05 THE TEN FAULTS

(Section 10)

These are the ten faults:

To practice petty loyalty and thereby betray a larger loyalty.
To fix your eye on a petty gain and thereby lose a larger one.
To behave in a base and willful manner and show no courtesy to the other feudal lords, thereby bringing about your own downfall.
To give no ear to government affairs but long only for the sound of music, thereby plunging yourself into distress.
To be greedy, perverse, and too fond of profit, thereby opening the way to the destruction of the state and your own demise.
To become infatuated with women musicians and disregard state affairs, thereby inviting the disaster of national destruction.
To leave the palace for distant travels, despising the remonstrances of your ministers, which leads to grave peril for yourself.
To fail to heed your loyal ministers when you are at fault, insisting upon having your own way, which will in time destroy your good reputation and make you a laughing stock of others.
To take no account of internal strength but rely solely upon your allies abroad, which places the state in grave danger of dismemberment.
To ignore the demands of courtesy, though your state is small, and fail to learn from the remonstrances of your ministers, acts which lead to the downfall of your line.
What do I mean by petty loyalty? Long ago, when King Gong of Chu fought with Duke Li of Jin at Yanling, the Chu army was defeated and King Gong was wounded in the eye. 1 When the battle was at its fiercest the Chu commander of the army, Zifan, grew thirsty and called for a drink. His page Guyang came forward with a flagon of wine and presented it to him. “Get away from me!” said Zifan. “That’s wine you have!” But Guyang insisted it was not wine, until Zifan finally accepted it and drank it. Zifan was the kind of man who is so fond of wine that, once he had tasted it, he could not stop until he had gotten drunk. Meanwhile the battle came to an end and King Gong, hoping to resume it again the next day, sent an order summoning his commander Zifan, but Zifan excused himself, saying that he had a pain in his heart. King Gong mounted his carriage and went in person to see Zifan but, when he entered the curtains of Zifan’s tent and smelled the wine fumes, he turned about and left.

“Even I myself was wounded in today’s battle,” he said. “And yet my commander, whom I most relied on, is drunk like this! He brings destruction to the sacred altars of the state of Chu and has no pity upon my men. I will not fight again.” With this he withdrew his armies from the field and left, beheading Zifan in punishment for the terrible crime he had committed.

Thus, when the page Guyang presented the wine, he had no thought of enmity for Zifan. His heart was filled only with loyalty and love for his commander, and yet he ended by killing him. This is what it means to practice petty loyalty and thereby betray a larger loyalty.

What do I mean by fixing your eyes on petty gain? Long ago Duke Xian of Jin wanted to secure passage through the state of Yu in order to launch an attack on the state of Guo.2 Xun Xi said to the duke, “Your lordship should bribe the duke of Yu with the jade of Chuiji and the team of four horses from Qu. Then if we ask for passage, he will surely grant it to us.”

But the duke said, “The jade of Chuiji was a treasure of my father, the late ruler, and the team from Qu are my best horses! What will I do if the duke of Yu accepts the gifts but refuses to grant us passage?”

“If he does not intend to grant us passage, he will not accept them,” said Xun Xi. “And if he accepts them in return for passage,

then it will only be as though we were removing the jade from the inner treasury and depositing it in one in the outlying districts, or transferring the horses from the palace stables to the country ones.

You need not worry.”

“Very well,” said the duke, and sent Xun Xi with the jade of Chuiji and the team from Qu to bribe the duke of Yu for passage. The duke of Yu, greedy for the jade and horses, was about to give his consent, when Gong Zhiqi admonished him, saying, “It will not do to consent!

Guo is to Yu as the jowls to the jawbone. The jowls depend on the jawbone and the jawbone depends on the jowls, and Yu and Guo stand in the same relationship. If you grant him passage, then Guo will be destroyed in the morning and Yu will follow it at eventide. It will not do! I beg you not to consent!”

But the duke of Yu refused to listen to him and granted passage to Jin. Xun Xi attacked and conquered3 Guo, and three years after the expedition he once more called up the troops and attacked and conquered Yu as well. He then brought the horses and the jade back to Duke Xian. The duke was pleased and remarked, “The jade is as good as ever, and the teeth of the horses are even longer than before.”

How did it happen that the duke of Yu saw his troops overwhelmed and his domain stripped away? Because he longed for petty profit and took no thought for the harm involved. Therefore I say: By fixing your eyes on a petty gain, you may deprive yourself of a much larger one.

What do I mean by behaving in a base manner? Long ago King Ling of Chu summoned the other feudal lords to a conference at

Shen.4 But because the crown prince of Song arrived late, he seized him and held him prisoner, and he also insulted the ruler of Xu and incarcerated Qing Feng of Qi. One of his palace guards remonstrated with him, saying, “When you meet with the other feudal lords, it is unthinkable to behave with such discourtesy! This is a matter of life or death to the state. In ancient times Jie held a meeting at Yourong, and the people of Youmin revolted; Zhou held a hunting conference at Li Hill and the Rong and Di rebelled. This happened because they behaved without courtesy. I beg you to consider this!”

But the king refused to listen and went ahead doing as he pleased.

Before ten years had passed5 King Ling went on a tour of the south, and his officials took advantage of his absence to steal the throne from him. He was reduced to starvation and died in Dry Valley.

Hence I say: To behave in a base and willful manner and show no courtesy to the other feudal lords is the way to bring about your downfall.

What do I mean by longing for the sound of music? Long ago, Duke Ling [r. 534–493 B.C.] of Wei was on his way to the state of Jin, and when he reached the banks of the Pu River, he unhitched his carriages, turned his horses loose to graze, and set up camp for the night. In the middle of the night he heard someone playing a strange piece of music that pleased him greatly, but when he sent a man to question his attendants about it, they all replied that they heard nothing. He summoned his music master Juan and said, “Someone is playing a strange piece of music, but when I sent to ask my attendants, they all replied they could hear nothing. It would almost appear to be the work of some ghost or spirit! I want you to listen for me and see if you can copy it.”

“As you say,” replied Master Juan, and he sat down quietly and began to strum the lute in imitation of the music.

The next morning, Master Juan reported to the duke. “I have the tune all right, but I have not yet had time to practice it. May I ask that we stay another night so I can do so?” “As you wish,” said the duke, and they accordingly camped there another night. By the following day Master Juan had mastered the music and they proceeded on their way to Jin.

Duke Ping [r. 557–532] of Jin entertained them with a banquet on the Shiyi Terrace, and when the drinking was at its height, Duke Ling rose from his seat and said, “There is a new piece of music which I would like to present to you.” “Excellent!” said Duke Ping. Duke Ling then summoned Master Juan, and instructed him to sit down beside Master Kuang, the music master of Jin, take up the lute, and play the new piece. But before he had finished Master Kuang put his hand on the lute and stopped him, saying, “This is the music of a doomed nation! You must not go on!”

“Where did this music come from?” asked Duke Ping, and Master Kuang replied, “It was written by the music master Yan, one of the wild and licentious pieces he composed for King Zhou of the Yin dynasty. When King Wu attacked King Zhou, Master Yan fled to the east, and when he reached the Pu River, he threw himself into it.

Hence anyone who heard this music must have done so on the banks of the Pu. He who dares to listen to this music will have his domain taken from him! You must not go on to the end!”

But Duke Ping said, “Music is my greatest delight. Let him continue to the end!” Master Juan accordingly continued playing to the end of the piece. Duke Ping then turned to Master Kuang and asked, “What mode is this piece in?” “It is in the pure shang mode,”

said Master Kuang. “Is this the saddest of all the modes?” asked the duke. “It cannot compare to the pure zhi mode,” replied Master Kuang.

“May I hear something in the pure zhi mode?” asked the duke, but Master Kuang replied, “That is impossible! Those in ancient times who listened to the pure zhi mode were all rulers of virtue and righteousness, but you, my lord, are still deficient in virtue. You are not worthy to hear it.”

“Music is the only thing I delight in,” said Duke Ping. “I beg you to let me hear a sample of it!” Master Kuang, unable to refuse, took up the lute and began to play. As he played through the first section of the music, twice times eight black cranes appeared from the south and gathered on the ridgepole of the gallery gate. As he played through the second section, they arranged themselves in a file. As he played through the third section, they stretched their necks and began to cry, beating their wings and dancing; their voices matched the music of the gong and shang modes and the sound of their singing reached to the heavens. Duke Ping was overjoyed, and all who sat with him were filled with delight.

The duke seized a wine cup and, rising to his feet, proposed a toast to Master Kuang’s happiness and long life. Then he returned to his seat and asked, “Is there no mode that is sadder than the pure zhi?” “The pure jue is even sadder,” replied Master Kuang. “May I hear something in the pure jue?” asked the duke, but Master Kuang answered, “That is impossible! In ancient times, the Yellow Emperor

called the spirits together on the top of Mount Tai. Riding in an ivory carriage drawn by six dragons, the god Bifang keeping pace with the linchpin, the god Chiyou stationed before him, the Wind Earl to sweep the way, the Rain Master to sprinkle the road, tigers and wolves in the vanguard, ghosts and spirits behind, writhing serpents on the ground below, phoenixes soaring above him, he called the spirits to a great assembly and created the music of the pure jue mode. But you, my lord, are still deficient in virtue. You are not worthy to hear it. If you were to hear it, I fear some misfortune would come about!”

But Duke Ping replied, “I am an old man, and the only thing I long for is music. I beg you to let me hear it anyway!” Master Kuang, unable to refuse, began to play. As he played the first section of the music, black clouds began to rise from the northwest. With the second section, a fierce wind came forth, followed by violent rain, that tore the curtains and hangings on the terrace, overturned the cups and bowls, and shook down the tiles from the gallery roof.

Those who had been sitting in the company fled in all directions, while the duke, overcome with terror, cowered in a corner of the gallery. The state of Jin was visited by a great drought that seared the land for three years, and sores broke out all over Duke Ping’s body. Hence I say: To give no ear to government affairs but to long ceaselessly for the sound of music is the way to plunge yourself into distress.

What do I mean by greed and perversity? Long ago Zhi Bo Yao

[d. 453 B.C.] led the troops of Zhao, Han, and Wei in an attack on the Fan and Zhonghang families and wiped them out. After returning to his territory, he disbanded his troops for a few years, and then sent one of his men to request territory from the state of Han. Viscount Kang of Han wished to refuse the request, but Duan Gui admonished him, saying, “It will not do to withold the territory! Zhi Bo is the kind of man who cares only for gain, and he is arrogant and perverse. If he comes to us with a demand for territory and we refuse to grant it, he will be sure to send troops against us. I hope, therefore, you will give him what he wants. If so, he will become accustomed to getting his way, and will make similar demands for land from the other states. Some of them will surely refuse him, and

when they do so, he will be bound to send troops against them. In this way we can escape danger ourselves, and sit back to wait for some change in the situation!” “You are right,” said Viscount Kang, and ordered his envoy to present Zhi Bo with a district of ten thousand households.

Zhi Bo, much pleased, proceeded to send his men to the state of Wei to demand territory. Viscount Xuan of Wei wished to refuse, but Zhao Jia admonished him, saying, “He requested territory from Han, and Han gave it to him. Now he has come to us with the same request. If we refuse him, it will appear that we believe our state to be so strong internally that we are willing to incur the anger of Zhi Bo abroad. For should we refuse him, he will certainly send his troops against us. It would be best, therefore, to grant him the territory.” “As you say,” said Viscount Xuan, and he ordered one of his men to turn over to Zhi Bo a district of ten thousand households.

Zhi Bo then sent a man to the state of Zhao to demand the territories of Cai and Gaolang. Viscount Xiang of Zhao refused to give them to him, and Zhi Bo accordingly made a secret alliance with Han and Wei to launch an attack on Zhao. Viscount Xiang summoned Zhang Mengtan and explained the situation to him, saying, “Zhi Bo is by nature friendly6 on the surface but secretly cold and distant. Three times he has exchanged envoys with Han and Wei, and yet I have not been included in the discussions. It is certain that he is about to dispatch troops against me. Where would be a safe place for me now to take up residence?”

Zhang Mengtan replied, “Dong Guanyu, who was one of the ablest ministers of your father, Lord Jian, governed the city of Jinyang, and later Yin Duo took over and followed his ways, so that the influence of their good work still remains there. I would urge you to consider no other place but Jinyang.” “Very well,” said the viscount, and summoned Yanling Sheng, ordering him to lead the army carriages and cavalry ahead to Jinyang, and he himself followed later.

When he reached Jinyang he inspected the inner and outer walls and the storehouses of the five government bureaus, and found the walls in poor repair, the granaries empty of provisions, the treasuries bare of money, the arsenals unstocked with weapons, and the city completely lacking in defense preparations. Much alarmed, he

summoned Zhang Mengtan and said, “I have inspected the walls and storehouses of the five bureaus, and I find them completely unprepared and unstocked. How am I to hold off an enemy?”

“I have heard,” replied Zhang Mengtan, “that when a sage governs he stores wealth among the people, 7 not in granaries and treasuries, and he works to train the people in their duty, not to repair walls and battlements. I suggest that you issue an order instructing the people to lay aside three years’ supply of food and, if they have any grain left over, to bring it to the granaries. Instruct them also to lay aside funds for three years and, if they have any money left over, to bring it to the treasuries. Finally, if there are any men who are unoccupied, have them put to work repairing the walls.”

The viscount issued the order that evening, and by the following day the granaries could not hold all the grain that was brought to them, there was no place left in the treasuries to store the money, and the arsenals overflowed with weapons. By the time five days had passed, the walls were in perfect repair and full provisions had been made for the defense of the city.

The viscount summoned Zhang Mengtan again. “The walls of my city are now in good repair and provisions have been made for its defense. I have sufficient money and grain, and more weapons than I need. But what will I do for arrows?”

Zhang Mengtan replied, “I have heard that when Master Dong governed Jinyang he had the fences of all the public buildings planted with rows of cane and thorn bushes, some of which have grown very tall by now. You could cut them and use them.” The viscount accordingly had some of them cut and tried out, and he found them of a hardness that could not be surpassed even by the stoutest junlu bamboo.

“I have enough arrows now,” said the viscount, “but what will I do for metal?” Zhang Mengtan replied, “I have heard that when Master Dong governed Jinyang he had the pillars and bases in the main halls of the public buildings and lodges made out of refined copper.

You could remove them and use them.” The viscount accordingly had the pillars and bases removed, and in this way got more metal than he needed.

When the viscount had finished issuing his war orders and had made all preparations for defense, the armies of the three other states did in fact appear. As soon as they arrived, they fell upon the walls of Jinyang but, though they pressed the attack for three months, they were unable to take the city. They then fanned out and surrounded the city, and diverted water from the river outside Jinyang to inundate it. Thus they besieged Jinyang for three years.

The people in the city were obliged to live in nestlike perches up above the water, and to hang their kettles from scaffoldings in order to cook. The supplies of food and provisions were almost exhausted, and even the court nobles were starving and sickly.

Viscount Xiang said to Zhang Mengtan, “Our provisions are gone, our strength and resources are exhausted, the officials are starving and ill, and I fear we can hold out no longer. I am going to surrender the city, but to which of the three states should I surrender?”

“They say,” replied Zhang Mengtan, “that unless wisdom can save the perishing and restore safety to the imperilled, then it is not worth honoring. I beg you to forget this plan of yours and let me try to steal out of the city in secret and visit the rulers of Han and Wei.”

When Zhang Mengtan visited the rulers of Han and Wei, he said to them, “The saying has it that when the lips are gone the teeth are cold. Now Zhi Bo has persuaded you two lords to join him in this attack on Zhao, and Zhao is about to fall. But when Zhao has perished, then it will be your turn!”

“We are quite aware of that,” they replied. “But Zhi Bo is by nature suspicious at heart and cares little for others. If we plot against him and we are discovered, then disaster is certain to fall on us. What can we do?”

“The plot comes out of your mouth, goes into my ears, and that is all,” said Zhang Mengtan. “No one else will know of it.” Accordingly, the two rulers promised to join with Zhao so that all three armies could turn against Zhi Bo, and they fixed the day for carrying out the plot. The same night they sent Zhang Mengtan back to Jinyang to report the promise of their defection to Viscount Xiang. On his return, the viscount greeted Zhang Mengtan with repeated bows, his expression a mixture of joy and apprehension.

Meanwhile the rulers of Han and Wei, having dispatched Zhang Mengtan with their promise, went the following morning to pay their customary respects to Zhi Bo, and as they emerged from the gate formed by his lines of war chariots, they chanced to meet his minister, Zhi Guo. Zhi Guo, after eyeing their faces suspiciously, went in to see Zhi Bo. “From the appearance of those two men, it looks as though they are going to turn against you,” he said. “What was their appearance like?” asked Zhi Bo. “Their stride was arrogant and their manner haughty, with none of the restraint they have shown at other times. You had better move before they have a chance to do so.”

But Zhi Bo replied, “I have made a solemn promise with them that, once we have defeated Zhao, we will divide its territory three ways.

Since I have been this good to them, they would surely not attack or deceive me. Our troops have invested Jinyang for three years. Now when the city is ready to fall at any moment and we are about to enjoy the spoils, what reason would they have for changing their minds? You are surely mistaken. Put it out of your mind, don’t worry, and say nothing more of this!”

The following morning, when the two lords had paid their respects to Zhi Bo and left, they once more met Zhi Guo at the gate of the war chariots. When Zhi Guo went in to see Zhi Bo, he asked, “Did you tell those two men what I said to you yesterday?” “How did you guess?” said Zhi Bo. “This morning I met the two of them as they were on their way from visiting you,” said Zhi Guo. “As soon as they saw me their faces changed and they stared hard at me. They are certain to revolt now. You had better kill them.” But Zhi Bo replied,

“Leave the matter alone and say nothing more about it!” “That will not do!” insisted Zhi Guo. “You must kill them. Or else, if you can’t bring yourself to kill them, then you must do something to win their friendship.”

“And how should I win their friendship?” asked Zhi Bo. Zhi Guo replied, “The lord of Wei has a minister named Zhao Jia whom he consults in matters of policy, and the lord of Han has a similar minister named Duan Gui. Both these men have the power to talk their lords into changing their plans. You should make a promise to the lords of these two ministers that, once Zhao has been defeated,

you will enfeoff each of them with a district of ten thousand households. If you do this, then the two rulers will think no more of turning against you.”

But Zhi Bo replied, “I have already promised to divide the territory of Zhao three ways once it has been defeated. Now if I also have to enfeoff each of these two ministers with a district of ten thousand households, my share will be less than a third of the spoils! That won’t do!”

Zhi Guo, seeing that his advice was not going to be heeded, left, and also took the precaution of changing his family name to Fu.

When the evening of the day appointed for the execution of the plot came, the men of Zhao killed the guards who were patrolling the river dikes and broke open a passage so that the water would inundate Zhi Bo’s army. In their efforts to stop the water, Zhi Bo’s men were thrown into confusion, and Han and Wei fell upon them from either side, while Viscount Xiang of Zhao led his soldiers in a frontal attack. Together they inflicted a severe defeat on Zhi Bo’s army and took Zhi Bo prisoner.

Thus Zhi Bo was killed, his army defeated, his territory divided into three parts, and he became the laughing stock of the world. So I say: To be greedy, perverse, and too fond of profit opens the way to the destruction of the state and your own demise.

What do I mean by becoming infatuated with women musicians? Long ago, the king of the Rong barbarians sent You Yu on a state visit to Qin. Duke Mu [r. 659–621 B.C.] of Qin questioned him, saying, “I have heard general discussions of the Way, but I have never come face to face with any concrete description of it. May I ask you what was the constant principle by which the enlightened rulers of ancient times won or lost their states?”

“I have heard it said,” replied You Yu, “that they always won their states by thrift and lost them through extravagance.”

“I have not considered it beneath my dignity to ask you about the Way,” said Duke Mu. “Now why do you give me an answer like

‘thrift’?”

You Yu replied, “I have heard it said that in ancient times, when Yao ruled the world, he ate his food from an earthen bowl and drank from an earthen pitcher, and yet within his territory, which extended

as far as Jiaozhi in the south, Youdu in the north, and east and west to the places where the sun and moon rise and set, there was no one who did not acknowledge his sovereignty. Yao then relinquished the empire and it passed to Shun of Yu, who had new dishes made.

He had wood cut in the hills and fashioned into vessels and then, after the traces of the ax and saw had been smoothed away and the surfaces had been painted with black lacquer, he had them brought to the palace to use for his tableware. But the other feudal lords considered that he was becoming extravagant, and thirteen states refused any longer to pay him allegiance.

“Later Shun ceded the empire and passed it to Yu, who had sacrificial vessels made that were varnished black on the outside and painted vermilion inside. He had cushions of woven fabric, mats of water grass with decorated edges, embellished cups and flagons, and ornamented casks and platters. Having become increasingly extravagant in his ways, he found that thirty-three of the states refused to serve him.

“The Xia dynasty founded by Yu in time passed away and was replaced by the men of Yin, who built the great carriage of state and decorated it with nine banners. They had dishes that were carved and polished, inlaid drinking vessels, whitewashed8 walls and plastered porches, cushions and mats that were ornamented with designs. Having become even more extravagant than their predecessors, they found that fifty-three states would not obey them.

The more attention the rulers paid to refinement and elegance, the fewer were those who wished to submit to them. Therefore I say that thrift is the essence of the Way.”

After You Yu had left the room, the duke summoned his internal secretary Liao and reported what had passed. “I have heard,” he said, “that the presence of a sage in a neighboring country poses a threat to all the rival states around. It is obvious that You Yu is a sage, and I am worried about it. What should I do?”

The internal secretary Liao replied, “They say that the king of the Rong lives in a remote and out-of-the way region, and has never heard the music of the Middle Kingdom. You might send him some women musicians to throw his rule into disorder, and at the same time request that You Yu’s return be postponed so that he will be

deprived of You Yu’s good advice. In that way You Yu and his sovereign will become estranged, and we can then lay plans to exploit the situation.”

“Very good,” said the duke, and ordered the internal secretary Liao to send twice times eight women musicians to the king of the Rong, and at the same time to request that You Yu’s return be postponed.

The king of the Rong granted the request, and was so delighted with the women musicians that he ordered wine brought and banquets prepared, and spent every day listening to their music. A year passed and still he had not moved to new pastures, so that half his cattle and horses died. When You Yu returned, he remonstrated with the king, but the king refused to heed him, until You Yu finally left the state and went back to Qin. Duke Mu of Qin greeted him, honored him with the post of prime minister, and questioned him on the military strength and topography of the land of the Rong. Having obtained the information he needed, he then called out his troops and attacked the Rong, annexing twelve states and extending his domain a thousand *li. *9 Hence I say: To become infatuated with women musicians and disregard affairs of state invites the disaster of national destruction.

What do I mean by leaving the palace for distant travels? Long ago Viscount Tian Cheng10 was traveling by the sea and enjoying himself so much that he issued an order to his ministers saying,

“Whoever mentions going home will be put to death!”

Yan Zhuoju said to him, “My lord, you are enjoying your journey by the sea, but what if your ministers at home should be plotting against the state? Should you lose your state, how could you ever enjoy this pleasure again?”

“I have given an order that anyone who mentions going home will be put to death! You have just violated my order!” said the viscount, seizing a lance and preparing to strike Yan Zhuoju.

“In ancient times, the tyrant Jie killed his minister Guan Longfeng, and Zhou killed Prince Bi Gan. So you have a perfect right to kill me and make me the third victim. You may be sure that, like the others, I speak for the sake of the state, not for myself!” Then he stretched forth his neck and said, “Strike, my lord!”

The viscount threw down the lance, hastened to call his carriages, and returned home. Three days after he arrived he learned that some of his subjects had been plotting to prevent him from entering the capital. It was thus due to the efforts of Yan Zhuoju that Viscount Tian Cheng was finally able to seize control of the state of Qi. Hence I say: To leave the palace for distant travels leads to grave peril for yourself.

What do I mean by failing to heed your loyal ministers when you are at fault? Long ago Duke Huan of Qi nine times summoned the other feudal lords to conference, brought unity and peace to the empire, and became the first of the five dictators, and Guan Zhong

[d. 645 B.C.] aided him. When Guan Zhong grew old and could no longer serve the duke, he retired to his home to rest. Duke Huan called upon him there, and said, “Father Zhong, you are ill and living in retirement. If by some unlucky chance you should not rise again from your sickbed, to whom can I entrust the affairs of state?”

“I am an old man and cannot answer such a question,” said Guan Zhong. “They say that no one knows the ministers better than their sovereign, and no one knows the sons better than their father. You should try to make the decision for yourself.”

“How would Bao Shuya do?” asked the duke, but Guan Zhong replied, “Impossible! Bao Shuya is by nature stubborn, perverse, and given to displays of arrogance. Being stubborn, he will offend the people with his unruly ways; being perverse, he will never win their hearts; and being arrogant, he will never secure the cooperation of his subordinates. And with all these faults, he has not the sense to be fearful. He cannot act as aid to a dictator.”

“Then what about Shudiao?” asked the duke, but Guan Zhong replied, “Impossible! It is only human nature to look out for one’s own body. Yet Shudiao, knowing that you are jealous and dote on your ladies in waiting, castrated himself so that he could be put in charge of the harem. If he cares so little for himself, how can he care for you?”

“Then what about Prince Kaifang of Wei?” asked the duke, but Guan Zhong replied, “He will never do. The states of Wei and Qi are no more than ten days’ journey apart and yet, since Kaifang came to your court, he has been so intent upon ingratiating himself with you

that he has not been home to see his father or mother in fifteen years! This is contrary to human nature. If he has no affection for his own parents, how can he have any affection for you?”

“What about Yiya?” asked the duke, but Guan Zhong replied, “He will not do. He was in charge of supplying your table with delicacies and, knowing that the only thing you had never tasted was human flesh, he steamed the head of his own son and presented it to you.

You know this as well as I. There is no one who does not feel affection for his son, and yet here is a man who would cook his own son and present him on a tray to his ruler. If he does not love his son, how can he love you?”

“In that case, who will do?” asked the duke. “Xi Peng,” said Guan Zhong. “By nature he is steadfast of heart and honest with others, few in his desires and full of good faith. Being steadfast of heart, he can serve as a model; being honest with others, he can be entrusted with important undertakings; being few in desires, he can be trusted to oversee the masses; and being full of good faith, he can establish friendly relations with neighboring states. He can act as aid to a dictator. I hope you will employ him.”

“As you say,” said the duke. But a year or so later, when Guan Zhong died, the duke did not employ Xi Peng, but turned matters over to Shudiao instead. After Shudiao had had charge of affairs of state for three years, Duke Huan journeyed south on a pleasure trip to Tangfu. Shudiao then led Yiya, Prince Kaifang of Wei, and the other high ministers in a revolt. Duke Huan died of thirst and hunger in guarded confinement in a chamber of the South Gate Palace, and his body remained unburied for three months until the maggots began to crawl out of the chamber door.

Why was it that, though his armies marched across the empire at will and he himself was the first of the five dictators, Duke Huan was in the end assassinated by his ministers, lost his fair reputation, and became the laughing stock of the world? It was because of his failure to heed Guan Zhong. Hence I say: To fail to heed your loyal ministers when you are at fault, but to insist upon having your own way, will in time destroy your good reputation and make you the laughing stock of others.

What do I mean by taking no account of internal strength [but relying solely upon your allies abroad]? In former times Qin launched an attack on the city of Yiyang, and the men of the Han clan, who held possession of Yiyang, were sorely pressed. 11 Gongzhong Peng said to the ruler of Han, “Our allies cannot be relied upon to help us.

It would be best to ask Zhang Yi to arrange peace terms for us with Qin. We could bribe Qin by presenting it with one of our larger cities, and then join Qin in an attack on Chu to the south. In this way we can solve our difficulties with Qin and shift the harm to Chu.”

“Excellent!” said the ruler of Han, and he ordered Gongzhong Peng to make preparations to journey west and negotiate peace with Qin.

When the king of Chu heard of this he was terrified and summoned Chen Zhen and informed him of the situation.

“Gongzhong Peng of Han is about to go west to negotiate peace with Qin. What shall we do?” he asked. “Qin, having gotten a city from Han, will call out its best troops and join with Han in facing south to march against Chu,” said Chen Zhen. “The king of Qin has long prayed in the temple of his ancestors for an opportunity like this! Chu is bound to suffer. I beg you to despatch an envoy at once to the court of Han, accompanied by many carriages and bearing lavish gifts, to say to the Han rule, ‘Small as our unworthy state is, we have called out all our troops, and we trust you will remain firm in your defiance of Qin. We accordingly ask that you send an envoy to enter our borders and observe the forces which we have mobilized to aid you.’”

When this plan had been carried out Han did in fact send a man to Chu. The king of Chu accordingly called out his chariots and horsemen and ranged them along the road leading north to Han. He then said to the Han envoy, “You may report to the ruler of Han that the troops of my unworthy state are just about to cross the border.”

When the envoy returned with this message the ruler of Han was greatly pleased and ordered Gongzhong Peng to cease preparations for the journey to Qin. But Gongzhong Peng said, “That will not do!

Qin is actually afflicting12 us, whereas Chu has only said that it will come to our rescue. If we heed the empty words of Chu and make light of the real danger that the powerful forces of Qin are posing, we will place the state in grave peril!”

The ruler of Han, however, refused to listen to him and Gongzhong Peng in great anger returned to his home and for ten days did not appear at court. Meanwhile the siege of Yiyang became more and more critical. The ruler of Han despatched envoys urging Chu to send its reinforcements, but though the envoys followed so close upon each other’s heels that their caps and carriage covers were within sight on the road, no troops ever arrived. Yiyang finally capitulated, and the ruler of Han became the laughing stock of the other feudal lords. Hence I say: To take no account of internal strength but rely solely upon your allies abroad will place the state in grave danger of dismemberment.

What do I mean by ignoring the demands of courtesy, though your state is small? Long ago, when Prince Chonger of Jin fled from his home, he visited the state of Cao. 13 The ruler of Cao made him strip to the waist and stared at him, 14 while Xi Fuji and Shu Zhan waited in attendance. Later Shu Zhan said to the ruler of Cao, “I can see that the prince of Jin is no ordinary man, and yet you have treated him with discourtesy. If he should sometime return to his state and call out its troops, I fear that harm would come to Cao. It would be best for you to kill him now.” But the ruler of Cao did not heed this advice.

Xi Fuji returned home, deeply disturbed. His wife asked him, “Why do you come home with such an unhappy look on your face?” Xi Fuji replied, “They say that good luck benefits one person alone, but bad luck spreads to others. Today our lord summoned the prince of Jin and treated him discourteously. I was attending him at the time, and therefore I am disturbed.”

“I have seen the prince of Jin,” said his wife. “He is fit to be the ruler of a state of ten thousand chariots, and his followers are fit to be the ministers of such a state. Now he is hard pressed, and in his wanderings in exile has come to visit Cao, and yet Cao has treated him discourteously. If he ever returns to his own state, he will surely punish these insults, and Cao will be the first to suffer. Why don’t you do something now to show him that you do not regard him in the same way as the ruler of Cao does?”

“You are right,” said Xi Fuji. He then filled several pots with gold, covered the gold with gifts of food, and placed pieces of jade on top,

sending someone at night to present them to the prince. When the prince received the messenger, he bowed twice, accepted the food, but returned the pieces of jade.

From Cao the prince proceeded to Chu, and then to Qin. Three years after he had gone to Qin, Duke Mu of Qin summoned his ministers to conference and announced, “In the past, as all the feudal lords know, Duke Xian of Jin was a close friend of mine. Now it has been some ten years since death unkindly took him away from his ministers. His heir is not a good man, and I fear that if things continue in this way he may bring defilement to the temple of his ancestors and deprive the state’s altars of the soil and grain of their constant sacrifices. If I were to make no effort to restore stability in the state, I would be neglecting my duty as a friend of Duke Xian. I would therefore like to assist Chonger and install him on the throne of Jin. What is your opinion?” The ministers all replied, “Excellent!”

and Duke Mu accordingly called out his troops, and assigned five hundred leather-covered war chariots, two thousand picked horsemen, and fifty thousand foot soldiers to assist Chonger in entering the capital of Jin. Thus he set up Chonger as ruler of Jin.

Three years after he became ruler Chonger called out his troops and attacked Cao. 15 At the same time he sent men to announce to the ruler of Cao, “You must lower Shu Zhan from the city walls and hand him over to me, for I intend to kill him in punishment for his behavior!” He also sent men to announce to Xi Fuji, “My troops are besieging the city. I know that you will not desert your sovereign, but I want you to mark the gates of your compound. I will issue an order to my troops instructing them not to trespass on it.” When the people of Cao heard of this they brought their parents and relatives and over seven hundred families took refuge in the residential quarter of Xi Fuji. Such is the reward of courtesy.

Cao was a small state pressed between Jin and Chu, and the safety of its ruler was as precarious as a pile of eggs, and yet he conducted his affairs without courtesy. This is the reason his line came to an end. Hence I say: To ignore the demands of courtesy, though your state is small, and to fail to learn from the remonstrances of your ministers, are acts that lead to the downfall of your line.

1The battle took place in 575 B.C. See Zuozhuan, Duke Cheng, 16th yr.

2The earlier events of the story took place in 658 B.C., the latter ones in 655 B.C.

Zuozhuan, Duke Xi, 2d and 5th yrs.

3The words “and conquered” have dropped out of the text.

4In 538 B.C. Zuozhuan, Duke Zhao, 4th yr.

5The text says “before a year had passed,” but it must be faulty, since King Ling died in 529 B.C.

6Reading qin instead of gui.

7Reading min instead of Chen.

8Reading bai instead of si.

9According to Shiji 5, this took place in 623 B.C.

10Cheng is his posthumous title; his name was Tian Chang. A member of an extremely powerful ministerial family of the state of Qi, he succeeded his father as viscount in 485 B.C. and assured himself a place in history by murdering Duke Jian of Qi in 481 B.C. and placing the duke’s younger brother on the throne. (See above, p. 30, n. 1.) The Tian family eventually usurped the throne of Qi. In other versions of this anecdote the wandering ruler is not Tian Chang but Duke Jing (r.

547–490 B.C.) of Qi.

11According to Shiji 15 and 45, the attack on Yiyang took place in 307–306 B.C.

But the Shiji relates the rest of the anecdote to an earlier attack made by Qin on Han in 316–314 B.C.

12Reading ku instead of gao.

13Prince Chonger, the son of Duke Xian of Jin, was forced to flee from Jin in 656

B.C. because of the machinations of his evil stepmother, Lady Li. The Zuozhuan records his visit to Cao under the year 637 B.C. (Duke Xi, 23d yr.).

14Chonger was said to have had peculiar ribs that grew together, and the ruler of Cao was anxious to see them for himself. According to the version of the story in the Zuozhuan, he peeked in while the prince was taking a bath.

15According to the Spring and Autumn Annals (Duke Xi, 28th yr.), the attack took place in 632 B.C.

THE DIFFICULTIES OF PERSUASION1

(Section 12)

On the whole, the difficult thing about persuading others is not that one lacks the knowledge needed to state his case nor the audacity to exercise his abilities to the full. On the whole, the difficult thing about persuasion is to know the mind of the person one is trying to persuade and to be able to fit one’s words to it.

If the person you are trying to persuade is out to establish a reputation for virtue, and you talk to him about making a fat profit, then he will regard you as low-bred, accord you a shabby and contemptuous reception, and undoubtedly send you packing. If the person you are trying to persuade is on the contrary interested in a fat profit, and you talk to him about a virtuous reputation, he will regard you as witless and out of touch with reality, and will never heed your arguments. If the person you are trying to persuade is secretly out for big gain but ostensibly claims to be interested in a virtuous name alone, and you talk to him about a reputation for virtue, then he will pretend to welcome and heed you, but in fact will shunt you aside; if you talk to him about making a big gain, he will secretly follow your advice but ostensibly reject you. These are facts that you must not fail to consider carefully.

Undertakings succeed through secrecy but fail through being found out. Though the ruler himself has not yet divulged his plans, if you in your discussions happen to hit upon his hidden motives, then you will be in danger. If the ruler is ostensibly seeking one thing but actually is attempting to accomplish something quite different, and you perceive not only his ostensible objective but the real motives behind his actions as well, then you will likewise be in danger. If you happen to think up some unusual scheme for the ruler which meets with his approval, and some other person of intelligence manages by outside means to guess what it is and divulges the secret to the

world, then the ruler will suppose that it was you who gave it away and you will be in danger. If you have not yet won substantial reward and favor and yet your words are extremely apt and wise, then if the ruler heeds them and the undertaking is successful, he will forget to reward you; and if he does not heed them and the undertaking fails, he will regard you with suspicion and you will be in danger. If some person of eminence takes a brief step in the wrong direction and you immediately launch into a lecture on ritual principles and challenge his misdeed, then you will be in danger. If some eminent person gets hold of a good scheme somewhere and plans to use it to win merit for himself, and you happen to know where he got it, then you will be in danger. If you try forcibly to talk a person into doing what he cannot do, or stopping what he cannot stop, then you will be in danger.

If you talk to the ruler about men of real worth, he will think you are implying that he is no match for them; if you talk to him of petty men, he will think you are attempting to use your influence to get your friends into office; if you talk to him about what he likes, he will suspect you of trying to utilize him; if you talk about what he hates, he will suspect you of trying to test his patience. If you speak too bluntly and to the point, he will consider you unlearned and will shun you; if you speak too eloquently and in too great detail, he will consider you pretentious and will reject2 you. If you are too sketchy in outlining your ideas, he will think you a coward who is too fainthearted to say what he really means; if you are too exuberant and long-winded in stating your proposals, he will think you an uncouth bumpkin who is trying to talk down to him. These are the difficulties of persuasion; you cannot afford to be ignorant of them!

The important thing in persuasion is to learn how to play up the aspects that the person you are talking to is proud of, and play down the aspects he is ashamed of. Thus, if the person has some urgent personal desire, you should show him that it is his public duty to carry it out and urge him not to delay. If he has some mean objective in mind and yet cannot restrain himself, you should do your best to point out to him whatever admirable aspects it may have and to minimize the reprehensible ones. If he has some lofty objective in mind and yet does not have the ability needed to realize it, you

should do your best to point out to him the faults and bad aspects of such an objective and make it seem a virtue not to pursue it. If he is anxious to make a show of wisdom and ability, mention several proposals which are different from the one you have in mind but of the same general nature in order to supply him with ideas; then let him build on your words, but pretend that you are unaware that he is doing so, and in this way abet his wisdom.

If you wish to urge a policy of peaceful coexistence, then be sure to expound it in terms of lofty ideals, but also hint that it is commensurate with the ruler’s personal interests. If you wish to warn the ruler against dangerous and injurious policies, then make a show of the fact that they invite reproach and moral censure, but also hint that they are inimical to his personal interests.

Praise other men whose deeds are like those of the person you are talking to; commend other actions which are based upon the same policies as his. If there is someone else who is guilty of the same vice he is, be sure to gloss it over by showing that it really does no great harm; if there is someone else who has suffered the same failure he has, be sure to defend it by demonstrating that it is not a loss after all. If he prides himself on his physical prowess, do not antagonize him by mentioning the difficulties he has encountered in the past; if he considers himself an expert at making decisions, do not anger him by pointing out his past errors; if he pictures himself a sagacious planner, do not tax him with his failures. Make sure that there is nothing in your ideas as a whole that will vex your listener, and nothing about your words that will rub him the wrong way, and then you may exercise your powers of rhetoric to the fullest. This is the way to gain the confidence and intimacy of the person you are addressing and to make sure that you are able to say all you have to say without incurring his suspicion.

Yi Yin became a cook and Boli Xi a captive slave, so they could gain the ear of the ruler. 3 These men were sages, and yet they could not avoid shouldering hard tasks for the sake of advancement and demeaning themselves in this way. Therefore you too should become a cook or a slave when necessary; if this enables you to gain the confidence of the ruler and save the state, then it is no disgrace for a man of ability to take such a course.

If you are able to fulfill long years of service with the ruler, enjoy his fullest favor and confidence, lay long-range plans for him without ever arousing suspicion, and when necessary oppose him in argument without incurring blame, then you may achieve merit by making clear to him what is profitable and what is harmful, and bring glory to yourself by your forthright judgements of right and wrong.

When ruler and minister aid and sustain each other in this way, persuasion may be said to have reached its fulfillment.

In ancient times Duke Wu of Zheng wanted to attack the state of Hu, and so he first married his daughter to the ruler of Hu in order to fill his mind with thoughts of pleasure. Then he told his ministers, “I want to launch a military campaign. What would be a likely state to attack?” The high official Guan Qisi replied, “Hu could be attacked,”

whereupon Duke Wu flew into a rage and had him executed,4

saying, “Hu is a brother state! What do you mean by advising me to attack it!” The ruler of Hu, hearing of this, assumed that Zheng was friendly towards him and therefore took no precautions to defend himself from Zheng. The men of Zheng then made a surprise attack on Hu and seized it.

Once there was a rich man of Song. When the dirt wall around his house collapsed in a heavy rain, his son said, “If you don’t rebuild it, thieves will surely break in,” and the old man who lived next door told him the same thing. When night fell, thieves actually broke in and made off with a large share of the rich man’s wealth. The rich man’s family praised the son for his wisdom, but eyed the old man next door with suspicion.

Both these men—the high official Guan Qisi and the old man next door—spoke the truth, and yet one was actually executed for his words, while the other cast suspicion on himself. It is not difficult to know a thing; what is difficult is to know how to use what you know.

Rao Zhao spoke the truth but, though he was regarded as a sage by the men of Jin, he was executed by those of Qin. 5 This is something you cannot afford not to examine.

In ancient times Mi Zixia won favor with the ruler of Wei.6

According to the laws of the state of Wei, anyone who secretly made use of the ruler’s carriage was punished by having his feet amputated. When Mi Zixia’s mother fell ill, someone slipped into the

palace at night to report this to Mi Zixia. Mi Zixia forged an order from the ruler, got into the ruler’s carriage, and went off to see her, but when the ruler heard of it, he only praised him, saying, “How filial! For the sake of his mother he forgot all about the danger of having his feet cut off!” Another day Mi Zixia was strolling with the ruler in an orchard and, biting into a peach and finding it sweet, he stopped eating and gave the remaining half to the ruler to enjoy.

“How sincere is your love for me!” exclaimed the ruler. “You forget your own appetite and think only of giving me good things to eat!”

Later, however, when Mi Zixia’s looks had faded and the ruler’s passion for him had cooled, he was accused of committing some crime against his lord. “After all,” said the ruler, “he once stole my carriage, and another time he gave me a half-eaten peach to eat!” Mi Zixia was actually acting no differently from the way he always had; the fact that he was praised in the early days, and accused of a crime later on, was because the ruler’s love had turned to hate.

If you gain the ruler’s love, your wisdom will be appreciated and you will enjoy his favor as well; but if he hates you, not only will your wisdom be rejected, but you will be regarded as a criminal and thrust aside. Hence men who wish to present their remonstrances and expound their ideas must not fail to ascertain the ruler’s loves and hates before launching into their speeches.

The beast called the dragon can be tamed7 and trained to the point where you may ride on its back. But on the underside of its throat it has scales a foot in diameter that curl back from the body, and anyone who chances to brush against them is sure to die. The ruler of men too has his bristling scales. Only if a speaker can avoid brushing against them will he have any hope for success.

1This chapter, with frequent textual differences, is recorded in Shiji 63, the biography of Han Feizi.

2Reading qi instead of jiao.

3Yi Yin became a cook in the kitchen of Cheng Tang, the founder of the Shang dynasty; Boli Xi became a slave at the court of Duke Mu of Qin (r. 659–621 B.C.).

4According to the Bamboo Annals, this took place in 763 B.C.

5Rao Zhao is mentioned briefly in the Zuozhuan, Duke Wen, 13th year (614 B.C.), as a minister of Qin who saw through a plot of the men of Jin, but the exact anecdote which Han Feizi is referring to here is not known.

6Duke Ling of Wei (r. 534–493 B.C.).

7Reading rao instead of rou.

MR. HE

(Section 13)

Once a man of Chu named Mr. He, having found a piece of jade matrix in the Chu Mountains, took it to court and presented it to King Li. 1 King Li instructed the jeweler to examine it, and the jeweler reported, “It is only a stone.” The king, supposing that He was trying to deceive him, ordered that his left foot be cut off in punishment. In time King Li passed away and King Wu came to the throne, and He once more took his matrix and presented it to King Wu. King Wu ordered his jeweler to examine it, and again the jeweler reported, “It is only a stone.” The king, supposing that He was trying to deceive him as well, ordered that his right foot be cut off. He, clasping the matrix to his breast, went to the foot of the Chu Mountains, where he wept for three days and nights, and when all his tears were cried out, he wept blood in their place. The king, hearing of this, sent someone to question him. “Many people in the world have had their feet amputated—why do you weep so piteously over it?” the man asked.

He replied, “I do not grieve because my feet have been cut off. I grieve because a precious jewel is dubbed a mere stone, and a man of integrity is called a deceiver. This is why I weep.” The king then ordered the jeweler to cut and polish the matrix, and when he had done so a precious jewel emerged. Accordingly it was named “The Jade of Mr. He.”

Rulers are always anxious to lay their hands on pearls and precious stones. Though He presented a matrix whose true beauty was not yet apparent, he certainly did no harm to the ruler thereby; and yet he had to have both feet cut off before the real nature of his treasure was finally recognized. This is how hard it is to get a treasure acknowledged. Rulers nowadays are not nearly so anxious to get hold of laws and state policies as they are to get hold of He’s jade, and they are concerned about putting a stop to the private evils

and deceptions of the officials and common people. Under these circumstances, if a man who truly understands the Way hopes to avoid punishment, his only resort is simply not to present to the ruler any uncut jewels of wisdom and statecraft.

If the ruler follows set policies, then the high ministers will be unable to make arbitrary decisions, and those who are close to him will not dare try to sell their influence. If the magistrates enforce the laws, then vagabonds will have to return to their farm work and wandering knights will be sent to the battlefield where they belong to face the dangers of their profession. In effect, then, laws and policies are actually inimical to the private interests of the officials and common people. Hence, if a ruler does not have the strength of character to defy the counsels of the high ministers, rise above the criticisms of the common people, and heed only that advice which truly accords with the Way, then the planners of law and policy may persist, like Mr. He, until they face the death penalty itself, and yet the true value of their words will never be acknowledged.

In former times Wu Qi advised King Dao [r. 401–381 B.C.] of Chu on the customs of the state. “The high ministers have too much power,” he said, “and the enfeoffed lords are too numerous; hence they pose a threat to their ruler above, and oppress the common people under them. Such a path will only impoverish the state and debilitate its army. It would be better for you to confiscate all titles and stipends of the enfeoffed lords after the third generation, reduce2

the ranks and salaries of your various officials, prune away the offices that serve no vital need, and employ only those men who have proved themselves able and experienced.” King Dao acted on this advice, but a year later he passed away and Wu Qi was torn limb from limb by the men of Chu.

Lord Shang3 taught Duke Xiao [r. 361–338 B.C.] of Qin how to organize the people into groups of five and ten families that would spy on each other and be corporately responsible for crimes committed by their members; he advised him to burn the Book of Odes and Book of Documents 4 and elucidate the laws and regulations, to reject the private requests of powerful families and concentrate upon furthering the interests of the royal family; to forbid people to wander about in search of political office, and to glorify the

lot of those who devote themselves to agriculture and warfare. Duke Xiao put his suggestions into practice, and as a result the position of the ruler became secure and respected, and the state grew rich and powerful. But eight years later Duke Xiao passed away, and Lord Shang was tied to two chariots and torn apart by the men of Qin.

Chu, failing to continue the policies of Wu Qi, suffered from foreign incursion and internal chaos; Qin, applying Lord Shang’s laws, became rich and powerful. Yet, though both men spoke what was apt and true, why was it that Wu Qi was torn limb from limb, and Lord Shang was pulled apart by chariots? Because the high ministers resented their laws and the common people hated orderly government. And in the present age the high ministers covet power and the common people find satisfaction in disorder to a far greater degree than did the men of Chu and Qin in the times I have described. If there is no King Dao or Duke Xiao to heed advice, then how will the planners of law and policy ever be willing to risk the fate of Wu Qi and Lord Shang in order to elucidate their laws and policies? This is why our present age is in chaos and lacks a true dictator or king.

1The famous anecdote of Mr. He’s jade is found in many early Chinese philosophical works. In some versions, Mr. He’s name is given as Bian He. The list of Chu kings to whom he presented his treasure varies.

2Reading caijian instead of juemie.

3Wei Yang or Gongsun Yang, a Legalist statesman and the reputed author of the early Legalist work, the Book of Lord Shang.

4If Han Feizi’s statement is in fact correct, Duke Xiao does not seem to have carried out this piece of advice; it remained for the First Emperor of the Qin dynasty to institute a systematic burning of the Odes and Documents.