The Most Venerable Book (Shang Shu)

by Confucius

  What happened to the physical book and its recovery is a whole history in its own right and we will explore that later. It is a fascinating story of archaeological discovery and controversy. But that is not why this book is worth studying in and for itself. As we will see later, by AD 653 the text translated here was accepted as the genuine text for Confucian study and the Imperial Examination system.

  What exactly is the Shang Shu and why was it so important?

  For over thirteen hundred years (from the seventh to twentieth centuries), the Shang Shu was essential reading. Anyone aspiring to a role in the imperial bureaucracy of China had to spend their childhood and teenage years studying it, together with four other classics, The Book of Songs (Shi Jing); The Book of Rites (Li Jing); The Book of Changes (Yi Jing); and The Book of the Spring and Autumn Annals (Chun Qiu Jing). All of these had been written down, as well as being part of oral history for hundreds of years before the time of Confucius, but they were all once believed to have been edited by the great sage himself.

  Confucius, or, to give his proper Chinese name, Kong Fu Zi, lived from 550 to 479 BC. He was a teacher, bureaucrat and in a strange way a reformer who looked to the past for models of virtue. He highlighted figures, such as the Duke of Zhou, whom he felt had behaved in ways leading to correct action and proper rule, and it was upon them that he based a whole philosophy of moral behaviour.

  At the heart of his teachings (expounded especially in the collection of his sayings known as The Analects) is the concept of the junzi – the ideal nobleman or, to use a rather old-fashioned word, gentleman. This is a person of learning, of culture and of the highest moral principles, whose very existence acts as a counterbalance against corruption, greed, cruelty and abuse of power.

  Such a person would practise benevolence, would be virtuous, would observe all the appropriate rituals for venerating his ancestors and would be part of and maintain a system of hierarchy which Confucius believed derived from Heaven itself. This hierarchy placed the Emperor as the Son of Heaven below Heaven itself (and to some extent below the ancestors as well) and then power and authority flowed down from him through ministers to the male head of each family and on down to the lowest levels of society. This, for Confucius, was what is at times referred to in the Shang Shu as ‘The Way (Dao) of Heaven’. Women were always subservient to the dominant male in the structure, hence the traditional Confucian opposition to female rulers. This gender bias in his teachings has led him to be strongly criticized in the past hundred years or so.

  Confucius believed, based upon his reading of the ancient Chinese texts and especially the Shang Shu, that there had been such model people in the past. As we will see when we enter into the Book itself, his greatest model is the Duke of Zhou but others also served as models, such as Yu the Great, whose selfless service to the people in trying to protect them from the Great Flood of Chinese antiquity is honoured to this day. By stressing that junzi had existed and using texts such as the Shang Shu to ‘prove’ it, Confucius was saying quite explicitly that his ideas were not just nice ideas but could in fact be realized.

  It is no longer thought that he edited any of these texts. He certainly commented on them, and his thoughts were collated later into some of the mainstream commentaries which form a major part of the Confucian tradition.

  Whatever the truth of his participation, Confucius’s association with these Five Classics gave them a status which put them on to an almost biblical level of sacredness and transcendent significance. It gave them a status that made them central to the Imperial Examination system – itself a manifestation of Confucius’s idea of the junzi. Every student sitting for the examinations needed to know these books off by heart, and to be able to quote appropriately from them when necessary.

  This book in particular was treated as a handbook to government and law for thirteen hundred years, from the seventh century AD to the twentieth.

  It was the textbook of Confucian power and yet it is also a deeply subversive book – as we shall discover.

  To begin with, it is important to understand the traditional chronology of the book, which changes from section to section.

  The earliest chapters, one to nine, are stories from mythological times and the dates traditionally ascribed to them are simply ways of setting the events in some sort of order. There can be no exactness about quasi-mythological figures such as Yao, Shun and Yu. This is made clear in the very first line of the Book. Trying to produce a literal translation, it would be best translated as ‘It is said that if we investigate back into antiquity’, which I have translated as ‘Long, long ago’. It does not try to claim it is a document written at the time nor to say that the events happened at a precise time.

  Chapters ten to twenty-four are given traditional dates in order to establish a running order of rulers and events, but they are largely beyond verification. However, when we come to the remainder of the book (chapters twenty-five to fifty-eight), the Zhou invasion and conquest of the Shang, we are on firmer ground. The traditional dates have the fall of the Shang in 1122 BC. Today, whilst there are various alternatives, it is generally accepted that this fall probably took place around 1050 BC. Consequently all dates for the succeeding rulers of the Zhou change by about eighty years. For example, traditionally King Wu reigned from 1122 to 1115 BC as the first ruler of the Zhou dynasty. Modern research would place his reign as between 1046 and 1042 BC. King Cheng, his successor, traditionally reigned from 1115 to 1078 BC and is now thought to have ruled from 1042 to either 1020 or 1005. By the time we get to King Mu, who traditionally reigned from 1001 to 946 BC, it is now thought that he reigned from either 976 to 922 or from 956 to 917 BC. However, to be in accord with the traditional Confucian dates, I have in this book used the traditional (rather than later) dates for each reign.*

  The whole book is divided into four sections or Books, reflecting four traditional eras in Chinese history.

  The Book of Yu (sometimes called Shun)

  This is named after Shun, who is the last of the Five August Rulers of antiquity. It covers the period traditionally from 2357 to 2205 BC. These are chapters one to five.

  The Book of Xia

  The Xia dynasty is traditionally seen as China’s first dynasty. It begins with the foundation of the Xia by Yu the Great and ends with the overthrow of the last king, who is corrupt and evil. The traditional dates are from 2205 to 1766 BC. These are chapters six to nine.

  The Book of Shang

  This runs from the conquest of the Xia by Tang the Conqueror in 1766 BC to the fall of the Shang dynasty and the overthrow of evil King Zhou, traditionally ascribed to the year 1122 BC. These are chapters ten to twenty-six.

  The Book of Zhou

  This traditionally runs from the fall of the Shang in 1122 BC to the final documents which are traditionally dated to either the rule of King Ping (770 to 719 BC) or that of King Hsiang (651 to 618). Disagreement about which ruler these final texts (chapters fifty-six and fifty-eight) concerns has been continuous since around 100 BC! I have opted for the King Ping dates. These chapters are twenty-seven to fifty-eight.

  In introducing each section I have indicated which chapters are thought to be most authentic and which are considered to be later creations or rewrites.

  THE BOOK OF YU – 2357 to 2205 BC

  Chapters 1 to 5

  In chapters one to five (only chapter three is not considered to be genuine and ancient) we encounter many of the core themes of the Shang Shu. We also meet three of the greatest semi-mythological rulers of ancient China. They are semi-mythological because there probably were rulers who, in keeping with shamanic practice, combined the roles of both priest and king (see chapter five). They were known as Yao, Shun and Yu the Great. Shamanism and ancestor worship were the two main religious systems of ancient China. Both are reflected in various ways throughout the early chapters. The most startling example of shamanic practice and ancestor veneration is the dramatic conclusion to chapter five, when Kui, advisor to the
Emperor Shun, says the following:

  ‘Let us strike the chimes; play the stringed instruments; sing and chant in order to bring the ancestors to visit us. Let us call up the spirit of Yu and all the great leaders of the past.’

  With flutes and drums, with rattles and all sorts of other musical instruments, the birds and animals started to dance. At the nine notes, even phoenixes, both male and female, came to dance their stately dances.

  Kui noted, ‘See how, when the ritual music is played, all of life joins in joyfully and all the leaders of the people are happy.’

  This is followed by the Emperor Shun composing and singing a song. This ritual role is often found in shamanic accounts of powerful figures who combine not just kingly rule but also priestly, spiritual roles and powers. This is especially the case when, through music and chant, not just ancestors but also mythical creatures such as the phoenix are summoned.

  It is not surprising then that the opening chapters take us beyond the realm of mortals. One of the great epic stories of China is that there was a Great Flood – that the Yellow River burst its banks and wrought devastation across the heartland of the country probably some time in the later third millennium BC, four or five thousand years ago. There are elements of the stories associated with this great disaster throughout the early chapters. In chapter one we are told that:

  … the ceaseless floods and the vast waters are destroying everything that is good and right. The dark waters have overwhelmed the hills and mountains. They have raged right up to Heaven itself while the people below, why, they are in despair.

  In the same chapter we hear of Gun, the tragic hero who failed in the task of curbing the flood. ‘For nine years Gun struggled, trying to succeed at the task set him, but he failed.’ In the next chapter – the Chronicle of Shun – we hear of Gun again (though he is not named). By now he has been exiled to a remote island for having failed to overcome the flood. Here he is called a notorious villain and later in chapter thirty-two – The Great Plan – we hear that he ‘upset the Five Elements’ and this ‘provoked the Ruler to great anger and as a result he did not share with him the Great Plan in its Nine Sections’.

  The greatest hero we are introduced to in the early chapters is Yu the Great. Yu was the son of Gun, who succeeded where his father had failed. The stories told about him in popular Chinese culture are full of divine powers and strange events. For example, he rides a dragon, slices through entire mountains and fights demons. To any Chinese reader, such legends lie behind these chapters, though they are not mentioned in this book. The famous stories which we do hear about in these chapters are the ones which tell us that even though he had only been married for three days (chapter five) he left home to battle against the Flood, and that even when his son was born he never returned home. As the Emperor Shun comments in chapter three – The Counsels of Yu the Great – when the Great Flood threatened to overwhelm them, Yu was ‘unending in your labours for the country’s benefit, barely giving a thought to your own family, your own home’. Yu is the epitome of the Confucian worthy, the selfless servant of the Emperor and of the people.

  Beyond the story of the Great Flood, these first chapters introduce us to a number of key ideas which shape the whole book and have as a result shaped China for at least thirteen hundred years – and almost certainly profoundly influenced it for a thousand years before that.

  One such key idea, and the one which makes this book so subversive, is the notion of the Mandate of Heaven. While various unnamed deities are mentioned from time to time throughout the book, they are not powerful figures. They tend to be simply referred to as ‘the deities of nature’ and are linked to rivers and mountains. Or they are occasionally summoned through divination or through a medium. In the earliest chapters there is no reference to a God-type figure. Heaven is spoken of, but only rarely, and while in chapter two we have a term ‘Emperor Above’, this I think refers to an ancestor such as the founder figure of China, the Yellow Emperor Huang Di, whose mythic powers make him a half-divine, half-human figure. His tomb in Shaanxi province is still venerated to this day as the resting place of the First Ancestor – a term which also appears from time to time in these early chapters.

  Instead of a God, what we have is ‘Heaven’ and Heaven is a force which orders the way of life but which is, at least in these early chapters, unemotional and to a very great degree unconcerned with the intricacies of human life. Instead it is only really interested in the continuation of a balance between Heaven and Earth, which can be disturbed by inappropriate actions of primarily human beings. It lacks almost all the features which other traditions would ascribe to a god or to a hierarchy of deities. (See also below, pages xxx–xxxiii.)

  Chapter four gives a very telling account of Heaven:

  Heaven, like us, sees clearly and hears clearly. Heaven inspires awe and rewards accordingly and this the people can see clearly. Heaven and Earth, above and below, everything is linked. And as a result, wise men will take their responsibilities within this order very seriously.

  As chapter three – The Counsels of Yu the Great – says, ‘When Heaven is in control and Earth obedient, then all creation will be in balance; all things will be in harmony.’

  Heaven is a cosmic force of order and yet it has one major role in the affairs of humanity. It bestows the right to rule on individuals and through them upon entire dynasties. It also has the power to remove that mandate to rule and bestow it upon another person and dynasty if those who currently hold the mandate fail to live up to the highest standards. In the early chapters, this notion is fairly vague and undeveloped. For example, in chapter two we hear that it was clear Shun had the qualities which meant ‘he had the Mandate of Heaven’.

  As the book progresses, the Mandate of Heaven becomes a central theme of power and authority. In essence, if the people believe that Heaven has withdrawn its mandate, then it is legitimate to overthrow a ruler and therefore also the dynasty. We shall explore this in more detail later on, but one important point needs to be made here. The right of the people to overthrow a corrupt ruler and dynasty is a political idea which time and time again has shaped the history of China. As recently as 1976, it formed part of the psychological context which inspired the mass movement which overthrew the Gang of Four.* It is of great antiquity and certainly at least as old as the Zhou dynasty, c.1050 BC, if the many references to it in the Book of Zhou section of the Shang Shu are anything to go by.

  To put this in perspective, in Europe it was only in the twelfth century AD and in the writings of John of Salisbury† that this notion of the right of the people to overthrow a corrupt ruler and dynasty was clearly articulated. China has had the notion of regime change built into its very system of political thought for at least two thousand years, probably three thousand years.

  Tied in with this notion of the Mandate of Heaven is the central importance of virtue. The character for virtue appears on almost every page of the book. It is the heart of morality and the possession or lack of virtue determines the fate of each person. Virtue is so fundamental to the Confucian worldview that it becomes in effect the code word for being eligible for the Mandate of Heaven. Throughout the book, the need to be virtuous, to act virtuously, is hammered home.

  For example, in chapter four, Gaoyao, a model Confucian official, a true junzi, says the following:

  Pondering upon this, Gaoyao said: ‘In reality there are the nine virtues and if someone has these, then such a person, in our experience, will always act appropriately.’

  ‘And what are these?’ asked Yu.

  Gaoyao replied, ‘They are, in sequence:

  generosity balanced by discipline

  evenness balanced by resolve

  willingness balanced by respect

  confidence balanced by reverence

  assurance balanced by boldness

  directness balanced by gentleness

  simplicity balanced by discernment

  verve balanced by integrity:

/>   courage balanced by justice.

  ‘Anyone with this kind of integrity will always be successful. If three of these virtues shape how you behave day by day, then this will bring enlightenment to everyone in the family. If you conduct yourself day by day with six of these virtues, then the beloved homeland will be well governed. If all nine virtues are the basis of your life, then all will be well for everyone. This is how those few people in charge of the many will ensure that everything is done in balance with the foundational elements of the universe itself.’

  In chapter fifteen, the second part of the Instructions to King Tai Jia, the advisor Yi Yin, another model of Confucian junzi, says the following to the young king:

  ‘If you can really be sincere and virtuous and can follow the will of your ancestors, then you will be a good ruler. The First King cared like a child for the poor and for those who suffered, and as a result the people were happy to obey him – indeed they did so cheerfully. For example, when he was visiting one area, the people in the neighbouring areas would say they couldn’t wait for him to visit them, because whenever he visited, injustice would cease.

  ‘Dear King, be virtuous. Model yourself on your worthy ancestor. Do not indulge in negligence but instead, when you reflect upon your ancestors, consider the importance of filial piety. When you give orders to those under you, do so gracefully. When planning for the future, make sure you have clarity of vision. When contemplating virtue, listen carefully. Then I will be able to serve Your Majesty without ceasing.’