University of Virginia Library

Chapter XIX

ON PRETENSIONS AND HERESIES[1] :
A MEMORIAL

It was Chao that, after boring the tortoise-shell, counting
the bamboo slips, and finding the omen saying, "Great
luck," attacked Yen.[2] It was Yen that, after boring the
tortoise-shell, counting the bamboo slips, and finding the
omen saying, "Great luck," attacked Chao. Chü Hsin,[3]
when serving Yen, rendered no meritorious service, till
the Altar of the Spirits of Land and Grain fell into danger.
Tsou Yen,[4] when serving Yen, rendered no meritorious
service, till the course of the state policy came to a deadlock.
Chao[5] was first successful in Yen and later successful in Ch`i.
Though her state once fell into confusion, yet she always
held her prestige high and assumed herself adequate to rival
Ch`in on an equal footing. It was not because Chao's tortoiseshell
was effective and Yen's tortoise-shell was deceptive.

Chao once again bored the tortoise-shell, counted the
bamboo slips, and invaded Yen in the north with a view to
resisting Ch`in by molesting Yen.[6] The omen said, "Great
luck." No sooner had her army marched out[7] through
Ta-liang in Wey than Ch`in began to invade[8] Shang-tang in

Chao. When her troops reached Li in Yen, she had lost six
cities to Ch`in. When they reached Yang-ch`êng in Yen,
Ch`in had taken Yeh in Chao. When P`ang Yüan turned
Chao's army southward, practically all the strongholds of
Chao had fallen into Ch`in's hands.

Thy servant, therefore, says: Chao's tortoise-shell, even
though not able to foresee the outcome of her campaign in
Yen, should have been able to foretell the victory of Ch`in's
invasion at hand. Ch`in, believing in the great luck of the
expedition, expanded her territory in fact and rescued Yen
in the good cause.[9] Chao, believing in the great luck of the
campaign, had her soil dismembered and her forces
humiliated, till the sovereign, unable to realize his ambition,
passed away. Again, this was not because Ch`in's
tortoise-shell was effective and Chao's tortoise-shell was
deceptive.

At the outset of the founding of the state, Wey faced the
east for several years and completely conquered both T`ao
and Wei. Then she turned westward for several years to
cope with Ch`in and, as a result, lost land to Ch`in. This
was not because such lucky stars as Fêng-lung,[10] Wu-hsing,[11]
T`ai-yi,[12] Wang-hsiang,[13] Shê-t`i,[14] Liu-shên,[15] Wu-kua,[16]

T`ien-ho,[17] Yin-ch`iang,[18] and Sui-hsing,[19] were for so many
years[20] in the direction of Ch`in and to the west of Wey;
nor was it because such unlucky stars as T`ien-ch`üeh,[21]
Hu-ni,[22] Hsing-hsing,[23] Yung-hui,[24] and K`uei-t`ai,[25] were
for so many years[26] in the direction of Wey and to the east of
Ch`in. Hence the saying: "Tortoise-shells, bamboo slips,
devils, and deities, are not qualified to guarantee victory;
nor are the directions of the stars, whether right or
left, front or back, qualified to decide the outcome
of war." If so, to believe in them is more stupid than
anything else.

In ancient times, the early kings exerted their forces to
renovate the people and doubled their efforts to clarify the
law. As the law was made clear, loyal subjects were
encouraged. As punishment was made definite, wicked
subjects were suppressed. It was Ch`in whose loyal subjects
were encouraged and wicked ones were suppressed and
whose territory was expanded and sovereign was glorified.

It was the states to the east of Mount Hua whose officials
formed factions, associated for selfish purposes and thereby
obscured the right way of government and committed
crookedness in secret, and whose territories were dismembered
and sovereigns humiliated. That disorderly and weak states
go to ruin, is known to everybody. That orderly and strong
states attain supremacy has been the beaten track since
antiquity.

Kou-chien, King of Yüeh, believed in the Ta-p`êng
Tortoise and waged a war with Wu, but did not win, till
finally he had to surrender himself as vassal and went
personally to serve the King of Wu.[27] Upon his return, he
threw away the tortoise, clarified the law, and renovated
the people, with a view to giving Wu his revenge. In the
end Fu-ch`a, King of Wu, was taken captive.[28] Therefore,
whoever believes in devils and deities, neglects the law.

Similarly, whoever relies on other feudal lords, endangers
his native soil. For instance, Ts`ao, relying on Ch`i, turned
a deaf ear to Sung, so that when Ch`i attacked Ching, Sung
destroyed Ts`ao. Hsing,[29] relying on Wu, took no advice
from Ch`i, so that when Yüeh invaded Wu, Ch`i destroyed
Hsing. Hsü, relying on Ching, would not listen to Wey,
so that when Ching attacked Sung, Wey destroyed Hsü.
Chêng, relying on Wey, would not listen to Han, so that
when Wey attacked Ching, Han destroyed Chêng.

To-day, Han, being a small state, is relying upon big
powers. Her sovereign, paying little attention to the law,
takes every word from Ch`in. The above-mentioned small

states, having relied upon Wey, Ch`i, Ching, and Wu for
support,[30] went to ruin one after another. Thus reliance on
others is not sufficient to extend the native soil. Yet Han
never looks at these instances. Again, when Ching attacked
Wey, she sent her troops to Wey's allies, Hsü and Yen.[31]
When Ch`i attacked Jên and Hu and dismembered Wey's
territory, the combined forces of the allies were not even
sufficient to preserve Chêng.[32] Yet Han takes no notice of these
instances. All these states, indeed, never clarified laws and
prohibitions in order to govern their peoples, but relied
on foreign powers entirely, and thereby drove their Altars
of the Spirits of Land and Grain to extinction.

Thy servant, therefore, says: If measures for political
order are clarified, the state, though small in size, will
become rich. If reward and punishment are dignified and of
faith, the people, though small in number, will become
strong. If reward and punishment follow no regulations,
the state, however large in size, will have weak soldiers.
For the soil is no longer its territory, the people no longer
its subjects. Without territory and people, even Yao and
Shun never could reign supreme nor could the three
dynasties[33] ever become strong.[34]

Moreover, when the sovereign gives indiscriminately,
ministers take inconsiderately. Those who discard legal

rules, praise the early kings, and thereby illustrate the
achievements of the ancients, are entrusted by the ruler with
the state affairs. Thy servant, therefore, says: Such an act
is to hope for ancient achievements and reward modern men
with ancient rewards. In consequence, the sovereign gives
wrongly, ministers take idly. If the sovereign gives wrongly,
then ministers will expect undue rewards; if ministers take
idly, meritorious services will not be held in high esteem.
If men of no merit receive rewards, the state exchequer will
run low and the people will resent it[35] ; if the state exchequer
runs low and the people resent it, then nobody will apply
his strength to his duties. Therefore, who over-uses reward
loses the people; who over-uses penalty cannot hold the
people in awe. If reward is not sufficient to encourage, and
penalty is not sufficient to prohibit the people, then the
state, however large in size, will fall into danger.

Hence the saying: "Who knows few things, should not
be allowed to scheme for enterprises; who practises loyalty
in small ways, should not be allowed to take charge of
judicial administration."

Once King Kung of Ching and Duke Li of Chin fought
at Yen-ling. The Ching troops suffered a defeat. King Kung
was wounded. During the bloody battle, Tzŭ-fan, High
Commissioner of the Army, was thirsty and wanted some
drink. His attendant,[36] Shu Yang-ko,[37] brought a cup of wine
and presented it to him. "Get away!" exclaimed Tzŭ-fan.
"It's wine." "No," replied Yang-ko. Tzŭ-fan, accordingly,

took it and drank it. Habitually fond of wine, Tzŭ-fan felt
it so delicious that he could not keep it off his mouth till
he became drunk and lay down asleep. Thinking of having
another battle, and fixing the stratagems therefor, King Kung
sent for Tzŭ-fan, but Tzŭ-fan gave heart-aching as excuse
for his absence from the conference. Thereupon, King Kung
rode in a carriage and went to see him. As soon as he entered
the tent, he smelt wine and turned back right away, saying:
"In to-day's battle, I, the King, was wounded at my eye.
The only person I have looked to for help is the High Commissioner
of the Army. Now that the High Commissioner of
the Army is so drunk, he is certainly ruining the Altar of the
Spirits of Land and Grain of the Ching State and feeling no
concern for the welfare of my subjects. I, the King, have no
reason to have him with me on the battle-field any longer."
So he ceased hostilities and retreated. He then beheaded
Tzŭ-fan as an expiatory punishment for his disgrace of His
Majesty. Hence the saying: "The presentation of wine by
Shu Yang-ko was not out of any malice against Tzŭ-fan, but
his mind that really loved him with loyalty was only enough
to put him to death." This is to practise loyalty in small ways
and thereby betray loyalty in big ways. Hence the saying:
"Small loyalty is the betrayer of big loyalty." Thus, if the
ruler puts men loyal in small ways in charge of judicial
administration, they will pardon criminal offences. To pardon
culprits and thereby love them, is to enjoy temporary peace
with the inferiors, whereas it stands in the way of governing
the people.

At the time when Wey was clarifying and establishing laws
and upholding mandates[38] without fail, men of merit were

infallibly rewarded; men guilty of crimes were infallibly
censured; her strength was sufficient to rectify All-underHeaven
and her authority prevailed among the neighbours
on the four sides. As soon as laws came to be neglected
and rewards became arbitrary, the state was dismembered
day after day. Similarly, at the time when Chao was enacting
state laws and training a big army, she had a large population
and a strong army and extended her territory into Ch`i and
Yen. As soon as the state laws came to be neglected and the
personnel in charge of the state affairs became weak, the
state was dismembered day after day. Again, at the time
when Yen was upholding the law and scrutinizing official
decisions in detail, to the east she seized counties from the
Ch`i State and to the south occupied the whole territory of
Central Hills. When the upholders of the law died, the
official decisions became useless, the attendants disputed with
each other, and public opinion had to follow the lead of the
inferiors; then the army became weak, the soil was
dismembered, and the state fell under the spell of the
surrounding enemies. Hence the saying: "Who clarifies
the law, is strong; who neglects the law, is weak." The
causes of strength and weakness are so vivid. Yet sovereigns
of this age never attempt to foster the cause of strength.
No wonder their states are doomed to ruin.

There is an ancient proverb saying: "The family
that has a definite occupation, does not have to starve in
time of famine; the state that has definite laws, does not go
to ruin in case of emergency." Indeed, if the ruler discards
definite laws and follows private opinions, then ministers
will pretend to wisdom and ability; if ministers pretend to
wisdom and ability, then laws and prohibitions will not

hold good. In other words, when arbitrary opinions prevail,
the way of governing the state dwindles. Therefore, the
right way to govern the state is to remove the injurers of the
law. In that case, there will be neither bewilderment by
pretensions to wisdom and ability nor deception by
pretensions to name and fame.

Of yore, Shun ordered officials to drain the Great Deluge.
One official set himself to work before the order came, and
accomplished merit. However, Shun executed him. Once
Yü received the feudal lords in audience in the vicinity of
Kuei-chi. As the Ruler of Fang-fêng arrived late, Yü
beheaded him. From this viewpoint it is clear that if those
who went ahead of orders were executed and those who
lagged behind orders were beheaded, the ancients must have
held conformity to orders in high esteem.

For illustration, if the mirror keeps clean and has no
obstacle, then the beautiful and the ugly can be compared;
if the balance keeps right and has no obstacle, then the light
and the heavy can be weighed. Indeed, when you shake the
mirror, the mirror cannot keep clear; when you shake the
balance, the balance cannot keep even. The same is true
of the law. Therefore, the early kings took Tao as the
constant standard, and the law as the basis of government.
For, if the basis is orderly, the name is exalted; if the basis
is confused, the name is extinguished. In general, wisdom,
ability, cleverness, and erudition, if properly employed, take
effect; otherwise, all come to nought. Therefore, though
wisdom and ability are exerted,[39] if the exertion is not proper,
the right way of government cannot be communicated to

people. Indeed, the true path and the law are absolutely
reliable, wisdom and ability are liable to errors. Similarly,
to hang up the balance and know the plane, and to turn round
the compasses and know the circle, is an absolutely reliable
way.

The intelligent sovereign makes the people conform
to the law[40] and thereby knows[41] the true path; wherefore
with ease he harvests meritorious results. To discard
the compasses and trust to skilfulness, and to discard the law
and trust to wisdom, leads to bewilderment and confusion.
The violent sovereign lets the people pretend to wisdom
but does not know the true path; wherefore in spite
of his toil he gets no credit. If the sovereign discards
laws and prohibitions and imprudently grants requests and
audiences, then ministers will obtain posts from the sovereign
for sale and accept pay[42] from their inferiors. For this
reason, profits go to private families and authority rests with
ministers. In consequence, the people have no mind to exert
their strength to serve the sovereign but merely strive to
develop friendships with their superiors. If the people are
fond of developing friendships with their superiors, then
goods and cash will flow upwards and proficient speakers
will be taken into service. Should that be the case, men of
merit would decrease, wicked ministers would advance,
and talented ministers would withdraw, till the sovereign
falls into bewilderment and does not know what to do, and
the masses flock together but do not know whom to obey.

This is the fault of discarding laws and prohibitions, leaving
merits and services behind, exalting names and reputations,
and granting requests and audiences.

The law-breakers, on the whole, always set fabrications
and make excuses in order thereby to seek[43] intimate contact
with the sovereign, and would also speak about events of
rare occurrence in the world. This is the reason why the
outrageous rulers and violent sovereigns are bewildered, and
why able ministers and worthy counsellors are violated.
For instance, ministers who praise Yi Yin and Kuan Chung
for their rendering meritorious services and their being taken
into service,[44] will have sufficient reason to act against the
law and pretend to wisdom; those who praise Pi-kan and
Tzŭ-hsü for their being loyal but killed, will have sufficient
citations to display hasty persuasions[45] and forcible remonstrations.
Indeed, if they now praise worthy and intelligent
rulers such as the masters of Yi Yin and Kuan Chung and
then blame outrageous and violent sovereigns such as the
masters of Pi-kan and Tzŭ-hsü, then their forced analogies
are not worth taking.[46] Such men must be suppressed.[47] The
ruler makes laws so as to establish the standard of right.

Yet most ministers of to-day exalt their private wisdom.[48]
Those who condemn the law as wrong, regard heretic creeds
as wise and establish their own standards of conduct beyond
the boundary of the law.[49] To suppress such crooks, is the
duty of the sovereign.[50]

It is the duty of the sovereign[51] to make clear the distinction
between public and private interests, enact laws and statutes
openly, and forbid private favours. Indeed, to enforce
whatever is ordered and stop whatever is prohibited, is
the public justice of the lord of men. To practise personal
faith to friends, and not to be encouraged by any reward
nor to be discouraged by any punishment, is the private
righteousness of ministers. Wherever private righteousness
prevails, there is disorder; wherever public justice obtains,
there is order. Hence the necessity of distinction between
public and private interests.

Every minister cherishes both selfish motive and public
justice. To refine his personality, improve his integrity,
practise public creeds, and behave unselfish in office,[52] is the
public justice of the minister. To corrupt his conduct, follow
his desires, secure his personal interests, and benefit his
own family, is the selfish motive of the minister. If the
intelligent sovereign is on the Throne, every minister will
discard his selfish motive and practise public justice. If the
violent sovereign is on the Throne, every minister will

cast public justice aside and act on his selfish motive. Thus,
ruler and minister have different frames of mind.

The ruler keeps the minister in service with a calculating
mind. So does the minister with a calculating mind serve the
ruler. As both ruler and minister are equally calculating,
each for himself, the minister never cares to injure his body
and benefit the state, nor does the ruler want to injure the
state and benefit the minister. By nature the minister would
regard the injury of himself as unprofitable. By nature the
ruler would think the injury of the state as merciless. In
short, ruler and minister work together, each with a
calculating mind.

In the face of a crisis, the minister may sacrifice his life,
exert his wisdom, and apply his strength. He would do so
only on account of the law.

Therefore, the early kings, in order to encourage ministers,
made rewards clear, and, in order to overawe them, made
penalties severe. For, when rewards and penalties were
clarified, the people would risk their lives in the cause of
their native soil; when the people were resolved to risk
their lives, the army would become strong and the sovereign
would be honoured. When reward and penalty were not
clearly enacted, men of no merit would expect undue rewards;
when men found guilty were pardoned by grace, the army
would become weak and the sovereign would become ignoble.
Therefore, the early kings and their worthy counsellors
applied their strength and exerted their wisdom to make
laws clear and penalties severe. Hence the saying: "That
public and private interests must be clearly distinguished
and laws and prohibitions must be carefully enacted, the
early kings already understood."