From Text to Praxis: Yan Zun’s Intertextual Strategies in Laozi Zhigui and the Pragmatic Synthesis of Zhouyi, Zhuangzi, and Huang-Lao Thought

Abstract

This paper, through a detailed textual analysis of Laozi zhigui 老子指歸, examines Yan Zun’s sophisticated intertextual strategies in elucidating the Daodejing 道德經 and explores the eclectic and inclusive conceptual framework he constructed. First, Laozi zhigui not only directly quotes or adapts phrases from major texts such as the Zhouyi 周易, Zhuangzi 莊子, Huangdi sijing 黃帝四經, and Huainanzi 淮南子, but also incorporates concepts such as yin and yang, qiwu 齊物, and yinxun 因循 from these sources. To a considerable extent, this approach has enriched the ideological connotations of the Daodejing. Second, Yan Zun takes the core ideas of the Daodejing as a foundation to blend the philosophies of the Zhouyi, Zhuangzi, and Huang-Lao Daoism. In this way, he resolves potential conflicts among these diverse textual traditions and preserves the logical coherence and value integration of Laozi zhigui. Third, through his synthesis of these classical texts, Yan Zun develops a more comprehensive cosmological framework, alongside a practical political theory and principles for self-cultivation. Although the primary purpose of the Laozi zhigui is to elucidate the Daodejing, through his remarkable interpretive skills, Yan Zun’s concepts not only clarify the classic text but also generate novel perspectives, innovative concepts, and a distinctive intellectual framework.

1. Introduction

As one of the earliest extant commentaries on the Daodejing 道德經, Yan Zun’s 嚴遵 (1st century BCE) Laozi zhigui 老子指歸 (hereafter referred to as the Zhigui), composed during the late Western Han Dynasty (202 BCE–8 AD), remains a remarkably distinctive work within Daodejing commentarial tradition. Compared with other annotated editions of the Daodejing, the Zhigui has attracted relatively limited attention in the academic community. Existing studies primarily focus on elucidating its metaphysical dimensions. However, scholars such as Wang Deyou 王德有 (see D. Wang 1984, pp. 60–66), Jin Chunfeng 金春峰 (see Jin 1987, p. 411), and Zhu Ruikai 祝瑞開 (see Zhu 1989, pp. 201–6) contend that the Zhigui transcends mere cosmology by systematically positing the Dao as the ontological basis for the existence and development of all things. Evidently, this sustained focus reveals emerging ontological dimensions in the Zhigui.

While building upon prior studies, this paper focuses on Yan Zun’s intertextual interpretive skills and theoretical exploration for political praxis in his commentary on the Daodejing. Moreover, it examines the coherent ideological framework he constructed through synthesizing diverse philosophical traditions. Yan Zun proposes the idea that “by embracing the return to ziran 自然 (self-so), one can harmonize the directions of all things”1. Yan Zun draws on various schools of thought to elucidate the intentions and directions of Laozi’s philosophy. In Yan Zun’s view, the ultimate goal of exploring the intentions of the Daodejing is to “comprehend the numbers of heaven天 (tian) and earth地 (di), the order of yin and yang, the pairing of husband and wife, the affection of father and son, the rituals of sovereign and subject, and thereby enable all things to flourish”2. In other words, by understanding the relationships between heaven and earth, yin and yang, husband and wife, father and son, and sovereign and subject, one can achieve the nourishment and flourishing of all things.

Yan Zun was a scholar of remarkable range and depth. He extensively draws on concepts, phrases, and philosophical ideas from texts such as the Zhouyi 周易, Zhuangzi 莊子, Huangdi sijing 黃帝四經, and Huainanzi 淮南子 in his annotation to the Daodejing. According to the Sanguozhi 三國志 (Records of the Three Kingdoms), Li Quan 李權 said, “Confucius and Yan Zun gathers various texts to compose the Spring and Autumn Annals and Zhigui, hence the sea is great because it converges all streams, and a gentleman is broad because of his extensive knowledge”3. By comparing Yan Zun to Confucius, Li Quan praises Yan Zun’s extensive learning and acknowledges the intellectual diversity of the Zhigui. The historical records provide ample evidence of Yan Zun’s scholarly depth. First, Yan Zun was proficient in the study of the Zhouyi. As recorded in the Hanshu 漢書 (History of the Han Dynasty), Gaoshizhuan 高士傳 (Biographies of Eminent Officials), and Huayang guozhi 華陽國志 (Chronicles of Huayang), his career as a diviner in the Chengdu market is well documented. Second, Yan Zun is well versed in the Zhuangzi. According to the History of the Han Dynasty, Yan Zun authored more than one hundred thousand Chinese characters in accordance with the intentions of Laozi and Zhuangzi (Ban 1962, p. 3056). Third, Huang-Lao thought is also an important source of ideas for the Zhigui. The Records of the Three Kingdoms further document that Yan Zun wrote the Zhigui after studying the literature of Huang-Lao School (S. Chen 1959, p. 975).

Therefore, this paper examines how Yan Zun creatively combined ideas from diverse schools of thought in his commentary on the Daodejing. By closely analyzing key terms and concepts from the Zhouyi, Zhuangzi, Huangdi sijing, and Huainanzi referenced in the Zhigui, we aim to clarify two aspects: first, the fundamental principles underlying the operation of all things in the universe expounded in this text, and second, the practical applications of these principles in guiding governance and self-cultivation during the Han Dynasty.

2. Cosmological Insights and Practical Guidance: The Influence of the Zhouyi on the Zhigui

Yan Zun, a practitioner of divination with expertise in the Zhouyi, draws upon the cosmological insights gained from such practices to inform his commentary on the Daodejing. As noted by Rudolf G. Wagner, Yan Zun is the earliest known philosopher to fuse an interest in the Daodejing with an engagement in the Zhouyi (see Wagner 2009, p. 34). The Zhigui organizes the Daodejing into 72 chapters, a distinctive structure reflecting Yan Zun’s philosophical approach. In his introduction Junping Shuo Er Jingmu 君平說二經目 (Yan Junping’s Explanation of the Titles of Two Classics), Yan Zun explains that the chapter divisions of the Dejing 德經 and the Daojing 道經 symbolically correspond to the cosmological principles: using 8 (yin, di) and 9 (yang, tian) as base numbers from the Zhouyi, he structured the text into 72 chapters with 40 for the Dejing section and 32 for the Daojing (Yan 2013, p. 5). This numerical arrangement is intricately linked to Yan Zun’s profound understanding of the Zhouyi (see Li 2020, pp. 41–42).

Specifically, there are two explicit references of the Zhouyi.4 In addition, the Zhigui contains numerous instances where despite not explicitly mentioning the Zhouyi, it directly quotes certain passages from the Zhouyi. For example, “each corrects its nature and life, and all things naturally become so”5 directly cites the original text of the Tuanzhuan 彖傳 of the Qian hexagram (Bi Wang 2011b, p. 3). Similarly, “thus, when the sun is at its zenith, it begins to decline; when the moon is full, it begins to wane; the four seasons change, one ceases and one begins”6 essentially conveys the same meaning as the Tuanzhuan of the Feng 豐 hexagram, which states, “When the sun is at its zenith, it begins to decline; when the moon is full, it is eclipsed; the heaven and earth are full and empty, changing with the times”7. Lastly, “the way of heaven and earth there must be an end to a beginning, and a beginning to an end. Yang energy is at peace in the latent dragon (qianlong 潛龍), hence it can melt metal; yin energy condenses in the frost, hence it can freeze ice”8 skillfully paraphrases the opening lines of the Qian and Kun hexagrams, “the latent dragon does not use”9 and “Treading on frost, ice is sure to come”10. This not only summarizes the relationship between the initial lines of the Qian and Kun hexagrams but also uses the concept of the waxing and waning of yin and yang to draw an analogy to the ceaseless reciprocal movement of heaven and earth.

From this analysis, it is evident that Yan Zun rarely reproduces entire passages from Zhouyi verbatim. Instead, he selectively draws on brief fragments or phrases, often adapting them to fit his interpretative framework. Yan Zun’s intertextual strategy achieves dual hermeneutic efficacy: it smoothly incorporates passages from the Zhouyi into the Zhigui’s structure while avoiding discursive fragmentation from excessive citation. This strategy is evident not only through his direct or indirect references to the Zhouyi, but more profoundly in how he adapts and applies its essential ideas to rebuild the philosophical structure of the Daodejing. Some scholars argue that concepts like shenming 神明, taihe 太和, xingming 性命, and wuwei 無為 in the Zhigui originate from the Zhouyi (see Qiu 2011, pp. 29–35). In addition, the Zhigui contains fundamental concepts derived from the Zhouyi, which form a crucial component of its philosophy.

2.1. A Cosmological Framework Based on the Idea of Yinyang and Change

The idea of yin and yang, which is rooted in the ideas of the Zhouyi, plays a foundational role within Yan Zun’s philosophical commentary. First, Yan Zun highlights the significant role of yin and yang in the transformation of all things in the universe. As the Xicizhuan 繫辭傳states, “The way is called the one yin and one yang”11. Building on this, the Zhigui further elaborates, proposing, “The way of heaven and earth is one yin and one yang; divided into four seasons, separated into five elements; flowing into all things, refined into the three lights”12. In this formulation, yin and yang are not merely dichotomous forces but rather represent a fundamental law of the transformation of all things. The Xicizhuan suggests, “Qian knows the great beginning, Kun creates things”13, a sentiment echoed by Yan Zun, who states, “If there is yin without yang, all things will not be born; if there is yang without yin, all things will not be completed”14. It is evident that Yan Zun not only distinguishes the specific functions of yang in giving life and yin in completing things but also emphasizes the concept that yin and yang are indispensable in the process of generating all things.

Second, in addition to symbolizing the cosmic forces of heaven and earth, yin and yang also represent the male and female principles. In the Zhigui, Yan Zun explicitly states, “Yang is male, yin is female”15, aligning this view with the Xicizhuan, which asserts, “The way of Qian creates male, the way of Kun creates female”16. This parallel highlights the integral connection between these dualities, with the forces of yin and yang serving as metaphysical and social archetypes for male and female, respectively.

Third, Yan Zun extends the concept of yin and yang to the realm of governance. Uniquely, he linked yin to the sovereign and yang to ministers, a perspective that sharply diverges from both Confucianism and Legalism. In the Zhigui, he proposes, “When governing the world, the sovereign should be yin while the ministers should be yang, the sovereign should be still while the ministers should be active, the sovereign should be round while the ministers should be square, the sovereign should follow while the ministers should initiate, the sovereign should be silent while the ministers should speak, be upright, just, being upright and fair, and achieve great harmony”17. In this passage, Yan Zun correlates yin with the sovereign and yang with the ministers, suggesting that if the sovereign is silent and inactive while the ministers are active and proactive, political harmony and peace can be achieved. This is in line with the idea that “The way of the emperor is to do nothing… each in their place, each with their role, responding and supervising, securing their success”18.

Fourth, Yan Zhu recognizes that if the principles of yin and yang are in contradiction to the concept of wuwei (non-action), they lose their significance. Despite his frequent use of the yin and yang dichotomy, he asserts, “Understanding the division of yin and yang, knowing the number of all things… this is the extreme of overthinking, and it is of no benefit to existence”19. This implies that even with a thorough understanding of the distinctions between yin and yang, as well as the numerical principles governing all things, there is no genuine benefit to human existence. As Wang Bo observes, Yan Zun not only opposes “governing the state through knowledge” 以知治國 but actively proposes “non-knowledge” 無知 as the basis of governance (Bo Wang 2013, p. 12). The reason for this is that the application of human knowledge fundamentally contradicts the principle of wuwei central to the philosophy of Dao. Thus, despite Yan Zun’s deployment of the concept of yin and yang to explicate ideas from the Daodejing, he steadfastly upholds the core tenet of wuwei throughout his interpretation of the text.

Closely tied to the concept of yin and yang is the concept of yi 易, which plays a central role in the Zhouyi. The character yi in its title directly signifies change. As the Xicizhuan states, “The interaction of hardness and softness gives rise to changes”20. Here, “hardness and softness” refer to yin and yang, indicating that changes arise from their interaction. Although the term change itself does not appear in the text of the Daodejing, Yan Zun introduces the ideas of the Zhouyi and applies the concept of change extensively.

First, yin and yang generate change. Yan Zun notes, “The phenomena of yin and yang are characterized by ceaseless dynamism and defy a conclusive end”21. Once yin and yang have given birth to all things in the universe, they do not disappear but continue in a state of perpetual motion, and this motion is the change that results from their interaction. Second, change is universal. The Zhigui states, “The way of heaven and earth is characterized by a rhythm of advance and retreat, and it is in this way, all things come into being and are fulfilled. Change is unstoppable, and the cycles of expansion and contraction remain unhindered”22. The terms “advance and retreat” and “expansion and contraction “are also expressions of change in the Zhouyi. Yan Zun believes that change is an inevitable law of heaven and earth, one that no person or thing can evade. Third, in alignment with Chapter 40 of the Daodejing, which proposes the law of change as the notion that “Reversion is the movement of Dao”23, Yan Zun suggests, “Change derives from the reversion, while harmonious subtlety remains the constant rule”24, stating that “The void and the solid return to each other, being and non-being give birth to each other, cold and heat are opposite, light and darkness follow each other. Yin wanes while yang waxes, and yang wanes while yin waxes; the root flourishes while the branch withers, and when the branch withers, the root declines. The way of heaven and earth is the mechanism of change”25. For Yan Zun, the law of change in the universe is a cyclical interplay in which opposites—void and solid, being and non-being, cold and heat, light and darkness, yin and yang, root and branch—continuously transform into one another. His interpretation ultimately reaffirms the Daodejing’s fundamental insight that “reversion is the movement of Dao,” reinforcing the primacy of Laozi’s thought in his philosophical framework.

2.2. Individual Practical Principles Anchored in Ganying

Another significant concept Yan Zun draws from the Zhouyi is the idea of ganying. The Wenyanzhuan 文言傳 (Commentary on the Words of the Text) of the Qian hexagram states, “like sounds resonate with each other; like qi 氣 (vital forces) attract one another”26. This suggests that there is ganying between similar entities, and this ganying forms the theoretical basis for communication between heaven and humans, as well as for divination and judgment of fortune and misfortune. Yan Zun also proposes a similar view, asserting that, as the Xicizhuan mentions, “When an exemplary person is in his dwelling and speaks well, it will be echoed a thousand miles away, not to mention those nearby”27. Yan Zun further elaborates, “when humans initiate actions nearby, things and beings resonate from afar. When things are activated here, heaven and earth respond there… Despite the vast distance, the precise corresponding reactions among all things occur because they share an underlying unity”28. This implies that since all things share an underlying unity, they are capable of mutual resonance; regardless of the vast distance separating them, the ganying responses between them will be perfectly synchronized.

On the one hand, ganying is of great significance for nourishing life. In his commentary on Chapter 50 of the Daodejing, Yan Zun posits, “Where there is a stimulus, there is a response. This is the law of ziran. No matter if it is heaven and earth, or living beings, none can escape from this ganying or defy it. When traveling on land, one will not be harmed by rhinos or tigers. When entering a military conflict, one will not be harmed by weapons… What accounts for this? It is because sounds and echoes correspond to each other, and things follow the patterns of their own kind”29. From Yan Zun’s point of view, those well versed in the art of nourishing life can remain unharmed even when confronted with rhinos, tigers, or weapons. The reason is that they can adhere strictly to the principles of Dao. Amid the interplay of mutual resonance that pervades all things in the universe, any intention to cause them harm simply fades away.

On the other hand, when commenting on Chapter 57 of the Daodejing, Yan Zun extends the concept of ganying to the political realm, believing that “the sovereign represents the very core of the realm. Just as the body responds when the qi is stirred, and the body follows when the heart is moved, so too do sounds and echoes correspond, and shapes and shadows accompany each other. However, these analogies still fall short of fully describing this relationship”30. In this passage, he draws an analogy, comparing the sovereign to the heart and the people to the body. Through this, he elucidates the interactive and responsive connection that exists between the sovereign and the people. Moreover, he posits that the sovereign’s choices in conduct directly impact the behaviors of the people. It is evident that although Yan Zun introduces the concept of ganying, he still emphasizes the content of nourishing life and the sovereign’s wuwei from the Daodejing.

Additionally, the Zhigui also assimilates the notion of fortune and misfortune depending on one’s actions, a concept presented in the Zhouyi. Yan Zun puts forward the idea that “Misfortunes are engendered by one’s own actions, not by others; fortunes are brought about by oneself, not bestowed by heaven”31. He argues that the root causes of an individual’s fortunes, misfortunes, good omens, and bad omens all lie within oneself, rather than in external factors such as heaven or others. To some extent, Yan Zun’s philosophy not only stresses the objectivity of laws like yin and yang but also places significant emphasis on the subjective dimensions of human agency, actively promoting self-cultivation. According to the Hanshu and the Huayang guozhi, Yan Zun employs divination activities to inform the people that they should adhere to ethical concepts such as zhong 忠 (loyalty), xiao 孝 (filial piety), ren 仁 (benevolence), and yi 義 (righteousness). This record clearly shows that Yan Zun was indeed influenced by the concept that fortune and misfortune depend on one’s actions.

3. The Transcendent Spiritual Realm and Practical Approach: Decoding the Zhuangzian Echoes in the Zhigui

Current research has paid limited attention to how the Zhigui draws on and develops ideas from the Zhuangzi.32 In fact, the frequent appearance of terms and concepts from the Zhuangzi proves that Yan Zun was well acquainted with and actively incorporated the essence of Zhuangzi’s thought in composing the Zhigui. For example, the term dasheng 達生 (mastering the art of living) in the phrase “Consequently, one can master the art of living, prolong one’s lifespan, and dwell in harmony with Dao eternally”33 is drawn directly from the title of a chapter in the Zhuangzi. Similarly, the term zuowang 坐忘 (sit and forget) in the phrase “When standing, one transcends the self; when sitting, one forgets the mind”34 comes from the chapter the Great Master 大宗師 in the Zhuangzi. In addition, the phrase “Let the mind wander in tranquility and focus the will on the subtle”35 written by Yan Zun contains the concept of “Wandering the mind”, which also originates from the Zhuangzi. Moreover, this concept appears with a very high frequency in the Zhuangzi. For instance, it can be found in chapters such as The Sign of Virtue’s Perfection 德充符, Among Mortals 人間世, Responding to the Emperor 應帝王, and Joined Thumbs 駢姆. Furthermore, the line “They had no taboos, dwelling alongside elk; with hair unbound and food in their mouths, they roamed about together”36 comprehensively draws on the phrases “Playing while having food in the mouth and strolling with a full belly”37 from the chapter The Horse’s Hooves 馬蹄 and “People knew their mothers but not their fathers, living together with elk”38 from the chapter Robber Zhi 盜跖 in the Zhuangzi. These examples show that, similar to the citation of the Zhouyi, Yan Zun’s references to the Zhuangzi are indirect, often subtly woven into the fabric of the Zhigui without directly transcribing entire passages. This intertextual approach allows for the seamless integration of adapted Zhuangzi excerpts into the Zhigui, enhancing the text’s depth while maintaining stylistic coherence.

3.1. Qiwu 齊物: A Transcendent Spiritual Realm

The concept of qiwu 齊物 (equality of all things) is a central idea in the Zhuangzi. In the chapter On the Qiwu 齊物論, Zhuangzi posits, “There is nothing in the world greater than the tip of an autumn hair, and Mount Tai is considered small; there is no one longer-lived than a prematurely deceased child, and Peng Zu is considered to have died young. Heaven and earth coexist with me, and all things are one with me”39. He further asserts, “This is also that, and that is also this. That has its own right and wrong, and this has its own right and wrong”40. From Zhuangzi’s perspective, since all things are equal, distinctions such as those between the large and the small, the short-lived and the long-lived, the self and the external world, the other and the self, and right and wrong can be dissolved. Following Zhuangzi’s line of thought, Yan Zun also advocated transcending the binary oppositions. He states, “Things can be both identical and different, different and identical, wrong yet right, and right yet wrong”41. Based on this, he further states that one should “Find joy in poverty as if it were prosperity, and find contentment in death as if it were longevity. Even if one wishes to linger, it cannot last long”42. In brief, there are neither distinctions of sameness or difference nor of right or wrong among things. One should transcend the conventional dualities with the idea of qiwu.

At the same time, the chapter Autumn Floods emphasizes, “All things are equal; who can say which is short and which is long?”43 and “Viewed from the perspective of Dao, things have neither nobility nor lowliness”44. This suggests that all things within heaven and earth are equal and that there is no distinction of high and low or noble and humble. Influenced by the Zhuangzi, Yan Zun also frequently reiterates the notion that “all things are equal”. For example, “All things are equal and balanced, with no excess or deficiency. In harmony and compliance, all things flourish”45; “The world is harmonious, all things are equal and balanced, neither high nor deep”46; and “All things are equal and balanced, with no high nor low”47. It is noteworthy that an overemphasis on the equality of all things may give rise to certain philosophical dilemmas.

It is commonly believed that qiwu primarily represents an ideal state of mind, so how should we reconcile this idea with the actual differences that clearly exist between all things? Yan Zun offers a solution: “The inherent nature of each thing has its defined bounds and scopes, and it must not encroach upon one another. The cosmic creative impulse, in its harmonious rectitude and impartiality, treats all things without discrimination. It is steadfastly just and equitable, devoid of any affection or aversion, and is in perfect harmony with all of creation”48. According to Yan Zun, the disparities manifested by all things merely originate from their distinct natural endowments. However, when perceived from the vantage point of Dao, its attitude towards all things is one of unwavering fairness and impartiality, entirely free of any inclination or bias. This implicitly suggests that the sovereign should draw inspiration from Dao for governance, treating their people with the same measure of justice and equality.

To promote this idea more effectively, Yan Zun combines the concept of qiwu with that of wuwei, using the former to justify the necessity and rationality of the latter. In his view, qiwu and wuwei are crucial for a sovereign’s governance. If all things are equal, with no distinction between the high and the low, the sovereign should model their governance on how Dao interacts with all things. Governance should not rely solely on external mechanisms such as laws, rewards and punishments, decrees, or military campaigns. Only when the sovereign practices non-interference can the people correct themselves, achieve balance, gain clarity, and return to their innate, unadorned nature.

On a more personal level, these two concepts are also crucial for those who aspire to nourish life. In his commentary in Chapter 50 of the Daodejing, Yan Zun posits that “Never hold things in contempt nor exalt human beings. One should not deviate from those of kings and nobles, nor should one’s concerns be at odds with those of the common people. Viewing life and death as an inseparable unity, one refrains from distinguishing between existence and perishing. This captures the essence of wuwei in the practice of self-cultivation”49. This encapsulates the essence of wuwei in the practice of self-cultivation. In other words, those skilled in nourishing life should treat themselves and all things equally, refraining from elevating themselves above others. They should face life and death with equanimity, neither being overly attached to life nor excessively fearful of death.

3.2. Zhijian 之間: A Practical Approach

Given that all things lack distinctions between nobility and baseness or right and wrong, how should one handle specific situations and objects? In the chapter Mountain Trees 山木, a story illustrates this dilemma: A large tree in the mountains lives out its natural lifespan because it is not useful, while a domestic goose that cannot honk is killed because it is not useful. It appears that being useful can lead to disaster, and being useless can lead to neglect or demise. So, how can one strike a balance between these extremes? Zhuangzi introduces the concept of zhijian 之間 (intermediacy), suggesting that only by positioning oneself between usefulness and uselessness can one avoid constraints and risks, ultimately surviving and nourishing life (Guo and Cheng 2011, p. 359). Drawing on Zhuangzi’s thought, Yan Zun applies the concept of intermediacy to interpret the Daodejing. When annotating the phrase “not desiring to be as splendid as jade, nor as common as stone”50 in Chapter 39 of the Daodejing, Yan Zun proposes that “Neither be stone nor jade, but always exist in a state of intermediacy. Neither too much nor too little, neither precious nor humble, with the One (yi 一) as the guideline and Dao as the framework”51. This means that although jade and stone belong to the same category, jade is rare while stone is abundant. Therefore, people often value jade and despise stone, seeking jade and discarding stone. The sage, however, differs from the ordinary people: they do not distinguish between jade and stone but maintain a relatively balanced state in intermediacy. This balance is not arbitrary or without principles, it is grounded in the yi and Dao as the fundamental principles of intermediacy.

Notably, Yan Zun endows the concept of intermediacy with practical significance, taking it as a guiding principle for action. Compared to more abstract concepts like qiwu and wuwei, intermediacy seems more closely aligned with practical application. On the one hand, it can guide a sovereign in governance and administration. Yan Zun believes that a sovereign’s ability to “Preserve the self and ensure the peace of the state lies in the balance between life and death”52. In his view, the rise and fall of all things are governed by the natural cycles of life and death. Therefore, the sovereign should follow the natural law of heaven, aligning governance with Dao, rather than relying solely on policies of life or death. In other words, a sovereign should apply various means in accordance with the natural rhythm. On the other hand, intermediacy can guide individuals in securing their place and finding meaning in life. The Zhigui proposes, “Therefore, the sage does not cling to being, nor to non-being, nor to death, nor to life. They wander at the boundary of existence and non-existence, dwell between life and death, adapt to changes, and regard ziran as the constant”53. This suggests that the sage maintains a consistent approach towards existence and non-existence and life and death. They neither prioritize existence over non-existence nor life over death. Instead, they navigate between these states, adapting to the natural transformations of all things. This concept of intermediacy is also reflected in the sage’s words and actions. When annotating the passage in Chapter 70 of the Daodejing, Yan Zun argues that sage’s speech is “Between silence and speech, subtle and profound, returning to ziran”54, while their actions are “between action and non-action”55, originating from ziran and returning to wuwei. In other words, the sage’s words and deeds are not governed by personal preferences or bias but are attuned to the changing conditions of the external world. From this analysis, it is clear that Yan Zun places great emphasis on the principle of balance in intermediacy. This concept implicitly contains the principles of ziran and wuwei from the Daodejing, with the goal of intermediacy aligning with these principles. To some extent, intermediacy serves as both Yan Zun’s key framework for connecting Laozi’s and Zhuangzi’s philosophies and a practical method for addressing challenges of daily life.

In summary, Yan Zun effectively uses Zhuangzi’s ideas to explain the concepts in the Daodejing. On the one hand, he meticulously maintains the internal consistency and coherence of the Zhigui. In integrating passages from the Zhuangzi, he ensures their semantic alignment with the broader context of the Zhigui, thereby preserving the integrity of the original text. In introducing concepts from the Zhuangzi, he is careful to harmonize them with the ideas presented in the Daodejing, enriching the latter’s intentions without distorting its fundamental principles. Notably, Yan Zun achieves this integration through a methodical and principled approach, demonstrating caution in drawing connections between the two texts. For instance, he links the concepts of qiwu and intermediacy from the Zhuangzi with the ideas of ziran and wuwei from the Daodejing. In doing so, he remains rooted in the core teachings of the Daodejing, adapting the Zhuangzi’s ideas in ways that avoid any deviation from the original intent of the Daodejing within the Zhigui.

4. The Interplay of Cosmological Genesis and Practical Governance: Unraveling Huang-Lao Thought in the Zhigui

Huang-Lao Daoism also served as a significant intellectual resource for Yan Zun in composing the Zhigui. According to Sima Tan’s 司馬談 (165BCE-110BCE) summary in Essentials of the Six Schools of Thought 論六家要旨, the Huang-Lao Daoist School holds that “The essence of their doctrine takes emptiness as its foundation, and following the natural order as its practical application”56. The Zhigui not only explicitly advocates “Emptiness as the constant, serenity and stillness as the foundation”57, but also repeatedly emphasizes the significant importance of adhering to the natural order. This clearly shows the influence of Huang-Lao Thought58. Upon examination, it is evident that the Zhigui inherited and developed key ideas from Huang-Lao Daoism, such as its cosmological view, the notion of yinxun 因循 (following the natural course), and xingde 刑德 (cosmological punishment and virtue).

4.1. A Transformational Framework in Huang-Lao Daoist Cosmology

The Zhigui inherits and expands upon the cosmological framework of Huang-Lao Daoism. This school of thought articulates a unique cosmology, particularly emphasizing the role of heaven and earth, yin and yang, and the four seasons 四时 in the creation of all things (see Asano 2021, pp. 15–90). For example, the Huangdi sijing states that “Initially, the state of chaos began to differentiate into two opposites, which further divided into the fundamental forces of yin and yang. These forces then separated to form the four seasons. Through the interplay and mutual fulfillment of rigidity and flexibility, all things came into existence”59. This regards yin and yang, and the four seasons as necessary stages in the generation of all things. Similarly, the Huainanzi also proposes, “The intermingling essence of heaven and earth forms yin and yang; the concentrated essence of yin and yang gives rise to four seasons; and the dispersed essence of four seasons nurtures all things”60. This establishes cosmological processes from heaven and earth to yin and yang, and then to the four seasons, which in turn give birth to all things. It is important to note that these discussions do not incorporate the wuxing 五行 (the five elements) theory, which often plays a central role in other schools of Daoist thought.

Compared to Huang-Lao Daoism, the Zhigui presents a more nuanced and sophisticated cosmological framework61, incorporating additional concepts such as daode道德, shenming, taihe, and wuxing into its cosmological schema. The Zhigui suggests, “Cultivate reverence for the Dao and promote the inner essence of the de 德. Follow the shenming and maintain the taihe. Act in accordance with the heaven implement it on earth. Allow yin and yang to fulfill their respective roles, ensuring the orderly succession of the four seasons. Eradicate the root causes of chaos, and let all things find their proper places. Maintain a tranquil and indifferent mindset for the sovereign. In this way, the ordinary people can live in peace and contentment, free from disturbances”62. Scholars have noted that concepts such as daode, shenming, taihe, and heaven and earth are key concepts in the Zhigui, and Yan Zun imbues them with entirely new layers of meaning63. It should be noted that Yan Zun also explicitly includes wuxing in the cosmological schema. In his exegesis of Chapter 44 of the Daodejing, Yan Zun posits that “The transformation of the daode, the numerical principles of heaven and earth, the interplay of yin and yang, divided into four seasons, separated into wuxing, woven into a net, established without gaps, the nature of all things, each with its own measure, and none interfering with each other”64. On the one hand, Yan Zun regards wuxing as an important stage in cosmological processes. Yan Zun’s cosmology expands beyond that of Huang-Lao Daoism, delineating a far more diverse array of cosmological processes in which the relationships between each stage are tightly interwoven and complex. On the other hand, Yan Zun also emphasizes the regularity and normative meaning of wuxing, regarding it as the basic laws of political operation. The phrase “each with its own measure, and none interfering with each other” mentioned here is closely related to the concept of wuwei in the Daodejing. From Yan Zun’s perspective, the principles governing all things and human society are consistent. The Dao operates through wuwei, and thus the optimal mode of political governance should also adhere to wuwei. Only when a sovereign maintains a tranquil and wuwei-oriented mindset can the people achieve stability and peace.

4.2. Yinxun 因循: A Fundamental Principle for the Development of All Things

The Zhigui places great emphasis on Huang-Lao Daoism of yinxun 因循 (following the natural course), grounding it in a theory of cosmological processes. The Huangdi sijing states, “The sage’s success is due to the utilization of timely opportunities. By adhering to the appropriate measures of the time, military success is assured”65. This emphasizes the importance of the sage’s timing in military campaigns, which must follow the natural order of time. The Huainanzi proposes, “The art of governance of a sovereign… follows the natural course and delegate to the subordinates, holding them accountable while the sovereign himself remains free from toil”66. This indicates that the sovereign ought to align with the capabilities and characteristics of their subordinates. By discerningly assigning them appropriate duties, the sovereign can avoid the pitfall of micromanaging every affair, refraining from the inclination to handle every matter personally.

The inheritance of the notion of yinxun in the Zhigui is most clearly manifested in its discussions of the sages or persons of the Dao (youdao zhishi 有道之士). Yan Zun believes that persons of Dao “follow the natural course of heaven and earth, change with the customs, delve deeply into the Dao, and wander with de”67. In practice, the sages “abandon knowledge and cast aside concerns, empty their minds and focus their vital energy, maintain tranquility and respond in accordance with the natural order, following the will of heaven and conforming to the intent of earth”68. The sage “follows the principles of heaven and earth to regulate the appropriateness of all things”69. This means that the sages remove their personal knowledge and preferences, instead adhering to the guiding principles of the daode and heaven and earth to govern all things. As a result, their actions and political governance do not follow rigid or predetermined patterns: “Adapt to changes in accordance with the timing and do not make presuppositions”70 and “Adapt flexibly with the passage of time and transform in line with the nature of things”71.

Most notably, Yan Zun extensively explores the cosmological basis of yinxun’s principle. This can be understood at two levels. On the first level, cosmological processes follow the principle of yinxun. The Zhigui proposes, “In the genesis of heaven and humanity, form arises from qi, qi from taihe, he from shenming, shenming from daode, and daode from ziran. Thus, all things come into existence”72. This passage demonstrates that, in Yan Zun’s cosmological framework, the various stages of the transformation of all things follow a sequential order. Moreover, each subsequent stage evolves in accordance with the natural pattern established by the preceding stage. On the second level, the transformations of concrete things also comply with the principle of yinxun. Yan Zun proposes, “The growth of a tree, the tip follows from the branch, the branch follows from the stem, the stem follows from the root, the root follows from heaven and earth, and heaven and earth receive from the formless”73. Although the growth of a tree may seem insignificant in comparison with the grand scale of cosmological processes, it still adheres to the principle of yinxun. In this analogy, the tree’s roots, stem, branches, and leaves follow the natural course dictated by the preceding stages, drawing the energy for change from what has already been established. The roots, in particular, depend on and are in harmony with the tangible entirety of heaven and earth. Subsequently, within this causal framework, heaven and earth themselves are subordinate to the intangible Dao. Yan Zun particularly emphasizes in the Zhigui that “Conformity and imitation” 因應效象 belongs to “the way of heaven and earth” (see Yan 2013, p. 193). Thus, the principle of yinxun becomes a fundamental principle that governs the generation and transformation of all things within heaven and earth.

4.3. Xingde 刑德: A Political Mode Harmonizing Idealism with Practical Efficacy

The Zhigui also introduces the concept of xingde 刑德 (cosmological punishment and virtue) from Huang-Lao Daoism and adapts it within the philosophical context of the Daodejing. In Huang-Lao thought, the interplay of cosmological punishment and virtue constitutes an indispensable aspect of political administration. As the Huangdi sijing states, “The key to governance lies in the interplay of cosmological punishment and virtue. These two principles shine brightly like the sun and the moon, illuminating each other to ensure their proper application, without any deviation or distortion”74. This underscores that in the governance of a state, there is a crucial need to strike a balance between cosmological punishment and virtue. These two elements ought to complement one another in a manner analogous to the sun and the moon, thus enabling the attainment of optimal governance outcomes. A critical question then arises: How should the relationship between cosmological punishment and virtue be managed? The Zhigui offers a seasonal analogy to explain their relationship: “Spring and summer represent cosmological virtue, while autumn and winter represent cosmological punishment. Prioritize cosmological virtue over punishment to nourish life”75. This cosmological framework correlates the generative power of spring and summer to virtue, while aligning the coercive force of autumn and winter with punishment. By invoking the cyclical order of the seasons, it elucidates the sequential relationship between punishment and virtue. In this context, “Virtue precedes punishment, in accordance with heaven”76.

In his commentary on the Daodejing, Yan Zun skillfully integrates the concepts of cosmological punishment and virtue, thereby enriching the interpretive framework77. Since the Daodejing criticizes laws and regulations, Yan Zun also explicitly opposes excessive punishments. He refers to those who govern with severe punishments as “people without virtue” (wude zhiren 無德之人), believing that they “focus solely on the people’s faults and supervise with harsh punishments”, leading to “the people’s resentment, the imbalance of the heart of heaven, chaos in the country, and disaster for future generations”78. However, unlike the Daodejing, Yan Zun demonstrates a certain degree of acceptance towards punishment. The Zhigui proposes, “Preserving oneself and stabilizing the country lies between giving life and imposing death. When the application of life and death penalties is in accordance with reason, heaven and earth will bless the sovereign, and when joy and anger are in moderation, all things will return to the sovereign”79. From Yan Zun’s perspective, the cyclical patterns of flourishing, decline, survival, and perishing among all things attest to the fact that the life-giving and life-taking processes carried out by heaven and earth are manifestations of a rational and innate cosmological principle. Consequently, it is entirely justifiable and legitimate for a sovereign to utilize the instruments of giving life and imposing death as means of state governance.

Moreover, Yan Zun emphasizes that these life-giving and life-taking mechanisms of heaven and earth function through complete impartiality and selflessness. Consequently, a sovereign must emulate the natural law of heaven and earth as a moral imperative. Both the sovereign’s determination of life-and-death matters and the modulation of their emotional responses should conform to the natural rhythms and proportions. Regarding the relationship between cosmological punishment and virtue, the Zhigui suggests, “Therefore, the way of heaven and earth is one yin and one yang, yang energy presides over virtue, while yin energy presides over punishment. Cosmological punishment and virtue are opposite, and he resides in their balance”80. Here, Yan Zun draws an analogy between the relationship of cosmological punishment and virtue to that of yin and yang—opposing but interdependent forces that both play essential roles in governance. The connection between yin and yang and cosmological punishment and virtue in this context does not stem from combining the Zhouyi’s theory of yin and yang with Huang-Lao’s cosmological punishment and virtue but rather originates directly from the conceptual framework of the Huangdi sijing. Tracing the origins of concepts such as yin and yang, which appear across various schools’ texts, is particularly challenging in the Zhigui. An efficient approach involves analyzing related concepts in various contexts. By comparing the connections between these concepts, we can pinpoint their intellectual origins.

The Huangdi sijing states, “Cosmological punishment belongs to yin and cosmological virtue belongs to yang; the former is subtle while the latter is manifest.” While Yan Zun’s perspective clearly reflects the influence of this text, he further emphasizes the necessity of harmonizing cosmological punishment and virtue. This thought closely resonates with the concept in Chapter 42 of the Daodejing, which states that “All things carry yin and embrace yang, and through the blending of qi they achieve harmony”81. In this way, Yan Zun’s philosophical framework consistently echoes the core principles of the Daodejing—specifically, the dynamic interaction of opposites and the pursuit of harmony through the balance of these forces.

5. Conclusions

As demonstrated, when composing the Zhigui, Yan Zun’s intellectual scope was not confined solely to the text of the Daodejing. His approach was not to offer a simple line-by-line commentary, but rather to engage in a more complex, intertextual, and deeply interpretive strategy. Although Yan Zun drew extensively from the Zhouyi, Zhuangzi, and Huang-Lao thought, his purpose was to enhance, substantiate, and enrich the ideas of the Daodejing, rather than to dilute or alter its core themes. This approach, however, poses a significant challenge in textual interpretation: how to ensure that the newly introduced ideas from the Zhouyi, Zhuangzi, and Huang-Lao thought do not contradict the main themes of the Daodejing, and how to maintain a consistent and coherent style throughout the Zhigui? Yan Zun’s strategy addresses these challenges in two key approaches. First, he selectively quoted individual words or adapted sentences from these sources to avoid stylistic dissonance within the Zhigui. Second, he focused on integrating these new ideas through the fundamental concepts of ziran and wuwei from the Daodejing, thereby avoiding logical inconsistencies and value conflicts. Through this sophisticated interpretive technique, Yan Zun was able to expand and deepen the philosophical scope of the Daodejing, enriching and perfecting its intellectual framework without undermining or deconstructing it.

Further, through his intertextual interpretation of the Daodejing, Yan Zun constructs a conceptual framework that, despite its complexity, is characterized by a relatively clear and coherent structure. Building upon the concepts of Dao and de from the Daodejing, Yan Zun incorporates additional ideas such as taihe and yinyang from the Zhouyi, as well as shenming and four seasons from Huang-Lao thought. He constructs a cosmological sequence that begins with daode, progresses through shenming and taihe to yinyang, four seasons, and wuxing, and ultimately culminates in the generation of all things. This comprehensive cosmological framework both explains the development of the universe and provides practical guidance for self-cultivation and governance. In addition to the core concepts of ziran and wuwei emphasized in the Daodejing, Yan Zun introduces terms such as yinxun, change, and ganying to elucidate the objectivity of natural laws. He also adopts the notion of fortune and misfortune depending on oneself to highlight human agency and responsibility in shaping one’s destiny. Moreover, he uses the concept of intermediacy to describe an ideal state of delicate balance, a state in which the complexities of life and governance are harmonized in accordance with the natural order. Together, these ideas form a sophisticated and organic structure that reflects Yan Zun’s creative and comprehensive interpretation. His philosophical framework demonstrates that he was not only an exceptional commentator on the Daodejing, but also a highly innovative thinker in his own right. His integration of diverse intellectual traditions into a coherent and systematic cosmological and ethical vision reveals a deep understanding of the interconnections between the individual, the state, and the universe.

Although the influence of the Zhigui is not as profound or widely acknowledged as that of Wang Bi’s 王弼 (226–249 AD) Commentary on the Laozi Daodejing 老子道德經注, Yan Zun’s pioneering interpretive stance, methods, and certain key viewpoints have nonetheless left a lasting imprint on subsequent intellectual history. Both the Song Dynasty scholar Chao Yuezhi 晁說之 (1059–1129 AD) and the German scholar Rudolf G. Wagner have highlighted the intellectual connections between Yan Zun and Wang Bi. And scholars like Wang Deyou, Jin Chunfeng, and Zhu Ruikai have observed that the ontological concepts in the Zhigui paved the way for Wei-Jin metaphysics 魏晉玄學. To a large extent, Yan Zun’s interpretive skills and pragmatic approach to interpreting the Daodejing appear to have influenced later scholars, including Wang Bi. This intellectual legacy continues to exert a profound influence, radiating spiritual insight and maintaining a vibrant intellectual tradition well into later periods.