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The Analysis of Biological Data
The Analysis of Biological
Data

Second Edition

Michael C. Whitlock and Dolph

Schluter
The Analysis of Biological Data, Second Edition

Publisher: Ben Roberts

Proofreader: Kathi Townes
Art Studio: Lineworks, Inc.; Lori Heckelman
Cover Designer: Emiko Paul
Photo Researcher: Jennifer Simmons, Lumina Datamatics, Inc.
Permissions Assistant: Michael McCarthy
Compositor: Kristina Elliott at TECHarts

©2015 by W. H. Freeman and Company

Reproduction or translation of any part of this work beyond that permitted by Section 107
or 108 of the 1976 United States Copyright Act without permission of the copyright owner
is unlawful. Requests for permission or further information should be addressed to the W.
H. Freeman and Company Rights and Permissions Department. Grateful acknowledgment
for third-party permissions, which have been granted for material in this title not owned by
Macmillan Learning, appears in the Photo Credits section, which represents an extension of
this copyright page.

Cover Photo: ©www.pheromonegallery.com

ISBN: 978-1-319156-71-8

Library of Congress Cataloging-in-Publication Data

Whitlock, Michael, author.
The analysis of biological data / Michael C. Whitlock and Dolph Schluter. -- Second
edition.
pages cm
Includes bibliographical references and index.
ISBN 978-1-319156-71-8
1. Biometry--Textbooks. I. Schluter, Dolph, author. II. Title.
QH323.5.W48 2015
570.1’5195--dc23
2014010300

10 9 8 7 6 5 4
W. H. Freeman and Company
One New York Plaza
Suite 4500
10004-1562
New York, NY
www.macmillanhighered.com
To Sally and Wilson, Andrea and Maggie
 Contents in brief

Preface
Acknowledgments
About the authors

PART 1 INTRODUCTION TO STATISTICS

1. Statistics and samples
INTERLEAF 1 Biology and the history of statistics
2. Displaying data
3. Describing data
4. Estimating with uncertainty
INTERLEAF 2 Pseudoreplication
5. Probability
6. Hypothesis testing
INTERLEAF 3 Why statistical significance is not the same as biological importance

PART 2 PROPORTIONS AND FREQUENCIES

7. Analyzing proportions
INTERLEAF 4 Correlation does not require causation
8. Fitting probability models to frequency data
INTERLEAF 5 Making a plan
9. Contingency analysis: associations between
categorical variables 235
 Review Problems 1

PART 3 COMPARING NUMERICAL VALUES

10. The normal distribution
INTERLEAF 6 Controls in medical studies
11. Inference for a normal population
12. Comparing two means
INTERLEAF 7 Which test should I use?
13. Handling violations of assumptions

Review Problems 2
14. Designing experiments
INTERLEAF 8 Data dredging
15. Comparing means of more than two groups
INTERLEAF 9 Experimental and statistical mistakes

PART 4 REGRESSION AND CORRELATION

16. Correlation between numerical variables
INTERLEAF 10 Publication bias
17. Regression
INTERLEAF 11 Using species as data points

Review Problems 3

PART 5 MODERN STATISTICAL METHODS

18. Multiple explanatory variables
19. Computer-intensive methods
20. Likelihood
21. Meta-analysis: combining information from multiple
studies
Statistical tables
Literature cited
Answers to practice problems
Photo credits
Index
 Contents

Preface
Acknowledgments
About the authors

PART 1 INTRODUCTION TO STATISTICS

1. Statistics and samples
1.1 What is statistics?
1.2 Sampling populations
Example 1.2: Raining cats
Populations and samples
Properties of good samples
Random sampling
How to take a random sample
The sample of convenience
Volunteer bias
Data in the real world
1.3 Types of data and variables
Categorical and numerical variables
Explanatory and response variables
1.4 Frequency distributions and probability distributions
1.5 Types of studies
1.6 Summary
Practice problems
Assignment problems
INTERLEAF 1 Biology and the history of statistics
2. Displaying data
2.1 Guidelines for effective graphs
How to draw a bad graph
How to draw a good graph
2.2 Showing data for one variable
Showing categorical data: frequency table and bar graph
Example 2.2A: Crouching tiger
Making a good bar graph
A bar graph is usually better than a pie chart
Showing numerical data: frequency table and histogram
Example 2.2B: Abundance of desert bird species
Describing the shape of a histogram
How to draw a good histogram
Other graphs for numerical data
2.3 Showing association between two variables
Showing association between categorical variables
Example 2.3A: Reproductive effort and avian malaria
Showing association between numerical variables: scatter plot
Example 2.3B: Sins of the father
Showing association between a numerical and a categorical
variable
Example 2.3C: Blood responses to high elevation
2.4 Showing trends in time and space
Line graph
Example 2.4A: Bad science can be deadly
Maps
Example 2.4B: Biodiversity hotspots
2.5 How to make good tables
Follow similar principles for display tables
2.6 Summary
Practice problems
Assignment problems
3. Describing data
3.1 Arithmetic mean and standard deviation
Example 3.1: Gliding snakes
 The sample mean
Variance and standard deviation
Rounding means, standard deviations, and other quantities
Coefficient of variation
Calculating mean and standard deviation from a frequency table
Effect of changing measurement scale
3.2 Median and interquartile range
Example 3.2: I’d give my right arm for a female
The median
The interquartile range
The box plot
3.3 How measures of location and spread compare
Example 3.3: Disarming fish
Mean versus median
Standard deviation versus interquartile range
3.4 Cumulative frequency distribution
Percentiles and quantiles
Displaying cumulative relative frequencies
3.5 Proportions
Calculating a proportion
The proportion is like a sample mean
3.6 Summary
3.7 Quick Formula Summary
Practice problems
Assignment problems
4. Estimating with uncertainty
4.1 The sampling distribution of an estimate
Example 4.1: The length of human genes
Estimating mean gene length with a random sample
The sampling distribution of Y¯
4.2 Measuring the uncertainty of an estimate
Standard error
The standard error of Y¯
The standard error of Y¯ from data
4.3 Confidence intervals
 The 2SE rule of thumb
4.4 Error bars
4.5 Summary
4.6 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 2 Pseudoreplication
5. Probability
5.1 The probability of an event
5.2 Venn diagrams
5.3 Mutually exclusive events
5.4 Probability distributions
Discrete probability distributions
Continuous probability distributions
5.5 Either this or that: adding probabilities
The addition rule
The probabilities of all possible mutually exclusive outcomes add
to one
The general addition rule
5.6 Independence and the multiplication rule
Multiplication rule
Example 5.6A: Smoking and high blood pressure
“And” versus “or”
Independence of more than two events
Example 5.6B: Mendel’s peas
5.7 Probability trees
Example 5.7: Sex and birth order
5.8 Dependent events
Example 5.8: Is this meat taken?
5.9 Conditional probability and Bayes’ theorem
Conditional probability
The general multiplication rule
Sampling without replacement
Bayes’ theorem
 Example 5.9: Detection of Down syndrome
5.10 Summary
Practice problems
Assignment problems
6. Hypothesis testing
6.1 Making and using hypotheses
Null hypothesis
Alternative hypothesis
To reject or not to reject
6.2 Hypothesis testing: an example
Example 6.2: The right hand of toad
Stating the hypotheses
The test statistic
The null distribution
Quantifying uncertainty: the P-value
Draw the appropriate conclusion
Reporting the results
6.3 Errors in hypothesis testing
Type I and Type II errors
6.4 When the null hypothesis is not rejected
Example 6.4: The genetics of mirror-image flowers
The test
Interpreting a non-significant result
6.5 One-sided tests
6.6 Hypothesis testing versus confidence intervals
6.7 Summary
Practice problems
Assignment problems
INTERLEAF 3 Why statistical significance is not the same as biological
importance

PART 2 PROPORTIONS AND FREQUENCIES

7. Analyzing proportions
 7.1 The binomial distribution
Formula for the binomial distribution
Number of successes in a random sample
Sampling distribution of the proportion
7.2 Testing a proportion: the binomial test
Example 7.2: Sex and the X
Approximations for the binomial test
7.3 Estimating proportions
Example 7.3: Radiologists’ missing sons
Estimating the standard error of a proportion
Confidence intervals for proportions—the Agresti–Coull method
Confidence intervals for proportions—the Wald method
7.4 Deriving the binomial distribution
7.5 Summary
7.6 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 4 Correlation does not require causation
8. Fitting probability models to frequency data
8.1 Example of a probability model: the proportional model
Example 8.1: No weekend getaway
8.2 χ2 goodness-of-fit test
Null and alternative hypotheses
Observed and expected frequencies
The χ2 test statistic
The sampling distribution of χ2 under the null hypothesis
Calculating the P-value
Critical values for the χ2 distribution
8.3 Assumptions of the χ2 goodness-of-fit test
8.4 Goodness-of-fit tests when there are only two categories
Example 8.4: Gene content of the human X chromosome
8.5 Fitting the binomial distribution
Example 8.5: Designer two-child families?
 8.6 Random in space or time: the Poisson distribution
Formula for the Poisson distribution
Testing randomness with the Poisson distribution
Example 8.6: Mass extinctions
Comparing the variance to the mean
8.7 Summary
8.8 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 5 Making a plan
9. Contingency analysis: associations between
categorical variables
9.1 Associating two categorical variables
9.2 Estimating association in 2 × 2 tables: odds ratio Odds
Example 9.2: Take two aspirin and call me in the morning?
Odds ratio
Standard error and confidence interval for odds ratio
9.3 Estimating association in 2 × 2 table: relative risk
Odds ratio vs. relative ristk
Example 9.3: Your litter box and your brain
9.4 The χ2 contingency test
Example 9.4: The gnarly worm gets the bird
Hypotheses
Expected frequencies assuming independence
The χ2 statistic
Degrees of freedom
P-value and conclusion
A shortcut for calculating the expected frequencies
The χ2 contingency test is a special case of the χ2 goodness-of-
fit test
Assumptions of the χ2 contingency test
Correction for continuity
9.5 Fisher’s exact test
Example 9.5: The feeding habits of vampire bats
 9.6 G-tests
9.7 Summary
9.8 Quick Formula Summary
Practice problems
Assignment problems

Review Problems 1

PART 3: COMPARING NUMERICAL VALUES

10. The normal distribution
10.1 Bell-shaped curves and the normal distribution
10.2 The formula for the normal distribution
10.3 Properties of the normal distribution
10.4 The standard normal distribution and statistical tables
Using the standard normal table
Using the standard normal to describe any normal distribution
Example 10.4: One small step for man?
10.5 The normal distribution of sample means
Calculating probabilities of sample means
10.6 Central limit theorem
Example 10.6: Young adults and the Spanish flu
10.7 Normal approximation to the binomial distribution
Example 10.7: The only good bug is a dead bug
10.8 Summary
10.9 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 6 Controls in medical studies
11. Inference for a normal population
11.1 The t-distribution for sample means
Student’s t-distribution
Finding critical values of the t-distribution
11.2 The confidence interval for the mean of a normal distribution
 Example 11.2: Eye to eye
The 95% confidence interval for the mean
The 99% confidence interval for the mean
11.3 The one-sample t-test
Example 11.3: Human body temperature
The effects of larger sample size—body temperature revisited
11.4 Assumptions of the one-sample t-test
11.5 Estimating the standard deviation and variance of a normal
population
Confidence limits for the variance
Confidence limits for the standard deviation
Assumptions
11.6 Summary
11.7 Quick Formula Summary
Practice problems
Assignment problems
12. Comparing two means
12.1 Paired sample versus two independent samples
12.2 Paired comparison of means
Estimating mean difference from paired data
Example 12.2: So macho it makes you sick?
Paired t-test
Assumptions
12.3 Two-sample comparison of means
Example 12.3: Spike or be spiked
Confidence interval for the difference between two means
Two-sample t-test
Assumptions
A two-sample t-test when standard deviations are unequal
12.4 Using the correct sampling units
Example 12.4: So long; thanks to all the fish
12.5 The fallacy of indirect comparison
Example 12.5: Mommy’s baby, Daddy’s maybe
12.6 Interpreting overlap of confidence intervals
12.7 Comparing variances
 The F-test of equal variances
Levene’s test for homogeneity of variances
12.8 Summary
12.9 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 7 Which test should I use?
13. Handling violations of assumptions
13.1 Detecting deviations from normality
Graphical methods
Example 13.1: The benefits of marine reserves
Formal test of normality
13.2 When to ignore violations of assumptions
Violations of normality
Unequal standard deviations
13.3 Data transformations
Log transformation
Arcsine transformation
The square-root transformation
Other transformations
Confidence intervals with transformations
A caveat: Avoid multiple testing with transformations
13.4 Nonparametric alternatives to one-sample and paired t-tests
Sign test
Example 13.4: Sexual conflict and the origin of new species
The Wilcoxon signed-rank test
13.5 Comparing two groups: the Mann–Whitney U-test
Example 13.5: Sexual cannibalism in sagebrush crickets
Tied ranks
Large samples and the normal approximation
13.6 Assumptions of nonparametric tests
13.7 Type I and Type II error rates of nonparametric methods
13.8 Permutation tests
Assumptions of permutation tests
 13.9 Summary
13.10 Quick Formula Summary
Practice problems
Assignment problems

Review Problems 2
14. Designing experiments
14.1 Why do experiments?
Confounding variables
Experimental artifacts
14.2 Lessons from clinical trials
Example 14.2: Reducing HIV transmission
Design components
14.3 How to reduce bias
Simultaneous control group
Randomization
Blinding
14.4 How to reduce the influence of sampling error
Replication
Balance
Blocking
Example 14.4A: Holey waters
Extreme treatments
Example 14.4B: Plastic hormones
14.5 Experiments with more than one factor
Example 14.5: Lethal combination
14.6 What if you can’t do experiments?
Match and adjust
14.7 Choosing a sample size
Plan for precision
Plan for power
Plan for data loss
14.8 Summary
14.9 Quick Formula Summary
Practice problems
 Assignment problems
INTERLEAF 8 Data dredging
15. Comparing means of more than two groups
15.1 The analysis of variance
Example 15.1: The knees who say night
Hypotheses
ANOVA in a nutshell
ANOVA tables
Partitioning the sum of squares
Calculating the mean squares
The variance ratio, F
Variation explained: R2
ANOVA with two groups
15.2 Assumptions and alternatives
The robustness of ANOVA
Data transformations
Nonparametric alternatives to ANOVA
15.3 Planned comparisons
Planned comparison between two means
15.4 Unplanned comparisons
Example 15.4: Wood wide web
Testing all pairs of means using the Tukey–Kramer method
Assumptions
15.5 Fixed and random effects
15.6 ANOVA with randomly chosen groups
Example 15.6: Walking stick limbs
ANOVA calculations
Variance components
Repeatability
Assumptions
15.7 Summary
15.8 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 9 Experimental and statistical mistakes

PART 4 REGRESSION AND CORRELATION

16. Correlation between numerical variables
16.1 Estimating a linear correlation coefficient
The correlation coefficient
Example 16.1: Flipping the bird
Standard error
Approximate confidence interval
16.2 Testing the null hypothesis of zero correlation
Example 16.2: What big inbreeding coefficients you have
16.3 Assumptions
16.4 The correlation coefficient depends on the range
16.5 Spearman’s rank correlation
Example 16.5: The miracles of memory
Procedure for large n
Assumptions of Spearman’s correlation
16.6 The effects of measurement error on correlation
16.7 Summary
16.8 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 10 Publication bias
17. Regression
17.1 Linear regression
Example 17.1: The lion’s nose
The method of least squares
Formula for the line
Calculating the slope and intercept
Populations and samples
Predicted values
Residuals
Standard error of slope
 Confidence interval for the slope
17.2 Confidence in predictions
Confidence intervals for predictions
Extrapolation
17.3 Testing hypotheses about a slope
Example 17.3: Prairie home campion
The t-test of regression slope
The ANOVA approach
Using R2 to measure the fit of the line to data
17.4 Regression toward the mean
17.5 Assumptions of regression
Outliers
Detecting nonlinearity
Detecting non-normality and unequal variance
17.6 Transformations
17.7 The effects of measurement error on regression
17.8 Nonlinear regression
A curve with an asymptote
Quadratic curves
Formula-free curve fitting
Example 17.8: The incredible shrinking seal
17.9 Logistic regression: fitting a binary response variable
17.10 Summary
17.11 Quick Formula Summary
Practice problems
Assignment problems
INTERLEAF 11 Using species as data points

Review Problems 3

PART 5 MODERN STATISTICAL METHODS

18. Multiple explanatory variables
18.1 ANOVA and linear regression are linear models
 Modeling with linear regression
Generalizing linear regression
General linear models
18.2 Analyzing experiments with blocking
Analyzing data from a randomized block design
Example 18.2: Zooplankton depredation
Model formula
Fitting the model to data
18.3 Analyzing factorial designs
Example 18.3: Interaction zone
Model formula
Testing the factors
The importance of distinguishing fixed and random factors
18.4 Adjusting for the effects of a covariate
Example 18.4: Mole-rat layabouts
Testing interaction
Fitting a model without an interaction term
18.5 Assumptions of general linear models
18.6. Summary
Practice problems
Assignment problems
19. Computer-intensive methods
19.1 Hypothesis testing using simulation
Example 19.1: How did he know? The nonrandomness of
haphazard choice
19.2 Bootstrap standard errors and confidence intervals
Example 19.2: The language center in chimps’ brains
Bootstrap standard error
Confidence intervals by bootstrapping
Bootstrapping with multiple groups
Assumptions and limitations of the bootstrap
19.3 Summary
Practice problems
Assignment problems
20. Likelihood
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UNIVERSITY OF FLORIDA LIBRARIES COLLEGE LIBRARY
UNIVERSITY OF FLORIDA LIBRARIES COLLEGE LIBRARY
 Digitized by the Internet Archive in 2012 with funding from
LYRASIS Members and Sloan Foundation
http://archive.org/details/literarymindcarvOOIiux
 THE LITERARY MIND AND THE CARVING OF DRAGONS by
Liu Hsieh NUMBER LVIII OF THE RECORDS OF CIVILIZATION:
SOURCES AND STUDIES
 The Literary Mind and the Carving of Dragons BY LIU
HSIEH A STUDY OF THOUGHT AND PATTERN IN CHINESE
LITERATURE Translated WITH AN INTRODUCTION AND NOTES by
Vincent Yu-chung Shih New Yor\ Columbia University Press ig^g
 The addition to the "Records of Civilization: Sources and
Studies" of a group of translations of Oriental historical materials, of
which this volume is one, was made possible by funds granted by
Carnegie Corporation of New York. That Corporation is not, however,
the author, owner, publisher, or proprietor of this publication, and is
not to be understood as approving by virtue of its grant any of the
statements made or views expressed therein. COPYRIGHT (C) I959
COLUMBIA UNIVERSITY PRESS, NEW YORK Published in Great
Britain, Canada, India, and Pakistan by the Oxford University Press
London, Toronto, Bombay, and Karachi Library of Congress Catalog
Card Number: 58-1 3768 MANUFACTURED IN THE UNITED STATES
OF AMERICA BY PRINCETON UNIVERSITY PRESS, PRINCETON, NEW
JERSEY
 RECORDS OF CIVILIZATION SOURCES AND STUDIES
EDITED UNDER THE AUSPICES OF THE DEPARTMENT OF HISTORY,
COLUMBIA UNIVERSITY GENERAL EDITOR JACQUES BARZUN,
Professor of History EDITORS EMERITI JAMES T. SHOTWELL, Bryce
Professor Emeritus of the History of International Relations AUSTIN
P. EVANS, Professor Emeritus of History EDITOR: EUROPEAN
RECORDS JOHN H. MUNDY, Associate Professor of History EDITORS:
ORIENTAL RECORDS C. MARTIN WILBUR, Professor of Chinese
History WM. THEODORE DE BARY, Associate Professor of Chinese
and Japanese CONSULTING EDITORS SALO W. BARON, Professor of
fewish History, Literature, and Institutions on the Miller Foundation;
Director of the Center of Israeli Studies GILBERT HIGHET, Anthon
Professor of the Latin Language and Literature DONALD KEENE,
Associate Professor of Japanese PAUL O. KRISTELLER, Professor of
Philosophy GARRETT MATTINGLY, Professor of History
 ACKNO WLEDGMENTS I am greatly indebted to the
Graduate School of the University of Washington for giving me
grants from both the Graduate School Research Fund and the Agnes
Anderson Research Fund which made it possible for me to devote
two summers to my study of Chinese literary criticism; I am also
grateful to Columbia University for including my translation of the
Wen-hsin tiao-lung in the Records of Civilization Series. I wish also
to thank Mrs. Beverly Plank for editing and typing a part of the
manuscript, and Mrs. Mercedes MacDonald and Mrs. Margaret T.
Myers for typing and proofreading the other part of it. Above all, I
owe much to Mrs. Julia Lin for her assistance in collecting material
for the introduction, and to the selfless help Mrs. Jacqueline Garnett
has given me in reading over the whole manuscript, suggesting
appropriate terms, polishing the English, and improving the style.
Without Mrs. Garnett's generous assistance, the translation would
not have the form it now has. But I alone am responsible for both
the translation itself and the final form in which it appears. VINCENT
YU-CHUNG SHIH University of Washington September 5, 7957
 CONTENTS Introduction xi The Literary Mind and the
Carving of Dragons i preface 3 i. on tao, the source 9 ii. evidence
from the sage 1 3 iii. the classics as literary sources 17 iv.
emendation of apocrypha 21 v. an analysis of sao 25 vi. an exegesis
of poetry 3 1 vii. musical poetry (yueh-fu) 39 viii. elucidation of fu 45
IX. ODE AND PRONOUNCEMENT (THE SUNG AND THE TSAn) 49 x.
sacrificial prayer and oath of agreement (the chu and the meng) 54
xi. inscription and exhortation (the ming and the chen) 59 xii. elegy
and stone inscription (the lei and the pel) 64 xiii. lament and
condolence (the ai and the tiao) 68 xiv. miscellaneous writings 73 xv.
humor and enigma (the hsieh and the yin) 78 xvi. historical writings
83 xvii. speculative writings 94 xviii. treatise and discussion (the lun
and the shuo) 101 XIX. EDICT AND SCRIPT (THE CHAO AND THE
Ts'e) I08 XX. WAR PROCLAMATION AND DISPATCH (THE HSI AND
THE i) Il6 XXI. SACRIFICES TO HEAVEN AND EARTH (FENG SHAN)
121 XXII. MEMORIAL, PART I (THE CHANG AND THE PIAo) 1 26
XXIII. MEMORIAL, PART II (THE TSOU AND THE CH'l) I30 XXIV.
DISCUSSION AND ANSWER (THE I AND THE TUl) I36
 x Contents XXV. EPISTOLARY WRITING (THE SHU AND THE
CHl) 144 XXVI. SPIRITUAL THOUGHT OR IMAGINATION (sHEN-SSu)
154 XXVII. STYLE AND NATURE (t'i-HSINg) I58 XXVIII. THE WIND
AND THE BONE (FENG-Ku) 162 XXIX. FLEXIBLE ADAPTABILITY TO
VARYING SITUATIONS (t'uNGpien) 165 xxx. on choice of style 1 69
xxxi. emotion and literary expression 174 xxxii. casting and cutting,
or, on editing of ideas and RHETORIC (jUNG-Ts'Al) 179 XXXIII.
MUSICALNESS 182 XXXIV. PARAGRAPH AND SENTENCE 1 86 XXXV.
LINGUISTIC PARALLELISM I9O XXXVI. METAPHOR AND ALLEGORY
(PI AND HSING) I95 XXXVII. EMBELLISHMENT AS DESCRIPTION I98
XXXVIII. FACTUAL ALLUSION AND TEXTUAL REFERENCE 202 XXXIX.
PHILOLOGY AND CHOICE OF WORDS 208 XL. THE RECONDITE AND
THE CONSPICUOUS (YIN-HSIu) 214 XLI. LITERARY FLAWS 21 6
XLII. THE NOURISHING OF VITALITY 222 XLIII. ORGANIZATION
(FU-HUl) 225 XLIV. DISCUSSION ON THE ART OF WRITING (TSUNG-
SHu) 229 XLV. LITERARY DEVELOPMENT AND TIME (sHIH-HSu) 233
XLVI. THE PHYSICAL WORLD 245 XLVII. LITERARY TALENTS 249
XLVIII. AN UNDERSTANDING CRITIC (cHIH-YIN) 258 XLIX. THE
CAPACITY OF A VESSEL (ch'eNG-CH'i) 264 Glossary Index 269 277
 INTRODUCTION Liu Hsieh (c. A.D. 465-522), in his Wen-
hsin tiao-lung, or The Literary Mind and the Carving of Dragons,
gives a comprehensive treatment of literary theories and critical
opinions from the earliest period to his own time. As a critic, his
genius is demonstrated by the exhaustive and penetrating manner in
which he deals with literary and rhetorical problems. For a better
understanding of his insight, a brief survey of the development of
literary criticism in ancient China will be of great help, for here we
shall find the main sources of his inspiration. Literary opinions in
ancient China developed and expanded as literary writing advanced.
The first traces of such opinions are found in the Boo\ of History.
"Poetry is the expression of sentiments, and songs are these
expressions set to music. Tones are prolonged according to rules of
prosody and intervals chosen according to rules of harmony."1 This
theory of poetry as the expression of sentiments was to exert a
tremendous influence upon subsequent critics. The idea was first
elaborated in the "Great Preface" to the Boo\ of Poetry, believed to
be the work of Wei Hung of the Later Han (flourishing about A.D.
25). Since then it has appeared in one form or another in the works
of the most important critics, including Lu Chi of the Chin (261-303),
and Liu Hsieh and Chung Hung of the Liang (flourishing during the
latter part of the fifth and the first part of the sixth centuries). Poetry
was conceived to be predominantly lyrical in nature, and intimately
linked to music. The songs and odes in the Boo\ of Poetry conform
very well to this pattern — a pattern which may be considered
purely literary. The philosophical period in ancient China was in
many ways analogous to the golden era of classical Greece. Many
incidental remarks on literature were made by philosophers, whose
primary interest was not in literature as such, but rather in
philosophical truth. Thus their 1 S hangs hu t'ung-chien (Peking,
1936), 02/0681-0692.
 xii Introduction critical judgment was basically ethical rather
than esthetic. In China, Confucius and others after him valued art
chiefly for its moral effect on the conduct of the people, frequently
mixing moral with literary and poetic issues. In Greece Plato,
alarmed by the unhealthy effect of poetry, banished poets from his
city state. Of the two, Confucius was perhaps the more enlightened.
He not only included poetry as one of his main texts for instruction
but also told his son and disciples to study and imitate its disciplined
artistry in order to improve their ability to express themselves.2 He
also reminded his students of the importance of literary ornament,
without which truth will not travel far.3 This apparent love of beauty
of form on the part of Confucius, however, is completely
overbalanced by his underlying utilitarian motive. This utilitarian
attitude is most clearly indicated by his remarks on the Boo\ of
Poetry. He said: The odes can stimulate the mind, train the
observation, encourage social intercourse, and enable one to give
vent to his complaint. From them one may learn how to fulfil the
immediate duty to one's father, and the remote duty to one's ruler.
And in them one may become widely acquainted with the names of
birds, beasts, plants, and trees.4 Once he characterized the whole
Boo\ of Poetry by one single line: "It has no undisciplined thought."5
The virtues of the Poetry being such, no Aristotelian defense of the
poetic art is necessary. However, it would be unjust to say that
Confucius lacked esthetic appreciation and sensitivity. We are told
that at one time he was so enthralled by the beauty of the Shao6
that for three months he did not know the taste of meat.7 This
subjective experience, however, did not influence his attitude toward
art. Because of his authority elsewhere, his didacticism was also
firmly established as one of the chief traditions in the field of literary
criticism. 2 Li-chi yin-te, 32/26. 3 Ch'un-ch'iu ching-chuan yin-te,
307/Hsiang 25, fu 2. 4 Lun-yii yin-te, 36/17/8. 5 Ibid., 2/2/2. 6 A
musical score attributed to Shun, one of the legendary rulers. 7 Lun-
yii yin-te, 12/7/14.
 Introduction xiii After Confucius came Mencius and Hsiintzu,
who continued to perpetuate and develop this tradition. Both
Mencius and Hsiintzu were classical scholars, quoting the Six Classics
extensively in their works. In their discourse on the Poetry, both
emphasized the ethical and cultural values as did the Master.
Mencius, however, with his idealism and mystical leanings, was able
to adopt a freer approach to literary problems. Maintaining that the
Poetry should be elucidated in an enlightened manner, he said:
Therefore, those who comment upon the Boo\ of Poetry should not
because of one term misconstrue the meaning of a sentence, and
should not because of a sentence misconstrue the original idea.
They must try with their thoughts to meet that idea, and then they
will apprehend it.8 This plan for a freer interpretation of creative
literature displays an insight unique in antiquity. It is true that a
purely intuitive or subjective judgment is extremely hazardous and in
many instances nothing more than a wild guess, too farfetched to be
valid. Very often it is the personal impression of the critic, expressive
of his emotional approval or disapproval. However, a subjective
judgment is not entirely without merit. At a time when criticism was
still in its infancy, sincere opinion was a contribution in itself.9 The
evil of Mencius' subjective approach is mitigated somewhat by
another theory of his that a work should not be considered in
isolation, but in the total context of the life and time of the author.10
Unfortunately, not many critics who believe in subjective criticism
and intuitive evaluation are able to balance their view by a historical
consideration as Mencius advocated.11 An even more important
contribution is contained in the famous theory of yang-ch'i, the
fostering of the vital spirit or breath. The nature 8 Meng-tzu yin-te,
36/5A/4. 9 The evil effect of this subjective criticism will be clearly
seen when we come to deal with the "Prefaces" to the Boof{ of
Poetry. 10 Meng-tzu yin-te, 42/5B/8. 11 Cheng Hsiian of the Later
Han wrote his Shih-p'u on the basis of historical criticism.
 xiv Introduction of this breath or spirit (ch'i), as conceived
by Mencius, is clearly ethical. Mencius said, Such is the breath (ch'i):
it is most great and most strong. Being fostered by uprightness and
sustaining no injury, it fills up all between heaven and earth. Such is
the breath: it is the correlate of righteousness (j) and moral principle
(tao). Without it man is starved. It is produced by the accumulation
of righteous deeds, and not to be obtained by incidental acts of
righteousness.12 It is clear that the term ch'i (breath, or vital life or
spirit) stands for that moral quality which is attained through a moral
life. Yet in a later development, it seems to have undergone a shift
in meaning, a shift from the moralistic pure and simple to a sense
which is at once moral and esthetic. It is in this latter sense that the
term ch'i achieved prominence in literary and critical nomenclature,
for it became a criterion by which both the talent of a writer and the
quality of his work were judged and appraised. Hsiintzu held a more
practical view of literature than did Mencius. To him, the only validity
of literature lies in its usefulness, an opinion originally found in
Confucius and further strengthened by the utilitarian Mohists.
However, being concerned with the principle of social conduct and
the ways and means of producing social harmony, Hsiintzu was able
to see some value in wen-hsiieh, i.e., literature, in its beautifying
effect upon man's character.13 The problem here is the sense in
which he used the term wen-hsueh, generally translated "literature."
From the context it seems clear that Hsiintzu meant by it learning in
general. The concept of literature as we understand it today was not
clearly delineated until the Han period. Prior to the Han, the concept
of pure literature did not seem to have emerged except when poetry
was specifically referred to. This lack of a clear distinction between
literature and learning may have been one of the reasons why
poetry, which had a glorious start as pure literature, gradually came
to assume 12 Meng-tzu yin-te, 11/2A/2. 13 Hsiintzu (Chu-tzu chi-
ch'eng ed.), chiian 19, Chapter 27, p. 334.
 Introduction xv the function of moral didacticism. This is
nowhere better illustrated than in the case of Hsiintzu who, more
than anybody else, quoted the Boo\ of Poetry at every turn to
demonstrate his moral points. As a philosopher, Hsiintzu was
naturalistic. Despite this tendency, he seems to have probed deep
into the origin and nature of creative activities, and to have emerged
in the end with a reasonable explanation of the psychology of
creative processes. Observe his penetrating insight in his discussion
of the principle of music: Music is the expression of joy. This is
something which human feelings made unavoidable. For man cannot
be without joy. And when there is joy, it must be expressed in sound
and given embodiment through movement and repose. This is the
way with man. In sounds, movements, and pauses are expressed all
the changes in his mood. Hence man cannot be without joy, and
when there is joy, it must have a physical embodiment. When this
embodiment does not conform to right principles, there will be
disorder. The early kings hated disorder, and so they established the
music of the Ya and Sung to guide it. They caused its music to be
joyful and not to degenerate, and its beauty to be distinct and not
limited. They caused it in its indirect and direct appeals, its
completeness and simplicity, its frugality and richness, its rests and
notes to stir up the goodness in men's minds and to prevent evil
feelings from gaining any foothold. This is the manner in which the
early kings established music.14 The function of music, accordingly,
is to regulate and harmonize human emotions, and this inner
harmony serves as the basis for the achievement of social harmony
through //, the principle of social conduct which is the outer
counterpart of the inner principle of yueh, or music. In view of the
intimate relation between music and poetry, Hsiintzu's theory could
not but exercise great influence on subsequent poetics. Not all
philosophers shared this didactic view of poetry with the Confucians.
Taoism, with its principle of Tao in the realm of meta14 Ibid., chiian
14, Chapter 20, p. 252. Bodde's translation of Fung Yu-lan's History
of Chinese Philosophy (Princeton University Press, 1952), I, 342. The
first four lines are also found in the Li-chi with minor modification,
suggesting a different reading, which seems to make better sense.
On this basis I have taken the liberty of making some changes in the
translation.
 xvi Introduction physics and the principle of nonaction on
the plane of experience, would have nothing to do with either
institution or words. Therefore, in the Taoist system of thought,
there is no room for literature, because for the Taoists language
oftener obstructs than assists the communication of ideas; it is to be
tolerated only as a suggestive aid to the attainment of truth, and to
be discarded the moment truth is obtained. The inability of language
to convey truth is imbedded in the very nature of language itself.
Language is a system of symbols designed for the communication of
ideas born of common experience. But truth, according to the
Taoists, is a mystical state which, being unique, cannot be expressed
in language devised for the conveyance of experience common to all
who use the same language. But paradoxically, it was Chuangtzu,
the most noted Taoist, who wrote some of the most imaginative
literature of his time, and provided the literary world with vivid
descriptions of his mystical insight into the inner process of creation.
His philosophical writings, essentially mystical in nature and
allegorical in form, are characterized with distinct originality and
unique spontaneity. They are further marked by a keen poetic
sensitivity and an acute esthetic awareness, qualities extremely rare
in an age suffering from stifling dogmatism and paucity of
imagination. The transcendental mysticism which permeates all of
Chuangtzu's works finally crystallizes in the concept of shen (the
spiritual or divine), which has since become the most important
word in our critical terminology. The supreme state of shen is
sometimes described as the "realm of pure experience." It is true
that both Mencius and Chuangtzu held mystical experience as the
highest aim of self-cultivation, but their means of reaching this
ultimate goal are different. In the case of Mencius, it was through
"an accumulation of righteous deeds," or to be more specific,
through acting "with a vigorous effort at altruism." But Chuangtzu,
instead of following the conventional ethical approach, which he
openly condemned, took an intuitive and mystical approach. The life
of "pure experience" is a state which transcends both the human
senses and the intellect, a state in which one forgets the entire
world, including his own existence. In such a state, one
 Introduction xvii attains that sudden enlightenment in
which one experiences union with the universe. Such is Chuangtzu's
mysticism, and such is his vision of the Supreme State. His concept
of shen, when applied to the process of creation, led him to another
vision which is equally mystical and equally transcendental, that is,
the vision of an effortless creativity born of perfect understanding
and comprehension. This creativity is illustrated in parables of the
Master Butcher, the Wheelwright, and many others.15 It is a process
which the artist intuits but is unable either to describe or to impart.
Chuangtzu, in his outspoken condemnation of all established
institutions, including language itself, challenged the very standards
which provided the primary tests of literary values of his time. In so
doing, he foreshadowed a fresh outlook in art and a new esthetic
interest in later generations. If Confucius contributed the essential
ethical basis for traditional criticism in China, Chuangtzu awakened
an esthetic sensitivity which is even more essential to literary
criticism. Moreover, the term shen is responsible for a highly mystical
and impressionistic interpretation of literature which has assumed an
equally important role in the history of Chinese literary criticism. The
Former Han period is relatively barren as far as literary theory is
concerned. The supremacy of Han Confucianism, which was brought
about during the reign of Emperor Wu (141-87 B.C.) through the
influence of Tung Chung-shu (flourishing 179-93 B.C.), may be
considered the crowning stage of an effort at the unification of
thought initiated during the time of the first emperor of the
preceding Ch'in dynasty. Such a unification may have stifled
individual initiative during that time, for Confucius, from being
honored simply as a great teacher, was finally canonized as a deity,
and his words became sacred utterances to be reverentially followed
with unquestioning faith. However, the dearth of critical speculations
does not imply paucity of literary creation. There were writers in
plenty who, under the influence of the Ch'u poets, wrote a type of
melodic and highly adorned 15 Chuangtzu yin-te, 7-8/3/2-12;
36/13/68-74.
 xviii Introduction prose known as the fu. This outburst of
literary activity brought about a clear conception of literature as
distinct from learning in general. From now on we can speak of
literature without a feeling of uncertainty as to what is meant by the
term. Rich experience in writing is often a sine qua non to a
profound understanding of the nature of literature. The conception
of "the mind of fu" held by Ssu-ma Hsiang-ju (c. 179-117 B.C.)
seems to confirm this. When people questioned Ssu-ma as to the
nature of fu, he is reported to have said: The form which we create
by means of weaving and the substance which we cause to body
forth in brocade are the results of the interlacing of the warp and
the woof and the organizing of \ung and shang [i.e., musical tones].
These are the external traces of the fu. But the mind of a fu writer
encompasses the whole universe, and holds in its view everything
from human beings to the inanimate world. This encompassing
vision is born within, and is not to be transmitted.16 Later, Yang
Hsiung (53 B.C.-A.D. 18) spoke of Ssu-ma Hsiang-ju's fu as "not
from the human world." For to Yang, it was divine: "It is the product
of one who has attained the state of spiritual transformation."17
Here we see a community of spirit between Ssu-ma Hsiang-ju and
Chuangtzu in the conception of shen, which was later expressed by
Wei-wen (Ts'ao P'ei, 187-226) in his conception of ch'i. The years
between the Former and the Later Han are important years in the
annals of Chinese literary criticism. We have mentioned Wei Hung's
elaboration of the classical definition of poetry, and Cheng Hsuan's
application of Mencius's historical method to his own consideration
and arrangement of poems in the Boo\ of Poetry. Let us dwell a little
more fully on Wei Hung. Wei Hung's elaboration of the classical
definition of poetry as the expression of the sentiments led to
another important theory of literary development, which Wei treated
in his "Great Preface,"18 a most 16 Hsi-ching cha-chi (Han-wei
ts'ung-shu ed.), chiian 2, pp. 4b-5a. 17 Ibid., chiian 3, p. 6a. 18
Shen Chung of the Northern Chou (500-583) attributed the "Great
Preface" to Tzu-hsia, a disciple of Confucius; Fan Yeh of Liu Sung
(398-445), in his Hou-han-shu,
 Introduction xix important document in the annals of
literary criticism. He believed that the nature of poetry was
determined by the nature of government. The intimate relationship
between poetry and government was thought to be derived from the
fact that, since the function of poetry is to express the sentiments,
and since we must assume the sentiments to be genuine and the
expression spontaneous, poetry becomes the most concrete and
articulate manifestation of the people's attitude toward the
government. If the government is good, poetry will reflect joy and
satisfaction; and if the government is bad, poetry will reflect the
people's resentment and complaint. We must give the ancient rulers
credit for being shrewd enough to go to poetry for information about
the quality of local government and the feelings of the people, if the
tradition concerning the collection of poetry for political purposes
can be trusted. As a descriptive principle, there is nothing wrong
with this theory. It is just a special application of the general theory
that art, however fortuitously, reflects life — a meaningful statement
even in modern times. In ancient China, this theory had a wider
application. When Prince Chi-cha of Wu visited the state of Lu, he is
reported to have been able to pass perfect judgment on the
government of different states by listening to their music.19 But
when a critic follows this theory in his interpretation or a poet
attempts to conform to it, the theory exerts a harmful influence.
Since the writing of the "Great and Lesser Prefaces," beautiful
poems in the Boo\ of Poetry have been so burdened with allegorical
and moral lessons that the genuine feelings expressed in them are
completely overlooked. As a corollary, poetry was assigned a new
function utterly extraneous to itself: it was made to remonstrate with
and admonish the superior. For it was believed that to admonish by
means of poetic devices, such as metaphors, allegories, and
parables, was both effective and safe. As late as the T'ang dynasty,
we still find Po Chii-i (772-846) obsessed "Ju-lin chuan," and Cheng
Ch'iao of Sung (1104-1162), in his Shih-hsii pien, both attributed it
to Wei Hung, and their opinion has been accepted by scholars. 19
Ch'un-ch'iu ching-chuan yin-te, 326-327/Hsiang 29/8 Tso.
 xx Introduction with the desire to be remembered as a poet
who has given the world moral insight to serve as a guide to life.
The theory that art reflects the conditions of the time presupposes
extreme sensitivity on the part of the artist or poet to the ever-
changing situations and needs of the time. Faced with such a fluid
world, he naturally varies his moods in response to it, producing
quite spontaneously different literary and artistic forms. All this is
either well described or implied in Wei Hung's "Preface." This
principle has been known as the principle of flexible adaptability. But
strangely enough, he failed to take the one step more which would
have awakened him to the truth that any effort on the part of the
artist or poet, in the face of the changing need, to hold on to the
ancient truths will inevitably result in failure. It was also in these
years that classicism was reaffirmed and new paths were indicated.
Yang Hsiung (53 B.C.-A.D. 18) may be said to be responsible for the
former and Wang Ch'ung for the latter. A Confucian scholar, a poet,
and an academician turned "critic," Yang Hsiung seemed promising
as a critic in his earlier career when he enthusiastically applauded
the beautiful fu composed by Ssu-ma Hsiang-ju, the supreme
architect of fu of an earlier generation. We have seen how once he
was so moved by Ssu-ma's creative talent that he believed Ssu-ma
Hsiang-ju's fu not to have come from this human world of ours. He
was not only an admirer of Hsiang-ju's fu, but also an ardent
imitator of his style. At this time he seemed capable of enjoying
what is of sheer beauty and pure delight, revealing thus his
unmistakable awareness of that undefinable act of intuition or vision
out of which all art originates. His description of the works of Ssu-
ma Hsiang-ju as shen-hua (spiritual or divine transformation) marks
him as a believer in the theory that a genius is born and not taught.
But with this pronouncement came the end of the early phase of his
critical position. In his biography, Yang Hsiung was described as a
"lover of antiquity," a phrase which reveals his final allegiance and
also his final critical standpoint. In the chapter "Wu-tzu" in his Fa-
yen, he expressed
 Introduction xxi deep regret for having wasted his youth in
the writing of fu, and represented Ssu-ma Hsiang-ju's fu, which once
elicited from him so great an admiration, as beautiful but useless.20
He wrote the T'ai-hsuan (The great mystery) in imitation of the Boo\
of Changes and the Tao-te ching, and the Fa-yen (Model sayings) in
imitation of the Analects, indulging in the use of archaic expressions
and obsolete words. This love of pedantic display invoked the ire
both of his contemporaries and of later writers. Liu Hsin (c. 53 B.C.-
A.D. 23), a contemporary and friend, described his works as fit only
to cover pickle jars, and Su Shih of the Sung (1036-1101) believed
that Yang Hsiung was trying to conceal his shallow scholarship
behind the facade of pedantry. The influence of Yang Hsiung's
classicism on his criticism is clear. First of all, Yang Hsiung returned
to Confucius as the source of all inspiration. He said, Books, however
excellent, are just bookstores if they are not based on the principle
advocated by Confucius; and talks, however eloquent, are just the
sound of petty bells when not based on the principle advocated by
Confucius.21 And again, Mountain paths are too numerous all to be
walked over, and doors in walls are too numerous all to be entered.
So it may be asked, "By what is one to walk or enter?" I reply, "By
Confucius. Confucius is the door."22 Secondly, he returned to the
Classics as the source of all wisdom. He said, For discussing heaven,
there is nothing more discerning than the Boo\ of Changes. For
discussing human affairs, there is nothing more discerning than the
Boo\ of History. For discussing the essential, there is nothing more
discerning than the Boo\ of Rites. For discussing sentiments, there is
nothing more discerning than the Boo\ of Poetry. For discussing
principles, there is nothing more discerning than the Annals of
Spring and Autumn.23 As a result, Yang Hsiung adopted the simple
and unadorned style of 20 Yang Hsiung, Fa-yen (Chu-tzu chi-ch'eng
ed.), chiian 2, p. 4. 21 Ibid., p. 6. 22 Ibid., p. 5. 23 Ibid., chiian 7, p.
19.
 xxii Introduction the Classics, the style advocated first in
the Boo\ of History: "In the choice of language one should
emphasize the essential and should not indulge in the
extraordinary.24 In pronouncing that books which did not follow the
style of the Classics were no books and words which did not conform
to the style of the Classics were no words, for these were useless,25
he had definitely reduced criticism to a set of dogmas which were to
become infallible rules among writers and critics for a long time to
come. He may be compared to the Scaligers, the Johnsons, and the
Popes of the West. But like them, Yang Hsiung also succeeded in
imparting to later generations a sense of perspective, a
consciousness of traditions and a literary taste strengthened through
an assimilation of the Classics. Slightly later than Yang Hsiung,
another Confucian scholar was also occupied with the ethical content
and utilitarian function of literature. Wang Ch'ung (A.D. 27-c. 100)
was, however, more concerned with history and philosophy. This
preoccupation caused him to blur the distinction between pure
literature and other forms of scholarly writings, reverting thus to the
pre-Han conception of "literature." Hence it was philosophy and
history that he had in mind when he asserted that all literature
should be good and true, and should aim to instruct. This, however,
did not blind him to the beauty of literature. To him all that is good
and true was beautiful, requiring no additional labor to perfect it.
And yet he would not go the whole way with Keats and chant that
truth is beauty and beauty is truth. Wang's concern with historical
truth committed him to a type of realism which condemned all kinds
of literary exaggeration and embellishment that did not correspond
to truth.26 It is apparent that, despite his esthetic interest, he still
considered truth the essence of literature, and this essence deter
mined for him both the quality and the form of literature. By nature
and interest, Wang Ch'ung was an excellent historian. His daring
theory of history displays a liberalism unique in an age of 24 Shang-
shu t'ung-chien, 44/0218-0225. 25 Yang Hsiung, Fa-yen, chiian 5, p.
14. 26 For his criticism of exaggeration, see the following three
chapters in his Lun-heng: "Yu-tseng," "I-tseng," and Ju-tseng."
 Introduction xxiii dogmatism. When most of the writers
were idealizing antiquity and slavishly imitating the Classics, he alone
set out to attack that attitude. He said, Those who in ancient times
gave good government were sages, and those who in later times
have given good government are likewise sages.27 Again, Narrators
of events like to exalt antiquity and disparage the present; they
esteem what they know through hearsay and slight what they
themselves see. Debaters discourse on what is long ago, and men of
letters write on what is far away. The wonderful things near at hand
the debaters do not mention, and the extraordinary events of our
own time the writers do not record.28 In these words he broke away
from the orthodox view of history that had hitherto dominated and
still continued to dominate the minds of the writers in ancient China.
Not only did he single out this traditional attitude for attack, but he
even went so far as to assert that the present is better than the
past. He said, As far as the actual transformation effected by virtues
are concerned, the Chou dynasty (noo B.C.-256 B.C.) cannot exceed
the Han (206 B.C.A.D. 220), whereas if we speak about auspicious
omens and prognostications, the Han excels the Chou. And if we
measure their extent of territory, that of Chou was more limited than
that of Han. How then is the Han not equal to the Chou? It may only
be claimed that the Chou had many sages, whose government
brought about universal peace. But the literati, in acclaiming the
sages, go too far, placing them on such pedestals that their actual
traces are lost. In acclaiming their government they are also too
fulsome, treating of universal peace as something that has been cut
off and has had no continuation.29 In short, history is progressive.
To be realistic, literature has to be progressive too. Here we have an
inkling of the principle of flexible adaptability to the varying needs of
a changing world. We shall see this tendency to change reappear in
Ke Hung of the Chin (c. 250-330). 27 Lun-heng, "Ch'i-shih p'ien," p.
185. 2sIhid., p. 187. 29 Ibid., "Hsiian-han p'ien," p. 191. Translations
from the Lun-heng are adapted from Bodde's. See Fung Yu-lan,
History of Chinese Philosophy, II, 158-59.
 xxiv Introduction During the subsequent four centuries —
the Three Kingdoms, the Wei and Chin, the Southern and Northern
dynasties after the collapse of the Han Empire (220-589)— China
was divided into many small states and dynasties, each in power for
a short period and then giving way to others equally ephemeral. The
land was constantly engulfed in warfare and political chaos; social
upheaval and economic disruption were the order of the day. Yet,
paradoxically, out of these chaotic conditions and destructive forces
a most constructive phase of critical and creative vitality emerged.
Among the various stages in the history of Chinese criticism, this
period of disunity may be considered the most creative period. At a
time when all standards seemed to have collapsed, Confucianism
likewise lost the prominent position which it enjoyed during the Han
times. It is true that people still paid lip service to it, but many
scholars and creative artists, disillusioned and embittered, turned
more and more to Taoism and Buddhism. Literature, with a new
emphasis on linguistic, tonal and formal structures, seemed to have
come into its own, and its function became more esthetic in nature
than morally didactic. An increasing interest in esthetic experience is
shown in the writers' attempt to penetrate further into the nature of
the creative process. This esthetic awareness brought about the
distinction between pure literature {wen) and useful literature {pi).
And this distinction, once achieved, deepened the awareness which
gave birth to it. The vivified consciousness was then able to lead
creative literature and critical analysis to a new height of
productivity. Many poets now found their primary occupation in
verse writing; others, more scholarly, gave their attention to literary
anthologies. Due to this sudden expansion of literary output, an
increasing demand for critical judgment was felt. With the growing
complexities of literature, which brought with them new problems, a
re-examination of the basic principle of criticism became urgent, and
it is not at all surprising that a movement of intensified critical
analysis arose. In both the West and in China, emperors and princes
often played
 Introduction xxv a prominent role as patrons of art. It was
under the patronage of the great Medicis that Renaissance art
flourished in Europe. And in China, there emerged during the dark
age of political disunity a number of emperors and princes who were
not only great patrons of art and literature but accomplished writers
themselves. The real founder of the Wei dynasty, Ts'ao Ts'ao (155-
220) was a competent poet; his younger son Ts'ao Chih (192-232) a
poet of the highest calibre. Another son, Ts'ao P'ei (187-226), who
usurped the throne from the Han and founded the Wei, also proved
himself a talented poet and an astute critic, as well as a great patron
of literature. He wrote the famous critical essay, the Tien-lun lun-
wen. The ruling house of the Liang dynasty was equally known for
its artistic ability and interest in literature. Hsiao T'ung (501-531),
who died an heir apparent and the patron of our author Liu Hsieh,
compiled the famous Wen-hsiian (An anthology of literature), in the
preface of which he accounted for excluding the Classics and
historical works from his anthology, the reason being that they were
not pure literature. Although the ethical considerations still prevailed,
they were linked to esthetic considerations. Hsiao T'ung's younger
brother, Hsiao Kang (503-551), who succeeded to the throne in 550
and met a tragic death at the hands of a traitor in the following year,
displayed a pronounced antitraditional attitude when he
commissioned Hsu Ling (507-583) to compile a collection of
contemporary poems under the title Yii-t'ai hsin-yung (Jade terrace
new songs). These exceedingly ornate lyrical poems, marked with
sensual imagery, are anything but proper and instructive. What has
been said may be insufficient to explain why the period of disunity
became an important period in literary criticism, but it serves to
show the atmosphere in which the critical spirit was fostered. The
first important critic who is to engage our attention has already been
mentioned. Ts'ao P'ei, in his Tien-lun lun-wen (Essay on literature),
made the first attempt to define the specific nature of some
dominant literary genres.80 He says: 30 Ts'ao P'ei: "Tien-lun-wen,"
in Wen-hsiian, chiian 52.
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