

i4>. "

In the above, we discussed the theory of “being stirred by things” and of

“mind traveling with things,” and further amplified his ideas of “emptiness and still,”

“nourishing the vital force,” and learning, all of vriiich complement the theory of

“mind traveling with things.” By applying the synthetic perspective I described in

Chapter Two to these ideas, we can see that the theory of “being stirred by things” is at the level of the universal order. The theoiy of “mind traveling with things,” which discusses issues concerning the operation of mind, then is at the second level, human I ll life and spirit thought, though there is a slight adjustment at this second level; here it

refers to the poet himself, a member of society.

Liu Xie does not stop here. There is a third aspect to his integrated theory,

which is the level of the aesthetic order. Literature, after all, is an art of language. So

the point is how to use language to integrate the poet’s feelings and emotions with

images of things in the world, and how to integrate the content and form into an

organic and effective literary work. Like Liu Xie’s other issues, discussion of the

above point is disposed throughout his book. Let us begin our analysis with the

following passage from the Chapter “Shen si”:

The spirit dwells in the breast; intent {zhi) and vital force {qi) control the bolt to its gate [to let it out]. Things come in through the ear and eye; in this, language controls the hinge and trigger. When hinge and trigger permit passage, no things have hidden appearance.

Liu Yongji correctly interprets the above passage by saying:

That “the spirit dwells in the breast” talks about the spirit contacting things and responding to them. The intent and vital force are signs of the respondents. Therefore he says that they control the bolt to its gate. That “things coming in through the ear and eye,” meets the spirit and then produces images. Since language is the home of images, he thus says ftiat it “controls the hinge and trigger.” However, whether the images are clear or obscure depend on whether language is skillful or clumsy. Whether the response is sharp or blunt depends on whether the intent and vital force are pure or muddy. In other words, whether the expression of the insight and outer world is latent, obvious, deep or shadowy, is always weighed by the intent and vital force. When the intent and vital force are pure and clear, the response will be subtle and fast. When language is skillful and marvelous, the image will be bright and clear. The relation of the two to literature is like the two wheels of a cart. 112

s«H ?. 8Pm'ù4#z*m. ;È « . * * # % . w m m m M i w

Liu Yongji’s interpretation indicates that Liu Xie’s theory integrates the three orders,

which can be described as follows:

Outer World (w«)—>Human Intent and Vital Force (zAfi^^f)—>Language{ciling).

It is important to recognize that there is no gap among the three levels/aspects, which are connected internally and cannot be separated. However, for the convenience of analysis, I am going to concentrate on the relationship between intent and vital force

(including emotions/feelings, too) and language. The relationship is, as Liu Yongji points out, like two Wieels of a cart, without one side the other carmot work.

The above relationship is embodied in the relation between wen

(literature/language/pattem) and zhi ^ (substance), mutually dependent and interactive. Liu Xie says:

The writings of Sages and good men are collectively called “literaiy works” (wenzhang), and what is this but coloration? The nature (xing) of water is its plasticity {xu, “empty”), and ripples form in it. The normative form of wood is solid (shi), and flowers blossom on it. In both cases the pattern ‘shown externally’ (wen) is contingent upon substance (zhi). On the other hand, if tigers and leopards had no patterns, their bare hides would be the same as those of dogs and sheep; rhinoceroses and wild bulls have skins, but the color they have depends upon red lacquer. In these cases the substance (zhi) is dependent on the patterning. When it comes to the overall transmission of our spiritual nature (xingling) or the ample delineation of images of things [literally, “vessels”], we inscribe our 113 minds in the “tracks of birds” [the written word] and weave phrases on the fishnet [paper]. And the brilliant glitter of this is given the name “lush coloration.”

In other words, coloration is an important aspect of literary works. Although the

substance decides the appearance, the appearance cannot be missing, for it manifests

substance. In Liu Xie’s words, if tigers and leopards do not have their characteristic

skins, they are not different from dogs and sheep. Liu Xie clearly amplifies the mutual dependence of substance and coloration; the two cannot be cut off from each other.

As a matter of fact, the above are not metaphors in the strict sense. From his paralleling the relationship between substance and coloration to that of natural things: water, trees, and animals, we can see the central theme-the identity of wen of

Heaven and Earth with that of Man. As Owen points out:

The luminous world of mind and things is put down “in black and white” (as we say); Liu Xie wants to stress the point that this “black- and-white” transcription has its own glitter that conveys the quality of the original. Such allure, embodied in language, is cai, “coloration.” Although this allure is embodied “in” language, however, it is not an allure “of “ language: it is, precisely, the allure of feeling {qingŸ^

Language is a gate that opens to the world of emotions/feelings/intents. However, there is a tendency to emphasize too much coloration and ignore feelings. Liu Xie criticizes some writers because they “felt no swelling emotion, yet made an illicit 114 display of hyperbolic ornament to buy themselves fame and fish for glory in the age.

This is producing feeling for the sake of

tft, lit WiaIWiÈ. ^ It is because that literary base “is to transmission of the

upon which mind is intent. If the words contradict that upon which mind is intent,

what is to be proved by writing?" [:&:#] WHïfe-S.»

The basis of literature, according to Liu Xie, is as follows:

Mascara is a means to adorn the face, but the glance and the dimpled smile arise fi'om a pure loveliness of manner. Likewise the coloration of pattern is a means to adorn words, but the beauty of an argument has its basis in the affections and individuating nature (qingxing). Thus the affections are the warp of pattern (wen), and diction (ci) is principle’s woof, the woof can be formed only after the warp is straight; diction can expand itself only after principle is set. This is the origin and basis of setting for the pattern (or “literature,” wen).

m » m j E m m ncSL ictm .^. ”

Although Liu Xie emphasizes the basis of literature, the affections and principle, he does not neglect the function of diction and coloration. Moreover, he pays special attention to literaiy language and donates several chapters to a series of issues concerning how to use language to convey the mind/heart After all, his idea is to make a balance between the afiections and coloration by saying:

Keep the pattern (wen) from destroying the substance (zhi); keep breadth of [learning] fi-om engulfing mind; the proper coloration (zhengcai) will gleam in red and indigo, the interspersed colors will exclude the pink and purple [garish colors]: after all this, we can say that the piece (zhang) is carved and chiseled. The [work of] a superior person in whom pattern and substance are in balance. Liu Xie here alludes to a famous saying in Confucius’s Analects:

The Master says, “When substance dominates pattern we have crudeness; when pattern dominates substance, we have clerkishness; only when pattern and substance are in perfect balance {wen zhi binbiri) do we have a superior person.”

“micm, x9m. mm "

It is worth noting that Confucius here talks about how to cultivate a superior person,

while Liu Xie is concerned with literature in particular. However, in Liu Xie’s synthetic system, to cultivate a person and to write a literary work are similar to each other in nature. Liu Xie discusses the ways in several chapters, such as “Rongeai”

(Casting and Paring), “Shenglu” (Musicalness), “Zhangju”

(Paragraph and Sentence), “Lici” M M (Linguistic Parallelism), and “Kuashi”

(Hyperbole). Let me give one example from the Chapter

A hundred jointed segments constitute a body/form (ri), and they all depend on the circulation of blood and qi. Likewise, thousands of impulses (qu) conjoin in a literary work, but none can depart from language and the affections (or “giving linguistic expression of the affections,” c/g/ng). Except by casting and paring, how can one make the affections complete without getting over-lush, and make the language function without letting it go to excess?

The affections and language are two essential aspects of a literary work. However, the two sides are not easy to make a balance. If the poet wants to completely convey 116 his emotions but to keep his writing terse, he has to know how to cast and carve his

writing. Liu Xie gives the examples of Xie Ai and Wang Ji 3 E # of the Jin

Dynasty. Although Xie Ai’s style tends toward the lengthy, no part of it can be

deleted; while Wang Ji’s tends toward the short, nothing can be added to it. It is

because they knew how to use the language appropriately to deliver their affections.®^

In other words, the key point is to make a perfect harmony of the affections with

language, no matter whether a literaiy work is lengthy or short.

Another important aspect of Liu Xie’s attention to language in his integrated theoiy is; how to use images to manifest spirit. Liu Xie writes,

Spirit gets through by images {xiang) Giving birth to mutations of the affections. Things are sought by their outer appearance. But the response of mind is for basic principle.

The spirit carmot be conveyed directly and has to use images to get through. The concept x/ang is originally from Yi jing (Classic of Changes), where we read:

When in early antiquity Bao Xi ruled the world, he looked upward and contemplated the images {xiang) in the heavens: he looked downward and contemplated tihe phenomena (fa) on earth. He contemplated the m ating of birds and beasts and the adaptations to the regions. He proceeded directly from himself and indirectly from objects. Thus he invented the eight trigrams in order to enter into connection with the virtues of the light of the gods and to regulate the conditions of all beings.

i m m » , 117 Here the xiang refers to natural phenomena and in particular the heavenly bodies,

beyond the human world. This is at the first level of the cosmological order. The

eight trigrams, however, denote the images perceived by the Sages, as the “Xici” in

the Book o f Changes records:

The Master said: “writing cannot express words completely. Words cannot express thought completely.” “Are we then unable to see the thoughts of the holy sages?” The Master said: “The holy sages set up the images in order to express their thoughts completely; they devised the hexagrams in order to express the true and the false completely. Then they appended judgments and so could express their words completely.”

■

I shall discuss the relation between the words and thought in detail in Chapter Four.

Now let us concentrate on the concept of xiang. The xiang here means the images in the Sage’s books, at the second level of the social order. As Liu Xie says:

The origins of human pattern {renwen) began in the Primordial. The Images {Xiang) of the Book of Changes were first to bring to light spiritual presence {shenming, “spirit-brighmess”) that lies concealed.

xxz.%, j i a * a , " The Xiang in the Book of Changes refers to the images of hexagrams, which transmit

Dao or Daoxin to human society. Not only the Book of Changes demonstrates Dao, all the Classics do. As Liu Xie says in “Yuan Dao”: The Sages “took for their source the Daoxin to set forth their writings (zhang).” 118 While Liu Xie says that “spirit gets through by images,” he refers to the third

aspect of xiang, that is, images in literary works. It is interesting to see that the three

aspects of the concept x/a«g equalize the three orders of the system of wenxin: the

cosmological, the social and the aesthetic. It is not because Chinese terms are

ambiguous or vague, but because these concepts derive from a synthetic system and

share a basic principle: integration. At the cosmological level, xiang indicates the

integration of ontology and phenomena. At the social level, xiang refers to the

integration of Sages’ perception of the Daoxin and their Classics. While at the aesthetic level, xiang means the integration of the writer’s inner world and language.

Placing Liu Xie’s theory into the context of Chinese tradition, we can see clearly the significance of this term xiang. Yixiang "MM. as an important term in the history of Chinese literary thought first appeared in Liu Xie’s work. On this term, he writes: “The butcher, who cuts things apart mysteriously, sets the pattern according to the rules of sound; and the uniquely discerning carpenter wields his ax with his eye to the concept-image (ybrinng).” MM

The butcher alludes to the story of Pao Ding j§T*, an extremely skillful butcher, and the carpenter, Lun Bian an expert in making carts, in the

Zhttangzi.^ The writer, like the skillfiil carpenter, writes his works according to the concept-image. This compound is an integration of two terms: yi (idea/concept or in another word, mind) and xiang (phenomenon/appearance/image). That is to say. 119 liteiaiy images have to combine the writer’s thought/feelings and the images of

things into one. For example, one of Li Yu’s (937-978) lyrical poems reads:

Since we parted, spring’s been halved. It strikes my eye, and my sad heart breaks; Beneath the steps, the falling plum blossoms are like a flurry of snow; I brush them off but still they cover me.

a * # *

In Chinese, half besides indicating time, such as in the phrases half month

and half year also refers to cutting one whole thing into two, in terms of space.

Since the poet parted from his old capital, the world has been different in his eyes,

even spring has looked like being cut into two halves. What he sees are things

making him feel sad. Petals and snowflakes remind him of separation. The petals

fall down from the plum trees and snowflakes from the sky. He brushes the petals off

from his body, but they are like the continuous grief. They do not leave him alone:

when he just gets rid of them, they come back again. This is a description of what he

sees and accounts at that particular moment and place, but the scene also signifies his

sad mood. From his description we can imagine such a picture: the plum blossoms

are falling down on the ground, like a flurry of snow. There is a lonely man,

standing in the yard for a long time, the petals covering him all around. Why does

not he go into the house? Why does he stand there for so long? It is possibly he hates

the strange place, the prison where he has to stay. The spring flowers recall him of his happy life in the past and at the same time make him more sorrowful in strong 120 contrast of the past and present. These images in Chinese term are called integration

of the affections and scene As Wang Fuzhi says:

Affections {qing) and scene {jing) have two distinct names, but in substance they cannot be separated. Spirit {shen) in poetry compounds them limitlessly and with wondrous subtlety (miao). At the most artful there is scene-within-affections and affections-within- scene. An example of affection-within-scene is (Li Bai’s] “A sheet of moonlight in Chang’an.” This is naturally (ziran) the sentiment (qing) of lodging alone and recalling someone far away. [Du Fu’s] “My shadow calms among the thousand officers” is naturally the sentiment of delight on reaching the provisional capital [after escaping the territory held by the rebel forces of An Lushan].

m w . ***#. *1 ‘

<1^ 92

This is a very important statement of the integrated theory. The affections and scene

are two sides of the literary image. They cannot be separated and the best poetry

combines them perfectly into an organic whole. Wang Fuzhi further uses a group of examples to support this integrated theory by saying:

If one cannot write the language of scene, how can one write the language of the affections? The finest lines of the older poets are the lovely language of scene. For example.

On hi^i terraces the melancholy winds are strong [CaoZhi (192-232)] Butterflies flutter in the southern gardens [Chang Xie (d. ca 307)] Pool and pond grow with spring time plants püeLingyun (385^33)] On the flood plain, leaves fall from the trees [Liu Yun (465-517)] The lotus collapses beneath the heavy dew [Xiao Que] 121 are all example of this and the aflfections are lodged within them. When one articulates the affections through the principle (xinli, literally, “mind-principle”] of describing scenes, then the most elusive and singular figuring of what lies in mind and body are lightly drawn out.

" “« M S B , "

Cao Zhi’s poem, as Zhong Rong points out, “is merely what the poet sees, ^

Mio However, it is not merely a description of scene. Cao Zhi was Princess of

the Wei kingdom, a position so high that everybody would admire. But Cao Zhi

knew deeply how terrible his position was, for he and his elder brother Cao Pi

struggled to get the throne and felt very sorrowful for not getting it eventually. In

such a situation, when he climbed to a high terrace, the outer world stirred his

feeling/emotions. He immediately associated the high terrace with his position, and

connected what he saw at that moment and place with his life and thoughts. Sorrow

filled his mind, then a poem was produced. The high terrace and tall trees have

become an ironic symbol of his sorrow.

From the above analyses, we can see the importance of description of scene in the Chinese tradition. Without the description of scene, there can be no articulation of emotions and intent. As Liu Xizai says in the same tradition of Liu

Xie;

“In the past when I departed/ The willows were green and waving: Now when I return, / The snow is thickly falling.” 122 The poet’s profound insight is to borrow the scene to convey his affections. If he discards the scene, it just says that spring passed and winter comes. What significance has it!

'####, M###.mxu "

The poet has to use scene to articulate the affections. In the same way that the

fonction of images is to let spirit get through, Liu Xizai continues:

The spirit of mountains cannot be described [directly], thus they have to be described by smoke and clouds; the spirit of spring cannot be described [directly], thus they have to be described by grass and trees. Therefore if there are no vital force and images in a poem, the spirit has no place to lodge.

m m A , *

Liu Xizai’s above statement can be regarded as a note to Liu Xie’s saying at the end of chapter “Bixing (Comparison and Affective Image): ‘To imitate the appearance and get the heart./ Decisive words must be used with daring.”

Rong ^ in the above quotation refers to the appearance of the things, or, roughly equivalent to Liu Xizai’s qixiang. In the field of Chinese literary criticism, however, there are different interpretations concerning the interpretation of the word xin Since it is an important issue for this dissertation, and since this passage is related to another aspect of the integrated theory, xingsi yu shen si

(resemblance in appearance and in spirit), I would like to discuss this issue in detail. Wang Yuanhua holds the opinion that xin here means the xin of the objects that the poet describes. Hence he interprets it as li 3# (principle). Therefore 123 the phrase “To imitate the appearance and to get the x/n” to him means “not only to

imitate the appearance of the reality, but also to catch the meaning of the reality.”^*

Zhang Shaokang disagrees with Wang on this interpretation and points out

“thex/« refers mainly to the mind/heart of the author.... It is not appropriate to

interpret ‘getting the xirC as getting the xin of the images of the objects.”®'’ Their

arguments remind us of the controversial issue between James Liu and Donald Gibbs

discussed in Chapter One. Wang Yuanhua’s interpretation is similar to James Liu’s

opinion, which refers to the concept of metaphysical, while Zhang Shaokang’s to

Donald Gibbs’ that emphasizes the author’s expression. My own interpretation

differs from both sides of the argument. According to the synthetic perspective Liu

Xie’s wenxin illustrated in Chapter Two, xin here can refer to both the

essence/principle of objects and to the mind/heart of the author. Liu Xie’s synthetic

system, in other words, the theory of the unity of Heaven and Man into one allows

this reading. Cheng Fuwang reaches the same conclusion when he discusses

the relation between the spirit of objects and that of the author, thougfr he does not

mention the above argument, nor quote Liu Xie’s words;

The ancient Chinese fundamentally ignored the distinction between the spirit of objects and that of the author. Or to say, they wanted to cancel such a distinction. Whether starting from the spirit of objects or from that of the author, they wanted to unify the two into one in the end."»

What I enjoy most is his following statement, which responds to those who are eager to resolve the above issue with an either/or answer:

In this way, the question itself is discarded completely. 124

It is not that traditional Chinese aesthetics did not offer us a clear answer, but that we should not raise this question with regard to traditional Chinese aesthetics. In traditional Chinese aesthetics, some may emphasize more the natural principle of objects, while others may emphasize more his own affections. However, generally speaking, all of them sought the unification of the principle of objects and his own affections.

“Whether it is the spirit of objects or of the author?” To traditional Chinese aesthetics, how could you choose one over the other? What is the need to make such a choice?

However, no answer to the question is possibly the best answer in traditional Chinese aesthetics.’'^’

In other words, in answering the question concerning the relationship between the spirit of objects and that of the author, it is incorrect to separate them into two isolated parties. The ideal of the traditional Chinese aesthetics is to integrate them into one.

Let us go back to Liu Xie. We can see that in Liu Xie’s phrase, the xin refers to both the xin of nature as well as to that of the author. It is unnecessary to make a distinction between the two. Hence the spirit of mountains and spring, in Liu Xizai’s words, is also the spirit of the author. From this point of view, Liu Xie confirms the value of resemblance to the external shape by saying;

In recent times, a value has been placed on resemblance to external shape in literature. They look to the circumstantial quality in scene and atmosphere; they carve out appearances of the vegetation. What emerges in their chanting is the depth and far-reaching quality of that upon which their minds were intent. They consider the highest excellence to be getting the forms of things, and the greatest accomplishment to reside in close adherence [to the original]. Their artful delineating the finest details, with no need of further embellishment Thus by looking at the language we see the 125 appearance; and through words, we know the moment (or “time,” “season.”)

m m * , x m m . sR,f m wzEpm. m , * « ayfmm. . m u » , * « » mmems. .

What is important to our discussion is that Liu Xie, on one hand, prizes the quality of

verisimilitude in literature- “the highest excellence to be getting the forms of things,

and the greatest accomplishment to reside in close adherence [to the original]”; on

the other hand, he emphasizes the quality of expressing the poet’s intent- “What

emerges in their chanting is the depth and far-reaching quality of that upon which

their minds were intent” This is another aspect of Liu Xie’s integrated theoiy and

evidence that Liu Xie does not neglect verisimilitude in literature.

The so-called “recent times” in the above passage refers to the fifth century, a period famous for its landscape poetry, represented by Xie Lingyun. Liu Xie places this literary period in its historical context:

In the early stage of Liu Song [420-479], there were some developments and changes in fte literary style: the philosophy of Zhuangzi and Laozi receded into the background, while literature of mountains and waters began to flourish. Writers vied in weaving couplets which nught extend to hundreds of words, or in attempting to achieve tiie wondrous by a single line. In expressing feelings, they always made them in complete harmony with the things they described; and in literary phraseology they tried their best to achieve fieshness. These are the fields in which recent writers have been competing.

m . 126 Liu Dajie claims that the above comment is a criticism of the literary

trend Huang Kan on the other hand, views Liu Xie’s opinion as positive

support to the new literary style: “(The poets] expressed their feelings in complete

harmony with the things they described. This relied on profound thinking; they tried

their best to achieve freshness. This helped broad knowledge.” ^

Huang’s opinion can be supported by

the following two points. First, Liu Xie states that those poets expressed their

feelings in harmony with the things they described. This is in accordance with Liu’s

ideal to integrate the poet’s affections with descriptions. Second, Liu Xie criticizes

the literary style that dominated before the emergence of landscape poetry: “During

the period of the Jiangzuo [317-420] literary writings were burdened with

mernphysicai discussion. Writers ridiculed the desire for worldly attainments and

indulged in talks on complete spontaneity, or total obviousness to mental

machination and schemes.” # #

Purely metaphysical discussion without concrete description in poetry

is wdiat Liu Xie dislikes, for it is against his views of the ideal unity of the affections and scene. This opinion is not only espoused by Liu Xie. Zhong Rong, Liu Xie’s contemporary, similarly wrote:

In the Yongjia era (307-313), the philosophies of Huang Di and Laozi were dearly cherished, and discussions unfettered by practical necessities became the fashion of the day. It was a time in Wiich the disparate essays written were more worthy of note for their arguments than their language, and the literature of the period will be remembered for its want of poetic exuberance and zest When the Jin dynasty moved its capital to the far side of the River, the ripples of 127 the literary styles as described continued to be perpetuated. Poets like Sun Chuo (320-377), Xu Xun (dates unascertainable), Huan Wei, Yu You and Yu Yun went on writing in a style of unexciting bareness which one would associate with a Discourse on the Way and its Virtues. The insinuating energy of the Jian’an style had come, it seems, to a final conclusion.

m m , m m * * . » s&am, w , m a .

The poems of the period discussed above were void of firesh literary images and full

of abstract discussions. Both Liu Xie and Zhong Rong are against this trend. Zhong

Rong, like Liu Xie, also confirms the value of verisimilitude by saying:

Verse in five-character lines is the most important mode of literary expression... It is the best and sharpest tool for simple narrative, for the making of images, for describing the world that surrounds one, for the exhaustive presentation of one’s feelings.

« i t s 108

That is to say, the combination of verisimilitude and exhaustive presentation of one’s feeling is one main advantage of the new style. Thus Zhong Rong places Xie

Lingyun in the first class, the best in his category, and praises him for “favoring the device of artful structure and verisimilitude”

Liu Xie holds that literature should integrate sketching qi ^ (natural atmosphere) and delineating outward appearance and that applying coloration should match with the operation of the mind. Furthermore he makes the conclusion: “When the physical phenomena are exhaustively described, something of the affections (or

“circumstances”) lingers on—one who is capable of dong this has achieved perfect 128 understanding.” In terms of the relationship

between verisimilitude and demonstration of spirit, a theory of integrating the two

into one has been established.

We have now traveled a long journey through Liu Xie’s integrated theoiy. In

sum, his theory consists of three aspects; “being stirred by things” wu gan

"mind traveling with things” shenyu wuyou and “spirit getting through

by images ” shen yong xiang long The three aspects, or steps, parallel the

three orders of the synthetic system of wenxin: the cosmological, the social, and the

aesthetic. It is not a coincidence, but evidence that this theoiy originates from his

tripartite perspective. We should also note that in traditional Chinese literary thought

Liu Xie’s theoiy was echoed by critics in various periods.

Without any doubt, Liu Xie’s theory resembles to some extent certain of its

Western counterparts. For example, both Liu Xie’s theory and the imitative theoiy in the West emphasize the importance of verisimilitude. And like the expressive theorists in the West, Liu Xie also strongly advocates the expression of the poet’s feelings and emotions. His theory of “spirit getting through by images” reminds us of

T.S. Eliot’s “objective correlative theory."" ' However, what interests me are the differences in orientation between Liu Xie’s theory and its Western counterparts.

The basic difference is between their philosophical views of the world. Pauline Yu describes the position of mimesis in the Western tradition;

Yet a fundamental Aristotelian assumption behind mimesis was never abandoned-the notion of the poet as maker and of the poem as something made, existing in relation to reality (however defined) yet 129 ontologically distinct from it. The poet is a maker precisely because he imitates; “mimesis is poiesis, and poiesis is mimesis.” '

In the Aristotelian view, there are two ontologically distinct realms, one concrete and

the other abstract, one sensible and the other inaccessible to the senses. The mimetic

assumptions conceive of the poet as artificer, as a maker of fictions that represent yet

are different from, other than, the phenomena of the concrete, sensible world. While

in Liu Xie’s opinion, the world is a unity of Heaven and Man, between them there is

no gap or separation. Zhang Dainian summarizes the difference between

the Western and Chinese philosophies in the following way:

Chinese philosophers viewed the distinction between the ontology and phenomena of things, not as that between reality and illusion, but as that between the essential and non-essential, source and stream, and root and branch. All the myriad things and phenomena belong to reality, not regarding the essential as the only reality. The theoiy of regarding the ontology as the only reality was not held by Chinese philosophers.

It is clear that Liu Xie’s integrated theoiy is based in the Chinese philosophical notion that ontology and phenomena are one. In the case of the Western art, as

Joseph Chiari says that

Art has always been determined by the artist’s attitude to the phenomenal world and the use he made of it in his artistic creations. To simplify almost to the point of oversimplification, there are, as has been previously suggested, two main attitudes. The artist may, like the layman, believe in a perceptual world which is nothing but what it tqppears to be to the human senses which grasp it objectively, or he may believe that although there is a phenomenal world, it, first of all. 130 never apprehensible to the senses in its entirety, secondly that the senses are nothing but a pretending apparatus for the cognitive act of the mind.

This attitude goes hand in hand with materialism and in literature, realism. The other

attitude towards phenomenal reality could be described under the generic term of

idealism, and it embraces various aspects of Plato as well as Descartes and Kant and

modem subjectivism. In literature, it refers to Romanticism or the expressive theory.

The histoiy of Westem theory of literature always oscillates between the two

orientations. On the one hand, realism, or the imitative theoiy, emphasizes

objectivity. That is, the author should copy the phenomenal world objectively,

without his own subjectivity involved. As J. Hillis Miller points out in Dicken’s early

writing:

Boz is, like a good reporter, detached from what he sees in the sense of not being cau^t up in the life he witnesses, but this lack of involvement liberates him to see with great clarity and to record exactly what he sees Boz looks at London as if he were a stranger in his own city. He has no business to be where he is, and therefore he is a “wanderer,” and “amateur vagrant.” He refers to himself here, as throughout, with the journalistic “we,” which depersonalizes him, reduces him from a private man to a function. ’

The difference between Liu Xie’s and Boz’s attitudes is that Liu Xie never takes a

detached attitude towards the world. It is impossible, in Liu Xie’s opinion, to copy the world objectively without emotions or personal involvement.

In the West, it was against this purely objective orientation that the expressive theory emerged. As M. H, Abrams says:

In his version of the doctrine, the Reverend John Keble focusses upon the pressure in “expression,” and develops a definition of poetry as 131 personal catharsis which he opposes to Aristotle’s mimesis, as this had been traditionally interpreted.

Poetiy is the indirect expression in words, most appropriately in metrical words, of some overpowering emotion, or ruling taste, or feeling, the direct indulgence whereof is somehow repressed ..

Aristotle, as is well known, considered the essence of poetry to be Imitation... Expression we say, rather than imitation\ for the latter word clearly conveys a cold and inadequate notion, of the writer’s meaning.

Romanticism, however, is still in Westem tradition. Since the word “poet” means

“maker,” one who fashions material into a new form, one follows the model of God,

the first “maker”, to fashion the universe out of pre-existing matter. So the poet’s

mind, like God’s creating the world, becomes the creative source of literature.

Coleridge wrote in “Poesy or Art” that the arts,

like poetry, are to express intellectual purposes, thoughts, conceptions, sentiments, that have their origin in the human mind.

Poetry also is purely human; for all its materials are from the mind, and all its products are for the mind

It avails itself of the forms of nature to recall, to express, and to modify the thoughts and feelings of the mind

If we read the above passages literally, they are close to Liu Xie’s theory, both emphasizing the functions of the mind. However, if we keep in mind that in Chinese, xin, not only refers to the human mind but also to the essence of Dao, the world and the spirit of things, we will see the fimdamental difference between the two theories.

Hazlitt’s words that “Poetry puts a spirit of life and motion into the universe” clearly indicate that the poet, like God gives life to the universe before creating his 132 poetical world ' Such an idea is never found in Liu Xie’s theoiy. The poet is not

God, and the world has its own life and spirit. The poet, as part of Nature, shares the spirit and motion of the universe and responds to them.

In viewing oscillation between the two orientations and being disappointed by their abstractionism and surrealism, Joseph Chiari expresses his ideal by saying:

Idealism, whether Platonic, Hegelian or in debased forms such as absolute abstractionism or surrealism, can no more produce great art than could the mechanical recordings of the senses generally described as realism or naturalism. Art is, and has always been, a blend of idealism and realism made by imagination. ’

The recognition of the fact that art is a blend of idealism and realism is admirable.

Liu Xie’s integrated theory, however, is difBcult to be described as a blend of idealism and realism, for these theoretical splits never existed in Liu Xie’s age in

China. Therefore, if we can say that the imitative and expressive theories, as two dominant ones, occupy a very important position in the field of literary criticism, then we should add Liu Xie’s integrated theory, to the list. This can be regarded as one of

Liu Xie’s contributions to the world. 133 NOTES:

’ See Wang Yuanhua Wenxin diaolong chuang:nio lun (Shanghai: Shanghai guji chubanshe, 1979), 72. Liu Yongji Wenxin diaolongjiaoshi (Shanghai: Zhonghua shuju, 1962), 180. Stephen Owen translates it as “fusion.” See his Readings in Chinese Literary Thought (Cambridge: Harvard University Press, 1992), 203.

^ Owen, 279. I changed Owen’s translation of “Wuse” (The Sensuous Colors of Physical Things) to “Physical Phenomena,” for here does not mean “colors,” pointed out by Professor Lao Yan-shuan.

^ Hans H. Frankel, The Flowering Plum and the Palace Lady: Interpretation o f CA/neje Poe/ry (New Haven: Yale University Press, 1976) 14.

'*Liu Yongji, 99.

^ Owen, 280-1. Liu Xie, Wenxin diaolong, in Zhou Zhenfu, ed., Wenxin diaolong jinyi (Beijing: Zhonghua shuju, 1986), 410.

^ Willing Jennings, trans., The Shi King: The Old "Poetry Classic ” o f The Chinese (London: George Routledge and Sons, Ltd., 1891), 39.

’’ Jennings, 181. The expression “waving slightly” is added by me. Mao shi zhengyi, “Xiaoya. Caiwef’ inSki sanjing zhushu " p H M ^ ^ e d . Ruan Yuan ^QrC. (Taibei: Qiming shuju, reprint, 1959), 1:146. In The Literary Mind and the Carving o f Dragons (Hong Kong: The Chinese University Press, 1983), 479, Note 5. Vicent Yu-chung Shih makes comments on previous translations of the word "yiyC (his English translation is missing in the text). I agree with his criticism of Km’lgren’s, whose translation of yiyi is “luxuriant,” and of Legge’s, whose rendering is “fresh and green” According to Shih, both of them miss the emotional mood embodied in the original text.

® Jennings, 88. “Guofeng. Wei. Boxi” WMf^-\'^'^,diShisanJingzhushu, 1:59.

^ Ibid., 262. “Xiaoya, Sanghu zhi shi. Jiaogong” in Shi son jingzhushu, 1:223.

Owen, 277-78. Zhou, 409.

" Owen, 278-79. Zhou, 409. 134 Shih, 43. I changed his translation of r/mn from "spontaneous" to "natural." Zhou, 56.

Shih, 66. Zhou, 80.

Owen, 285. Zhou, 412.

Owen, 287. Zhou, 413.

See Cao Shunqing Zhong xi bijiao shixue (Beijing: Beijing chubanshe, 1988), 104.

Owen, 50-51. L iji, “Yue ji” in Zhongguo meixueshi ziliaoxmn bian ed. Beijing daxue zhexue xi meixuejiaoyan shi (Beijing: Zhon^ua shuju, 1980), 1: 58-9.

Owen, 89-90. Lu Ji, “Wenfii,” in Zhongguo lidai wenlitn xuan 4^ ed. Guo Shaoyu and Wang Wensheng (Shanghai: Shanghai guji chubanshe, 1979), 1:170.

Zong Bing “Hua shan shui xu tlilz K jf," in Zhongguo meixue shi ziliao xuan bian, 1: 177.

^ Pauline Yu, The Reading o fImagery in the Chinese Poetic Tradition (Princeton: Princeton University Press, 1987), 34. Zhong Rong, “Shi pin xu” in Guo, 1:308.

Xu Zhenqing Tanyi lu in Li dai shihua (Beijing: Zhonghua shuju, 1981), 765.

“ Owen, 490. I changed “belonging to self’ to “belonging to the mind,” which is closer to the original text.

^ Liu Xizai Yi gai 0 ^ (Shanghai: Shanghai guji chubanshe, 1978), 98.

See Zhao Zhongyi “Shensi pian tijie ” in his Wenxin diaolong yi zhu (Nanning: Lijiang chubanshe, 1982). Shih’s translation of the title “Spiritual Thought or Imagination” represents this interpretation, though in English structure, the shen modifies the si. Shih, 216. Siu- kit Wong also renders it as “On Imagination,” see his Early Chinese Literary Criticism (Hongkong: Joint Publishing Co., 1983), 115. 135 See Hu Jingzhi ed, Zhongguo gudian meixue congbian MM, 2:406. The reason I take Owen’s translation is that he skillfully renders it as two nouns, paralleling to each other. It avoids the problem and keeps the rich meanings of the original text.

^Owen, 202. Zhou, 246.

Owen, 610, note 72.

^ See Sima Xiangru “Da Sheng Jian wen zuo fu in Quan Han wen - ^ ^ ^ J u a n 22, cited in Li Jianzhong ^ ^ 4 * . zai meiyi: Han Wei Liuchao wenxin liupian shi (Taibei: Wen shi zhe chubanshe, 1993), 73.

^ Huan Tan Fanyan, “ Wen shen” j'uan 5.

^ Owen, 202. Zhom 246.

Shen Zongqian of the Qing Dynasty, Jiezhouxue hua bian juan 1, cited in Guo Yin Zhongguo huihua meixueshi gao 4^ ^ (Beijing: Renmin meishu chubanshe, 1981), 391.

Confucius, him yu, “ Shu er” in Ltmyu zhengyi ed. Liu Baonan in Zhuzijicheng (Shanghai: Shanghai shudian, reprint, 1986), 1:137.

Z h u a n ^, “Renjian shi” A K tS {Sibu beiyao edition),ywû« 2 ,10b.

Ibid., “Zai you” ^ ^ J u a n 4,21b.

Owen, 96. Guo, 1:170.

Owen, 103-104. Guo, 1:170-1.

Owen, 99.

^Owen, 98. Guo,l;170.

Owen, 279. Zhou, 409.

'“ p. Yu, 42. Zhou yizheng yi in Shi sanJingzhushu, 1:74.

P. Yu, 42. 136

Joseph Needham, Science and Civilisation in China, vol. II: History o fScientific Thought (Cambridge: Cambridge University Press, 1951), 281. Cited P. Yu, 42.

Owen, 205. Zhou, 247-248. I changed Owen’s translation: “One’s affections are filled by the mountain” -a passive sentence- into a positive one, “One’s affections fill the mountain.” My reading is similar to James Liu’s. His translation is as follows: “If one climbs a mountain, one’s feelings will fill the mountain; if one observes the sea, one’s ideas will overflow the sea.” Chinese Theories o f Literature (Chicago: The University of Chicago, 1975), 124. Also, in his interpretation of Liu Xie’s passage quoted in my text, Owen made the following comments: ‘Wenxin diaolong occupies an intermediate stage in the theory of the relation between mind and the world, a question all important in Chinese literary thought In pre-Qin and Han literary psychology, mind {xin) is stirred (gan) to response (ying) by social circumstance or the things of the world (wu) (this earlier idea is recapitulated and elaborated at the beginning of ‘The Physical Phenomena’). In the Song we see the development of a model later known as Qing/ingjiaorong‘j^ M ^ ^ , the “fusion of scene and the affections,” in which both self and world are mutually determined.” Owen, 206. My argument is that the theory of jiaorong (integration) was already established by Liu Xie, and then it became more popular and turned into a common sense in the Song Dynasty. Moreover, the theory of wu gan is one aspect of that of jiaorong. This is a central issue of the chapter.

44 Sikong Tu “Yu Wang Jia ping shi shu hi Guo, 2:217.

Tang Xianzu Yumin^ang wen “Xu Qiu Maobo gao” in Zhongguo meixue shi ziliao xuan bian^ 2: 137.

Hu Yinglin Shi sou, “Nei bian” (Taibei: Guangwen shuju, reprint, 1973), juan 5,4b.

Owen, 202. Zhou, 246.

^ Owen, 205. Zhou, 248.

Owen, 521. Ye Xie Yuan shi in Wang Fuzhi et al, Qing shihua (Shanghai: Zhonghua shuju, 1963), 2: 581.

50 Ibid.

Wing-tsit Chan, trans. The Way o fLao Tzu (New Yoiic; Robbsmerrill, 1963), 17. Laozi, Dao dejin g chapter 16. See Paul Youg-shing Shao, “Liu Hsieh as 137 Literary Theorist, Critic, and Rhetorician” (Ph.D. diss., Stanford Universily, 1981), 56.

52 Owen, 118. Guo, 1; 171.

As for the source of Liu Xie’s thought on “jc« jing (emptiness and stillness)” Wang Yuanhua argues that Laozi and Zhuangzi’s theory oîxuJing is passive, while Liu Xie’s is active. Thus Liu X ie’s theory should be from other sources, such as Xunzi’s work. I do not exclude the possibility of Xunzi’s works as one of Liu Xie’s sources, but I disagree wifri him to deprive of Laozi and Zhuangzi’s influence on Liu Xie’s theory concerning this issue. As Liu Xie quotes Zhuangzi’s words for his own purpose and changes its original meaning at the beginning of the Chapter '"Shensi,” he, of course, can change Laozi and Zhuangzi’s idea from the passive into active, cf. Wang Yuanhua, “Liu Xie’s xu jing shuo in his Wenxin diaolong Jiang shu (Shanghai: Shanghai guji chubanshe, 1992), 118-119.

^ Shih, 435. Zhou, 371.

55 Su Shi “Song Cen Liao shi cited in Guo, 2:304.

^ Zhu Tingzhen Xiaoyuan shihua in Qing shihua xu bian ed. Guo Shaoyu (Shanghai; Shanghai guji chubanshe, 1983), 4:2345.

^Owen,118.Guo, 1:171.

Shih, 224. Zhou, 370.

Huang Kao Wenxin diaolong zhaji (Shanghai: Zhonghua shuju, 1962), 204.

^ Mencius, Mengzi, “ Gaozi xia” in Guo, 1:31.

See Wing-tsit Chan, ed., A Source Book in Chinese Philosophy (Princeton: Princeton University Press, 1963), 307.

“ Cao Pi W3S, Dian lun, “Lun wen” # # . in Guo, Î: 158. Owen, 65.

^ Shih (1983), 429. Zhou, 367.

^ Owen, 206-207. Zhou, 248.

Shih (1983), 431. Zhou, 369-370. There was two sentences in the Chinese texts omitted, for, according to Yang Mingzhao these were added by others. See 138 Yang Mingzhao, Wenxin diaolongjiaozhu (Shanghai; Shanghai guji chubanshe, 1959), 271.

66 Owen, 204. Zhou, 246.

Shih (1983), 395. Zhou, 337.

68 Shih (1983), 397. Zhou, 338.

Shih (1983), 55. Zhou, 46.

70 Owen, 222. Zhou, 264.

Owen, 87. Guo, 1:170.

^ Owen, 395. Guo, 2:423.

Owen, 202. Zhou, 246.

Liu Yongji, 101.

75 Owen, 240. Zhou, 284.

Owen, 241.

77 Owen, 243. Zhou, 287.

Owen, 243. Zhou, 288.

^ Owen, 242. Zhou, 286.

^ Owen, 245. Zhou, 288.

Owen, 614, note 151. Confbcius,Zz^ ‘Tongye” | ^ ^ . inZ^uz/ jicheng, 1:125.

82 Owen, 250. Zhou, 625.

^Ibid.

84 Owen, 210. Zhou, 251. 139 Pauline Yu, 39. ^ouyi zhengyi in Shisan jing zhushu ed. Ruan Yuan ^ J Q (Beijing; Zhonghua shuju, ipt. 1979), 1:74.

^ Pauline Yu, 40. Zhouyi zhengyi, l: 70.

Owen, 190. Zhou, 11.

^Owen, 193. Zhou, 13.

^ Owen. 204. Zhou, 247.

^ See Zhuangzi, ‘Tangsheng zhu” and ‘Tian dao” and ^ ^ ,( S ib u beiyao edition),juan 2 andyuan 5, respectively.

Cited in Hans Frankel, 93.

^ Owen, 472-73. Wang Fuzhi, Xitangyongri xulun 0 cited in Zhongguo meixueshi ziliao xuanbian, 2:278.

^ Owen, 481-82. Zhongguo meixueshi ziliao xuanbian, 2:278-79.

^ Zhong Rong Shi pin in Guo, 1:310. English translation, see Siu-kit Wong, trans.. Early Chinese Literary Criticism (Hongkong; Joint Publishing Co., 1983), 96. Cao Zhi’s poem, mXian Qin Han Wei Jin Nanbei Chao shi Lu Qinli (Beijing: Zhonghua shuju, 1983), 1: 456.

Liu Xizai Yi gai # # , inLiu Xizai lun yi liu zhong ed. Xu Zhongyu and Xiao Ronghua ^ ^ 0 (Chengdu: Ba Shu shushe, 1990), 79.

^ Ibid., 80.

^ Owen, 262. Zhou Zhenfii, 325. As for the influence of Liu Xie’s theory on Liu Xizai, I merely mention the following points: (1) he uses a great number of quotations from Liu Xie in his works; (2) he follows Liu X e’s theoretical system and points out more clearly that “Literature is a study of xin ^ ” “Poetry is combination of Heaven and Man and (3) as Xu Zhongyu says in his preface, “he inherits and develops Liu X e’s theory in the Wenxin diaolongSee Liu Xizai Ivnyi liu zhong, 5, 325,50, and Preface, 12, respectively.

^ Wang Yuanhua, 137. 140

99 r Zhang Shaokang Zhongguo gudai wenxue chuangzuo lun (Beijing; Beijing daxue chubanshe, 1983), 79.

Cheng Fuwang Shenyu wuyou: lun Zhongguo chuantong shenmei fangshi (Beijing: Zhongguo renmin daxue chubanshe, 1989), 52.

'°'lbid., 54.

Owen, 282. Zhou, 412.

English translation, see Vicent Shih, (1983), 71, and BCang-i Sung Chang, (1986), 48. (Chinese text, in Zhou, 61.

Liu Dajie Zhongguowenxue fada shi (Taipei: Zhonghua shuju, 1968), 266.

Huang Kan 29. Also see Wang Yuanhua, “‘Wenxin diaolong. Ming shi’ pian shanshui shi xing qi shuo jianshi” « jèl^ O U fl. ^ » inShanshui yu meixue ed. Wu Lifu ^ 5 ^ " ^ (Shangiaai: Shanghai wenyi chubanshe, 1985), 363-67.

^°^Vicent Shih, (1983), 71. Zhou, 61.

Zhong Rong # # , Shi pin “Xu” in Guo, 1:308. Siu-kit Wong, 91.

'°*Wong, 92. Guo, 1:309.

Zhong Rong Shi pin, in Li dai shihua ed. He Wenhuan (Taibei: Yiwen yinshuguan, 1974), 11. Also see Kang-i Sun Chang, 54.

’ Owen, 284.1 made some changes. Zhou, 412.

T.S. Eliot: "the only way of expressing emotion in the form of art is by finding an 'objective correlative'; in other words, a set of objects, a situation, a chain of events which shall be the formula of that particular emotion; such that when the external facts, which must tenninate in sensory experience, are given, the emotion is immediately evoked." See his essay "Hamlet and his Problems," in The Sacred Wood—Essays on Poetry and Criticism (London: Methuen & Co., 1960), 100. However, the focuses of Liu Xie and Eliot’s theories are different: Eliot focuses on the communication between the writer and reader—a writer "cannot transfer his emotions or ideas from his mind directly to his readers," there must be 141 some kind of objective correlation as medium, while the Chinese regards the correspondent relationship between man and nature as a preexisting condition, not merely as a method of communication but as a natural law.

"^Pauline Yu, 14.

Zhang Dainian Zhongguo zhexue dagmg (Beijing: Zhongguo shehui kexue chubanshe, 1982), 9.

Joseph Chiari, Realism and Imagination (London: Barrie and Rockliff, 1960), 99.

* J.Hiilis Miller, “The Fiction of Realism: Sketches by Boz, Oliver Twist, and Cruikshand’s Illustrations” in Dickens Centennial Essays, ed. Ada Nisbet and Blake Nevius (Berkeley: University of California Press, 1971), 85-126, cited in Lilian R Furst, ed. Realism (London: Longnan, 1992), 289.

' M.H. Abrams, The Mirror and the Lamp: Romantic Theory and the Critical Tradition (New York; Nortan Library, 1958), 48.

Coleridge, “Poesy or Art” in Coleridge’s Miscellaneous Criticism, ed. T. M. Raysor (Cambridge, Mass., 1936), 205-13, cited in Abrams, 48,52.

“^Hazlitt, “On Poetry in General,” cited in Abrams, 55.

"^Chiari, 101. CHAPTER IV

WENXIN AS A MEDIUM BETWEEN

THE WRITER AND THE READER

After exploring Liu Xie’s integrated theory of composition-the interactive

relation among the world, author and work-ffom the perspective of wenxin, my next

step is naturally to shift to the reader, to analyze his theory of reading and

interpretation firom the perspective of wenxin. What are Liu Xie’s opinions towards

reading and interpretation? How are they related to his synthetic perspective of

wenxinl What are the significance and contributions of his theory to traditional

Chinese literary thought? What are the similarities and differences between Liu

Xie’s theory and its Western counterparts? These are the questions I attempt to

answer in this chapter. Thus it will consist of the following parts, presented in the

order of the above questions. First I shall clarify some confusion concerning the

classification of Liu Xie’s theory of reading and interpretation in modem

scholarship. As the main body of the chapter, I shall then interpret Liu’s theory in

terms of the synthetic wenxin. Third, I shall discuss the significance and

contributions of Liu Xie’s theory to traditional Chinese literary thought and to theworld as well. And last, I shall compare Liu Xie’s theory with its Western

142 143 counterparts.

Liu Xie devotes a whole chapter “Zhiyin” (The One Who Knows the

Tone), to illustrate his theory of reading and interpretation. As for the classification

and meaning of the chapter, some scholars regard it as literary criticism {v/enxue

piping the others view it as discussing enjoyment/appreciation of

literature {wenxuejianshang Guo Shaoyu, for instance, holds that Liu

Xie’s theory belongs to the field of literary criticism by comparing Liu Xie’s Wenxin

diaolong with Zhong Rong’s Shi pin. In his opinion, there are two kinds of literary

criticism in terms of function; one is to guide literary writing, the other to guide

literary criticism. “The former is for literature, and the latter is for literary criticism.

The former inclines more to enjoyment and appreciation of literature, while the latter

often inclines to criticism with the method of deduction and induction.”' In his

opinion, Zhong Rong’s Shi pin belongs to the former and Liu Xie’s Wenxin diaolong

to the latter. On the other hand, Zu Baoquan argues that it is more

appropriate to classify Liu Xie’s chapter “Zhiyin” as a theory of enjoyment (or

appreciation) of literature than as literary criticism. To him, literary criticism and

enjoyment/appreciation of literary works are not identical. Enjoyment/appreciation mainly concerns the reader’s feelings and reactions, his understanding and judgment towards a particular literary work, while literary criticism is a broader concept. For these reasons, he objects to categorizing chapter “Zhiyin” as literary criticism.^

The arguments in Chinese language seem confusing to the Western reader, for the two sides are using vaguely defined terms. However, this debate is not merely 144 an issue of terminology, but also an essential topic for our understanding Liu Xie’s

theory of reading and interpretation, for it again raises issues concerning Liu Xie’s

synthetic system and the difficulty of classifying it. We notice that although the two

sides of the argument have different classifications of Liu Xie’s work, they agree on

one issue: there is a clear distinction between the two types of activities in literary

criticism. One is the reader’s reactions and feelings towards a particular literary

work, the other is the critic’s theoretical discussion. The former is more concrete

while the latter is more abstract. It is similar to a distinction between literary theory

and literary criticism made by Rene Wellek and Austin Warren in their Theory o f

Literature’.

It seems best to draw attention to these distinctions by describing as ‘literary theory’ the study of the principles of literature, its categories, criteria, and the like, and by differentiating studies of concrete works of art as either ‘literary criticism’ (primarily static in approach) or ‘literary history’. Of course, ‘literary criticism’ is frequently used in such a way as to include all literary theory; but such usage ignores a useful distinction. Aristotle was a theorist; Sainte-Beuve, primarily a critic. Kenneth Burke is largely a literary theorist, while R. P. Blackmur is a literary critic. ^

In the West, it would seem, there does exist a clear distinction between the study of the principles of literature and the study of concrete works of art, and it does not bother one to claim, for instance, Aristotle a theorist and Saint-Beuve a critic. When we apply this useful distinction to Liu Xie, however, it is hard to find a clear-cut line in his work. His work contains both theory and criticism. As Guo Shaoyu says, his work establishes a theory for literary criticism. On the other hand, Zu Baoquan’s opinion can also be supported by Liu’s work: it is a work to teach the reader how to 145 enjoy and appreciate a literary work. Both sides coexist in the Wenxin diaolong. If

we insist on one but ignore the other, we will be like the Indian blind men who

describe the entire elephant by touching only one part of its body; not only will we

misread Liu Xie’s work, more seriously, we will distort his whole system. Liu Xie’s

synthetic system allows him to combines the two into one, as Paul Youg-shing Shao

points it out in his PhD. dissertation.^ Therefore, in my reading of the Wenxin

diaolong, I shall not make any such distinctions. Moreover, I regard the chapter

“Zhiyin” not merely as theoretical and practical discussion of literature and literary

criticism, but also as a description of his ideal and ultimate goal for the reader to understand literature, an ideal grounded ultimately in the multiple concept of wenxin.

Zhiyin is an allusion to a story in the Liezi Since it is very important for us to understand Liu Xie’s theory and practice, as a starting point as well as his ideal goal, I would like to quote it here at length:

Boya was a master of playing the zither, and Zhong Ziqi was a master of listening. When Boya played his zither, his mind might be intent upon {zhi) climbing a high mountain, and Zhong Ziqi would say, “Masterful! Uprearing, towering like Mount Tai.” Then Boya’s mind might be intent upon the flowing water, and Zhong Ziqi would say, “Masterful! On rushing and roiling like the Yangzi and Yellow River.” Whatever was in Boya’s mind, Zhong Ziqi knew it. Boya wandered to the daik north slope of Mount Tai and suddenly encountered a terrible rainstorm. Stopping beneath the cliff, his heart full of melancholy, he took up his zither and played it, first a melody of the downpour, then the tone of the mountain itself collapsing. And every melody he played, Zhong Ziqi followed the excitement to the utmost. Then Boya put down his zither and said with a sigh of admiration, “Masterful, masterful indeed-the way you listen. The images you see in your mind {zhi) are just the same as the ones in mine. How can I keep any sound concealed from you?” map*#. g? mg: '##1*%-»#*^.” fsaFjffâ:. m^mmz.” MfKB: m »» #iDZm. ?**M. itKST. « , Tismnmz. mmwzm, jsmmujz^. m**. m^mmx '#&! ##n ?zm . * , « S 'O i È .

Liu Xie alludes to this story in describing the ideal reading experience as a perfectly mutual understanding between the author and the reader. Zhong Ziqi and Boya are his model reader and writer: the former can understand Boya’s music whatever he plays, while Boya is an extremely excellent artist who can convey his intent and feelings perfectly in music. However, Liu Xie knows clearly the difficulty of reaching these levels: “Hard it is to know the tone, for tones are truly hard to know; and such knowledge is truly hard to come upon-to come upon someone who knows the tone may occur once, perhaps, in a thousand years.”

It is difficult to achieve a perfect understanding and realize the ideal because of the following obstacles, pointed out by Liu Xie, which often occur on the side of the reader. The first obstacle is that, according to Liu Xie, readers “have often held their contemporaries in contempt and thought most of the past.”

For example, when the King of Qin read Han Fei’s works, such as “Gufen”

(Lonely Indignation), “Wudu” (Five Vermin) and “Nei wai chushuo”

(Collected Discourses, Inner and Outer Chapters), he said: “If I could meet with the author and make friends with him, I won’t have any regret in my life.”

However, when the author was discovered to be Han Fei and he came to the Qin 147 court, he did not receive the proper treatment. Instead, he was eventually put into

prison and forced to commit suicide by Li Si the Prime Minister of Qin.*

Another example concerns Sima Xiangru in the Han Dynasty. When

Emperor Wu (reign 140-87 B.C.) read “Zixu fli” {Fu on Master

Emptiness), he love .1 it so much that he regretted that he was not a contemporary of

the author. Then he was surprised to find that the author was Sima Xiangru, one of

his subjects. However, Sima Xiangru was treated with contempt when he worked for

the Emporer.^ Over-valuing the past and looking down upon the present had great

influence on Chinese culture. In criticizing the trend, Wang Chong (27 A.D.-

ca. 101) points out:

The present aid the jm t are the same in the following aspects: talent is high or low, and discourse correct or wrong. However it is incorrect to ignore their goodness or badness but merely to claim that the ancients were better than the contemporaries There is a distinction between profound and shallow talent, but there should be no distinction between the past and the present There is a distinction between false and real literature, but there should be no distinction between the old and the new.

____

Wang Chong insists that a literary work should be judged by its quality and nothing more. If one values a work in the past, it should be because of its merits, not because it was a product of the past. In the same way, one should confirm a contemporary work if it is really good in quality, and should not devalue it because it is new. Liu

Xie follows Wang Chong in this respect and regards renet\al in literature as a merit. 148 In the chapter ‘Tongbian” (Contmuity and Mutation) he writes; “The rule of

literature is to move in full cycle/ Its accomplishment is found in daily renewal:/ By

mutation it can prolong itself;/ By continuity nothing is wanting.” » 0

” In other words, present changes are a necessity

to the development of literature. The reader should, therefore, not look down upon

today’s author but to value his works according to its accomplishments.

The second obstacle in preventing the reader from perfectly understanding

the author is the tendency to “honor one’s self and disparage others.”

Ban Gu (32-92) and Fu Yi (?-89) were at the same level in terms of literary talent. However, Ban Gu mocked Fu Yi by saying; “As soon as he puts pen to paper he is lost and never knows when to stop.”T " ^ ^ f ^ ê He disparages Fu

Yi for his lack of literary self-restraint. When discussing talent, Cao Zhi (192-

232) attacked Chen Lin (7-217) for his poor writing/w ^ (rhymeprose), and as someone “who attempted to draw a tiger, but produced the picture of a dog.”

As Cao Pi described the situation; “It has been the case from the ancient that men of letters hold one another in contempt,” ® Ê "S' flS

a tendency that “proceeds from imperfect knowledge of oneself.” § Mi

Cao Pi’s criticism of the mutual contempt among literary men is echoed in Liu Xie’s work when he writes that Cao Pi’s claim is not groundless.

The third obstacle is the tendency “to believe lies and err from the truth.”

Lou Hu of the Former Han (206 B.C-A.D. 25 ) made a terrible mistake by claiming that Sima Qian (ca. 145-7 B.C.) consulted Dongfang 149 Shuo in writing his Historical Records^'* It is like a story in the Yinwenzi

that a person from Chu bought a pheasant as a phoenix.*® Liu Xie thus

comments: “Errors like these could still be made despite the fact that it was easy to

show the difference in form; yet the affections in literature (wenqing) are hard to see clearly, and who can claim they are easy to distinguish?” ;

In other words, it is easy to make mistakes to regard the false information as the truth in reading. According to Liu Xie, this is the mistake of which the reader should be aware.

The fourth obstacle is “biased affection” which refers to one’s preoccupied attitude to judging a literary work. Liu Xie lists four different kinds of people as examples:

Those with powerfully impulsive emotions will tap out the rhythm when they hear a voice singing. Those who feel more strongly than they outwardly show will be transported when they perceive a confidential maimer. When they observe some intricacy, the minds of insubstantially clever persons will leap in delight. Those who love strangeness will listen in amazement when they hear something bizarre.

Ü*, % ##«###«. *

The above examples indicate that people usually enjoy what corresponds to the biases of their personality, and reject what differs from themselves. As Ge Hong

(284-363) wrote: “The affections of the people of the present are to love what are similar to themselves and hate what are different from themselves, to value what corresponds to themselves and to look down upon Wiat are different fiom 150 themselves.” A # Therefore a

reader may easily hold a one-sided, subject view of a literary work, and this biased

attitude will prevent him from understanding a work different from his type.

Liu Xie observes the above obstacles to really knowing the “tones.” These four obstacles refer to key issues in riding; how to judge literary development in history, how to treat the author appropriately, how to know truüi from falseness and how to overcome one’s biases. The importance of his observation and analysis cannot be overemphasized, for this is the first time in Chinese literary thought that a critic so comprehensively and systematically raised the issue of difficuities in reading, and gave it a comprehensive description with such sharp insight. And this was also one of the earliest, as far as I know, in the history of world literary criticism.^ Liu Xie’s contribution to the literary thought is not only to raise a question but, more importantly, to offer approaches to reaching his ideal of perfectly understanding a literary work. These approaches or methods are based on his synthetic perspective, wenxin, which becomes a medium between the author and the reader. When he discusses composition, his approach is from Heaven {Dad) to Man, then to literature. While he deals with the issue of reading, the order is reversed, from literature to Man and then to Heaven {Dad).

In order to overcome those four obstacles, Liu Xie provides us with the following prescriptions:

You can understand sound only after playing then thousand tunes; you can recognize the capabilities of a sword only after examining a thousand. You must first endeavor to observe widely in order to have the impression {xian^ that comes from comprehensive 151 understanding.... Only after escaping a purely private sense of what is worthwhile and what is of importance, only after avoiding one sidedness in loves and hates, can one see principles (//) on an even balance; only then can one see words clearly as in a mirror.

« s H ë * . if. “

A comprehensive understanding can overcome personal biases. According to Liu

Xie, the best way to overcome these obstacles is to broaden one’s knowledge by reading widely and thoroughly, and by avoiding one’s bias and opening one’s mind.

It is worth noting that Liu Xie emphasizes the concept “gwan” 0 (observe); that is to say, not to dissect a literary work into several parts and then to analyze one by one, but to take it as a whole, to observe it from various angles and to have “a comprehensive understanding” {yuanzhao IBM)- Then Liu Xie suggests the “Six

Ways of Observing” (liuguan fsM) a literary work.

The first is to “consider how the normative form is given.” The so-called “normative form” (weiti has also been translated into “genre” by

Vincent Yu-chung ShiL^® In the chapter “Rongeai” (Casting and Paring), in a discussion of the three criteria for writing a masterpiece, Liu Xie points out; “In the first stage, [you should] establish the feeling (qing) and situation in order to set the normative form [or genre] in its place.” That is to say, one should use the appropriate genre to express one’s feelings of a particular moment In the Wenxin diaolong, Liu Xie discusses all the genres existing at his time and summarizes the particular normative standards for each genre. For example, “Fu 152 means to arrange,” Liu Xie says, “it signifies arrangement of the patterns that give

form to literature, and expresses the feelings that conform to objective things.”

M iË ; Sima Xiangru'sentitled

“Shanglin” _ h .^ (Shanglin Park), “employs a variety of images to create the

beautiful,” while Wang Bao of the Former Han in his

“Dongxiao” M M (Flute) is “most accurate in imitating the ever-changing patterns of

sound and appearance.” Although Liu Xie here discusses the genre

firom “the writer’s viewpoint,” to borrow the Western term, he is concerned with the

reader’s point of view as well, because the same criteria can be used by the reader,

who should have the ability, when he reads a literary work, to judge whether the

author uses an appropriate genre suitable to the feelings and the situation.

The second method is “to consider how the words are arranged.”

If we regard the genre of a literary work as like the fi-ame of a painting, the words are

its figures, lines and colors, an essential part of the work. The appropriate usage of

words is crucial to the quality of a literary work. In the chapter “Rongeai,” Liu Xie

requires the author to “gather and choose words forceful enough to bring out the

essentials.” In other words, to select the words to convey the

essential content that the author wants to express. The importence of using words in

Liu Xie’s work can also be seen in chapters such as “Zhangju” (Paragraph and

Sentence), “Lici” (Linguistic Parallelism), “Kuashi” (Hyperbole), and

“Lianzi” (Philology and Choice of Words). For example, in the chapter

“Paragraph and Sentence,” Liu Xie writes: “There is a definite order to be observed 153 in the treatment of emotions and ideas, and there is a definite position for each

word” » S 5 Only if one places words in appropriate

positions, the wnting could “achieve literary beauty in form and organic unity.

In “Linguistic Parallelism,” he sets up a standard regarding the

usage of parallelism, a special treatment of words: “In a verbal couplet, the beauty

lies in artistry and cleverness; but in a factual couplet, the important thing is

appropriate.”# I n

“Hyperbole,” he warns of the dangers of misusing words: “When adornment goes to

extremes, sounds swarm disorderly in the mind; and when exaggeration exceeds

what is appropriate, there is incongruity in both name and fact.”

His ideal, on the other hand, is that “These

figures are exaggerations, but they are not excessive/ Extravagant they certainly are,

but still faultless.” It is clear that Liu Xie’s ideal is to

balance two extras, and that the use of appropriate words is important in achieving

this. In addition, Liu Xie suggests that the author should select words carefully,

writing in ‘Thilology and Choice of Words”:

In grouping words and composing a piece, a writer must be versed in the choice of words: first of all, he must avoid the odd and the strange; second, he must be cautious in choosing characters with the same radicals; third, he must weigh carefully his repetitions; and fourth, he must be balanced in the use of the simple and complex forms.

m t ~ "

For a writer to meet the above requirements, he must be an expert in using 154 language and must have a broad knowledge of Chinese philology. On the other hand,

like two wings in Liu’s theory, the appropriate use of words is an angle for the reader

to observe a literary work. The reader should be familiar with these standards in

order to judge the quality of a literary work.

The third point in observing a literary work is “to consider continuity and

mutation.” Liu Xie has a strongly historical sense. Even though the

writers in the past have already set up various forms and created expressions for later

writers to follow, the writer of today has to seek some changes and make his own

contributions. That is what he calls “sometimes following, sometimes breaking with

precedent-in the intricate mingling of the two is the principle of continuity and

mutation.” In order to do that, the writer, as well as the

reader, “should have read widely and closely.” Then, “relying on his

affections (qing), one will achieve continuity (long); depending on qi (vitality) one

will move to mutation (bian)” As a result, “with

any eye on present circumstances, [one can] create what is extraordinary/ And establish laws by reference to ancient practice.” It is because that “although there are constants in the forms or genres (ti), in which literature is given, there is no limit to tiie mutations they may undergo.”

Since “there is the definite correspondence between the names and content of genres, they have to base themselves on established principles; since the style must maintain its flexible adaptability to varying situations, its very essence is its sensitivity to new modes and cadences.” 155 « W t , 'M 9 M 1 ï , And since

literature is the constant, intricate mingling of tradition and creation, an excellent

writer should both follow ancient practice and create the new. In case of the reader,

in order to really know the “tones” of the author, he also needs a broad knowledge of

the past as well as of the present. Thus he can examine the quality of a literary work by placing it into its historical context, and see what it has inherited from the past and what is new about it.

The fourth angle to observe a literary work is “to consider whether it is orthodox or eccentric.” The concepts qi ^ (eccentric or unusual) and zheng IE (orthodox or normal) appear mainly in the chapters “Ding shih”

(Determination of Momentum) and “Bian Soo” (An Analysis of Sad). Zheng refers to the orthodox style represented by the Confucian Classics, while qi to the unusual style in the works of Qu Yuan, as Liu Xie says: “Those who pattern their writing after the classical genre will achieve the excellent qualities of severe elegance and grace; and those who pattern theirs after the Sao genre will succeed in capturing the flowers of charm and high-mindedness.”

^ In other words, Qu Yuan’s works reflect a change, a new style different from the Classics. Zheng (orthodox) is of course regarded highly by Liu Xie, but he does not disparage the qi (unusual) style and recommends that “one should absorb their wondrous qualities without losing sight of their truths and appreciate their flowers without neglecting their fioits.”

His ideal writing should balance the two styles: 156 “Although the eccentric and the orthodox are opposed to each other, both should be

mastered Jf one loves the elegantly severe and dislikes the ornate, he will be one

sided when held up against the standard of comprehensive m astery ."^IE # ^ > #

What he fights against is

the tendency to seek the qi for the sake of being unusual. On this he writes:

Recent poets, in most cases, have been attracted by sophistry and artistry. A study of their style reveals that it is the consequence of a tendency toward pretentiousness. Bored by the old, they defy all reason in the creation of new forms. This pretentious style, althou^ apparently difiScult, is in face nothing other than a confounding of normal word order. Confounding the normal order in an essay may result in impoverishment of content, but reversing the word order in a sentence introduces novelty.

SW»

ffiB .

Obviously, Liu Xie dislikes this trend and wants to change it and lead it back on a

correct track. This opinion too is grounded on his integrated theory we discussed

earlier in Chapter Two. That is, a literary work should manifest Dao and the poet’s affections, and should not chase solely after novelty. Liu Xie’s solution to this tendency is “to maintain the proper (z/reng) and still make good use of something extraordinary {qi).” A reader should understand the relation between the proper and the extraordinary and know how to distinguish the extraordinary for its own sake from that grounded on orthodox tradition in observing a literary work. 157 The fifth method is “to consider the factual allusions and principles

[contained in it].” In classical Chinese, one meaning o f “sh f ^ refers to

allusions in a literary work. Zhong Rong, Liu Xie’s contemporary, in his Shi pin,

“Xu” uses the compound ’’"shiyr to refer to allusions;

As for the melodic expression of what one feels, what is the value in using allusions?... More recently, Ren Fang (460-508), Wang Rong (468-494) and others, without particularly valuing surprising turns of expression, rival with one another over the use of novel allusions. This general tendency has become the common practice among writers of today. Rarely do you see a line, or part of one, which is not derived.... There is hardly any writer who can be described as being blessed with natural grace and spontaneous elegance. When the noble style is no longer at one’s disposal, the only way to make up for one’s deficiency is to add allusions to his work.

...iS t t a ÿ . m m m .

Zhong Rong is offensive to using allusions in poetry, an issue of some controversy in

Liu Xie’s time. Liu Xie holds an opinion similar to Zhong Rong’s and criticizes

some writers for their using allusions inappropriately by saying: “When subtle words

and fitting facts are misplaced so that their significance is lost, it is like using gold

and jade to decorate one’s legs or applying cosmetics to one’s chest.”

m m w c , ooidwjadeswuid

decorate important parts of the body, as allusions do for a literary work, but if they

are misplaced, their significance will be lost. Another common mistake concerning the use of allusions is that if “the facts alluded to are out of harmony with the context, their use will always be a blemish.” For example. 158 Sima Xiangru in his “Shanglin Park” alludes to the following phrase in the Lu Shi

chimqiu, “ Guyue” B “There was the dance of Taotang and the song

of Getian; the song was sung by a thousand and chimed in with by ten thousand.” #

Liu Xie remarks that this is a

mistaken allusion, for the song of Getian was sung by a chorus of three men, not by a thousand.

Liu Xie, however, is different from Zhong Rong in that he supports the use of allusions and regards it as an efficient way in writing. In the chapter “Shilei” he praises a group of writers for their “selecting passages from the Classics and histories and spreading their flowers and fruits far and wide; therefore, they establish their reputation through alluding to these books, and became models who were imitated by later scholars." # # A 2 #

Liu Xie makes an analogy between the writer who knows how to use allusions and the carpenter: “An excellent carpenter makes judgments about timber, and a literary man makes choices among the Classics. Good timber is transformed into definite form by the application of an ax; appropriate allusions are turned into a beautiful part through the exercise of knife-like brush” A llf » M.

k other words, the relation between timber and a carpenter is like that between ancient books, especially the Classics, and the writer. It is the writer who must choose and apply allusions appropriately. Hence Liu Xie’s ideal regarding the use of allusions is that “When a writer’s allusions to past events are appropriate to the situation in question, it is as if 159 he himselfhas created them.” Allusion refers to

something outside the world created by the text, of course, but the best allusion is,

according to Liu Xie, so suitable and appropriate to the text that it is not like allusion

at all but completely keeps harmony with the text. In other words, “to use the words

of others as if they were one’s own creation.” To return to Liu Xie’s

method of observation of a literary work by the reader, he requires the reader to judge

whether the allusions used in a work are appropriate or not and whether they help

express the author’s feelings and intentions. As Liu Xie says, “Profound and rich are

the Classics and ancient texts/ Their language is exquisite and their ideas have far- reaching implications/... They are [filled with literary allusions and timber] for a literary carpenter to choose and take/ And jade and pearls in abundance as gifts.”

f - - - Since the Classics and ancient texts are so important to a literary work, the reader should be familiar with their content and style. Only by this can he judge whether the allusions used in the work are appropriate. This is indeed a difficult job for the reader.

The sixth method in observing a literary work is “to consider its musical qualities.” In the history of Chinese literature, the time in which Liu Xie lived was famous for the discovery of tones in the Chinese language and advocacy for their application in poetry. During the reigning period of Yongming by

Emperor Wu of the Qi (483-493), Wang Rong, Xie Tiao and Shen Yue

(441-513) advocated a new style of poetry, based in the musical beauty of the

Chinese language and partially under the influence of translation of Buddhist Sanskrit 160 sutras from India, in which the translators compared the two languages and

discovered the tones in the Chinese language. This new style is called the Yongming

style In Song shu, “Xie Lingyim zhuan lun” (A

Postscript to the “Life of Xie Lingyun” in the History o fthe Song), Shen Yue

describes the features of the new style poetry;

In the uninhibited presentation of one’s emotions, in the culling from the foliage of earlier writers, the degree of ingenuity and how it is achieved could be considered in terms of the way the five colours enhance the effects of one another, or in terms of the way in which the eight types of musical instruments together produce music at once melodic and harmonious. There is a proper place for each colour, one for each musical note. It is imperative that there are contrasts in the use of musical notes, from the hipest to the lowest in the [Chinese, ‘qintom'c’ scale]: the high and the low must be well regulated. In poetry, a word in a light, empty tone must somewhere be followed by one in a resonant tone. Within a passage there should be as much variety as possible in auditory effects. Between any two lines, stressed and unstressed syllables ought to be contrastively mixed. These rules have to be clearly understood before one becomes qualified to discuss poetry.

But it must be conceded that in the countless years since Qu Yuan, even with poets who have been punctilious in their use of given verse forms, the secret [that metrical beauty is important] has not been known It is only in our own age that there are those who, knowing the tones, benefit from [the rules].

* * * # , m , A # # m , « , mm, #####. im&v, mrnX. -mzm. # iS iS K *, mxmëw, ...

From the above quotation we can see that Shen Yue and his contemporaries consciously developed the potential of “tones” in the Chinese language to write 161 poems. According to Shen Yue, this secret had not been discovered till his time, that

is, the same time in which Liu Xie lived. Since then, the usage of “four tones” in the

Chinese language has become an important issue in Chinese poetry, especially in lu

shi # # (regulated verse). Its importance cannot be overestimated, for without this

discovery, it is impossible to imagine how the regulated verse of the Tang Dynasty

could have come into existence. Only those who “know the tones” (meaning here

both linguistic tones and his theory of the tones) become qualified to discuss poetry.

Liu Xie may be said to be one who “knows the tones” and understands Shen Yue’s

theory.

In the chapter “Shenglu” (Musicality), Liu Xie adopts Shen Yue’s

theory above:

Tones are of two kinds: the flying, literally level, and the sinking, literally abrupt; and consonance is also of two varieties: a pair of alliterated words or a pair of rhymed words. Neither an alliterated nor a rhymed pair can be separated in a line or in a sentence without doing some harm to the prosody. Furthermore, a sinking tone, when enunciated alone, sounds abrupt, as if cut short; and a flying tone alone has a tendency to fly away, never to return. All these elements must be interwoven to produce a tightly knit harmonious whole. Should any one element in the concatenation go amiss, a discord will result. It is a type of disease which may be called a stutter in literary writing.

mam tb ;

This passage calls for some terminological explanation. The flying tone refers to the level tone, while the sinking sound is close to the uneven tones in later times. The distinction is very useful in later regulated verse. The shuangsheng refers to the 162 compound consisting of alliterated words, such as (irresolute), pronounced

chou chu. The dieyun means a compound of two rhymed words, such as

(walking to and fro), pronounced pai huai. Liu Xie regulates that one should not

divide an alliterated or and a rhymed compound and place them in two separate

places in a line or in a sentence, otherwise it will harm the musical beauty of the

writing. For the sake of musical beauty, words with level tones should be interwoven

with those of uneven tones and formed into a balanced and harmonious unit He

summarizes the phenomena into a clear statement: “By he % is meant the harmony

of different sounds and tones, and by yun the consonant response of the same

final vowel.” This statement reveals the

secret of the musical beauty in the Chinese language and writing.

In addition, Liu Xie instructs the reader and the writer how to distinguish the

tones: “Go«g and shang are high notes, while zhi andyw are low notes. From the

difference in the movement of the throat, tongue, lips, and teeth, it is possible to

distinguish the different tonal qualities clearly.” ; ÿ l #

Only ifthe writer and the reader know these distinctions, can they consciously apply them to a literary work. In the study of Chinese phonology, Liu Xie’s writings on the subject of tones are very valuable.

Above we have discussed Liu Xie’s six methods for reading a literary work.

Each reflects a special aspect of a literary work, but as a whole they form a synthetic point of view. These six aspects are not independent of each other, but are closely 163 related and interactive. For example, the method “ to consider continuity and

mutation” has a close relationship with “considering factual allusions and

principles.” Both of them concern the relation between the past and the

present. The point “to consider whether it is normal or unusual” and “to

consider the musical qualities” relates to the method “to consider how the

words are arranged” Liu Xie’s method is to observe an object from various

angles, unlike other approaches which follows linear order in the investigation of a

literary work.

Let us have a brief comparison of Liu Xie’s approach with that of Roman

Ingarden. Roman Ingarden points out that all literary works consist of at least four

structural strata, that is, four points from which to investigate a work;

(1 ) the stratum of word sounds and the phonetic formations of higher order built on them; (2) the stratum of meaning units of various orders; (3) the stratum of manifold schematized aspects and aspect continua and series, and, finally, (4) the stratum of represented objectivité and their vicissitudes.®*

I do not have space here to discuss the above strata in detail, to which Ingarden’s

whole book is devoted. My purpose is simply to compare Liu Xie’s attention to the

reader with Ingarden’s reader response theory, fri the first stratum. Ingarden analyzes the following three elements, summarized by John Fizer:

The first stratum contains three distinct elements: I) individual words, 2) sentences, 3) combinations of sentences. In the first case a probe in point is the choice of words intended to express, actualize, or both; in the second, the rhythm, tempo, tone, and the manner of syntactical modeling on which an endless variety of the so-called manifestative qualities depend; and in the third, the varying and various types of verbal polyphonies (genres, styles, trends, and the like.)®^ 164 In other words, these elements are: (l)individual words, (2) sentences, including the

rhythm, tone, and (3) genres, styles and trends. What attracts my attention is that

there are several identical elements in both Liu Xie and Ingarden’s works, such as the

word sounds, individual words, and genres. Another similarity is that both ignore or

avoid the separated treatment of form and content. In the case of Liu Xie, he discusses the technical, formal aspects of a literary work, in conjunction with content

To put it another way, he consciously combines the two into an organic whole.™ As for Ingarden, one significance of his work is to dispute the clear distinction between

“form” and “content”:

[The analysis of strata] can also provide the solid foundation for solving the special literary and literary-aesthetic problems with which until now one has contended in vain.... For example, the much- discussed problem of “form” and “content” (or Gestalt and Gehalt) of the literary work cannot be put correctly at all without taking into account its stratified structure, since, prior to the differentiation, all the necessary terms are ambiguous and unstable. In particular, every attempt to solve the problem of the form of the literary work of art must fail as long as one constantly considers only one stratum and disregards the others, since in doing so one overlooks the fact that the form of the work arises form the formal elements of the individual strata and their concurrent action.’*

That is to say, all the strata are closely connected with each other. If one wants to study the form of the work, one has to stutfy its content at the same time, for both are mixed up in his structure of strata. On this question, Liu Xie holds the same position as Ingarden. However, the differences between Liu Xie and Ingarden are perhaps more interesting and stimuiating. 165 First, we notice the difference in order. Liu Xie first mentions genre, then

words, and last, the sound, while Ingarden reverses the order of the elements. The

difference is crucial to understanding how their approaches originate from their

orientations. Ingarden’s approach is analytic and linear, thus he starts from the

smallest and basic element and then goes on to higher and broader level of the

structure, from one stratum to another, following a strictly logic and linear order. On

the other hand, Liu Xie’s approach is “to observe”, and is less analytic than

Ingarden’s (though not non-analytic). The reader is free to shift from one angle to

another. If we change the order of Liu Xie’s six methods or angles, it would not

harm his theory, while in Ingarden’s case, the order cannot, and should not, be reversed. This is the difference between analysis and observation, and between

Ingarden’s analytic and Liu Xie’s synthetic systems.

Another difference concerns the role of the author in a literary work and in reading. Ingarden, like the New Critics in this respect, attempt to eliminate the author from his investigation of a literary work. In a section entitled “What does not belong to the literary work?” he writes, ‘Tirst of all, the author, with all his vicissitudes, experiences and psychic states, remains completely outside the literary work. In particular, however, the experiences of the author during the creation of the work do not constitute any part of the created work.”’^ That is to say, the author should be eliminated from the reader’s consideration when reading. What Ingarden desires is to have a purely objective investigation, without involving the indeterminate world of the author’s intention. Liu Xie would surely disagree if he 166 heard about Ingarden’s opinion. Wai-Ieung Wong creatively and successfully applies

Liu Xie’s six methods in a comparison with New Criticism, which shares Ingarden’s

disregard for the author’s intention. I completely agree with his conclusion that: “Liu

Xie’s time was one thousand years ago from today, and New Criticism is not new in the eighty’s. However, the theories of Liu Xie and New Critics, especially their confirmation of the artistry of a literary work (including the structure), will never be out of date.”’^ And I also admire his efforts to introduce Liu Xie’s theory to the world by means of comparison. But I think that it is important to point out their difference at the same time. After all, Liu Xie is not a New Critic, though both of them insist on organic structure and use a method that could be named close reading.

Different from New Critics who regard seeking the intention of the author as a “fallacy,”^'^ Liu Xie sees the observation of a literary work from the six angles not as the end of reading, but rather as a starting point. Liu Xie says: “when these techniques are practiced, the relative values will be obvious.”

However, to judge the value of a literary work is not the final goal of the reader. The purpose of these observations is to reach the next level of his synthetic system: the human mind and its emotions and intentions. Liu Xie continues:

In the case of composing literature, the affections are sthred and words come forth; but in the case of reading a work of literature, one opens the text and enters the affection [of the writer], goes against the current to find the source; and though it may [at first] be hidden, it will certainly become manifest. None may see the actual faces of a remote age, but by viewing their writing, one may immediately see their minds (xin). 167

We might say that wenxin is a two-way road that links the minds of the author and

the reader. On the one side, the author manifests his mind/heart through the writing;

on the other, the reader enters the mind/heart of the author by reading his work. The

metaphor of water is also suitable to the situation: the source is the author’s wenxin,

and its current is his writing. Although the source is far from the reader in terms of both time (remote age) and space (the reader and author may not be from the same place), the reader can understand the author’s feelings/emotions and intents by tracing back along the current (the writing). On the above passage, Owen’s comment is to the point: “This is one of the clearest traditional statements of the reading process in its most normative form: to read is an inversion of the process that produced the text, and what is finally known in that process is the mind of the writer.”^’ This tradition dates back at least to Confucius. In his Analects, Confucius makes the statement: “Look to how it is. Consider from whence it comes. Examine in what a person woidd be at rest. How can a person remain hidden?—how can someone remain hidden?” o A M J ^ i

Althou^ he is talking about observing a person here, not making direct reference to literature, the basic method of thinking is the same: through observing what is outer, one will get to know what is inside a person.

Mencius touches upon the same issue by saying:

I understand language.... When someone’s words are one-sided, I understand how his mind is clouded. When someone’s words are loose and extravagant, I understand the pitfalls into which that person has fallen. When someone’s words are warped, I understand wherein 168 the person has strayed When someone’s words are evasive, I understand how the person has been pushed to his limit.

# * . m m m . w »,

Language to the ancient Chinese is not a representation of the outer world but an

entrance to the world of the speaker. Or in James Liu’s words, language in China is

thought of as “pointing to” reality; “Whereas Western critics generally have a

mimetic conception of language, Chinese ones influenced by Daoism and Buddhism

have what may be called a deistic conception. The former see language as

representing reality; the latter see it as pointing to reality.”®’ It reminds us of the

difference between Ingarden and Liu Xie. In Ingarden, the investigation of an

important stratum in a literary work is to analyze the stratum of represented objectivité and their vicissitudes, that is, to examine the world represented in a work.

While to Liu Xie, the important thing is to know the mind of the author through reading his works. Zhuangzi has a famous parable concerning language that is often cited to demonstrate this attitude: “The purpose of the trap lies in the fish: when you get the fish, you forget the trap. The purpose of the snare lies in the hare: when you get the hare, you forget the snare. The purpose of words lies in the meaning: when you get the meaning, you forget the words.” #

Language is nothing but a vehicle for communication. Although Liu Xie’s opinion of language is different fi-om Zhuangzi, they share the same idea that the most important function of language is to get meaning acrossed. When the reader reaches the author’s intention. 169 language has finished its function. The Zuo zhuan records a Confucian saying

that indicates the relation between language and the author’s intention:

Confucius said, “There is a record of someone’s thoughts which says: the languie (yon) is to be adequate to what is on the person’s mind {zhi), and the patterning (wen) is to be adequate to the language. If a person does not use language, who will know what is on his mind? If the language lacks patterning, it will not go far.

■ H K Æ i é , X K Æ W . m e Z K ,

One essential fiinction of language, according to Confucius, is to manifest what is in

one’s mind. As for the reader, the function of language, therefore, is to lead to the

intention of the writer. Liu Xie’s theory of reading and interpretation is grounded in the tradition of language acting as a vehicle for communicating between the author and the reader, a vehicle that carries the author’s wenxin. Liu is explicit and clear on this subject:

If a person’s mind is intent on the mountains and rivers, a zither can express his state of mind (ging). This is even more true when things are given form by the tip of a writing-brush; then it is not possible at all that the basic principles remain hidden The way in which mind apprehends basic principle (li) is like the way in which our eyes apprehend shape. If the eyes are clear, every shape can be made out; if the mind is alert, every principle reaches it.

$ * * * , u m z m s ,

Liu Xie returns to the essential concept ‘‘‘zhiyiri” (person who knows the tones) here.

Music is an art of time, not as solid and permanent as writing, yet even music can express Boya’s intention, and can allow it to be understood by Zhong Ziqi. The writing more easily allow the reader to explore the principles and intentions of the 170 author, in a word, the wenxin, hidden in the works. Liu Xie is veiy optimistic about

the ability of the reader to understand perfectly the intentions and emotions of the

author. He uses optical metaphors to express this. If one has sharp eyes, one can

recognize shapes without difficulty, and if one has an alert wenxin, one can

understand the other’s wenxin demonstrated in the work.

Of course, Liu Xie is no so naive that he is blind to the misunderstanding that

often mars the reading process. By realizing this, he places more responsibility on

the reader. If one cannot understand a literary work, the reason lies in the reader’s

knowledge and personality. He writes: “It is never that an accomplished work is too

deep. Rather we should worry that our capacity of recognition is too shallow.”

ê In other words, if the author manifests his

wenxin in his work, then it is the reader’s responsibility to broaden his knowledge

and reach the same level of the author in order to become the author’s ‘"zhiyin.” At

the beginning of his chapter “Zhiyin,” Liu Xie’s discussion of the four obstacles

blocking the reader from perfectly understanding the author and his work reveals Liu

Xie’s views on the source of the misunderstanding. In spite of that, Liu Xie is still

optimistic about the capacity of the reader to become the author’s “zhiyin.” Why?

In order to answer this question, we have to go to another level of wenxin, the

cosmological order.

First, the ancient Chinese assumed that there was a correspondence between

Heaven and human beings. Zhuangzi calls it “tianle” (happiness of Heaven) and “renie” (happiness of Man): 171 He who understands the virtue of Heaven and Earth, called the great root and great origin, is in harmony with Heaven. With this, to keep the world in balance under Heaven is in harmony with the people. That which is in harmony with the people is called the happiness of Man; that which is in harmony with Heaven is called the happiness of Heaven.

m i#. mzA# ^

In Zhuangzd’s opinion, the happiness of Heaven lies not in violating but in following

the natural law (Dao), and keeping harmony with Heaven. In the same way, if one

can keep harmony with people, one will enjoy the happiness of Man. Man and

Heaven share with each other these basic principles. In the Yue ji, “Yue lun”

(Record of Music. Discourse on Music), a Confucian Classic, a similar idea is

expressed: “The great music is in harmony with Heaven and Earth and the great rite

keeps pace with Heaven and Earth,... Music is harmony with Heaven and Earth; rite

is the order of Heaven and Earth." . . . .

Although the passage concerns

music, it can apply to language as well. Music, as one of human arts, is essentially

harmonious with Heaven and Earth, the appreciation of music thus must also be

coimected to Heaven and Earth. The same idea can be seen in the chapter “Yuan

Dao” in Liu Xie’s work, which we discussed m Chapter Two above.

Moreover, following the above logic, the ancient Chinese assumed that all

the people under Heaven were the same in nature and shared some basic principles or tastes. Mencius uses food, music and human appearances to explain this theory by saying: “As for the mouth to taste, people have the same lustful desires; as for the 172 ears to music, people have the same favors in listening; as for the eyes to color,

people share the same fondness for beauty.”

To Mencius, all people are bom

with the same nature, thus they have similar judgments towards food, music, etc..

The reason is that, as Mencius says, “Things in the same category are similar to each other. How could one only doubt about the similarity among people. Even the sages are in the same category with me.”

Since the sages are in the same category as the ordinary people, Liu Xie advocates that the writer should leam from the sages, especially

Confucius. This opinion appears in his chapters “Zongjing” (Revering the

Classics) and “Zhengsheng” W iM (Evidence from the Sages), as I discussed in

Chapter Two above. This idea appears not only in Mencius’s, but also in the Ximzi

, where we read:

All the people are the same. When they feel hungry, they want to eat. When they feel cold, they want to be warm. When they work hard, they want to have a rest. Favoring benefits and hating damage is what a person was bom with Their eyes can distinguish white from black, beauty from ugliness. Their ears can distinguish clear sounds from muddy ones. Their mouths can distinguish sour from salty, sweet from bitter. Their noses can distinguish fragrant smell from foul one. Their bodies and skins can distinguish winter from summer, sickness from health. All these are the same in people who were bom with them.

s w m . , œ » s, AXzm&â^-ÿL.... 5 » !, a# mm-*, #®»«» 173 Since people have the same senses, they must have similar reactions to the outside

world. From this point it is only a short step to confirming the universality of human

nature. Xunzi and Mencius both assume that human beings have the same nature,

thou^ Mencius insists that human nature is good, while Xunzi argues that human

nature is evil. Mencius advocates his approach to reading from this notion of the

universality of human nature:

In explaining the poems of the Book o f Songs, one must not permit the literary patterning (wen) to affect adversely [the understanding of] the statement (ci); and one must not permit [our understanding of] the statement to affect adversely [our understanding of] what was on the writer’s mind {zhi). We use our understanding (yi) to trace it back to what was [originally] in the writer’s mind (zAi)-this is how to grasp it.

_ _ AM# Z . ”

Language can be misleading, if one reads the writing in a wrong way. Mencius’s ideal reading is to let the reader’s understanding trace back to the writer’s zhi

(what is/was intently in the mind) and match them into one. Zhi here should be broadened to including qing (affections/emotions) and could be replaced with the concept xin or wenxin, as we have discussed before. Therefore, his approach to reading can be described as a process: reader-wenxin (language as a vehicle)- author, based on Ihe precondition that human beings share the same nature.

Following the tradition, Liu Xie recognizes the happiness of mutual understanding between the reader and the author

Only those who recognize what lies deep and who see into the profound will always feel the thrill of an inner joy [when they read a great work], much in the way averj^e people bask in the warmth of a 174 terrace in spring, or the way in which music and food will stop the passing traveler. I have heard that the raarsh-orchid, the most fragrant plant in the land, has an ever sweeter scent when worn. Writing is also the glory [or “flowering,” hud\ of the land, and it becomes most beautiful when appreciated.

This statement can be regarded as a summary of Liu Xie’s theory of reading.

“Recognition of what lies deep and seeing into the profound” refers to the six

methods of observation and other conditions a reader should follow. And the natural

result of this ideal reading is to gain an enjoyment and happiness through

understanding the author’s mind. Much in the way Tao Yuanming (365-

427) expressed it: “He is fond of reading books, but does not seek too much analytic

understanding (fie). Whenever there is a ‘meeting of minds’ {huiyi), he will be so

happy as to forget to eat”

‘'Meeting of minds” here refers to the understanding of the author’s wenxin. When the reader’s wenxin meets with the author’s, he will be very happy. The author is also looking for such a reader, his zhiyin. In other words, the process of communication is not over until the work finds a zhiyin. The process of seeking the author’s wenxin can be regarded as one to seek and realize the reader’s own wenxin, too. Only when the two wenxins meet, can the process of reading be finalized.

Liu Xie’s theory of reading and interpretation is epoch-making in the history of Chinese literary thought. He offers a comprehensive and systematic viewpoint, which includes the difficulties in understanding others, his six methods of 175 observation, the understanding of the author’s wenxin, and the happiness of reading

when the reader’s wenxin meets with the author’s. Ah these aspects revolve around

the central concept, wenxin, and originate from his synthetic perspective. Liu Xie

established his theory to answer the questions raised by his time. As Zhong Rong

records:

Have I not also noticed how the “elite” from among the rich and influential often, at the end of an erudite discussion, hold forth on their personal preferences in poetry? Their likes and dislikes are merely subjective and have no reference to any standard. The waters of the Rivers Zi and Mian, as far as they are concerned, might have flowed as one stream, and purple and red are allowed open competition. Noisy disputes are pandemoniac in proportions, and there is no room for criteria or a sense of direction.

< m ,

Discussion of poetry became a fashion, but it was done without standards or criteria.

It was urgent to establish such standards then. Moreover, the selection and collection of literary works, popular at Liu’s time, needed criteria. As for the fashion. Emperor

Yuan of the Liang (Xiao Yi , reigned 552-554) says:

Philosophy was prosperous in the Warring States period, and collections of writings were popular in the Han Dynasty. They were so popular that every house had its own publications, and everybody had his own collection. The best among them could express one’s emotions and intentions, and enforce the customs. While the worst among them merely made noise on paper and tired later generations.

AA##. 176 In this historical context, there was a need to develop criteria or standards to evaluate

the writings for selection and compilation. Liu Xie’s theory of reading met the needs

of his time. It was said that Liu Xie’s work received great attention from Shen Yue,

who always placed it on his desk. And Prince Zhaoming 0§^:iv;'?PCiao Tong

501-531) also appreciated Liu Xie’s talents. The compilation of Zhaoming

wenxuan (Selection of Literary Writings compiled by Prince Zhaoming

(501-531)) was, to certain extent, influenced by Liu Xie’s theory.As for the significance of Liu Xie’s theory, Liu Zhiji’s (661-721) comments are worth quoting here:

Poets write in various genres and styles. It is like the difference in taste between sweet and bitter, the difference in color between red and white. However, when later people discussed this, their understanding was not comprehensive and thorough. There were a lot of disagreements and arguments. Hence appeared Liu Xie’s Wenxin diaolong. «ASX. *«#-,mMtm, a « « , ttsjiSssc'CÆs* Liu Xie’s theory of reading set up a standard and approach for his time and for later generations. Ifis words, criticism, and comments were quoted by people such as Bai

Juyi (772-846) and Yan Shu # # (9917-1055). ^ His ideas contributed not only to Chinese literary thou^t, but also to world literary thou^t Liu Xie raised some issues similar to New Criticism and phenomenological theory, but more importantly, he offered a different perspective from which to view literature.

As we discussed in Chapter One, since Western theories orient on various poles or phases, there is always a conflict between the reader and the author in Ill regards to reading and interpretation. As Raman Selden summarizes in his book. The

Theory o fCriticism: From Plato to the Present:

A central question raised by modem criticism is “Does the text or the reader determine the process of interpretation?” At one extreme, we might imagine that the text completely controls the reader’s response, and, at the other, that the reader’s activity is primary. A great deal of modem “subjective” criticism emphasizes the shaping activity of the reader. LA. Richards and William Empson, both key figures in the development of New Criticism, were interested in the psychology of reading. ^

Richards believed that poetry could effect “permanent modifications in the structure of the [reader’s] mind”. Empson was fascinated by the uncanny ways in which readers leam how to make sense of complex texts. In M. H. Abrams and Ackerman’s words, they

deal with a poem “as a poem '-that is, as a closed, self-sustained, and self-sufiBcient "structure of meanings" ’which is autonomous and "autotelic," therefore to be analyzed independently of any relation to the world, to the life of the author, or to Ae emotional responses of its readers. To carry out this aim the New Critics developed a distinctive procedure, which was their major contribution to the critical enterprise: the "explication," or "close-reading," of an isolated text. ^

Liu Xie could never raise such questions, nor regard a poem as a “closed, self sustained, and self-sufficient structure of meanings.” From Liu Xie’s synthetic perspective, the process of interpretation is determined by the author, the text and the reader. Nor could he ever side with pure formalism that was described by Terry

Eagleton:

The literary work was neither a vehicle for ideas, a reflection of social reality nor the incarnation of some transcendental truth: it was a material fact, whose functioning could be analysed rather as one could examine a machine. It was made of words, not of objects or feelings, and it was a mistake to see it as the expression of an author’s 178 mind. Pushkin’s Eugene Onegin, Osip Brik once airily remarked, would have been written even ifPusWrin had not lived.

In Liu Xie’s opinion, wenxin penetrates and unites all aspects of literature- the

universe, the author, the work and the reader. If one wants to understand literature,

one has to master the synthetic wenxin. That is why he is optimistic about the

capacity of the reader to understand the author’s wenxin, and he expects that “If

literature truly carries mind/ Then my mind has found a lodging.” » A"

From his synthetic perspective of wenxin, his reading and appreciation of

previous works verify that these authors “place themselves in their minds among the

ancients and transmit their thoughts to people who come thousand of years after

them. Musical instruments of metal and stone may have perished; but can their

music be silenced, too?”

^ The rhetorical question strongly reveals Liu Xie’s belief in the mutual understanding between the reader and the author. Liu Xie was the zhiyin of the authors prior to him. Now almost another 1,500 years has passed, and there is a great gap between us and Liu Xie. Can we use the wenxin to build a bridge between us and Liu Xie? Can we understand his work and become his zhiyinl This, at least, is my hope and what I have attempted to do in this work. 179 NOTES:

' Guo Shaoyu Zhongguo wenxuepiping shi (Shangjiai: Shanghai guji chubanshe, 1979), 57. Wang Gengsheng is on Guo Shaoyu’s side, see his Wenxin diaolong xinlim (Taibei: Wen shi zhe chubanshe, 1991), 139-50.

^Zu Baoquan Wenxin diaolongjieshuo (Hefei: Anhui jiaoyu chubanshe, 1993), 966. Zhou Zhenfu also holds this position, see his Wenxin diaolong jin yi (Beijing: Zhonghua shuju, 1986), 428.

^ Rene Wellek and Austin Warren, Theory o fLiterature (New York: Harcourt, Brace and Company, 1949), 39.

‘‘Paul Youg-shing Shao, “Liu Hsieh as Literary Theorist, Critic and Rhetorician” (Ph. D. Diss., Stanford University, 1981), 1, in which he says: “In the present dissertation I attempt to introduce and examine, from a modem critical view point, Liu Xie’s literary theory of two-fold manifestation from the perspective of Liu Xie-the- theorist,-the-critic, and -the-rhetorician”

^ Stephen Owen, Readings in Chinese Literary Thought (Cambridge: Harvard University Press, 1992), 286. Chinese text, see Liezi, ‘Tang wen” {Siku beiyao oditioT^JuanS, 16a and b. punctuated by myself.

® Owen, 288. Zhou, 429.

^ Owen, 286. Zhou, 429.

* See Sima Qian Shi ji, “Han Fei zhuan” in Er shi wu shi — (Hongkong: Hon^ong wenxue chubanshe, no date.), 1:181.

®Ban Gu Han shu, “Sima Xiangra zhuan” in Er shi wu sAi, 1:498.

Wang Chong 3 E ^ , Lun heng, “An shu” cited in Guo Shaoyu Zhongguo lidai wenlun xuan (Shanghai: Shanghai guji chubanshe, 1979), 1:122.

“ Owen, 230. In Owen’s work, the “^ ”in the phrase is a mis-written of“jK” Zhou, 274.

Owen, 289. Zhou, 429. 180 See Cao Pi Dian lun, “Lun wen” in Guo, Wenlun xuan. I; 158. English translation, Siu-kit Wong, Early Chinese Literary Criticism (Hongkong: Joint Publishing Co., 1983), 19.

‘'*Cao Zhi W fe “Yu YangDezu shu”^ ^ @ ^ ^ , in Guo, Wenlimxuan, 1: 166. English translation, Wong, 28.

Cao Pi, Dian/wn, “Lun wen,” in Guo, Wenlunxuan, 1:158. Wong, 19.

‘^Ibid

’^Liu Xie says: “Cao Pi’s claim that ‘literary men disparage one another’ was not groundless.” See Owen, 288. Zhou, 429.

'^Owen, 289. Zhou, 429.

“Zhiyin,” in Zhou, 429. Owen, 288.

^ See Yin Wen Yin Wemi, “Da dao shang” ^ (Siku beiyao edition), lOa/b. Zhou Zhenfu’s reference to “Da dao xia” is mis-written. See Zhou, 431.

Owen, 289. Zhou, 431.

^Ibid.

23 Ibid.

Ge Hong Baopvzi, “Ci yi” . # 0 , cited in Wang Yunxi and Yang Ming Wei Jin Nanbeichao wenxue piping shi (Shanghai: Shanghai guji chubanshe, 1989), 482.

It seems that few realize the importance of Liu Xie’s listing of the difficulties so far from what I read. Owen comments that “Liu Xie develops his premise of the difiSculty of “knowing the tone” in an odd way.” See Owen, 288. In the West, focus on the functions of the reader is a recent development, though its roots can be traced back to Plato and Aristotle. But even in their works, I cannot find such a comprehensive and systematic observation of the difficulties in reading.

^ Owen, 290. Zhou, 432.

^’Ibid. 181 See Vincent Yu-chimg Shih, The Literary Mind and the Carving o f Dragons (Hong Kong: The Chinese University Press, 1983), 347.

^ Owen, 247. Shih, 347. Zhou, 293. Both Owen and Shih translate qing in the quotation only as feelings, but in my opinion, it should also include die notion of “situation,” or “circumstance”. What the author desires to express should be suitable to a certain situation. That is why the Chinese used the same word, to indicate both inner feelings and outer obligations or requirements.

^Shih, 89. Zhou, 75.

Shih, 93. Zhou, 79.

^^Owen, 290. Zhou, 432.

Owen, 427, with some change. Zhou, 293. The word “zuo” in the phrase “zuoci has two meanings; “to gather and choose from.” Owen’s rendering “to gather the words together” reflects one of them mid neglects the other. Shih’s translation “the creation of linguistic patterns” is too general. See Shih, 347.

34 Shih, 361. Zhou, 306.

Shih, 363. Zhou, 308. Wai-leung Wong regards this phrase as one of the most important statements in Liu Xie’s book by saying: “The concept diaolong (the carving of dragons) in the Wenxin diaolong may be explained with this phrase.” See his “Jing diaolong yujing zhi weng: Liu Xie he ‘Xinpiping jia’ duijiegou de kan&” ####$!#: ###%# in Wenxin diaolongyanjiu huicui ed. Rao Pengzi f (Shanghai, Shanghai shudian, 1988), 350.

36 Shih, 375. Zhou, 317.

” Shih, 389. Zhou, 331.

Shih, 391. Zhou, 332.

Shih, 407. Zhou, 346-47.

40 Owen, 290. Zhou, 432.

Owen, 229. Zhou, 272. Owen’s translation of the word “shu” ^ as “the number,’ I changed it to “the principle.” As for the relation between an individual author and tradition, T. S. Eliot explores a similar idea by saying: “The historical sense compels a man to write not 182 merely with his own generation in his bones, but with a feeling that the Wiole of the literature of Europe from Homer and within it the whole of the literature of his own country has a simultaneous existence and composes a simultaneous order.... The poet must be very conscious of the main current, which does not at all flow invariably through the most distinguished reputations. He must be quite aware of die obvious fact that art never improves, but that the material of art is never quite the same.” In his ‘Tradition and Individual Talent,” in Selected Essays (New York: Harcourt, Brace and Company, 1950), 6-7. The similarity between Liu Xie and Eliot lies in that both of them recognize the influence of the tradition and the newness the writer should create. However, Liu Xie emphasizes the active role the writer plays while Eliot leads his idea to a conclusion of the “process of depersonalization.” The difference, again, shows their different perspectives.

Zhou, 273. As for the translation o f “Jing yue Owen renders it as “to examine the essentials,” reversing the word order to “yue Jing.” See Owen, 229. While Shih’s translation is “to deepen his perception.” See Shih, 323. Basically, I agree with Shih’s, but I prefer the phrase “close reading,” which is somewhat similar to the New Critics’ method of rea&ng.

Owen. 229. Zhou, 273.

44 Shih, 325. Zhou, 274.

Owen, 224. Zhou, 269.

^ Shih, 319. In order to suit Shih’s translation to my writing, I made some change in syntax. Zhou, 269.

^^Zbou, 432.

^ Shih, 327. Zhou, 277.

Shih, 55, some changes in syntax. Zhou, 46.

^ Shih, 327-8. Zhou, 277.

Shih, 333. Zhou, 280.

^ Owen, 239. Zhou, 281.

Owen, 290.1 changed his translation o f “shi from “events” to “factual allusions” by taking Shih’s interpretation, vdiich is, I think, closer to the Chinese text See Shih, 393. Zhou, 432. « 183 Wong, 96, with some changes. Guo, Wenlunxuan, 1:310.

Shih, 399. Zhou, 338.

^ Shih, 399. Zhou, 339.

^^Ibid As for \he Lu shi chunqiu, “Guyue” @ " ÿ # , see Guo,Wenlun xuan, 1:29.

^ Shih, 395, with some changes. For example, “shu” # in Shih’s translation is “writing,” I changed it into “alluding to these books,” according to Zhou’s interpretation. See Zhou, 336-7.

Shih, 401, with some changes. Shih renders “sh r ^ here as “the facts,” I translate it into “allusions.” Zhou, 340.

^ Shih, 399. Zhou, 339.

Shih, 401. Zhou, 341.

“ ibid.

“ Owen, 290. Zhou,432.

“ Wong, 78-9. Guo, Wenlmxuan, 1:216.

“ Shih, 355. Zhou, 300.

“ ibid.

“ Shih, 353. Zhou, 299.

“ Roman Ingarden, The Literary Work o fArt: An Investigation on the Borderlines o f Ontology, Logic and Theory o fLiterature, trans. George G. Grabowicz (Evanston: Northwestern University Press, 1973), 30.

“ John Fizer, “The Concept of Strata and Phases in Roman Ingarden’s Theory of Literary Structure,” in The Personality o f the Critic, ed. Joseph P. Strelka (University Park: The Pennsylvania State University Press, 1973), 16.

See Chapter One “An Organic Metaphor: Form and Content,” in Shao, 11-40.

Ingarden, 33. 7, Ingarden, 22.

Wai-leung Wong, in Rao Pengzi, 355.

W. K. Wimsatt and Monroe C. Beardsley, “the Intentional Fallacy,” in Critical Theory Since Plato, ed. Hazard Adams (New York; Harcourt Brace Jovanovich, Inc., 1971), 1015-22.

Owen, 290. Zhou, 432.

""Ibid.

’’Owen, 291.

’®Owen, 19. Confucius, L m yu , “Wei Zheng” ed. Liu Baonan iixZhuzijicheng'^^^^^^ (Shanghai: Shanghai shudian, reprint, 1986), 1:29.

Owen, 22. Mencius, M en^i zhengyi, “Gongsun Chou zhangju shang” ed. Jiao Xun in ZkuziJickeng , 1: 117,123. Also see Haun Saussy, Tire Problem o fA Chinese Aesthetic (Stanford: Stanford University Press, 1993), 135. In which he discusses DongZhongshu’s % f^^opinion by saying; “ ‘Other men have their thoughts/but I am able to evaluate them’ [a quotation form Ode 198, ‘Qiao yan’]. This means; all objects are related to one another. On examining their exteriors, one may perceive what lies inside them.” See Dong Zhongshu, “Yu bei” in Chunqiufanlu (Shanghai: Zhonghua shuju, 1930), 1.10a.

James Liu, Language—Paradox—Poetics, ed. Richard John Lynn (Princeton; Princeton University Press, 1988), xii-xiii.

Zhuangzi, “Wai wu” (Sibu beiyao edition),yz/uM 9 ,6a. J. Liu, 11.

^ Owen, 29. Zuo zhuan, “Xianggong 25 nian” in Shi san jingzhushu ed. Ruan Yuan (Taibei; Qiming shuju, 1959), 4;283.

Owen, 291. Zhou, 433.

^Ibid.

^ Zhuangzi, “Tian Dao” {Sibu beiyao edition),ywa« 5 ,12b-13a.

^ Yue ji, “Yue lun” ^ « 2 - inShi san jingzhushu, 3:299. In classical Chinese, the word has two meanings and pronunciations. One is le, referring to happiness. 185 the other \syue, to music. Perhaps the polysemy of this word implies a Chinese view: music makes one happy and a way of happiness is attained by means of music?

Mengzi, “Gaozi s h a n g " mZhnzijicheng^^^^, 1:451.

^Ibid., 1; 449.

Xunzi, “Rong ru” cited in Zhongguo meixueshi ziliao xuanbian, 1: 50.

^Owen, 24. Mengzi, “Wan zhang shang” in Zhuzi jickeng, 1: 377.

Owen, 291-2. Zhou, 433.

Tao Yuanming “Wuliu xiansheng zhuan” in Tao Yuanmingji ed. Lu Qinli (Beijing: Zhonghua shuju, 1979), 175. English translation, see J. Liu, 98. “Jig” in Chinese has at least two meanings: one is “to understand,” the other is “to analyze.” Both meanings are included in the context. I thus change Liu’s translation “understanding” into “analytic understanding.”

^ ~''l rr'^x^^'^m W ^,v^G \xo, Wenlun xuan, 1:308. English crar:siarion, see Wong, 95.

Liang Yuandi (Xiao Yi) Jin louzi, “li yan” JÈlW, cited in Guo, piping shi, 57.

See Yang Mingzhao Wenxin diaolongjiaozhu shiyi Ib M (Shanghai: Shan^iai guji chubanshe, 1982), 402-8.

^ Liu Zhiji Shi tang, “Zixu” 3 ^ ^ . ê j? , cited in Yang, 433.

Y Bai Juyi Baishi liutie shileiji S Yan Shu Leiyao cited in Yang, 472,478.

Selden, 187.

^M. H. Abrams and James Ackerman, Theories o f Criticism: Essays in Literature and Art (Washington DC: Library of Congress, 1984), 11.

Terry Eagleton, Literary Theory: An Introduction (Oxford: Basil Blackwell Publisher Ltd., 1983), 3.

Owen, 298. Zhou, 450. '“ Shih, 197. Zhou, 161. 186 CHAPTER V

THE FUNCTIONS OF WENXININ CHINESE CULTURE

In Chapter One I mentioned briefly James Liu’s criticism of Liu Xie’s inconsistencies in reconciling the pragmatic (or didactic) and the expressive (or individualist) theories. Here I would like to discuss his opinion in greater detail. In his Chinese Theories o f Literature, Liu first quotes two passages fi-om Liu Xie’s

Wenxin diaolong: one is 'Poetry expresses intent” {shi yan zhi HFh ife), the other is

“Poetry {shi) means ‘hold’ {chi ^ ) . Poetry is what holds one’s emotion and nature

[within the bounds of propriety]. In summing up the Three Hundred Poems

[Confucius] described their general principle with the phrase, ‘No evil thought.’ The interpretation of ‘poetry’ as ‘hold’ finds here its corroboration.”' Then Liu makes the following comments:

If it is implied that it is because the poet’s intents are moral that their expressions will have such effects, tiien the question may be raised as to why the poets’ intention are always moral. If it is firrtiier argued that only those intents that are moral should be expressed in poetry, then this is no longer saying the same thing as that poetry is fire spontaneous expression of one’s intent. In other words, the pragmatic and prescriptive doctrine that poetry should exert moral influence and the expressive and descriptive statement that poetry is the expression of the heart or mind simply cannot be reconciled without drastic modifications.^

In the light of the Western analytic approach to literature, Liu’s sharp comments are

187 188 admirable. He really understands the conflict between morality and individualism,

which is a central issue in the history of Western literary criticism. However, in the

case of Chinese literary thought, the two opposite sides do find a compromise

“without drastic modifications.” If morality stands for a collective effort to keep society and the social structure stable and working, then individualism in Chinese culture, especially in Confucianism, means how to make an individual adhere to this kind of morality. A poet’s spontaneous expression is not something completely free of limitations and regulations, including morality. We might describes it as a kind of freedom after mastering all the regulations. Confucius’ saying “Do what I want at will but without violating the regulations” ^ indicates this relation between individual fi-eedom and social morality and other regulations. Only when one understands and follows all the regulations, and transmits them into his own thought, one can play at will. In other words, it is not that the Chinese fail to see the conflict between the individual and society, but unlike in the West, they strive for harmony between them. This is one characteristic of Chinese culture and literary thought as well, and also a striking difference between W ester.... ,d Chines; cultures.

The difference between Western and Chinese cultures also indicates different perspectives or orientations. For sure, every culture’s literature has its own function(s). In Abrams’ diagram, the various orientations illustrate various criteria towards the functions of literature. The imitative theory wants literature to function as a mirror to reflect the world. The expressive theory advocates that poetry express individual’s emotions and feelings, and judges it accordingly. The objective theory 189 regards a literary work as an independent artifact, then it deprives the author and

society from its view. The pragmatic theory defines literature as a tool to entertain

and teach people, and judges a work on how well it realizes the goal. Since they are

from different perspectives, these theories are in conflict with one another. Chinese

literary thought, especially that in Wenxin diaolong, however, views literature from a

different perspective, the perspective of wenxin, therefore we should not take

Western standards to judge Chinese thought. Yan Kunyang points out that:

If we examine Wenxin diaolong from the Western logical, close and systematic

viewpoint, we will find that Liu Xie’s theory is frill of contradictions, as James Liu

does in his criticism of ‘The Major Preface to the Book o f Songs ” and Wenxin

diaolong. In dealing with the Chinese cultural tradition that is characteristic of

dialect and harmony, we should not use Western standards to judge the Chinese

thought.'* The perspective of wenxin consists of three orders, namely, the

cosmological, the social, and the aesthetic. Liu Xie uses the polysemy of the words in

this compound to synthesize the three meanings of wenxin into an integrated whole.

In the light of this tripartite perspective of wenxin, the functions of literature are not

like that in the West, where literature is often viewed as an object to be examined, but are closely connected with the xin. Literature cannot be disconnected from the xin, which is why I have entitled the chapter “The Functions of Wenxin,” not merely of literature. Since wenxin is located in the center of Wai-lim Yip’s diagram and radiates to the various orientations, we have to view the functions of wenxin not only 190 in terms of the relationship between the work and the reader, but also the

relationship among the universe, the author, the work and the reader in total.

When talking about the functions of the Book o f Songs in particular, and

poetry in general, Confucius makes a statement: “Poetry can be used to inspire, to

observe, to make you socialize, to express grievances.”

These four flinctions of poetry relate to the various orientations

in Abrams’ diagram. ‘To inspire” refers to the orientation of the reader, while “to

observe” to that of the universe and society. “To make you socialize” relates to the

aspect of both the reader and the author, and “to express grievances” to the author

and the reader as well. Moreover, the four functions are closely connected and cannot be separated, as Wang Fuzhi (1619-1692) points out; we cannot “draw lines among them and dig them out independently.” Generally speaking, the Confucian statement can be regarded as related to Liu Xie’s theory of the functions of wenxin. However, Liu Xie’s theory is obviously more systematic than the Confucian one in terms of literary thought Originating from his synthetic perspective of wenxin, Liu Xie mainly discusses the following three main functions, corresponding to the three orders of wenxin, respectively. These functions can be named: (1) to serve and observe; (2) to educate; and (3) to savor or have flavor {wei

^ ) . Since the ftree orders caimot be separated and since the nature of writing and its fimctions cannot be disconnected, when we talk about the functions of wenxin we have to relate them to the three orders as a whole and have to see writing and reading as two phases in a process. That is Miy one passage in Chinese works of literary 191 criticism often includes all these aspects. For the convenience of discussion,

however, I will illustrate these functions one by one, while attempting to reveal their

relations. In the process I will unavoidably repeat some issues concerning wenxin

that I have discussed in the previous chapters, but I shall try to reduce duplication to a

minimum.

The first important function of wenxin is to serve Heaven and the spirits, and to observe society. On the surface, it seems that the two sides-Heaven and society- are difficult to put together. In the tradition of “unity of Heaven and Man”

—-, however, they cannot be treated separately. We should note that the spirits here mostly refer to ancestors who passed away and are still blessing their families and their country. They are different fi-om God, in Western culture, who creates the world. Following the tradition, Liu Xie writes at the end of Chapter “Ming shi”

(An Exegesis of Poetry):

People are bom with feelings. With instincts to hum and sing. The stream of poetry took its rise during the time of ancient emperors. And forks of it appear in the two “Nan” [of the Book o f Sb«g^]. Poetry is in harmony with both the spirit and reason. And develops in accord with historical circumstances. Glorious and rich. It is universally appreciated in all time.

RAM*,

a » # # .

Not only do we see the nature of poetry (poetry expresses intent) indicated in the above short passage, but also the spirit and the reason are combined together and it is 192 impossible to dissect them. As for the function of serving Heaven and the spirit, Liu

Xie writes: “The Images (xiang) of the Book o f Changes were first to bring to light

spiritual presence {shenming. “spirit-brightness”) that lie concealed.” # # # # ,

In other words, the hmction of the Book o f Changes, a Confucian

Classic and model for writing, is to manifest spiritual presence. In the Chapter “Song

zan” (Ode and Pronouncement), a passage further explains this function: Song

means to describe a spectacle; its function is to praise great virtue and describe the

performance of rites honoring it.... Song is that which is used in ceremonies before.

and prayers to, the spirits.” ^ o . . . #

That is to say, one function of writing, like the Song section of the

Book o fSongs, is to communicate with spirits. In the Chapter “Zhu meng”

(Sacrificial Prayer and Oath of Agreement), this function is stated more clearly; “The position of heaven and earth having been fixed, sacrifice is offered to all the deities..

.. The fiagrance of great sacrifice arises from one’s enlightened virtue, and the words of faith offered by the sacrificial officials must be of literary excellence.” 5 ^ % ^ e . a # # . ... u m a ,

When the sacrificial official prays to spirits and deities in a ceremony, he has to rely on writing as an expression of his faith. Liu Xie’s statements about the function sound like a superstition from today’s point of view, but it is a very important aspect of the functions of wenxin, for wenxin is that “words with pattern indeed express the mind of Heaven and Earth!” ‘ ’ The reason to regard “the

Classics as literary sources” is that they are “an expression of the absolute or 193 constant Dao or principle,” and they can “faithfully reflect Heaven

and Earth, spirits and gods.” Writing thus can play the role of

communicating with spirits.

This opinion is not an invention of Liu Xie but a heritage of the Chinese

tradition. In the Shang shu, “Yu dian” a canonical passage reads;

“Poetry expresses intent... The eight musical instruments keep harmony without

being in disorder, [thus] spirits and man communicate harmoniously.” ftW ifeo • ■ •

“The Major Preface to the of

Songs ” follows the above doctrine while discussing the functions of poetry:

“Nothing rights what is wrong, nothing moves Heaven and Earth, nothing touches the

gods and the spirits as much as poetry can.” 0 ..^

the same tradition Liu Xie writes about Song. “As for ‘ceremonial songs,’

they are a glorification of the manifestation of great virtue, they are also an account to

the gods of triumphs won.”

That is to say, one function ofSong is to communicate with the gods. Zhong

Rong shares Liu Xie’s opinion concerning this function of poetry: “As an

illumination of Heaven, Earth and Man, a beautification of All Things, as a means

whereby the gods are properly honoured, and the spirits of darkness make their

gloomy destmies clear. Poetry outstrips all [human endeavours]: for it moves Heaven

and Earth, and affects the gods and spirits. mm, mm., am #. ne tradition is so strong that similar statements are made in almost all later dynasties. Liu Mian 194 of the Tang Dynasty, for example, praises Yang Zhongchen’s = ^ 4 * ^ opinion

on literature, for it “can recover the teachings of the Sages and see the mind of

Heaven and Earth: it is very good.”

Xu Zhenqing of the Ming Dynasty says: “Investigating Heaven and Earth,

moving gods and spirits, propagating the education of poetry, and comprehending the

customs are the general [functions] of ancient poetry.”

In the Qing Dynasty, Liu Xizai

repeats the same idea: “Understanding the secrets of Heaven, Earth, gods and spirits

is close to the essence of the Song.” All these sayings

echo those from the Book o fHistory to the “Great Prefece to the Book o f Songs” and

to Liu Xie’s Wenxin diaolong.

Now let us shift the discussion firom the function serving Heaven and spirits to that of observing society. The two functions are closely related because Chinese cosmology sees Heaven, Earth and Man as a tripartite unit. Thus when ancient

Chinese talk about Heaven and Earth, they cannot avoid the issue of society. The function of “observing,” gwan in Confucian terms, has been variously interpreted as “observe the rise and decline of moral customs,” “observe the successes and failures [of government],” “observe people’s feelings,”

“observe the myriad things in the universe,” As James

Liu says, it is difficult “to ascertain which meaning Confucius intended, but in the light of Confucius’ general interests and his other remarks on poetry, it seems likely that he is referring to poetry as a practical aid to one’s observation”^'* That poetry or 195 literature can be used as an aid to observation is because it emerges from the xin

(mind/heart). Liu Xie states the function of Yuefu (musical poetry):

Ordinary men and women express their feelings in local folk songs; these songs were gathered by official poetry collectors and set to music by music masters. These feelings set silk strings and bamboo reeds vibrating while the living spirit informed the brasses and stone bells. Because of this bond between music and meaning Master Kuang could predict success and failure by testing the wind; and Jizha could detect symptoms of a state’s rise and fall in musical subtleties which he recognized.

EE*K», A w m #

The story of Jizha’s observation of music is recorded in the Zuo Zhuan. Jizha, a prince of Wu, came to the state of Lu ^ and listened to the music there. He was able, through listening to the music of different dynasties and states, to make judgments on a state’s rise and fall.^® This idea is in accord with statements in the

Yueji 1 ^ ^ (Record of Music):

All tones (yin) that arise are generated from the human mind (xin). The affections (qing) are moved within and take on form in sound. When these sounds have patterning (wen), they are called “tones.” The tones of a well-managed age are at rest and happy: its government is balanced (he). The tones of an age of turmoil are bitter and full of anger its government is perverse. The tones of a ruined state are filled with lament and brooding: its people are in difficulty. The way of sounds and tones (shengyin) communicates (tong) with [the quality] of governance.

The above statement is copied exactly in the “Major Preface to the Book o f Songs.’’

It is followed by an elaboration “When the royal Way declined rites and moral 196 principles (yi) were abandoned; the power of government to teach failed; the

government of the states changed; the customs of the family were altered. And at

this point the mutated (dian)feng and the mutatedwere written.” »

^ 0 . 0 * What is clear here

is how strong the belief in the connection between music/literature and government is

in Chinese culture. Grounded in similar assumptions, Liu Xie writes of the function

of poetry in the following terms;

During the dark years of King You (781-771 B.C.) and King Li (879- 842 B.C.) the poem “Ban” and “Dang” express the anger of the people. As King Ping (770-720 B.C.) suffered a period of decline, we have the poem “Shuli,” Wiich expresses sadness [over the desolation of the old capital]. From these we know that folk songs and their contents change with the changing times and, when the wind moves on the surface, waves are whipped up down below.

9mm, Mwm, aii»±. ^ The poems “Ban” and “Dang” in the “Daya” section of Book o f Songs complain about the misery under the rule of King Li, while the poem “Shuli” in the section of

“Wang feng” reflects the people’s sadness, a mirror to public opinions. Another examples from die same source are also given by Liu Xie:

In ‘A love of music without indulgence in excesses” lies the reason why the customs of the state of Jin were praised; while ‘[The gallant and the girl,] they are going to sport together’ spelled the downfall of the state of Zheng. Therefore we know that when Jizha made his judgments, he was listening to the language of the songs, not merely the music. ‘w m m ” , , m mm 197 This principle is applied not only to the Book o f Songs, but also to the writings of

later times. The Jian’an (196-220) period is famous for a literature expressive of

feelings and life. The reason, according to Liu Xie, lies in the times in which its

poets lived:

An examination of their writings reveals that most of them are full of feeling. This is because they lived in a world marked by disorder and separation, and at a time when morals declined and the people were complaining, they felt all this deeply in their hearts, and this feeling was expressed in a style which is moving. For this reason their works are full of feeling and life.

mm*, ^ This statement reminds us of Hippolyte Taine’s famous determinist theory of the shaping of national literature: “Three different sources contribute to produce this elementary moral state-the race, the surroundings, and the epoch.”^^ By the surroundings, he refers to the following elements such as that nature and his fellow men surrounding the poet, accidental and secondary tendencies, physical or social circumstances disturbing or confirming the character committed to their charge, and the climate. As for epoch, he defines it as the “historical currents” in which “there is the work which they have already produced together, and this work itself contributes to produce that which follows. Beside the permanent impulse and the given surroundings, there is the acquired momentum.”^^ Taine’s opinion is very close to Liu Xie’s in terms of the outer influence on literature. However, besides noticing the striking similarities between Liu Xie and Taine in this respect, I would like to point out their differences. First, they are based on different modes of 198 thinking: Taine is obviously more scientific; that is, he treats literature and human

beings as objects and examines them firom various perspectives, while Liu Xie

sounds more historical. In other words, history, including the tradition to combine

Heaven and Man, in which the theory of wenxin is formed, plays a more important

role in Liu’s theory forming. The second difference is that Liu Xie emphasizes more

the important influence of the political situation on literature than Taine does. And

third, Liu Xie does not mention “race” at all, while Taine regards it as a number one

element. Moreover, Liu’s method of “observing” is also different firom Taine’s

“reflecting.”

After Liu Xie, many critics continue to uphold the view that literature can be used to observe the times. To give but one example, Liu Mian writes:

The ancients displayed their poems to observe the manners/situation/wind (feng) of people: ihefeng of a gentleman is benevolent and righteous, while the feng of a mean person is treacherous and cunning. The feng is generated firom pattern (wen), while pattern firom the substance. This is the nature of Heaven and Earth Therefore by observing the intent we know the situation (feng) of a state.

m ^ Z R , / J 'A i M , »

We can find a good number of such statements in the history of Chinese literary thought, which can be said to be a characteristic of Chinese culture. If we do not understand its importance and significance, we will fail to understand Chinese culture. 199 The function of wenxin is not only to observe, but also to educate, called in

the Chinese tradition of shijiao (education by means of poetry). Liu Xie’s

opinion poetry’s educate function is also based in his theory of wenxin. Whenever he

talks about literature, and music as well, he always emphasizes their connection with

the xin:

Music is originally related to one’s moral nature. Its influence penetrates one’s very fibres and marrow. Therefore, our early kings took great pains to check excesses in this realm. The education of noble sons included a requirement that they practice the singing of the nine virtues. Therefore they were able to respond emotionally to the seven beginnings, and their moral influence was capable of changing “eight winds” [the empire]. *2*#. « se . mm • ? , m u m . ^

The nature of literature and its functions cannot be separated. Or to put another way, the reason that wenxin has such a function lies in the fact that literature comes fi-om the xin, and in turn, it has a great influence on the reader. It thus can educate people.

Liu Xie’s idea again derives fi-om Chinese tradition. In the “Major Preface to the

Book o fSongs,” a passage reads:

Ouanju is the virtue {de) of the Queen Consort and the beginning of the Feng. It is the means by which the world is influenced and by which the relations between husband and wife are made correct {zheng). Thus it is used in smaller communities, and it is used in larger states. “Airs” means to “influence”, to “teach.” By influencing it stirs them; by teaching it transforms them. “MW” > aiJfrtfe. frWaRTffiîE* »*. m, m&, a*> m m . “ 200 Since poetry has such a function, the “Great Preface” continues: “The former kings

could use it to manage the relation between husbands and wives, perfect the respect

due to parents and superiors, give depth to human relations, beautifully teach and

transform the people, and change local customs.”

So poetry can be used to effect the most important

aspects of Chinese life. That poetry occupies such a lofly position in Chinese culture

is based on the recognition of those functions. That Confucian Classics are important

to Chinese culture because they similarly make this effect perfectly, as Liu Xie points

out in the chapter “Zong jing”

The permanent instruction regarding the Three Ultimates: The depth of this Way comes form stu(fy of the ancient. The transformation accomplished is unitary. But their teaching is divided into Five [Classics]. Which are the formative craftsmen of the [human] spirit. And the mysterious treasure house of literary works. Deep indeed, and gleaming! These are the ancestors of all words.

g-fctt-, smmE, tMMM,

Among the functions of the “ancestors of all words,” one is “to praise and criticize.”

Liu Xie sets up Confucius' work Chunqiu (The Spring and Autumn

Annals) as a model for this function:

The Master [Confucius], grieving for the disappearance of the kingly way and the fall of orthodox principle, was smitten with sadness,... So he retired to the place of the Great Master of Music for advice to rectify the trends of music and bring them back to theya and the song, and he edited Chunqiu, on the basis of the history of Lu. In this work, he dealt with successes and failures in history to illustrate his approval and disapproval [of various facets of the contemporary 201 scene], and exposed the factors governing the destmies of states to show what should be encouraged and what warned against One word of praise from him was worth more than the carriage and ofBcial cap of high government position; and one word of censure cut deeper than hatchet and halberd.

m t x z m , ... , g # * w » a . a fù K f» * î mmrn. nm

One feature of Confucius’ work is called “we/yon d a y V (profound

meaning in subtle words) by ^diich Confucius praises the good and criticizes the bad

His woric is so powerful that “it is the final book of judgment on what is good and

what is evil./ In it the good is honored and the evil censured/ An act which stirs the

soul of aU t o e s - I t t B r S , This

paragraph can be regarded as offering the highest praise for the power of language

and literature, for they can teach people of all times by stmring their souls. The

reason that literature, including poetry, has this power lies in its nature. Kong Yingda

of the Tang interprets the term “sAf’ ^ (poetry) as follows:

There are three meanings of shr. to bear (receive); to have (express) intention; and to hold The poet “bear” (he effects of their sovereign’s government, write poetry to express his own “intentions,” and to “maintain” (i.e. hold) man’s proper behavior, and make him not lose his accompanies. Therefore one name has three meanings. ##=#1, mm. îfe-tË,m.. ma «

If the first meaning of shi can be defined as recognition, the second as expression, and the third as didacticism, in Western terms, Kong Yingda combines the expressive and pragmatic theories into one by playing the polysemy of a Chinese word. From 202 the synthetic perspective of wenxin, the conflict between the individual and collective

morality dissolves. The writer should follow the model of the Sages, whose works

“delineated the radiance of Heaven and Earth, and opened up the eyes and ears of all

the people.” @ This statement again connects

the cosmological order with the social order, and underlines the educational function

of wenxin.

Since Chinese culture pays such high respect to writing and since it assigns

writing an educational duty, and most importantly, since Chinese culture does not

emphasize life-after-death as much as in the West, writing has another function, that

is, literature as the route to reputation for the surviving family lineage-not just of self-hut of family. The lineage also helps to keep his name alive, that is, to become immortal. This function is closely related to, and a by-product of, the educational function. Cao Pi has an influential passage concerning this issue;

Literature is no less noble an activity than the governing of a state; it is also a w^y to immortality. The years pass and one’s life runs out its natural course. Honours and pleasures cease to be with one’s botfy. Against these inexorable facts, Hterature lives on to eternity. Ancient authors who chose the brush and ink as an abode for their being and expressed themselves on tablets for writing had their names and reputations perpetuated, and they would have done so even without the help that their positions in their life time might have leant them.

w c M , V R z m . # # * # # #m , j t w » . A m z mzm,f # # , ^ ^ # 6 * Seeking immortality is exactly the motivation for Liu Xie to write his Wenxin diaolong. Liu Xie writes: 203 The universe goes on and on forever; and among the multitudes, worthy men have been many and various. To rise above the crowd and emerge from the [common] categories can occur only through wisdom and skill. Yet the years and months fleet past, and the soul (xingling) does not stay here permanently. The ordy way to make one’s reputation soar and one’s accomplishments take flight is by [literary] composition. This is in man’s outward appearance a likeness to Heaven and Earth, and his nature (xing) is endowed with the five materials; we may compare his eyes to the sun and the moon; we may liken his sound and breath to the wind and thunder. The way he passes beyond all the things of the world is truly the force of spirit (ling). His form (xing) shares the frailty of the trees and plants, yet his name is more firm than metal or stone. Thus a superior person (junzi) lives in his own age, founding his virtue (de) and establishing words.

m u m m , « w b . mjt, Mmua, * ap B#A. m m t . “

This long passage reveals the Chinese outlook toward life and death, and is a key to understanding the idea of seeking eternity as one goal of writing in Chinese culture.

Different from the belief that God creates the world, the Chinese regard the evolution of the world as a natural process, as I discussed in Chapter Two. Man, on the one hand, is a part of nature, sharing basic features with the plants and animals. His body is as fiagile as trees and plants. On the other hand, man is “endowed with the divine spark of consciousness (xingling),” and “is the flower (xiu) of the elements: in fact, the mind (xin) of Heaven and Earth.”

However, life is limited and sensual pleasures in life cease when a person dies.

How to become immortal? The ancient Chinese hold that there are three thin^ that do not decay (san bu xiu “establish oneself by virtue” (li de

“establish oneself by deeds” (ligong and “establish oneself by words” (liyan 204 ^ g ). The last sentence in the quotation of Liu Xie above, “founding his virtue

{dé) and establishing words” refers to the three routes to immortality. Because of the

requirement of parallel prose, which usually consists of four or six characters in a

sentence, Liu Xie uses the four characters phrase “establishing virtue and words” as

an abbreviation for this famous saying.

As for the three routes to immortality, we have to note that they form, in the

Chinese ideal, a triad that should not be separated. Among them, virtue is most

important and crucial. Confucius says: “Those who have virtues must have words,

but those who have words do not necessarily have virtues.” ^

Following the Confucian tradition, Liu Xie comments that

scholars’ value should “consist both in their practical ability and in the beautiful

patterns in which that ability/ is expressed.” Liu Xie’s ideal is

that, a scholar, or literary man’s “purpose in writing must be to conduct affairs of

state; and when he is asked to shoulder heavy responsibilities, he must be as

dependable as a pillar or a beam.” Thus he requires the literary to also participate in governing: “How then can it be explained when a man who has made achievements in literature yet knows nothing about government?” His ideal is again expressed as follows:

Observe the writers of the past: Some have achieved perfection in both literary quality and moral virtue! Their fame rings out in Chu in the South, And the literary excellence shakes Liang in the North. 205 If a writer has no capacity for practical affairs then, despite his laborious carving. What good will his excellence be to people? Literature should not only be an ornament for its creator. But should serve also to glorify the state.

......

m m m , 53

In other words, a noble man should play three roles or functions together: a virtuous

person, an official and a literary man, corresponding to the three routes to

immortality: establishing virtue, deeds and words.^ Again, the three aspects are in

accord with the three orders in wenxin. a virtuous man who understands Daoxin, an

official who benefits the state, and a literary man who writes excellent works.

It is clear that in Liu Xie’s system, there is no room for the theory “art for

art’s sake.” He criticizes the trend that “loves the flowers and discards the fruits.”

Here both flowers and fruits are metaphors, meaning the beautiful

writing and practical ability, respectively. In other words, a literary man should not purely seek fame through literature and ignore his other two responsibilities. That is

why Yang Xiong (53 B.C.-A.D. 18) calls writing a literary work without the above functions such as the_/w ^ “carving insects 0 A " and abandons doing it.^^

And Wang Chong (27-97? ) says: “How could a literary man’s writing be only to make ink and play with his brush for sake of observing beauty!”

a # # # # # # , CaoZhi # # also holds this opinion: 206 I might well be a person of limited virtues, and only have a position of feudal marquis, but I do cherish hopes of being given the opportunity to serve the state, to benefit the commoners, to lead a career that posterity will remember as worthy of inscription on metal or stone. How can I be content with achievements only in brush and' ink, or regard myself as a princely person for my rhyme-prose? t t i i , stëmssiâm, m . a ? *

It is important to note that he does not deny the importance of writing itself but merely dislikes taking it as one’s only achievement. Only if literature fulfills these tasks, can it be useful.

It is interesting to compare Plato’s opinion of the poet with that of Liu Xie.

As is well known, Plato wants to expel the poet from his Republic, for the poet has two faults. One is that the poet cannot reflect the truth. He is just an imitator, imitating the work of a practical person such as a carpenter, who makes things that are imitations of things existing in nature, made by God. The other is that the poet stirs evil emotions, which is harm to the citizens in his Republic. Obviously,

Plato’s idea of the functions of literature is similar to Liu Xie’s. That is, literature should teach people to realize the truth and cultivate them morally, though truth in

Liu Xie is called Dao, while in Plato, God. However, the differences between them are more significant. First, literature for Plato becomes an unnecessaiy craft, being harmful to the people, while in Liu Xie, literature is very useful and essential, having the function of making a person immortal. Second, Plato regards the poet as merely an imitator of a maker, and assigns the task of educating the people to philosophers. 207 while Liu Xie combines the educator, official and poet into one. These again reflect

the basic differences between the two perspectives; analytic and synthetic, besides

different views of the nature of literature.

Although Liu Xie emphasizes the educational function of wenxin, he does

not ignore its function at the level of the aesthetic order. In Wenxin diaolong, Liu Xie

discusses this function in various ways, such as stimulating people, arousing their

emotions and feelings with the beauty of colors and sounds in images. However, in

the light of comparative poetics, I would like to focus on one aspect of wenxin's

functions here, that is, the concept and function of wei ^ (taste, flavor or savor).

''Wei” appears in Liu Xie’s Wenxin diaolong many times and is a central to

the function of wenxin. For example, in the Chapter “Lici” (Linguistic

Parallelism), Liu summarizes the function of parallelism as follows by using the term

wei: “A body requires its limbs to be in pairs;/ A phrase, once forged, must have its

counterpart./ With the left hand one lifts; and one holds with the right/ To attain both

the essence and the flavor {wei}. ” o >

We should note two things here: (1) the use of nature to illustrate the

function of literature reflect his synthetic perspective of wenxin, and is not merely metaphoric; (2) the connection of flavor with essence illustrates his theory that wen

and xin cannot be separated. In the Chapter “Wuse” (Physical Phenomena),

“we/” appears, too; “Though the physical phenomena are lush and dense, their exposition in language demands succinct. This will make the flavor as if floating and rising above the world; it will make the circumstances {qing) luminous and always 208 renewed"

Flavor is used here to describe the effect and function of a terse but to the point

literary expression. In the Chapter “Shenglu” # # (Musicality), a sentence reads;

“Literary flavor flows into the words and lines.” On the other

hand, if a literary work is boring and lacking strong emotion, Liu Xie calls it “Dense

coloration that lacks feeling/ Will always cloy when we savor {wei) it.” »

Wei here stands for the criteria of judging a literary work by its effect.

Moreover, in the Chapter “Zongshu” 30% (General Technique), he describes the

result of writing by using “we/”: “If knowing the odds, [the poet] encounters the

occasion, and the accession joins with his sense of craft, then significance and flavor

(yiwei) will leap out, language (ci) and qi will come to him in abundance.”

39, ÜflÉËo From the above usage of the term wei, we can see that it refers to an effect, function or result, with regard to various aspects of writing, such as sound, words, and lines, and even the process of writing itself, as indicated in the last example. Also we can see that flavor is always closely related to the feelings of the writer.

Liu Xie is not the first nor the last to use “wei” to describe the function or effect of literature. Before him. Lu Ji used it in his “Wenfu”: “Suppose you have a chaste inference and graceful restraint/ Always cutting away complexity, getting rid of excess:/ It will lack that “flavor omitted” of the ceremonial broth;/ It will be the same as the chaste reverberations of a temple zither.” »

The-nawromitted-k 209 an allusion referring to LiJi, “Yue ji” in which a passage reads: the

ceremonial broth “has flavor omitted.”^ Zhong Rong # 1 ^ is famous for his

comment on the term flavor: “Verse in five-character lines is the most important

mode of literary expression. It is also the mode that promises the most of flavor.”

The significance of his

comment lies in his use of wei in discussion of poetry rather than, in my opinion,

advocating the five-character verse. Later scholars even name “Theory of Flavor”

after his comment.^® However, if we assume that Liu Xie’s Wenxin diaolong was written earlier than Zhong’s Shipin, we should offer the honor to Liu, or at least, to share with Zhong. Since Liu Xie, the term wei in Chinese literary thought has been frequently used. For instance, Sikong Tu says that “In my opinion we can adequately speak of poetry only in terms of making distinctions in flavor (wei) ” g Liu Xizai writes: “As for lyric (ci, a poetic genre) plain words should have flavors.” M

All of them refer to the effect or function of poetry.

That Liu Xie and other Chinese love to employ we; to describe the effect of poetry marks another difference from Western literary criticism which puts taste/flavor in a low position in the hierarchical system of senses: “from sight to sound to touch to taste and to smell,” as Eugene Eoyang points out in an article talking about the importance of flavor in Chinese literary criticism.^' According to

Eoyang, in Western literary criticism, flavor is not used as much as others senses such as sight and sound, while in the Chinese counterpart, flavor is a main criterion to 210 judge, and an entrance to enjoy, a literary work. In the Western view, sight seems

more reliable and objective, while taste seems too subjective and impressionistic.

Sight can more easily be employed in analysis, while taste leads itself to intuiti ve

understanding, “without discursive reasoning, and without the written or spoken

word.”^^ These differences originate from a basic difference of perspective and

method of thinking. In China, the theory is more inclined to a synthetic approach, by

which taste/flavor is emphasized, while in the West, analytic method of thinking is

favored, therefore sight plays more important role than taste in the Western culture.

In the above, we discussed the three main functions of wenxin in Chinese

culture. Although I have discussed them individually, in essence, they represent

various aspects cî wenxin and could not be separated. A tasty work must have a solid content, which can be used to understand Dao and to teach people. On the other hand, an author with a lofty intent to educate people, but without talent and lacking diligence will produce works lacking of flavor and quality, for as such it cannot appropriately demonstrate the author’s xin, according to Liu Xie’s perspective of wenxin.

When talking about the “Major Preface to the Book ofSongs,^' James Liu comments that

after expressing the deterministic concept in the sentence beginning ‘The music of a well-governed world.. ‘ he [the author of Preface] shifts to the pragmatic in the last section of the passage, ‘Therefore, nothing approaches __ ’In spite of the ingenuous (or perhaps ingenious) use of “therefore,” no logical explanation is given as to how and why such expression will fulfill moral, social, and political purposes. To accept ftiis passage as a whole, one would have to assume that there are no human emotions other than those induced by 211 political conditions and that all emotions thus induced are necessarily moral and conducive to better political conditions.

It is not an issue of lacking a logical explanation but rather an issue of perspectives.

In viewing Chinese literary thought jfrom an analytic point of view, say, from

Abrams’ analytic framework, we will necessarily see the conflicts, contradictions and inconsistencies. However, in viewing it from a synthetic and point of view, these conflicts can be harmonized. Heaven and Man are one, substance and decoration are matched perfectly, ontology and its functions are connected, and spontaneous self- expression does not violate morality. What is the vital force to connect, to cooperate, or mediate, the two sides into a coexistent, harmonious and inseparable whole? It is the wenxin in Liu Xie’s Wenxin diaolong}. 212 NOTES;

' James Liu, Chinese Theories o f Literature (Chicago: The University of Chicago Press, 1975), 126. Chinese text of Liu Xie’s Wenxin diaolong, see Zhou Zhenfu Wenxin diaolong Jin yi (Beijing: Zhonghua shuju, 1986),

# # # # . "

"Liu, ibid.

^ Confucius, Lim yu, "Weizheng” # # # . ed. by Liu Baonan #!)% #, Zhuziin Jicheng^^f^^(Shanghai: Shanghai shudian, reprint, 1986), 1:23.

^Yan Kunyang “Lun Wenxin diaolong ‘bianzheng xing de wenti guannian jiagou” , in Wenxin diaolong zonglun ed. Zhongguo gudian wenxue yanjiuhui (Taibei: Taiwan xuesheng shuju, 1988), 76.

^Liu, 109. Confucius, Zmyw, “Yanghuo” inZhuzijicheng, 1: 374.

^ Wang Fuzhi Chuanshanyishu, “Shi yi” cited in Li Zehou and Liu Gangji Zhongguo meixue shi (Beijing: Zhongguo shehui kexue chubanshe, 1984), 1; 133.

^ Vincent Yu-chung Shih, trans.. The Literary Mind And The Carving ofDragons (Hong Kong: The Chinese University Press, 1983), 73-75. Zhou, 63.

* Stephen Owen, Rea. in Chinese Literary Thought (Cambridge: Harvard University Press, 1992), 190-91. Zhou, 11.

^ Shih, 99. Zhou, 83.

‘^Shih, 107. Zhou, 91.

Shih, 15.1 changed “the universe” into “Heaven and Earth.” Zhou, 11.

12 Shih, 31. Zhou, 26.

Shang s^ , “Yu dian” inShi san jing zhushu ed. Ruan Yuan (Taibei: Qiming shuju, reprint, 1959), 1:19. According to Y/mve« Shangshu this passage should belong to “Yao dian” See Guo Shaoyu and Wang Wensheng ed. Zhongguo lidai wenlun xuan (Shanghai: Shanghai guji chubanshe, 1979), 1:2. 213 Siu-kit Wong, ed and trans.. Early Chinese Literary Criticism (Hongkong; Joint Publishing Co., 1983), 2. Guo, 1; 63.

Wong, 3. Guo, 1:63.

'^Wong, 89. Guo, 1:308.

” Liu Mian "Da YangZhongchen lun wen shu cited in Zhongguo wenxue piping ziliao hui bian: Sut Tang Wudai » cd. Luo Liantian. (Taibei: Chengwen chubanshe, 1978), 131.

Xu Zhenqing Tanyi lu in Lidai shihua ed He Wenhuan (Taibei: Yiwen yinshuguan, 1974), 491.

Liu Xizai TigaU “ Shi gai” in Liu Xizai lunyi Hu zhong ed. Xu Zhongyu and Xiao Huarong (Chengdu: Ba Shu shushe, 1990), 52.

James Liu, 110.

-’Ibid

^Ibid

^^Ibid

^Ibid.

^ Shih, 77. Zhou, 66.

See Zuo zhuan, “ Xanggong 29 nian” in Shi san jing zhushu, 4:304-5.

Owen, 51-2. LiJi, “Yue ji” inShisanjingzhushu, 3:299.

^^Owen, 47. “Mao shi xu” in Shi san Jingzhushu, 1:3.

^ Shih, 455. Zhou, 392.

^°Shih, 83. Zhou, 70.

Shih, 165. Zhou, 399. , , . 214 Hippolyte Taine, History o f English Literature, cited in Critical Theory Since Plato, ed. Hazard Adams (New York: Ifercourt Brace Jovanovich, Inc., 1971), 607.

Ibid., 608.

34 Ibid., 609.

^^Ibid.

Liu Mian, in Luo, 131.

^’Shih, 79. Zhou, 67.

^*Owen, 38. Guo, 1:63.

^^Owen, 44. Guo, 1:63.

'^Owen.201.Zhou,3L

Shih, 169. Zhou, 141.

‘^^Shih, 183. Zhou, 152.

43 Kong’s interpretation is attached to Zheng Xuan’s “Shi pu xu” üfM iÿ, in Mao shi zheng yi Shi san jingzhushu, 1:1. Also see Chow Tse-tsung, ed. Wen-lin: Studies in the Chinese Humanities (Madison: University of Wisconsin Press, 1968), 130.

'^Owen, 191. Zhou, 12.

Wong, 21. Guo, 1:159.

46 Owen, 293. Zhou, 444.

'^’Owen, 189. Zhou, 10.

Owen, 70. Zuo zhuan. “Xianggong 24 nian” Shi san jing zhushu, 4; 277.

‘‘^Confucius,Lzflîjyw, “Xian wen” inZhuzijicheng, 1:301.

^Shih, 513. Zhou, 436.

Shih, 519. 1 changed “will” into “must.” Zhou, 440-1. 215

Shih, 517. Zhou, 439.

Shih, 519. As for the sentences 3 and 4, Shih separates them into two groups of writers by translating them into “some” and “others.” I changed his translation into the present one, according to Zhou’s interpretation. See Zhou, 441.

See Adele A. Rickett, "The Personality of the Chinese Critic," in 77re Personality of The Critic, ed. Joseph P. Strelka (University Park: The Pennsylvania State University Press, 1973), 112.

^'Shih, 513. Zhou, 436.

Yang Xiong Fayan, “ Wuzi” , cited in Guo, 1:91.

Wang Chong 3 £ ^ , Lun heng, “Yiwen” cited in Guo, 1:136.

^ Wong, 29-30. In the original text, the phrase should belong to the part before % (you, but/however). I made some changes. Cao Zhi W tÊ. “Yu Yang Dezu shu” cited in Guo, 1: 166.

Plato, Republic, in Adams, 19-41.

“ Shih, 375. Zhou, 318.

Owen, 284. Zhou, 412.

“ Shih, 355. I changed “next lines” into “words and lines,” according to Zhou. See Zhou, 300.

“ Owen,245. Zhou, 289.

“ Owen, 276. Zhou, 383.

“ Owen, 164. Guo, 1:174.

“ Z/'y/, “Yueji” ^ ^ . in Shi san Jing zhushu, 1:300.

“ Zhong Rong # # , Shipin “Xu” , cited in Guo, 1; 309.

“ See Luo Genze Zhongguo -wenxue piping shi (Shanghai: Gudian wenxue chubanshe, 1957), 1:245.

“ Owen, 351. Guo, 2:196. 216

"°Liu Xizai # # #Yi , gai, “Ciqu gai” # # . in Xu, 116.

Eugene Eoyang, “Beyond Visual and Aural Criteria; The Importance of Flavor in Chinese Literary Criticism,” Critical Inquiry (Autumn, 1979): 99.

^Ibid., 105.

James Liu, 119. CONCLUSION

Based on the research of Liu Xie’s tripartite perspective of wenxin, I

suggest that the current name “Longxue” (Study of Dragons) be changed to

"Wenxinxue" (Study of Wenxin) as Ma Bai M S did in his article. ’

The title Wenxin diaolong contains two compounds: wenxin and diaolong

(the carving of dragons), between which, wenxin is more important, for it stands for the theoretical system, while diaolong is subject to, and serves wenxin by dealing with technical issues under its guidance. In Chinese history, the two shortened forms of the title Wenxin diaolong coexist: one is Wenxin and the other is Diaolong. There is, however, a slight difference in nuance when people choose one from the other. Those who have focused on the theoretical significance of the book have usually adopted the name Wenxin, including writers such as Lu

Zhaolin and Liu Zhiji of the Tang, Sun Mei MM of the Qing, and Lu Xun Those who have used Diaolong are often concerned with the technical aspect of the book. For example, Dong Sizhang 1ESt5S of the Ming

Dynasty quoted Liu’s statement about the genre “shuji” (epistolary writing) by using Diaolong as his source, and Liu Shipei discussed the relation between wen and bi Ç by referring to Diaolong? The study of Wenxin diaolong today has become a very active field: hundreds of scholars worldwide devote their

217 218

time to it and there is even an Association of Study of We?2xi?7 diaolong

When they refer to the study of Wenxin diaolong, however, most

scholars use the shortened term Longxue? My suggestion to change it to

Wenxinxue follows Confucius’ maxim of the “rectification of names” for

it is not merely an issue of terminology, but more importantly, concerns the future

of the study of Wenxin diaolong and classical Chinese literary criticism in

general.

First of all, the name Wenxinxue will attract more attention to the study of

the tripartite and synthetic perspective of wenxin, which has been neglected for so

long. This perspective consists of three meanings (orders); the cosmological, the

social, and the aesthetic, which cannot be separated and have to be understood as

a whole. This dissertation has only discussed Liu Xie’s perspective on wenxin,

not the whole system, leaving many important issues untouched. These include

Liu’s theory of genres, his views on historical development of literature, and his discussion of writing techniques.

Second, the change will promote the current study of Wenxin diaolong and lead it to a new level. The scholars in both Taiwan and Mainland China recognize that the study of Wenxin diaolong has reached a plateau.^ They are seeking new topics and approaches to the study of the text. This dissertation takes a synthetic approach stressing situating Liu Xie’s wenxin in Chinese tradition, and emphasizing its influence on later literary thought. Merely a beginm'ng, and I 219 hope this study will invite more research on the Wenxin diaolong and the relation between Liu’s wenxin and other works in classical Chinese literary criticism.

Moreover, if my hypothesis of the development of Chinese literary criticism were accepted, the history of classical Chinese literary criticism should be rewritten by tracing the origin of wenxin, affirming its establishment as a system by Liu Xie, and describing its later developments.

Third, the study of wenxin in this dissertation is an exercise in comparative poetics. By comparing Liu’s synthetic perspective of wenxin with

Western major theories, we reveal that the basic difference between Western and classical Chinese literary criticisms lies in different orientations and approaches.

Western theories are oriented on various poles in M. H. Abrams’ diagram, taking analytic approaches to studying literature; while classical Chinese literary criticism, especially Wenxin diaolong, connects wen (literature) tightly with xin /[j' (mind/heart), and takes a synthetic approach to literary study. It is from the tripartite and synthetic perspective that classical Chinese literary criticism invented a good number of unique terms and theories. Therefore, merely adopting any Western model to study them will lead to misunderstanding and misinterpretation. Only by placing them in their socio-cultural/historical context, can we understand their uniqueness and theoretical significance, and then introduce them to the world by comparison of Western theories and terms. I 220 hope my research on Liu Xie’s theory of wemin will help readers to gain insight into the understanding of a classical Chinese perspective toward literature. 221

NOTES;

' Ma Bai M È , “Jinnian lai Zhongguo Wenxin diaolongyan}\\x de xianzhuangji in “Wenxin diaolong" guoji xueshu yantaohui lunwenji ####### jC#, ed. Riben Jiuzhou daxue Zhongguo wenxuehui 0 @ (Taibei: Wen shi zhe chubanshe, 1992), 191-204. In which he constantly uses Wenxinxue^ instead of Longxue.

"LuZhaolin YoriyouzijL “Nanyanggongji xu” j f , cited in YangMingzhao Wenxin diaolong jiaozhu shiyi (Shanghai; Shanghai guji chubanshe, 1982), 432. Liu Zhiji Shi tong, “Zi xu” in Yang, 432. Sun Mei ^ 0 , Si liu conghua E9 in Yang, 438. Lu Xun # & , “Shilun tiji” in Yang, 453. Dong Sizhang Chuijingji in Yang, 672. Liu Shipei Zhongguo zhonggu wenxueshi jiangyi in Yang, 719.

^ For example, Mou Shijin’s article was entitled “‘Longxue’ qishinian gaiguan” in Wenxin diaolongyanjiu huicui ed. Rao Pengzi # ^ (Shanghai; Shanghai shudian, 1988), 17- 40.

Confucius, “Zilu” in Luyu zhengyi, ed. Liu Baonan ^!)%%, in Zhuzi jicheng (Shanghai; Shanghai shudian, reprint, 1986), 1; 280.

^Mou writes; “Wenxin diaolong consists of only 37,000 Chinese characters, but the number of Chinese characters published in works and articles of its research is 30,000,000 (1986), does the Longxue arrive at its end?” in Rao, 39. Wang Gengsheng also points out that the study of Wenxin diaolong in Taiwan is at a plateau after the period of the great development inl971-1980. See his ‘Tæwan ‘ Wenxin diaolong xue’ de yanjiu yu zhanwang” ^ ~ÎM-, in Rao, 54. BIBLIOGRAPHY

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