The historical background

Put is simply, Neo-Confucianism is an intellectual development associated with the Northern Song Dynasty 南宋 (960 – 1126), founded by Zhào Kuāngyìn 趙匡胤, although it would dominate the intellectual world of premodern Chinese philosophy only in the 13th century. After the fall of the Tang dynasty in 907, the territory in the central splits into smaller areas controlled by different rulers.^[1] This period is known as the Five dynasties & Ten Kingdoms (907-960). Zhào Kuāngyìn, who will give himself the name of Emperor Tàizǔ of Sòng 宋太祖, submits all the local rulers after years of war, and begins the Song dynasty. In the following years, the Song dynasty will continue to expand its territory, eventually reaching a point where it is impossible, in spite of its military might, to keep the entire area under control. The breaking point is 1127, where the Song dynasty loses the capital Kaifeng 開封 and has to retreat south, which begins the era known as the Southern Song Dynasty 南宋 (1127-1279).

By this time, the central power that identifies as the heir of the Tang ruling is concentrated in the southern area of today’s China (see map page 146 of Ebrey’s CIHC), with the northern area (roughly, what corresponds to Manchuria today) being controlled primarily by Kithans 契丹, who founded the Liáo 遼 Dynasty (916-1125).^[2] The north/south division became prominent after the fall of the Eastern Han dynasty in 220 CE, and continues to play a role. Before 1127, at various points Song emperors tried to regain control of the northern territories, both for ideological and practical reasons (e.g., access to the Silk Road), but in the long run they were not successful. In the years following 1127 CE, the situation stabilizes as follows: the north is controlled by the Jürchens 女真, who conquered the Liáo dynasty and founded the Jīn Dynasty 金 (1115-1234, and the south was controlled by the Song dynasty (see map page 152 of CHIC). 

The Song’s first capital Kaifeng (which is strategic since it gives control over and access to the Grand Canal that connects north and south) was lost to the Jürchens in 1127. The capital was moved to Hangzhou (easy access to the Yangtze river), which the Jürchens will never be able to control. In spite of the territorial loss, the Song dynasty thrived economically and culturally. The southern area has a climate that facilitates food production, and the Song had access to a vast costal area, which promoted maritime trade. The ceramic production becomes more and more refined, among other industries, the Song ceramics were sold in great numbers. Tea also becomes a renown product around this time, along with silk and lacquer. 

Neo-Confucianism

Neo-Confucianism develops against this background. Song scholars, both during the northern and southern phases, share the idea that problems arise from a loss of consideration of Confucianism in the previous centuries. Buddhism was very important during the Tang dynasty (remember the letter by Hán Yù 韓愈, dates 768-824, to his emperor, asking to reject Buddhism entirely). Song scholars all believe that a revival of Confucianism is vital. This is partly what Han Yu was attempting to achieve, thus sometimes he is considered the first Neo-Confucian (and Neo-Confucianism would thus begin in the Tang rather than in the Song dynasty).

Another shared idea by Neo-Confucians is that the major duty of officials is that of serving the state. How exactly this is achieved, and on the basis of what, is what divides the Song scholars. In spite of the emphasis on Confucianism, many of these scholars develop ideas that are clearly influenced by Daoism and Buddhism, because by now these ideas were well integrated within the culture. Zhāng Zǎi 張載 (1021-1077), for example, will be heavily criticized by later scholars as bringing Buddhist ideas in his reconsideration of the role of qi 氣 in life. Wang Anshi 王安石 (1021-1086) continuously invokes Mencius and Confucius as authoritative figures for his theory, but also draws extensively from Laozi, a text associated with the Daoist tradition. 

Key terminology

• Neo-Confucianism is an English term to refer to the Daoxue 道學, “learning of the Way” (while the Way 道 is often associated with Daoism or Taoism, it was a central concept in all philosophies. It indicates something like “the principles according to which things should operate.” The first person to refer to the new interpretations of Confucian texts as Dao xue is Wang Kaizu 王開祖 (1035-1068), thus categorizing this new intellectual movement.
• Qi 氣. This is hard to translate. Literally, it means “to breath; vapor”, then used to indicate “one’s body energy”, but also “the substance of the world.”^[3]. In Neo-Confucianism, qi is appropriated by Zhāng Zǎi 張載 (1021-1077) as the source of all that is formed, material and immaterial things alike. It binds everything in the universe. If that is the case, all entities are connected, which, in Zhang's mind, gives a reason to uphold the principle of benevolence 仁. 
• Li 理 "principle." This is the reason why a thing, animal, or person is the way it is; qi and li both determine how the world is.

Some of the main actors

Several scholars participated in the debates that aimed to revitalize Confucianism, in the belief that it was possible to return to a more traditional (i.e., less influenced by Buddhism) way to live and govern. However, some will become more important, and more studied, than others. They can be broadly divided into two categories: those who served as officials, and were influential during their lives, and those who did not serve and became celebrated by later generations.

Among the first group, influential during their lifetime:

Ouyang Xiu 歐陽修 (1007-1070) is a very influential scholar. He is continuously referred to as a source of authority. You have read about him in the reading by Hsaio-wen Cheng that we did to discuss human nature and gender: he was one of the scholars who began to doubt the zaiyi interpretative system, according to which extraordinary phenomena are political omens. He believes the role of officials is that of making sure that the emperor servers every body in the empire. He served at highest levels in the administration, unlike other thinkers at this time.

Wang Anshi 王安石 (1021-1086), often remember as a reformist. As Jiyan Qiao indicates ^[4], he had the emperor Shenzong's ear, and exchanged with him many letters. He pressed the emperor to take control of the business of money-borrowing. Wang wanted the government, not private people, to lend money to farmers in the Spring, so as to allow them to buy seeds and have a fruitful harvest. His reforming plan was known as the Green Sprouts Policy 青苗法. This policy was implemented briefly, but it was not carried out properly. The empire was vast and there were little chances to control how the money were distributed, leading to corruption soaring: local magistrates would keep the money sent by the emperor for themselves, leaving farmers without resources to be productive. The policy did not produce the results Wang Anshi advocated, and it was therefore canceled. Wang Anshi ended his life in disgrace.

Sima Guang 司馬光 (1019-1086) is Wang Anshi's most vocal opponent. Sima believed that the role of the government was that of promoting morality, not of meddling with economic business. He considered peasants poor because they were inherently less intelligent, thus there was no point in helping them. He fought Wang Anshi's ideas first and foremost on ideological ground.

Su Shi 蘇軾 (1037-1101) ^[5] is one of the most important intellectuals of the time. Well-versed in many topics, he wrote interpretations of the Confucian Classics, of Zhuangzi, was a practitioner of Buddhist meditation. He also wrote about food, iron production, and many many poems - some of which were political satires.

In the second group: scholars who are not particularly successful as officials, and turn to teaching locally. They are, in a sense, philosophers more than scholars.

Zhāng Zǎi 張載 (1021-1077). In a sense, he is the first Neo-Confucians, since he makes of qi a metaphysical entity. 

Chéng Hào 程顥 (1032-1085) and Chéng Yí 程頤 (1033-1107), brothers. They are Zhang's nephews. They introduce a link between qi and li, something that was not part of previous discussions on Confucianism. They agreed with their uncle that qi was the source of everything, but everything that came out of it had to follow some rules. In their minds, these rules are derived from li. Both qi and li exist a priori, regardless of mankind. But humans have one task: understand the principle that governs all things, including themselves. This is at the core of the so-called "investigation of things" ge wu 格物.

Zhū Xī 朱熹 (1130-1200), the person mostly associated with Neo-Confucianism. His work builds on those of all his predecessors, in particular on He Yan's 何晏 (190-249 CE), one of the first commentators of the Analects. He had a modest career in government, and dedicated his life to being a teaching and building a coherent reading of the Analects. While not part of the five classics established during the Han dynasties, the Analects was of paramount importance and a mandatory reading for anyone wanting to be considered educated. Zhu Xi selected the Analects as one of the four texts that he thought were necessary to understand the core beliefs of Confucianism (the other three being the Great Learning 大學, the "Doctrine of the Mean" 中庸 section of the Ritual Records 禮記, and the Mengzi 孟子). His focus on these four texts derives from the Chengs' principle of "investigation of things." Zhu Xi agrees with the idea, but he also thinks that people cannot investigate everything. Some things are more apt to being investigated, and they can lead you to understand the principle much more quickly. Among these are the Confucian texts, because Confucius was seen as a sage. 

The Contention about Human Nature in the Song Dynasty

Both Wang Anshi and Su Shi discuss about human nature,^[6] even though Su Shi wrote that his colleagues' debates on human nature were trouble, 儒者之患，患在於論性.^[7] What is then really the contention between Wang and Su, and how is human nature part of this?

In order to understand this, we need to look at the political and intellectual context in which they are moving. The first element to consider is the civil service examination system. This was first introduced under the Sui 隋 dynasty (581-618 CE), as a tool to identify knowledgable literati and appoint them as officials. Merchants and artisans were not qualified to take this exam.^[8] Under the Tang 唐 Dynasty (618-907 CE), these exams became increasingly important. Under Emperor Taizong 太宗 (reign 626-649 CE), the candidates were given food and clothes to support their period of study, and were interviewed by the emperor himself. He also set up schools and colleges, which lead to a proliferation of interpretations and studies of the ancient texts.^[9] The curricula for the exams were set around the Confucian Classics, and every candidate had to prepare on the same material. This went hand in hand with a project of intellectual unification. Around the same time of the reign of Taizong, Kong Yingda 孔穎達 (574-648 CE) was overseeing a group of scholars who selected one edition for five ancient texts believed to contain the key to proper government: the Book of Changes 易經, the Book of Odes 詩經, the Higher Writings 尚書,  the Ritual Records 禮記, and the Springs and Autumn 春秋.^[10]

Succeeding in the exams could mean being guaranteed a prestigious career, thus many families struggled to have a son educated and sent to take these exams. The system did recognize at times men of relatively humble background and without important connections,^[11] although the majority of those who could access it came from families well-placed in the society, and the rate of success was very low.

By the Song dynasty, the exam system had already undergone ups and downs. After funding the Song Dynasty, Emperor Taizu 太祖 (reign 960-976 CE) decided to revive the system and attempted to break the nepotism that came from it. However, this lead to a contradict: the system did indeed promote individuals on the basis of their knowledge. But these newly-appointed officials, lacking the security given by belonging to a powerful social class with its own means (i.e., the aristocracy), were less willing to challenge the emperor. Several offices gradually lose independence and authority, with the emperor making more and more decisions. ^[12] This may even work as long as the emperor is a strong and authoritative person.

By the time of Emperor Shenzong 神宗 (reign 1067-1085), for whom Wang Anshi worked, the civil examination system and the relationship between emperor and officials was thought to need a restructure. Shenzong was aware that the throne was less powerful than under his predecessors, and sought ways to increase his control. Several officials also understood that reforms were needed.

Wang Anshi however was an exception in thinking that learning should be based on a single curriculum, decided by Wang himself. In 1070, Wang was even able to set the questions for the imperial exam, and he wanted perspective scholars to answer accordingly to his thinking: morality depends on, and serve, the emperor.

This did not reason well with all other important literati at the time. While they all agreed that their role was that of serving the emperor and strengthening the empire, for Sima Guang, Su Shi, Ouyang Xiu, retaining independence of learning was paramount. Intellectuals could not become mere instruments of the emperor. The identity of this social class was based on their ability to remonstrate with the emperor, debate the interpretation of ancient texts, and develop individual journeys of self-cultivation.

To convey this independence of learning, Su Shi wrote the "Parable of the Sun."^[13] According to Su, one should study to understand how the world works and how humans should live for the sake of understanding, not to gain an official position or recognition. Interpreting a passage in Confucius's Analects, Su Shi wants to remind that learning is an individual journey. While it is important to engage with the ideas of others, ultimately true understanding has to rely on one's perception and ideas.  

Meanwhile, while all of this debate goes on openly, Zhang Zai, the Cheng brothers and Zhu Xi are debating human nature as well, but differently.