(Section 7)
The enlightened ruler controls his ministers by means of two handles alone. The two handles are punishment and favor. What do I mean by punishment and favor? To inflict mutilation and death on men is called punishment; to bestow honor and reward is called favor.
Those who act as ministers fear the penalties and hope to profit by the rewards. Hence, if the ruler wields his punishments and favors, the ministers will fear his sternness and flock to receive his benefits.
But the evil ministers of the age are different. They cajole the ruler into letting them inflict punishment themselves on men they hate and bestow rewards on men they like. Now if the ruler of men does not insist upon reserving to himself the right to dispense profit in the form of rewards and show his sternness in punishments, but instead hands them out on the advice of his ministers, then the people of the state will all fear the ministers and hold the ruler in contempt, will flock to the ministers and desert the ruler. This is the danger that arises when the ruler loses control of punishments and favors.
The tiger is able to overpower the dog because of his claws and teeth, but if he discards his claws and teeth and lets the dog use them, then on the contrary he will be overpowered by the dog. In the same way the ruler of men uses punishments and favors to control his ministers, but if he discards his punishments and favors and lets his ministers employ them, then on the contrary he will find himself in the control of his ministers.
Tian Chang petitioned the ruler for various titles and stipends, which he then dispensed to the other ministers, and used an extra large measure in doling out grain to the common people. In this way the ruler, Duke Jian, lost the exclusive right to dispense favors, and it passed into Tian Chang’s hands instead. That was how Duke Jian
came to be assassinated.1
Zihan said to the ruler of Song, “Since the people all delight in rewards and gifts, you should bestow them yourself; but since they hate punishments and death sentences, I beg to be allowed to dispense these for you.” Thereupon the ruler of Song gave up the exclusive right to hand out penalties and it passed into the hands of Zihan. That was how the ruler of Song came to be intimidated. 2
Tian Chang got to bestow favors as he pleased, and Duke Jian was assassinated; Zihan got to hand out punishments as he pleased, and the ruler of Song was intimidated. Hence, if the ministers of the present age are permitted to share in the right to hand out punishments and favors, the rulers of the time will put themselves in greater peril than Duke Jian and the lord of Song.
Invariably when rulers are intimidated, assassinated, obstructed, or forced into the shade, it has always come about because they relinquished the rights to administer punishment and favor to their ministers, and thus brought about their own peril and downfall.
If the ruler of men wishes to put an end to evil-doing, then he must be careful to match up names and results, that is to say, words and
deeds.3 The ministers come forward to present their proposals, the ruler assigns them tasks on the basis of their words, and then concentrates on demanding the accomplishment of the task. If the accomplishment fits the task, and the task fits the words, then he bestows reward; but if they do not match, he doles out punishment.
Hence, if one of the ministers comes forward with big words but produces only small accomplishments, the ruler punishes him, not because the accomplishments are small, but because they do not match the name that was given to the undertaking. Likewise, if one of the ministers comes forward with small words but produces great accomplishments, he too is punished, not because the ruler is displeased at great accomplishments, but because he considers the discrepancy in the name given to the undertaking to be a fault too serious to be outweighed by great accomplishments.
Once in the past Marquis Zhao of Han got drunk and fell asleep.
The keeper of the royal hat, seeing that the marquis was cold, laid a robe over him. When the marquis awoke, he was pleased and asked his attendants, “Who covered me with a robe?” “The keeper of the hat,” they replied. The marquis thereupon punished both the keeper
of the royal hat and the keeper of the royal robe. He punished the keeper of the robe for failing to do his duty, and the keeper of the hat for overstepping his office. It was not that he did not dislike the cold, but he considered the trespass of one official upon the duties of another to be a greater danger than cold.
Hence an enlightened ruler, in handling his ministers, does not permit them to gain merit by overstepping their offices, or to speak words that do not tally with their actions. Those who overstep their offices are condemned to die; those whose words and actions do not tally are punished. If the ministers are made to stick to their proper duties and speak only what is just, then they will be unable to band together in cliques to work for each other’s benefit.
The ruler of men has two worries: if he employs only worthy men, then his ministers will use the appeal to worthiness as a means to intimidate him; on the other hand, if he promotes men in an arbitrary manner, then state affairs will be bungled and will never reach a successful conclusion. Hence, if the ruler shows a fondness for worth, his ministers will all strive to put a pleasing façade on their actions in order to satisfy his desires. In such a case, they will never show their true colors, and if they never show their true colors, then the ruler will have no way to distinguish the able from the worthless.
Because the king of Yue admired valor, many of his subjects defied death; because King Ling of Chu liked slim waists, his state was full of half-starved people on diets. Because Duke Huan of Qi was jealous and loved his ladies in waiting, Shudiao castrated himself in order to be put in charge of the harem; because the duke was fond of unusual food, Yiya steamed his son’s head and offered it to the duke. Because Zikuai of Yan admired worthy men, Zizhi insisted that he would not accept the throne even if it were offered to him. 4
Thus, if the ruler reveals what he dislikes, his ministers will be careful to disguise their motives; if he shows what he likes, his ministers will feign abilities they do not have. In short, if he lets his desires be known, he gives his ministers a clue as to what attitude they had best assume.
Hence Zizhi, by playing the part of a worthy, was able to snatch power from his sovereign; Shudiao and Yiya, by catering to the ruler’s desires, were able to invade his authority. As a result, Zikuai
died in the chaos that ensued, and Duke Huan was left unburied for so long that maggots came crawling out the door of his death chamber.
What caused this? It is an example of the calamity that comes when the ruler reveals his feelings to his ministers. As far as the feelings of the ministers go, they do not necessarily love their ruler; they serve him only in the hope of substantial gain. Now if the ruler of men does not hide his feelings and conceal his motives, but instead gives his ministers a foothold by which they may invade his rights, then they will have no difficulty in doing what Zizhi and Tian Chang did. Hence it is said: Do away with likes, do away with hates, and the ministers will show their true colors. And when the ministers have shown their true colors, the ruler of men will never be deceived. 5
1In 481 B.C, Tian Chang, a high minister of Qi, assassinated the ruler of Qi, Duke Jian. Earlier, Tian Chang was said to have won the support of the people by using a larger-than-standard measure in doling out grain to the people, but the standard measure when collecting taxes in grain. See Zuozhuan, Duke Zhao, 3d yr.
2The incident to which Han Feizi is referring here is otherwise unknown.
3Reading yu instead of yi.
4In his later years Duke Huan (r. 685–643 B.C.) of Qi relied heavily upon Shudiao and Yiya, two evil ministers who were said to have ingratiated themselves with the duke in the unpleasant manner mentioned. As a result, when the duke died, the court was torn by party strife. (See below, p. 66–6 7.) In 3 16 B.C. King Kuai of Yan, hoping to imitate the sages of antiquity who were said to have offered their thrones to worthy men, offered his own throne to his minister Zizhi. Contrary to the king’s expectation, Zizhi accepted it, became ruler, and brought the state close to ruin.
5Reading ren instead of *da. *
WIELDING POWER1
(Section 8)
Both Heaven [Nature] and man have their fixed destinies. Fragrant aromas and delicate flavors, rich wine and fat meat delight the palate but sicken the body. Fair lineaments and pearly teeth warm the heart but waste the spirit. Therefore renounce riot and excess, for only then can you keep your health unharmed.
Do not let your power be seen; be blank and actionless.
Government reaches to the four quarters, but its source is in the center. The sage holds to the source and the four quarters come to serve him. In emptiness he awaits them, and they spontaneously do what is needed. When all within the four seas have been put in their proper places, he sits in darkness to observe the light. When those to his left and right have taken their places, he opens the gate to face the world. He changes nothing, alters nothing, but acts with the two handles of reward and punishment, acts and never ceases: this is what is called walking the path of principle.
Things have their proper place, talents their proper use. When all are in their proper place, then superior and inferior may be free from action. Let the cock herald the dawn, let the cat catch rats. When each exercises his ability, the ruler need do nothing. If the ruler tries to excel, then nothing will go right. If he boasts of an eye for the abilities of others, he will invite deceit among his subordinates. If he is lenient and fond of sparing lives, his subordinates will impose upon his kind nature. If superior and inferior try to change roles, the state will never be ordered.
Use the single Way and make names the head of it. When names are correct, things stay in place; when names are twisted, things shift about. Hence the sage holds to unity in stillness; he lets names define themselves and affairs reach their own settlement. He does not reveal his nature, and his subordinates are open and upright. He
assigns them tasks according to their ability and lets them settle2
things for themselves; he hands out rewards according to the results and lets them raise their own station. He establishes the standard, abides by it, and lets all things settle themselves. On the basis of names he makes his appointments, and where the name is not clear, he looks to the actual achievement it applies to. According to how achievement and name tally, he dispenses the reward or punishment deserved. When rewards and punishments are certain to be handed out, then subordinates will bare their true nature.
Attend diligently to these matters, await the decree of Heaven, do not lose hold of the vital point, and you may become a sage. Discard wisdom and wile, for, if you do not, you will find it hard to remain constant. When the people use wisdom and wile, they bring grave danger to themselves; when the ruler uses them, his state faces peril and destruction. Follow the way of Heaven, reflect on the principle behind human affairs; investigate, examine, and compare these things, and when you come to the end, begin again. Be empty, quiet, and retiring; never put yourself forward. All the worries of the ruler come about because he tries to be like others. Trust others but never be like them, and then the myriad people will follow you as one man.
The Way is vast and great and without form; its Power is clear and orderly and extends everywhere. Since it extends to all living beings, they may use it proportionately; but, though all things flourish through it, it does not rest among things. The Way pervades all affairs here below. Therefore examine and obey the decrees of Heaven3 and live and die at the right time; compare names, differentiate events, comprehend their unity, and identify yourself with the Way’s true nature.
Thus it is said: The Way does not identify itself with the myriad beings; its Power does not identify itself with the yin and yang, any more than a scale identifies itself with heaviness or lightness, a plumb line with bumps and hollows, a reed organ with dampness or
dryness,4 or a ruler with his ministers. All these [the myriad beings, the yin and yang, heaviness and lightness, etc.] are products of the Way; but the Way itself is never plural—therefore it is called a unity.
For this reason the enlightened ruler prizes solitariness, which is the characteristic of the Way. The ruler and his ministers do not follow
the same way. The ministers name their proposals, the ruler holds fast to the name, and the ministers come forward with results. When names and results match, then superior and inferior will achieve harmony.
The way to listen to the words of the ministers is to take the statements that come from them and compare them with the powers that have been invested in them. Therefore you must examine names carefully in order to establish ranks, clarify duties in order to distinguish worth. This is the way to listen to the words of others: be silent as though in a drunken stupor. Say to yourself: Lips! teeth! do not be the first to move; lips! teeth! be thicker, be clumsier than ever!
Let others say their piece—I will gain knowledge thereby.
Though right and wrong swarm about him, the ruler does not argue with them. Be empty, still, inactive, for this is the true nature of the Way. Study, compare, and see what matches, for this will reveal how much has been accomplished. Compare with concrete results, check against empty assertions. Where the root and base of the affair are unshaken, there will be no error in movement or stillness.
Whether you move or remain still, transform all through inaction. If you show delight, your affairs will multiply; if you show hatred, resentment will be born. Therefore discard both delight and hatred and with an empty mind become the abode of the Way.
The ruler does not try to work side by side with his people, and they accordingly respect the dignity of his position. He does not try to tell others what to do, but leaves them to do things by themselves.
Tightly he bars his inner door, and from his room looks out into the courtyard; he has provided the rules and yardsticks, so that all things know their place. 5 Those who merit reward are rewarded; those who deserve punishment are punished. Reward and punishment follow the deed; each man brings them upon himself. Therefore, whether the result is pleasant or hateful, who dares to question it? When compass and rule have marked out one corner of truth, the other three corners will become evident of themselves.
If the ruler is not godlike in his isolation, his subordinates will find ways to move him. If his management of affairs is not impartial, they will guess at his inclinations. Be like Heaven, be like earth, and all coils will be untangled. Be like Heaven, be like earth; then who will
be close to you, who will be distant? He who can model himself on Heaven and earth may be called a sage.
Would you order the affairs of the palace? Delegate them and be intimate with no one. Would you order outside affairs? Appoint one man to each office. Let no one do as he pleases, and never permit men to change office or to hold two offices at the same time. Take warning when there are many men gathered at the gates of the high ministers! The height of good government is to allow your subordinates no means of taking advantage of you. Make certain that name and result match, and then the people will stick to their posts. If you discard this and look for some other method to rule, you will win the name of one who is profoundly deluded; wily men will only increase, and evil ministers fill your ranks. Hence it is said: Never enrich a man to the point where he can afford to turn against
you;6 never ennoble a man to the point where he becomes a threat; never put all your trust in a single man and thereby lose your state.
When the shin grows stouter than the thigh, it is hard to run; when the ruler loses his godlike qualities, tigers prowl behind him. If the ruler fails to take notice of them, then he and his ministers, who should be tigers themselves, become as impotent as dogs. If the ruler fails to check the danger, then the dogs will continue to increase in number; the tigers will form a band and assassinate their master. A ruler who has no ministers—how can he keep possession of a state? Let the ruler apply the laws, and the greatest tigers will tremble; let him apply punishments, and the greatest tigers will grow docile. If laws and punishments are justly applied, then tigers will be transformed into men again and revert to their true form. 7
If you wish to govern the state, you must make certain to destroy conclaves; if you do not do so, they will only grow more numerous. If you wish to govern the land, you must make certain that your bestowals pass into the right hands; if you do not do so, then unruly men will come seeking gain. If you grant what they seek, you will be lending a battle-ax to your enemies; this you must not do, for it will only be used against you.
The Yellow Emperor used to say, “Superior and inferior fight a hundred battles a day.” The subordinates hide their private desires and see what they can get from the ruler; the ruler employs his
standards and measures to weigh what they are up to. Thus the standards and measures that are set up are the ruler’s treasures; and the parties and cliques that are formed are the ministers’
treasures. The only reason the ministers do not assassinate their sovereign is that their parties and cliques are not strong enough.
Hence, if the ruler loses an inch, his subordinates gain a yard.
The ruler who knows how to govern his state does not let his cities grow too large; the ruler who understands the Way does not enrich the powerful families8 nor ennoble his ministers. Were he to enrich and ennoble them, they would turn about and try to overthrow him.
Guard against danger, fear peril, make haste to designate your heir, and misfortune will have no means to arise.
In ferreting out evil within the palace and controlling it outside, you yourself must hold fast to your standards and measurements. Whittle away from those who have too much, enhance those who have too little, but let the taking and the giving be according to measure.
Never allow men to form cliques or join together to deceive their superiors. Let your whittling be as gradual as the slimming moon, your enhancing like a slow-spreading heat. Simplify the laws and be cautious in the use of penalties but, where punishments are called for, make certain they are carried out. Never loosen your bow, or you will find two cocks in a single roost, squawking in fierce rivalry. When wildcat and wolf break into the fold, the sheep are not likely to increase. When one house has two venerables, its affairs will never prosper. When husband and wife both give orders, the children are at a loss to know which one to obey.
The ruler of men must prune his trees from time to time and not let them grow too thick for, if they do, they will block his gate; while the gates of private men are crowded with visitors, the ruler’s courts will stand empty, and he will be shut in and encircled. He must prune his trees from time to time and not let them obstruct the path for, if they do, they will impinge upon his dwelling. He must prune his trees from time to time and not let the branches grow larger than the trunk for, if they do, they will not be able to bear up under the spring wind, and will do injury to the heart of the tree. When cadet houses become too numerous, the royal family will face anxiety and grief. The way to prevent this is to prune your trees from time to time and not let the
branches grow too luxurious. If the trees are pruned from time to time, cliques and parties will be broken up. Dig them up from the roots, and then the trees cannot spread. Fill up the pools, and do not let water collect in them.9 Search out the hearts of others, seize their power from them. The ruler himself should possess the power, wielding it like lightning or like thunder.
1In this chapter, Han Feizi borrows the laconic language of Daoist quietism to express his political philosophy, using short, neatly balanced phrases with frequent end rhymes. Because of the deliberately arcane mode of expression he employs, commentators disagree at many points on exactly what he is saying.
2Reading ding instead of shi.
3Reading tian instead of er. In Daoist terminology, Heaven is synonymous with the Way, or Dao.
4A kind of reed musical instrument whose pitch was said to remain unaffected by changes of humidity; it could therefore be used to set the pitch for other instruments.
5Omitting can and reading zhi (to know) in place of the present zhi.
6Reading er instead of dai.
7There are various theories on the symbolic meaning of the tigers and dogs in this paragraph, depending upon which the interpretation of the passage differs considerably. I have followed that of Tao Hongqing.
8Reading jun instead of then and fu instead of *gui. *
9Omitting xiong and reading yan for qing in accordance with the suggestion of Chen Qiyou. The language of these last two paragraphs is so extravagantly metaphorical that it presents difficulties of interpretation at numerous points.