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BOOK TWO
Chapter VI
HAVING REGULATIONS[1] : A MEMORIAL
No country is permanently strong. Nor is any country
permanently weak. If conformers to law are strong, the
country is strong; if conformers to law are weak, the
country is weak.
King Chuang of Ching annexed as many states as twenty-six
and extended his territory as far as three thousand li.
As soon as King Chuang passed[2]
away from the Altar of
the Spirits of Land and Grain, Ching decayed accordingly.
Duke Huan of Ch`i annexed as many states as thirty and
extended his territory as far as three thousand li. As soon
as Duke Huan passed away from the Altar of the Spirits of
Land and Grain, Ch`i decayed accordingly. King Hsiang[3]
of Yen took the Yellow River as state-boundary on the
south, established the capital at Chi, doubled the defence
works at Cho and Fang-ch`êng, smashed the Ch`i State,
was a friend of Yen was respected and whoever was
not a friend of Yen was despised. As soon as King Hsiang
passed away from the Altar of the Spirits of Land and
Grain, Yen decayed accordingly. King An-li of Wey attacked
Yen, rescued Chao,[4] took the land to the east of the Yellow
River, and completely conquered both T`ao and Wei.[5]
Then he mobilized his troops into Ch`i and took the city of
P`ing-lu to be his holiday resort. Then he attacked Han,
took Kuan, won the battle by the Ch`i River. Then in the
engagement at Chü-yang he drove the worn-out troops of
Ching into retreat. Finally in the engagement at Shang-ts`ai
and Chao-ling he routed the Ching troops. In this manner
he sent out his expeditionary forces in the four directions
throughout All-under-Heaven and spread his influence all
over the countries of crowns and girdles.[6] Following the
death of King An-li, Wey decayed accordingly.
Thus, as long as King Chuang of Ching and Duke Huan
of Ch`i were alive, Ching and Ch`i could remain hegemonic;
as long as King Hsiang of Yen and King An-li of Wey
were alive, Yen and Wey remained strong. Now their
countries all fell into decay, because their ministers and
magistrates all followed the path to chaos and never sought
they cast aside the state laws and schemed for nothing but
their own outside interests. This was the same as to suppress
a fire by carrying firewood on the back. Consequently
confusion and weakness turned from bad to worse.
Therefore, at present, any ruler able to expel private
crookedness and uphold public law, finds the people safe
and the state in order; and any ruler able to expunge private
action and act on public law, finds his army strong and his
enemy weak. So, find[7]
out men following the discipline of
laws and regulations, and place them above the body of
officials. Then the sovereign can not be deceived by anybody
with fraud and falsehood. Find[8]
out men able to weigh
different situations, and put them in charge of distant affairs.
Then the sovereign cannot be deceived by anybody in matters
of world politics.
Now supposing promotions were made because of mere
reputations, then ministers would be estranged from the
sovereign and all officials would associate for treasonable
purposes. Supposing officials were appointed on account
of their partisanship, then the people would strive to cultivate
friendships and never seek employment in accordance with
the law. Thus, if the government lack able men, the state
will fall into confusion. If rewards are bestowed according
to mere reputation, and punishments are inflicted according
to mere defamation, then men who love rewards and hate
punishments will discard the law[9]
of the public and practise
self-seeking tricks and associate for wicked purposes. If
with outside people, and thereby promote their adherents,
then their inferiors will be in low spirits to serve the sovereign.
Their friends are many; their adherents, numerous. When
they form juntas in and out, then though they have great
faults, their ways of disguise will be innumerable.
For such reasons, loyal ministers, innocent as they are,
are always facing danger and the death penalty, whereas
wicked ministers, though of no merit, always enjoy security
and prosperity. Should loyal ministers meet danger and
death without committing any crime, good ministers would
withdraw. Should wicked ministers enjoy security and
prosperity without rendering any meritorious service,
villainous ministers would advance. This is the beginning
of decay.
Were such the case, all officials would discard legalism,
practising favouritism and despising public law. They
would frequent the gates of the residences of cunning men,
but never once would they visit the court of the sovereign.
For one hundred times they would ponder the interests of
private families, but never once would they scheme for the
state welfare of the sovereign. Thus, their subordinates,
however numerous, are not for glorifying the ruler; the
officials, however well selected, are not for serving the
country. If so, the sovereign would have the mere name of
the lord of men but in reality he simply commits himself
to the care of the houses of the various ministers. Hence
thy servant says: "The court of a decaying state has no
man."[10]
That the court has no man does not imply the emptiness
of the court. It means that private families strive to benefit
one another but never seek to enhance the state welfare;
that high officials strive to honour one another but never
seek to honour the ruler; and that petty officials spend
their salaries in cultivating personal friendships but never
attend to their official duties. The reason therefore is:
The sovereign never makes his decisions in accordance
with the law but always trusts in his subordinates for whatever
they do.
Therefore, the intelligent sovereign makes the law select
men and makes no arbitrary promotion himself. He makes
the law measure merits and makes no arbitrary regulation
himself. In consequence, able men cannot be obscured,
bad characters cannot be disguised; falsely praised fellows
cannot be advanced, wrongly defamed people cannot be
degraded. Accordingly, between ruler and minister
distinction becomes clear and order is attained. Thus it
suffices only if the sovereign can scrutinize laws.
The wise man, on ministering to a ruler, faces the north[11]
and swears an oath of his office, pledging "not to have two
minds,[12]
never to reject any low commission in the court,
and never to reject any hard job in the military camp, but
to follow the instructions of his superior, to obey the law
of the sovereign and empty his mind so as to wait for the
royal decrees to come, and to have no dispute about them".
Therefore, though he has a mouth of his own, he never
own, he never sees for his private interest. Both his mouth
and eyes are kept under his superior's control. In other
words, who ministers to a ruler may be likened to the hand
that is able to care for the head upward and for the feet
downward, never fails to relieve[13] them from extremes of
cold and heat, and never fails to strike away even the Mo-yeh[14]
Sword when it is near the body. Similarly, the intelligent
ruler never employs worthy and clever ministers or wise
and able men for any selfish purpose. Therefore, the people
do not cross the village border to make friends and have
no relatives[15] living one hundred li away; high and low do
not trespass against each other; the fool and the wise, each
being content with his own lot, keep the scale and stand in
perfect balance. Such is the crowning phase of order,
indeed![16]
Now, those who make light of rank and bounties, resign
from their offices and desert their posts with ease, and thereby
choose their masters, thy servant does not call upright.
Those who falsify theories, disobey laws, defy the sovereign,
and make forcible remonstrances, thy servant does not call
loyal. Those who bestow favours, distribute profits, win
the hearts of inferiors, and thereby make names, thy
servant does not call benevolent. Those who leave the
world, retire from active life, and thereby reprove the
sovereign, thy servant does not call righteous. Those who
serve abroad as envoys to other feudal lords, exhaust the
strength of the native country, and wait for the moment of
crisis[17]
to molest the sovereign, saying, "the inter-state
friendship, unless thy servant be in charge of it, cannot
become intimate; the inter-state enmity, unless thy servant
be in charge of it, cannot be appeased," and thereby aim
to win the sovereign's confidence, to be trusted with state
affairs, and to increase their influence by lowering the name
of the sovereign and benefit their own families by hampering
the resources of the country, thy servant does not call wise.
dangerous age, which the law of the early kings would
weed out.
The law of the early kings said: "Every minister shall
not exercise his authority nor shall he scheme for his own
advantage but shall follow His Majesty's instructions. He
shall not do evil but shall follow His Majesty's path."[18]
Thus, in antiquity the people of an orderly age abode by
the public law, discarded all self-seeking tricks, devoted
their attention and united their actions to wait for employment
by their superiors.
Indeed, the lord of men, if he has to inspect all officials
himself, finds the day not long enough and his energy not
great enough. Moreover, if the superior uses his eyes, the
inferior ornaments his looks; if the superior uses his ears,
the inferior ornaments his voice; and, if the superior uses
his mind, the inferior twists his sentences. Regarding these
three faculties as insufficient, the early kings left aside their
own talents and relied on laws and numbers and acted
carefully on the principles of reward and punishment. Thus,
what the early kings did was to the purpose of political
order. Their laws, however simplified, were not violated.
Despite the autocratic rule within the four seas, the cunning
could not apply their fabrications; the deceitful[19]
could not
practise[20]
their plausibilities; and the wicked found no
means to resort to, so that, though as far away from His
Majesty as beyond a thousand li, they dared not change
courtiers, they dared not cover the good and disguise the
wrong. The officials in the court, high and low, never
trespassed against each other nor did they ever override
their posts. Accordingly the sovereign's administrative
routine did not take up all his time while each day afforded
enough leisure. Such was due to the way the ruler trusted
to his position.
Indeed, the minister trespasses against the sovereign in
the court as in the lie of the land. Leading forward step by
step,[21]
he makes the lord of men forget the starting-point
until he turns from east to west and is not conscious of the
change. To guard against such misleadings, the early kings
set up the south-pointing needle[22]
to ascertain the directions
of sun-rise and sun-set. Thus, every intelligent ruler ordered
his ministers never to realize their wishes outside the realm
of law and never to bestow their favours inside the realm
of law—in short, never to commit any unlawful act. As
strict laws are means to forbid extra-judicial action and
exterminate selfishness[23]
and severe penalties are means to
execute decrees and censure inferiors, legal authority should
not be deputed to anybody and legal control should not
be held behind the same gate. Should legal authority and
control be kept in common by both ruler and minister, all
varieties of wickedness would come into existence. If law
is of no faith, its enforcement by the ruler is absurd.[24]
If
the saying: "The skilful carpenter, though able to mark
the inked string with his surveying eyes and calculating
mind, always takes compasses and squares as measures
before his marking; the great genius, though able to
accomplish his task with swift move, always takes the law
of the early kings as the ruler before his accomplishment."
Thus, if the inked string is straight, crooked timbers will
be shaved; if the water-level is even, high gnarls will be
planed down. Similarly, if weights and balances are well
hung up, what is too heavy will be decreased and what is
too light will be increased; once pecks and bushels are
established, what is too much will be decreased and what
is too little will be increased.
Hence to govern the state by law is to praise the right
and blame the wrong.[25]
The law does not fawn on the noble; the string does not
yield to the crooked. Whatever the law applies to, the wise
cannot reject nor can the brave defy. Punishment for
fault never skips ministers, reward for good never misses
commoners. Therefore, to correct the faults of the high, to
rebuke the vices of the low, to suppress disorders, to decide
against mistakes, to subdue the arrogant, to straighten the
crooked, and to unify the folkways of the masses, nothing
could match the law. To warn[26]
the officials and overawe
the people, to rebuke obscenity and danger, and to forbid
falsehood and deceit, nothing could match penalty. If
penalty is severe, the noble cannot discriminate against the
not violated. If the superiors are not violated, the sovereign
will become strong and able to maintain the proper course
of government. Such was the reason why the early kings
esteemed legalism and handed it down to posterity. Should
the lord of men discard law and practise selfishness, high
and low would have no distinction.
[OMITTED]. Its English rendering by L. T. Chên is "The Existence of
Standards" (Liang Ch`i-ch`ao, History of Chinese Political Thought during
the Early Tsin Period, trans. by L. T. Chên, p. 116, n. 2), which is incorrect.
This chapter has been regarded by many critics such as Hu Shih and Yung
Chao-tsu as spurious merely on the ground that the ruin of the states as
adduced by Han Fei TzŬ took place long after his death. Inasmuch as [OMITTED]
means "decay" and "decline" as well as "ruin" and "destruction",
I regard the evidence alleged by the critics as insufficient.
[OMITTED] reads [OMITTED] meaning [OMITTED], namely, "leave." To leave the Altar of the
Spirits of Land and Grain means to die.
In fact it was not King Hsiang but King Chao who sent General Yo I
to invade the Ch`i State in 284 b.c.
With Ku Kuang-ts`ê [OMITTED] should be [OMITTED]. In
272 b.c. Wey with Ch`in and Ch`u attacked Yen. In 257 b.c. Lord Hsin-ling
of Wey smashed the forces of Ch`in at Han-tan and thereby rescued Chao.
[OMITTED] referred to the civilized countries in the then known
world. The barbarians roaming around the Middle Land bobbed their hair
and went without hats. Their garments had the lapels on the left and no
girdles. On the contrary, the Chinese would grow their hair, crown every
male from twenty years of age, have the lapels of their coats on the right.
The countries of crowns and girdles were thus distinguished from the rest
of the world.
[OMITTED] means "to have an audience with His Majesty", who, while
seated on the throne, always faces the south.
One of the two precious swords made by the order of King Fu-ch`a of
the Wu State, the other being called Kan-chiang.
Such was the Utopia dreamt and pictured by Han Fei TzŬ from the
legalistic standpoint, which, diametrically opposed to the Confucian spirit,
stands out clearly relieved against the Great Community of Confucius:—
When the Grand Way was pursued, a public and common spirit ruled
All-under-Heaven; they chose worthy and able men; their words were
sincere, and what they cultivated was harmony. Thus men did not love
their parents only, nor treat as children only their sons. A competent
provision was secured for the aged till their death, employment for the
able-bodied, and the means of growing up to the young. They showed
kindness and compassion to widows, orphans, childless men, and those
who were disabled by disease, so that they were all sufficiently maintained.
Males had their proper work, and females had their homes. They accumulated
articles of value, disliking that they should be thrown away upon the
ground, but not wishing to keep them for their own gratification. They
laboured with their strength, disliking that it should not be exerted, but
not exerting it only with a view to their own advantage. In this way
selfish schemings were repressed and found no development. Robbers,
filchers, and rebellious traitors did not show themselves, and hence the
outer doors remained open, and were not shut. This was the period of
what we call the Great Community. (Cf. Legge's translation of The Li Ki,
Bk. VII, Sect. i, 2.)
Han Fei TzŬ's Utopia, however, runs in parallel to the ideal state of
nature described by Lao TzŬ:—
In a small country with few people let there be aldermen and mayors
who are possessed of power over men but would not use it, and who
induce people to grieve at death but do not cause them to move at a distance.
Although they have ships and carts, they find no occasion to employ them.
The people are induced to return to the pre-literate age of knotted cords
and to use them in place of writing, to delight in their food, to be proud
of their clothes, to be content with their homes, and to rejoice in their
customs. Then, neighbouring states will be mutually happy within sight;
the voices of cocks and dogs will echo each other; and the peoples will
not have to call on each other while growing old and dead. (Cf. Carus's
translation of Lao TzŬ's Tao Teh King, lxxx.)
As remarked by Ku Kuang-ts`ê, the Great Plan contains a passage
somewhat different from this citation.
For [OMITTED] I propose [OMITTED]
[OMITTED] which runs parallel to the following passage [OMITTED]
[OMITTED].
Chapter VII
THE TWO HANDLES[1]
The means[2]
whereby the intelligent ruler controls his
ministers are two handles only. The two handles are chastisement[3]
and commendation.[4]
What are meant by chastisement
and commendation? To inflict death or torture upon culprits,
is called chastisement; to bestow encouragements or
rewards on men of merit, is called commendation.
Ministers are afraid of censure and punishment but fond
of encouragement and reward. Therefore, if the lord of
men uses the handles of chastisement and commendation,
all ministers will dread his severity and turn to his liberality.
The villainous ministers of the age are different. To men
they hate they would by securing the handle of chastisement
from the sovereign ascribe crimes; on men they love they
would by securing the handle of commendation from the
placed the authority of punishment and the profit of reward
not in his hands but let the ministers administer the affairs
of reward and punishment instead, then everybody in the
country would fear the ministers and slight the ruler, and
turn to the ministers and away from the ruler. This is the
calamity of the ruler's loss of the handles of chastisement
and commendation.
As illustration, that which enables the tiger to subject the
dog, is his claws and fangs. Supposing the tiger cast aside
its claws and fangs and let the dog use them, the tiger would
in turn be subjected by the dog. The lord of men controls
his ministers by means of chastisement and commendation.
Now supposing the ruler of men cast aside the handles of
chastisement and commendation and let the ministers use
them, the ruler would in turn be controlled by the ministers.
Thus, T`ien Ch`ang petitioned for rank and bounties,
which he in his turn conferred upon the body of officials,
and enlarged pecks and bushels, by virtue of which he
distributed alms among the hundred surnames. In other
words, Duke Chien lost the handle of commendation, which
T`ien Ch`ang set to use. In the long run Duke Chien[5]
was murdered. Likewise, TzŬ-han once said to the Ruler
of Sung: "Indeed, rewards and charities being what the
people like, may Your Highness bestow them! Slaughter
and punishments being what the people dislike, may thy
servant beg leave to enforce them?" Thenceforth, the
Ruler of Sung lost the handle of chastisement, which TzŬ-han
set to use. Hence followed the molestation of the Ruler of
commendation, Duke Chien was murdered; inasmuch as
TzŬ-han used only the handle of chastisement, the Ruler
of Sung was molested. Therefore, if any minister of the
present age uses both the handles of chastisement and
commendation, the danger of his ruler will be more serious
than that of Duke Chien and the Ruler of Sung. For this
reason, every sovereign molested, murdered, deluded, or
deceived, because he had lost[7] the handles of chastisement
and commendation and let the ministers use them, invited
danger and ruin accordingly.
The lord of men, whenever he wants to suppress culprits,
must see norm accord with name and word never differ
from task.[8]
Whenever a minister utters a word, the ruler
should in accordance with his word assign him a task to
accomplish, and in accordance with the task call the work
to account. If the work corresponds with the task, and the
task corresponds with the word, he should be rewarded.
On the contrary, if the work is not equivalent to the task,
and the task not equivalent to the word, he should be
punished. Accordingly, any minister whose word is big
but whose work is small should be punished. Not that the
work is small, but that the work is not equivalent to the
name. Again, any minister whose word is small but whose
work is big should also be punished. Not that big work is
not desirable but that the discrepancy between the work
work. Hence the minister should be punished.
Once in by-gone days, Marquis Chao of Han[9]
was drunk
and fell into a nap. The crown-keeper, seeing the ruler
exposed to cold, put a coat over him. When the Marquis
awoke, he was glad and asked the attendants, "Who put
more clothes on my body?" "The crown-keeper did,"
they replied. Then the Marquis found the coat-keeper
guilty and put the crown-keeper to death. He punished
the coat-keeper for the neglect of his duty, and the crown-keeper
for the overriding of his post. Not that the Marquis
was not afraid of catching cold but that he thought their
trespassing the assigned duties was worse than his catching
cold.
Thus, when an intelligent ruler keeps ministers in service,
no minister is allowed either to override his post and get
merits thereby nor to utter any word not equivalent to a
fact. Whoever overrides his post is put to death; whoever
makes a word not equivalent to a fact is punished. If everyone
has to do his official duty, and if whatever he says has to be
earnest, then the ministers cannot associate for treasonable
purposes.
The lord of men has two difficulties to face: If he appoints
only worthy men to office, ministers will on the pretence of
worthiness attempt to deceive their ruler; if he makes
arbitrary promotions of officials, the state affairs will always
be menaced. Similarly, if the lord of men loves worthiness,
ruler's need. In consequence, no minister will show his
true heart. If no minister shows his true heart, the lord of
men will find no way to tell the worthy from the unworthy.
For instance, because the King of Yüeh liked brave men,
the people made light of death; because King Ling of Ch`u
liked slender waists, the country became full of starvelings;
because Duke Huan of Ch`i was by nature jealous and fond
of women, Shu Tiao castrated himself in order to administer
the harem; because Duke Huan liked different tastes, Yi-ya
steamed the head of his son and served Duke Huan with
the rare taste; because TzŬ-k`uai of Yen liked worthies,
TzŬ-chih pretended that he would not accept the state.[10]
Therefore, if the ruler reveals his hate, ministers will
conceal their motives; if the ruler reveals his likes, ministers
will pretend to talent; and if the ruler reveals his wants,[11]
ministers will have the opportunity to disguise their feelings
and attitudes.
That was the reason why TzŬ-chih, by pretending to
worthiness, usurped the ruler's throne; and why Shu Tiao
and Yi-ya, by complying with their ruler's wants, molested
their ruler. Thus TzŬ-k`uai died in consequence of a civil
war[12]
and Duke Huan was left unburied until worms from
his corpse crawled outdoors.[13]
What was the cause of these
incidents? It was nothing but the calamity of the rulers'
heart of hearts does not necessarily love the ruler. If he
does, it is for the sake of his own great advantage.
In these days, if the lord of men neither covers his feelings
nor conceals his motives, and if he lets ministers have a
chance to molest their master, the ministers will have no
difficulty in following the examples of TzŬ-chih and T`iench`ang.
Hence the saying: "If the ruler's likes and hate
be concealed, the ministers' true hearts will be revealed. If
the ministers reveal their true hearts, the ruler never will be
deluded."
[OMITTED] For the English rendering of [OMITTED] Professor M. S. Bates suggested
"grip" instead of "handle". I prefer "handle" in order to retain the
native colour of the original.
TzŬ-han was a minister of Sung, but his intimidation of the sovereign
is mentioned neither in the Historical Records nor elsewhere except here.
Granted that this chapter is not spurious, Han Fei TzŬ must have derived
the information from some unreliable source of his age.
He ruled from 358 to 333 b.c. During his reign his premier, Shên Pu-hai,
enforced legalistic policies so successfully that Han emerged to be a rich and
strong country. In the same country Han Fei TzŬ was born about half a
century later and was therefore greatly influenced by the legalism taught and
practised by Shên Pu-hai (vide infra, Chap. XLIII).
As TzŬ-chih, Premier of Yen, had intimated that even if the state were
offered him, he would never accept it, TzŬ-k`uai, King of Yen, in 316 b.c.
purposely abdicated in favour of him, who, however, took the throne with
no reserve.
When Duke Huan was dying, Shu Tiao and Yi-ya allowed nobody
else to see him. After his death they made no announcement and let his
corpse lie unburied for sixty-seven days (vide infra, Chap. X, pp. 89-91).
Chapter VIII
WIELDING THE SCEPTRE[1]
Heaven has its destiny[2]
; human beings have their destiny,[3]
too. Indeed, anything smelling good and tasting soft, be it
rich wine or fat meat, is delicious to the mouth, but it causes
the body illness. The beauty having delicate skin and pretty
white teeth pleases feeling but exhausts energy. Hence avoid
excesses and extremes. Then you will suffer no harm.[4]
The sceptre should never be shown. For its inner nature
is non-assertion.[5]
The state affairs may be scattered in the
four directions but the key to their administration is in the
centre. The sage holding this key in hand, people from the
four directions come to render him meritorious services.
He remains empty and waits for their services, and they
will exert their abilities by themselves. With the conditions
of the four seas clearly in mind, he can see the Yang by
means of the Yin.[6]
After appointing attendants on his
right and left, he can open the gate and meet anybody.[7]
He can go onward with the two handles without making
any change. To apply them without cessation is said to be
acting on the right way of government.[8]
Indeed, everything has its function; every material has
its utility. When everybody works according to his special
qualification, both superior and inferior will not have to do
anything. Let roosters herald the dawn and let cats watch
for rats. When everything exercises its special qualification,
the ruler will not have to do anything. If the ruler has to
exert any special skill of his own, it means that affairs are
not going right. If he is conceited and fond of displaying
his ability, he will be deceived by the inferiors. If he is
sagacious and lenient,[9]
the inferiors will take advantage of
his capacity. If superior and inferior exchange their roles,
the state never will be in order.[10]
The way to assume oneness[11]
starts from the study of
terminology. When names are rectified, things will be
settled; when names are distorted, things will shift around.
Therefore, the sage holds oneness in hand and rests in
tranquillity, letting names appoint themselves to tasks and
affairs settle themselves. If he does not show off his sagacity,
the inferiors will reveal their earnestness and uprightness.
He then appoints them to office in accordance with their
upon them powers in accordance with their needs and thus
lets them raise their ranks. Thus, he rectifies their names
first, then works with them, and finally makes them
accomplish the tasks. Therefore, he promotes them through
the examination of names. When the name is not clear, he
seeks for its connotation by tracing[13] its form. After the
form and the name are compared and identified, he puts the
product into use.[14] If both form and name have to be true,
the inferiors will have to reveal their true hearts, too. Carefully
attend to your duties, wait for decrees from heaven to
come, and never miss the key to government. Then you
will become a sage.[15]
The way of the sage is to discard his own wisdom and
talent. If his own wisdom and talent are not discarded, it
will be hard for him to keep a constant principle of government.
When the people exert wisdom and talent, they will
suffer disasters; when the sovereign exerts them, the state
will be in danger and on the decline. So, conform to the
way of heaven, act on the principle of human life,[16]
and then
consider, compare, and investigate them. Where there is an
ending, there is always a beginning. Be empty and reposed,
keep behind others, and never assert yourself before anybody
else. For the calamity of the ruler originates in self-assertion.
you must not listen to them blindly. Then the myriad people
will uniformly obey you.[17]
Indeed, Tao is so magnificent as to have no form. Teh
is evidently systematic and so extensive as to permeate all
lives. When it functions proportionately, the myriad things
are formed,[18]
though it does not add to their security. Thus
Tao is omnipresent in all events. So, follow and preserve
its decrees and live and die at the right time. Compare the
names of different things, and trace the common source of
the principles underlying them.[19]
Hence the saying: "Tao does not identify itself with
anything but itself. Teh does not identify itself with the
Yin and the Yang. The balance does not identify itself
with lightness and heaviness. The inked string does not
identify itself with ingress and egress. The reed-organ[20]
does not identify itself with dryness and wetness. The
ruler does not identify himself with the ministers." These
six are effects of Tao.[21]
Tao is never a pair. Hence it is called one. Therefore,
the intelligent ruler esteems singleness, the characteristic
feature of Tao. Accordingly, ruler and minister do not
follow the same path. When the minister presents any
minister must work out the form. When form and name
are compared and found identical, superior and inferior will
have peace and harmony.[22]
In general, the right way to listen to the ministers is to
take what they utter as the measure of what they harvest.[23]
The ruler investigates their names so as to determine their
offices, and clarify their duties so as to distinguish between
different varieties of work. The right way to hear different
utterances is to look[24]
drunken. Never start moving your
own lips and teeth before the subordinates do. The longer
I keep quiet, the sooner others move their lips and teeth.[25]
As they themselves move their lips and teeth, I can thereby
understand their real intentions. Right and wrong words
coming to the fore in such fashion, the ruler does not have
to join issue[26]
with them[27]
To remain empty and tranquil and practise inaction is
the real status of Tao. To compare, refer, and analogize
things, is the form of affairs. Thus you sometime compare
them and analogize them to other things and sometime refer
them to and accord them with the condition of emptiness.
When the root and trunk of a tree never change, motion
the inferiors feel uneasy. Improve their actions by practising
inaction. When you like them, affairs will multiply; when
you hate them, resentment will appear. So, discard both
like and hate and make your empty mind the abode of Tao.[30]
If the ruler does not share the supreme authority with the
ministers, the people will regard this as a great blessing.
The ruler should never discuss[31]
matters of right and wrong
with the ministers but let them carry on the discussion themselves.
If he locks the inner bar[32]
and sees the courtyard
from inside the room, then just as differences by inches and
feet would come to the fore, so will all ministers know
their proper places. Who deserves reward, will be properly
rewarded; who deserves punishment, will be properly
punished. If everybody pays for whatever he does, and if
good and evil visit him without fail, who would dare to
distrust the law? Once compasses and squares[33]
are
established and one angle is made right, the other three
angles will come out one after another.[34]
If the sovereign is not mysterious,[35]
the ministers will
will change[36] their routine of work. To behave as high as
heaven and as thick as earth is the way to dissolve all worries.
To do as heaven and earth do is the way to dismiss all
discriminations between strangers and relatives. Whoever
can model himself upon heaven and earth is called a sage.[37]
To govern the interior[38]
of the court you may appoint
men to office but should never take kindly to them. To
govern the exterior[39]
of the court you may put one man
in charge of one office but should never allow him to act
arbitrarily. If things are so, how can anybody shake the
ruler's authority or gain any undue power? If there are
numerous men frequenting the gates of the high officials'
residences, it will cause the ruler anxieties. At the height of
political order no minister can surmise what is in the ruler's
mind. If the ruler closely accords form with name, the people
will attend to their daily business. To leave this key and
seek anything else is to fall into serious bewilderment. This
will eventually increase the number of cunning people and
fill the ruler's right and left with wicked ministers. Hence
the saying: "Never ennoble anybody in such wise that he
may molest you; and never trust anybody so exclusively
that you lose the capital and the state to him."[40]
If the calf is larger than the thigh, it is hard to run fast.[41]
As soon as the sovereign ceases being mysterious, the tiger
will follow him from behind. If he takes no notice of it,
sovereign does not stop it, the false dog will increase its
partisans. The tigers will form a party and murder the
mother.[42] If the sovereign has no ministers loyal to him,
what kind of a state has he? Yet as soon as the sovereign
begins to enforce laws, even tigers will become meek; as
soon as he sets himself to inflict penalties, even the largest
tiger will become tame. Laws and penalties being of faith,
tigers will turn into ordinary human beings and revert to
their due status.[43]
Any ruler wishing to give peace to the state must disperse
the partisans of powerful ministers. If he does not disperse
their partisans, they will enlarge their parties. Any ruler
wishing to maintain order in his country must adjust the
distribution of his gifts. If he does not adjust the distribution
of his gifts, rapacious men will seek for extraordinary profits.
To grant them requests will then be the same as to lend axes
to enemies. It is not right to lend out such things. For they
will be used for assaulting the ruler.[44]
The Yellow Emperor made the saying: "Superior and
inferior wage one hundred battles a day." The inferior
conceals his tricks which he uses in testing the superior;
the superior manipulates rules and measures in splitting the
influences of the inferior. Therefore the institution of rules
and measures is the sovereign's treasure, the possession of
partisans and adherents is the minister's treasure. Such
being the situation, if the minister does not murder the
ruler, it is because his partisans and adherents are not yet
the inferior will gain eight or sixteen feet.[46] The ruler in
possession of a state never enlarges the capital. The minister
following the true path never empowers his own family.
The ruler following the right way never empowers any
minister. Because, once empowered and enriched, the inferior[47]
will attempt to supplant the superior. So, guard against
dangers and be afraid of eventualities. Install the crown
prince quickly. Then many troubles find no way to appear.[48]
To detect culprits inside the court and guard against
crooks outside it, the ruler must personally hold his rules
and measures. Make the powerful wane and the powerless
wax. Both waning and waxing should have limitations.
Never allow the people to form juntas and thereby deceive
their superiors with one accord. Make the powerful wane
like the moon, and the powerless wax like the heat of the
bored fire. Simplify orders and dignify censures. Make
the application of penal laws definite. Never loosen your
bow; otherwise, you will find two males in one nest.
Where there are two males in one nest, there the fighting
will continue at sixes and sevens. When wolves are in the
stable, sheep never will flourish. When two masters are in
one house, nothing can be accomplished. When both man
whom to obey.[49]
The ruler of men should often stretch the tree but never
allow its branches to flourish. Luxuriant branches will cover
the gates of public buildings, till private houses become full,
public halls empty, and the sovereign deluded. So, stretch
out the tree often but never allow any branch to grow
outward. Any branch that grows outward will molest the
position of the sovereign. Again, stretch out the tree often
but never allow any branch to grow larger than the stem.
When the branches are large and the stem is small, the tree
will be unable to endure spring winds. When the tree
cannot endure spring winds, the branches will damage its
kernel. Similarly, when illegitimate sons are many, the heir
apparent will have worries and anxieties. The only way
to check them is to stretch out the tree often and never let
its branches flourish. If the tree is stretched out often,
partisans and adherents of the wicked ministers will disperse.
When the roots and the stem are dug up, the tree is no longer
alive. Fill up the foaming fountain with mud and never let
the water clear. Search the bosoms of ministers and take
away their powers. The sovereign should exercise such
powers himself with the speed of the lightning and with
the dignity of the thunder.[50]
[OMITTED]. Certain editions of the text have [OMITTED] in place of [OMITTED].
The latter, however, suits the ideas set forth in the work better than the
former. In style and thought it is similar to Chap. V and contains more
than Chap. V such similes and metaphors as are susceptible of widely different
interpretations. I hope it will be helpful to the reader to give an explanatory
note of my own to each paragraph.
It refers to the course of nature as manifested in the compelling principle
of the rotation of day and night, of the four seasons, and so forth.
It refers to the course of nature as manifested in the necessary relation
of ruler and minister, of superior and inferior, and so forth.
In the opening paragraph it is brought to the fore that though mankind
is endowed by nature with both carnal and sexual appetites, nature does not
allow the satisfaction of either appetite to run to any extreme. It is, therefore,
imperative that the way of life conform to the way of nature. Likewise, the
way of government—the Tao of the sovereign—must conform to the way
of nature. To wield the sceptre right is the right way to political order, which
is expounded in the following paragraphs.
To see the Yang by way of the Yin means to see things from an unseen
place or to see the light from the dark. The Yang ([OMITTED]) refers to the positive
principle of Yi ([OMITTED]) or Change which Chinese sages of classic antiquity
thought to be the permanent function of the universe. The Yin ([OMITTED]) refers
to its negative principle. All phenomena are resultant from the interaction
of these two principles.
The world view of Han Fei TzŬ is purely Taoistic. So is the major
premise of his life view. The doctrine of inaction is advocated in the opening
sentences of this paragraph, which, however, ends with his insistence on
the active application of the two handles to government. Herein lies the
difference between Han Fei TzŬ's ideas and the teachings of the orthodox
Taoists. Lao TzŬ and his immediate followers taught that the origin of life
is inaction, its ideal should be inaction and that the route to this goal must
be inaction, too. With them Han Fei TzŬ agreed that inaction is the end,
but he asserted that the means to the end is action. The Utopia remains a
permanent Utopian ideal. Life is a constant strife after this goal. So is government
an everlasting fight against the disruptive forces in individual and
social life for perfect order. In such a fight the law is the only weapon,
whose two handles are chastisement and commendation. Therefore, to apply
the two handles without cessation is said to be acting on the right way of
government. In this connection the shifting emphases in the social and political
thought of Lin Yu-tang, one of the greatest admirers of Han Fei TzŬ in
modern China, are worth noticing. In his essay on "Han Fei as a Cure for
Modern China" (China's Own Critics: A Selection of Essays, 1931), he
showed his whole-hearted support of Han Fei TzŬ. A few years later, as
shown in his book, My Country and My People (1936), he appeared to be far
more Taoistic and cynical than before, preferring inaction and non-interference
to any kind of remedial work which seems to him laborious but fruitless.
[OMITTED] literally means "fond of living beings" or "loving production",
which here implies "unable to bear killing any human being".
[OMITTED] means to see whether or not name and form coincide
with each other and then enforce reward or punishment accordingly.
To make an objective survey of the ministers' abilities and directly
encourage them to render meritorious services, the ruler has to give up
or keep hidden his own wisdom and talent. On the other hand, to make the
subjects universally obey laws and uniformly follow orders, he should not
allow the masses to abuse their own wisdom and talent.
Here is made an attempt to expound the substance and function of Tao
and connect metaphysics with ethics and politics.
[OMITTED]. A kind of musical instrument able to maintain the same notes in
all kinds of weather.
With Kao Hêng [OMITTED] means [OMITTED]
[OMITTED] inasmuch as [OMITTED] refers to [OMITTED] or name and [OMITTED]
refers to [OMITTED] or form.
The ruler should always stand aloof from the offices to which his inferiors
are appointed, and charge them with such responsibilities as never would
involve himself.
Thus, to do inaction is to see everything done of itself and by itself.
To remain empty and tranquil is to see everybody driven by nature into
good. This, again, is the ideal side of Han Fei TzŬ's thought. In the practical
field he had to advocate the method of persistent action as revealed in the
next paragraph.
[OMITTED] means "so profound and divine that nobody else can conjecture
his intention or estimate his ability".
The intelligent ruler prevents wicked ministers from becoming too
powerful, and improves their character by means of laws and penalties.
[OMITTED] is the total width of four fingers; [OMITTED] is the distance between
the joint of the thumb and the pulse beneath the palm.
Ruler and minister are always vying with each other in power. The
former resorts to the enforcement of state laws throughout the country;
the latter to the distribution of personal favours among the masses. One
easy way open to the ruler to save the situation is, according to Han Fei
TzŬ, to install the crown prince as early as possible so that many court
intrigues will be avoided.
As Han Fei TzŬ directed his main attention in his political thought
to the issues between ruler and minister, in the present and next paragraphs
he taught the ruler how to maintain supremacy and why to weaken the
minister. This well reminds the reader of Lord Shang's "Weakening the
People".
The tree illustrates the state as a whole organic structure; the stem, the
ruler; and the branches, the ministers. Hence Han Fei TzŬ's saying:
"When the branches are large and the stem is small, the tree will be unable
to endure spring winds." Accordingly special attention is called to the
growth of the stem.
Chapter IX
EIGHT VILLAINIES[1]
In general there are eight ways whereby ministers are led[2]
to commit villainy:—
The first is said to be "through the bribery of sharers
of the same bed".[3]
What is meant by "through the bribery
of sharers of the same bed"? In reply I say: By graceful
ladies, beloved concubines, feminine courtiers, and pretty
lads, the lord of men is bewildered. Counting on the
sovereign's pleasant rest from governmental work and taking
advantage of his being drunken and satiated, the sharers of
the same bed would get from him what they want. This is
the way to secure unfailing grants. Therefore, ministers
bribe them in secret with gold and jewelry and thereby
make them bewilder the sovereign. This is said to be
"through the bribery of sharers of the same bed".
The second is said to be "through the bribery of bystanders".[4]
What is meant by "through the bribery of
bystanders"? In reply I say: Actors, jokers, and clowns as
well as attendants and courtiers would say, "At your service,
at your service," before the sovereign has given any order,
and say, "Yes, yes," before he has commanded them to do
anything, thus taking orders ahead of his words and looking
at his facial expressions and judging his needs by his colour
in order thereby to render him service before he makes up
his mind. Such people advance and withdraw en bloc,
deeds and unifying their words so as to move the sovereign's
mind. Therefore, ministers bribe them in secret with gold,
jewelry, curios, and the like, and commit unlawful acts to
their advantage and thereby make them beguile the sovereign.
This is said to be "through the bribery of bystanders".
The third is said to be "through the entertainment of
uncles and brothers".[6]
What is meant by "through the
entertainment of uncles and brothers"? In reply I say:
Sons by concubines are much loved by the sovereign;
prime ministers and court officials are consulted by the
sovereign. All such people exert their energies and exchange
their ideas while the sovereign always listens to them.
Ministers, accordingly, entertain concubines and their sons
with music and beauties, and win the hearts of prime ministers
and court officials with twisted words and sentences. Then
through them they make promises and submit projects to
the throne, so that when the tasks are accomplished, their
ranks are raised, their bounties increased, and their minds
thereby satisfied. In this way they make them violate the
sovereign. This is said to be "through the entertainment
of uncles and brothers".
The fourth is said to be "through fostering calamities".[7]
What is meant by "through fostering calamities"? In
reply I say: The sovereign enjoys beautifying his palatial
buildings, terraces, and pools, and decorating boys, girls,
dogs, and horses, so as to amuse his mind. This will
the energy of the people to beautify palatial buildings,
terraces, and pools, and increase exactions and taxation for
decorating boys, girls, dogs, and horses, and thereby amuse
the sovereign and disturb his mind, thus following his
wants and harvesting their own advantages thereby. This
is said to be "through fostering calamities".
The fifth is said to be "through buying up vagabonds".[8]
What is meant by "through buying up vagabonds"? In
reply I say: Ministers distribute money out of public
revenues to please the masses of people and bestow small
favours to win the hearts of the hundred surnames, and
thereby make everybody, whether in the court or in the
market-place, praise them, and, by deluding the sovereign
in this manner, get what they want. This is said to be
"through buying up vagabonds".
The sixth is said to be "through the employment of
fluent and convincing speakers".[9]
What is meant by
"through the employment of fluent and convincing
speakers"? In reply I say: The sovereign, with all avenues
to news blockaded, rarely hears any disputes and discussions
and is therefore apt to change his mind by eloquent
persuaders. Accordingly, ministers find eloquent speakers
from among the subjects of other feudal lords and feed able
persuaders in the country, then make them speak about their
self-seeking designs with skilfully polished words and fluent
and convincing phrases, show the sovereign the direction
of advantages and powers, overawe him with the location
of calamities and disadvantages, manipulate all kinds of
"through the employment of fluent and convincing
speakers".
The seventh is said to be "through the arrogation of
authority and strength".[10]
What is meant by "through the
arrogation of authority and strength"? In reply I say:
The ruler of men maintains his authority and strength by
keeping all officials and the hundred surnames on his side.
Whatever he considers good is regarded as good by the
officials and the people; whatever he never considers good
is not regarded as good by the officials and the people.
Ministers then gather bold swordsmen and desperate rascals
to display their authority and make it known that whoever
sides with them always gains and whoever does not side
with them is bound to die, and thereby overawe the officials
and the people and practise selfishness. This is said to be
"through the arrogation of authority and strength".
The eighth is said to be "through the accumulation of
support from the four directions".[11]
What is meant by
"through the accumulation of support from the four
directions"? In reply I say: The ruler of men, if his
country is small, has to serve big powers, and, if his army is
weak, has to fear strong armies. Any request by a big power
the small country always has to accept; any demand by a
strong army the weak army always has to obey. Accordingly,
ministers raise exactions and taxations, exhaust public
treasuries and armouries, empty the provisions of the country,
and thereby serve big powers and utilize their influence to
mislead the ruler. In serious cases, they would even send
for foreign troops to assemble in the border-lands while
they would invite special envoys from enemy states to molest
their ruler and thereby overawe him. This is said to be
"through the accumulation of support from the four
directions".
These eight in general are the ways whereby ministers
are led to commit villainy and the sovereigns of the present
age are deluded, molested, and deprived of their possessions.
Therefore, every sovereign should not fail to study them
carefully.
The intelligent ruler, as regards women, may enjoy their
beauty but ought not to follow their entreaties and comply
with their requests.
As regards those near him, though he enjoys their presence,
he must always call their words to account and never let
them utter any uncalled-for opinion.
As regards uncles, brothers, and chief vassals, the ruler,
on adopting their words, ought to hold them liable to
penalties in case of failure and appoint them to office in case
of success but never give them any arbitrary promotion.
On seeking pleasures and enjoying curios, the ruler ought
to have a definite personnel in charge of them and allow
nobody to bring such objects in and out at pleasure[13]
and
thereby let the ministers anticipate the sovereign's want.
In regard to favour-distribution, it ought to be done on
the initiative of the ruler to open the emergency treasury
and public storehouses and benefit the people. No minister
should be allowed to bestow personal favours.
Regarding persuasions and discussions, the ruler must
ascertain the abilities of men reputed to be good and testify
to the defects of those reputed to be bad, but never allow
the ministers to speak to one another about them.
As regards bold and strong men, the ruler should neither
neglect reward for merit on the battle-field nor remit punishment
for boldness in the village quarrel, and allow no
minister to give them money in private.
With respect to the requests made by other feudal lords,
if they are lawful, grant them; if they are unlawful, spurn
them.[14]
The so-called doomed ruler is not one who no longer has
a state but one who has a state but not in his grip. If he lets
his ministers control the home affairs through the support
they receive from abroad, the ruler of men will be doomed
to ruin. Granting that to obey big powers is to save one's
own country from ruin, the ruin will in case of obedience
come faster than in the case of disobedience. Hence never
obey them. As soon as the ministers realize that the ruler
will not obey, they will not make friends abroad with other
feudal lords. As soon as the feudal lords realize that he will
not obey,[15]
they will not trust that any of his ministers can
befool him.
The reason why the intelligent ruler establishes posts,
offices, ranks, and bounties, is to promote the worthy and
encourage the men of merit. Hence the saying: "The
the men of merit have honourable rank and receive big
rewards." The sovereign appoints the worthy to office by
estimating their abilities, and bestows bounties according to
the various merits. For this reason worthies do not disguise
their abilities in serving the sovereign; and men of merit
rejoice in advancing their careers. As a result, tasks are
accomplished and merits achieved.
That is not so nowadays. There is neither any discrimination
between the worthy and the unworthy nor[16]
any
distinction between men of merit and of no merit. Anybody
esteemed by the feudal lords is taken into service. Any
request made by the courtiers is granted. Uncles and
brothers as well as chief vassals ask for ranks and bounties
from the sovereign and sell them off to their inferiors and
thereby accumulate money and advantages and support their
personal dependents. Therefore, men who have much money
and many advantages purchase offices in order to become
noble, and those who have friendships with the courtiers
ask for grants in order to uplift their social prestige. In
consequence, officials and officers who have rendered the
country meritorious services are lost sight of, and the shift
of posts and offices runs off the legitimate track. For this
reason, everybody in governmental service overrides his
post, cultivates friendship with foreign powers, neglects his
duties, and covets money[17]
in every way, with the result
that worthies are disheartened and will no longer exert their
efforts while men of merit idle their time away and give up
their careers. Such is the atmosphere of a decaying country,
indeed!
[OMITTED]. [OMITTED] here refers to [OMITTED] or "uncles" in
English; [OMITTED] here refers to half-brothers.
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