Basic writings of Mo Tzu, Hsün Tzu, and Han Fei Tzu 9780231521109, 9780231025157

Table of contents :
Frontmatter
MO TZU
INTRODUCTION (page 1)
HONORING THE WORTHY (page 18)
IDENTIFYING WITH ONE'S SUPERIOR (page 34)
UNIVERSAL LOVE (page 39)
AGAINST OFFENSIVE WARFARE (page 50)
MODERATION IN EXPENDITURE (page 62)
MODERATION IN FUNERALS (page 65)
THE WILL OF HEAVEN (page 78)
EXPLAINING GHOSTS (page 94)
AGAINST MUSIC (page 110)
AGAINST FATALISM (page 117)
AGAINST CONFUCIANS (page 124)
INDEX (page 137)
HSUN TZU
INTRODUCTION (page 1)
ENCOURAGING LEARNING (page 15)
IMPROVING YOURSELF (page 24)
THE REGULATIONS OF A KING (page 33)
DEBATING MILITARY AFFAIRS (page 56)
A DISCUSSION OF HEAVEN (page 79)
A DISCUSSION OF RITES (page 89)
A DISCUSSION OF MUSIC (page 112)
DISPELLING OBSESSION (page 121)
RECTIFYING NAMES (page 139)
MAN'S NATURE IS EVIL (page 157)
INDEX (page 173)
HAN FEI TZU
INTRODUCTION (page 1)
THE WAY OF THE RULER (page 16)
ON HAVING STANDARDS (page 21)
THE TWO HANDLES (page 30)
WIELDING POWER (page 35)
THE EIGHT VILLAINIES (page 43)
THE TEN FAULTS (page 49)
THE DIFFICULTIES OF PERSUASION (page 73)
MR. HO (page 80)
PRECAUTIONS WITHIN THE PALACE (page 84)
FACING SOUTH (page 90)
THE FIVE VERMIN (page 96)
EMINENCE IN LEARNING (page 118)
INDEX (page 131)

Citation preview

Basic Writings of MO TZU, HSUN TZU,

and HAN FEI TZU |

Prepared for the Columbia College Program of

Translations from the Asian Classics | Wm. Theodore de Bary, Editor

Nunvber txxiv of the , RECORDS OF CIVILIZATION: SOURCES AND STUDIES

Edited under the auspices of the Department of History, Columbia University

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»2 Basic Writings of MO TZU, HSUN TZU,

and HAN FEI TZU oe Translated by BURTON WATSON

New York | COLUMBIA UNIVERSITY PRESS

Burton Watson is the author of Ssu-ma Ch’ien: Grand | Historian of China (1958) and Early Chinese Literature (1962), and the translator of Records of the Grand

Historian of China, translated from the Shih chi of Ssu-ma Chiien, 2 vols. (1961), Chuang Tzu: Basic Writings (1964), and Su Tung-p’o: Selections from a

Sung Dynasty Poet (1965). ,

UNESCO COLLECTION OF REPRESENTATIVE WORKS

This book : , has been accepted , , Chinese Series

a in the Chinese Series | ,

- of the Translations Collection of the United Nations

, Educational, Scientific and Cultural Organization

CUNESCO) |

Copyright © 1963, 1964 Columbia University Press

Library of Congress Catalog Card Number: 67-16170 Manufactured in the United States of America

20 I9 18 17 16 15 14 13 ,

RECORDS OF CIVILIZATION: SOURCES AND STUDIES Edited under the auspices of the

Department of History, Columbia University | General Editor

W. T. H. Jackson, Professor of German and History | Past Editors 1915-1926 James T. Shotwell, Bryce Professor Emeritus of the History of International Relations

1926-1953 Austin P. Evans, Professor of History 195 3—1962

Jacques Barzun, Seth Low Professor of History

Editor: Asian Records a Wm. Theodore de Bary, Professor of Chinese and Japanese

: Consulting Editors: Asian Records Ainslie T. Embree, Associate Professor of Indian History Chih-tsing Hsia, Associate Professor of Chinese Donald Keene, Professor of Japanese Ivan Morris, Professor of Japanese _ Burton Watson, Assistant Professor of Chinese and Japanese C. Martin Wilbur, Professor of Chinese History Fditor: European Records W. T. H. Jackson, Professor of German and History Consulting Editors: European Records Gerson D. Cohen, Associate Professor of History Gilbert Highet, Anthon Professor of Latin Language and Literature Paul O. Kristeller, Professor of Philosophy Gerhart B. Ladner, Professor of History, University of California, Los Angeles John H. Mundy, Professor of History on the Mathews Foundation

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FOREWORD ‘Basic Writings of Mo Tzu, Hsiin Tzu, and Han Fei Tzu is one of a group of publications, the Translations from the Oriental Classics, through which the Committee on Oriental Studies has sought to transmit to Western readers representative works of the

Oriental traditions in thought and literature. In its volumes of source readings forming the “Introduction to Oriental Civilizations,” the Committee has provided a broad selection of excerpts from influential thinkers in India, China, and Japan, discussing the great problems of their times. Excerpts from Mo Tzu, I Isiin Tzu, and Han Fei Tzu are thus included in Sources of Chinese Tradition. Several of the great philosophers of classical China, however, deserve a fuller reading and analysis than such a survey allows, and there has been a need for more complete translations of them. To say this is not to deprecate the excellent work already done by pioneer scholars in opening these writers up to the West. Often, however, their translations have not been kept in print or available at prices most readers could afford. To give them much wider circulation in the home and classroom than heretofore is the

aim of this series. |

We are indebted to Professor Watson that he has been willing to devote his considerable talents and learning to meet this need for accurate translations of basic works. His translations of Mo

Tzu, Hsiin Tzu, and Han Fei Tzu have already appeared in paperbound books that received wide distribution. They are now being reissued in a clothbound edition as a result of numcrous requests for a single volume presenting the three together in more

Tzu. |

durable form. The fourth volume in the original paperbound series, Chuang Tzu: Basic Writings, is to be expanded and published separately as'a complete translation of the text of Chuang WM. THEODORE DE BARY

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MO TZU

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CONTENTS | INTRODUCTION I _ HONORING THE WORTHY 18 IDENTIFYING WITH ONE'S SUPERIOR 34

UNIVERSAL LOVE 39 -

AGAINST OFFENSIVE WARFARE 50 MODERATION IN EXPENDITURE 62

MODERATION IN FUNERALS 65

THE WILL OF H&AVEN 78

EXPLAINING GHOSTS 94

AGAINST MUSIC , 110

AGAINST FATALISM : 117 AGAINST CUNFUCIANS 124

INDEX 137

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“Ss INTRODUCTION Almost nothing is known about the life of Mo Ti, or Master | Mo, the founder of the Mo-ist school of philosophy. A number of anecdotes in which he figures are found in the Mo Tzu, the book compiled by his disciples to preserve the teachings of their master, and other late Chou and early Han works contain scattered references to him and his school. But they tell us little about the man himself. He seems to have lived some

time between the death of Confucius in 479 xn.c. and the birth of Mencius in 372 B.c., flourishing probably in the latter half of the fifth century s.c. He is identified by some

writers as a native of the state of Sung, by others as a native | of Lu, the birthplace of Confucius. The Huai-nan Tzu (ch.

21), a work of the second century B.c., says that he first studied under the scholars of the Confucian school (though in later years he bitterly attacked the Confucians), and certainly the frequency with which he quotes from the Book of _ Odes and the Book of Documents would seem to indicate that at some point he received thorough instruction in these ancient texts. Like Confucius and Mencius, he apparently traveled a good deal, visiting one after another of the feudal rulers

of the time in an attempt to gain a hearing for his ideas, and we are told that for a while he served as a high minister in the state of Sung. He was particularly anxious to spread his doctrine of universal love and to persuade the rulers of his day to cease their incessant attacks upon each other. The Mo Tzu

(sec. 50), for example, relates that, when he heard that Ch’u | was planning an attack on Sung, he walked for ten days and

2 Mo Tzu ten nights to reach the court of Ch’u, where he succeeded in persuading the ruler to call off the expedition. ' Mo ‘Tzu and his followers believed that such attacks could be stopped not only by preaching sermons on universal love, but by strengthening the defenses of vulnerable states so as to diminish the chances of a profitable victory for aggressors. Thus they hastened to the aid of besieged states, and in time ‘became experts on methods of warfare. They formed close- knit, disciplined bands (the school was said to have split into three groups after Mo Tzu’s death), headed by an “elder” whose word was law and who, when death drew near, selected his successor from among the group. Later followers of the school also took up the study of logic, though perhaps, as Arthur Waley has suggested, this was less from any intrinsic interest in the subject than from a desire “to arm themselves

against modernist attack.” ? | The Mo Tzu, a work in fifteen chapters and seventy-one

sections, of which eighteen are now lost, reflects these interests of the later Mo-ist school, containin,z a number of sections on logic and military science. Of more “mportance in the history of Chinese thought, however, are the sections which expound.

the political and ethical ideas of M Tzu himself, and it is from these sections that the excerpts ranslated here have been selected.

The sections chosen deal with eleven topics, each topic being stated in the title of the section. Each section is divided into three subsections except the last, that entitled “Against

| Confucians,” which is divided into two. Over the centuries, however, some of these subsections have been lost, so that only six of the eleven sections are complete today. The subsections

1934), p. 65. |

* Arthur Waley, The Way and Its Power (London, Allen and Unwin,

— Introduction © 3 within each section often differ in wording, order of ideas, and even slightly in content. But on the whole they resemble each other so closely that they appear to be no more than slightly

different versions of a single lecture or sermon. As stated above, the Mo-ist school was said to have split into three eroups after the death of its founder, and scholars have sur_ mised that the three treatments of each topic may represent

the doctrines of Mo Tzu as they were handed down in each , of the three groups. In the translation I have, in order to avoid repetition, in most cases translated only the subsection which seemed to contain the most interesting and complete exposition of each topic, though in a few cases I have translated two subsections dealing with a single topic. All but the last section contain frequent uses of the formula “Master Mo Tzu said,”

which would seem to indicate that they were written down not by Mo Tzu himself but by his disciples, though it is not altogether impossible that Mo Tzu wrote some of them himself, and that the phrase was added later by redactors. Before discussing the specific doctrines expounded in the portion of the work presented here, I wish to say a word about

Mo Tzu’s method of argumentation. In the section entitled “Against Fatalism,” Mo Tzu lists three “tests” or criteria which are to be used to determine the validity of any theory: 1) its origin, by which he means whether or not it conforms with what we know of the practices of the sage kings of antiquity; 2) its validity, ie., whether or not it conforms with what we know from the evidence of the senses; 3) its applicability, i.e., whether, when put into practice, it will bring benefit to the state and the people. ‘Though Mo Tzu does not always employ all three in each case, these are the principal criteria upon which he bases his arguments. The modern reader will probably experience the greatest

4 Mo Tzu diffculty in accepting the pertinence of Mo Tzu’s first criterion. All of us today tend to be skeptical of “what history proves, since we have seen history cited to prove so many disparate and even contradictory assertions. Moreover the “history” which Mo Tzu cites to prove his arguments is often, even to the eye of the nonspecialist, patently no more than legend and myth. We must remember, however, that in Mo Tzu’s day, so far as we can gather, the majority of educated Chinese accepted without question the following two assumptions: 1) that, at certain periods in the past, enlightened rulers had appeared in China to order the nation and raise Chinese society to a level of peace, prosperity, and moral vigor un-

paralleled in later days; 2) that, in spite of the paucity of reliable accounts, it was still possible to discover, mainly through the records contained in the Book of Odes and Book of Documents, how these rulers had acted and why—that is,

to determine “the way of the ancient sage kings’—and to | attempt to put it into practice in the present age. ‘The appeal to the example of antiquity, which Mo Tzu so often uses to clinch his argument, therefore carried enormous weight in his day, and continued to do so in Chinese philosophy down to the present century. By making such an appeal, he was following the approved practice of the thinkers of his age, and we may suppose that, if his listeners accepted the validity of his account of antiquity, they must have felt strongly compelled to accept his conclusions.

The second criterion, the appeal to the evidence of the senses, he uses much less frequently, and then often with disastrous results, as when he argues for the existence of ghosts

and spirits on the basis of the fact that so many people have

reportedly seen and heard them. |

His third criterion, that of practicability, needs no comment,

| Introduction 5 - since it is as vital a part of argumentative writing today as it

was in Mo Tzu’s time. | .

The eleven sections representing the basic doctrines of Mo Tzu are entitled: “Honoring the Worthy,” “Identifying with One's Superior,” “Universal Love,” “Against Offensive Warfare,” “Moderation in Expenditures,” “Moderation in Funerals,” “The Will of Heaven,” “Explaining Ghosts,” “Against Music,” “Against Fatalism,” and “Against Confucians.”

As will be noticed, Mo Tzu was “agin” quite a number of things, and this fact provides a valuable clue to his personality and the character of his thought. He seems to have been a passionately sincere but rather dour and unimaginative man who, observing the social and moral ills of his time and the suffering which they brought to so many of the common

people, felt personally called upon to attempt a cure. One way of accomplishing his aim, he believed, was to attack the

abuses of the feudal aristocrats and literati. So deep is his compassion for the common people, and so outspoken his criticisms of their rulers, that some scholars have recently been

led to speculate that Mo, which means “tattoo,” may not be | a surname at all, but an appellation indicating that Master Mo was an ex-convict who had undergone the punishment of being tattooed, and flouted the fact in the face of society by adopting the name of his penalty. This suggestion, interesting as it is, seems highly dubious, for, no matter how great his compassion for the common people may have been, his teachings were meant primarily for the ears of the rulers, and if he hoped to gain a hearing among them he would hardly have proclaimed himself a breaker of their laws. If Mo is not a surname, it is probably an appellation adopted by Mo Tzu, or given to him by his contemporaries, the meaning of which

is now lost. |

6 Mo Tzu It is true, however, that Mo Tzu and his followers seem to have taken a far sterner and less compromising attitude toward the ruling class of the time and its foibles than did the members of the other philosophical schools. ‘The Mo-ists condemned the music, dances, and luxurious living of the aristocracy because such pastimes taxed the wealth and energy of the | common people and added nothing to the material welfare of the nation. (They failed to note the benefit which such pastimes provided for the class of merchants, artisans, entertain-

ers, and servants who catered to such tastes, since for the Mo-ists, as for almost all early Chinese thinkers, the only common people who deserved consideration were the farmers. )

They denounced offensive warfare for the same reasons, be-

cause it was a burden and an expense to the people and provided little in the way of material benefit, and they likewise condemned elaborate funerals and all other “unnecessary’ expenditures. They attacked fatalistic thinking. because

they wanted men to believe that wealth and good fortune. came only in response to virtuous deeds, and opposed the Confucian scholars because Confucianism taught such fatalistic doctrines and encouraged music and elaborate funeral rites. Such is the negative side of Mo Tzu’s thought, a listing of the ideas and practices which he believed must be abandoned

before society could be restored to peace and order. On the | positive side, the first principle which he enunciates is that called “honoring the worthy’—the duty of rulers to seek out men of wisdom and virtue and employ them in their govern- _ ments. This would seem to be a reasonable and innocuous

enough doctrine. By Mo Tzu’s time, the right of certain aristocratic families to maintain hereditary possession of minis-

terial posts in the feudal governments had already been seriously challenged, and many rulers were doing just what Mo ©

| Introduction 7 Tzu recommended—surrounding themselves with men chosen from the lower aristocracy or the common people who would be less encumbered by family ties and feel a greater personal

devotion to the ruler who had promoted them. And no other _ philosophical school could be expected to take exception to Mo T7zu’s doctrine, since each would no doubt interpret “wor-

thy men” to mean “our party’—except perhaps the Taoists

and farmer-recluses, who professed not to be interested in a acquiring government posts anyway. Mo Tzu may have been among the first to give clear and unequivocal expression to this ideal, which became a commonplace in Chinese political thought. But the growing conviction that character and ability rather than birth alone make the man was very much in the air at the time, and had already been stated by Confucius.

Mo Tzu’s second principle, “identifying with one’s supe- | rior,” is likewise less controversial than it may appear to modern readers in the West. There is a very strong strain of authoritarianism in early Chinese philosophy. Independence of thought and action, for the lower classes at least, is a rarely expressed concept in the works of the period—the only example that comes to mind is Confucius’ dictum: “The commander of the forces of a large state may be carried off, but the will of even the common man cannot be taken from him” (Analects IX, 25). The Taoists, it is true, talk much of free-

dom of thought and action, but it is a freedom which ignores or transcends the social order, not one that functions effectively within it. The concept of the hierarchical social order itself, the neat pyramid of classes and functionaries topped by the Son of Heaven, was an ideal that apparently no thinker dreamed of challenging. Therefore when Mo Tzu urges that each group in society must accept its standards of judgment and take orders from the group above it, he is expressing an

8 Mo Tzu assumption common to Mo-ists, Confucians, and, later, Legal-

ists alike. Advice could, and indeed should, flow freely upward in the hierarchy. But decisions, in normal times at least, come only from above. Each individual and group in society, if he or it goes morally awry, may thus be checked and corrected by the group above. (Needless to say, Chinese society did not always function in this way, which explains why Mo J’zu and others spent so much time expounding this ideal.)

| But what happens if the man at the very top goes awry? The Confucians believed that in that case, and in that case alone, the normal process may be reversed and a new leader may rise up from the lower ranks to replace the man at the top who has, by his misrule, disqualified himself for the posi-

tion he holds. The new leader is able to do this because of his superior virtue, which wins for him both the support of © society and the sanction of Heaven. Mo Tzu recognizes the same process, but pays less attention to the leader himself, who is only an agent of divine retribution, than to the power directing the process, the supernatural power of Heaven and the spirits.

Which brings us to Mo Tzu’s religious views. He asserts that nature spirits and the ghosts of the dead exist, that they take cognizance of all human activities, and that they have the power to reward or punish any individual for his deeds. - Heading the hierarchy of the supernatural world he envisions a deity called God, the Lord on High, or Heaven, who creates all beings, loves all beings, and desires their welfare, working towards that end through the earthly representatives of the deity, the Son of Heaven and his officers. There is nothing novel about such views; they are striking only as a reaffirmation of traditional religious beliefs. If we turn to the Odes and Documents, we will find such assumptions underlying almost

| Introduction 9 every line, while the mass of early historical legends preserved in the Tso chuan abounds in stories of spirits who returned from the land of the dead to take personal revenge upon their enemies. Yet the very insistence with which Mo Tzu proclaims these beliefs indicates that they had lost, or were losing, their hold on the men of his generation, at least those of the ruling class, the audience to which his words are addressed. The Confucians, recognizing and even encouraging this trend toward skepticism and agnosticism, worked to salvage and revitalize the old religious rites and forms by imbuing them with new interpretations that were more in keeping with the changing intellectual climate of the time. Mo Tzu, on the other hand, attacked the trend of the times head on, and attempted to drag men back to the simple, pietistic, and fear-ridden faith of antiquity. For only through such a faith, he believed, could men be frightened into abandoning their evil ways and persuaded to love and benefit one another as Heaven desired them to. The doctrine of universal love is the most famous and original of Mo Tzu’s contributions to Chinese thought. We have already noted the negative side of it in his condemnations of offensive warfare, condemnations which could just as well

have been made by thinkers of the Confucian or Taoist schools. But Mo Tzu alone of all Chinese thinkers was not content merely to condemn acts that are harmful to others. He went a step further to proclaim that men should actually love the members of other families and states in the same way that they love the members of their own family and state, for all are equally the creatures and people of God. This is a noble and original ideal indeed, especially when we consider the fierce strife and hatred that characterized the society of Mo ‘[zu’s time. Here at last is a man who dared to

10 Mo Tzu look beyond the hierarchical and geographical divisions of feudal society to a view of all mankind united in fellowship and love. When we examine the arguments which Mo Tzu puts forward to support such an ideal, however, we can under-

| stand, at least in part, why it was for so many centuries neglected or even scoffed at by the Chinese. In the form of an imaginary dialogue, Mo Tzu presents the

objections which he believes his opponents will raise to his doctrine of universal love, and answers them one by one. In brief summary, this is how his argument runs: Q. What good is such a doctrine?

A. It will bring the greatest benefit to the largest number of people. :

Q. Can it be put into practice? A. Yes. This is proved by the fact that it actually was practiced by the sage kings of antiquity.

Q. How is it to be put into practice? , A. The rulers can be persuaded of its usefulness, and they in turn will enforce it among the people by laws and coercion.

The society of Mo Tzu’s day, with its local prides and strong sense of family solidarity, could not be expected to respond with much sympathy to such a call for universal altruism and love. The need for a more pious and fearful regard for the spirits, for frugal living, for cessation of costly aggressive warfare—these were ideals all men could comprehend, though they might not agree with them. But a doctrine as novel as that of universal love was bound to be met with bafflement and ridicule. It alone among Mo Tzu’s ideas does not seem to have been a commonplace of the thought of his time, or to hark back to older beliefs of ancient Chinese society.

Introduction 1] ' On the contrary it is a startling, original, and even revolutionary concept, and we might expect that Mo Tzu, when putting it forward, would attempt to support it with arguments that are as lofty and challenging as the ideal itself, to clothe it

with some sort of poetry or rhetoric that would help the listener to believe that it was in fact attainable, or at least worth striving for. And yet, as we have seen, he defends it in exactly the same pedestrian and uninspired way in which he defends every other doctrine he preaches—by an appeal to material benefit, to authoritarianism, and to the dubious account of an ancient golden age. Perhaps he felt that only such Cin his eyes) hardheaded and practical arguments could mask

the visionary idealism of the doctrine itself and make it palatable to his hearers. Yet nowhere is the reader likely to feel more strongly the contrast, characteristic of Mo Tzu’s

thought as a whole, between the essential loftiness of his doctrines, and the plodding, matter-of-fact, and Cin modern eyes) often painfully inadequate arguments by which he supports them. Moreover, the arguments delimit and qualify the ideals to such an extent that they end by dragging them down to their own level of cautious utilitarianism, and piety, nonaggression, and universal love become no more than judicious policies of government.

These, then, are the principal doctrines of Mo Tzu and his followers. And how did. such doctrines fare in the world of ancient China? It is customary to cite in answer the alarmed statement of Mencius, recorded in Mencius III B, ch. 9, that

“The words of Yang Chu and Mo Ti fill the world!” Yang | Chu, another philosopher of the time, seems to have taught a rather extreme every-man-for-himself doctrine which Mencius

believed posed, along with the universal love doctrine of Mo | Tzu, the greatest threat to the Confucian concept of unselfish

12 Mo Tzu but carefully graded benevolence and kindness toward others. It would seem, therefore, that the teachings of Mo Tzu had attained considerable vogue in Mencius’ time, though Mencius, like so many thinkers, probably has a tendency to exaggerate the over-all potency of philosophical ideas as a whole,

and of those of his enemies in particular. It should also be ~ noted that Mencius lived in the same northeastern area of China where Mo Tzu had lived and taught, and where Mo Tzu’s ideas could be expected to have the strongest following. Nevertheless, other works of the third century in addition to the Mencius suggest that Mo-ism at this period stood side

by side with Confucianism as one of the most important philosophical schools of the time. And yet, from the second

century on, after the unification of the empire under the Ch’in and later the Han dynasties, though Mo-ism is still mentioned as a system of thought, we hear nothing more of the Mo-ist school and its followers. What became of them?

Mencius, in the passage cited above, after commenting on the disturbing prevalence of Mo-ist ideas, proceeds to a biased and cursory rebuttal of them, claiming that Mo T'zu’s doctrine of universal love is equivalent to “being without a father’; that is, it violates the Confucian concept of a graded love that is strongest for one’s own relatives and friends and weaker for those less closely related by blood or association. Some scholars

tend to regard this brief attack of Mencius as the blow that killed Mo-ism, though this is surely to invest the words of Mencius with far more weight and authority than they ever possessed in the intellectual world of ancient China. In later centuries, when Mencius was hailed as the true interpreter of Confucianism and the Mencius became a classic, such a pronouncement may have effectively discouraged any revival

of interest in Mo Tzu and his ideas. But in the second and >

Introduction 13 first centuries B.c. it could hardly have killed off the Mo-ist school.

What killed Mo-ism, I believe, was the fact that profound changes in Chinese society and intellectual life rendered so many of its tenets unappealing to the members of the ruling class, the audience to which it was primarily directed.

In the centuries following Mo Tzu’s death, technological progress in agriculture and industry and the growth of trade made the life of the upper classes far more affluent than it _ had been in his day, and they were less inclined than ever to listen to sermons on frugality and plain living. At the same time, a growing atmosphere of sophistication and rationalism led men to reject or radically reinterpret the ancient legends and religious beliefs that Mo Tzu had so fervently affirmed. The common people probably continued to hold fast to the old beliefs, and indeed the idea of the retribution of the spirits re-

appears, as vigorous as ever, among the tenets of popular Taoism in the second century a.p. But educated men of the Ch'in and Han no doubt cast a skeptical eye on Mo Tzu’s tales of vengeful ghosts. Finally, the bald utilitarianism with which he supported his doctrines, though a cogent argument in narrowly political concerns, was felt to be an inadequate basis for an entire system of moral philosophy. Beside Confucian ethics or the metaphysics of Taoism, it held little attraction for the men of an urbane and aesthetic-minded society. The author of a late chapter of the Chuang Tzu, commenting upon the dour Mo-ist philosophy which allows “no singing in life, no mourning in death,” remarks: “It causes the people to be anxious, to be sorrowful, and its ways are hard to follow”

(Chuang Tzu, ch. 10, “T’ien-hsia”). This, we may suppose, | was how most men of later centuries felt about the puritanical and superstitious elements of Mo Tzu’s teachings. What re-

14 Mo Tzu mained—his emphasis upon selecting and promoting worthy men to office, upon the welfare of the people, upon pacifism and benevolent authoritarianism—was perfectly compatible, and in fact almost identical, with traditional Confucian teachings, and could therefore be easily absorbed in the Confucian school. Thus we find writers of the second and first centuries B.C. talking about Ju-Mo, “the doctrines of the Confucians

| and Mo-ists,” not as though they were two fiercely rival systems of thought, but as though they were synonymous, or at least complementary.?

One more reason may be suggested for the decline of the Mo-ist school and the indifference of later ages to its doctrines.

This is the nature of the work in which its ideas have been preserved, the Mo Tzu, particularly those portions described above which deal with Mo Tzu’s own doctrines. We do not know exactly when these chapters were written, but it is probable that they represent one of the earliest attempts at philosophical writing in Chinese, preceded only by the fragmentary Analects. In view of this, it is perhaps unfair to compare the book with the more subtle, individualistic and polished

works of the following century, such as the Chuang Tzu, Hsiin Tzu, and Han Fei Tzu. Nevertheless, making allowances for its antiquity, one cannot help noting that the Mo Tzu, whatever the interest of its ideas, is seldom a delight to read. Its arguments are almost always presented in an orderly *So completely did Confucian ideas come to dominate the outlook of educated Chinese that, when scholars of the present century began once more to study Mo Tzu’s philosophy, they found his religious views so radically “un-Chinese” that they were led to postulate a foreign origin for them. With more conviction than scholarship, they variously asserted

that Mo Tzu was an Indian Buddhist, a Brahmin, or a Moslem from Arabia (!). For a convenient survey of these and other theories on the origin of the Mo-ist school, see the article in Chinese, “Mo-chia yiianliu pien (I),” by Lu Kuang-huan, World Forum, II (nos. 5-6, 1961), 2-5.

Introduction 15 and lucid, if not logically convincing, fashion. But the style as a whole is marked by a singular monotony of sentence pattern, © and a lack of wit or grace that is atypical of Chinese literature in general. Han Fei Tzu, sec. 32, records an anecdote in which a tuler of the time questions a Mo-ist scholar on the reason for the flat, unadorned style of the work. ‘The Mo-ist replies with a parable intimating that, if a writer employs too florid and engaging a style, his readers are apt to become so dazzled by the

thetoric that they lose sight of what is being said. Whatever one may think of the validity of this assertion, it is quite possible that the Mo-ists did deliberately adopt a straightforward, | bare style for just such reasons. The extreme repetitiousness of the work, for example, suggests that the writer or writers are not repeating themselves merely out of paucity of invention, but are attempting purposely to drum certain set phrases into the mind of the reader, much like the slogan-vendors of our own time.®

When translating an author whose style is genuinely interesting and varied, the translator may perhaps be justified in disguising minor lapses and redundancies when he brings the work over into another language. But when repetitious-

ness constitutes the main feature of the style of the original, he | can be faithful to the ethics of his trade, it would seem, only by reproducing such repetitions in full in the translation. This I have done, trusting that the reader will soon come to rec-

ognize the clusters of set phrases which, like patterns in a

cloth, reappear again and again in the text. | | * An extreme example of this is the slogan “Making music is wrong!” | which Mo Tzu employs as a kind of refrain throughout his chapter attacking music. When the Confucian philosopher Hsiin Tzu wrote a rebuttal to Mo Tzu’s arguments, he parodied this feature of Mo Tzu’s style by using

_ on of his own, “And yet Mo Tzu criticizes it. Why?” CHsiin Tzu,

16 Mo Tzu In addition to this flatness of style, the Mo Tzu has been made even more taxing to read by the long neglect which the | text has suffered. Whereas almost all other important works of early Chinese philosophy and literature had at least one com- _ mentary appended to them by the third or fourth century .D., the Mo Tzu did not enjoy this attention until some fifteen hundred years later. Meanwhile the text, difficult enough to comprehend without a commentary, fell into worse and worse condition at the hands of careless and baffled copyists. It is

only in recent years that scholars have succeeded in untangling most of the garbles and elucidating the meaning to a reasonably satisfactory extent. The very repetitiousness of the text has considerably aided their efforts, since a passage which is corrupt in one section can often be restored from an uncor-

rupted parallel passage elsewhere. Nevertheless, many passages remain which cannot, without extensive and sometimes questionable emendation, be made to yield any sense at all.

This is particularly true of Mo Tzu’s frequent quotations from lost sections of the Book of Documents, which are in archaic style. Even where he quotes from sections of the Docu-

ments or Odes that are preserved today, we cannot be sure how he interpreted the passages he quotes. As pointed out in

tentative. |

| the notes, my translation is therefore in many places highly

| In the translation I have followed the text given in the Mo Tzu chien-ku by Sun I-jang (1848-1908), reprinted by Chung-hua shu-chii (Shanghai, 1954), which is generally acknowledged to be the most reliable text and commentary. | have also profited by the Mo Tzu hsin-cheng (preface dated 1938) by Yi Hsing-wu; the Japanese translation by Koyanagi Shigeta in the Kokuyaku kambun taisei series CTokyo, 1920);

Introduction 17 and the English translation of these sections of the Mo Tzu by Yi-pao Mei, The Ethical and Political Works of Motse, Probsthain’s Oriental Series, vol. XIX (London, 1929). I am particularly indebted to the last for many valuable suggestions on how to render Mo ‘Tzu in English. Other important recent works on the Mo Tzu are listed below. Mé Ti, Alfred Forke. Berlin, 1922. Complete German translation of Mo Tzu. Mo Tzu ching-chi ssu-hsiang, Hsiung Meng. Peking, 1925. On Mo ‘Tzu’s economic thought. Mo Tzu chi-chieh, Chang Ch’un-i. Shanghai, 1932. Commentary. Mo Tzu shih-pu, Liu Shih-p’ei; in Liu Shen-shu hsien-sheng i-shu, | 1934. Commentary.

Bokushi, Kobayashi Ichird. 2 vols. Keisho daikd series #£16-17. Tokyo, 1938~39. Japanese translation and commentary.

Bokushi no kenkyit, Otsuka Banroku. ‘Tokyo, 1943. A study of the | Mo Tzu.

Mo Tzu, Harvard-Yenching Institute Sinological Index Series, Supplement #21. 1948; reprinted 1961. Mo Tzu yen-chiu lun-wen chi, Luan T’iao-fu. Peking, 1957. Collection of essays on various aspects of the Mo Tzu.

Special studies of the Mo-ching or chapters on logic: | Mo-ching chiao-shih, Liang Ch’i-ch’ao. Shanghai, 1922. Commentary.

Mo-ching t'ung-chieh, Chang Ch’i-huang. Peking, 1931. Commentary. Mo-pien shu-cheng, Fan Keng-yen. Shanghai, 1935. Commentary. Mo-ching chiao-ch’iian, Kao Heng. Peking, 1958. Commentary. Mo-pien fa-wei, T’an Chieh-fu. Peking, 1958. Commentary.

Special study of Mo Tzu’s chapters on military science: Mo Tzu ch’eng-shou ko-p’ien chien-chu, Ts’en Chung-mien. Pe-

_ king, 1958. Commentary. ;

re HONORING THE WORTHY

| PART I (SECTION 8)

Master Mo Tzu’ said: ‘These days the rulers and high officials who govern the nation all desire their states to be rich, their population numerous, and their administration well ordered.

And yet what they achieve is not wealth but poverty, not a numerous population but a meager one, not order but chaos. In actual fact, they fail to get what they seek and instead achieve what they abhor. Why is this? Mo Tzu said: It is because the rulers and high officials who

govern the nation fail to honor the worthy and employ the capable in their administration. If a government is rich in worthy men, then the administration will be characterized by weight and substance; but if it is poor in such men, then the administration will be a paltry affair. Therefore the task confronting the high officials is simply to increase the number of worthy men. But what means are to be used to increase the

number of worthy men? 7 ,

Mo Tzu said: Let us suppose that one wishes to increase the

number of skilled archers and chariot drivers in the state.

One must set about enriching and honoring such men, respecting and praising them. Once this has been done, one will have no difficulty in obtaining a multitude of them. How This title, Tzu Mo Tzu CMaster Mo Tzu), is repeated innumerable times in the text. For the sake of brevity, I shall hereafter translate it simply as “Mo Tzu.”

| Honoring the Worthy 19 much more appropriate, therefore, that one should do this for worthy men, who are ardent in the practice of virtue, skilled in discourse, and broad in learning! Men such as these are the treasures of the nation and the keepers of its altars of the

soil and grain. They too should be enriched and honored, respected and praised, and when this has been done, they may be obtained in plenty. Therefore, when the sage kings of ancient times adminis-

tered their states, they announced: “The unrighteous shall not be enriched, the unrighteous shall not be exalted, the unrighteous shall be no kin to us, the unrighteous shall not be our intimates!” When the rich and exalted men of the kingdom heard this, they all began to deliberate among themselves, saying, “We have trusted in our wealth and exalted position,

but now the lord promotes the righteous without caring whether they are poor or humble. We too, then, must become righteous.” Likewise the kin of the ruler began to deliberate, saying, “We have trusted in the bond of kinship, but now the lord promotes the righteous without caring how distant the relationship. We too, then, must become righteous.” ‘Those

who were intimate with the ruler deliberated, saying, “We have trusted in the intimacy we enjoyed, but now the lord promotes the righteous without caring how far removed they may have been from him until now. We too, then, must become righteous.” And when those who were far removed from the ruler heard it, they also deliberated, saying, “We used to believe that, since we were so far removed from the ruler, we had nothing to trust in. But now the lord promotes the righteous without caring how far removed they may be. We too,

then, must become righteous.” So the vassals of distant and outlying areas, as well as the noblemen’s sons serving in the

20 Mo Tzu palace, the multitudes of the capital, and the peasants of the four borders, in time came to hear of this, and all strove to

become righteous. | Why did the ancient kings do this? Those in a superior position have one thing by which to attract men to their service— the promise of material benefits; those in a subordinate position have one thing to offer to their superiors—a knowledge of the arts of government. Let us suppose there is a rich man who

has built a high wall all around his house. When the wall is finished and plastered with mud, he pierces it with only one gate. Then, if a thief steals in, he may shut the gate by which the thief entered and set about searching for him, confident that the thief has no means of escape. Why? Because the rich man, like the ruler, has control of the vital point. Therefore in their administration the sage kings of ancient times ranked the virtuous high and honored the worthy, and

although a man might be a farmer or an artisan from the shops, if he had ability they promoted him. Such men were honored with titles, treated to generous stipends, entrusted with important matters, and empowered to see that their orders were carried out. For it was said that if their stipends were not generous, the people would have no confidence in them; and if their orders were not carried out, the people would not stand in awe of them. ‘These three benefits were bestowed upon the worthy not because the ruler wished to reward them for their worth but because he hoped thereby to bring about success in the affairs of government. Therefore at that time ranks were

| _assigned according to virtue, duties allotted according to the office held, and rewards given according to the effort expended;

achievements were weighed and stipends distributed accordingly. Thus no official was necessarily assured of an exalted position for life, nor was any member of the common people

Honoring the Worthy 21 necessarily condemned to remain forever humble. ‘Those with ability were promoted, those without it were demoted. ‘This is what it means to promote public righteousness and do away with private likes and dislikes. In ancient times Yao raised up Shun from the sunny side of Fu Lake and entrusted the government to him, and the world

was at peace. Yii raised up Yi from the land of Yin and entrusted the government to him, and the nine provinces were well ordered. T’ang raised up Yi Yin from his labors in the kitchen and entrusted the government to him, and his plans were successful. King Wen raised up Hung-yao T’aittien from

his place among the hunting and fishing nets and entrusted the government to him, and the western regions bowed in submission.

So among the officials who enjoyed high ranks and generous | stipends in those days, there were none who were not unfailingly cautious and respectful, none who did not encourage

and strive with each other in honoring virtue. It is gentlemen of true worth, therefore, who must act to assist and carry on the government. If the ruler can obtain the services of such gentlemen, then his plans will never be thwarted nor his body

worn by care; his fame will be established and his undertak- | ings brought to a successful conclusion; his excellence will be manifest and no evil will appear to mar it. All this will come about because he has obtained the services of gentlemen.

| Therefore Mo Tzu said: When things are going well, gen* Yao, Shun, Yi, T’ang, and King Wen were all ancient sage rulers, the last three the founders of the Hsia, Shang, and Chou dynasties respectively, the so-called Three Dynasties. Yi of the land of Yin was an eminent min-

ister of Shun and Yi. Yi Yin was supposed to have been working in T’ang’s royal kitchens when his worth was recognized. The identity of Hung-yao T’ai-tien and the anecdote upon which Mo Tzu’s statement is

based are unknown. |

22 Mo Tzu _. tlemen of worth must be promoted; and when they are not going well, gentlemen of worth must be promoted. If one wishes to emulate and carry on the ways of Yao, Shun, Yii, and T'ang, then one must honor the worthy, for honoring the worthy is the foundation of good government.

PART II (SECTION 9) Mo Tzu said: In caring for the people, presiding over the altars of the soil and grain, and ordering the state, the rulers and high officials these days strive for stability and seek to avoid any error. But why do they fail to perceive that honoring the worthy is the foundation of government? How do we know that honoring the worthy is the foundation of government? Because when the eminent and wise rule

over the stupid and humble, then there will be order; but when the stupid and humble rule over the eminent and wise, there will be chaos. Therefore we know that honoring the worthy is the foundation of government. Therefore the sage kings of ancient times took great pains to

honor the worthy and employ the capable, showing no special consideration for their own kin, no partiality for the eminent and rich, no favoritism for the good-looking and attractive. They promoted the worthy to high places, enriched and honored them, and made them heads of government; the unworthy they demoted and rejected, reduced to poverty and humble station, and condemned to penal servitude. Thus the people, encouraged by the hope of reward and awed by the

| fear of punishment, led each other on to become worthy, so

Honoring the Worthy 23 that worthy men increased in number and unworthy men became few. This is what is called advancing the worthy. And when this had been done, the sage kings listened to the words of the worthy, watched their actions, observed their abilities,

and on this basis carefully assigned them to office. This is called employing the capable. ‘Those who were capable ol ordering the state were employed to order the state; those who were capable of heading a government bureau were employed as heads of bureaus; and those who were capable of governing —

an outlying district were employed to govern the outlying districts. Thus the administration of the state, of the government bureaus, and of the outlying districts was in every case in the hands of the most worthy men of the nation. When a worthy man is given the task of ordering the state,

he appears at court early and retires late, listens to lawsuits and attends to the affairs of government. As a result the state is well ordered and laws and punishments are justly administered. When a worthy man heads a government bureau, he

goes to bed late and gets up early, collecting taxes on the barriers and markets and on the resources of the hills, forests, ] lakes, and fish weirs, so that the treasury will be full. As a re- | sult the treasury is full and no source of revenue is neglected. When a worthy man governs an outlying district, he leaves his house early and returns late, plowing and sowing seed, plant-

ing trees, and gathering vegetables and grain.* As a result there will be plenty of vegetables and grain and the people _ will have enough to eat. When the state is well ordered, the * The text reads as though the officials of the outlying districts actually go out and work in the fields, which seems highly unlikely. The probable

meaning is that they supervise the work of the peasants. Mo Tzu, like many earlier Chinese writers, is sometimes betrayed by his fondness for strict verbal parallelism into saying something other than just what‘ he means.

24 Mo Tzu laws and punishments will be justly administered, and when the treasury is full, the people will be well off. The rulers will thus be supplied with wine and millet to use in their sacrifices to Heaven and the spirits, with hides and currency to use in their intercourse with the feudal lords of neighboring states, and with the means to feed the hungry and give rest to the weary within their realm, to nourish their subjects and attract _ virtuous men from all over the world. Then Heaven and the spirits will send down riches, the other feudal lords will become their allies, the people of their own realm will feel affection for them, and worthy men will come forward to serve them. Thus all that they plan for they will achieve, and all that they undertake will be brought to a successful conclusion. If they stay within their realm, their position will be secure, and if they venture forth to punish an enemy, they will be victorious. It was by this method alone that the sage kings of

the Three Dynasties, Yao, Shun, Yi, T'ang, Wen, and Wu, were able to rule the world and become the leaders of the

other lords. |

But if one knows only the policy to be adopted, but does not

know what means to use in carrying it out, then he cannot | be sure of success in government. Therefore three principles should be established. What are these three principles? They

, are that if the titles and positions of worthy men are not exalted enough, then the people will not respect such men; if their stipends are not generous, then the people will not have confidence in them; and if their orders are not enforced, then the people will not stand in awe of them. Therefore the sage kings of antiquity honored the worthy with titles, treated them to generous stipends, entrusted them with important affairs, and empowered them to see that their orders were carried out.

, These benefits were bestowed not because the ruler wished to

~Honoring the Worthy 25 reward his ministers, but because he hoped thereby to bring about success in the affairs of government. The Book of Odes says:

I admonish you to take thought for the needy; | I teach you how to assign the titles; _ For who can take hold of something hot Without first moistening his hand?*

This verse shows how important it was for the rulers and lords of antiquity to secure good men to be their ministers _ and aides, and compares this to the necessity of moistening the hand before grasping anything hot so as to spare the hand from injury. Thus the sage kings of antiquity gave all their thought to finding worthy men and employing them, handing out titles to honor them, apportioning lands to enfeoff them, and never

to the end of their days stinting their efforts. Worthy men for their part thought only of finding an enlightened lord and serving him, exhausting the strength of their four limbs in carrying out their lord’s business, never to the end of their days growing weary, and if they achieved anything that was _ beautiful or good, they gave credit for it to the ruler. Thus all that was beautiful and good came to reside in the ruler, while all grudges and complaints were directed against his subordinates. Peace and joy was the portion of the ruler, care and sorrow that of his ministers. This was how the sage kings of ancient times administered their rule. Now the rulers and high officials of the present day attempt to imitate the ancients in honoring the worthy and employing the capable in their governments. But although they honor

them with titles, the stipends which they allot to them do “Ta ya section, “Sang jouw” (Mao text no. 257).

26 Mo Tzu not follow in proportion. Now if an official has a high-sounding title but a meager stipend, he can hardly inspire the con-

fidence of the people. Such an official will say to himself, “The ruler does not really appreciate me, but is only making | use of me as a means for his own ends.” And how can men who feel that they are being made use of ever have any affection for their superiors? ‘Therefore the kings of antiquity used to say: “He who is greedy for power in government can never bring himself to assign responsibility to others, and he who

is too fond of wealth can never bring himself to dole out stipends.” And if one refuses to delegate responsibility or dole

out stipends, though one invites all the worthy men of the | world, what inducement will they have to come to the side of the ruler and his officers?

If the worthy do not come to the side of the ruler and his officers, it will be the unworthy who will wait at their left and right, and when the unworthy wait upon their left and right, then praise will not be meted out to the worthy and censure

to the wicked. If the ruler honors unworthy men such as these and uses them in governing the state, then rewards will not necessarily find their way into the hands of the worthy, |

and punishments will not necessarily fall upon those who deserve them. If the worthy are not rewarded and the wicked are not punished, then there will be no way to encourage the

worthy or put a stop to evil. Unworthy men such as these are not loving or filial to their parents at home nor respectful and friendly to the people of their neighborhood. Their actions show no sense of propriety, their comings and goings no

sense of restraint, and their relations with the opposite sex no sense of decorum. Put in charge of a government bureau, they steal and plunder; assigned to guard a city, they betray

Honoring the Worthy 27 their trust or rebel. If their lord encounters difficulty, they

will not accompany him into exile. When they are assigned the task of hearing lawsuits, their judgments are not apt: when they are given that of apportioning wealth, their allotments are not equitable. With men such as these to work with, the ruler’s plans will reach no fulfillment and his undertakings no success. Though he stays within his realm, he will know no security, and if he ventures forth to battle, he will win no victory. It was for this reason alone that the evil kings of the Three Dynasties, Chieh, Chou, Yu, and Li, lost their kingdoms and brought destruction to their altars of the soil and grain.° All of this comes about as a result of understanding petty affairs but failing to understand important ones. Now the rulers and high officials know that if they cannot cut a suit of clothes for themselves, they must employ the services of a skilled tailor, and if they cannot slaughter an ox or a sheep for themselves, they must employ the services of a skilled butcher. In these two instances the rulers are perfectly aware of the need to honor worthy men and employ the capable to get things done. And yet when they see the state in confusion and their altars of the soil and grain in danger, they do not know enough to employ capable men to correct the situation.

Instead they employ their relatives, or men who happen to be , rich and eminent or pleasant-featured and attractive. But just because a man happens to be rich and eminent or pleasantfeatured and attractive, he will not necessarily turn out to be wise and alert when placed in office. If men such as these are *Chieh was the last ruler of the Hsia dynasty, Chou the last ruler of the Shang, and Yu and Li two rulers of the Chou dynasty in the 9th and 8th centuries p.c. All four are symbols of evil and incompetent rulers. ,

2§ Mo Tzu given the task of ordering the state, then this is simply to entrust the state to men who are neither wise nor intelligent, and anyone knows that this will lead to ruin. Moreover, the rulers and high officials trust a man’s mental ability because they are attracted by his looks, and treat him with affection without bothering to examine his knowledge. As a result a man who is incapable of taking charge of a hundred persons is assigned to a post in charge of a thousand, and a man who is incapable of taking charge of a thousand persons is assigned to a post in charge of ten thousand. Why do the rulers do this? Because if they assign a man they like to such a post, he will receive an exalted title and a generous stipend. Hence they employ the man simply because they are attracted

by his looks. |

Now if a man who is incapable of taking charge of a thousand persons is given a post in charge of ten thousand, then

he is being given a post that requires ten times what he is capable of. Affairs of government arise every day and must be attended to each day, and yet the day cannot be made ten times longer for the sake of such a man. Furthermore, it takes knowledge to attend to such affairs, but if the man’s knowledge cannot be increased tenfold and he is still assigned to a

: post that requires ten times what he is capable of, then it will result in his attending to one matter and neglecting nine others. Though the man works day and night to attend to the duties of his post, it is obvious that they will never be attended to. All of this comes about because the rulers and high officials do not understand how to honor the worthy and employ the capable in their government.

Earlier I described the method for honoring the worthy and employing the capable in government so as to achieve order, and here I have described how rejecting the worthy

Honoring the Worthy 29 and failing to employ the capable in government leads to chaos. Now if the rulers and high officials truly wish to order the state properly, to achieve stability and avoid error, why do they fail to perceive that honoring the worthy is the foun-

dation of good government? | Moreover, this principle, that honoring the worthy is the foundation of government, is not something asserted by Mo

Tzu alone. It is the way of the sage kings, and is found recorded in the books of the former kings and embodied in the sayings which have been handed down from antiquity. Thus one book says: “Seek out sages and wise men to protect and aid you!” And the “Oath of ‘T’ang” states: “Then I sought

out a great sage with whom to unite my strength and join my mind in governing the empire.” * These quotations show that the sages did not fail to honor the worthy and employ the capable in their government. Thus the sage kings of ancient times gave all their attention to this problem alone, and did not allow themselves to become distracted by other affairs, and all the world enjoyed the benefits thereof. In ancient times Shun farmed at Mount Li, made pottery on the banks of the river, and fished at ‘Thunder Lake. Yao discovered him on the sunny side of Fu Lake and promoted

him to the position of Son of Heaven, turning over to him the task of ruling the empire and governing the people. Yi Chih served in the bridal party of the daughter of the Hsin clan when she went to marry T’ang, and by his own wish became a cook in T’ang’s kitchens. There ‘T’ang discovered him and made him his chief minister, turning over to him the

task of ruling the empire and governing the people. Fu Yiieh, : *'The “Oath of 'T’ang” is one of the sections of the Book of Documents, but no such passage is found in the present text of that section. The source of the preceding quotation is unknown.

30 Mo Tzu wearing a coarse robe and a girdle of rope, was working as a convict laborer at Fu-yen when Wuc-ting discovered him and made him one of the three highest officers, turning over to

him the task of ruling the empire and governing the people. How did it happen that these men started out in humble positions and ended in exalted ones, began in poverty and ended in riches? Because the rulers and their high officials understood the importance of honoring the worthy and employing the capable. So among their people were none who were hungry and yet found no food, cold and yet found no clothing, weary and yet found no rest; there were none who were disorderly and yet in time did not learn obedience. The ancient sage kings, in giving all their thought to honoring the worthy and employing the capable in government, were patterning their actions on the ways of Heaven. For Heaven too shows no discrimination between rich and poor, eminent and humble, near and far, the closely and the distantly related. It promotes and honors the worthy, and demotes and rejects the unworthy. If this is so, then who were those that, possessing wealth and eminence, still strove to be worthy, and received their reward? The sage kings of the Three Dynasties of old, Yao, Shun, Yu, T’ang, Wen, and Wu, were such. And how were they rewarded? When they ruled the world, they loved all men universally, worked to benefit them, and taught their subjects to honor Heaven and serve the spirits. Because they loved and benefited their subjects, Heaven and the spirits rewarded them by setting them up as Sons of Heaven and causing them to act as fathers and mothers to the people. The people in turn praised them, calling them sage kings, and so they are called even today. These then were the rich and eminent ones who strove to be worthy and who received their

reward. |

Honoring the Worthy 31 ~ Who were those that, possessing wealth and eminence, still practiced evil, and were punished for it? The wicked kings

of the Three Dynasties of old, Chieh, Chou, Yu, and Li, were such. How do we know that this is so? Because when they ruled the world, they hated all men universally, set about to oppress them, and taught the people of the world to curse Heaven and abuse the spirits. Because they oppressed and tyrannized their subjects, Heaven and the spirits punished them by bringing execution and death to their persons, scat-

tering their sons and grandsons, destroying their houses, and cutting off their descendants. The people accordingly condemned them, calling them wicked kings, and so they are called even today. These then were the rich and eminent ones who practiced evil and who were punished for it. Who was it that, though closely related to the ruler, failed _ to do good and was punished for it? Such was Lord Kun, the eldest son of the emperor.” He turned his back on the virtuous ways of the emperor and so was banished to the fields of Yii and imprisoned where no warmth nor light could reach him,

and the emperor showed him no favor. He, then, was one who, though closely related to the ruler, failed to do good

and was punished for it. | Who were the capable ones who were employed by Heaven? __

Such were Yii, Chi, and Kao T’ao.2 How do we know that this is so? Because among the documents of the former kings is the “Penal Code of Lii,” which says: “The august emperor _ carefully inquired among the lower people, and there were "Various accounts are given of this mythical figure. According to the one which Mo Tzu appears to be following, he was the son of a ruler named Chuan Hsii. It is not clear whether Chuan Hsii himself, or one of his successors, banished Lord Kun. —

, * These men were all said to have been enlightened ministers under the sage Shun. In the quotation from the Book of Documents which follows, however, Kao T’ao is not mentioned, but instead Po Yi, another eminent

minister of Shun. : |

32 Mo Tzu | complaints against the Miao barbarians. . . . The attention of the various lords was extended among the lower people and they brought to light the enlightened, no matter who they

were, so that even widowers and widows were not left unrecognized. The virtuous might of the sovereign overawed the people; his virtuous enlightenment made them bright. Then he charged three lords to be zealous in doing good for the people. Po Yi handed down the statutes, restraining the people with punishments. Yui regulated the water and the land and presided over the naming of the hills and rivers. Chi descended from his high position to sow seed and teach the people to grow fine grain. When these three lords had completed their work, the people were greatly benefited.” ° The three sages mentioned in this passage were careful in their words, circumspect in their actions, and thorough in their thoughts and plans. ‘They sought to discover every hidden matter in the world, every benefit that had previously been overlooked. ‘They served Heaven above, and Heaven responded to their virtue. They acted for the sake of the people

through. |

below, and the people received benefit their whole life _ Thus the former kings used to say: “This Way! Use it on a grand scale throughout the world and it will never prove too petty; use it on a small scale and it will never prove confining; use it for a long time and the people will benefit their whole lives through.” The hymns of Chou speak of it in these words: The virtue of the sage Is high as heaven, ° From the Lii hsing, or “Penal Code of Li,” in the Book of Documents. On the whole I have followed the interpretation of Karlgren, though for “they brought to light the enlightened, no matter who they were,” he reads “clearly elucidated the irregular practices (sc. punishments).” In most cases we can only guess from context how Mo Tzu himself interpreted the passages which he quotes from the Odes and Documents.

Honoring the Worthy 33 Broad as the earth;

It shines upon the world, Solid as the ground, Lofty as the mountains,

Never faltering, never failing, Brilliant like the sun, Bright like the moon, Constant as heaven and earth.!°

This describes how brilliant, broad, deep-rooted, and everlasting is the virtue of the sage. ‘The virtue of the sage may in fact be said to embrace all heaven and earth! _ Now the rulers and high officials wish to rule the world and become leaders of the feudal lords. Yet if they are without

such virtue and righteousness, what means will they have to achieve their aims? Some say that such aims can be accomplished through a display of might and power, but why should

the rulers attempt to display might and power? Those who strive to overthrow others simply drive the people to their death. What the people long for most is life, and what they hate most is death. Yet under such rulers they cannot achieve what they long for, but are subjected in case after case to what they hate. From ancient times down to the present there has never been anyone who succeeded in ruling the world and

becoming the leader of the feudal lords in this way. Now the | rulers and high officials say they want to rule the world and become leaders of the feudal lords. But if they really wish to have their way with the world and leave behind them a name for future generations to remember, why do they not realize that honoring the worthy is the foundation of good govern-

ment? This is a principle which the sages were most careful to practice. *° No such passage is found among the hymns (sung) of Chou pteserved in the Book of Odes.

re IDENTIFYING WITH ONE'S

SUPERIOR

PART I | (SECTION I1)

Mo Tzu said: In ancient times, when mankind was first born and before there were any laws or government, it may be said that every man’s view of things was different. One man had one view, two men had two views, ten men had ten views— the more men, the more views. Moreover, each man believed that his own views were correct and disapproved of those of others, so that people spent their time condemning one another. Within the family fathers and sons, older and younger

brothers grew to hate each other and the family split up, unable to live in harmony, while throughout the world people all resorted to water, fire, and poison in an effort to do each

other injury. Those with strength to spare refused to help out others, those with surplus wealth would let it rot before they would share it, and those with beneficial doctrines to

| teach would keep them secret and refuse to impart them. The

beasts alone. |

world was as chaotic as though it were inhabited by birds and

To anyone who examined the cause, it was obvious that this chaos came about because of the absence of rulers and

leaders. Therefore the most worthy and able man in the

Identifying with One’s Superior 35 world was selected and set up as Son of Heaven.’ After the

_ Son of Heaven had been set up, because his strength alone was insufficient, other worthy and able men were selected from throughout the world and installed as his three high ministers. After the Son of Heaven and the three high ministers had been set up, because the world was so broad, and because it was not always possible for the ruler and his min-

isters alone to judge accurately what would be right and profitable for people living in distant countries and strange lands, the world was divided up into countless states, and feudal lords and chiefs were set up to administer them. After the feudal lords and chiefs had been set up, because their strength alone was insufficient, worthy and able men were chosen from the various states to act as their officials.

When all these officials had been installed, the Son of Heaven proclaimed the principle of his rule to the people of the world, saying, “Upon hearing of good or evil, one shall report it to his superior. What the superior considers right

all shall consider right; what the superior considers wrong all shall consider wrong. If the superior commits any fault, his subordinates shall remonstrate with him; if his subordinates do good, the superior shall recommend them. To identify oneself with one’s superior and not to form cliques on the lower levels—such conduct as this shall be rewarded by those *It is not clear who does the selecting. In the original, the sentence is in the active mood but with no subject expressed, a construction which is perfectly permissible in Chinese but which must be rendered into English in the passive unless the translator chooses to supply a subject. Y. P. Mei _ supplies the word “Heaven” as the subject and supports this by reference to a parallel passage in sec. 13 (not translated here) which he reads as “Thereupon Heaven wished to unify the standards in the world.” But this reading is based on an emendation that does not seem wholly justified. Nevertheless, if pressed, Mo Tzu, like the Confucians, would no doubt say that Heaven, expressing its will through some human or natural agency, did in fact select the Son of Heaven.

36 Mo Tzu above and praised by those below. If, upon hearing of good or evil, one fails to report it to his superior; if what the superior considers right is not accepted as right and what the superior considers wrong is not accepted as wrong; if his subordinates fail to remonstrate with the superior when he commits a fault, or if the superior fails to recommend his subordinates when they do good; if the subordinates make common cause among themselves and fail to identify themselves with their supe-

tiors—if there is such conduct as this, it shall be punished by those above and condemned by the people at large.” The rulers meted out their rewards and punishments on this basis, examining with the greatest care to make sure that such rewards and punishments were just. The head of each local community was the most benevolent

man in the community, and when he took office, he proclaimed to the people of the community the principle of his rule, saying, “Upon hearing of good or evil, you shall report it to the town head. What the town head considers right all shall consider right; what the town head considers wrong all shall consider wrong. Leave your evil words and imitate the good words of the town head; leave your evil actions and imitate the good actions of the town head!” As long as this ~ command was heeded, how could there be any disorder in the township?

If we examine into the reason why the township was wel: ordered, we find that it was simply that the town head was able to unify the standards of judgment in the township, and this resulted in order. The town head was the most benevolent man in the township, and when he took office, he proclaimed to the people in the township the principle of his rule, saying, “Upon hearing of good or evil, you shall report it to the lord of the region.

Identifying with One’s Superior 37 What the lord considers right all shall consider right; what the lord considers wrong all shall consider wrong. Leave your evil words and imitate the good words of the lord; leave your evil actions and imitate the good actions of the lord!” As long _as this command was heeded, how could there be any disorder in the region?

If we examine into the reason why the region was well ordered, we find that it was simply that the lord was able to unify the standards of judgment throughout the region, and this resulted in order.

The lord of the region was the most benevolent man in the region, and when he took office he proclaimed to the

people of the region the principle of his rule, saying “Upon hearing good or evil, you shall report it to the Son of Heaven.

What the Son of Heaven considers right all shall consider right; what the Son of Heaven considers wrong all shall con-

sider wrong. Leave your evil words and imitate the good words of the Son of Heaven; leave your evil actions and imitate the good actions of the Son of Heaven!” As long as

the world? |

this command was heeded, how could there be any disorder in

If we examine the reason why the world was well ordered, we find that it was simply that the Son of Heaven was able

to unify the standards of judgment throughout the world, and this resulted in order. But although all the people in the world may identify themselves with the Son of Heaven, if they do not also identify

themselves with Heaven itself, then calamities will never cease. The violent winds and bitter rains which sweep the world in such profusion these days—these are simply the punishments of Heaven sent down upon the people because they fail to identify themselves with Heaven.

| 38 Mo Tzu So Mo Tzu said: In ancient times the sage kings devised

the five punishments? so as to bring order to the people. These were like the main thread binding a skein of silk or the main cord controlling a net, by which the sage kings bound and hauled in those among the people of the world who failed to identify themselves with their superiors. * Various interpretations of the “five punishments” are given in early works, but they are usually considered to be tattooing, cutting off the nose, cutting off the feet, castration, and death.

, PART III | re UNIVERSAL LOVE (SECTION 16)

Mo Tzu said: It is the business of the benevolent man to try to promote what is beneficial to the world and to eliminate

what is harmful. Now at the present time, what brings the greatest harm to the world? Great states attacking small ones, great families overthrowing small ones, the strong oppressing the weak, the many harrying the few, the cunning deceiving the stupid, the eminent lording it over the humble—these are _ harmful to the world. So too are rulers who are not generous, ministers who are not loyal, fathers who are without kindness, and sons who are unfilial, as well as those mean men who, with weapons, knives, poison, fire, and water, seek to injure

and undo each other. When we inquire into the cause of these various harms, _ what do we find has produced them? Do they come about from loving others and trying to benefit them? Surely not! | They come rather from hating others and trying to injure them. And when we set out to classify and describe those men

who hate and injure others, shall we say that their actions — are motivated by universality or partiality? Surely we must answer, by partiality, and it is this partiality in their dealings with one another that gives rise to all the great harms in the world. ‘Therefore we know that partiality is wrong. Mo Tzu said: Whoever criticizes others must have some

40 Mo Tzu | alternative to offer them. To criticize and yet offer no alternative is like trying to stop flood with flood or put out fire with fire. It will surely have no effect. Therefore Mo Tzu said:

Partiality should be replaced by universality. | But how can partiality be replaced by universality? If men were to regard the states of others as they regard their own,

then who would raise up his state to attack the state of another? It would be like attacking his own. If men were to regard the cities of others as they regard their own, then who would raise up his city to attack the city of another? It would be like attacking his own. If men were to regard the families of others as they regard their own, then who would raise up

his family to overthrow that of another? It would be like overthrowing his own. Now when states and cities do not attack and make war on each other and families and individuals do not overthrow or injure one another, is this a harm or — a benefit to the world? Surely it is a benefit. When we inquire into the cause of such benefits, what do we find has produced them? Do they come about from hating

others and trying to injure them? Surely not! ‘They come rather from loving others and trying to benefit them. And _ when we set out to classify and describe those men who love and benefit others, shall we say that their actions are motivated by partiality or by universality? Surely we must answer, by universality, and it is this universality in their dealings with

one another that gives rise to all the great benefits in the world. Therefore Mo Tzu has said that universality is right. I} have said previously that it is the business of the benevolent man to try to promote what is beneficial to the world and to eliminate what is harmful. Now I have demonstrated that universality is the source of all the great benefits in the world and partiality is the source of all the great harm. It is

Universal Love 41 for this reason that Mo Tzu has said that partiality is wrong and universality is right.

Now if we seek to benefit the world by taking universality as our standard, those with sharp ears and clear eyes will see

and hear for others, those with sturdy limbs will work for others, and those with a knowledge of the Way will endeavor

to teach others. ‘Those who are old and without wives or children will find means of support and be able to live out their days; the young and orphaned who have no parents will | find someone to care for them and look after their needs. When all these benefits may be secured merely by taking universality as our standard, I cannot understand how the men of the world can hear about this doctrine of universality and still criticize it!

_ And yet the men of the world continue to criticize it, saying, “It may be a good thing, but how can it be put to use?”

Mo ‘Tzu said: If it cannot be put to use, even I would criticize it. But how can there be a good thing that still cannot be put to use? Let us try considering both sides of the ques-

tion. Suppose there are two men, one of them holding to partiality, the other to universality. The believer in partiality says, “How could I possibly regard my friend the same as myself, or my friend’s father the same as my own?” Because he views his friend in this way, he will not feed him when he is hungry, clothe him when he is cold, nourish him when he is sick, or bury him when he dies. Such are the words of

the partial man, and such his actions. But the words and | actions of the universal-minded.man are not like these. He will say, “I have heard that the truly superior man of the world regards his friend the same as himself, and his friend’s

father the same as his own. Only if he does this can he be considered a truly superior man.” Because he views his

42 Mo Tzu friend in this way, he will feed him when he is hungry, clothe him when he is cold, nourish him when he is sick, and bury

him when he dies. Such are the words and actions of the universal-minded man.

So the words of these two men disagree and their actions. are diametrically opposed. Yet let us suppose that both of them are determined to carry out their words in action, so that word and deed agree like the two parts of a tally and nothing they

say is not put into action. Then let us venture to inquire further. Suppose that here is a broad plain, a vast wilderness, and a man is buckling on his armor and donning his helmet

to set out for the field of battle, where the fortunes of life and death are unknown; or he is setting out in his lord’s name upon a distant mission to Pa or Yiieh, Ch’i or Ching, and his

return is uncertain. Now let us ask,! to whom would he entrust the support of his parents and the care of his wife and children? Would it be to the universal-minded man, or to the partial man? It seems to me that, on occasions like these, there

are no fools in the world. Though one may disapprove of universality himself, he would surely think it best to entrust his family to the universal-minded man. Thus people condemn universality in words but adopt it in practice, and word and deed belie each other. I cannot understand how the men of the world can hear about this doctrine of universality and still criticize it!

And yet the men of the world continue to criticize, saying, _ “Such a principle may be all right as a basis in choosing among

ordinary men, but it cannot be used in selecting a ruler.” Let us try considering both sides of the question. Suppose there are two rulers, one of them holding to universality, the 1 The text at this point appears to be corrupt and a few words have been omitted in translation.

Universal Love 43 other to partiality. The partial ruler says, “How could I possibly regard my countless subjects the same as I regard myself?

_ That would be completely at variance with human nature! , Man’s life on earth is as brief as the passing of a team of horses glimpsed through a crack in the wall.” Because he views his subjects in this way, he will not feed them when

they are hungry, clothe them when they are cold, nourish | _ them when they are sick, or bury them when they die. Such are the words of the partial ruler, and such his actions. But the words and actions of the universal-minded ruler are not like these. He will say, “I have heard that the truly enlightened ruler must think of his subjects first, and of himself last.

Only then can he be considered a truly enlightened ruler.” Because he views his subjects in this way, he will feed them when they are hungry, clothe them when they are cold, nourish them when they are sick, and bury them when they die. ~ Such are the words and actions of the universal-minded ruler. So the words of these two rulers disagree and their actions

are diametrically opposed. Yet let us suppose that both of them speak in good faith and are determined to carry out their

words in action, so that word and deed agree like the two | | parts of a tally and nothing they say is not put into action.

Then let us venture to inquire further. Suppose this year there is plague and disease, many of the people are suffering from hardship and hunger, and the corpses of countless victims lie tumbled in the ditches. If the people could choose between these two types of ruler, which would they follow? It seems to me that, on occasions like this, there are no fools

in the world. Though one may disapprove of universality himself, he would surely think it best to follow the universalminded ruler. Thus people condemn universality in words but

adopt it in practice, and word and deed belie each other. I

44 Mo Tzu cannot understand how the men of the world can hear about this doctrine of universality and still criticize it! And yet the men of the world continue to criticize, saying, “This doctrine of universality is benevolent and righteous. And yet how can it be carried out? As we see it, one can no more put it into practice than one can pick up Mount T’ai and leap over a river with it! Thus universality is only something to be longed for, not something that can be put into practice.”

Mo Tzu said: As for picking up Mount T’ai and leaping over rivers with it, no one from ancient times to the present, from the beginning of mankind to now, has ever succeeded in doing that! But universal love and mutual aid were actually practiced by four sage kings of antiquity. How do we know that they practiced these?

Mo Tzu said: I did not live at the same time as they did, _ nor have I in person heard their voices or seen their faces. Yet I know it because of what is written on the bamboo and

basins. ,

silk that has been handed down to posterity, what is engraved

on metal and stone, and what is inscribed on bowls and

The “Great Oath” says: “King Wen was like the sun or

moon, shedding his bright light in the four quarters and over the western land.” * That is to say, the universal love of King Wen was so broad that it embraced the whole world, as the universal light of the sun and the moon shines upon the whole world without partiality. Such was the universality of King Wen, and the universality which Mo Tzu has been telling you about is patterned after that of King Wen. *"The “Great Oath,” supposedly a speech by King Wu, the son of King ‘Wen, was a section of the Book of Documents. It was lost long ago, and the text by that name included in the present Book of Documents is a forgery of the 3d century a.p., though it includes a passage much like the one quoted here by Mo Tzu.

Universal Love “45 Not only the “Great Oath” but the “Oath of Yi”? also expresses this idea. Yii said: “All you teeming multitudes, listen to my words! It is not that I, the little child, would dare to act in a disorderly way. But this ruler of the Miao, with _ his unyielding ways, deserves Heaven’s punishment. So | shall lead you, the lords of the various states, to conquer the ruler of the Miao.” When Yii went to conquer the ruler of the Miao, it was not that he sought to increase his wealth or eminence, to win fortune or blessing, or to delight his ears and eyes. It was only that he sought to promote what was beneficial

to the world and to eliminate what was harmful. Such was the universality of Yi, and the universality which Mo Tzu

has been telling you about is patterned after that of Yi. | And not only the “Oath of Yii” but the “Speech of T’ang” *

also expresses this idea. ‘T'ang said: “I, the little child, Lii,

dare to sacrifice a dark beast and make this announcement to the Heavenly Lord above, saying, “Now Heaven has sent a

ereat drought and it has fallen upon me, Li. But I do not know what fault I have committed against high or low. If there is good, I dare not conceal it; if there is evil, I dare not

pardon it. Judgment resides with the mind of God. If the

myriad regions have any fault, may it rest upon my person; | but if I have any fault, may it not extend to the myriad regions.” ‘This shows that, though T’ang was honored as the Son of Heaven and possessed all the riches of the world, he

did not hesitate to offer himself as a sacrifice in his prayers | and entreaties to the Lord on High and the spirits. Such was the universality of T’ang, and the universality which Mo Tzu has been telling you about is patterned after that of T’ang. This idea is expressed not only in the “Speech of T’ang” but in the odes of Chou as well. In the odes of Chou it says: * A section of the Book of Documents, now lost. | * A section of the Book of Documents, now lost. Almost the same quota-

tion is found at the beginning of Book XX of the Confucian Analects.

46 Mo Tzu Broad, broad is the way of the king, Neither partial nor partisan.

Fair, fair is the way of the king, | Neither partisan nor partial.

| It is straight like an arrow,

Smooth like a whetstone. The superior man treads it; The small man looks upon it.5

So what I have been speaking about is no mere theory of action. In ancient times, when Kings Wen and Wu admin-

istered the government and assigned each person his just share, they rewarded the worthy and punished the wicked without showing any favoritism toward their own kin or broth-

ers. Such was the universality of Kings Wen and Wu, and

| the universality which Mo Tzu has been telling you about is patterned after that of Wen and Wu. I cannot understand how the men of the world can hear about this doctrine of

universality and still criticize it! : And yet the men of the world continue to criticize, saying, “If one takes no thought for what is beneficial or harmful to one’s parents, how can one be called filial>”

Mo Tzu said: Let us examine for a moment the way in which a filial son plans for the welfare of his parents. When a filial son plans for his parents, does he wish others to love and benefit them, or does he wish others to hate and injure them? It stands to reason that he wishes others to love and benefit his parents. Now if I am a filial son, how do I go about accomplishing this? Do I first make it a point to love and benefit other men’s parents, so that they in return will love * The first four lines are now found, not in the Book of Odes, but in the Hung fan section of the Book of Documents. The last four lines are from the Book of Odes, Hsiao ya section, “Ta tung” (Mao text no. 203).

| Universal Love 47 and benefit my parents? Or do I first make it a point to hate

and injure other men’s parents, so that they in return will love and benefit my parents? Obviously, I must first make it a point to love and benefit other men’s parents, so that they in return will love and benefit my parents. So if all of us are to be

filial sons, can we set about it any other way than by first making a point of loving and benefiting other men’s parents? And are we to suppose that the filial sons of the world are all too stupid to be capable of doing what is right? Let us examine further. Among the books of the former kings, in the “Greater Odes” of the Book of Odes, it says: There are no words that are not answered,

| No kindness that is not requited. , Throw me a peach, Dll requite you a plum.®

The meaning is that one who loves will be loved by others, and one who hates will be hated by others. So I cannot understand how the men of the world can hear about this doctrine of universality and still criticize it!

Do they believe that it is too difficult to carry out? Yet

there are much more difficult things that have been carried | out. In the past King Ling of the state of Ching loved slender

waists. During his reign, the people of Ching ate no more than one meal a day, until they were too weak to stand up

without a cane, or to walk without leaning against the wall. Now reducing one’s diet is a difficult thing to do, and yet __ people did it because it pleased King Ling. So within the space of a single generation the ways of the people can be ° The first two lines are from the poem “Yi” (Mao text no. 256), in the “Greater Odes” or Ta ya section of the Book of Odes. The last two lines, though not found in exactly this form, bear a close resemblance to lines in the poem “Mu-kua” (Mao text no. 64), in the Kuo feng or “Airs from the States” section of the Odes.

48 Mo Tzu changed, for they will strive to ingratiate themselves with their superiors. Again in the past King Kou-chien of Yiieh admired bravery

and for three years trained his soldiers and subjects to be brave. But he was not sure whether they had understood the true meaning of bravery, and so he set fire to his warships and then sounded the drum to advance. The soldiers trampled each other down in their haste to go forward, and countless numbers of them perished in the fire and water. At that time, even though he ceased to drum them forward, they did not retreat. [The soldiers of Yiieh were truly astonishing. Now consigning one’s body to the flames is a difficult thing to do, and yet they did it because it pleased the king of Yiieh. So within the space of a single generation the ways of the people can be changed, for they will strive to ingratiate themselves with their superiors. Duke Wen of Chin liked coarse clothing, and so during his reign the men of the state of Chin wore robes of coarse cloth, wraps of sheepskin, hats of plain silk, and big rough shoes, whether they were appearing before the duke in the

inner chamber or walking about in the outer halls of the court. Now bringing oneself to wear coarse clothing is a dificult thing to do, and yet people did it because it pleased Duke Wen. So within the space of a single generation the ways of the people can be changed, for they will strive to ingratiate themselves with their superiors. To reduce one’s diet, consign one’s body to the flames, or wear coarse clothing are among the most difficult things in the world to do. And yet people will do them because they know their superiors will be pleased. So within the space of a single generation the ways of the people can be changed.

| Universal Love A9

their superiors. | |

Why? Because they will strive to ingratiate themselves with

Now universal love and mutual benefit are both profitable and easy beyond all measure. The only trouble, as I see it, is

that no ruler takes any delight in them. If the rulers really delighted in them, promoted them with rewards and praise, and prevented neglect of them by punishments, then I believe that people would turn to universal love and mutual benefit as naturally as fire turns upward or water turns downward, and nothing in the world could stop them.. The principle of universality is the way of the sage kings, the means of bringing safety to the rulers and officials and of assuring ample food and clothing to the people. Therefore the

superior man can do no better than to examine it carefully and strive to put it into practice. If he does, then as a ruler he will be generous, as a subject loyal, as a father kind, as a

son filial, as an older brother comradely, and as a younger | brother respectful. So if the superior man wishes to be a generous ruler, a loyal subject, a kind father, a filial son, a comradely older brother, and a respectful younger brother, he must put into practice this principle of universality. It is the way of the sage kings and a great benefit to the people.

re AGAINST: OFFENSIVE WARFARE

| PART I

(SECTION 17) |

If a man enters an orchard and steals the peaches and plums, everyone who hears about it will condemn him, and if those above who administer the government catch him they will punish him. Why? Because he injures others to benefit himself. When it comes to carrying off dogs, swine, chickens, and ~ piglings, the deed is even more unrighteous than entering an | orchard to steal peaches and plums. Why? Because the loss _ to others is greater. It shows a greater lack of benevolence and is a more serious crime. When it comes to breaking into another man’s stable and seizing his horses and cows, the deed | is even more unrighteous than carrying off dogs, swine, chickens, and piglings. Why? Because the loss to others is greater, and if the loss is greater, it shows a greater lack of benevolence and is a more serious crime. And when it comes to murdering an innocent man, stripping him of his clothing, and appro__ priating his spear and sword, the deed is even more unrighteous than breaking into a stable and seizing someone’s horses _ and cows. Why? Because the injury to others is even greater, and if the injury is greater, it shows a greater lack of benev-

olence and is a more serious crime. :

Now all the gentlemen in the world know enough to con-

demn such acts and brand them as unrighteous. And yet when it comes to the even greater unrighteousness of offensive warfare against other states, they do not know enough to

Against Offensive Warfare SI condemn it. On the contrary, they praise it and call it righteous. Is this what it means to know the difference between

righteousness and unrighteousness? | If someone kills one man, he is condemned as unrighteous and must pay for his crime with his own life. According to this reasoning, if someone kills ten men, then he is ten times as unrighteous and should pay for his crime with ten lives, or if he kills a hundred men he is a hundred times as unrighteous

and should pay for his crime with a hundred lives. Now all the gentlemen in the world know enough to condemn such crimes and brand them as unrighteous. And yet | when it comes to the even greater unrighteousness of offensive

warfare against other states, they do not know enough to condemn it. On the contrary, they praise it and call it righteous. Truly they do not know what unrighteousness is. So

they make a record of their wars to be handed down to posterity. If they knew that such wars were unrighteous, then

what reason would they have for making a record of their

unrighteous deeds to be handed down to posterity? , Now if there were a man who, on seeing a little bit of black, called it black but, on seeing a lot of black, called it white, we would conclude that he could not tell the difference

between black and white. Or if there were a man who, on tasting a little bit of bitterness, called it bitter but, on tasting a lot, called it sweet, we would conclude that he could not distinguish between bitter and sweet. Now when a great wrong is committed and a state is attacked, men do not know enough to condemn it, but on the contrary praise it and call it righteous. Is this what it means to be able to distinguish

between righteousness and unrighteousness? So we know that the gentlemen of the world are confused about the distinction between righteousness and unrighteousness.

52 Mo Tzu

} PART III SECTION 19

Mo Tzu said: When the people of the world praise something

as good, what is their reason? Do they praise it because it _ brings benefit to Heaven on high, to the spirits in the middle realm, and to mankind below? Or do they praise it because it fails to bring benefit to Heaven on high, to the spirits in the middle realm, and to mankind below? Even the stupidest man will reply that it is praised because it brings benefit to Heaven on high, to the spirits in the middle realm, and to mankind below.

Everyone agrees that the ways of the sage kings constitute a standard of righteousness. Yet many of the feudal lords of today continue to attack and annex their neighboring states. They claim they are honoring righteousness, but they fail to

examine the truth of the matter. They are like blind men, who talk about black and white in the same way as ordinary men, but in practice cannot distinguish between them. Can this be called real discrimination? Therefore when the wise- men of ancient times planned for the welfare of the world, they were careful to consider and accord with what is right, and only then did they act. So there was no uncertainty in their movements, and they achieved speedy success and certain realization of their desires. ‘To accord with what benefits Heaven, the spirits, and the common people—this is the way of the wise man. Similarly, when the benevolent men of ancient times ruled the world, they strove for amicable relations among the large

Against Offensive Warfare 53 states, united the world in harmony, brought together all within the four seas, and led the people to serve and honor

the Lord on High, the sacred mountains and rivers, and the | spirits. Many were the benefits they brought to mankind, and great was their success. Therefore Heaven rewarded them, the spirits enriched them, and men praised them. They were honored with the rank of Son of Heaven, enriched with the possession of the world, and their names formed a triad with those of Heaven and earth, enduring to this day. Such, then,

are the way of the wise man and the means by which the former kings held possession of the world.

But the rulers and feudal lords of today are not like this. They all set about to examine the relative merits of their soldiers, who are their teeth and claws, arrange their boat and

chariot forces, and then, clad in strong armor and bearing sharp weapons, they set off to attack some innocent state. As soon as they enter the borders of the state, they begin cutting down the grain crops, felling trees, razing walls and fortifica-_ tions, filling up moats and ponds, slaughtering the sacrificial | animals, firing the ancestral temples of the state, massacring its subjects, trampling down its aged and weak, and carrying off its vessels and treasures. The soldiers are urged forward into battle by being told, “To die in the cause of duty is the highest honor, to kill a large number of the enemy is the next highest, and to be wounded is next. But as for breaking ranks and fleeing in defeat—the penalty for that is death without hope of pardon!” So the soldiers are filled with fear. Now to seize a state and overthrow its army, massacre its

subjects, and undo the labors of the sages—is this intended | to benefit Heaven? Yet it is the people of Heaven who are gathered together to attack a city of Heaven.’ So they are * L.e., all men are the people of Heaven and all cities are its cities.

54 Mo Tzu | massacring the subjects of Heaven, driving out the spirits of their ancestors, overthrowing their altars of the soil and grain, and slaughtering their sacrificial animals. ‘This brings no benefit to Heaven on high. Is it intended then to benefit the spirits? But to murder men is to wipe out the caretakers of the spirits,

| to cause the spirits of the former kings to suffer neglect, to oppress the subjects of the state and scatter its people. This brings no benefit to the spirits in the middle realm. Is it in-

tended then to benefit mankind? But murdering men is a | paltry way to benefit them indeed, and when we calculate the expenditures for such warfare we find that they have crippled the basis of the nation’s livelihood and exhausted the resources of the people to an incalculable degree. This brings no benefit to mankind below. Now when the armies fail to gain any advantage over each other, they say, “If our generals are not brave, our officers not spirited, our weapons not sharp, our ranks not well drilled, our

force not large, our soldiers not in harmony, our authority not firm, our sieges not sustained, our assaults not swift, our control over the people not strict, and our hearts not hardened, then our allies among the other feudal lords will begin

to doubt us, and if our allies begin to doubt us, then the enemy will have time to lay his plans and fulfill his desires.? But even if all these conditions are met before one sets out to war, the state will still lose its fighting men and the common

people will be forced to abandon their occupations. Let us examine the reason for this.

When a state which delights in aggressive warfare raises an army, it must have several hundred high officers, several thousand regular officers, and a hundred thousand soldiers, before it can set out. The time required for the expedition will * Reading ying instead of lei.

_ Against Offensive Warfare 55 be several years at the longest, several months at the least. During that time the leaders will have no time to attend to

affairs of government, the officials no time to manage their | departments of state, the farmers no time to sow or reap, the women no time to spin or weave. So in this case too the state will lose its fighting men and the common people will be forced to abandon their occupations. Moreover, there will be the damage and depreciation to the horses and chariots to consider, while if one fifth of the tents and hangings, army

_ supplies, and weapons can be salvaged from the campaign, the state will be lucky. In addition, a countless number of men will desert or become lost along the way, or will die and end tumbled in a ditch due to the starvation, cold, and sickness caused by the length of the journey or the fact that supplies do not arrive in time?

Such is the injury which warfare inflicts upon men, the harm it brings to the world. And yet the rulers and officials delight in carrying out such expeditions. In effect they are taking delight in the injury and extermination of the people

of the world. Are they not perverse? | At present the states in the world which are fondest of warfare are Ch’i, Chin, Ch’u, and Yiieh. If these four states were in a position to order the rest of the world about, they

could easily increase their present populations by tenfold and still have land left over to feed even more. This is because they have too few people and an excess of land. And yet now they go to war with each other over land and succeed only in doing further injury to each other’s people. This is simply to destroy what one does not have enough of for the sake of

what one already has in excess! | * The text of this paragraph and the preceding one is in pour condition and the translation at numerous points is highly tentative.

56 Mo Tzu , Now these rulers who delight in offensive warfare attempt

to put a pleasing facade upon their doctrines and criticize Mo Tzu, saying, “Do you claim that offensive warfare is an unrighteous and unprofitable thing? In ancient times Yui launched an expedition against the ruler of the Miao, ‘T’ang attacked Chieh, and King Wu attacked Chou, and yet all three are regarded as sage kings. Why is this?” Mo Tzu said: You have failed to examine the terminology which I employ and do not understand the reasoning behind it. What these men did was not to “attack” but to “punish.” In ancient times the three Miao tribes were in great disorder

and Heaven decreed their destruction. The sun came out at night and for three days it rained blood. A dragon appeared in the ancestral temple and dogs howled in the market place. Ice formed in summertime, the earth split open until springs

gushed forth, the five grains grew all deformed, and the people were filled with a great terror. Kao Yang gave the command in the Dark Palace, and Yii in person grasped the jade staff of authority and set out to subdue the ruler of the Miao. Amidst the din of thunder and lightning, a spirit with the face of a man and the body of a bird came bearing a jade baton to wait upon Yii. The general of the Miao was felled by an arrow, and the Miao army thrown into great confusion. After this their power waned. When Yii had conquered the three Miao, he marked off the mountains and rivers, separated _ , those things which pertained to above and below, and clearly regulated the four extremities of the world, so that neither spirits nor people committed any offense, and all the world

was at peace. This was how Lii launched an expedition against the ruler of the Miao.* ‘ The text of this and the two succeeding paragraphs is in poor condition and requires considerable emendation .before it will yield any sense. We

Against Offensive Warfare 57 In the case of King Chieh of Hsia, Heaven likewise sent down its direst command. Sun and moon failed to appear at the proper time, hot weather and cold mingled in confusion,

and the five grains were seared and died. Spirits wailed _ throughout the land and cranes shrieked for more than ten nights. Heaven gave its command to J’ang in the Piao Palace,

ordering him to take over the solemn mandate from the Hsia, | for the Hsia had fallen into grave disorder.® Only then did T’ang dare to lead forth his troops in obedience to the command and advance toward the border of Hsia, and God caused the city of Hsia to be secretly overthrown.® After a while a

spirit appeared and reported to T’ang: “The virtue of the Hsia is in great disorder. Go and attack it, and I will surely cause you to win victory over it, for I have already received the

command from Heaven.” Then Heaven ordered Chu-jung to send down fire on the northwest corner of the city of Hsia,

and 'T’ang, leading the army of Chieh, conquered it. Then he summoned all the nobles to Po and made clear to them the command of Heaven, sending word of it to the four quarters, and none of the feudal lords in the world failed to do obeisance to him. This was how T’ang punished Chieh.

- In the case of King Chou of Shang, Heaven would not sanction his power. His sacrifices were untimely; for ten days

and ten nights it rained earth at Po, and the nine cauldrons moved about. Phantom women came out after dark and ghosts —

wailed at night. A woman turned into a man, flesh rained down from Heaven, and brambles grew on the state roads. have little information concerning the various legends to which Mo Tzu here refers, and what we have is mostly from later writers, confused and contradictory. © The seventeen characters which follow at this point seem to be a dittograph of the speech of the spirit, and have been omitted in translation.

° The meaning of the last part of the sentence is very doubtful. |

58 Mo Tzu And yet the king continued to behave in an even more willful and abandoned way. A red bird holding in its beak a baton of

jade alighted at the altar of the Chou state in the city of Ch’i and proclaimed: “Heaven orders King Wen of Chou to

, attack Yin [ie., Shang|* and take possession of its state.” T’ai-tien journeyed to pay his respects to the Chou ruler, the river cast up its chart, and the land brought forth the “ridingyellow” beast. King Wu ascended the throne, and in a dream

he saw three spirits who said to him: “We have already drowned Chou of Shang in the power of wine. Go and attack him, and we will surely cause you to win victory over him!” So King Wu went and attacked him, and replaced the state of Shang with that of Chou, and Heaven presented King Wu with the yellow bird pennant. After King Wu had conquered the Shang dynasty and received the gifts bestowed by God, | he assigned guardians to the various spirits, instituted sacri-

fices to Chou’s ancestors, the former kings of Shang, and opened up communications with the barbarians of the four quarters, so that there was no one in the world who did not pay him allegiance. This was how he carried on the labors of

T'ang. Thus, if we examine the cases of these three sage

to “punish.” |

kings, we will see that what they did was not to “attack” but

But still those rulers who delight in offensive warfare attempt to put a pleasing facade upon their doctrines and criticize Mo Tzu, saying, “Do you claim that offensive warfare is

an unrighteous and unprofitable thing? In ancient times Hsiung-li, the founder of the state of Ch’'u, was first enfeoffed in the region of Mount Sui; Yi-k’uei, a descendant of Hsiung-

out of its back. |

7 Or perhaps the text should be emended to read “replace Yin.” > A mythical beast, said to resemble a fox and to have two horns growing

Against Offensive Warfare 59 ch’ii, was made ruler of the state of Yiieh; while T’ang-shu and Lii Shang were given possession of the states of Chin and Ch’i respectively. All of these states originally covered an area of no more than a few hundred li square, and yet by annexing their neighbors they have succeeded in dividing up the world among the four of them. How do you explain this?” Mo Tzu said: You have failed to examine the terminology

I employ and do not understand the reasoning behind it. In ancient times the Son of Heaven enfeoffed over ten thousand feudal lords. And yet now, because of the annexation of one state by another, these ten thousand domains have all disappeared and only the four remain.® But it is rather like the case of a doctor who administers medicine to over ten thousand patients but succeeds in curing only four. He cannot be said to be a very skilled physician. Yet these rulers who delight in offensive warfare attempt once more to put a pleasing facade upon their doctrines, saying, “It is not that we have any lack of gold and jewels, courtiers and waiting women, or land. It is only that we wish to establish a reputation for righteousness in the world and attract the other rulers to our virtue!” Mo Tzu said: If you were really able to establish a reputation for righteousness in the world and attract the other rulers

by your virtue, then it would be no time at all before the | whole world had submitted to you, for the world has for a long time been plagued by warfare and is as weary as a little boy who has spent the day playing horse. Now if only there * This is rather misleading. There were over a dozen more or less independent states in China in Mo Tzu’s time, though the four he mentions,

_ Chi, Chin, Ch’u, and Yiieh, seem to have been the most powerful. The state of Ch’in, which eventually conquered the others and united China, was at this time undergoing a period of internal disorder and hence Mo Tzu does not list it among the great powers.

60 Mo Tzu were someone who would conduct his diplomatic affairs in good faith and would think first of all how to benefit the other feudal lords; who, when a large state committed some unrighteous act, would feel concerned along with others; who,

when a large state attacked a small one, would go to the rescue of the small state along with others; who, when the walls and fortifications of the smaller state were in poor condition, would see to it that they were repaired; who, when the

smaller state's supplies of cloth and grain were exhausted, would supply more; who, when the smaller state’s funds were

insufficient, would share his own—if one were to conduct his relations with the large states in this manner, then the rulers of the smaller states would be pleased. If others struggle

while one is at ease, then one’s own military position will become stronger. If one is merciful and generous, substituting affluence for want, then the people will surely be won over. If

| one substitutes good government in one’s own state for offensive warfare, then one will achieve manifold success. If one © weighs the expenditures of one’s own army and compares them with the ruinous expenditures of the other feudal lords, one will see that one has gained rich benefits. If one conducts one’s affairs in accordance with what is correct, acts in the name of righteousness, strives for lenience in ruling one’s subjects and good faith in dealing with one’s army, and thus sets an example for the armies of the other feudal lords, then one will have no enemy under heaven and will bring incalculable benefit to the world. This is what benefits the world, and if the rulers and ofhcials do not know enough to make use of it, then they cannot be said to understand the most important way of benefiting the world. Therefore Mo Tzu said: If the rulers and officials and gen-

Against Offensive Warfare 61 tlemen of the world sincerely desire to promote what is bene-

ficial to the world and to eliminate what is harmful, they should realize that offensive warfare is in fact a great harm to the world. If they wish to practice benevolence and righteousness and become superior men; if they wish to act in accordance with the way of the sage kings and benefit the people of

China, they should not fail to examine what I have said in my condemnation of offensive warfare.

me MODERATION IN EXPENDITURE

PART I | (SECTION 20) |

When a sage governs a state, the benefits to the state are doubled; when he governs the world, the benefits to the world are doubled. ‘The doubling is not accomplished by acquiring

: territory outside, but by eliminating needless expenditures within the state itself. In this way the benefits can be doubled. When the sage administers the government, in issuing orders, beginning enterprises, employing the people, or expending wealth, he does not do anything that is not in some way useful. ‘Therefore wealth is not wasted, the strength of the people is not taxed, and yet many benefits are procured. What is the purpose of making clothing? ‘To keep out the cold in winter and the heat in summer. Therefore the way to make clothing is to design something that will provide warmth in winter and coolness in summer. Whatever is merely decorative and does not contribute to these ends should be avoided. What is the purpose of building houses? ‘To keep out the

wind and cold in winter and the heat and rain in summer, and to provide protection against thieves. Whatever is merely

decorative and does not contribute to these ends should be avoided.

What is the purpose of armor, shields, and the various kinds of weapons? To provide protection against rebels and

bandits. When faced with rebels and bandits, if one has armor, shield, and weapons, one can overcome them, but if

Moderation in Expenditure 63 not, one is helpless. Therefore the sages made armor, shields, and weapons. One tries to make them as light, sharp, durable, and difficult to break as possible. What is merely decorative and does not contribute to these ends should be avoided.

What is the purpose of making boats and carts? In the case of carts it is to provide a means of getting about on land and in the case of boats to provide a means of traveling on rivers, so that all areas may enjoy the benefits of communication with each other. In making boats and carts, one strives , for lightness and convenience. What is merely decorative and does not contribute to these ends should be avoided.

In making these five things, nothing is done that does not | contribute to their usefulness. Therefore wealth is not wasted, the strength of the people is not taxed, and yet many benefits

are procured. |

If one can persuade the rulers to give up their passion for collecting jewels, birds, beasts, dogs, and horses, and to increase the amount of clothing, houses, armor, shields, weap-

ons, boats, and carts, then it is easy enough to double the

number of these articles. | | What, then, is it difficult to double the number of? It is dificult to double the number of people. And yet it can be

done. |

In ancient times, the sage kings made a law saying: “No man of twenty shall dare to be without a family; no woman of fifteen shall dare to be without a husband.” Such was the law of the sage kings.’ But since the sage kings passed away, the people have taken to following their own desires. Those who want to have a family early in some cases marry at twenty; *So says Mo Tzu. But a Confucian work, the Chou li or Rites of Chou, which claims to represent the practices of the early Chou, under mei shih

(the match-maker), prescribes the marriage age as thirty for men and twenty for women.

64 Mo Tzu

those who want to have a family late in some cases marry at forty. The average marrying age is therefore ten years later than that prescribed by the law of the sage kings. Since families usually have one child in three years, then by marrying _ earlier they could have had two or three children during those / | ten years. But can one double the population without causing

the people to marry early? Certainly not! There are many ways in which the rulers of the world

today actually cause their populations to decrease. They work the people until they are weary and exact heavy taxes from them, so that the wealth of the people is exhausted and countless numbers of them die of cold and starvation. Moreover, the rulers insist upon raising armies and setting off to attack _ neighboring states, the expeditions lasting sometimes as long as three years, or at the shortest three months. ‘Thus men and women are separated for long periods of time, and this serves

| in effect to diminish the population. Countless numbers die of insecure living conditions, irregular food, and sickness, while countless more are killed in ambushes, fire attacks, assaults on cities, and battles in the open field. Does it not seem, then, that the rulers of today are deliberately inventing ways of diminishing the population? These did not exist when the sages administered their rule. When they administered their

rule, they invented ways of increasing the population, did they not? Therefore Mo Tzu said: To do away with needless expen-

diture is the way of the sage kings and the source of great benefit to the world.

me MODERATION IN FUNERALS PART III

(SECTION 25) |

Mo Tzu said: The benevolent man in planning for the welfare of the empire is no different from a filiak son planning for the welfare of his parents, is he? Now when a filial son plans for the welfare of his parents, what is it he aims at? If his parents are poor, he seeks to enrich them; if the members | of the family are few, he seeks to increase their number; if the family is in disorder, he seeks to bring it to order. In his efforts he may in time find his strength prove insufficient, his wealth inadequate, and his wisdom wanting. And yet so long as he

has unused strength, untried schemes, and unrealized prospects for benefit, he dares not cease working for the welfare of his parents. It is by seeking these three aims that the filial son plans for the welfare of his parents. The same is true of the benevolent man planning for the welfare of the world. If the people of the world are poor, he seeks to enrich them; if they are few, he seeks to increase their number; and if they are in disorder, he seeks to bring them to order. In his efforts he may in time find his strength prove insufficient, his wealth inadequate, and his wisdom wanting. And yet so long as he has unused strength, untried schemes, and unrealized prospects for benefit, he dares not cease working for the welfare of the world. It is by seeking these three aims that the benevolent man plans for the welfare of the world.

Now that the sage kings of the Three Dynasties of an-

66 Mo Tzu tiquity have passed away and the world has forgotten their principles, there are some gentlemen of later ages who maintain that elaborate funerals and lengthy mourning are manifestations of benevolence and righteousness and the duty of a filial son, while there are others who maintain that elaborate funerals and lengthy mourning are contrary to benevolence and righteousness and should not be practiced by filial sons. The proponents of these two views are directly opposed in

their words and actions, and yet both sides claim that they ate following the way handed down from antiquity by Yao,

Shun, Yi, T’ang, Wen, and Wu. Since their words and actions are contradictory, people are in doubt as to which to tollow. If people are in doubt as to which to follow, let us try examining the government of the state and its people and see to what degree elaborate funerals and lengthy mourning

contribute to the three aims of the benevolent man mentioned above.

In my opinion, if by following the principles and adopting the instructions of those who advocate elaborate funerals and lengthy mourning one can actually enrich the poor, increase the population, and bring stability and order to the state, then

such principles are in accordance with benevolence and righteousness and are the duty of a filial son. Those who lay

plans for the state cannot but recommend them, and the benevolent man seeking to promote what is beneficial to the world cannot but adopt them and cause the people to praise and follow them all their lives. If, on the other hand, by following the principles and adopting the instructions of those who advocate elaborate funerals and lengthy mourning one cannot actually enrich the poor, increase the population, and bring stability and order to the nation, then such principles are not in accordance with benevolence and righteousness

Moderation in Funerals 67 and are not the duty of a filial son. In that case those who lay plans for the state cannot but oppose them, and the benevolent man seeking to eliminate what is harmful to the world cannot but discard them and cause the people to condemn and shun them all their lives. For it has never happened that, by promoting what is beneficial to the world and eliminating what

is harmful, one has failed to bring order to the states and people of the world. How do we know that this is so? There are still many gentlemen in the world today who are in doubt as to whether elaborate funerals and lengthy mourning are actually right or wrong, beneficial or harmful. ‘There-

fore Mo Tzu said: Let us try examining the matter. If we | follow the rules of those who advocate elaborate funerals and

lengthy mourning and apply them in the state, then, we are | told, the funeral of a king or high minister will require several inner and outer cofhins, a deep grave, numerous grave clothes, a large amount of embroidery for decorating the coffins, and a large grave mound. If the family of the deceased happen to

| be humble commoners the wealth of the family will be exhausted, and if they are feudal lords their treasuries will be

emptied. After the above articles have been supplied, one still needs gold, jewels, and pearls to adorn the corpse, and bundles of silk, carriages, and horses to inter in the grave. In addition there must be draperies and hangings, tripods, baskets, tables, mats, vessels, basins, spears, swords, feather banners, and articles of ivory and hide to bury with the dead before the requirements are fulfilled. And as to those who are chosen to accompany the dead, in the case of a Son of Heaven anywhere from several ten to several hundred persons will be sacrificed, while in the case of generals or high ministers the number will be from several to several tens.

And what are the rules to be observed by the mourner? We

68 Mo Tzu are told that he must wail and cry in a sobbing voice at irregular intervals, wearing hemp mourning garments and with tears running down his face. He must live in a mourning hut, sleep on a straw mat, and use a clod of earth for a pillow. In addition he is urged not to eat so as to appear starved, to wear thin

clothes so as to appear cold, to acquire a lean and sickly look and a dark complexion. His ears and eyes are to appear dull, his hands and feet lacking in strength, as though he had lost the use of them. And in the case of higher officials we are told that during a period of mourning they should be unable

to rise without support or to walk without a cane. And all this is to last for three years.

Now if the rulers and high officials are to adopt these practices, they cannot appear at court early and retire late, attend to the five ministries and six bureaus, encourage farming and forestry, and fill the granaries. If the farmers are to adopt these practices, they cannot leave their homes early and return late, planting their fields and cultivating their crops. If the artisans are to adopt these practices, they cannot construct

boats and carts and fashion dishes and utensils, while if women are to adopt these practices they cannot devote themselves day and night to spinning and weaving.

Thus we see that in elaborate funerals much wealth is buried, while lengthy mourning prevents people from going about their activities for long periods of time. If the wealth and goods that have already been produced are to be bundled * Not three whole years, but into the third year, i.e., twenty-five months. On the whole, Mo Tzu’s description cof elaborate funerals and mourning practices follows what was prescribed by the Confucians, though the latter stressed that mourning practices were never to be carried to the point where they endangered the health of the mourner. It should be noted, however,

that the Confucians never advocated the ancient and grisly custom of human sacrifice—the so-called “following in death” which Mo Tzu mentions—but on the contrary took every opportunity to denounce it.

Moderation in Funerals 69 up and buried in the ground, and the means of future production are to be prohibited for long periods of time, and one still hopes in this way to enrich the state, then it is like prohibiting

planting and still hoping for a harvest. One could never acquire wealth that way!

Thus if one hopes to enrich the state, this is obviously not the way to do it. But if one hopes to increase the population,

then are elaborate funerals and lengthy mourning perhaps of benefit? Again we find that the answer is no. Now suppose one follows the rules of those who advocate elaborate funerals and lengthy mourning and applies them in government. We are told that one should mourn three years on the death of a ruler, three years on the death of a parent,

three years for a wife or eldest son, one year for paternal uncles, brothers, and younger sons, five months for other close relatives, and several months for aunts, sisters, and cousins on

the maternal side. There are rules requiring one to appear emaciated, to acquire a lean and sickly look, a dark complexion,

ears and eyes that are dull, hands and feet that are lacking in strength and useless. And in the case of higher officials we are told that they should be unable to rise without support or to walk without a cane. And all of this in most cases is to last , three years. Yet if these practices are adopted and people really

are reduced to a starved condition, then the common people

will be unable to bear the cold in winter or the heat in summer, and countless numbers of them will sicken and die. Moreover, the relations between men and women will in many cases be disrupted. ‘To hope in this way to increase the population is like ordering a man to fall upon his sword ai. 1 wishing him long life.

Thus if one hopes to increase the population, this is obviously not the way to do it. But if one hopes to bring order to

70 Mo Tzu the government, then are elaborate funerals and lengthy mourning perhaps of benefit? Again we find that the answer is no. | If one follows the rules of those who advocate elaborate funerals and lengthy mourning and applies them in government, then the state will become poor, the people few, and the government disordered. For if one applies these rules, then those in superior positions will be unable to attend to affairs of government, while those in inferior positions will be unable to pursue their tasks. If those in superior positions do not attend to affairs of government, then disorder will result, and if those in inferior positions do not pursue their tasks, then there will not be enough food and clothing. And if there is not enough food and clothing, then the younger brother, seeking help from his older brother but receiving none, will feel no more love for his older brother but instead will come to hate him. Similarly, the son, seeking help from his father but receiving none, will become unfilial and will hate his father. And the minister, seeking help from his lord but receiving none, will become disloyal and will turn against his superior. Then evil and immoral people, with neither clothing to go abroad in nor food at home, will be stung by shame in their hearts and will give themselves up to uncontrollable evil and violence. Thus thieves and bandits increase in number and lawabiding persons grow few. If thieves and bandits increase in number and law-abiding persons grow few, and yet one seeks in this way to achieve order, it would be like ordering a man to turn around three times without showing his back to you.

If one hopes to achieve order, this is obviously not the way to do it. But if one hopes to prevent large states from attacking

Moderation in Funerals 71 small ones, then are elaborate funerals and lengthy mourning perhaps of some use? Again we find that the answer is no. Now that the sage kings of antiquity have passed away and the world has forgotten their principles, the feudal lords rely upon force of arms to attack each other. In the south are the kings of Ch’u and Yiieh, and in the north the lords of Ch’i and Chin, all of whom drill and discipline their soldiers, attack and annex their neighbors, and seek to rule the world. Only — one thing will deter a large state from attacking a small one,

and that is for the small state to have a plentiful supply of provisions, walls and fortifications in good repair, and superiors and subordinates who work in harmony. In that case the large states will have no desire to attack.

Now if one follows the rules of those who advocate elaborate funerals and lengthy mourning, and applies them in government, then the state will become poor, the people few, and the government disordered. If the state is poor, it cannot store up plentiful supplies of provisions. If the people are few,

| there will not be enough men to keep the fortifications and moats in repair. And if the government is disordered, then the state will be unable to win victory abroad or defend its —

position at home. |

Thus, if one hopes to prevent large states from attacking small ones, this is obviously not the way to do it. But if one hopes to win blessing from the Lord on High and the spirits, then are elaborate funerals and lengthy mourrning perhaps of some use? Again the answer is no.

Now if one follows the rules of those who advocate elaborate funerals and lengthy mourning, and applies them in government, then the state will become poor, the people few, and the government disordered. If the state is poor, then its

72 Mo Tzu offerings of millet and wine will not be of the required purity.

If the people are few, there will not be enough of them to serve the Lord on High and the spirits. And if the government is disordered, then the sacrifices will not be conducted at the proper times or in the proper fashion. Now if one conducts the government in this way, effectively preventing the proper

worship of the Lord on High and the spirits, then the Lord on High and the spirits will look down from above and, considering how to deal with the people, will say to each other: “Ts it better for us that these people exist or that they cease to exist? It makes no difference to us whether they exist or not!” Then the Lord on High and the spirits will send down chas-

tisement for the people’s faults and harsh punishment, and will abandon them. And they will have good reason for doing so, will they not? Therefore the ancient sage kings prescribed the following rules for funerals and mourning: A coffin three inches thick is sufficient to bury a rotting body; three pieces of clothing are sufhcient to cover a smelly corpse. In interring the cofhin, it should not be placed deep enough to reach water, nor so near the surface as to allow the odor to escape. A grave mound three

feet in height is large enough. After the dead one has been buried, the living shall engage in no prolonged mourning, but shall return speedily to their tasks, each doing whatever he is able to do and working for the benefit of others. Such were the rules of the sage kings.

Now those who advocate elaborate funerals and lengthy mourning say: “Although elaborate funerals and lengthy mourning cannot enrich the poor, increase the population, and insure stability and order, yet they represent the way of the sage kings.”

Mo Tzu said: This is not so. In ancient times, when Yao

| Moderation in Funerals 7 2 went north to instruct the eight Ti tribes, he died on the way | and was buried on the north side of Mount Ch’iung. Three pieces of clothing wrapped his corpse, and the coffin was of a poor variety of wood and tied shut with vines. No wailing was done until after the coffin was interred. The grave was filled in, but no mound was constructed, and after the burial horses.and oxen plodded over the ground the same as before. When Shun went west to instruct the seven Jung tribes, he died on the way and was buried in the market place of Nan-

chi. Three pieces of clothing wrapped his corpse, and the coffin was of a poor variety of wood and tied shut with vines.

After the burial the people in the market walked over the spot | the same as before.

When Yii went east to instruct the nine Yi tribes, he died | on the way and was buried at Mount K’uai-chi. ‘Three pieces of clothing wrapped his corpse, and the coffin was made of soit paulownia wood, three inches thick, and tied shut with vines.

The coffin was not tightly bound shut, nor was a large pit dug. The grave was not deep enough to strike water, but not so shallow as to allow the odor to escape. After the burial the loose

earth was gathered together on top to form a grave mound three feet in size, and this was considered sufficient.

So if we examine the case of these three sage kings, we can see that elaborate funerals and lengthy mourning do not in fact represent the way of the sage kings. These three kings were honored with the position of Son of Heaven and possessed the riches of the whole world. Surely they did not choose to be buried in this way because they were concerned

about the expenditure! ,

But the burials of the rulers and officials of today are very different from this. They must have outer and inner coffins, three layers of embroidered hide, jades and jewels; and when

7 4 Mo Tzu these have been provided, they still require spears, swords, tripods, baskets, vessels, basins, embroideries, silks, countless horse bridles, carriages, horses, waiting women, and musicians. | On top of this they demand roads and approaches to the grave going this way and that, and a mound as round and high as a hill? All of this interferes with the daily labors of the people and wastes their wealth to an incalculable degree. Such is the usclessness of elaborate burials!

Therefore Mo ‘Tzu said: I have already stated above that if, by following the rules and using the plans of those who advocate elaborate funerals and lengthy mourning, one can actually enrich the poor, increase the population, and bring stability and order to the government, then such principles must be in accordance with benevolence and righteousness

and be the duty of a filial son. In that case those who lay plans for the state cannot but recommend them. But if, by following the rules and using the plans of those who advocate elaborate funerals and lengthy mourning, one cannot actually enrich the poor, increase the population, and bring stability and order to the government, then such principles are not in

| accordance with benevolence and righteousness and are not the duty of a filial son. In that case those who lay plans for the state cannot but condemn them. Therefore if one seeks to enrich the state by adopting such practices, he will only bring greater poverty; if he seeks to increase the population, he will

only decrease it further; if he seeks to bring about order in government, he will only achieve greater disorder; if he seeks thereby to prevent large states from attacking small ones, he will have no hope of success; and if he seeks for blessing from * The text of this passage is doubtful in several places, particularly the mention of “countless horse bridles,” which should perhaps be emended to read “six carriage bells.”

Moderation in Funerals 75 , the Lord on High and the spirits, he will obtain only misfortune. If we examine the ways of the sage kings Yao, Shun, Yu, T’ang, Wen, and Wu, we find that they were the direct opposite of such practices. But if we examine the practices of the evil kings Chieh, Chou, Yu, and Li, we find that they accord exactly with these. From this we can see that elaborate funerals and lengthy mourning were not the way of the sage

kings. |

Now those who advocate elaborate funerals and lengthy mourning say: “If elaborate funerals and lengthy mourning are in fact not the way of the sage kings, then why do the gentlemen of China continue to practice them and not give

them?” _

them up? Why do they carry them out and not abandon | Mo Tzu said: This is because they confuse what is habitual with what is proper, and what is customary with what is right. In ancient times east of the state of Yiieh lived the people of

the land of K’ai-shu. When their first son was born, they cut : him up and ate him, saying that this would be beneficial to

_ the next son. When their fathers died, they loaded their mothers on their backs, carried them off and abandoned them, saying, “One can't live in the same house with the wife of a ghost!” These were regarded by the superiors as rules of government and by the people as accepted procedure. They con-

tinued to practice these customs and did not give them up, carried them out and did not abandon them. And yet can we actually say that they represent the way of benevolence and _ righteousness? ‘This is what it means to accept what is habitual as proper, and what is customary as right.

South of Ch’u live the people of the land of Yen. When _ their parents die, they scrape the flesh off the dead person’s _ bones and throw it away. After that they bury the bones, and

76 Mo Tzu thus consider that they have fulfilled their duty as filial sons. West of Ch'in live the people of the land of Yi-ch’ti. When their parents die, they gather together brushwood and burn the bodies, and when the smoke rises up they say that the dead have “ascended far off.” After this they feel that they have fulfilled their duty as filial sons. In these lands such customs are regarded by the superiors as rules of government, and by the people as accepted procedure. They continue to practice

them and do not give them up, carry them out and do not abandon them. And yet can we actually say that they represent

the way of benevolence and righteousness? This is what it

| means to accept what is habitual as proper, and what is

customary as right. |

If we examine the practices of these three lands, we find them too casual and heartless, while if we examine those of the gentlemen of China, we find them too elaborate. Some practices being too elaborate and others too casual, we must seek for moderation in the matter of funerals and burials. Food and clothing are the greatest benefit to the living, and yet they must be used with moderation. Since funerals and burials are the greatest benefit to the dead, how then can we fail to exercise moderation in their case as well?

Therefore Mo Tzu prescribes the following rules for funerals and burials: a coffin three inches thick is sufficient to bury rotting bones; three pieces of clothing are suflicient to cover rotting flesh. The hole in the ground should not be deep enough to reach dampness, nor so shallow that the gases escape above ground. A mound sufficiently large to mark the spot is all that is needed. Mourners may weep going to and from the burial, but after that they should devote themselves to making a living. Sacrifices should be carried out at appropriate times in order to fulfill one’s filial duty to parents, Thus

Moderation in Funerals 77 in this way the rules of Mo Tzu neglect the benefits of neither the living nor the dead. So Mo Tzu said: If the officials and gentlemen of the world today sincerely desire to practice benevolence and righteousness and become superior men, if they wish to act in accord-

ance with the way of the sage kings and to benefit the people of China, they ought to adopt moderation in funerals as a principle of government. They should not fail to examine the matter.

re THE WILL OF HEAVEN

PART I . (SECTION 26) Mo Tzu said: The gentlemen of the world today understand small matters but not large ones. How do we know this? We know it from the way they conduct themselves at home. If at home a man commits some offense against the head of the family, he may still run away and hide at a neighbor's house.

And yet his parents, brothers, and friends will all join in warning and admonishing him, saying, “You must be more | cautious! You must be more circumspect! When you are living at home, how can it be right for you to offend the head of the family?”

This is true not only of a man who lives at home, but of a. man who lives in a state as well. If a man living in a state commits some offense against the ruler of the state, he may

| still run away and hide in a neighboring state. And yet his parents, brothers, and friends will all join in warning and admonishing him, saying, “You must be more cautious! You must be more circumspect! How can you live in a state and still consider it right to offend the ruler of the state?” If people warn and admonish a man this sternly when he still has some place to run away to and hide, how much more sternly should they feel obliged to warn and admonish him if

there is no place for him to run away and hide. There is a saying that goes: “If you commit a crime here in the broad daylight, where will you run and hide?” There is no place to

The Will of Heaven 79 run and hide, for Heaven will spy you out clearly even in the forest, the valley, or the dark and distant place where no one lives! And yet with regard to Heaven the gentlemen of the

world for some reason do not know enough to warn and admonish each other. Thus I know that the gentlemen of the world understand small matters but not large ones.

Now what does Heaven desire and what does it hate? Heaven desires righteousness and hates unrighteousness. ‘Thus

if I lead the people of the world to devote themselves to : righteousness, then I am doing what Heaven desires. If I do what Heaven desires, then Heaven will do what I desire. Now what do I desire and what do I hate? I desire good fortune and prosperity and hate misfortune and calamity. If I do not do

what Heaven desires and instead do what Heaven does not desire, then I will be leading the people of the world to devote themselves to what will bring misfortune and calamity.

How do I know that Heaven desires righteousness and "hates unrighteousness? In the world, where there is righteous-

ness there is life; where there is no righteousness there is death. Where there is righteousness there is wealth; where there is no righteousness there is poverty. Where there is righteousness there is order; where there is no righteousness there is disorder. Now Heaven desires life and hates death, desires wealth and hates poverty, desires order and hates disorder.

righteousness. |

So I know that Heaven desires righteousness and hates unMoreover, righteousness is what is right. Subordinates do not decide what is right for their superiors; it is the superiors who decide what is right for their subordinates. Therefore the common people devote their strength to carrying out their tasks, but they cannot decide for themselves what is right.

There are gentlemen to do that for them. The gentlemen

So Mo Tzu |

devote their strength to carrying out their tasks, but they | cannot decide for themselves what is right. There are ministers and officials to do that for them. The ministers and officials devote their strength to carrying out their tasks, but they cannot decide for themselves what is right. There are the three high ministers and the feudal lords to do that for them. The three high ministers and the feudal lords devote their strength to managing the affairs of government, but they cannot decide for themselves what is right. There is the Son of Heaven to do that for them. But the Son of Heaven cannot decide for himself what is right. There is Heaven to decide that for him. The gentlemen of the world have no difficulty in perceiving that the Son of Heaven decides what is right for the three high ministers, the feudal lords, the gentlemen, and the common people. But the people of the world are unable to perceive that Heaven decides what is right for the Son of Heaven. Therefore

Yu, T’ang, Wen, and Wu, the sage kings of the Three Dynasties of antiquity, wishing to make it clear to the people of the world that it is Heaven that decides what is right for

the Son of Heaven, all without exception fed their sacrificial oxen and sheep, fattened their dogs and pigs, prepared clean offerings of millet and wine, and sacrificed to the Lord on High and the spirits in order to seek blessing and good fortune from

Heaven. But I have never heard of Heaven seeking blessing and good fortune from the Son of Heaven! So I know that it is Heaven that decides what is right for the Son of Heaven. The Son of Heaven is the most eminent person in the world

and the richest in the world. He who desires riches and eminence must not fail to obey the will of Heaven. He who obeys the will of Heaven, loving all men universally and working for their benefit, will surely win reward. But he who disobeys the will of Heaven, showing partiality and hatred and

The Will of Heaven 81 working to injure others, will surely incur punishment. Who, _ then, were those who obeyed the will of Heaven and won reward, and who were those who disobeyed the will of Heaven and incurred punishment? Mo Tzu said: Yi, T’ang, Wen, and Wu, the sage kings of the Three Dynasties of antiquity—they were the ones who obeyed the will of Heaven and won reward. Chieh, Chou, Yu, and Li, the evil kings of the Three Dynasties of antiquity— they were the ones who disobeyed the will of Heaven and incurred punishment. How did Yi, ‘T’ang, Wen, and Wu win reward? Mo Tzu _ said: Above they honored Heaven, in the middle realm they served the spirits, and below they loved men. Therefore the will of Heaven announced: “These men love all those I love and benefit all those I would benefit. They love men widely and benefit them greatly.” Therefore Heaven caused them to be honored with the position of Son of Heaven, and enriched with the possession of the world. They were succeeded by their sons and grandsons for countless generations, and their goodness was praised throughout the world. Even today people

praise them, calling them sage kings. . How did Chieh, Chou, Yu, and Li incur punishment? Mo

‘Tzu said: Above they blasphemed against Heaven, in the | middle realm they blasphemed against the spirits, and below

they did harm to men. Therefore the will of Heaven announced: “These men show discrimination and hatred against those I love, and do harm to those I would benefit. They hate men widely and harm men greatly!” Therefore Heaven caused them to die before their time and to perish in a single genera- _ tion, and even today people condemn them, calling them evil

kings. | | | How do we know that Heaven loves the people of the

§2 Mo Tzu world? Because it enlightens them universally. How do we know that it enlightens them universally? Because it possesses them universally. How do we know that it possesses them universally? Because it accepts sacrifices from them universally.

How do we know that it accepts sacrifices from them universally? Because within the four seas, among all the people

who live on grain,’ there are none who do not feed their sacrificial oxen and sheep, fatten their dogs and pigs, prepare clean offerings of millet and wine, and sacrifice to the Lord on High and the spirits. Since Heaven possesses all the cities and people, how could it fail to love them?

Moreover I say that he who kills one innocent person will invariably suffer one misfortune. Who is it that kills the in-

| nocent person? It is a man. And who is it that sends down the misfortune? It is Heaven. If Heaven did not love the people of the world, then why would it send down misfortune

simply because one man kills another? Thus I know that Heaven loves the people of the world. He who obeys the will of Heaven will regard righteousness as right. He who disobeys the will of Heaven will regard force

as right. What does it mean to regard righteousness as right? Mo Tzu said: If one is in a large state, he will not attack a small state. If one is a member of a large family, he will not bully a small family. ‘The strong will not oppress the weak; the eminent will not lord it over the humble; the cunning will not deceive the stupid. This, then, will bring benefit to Heaven on high, to the spirits in the middle realm, and to man below. And because these three types of benefits are realized, the fairest names in the world will be given to such a man, and he will be called a sage king. But a man who regards force as right is different. His words and actions will be directly op*T.e., the Chinese, as opposed to the nomadic tribes surrounding China.

| The Will of Heaven 83 posed to these, as though he were galloping off in the opposite direction. If he is in a large state, he will attack a small state.

If he is a member of a large family, he will bully small families. The strong will oppress the weak; the eminent will lord it over the humble; the cunning will deceive the stupid. This will bring no benefit to Heaven on high, to the spirits in the middle realm, or to man below. And because none of these three types of benefits are realized, the foulest names in the world will be given to such a man, and he will be called an evil king.

Mo Tzu said: The will of Heaven is to me like a compass to a wheelwright or a square to a carpenter. The wheelwright and the carpenter use their compass and square to measure what

is round or square for the world, saying, “What fits these measurements is right; what does not fit them is wrong.” Now the books of the gentlemen of the world are too numerous to be listed, and their sayings too many to be examined in full. _ Among the highest circles the gentlemen lecture to the feudal lords, and in lower circles they expound to men of honor. And yet on matters of benevolence and righteousness they are [a1 apart. How do I know? Because I measure them by the clearest standard in the world [i.e., the will of Heaven. |

PART II (SECTION 27)

Mo Tzu said: Now if the gentlemen of today wish to practice benevolence and righteousness, they must not fail to examine the origin of righteousness. If they must not fail to

84 Mo Tzu examine the origin of righteousness, then what is the origin of righteousness?

Mo Tzu said: Righteousness does not originate with the stupid and humble, but with the eminent and wise. How do we know that righteousness does not originate with the stupid and humble, but with the eminent and wise? Righteousness means doing what is right. How do we know that righteousness means doing what is right? Because when there is right-

eousness in the world, then the world is well ordered, but _ when there is no righteousness, then it is in disorder. ‘Therefore we know that righteousness means doing what is right. Now

the stupid and humble cannot decide what is tight for the eminent and wise. There must first be the eminent and wise, who can then decide what is right for the stupid and humble. Therefore we know that righteousness does not originate with the stupid and humble, but with the eminent and wise.

Then who is eminent and who is wise? Heaven is pure | eminence and pure wisdom. Therefore righteousness in fact originates with Heaven. Now people in the world say: “It is perfectly obvious that the Son of Heaven is more eminent than the feudal lords and that the feudal lords are more eminent than the ministers. But we do not know that Heaven is more eminent and wise than the Son of Heaven!”

Mo Tzu said: I know that Heaven is more eminent and wise than the Son of Heaven for this reason: If the Son of Heaven does something good, Heaven has the power to reward him, and if he does something bad, Heaven has the power to punish him. If the Son of Heaven is suffering from some illness or misfortune, he must fast and purify himself, prepare

clean offerings of wine and millet, and make sacrifices to [leaven and the spirits, and then Heaven will take away the

The Will of Heaven 85 affliction. But I have never heard of Heaven praying for blessings from the Son of Heaven. So I know that Heaven is — more eminent and wise than the Son of Heaven. But this is

not all. I also know it from one of the books of the former kings which explains the enlightened and unfathomable Way _ of Heaven in these words: Enlightened and wise is Heaven, Looking down upon and governing the world below.?

This, then, tells us that Heaven is more eminent and wise than

the Son of Heaven. I do not know whether there is something even more eminent and wise than Heaven. But, as I have said, Heaven is pure eminence and wisdom. Therefore righteousness in fact originates with Heaven. So Mo Tzu said: If

the gentlemen of the world truly desire to honor the Way, benefit the people, and search out the basis of benevolence and | righteousness, then they must not fail to obey the will of

Heaven. | | ,

If one must not fail to obey the will of Heaven, then what

does Heaven desire and what does it hate?

Mo Tzu said: The will of Heaven does not desire that large states attack small ones, that large families overthrow | small ones, that the strong oppress the weak, the cunning deceive the stupid, or the eminent lord it over the humble. This is what Heaven does not desire. But this is not all. It desires that among men those who have strength will work for others,

those who understand the Way will teach others, and those | who possess wealth will share it with others. It also desires that

those above will diligently attend to matters of government, and those below will diligently carry out their tasks. If those | > Probably a reference to the opening lines of “Hsiao ming” (Mao text no. 207), Hsiao ya section, Book of Odes, though the text in the present

version of the Odes is slightly different. ,

86 Mo Tzu above diligently attend to matters of government, then the state will be well ordered. If those below diligently carry out their tasks, then there will be enough wealth and goods. If the state is well ordered and there are enough wealth and goods, then it will be possible to prepare clean offerings of wine

and millet and to sacrifice to Heaven and the spirits within the state, and to provide circlets and other ornaments of jade _ and pearl by which to carry on diplomatic relations with surrounding states. When the state need not worry about the other feudal lords rising in anger against it or about armed clashes on its borders, when it can devote its efforts to feeding

the hungry and giving rest to the weary at home and taking care of its own subjects, then its rulers and superiors will be generous and its subordinates and subjects loyal, its fathers and older brothers loving and its sons and younger brothers filial. ‘Therefore, if one clearly understands how to obey the will of Heaven and put it into practice in the world at large, then the government will be well ordered, the population harmonious, the state rich, and wealth and goods plentiful. The people will all have warm clothes and plenty to eat, and will live in comfort and peace, free from care. Therefore Mo Tzu said: If the gentlemen of today truly desire to honor the Way, benefit the people, and search out the basis of benevolence and righteousness, then they must not fail to obey the will of Heaven. Now the way in. which Heaven holds possession of the world is no different from the way in which a ruler or a feudal

lord holds possession of all within the four borders of his domain. When a ruler or a feudal lord holds possession of the land within the four borders of his domain, does he desire that his subjects should strive to harm each other? If he is a member of a large state and attacks a small state, if he is a member

The Will of Heaven 87 of a large family and overthrows a small family, though he may , hope thereby to win reward and praise, he will never succeed, but will suffer punishment instead. Now the way in which Heaven holds possession of the world is no different. If one | lives in a large state and leads it to attack a small one, if one | lives in a large city and leads it to attack a small city, though

one may hope thereby to win blessing and reward from Heaven, he will never succeed, but instead will call down upon himself misfortune and disaster. Thus, if men do not do what Heaven desires, but instead do what Heaven does not desire, then Heaven will likewise not do what men desire, but instead will do what men do not desire. What is it that men do not desire? Sickness, misfortune, and disaster. Thus, if one

does not do what Heaven desires, but instead does what Heaven does not desire, this is simply to lead the multitudes of the world in pursuing the path to misfortune and disaster. Therefore the sage kings of antiquity sought to understand clearly what Heaven and the spirits would bless, and to avoid what Heaven and the spirits hate, and in this way they worked to promote what is beneficial to the world and eliminate what

is harmful. Thus Heaven sent forth its heat and cold in season, the four seasons proceeded in order, the yin and yang,

rain and dew were timely, the five grains ripened, the six types of domestic animals* grew to maturity, and disease, pestilence, and famine did not occur. Therefore Mo Tzu said:

If the gentlemen of today truly desire to honor the Way, benefit the people, and search out the basis of benevolence and

righteousness, then they must not fail to obey the will of Heaven.

In the world there are those who are unbenevolent and ill* Horses, cattle, sheep, swine, fowl, and dogs. Dogs were raised to be eaten.

— «88 Mo Tzu | omened. If a son does not serve his father, a younger brother does not serve his older brother, or a subject does not serve his

lord, then all the gentlemen of the world will call him illomened. Now Heaven loves the world universally and seeks to bring mutual benefit to all creatures. There is not so much

as the tip of a hair which is not the work of Heaven. And since the people enjoy all these benefits, may we not say that its love for them is generous indeed? Yet in the case of Heaven alone they do nothing to repay this love, but even fail to perceive that they are unbenevolent and ill-omened. ‘Therefore I say that gentlemen understand trifling matters but fail

to understand important ones. : |

Moreover, I know for the following reason that Heaven loves the people generously: It sets forth one after another the sun and moon, the stars and constellations to lighten and lead them; it orders the four seasons, spring, fall, winter, and summer, to regulate their lives; it sends down snow and frost,

rain and dew, to nourish the five grains, hemp, and silk, so that the people may enjoy the benefit of them. It lays out the mountains and rivers, the ravines and valley streams, and makes known all affairs so as to ascertain the good or evil of _ the people. It establishes kings and lords to reward the worthy

| and punish the wicked, to gather together metal and wood, birds and beasts, and to see to the cultivation of the five grains, hemp, and silk, so that the people may have enough food and

clothing. From ancient times to the present this has always been so.

Suppose there is a man who delights in and loves his son, and does everything within his power to benefit him. If the son, when he grows up, does nothing to repay his father, then all the gentlemen of the world will call him unbenevolent and ill-fated. Now Heaven loves the world universally and seeks

The Will of Heaven 89 to bring mutual benefit to all creatures. There is not so much

as the tip of a hair which is not the work of Heaven. And since the people enjoy all these benefits, may we not say that its love for them is generous indeed? Yet in the case of Heaven alone they do nothing to repay this love, but even fail to perceive that they are unbenevolent and ill-fated. Therefore I

say that gentlemen understand trifling matters but fail to understand important ones.

Yet this is not the only reason that I know that Heaven loves the people generously. If someone kills an innocent person, then Heaven will send down misfortune upon him. Who is it that kills the innocent person? A man. And who is it that sends down the misfortune? Heaven. If Heaven did not love the people generously, then what reason would it have to send down misfortune upon the murderer of an innocent person? Thus I know that Heaven loves the people

generously. Yet there is another reason that I know that Heaven loves

the people generously. There are those who, by loving and | benefiting others and obeying the will of Heaven, have won ‘Heaven’s reward. And there are those who, hating and injur-

_ ing others and disobeying the will of Heaven, have incurred | Heaven's punishment. Who were those who, loving and benefiting others and obeying the will of Heaven, won Heaven’s reward? Yao, Shun, Yi, ‘T’ang, Wen, and Wu, the sage kings of the Three Dynasties of antiquity. What did Yao, Shun, Yi, T'ang, Wen, and Wu devote themselves to? ‘They devoted themselves to universality and shunned partiality. Universality means that if one is in a large state he will not attack a small

state, and if one is a member of a large family he will not overthrow a small family. The strong will not oppress the weak, the many will not bully the few, the cunning will not

go Mo Tzu deceive the stupid, and the eminent will not lord it over the

humble. Examining such a policy, we find that it brought | benefit to Heaven above, to the spirits in the middle realm, and to man below. And because, of these three types of bene-

fits, there were none that were not realized, it was called heavenly virtue. All the fairest names in the world were given

to such a ruler, and people said, “This is benevolence; this is righteousness! This is what it means to love and benefit others, to obey the will of Heaven, and to win Heaven’s reward!”

But this is not all. Such deeds were recorded on bamboo and

silk, engraved on metal and stone, inscribed on bowls and basins, and handed down to posterity in generations after.

Why was this done? It was done so that men would know | how these rulers loved and benefited others, obeyed the will of Heaven, and won Heaven’s reward. Thus the ode “Huang

Yi” says: | God said to King Wen: I am won by your bright virtue.

| Though renowned, you do not make a display; Though the leader of the land, you do not change. Without considering, without thinking, You obey the laws of God.*

God admired the way King Wen obeyed his laws, and therefore gave him possession of the realm of Yin as a reward, honoring him with the position of Son of Heaven and enrich-

ing him with the world, and even today the sound of his praise never ceases. So we know who those were who, loving and benefiting others and obeying the will of Heaven, won

Heaven's reward. |

Who were those who, hating and injuring others and dis“Book of Odes, Ta ya section, “Huang Yi’ (Mao text no. 241).

The Will of Heaven Ol obeying the will of Heaven, incurred Heaven’s punishment?

Chieh, Chou, Yu, and Li, the evil kings of the Three Dynasties of antiquity. What did Chieh, Chou, Yu, and Li devote

_ themselves to? They devoted themselves to partiality and spurned universality. Partiality means that if one is in a large state he will attack a small state, and if one is a member of a large family, he will overthrow small families. ‘The strong will oppress the weak, the many will bully the few, the cunning will deceive the stupid, and the eminent will lord it over the humble. Examining such a policy, we find that it brought no

benefit to Heaven above, to the spirits in the middle realm, or |

to man below. And because it failed to realize these three | types of benefits, it was called an offense against Heaven. All

the foulest names in the world were given to such a ruler, and people said, “This is not benevolence; this is not righteous-

ness! This is what it means to hate and injure others, to disobey the will of Heaven, and to incur Heaven’s punishment!” But this is not all. Such deeds were recorded on bamboo and silk, engraved on metal and stone, inscribed on bow!s and basins, and handed down to posterity in generations after. Why

was this done? It was done so that men would know how these rulers hated and injured others, disobeyed the will of Heaven, and incurred Heaven’s punishment. Thus the “Great Declaration” ® says: “Chou sits with his legs sprawled out and refuses to serve the Lord on. High. He neglects the spirits of the former kings and fails to sacrifice to them. And yet he insists, ‘I have the mandate of Heaven!’ He gives himself up to insult and tyranny, and Heaven therefore casts him away and will not protect him.” If we examine the matter, we will realize that Heaven cast Chou away and would not protect ° A lost section of the Book of Documents. The section by this name in the present text of the Documents is spurious.

92 Mo Tzu him because he disobeyed the will of Heaven. So we know who those were who, hating and injuring others and disobey-

ing the will of Heaven, incurred Heaven’s punishment, | Therefore Mo Tzu said: The will of Heaven is to me like a

compass to a wheelwright or a square to a carpenter. The wheelwright uses his compass to test the roundness of every object in the world, saying, “What matches the line of my compass I say is round. What does not match my compass I say is not round.” ‘Therefore he can tell in every case whether a thing is round or not, because he has a standard for roundness. The carpenter uses his square to test the squareness of every

object in the world, saying, “What matches my square is square. What does not match my square is not square.” ‘Therefore he can tell in every case whether a thing is square or not, because he has a standard for squareness. In the same way Mo Tzu uses the will of Heaven to meas-

ure the government of the rulers and ministers above, and the writings and words of the multitudes below. He observes their actions, and if they obey the will of Heaven, he calls them good actions, but if they disobey the will of Heaven, he calls them bad actions. He observes their words, and if they obey the will of Heaven, he calls them good words, but if they disobey the will of Heaven, he calls them bad words. He observes their government, and if it obeys the will of Heaven,

| he calls it good government, but if it disobeys the will of Heaven, he calls it bad government. Thus he employs this as

a standard, establishes it as a measurement, and with it measures the benevolence or unbenevolence of the rulers and ministers of the world, and it is as easy as telling black from white. Therefore Mo ‘Tzu said: If the rulers, ministers, and gentlemen of the world truly desire to honor the Way, benefit

The Will of Heaven 93 the people, and search out the basis of benevolence and righteousness, then they must not fail to obey the will of Heaven, for obedience to the will of Heaven is the standard of right-

eousness. |

re EXPLAINING GHOSTS

PART III | (SECTION 31) |

Mo Tzu said: Now that the sage kings of the Three Dynasties

of antiquity have passed away and the world has forgotten their principles, the feudal lords regard might as right. So we have rulers and superiors who are not generous and subordinates and subjects who are not loyal, fathers and sons, younger

and older brothers who are not loving or filial, brotherly or respectful, virtuous or good. The leaders of the state do not diligently attend to affairs of government, and the humble people do not diligently pursue their tasks. ‘The people give themselves up to evil, violence, thievery, and rebellion, using weapons, knives, poison, fire, and water to assault innocent persons on the roads and byways and seize their carriages and horses, robes and furs, for their own benefit. All of these conditions come about for the same reason, and as a result the world is in disorder.

Now why do we have this state of affairs? It all comes about because people are in doubt as to whether ghosts and spirits exist or not, and do not realize that ghosts and spirits have the

power to reward the worthy and punish the wicked. If we could only make all the people in the world believe that the ghosts and spirits have the power to reward the worthy and punish the wicked, then how could there be any disorder in the world?

Those who claim that ghosts do not exist say: “Of course

Explaining Ghosts 95 there is no such thing!”, and morning and evening they preach

this doctrine to the world, spreading skepticism among the people and causing them to be in doubt as to whether ghosts

and spirits exist or not. Thus the world becomes disordered. | Therefore Mo Tzu said: If the rulers, ministers, and gentlemen of the world today truly desire to promote what is beneficial to the world and eliminate what is harmful, they must face this question of whether ghosts and spirits exist or not and

examine it. | | |

It is clear that one must examine this question of whether ghosts and spirits exist or not. Well then, if the examination is

to be sound, what method should we use? — | Mo Tzu said: The way to determine whether something exists or not is to find out whether people actually know trom the evidence of their own ears and eyes whether it exists, and use this as a standard. If someone has actually heard it and seen it, then we must assume that it exists. But if no one has heard or seen it, then we must assume that it does not exist. If this is to be our method, then why don’t we try going to some _ village or community and asking? If from antiquity to today,

from the beginning of mankind to the present, there have been people who have seen ghostlike and spiritlike beings and heard their voices, then how can we say they don’t exist? But if no one has seen or heard them, then how can we say they exist?

Now those who claim that ghosts do not exist say: “There are countless people in the world who say they have seen or heard ghostlike or spiritlike beings. But who among them has ever really seen or heard such a being?” *

Mo Tzu said: If we are to go by what many people have jointly seen and what many people have jointly heard, then * The meaning of this sentence is doubtful.

96 Mo Tzu there is the case of Tu Po. King Hsiian [traditional dates 827—

783 B.c.] of the Chou dynasty put to death his minister Tu Po, though he had committed no crime. Tu Po said, “My lord, you are going to put me to death, though I have committed no crime. If the dead have no consciousness, that will be the end of the matter. But if the dead have consciousness, then before three years are over I will make you know it!” Three years later King Hsiian called together the feudal lords and went hunting at P’u. His party of several hundred hunting chariots and several thousand attendants filled the field. At midday Tu Po appeared, wearing a vermilion hat and robe, holding a vermilion bow and vermilion arrows, and riding in a plain chariot drawn by a white horse. He pursued King Hsiian and shot him in his chariot. The arrow pierced the king’s heart and broke his back. He fell down in his chariot, slumped over his quiver, and died. At that time there were none among the Chou attendants who did not see what happened, and no one in distant regions who did not hear about it.” It was recorded in the spring and autumn annals of Chou,* rulers used it to instruct their subjects, and fathers to warn their sons, saying, “Be careful! Be circumspect! All those who kill innocent men will suffer misfortune and incur the punishment of the ghosts

and spirits with just such rapidity!” If we examine what is written in the book, how can we doubt that ghosts and spirits exist?

And yet it is not only what is written in this book that proves it. Once long ago Duke Mu of Ch'in [659-620 B.c.]4 ?Mo Tzu uses the verb “to hear” at this point in the sense of “to hear the report of,” which is hardly the same thing as hearing a voice or sound that would prove the existence of spirits. ’“Spring and autumn” is here a generic term for the season-by-season

chronicles kept by the historiographers of the various states. | *The text says “Duke Mu of Cheng,” but the legend is traditionally associated with Duke Mu of Ch'in.

Explaining Ghosts 97 was in his ancestral temple during the day, when a spirit entered the gate and turned to the left. It had the face of a man and the body of a bird, wore a white robe with black borders, and was very dignified and grave in appearance.

When Duke Mu saw it, he was frightened and started to , run away, but the spirit said, “Do not be afraid. God recognizes your enlightened virtue and has sent me to bestow upon you nineteen more years of life. He will make your state prosperous and your descendants numerous, and they shall not lose possession of Ch’in!” Duke Mu bowed twice, lowered his head, and said, “May I ask the name of this spirit?”

and the spirit replied, “I am Kou Mang.” If we are to accept as reliable what Duke Mu of Ch’in saw in person, then how can we doubt that ghosts and spirits exist? And yet it is not only what is written in this book that proves

it. In ancient times Duke Chien of Yen [504-492 B.c.] put to death his minister Chuang [zu-i, though he had committed

no crime. Chuang Tzu-i said, “My lord, you are going to put | me to death, though I have committed no crime. If the dead have no consciousness, that will be the end of the matter. But if the dead have consciousness, then before three years are over

| I will make you know it!” A year later the ruler of Yen was about to set off in his chariot for Tsu. CTsu in Yen is like She-chi in Ch’i, Sang-lin in Sung, and Yiin-meng in Ch’u, a place where men and women gather to sightsee.)® At noon, just as the duke of Yen was about to set off on the road for Tsu, Chuang Tzu-i appeared carrying a vermilion staff and struck down the duke in his chariot. At that time there were none among the Yen attendants who did not see what hap5 The sentence in parentheses is in the nature of a note, perhaps added by a later writer. The places mentioned were apparently the scenes of religious observances.

98 Mo Tzu pened, and no one in distant regions who did not hear about it. It was recorded in the spring and autumn annals of Yen, and the feudal lords handed down the story, saying, “All those who kill innocent men will suffer misfortune and incur the punishment of the ghosts and spirits with just such rapidity!” If we examine what is written in the book, how can we doubt that ghosts and spirits exist? And yet it is not only what is written in this book that proves

it. Long ago, in the time of Pao, Lord Wen of Sung [610589 B.c.|, there was a minister named Kuan-ku the Invocator, who served in the ancestral temple of the state. Once a shaman appeared from the temple, bearing a club, and said, “Kuan-ku, what does this mean? The sacramental jades and circlets do not fulfill the proper standard, the offerings of wine and millet are impure, the sacrificial animals are not fat and flawless as

they should be, and the ceremonies appropriate to the four seasons are not performed at the right times! Is this your doing or Pao’s?” Kuan-ku replied, “Pao is an infant, still in swaddling clothes. What does he know of such matters? I am in charge, and it is all my doing!” ‘Then the shaman raised his club and

struck Kuan-ku, and he fell dead on the altar. At that time there were none of the Sung attendants who did not see what happened, and no one in distant regions who did not hear about it. It was recorded in the spring and autumn annals of Sung, and the feudal lords handed down the story, saying, “All who fail to conduct sacrifices with the proper respect and cir-

| cumspection will incur the punishment of the ghosts and spirits with just such rapidity!” If we examine what is written in the book, how can we doubt that ghosts and spirits exist?

And yet it is not only what is written in this book that proves it. Long ago, in the time of Lord Chuang of Chi [794731 B.C.], there were two ministers named Wang-li Kuo and

Explaining Ghosts 99 Chung-li Chiao. These two men had been engaged in a lawsuit for three years, but no judgment had been handed down. Lord Chuang thought of executing them both, but he was afraid of killing an innocent man. He also thought of acquitt-

ing them both, but he was afraid of setting free one who was ouilty. He therefore ordered the two men to bring a lamb and take an oath on the Ch’i altar of the soil. The two men agreed to take the oath of blood. The throat of the lamb was cut, its blood sprinkled on the altar, and Wang-li Kuo’s version of the case read through to the end. Next Chung-li Chiao’s version was read, but before it had been read half through, the lamb rose up, butted Chung-li Chiao, broke his leg,* and then struck him down on the altar. At that time there were none of the attendants of Ch’i who did not see what happened, and no one in distant regions who did not hear about it. It was re-

corded in the spring and autumn annals of Chi, and the feudal lords handed down the story, saying, “All those who

take oaths in insincerity will incur the punishment of the | ghosts and spirits with just such rapidity!” If we examine what is written in the book, how can we doubt that ghosts and spirits

exist? :

Therefore Mo Tzu said: Even in the deep valleys, the broad

forests, the dark and distant places where no one lives, you must not fail to act with sincerity, for the ghosts and spirits

will see you even there! ,

Now those who claim that ghosts do not exist say, “How ) can one rely upon the eyes and ears of the multitude in settling doubts? Can one hope to be a superior gentleman of the world and still trust the eyes and ears of the multitude?”

Mo Tzu said: If one is not to trust the eyes and ears of the ©

multitude in settling doubts, then, may I ask, are the sage ° The text is somewhat garbled at this point.

100 Mo Tzu kings of the Three Dynasties of antiquity, Yao, Shun, Yu, T’ang, Wen, and Wu, worthy to be accepted as a standard in such matters? Surely every man who is above the average will answer that they are. Therefore let us review for a moment the deeds of these sage kings.

In ancient times, after King Wu had attacked the state of Yin and punished its ruler, Chou, he ordered the feudal lords to divide up the sacrificial duties, saying, “Those who are closely related to the throne may participate in the inner wor-

ship; those distantly related may participate in the outer worship.” It is clear that King Wu must have believed in the existence of ghosts and spirits, since, after attacking Yin and overthrowing Chou, he ordered the feudal lords to divide up the sacrificial duties in this way. If no ghosts or spirits existed,

then why would King Wu have had the sacrificial duties divided up?

And yet it is not only the deeds of King Wu that prove their existence. The sage kings of old always bestowed rewards at the ancestral temple and meted out punishment at

the altar of the soil. Why were rewards bestowed at the ancestral temple? To announce to the spirits that the division —_-

of rewards was fair. Why were punishments meted out at the altar of the soil? To announce to the spirits that the sen-

tence was just. |

And yet it is not only what is written in the books about King Wu that proves their existence. In ancient times, on the day when the rulers of Yii, Hsia, Shang, and Chou, the sage

kings of the Three Dynasties, first established their states and set up their capitals, they always selected a site for the main

altar of the state, and constructed an ancestral temple there. They would select a site where the trees were particularly fine

and luxuriant, and there in the grove set up the altar of the

| Explaining Ghosts 101 soil. Then they would select the most kind, filial, virtuous, and good men among the elders of the state to act as invocators of the temple; select the plumpest, most perfectly shaped and colored among the six domestic animals to be sacrificial victims; provide jade circlets, badges, and pendants of the proper quality and number; and select the most fragrant and yellow of the five grains to be used for the offerings of wine

| and millet, the quality of the wine and millet varying with the abundance of the year. This was how the sage kings of ancient times, when they ruled the world, put the affairs of the _ ghosts and spirits first, and those of the people last. ‘Therefore it was said that, when the government offices provide the im-

plements of state, they must first see to it that the proper vessels and robes for use in the sacrifices are fully stocked in the storehouses, that the invocators of the temple and other ofhcials in charge of sacrifices have been appointed in full

number in the court, and that the animals to be used as sacrificial victims have been separated from the common herds.

Since the ancient sage kings conducted their government in

this fashion, they must have believed in the existence of ghosts

and spirits. Such was their deep concern for the service of the ghosts and spirits. But, fearing that their sons and grandsons in later ages would not understand this, they made a record of it on

| bamboo and silk to be handed down to posterity. Again, fearing that these might rot and become lost, so that later ages would have no way to learn what had been written on them, they inscribed it on bowls and basins, and engraved it on metal

and stone as well. Still they feared that their descendants might not show the proper reverence, and therefore fail to obtain blessing. ‘Therefore, in the books of the former kings, among the words of the sages, we find, within one scroll of

102 Mo Tzu | silk or one bundle of bamboo writing slips, repeated mentions of the existence of ghosts and spirits. Why is this? Because this is what the sage kings were most concerned about. Now

those who claim that ghosts do not exist and go about saying | _ that there are no such things as ghosts or spirits are turning their backs on the concerns of the sage kings. ‘This is surely not the way of a true gentleman! Those who claim that ghosts do not exist say, “These books

of the former kings, these words of the sages, which within one scroll of silk or one bundle of bamboo writing slips repeatedly mention the existence of ghosts and spirits—tell us,

what books are they>” ,

Mo Tzu said: Among the books of Chou there are the “Greater Odes,” for instance. The “Greater Odes” says: King Wen is on high, He shines in Heaven!

Chou is an old people | But its charge is new.

The leaders of Chou became illustrious. Was not God’s charge timely given? King Wen ascends and descends

On the left and right of God. Majestic is King Wen, His good fame never ceases.”

If ghosts and spirits do not exist, then how could King Wen,

who was already dead, be “on the left and right of God?” So | I know that the books of Chou recognize the existence of ghosts.

_ But if there are ghosts in the books of Chou, but none in the books of Shang, then we do not have sufficient proof for our argument. Therefore let us try going back a little further and 7 Book of Odes, “Greater Odes” or Ta ya section, “Wen wang” (Mao text no. 235).

Explaining Ghosts 103 examining the books of Shang. ‘There we find it written: “Ah,

- in ancient times, before the rulers of Hsia were visited by misfortune, among all the beasts and living creatures, even to

the birds that fly, there were none that did not follow the proper way. How much more those creatures with the faces of men! Would they have dared to have contrary hearts? Likewise the ghosts and spirits of the mountains and rivers—would any of them have dared to be restless? So the rulers of Hsia, with reverence and sincerity, brought harmony to the world and guarded the land below.” ® Now if we examine the reasons that the ghosts and spirits did not dare to be restless, we find that it is because they were aiding Yii in his rule. So I knew that the books of Shang recognize the existence of ghosts.

But if there are ghosts in the books of Shang, but none in | the books of Hsia, then we do not have sufficient proof for our argument. Therefore let us try going back a little further and examining the books of Hsia. The “Declaration of Yii’ says: “There was a great battle at Kan. The king summoned the six commanders of the left and right and made this declara-

tion to the army, saying: “The lord of Hu violates the five elements and discards the three standards [of Heaven, earth, and man]. Heaven therefore cuts off his mandate!’ He also said: “This day I shall fight with the lord of Hu for the day's _ fate. You ministers, officers, and commoners, it is not that I covet your fields or guarded lands. I am only respectfully carrying out Heaven’s punishment. If you on the left do not do your duty on the left, or if you on the right do not do your duty on the right, you will not be carrying out my orders. If _ you charioteers do not correctly manage your horses, you will *Mo Tzu is apparently quoting from some lost section of the Book of Documents. It is possible that the quotation should end with the word “restless,” and that the sentence which follows is Mo Tzu’s comment.

104 Mo Tzu |

not be carrying out my orders. Rewards will be conferred in the ancestral temple and punishments meted out at the altar of the soil.’” ® Why were rewards conferred at the ancestral temple? To show that the division of rewards was fair. Why were punishments meted out at the altar of the soil? To show that the sentences were just. Because the ancient sage kings

believed that it was through the ghosts and spirits that the _ worthy were rewarded and the evil punished, they invariably

conferred rewards in the ancestral temple and meted out punishments at the altar of the soil. So I know that the books of Hsia recognize the existence of ghosts.

Thus, first in the books of Hsia and then in the books of Shang and Chou, we find the existence of ghosts and spirits mentioned again and again. Why is this? Because the sage

kings were deeply concerned about such matters. If we — examine what is written in these books, how can we doubt that ghosts and spirits exist?

It is said that in ancient times, on the propitious day tingmao, the Chou people offered prayers to the altar of the soil and the four quarters, and yearly prayers to the ancestors, in order to prolong the years of their life. If there were no ghosts or spirits, then how could they hope in this way to prolong their lives? 1°

Therefore Mo Tzu said: If the fact that the ghosts and spirits reward the worthy and punish the evil can be made a cornerstone of policy in the state and impressed upon the °'The passage, with some textual variations, comprises almost all of the section known as the “Declaration at Kan” in the present Book of Documenis.

© The text of this passage and its relation to what comes before and after

are very doubtful. Ting-mao is the designation of one of the days in the sixty-day cycle in use for recording dates at least from Shang times on.

| Explaining Ghosts 105 common people, it will provide a means to bring order to the

state and benefit to the people. When there is corruption among the officials and heads of bureaus, or illicit relations be-

tween men and women, the ghosts and spirits will see it. When the people give themselves up to evil and violence, thievery and rebellion, using weapons, knives, poison, fire, and water to assault innocent persons on the roads and byways

and seize their carriages, horses, robes, and furs for their own benefit, the ghosts and spirits will see this too. Therefore the — officials ‘and heads of bureaus will not dare to be corrupt. ~ When they see good, they will not dare to withhold reward, | and when they see evil, they will not dare to withhold punishment. And the people who give themselves up to evil and violence, thievery and rebellion, using weapons, knives, poison,

fire, and water to assault innocent persons on the roads and byways and seize their carriages, horses, robes, and furs for their own benefit—all these people will as a result cease their activities," and the world will be well ordered. Beneath the sharp eyes of the ghosts and spirits, dark caves

and broad swamps, mountain forests and deep valleys are no protection. The ghosts and spirits will invariably spy you out and know what you have done. Before the punishment of the ghosts and spirits, wealth, honor, strength of numbers, bravery, might, strong armor, and sharp weapons are of no avail, for the punishment of the ghosts and spirits will overcome all these.

Do you think it is not so? In ancient times King Chieh of the Hsia dynasty was honored with the position of Son of Heaven, and possessed all the wealth of the world. Yet above “Twenty-one characters, representing some sort of textual garble, have been omitted at this point.

106 Mo Tzu he blasphemed against Heaven and despised the spirits, while

below he abused and slaughtered the common people.” Thereupon Heaven commanded T’ang to carry out its enlight-

| ened punishment. T’ang, with his nine chariots arranged in the Bird Formation and the Wild Goose March, ascended Ta-tsan, scattered the forces of Hsia, entered the suburbs of the capital, and with his own hands captured T’ui-i Ta-hsi. ‘Thus

in ancient times King Chieh of the Hsia was honored with the position of Son of Heaven, and possessed all the wealth of the world; he had in his service a man of daring and strength named T’ui-i Ta-hsi who could tear apart a live rhinoceros or

tiger and directed the killing of others; and he had such millions of soldiers that they filled the lowlands and hills. And

yet he could not ward off the punishment of the ghosts and spirits. So I know from this that before the punishment of the ghosts and spirits, wealth, honor, strength of numbers, bravery, might, strong armor, and sharp weapons are of no avail. — Yet this is not all. In ancient times King Chou of the Yin dynasty was honored with the position of Son of Heaven, and

possessed all the wealth of the world. Yet above he blasphemed against Heaven and despised the spirits, while below he abused and slaughtered the common people. He cast aside the aged, murdered little children, roasted innocent men alive, and cut open pregnant women. The common people and the aged, the widows and widowers wept and cried, but they had

no one to appeal to. Thereupon Heaven commanded King Wu to carry out its enlightened punishment. King Wu, with a hundred select chariots and four hundred brave warriors, announced his intentions to the other lords and, with the seals of authority, reviewed the troops. He fought with the men of Yin A garble of eight characters has been omitted. The text of this whole paragraph is in very poor condition.

| Explaining Ghosts 107 in the field of Mu, and with his own hands captured Fei Chung and E Lai, and the multitude deserted and ran away. King Wu rushed after them into the palace,’® and cut off Chou’s head and hung it from a red ring mounted on a white banner, thus carrying out punishment for the feudal lords of the world. So in ancient times King Chou was honored with the position of Son of Heaven, and possessed all the wealth of the world; he had in his service men of daring and strength such as Fei Chung, E Lai, and Hu, the marquis of Ch'ung, who directed the killing of others; and he had such millions of soldiers that they filled the lowlands and hills. And yet he

could not ward off the punishment of the ghosts and spirits. So I know from this that before the punishment of the ghosts

and spirits, wealth, honor, strength of numbers, bravery, might, strong armor, and sharp weapons are of no avail. Moreover the words of Ch'in Ai tell us: “Attaining virtue is not a small matter; wiping out a family is not a large one.” ** That is to say, when the ghosts and spirits confer rewards, no matter is too small to be rewarded. And when the ghosts and spirits mete out punishment, no consideration is great enough to interfere.

Those who claim that ghosts do not exist say, “This not only fails to benefit parents, but actually does harm to filial sons, does it not?” 75

Mo Tzu said: The ghosts and spirits of past and present are of three kinds only: the spirits of Heaven, the spirits of the mountains and rivers, and the ghosts of men who have died. Now it sometimes happens, it is true, that a son dies “* A four-character garble has been omitted at this point. ** Perhaps from a lost section of the Book of Documents.

*T do not fully understand the objection of the anti-ghost party at this

point, nor what connection it has with what comes before and after. The , statement apparently concerns family sacrifices to deceased parents.

108 Mo Tzu | before his father, or a younger brother before his older brother.

And yet, as the old saying of the world has it, “He who is born first dies first.” So those who die first will be either one’s father or one’s mother, one’s elder brother or one’s elder sister.

Now when we prepare pure wine and millet and offer them with reverence and circumspection, if ghosts and spirits really exist, then we are thereby providing food and drink for our fathers, mothers, elder brothers, and elder sisters. Is this not a great benefit?

Of course if ghosts and spirits do not really exist, then it would seem that we are wasting the materials we use, the

wine and millet. But though we expend them, it is not as though we were simply pouring the wine in a sewage ditch and throwing the millet away. For the members of the family and the people of the community can all gather to drink and eat them. Therefore, though no ghosts or spirits existed at all, we would still have the opportunity to gather together a pleasant group and make friends with the people of the community. Those who claim that ghosts do not exist say, “There has —

never been any such thing as ghosts and spirits. Therefore _ I shall not expend my wealth on wine, millet, and sacrificial animals. It is not that I begrudge the expense of such things, but what is to be accomplished by offering them?” This is to oppose what is written in the books of the sage kings and violate the way of a filial son of the people. Such people claim to be the superior men of the world, but this is surely not the way to be a superior man!

Therefore Mo Tzu said: Now when I perform sacrifices, it is not as though I were pouring the wine in a sewage ditch and throwing the millet away. Above I am seeking the bless-

ing of the ghosts and spirits, while below I am gathering together a pleasant group and making friends with the people

Explaining Ghosts 109 of the community. And if the ghosts and spirits really exist, then I am able to provide food and drink for my father, my mother, and my elder brothers and sisters. Is this not beneficial to the whole world?*®

Therefore Mo Tzu said: If the rulers, ministers, and gentlemen of the world truly desire to promote what is beneficial to the world and eliminate what is harmful, they must believe in the existence of ghosts and spirits and honor them accordingly, for this is the way of the sage kings. | **In this closing section Mo Tzu speaks as though he were not himself wholly convinced of the existence of ghosts and spirits.

yn AGAINST MUSIC

PART I | (SECTION 32) It is the business of the benevolent man to seek to promote , what is beneficial to the world, to eliminate what is harmful, and to provide a model for the world. What benefits men he will carry out; what does not benefit men he will leave alone. Moreover, when the benevolent man plans for the benefit of the world, he does not consider merely what will please the eye, delight the ear, gratify the mouth, and give ease to the body. If in order to gratify the senses he has to deprive the people of the wealth needed for their food and clothing, then the benevolent man will not do so. Therefore Mo Tzu condemns music’ not because the sound of the great bells and rolling drums, the zithers and pipes, is not delightful; not because the sight of the carvings and ornaments is not beautiful; not because the taste of the fried and broiled meats is not delicious; and not because lofty towers, broad pavilions, and secluded halls are not comfortable to live in. But though the body finds comfort, the mouth gratification, the eye pleasure, and the ear delight, yet if we examine the matter, we will find

that such things are not in accordance with the ways of the sage kings, and if we consider the welfare of the world we +The term “music” in ancient China customarily denoted not only music itself, but dances and pantomimes that accompanied it. Here, however, Mo Tzu seems to be using the term even more broadly to include the lavish banquets and sumptuous surroundings that in his mind were associated with the musical entertainments of the aristocracy.

Against Music III will find that they bring no benefit to the common people.

Therefore Mo Tzu said: Making music is wrong! | Now if the rulers and ministers want musical instruments to use in their government activities, they cannot extract them

from the sea water, like salt, or dig them out of the ground, | like ore. Inevitably, therefore, they must lay heavy taxes upon the common people before they can enjoy the sound of great bells, rolling drums, zithers, and pipes. In ancient times the sage kings likewise laid heavy taxes on the people, but this was for the purpose of making boats and carts, and when they were completed and people asked, “What are these for?” the sage kings replied, “The boats are for use on water, and the carts for use on land, so that gentlemen may rest their feet and laborers spare their shoulders.” So the common people paid

their taxes and levies and did not dare to grumble. Why? Because they knew that the taxes would be used for the benefit of the people. Now if musical instruments were also

used for the benefit of the people, I would not venture to condemn them. Indeed, if they were as useful as the boats

| condemn them. ,

and carts of the sage kings, I would certainly not venture to There are three things the people worry about: that when they are hungry they will have no food, when they are cold they will have no clothing, and when they are weary they will have no rest. These are the three great worries of the people. Now let us try sounding the great bells, striking the rolling drums, strumming the zithers, blowing the pipes, and waving the shields and axes in the war dance. Does this do anything to provide food and clothing for the people? I hardly think so. But let us leave that point for the moment. Now there are great states that attack small ones, and great families that molest small ones. The strong oppress the weak, the many tyrannize the few, the cunning deceive the stupid,

| 112 Mo Tzu the eminent lord it over the humble, and bandits and thieves rise up on all sides and cannot be suppressed. Now let us try sounding the great bells, striking the rolling drums, strumming the zithers, blowing the pipes, and waving the shields and axes in the war dance. Does this do anything to rescue the world from chaos and restore it to order? I hardly think so. Therefore Mo Tzu said: If you try to promote what is beneficial to the world and eliminate what is harmful by laying heavy taxes on the people for the purpose of making bells, drums, zithers, and pipes, you will get nowhere. So Mo Tzu said: Making music is wrong! Now the rulers and ministers, seated in their lofty towers and broad pavilions, look about them, and there are the bells, hanging like huge cauldrons. But unless the bells are struck, how can the rulers get any delight out of them? Therefore

it is obvious that the rulers must have someone to strike the bells. But they cannot employ old men or young boys, since their eyes and ears are not keen enough and their arms are not strong, and they cannot make the sounds harmonious or see to strike the bells front and back. Therefore the rulers must have young people in their prime, whose eyes and ears _ are keen and whose arms are so strong that they can make | the sounds harmonious and see to strike the bells front and back. If they employ young men, then they will be taking them away from their plowing and planting, and if they employ young women, they will be taking them away from their weaving and spinning. Yet the rulers and ministers will have their music, though their music-making interferes to such an extent with the people's efforts to produce food and clothing! Therefore Mo Tzu said: Making music is wrong! Now let us suppose that the great bells, rolling drums, zithers, and pipes have all been provided. Still if the rulers and

Against Music 113 ministers sit quietly all alone and listen to the performance, how can they get any delight out of it? Therefore it is obvious that they must listen in the company of others, either humble men or gentlemen. If they listen in the company of gentlemen,

then they will be keeping the gentlemen from attending to affairs of state, while if they listen in the company of humble men, they will be keeping the humble men from pursuing their tasks. Yet the rulers and ministers will have their music, | though their music-making interferes to such an extent with the people’s efforts to produce food and clothing! Therefore Mo Tzu said: Making music is wrong! In former times Duke K’ang of Ch’i [404-379 B.c.] loved the music of the Wan dance.? The Wan dancers cannot wear _ robes of cheap cloth or eat coarse food, for it is said that unless they have the finest food and drink, their faces and complexions will not be fit to look at, and unless they have beautiful clothing, their figures and movements will not be worth watch- |

ing. Therefore the Wan dancers ate only millet and meat, and wore only robes of patterned and embroidered silk. They did nothing to help produce food or clothing, but lived entirely off the efforts of others. Yet the rulers and ministers will

have their music, though their music-making interferes to | such an extent with the people's efforts to produce food and clothing! ‘Therefore Mo Tzu said: Making music is wrong! _

| Now man is basically different from the beasts, birds, and insects. The beasts, birds, and insects have feathers and fur for their robes and coats, hoofs and claws for their leggings

and shoes, and grass and water for their food and drink. Therefore the male need not plow or plant, the female need >For a summary of the little that is known about this ancient type of dance, see Arthur Waley, Book of Songs (London, Allen and Unwin, 1937; reprint, New York, Grove Press, 1960), pp. 338-40.

1l4 Mo Tzu not weave or spin, and still they have plenty of food and clothing. But man is different from such creatures. If a man | exerts his strength, he may live, but if he does not, he cannot live. If the gentlemen do not diligently attend to affairs of state, the government will fall into disorder, and if humble men do not diligently pursue their tasks, there will not be enough wealth and goods.

If the gentlemen of the world do not believe what I say, then let us try enumerating the various duties of the people of the world and see how music interferes with them. The rulers and ministers must appear at court early and retire late, _ hearing lawsuits and attending to affairs of government—this

is their duty. The gentlemen must exhaust the strength of their limbs and employ to the fullest the wisdom of their minds, directing bureaus within the government and abroad, collecting taxes on the barriers and markets and on the resources of the hills, forests, lakes, and fish weirs, so that the granaries and treasuries will be full—this is their duty. ‘The

| farmers must leave home early and return late, sowing seed, planting trees, and gathering large crops of vegetables and erain—this is their duty. Women must rise early and go to bed late, spinning, weaving, producing large quantities of hemp, silk, and other fibers, and preparing cloth—this is their

duty. Now if those who occupy the position of rulers and ministers are fond of music and spend their time listening to © it, then they will not be able to appear at court early and retire late, or hear lawsuits and attend to affairs of government, and as a result the state will fall into disorder and its altars of the

soil and grain will be in danger. If those who occupy the position of gentlemen are fond of music and spend their time listening to it, then they will be unable to exhaust the strength

Against Music 115 of their limbs and employ to the fullest the wisdom of their minds in directing bureaus within the government and abroad, collecting taxes on the barriers and markets and on the resources of the hills, forests, lakes, and fish weirs, in order to hill the granaries and treasuries, and as a result the granaries

and treasuries will not be filled. If those who occupy the position of farmers are fond of music and spend their time listening to it,? then they will be unable to leave home early

and return late, sowing seed, planting trees, and gathering | large crops of vegetables and grain, and as a result there will be a lack of vegetables and grain. If women are fond of music and spend their time listening to it, then they will be unable to rise early and go to bed late, spinning, weaving, producing large quantities of hemp, silk, and other fibers, and preparing cloth, and as a result there will not be enough cloth. If you ask what it is that has caused the ruler to neglect the affairs of government and the humble man to neglect his tasks, the answer is music. Therefore Mo Tzu said: Making music is

wrong! |

How do we know that this is so? The proof is found among the books of the former kings, in T’ang’s “Code of Punishment,” where it says: “Constant dancing in the palace—this is the way of shamans! As a punishment, gentlemen shall be

fined two measures of silk, but for common men the fine shall be two hundred pieces of yellow silk.” * It also says: “Alas, all this dancing! The sound of the pipes is loud and /

clear. The Lord on High does not aid him, and the nine * The possibility of farmers and peasant women in ancient China becoming fatally infatuated with the music of the aristocracy seems so remote that we must suppose that Mo Tzu’s argument from here on is merely rhetorical. * Apparently from a lost section of the Book of Documents. The meaning

of the last sentence is very doubtful. !

116 Mo Tzu districts are lost to him.® The Lord on High does not approve him, but sends down a hundred misfortunes. His house will be destroyed.” If we examine the reason why he lost the nine districts, we will find that it was because he idly spent his time arranging elaborate musical performances. The “Wu kuan” says: “Ch’i® gave himself up to pleasure and music, eating and drinking in the fields. Ch’iang-ch-iang, the flutes and chimes sounded in unison! He drowned himself in wine and behaved indecently by eating in the fields. Splendid was the Wan dance, but Heaven clearly heard the sound

and Heaven did not approve.” So it was not approved by - Heaven and the spirits above, and brought no benefit to the people below.

Therefore Mo Tzu said: If the rulers, ministers, and gentlemen of the world truly desire to promote what is beneficial to the world and eliminate what is harmful, they must prohibit and put a stop to this thing called music! ° The nine districts that were supposed to have made up the China of ancient times. The “he” of the quotation is presumably Chieh, the evil

ruler of the Hsia who was overthrown by T’ang. , *'The identity of this man and the source of the quotation are a matter of controversy. The text of all three quotations is in very poor condition.

G

PART I |

re AGAINST FATALISM (SECTION 35)

Mo Tzu said: These days the rulers and high officials who govern the nation all desire their states to be rich, their popu-

lation to be numerous, and their administration to be well _ ordered. And yet what they achieve is not wealth but poverty, not a numerous population but a meager one, not order but

chaos. In actual fact, they fail to get what they seek and achieve what they abhor. Why is this? Mo Tzu said: It is because of the large number of fatalists among the people.

| The advocates of fatalism say, “If fate decrees that the state will be wealthy, it will be wealthy; if it decrees that it will be poor, it will be poor. If it decrees that the population will be numerous, it will be numerous; if it decrees that it will be meager, it will be meager. If it decrees that there will be order, there will be order; if it decrees that there will be chaos, there will be chaos. If it decrees that a man will have a long life, he will have a long life; if it decrees that he will die young, he will die young. Though a man tries to combat fate, what can he do?” ‘They expound such doctrines to the rulers and high officials, and keep the people from pursuing their tasks. Hence the fatalists are lacking in benevolence, and their words must therefore be carefully examined.

Now how are we to go about examining their doctrines? , Mo Tzu said: We must set up a standard of judgment, for to try to speak without a standard of judgment is like trying to

118 Mo Tzu | establish the direction of sunrise and sunset with a revolving potter’s wheel. It will be impossible to determine the difference between what is right and wrong, what is beneficial and what is harmful. ‘Therefore a theory must be judged by three

tests. What are these three tests of a theory? Its origin, its validity, and its applicability. How do we judge its origin? We judge it by comparing the theory with the deeds of the sage kings of antiquity. How do we judge its validity? We judge it by comparing the theory with the evidence of the eyes and ears of the people. And how do we judge its applicability? We judge it by observing whether, when the theory is put into practice in the administration,.it brings benefit to the state and the people. ‘This is what is meant by the three tests

of a theory. | Now among the gentlemen of the world there are those who believe in the existence of fate. Let us try examining this

belief in the light of what we know of the sage kings. In ancient times chaos prevailed under Chieh, but ‘T'ang followed him and there was order; chaos prevailed under Chou, but King Wu followed him and there was order. Within a single generation, with the same people, the world was in chaos under Chieh and Chou, and well ordered under ‘T’ang and Wu. How then can we say that order or chaos in the world are decreed by fate? *

Yet there are still some gentlemen in the world who believe | in the existence of fate. Let us try examining this belief in the light of the writings of the former kings. Among the writings of the former kings are those that were issued by the state and promulgated among the people, and these were called “stat- _ 1'This argument, needless to say, does not refute the claims of the fatalists, who can just as well assert that the decree of fate changed abruptly when the rule passed from Chieh to T’ang and from Chou to Wu.

Against Fatalism 119 utes.” Among the statutes of the former kings, were there ever

any that said: “Good fortune cannot be sought for and bad _ fortune cannot be avoided. Being reverent will not help your chances, and doing evil will not harm them.”? The writings by which law cases were settled and crimes punished were called “codes of punishment.” Among the codes of punishment of the former kings, were there ever any that said: “Good

fortune cannot be sought for and bad fortune cannot be avoided. Being reverent will not help your chances, and doing evil will not harm them.”? The writings by which the armies

were organized and the soldiers commanded to advance or retreat were called “declarations.” Among the declarations of the former kings, were there ever any that said: “Good fortune

cannot be sought for and bad fortune cannot be avoided. Being reverent will not help your chances, and doing evil will not harm them.”? I have not exhausted all the evidence—it would be impossible to cite all the excellent writings in the world—but have enumerated only a few important examples, namely, the three types of writings mentioned above. Yet no

matter how we search, we can find no evidence to support the theories of the fatalists. Should not such theories be re-

. jected then? To accept the theories of the fatalists would be to overthrow righteousness in the world. ‘To overthrow righteousness in the

world would be to replace it with the concept of fate and create worry for the people. And to expound a doctrine that creates worry for the people is to destroy the men of the world.

Why do we desire righteous men to be in authority? Because when righteous men are in authority, the world will be

ordered, the Lord on High, the hills and rivers, and the ghosts and spirits will have worshipers to sacrifice to them, and the people will enjoy great benefit. How do we know? Mo Tzu

120 Mo Tzu | said: In ancient times T’ang was enfeoffed in Po. Making allowances for the irregular boundary line, his domain measured only a hundred square li. He worked with his people for universal love and mutual benefit, and shared with them what was in abundance. He led his people to honor Heaven and serve the spirits above, and therefore Heaven and the spirits enriched him, the feudal lords became his allies, the people

loved him, and worthy men came to serve him. Before he died he became ruler of the world and leader of the other lords.

In former times King Wen was enfeoffed in Chou at Mount

| Chi. Making allowances for the irregular boundary line, his domain measured only a hundred square li. He worked with his people for universal love and mutual benefit, and shared with them what was in abundance. So those nearby found security in his government and those far away were won by

his virtue. All those who heard of King Wen rose up and went to him, and the morally weak, the unworthy, and the crippled who could not rise stayed where they were and pleaded, saying, “Couldn’t the domain of King Wen be extended to our borders, so that we too could benefit? Why can’t we too be like the people of King Wen?” Therefore Heaven and the spirits enriched him, the feudal lords became his allies,

the people loved him, and worthy men came to serve him. Before he died he became ruler of the world and leader of the other lords. Previously I said that when righteous men are in

authority, the world will be ordered, the Lord on High, the hills and rivers, and the ghosts and spirits will have worshipers to sacrifice to them, and the people will enjoy great benefit.

And this is how I know that it is so. | Therefore the ancient sage kings issued statutes and published laws, providing rewards and punishments in order to

| Against Fatalism 121 encourage good and prevent evil. So men were loving and filial to their parents at home and respectful and friendly to the people of their neighborhood. Their actions showed a sense of propriety, their comings and goings a sense of restraint, and their relations with the opposite sex a sense of decorum. Thus, if they were put in charge of a government bureau, they did not steal or plunder; assigned to guard a city,

they did not betray their trust or rebel. If their lord encountered difficulties, they would risk death for him; if he was forced to flee the state, they would accompany him into exile.

Conduct like this was what the authorities rewarded and people praised. And yet the advocates of fatalism say: “Whoever is rewarded by the authorities was destined by fate to be

rewarded. It is not because of his worthiness that he is rewarded!”

If this were so, then men would not be loving or filial to their parents at home nor respectful and friendly to the people of their neighborhood. Their actions would show no sense of propriety, their comings and goings no sense of restraint, and their relations with the opposite sex no sense of decorum. Put

in charge of a government bureau, they would steal and plunder; assigned to guard a city, they would betray their trusts or rebel. If their lord encountered difficulty, they would not risk death for him; if he was forced to flee the state, they

-would not accompany him into exile. Conduct like this is what the authorities punish and the people condemn; and yet the advocates of fatalism say: “Whoever is punished by the authorities was destined by fate to be punished. It is not because of his evil actions that he is punished!” Believing this, rulers would not be righteous and subjects would not be loyal, fathers would not be loving and sons would not be filial; older

brothers would not be brotherly and younger brothers would |

122 Mo Tzu

men! |

not be respectful. ‘Those who insist upon holding such views are the source of pernicious doctrines. Theirs is the way of evil

How do we know that fatalism is the way of evil men? In ancient times there were impoverished people who were greedy for food and drink and lazy in pursuing their tasks, and as a result they did not have enough food and clothing, and found themselves troubled by cold and hunger. But they did not have sense enough to say, “We are weak in virtue and

unworthy, and we have not been diligent in pursuing our tasks.” Instead they said, “Fate has decreed that we shall be poor!” In ancient times there were evil kings who could not

control the passions of their ears and eyes, or the wicked desires of their hearts. They did not follow the way of their ancestors, and so in time they lost their countries and brought destruction to their altars of the soil and grain. But they did not have sense enough to say, “We are weak in virtue and unworthy, and have not governed well.” Instead they said, “Fate has decreed that we shall fail!” The “Announcement of Chung Hui” says: “I have heard that the man of Hsia, pretending that he was acting under the _ mandate of Heaven, issued orders to his people. God was displeased and destroyed his hosts.” ? ‘This shows how ‘T'ang condemned Chieh’s belief in fate? _ The “Great Declaration” says: “Chou lived in insolence and would not serve the Lord on High and the spirits. He cast * The “man of Hsia” is Chieh; Chung Hui is identified as a minister of

, King T’ang, who overthrew Chieh. Both this and the following quotation are presumably from lost sections of the Book of Documents.

*Mo Tzu apparently feels justified in making this statement because the words translated as “mandate” and “orders” are written with the same character as the word “fate.” Taken in context, however, the words are so far apart in meaning that the quotation can hardly be said to prove that Chieh believed in fate.

Against Fatalism 123 aside his ancestors and the spirits and would not sacrifice to them, saying, ‘My people are ruled by fate.’ He gave himself up to arrogance and tyranny, and Heaven thereupon cast him aside and would not protect him.” ‘This shows how King Wu condemned Chou’s belief in fate. Now if we were to accept the theories of the fatalists, then those above would not attend to affairs of state and those below would not pursue their tasks. If those above do not attend to affairs of state, then the government will fall into

disorder, while if those below do not pursue their tasks, there | will not be enough wealth and goods. There will be no way to provide millet and wine for offerings to the Lord on High and the spirits above, and no way to provide security for the worthy and able men of the world below. There will be no means to entertain and conduct exchanges with the feudal lords who come as guests from abroad, while within the state there will be no means to feed the hungry, clothe the cold, and care for the aged and weak. Hence fatalism brings no benefit to Heaven above, no benefit to the spirits in the middle

realm, and no benefit to mankind below. Those who insist upon holding such views are the source of pernicious doctrines, and theirs is the way of evil men.

| Therefore Mo Tzu said: If the gentlemen of the world truly hate poverty and wish to enrich the world, if they truly hate disorder and wish to bring order to the world, then they cannot but condemn the doctrines of the fatalists, for these bring great harm to the world.

re AGAINST CONFUCIANS

PART I | (SECTION 39)

The Confucians? say: “There are degrees to be observed in treating relatives as relatives, and gradations to be observed in honoring the worthy.” ? They prescribe differences to be observed between close and distant relatives and between the honored and the humble. Their code of rites says: “Mourning for a father or mother should last three years; for a wife or eldest son, three years; for a paternal uncle, brother, or younger

son, one year; and for other close relatives, five months.” Now if the length of the mourning period is determined by the . degree of kinship, then close relatives should be mourned for a long period and distant relatives for a short one. Yet the ' *The word ju, translated here as “Confucians,” denotes a group of scholars in Chou times who devoted particular attention to matters of ritual and etiquette. Confucius became their most renowned representative, _

and after his time the word customarily refers to his disciples and those scholars who followed his teachings. The Huai-nan Tzu, a work of the 2d century B.c., states (ch. 21.) that Mo Tzu himself in his youth studied the teachings of the ju. ? The “Doctrine of the Mean,” a section of the Confucian Book of Rites,

contains a passage much like this. “Benevolence is acting like a human being, and the most important part of it is treating one’s relatives as relatives. Righteousness is doing what is right, and the most important part of it is honoring the worthy. The degrees to be observed in treating one’s relatives as relatives, and the gradations to be observed in honoring the worthy, are the result of ritual principles” (Chung yung XX, 5). Legge translates the phrase ch’in ch’in as “loving Cone’s) relatives,’ but I have used the more literal “treating one’s relatives as relatives” in order tc distinguish this type of love from the very different “universal love” advo cated by Mo Tzu.

Against Confucians 125 Confucians mourn the same length of time for a wife or eldest son as for a father or mother. And if the length of the mourning period is determined by the degree of honor due, then this means that the wife and eldest son are honored the same as the father and mother, while the paternal uncles and

| brothers are placed on the same level as younger sons! What could be more perverse than this? * When a parent dies, the Confucians lay out the corpse for a long time before dressing it for burial while they climb up onto the roof, peer down the well, poke in the ratholes, and search in the washbasins, looking for the dead man. If they

suppose that they will really find the dead man there, then they must be stupid indeed, while if they know that he is not |

there but still search for him, then they are guilty of the

greatest hypocrisy.* |

When a Confucian takes a wife, he goes to fetch her in

person. Wearing a formal black robe, he acts as his own coachman, holding the reins and handing her the cord by which to pull herself up into the carriage, as though he were escorting an honored parent. ‘The wedding ceremonies are conducted. with as much solemnity as the sacrifices to the ancestors. High *Mo Tzu is assuming that there is a closer relationship between a man and his parents than between a man and his wife and children, and that he owes greater respect to his parents and elder relatives than to his younger

ones. The Confucians agreed in principle with these assumptions but, as we may see from their rules for mourning, modified them somewhat in

practice.

*'These were ancient practices handed down from the time when people really believed that they could find the soul of the dead man and bring him

back to life. The Confucians, with their fondness for old rites, probably continued to practice them in Mo Tzu’s time. Confucian works such as the Book of Rites actually advocate the practice of “ascending the roof” to call back the dead man, not because such rituals were believed to have any real efficacy, but because they were regarded as fitting expressions of love for the deceased.

126 Mo Tzu | and low are turned upside down, and parents are disregarded

and scorned. Parents are brought down to the level of the wife, and the wife is exalted at the expense of service to the parents. How can such conduct be called filialP The Confucians say: “One takes a wife in order that she may aid in the sacrifices to the ancestors, and the son who is born of the union will in time become responsible for maintaining the ancestral temple. Therefore the wife and son are highly re-

garded.” But we reply that this is false and misleading. A man’s uncles and older brothers may maintain the temple of

| the ancestors for many years, and yet when they die the Confucian will mourn for them only one year. The wives of his brothers may aid in the sacrifices to the ancestors, and yet when they die he will not mourn for them at all. It is obvious, therefore, that the Confucians do not mourn three years for wives and eldest sons because wives and eldest sons maintain or aid in the sacrifices. Such concern for one’s wife and son is a troublesome involvement, and in addition the Confucians try to pretend that it is for the sake of their parents. In order to favor those whom they feel the most partiality for, they slight those whom they should respect the most. Is this not the height of perversity? In addition, the Confucians believe firmly in the existence of fate and propound their doctrine, saying, “Long life or early death, wealth or poverty, safety or danger, order or disorder are all decreed by the will of Heaven and cannot be modified. Failure and success, rewards and punishments, good fortune and bad are all fixed. Man’s wisdom and strength can do nothing.” If the various officials believe such ideas, they will be lax in their duties; and if the common people believe

them, they will neglect their tasks. If the officials fail to

Against Confucians 127 govern properly, disorder will result; and if agriculture is neglected, poverty will result. Poverty and disorder destroy the basis of the government, and yet the Confucians accept such ideas, believing that they are the doctrine of the Way. Such men are the destroyers of the people of the world! Moreover, the Confucians corrupt men with their elaborate and showy rites and music and deceive parents with lengthy mournings and hypocritical grief. They propound fatalism, ignore poverty, and behave with the greatest arrogance. They

turn their backs on what is important, abandon their tasks, and find contentment in idleness and pride. They are greedy

for food and drink and too lazy to work, but though they find themselves threatened by hunger and cold, they refuse to change their ways. They behave like beggars, stuff away food like hamsters, stare like he-goats, and walk around like castrated pigs. When superior men laugh at them, they reply angrily, “What do you fools know about good Confucians?” In spring and summer they beg for grain, and after the har-

vests have been gathered in they follow around after big funerals, with all their sons and grandsons tagging along. If

they can get enough to eat and drink and get themselves put | in complete charge of a few funerals, they are satisfied. What wealth they possess comes from other men’s families, and what favors they enjoy are the products of other men’s fields. When there is a death in a rich family, they are overwhelmed with joy, saying, “This is our chance for food and clothing!” The Confucians say: “The superior man must use ancient speech and wear ancient dress before he can be considered

benevolent.” But we answer: The so-called ancient speech and dress were all modern once, and if at that time the men of

antiquity used such speech and wore such dress, then they

128 Mo Tzu | |

must not have been superior men. Must we then wear the dress of those who were not superior men and use their speech before we can be considered benevolent?

Again the Confucians say: “The superior man should be

a follower and not a maker.” ®> But we answer: In ancient | times Yi invented the bow, Yii invented armor, Hsi-chung invented carts, and the craftsman Ch’iu invented boats. Do the Confucians mean, then, that the tanners, armorers, cartmakers and carpenters of today are all superior men and Yi, Yu, Hsi-chung, and the craftsman Ch’iu were all inferior 7: men? Moreover, someone must have invented the ways which

the Confucians follow, so that in following them they are, by their own definition, following the ways of inferior men. The Confucians also say: “When the superior man is vic-

torious in battle, he does not pursue the fleeing enemy. He | protects himself with his armor, but does not shoot his arrows, and if his opponents turn and run, he will help them push their heavy carts.” But we answer: If the contestants are all benevolent men, then they will have no cause to become ene-

mies. Benevolent men instruct each other in the principles of giving and taking, right and wrong. ‘Those without a cause

will follow those who have a cause; those without wisdom ——

will follow those who are wise. When they have no valid arguments of their own, they will submit to the arguments of

| others; when they see good, they will be won by it. How then could they become enemies? And if both parties in the struggle are evil, then although the victor does not pursue his fleeing opponents, protects himself with his armor but refrains from shooting them, and helps them push their heavy carts if ° Probably a reference to Confucius’ description of himself as “a transmitter, and not a maker” (Analects VII, 1). The verb tso, “to make,” may also mean “to invent.”

| Against Confucians 129 they turn and run—though he does all these things, he will still never be considered a superior man. Let us suppose that - a sage, in order to rid the world of harm, raises his troops and

sets out to punish an evil and tyrannical state. But, having gained victory, he employs the methods of the Confucians and

orders his soldiers, saying: “Do not pursue the fleeing enemy! | Protect yourselves with your armor but do not shoot your arrows, and if your opponents turn and run, help them push their heavy carts.” ‘Then the evil and disorderly men will get away alive, and the world will not be rid of harm. This is to inflict cruelty upon the parents of the world and do the age

a great injury. Nothing could be more unrighteous. Again the Confucians say: “The superior man is like a bell. Strike it and it will sound; do not strike it and it will remain silent.” But we answer: The superior man exerts the utmost

loyalty in serving his lord and strives for filial piety in serving his parents. If those whom he serves achieve goodness, he will

praise them; and if they have any fault, he will admonish them. This is the way of a subject. Now if one sounds only when struck and remains silent otherwise, then one will be concealing his knowledge and sparing his strength, waiting in dumb silence until he has been questioned. ‘Though he may know of some way to bring benefit to his lord or parents, he will not mention it unless asked. A great revolt may be about

to break out, bandits to rise up, or some trap to spring, and no one knows of it but himself, and yet, though he is actually in the presence of his lord or his parents, he will not

mention it unless asked. This is the most perverse kind of treason! As subjects such men are disloyal; as sons they are unfilial. They are disrespectful in serving their elder brothers

and unfaithful in their dealings with others. | _ Though one may prefer not to speak out in court before

130 Mo Tzu being questioned, he should at least be concerned to speak | out when he sees something that will profit himself. And if the ruler makes some proposal that does not seem beneficial, one should fold one’s hands, gaze at the ground and, speaking in a hoarse voice as though lost in thought, reply, “I do not

fully understand the matter. Though it is an emergency, we must avoid acting wrongly.” ° Every doctrine, discipline, and standard of benevolence and righteousness is intended on a larger scale to be used in governing men, and on a smaller scale to fit one for holding oflice; abroad it is to be spread among all men, and at home it serves for self-cultivation. One should not abide in unrighteousness

nor practice what is not in accordance with principle. He should work to promote what is beneficial to the world, both directly and indirectly, and avoid what is of no benefit. This is the way of the superior man. And yet, from what we have heard of the conduct of Confucius, it was exactly the opposite of this.

Duke Ching of Chi asked Master Yen, “What sort of man is Confucius?” Master Yen did not reply. The duke asked once more, but again Master Yen did not reply. Duke Ching said, “Many people have spoken to me about Confucius, and all of them believed him to be a worthy man. Now when I ask you about him, why don’t you answer?” Master Yen replied, “I am a worthless person and incapable of recognizing a worthy man when I see one. But I have heard ° The translation of this paragraph is highly tentative.

7 Master Yen or Yen Ying Cd. 500 B.c.), acted as chief minister to Duke Ching and two of his predecessors. He was noted for his emphasis upon frugality in government and was a favorite figure of Mo-ist writers. A collection of anecdotes about Yen Ying and the rulers he served, strongly colored by Mo-ist thinking, is preserved under the title Yen-tzu ch’un-ch’iu CSpring and autumn of Master Yen).

Against Confucians 131 it said that when a worthy man enters a foreign state, he will do his best to promote friendly relations between its ruler and its subjects and to dispel hatred between superiors and subordinates. Yet when Confucius went to the state of Ching, he knew that the lord of Po was plotting revolt, and yet he aided

him by introducing Shih Ch’i to him. As a result the ruler almost lost his life and the lord of Po suffered punishment.® I have also heard that when a worthy man obtains favor with those above, he does not waste the opportunity, and when he

- obtains favor with those below, he does nothing dangerous. If his words are heeded by the ruler, they will bring benefit to men; if his doctrines are carried out by those below, they will bring benefit to the ruler. His words are plain and easy to understand; his conduct is plain and easy to follow. His conduct and righteousness enlighten the people; His plans

| and schemes bring understanding to the lord and his ministers. Now Confucius conceived deep plans and far-reaching schemes in the service of a traitor. He racked his brain and exhausted his wisdom in carrying out evil. To encourage subordinates to rebel against their superiors and teach subjects how to murder their lords is not the conduct of a worthy man! To enter a foreign state and ally oneself with its traitors is

not the mark of a righteous man. To realize that men are being disloyal and yet urge them on to rebellion is not in accordance with benevolence and righteousness, To hide from __

others and then plot, to flee from others and then speak—this | * The lord of Po, a prince of the state of Ch’u Cor Ching, as the text designates it here), led a revolt against the ruler of Ch’u in 479 B.c., the year of Confucius’ death. He was quickly defeated and committed suicide. According to all reliable sources, both Duke Ching and Yen Ying had by this time been dead for some years. There is likewise no evidence that Confucius ever had any connection with the lord of Po or his famous

retainer, Shih Chi. | |

132 Mo Tzu is not the kind of conduct and righteousness that enlightens the people; this is not the kind of planning and scheming that brings understanding to the ruler and his ministers. I cannot see how Confucius is any different from the lord of Po. That is why I did not answer your question.” Duke Ching said, “I have benefited greatly by your works. If it were not for you, I would never have realized that Confucius is the same as the lord of Po!”

Confucius went to the state of Ch’i and had an interview } _ with Duke Ching. Duke Ching was pleased with him and wanted to enfeoff him in Ni-ch'i. When he announced his intention to Master Yen, the latter said, “That will not do! The Confucians behave in an arrogant and self-righteous

manner, which makes it impossible for them to set a good example for their subordinates. They love music and corrupt

others, which makes it impossible to entrust them with a personal share in the government. They preach fatalism and | neglect their tasks, which makes it impossible to entrust them with an office. They make much of funerals and seek to prolong grief, which makes it impossible for them to take proper care of the people. They wear strange clothes and affect a humble manner, which makes it impossible for them to be leaders of the multitude. Confucius, with his imposing appearance and attention to elaborate detail, misleads the age. With his music and dancing he attracts followers; with his multitude of ritual prescriptions to be observed in ascending and descending stairs he propounds his ceremonies; with his emphasis upon the rules for hastening and scurrying about court he impresses the multitude. His broad learning is of no use in deciding what is right for the age; his labored thinking does nothing to aid the people. One could live a couple of life- | times and still not master all the learning of the Confucians;

| Against Confucians 133 in all those years one could not succeed in carrying out all

their rites; while the largest fortune would not be sufficient . to cover the expenses of their music. With their attention to appearance and detail and their evil practices they delude the

rulers of the time; with their elaborate musical performances | _ they corrupt the ignorant people. ‘Their doctrines cannot be used as a model for the age; their learning cannot be used to guide the multitude. Now you intend to enfeoff Confucius because you hope he will reform the customs of the people of Ch’i, but this is not the way to lead the nation and guide the multitude!”

“Very well,” said the duke. After that he treated Confucius

with generosity and courtesy but withheld the fief. He received him with respect but did not inquire about his doc-

trines.

Confucius was furious and grew angry at Duke Ching and Master Yen. He persuaded Ch’ih-i Tzu-p'i to become a follower of T’ien Ch’ang and then, having told Master Hui of

Nan-kuo what he wanted done, returned to Lu.® After a while, word came that Ch’i was planning to attack Lu. Confucius said to his disciple Tzu-kung, “T’z’u, now is the time to begin the great undertaking!” He then sent T'zu-kung to Ch’i, where, through the introduction of Master Hui of Nan-kuo, ° The T’iens, who had originally been rulers of the state of Ch’en and are therefore often referred to by the surname Ch’en, were a powerful ministerial family of Ch’i who eventually overthrew the ducal house of Ch’i and assumed rulership of the state. In 481 B.c., two years before Con-

fucius died, T’ien Ch’ang assassinated Duke Chien of Ch’'i, and this is

, the “revolt” referred to later on. As in the previous anecdote, the Mo-ists are attempting to show that Confucius and his disciples were at the bottom

of all this dirty work, though there is no evidence in other sources to _ support this. On the contrary, Analects XIV, 22, and Tso chuan, Duke

| Ai 14, tell us that, when T’ien Ch’ang assassinated Duke Chien, Confucius personally urged the duke of Lu to undertake an expedition to punish him.

134 Mo Tzu he was able to see T’ien Ch’ang. He urged T’ien Ch’ang to attack Wu instead of Lu, and persuaded Kao-kuo Pao-yen not to interfere with T’ien Ch’ang’s plans for revolt, ‘Then he went and urged Yiieh to attack Wu. For three years both Ch’i and Wu were in danger of being destroyed, and the corpses of the dead piled up in countless numbers. This was due to the scheming of Confucius.

When Confucius was acting as minister of justice in Lu, he spurned the ducal house and supported Chi Sun.”” Chi Sun was prime minister of Lu, but he ran away from his post and, as he was struggling with the men of the city to get out | the gate, Confucius lifted up the gate bar for him. Once, when Confucius was in trouble between T’s’ai and ‘Ch’en, he lived for ten days on soups made of greens without any rice mixed in."? His disciple Tzu-lu boiled a pig for him,

and Confucius ate the meat without asking where it had come from. Tzu-lu also robbed someone of his robe and exchanged it for wine, and Confucius drank the wine without asking where it came from. But when he was received by Duke Ai of Lu, Confucius refused to sit down unless his mat was straight, and refused to eat unless the food was cut up properly. Tzu-lu came forward and asked, “Why do you do the opposite of what you did when we were between Ch’en

and T’s’ai?” |

Confucius said, “Come here, and I will tell you. At that time we were intent upon staying alive. Now we are intent

© Chi Sun was a member of a powerful ministerial family of Lu that, like the T’ien family in Ch’i, had in effect usurped control of the government from the ducal family. Again there is no evidence to support the charges made against Confucius.

“The fact that Confucius and his disciples, in the course of their travels, ran out of provisions in the area of the states of Ch’en and Ts’ai, is attested by Analects XV. The rest of the anecdote is apocryphal.

| Against Confucians — 135 upon acting righteously.” Thus when Confucius was. starving

and in trouble, he did not hesitate to grab at anything at all to keep himself alive, but when he was satiated he behaved hypocritically in order to appear refined. What greater vileness and hypocrisy could there be?

Once, while Confucius was sitting and chatting with his disciples, he said, “When Shun saw Ku Sou, he felt uneasy. At that time, the empire was in danger.’* Tan, the duke of Chou, was not a benevolent man, was he? Why did he abandon his home and go off to live alone?” *

Such was the conduct of Confucius and the way his mind

worked. His followers and disciples all imitated him. Thus, | Tzu-kung and Chi Lu aided K’ung Li in raising a revolt in the state of Wei; Yang Huo revolted in Ch’i; Pi Hsi held the

territory of Chung-mou in rebellion; and Ch’i Tiao suffered | a mutilating punishment. No one could be worse than these men! 14

Disciples and students, following their teacher, will practice * Ku Sou was the evil father of Shun. The remark is: found in many early works, and is customarily interpreted to mean that Shun was uneasy at the thought that, though ruler of the empire, he was obliged to remain

respectful and obedient to such an evil parent. The Mo-ists, however, apparently interpreted it as an attack by Confucius on the character of Shun. There is no evidence that Confucius actually made the remark. ** A legend, repeated elsewhere in the Mo Tzu (ch. 11, sec. 46), says that

the duke of Chou, brother of King Wu, resigned from his ministerial position at court and retired for a time to his fief in Lu. Since he was revered as a sage, the Mo-ists are attempting to damage Confucius’ reputation by picturing him as sneering at the duke of Chou. “'Tzu-kung and Chi Lu, ie., Tzu-lu, were disciples of Confucius. There

is no evidence, however, that the former had anything to do with the , revolt in Wei, and the name should perhaps be emended to Tzu-kao, an official of Wei who was said to have been a disciple of Confucius. Tzulu’s part in the revolt, which took place in 480 B.c., is recorded in Tso chuan, Duke Ai 15. The other men mentioned seem to have had little

or no connection with Confucius. |

136 Mo Tzu his doctrines and use his conduct as a model, only in some cases their strength and wisdom are not equal to those of the teacher. Now if Confucius behaved in such a way, it is obvious that Confucian scholars should be regarded with suspicion!

INDEX | : Ai, Duke, of Lu, 134 Ching, Duke, of Ch’i, 130-33 Analects, 45n, 133”, 134n; quoted, Chou (king), 27, 31, 57-58, 75,

7, 128n 81, 91, 100, 106-7, 118, 120,

Animals, domestic, 87 , 122-23

of, li3-5 100, 102 , Chou (Rites of Chou), 63n Benefits given to men of merit, 20- Chu-jung, 57

Argumentation, Mo Tzu’s method Chou (state), 21”, 272, 58, 96,

21, 24-25 Ch’u (state), 1-2, 58, 59”, 71, 97,

Benevolence, 124 131n

Book of Documents, 1, 4, 8-9, 16; Chuang, Lord, of Ch’i, 98-99

, quoted, 29, 31-32, 44, 45, 91, Chuang Tzu, quoted, 13 103—4, 115—16, 122-23 Chuang Tzu-i, 97 Book of Odes, 1, 4, 8-9, 16; quoted, Chung Hui, 122

25, 32-33, 46, 47, 85, 90, 102 Chung-li Chiao, 99

Book of Rites, 125 Chung-mou (state), 135

Confucians, 124-36; and Mo-ists, ,

Carpenter, 83, 92 — 6-14 passim Ch’en (state), 133 Confucius, 130-36; quoted, 7; see Chi (minister), 31, 32 also Confucians Chi Lu CTzu-lu), 134, 135 Crime, warfare as, 50-55 Chi Sun, 134 Criteria of judgment, Mo Tzu’s, 3- |

Ch’i (city), 58 5, 117-18

kuan”), 116 ,

Ch’i (man mentioned in “Wu _ Customs, savage, 75-76 Chi (state), 59, 71, 97, 133, 134, Declarations, 119

139 “Doctrine of124n the Mean,” quoted, Ch’i Tiao, 135 Chieh (king), 27, 31, 57, 75> 81, ,

QI, 105—6, 115, 118, 122 ; Chien, Duke, of Ch’i, 133 E Lai, 107 , Chien, Duke, of Yen, 97-98 Emperor, and Heaven, 80-81

Chin (state), 48, 59, 71 | Ch’in (state), 59n, 97 Faults, of Confucians, 124-36 . Ch'ihi Tzw-p'i, 133 Expenditure, moderation in, 62-64

Ch'in Ai, quoted, 107 passim

Ching (country), 47 Fatalism, 117-23, 126-27 Ching (Ch’u; state), 131 Fei Chung, 107

138 Index oe Filial piety: described, 46-47; com- Kao T’ao Ciminister), 31

pared with concern for welfare Kao Yang, 56 of empire, 65; and funeral ob- Karlgren, Bernhard, 32”

servances, 65—77 passim Kou-chien, King, 48

Fu Lake, 21, 29 Kou Mang, 97

Fu Ytieh, 29-30 Koyanagi Shigeta, 16

Funerals: moderation in, 65-77; Ku Sou, 135

elaborate, requirements for, 67, Kuan-ku the Invocator, 98

. 73—74, results of, 68~72, 74-75; Kun, Lord, 31 tules of sage kings for, 72; Mo K’ung Li, 135 Tous , ules for, 76; Confucian Lamb, sacrificial, as agent of super-

practices, 125 natural punishment, 99 Ghosts, 94-109 _ Legge, James, 124n

Government, 18-33 passim; effect Li (king), 27, 31, 75, 82, 91 of elaborate funerals and mourn- Ling, King, 47

ing on, 69-70 Logic, Mo-ists and, 2 Lord on High, 71-72

Heaven: ways of, 30; and the em- Love, of Heaven for mankind, 81-

peror, 35”; offensive warfare as 82, 88-92 -

93 Lu, duke of, 133 Hierarchy, establishment of, 34-37. Ly Kuang-huan, 14n crime against, 53-54; will of, 78- Lu (state), 133, 134

History, as a criterion, 3~4, 99-104 Ji Shang, 59 Honoring the worthy, see Worthy, Luxury, 63, 110-16 honoring

103, 104 125-26

Hsia (dynasty), 21”, 270, 57, 100, Marriage, 63-64; Confucian rites,

Hsiung-ch’ti, 58-59 Mei, Yi-pao, 17

Hsiung-li, 58 Mencius, quoted, 11 Hsiian, King, 96 Mo (tattoo), 5

Hsiin Tzu, 157 Mo, Master, see Mo Tzu Hu, lord of Ch’ung, 104, 106 Mo Ti, see Mo Tzu Hui, Master, of Nan-kuo, 133 Mo Tzu: life of, 1-2; followers of,

Huai-nan Tzu, 1, 124n 2; personality, 5; theories on na-

Hung-yao T’ai-tien, 21 tionality of, 14

Mo Tzu: subjects treated in, 2-3; Identifying with one’s superior, see style of, 14-15; corruption of the Superiors, identification with text, 16; translations and works

on, 16-17 :

; cline of, 12-14

in Mo, 1 4 Mowst seo" division of, 2, 3; deJung tribes, 73 Mount Ch’iung, 73 K’ai-shu Cland), 75 Mount K’uai-chi, 73

Kan, 103 Mount Li, 29 K’ang, Duke, of Ch’i, 112 Mount Sui, 58

Index 139 Mount T’ai, 44 Shaman, spirit of, 98 Mourning: rules for, 67-68, results Shang CYin) dynasty, 21n, 270,

of, 68-72; rules of sage kings for, 57, 58, 90, 100, 102-3 ,

72; Mo Tzuw’s rules for, 76; Con- She-chi, 97 | ,

fucian rules for, 124-25, 126 Shih Ch’i, 131

Mu, 107 Shun (sage king), 21, 24, 29, 30,

Mu, Duke, of Cheng, 96n 3in, 66, 75, 89, 100, 135; fu-

Mu, Duke, of Ch’in, 96-97 neral of, 73 ,

Music, 110-16 States, large and small, relations between, 59—60

Nan-chi, 73 Statutes, 118-19 , Ni-ch’i, 132 Sun I-jang, 16 Sung (state), 1, 97

Pao, Lord .Wen of Sung, 98 Superior man, Confucian rules for,

Partiality, 39-43 passim, 91 127~29

Pi Hsi, 135 34-38 Po, 57, 120 Supernatural manifestations, 56-58 .

Peace, Mo Tzu’s concern for, 1-2 Superiors, identification with, 7-8, Po, lord of, 131-32

Po Yi, 31n, 32 T’ai-tien, 58

: Population: increasing, 63—64; effect Tan, duke of Chou, 135 of elaborate funerals and mourn- ‘T'ang (sage king), 21, 24, 29, 30,

ing on, 69 45, 56, 57, 66, 75, 80, 81, 86,

Practicability, as a criterion, 3~4 100, 106, 115, 118, 120, 122

P’u, 96 T’ang-shu, 59 Punishment, codes of, 119 Ta-tsan, 106

Punishments, five, 38n Three Dynasties, 21” Thunder Lake, 29

Quotations, Mo Tzu’s use of, 16 Ti tribes, 73

Tien Ch’ang, 133-34

Religion, Mo-ist view of, 8-9 T’ien family, 133”

“Riding-yellow” beast, 58 Ting-mao, 104

Righteousness, 79-93 passim, 119- Ts’ai (state), 133

21, 124n Tso chuan, 9, 133, 135”

Rites of Chou (Chou li), 63n Tsu, 97

43 T’ui-i Ta-hsi, 106

Ruler: partial, 43; universal-minded, Tu Po, 96

Ruling class, Mo-ist attitude towards, Tzu-kao, 135”

6 Tzu-kung, 133-34, 135 Tzu-lu CChi Lu), 134, 135

Sacrifices, 98, 100-9 passim; hu- ,

| man, at funerals, 67, 68n Universal love, 1, 2, 9-11, 39-51,

Sang-lin, 97 89-90 Senses, evidence of, as a criterion, Universality, see Universal love

3, 4, 95 ff. Unrighteousness, 79-92 passim

140 Index Views, differing, and world disorder, Wu (state), 134 34 “Wu kuan,” quoted, 116 Wu-ting, 30

Waley, Arthur, 1137; quoted, 2

| Wan dance, 113, 116 Yang Chu, 11 ~Wang-li Kuo, 98-99 Yang Huo, 135

Warfare: Mo-ists and, 2; offensive, Yao (sage king), 21, 24, 29, 30, 66, ,

50-61; punitive, 56-58, 100, 75, 89, 100; funeral of, 72-73 - 103-4, 106—7; effect of elaborate Yen (land), 75—76

funerals and mourning on, 7o— Yen (state), 97-98 71; Confucian rules for, 128-29 Yen CYen Ying), Master, 130-33

Way, of the sage, 32-33 Yen-izu ch’un-chiu, 130n Way and Its Power, The CWaley), Yi, 21

quoted, 2 Yi Chih CYi Yin), 21, 29

Wealth: conservation of, 62-63; Yi-ch’u Cland), 76 waste of, by elaborate funerals, Yi-k’uei, 58-59 67, 68-69, by musical perform- Yi tribes, 73

ances, 110-16 passim Yi Yin CYi Chih), 21, 29

Wei (state), 135 Yin (country), 21 Wen (sage king), 21, 24, 30, 44, Yin (dynasty), see Shang CYin) 46, 58, 66, 75, 80, 81, 89, 90, dynasty : 100, 102, 120 Yu Cking), 27, 31, 75, 81, 91 Wen, Duke, 48 Yu Cminister), 31, 32

Wheelwright, 83, 92 Yi (sage king), 21, 24, 30, 45, 56, Worthy, honoring, 6-7, 18-33; in- 66, 75, 80, 81, 89, 100, 103; fu-

creasing the number of, 18 ff. neral of, 73 Worthy man, behavior of, 23-24 Yii (state), 100 Wu (sage king), 24, 30, 44n, 46, Yii Hsing-wu, 16 56, 58, 66, 75, 80, 81, 89, 100, Yiieh (state), 48, 59, 71, 134

106-7, 118, 123 Yiin-meng, 97

HSUN TZU

BLANK PAGE

CONTENTS ae

INTRODUCTION I

ENCOURAGING LEARNING 15

IMPROVING YOURSELF 24 THE REGULATIONS OF A KING 33 DEBATING MILITARY AFFAIRS 56

A DISCUSSION OF HEAVEN , 79 A DISCUSSION OF RITES — 89

A DISCUSSION OF MUSIC 112 DISPELLING OBSESSION 121

RECTIFYING NAMES 139

INDEX 173

MAN’S NATURE IS EVIL | 157

BLANKPAGE ©

re INTRODUCTION ~~ What little is known of the life of Hsiin Tzu, or Master Hsiin,

is culled from evidence in his own writings and from the brief biography of him written by the historian Ssu-ma Ch’ien

some hundred years or so after his death, which forms part of Chapter 74 of the Shih chi. His personal name was Kuang,’

and he was a native of Chao, a state situated in the central | part of northern China. The date of his birth is unknown, but it was probably around 312 8.c., when his famous predecessor in the Confucian school, Mencius, was already well along in years. Nothing whatever is known of his early life; we hear of him first at the age of fifty, journeying to the court of the state of Ch’i to study and teach.

In 386 B.c. the T’iens, who for generations had served as ministers to the royal family of Ch’i, usurped the throne of Ch’i and set themselves up as its new rulers. In order to consolidate their power and prove their fitness for so lofty a station, these new rulers of the T’ien family, particularly the second major one, King Hsiian (reigned 342-324 B.c.), encouraged scholars from other regions to come to the court of _ Chi by offering them honorary titles, stipends, living quarters, and complete leisure to pursue their studies and expound their various doctrines. Before long Ch’i had become the leading center of intellectual activity in China; Mencius visited the + He is often referred to as Hsiin Ch’ing or Ch’ing-tzu, though it is not certain whether Ch’ing is a name or an honorary title like “lord.” His surname is frequently written with the character for “grandson,” pronounced Sun in modern Chinese; perhaps the two characters Hsiin and Sun were homophones in ancient Chinese, though other explanations are offered.

2 Hsiin Tzu state during the reign of King Hsiian and many other well known philosophers resided there permanently. By the time Hsiin Tzu arrived in Ch'i, probably around 264 B.c., the ranks of government-supported scholars attracted

by King Hsiian and his successors had been thinned by death, and Hsiin Tzu was welcomed as an eminent elder and honored with titles and marks of esteem. Because of slanderous

talk against him, however, he eventually left Ch’i and went

south to the state of Ch’u, where the lord of Ch’un-shen, nominally the prime minister of Ch’u but virtually its ruler,

| appointed him to the post of magistrate of Lan-ling, a region in southern Shantung. The Lord of Ch’un-shen was assassi-

| nated by a court rival in 238 B.c. (the only date in Hsiin Tzu’s life that can be fixed with certainty), and Hsiin Tzu lost his _ post as magistrate, but remained in Lan-ling the rest of his

life and was buried there. The date of his death is unknown, so it is impossible to say whether he lived to witness the final unification of China under the First Emperor of the Ch’in, which was completed in 221 B.c. The book which bears his name indicates that Hsiin Tzu visited the state of Ch’in, probably during the period 266-255 B.c., and that he debated military affairs in the presence of

King Hsiao-ch’eng (reigned 265-245 B.c.) of his native state of Chao. He undoubtedly had many disciples, and it is unfortunate for his reputation as a Confucian that the two most famous of them should have been Han Fei Tzu, who became the leading exponent of the Legalist school, and Li Ssu, the statesman who assisted the First Emperor of the Ch'in in the unification of the empire, both men whose names are inseparably linked with the ridicule and persecution of Confucianism.

Hsiin Tzu’s life, then, or what can be known of it, was a

Introduction 3 long and rather quiet one of teaching and study, with a minor excursion into local political administration. Later scholars

have marveled that his worth, like that of Confucius and Mencius, should have been so little recognized by the political leaders of his time, and that he should have been allowed to live and die in relative obscurity. But the rulers of China, it seems, were not yet ready to give serious ear to the teachings of the Confucian school. In Hsiin Tzu’s day China was dominated by three powerful states: Ch’i in the east, Ch’u in the south, and Ch’in in the west. In the northwest and northeast four or five smaller states, among them Hsiin Tzu’s native state of Chao, maintained a precarious existence by allying themselves with one or another

of the major powers. The old ruling house of Chou, which __ | once claimed sovereignty over all these so-called feudal states, had dwindled into utter insignificance, its territory shrunken to a tiny area in the center of China, its ancient ritual vessels and emblems of authority eyed with greed by its neighbors, and in 249 B.c. the dynasty finally passed out of existence altogether. For the first time in history, if traditional accounts are to be believed, China was left without even a nominal

_ Son of Heaven, and no one knew where to turn his eyes in the hope of peace and unity. Known as the era of the Warring States, this period was an age of political instability and ferment, of incessant intrigue and strife. Paradoxically, it was also an age of prosperity and cultural

progress. Trade flourished, cities increased in size, men trav- | eled freely from one state to another, and literacy and learning spread beyond the narrow confines of the ruling class. Even

the art of warfare, though a melancholy index of progress, achieved a scale and complexity undreamed of in earlier days. The rulers of the various states, roused by the fierce com-

4 Hstin Tzu , petition for survival, cast about for ways to improve the efhciency of their administration, win the support of their people, and enrich their domains. In response to their call, thinker after thinker came forward to offér his analysis of the prob-

lem and propound his solution. Return to the ways of antiquity, make better use of the land, lessen your desires, love the people, leave things alone!—advice swamped the rulers, and each set about assiduously applying that which took his fancy.

Hsiin Tzu lived at the very end of this period, and therefore in his solution to the ills of the time he was able to draw upon the speculations and suggestions of his predecessors, at the same time refuting what he believed to be their errors. His thought is thus marked by eclecticism, embracing a strain of

Taoist quietism, a hard-headed realism reminiscent of the Legalist writers, a concern for the correct use of terminology which he had learned from the philosophers of the school of Logic, and other borrowings which, if more of the writings of his predecessors were extant, could undoubtedly be identified with greater certainty. Again, perhaps because of the advantage he enjoyed in being able to survey the entire range of ancient thought, Hstin Tzu’s work represents the most complete and well-ordered philosophical system of the early period. It is so well ordered

and integrated, in fact, that one scarcely knows where to begin in describing it, since each part fits into and locks with all the others. The core of it is the ethical and political teach-

ings of Confucius and his disciples, but around this core cluster areas of investigation and speculation that were hardly touched upon in earlier Confucian writing. As a philosophical system, Hsiin Tzu’s thought rests upon the harsh initial thesis that man’s nature is basically evil. Con-

| Introduction 5 sidering the cutthroat age he lived in, this is not a surprising conclusion, and it allows him to place tremendous emphasis upon the need for education and moral training. But it flatly

contradicts the view of Mencius, who taught that man is naturally inclined to goodness, and in later centuries, when Mencius’ view came to be regarded as the orthodox one, it led

thought. |

to an unhappy clouding of Hsiin Tzu’s entire system of To this dark initial thesis Hsiin Tzu contraposes the almost unlimitedly bright possibilities for improvement through study

and moral training. The subject of this study is to be the classical texts, the rituals and ritual principles created for man’s guidance by the sages of the past and present; and the teach-

ers are to be the sages themselves. Are we to assume, then, that these sages, the saviors of mankind from inborn evil, belong to some species apart? Absolutely not, replies Hsiin Tzu. The sages in their basic nature and desires are exactly like all other men; only, as he explains in a strikingly modern chapter on epistemology and psychology, they have learned to employ their minds in such a way as to attain moral understanding and insight. And on the basis of this understanding

they are able to define correctly the ethical relationships that | govern the hierarchical order of society, the order which distinguishes man from the beasts.

The proper end of this process of education, the proper function of the sage, is to govern. Once he has become not only sage and teacher, but ruler as well, he may, as Hsiin Tzu explains in his chapters on political science, economics and ritual, set about ordering the state on the basis of proper morzil principles and insuring peace and prosperity to the world.

Like so many of his predecessors and contemporaries, Hsiin Tzu frequently harks back to the golden ages of the past—

6 Hsiin Tzu the reigns of the sage rulers Yao, Shun, Yii, King T’ang of the Shang dynasty, and Kings Wen and Wu of the Chou— as examples of such periods of ideal peace and order. But, unlike most Confucian philosophers, he also urges men to ob-

serve the examples of later rulers of virtue, who lived in the less distant past and whose ways are therefore easier to learn about and to practice. Hsiin Tzu maintained that, although political and social conditions invariably change, human nature and basic moral principles do not, and therefore the principles that were correct and brought order in the past will, if faithfully followed, do so again. He is thus calling not for a return to the precise ways of antiquity, but for a reconstruction of the moral greatness of antiquity in terms of the present. As he states in one of the sections not translated here, if you apply these eternally valid moral principles of the sages today, “then Shun and Yii will appear again, and the reign of a true king will arise once more” (sec. 11). Hsiin Tzu’s view of the ideal ruler and his administration is very close to that of Mencius, though Hsiin Tzu had less patience than Mencius with the feudal system and declared that hereditary titles? should be abolished and men promoted

and demoted in the social hierarchy solely on the basis of merit. And, unlike Mencius, he was willing to compromise with the frailty of his age to the extent of describing other easier and less ambitious ways of ruling than simply that of the ideal king, the ruler of perfect virtue. He thus devotes considerable space to discussions of how to become a successful pa—dictator or overlord—a ruler who possesses neither the

virtue nor the popular sanction of a true king, but who is nevertheless able to insure well-being and stability, if not * Not to be confused with hereditary rights to government offices, which were condemned by Mencius and all late Chou philosophers alike.

Introduction 7 moral guidance, to his subjects. He himself had visited the state of Ch'in, and he had a healthy respect for the military and economic accomplishments of its rulers, though he deplored the harsh and terroristic methods by which such gains had been won. And he was no doubt conscious that Mencius had failed to win acceptance for his ideas from the rulers of the time precisely because he refused to discuss anything but the most uncompromisingly high ideals of political morality. Finally, like Confucius and Mencius before him, he took care to emphasize that the legitimacy and survival of the ruler

rest ultimately upon the support of his people: he is a boat, they the water which may bear him up or capsize him as they choose. No claims of hereditary right or iron discipline can hold out forever in the face of popular indifference or anger; no ruling house can long survive when it has ceased to fulfill

the functions for which it was called to office. This was a lesson which Mencius and Hsiin Tzu found abundantly clear in the troubled history of their own age, and they were deter-

mined to impress it upon the minds of the rulers, to waken | them to the full moral responsibilities of government. For they

believed that, if the rulers did not wake to and accept these responsibilities, the day would come when the people would rise up, as the peasants of the French Revolution were to do, to ask of their leaders, in the words of Carlyle: “How have ye treated us, how have ye taught us, fed us, and led us, while we toiled for you?”

_ These, then, are the positive aspects of Hsiin Tzu’s philosophy, the methods and aims which he would have men adopt. But much of his writing is also concerned with the things he wishes them to reject. First of all he would have them reject all beliefs and practices that seek to put man in contact with the supernatural or to endow him with super-

8 Hsiin Tzu natural powers. Since the mind of man itself is the source of all moral order, and hence of human perfection, such attempts to venture beyond the human realm are to Hsiin Tzu

, pointless and futile. Certain religious or magical practices he condemns outright, such as prayers for rain or for the cure of sickness, or physiognomy, the art of divining a man’s future

by the configuration of his face. Others he is willing to countenance, such as the art of divination by the tortoise shell

and milfoil stalks, or, as in the case of the mourning and sacrificial rites, even willing to encourage, providing that they are interpreted, at least by men of intellect, in a purely humanistic fashion. In other words, such rites and practices should not be regarded as acts possessing any supernatural efficacy,

but as purely human inventions designed to ornament the social life of man and guide him in the proper expression of _ his emotions. He specifically denies the existence of baleful ghosts or demons (the bugbears with which Mo Tzu hoped to terrify men into good behavior); and though he occasionally uses the word shen, which in other writers denotes the spirits of the ancestors and of the powers of nature, he defines it as

“that which is completely good and fully ordered” (sec. 8), making it a quality of moral excellence. He is thus the most thoroughly rationalistic of the early Confucian writers, and since sections of his work, particularly those dealing with mourning and sacrificial rites, were incorporated in the Li chi

or Book of Rites, which became one of the five Confucian Classics, his rationalism has had a very great influence upon

later Chinese thought. ,

He also called upon men to renounce all paths of inquiry that would lead them away from human moral concerns and

into Cin his opinion) a barren and unending search for knowledge in the realms outside the world of man. Too many

| Introduction 9 of the thinkers of his time, he felt, were directing men into just such paths, or into others equally erroneous, and for this reason he frequently recorded his objections to the various philosophical schools of late Chou times, often with consider-

able asperity. (Fairness and restraint in appraising each other's opinions is not a characteristic of early Chinese philosophers, and Hsiin Tzu is certainly no exception. ) The chief target of his attacks is Mo Tzu, whose doctrines were for many reasons repugnant to him. He devotes a whole essay to answering Mo Tzu’s objections to music, and else-

where he attacks the Mo-ist teachings on frugality, social _ uniformity, and meager burial rites. He criticizes Chuang Tzu for dwelling too much on the mystical workings of nature and slighting human concerns, the Legalists for their belief that precise laws can replace the personal leadership of a virtuous ruler, and two other little-known philosophers, Shen Tao and Sung Chien, for their doctrines of passivity and the elimination of desire. And in an essay on the correct use of terminology, he replies to the teachings of the logicians Hui Shih and Kung-sun Lung, whose famous paradoxes and conundrums he felt were endangering the sane and efficient use of

language. :

Finally, he did not hesitate to condemn what he believed were errors in the doctrines of the Confucian school as well. I have already noted how his theory of human nature directly contradicts that of Mencius, whom he criticizes by name. In another essay (sec. 18), in which he discusses a number of popular misconceptions, he vehemently refutes the legend that

the ancient sage ruler Yao selected Shun from among the common people to be his successor and ceded the throne to him. This legend is recorded in the Book of Documents, the Analects, and the Mencius, and was evidently widely accepted

10 Hsiin Tzu among the followers of the Confucian school. Scholars now believe that it is an invention of fairly late Chou times, and that the passages referring to it in the Book of Documents C“Canon of Yao”) and the Analects (ch. 20) are likewise of late date. Possibly it originated with the followers of the Moist school, which may explain why Hsiin Tzu rejects it so violently (though Mencius accepted it without question). In any event, he is unique among early Confucian writers in doing so, and his objections were completely ignored by later scholars, who unanimously accepted the legend as historical

fact.2

Hsiin Tzu’s work therefore represents a critique and appraisal of late Chou thought as a whole, at the same time presenting the fullest and most systematic exposition of the

doctrines of the Confucian school as he understood them. _ He wrote at a time when the unification of China under a central government was almost in sight, though how clearly he realized this we cannot say. His program for the rule of a unified nation was rejected by the Ch’in dynasty, which preferred Legalist doctrines, and was temporarily eclipsed by the First Emperor’s systematic suppression of Confucianism. But _ the expeditious fall of the Ch’in in 207 B.c. discredited the harsh policies of Legalism, and the Confucians once more came forward in an effort to gain a hearing from the leaders of the newly founded Han. Mo-ism, for reasons not entirely clear, had faded into the background, and Taoism, though *It is interesting to note that in 316 B.c. the king of the state of Yen was persuaded to follow the example of Yao and the other ancient sage rulers who were said to have ceded the empire to worthy aides. He voluntarily turned over the throne of Yen to his prime minister, and in no time the state was torn by internal strife and had fallen prey to invaders. Perhaps Hsiin Tzu had this fiasco in mind when he took up his brush to denounce the exponents of the ceding legend.

Introduction 11 favored by several of the prominent statesmen of the time, proved too nebulous and apolitical to serve as the philosophy of a great nation. Han Confucianism, based upon Hsiin Tzu’s thought but with numerous extraneous elements borrowed from other doctrines, eventually won the day, and toward the end of the second century B.c. was declared the official creed of the Han state. True, the Han ignored many of Hstin Tzu’s most admirable

dicta. It granted hereditary titles, a practice he had condemned; and far worse, it followed Ch'in custom in enforcing the cruel “three sets of relatives” penalty, by which all the close kin of a major criminal were sentenced to death along with the offender himself, though Hsiin Tzu had denounced this barbarous practice as the mark of a degenerate age (sec. 24). Moreover, many of its thinkers, among them scholars of the Confucian school, turned their attention to the very speculations and magical practices which Hsiin Tzu had warned them away from; where Hsiin Tzu poked fun at rain-making _ ceremonies, the leading Confucian writer of the early Han, Tung Chung-shu, solemnly wrote a chapter on how to conduct them. Nevertheless, many evidences of the healthy influence of Hsiin Tzu’s thought are discernible in Han intellectual life. His rationalism and humanism are reflected in the work of

men like the historians Ssu-ma Ch’ien and Pan Ku, or the philosophers Yang Hsiung and Wang Ch’ung, and his strong

emphasis upon education and the study of the Classics led __ to the founding of a state university and government support and encouragement of classical learning. Compared to later dynasties, the Han was in many respects a bloody and barbarous age, but without Hsiin Tzu’s humanizing influence it

might well have been darker still. |

12 Hstin Tzu We have no way of telling when or where Hsiin Tzu wrote the various sections of his work, or what state the text was in at the time of his death. The first edition of his work was compiled by the Han court scholar Liu Hsiang (77-6 B.c.), who

, states that he examined 322 p'ien—sections, or bundles of bamboo writing slips—and, after sorting out the duplicates and fitting together fragments, arrived at the present arrangement of the text in 32 sections. (Evidence of the fragmentary and faulty state of the text even after it had passed through Liu Hsiang’s hands may be noted in the parts I have translated.) It is doubtful whether all 32 sections are by Hsiin Tzu himself, though I see no reason to question the authenticity of the sections presented here. In addition, 10 p’ien of poems in the fu or rhyme-prose style by Hsiin Tzu are recorded in the “Treatise on Literature” of the History of the Former Han (Han shu 30), but except for one brief section of fu preserved in the Hstin Tzu itself, these seem to have been lost long ago. While the Analects and Mencius were provided with commentaries by late Han scholars, the Hsiin Tzu unfortunately did not enjoy this attention until much later. ‘The earliest commentary is by the T’ang scholar Yang Liang, and it is | upon his edition, preface dated a.p. 818, that all later texts of the work are based. Further information on the texts and commentaries utilized in my translation will be found at the end of this introduction.

Finally a word should be said about the form and style of

Hsiin Tzu’s work. With the spread of literacy and the increased interest in philosophical and technical literature that marked the late years of the Chou, the art of prose advanced remarkably in organization, clarity, and subtlety of expression. Hsiin Tzu utilized these advances to the full. In the writings of the Mo-ist school he had examples of clear, well-ordered

Introduction 13 essays centered around a single theme, and it was this form which he chose for the large part of his own work, though a few sections are in anecdote form. From the Mo-ists, too, and

from Mencius he adopted the practice of rounding off a paragraph or step in his argument with an appropriate quotation from the Odes or Documents, or some traditional saying. In the first few sections of his work the style tends to be rather choppy and aphoristic; but in others, such as those on Heaven or the nature of man, his arguments are much more carefully _ spelled out and closely knit, perhaps evidence that these sections were composed later in his life. Though he employs the balanced, rhythmic style common to the period, he avoids the monotony and repetitiousness that mar the Mo-ist writings, taking care to vary his sentence patterns and to devise new and interesting modes of expression. His work, in fact, stands

second only to the Chuang Tzu as a masterpiece of early Chinese expository writing. He deliberately eschewed the mystical thought of Chuang Tzu, and with it he lost much of the wit and fantasy that put the Chuang Tzu in a class by it-

self. But he substituted for these a dignity, sincerity, and orderliness of expression that are unrivaled in the ancient period. Much of the lasting influence of his thought is due not

only to the appeal and soundness of his ideas, but to the clarity and elegance with which they are set forth.

A great deal of work was done on the Hsiin Tzu by Ch’ing scholars, the results of which were admirably summed up in

the edition and commentary published in 1891 by Wang | Hsien-chiien entitled Hsiin-tzu chi-chieh. (It has recently peen reprinted on the mainland with no date given.) This _ edition is the basis of my translation and except when I have indicated otherwise, the emendations and interpretations J

14 Hsiin Tzu have followed are taken from Wang’s commentary. The other most valuable aid I have used is the modern-language Japanese translation of the Hsiin Tzu by Kanaya Osamu published in

1961-62 in the Iwanami bunko series. Kanaya has utilized _ earlier commentaries by Japanese scholars, notably the Doku Junshi (preface dated 1763) by Ogya Sorai, and the Junshi zocht (1820) by Kubo Ai, which were unknown to Wang Hsien-ch’ien, as well as all the most important recent studies by Chinese and Japanese scholars. Among these the most important, which I have also consulted, are: Hsiin-tzu pu-shih and Hsiin-tzu chiao-pu by Liu Shih-p’ei, included in the Liu

Shen-shu hsien-sheng i-shu (1934; the former recently reprinted on the mainland, with no date); Hsiin-chu ting-pu by Chung T’ai (1936); Hsiin-tzu hsin-cheng by Yi Hsing-wu (1937); Hsiin-tzu chien-shih by Liang Ch’i-hsiung (Peking,

1956; a revised edition of the work by the same name pub- _ lished in 1936); and Hsiin-tzu chiao-cheng by Juan T’ing-cho (Taipei, 1959). Kanaya also states that he has consulted the Tu Hsiin-tzu cha-chi by T’ao Hung-ch’ing, and the Hsiin-tzu chi-chieh pu-cheng by Lung Yii-ch’un, two works not available to me. In addition to Kanaya’s translation, I have consulted the older Japanese translation by Hattori Unokichi in the Kanbun

| sdsho series (1922.), which is far superior to that by Sasakawa Rinpa in the Kokuyaku kanbun taisei series (1920); the English translation by Homer H. Dubs, The Works of Hsiintze

(1928), as well as his companion study, Hsiintze: The Moulder of Ancient Confucianism (1927); and the translation by J. J. L. Duyvendak of Section 22, “Hsiin-tzu on the Rectification of Names,” T’oung Pao, XXIII, 221-54. Also of importance is the Concordance to Hsiin Tzu, Harvard-Yen-

C1oso). |

ching Institute Sinoloogical Index Series, Supplement #22

: yo ENCOURAGING LEARNING

(SECTION 1) | |

The gentleman says: Learning should never cease. Blue comes from the indigo plant but is bluer than the plant itself. Ice is made of water but is colder than water ever is. A piece of wood as straight as a plumb line may be bent into a circle as true as any drawn with a compass and, even after the wood

has dried, it will not straighten out again. The bending process has made it that way. Thus, if wood is pressed against a straightening board, it can be made straight; if metal is put to the grindstone, it can be sharpened; and if the gentleman studies widely and each day examines himself, his wisdom

will become clear and his conduct be without fault. If you do not climb a high mountain, you will not comprehend the highness of the heavens; if you do not look down into a deep valley, you will not know the depth of the earth; and if you _ do not hear the words handed down from the ancient kings, you will not understand the greatness of learning. Children born among the Han or Yiieh people of the south and among

the Mo barbarians of the north cry with the same voice at birth, but as they grow older they follow different customs.

Education causes them to differ. The Odes says: | Oh, you gentlemen, Do not be constantly at ease and rest! Quietly respectful in your posts, Love those who are correct and upright

And the gods will hearken to you | And aid you with great blessing."

*“Lesser Odes,” Hsiao-ming, Mao text no. 207. Here and elsewhere in quotations from the Odes and Documents I have for the most part followed the interpretations of Karlgren.

16 Hsiin Tzu | There is no greater godliness? than to transform yourself with the Way, no greater blessing than to escape misfortune. I once tried spending the whole day in thought, but I found it of less value than a moment of study.’ I once tried standing

on tiptoe and gazing into the distance, but I found I could see much farther by climbing to a high place. If. you climb to a high place and wave to someone, it is not as though your arm were any longer than usual, and yet people can see you from much farther away. If you shout down the wind, it is not as though your voice were any stronger than usual, and yet people can hear you much more clearly. Those who make use of carriages or horses may not be any faster walkers than anyone else, and yet they are able to travel a thousand li. Those who make use of boats may not know how to swim, and yet they manage to get across rivers. The gentleman is by birth no different from any other man; it is just that he is good at mak-

ing use of things. |

In the south there is a bird called the meng dove. It makes a nest out of feathers woven together with hair and suspends it from the tips of the reeds. But when the wind comes, the > reeds break, the eggs are smashed, and the baby birds killed. It is not that the nest itself is faulty; the fault is in the thing it is attached to. In the west there is a tree called the yeh-kan. Its trunk is no more than four inches tall and it grows on top of the high mountains, from whence it looks down into valleys a hundred fathoms deep. It is not a long trunk which affords the tree such a view, but simply the place where it stands. If

pigweed grows up in the midst of hemp, it will stand up straight without propping. If white sand is mixed with mud, *Hsiin Tzu repeats the word shen (gods) from the ode, but gives it a humanistic interpretation, making it a moral quality of the good man; ]

have therefore translated it as “godliness.”

* A paraphrase of Confucius’ remark in Analects XV, 30. ,

Encouraging Learning 17 it too will turn black.* The root of a certain orchid is the source

of the perfume called chih; but if the root were to be soaked in urine, then no gentleman would go near it and no commoner would consent to wear it. It is not that the root itself is of an unpleasant quality; it is the fault of the thing it has been soaked in. Therefore a gentleman will take care in selecting the community he intends to live in, and will choose men of breeding for his companions. In this way he wards off evil and meanness, and draws close to fairness and right.

Every phenomenon that appears must have a cause. The

glory or shame that come to a man are no more than the image of his virtue. Meat when it rots breeds worms; fish that is old and dry brings forth maggots. When a man is careless and lazy and forgets himself, that is when disaster occurs. ‘The strong naturally bear up under weight; the weak naturally end. up bound.® Evil and corruption in oneself invite the anger of others. If you lay sticks of identical shape on a fire, the Hames

will seek out the driest ones; if you level the ground to an equal smoothness, water will still seek out the dampest spot. Trees of the same species grow together; birds and beasts

gather in herds; for all things follow after their own kind. Where a target is hung up, arrows will find their way to it; where the forest trees grow thickest, the axes will enter. When

a tree is tall and shady, birds will flock to roost in it; when

| vinegar turns sour, gnats will collect around it. So there are words that invite disaster and actions that call down shame. A gentleman must be careful where he takes his stand. Pile up earth to make a mountain and wind and rain will rise up from it. Pile up water to make a deep pool and dragons will appear. Pile up good deeds to create virtue and godlike

, in other texts.

‘ This sentence has been restored from quotations of Hstin Tzu preserved

° Following the interpretation of Liu Shih-p’ei.

18 Hsiin Tzu understanding will come of itself; there the mind of the sage will find completion. But unless you pile up little steps, you

can never journey a thousand li; unless you pile up tiny streams, you can never make a river or a sea. The finest thoroughbred cannot travel ten paces in one leap, but the sorriest nag can go a ten days’ journey. Achievement consists of never giving up. If you start carving and then give up, you

cannot even cut through a piece of rotten wood; but if you persist without stopping, you can carve and inlay metal or stone. Earthworms have no sharp claws or teeth, no strong muscles or bones, and yet above ground they feast on the mud,

and below they drink at the yellow springs. This is because they keep their minds on one thing. Crabs have six legs and two pincers, but unless they can find an empty hole dug by a snake or a water serpent, they have no place to lodge. This is because they allow their minds to go off in all directions. ‘Thus

if there is no dark and dogged will, there will be no shining accomplishment; if there is no dull and determined effort, there will be no brilliant achievement. He who tries to travel two roads at once will arrive nowhere; he who serves two masters will please neither. ‘The wingless dragon has no limbs

and yet it can soar; the flying squirrel has many talents but linds itself hard pressed. The Odes says: Ringdove in the mulberry, Its children are seven.

The good man, the gentleman, | His forms are one. His forms are one,

His heart is as though bound.® 8 “Airs of Ts’ao,” Shih-chiu, Mao text no. 152. The last line I have interpreted differently from Karlgren in order to make it fit Hsiin Tzu’s comment.

| Encouraging Learning 19° Thus does the gentleman bind himself to oneness.

In ancient times, when Hu Pa played the zither, the fish in the streams came forth to listen; when Po Ya played the lute, the six horses of the emperor’s carriage looked up from their feed trough. No sound is too faint to be heard, no action

too well concealed to be known. When there are precious stones under the mountain, the grass and trees have a special

sheen; where pearls grow in a pool, the banks are never parched. Do good and see if it does not pile up. If it does, how can it fail to be heard of? Where does learning begin and where does it end? I say that

as to program, learning begins with the recitation of the Classics and ends with the reading of the ritual texts; and as to objective, it begins with learning to be a man of breeding, and ends with learning to be a sage.” If you truly pile up effort over a long period of time, you will enter into the highest realm. Learning continues until death and only then does it cease. Therefore we may speak of an end to the program of learning, but the objective of learning must never for an instant be given up. To pursue it is to be a man, to give it up is to become a beast. The Book of Documents is the record of government affairs, the Odes the repository of correct sounds, and the rituals are the great basis of law and the foundation of precedents. ‘Therefore learning reaches its completion with the rituals, for they may be said to represent the highest point of the Way and its power. The reverence and order of the _ rituals, the fitness and harmony of music, the breadth of the Odes and Documents, the subtlety of the Spring and Autumn — * Hsiin Tzu customarily distinguishes three grades in the moral hierarchy of men: shih, chiin-tzu, and sheng-jen, which I have translated as “man of breeding,” “gentleman,” and “sage” respectively, though at times he uses the first two terms more or less interchangeably.

20 Hstin Tzu Annals—these encompass all that is between heaven and _ earth.

The learning of the gentleman enters his ear, clings to his

mind, spreads through his four limbs, and manifests itself in his actions. His smallest word, his slightest movement can serve as a model. The learning of the petty man enters his ear and comes out his mouth. With only four inches between ear and mouth, how can he have possession of it long enough to ennoble a seven-foot body? In old times men studied for their own sake; nowadays men study with an eye to others.® The gentleman uses learning to ennoble himself; the petty man

uses learning as a bribe to win attention from others. To volunteer information when you have not been asked is called officiousness; to answer two questions when you have been asked only one is garrulity. Both officiousness and gartulity are to be condemned. The gentleman should be like an echo.

In learning, nothing is more profitable than to associate with those who are learned. Ritual and music present us with models but no explanations; the Odes and Documents deal with ancient matters and are not always pertinent; the Spring

and Autumn Annals is terse and cannot be quickly understood. But if you make use of the erudition of others and the explanations of gentlemen, then you will become honored and may make your way anywhere in the world. Therefore I say that in learning nothing is more profitable than to associate with those who are learned, and of the roads to learning, none

is quicker than to love such men. Second only to this is to honor ritual. If you are first of all unable to love such men and secondly are incapable of honoring ritual, then you will only * This sentence is quoted from Analects XIV, 25, where it is attributed to Confucius.

, Encouraging Learning 21 be learning a mass of jumbled facts, blindly following the Odes and Documents, and nothing more. In such a case you may study to the end of your days and you will never be any-

| thing but a vulgar pedant.® If you want to become like the former kings and seek out benevolence and righteousness, — | then ritual is the very road by which you must travel. It is like picking up a fur coat by the collar: grasp it with all five fingers and the whole coat can easily be lifted. To lay aside the rules of ritual and try to attain your objective with the Odes and Documents alone is like trying to measure the depth -

of a river with your finger, to pound millet with a spear point, : or to eat a pot of stew with an awl. You will get nowhere. Therefore one who honors ritual, though he may not yet have full understanding, can be called a model man of breeding; while one who does not honor ritual, though he may have keen |

perception, is no more than a desultory pedant. | Do not answer a man whose questions are gross. Do not question a man whose answers are gross. Do not listen to a man whose theories are gross. Do not argue with a contentious man. Only if a man has arrived where he is by the proper way should you have dealings with him; if not, avoid him. If he is respectful in his person,*® then you may discuss with him the

approach to the Way. If his words are reasonable, you may discuss with him the principles of the Way. If his looks are gentle, you may discuss with him the highest aspects of the Way. To speak to someone you ought not to is called officiousness; to fail to speak to someone you ought to is called secretiveness; to speak to someone without first observing his tem* Literally, “vulgar Confucian,” but here and below Hsiin Tzu uses the ; word ju in the older and broader sense of a scholar.

“words” and “looks.” |

* Reading ti instead of li in order to complete the parallelism with

22 Hsiin Tzu | per and looks is called blindness."! The gentleman is neither officious, secretive, nor blind, but cautious and circumspect in his manner. This is what the Odes means when it says:

Neither overbearing nor lax, |

They are rewarded by the Son of Heaven.” | He who misses one shot in a hundred cannot be called a really good archer; he who sets out on a thousand-mile journey

and breaks down half a pace trom his destination cannot be called a really good carriage driver; he who does not comprehend moral relationships and categories and who does not make himself one with benevolence and righteousness cannot be called a good scholar. Learning basically means learning to achieve this oneness. He who starts off in this direction one time and that direction another is only a commoner of the roads and alleys, while he who does a little that is good and

much that is not good is no better than the tyrants Chieh and Chou or Robber Chih.

The gentleman knows that what lacks completeness and purity does not deserve to be called beautiful. Therefore he reads and listens to explanations in order to penetrate the Way, ponders in order to understand it, associates with men who embody it in order to make it part of himself, and shuns those who impede it in order to sustain and nourish it. He trains his eyes so that they desire only to see what is right, his ears so that they desire to hear only what is right, his mind

so that it desires to think only what is right. When he has | truly learned to love what is right, his eyes will take greater pleasure in it than in the five colors; his ears will take greater This sentence is a paraphrase of Analects XVI, 6, where the saying is attributed to Confucius. “Lesser Odes,” Ts’ai-shu, Mao text no. 222. But Hsiin Tzu quotes from the Lu version, which differs slightly from the Mao text.

| Encouraging Learning 23 _ pleasure than in the five sounds; his mouth will take greater __ pleasure than in the five flavors; and his mind will feel keener

delight than in the possession of the world. When he has reached this stage, he cannot be subverted by power or the love of profit; he cannot be swayed by the masses; he cannot be moved by the world. He follows this one thing in life; he follows it in death. This is what is called constancy of virtue. He who has such constancy of virtue can order himself, and,

having ordered himself, he can then respond to others. He who can order himself and respond to others—this is what is called the complete man. It is the characteristic of heaven to manifest brightness, of earth to manifest breadth, and of the

gentleman to value completeness. |

> IMPROVING YOURSELF (SECTION 2) When you see good, then diligently examine your own behavior; when you see evil, then with sorrow look into yourself. When you find good in yourself, steadfastly approve it; when you find evil in yourself, hate it as something loathsome. He who comes to you with censure is your teacher; he who comes

with approbation is your friend; but he who flatters you is your enemy. Therefore the gentleman honors his teacher, draws close to his friends, but heartily hates his enemies. He loves good untiringly and can accept reprimand and take warning from it. Therefore, though he may have no particular wish to advance, how can he help but do so? The petty man

is just the opposite. He behaves in an unruly way and yet — hates to have others censure him; he does unworthy deeds and

yet wants others to regard him as worthy. He has the heart of a tiger or a wolf, the actions of a beast, and yet resents it when others look upon him as an enemy. He draws close to those who flatter him and is distant with those who reprimand him; he laughs at upright men and treats as enemies those who

are loyal. Therefore, though he certainly has no desire for ruin, how can he escape it? ‘This is what is meant by the lines in the Odes: They league together, they slander; It fills me with sorrow. When advice is good They all oppose it.

When advice is bad, | They follow all together. | 1 “Tesser Odes,” Hsiao-min, Mao text no. 195.

Improving Yourself 25 This is the way with impartial goodness: use it to control your temperament and nourish your life and you will live longer than P’eng ‘T’su;? use it to improve and strengthen’ yourself and you may become equal to the sages Yao and Yii. It is appropriate when you are in a time of success; it is prohit-

able when you are living in hardship. It is in fact what is meant by ritual. If all matters pertaining to temperament, will, and understanding proceed according to ritual, they will be ordered and successful; if not they will be perverse and violent or slovenly and rude. If matters pertaining to food and drink, dress, domicile, and living habits proceed according to ritual,

they will be harmonious and well regulated; if not they will end in missteps, excesses, and sickness. If matters pertaining to deportment, attitude, manner of movement, and waik proceed according to ritual, they will be refined; if not they will be arrogant and uncouth, common and countrified. Therefore

a man without ritual cannot live; an undertaking without ritual cannot come to completion; a state without ritual can-

not attain peace. This is what is meant by the lines in the Odes: Their rites and ceremonies are entirely according to rule, Their laughter and talk are entirely appropriate.‘

_. To make use of good to lead others is called educaticn; to make use of good to achieve harmony with others is called | amenity. 'o use what is not good to lead others is called betrayal; to use what is not good to achieve harmony with others

is called sycophancy. To treat right as right and wrong as wrong is called wisdom; to treat right as wrong and wrong as right is called stupidity. To speak ill of good men is called * An ancient worthy supposed to have lived for seven hundred years. * Reading chiang instead of ming.

| * “Lesser Odes,” Ch’u-tz’u, Mao text no. 209.

26 —Hsiin Tzu slander; to do harm to good men is called brigandage. To call right right and wrong wrong is called honesty. To steal goods is called robbery; to act on the sly is called deceit; to go back on your word is called perfidy. To be without a fixed standard in your actions is called inconstancy. To cling to profit and cast aside righteousness is called the height of depravity. He who has heard much is called broad; he who has heard little is called shallow. He who has seen much is called practiced;

he who has seen little is called uncouth. He who has difhculty advancing is called a laggard; he who forgets easily is called a leaky-brain. He whose actions are few and well principled is called orderly; he whose actions are many and dis-_ orderly is called chaotic.

This is the proper way to order the temperament and train the mind. If your temperament is too strong and stubborn, soften it with harmony. If your intellect is too deep and withdrawn, unify it with mild sincerity. If you are too courageous and fierce, correct the fault with orderly compliance. It you are too hasty and flippant, regulate the tault with restraint. If

you are too constrained and petty, broaden yourself with liberality. If you are too low-minded, lethargic, and greedy, lift yourself up with high ambitions. If you are mediocre, dull, and diffuse, strip away your failings by means of teachers and friends. If you are indolent and heedless, awaken yourself with the thought of imminent disaster. If you are stupidly sincere and ploddingly honest, temper your character with rites and music.® Of all the ways to order the temperament and train the mind, none is more direct than to follow ritual, none more

vital than to find a teacher, none more godlike than to learn ° I have omitted five characters which destroy the balance of the sentence and do not seem to belong here.

Improving Yourself 27 to love one thing alone. This is called the proper way to order the temperament and train the mind. If your will is well disciplined, you may hold up your head — before wealth and eminence; if you are rich in righteous ways, you may stand unmoved before kings and dukes. Look well inside yourself and you may look lightly upon outside things. This is what the old text® means when it says, “The gentleman uses things; the petty man is used by things.” Though it may mean labor for the body, if the mind finds peace in it, do it.

Though there may be little profit in it, if there is much righteousness, do it. Rather than achieve success in the service

of an unprincipled ruler, it is better to follow what is right in the service of an impoverished one. A good farmer does not give up plowing just because of flood or drought; a good merchant does not stop doing business just because of occasional losses; a gentleman does not neglect the Way just be-

cause of poverty and hardship. |

If you are respectful in bearing and sincere in heart, if you abide by ritual principles and are kindly to others, then you may travel all over the world and, though you may choose to live among the barbarian tribes, everyone will honor you. If you are the first to undertake hard work and can leave ease and enjoyment to others, if you are honest and trustworthy, persevering, and meticulous in your job, then you can travel

all over the world and, though you choose to live among the barbarians, everyone will want to employ you. But if your bearing is arrogant and your heart deceitful, if you follow dark ° Chuan, the general term for a text or saying handed down from former

times. Zu. It is impossible to identify the source of such quotations in Hsiin

28 Hsiin Tzu | and injurious ways" and are inconsistent and vile in feeling, | then you may travel all over the world and, though you penetrate to every corner of it, there will be no one who does not despise you. If you are shiftless and evasive when it comes to hard work but keen and unrestrained in the pursuit of pleas-

| ure, if you are dishonest and insincere, concerned only with your own desires* and unattentive to your work, then you may travel all over the world and, though you penetrate to every

corner of it, there will be no one who does not reject you. | One does not walk with his arms held out like wings be| cause he is afraid of soiling his sleeves in the mud.° One does

not walk with his head bent down because he is afraid of — bumping into something. One does not lower his eyes when _ meeting others because he is overcome with fright. It is simply

. that a man of breeding desires to improve his conduct by himself and to cause no offense to his neighbors.

A thoroughbred can travel a thousand li in one day, yet even a tired old nag, given ten days to co it in, can cover the | same distance. But will you try to exha:ist the inexhaustible, to pursue to the end that which has no end? If you do, then you may wear out your bones and flesh but you will never reach your goal. If, however, you set a limit to your journey, then you may arrive there sooner or later, before others or after them, but how can you fail to arrive at your goal some time? Will you be an unwitting plodder who tries to exhaust the inexhaustible, to pursue to the end that which has no end?

Tzu.”

7 Following the interpretation of Liu Shih-p’ei. The older interpretation is “if you follow the ways of Shen Tao [a Taoist-Legalist thinker] and Mo ° Following the interpretation of Liu Shih-p’ei.

° Compare the description of Confucius in Analects X, 3: “He hastened forward, with his arms like the wings of a bird.”

Improving Yourself 29 Or will you choose to set a limit to your journey? It is not that the propositions concerning black and white, sameness and difference, thickness and non-thickness are not penetrating.” But the gentleman does not discuss them because he puts a limit to his goal. Therefore in learning there is what is called “waiting.” If those who have gone before stop and wait, and

those who are behind keep going, then, whether sooner or later, whether first or last, how can they fail all in time to reach

the goal? If he keeps putting one foot in front of the other without stopping, even a lame turtle can go a thousand [i; if you keep piling up one handful of earth on top of another without ceasing, you will end up with a high mountain. But if you block the source of a river and break down its banks, even the Yangtze and the Yellow River can be made to run dry; if they take one step forward and one step back, pull now to the left and now to the right, even a team of six thoroughbreds will never reach their destination. Men are certainly not as widely separated in their capacities as a lame turtle and a team of six thoroughbreds; yet the lame turtle reaches the goal

where the team of thoroughbreds fails. There is only one reason: one keeps on going, the other does not. Though the road is short, if you do not step along you will never get to the end; though the task is small, if you do not work at it you will never get it finished. He who takes many holidays will never excel others by very much.” He who loves law and puts it into effect is a man of breeding. He who has a firm will and embodies it in his conduct is © 'These were among the favorite paradoxes or topics of logical debate propounded by Hui Shih, Kung-sun Lung, and other philosophers of the School of Names. Though Hsiin Tzu learned much from these men, he

scorned the discussion of logic for its own sake. “ Reading jen instead of ju.

30 Hsiin Tzu a gentleman. He who has a keen insight which never fails

| Is a sage,

A man who has no laws at all is lost and guideless. A man who has laws but does not understand their meaning is timid

and inconsistent. Only if a man abides by laws and at the same time comprehends their wider significance and applicability can he become truly liberal and compassionate. Ritual is the means by which to rectify yourself; the teacher is the means by which ritual is rectified. If you are without ritual, how can you rectify yourself? If you have no teacher, how can you understand the fitness of ritual? If you unerringly do as ritual prescribes, it means that your emotions have

found rest in ritual. If you speak as your teacher speaks, it means that your understanding has become like that of your teacher. If your emotions find rest in ritual and your understanding is like that of your teacher, then you have become a sage. Hence to reject ritual is to be without law and to reject your teacher is to be without a guide. To deny guide and law

and attempt to do everything your own way is to be like a blind man trying to distinguish colors or a deaf man, tones. Nothing will come of it but confusion and outrage. ‘Therefore

learning means learning to regard ritual as your law. The teacher makes himself the standard of proper conduct and values that in himself which finds rest in ritual. This is what is meant by the lines in the Odes: Without considering, without thinking, He obeys the laws of God.!”

If a man is sincere, obedient, and brotherly, he may be said to have a certain amount of good in him. But if he adds to this 4 “Greater Odes,” Huang-i, Mao text no. 241.

Improving Yourself 31 a love of learning, modesty, and alertness, then’® he may be considered a gentleman. If a man is mean and lazy, lacking in modesty, and a glutton over food and drink, he may be said to have a certain amount of bad in him. But if in addition he is wanton, reckless, and disobedient, vicious and evil and lacking in brotherly feeling, then he can be called ill-omened,** and no one can protest if he falls into the hands of the law and is executed.

If you treat old people as they ought to be treated, then young people too will come to your side. If you do not press those who are already hard pressed, then the successful too will gather around you. If you do good in secret and seek no reward for your kindness, then sages and unworthy men alike will be with you. If a man does these three things, though he should commit a grave error, will Heaven leave him to perish? The gentleman is careless in the pursuit of profit but swift in avoiding harm. Timidly he shuns disgrace but he practices the principles of the Way with courage. Though poor and hard pressed, a gentleman will be broad of will. Though rich and eminent, he will be respectful in his manner. Though at ease, he will not allow his spirit to grow indolent; though weary, he will not neglect his appearance. He will not take away more than is right because of anger, nor give more than is right because of joy. ‘Though poor

and hard pressed, he is broad of will because he honors benevolence. Though rich and eminent, he is respectful in | manner because he does not presume upon his station. Though at ease, he is not indolent because he chooses to fol** Omitting the four characters that follow, which do not seem to belong nee Omitting the shao, a contamination from the sentence above.

32 Hsiin Tzu low what is right. Though weary, he does not neglect his appearance because he values good form.'* He does not take away too much in anger nor give too much in joy because he allows law to prevail over personal feeling. The Book of Documents says: “Do not go by what you like, but follow the

way of the king; do not go by what you hate, but follow the | king’s road.” 1° ‘This means that a gentleman must be able to suppress personal desire in favor of public right. ** Reading wen instead of chiao. ** Documents of Chou, Hung-fan or “Great Plan.”

me THE REGULATIONS OF A KING (SECTION 9) Someone asked how to govern, and I replied: In the case of worthy and able men, promote them without waiting for their turn to come up. In the case of inferior and incompetent men, dismiss them without hesitation. In the case of incorrigibly evil men, punish them without trying to reform them.’ In the case of people of average capacity, teach them what is right without attempting to force them into goodness. ‘Thus, even where rank has not yet been fixed, the distinction between

good and bad will be as clear as that between the left and right ancestors in the mortuary temple.” Although a man may be the descendant of kings, dukes, or high court ministers, if he cannot adhere to ritual principles, he should be ranked among the commoners. Although a man may be the descendant of commoners, if he has acquired learning, is upright in

conduct, and can adhere to ritual principles, he should be promoted to the post of prime minister or high court ofhcial. * This recognition of a category of incorrigibly bad men seems to contra-

dict the rest of Hstin Tzu’s philosophy and is rare in early Confucian thought as a whole. Nevertheless, Hsiin Tzu refers to it elsewhere, as in sec. 18, where he argues that the existence of a very few such perverse and

unteachable men even in the time of a sage ruler is not to be taken as

evidence that the ruler himself is at fault. * This sentence has long puzzled commentators, and the translation is tentative. According to Chou practice, the mortuary temple of the founder of a noble family was placed in the center, with the temples of the second, fourth and sixth descendants ranged to the left and called chao, while those of the third, fifth, and seventh descendants were ranged to the right and

called mu. ,

34 Hsiin Tzu When it comes to men of perverse words and theories, perverse undertakings and talents, or to people who are slippery or vagrant, they should be given tasks to do, taught what is

right, and allowed a period of trial. Encourage them with rewards, discipline them with punishments, and if they settle down to their work, then look after them as subjects; but if not, cast them out. In the case of those who belong to the five incapacitated groups,* the government should gather them together, look after them, and give them whatever work they are able to do. Employ them, provide them with food and clothing, and take care to see that noneare left out. If anyone is found acting or using his talents to work against the good of the time, condemn him to death without mercy. This is what is called the virtue of Heaven and the government of a true king.

These are the essential points to remember when listening to proposals in government. If a man comes forward in good faith, treat him according to ritual; if he comes forward in bad faith, meet him with punishment. In this way the two categories will be clearly distinguished, worthy and unworthy men will not be thrown together, and right and wrong will not be confused. If worthy and unworthy men are not thrown together, then men of extraordinary character will come to you, and if right and wrong are not confused, then the nation will _ be well ordered. This accomplished, your fame will increase _ each day, the world will look to you with longing, your orders will be carried out, your prohibitions heeded, and you will have fulfilled all the duties of a king.

In listening to reports and proposals, if you are too stern

and severe and have no patience in guiding and drawing * Defined by commentators as those who are dumb, deaf, crippled, missing an arm or leg, or dwarfed.

The Regulations of a King 35 others out, then your subordinates will be fearful and distant and will withdraw into themselves and be unwilling to speak. In such a case important matters are likely to be left unattended to and minor matters to be botched. If, however, you are too sympathetic and understanding, too fond of leading and drawing others out, and have no sense of where to stop, then men will come with all sorts of perverse suggestions and you will be flooded with dubious proposals. In such a case you will find yourself with too much to listen to and too much to do, and this also will be inimical to good government. _ If there are laws, but in actual practice they do not prove to be of general applicability, then points not specifically covered by the laws are bound to be left undecided. If men are appointed to posts but they have no over-all understanding of their duties, then matters which do not specifically fall within their jurisdiction are bound to be neglected. Therefore there must be laws that prove applicable in practice and men in office who have an over-all understanding of their duties. There must be no hidden counsels or overlooked ability on the lower levels and all matters must proceed without error. Only a gentleman is capable of such government.

Fair-mindedness is the balance in which to weigh proposals;* upright harmoniousness is the line by which to measure them. Where laws exist, to carry them out; where they do

| not exist, to act in the spirit of precedent and analogy—this is the best way to hear proposals. ‘To show favoritism and partisan feeling and be without any constant principles—this is the worst you can do. It is possible to have good laws and still have disorder in the state. But to have a gentleman acting as

ruler and disorder in the state—from ancient times to the present I have never heard of such a thing. This is what the “ Reading ting instead of chih.

36 Hsiin Tzu old text means when it says, “Order is born from the gentleman, disorder from the petty man.”

Where ranks are all equal, there will not be enough goods | to go around; where power is equally distributed, there will be a lack of unity; where there is equality among the masses, it

will be impossible to employ them. The very existence of Heaven and Earth exemplifies the principle of higher and lower, but only when an enlightened king appears on the throne can the nation be governed according to regulation. Two men of equal eminence cannot govern each other; two men of equally humble station cannot employ each other. This is the rule of Heaven. If men are of equal power and station and have the same likes and dislikes, then there will not be enough goods to supply their wants and they will inevitably quarrel. Quarreling must lead to disorder, and disorder to exhaustion. The former kings abhorred such disorder and therefore they regulated the principles of ritual in order to set up ranks. They established the distinctions between rich and poor, eminent and humble, making it possible for those above to join together and watch over those below. ‘This is the basis upon which the people of the world are nourished. ‘This is what the Documents means when it says, “Equality is based

upon inequality.” ° |

If the horses are frightened of the carriage, then the gentleman cannot ride in safety; if the common people are frightened of the government, then the gentleman cannot occupy his post in safety. If the horses are frightened of the carriage, the best thing to do is to quiet them; if the common people are frightened of the government, the best thing to do is to treat them °I take it that this is the way Hsiin Tzu, quoting very much out of context, wishes us to understand these four characters. In context, in the sec-

tion called Lii-hsing or “The Code of Marquis Lii,” they have a quite different meaning.

The Regulations of a King 37 with kindness. Select men who are worthy and good for government office, promote those who are kind and respectful,

encourage filial piety and brotherly affection, look after orphans and widows and assist the poor, and then the common people will feel safe and at ease with their government. And once the common people feel safe, then the gentleman may occupy his post in safety. This is what the old text means when it says, “The ruler is the boat and the common people are the water. It is the water that bears the boat up, and the water that capsizes it.” Therefore, if the gentleman desires safety, the best thing for him to do is to govern fairly and to love the people. If he desires glory, the best thing is to honor ritual and treat men of breeding with respect. If he desires to win fame and merit, the best thing is to promote the worthy and employ men of ability. These are the three great obligations of the ruler. If he meets these three, then all other obligations will likewise be met; if he does not meet these three, then, although he manages to meet his other obligations, it will scarcely be of any benefit to him. Confucius has said, “If he meets both his major and minor obligations correctly, he is a superior ruler. If he meets his major obligations but is incon-

him.” |

sistent in meeting his minor ones, he is a mediocre ruler. If he fails to meet his major obligations, though he may meet his

minor ones correctly enough, I do not care to see any more of | Marquis Ch’eng and Lord Ssu were rulers who knew how to collect taxes and keep accounts, but they did not succeed in winning the support of the people.® T'zu-ch’an won the sup°'Two rulers of the state of Wei (the small state northwest of Ch’i, not to be confused with the much more powerful state in the old territory of Chin whose name is also read “Wei” in the late fourth century B.c. As the state of Wei dwindled in. size and power, its rulers voluntarily downgraded themselves from the title of duke to marquis, and later from marquis

38 Hsiin Tzu port of the people but did not succeed in governing them.’ Kuan Chung governed the state but did not get around to promoting ritual.* He who promotes ritual will become a true king; he who governs well will be strong; he who wins over the people will find safety; but he who pays attention only to the collection of taxes will be lost. ‘Thus, a king enriches his people, a dictator enriches his soldiers, a state that is barely managing to survive enriches its high officers, and a doomed state enriches only its coffers and stuffs its storehouses. But if its coffers are heaped up and its storehouses full, while its people are impoverished, this is what is called to overflow at the top

but dry up at the bottom. Such a state will be unable to protect itself at home and unable to fight its enemies abroad,

and its downfall and destruction can be looked for at any moment. The ruler of such a state, by collecting excessive taxes, brings about his own destruction, and his enemies, by seizing his territory, make themselves stronger than ever. ‘I’oo much attention to tax collecting invites bandits and fattens 7 Chief minister of the small state of Cheng in the 6th century B.c. CThe Tso chuan records his death in 522 B.c..) He was widely praised for his wise and benevolent policies, especially by Confucius (see Analects V, 15). But Hsiin Tzu here follows the more reserved estimation of Mencius (Mencius

IVB, 2): “Tzu-ch’an ... was kind but did not understand how to govern.”

- ® Chief minister to Duke Huan of Ch’i in the 7th century B.c. and a wellknown figure in history and legend. According to Shih chi 32, he died in 645 B.c. The philosophic work known as Kuan Tzu is said to embody his

teachings on economics and statecraft. He is credited with having made Duke Huan the first of the pa Coverlords, dictators, or hegemons). Hsiin Tzu, like all early Confucian writers, distinguishes carefully between the wang, the true kings who qualify for their position by virtue and public sanction and who conduct their government on the basis of correct ritual principles, and the pa, feudal lords who, by strengthening their military and economic power and overawing the other feudal lords, were for a time able to dictate to the empire and even force a kind of recognition from the Chou king.

The Regulations of a King 39 one’s enemies. It is the path which leads to the destruction of

the state and the peril of its lord, and for that reason the enlightened ruler does not follow it.

The king works to acquire men, the dictator works to acquire allies, and the ruler who relies on force works to acquire territory. He who acquires men wins the allegiance of the feudal lords; he who acquires allies wins the friendship of

the feudal lords; but he who acquires territory incurs their enmity. He who commands the allegiance of the feudal lords may become a king; he who wins their friendship may become a dictator; but he who incurs their enmity is in danger. He who lives by force must use his might to conquer the cities that other men guard and to defeat the soldiers® that other men send forth to battle, and in doing so he inevitably

inflicts great injury upon the people of other states. If he inflicts great injury upon them, they will inevitably hate him fiercely and will day by day grow more eager to fight against him. Moreover, he who uses his might to conquer the cities that other men guard and to defeat the soldiers that other men send forth to battle must inevitably inflict great injury upon his own people as well. If he inflicts great injury upon his own people, they will inevitably hate him fiercely and will day by day grow less eager to fight his battles. With the people of other states growing daily more eager to fight against him, and his own people growing daily less eager to fight in his defense,

the ruler who relies upon strength will on the contrary be reduced to weakness. He acquires territory but loses the sup-

port of his people; his worries increase while his accomplishments dwindle. He finds himself with more and more cities to guard and less and less of the means to guard them with; thus in time the great state will on the contrary be stripped * Reading shih instead of ch’u here and in the parallel sentence below.

40 Hsiin Tzu down in this way to insignificance. The other feudal lords never cease to eye him with hatred and to dream of revenge;”°

never do they forget their enmity. They spy out his weak points and take advantage of his defects, so that he lives in constant peril. One who truly understands how to use force’ does not rely

upon force. He is careful to follow the commands of the nominal king, builds up his might, and creates a fund of good — will.1? With his might well established, he cannot be weakened by the other feudal lords; with a fund of good will to rely on,

he cannot be reduced to insignificance by the other feudal lords. Thus, if he happens to live in a time when there is no true king or dictator in the world, he will always be victorious. This is the way of one who truly understands how to use force. The dictator is not like this. He opens up lands for cultivation, fills the granaries, and sees that the people are provided

with the goods they need. He is careful in selecting his ofh_ cials and employs men of talent, leading them on with rewards and correcting them with punishments. He restores states that have perished, protects ruling lines that are in danger of dying out, guards the weak, and restrains the violent. If he shows no intention of annexing the territories of his neighbors, then the other feudal lords will draw close to him. If he treats them as friends and equals and is respectful in his dealings with them,

he will win their favor. He can win their intimacy by not attempting to annex them, but if he shows any inclination to annex their lands, they will turn away from him. He can win their favor by treating them as friends and equals, but if he ’* Following the interpretation of Liu Shih-p’ei. “ Reading tao instead of ta. ” Hsiin Tzu says, literally, “establishes his virtue.” But it is clear that he

is using the word te (virtue), not in the higher ethical sense, but in the sense of favors. or good turns done to others which put them in debt to one.

The Regulations of a King 41 shows any inclination to treat them as subjects, they will reject him. Therefore he makes it clear from his actions that he does

not wish to annex their territory, and inspires faith in them that he will always treat them as friends and equals. ‘Thus, if he happens to live in a time when there is no true king** in the world, he will always be victorious. This is the way of one who truly understands how to be a dictator. The reason that King Min of Ch’i was defeated by the armies of the five states, and

that Duke Huan of Chi was threatened by Duke Chuang of Lu was none other than this: they did not follow the way

appropriate to their own positions, but tried to act in the manner of a true king.“

The true king is not like this. His benevolence is the loftiest in the world, his righteousness is the loftiest in the

world, and his authority is the loftiest in the world. Since his | benevolence is the loftiest in the world, there is no one in the world who does not draw close to him. Since his righteousness is the loftiest in the world, there is no one who does not respect him. Since his authority is the loftiest in the world, there is no one who dares to oppose him. With an authority that cannot be opposed, abetted by ways which win men’s allegiance, he

gains victory without battle and acquires territory without attack. He need not wear out his men and arms, and yet the whole world is won over to him. This is the way of one who understands how to be a king. He who understands. these ** Omitting the pa, which is clearly superfluous here.

“Tn 285 B.c., according to Shih chi 46, King Min, who had aroused the anger of the other feudal lords, was attacked by a combination of them and

driven from his capital. In 681 8.c., Duke Huan of Ch’i, the first of the pa or dictators, called the other feudal lords to a conference in Ch’i. Accord-

ing to what is probably a late legend, recorded in the Kung yang Commentary (Duke Chuang 13), the general of Duke Chuang of Lu managed to threaten Duke Huan with assassination and force him to return to Lu the territory which he had earlier seized.

42 Hsiin Tzu three ways may choose to become a king, a dictator, or a man

of force as he wishes. |

These are the king’s regulations: they do not seek to pattern

themselves on anything earlier than the Three Dynasties,’ they do not reject the model of later kings. Seeking a pattern in the age before the Three Dynasties will lead to confusion; rejecting the model of later kings will lead to inelegance. Clothing should be of a fixed type, dwellings of fixed size, and servants and followers of fixed number. Likewise, the vessels

and trappings used in mourning and sacrifice should all be fixed in accordance with social rank. All music that is lacking in classical elegance should be abandoned; all decorations that do not follow old patterns should be given up; all vessels and

trappings that are not like those of earlier times should be discarded. This is what is called reviving the old. These are the king’s regulations.

These are the judgments of a king: no man of virtue shall be left unhonored; no man of ability shall be left unemployed; no man of merit shall be left unrewarded; no man of guilt shall be left unpunished. No man by luck alone shall attain a position at court; no man by luck alone shall make his way among the people. ‘The worthy shall be honored, the able employed, and each shall be assigned to his appropriate position without oversight. The violent’® shall be repressed, the evil restrained, and punishments shall be meted out without error. Ihe common people will then clearly understand that, if they do evil in secret, they will suffer punishment in public. This is what is called having fixed judgments. ‘These are the king’s judgments. * The Hsia, Shang or Yin, and Chou dynasties. By Hsiin Tzu’s time the Chou dynasty was regarded as extinct in all but name. *° Reading pao instead of yiian.

The Regulations of a King 43 These are the king’s laws.’? They fix the various rates of taxation, regulate all affairs, exploit the ten thousand things, and thereby provide nourishment for all people. The tax on the fields shall be one tenth. At barriers and in markets, the oficials shall examine the goods but levy no tax. The mountains, forests, lakes, and fish weirs shall at certain seasons be

closed and at others opened for use, but no taxes shall be levied on their resources. Lands shall be inspected and the amount of tax graded according to their productivity. The distance over which articles of tribute must be transported shall be taken into consideration and the amount of tribute fixed accordingly. Goods and grain shall be allowed to circulate freely, so that there is no hindrance or stagnation in distribution; they shall be transported from one place to another

as the need may arise, so that the entire region within the four seas becomes like one family. Thus those close to the king will not hide their talents or be stinted in their labors, and all regions, even the most distant and out of the way, will

hasten to serve him and find peace and joy under his rule. This is what is called being the leader of men. These are the

king’s laws. | In the far north there are fast horses and howling dogs; China acquires and breeds them and puts them to work. In the far south there are feathers, tusks, hides, pure copper, and cinnabar; China acquires them and uses them in its manufactures. In the far east there are plants with purple dye, coarse

hemp, fish, and salt; China acquires them for its food and clothing. In the far west there are skins and colored yaks’ tails; China acquires them for its needs. Thus the people living in lake regions have plenty of lumber and those living “ Supplying the word fa from the end of the paragraph.

44 Hsiin Tzu in the mountains have plenty of fish. The farmers do not have to carve or chisel, to fire or forge, and yet they have all the tools and utensils they need; the artisans and merchants do not have to work the fields, and yet they have plenty of vegetables and grain. The tiger and leopard are fierce beasts, but the gentleman strips off their hides for his personal use. Thus, wherever the sky stretches and the earth extends, there is nothing beautiful left unfound, nothing useful left unused. Such goods serve above to adorn worthy and good men, and below to nourish the common people and bring them security and happiness. This is what is called a state of godlike order. The Odes refers to this when it says: Heaven made a high hill; T’ai Wang opened it up. He began the work And King Wen dwelt there in peace.'§

One starts with general categories and moves to particular ones; one starts with unity and moves to plurality. What begins must end; what ends must begin again; and so the cycle repeats itself without interruption. Abandon this principle, and the empire will fall into decay. Heaven and earth are the beginning of life, ritual principles are the beginning of order, and the gentleman is the beginning of ritual principles. Acting on them, practicing them, guarding them, and loving them more than anything else—this is the beginning of the gentleman. Therefore Heaven and earth produce the gentleman and the gentleman brings order to Heaven and earth. ‘The gentleman forms a triad with Heaven and earth; he is the controller of all things, the father and mother of the people. Without 8 “Hymns of Chou,” T’ien-tso, Mao text no. 270. The high hill is Mount Ch’i, where ‘T’ai Wang, the ancestor of the Chou royal family, built his capital.

| The Regulations of a King 45 the gentleman, Heaven and earth will lack order and ritual principles will lack unity. There will be no true ruler or leader above, no true father or son below. This is what is called the extreme of chaos. The correct relationships between ruler and subject, father and son, elder and younger brother, and husband and wife begin and are carried through to the end, end and begin again. They share the order of Heaven and earth, they last for ten thousand generations. ‘They are what is called

the great foundation. The rules that govern mourning and sacrificial rites and the ceremonies of the court and army are based upon this single foundation. Those which guide the ruler in honoring or humbling, punishing or freeing, giving or

_ taking from his subjects are based upon this unity. Those which teach men how to treat rulers as rulers, subjects as subjects, fathers as fathers, sons as sons, elder brothers as elder

| brothers, younger brothers as younger brothers are based upon this unity. ‘Those which make a farmer a farmer, a man of

breeding a man of breeding, an artisan an artisan, and a merchant a merchant are based upon this unity. - | Fire and water possess energy but are without life. Grass and trees have life but no intelligence. Birds and beasts have intelligence but no sense of duty.’® Man possesses energy, life,

intelligence, and, in addition, a sense of duty. Therefore he is the noblest being on earth. He is not as strong as the ox, nor as swilt as the horse, and yet he makes the ox and the horse ~ work for him. Why? Because he is able to organize himself in society and they are not. Why is he able to organize himself in society? Because he sets up hierarchical divisions. And how is he able to set up hierarchical divisions? Because he has a sense of duty. If he employs this sense of duty to set up hier* Yi. Elsewhere I have translated this word as righteousness.

46 Hsiin Tzu archical divisions, then there will be harmony. Where there is harmony there will be unity; where there is unity there will

be strength; and where there is strength there will be the power to conquer all things. ‘Thus men can dwell in security

in their houses and halls. The reason that men are able to harmonize their actions with the order of the seasons, utilize all things, and bring universal profit to the world is simply this: they have established hierarchical divisions and possess a sense of duty.

Men, once born, must organize themselves into a society. But if they form a society without hierarchical divisions, then there will be quarreling. Where there is quarreling, there will be chaos; where there is chaos, there will be fragmentation; and where there is fragmentation, men will find themselves too weak to conquer other beings. Thus they will be unable to dwell in security in their houses and halls. ‘This is why I say that ritual principles must not be neglected even for a moment. He who can follow them in serving his parents is

called filial; he who can follow them in serving his elder brothers is called brotherly. He who can follow them in serving his superiors is called obedient; he who can follow them in employing his inferiors is called a ruler. The ruler is one who is good at organizing men in society.”° When society is properly organized, then all things will find their proper place, the six domestic animals”! will breed and flourish, and all living beings will fulfill their allotted span of life. If breeding and tending is done at the proper time, the six domestic animals will increase. If planting and cutting is

form a group). , »® Hsiin Tzu is here punning on the words chiin (ruler) and ch’iin (to

™ Horses, cows, sheep, pigs, dogs, and chickens. Dogs were raised to be eaten.

The Regulations of a King 47 done at the proper time, plants and trees will flourish. If gov-

ernment commands are issued at the proper time, then the common people will be unified, and worthy and good men will offer their services. These are the regulations of a sage king.

_ When plants and trees are flowering or putting out new growth, no axes may be taken into the hills and forests, for they would destroy life and injure the growing things. When fish and other water creatures are breeding, no nets or poisons may be used in the lakes, for they would destroy life and injure the growing things. ‘The farmers plow in spring, weed in summer, reap in fall, and store away in winter. Because they _ do each at the proper season, there is a never-ending supply

of grain and the people have more than enough to eat. Because the lakes and rivers are watched over carefully and closed off at the proper time, there is an ever-increasing supply

of fish and other water creatures and the people have more than they can use. Because the felling of trees and cutting of brush is done only at the proper time, the hills are never denuded and yet the people have all the wood they need. These

are the measures of a sage king. He looks up to examine heaven, looks down to direct the work of the earth, completes all that is necessary between heaven and earth, and applies his action to all things. His actions are dark and yet of bright result, brief and yet long-lasting, narrow and yet broad. His understanding is of godlike clarity and breadth, and yet of the finest simplicity. Therefore it is said, he whose every move is founded on unity is a sage.” The list of officials. The master of tiles shall have charge of ™ The end of this paragraph is couched in highly mysterious language and the translation, particularly of the last sentence, is tentative. Commentators offer various suggestions for amending the text, but none seems convincing enough to adopt.

48 Hsiin Tzu | matters pertaining to the reception of guests, religious ceremonies, banquets, and sacrifices. The minister of the interior shall have charge of matters pertaining to clan regulations, the

walling of cities, and the standardization of utensils. The minister of war shall have charge of matters pertaining to military expeditions, weapons, carriages, and troop divisions. To enforce the ordinances and commands, examine songs and writings, and abolish licentious music, attending to all matters at the appropriate time, so that strange and barbaric music is not allowed to confuse the elegant classical modes— these are the duties of the chief director of music. To repair dikes and weirs, open up canals and irrigation ditches, and cause water to flow freely and to be stored up properly in the reservoirs, opening or closing the sluice gates at the appropri-

ate time, so that even in times of bad weather, flood, or drought, the people have fields that can be planted—these are the duties of the minister of works. To inspect the elevation of the fields, determine the fertility of the soil, decide what. type of grain should be planted, examine the harvest and see that it is properly stored away, attending to all matters at the appropriate time, so that the farmers remain honest and hardworking and do not turn to other occupations—these are the duties of the administrator of the fields. To enforce the laws pertaining to the burning off of forests, and to conserve the resources of the mountains and woods, the marshes and lakes, such as trees, shrubs, fish, turtles, and various edible plants,

attending to all matters at the appropriate time, so that the nation has the articles it needs and no resources are depleted —these are the duties of the director of resources. To order the provinces and communities, fix the regulations pertaining to dwellings, promote the raising of domestic animals and the planting of trees, encourage moral education, and promote

The Regulations of a King 49 filial piety and brotherly affection, attending to all matters at

the appropriate time, so that the people are obedient to commands and live in their communities in security and happiness

—these are the duties of the director of communities. To judge the merits of the various artisans, determine the most

appropriate time for their work, judge the quality of their | manufactures, encourage efficiency and high quality, and see that all necessary goods are available, making sure that no one dares to manufacture sculptured or ornamented decorations

privately at home—these are the duties of the director of arti- | sans. T’o observe the yin and yang, judge the meaning of por- | | tents, divine by the tortoise and milfoil, conduct exorcisms,

| fortunetelling, and divination by the five types of signs, and understand all that pertains to good and bad fortune—these are the duties of hunchback shamanesses and crippled shamans. T’o attend to affairs of public sanitation, keep the roads in repair, eliminate thieves and highway bandits, insure a fair assignment of public buildings and market stalls," attending to all matters at the appropriate time, so that traveling merchants can conduct their business in safety and there is an unobstructed flow of goods—these are the duties of the direc-

tor of markets. To forestall violence and cruelty, prevent licentiousness, and wipe out evil, employing the five punishments” as a warning, causing the violent and cruel to change their ways and the wicked to desist from wickedness—these

are the duties of the minister of justice. 7 To lay the foundation of governmental education, see that the laws and regulations are upright, receive reports and proposals and review them at fixed times, judge the merits of the *° Reading ssu instead of lii. ** Tattooing of criminals, cutting off the nose, cutting off the feet, castra-

tion, and death. |

50 Hsiin Tzu lesser officials, and decide what rewards or punishments are to be meted out, attending to all matters carefully and at the proper time, so that the minor officials are encouraged to do their best and the common people do not dare to be slack— these are the duties of the prime minister. To fix rites and music, reform conduct, spread moral education, and beautify the customs of the people, taking cognizance of all matters and harmonizing them into a unity—these are the duties of

the high officials.” To complete the Way and its virtue, establish the highest standards, unite the world in the fullest cdlegree of order, overlooking not the smallest detail, and causing all men in the world to be obedient and submissive—these

are the duties of the heavenly king. Therefore, if the affairs

of government are in disorder, it is the fault of the prime minister. If the customs of the country are faulty, it is due to the error of the high officials. And if the world is not unified and the feudal lords are rebellious,** then the heavenly king is not the right man for the job. -When*' one has all the appurtenances of a king, he can be a king; when he has all the appurtenances of a dictator, he can be a dictator, when he has the appurtenances of a ruler who can preserve his state, he will preserve his state; and when

he has the appurtenances of a ruler who will destroy his state, he will destroy it. If one heads a state of ten thousand war chariots, then his might and authority will naturally com* Following Kanaya, I take the phrase pi-kung to refer to the san-kung or three high officials: the grand tutor, the grand protector, and the director of music. They had charge of affairs pertaining to manners and moral education. Some translators, however, take pi-kung to refer to the feudal lords. * Reading pei instead of su in accordance with the suggestion of Kubo Ai.

* The remainder of the chapter lacks Yang Liang’s commentary and is difhcult to make out at numerous points. I have in general followed Kanaya and somewhat expanded the original in a few places to make it intelligible

in translation.

The Regulations of a King 51 mand respect, his fame will be widespread, and his enemies will submit. It will be within the power of the ruler himself, not men of other states, to regulate his safety and goodness. It will be within the power of the ruler himself, not other men, to decide whether he will become a king or a dictator, whether he will choose preservation or destruction. But if his might and authority are not sufficient to intimidate his neighbors and his fame is not the kind to spread throughout the world, — then he does not yet have the power to stand alone, so how can he hope to escape difficulties? Threatened by the power of some evil neighbor state, he and the rulers of other states may have to ally themselves with it and be forced to do things they do not wish to do. But although they may find themselves day by day imitating the deeds and actions of the tyrant Chieh, it does not necessarily mean that, given the opportunity, they could not become sage rulers like Yao. Only this is not the way to win merit and fame and to assist other states that are in danger of being wiped out. The way to win merit and fame and to assist other states that are in danger of being wiped out is to remain free and flourishing and to act from the sincerity of one’s innermost heart. If one is truly able to administer his state in the manner of a king, then he may become a king.

If he administers his state so as to place it in a condition of danger and near destruction, then he will face danger and destruction.

| He who is in a flourishing condition may stand upon what is right, showing no favoritism to any side but conducting all his affairs as he wishes; he may keep his armies at home and sit

back and watch while the evil and violent nations of the world fall upon each other. If he regulates the teachings of his government properly, examines carefully the rules and _proposals of his officials, and encourages and educates his people,

52 Hsiin Tzu then the day will come when his armies can stand up against the strongest forces in the world. If he practices benevolence and righteousness, honors the highest principles, makes his laws upright, selects worthy and good men for his government, and looks after the needs of his people, then the day will come when his reputation may match in fairness that of any ruler in the world. Weighty in authority, strong in military might, fair in reputation—even the sages Yao and Shun who united the world could find nothing to add to such a ruler. If schemers and plotters who would overthrow the state are forced to retire, then men of worth and sage wisdom will come forward of themselves. If punishments and government regulations are just, the people harmonious, and the customs of the country well moderated, then the armies will be strong, the cities secure against attack, and enemy nations will submit of

their own free will. If attention is paid to agriculture, and wealth and goods are accumulated, if one does not forget to guard against lavishness and excessive expenditure, and causes the ofhcials and common people to act in accordance with the rules and regulations, then wealth and goods will increase and the state will automatically grow rich. If these three conditions are realized, then the whole world will pay allegiance to such a ruler, and the rulers of evil states will automatically find

themselves unable to use their armies against him. Why? Because no one will join them in the attack.

If they carry out a military expedition against him, it must

be with the support of their own people. But if their own people favor the good ruler, look up to him as a father or mother and rejoice in him as in the fragrance of iris or orchid, and on the contrary regard their own rulers as so many wielders of branding irons and tattooing knives, as their foes and

enemies, then, human nature being what it is, even if the

The Regulations of a King 53 people should be as cruel and violent as the tyrant Chieh or Robber Chih, how could they be willing to fight for the sake

of men they hate and do harm to one they love? For this reason such evil rulers will be overthrown. Therefore, in ancient times there were men who began as rulers of a single state and ended by becoming rulers of the world, but it was not because they went about making conquests. They conducted their government in such a way as to make all men wish to become their subjects, and in this manner they were

able to punish the violent and suppress the wicked. Thus when the duke of Chou marched south, the states of the north were resentful and asked, “Why does he neglect only us?”; and when he marched east, the states of the west grew angry and asked, “Why does he leave us to the last?” ?° Who could stand up against such a ruler? Therefore he who can order his state in this way may become a true king. He who is in a flourishing condition may hold his armies in reserve and give his soldiers rest, may love and look after his people, open up new lands for cultivation, fill his granaries, and see that all necessary goods are supplied. With care he will | select men of talent and promote them to office, where he will offer rewards to encourage them and threaten strict punishments in order to restrain them from evil. He will choose men

who know how to handle such things and employ them to attend to and manage all affairs. Then he may sit back at ease and goods will pile up, all will be well ordered, and there will.

be enough of all things to go around. When it comes to weapons and military supplies, his war-loving enemies will day by day be smashing and destroying theirs and leaving °° Mencius (1B, 11) quotes a similar passage from a lost section of the Book of Documents where the hero, however, is not the duke of Chou but

T’ang, the founder of the Shang dynasty. ,

54 Hsiin Tzu them strewn over the plains of battle, while he polishes and mends his and stacks them away in his arsenals. As for goods and grain, his enemies will day by day be wasting theirs and

pouring them out to supply the campgrounds, while he gathers his in and stores them in his granaries and supply houses. As for men of talent, wise counselors, and brave and herce warriors, his enemies will day by day be destroying and wearing theirs out in strife and battle, while he attracts more and more of them to his state, selects all those who are worthy,

and trains them at his court. In this way his enemies will daily pile up depletion while he piles up abundance; they will daily pile up poverty while he piles up riches; they will daily pile up labor while he piles up ease. In the states of his enemies relations between ruler and minister, superior and in-

ferior will be pervaded by bitterness and day by day grow more harsh and strained; while with him such relations will be marked by warmth and will daily become closer and more affectionate. Therefore he can stand by and wait for the decay of his enemies and, ordering his own state in this way, may become a dictator.

If a ruler follows ordinary customs in his behavior, attends to affairs in accordance with ordinary practice, selects ordinary

men and promotes them in government, and treats his inferiors and the common people with ordinary lenience and bounty, then he may dwell in safety. If a ruler is frivolous and coarse in his behavior, hesitant and suspicious in attending to affairs, selects men for ofiice because they flatter and are glib, and in his treatment of the common people is rapacious and grasping, then he will soon find himself in peril. If a ruler is

arrogant and cruel in his behavior, attends to affairs in an irrational and perverse manner, selects and promotes men who are insidious and full of hidden schemes, and in his treatment

| The Regulations of a King 55 of the common people is quick to exploit their strength and endanger their lives but slow to reward their labors and accomplishments, loves to exact taxes and duties but neglects the state of agriculture, then he will surely face destruction. _ One must be careful to choose well from among these five categories, for these are the appurtenances that make one a king, a dictator, a ruler who dwells in safety, one who faces peril, or one who faces destruction. He who chooses well can control others; he who chooses badly will be controlled by others. He who chooses well may become a king; he who chooses badly will be destroyed. To be a king or to be destroyed, to control others or to be controlled by them—the two conditions are far apart indeed!

N)

oe DEBATING MILITARY AFFAIRS (SECTION 15)

The lord of Lin-wu and Hsiin Tzu were debating military affairs in the presence of King Hsiao-ch’eng of Chao.’ “May I

ask what are the most essential points to be observed in taking up arms?” inquired the king. The lord of Lin-wu replied, “Above, utilize the most season-

able times of heaven; below, take advantage of the most profitable aspects of the earth. Observe the movements of your

enemy, set out after he does, but get there before him. This is the essential point in the art of using arms!”

“Not so!” objected Hsiin Tzu. “From what I have heard of the way of the ancients, the basis of all aggressive warfare and military undertaking lies in the unification of the people. If the bow and arrow are not properly adjusted, even the famous archer Yi could not hit the mark. If the six horses of the team

are not properly trained, even the famous carriage driver T'sao-fu could not go far. If the officers and people are not devoted to their leaders, even the sages T’ang or Wu could not

win victory. [he one who is good at winning the support of his people is the one who will be good at using arms. Therefore what is really essential in military undertakings is to be

good at winning the support of the people.” | | “I disagree,” said the lord of Lin-wu. “In using arms, one * The lord of Lin-wu is identified by commentators as a general of the

state of Ch’u. Hsiin Tzu is referred to throughout the chapter as Sun Ch’ing-tzu (see Introduction, p. 1). King Hsiao-ch’eng of Chao reigned 265-245 B.C.

Debating Military Affairs 57 should place the highest value upon advantageous circumstances, and should move by stealth and deception. He who is good at using arms moves suddenly and secretly, and no one knows from whence he comes. Sun Wu and Wu Chi? employed this method and there was no one in the world who could stand up against them. Why is it necessary to win the

support of the people?”

~ “You do not understand,” said Hsiin Tzu. “What I am speaking about are the soldiers of a benevolent man, the inten-

tions of a true king. You speak of the value of plots and advantageous circumstances, of moving by sudden attack and stealth—but these are matters appropriate only to one of the feudal lords. Against the soldiers of a benevolent man, deceptions are of no use; they are effective only against a ruler who is rash and arrogant, whose people are worn out; they are effective only against a state in which the ruler and his sub- __ jects, superiors and inferiors, are torn apart and at odds. ‘There-

fore a tyrant like Chieh may practice deception upon another Chieh, and, depending upon how cleverly he proceeds, may happily achieve a certain success. But for a Chieh to try to practice deception against a sage like Yao would be like trying to break a rock by throwing eggs at it, or trying to stir boiling water with your bare finger. He will be like a man consumed by fire or drowned in water.

“As for the relations between superior and inferior under the rule of a benevolent man, the various generals will be of one mind, and the three armies of the state will work together. Subjects will serve their lord and inferiors will serve their superiors like sons serving a father or younger brothers serving *'Two famous generals and military experts of the late 4th and 3d centuries respectively. Both are reputed authors of early works on military science, known today as the Sun Tzu and Wu Tzu.

58 Hsiin Tzu an elder brother. They will be like hands held up to guard the face and eyes, arms clasped to protect the breast and belly. Try to attack such a ruler by deception and you will see the hands fly up in warning and then dart forward in attack. “Moreover, if the benevolent man rules a state which is ten li square, the people for a hundred li around will act as listen-

ers for him; if he rules a state of a hundred li, a thousand Ii will listen for him; and if he rules a state of a thousand li, the whole region within the four seas will listen for him. He will receive clear intelligence and warning, and the whole region will draw about him in unity. Thus the soldiers of a benevolent man, when gathered together, will form themselves into companies; when spread out, they will form in ranks. In striking power they are like the long blade of the famous sword Mu-yeh; what comes beneath it will be cut off. In keenness

they are like the sharp point of Mu-yeh; what falls upon it will be pierced through. Drawn up in square encampment and

surrounded by sentries, they will be like a solid rock; what butts against it will be smashed, crushed, broken, defeated, and forced to fall back.?

“When rulers of evil and war-loving states carry out their expeditions, who can they get to accompany them? Obviously they must employ their own people. But if their own people favor the benevolent ruler, look up to him as to a father or mother, and rejoice in him as in the fragrance of iris or orchid, and on the contrary regard their own superiors as so many wielders of branding irons and tattooing knives, as their foes and enemies, then, human nature being what it is, even if the * This last clause contains seven characters that are quite unintelligible. Commentators generally agree that they must have the meaning given in the translation, though efforts to interpret or amend the individual eharacters are scarcely convincing.

Debating Military Affairs 59 people should be as cruel and violent as the tyrant Chieh or Robber Chih, how could they be willing to fight for the sake of men they hate and do harm to one they love? This would be like trying to force men to do harm to their own fathers or mothers. They will surely come, therefore, and give warning to the benevolent ruler, and in that case how can the evil rulers hope to carry out their deceptions?

“Therefore, when the benevolent man rules the state, he grows day by day more illustrious. Those among the other feudal lords who lead the way in paying allegiance to him will find safety, those who lag behind will be in danger, those who oppose him on too many points will find their territory

stripped away, and those who turn against him will perish.

This is what the Odes means when it says: | The martial king raised his banners,

Firmly he grasped his battle-ax. |

Blazing like a fierce fire, Who then dared oppose us?” 4

“Very good,” replied King Hsiao-ch’eng and the lord of Lin-wu. “And may we ask what ways and what modes of action the true king should follow in employing his soldiers?”

Hsiin Tzu said, “Such detailed matters are of minor im- | portance to Your Majesty, and may be left to the generals. What I would like to speak about, however, are the signs

which indicate whether the king and the feudal lords are strong or weak, whether they are destined to survive or to perish, and the circumstances which insure safety or invite

danger. }

“If the ruler is a worthy man, the state will be ordered; if * “Hymns of Shang,” Ch’ang-fa, Mao text no. 304. The martial king is T'ang, the founder of the Shang dynasty.

6o Hsiin Tzu he is incompetent, the state will be disordered. If he honors rites and values righteousness, the state will be ordered; if he _ disdains rites and despises righteousness, the state will be disordered. ‘The ordered state will be strong, the disordered one weak. This is the basis of strength and weakness.

“If superiors have the qualities that command respect, then

| inferiors can be employed. If superiors do not command respect, then inferiors cannot be employed. If inferiors can be employed, the state will be strong; if not, the state will be _ weak. This is a constant rule of strength and weakness. “To honor rites and seek to achieve merit is the highest manner of action. To work hard for one’s stipend and value integrity is the next highest manner. To consider merit above all other things and despise integrity is the lowest manner. This is the constant principle of strength and weakness. “He who treats his officers well will be strong; he who does not will be weak. He who loves his people will be strong; he who does not will be weak. He whose government decrees are trusted will be strong; he whose government decrees are not trusted will be weak. He whose people are unified will be

strong; he whose people are not unified will be weak. He whose rewards are generous will be strong; he whose rewards are meager will be weak. He whose punishments are held in awe will be strong; he whose punishments are regarded with contempt will be weak. He whose supplies and armaments are complete and efficient will be strong; he whose supplies and

armaments are crude and inefficient will be weak. He who uses his soldiers with caution will be strong; he who uses them rashly will be weak. He whose strategies proceed from a single source will be strong; he whose strategies proceed from several sources will be weak. ‘This is the abiding rule of strength and weakness.

_ Debating Military Affairs 61 “The men of Ch’i place great emphasis upon skill in personal attack.® He who by such skill comes back with the head

of an enemy is rewarded with eight ounces of gold levied from the men who accomplished no such deed, but outside of this there are no regular battle rewards.® If one is faced with an enemy who is weak and small in numbers, such methods

may achieve a certain temporary success, but if the enemy is | - numerous and strong, one’s own forces will quickly disintegrate. They will scatter like birds in flight, and it will be only a matter of days before the state will be overthrown. ‘This method of employing soldiers will doom a state to destruction; no way leads to greater weakness. It is in fact hardly different from going to the market place and hiring day laborers to do one’s fighting.

“The rulers of Wei select their foot soldiers on the basis of certain qualifications. They must be able to wear three sets of armor,’ carry a crossbow of twelve-stone weight, bear on their backs a quiver with fifty arrows, and in addition carry a spear. They must also wear helmets on their heads, a sword at their waist, carry three days’ provisions, and still be able to march a hundred li in one day. When men have met these qualifications, their families are exempted from corvée labor and are given special tax benefits on their lands and houses. Thus, although individual soldiers may grow old and their strength

wane, their privileges cannot be readily taken away from them, and in addition it is not easy to train a sufficient number

of new recruits to replace them. For this reason, though the ° Writing some 150 years later, the historian Ssu-ma Ch’ien noted the

same fact: “The people (of Ch’i) . .. are timid in group warfare but brave in single combat” (Shih chi 129). ° Following the interpretation of Kubo Ai. * Defined by commentators as breastplates, waist guards, and shin guards.

| 62 Hsiin Tzu territory of the state is large, its taxes are meager. This method of employing soldiers puts a state in grave peril. “As for the rulers of Ch’in, they have only a narrow, confined area on which to settle their people. They employ them

harshly, terrorize them with authority, embitter them with hardship, coax them with rewards, and cow them with punishments. hey see to it that if the humbler people® hope to gain

any benefits from their superiors, they can do so only by achieving distinction in battle. They oppress the people before employing them and make them win some distinction before granting them any benefit. Rewards increase to keep pace with achievements; thus a man who returns from battle with five enemy heads is made the master of five families in his neigh- _ borhood. In comparison with the other methods I have men-

tioned, this is the best one to insure a strong and populous state that will last for a long time, a wide expanse of territory that yields taxes. Therefore Ch’in’s repeated victories during the last four generations® are no accident, but the result of policy. -

“So the skilled attackers of Ch’i cannot stand up against the armed infantry of Wei, and the armed infantry of Wei cannot stand up against the fierce officers of Ch’in. But neither could the fierce officers of Ch’in come face to face with the wellregulated troops of the dictators Duke Huan of Ch’i or Duke

Wen of Chin, nor could the troops of Duke Huan or Duke Wen possibly hold out against the benevolence and righteous-

ness of King ‘T’ang or King Wu. Before such a force they would be like something burned and shriveled, something flung against a rock. * Omitting t’ien, which makes no sense here.

* Probably a reference to the reigns of Duke Hsiao and Kings Hui, Wu, and Chao of Ch’in, or the period from 361 to 250 8.c., when Ch’in was steadily growing in size and power.

Debating Military Affairs 63 “The soldiers of states like Ch’i, Wei, or Ch’in are all merely seeking reward or striving for some profit. They are following the ways of hired laborers or tradesmen, and as yet have not understood what it means to honor their superiors, conform to regulations, and fulfill their moral obligations. If

one of the other feudal lords were truly able to imbue his | people with a sense of honor, then he could rise up and menace them all without difficulty. Therefore, to attract men to military service and recruit soldiers as they do, to rely upon

force and deception and teach men to covet military achieve- | ments and profit—this is the way to deceive the people. But to rely upon ritual principles and moral education—this is the way to unite them. When deception «meets deception, the victory may go either way, depending upon the cleverness of the combatants. But to try to use deception to meet unity is like trying to hack down Mount 'T’ai with an awl—no one in the world would be stupid enough to attempt it! ‘Thus, when the true king leads forth his troops, there is no doubt of the outcome. When King ‘T’ang set out to punish Chieh, and King Wu to punish Chou, they had only to give a wave of their hands and a nod, and even the most powerful and un-

ruly nations hastened to their service. Punishing Chieh and Chou then became no more difficult than punishing a lone

commoner. This is what the ‘Great Oath’ means when it speaks of “Chou, the lone commoner.’ *°

“Those whose soldiers achieve a major degree of unity may control the world; those whose soldiers achieve only a minor

_ degree of unity may still be strong enough to menace" their enemies close by. But those who attract men to military service 1° From the ““T’ai-shih” CGreat Oath), a lost section of the Book of Docu-

ments. The section by that name in the present text is a later forgery. 4 Reading tai instead of chih.

64 Hsiin Tzu and recruit soldiers, rely upon deception, and teach men to covet military achievements and profit—their soldiers will sometimes win, sometimes lose, but do neither consistently. At times such men will contract their sphere of influence, at times they will expand it; at times they will survive, at times they will go under, like rivals struggling for supremacy. Military operations of this kind are like the raids of robber bands; the gentleman has nothing to do with such ways. “Thus, for example, ‘T’ien Tan of Ch’i, Chuang Ch’iao of

Ch’u, Wei Yang of Ch’in, and Miao Chi of Yen’ were all men who were popularly said to have been skilled in the use of soldiers. Yet, though these men achieved varying degrees of cleverness and might, they all followed essentially the same

methods, and none of them ever got so far as to bring true harmony and unity to their armies. They all relied upon sudden seizures, deceptions, stratagems, and swift overthrows, and

for this reason their armies were no different from robber

bands. Duke Huan of Ch’i, Duke Wen of Chin, King Chuang of Ch’u, King Ho-lii of Wu, and King Kou-chien of Yiieh*® were all able to attain harmony and unity in their ®'T’ien Tan was a well-known general of Ch’i who, in 285-284 B.c., drove the invading troops of Yen and her allies from the state and rescued the royal house of Ch’i from destruction. His biography is found in Shih chi 82. Chuang Ch’iao was a general of Ch’u who, in the time of King Wei

of Ch’u (339~328 B.c.), gained control of a large area west of Ch’u in present day Szechwan and Kweichow provinces. He later turned against

. his sovereign and made himself an independent ruler in the region of Lake Tien in Yiinan. Cf. Shih chi 116. Wei Yang, often referred to by his title Lord Shang, was the famous statesman and Legalist adviser to Duke Hsiao of Ch’in (361-338 B.c..), whose biography is the subject of Shih chi

68. He is the reputed author of the Legalist work, The Book of Lord Shang. Miao Chi is otherwise unknown.

*% This is the usual list of the five pa or dictator leaders of the feudal lords. The dates of their reigns are: Duke Huan of Ch’i, 685-643 B.c.; Duke Wen of Chin, 636-628 3.c.; King Chuang of Ch’u, 613-591 B.C.; King Ho-lii of Wu, 514-496 B.c.; King Kou-chien of Yiieh, ?~465 B.c.

| Debating Military Affairs 65 armies, and it may therefore be said that they at least entered

the realm of the true way. And yet they never grasped the essentials of the matter. So they were able to become dictators, but not to become true kings. ‘These are the signs of strength and weakness.” “Excellent!” exclaimed King Hsiao-ch’eng and the lord of

general?” |

Lin-wu. “And now may we ask how to become a good Hsiin Tzu replied, “In knowledge, nothing is more important than discarding what is doubtful; in action, nothing is more important than avoiding mistakes; in undertakings, nothing is more important than to be without regret. Only make sure that you will not regret the undertaking, and then you need not worry about whether it will be successful or not. “In regulations and commands, strive for strictness and authority. In rewards and punishments, strive for consistency and aptness. In establishing encampments and depots, strive to make them well-guarded and secure. In troop movements, strive for an air of gravity and deliberateness, at the same time striving for alertness and rapidity. In observing the disposition and movements of the enemy, strive to obtain the most complete and penetrating reports, and see that they are checked for reliability. In meeting the enemy in battle, proceed on the basis of what you understand thoroughly, not on the basis of what you are in doubt about. These are called the six arts. “Do not think only of maintaining your rank as a general and shudder at the thought of losing your command. Do not press too hard for victory and forget about defeat. Do not be too stern with your own men and despise the enemy. Do not fix your eyes on gain alone and take no thought for loss. Seek ripeness in all your plans and liberality in your use of supplies.

These are called the five expedients. , |

| 66 Hsiin Tzu | “There are three cases in which a general refuses to obey the command of his ruler. ‘Though threatened with death, he

cannot be made to take up a position that is untenable. Though threatened with death, he cannot be made to attack where there is no hope of victory. Though threatened with death, he cannot be made to deceive the common people. These are known as the three extremities.

“If the general, having received his commands from the ruler, relays them to the three armies, and sees to it that the three armies are properly regulated, that the officers are assigned to their proper ranks, and that all matters are correctly disposed of, then the ruler will have no particular occasion to rejoice nor the enemy to feel resentment.’* This is called the highest type of service.

“Plan before any undertaking, and carry it out with circum-

spection; be as careful about the end as you are about the beginning, and end and beginning will be alike. This is the most auspicious policy. The success of all undertakings rests upon circumspection; their failure derives from negligence. Therefore, when circumspection prevails over carelessness, the result will be good fortune; when carelessness prevails over circumspection, the result will be annihilation. When planning prevails over personal desires, the result will be progress; when personal desires prevail over planning, the result will be disaster. Fight as though you were trying only to hold your ground; march as though you were already in battle; regard

any success you achieve as merely lucky. Be cautious in strategy and never neglectful; be cautious in your undertak“J am not sure I understand what Hsiin Tzu means by this. Apparently he is saying that if the army is regulated according to objective principles, both the ruler and the enemy will take its efficiency as a matter of course and feel no particular emotional reaction. But perhaps the text is faulty.

Debating Military Affairs 67 ings and never neglectful; be cautious in dealings with your ofcers and never neglectful; be cautious in using your men and never neglectful; be cautious in regard to the enemy and never neglectful. These are called the five things that must not be neglected. “He who carefully observes the six arts, the five expedients, and the three extremities, and who disposes of all matters with

assiduity and circumspection, never allowing himself to be neglectful, may be called a true general of the world. He par-

takes of a godlike intelligence!” ,

“Very good,” said the lord of Lin-wu. “And now may I ask | about the regulations of the king’s army?”

Hsiin Tzu replied, “The general dies with his drums; the

carriage driver dies with the reins; the officials die at their posts; the leaders of the fighting men die in their ranks. When the army hears the sound of the drums, it advances; when it hears the sound of the bells, it retreats. Obedience to orders is counted first; achievements are counted second. To advance when there has been no order to advance is no different from

retreating when there has been no order to retreat; the penalty is the same. The king’s army does not kill the enemy’s old men and boys; it does not destroy crops. It does not seize those who retire without a fight, but it does not forgive those who resist. It does not make prisoners of those who surrender and seek asylum. In carrying out punitive expeditions, it does

not punish the common people; it punishes those who lead | the common people astray. But if any of the common people

fight with the enemy, they become enemies as well. Thus those who Hee from the enemy forces and come in surrender shall be left to go free.’® K’ai, the prince of Wei, was enfeoffed * Following the interpretation of Liu Shih-p’ei.

63 Hsiin Tzu in Sung, but T’s’ao Ch’u-lung was executed in the presence of the army.’® The Yin people who submitted to the leaders of the Chou army, however, were allowed to live and were cared

for the same as the people of Chou. Hence, those close by sang songs and rejoiced, and those far off hastened to the Chou leaders with the greatest speed. There was no country so remote and out of the way that it did not hurry forward to serve

them and find rest and joy in their rule. All within the four seas became as one family, and wherever the report of their virtue penetrated, there was no one who did not submit. ‘This is what is called being a true leader of the people. ‘The Odes — refers to this when it says: From west, from east, From south, from north,

There were none who thought of not submitting.1”

“A true king carries out punitive expeditions, but he does not make war. When a city is firmly guarded, he does not lay siege to it; when the soldiers resist strongly, he does not attack.

When the rulers and their people of other states are happy with each other, he considers it a blessing. He does not massacre the defenders of a city; he does not move his army in secret; he does not keep his forces long in the field; he does not allow a campaign to last longer than one season. Therefore the 6 The prince of Wei was a brother of Chou, the last ruler of the Yin. Having admonished Chou in vain, he retired from court and, when King Wu attacked and overthrew Chou, he greeted the army and acknowledged his submission. In return he was enfeoffed in Sung and given the task of carrying on the sacrifices of the Yin royal family. His name is Ch’i, but it has here been changed by Han editors to K’ai in order to avoid the taboo on the personal name of Emperor Ching of the Han. T’s’ao Ch’u-lung is usually identified as an evil adviser to the tyrant Chieh of the Hsia, but Hsiin Tzu apparently takes him to be an adviser to the tyrant Chou of the Yin. “Greater Odes,” Wen-wang yu-sheng, Mao text no. 244.

Debating Military Affairs 69 people of badly ruled states delight in the report of his govern-

ment; they feel uneasy under their own rulers and long for his coming.”

~ “Excellent,” said the lord of Lin-wu.

Ch’en Hsiao’® said to Hsiin Tzu, “When you talk about the use of arms, you always speak of benevolence and righteousness as being the basis of military action. A benevolent man loves others, and a righteous man acts in accordance with

what is right. Why, then, would they have any recourse to arms in the first place? Those who take up arms do so only in order to contend with others and seize some spoil!”

Hsiin Tzu replied, “This is not something that you would understand. The benevolent man does indeed love others, and because he loves others, he hates to see men do them harm. The righteous man acts in accordance with what is right, and

for that reason he hates to see men do wrong. He takes up arms in order to put an end to violence and to do away with harm, not in order to contend with others for spoil. Therefore, where the soldiers of the benevolent man encamp they command a godlike respect; and where they pass, they transform the people. They are like the seasonable rain in whose falling all men rejoice. Thus Yao attacked Huan Tou, Shun attacked the rulers of the Miao, Yu attacked Kung Kung, T'ang attacked the ruler of the Hsia, King Wen attacked Ch’ung, and King Wu attacked Chou. These four emperors and two kings all marched through the world with their soldiers of benevolence and righteousness. Those nearby were won by their goodness, and those far off were filled with longing by their virtue. They did not stain their swords with blood, and yet near and far alike submitted; their virtue flourished in the * A disciple of Hsiin Tzu, otherwise unknown. |

70 Hsiin Tzu center and spread to the four quarters. This is what the Odes means when it says: ~The good man, the gentleman, His forms are without fault; His forms are without fault;

He corrects the countries of the four quarters.?®

Li Ssu*® said to Hsiin Tzu, “For four generations now Ch’in has won victory. Its armies are the strongest in the world and its authority sways the other feudal lords. It did not attain this by means of benevolence and righteousness, but by taking advantage of its opportunities, that is all.”

Hsiin [zu replied, “This is not something that you would

understand. When you talk about opportunities, you are speaking of opportunities that are in fact inopportune. When I speak of benevolence and righteousness, I mean opportunities that are in fact great opportunities. This benevolence and righteousness which I speak of are the means whereby government is ordered properly, and when government is

properly ordered, then the people will draw close to their superiors, delight in their rulers, and think it a light matter to die for them. Therefore I have said that matters pertaining to the army and the leadership of the generals are of minor importance. Ch’in has been victorious for four generations, yet it ® “Airs of Ts’a0,” Shih-chiu, Mao text no. 152. The present Hsiin Tzu text quotes only the first two lines, but commentators believe that the next two lines should be added in order to make the quotation tie in with Hsiin Tzu’s remarks.

°° A native of Ch’u who, after studying for a time under Hsiin Tzu, traveled west to the state of Ch’in and gained the ear of the young king. With Li Ssu’s advice and aid, the king in time succeeded in conquering the other states and becoming supreme ruler, taking the title of First Emperor of the Ch’in. Li Ssu, as prime minister, had much to do with the establishment of the new dynasty, but after the death of the First Emperor he was ousted from power by a court rival and in 208 B.c. was condemned to death.

| Debating Military Affairs 71 has lived in constant terror and apprehension lest the rest of the world should someday unite and trample it down. These are the soldiers of a degenerate age, not of a nation which has grasped the true principle of leadership. Thus T’ang did not

have to wait until he had cornered Chieh on the field of Ming-t'iao before he could accomplish his overthrow; King Wu did not have to wait until his victory on the day chia-tzu before he could punish Chou for his evil deeds.** They had al-

ready assured victory for themselves by all their earlier deeds and actions. This is what it means to employ the soldiers of benevolence and righteousness. Now you do not try to get at the root of the matter, but look for a model in superficial appearances. This is the way to bring disorder to the world!” Rites’? are the highest expression of hierarchical order, the _ basis for strengthening the state, the way by which to create authority, the crux of achievement and fame. By proceeding in accordance with ritual, kings gain possession of the world;

by ignoring it, they bring destruction to their altars of the grain and soil. Stout armor and sharp weapons are not enough to assure victory; high walls and deep moats are not enough to assure defense; stern commands and manifold penalties are not

enough to assure authority. What proceeds by the way of ritual will advance; what proceeds by any other way will end in failure.

The men of Ch’u make armor out of sharkskin and rhinoceros hides, and it is so tough it rings like metal or stone. They carry steel spears made in Yiian, sharp as the sting of a wasp, “The field of Ming-+t’iao was the scene of T’ang’s final victory over | Chieh, the last ruler of the Hsia; chia-tzu was the day of the sixty-day cycle upon which King Wu won final victory over Chou, the last ruler of the Yin. “The remainder of the chapter is not in anecdote form. The three paragraphs that follow are duplicated in Ssu-ma Ch’ien’s “Treatise on Rites,”

Shih chi 23. :

72, Hsiin Tzu and move as nimbly and swiftly as a whirlwind. And yet Ch’u’s troops were defeated at Ch’iu-sha and their general,

T’ang Mei, was killed; and from the time when Chuang Ch’iao turned against the king of Ch’u, the state was torn apart.** Surely this did not come about because Ch’u lacked

stout armor and sharp weapons. Rather it was because its leaders did not follow the proper way. They had the Ju and Ying rivers to protect them, the Yangtze and the Han as their moats; they were bounded by the forests of Teng and shielded by Mount Fang-ch’eng. And yet the Ch'in forces swept down and seized the Ch’u capital city of Yen in Ying as easily as one might shake down a dry leaf.?* Surely it was not because Ch’u

lacked natural defenses and barriers to protect it. Rather it was because its leaders failed to follow the proper way. ‘The tyrant Chou cut out Pi Kan’s heart, imprisoned Chi Tzu, and made the punishment of the burning pillar. He murdered and massacred without season and his ministers and people were filled with terror and gave up all hope of saving their lives. Yet, when the armies of King Wu came sweeping down, none | of Chou’s commands were obeyed and he found he could not tally his people about him. Surely it was not because his commands were not stern enough or his punishments not manifold. Rather it was because in leading the people he failed to follow the proper way.

In ancient times the only weapons were spears, lances, bows, and arrows, and yet enemy states did not even wait until these were used against them, but submitted at once. Men * In 300 B.c. the army of King Huai of Ch’u was defeated at Ch’iu-sha by the combined forces of Ch’in, Han, Wei and Ch’i. For Chuang Ch’iao, see above, n. 12.

“ Hsiin Tzu is referring to the attack against Ch’u led by the Ch’in general Po Ch’i in 278 3.c., when the Ch’in forces seized the Ch’u capital and forced King Ch’ing-hsiang to flee.

Debating Military Affairs 73 did not build walls and battlements or dig ditches and moats; they did not set up defenses and watch stations or construct war machines, and yet the state was peaceful and safe, free from fear of outside aggression and secure in its position.”” There was only one reason for this. The leaders illumined the

Way and apportioned all ranks fairly; they employed the people at the proper season and sincerely loved them, so that the people moved in harmony with their superiors as shadows follow a form or echoes answer a sound. If there were

any who did not follow commands, then and only then were © punishments applied. ‘Therefore, the rulers had only to punish one man and the whole world submitted. Men who had been punished bore no ill will against their superiors, for they knew that the fault lay in themselves. ‘Therefore, the rulers seldom

had to use punishments, and yet their authority was recognized by all. ‘There was only one reason for this: they followed the proper way. In ancient times, when Yao ruled the world, he executed one man, punished two others, and after that the whole world was well ordered. This is what the old text means when it says, “let your authority inspire awe, but do not wield it; set up penalties but do not apply them.”

It is the way with all men that, if they do something only | for the sake of winning rewards and benefits, then, the moment they see that the undertaking may end unprofitably or in danger, they will abandon it. Therefore rewards, punishments, force, and deception are in themselves not enough to make men put forth their full efforts or risk their lives for the state. If the rulers and superiors do not treat the common people in accordance with ritual principles, loyalty, and good faith, but rely solely upon rewards, punishments, force, and deception, oppressing them and trying merely to squeeze some * Following the reading of Shih chi 23.

74 Hsiin Tzu kind of service and achievement out of them, then when an invader comes, if entrusted with the defense of a threatened city, they will surely betray their trust; if led into battle against

the enemy, they will invariably turn and flee; if assigned to some difficult and demanding task, they will certainly run away. The bonds that should hold them will melt, and in-feriors will turn upon and seize control of their superiors. Rewards and punishments, force and deception may be the way to deal with hired laborers or tradesmen, but they are no way to unify the population of a great state or bring glory to the nation. Therefore, the men of ancient times were ashamed to resort to such ways.

Lead the people by magnifying the sound of virtue, guide them by making clear ritual principles, love them with the utmost loyalty and good faith, give them a place in the government by honoring the worthy and employing the able, and elevate them in rank by bestowing titles and rewards. Demand labor of them only at the proper season, lighten their burdens, __ unify them in harmony, nourish them and care for them as you would little children. Then, when the commands of gov-

ernment have been fixed and the customs of the people unified, if there should be those who depart from the custom-

ary ways and refuse to obey their superiors, the common people will as one man turn upon them with hatred, and regard them with loathing, like an evil force that must be exorcised. Then and only then should you think of applying penalties. Such are the kind of men who deserve severe punishment. What greater disgrace could come to them? If they try to profit by evil ways, they find themselves confronted by severe punishment. Who but a madman or a fool, perceiving such an outcome, would fail to reform?

Debating Military Affairs 75 , After this the common people will become enlightened and

will learn to obey the laws of their superiors, to imitate the ways of their ruler, and will find rest and delight in them. Then, if men should appear who can train themselves to do good, improve and rectify their conduct, practice ritual principles, and honor the Way, the common people will as one man show them deference and respect, will favor and praise them. Then and only then may you think of doling out rewards. Such are the kind of men who deserve lofty titles and _ generous emoluments. What greater glory could come to them? If they fear to suffer some loss by their virtuous ways,

_ they find themselves supported and sustained by titles and emoluments. What man is there alive who would not wish to

receive the same? |

With lofty titles and generous emoluments clearly held out before him, and explicit penalties and deep disgrace unmistakably hovering behind him, though a man might have no wish to reform his ways, how could he help himself? Therefore, the people will flock about their ruler like water lowing

downward. Where he is present, he commands a godlike respect; when he acts, he transforms the people (and they become obedient ).?* ‘The violent and daring are transformed to _ sincerity; the prejudiced and selfish-minded are transformed to fairness; the quick-tempered and contentious are transformed to harmony. This is called the great transformation and the highest unity. The Odes refers to this when it says: The king’s plans were truly sincere, And the country of Hsii came in submission.?7 * The words in parentheses, two characters in the original, break the rhythm of the passage; either they are part of a clause the rest of which

has dropped out of the text, or they do not belong here at all. : ” “Greater Odes,” Ch’ang-wu, Mao text no. 263.

76 Hsiin Tzu There are three methods by which you may annex a neighboring state and bring its people under your rule: you may win them over by virtue, by force, or by wealth. If the people of a neighboring state respect your reputation, admire your virtuous actions, and desire to become your subjects, they will throw open their gates, clear the roads, and welcome you to their cities. If you allow them to follow their

old customs and remain in their old homes, the common people will all rest easy and will willingly obey your laws and

commands. In this way you will acquire new territory and your power will increase; you will have added to your population and your armies will be stronger than ever. This is what

it means to win over a neighbor by virtue. | If the people of a neighboring state do not respect your reputation or admire your virtuous actions, but are awed by your authority and intimidated by force, then, although they will feel no loyalty to you in their hearts, they will not dare to resist annexation. In such cases, however, you will have to enlarge your garrisons and increase your military supplies, and your government expenditures will increase likewise. In this way you will acquire new territory but your power will decrease; you will have added to your population but your armies will be weaker than before. This is what it means to win over a neighbor by force.

If the people of a neighboring state do not respect your reputation or admire your virtuous actions, but are poor and are looking for some way to get rich, are starving and in search of plenty, then they will come to you with empty bellies and gaping mouths, attracted by your food alone. In such a case, you will have to issue supplies of grain from your storehouses

in order to feed them, hand out goods and wealth to enrich them, and appoint conscientious ofhcials to look out for them,

Debating Military Affairs 77 and only after three years have passed can you put faith in their loyalty. In this way you will acquire new territory but your power will decrease; you will have added to your popu- | lation but the state will be poorer than before. This is what it means to win over a neighbor by wealth. Therefore I say, he who annexes a state by virtue is a true king; he who annexes it by force will be weakened; and he who annexes it by wealth will be impoverished. From ancient times to the present it has

always been the same.

It is easy enough to annex territory; the difficult thing is to stabilize and maintain control over it. Ch’i was able to annex

Sung, but could not hold on to it, and so Wei snatched it away. Yen succeeded in annexing Ch’i, but could not hold on to it, and so T’ien ‘Yan seized control of it. Han’s territory of

_ Shang-tang, a region several hundred li square, rich and well | inhabited, chose to become part of Chao, but Chao could not hold on to it, and hence Ch’in took it away.** He who is able

to annex territory but not to hold on to it will invariably be | stripped of his acquisitions; he who can neither annex territory nor hold on to what he has will surely be destroyed. He

who can hold on to territory will invariably be able to acquire more. When one can both acquire and hold on to territory, there is no limit?® to the amount he can annex. In ancient times T’ang began with the region of Po and King Wu began with Hao, both of them areas of only a hundred li square. ‘The reason they were able to unite the world under their rule and

win the allegiance of all the other feudal lords was simply this: they knew how to secure their hold upon their territory. * Ch’i annexed Sung in 286 B.c. but lost it two years later to Wei. For T’ien Tan and the invasion of Ch’i by Yen, see above, n. 12. The region of Shang-tang, originally a part of Han, chose to become part of Chao in 261 B.c., but three years later it was taken over by Ch'in. * Reading ch’iang (border) instead of chiang.

78 Hsiin Tzu Secure your hold on the aristocracy by means of ritual; secure your hold on the people through government. With ritual well ordered, the aristocracy will submit to your rule; with the government fairly administered, the people will feel safe. With the aristocracy submissive and the people content, you will attain what is called a situation of great stability. If - you remain within your borders, you will be unassailable; if you march to battle, you will be strong. What you command will be done, what you forbid will cease, and the undertakings

of a true king will be complete in you. |

Pe A DISCUSSION OF HEAVEN (SECTION 17) Heaven's ways are constant. It does not prevail because of a sage like Yao; it does not cease to prevail because of a tyrant like Chieh. Respond to it with good government, and good fortune will result; respond to it with disorder, and misfortune

will result. If you encourage agriculture and are frugal in

expenditures, then Heaven cannot make you poor. If you | provide the people with the goods they need and demand their labor only at the proper time, then Heaven cannot afflict you with illness. If you practice the Way and are not of two minds, then Heaven cannot bring you misfortune. Flood or drought cannot make your people starve, extremes of heat or cold cannot make them fall ill, and strange and uncanny occurrences cannot cause them harm. But if you neglect agriculture and

spend lavishly, then Heaven cannot make you rich. If you are careless in your provisions and slow to act, then Heaven cannot make you whole. If you turn your back upon the Way and act rashly, then Heaven cannot give you good fortune.

Your people will starve even when there are no floods or droughts; they will fall ill even before heat or cold come to oppress them; they will suffer harm even when no strange or _ uncanny happenings occur. The seasons will visit you as they _ do a well-ordered age, but you will suffer misfortunes that a

well-ordered age does not know. Yet you must not curse Heaven, for it is merely the natural result of your own actions. Therefore, he who can distinguish between the activities of

So Hsiin Tzu Heaven and those of mankind is worthy to be called the highest type of man.

To bring to completion without acting, to obtain without secking—this is the work of Heaven. Thus, although the sage has deep understanding, he does not attempt to exercise it upon the work of Heaven; though he has great talent, he does not attempt to apply it to the work of Heaven; though he has keen perception, he does not attempt to use it on the work of

Heaven. Hence it is said that he does not compete with Heaven’s work. Heaven has its seasons; earth has its riches; man has his government. Hence man may form a triad with | the other two. But if he sets aside that which allows him to form a triad with the other two and longs for what they have, then he is deluded. ‘The ranks of stars move in progression, the sun and moon shine in turn, the four seasons succeed each other in good order, the yin and yang go through their great transformations, and the wind and rain pass over the whole land. All things obtain what is congenial to them and come to life, receive what is nourishing to them and grow to completion. One does not see the process taking place, but sees only the results. Thus it is called godlike. All men understand that the process has reached completion, but none understands the formless forces that bring it about. Hence it is called the ac‘complishment of Heaven.* Only the sage does not seek to understand Heaven. When the work of Heaven has been established and its accomplishments brought to completion, when the form of man is whole and his spirit is born, then love and hate, delight and anger, sorrow and joy find lodging in him. These are called his heavenly emotions. Ears, eyes, nose, mouth, and body all have that which they perceive, but they cannot substitute for * Adding the word kung at the end of the sentence.

, | A Discussion of Heaven SI one another. They are called the heavenly faculties. ‘The heart dwells in the center and governs the five faculties, and hence it is called the heavenly lord. Food and provisions are not of the same species as man, and yet they serve to nourish him

and are called heavenly nourishment. He who accords with | what is proper to his species will be blessed; he who turns | against it will suffer misfortune. These are called the heavenly dictates. To darken the heavenly lord, disorder the heavenly faculties, reject the heavenly nourishment, defy the heavenly

dictates, turn against the heavenly emotions, and thereby destroy the heavenly accomplishment is called dire disaster. The sage purifies his heavenly lord, rectifies his heavenly faculties, cherishes the heavenly nourishment, obeys the heavenly dictates, nourishes the heavenly emotions, and thereby preserves the heavenly accomplishment. In this way he understands what is to be done and what is not to be done. Hence Heaven and earth too perform their functions and all things serve him. His actions are completely ordered; his nourishment of the people is completely appropriate; his life is without injury. his is what it means to truly understand Heaven. Hence the really skilled man has things which he does not do; the really wise man has things that he does not ponder.”

_ When he turns his thoughts to Heaven, he seeks to under-

stand only those phenomena which can be regularly expected. When he turns his thoughts to earth, he seeks to understand only those aspects that can be taken advantage of. When he turns his thoughts to the four seasons, he seeks to understand only the changes that will affect his undertakings. When he turns his thoughts to the yin and yang, he seeks to *In this passage, which I fear goes rather ponderously into English, Hsiin Tzu uses the word tien in the sense of “Nature” or “natural.” I have translated it as “Heaven” or “heavenly” throughout, however, in order to make clear the connection with what has gone before.

§2 Hsiin Tzu understand only the modulations which call for some action on his part. The experts may study Heaven; the ruler himself should concentrate on the Way. Are order and disorder due to the heavens? I reply, the sun and moon, the stars and constellations revolved ® in the same way in the time of Yii as in the time of Chieh. Yii achieved order; Chieh brought disorder. Hence order and disorder are not due to the heavens. Are they then a matter of the seasons? I reply, the crops sprout and grow in spring and summer, and are harvested and stored away in autumn and winter. It was the same under both Yii and Chieh. Yii achieved order; Chieh brought disorder. Hence order and disorder are not a matter of the seasons.

Are they due to the land? I reply, he who acquires land _ may live; he who loses it will die. It was the same in the time

of Yii as in the time of Chieh. Yii achieved order; Chieh brought disorder. Hence order and disorder are not due to the land. This is what the Odes means when it says: Heaven made a high hill,

, T’ai Wang opened it up. He began the work

And King Wen dwelt there in peace.‘

Heaven does not suspend the winter because men dislike cold; earth does not cease being wide because men dislike great distances; the gentleman does not stop acting because petty men carp and clamor. Heaven has its constant way; earth

has its constant dimensions; the gentleman has his constant demeanor. The gentleman follows what is constant; the petty * Following Kanaya, I read huan instead of jui. ‘“Hymns of Chou,” T’ien-tso, Mao text no. 270.

A Discussion of Heaven 83 man reckons up his achievements. This is what the Odes | means when it says: If you have no faults of conduct,

Why be distressed at what others say? ° , The king of Ch’u has a retinue of a thousand chariots, but | not because he is wise. The gentleman must eat boiled greens , and drink water, but not because he is stupid. ‘These are accidents of circumstance. To be refined in purpose, rich in virtuous action, and clear in understanding; to live in the present

and remember the past—these are things which are within your own power. Therefore the gentleman cherishes what is within his power and does not long for what is within the power of Heaven alone. The petty man, however, puts aside ~ what is within his power and longs for what is within the power of Heaven. Because the gentleman cherishes what is within his power and does not long for what is within Heav-

| en's power, he goes forward day by day. Because the petty man sets aside what is within his power and longs for what is within Heaven’s power, he goes backward day by day. The same cause impels the gentleman forward day by day, and the petty man backward. What separates the two originates in this one point alone. When stars fall or trees make strange sounds,® all the people in the country are terrified and go about asking, “Why has this happened?” For no special reason, I reply. It is simply that, with the changes of Heaven and earth and the mutations _ &No such poem is found in the present text of the Odes. The first line of the quotation has dropped out of the text at this point, but has been restored from the identical quotation in sec. 22. ° Hsiin Tzu is probably referring in particular to the sacred trees planted around the altar of the soil, whose rustlings and creakings were believed to

have deep significance. |

§4 Hsiin Tzu of the yin and yang, such things once in a while occur. You may wonder at them, but you must not fear them. The sun and moon are subject to eclipses, wind and rain do not always come at the proper season, and strange stars occasionally appear. [here has never been an age that was without such occurrences. If the ruler is enlightened and his government just, then there is no harm done even if they all occur at the same time. But if the ruler is benighted and his government ill-run, then it will be no benefit to him even if they never occur at all. Stars that fall, trees that give out strange sounds—such things occur once in a while with the changes of Heaven and earth and the mutations of the yin and yang. You may wonder at them, but do not fear them. Among all such strange occurrences, the ones really to be feared are human portents. When the plowing is poorly done

and the crops suffer, when the weeding is badly done and the harvest fails; when the government is evil and loses the support of the people; when the fields are neglected and the crops badly tended; when grain must be imported from abroad and sold at a high price, and the people are starving and die by the roadside—these are what I mean by human portents.

| When government commands are unenlightened, public works are undertaken at the wrong season, and agriculture is | not properly attended to, these too are human portents. When

the people are called away for corvée labor at the wrong season, so that cows and horses are left to breed together and the six domestic animals produce prodigies;’ when ritual principles are not obeyed, family affairs and outside affairs are

here. |

7 The text of the sentence up to this point appears a little farther on in the paragraph, where it makes little sense with what goes before or after. It is mot certain where it belongs (nor is the meaning any too clear), but I have followed Wang Nien-sun’s suggestion in inserting it

A Discussion of Heaven 85 not properly separated, and men and women mingle wantonly, so that fathers and sons begin to doubt each other, superior and inferior become estranged, and bands of invaders enter

the state—these too are human portents. Portents such as these are born from disorder, and if all three types occur at once, there will be no safety for the state. The reasons for their occurrence may be found very close at hand; the suffering they cause is great indeed. You should not only wonder at

them, but fear them as well.® | An old text says, “Strange occurrences among the creatures of nature are not discussed in the Documents.” Useless dis-

_ tinctions, observations which are not of vital importance— these may be left aside and not tended to. But when it comes to the duties to be observed between ruler and subject, the affection between father and son, and the differences in station between husband and wife—these you must work at day after day and never neglect.

You pray for rain and it rains. Why? For no particular reason, I say. It is just as though you had not prayed for rain and it rained anyway. The sun and moon undergo an eclipse and you try to save them;° a drought occurs and you pray for rain; you consult the arts of divination before making a decision on some important matter. But it is not as though you could hope to accomplish anything by such ceremonies. ‘They are done merely for ornament. Hence the gentleman regards them as ornaments, but the common people regard them as supernatural. He who considers them ornaments is fortunate, he who considers them supernatural is unfortunate. * Reading yi instead of pu. ° According to Tso chuan, Duke Wen 15th year, when an eclipse occurs,

the king should beat a drum at the altar of the soil and the feudal lords should beat drums in their courts in order to drive it away.

86 Hsiin Tzu | In the heavens nothing is brighter than the sun and moon; on earth nothing is brighter than fire and water; among natural objects nothing is brighter than pearls and jewels; among men nothing is brighter than ritual principles. If the sun and moon did not rise high in the sky, their splendor would not be seen; if fire and water did not accumulate into a mass, their glow and moisture would not spread abroad; if pearls and jewels did not come to light, then kings and lords would not prize them. So if ritual principles are not applied in the state, then its fame and accomplishment will not become known. The fate of man lies with Heaven; the fate of the nation lies in ritual. If the ruler of men honors rites and promotes worthy men, he may become a true king. If he relies upon laws and loves the people, he may become a dictator. If he cares only for profit and engages in much deceit, he will be in danger. And if he engrosses himself in plots and schemes, subversion and secret evil, he will be destroyed. Is it better to exalt Heaven and think of it, Or to nourish its creatures and regulate them? Is it better to obey Heaven and sing hymns to it, Or to grasp the mandate of Heaven and make use of itr Is it better to long for the seasons and wait for them,

Or to respond to the seasons and exploit them? | | Is it better to wait for things to increase of themselves,

Or to apply your talents and transform them? , Is it better to think of things but regard them as outside you, Or to control things and not let them slip your grasp? Is it better to long for the source from which things are born, Or to possess the means to bring them to completion? 1°

Hence if you set aside what belongs to man and long for what belongs to Heaven, you mistake the nature of all things. © This section is rhymed.

| A Discussion of Heaven 87 What the hundred kings of antiquity never departed from —this may serve as the abiding principle of the Way. To the ups and downs of history, respond with this single principle. If you apply it well, there will be no disorder; but if you do not

understand it, you will not know how to respond to change. The essence of this principle has never ceased to exist. Disorder is born from misunderstanding of it; order consists in applying it thoroughly. If you harmonize with what is best in the Way, all will go well; if you distort what is best in the

Way, you cannot govern effectively; if you mistake what is | best in the Way, you will be led into grave error.

When men wade across a river, they mark the deep places; but if the markers are not clear, those who come after will fall

in. He who governs the people marks the Way; but if the markers are not clear, disorder will result. Rites are’ the markers. He who does away with rites blinds the world; and when the world is blinded, great disorder results. Hence, it the Way is made clear in all its parts, different marks set up to indicate the outside and inside, and the dark and light places are made constant, then the pits which entrap the people can

be avoided.

The ten thousand beings are only one corner of the Way.

One species of being is only one corner of the ten thousand beings. The stupid man is only one corner of one species. He

himself believes that he understands the Way, though of course he does not. Shen Tzu" could see the advantages of holding back, but not the advantages of taking the lead. Lao Tzu could see the advantages of humbling oneself, but not the advantages of raising one’s station. Mo Tzu could see the

advantages of uniformity, but not those of diversity. Sung | 4 Shen Tao, a Taoist-Legalist thinker who, according to the “T’ien-hsia” chapter of Chuang Tzu, preached a doctrine of passivity.

§8 Hsiin Tzu Tzu’ could see the advantages of having few desires, but not those of having many. If everyone holds back and no one takes the lead, then there will be no gate to advancement for the people. If everyone humbles himself and no one tries to improve his station, then the distinctions between eminent and humble will become meaningless. If there is only uniformity and no diversity, then the commands of government can never be carried out. If there is only a lessening of desires

- and never an increase, then there will be no way to educate and transform the people.4* This is what the Documents means when it says: “Do not go by what you like, but follow the way of the king; do not go by what you hate, but follow

: the king’s road.” * Sung Chien, a philosopher who, according to the same source, taught a life of frugality and few desires. ** Because they will not be attracted by the hope of reward.

From the “Hung-fan” (Great Plan).

me A DISCUSSION OF RITES

(SECTION 19) |

What is the origin of ritual? I reply: man is born with desires. If his desires are not satisfied for him, he cannot but seek some means to satisfy them himself. If there are no limits and de- _ grees to his seeking, then he will inevitably fall to wrangling _ with other men. From wrangling comes disorder and from

disorder comes exhaustion. The ancient kings hated such disorder, and therefore they established ritual principles in order to curb it, to train men’s desires and to provide for their satisfaction. They saw to it that desires did not overextend the means for their satisfaction, and material goods did not fall short of what was desired. Thus both desires and goods were looked after and satisfied. This is the origin of rites. Rites are a means of satisfaction. Grain-fed and grass-fed

animals, millet and wheat, properly blended with the five | flavors—these are what satisfy the mouth. The odors of pepper, orchid, and other sweet-smelling plants—these are

what satisfy the nose. The beauties of carving and inlay, embroidery and pattern—these are what satisfy the eye. Bells and drums, strings and woodwinds—these are what satisfy the ear. Spacious rooms and secluded halls, soft mats, couches, benches, armrests and cushions—these are what satisfy the

body. ‘Therefore I say that rites are a means of providing satisfaction.

The gentleman, having provided a means for the satisfac-

tion of desires, is also careful about the distinctions to be

go Hsiin Tzu observed. What do I mean by distinctions? Eminent and humble have their respective stations, elder and younger their degrees, and rich and poor, important and unimportant, their different places in society. Thus the Son of _ Heaven has his great carriage spread with soft mats to satisfy his body. By his side are placed fragrant herbs to satisfy his nose, and before him the carved carriage decorations to satisfy his eye. The sound of carriage bells and the Wu and Hsiang music when he is proceeding slowly, the Shao and Hu music when he is proceeding rapidly, give satisfaction to his ear. Nine dragon banners fly to satisfy his desire for a symbol of trust. Paintings of a recumbent rhinoceros and a solitary tiger, horse girths of water-dragon pattern, fine woven spreads, and dragonhead ornaments satisfy his desire for awesome spectacle. And the horses which draw his great carriage must be

of the utmost reliability’ and highly trained before he will consent to ride. In this way he satisfies his desire for safety. [As for the king’s officials] let them understand clearly that to advance in the face of death and to value honor is the way

to satisfy their desire for life; to spend and to supply what goods are needed is the way to satisfy their desire for wealth; to conduct themselves with respect and humility is the way to

satisfy their desire for safety; and to obey ritual principles and good order in all things is the way to satisfy their emotions. He who seeks only to preserve his life at all cost will surely suffer death. He who strives only for profit at all cost

will surely suffer loss. He who thinks that safety lies in indolence and idleness alone will surely face danger. He who thinks that happiness lies only in gratifying the emotions will surely face destruction. * Reading hsin instead of pei in accordance with the parallel text in Shih chi 23.

A Discussion of Rites gI Therefore, if a man concentrates upon fulfilling ritual principles, then he may satisfy both his human desires and —

the demands of ritual; but if he concentrates only upon fulfilling his desires, then he will end by satisfying neither. The Confucians make it possible for a man to satisfy both; the Mo-ists cause him to satisfy neither. This is the difference between the Confucians and the Mo-ists. Rites have three bases. Heaven and earth are the basis of life, the ancestors are the basis of the family, and rulers and teachers are the basis of order. If there were no Heaven and earth, how could man be born? If there were no ancestors,

how would the family come into being? If there were no rulers and teachers, how would order be brought about? If even one of these were lacking, there would be no safety for man. Therefore rites serve Heaven above and earth below, honor the ancestors, and exalt rulers and teachers. These are the three bases of rites. The king honors the founder of his family as an equal of

Heaven, the feudal lords would not dare to dismantle the mortuary temples of their ancestors, and the high ministers and officials maintain constant family sacrifices. In this way

they distinguish and pay honor to the beginners of their family. ‘To honor the beginning is the basis of virtue. The Son of Heaven alone performs the suburban sacrifice to Heaven; altars of the soil may not be established by anyone lower than a feudal lord; but sacrifices such as the #’an may

_ be carried out by the officials and high ministers as well.” In this way rites distinguish and make clear that the exalted | should serve the exalted and the humble serve the humble, that great corresponds to great and small to small. * Reading t’an instead of tao and translating in accordance with the interpretation of Liu Shih-p’ei. But the passage is far from clear.

92 Hsiin Tzu | He who rules the world sacrifices to seven® generations of ancestors; he who rules a state sacrifices to five generations; he who rules a territory of five chariots* sacrifices to three genera-

tions; he who rules a territory of three chariots sacrifices to two generations.” He who eats by the labor of his hands is not permitted to set up an ancestral temple. In this way the rites distinguish and make clear that the merit accumulated by the ancestors over the generations is great. Where the merit is _- great, it will dispense widespread blessing; where the merit is

meager, the blessing will be limited. | In the triennial great sacrificial feast, one places the water goblet in the highest place, lays out raw fish on the offering table, and offers unflavored soup, thus showing honor to the unadorned basis of food and drink. At the seasonal sacrificial

feast, one places the water goblet in the highest place but fills it with wine and sweet spirits; one offers first glutinous and nonglutinous millet, and then gives the spirit representative’ rice and common millet; while at the monthly sacrifice,

one proffers first the plain soup, and then gives the spirit representative his fill of all kinds of delicacies. These last two ceremonies honor the basis and at the same time bring men close to the practical uses of food. To honor the basis is called good order; to become familiar with practical usage is called * Reading “seven” instead of “ten” in accordance with the parallel passages in Shih chi 23, Ta-Tai li-chi 1, and Ku-liang chuan, Duke Hsi 15th

year. }

*In early times an area 10 li square was said to have made up a unit

called a ch’eng which was responsible for supplying one war chariot. Hence this is a territory 50 li square. _ ® As is made clear in the Ku-liang passage cited in n. 3 above, these four categories correspond to the four large divisions of the aristocracy: the Son

of Heaven, the feudal lords, the high ministers Cia-fu), and the officials or men of breeding (shih). °' The impersonator of the dead who sits at the sacrificial feast and eats the food on behalf of the ancestors.

rites.

| | A Discussion of Rites 93 good reason. When these two aspects have been combined and completed with the proper forms, and all finds rest in a single

unifying principle—this is called the highest flourishing of

Hence, the placing of the goblet filled with water in the highest place, the laying out of raw fish on the offering table, | the presentation of the unflavored soup—all these acts have the same significance [i.e., they indicate respect for the basic materials of the meal]. The fact that the impersonator of the spirits does not finish the cup of wine handed to him by the

server, that at the completion of the mourning rites he does not taste the food laid out on the offering table, that after receiving food from the three servers, he takes no more to eat —all these have the same meaning [i.e., that the ceremonies are completed]. In the wedding ceremony, before the father of the groom has given the groom a cup of wine and sent him

to fetch the bride; in the sacrifice at the ancestral temple, when the impersonator of the dead has not yet entered the hall; when someone has just died and the corpse has not yet _ been dressed—all these are similar moments [i.e., moments before the ceremonies proper begin]. ‘The spreading of a plain

white cloth in the imperial carriage, the donning of the hempen cap at the suburban sacrifice, and the wearing of an only partly tied hampen sash during the mourning rites—all these have the same significance |[i.e., they are symbols of

unadorned simplicity]. And it is for the same reason that, at | the three-years’ mourning for a parent, the lamentation is without rhythm or fixed pattern; and, at the singing of the Pure Temple song,” only one man sings and three harmonize with him, only one bell is played, with the leather rattle above _ "One of the “Hymns of Chou” in the Book of Odes, Mao text no. 2.66.

94 Hsiin Tzu it, and the zithers have red strings and holes in the bottom to give them a dull tone.®

All rites begin in simplicity, are brought to fulfillment in elegant form, and end in joy. When rites are performed in the highest manner, then both the emotions and the forms —

, embodying them are fully realized; in the next best manner, the emotional content and the forms prevail by turns; in the poorest manner, everything reverts to emotion and finds unity

in that alone. |

Through rites Heaven and earth join in harmony, the sun and moon shine, the four seasons proceed in order, the stars and constellations march, the rivers flow, and all things flourish; men’s likes and dislikes are regulated and their joys and

| hates made appropriate. Those below are obedient, those above are enlightened; all things change but do not become

disordered; only he who turns his back upon rites will be destroyed. Are they not wonderful indeed? When they are properly established and brought to the peak of perfection, no one in the world can add to or detract from them. Through

them the root andthe branch are put in proper order; beginning and end are justified; the most elegant forms embody all distinctions; the most penetrating insight explains all things. In the world those who obey the dictates of ritual will achieve order; those who turn against them will suffer disorder. ‘Those who obey them will win safety; those who turn against them will court danger. Those who obey them will be preserved; those who turn against them will be lost. This is something that the petty man cannot comprehend. The meaning of ritual is deep indeed. He who tries to enter ° This paragraph is a mass of technical terms, many of them of doubtful meaning. I have followed Kanaya’s emendations and interpretation throughout.

A Discussion of Rites 95 it with the kind of perception that distinguishes hard and white, same and different, will drown 'there.® The meaning of

ritual is great indeed. He who tries to enter it with the uncouth and inane theories of the system-makers will perish there. The meaning of ritual is lofty indeed. He who tries to enter with the violent and arrogant ways of those who despise common customs and consider themselves to be above other men will meet his downfall there.

If the plumb line is properly stretched, then there can be ~ no doubt about crooked and straight; if the scales are properly hung, there can be no doubt about heavy and light; if the T square and compass are properly adjusted, there can be no doubt about square and round; and if the gentleman is well versed in ritual, then he cannot be fooled by deceit and artifice.

The line is the acme of straightness, the scale is the acme of fairness, the TI’ square and compass are the acme of squareness and roundness, and rites are the highest achievement of the Way of man. Therefore, those who do not follow and find satisfaction in rites may be called people without direction, but those who do follow and find satisfaction in them are called

men of direction. He who dwells in ritual and can ponder it well may be said to know how to think; he who dwells in ritual and does not change his ways may be said to be steadfast. He who knows how to think and to be steadfast, and in addition has a true love for ritual—he is a sage. Heaven is the acme of loftiness, earth the acme of depth, the boundless the acme of breadth,

and the sage the acme of the Way. Therefore the scholar studies how to become a sage; he does not study merely to become one of the people without direction. 8 A teference to the Logicians.

96 Hsiin Tzu Ritual uses material goods for its performance, follows the

distinctions of eminent and humble in creating its forms, varies its quantities in accordance with differences of station, and varies its degree of lavishness in accordance with what is

appropriate. When form and meaning are emphasized and emotional content and practical use slighted, rites are in their most florid state. When form and meaning are slighted and emphasis placed upon emotion and practical use, rites are in

their leanest state. When form and meaning, and emotion and practical use, are treated as the inside and outside or the front and back of a single reality and are both looked after, then rites have reached the middle state. ‘Therefore the gentleman understands how to make rites florid and how to make

them lean, but he chooses to abide in the middle state, and

no matter whether he walks or runs, hurries or hastens, he | never abandons it. It is his constant world and dwelling. He who abides in it is a gentleman and a man of breeding; he who abandons it is a commoner. He who dwells in it, who wanders widely and masters all its corners and gradations, is a sage. His bounty is the accumulation of ritual; his greatness is the breadth of ritual; his loftiness is the flourishing of ritual; his enlightenment is the mastery of ritual. ‘This is what the . Odes means when it says:

Their rites and ceremonies are entirely according to rule,

Their laughter and talk are entirely appropriate.!° | Rites are strictest in their ordering of birth and death. Birth is the beginning of man, death his end. When both beginning | and end are good, man’s way is complete. ‘Therefore the gentleman is reverent in his treatment of the beginning and careful in his treatment of the end, regarding both with the same *° “Lesser Odes,” Ch’u-tz’u, Mao text no. 209.

A Discussion of Rites 97 _ gravity. This is the way of the gentleman and the highest flowering of ritual principle. To be generous in the treatment

of the living but skimpy in the treatment of the dead is to show reverence for a being who has consciousness and contempt for one who has lost it. This is the way of an evil man and an offense against the heart. The gentleman would be ashamed to treat even a lowly slave in a way that offends the

heart; how much more ashamed would he be to treat those | whom he honors and loves in such a way! The rites of the dead | can be performed only once for each individual, and never again. [hey are the last occasion upon which the subject may fully express respect for his ruler, the son express respect for his parents. To fail to treat the living with sincere generosity and rever-

ent formality is the way of a rustic; to fail to bury the dead _ with sincere generosity and reverent formality is the way of a miser. The gentleman despises rusticity and is ashamed of miserliness. Hence the inner and outer coffins of the Son of Heaven consist of seven’ layers; those of the feudal lords consist of five layers; those of the high ministers, three layers;

and those of the officials, two layers. In addition, there are

various rules governing the amount and quality of grave clothes and food offerings for each rank, and the type of coffin | _ decorations and ornaments appropriate for each station, whereby reverence is expressed in outward form. In this way life and death, beginning and end, are treated the same and men’s longings are satisfied. This is the way of the former kings and the highest expression of the duty of a loyal subject

and a filial son. ,

At the funeral of the Son of Heaven, notification is sent throughout the area within the four seas and the feudal lords “ Reading “seven” instead of “ten.”

98 Hsiin Tzu are called together. At the funeral of one of the feudal lords, notification is sent to allied states and their high ministers are called together. At the funeral of a high minister, notification is sent throughout his own state and the eminent officials are called together. At the funeral of an official, notification is sent throughout his district and his friends are called together. _ At the funeral of a commoner, his family and close neighbors are gathered together and notification is sent throughout his community. At the funeral of an executed criminal, however, his family and neighbors do not gather together, but only his wife and children. His inner and outer coffin is only three inches thick, with only three sets of grave clothes, and no decorations for the coffin. The funeral procession may not venture out by day, but must go in the evening, as though to bury someone who has died by the roadside, and the members

of the family wear ordinary clothes when they go to the burial. On returning from the burial, they perform no ritual lamentations, wear no mourning garments, and observe none of the mourning periods commonly observed for near or distant kin, but each returns to his regular activities and goes about his business as before. ‘To bury a person in this way and fail to conduct any mourning for him indicates the highest

degree of disgrace.” |

Rites are strictest in dealing with auspicious and inauspicious occasions, making certain that they do not impinge upon each other. When the silk floss is held up to the dead man’s nose to make certain that he is no longer breathing, then the loyal subject or the filial son realizes that his lord or parent * Hsiin Tzu’s description of the burial of the disgraced criminal closely parallels what Mo Tzu advocated as the burial practices of the ancient kings and the ideal for all men. See Mo Tzu, sec. 25, “Moderation in Funerals: Part III.”

A Discussion of Rites 09 is very sick indeed, and yet he cannot bring himself to order | the articles needed for the laying in the coflin or the dressing of the corpse. Weeping and trembling, he still cannot stop hoping that the dead will somehow come back to life; he has not yet ceased to treat the dead man as living. Only when he has resigned himself to the fact that the person is really dead can he go about making preparations for the funeral. There-_

fore, even in the best appointed household, two days will _ elapse before the dead can be laid in the coffin, and three days before the family will don mourning clothes. Only then will

notification of the death be sent out to those far away, and those in charge of the funeral begin to gather the necessary articles. ‘The period during which the dead lies in state in the coffin should not exceed seventy days, nor be less than fifty. Why? Because in this period of time those who must come from distant places will have time to arrive, all necessary articles can be procured, and all affairs attended to. ‘This is the way of greatest loyalty, the height of propriety, and the finest of forms. After this, divination shall be made in the morning” to determine the day of burial, and in the evening to determine

the place of burial, and then the burial shall be conducted. At such a time, what man could bear to do what duty forbids, or could fail to carry out what duty demands? Hence the three months of preparation for burial symbolizes that one wishes to provide for the dead as one would for the living, and to give _ the dead the proper accouterments. It is not that one detains

the dead and keeps him from his grave simply in order to satisfy the longings of the living. It is a token of the highest

honor and thoughtfulness. | It is the custom in all mourning rites to keep changing and | 8 Reading jih-chao instead of yiieh-chao, in accordance with the suggestion of Liu Shih-p’ei.

100 Hsiin Tzu | adorning the appearance of the dead person, to keep moving him farther and farther away, and as time passes, to return gradually to one’s regular way of life. It is the way with the dead that, if they are not adorned, they become ugly, and if they become ugly, then one will feel no grief for them. Similarly, if they are kept too close by, one becomes contemptuous of their presence; when one becomes contemptuous of them, one begins to loathe them, and if one begins to loathe them, one will grow careless** of them and cease to treat them with reverence. If suddenly a man’s honored parent dies, and yet in burying him he fails to show either grief or reverence, then

he is no better than a beast. The gentleman is ashamed to have such a thing happen, and therefore he adorns the dead

in order to disguise their ugliness, moves them gradually farther away in order to maintain the proper reverence, and in time returns to his regular way of life in order to look after the wants of the living. Rites trim what is too long and stretch out what is too short,

eliminate surplus and repair deficiency, extend the forms. of love and reverence, and step by step bring to fulfillment the beauties of proper conduct. Beauty and ugliness, music and

| - weeping, joy and sorrow are opposites, and yet rites make use of them all, bringing forth and employing each in its turn. Beauty, music, and joy serve to induce an attitude of tranquillity and are employed on auspicious occasions. Ugliness, weeping, and sorrow induce an attitude of inquietude and are employed on inauspicious occasions. But though beauty is utilized, it should never reach the point of sensuousness or seductiveness, and though ugliness is utilized, it should never go as far as starvation or self-injury. Though music and joy “Reading tai instead of wang in accordance with the suggestion of Kubo Ai.

A Discussion of Rites IOI are utilized, they should never become lascivious and aban-

doned, and though weeping and sorrow are utilized, they should never become frantic or injurious to health. If this is done, then rites have achieved the middle state. Changes of feeling and manner should be sufficient to in-

dicate whether the occasion is an auspicious or an inauspicious one, and to exemplify the proper degree of eminence or humbleness, of nearness or distance of kinship, but that is all. Anything that goes beyond this is wrong, and no matter how difficult it may be to perform, the gentleman will despise it. Thus, in a period of mourning, for the mourner to measure the quantity of his food before eating, to measure the size of his waist before tying his sash, and to strive deliberately for

a distraught and emaciated appearance is the way of evil _men. It does not represent the proper form of ritual principle nor the proper emotions of a filial son, but is done only for the sake of effect.

Smiles and a beaming face, sorrow and a downcast look— these are expressions of the emotions of joy or sorrow which

come with auspicious or inauspicious occasions, and they appear naturally in the countenance. Songs and laughter, weeping and lamentation—these too are expressions of the emotions of joy or sorrow which come with auspicious or in- auspicious occasions, and they appear naturally in the sound of the voice. The partaking of grass-fed and grain-fed animals, rice and millet, wine and sweet spirits, fish and meat, as well as of thick and thin gruel, beans and bean sprouts, water and water in which rice has been washed—these are expressions of the emotions of joy or sorrow which come with auspicious or inauspicious occasions, and are expressed naturally in one’s food and drink. ‘The wearing of ceremonial caps, embroidered robes, and patterned silks, or of fasting clothes and mourning

102 Hsiin Tzu | clothes and sashes, straw sandals, and hempen robes—these are expressions of the emotions of joy or sorrow which come with auspicious or inauspicious occasions, and are expressed | naturally in one’s manner of dress. The use of spacious rooms and secluded halls, soft mats, couches and benches, armrests and cushions, or of huts of thatch and leantos, mats of twig and pillows of earth—these are expressions of the emotions of joy or sorrow which come with auspicious or inauspicious occa-

sions, and are expressed naturally in one’s choice of a dwell-

ing.” The beginnings of these two emotions are present in man from the first. If he can trim or stretch them, broaden or narrow them, add to or take from them, express them completely

: and properly, fully and beautifully, seeing to it that root and branch, beginning and end are in their proper place, so that he may serve as a model to ten thousand generations, then he has achieved true ritual. But only a gentleman of thorough moral training and practice is capable of understanding how to do this. 'Therefore?® it is said that human nature is the basis and raw material, and conscious activity is responsible for what is

adorned, ordered, and flourishing. If there were no human nature, there would be nothing for conscious activity to work

upon, and if there were no conscious activity, then human nature would have no way to beautify itself. Only when nature and conscious activity combine does a true sage emerge * In translating the numerous technical terms in this passage, I have followed Kanaya throughout.

*°’'This paragraph seems to have little to do with what goes before or after and almost certainly does not belong here. In wording and thought it is most closely allied to sec. 23, “Man’s Nature Is Evil.” Probably five or six

of the bamboo slips upon which the text of that section was originally | written dropped out and were mistakenly inserted here.

A Discussion of Rites 103 and perform the task of unifying the world. Hence it is said

_ that when Heaven and earth combine, all things are born, when the yin and yang act upon each other, all changes are produced, and when nature and conscious activity join together, the world is well ordered. Heaven can give birth to creatures but it cannot order them; earth can bear man up but it cannot govern him. All creatures of the universe, all who belong to the species of man, must await the sage before they

can attain their proper places. This is what the Odes means when it says: He cherishes and mollifies all the spirits,

) Even those of the River and the High Mountain.1"] In the funeral rites, one adorns the dead as though they were still living, and sends them to the grave with forms symbolic of life. They are treated as though dead, and yet as

though still alive, as though gone, and yet as though still

present. Beginning and end are thereby unified. | When a person has died, one first of all washes the hair and body, arranges them properly, and places food in the mouth, symbolizing that one treats the dead as though living.

CIf the hair is not washed, it is combed with a wet comb in three strokes; if the body is not bathed, it is wiped with a wet cloth in three strokes). The ears are closed with wads of silk floss, raw rice is placed in the mouth, and the mouth is stopped with a dried cowry shell. These are acts which are the opposite of what one would do for a living person. One

dresses the corpse in underwear and three layers of outer garments and inserts the tablet of office in the sash, but adds no sash buckle; one adds a face cover and eye shield and ar-

ranges the hair, but does not put on any hat or hat pin. One | *” “Hymns of Chou,” Shih-mai, Mao text no. 273.

104 Hsiin Tzu writes the name of the deceased on a piece of cloth and fixes it to a wooden tablet, so that the coffin will not be lacking a name. As for the articles placed in the coffin, the hats have

bands but no strings to tie them to the head; the jars and wine flagons are empty and have nothing in them; there are mats but no couches or armrests. ‘The carving on the wooden articles and the moulding of the pottery are left unfinished, the — rush and bamboo articles are such as cannot be used; the reeds

and pipes are complete but cannot be sounded; the lutes and zithers are strung but not tuned. A carriage is buried with the coffin but the horses are taken back home, indicating that the carriage will not be used.

Articles that had belonged to the dead when he was living are gathered together and taken to the grave with him, symbolizing that he has changed his dwelling. But only token articles are taken, not all that he used, and though they have their regular shape, they are rendered unusable. A carriage is driven to the orave and buried there, but it has no bells or - Jeather fixtures, no bit or reins attached. All this is done to make clear that these things will not actually be used. The

dead man is treated as though he had merely changed his dwelling, and yet it is made clear that he will never use these things. This is all done in order to emphasize the feelings of grief. Thus the articles used by the dead when he was living retain the form but not the function of the common article, and the spirit articles prepared especially for the dead man have the shape of real objects but cannot be used. It is true of all rites that, when they deal with the living,

their purpose is to ornament joy, when they deal with the dead, to ornament grief, when they pertain to sacrifices, to ornament reverence, and when they pertain to military affairs, to ornament majesty. This is true of the rites of all kings, an

, A Discussion of Rites 105 unchanging principle of antiquity and the present, though | do not know when the custom began.

The grave and grave mound in form imitate a house; the inner and outer coffin in form imitate the sideboards, top, and

front and back boards of a carriage; the coffin covers and decorations and the cover of the funeral carriage in form

imitate the curtains and hangings of a door or room; the wooden lining and framework of the grave pit in form imitate railings and roof. The funeral rites have no other purpose than this: to make clear the principle of life and death, to send the

dead man away with grief and reverence, and to lay him at last in the ground. At the interment one reverently lays his form away; at the sacrifices one reverently serves his spirit; and by means of inscriptions, eulogies, and genealogical records one reverently hands down his name to posterity. In serving the living, one ornaments the beginning; in sending off the dead, one ornaments the end. When beginning and end are fully attended to, then the duties of a filial son are complete and the way of the sage has reached its fulfillment.

To deprive the dead for the sake of the living is niggardly; to | deprive the living for the sake of the dead is delusion; and to kill the living and force them to accompany the dead is _ hideous. To bury the dead in the same general manner that one would send off the living, but to make certain that both

living and dead, beginning and end are attended to in the most appropriate and fitting fashion—this is the rule of ritual principle and the teaching of the Confucian school.

What is the purpose of the three-year mourning period? I reply: it is a form which has been set up after consideration of the emotions involved; it is an adornment to the group and

a means of distinguishing the duties owed to near or distant | relatives, eminent or humble. It can neither be lengthened nor

106 Hsiin Tzu shortened. It is a method that can neither be circumvented nor changed. When a wound is deep, it takes many days to heal; where there is great pain, the recovery is slow. I have said that the three-year mourning period is a form set up after consideration of the emotions involved, because at such a

time the pain of grief is most intense. The mourning garments and the cane of the mourner, the hut where he lives, the gruel he eats, the twig mat and pillow of earth he sleeps on

—these are the adornments of the intense pain of his grief. The three-year mourning period comes to an end with the

| twenty-fifth month. At that time the grief and pain have not yet come to an end, and one still thinks of the dead with longing, but ritual decrees that the mourning shall end at this point. Is it not because the attendance on the dead must sometime come to an end, and the moment has arrived to return to one’s daily life?

All living creatures between heaven and earth which have blood and breath must possess consciousness, and nothing that possesses consciousness fails to love its own kind. If any of the animals or great birds happens to become separated from the herd or flock, though a month or a season may pass, it will invariably return to its old haunts, and when it passes its former home it will look about and cry, hesitate and drag its feet before it can bear to pass on. Even among tiny creatures the swallows and sparrows will cry with sorrow for a little

while before they fly on. Among creatures of blood and breath, none has greater understanding than man; therefore man ought to love his parents until the day he dies. Should we set our standard by the way of stupid and evilminded men? But they have forgotten by evening the parent

who died this morning, and if we are to permit such ways, then we will become worse than the very birds and beasts.

A Discussion of Rites 107 How could we live in the same community with such men and hope to escape disorder? Should we then set our standard by the way of cultured and morally trained gentlemen? But to

them the twenty-five months of the three-year mourning period pass as swiftly as a running horse glimpsed through a crack in the wall. If we adopt their ways, the mourning period will never come to an end. Therefore the former kings and sages adopted a middle position in fixing their standard. They allowed time for all proper forms and reasonable duties to be carried out, and decreed that the mourning period should then end. How is the mourning period divided up? For parents it is divided on the basis of the year.* Why? Because in that time

| heaven and earth have completed their changes, the four seasons have run their course, and all things in the universe have made a new beginning. The former kings noted this and took it as a model. Why then does mourning extend into the third year? The former kings wished to increase the honor paid, and therefore they doubled the period and made it two years. Why do the mourning periods for some relatives last for only nine months or less? In order to show that they do not reach the completion of a year. Thus the three-year period expresses the highest degree of honor, while the three-month period of coarse garments or the five-month period of hsiaokung garments expresses the lowest degree, and the year and the nine-month mourning periods fall in between. The former kings looked up and took their model from heaven, looked ** According to the description of mourning rites in Li chi 37, a memorial

sacrifice called hsiao-hsiang was performed at the end of one year of mourning, and a second called ta-hsiang at the end of two years. Hsiin Tzu considers that the mourning period comes to an end with the second, i.e.,

| in the 25th month, though other early texts treat it as ending in the 27th month, when the so-called t’an sacrifice is performed.

108 Hsiin Tzu down and took their model from the earth, looked about and

took their rules from mankind. Such rules represent the ultimate principle of community harmony and unity. Therefore, the three-year mourning period is the highest expression of the way of man and the mark of greatest honor, a custom followed by all the kings, an unchanging principle for ancient times and the present.*®

Why does the mourning for a ruler last for three years? ‘The

ruler is the lord of order and good government, the font of form and reason, the model of feeling and manner. If all men join together and pay him the highest honor, is this not fitting? The Odes says: Just and gentle is the true prince, Father and mother to his people.?°

This indicates that men have always looked up to their ruler as to a father or a mother. A father can beget a child, but he cannot suckle it. A mother can suckle it, but she cannot in- | struct and educate it. The ruler can not only feed his people, but can also educate them wisely. Is three years not in fact too short a time to mourn for him? One mourns three months for the wet nurse who suckled one, and nine months for the nursemaid who clothed one, yet the ruler does far more than | this for his people. Is three years not in fact too short a time to mourn for him? With him there is order; without him there is chaos; for he is the arbiter of proper form. With him there is safety; without him there is danger; for he is the arbiter of * Recently found archeological evidence indicates, however, that the three-year mourning period was not a custom of early Chou times, but probably originated around the time of Confucius. The text of this passage on the three-year mourning period has been copied into the Li chi or Book of Rites and comprises nearly all of sec. 38. © “Greater Odes,” Chiung-cho, Mao text no. 251.

A Discussion of Rites 109 proper feeling. Since these two faculties combine in him, three years is in fact too short a period to mourn for hin, though it would be impractical to try to extend the period

further. |

What is the purpose of the three months of lying in state? It is to give gravity and importance to the occasion, to express honor and affection, before one finally moves the dead one, escorts him from his house, and takes him to his final resting place in the grave mound. ‘The former kings were afraid that the process would lack a fitting form, and therefore they cal-

culated the proper time needed and allowed a suflicient number of days. Thus, for the Son of Heaven the period is | seven months, for the feudal lords, five months, and for the high ministers and others, three months. In this way sufficient time is allowed for all necessary matters to be attended to and

completed, for all forms to be carried out and all articles needed for the burial to be supplied. To allow such a period

of time is in accordance with the Way. The sacrificial rites originate in the emotions of remem_ brance and longing for the dead. Everyone is at times visited by sudden feelings of depression and melancholy longing. A

loyal minister who has lost his lord or a filial son who has lost | a parent, even when he is enjoying himself among congenial company, will be overcome by such feelings. If they come to him and he is greatly moved, but does nothing to give them expression, then his emotions of remembrance and longing will be frustrated and unfulfilled, and he will feel a sense of deficiency in his ritual behavior. ‘Therefore, the former kings established certain forms to be observed on such occasions so that men could fulfill their duty to honor those who deserve

honor and show affection for those who command affection. |

110 Hsiin Tzu Hence the sacrificial rites originate in the emotions of temembrance and longing, express the highest degree of loyalty, love, and reverence, and embody what is finest in ritual con-

duct and formal bearing. Only a sage can fully understand them. The sage understands them, the gentleman finds comfort in carrying them out, the officials are careful to maintain them, and the common people accept them as custom. To the gentleman they are a part of the way of man; tothe common ~ people they are something pertaining to the spirits. Bells, drums, sounding stones, string and wind instruments,

the musical compositions entitled “Shao,” “Hsia,” “Hu,” “Wu,” “Cho,” “Huan,” “Hsiao,” and “Hsiang”—these originate with the sudden changes of feeling of the gentleman and are the forms expressive of joy. The mourning garments and

cane, the mourning hut and gruel, the mat of twigs and pillow of earth—these originate with the sudden changes of feeling of the gentleman and are forms expressive of grief

and pain. The rules governing military expeditions, the gradations of punishment, which assure that no crime shall go unpunished—these originate with the sudden changes of feeling of the gentleman and are forms expressive of loathing and hatred. When conducting a sacrifice, one divines to determine the appropriate day, fasts and purifies oneself, sets out the tables

and mats with the offerings, and speaks to the invocator as though the spirit of the dead were really going to partake of the sacrifice. One takes up each of the offerings and presents them as though the spirit were really going to taste them. The server does not hold up the wine cup, but the sacrificer himself presents the wine vessel, as though the spirit were really going to drink from it. When the guests leave, the sacrificer

A Discussion of Rites 111 bows and escorts them to the door, returns, changes his clothes, goes to his seat, and weeps as though the spirit had really departed along with them. How full of grief it is, how reverent! One serves the dead as though they were living, the departed as though present, giving body to the bodiless and thus fulfill-

ing the proper forms of ceremony. |

me A DISCUSSION OF MUSIC (SECTION 20)

Music is joy,’ an emotion which man cannot help but feel at times. Since man cannot help feeling joy, his joy must find an outlet in voice and an expression in movement. The outcries and movements, and the inner emotional changes which occasion them, must be given full expression in accordance with the way of man. Man must have his joy, and joy must have its expression, but if that expression is not guided by the

principles of the Way, then it will inevitably become disordered. The former kings hated such disorder, and therefore

they created the musical forms of the odes and hymns in order to guide it. In this way they made certain that the voice would fully express the feelings of joy without becoming wild and abandoned, that the form would be well ordered but not unduly restrictive, that the directness, complexity, intensity, and tempo of the musical performance would be of the proper degree to arouse the best in man’s nature, and that evil and

improper sentiments would find no opening to enter by. It was on this basis that the former kings created their music. And yet Mo Tzu criticizes it. Why? ? * Hsiin Tzu’s argument here and throughout the section is based upon

the fact that the words yiieh (music) and lo Goy) are written with the same character, a coincidence often exploited by early writers on music. By music, Hsiin Tzu means the entire musical performance, including singing,

dancing, and musical accompaniment. Texts similar to this one on the nature of music, which agree closely with Hsiin Tzu’s wording and views, are found in Shih chi 24, “Treatise on Music,” and Li chi, sec. 19, “Record of Music.” * For Mo Tzu’s views on music, which he considered a waste of time and money, see Mo Tzu, sec. 32, “Against Music.”

A Discussion of Music 1130 When music is performed in the ancestral temple of the ruler, and the ruler and his ministers, superiors and inferiors,

listen to it together, there are none who are not filled with a spirit of harmonious reverence. When it is performed within

the household, and father and sons, elder and younger brothers listen to it together, there are none who are not filled

with a spirit of harmonious kinship. And when it is performed | in the community, and old people and young together listen to it, there are none who are not filled with a spirit of harmonious obedience. Hence music brings about complete unity and induces harmony. It arranges its accouterments to comprise an adornment to moderation; it blends its performance to achieve the completion of form. It is sufficient to lead men in the single Way or to bring order to ten thousand changes. This is the manner in which the former kings created their music. And yet Mo Tzu criticizes it. Why? When one listens to the singing of the odes and hymns, his mind and will are broadened; when he takes up the shield and

battle-ax and learns the postures of the war dance, his bearing acquires vigor and majesty; when he learns to observe the proper positions and boundaries of the dance stage and to match his movements with the accompaniment, he can move correctly in rank and his advancings and retirings achieve order. Music teaches men how to march abroad to punish

offenders and how to behave at home with courtesy and humility. Punishing offenders and behaving with courtesy

and humility are based upon the same principle. If one marches abroad to punish offenders in accordance with the way learned through music, then there will be no one who will not obey and submit; if one behaves at home with courtesy

and humility, then there will be no one who will not obey and be submissive. Hence music is the great arbiter of the

«114 Hsiin Tzu world, the key to central harmony, and a necessary require- —

ment of human emotion. This is the manner in which the former kings created their music. And yet Mo Tzu criticizes

| it. Why?

Moreover, music was used by the former kings to give expression to their delight, and armies and weapons were used to give expression to their anger. The former kings were careful to show delight or anger only upon the correct occasions. Therefore, when they showed delight, the world joined with them in harmony, and when they showed anger, the violent

and unruly shook with fear. ‘The way of the former kings | was to encourage and perfect rites and music, and yet Mo Tzu criticizes such music. Therefore, I say that Mo Tzu’s attempts to teach the Way may be compared to a blind man

trying to distinguish black from white, a deaf man trying to | tell a clear tone from a muddy one, or a traveler trying to get to the state of Ch’u by journeying northward. Music enters deeply into men and transforms them rapidly. Therefore, the former kings were careful to give it the proper form. When music is moderate and tranquil, the people become harmonious and shun excess. When music is stern and majestic, the people become well behaved and shun disorder. When the people are harmonious and well behaved, then the

troops will be keen in striking power and the cities well guarded, and enemy states will not dare to launch an attack. In such a case, the common people will dwell in safety, take delight in their communities, and look up to their superiors with complete satisfaction. Then the fame of the state will become known abroad, its glory will shine forth greatly, and all people within the four seas will long to become its subjects.

Then at last a true king may be said to have arisen. | But if music is seductive and depraved, then the people will

A Discussion of Music 115 become abandoned and mean-mannered. Those who are abandoned will fall into disorder; those who are mean-mannered will fall to quarreling; and where there is disorder and quarrel-

ing, the troops will be weak, the cities will revolt, and the state will be menaced by foreign enemies. In such a case, the common people will find no safety in their dwellings and no delight in their communities, and they will feel only dissatisfaction toward their superiors. Hence, to turn away from the __ proper rites and music and to allow evil music to spread is the source of danger and disgrace. For this reason the former kings _ honored the proper rites and music and despised evil music. As J] have said befove, it is the duty of the chief director of music to enforce the ordinances and commands, to exainine — songs and writings, and to abolish licentious music, attending to all matters at the appropriate time, so that strange and barbaric music is not allowed to confuse the elegant classical modes.’

Mo Tzu claims that the sage kings rejected music and that the Confucians are wrong to encourage it. But a gentleman will understand that this is not so. Music is something which the sage kings found joy in, for it has the power to make good the hearts of the people, to influence men deeply, and to re- .

form their ways and customs with facility. Therefore, the former kings guided the people with rites and music, and the people became harmonious. If the people have emotions of love and hatred, but no ways in which to express their joy or

anger, then they will become disordered. Because the former | kings hated such disorder, they reformed the actions of the people and created proper music for them, and as a result the world became obedient. The fasting and mourning garments and the sound of lamenting and weeping cause the heart to * See above, p. 48.

«116 Hsiin Tzu be sad. The buckling on of armor and helmet, the songs sung as men march in rank cause the heart to be stirred * to valor. Seductive looks and the songs of Cheng and Wei® cause the heart to grow licentious, while the donning of court robes, sashes, and formal caps, the Shao dance, and the Wu song,

cause the heart to feel brave and majestic. Therefore the gentleman does not allow his ears to listen to licentious sounds, his eyes to look at seductive beauty, or his mouth to speak evil

words. These three things the gentleman is careful about. When depraved sounds move a man, they cause a spirit of rebellion to rise in him, and when such a spirit has taken shape, then disorder results. But when correct sounds move a man, they cause a spirit of obedience to rise, and when such a spirit has arisen, good order results. As singers blend their voices with that of the leader, so good or evil arise in response

to the force that calls them forth. Therefore, the gentleman is careful to choose his environment.

The gentleman utilizes bells and drums to guide his will, and lutes and zithers to gladden his heart. In the movements of the war dance he uses shields and battle-axes; as decorations in the peace dance he uses feather ornaments and yak tails; and he sets the rhythm with sounding stones and woodwinds. Therefore, the purity of his music is modeled after Heaven, its breadth is modeled after the earth, and its posturings and turnings imitate the four seasons. Hence, through the performance of music the will is made pure, and through the practice of rites the conduct is brought to perfection, the eyes and ears become keen, the temper becomes harmonious and calm, and customs and manners are easily reformed. All * Reading t’ang instead of shang.

© The songs of the regions of Cheng and Wei are famous in early litera-

ture for their licentious nature. See Analects XV, 10.

A Discussion of Music 117 the world becomes peaceful and joins together in the joy of beauty and goodness. Therefore I say that music is joy. The gentleman takes joy in carrying out the Way; the petty man takes joy in gratifying his desires. He who curbs his desires

in accordance with the Way will be joyful and free from disorder, but he who forgets the Way in the pursuit of desire will fall into delusion and joylessness. ‘Therefore, music is the

means of guiding joy, and the metal, stone, stringed, and bamboo instruments are the means of guiding virtue. When music is performed, the people will set their faces toward the true direction. Hence music is the most effective means to govern men. And yet Mo Tzu criticizes it! Music embodies an unchanging harmony, while rites represent unalterable reason. Music unites that which is the same;

rites distinguish that which is different; and through the combination of rites and music the human heart is governed. To seek out the beginning and exhaust all change—this is the emotional nature of music; to illuminate the truth and do away with what is false—this is the essence of ritual. Because he criticized music, one would expect Mo Tzu to have met _ with some punishment. And yet in his time the enlightened kings had all passed away and there was no one to correct his errors, so that stupid men continue to study his doctrines and bring jeopardy to themselves. ‘The gentleman makes clear the nature of music—this is his virtue. But an age of disorder

hates goodness and will not listen to the teachings of the gentleman, and alas, alas, they are left unfulfilled. Study the matter well, my students, and do not let yourselves be deluded! This is the symbolism of music: the drum represents a vast. pervasiveness; the bells represent fullness; the sounding stones represent restrained order; the mouth organs represent austere _harmony; the flutes represent a spirited outburst; the ocarina

118 Hsiin Tzu , and bamboo whistle represent breadth of tone; the zither represents gentleness; the lute represents grace; the songs represent purity and fulfillment; and the spirit of the dance joins with the Way of Heaven. The drum is surely the lord of music, is it not? Hence, it resembles Heaven, while the bells resemble earth, the sounding stones resemble water, the mouth organs and lutes resemble the sun, and the scrapers resemble the myriad beings of creation. How can one under-

stand the spirit of the dance? The eyes cannot see it; the ears cannot hear it. And yet, when all the posturings and movements, all the steps and changes of pace are ordered and none are lacking in the proper restraint, when all the power of muscle and bone are brought into play, when all is matched exactly to the rhythm of the drums and bells and there is not the slightest awkwardness or discord—there is the spirit of the dance in all its manifold fullness and intensity! When I observe the community drinking ceremony, I understand how gentle and easy the way of the true king can be.° The host goes in person to fetch the guest of honor and his attendants, and the other guests come of their own accord.

This serves to make clear the distinction between eminent and humble. With three exchanges of light bows, the host and guest of honor move to the foot of the steps; after the guest has declined three times, the host leads him up the steps and

bows low as he takes his seat. Between the host and the ouest of honor there are many ceremonial offerings of the wine cup and many declinings, but with the guest’s attendants the ceremony is much abbreviated. As for the other guests, they ©The following paragraph describes the traditional ritual observed at the hsiang or community drinking ceremony held at the village school. Hsiin Tzu’s description closely parallels that found in Li chi, sec. 45, where the opening remark is attributed to Confucius. A much more detailed de-

scription of the ceremony is found in the I li. ,

A Discussion of Music 119 ascend, receive the cup of wine, take their seats, make obeisance to it, stand, drink it, and then, without returning the cup to the host, descend from the hall. Thus the complexity or simplicity of the ritual is adjusted to the distinctions of rank. The music master enters, ascends the steps, and sings three

songs, after which the host presents him with a cup of wine. | The player of the mouth organ enters, and from below the steps plays three songs, after which the host presents him with © a cup of wine. The music master and mouth organ player then _ perform three songs in which they alternate with each other,

and three songs in unison, and then the music master announces that the music is completed and retires. The host then orders two men to present the large wine tankard to the guest of honor and at the same time appoints a master of ceremonies. This indicates that it is possible to enjoy harmonious pleasure

without any abandoned behavior. The guest of honor then presents the tankard to the host, the host presents it to the attendants of the guest of honor, and the attendants present it to the ordinary guests, each one drinking in the order of his age, until all is completed and the tankard is rinsed out. This indicates that it is possible to observe the distinctions of age

and yet leave no one out of the drinking. After this, all descend, remove their shoes, ascend once more and sit down, after which everyone may drink as many cups as he wishes. Yet there must be moderation in the length of the drinking period; it should begin only after all morning duties have been completed, and should end before the time for evening duties. When the guest of honor departs, the host bows low and escorts him to the gate, and thus all ceremonies and forms are brought to an end. This indicates that it is possible to drink

and feast without disorder. When the distinction between eminent and humble is made clear, when the complexity or

120 Hsiin Tzu simplicity of the ritual is adjusted to distinctions of rank, when

| there is harmonious pleasure without abandoned behavior, drinking according to distinctions of age but with no one left out, and drinking and feasting without disorder—when these five types of conduct are achieved, they will be sufficient to insure moral training to the individual and peace to the state, and when the state is peaceful, the world will be peaceful.

Therefore I say that when I observe the community drinking ceremony, I understand how gentle and easy the way of the true king can be.

These are the signs of a disordered age: men wear bright colored clothing, their manner is feminine, their customs are lascivious, their minds are set on profit, their conduct is erratic, their music is depraved, and their decorative arts are vile and garish. In satisfying the desires of the living they observe no limits, but in burying the dead they are mean and niggardly. They despise ritual principles and value daring and shows of strength. If they are poor, they steal, and if they are rich, they commit outrages. A well-ordered age is just the opposite of this.

me DISPELLING OBSESSION ’®

(SECTION 21) | | The thing that all men should fear is that they will become obsessed by a small corner of truth and fail to comprehend its

over-all principles. If they can correct this fault, they may | return to correct standards, but if they continue to hesitate and be of two minds, then they will fall into delusion. There are not two Ways in the world; the sage is never of two minds. Nowadays the feudal lords follow different theories of government and the philosophers of the hundred schools teach dif-

ferent doctrines. Inevitably some teach what is right and some, what is wrong; some rulers govern well and others bring about disorder. Even the ruler of a chaotic state or the follower of a pernicious doctrine will undoubtedly in all sincerity seek what is proper and try to better his condition. But he is jealous

and mistaken in his understanding of the Way and hence allows other men to lead him astray. He clings to his familiar ways and is loath to hear them spoken ill of; he judges every-

thing on the basis of his old prejudices; and when he encounters some different theory, he is loath to hear it praised. Thus he moves farther and farther away” from a condition of order, and yet never ceases to believe that he is doing right. * The word pi, which is the keynote of Hsiin Tzu’s discussion, denotes

here a clouding or darkening of the faculties or the understanding, and Hsiin Tzu plays on the image of light and darkness throughout the chapter. The word “obsession” unfortunately does not fully convey the image of the original, but seems to come closest to expressing Hsiin Tzu’s mean-

"Reading li instead of sui.

122 Hsiin Tzu Is this not what it means to be obsessed by a small corner of truth and to fail in the search for proper ways? If one fails to use his mind, then black and white may be right before his

eyes and he will not see them; thunder or drums may be sounding in his ear and he will not hear them. How much more so with a man whose mind is obsessed! ? The man who

has truly attained the Way is criticized from above by the rulers of chaotic states, and from below by men of pernicious doctrines. Is he not to be pitied? What are the sources of obsession? One may be obsessed by

desires or by hates, by the beginning of an affair or by the end, by those far away or those close by, by breadth of knowIledge or by shallowness, by the past or by the present. When one makes distinctions among the myriad beings of creation, these distinctions all become potential sources of obsession. This is a danger in the use of the mind that is common to all

men. | :

In ancient times there were rulers who were obsessed:

Chieh of the Hsia dynasty and Chou of the Yin are examples. Chieh was obsessed by his favorite concubine Mo Hsi and his counselor Ssu Kuan and did not recognize the worth of Kuan Lung-feng. ‘Thus his mind became deluded and his conduct disorderly. Chou was obsessed by his favorite concubine Ta Chi and his counselor Fei Lien and did not recognize the worth of Ch’i, the prince of Wei, and thus his mind became deluded and his conduct disorderly. ‘Therefore, the courtiers of these two rulers abandoned the principles of loyal service _ and thought only of selfish aims, the common people hated and spoke ill of them and refused to obey their commands, and men of true worth retired from the court and went into * Reading pi instead of shih.

Dispelling Obsession 123 hiding. Thus they lost possession of the Nine Provinces and brought desolation to the ancestral temples of their dynasties. Chieh was driven to his death on Mount Li and Chou’s head ended dangling from the red pennant of his attacker. ‘They could not foresee the future for themselves and no one was willing to reprimand them. Such are the disasters that come from obsession and a closed mind.

| Ch’eng T’ang took warning from the fate of Chieh and therefore he was careful to employ his mind correctly and to _ govern with circumspection. Accordingly, he was able to benefit {rom the good advice of Yi Yin over a long period of time

and did not depart from the Way. As a result he replaced Chieh of the Hsia as ruler and gained possession of the Nine Provinces. King Wen took warning from the fate of Chou and therefore he was careful to employ his mind correctly and to govern with circumspection. Accordingly, he was able

to benefit from the good advice of Lii Wang over a long period of time and did not depart from the Way. As a result he replaced Chou of the Yin as ruler and gained possession of the Nine Provinces. ‘The men of distant regions all came with rare gifts, so that these wise rulers had everything they

wished for to please the eye, the ear, the mouth, and the _ palate; fair were the palaces they lived in and the fame which they enjoyed. While they lived the world sang songs of praise and when they died all within the four seas wept. This is what it means to reach the height of glory. ‘The Odes says:

The male and female phoenix sport and play, Their wings like shields, Their voices like the sound of flutes. . Both male and female phoenixes come To gladden the heart of the ruler.* | * No such verse is found in the present text of the Odes.

sion. | | 124 Hsiin Tzu

Such is the good fortune that comes from being free of obses-

In ancient times there were subjects who were obsessed; T’ang Yang and Hsi-ch’i are examples. T’ang Yang was obsessed with a desire for power and drove Master Tai from the state.’ Hsi-ch’i was obsessed with a desire for the throne and succeeded in casting suspicion upon Shen-sheng.® T’ang Yang was executed in Sung; Hsi-ch’i was executed in Chin.‘ One of them drove a worthy minister into exile; the other cast

suspicion upon his brother. They ended by being executed and yet they did not have the understanding to foresee this end. Such are the disasters that come from obsession and a closed mind. Thus, from ancient times to the present there has

never been a man whose conduct was marked by greed, treason, and a struggle for power, and who yet did not suffer shame and destruction. Pao Shu, Ning Ch’i, and Hsi P’eng were benevolent, wise, — and free from obsession. Therefore, they were able to give

their support to Kuan Chung and to enjoy a fame and fortune that were equal to his.§ Shao Kung and Li Wang were benevolent, wise, and free from obsession. ‘Therefore,

IIIB, 6. ,

°'T’ang Yang is mentioned in Lii shih ch’un-ch’iu, ch. 2, Tang-jan, and ch. 18, Yin-tz’u, as an evil adviser to King K’ang, the infamous last ruler of the state of Sung, who was killed by his enemies in 286 B.c. Master Tai is identified with Tai Pu-sheng, a minister of Sung mentioned in Mencius

° Hsi-ch’i was a son of Duke Hsien of Chin by the duke’s second con- | sort, Lady Li. He and his mother succeeded in bringing about the downfall of the heir apparent, Shen-sheng, by making it appear that he was attempting to poison the duke. As a result, Shen-sheng committed suicide in 656 B.c. See Tso chuan, Duke Hsi 4th year. 7 Hsi-ch’i was killed in 651 3.c. by a high minister of Chin. The date of T’ang Yang’s death is unknown, but it was during the reign of King K’ang.

® Pao Shu, Ning Ch’i, and Hsi P’eng were ministers of Duke Huan of Ch’i who assisted the famous Kuan Chung in building up the power of the state. See above, p. 38, n. 8.

| Dispelling Obsession 125 they were able to give their support to the duke of Chou and to enjoy a fame and fortune that were equal to his.® This is what the old text means when it says, “To recognize the © worthy is called enlightenment; to aid the worthy is called ability. Work hard, work diligently at it, and you will surely receive long-lasting fortune.” Such is the good fortune that comes from being free of obsession.

Among the itinerant philosophers of former times there were men who were obsessed; the followers of pernicious doc-

trines are an example. Mo Tzu was obsessed by utilitarian considerations and did not understand the beauties of form. Sung Tzu was obsessed by the need to lessen desires, for he

did not understand how they could be satisfied. Shen Tzu | was obsessed with the concept of law and did not understand the part to be played by worthy men. Shen Pu-hai was obsessed by the power of circumstance and did not understand the role

of the human intelligence.’ Hui Tzu was obsessed by words | and did not understand the truth that lies behind them. Chuang Tzu was obsessed by thoughts of Heaven |i.e., Nature] and did not understand the importance of man. He who thinks only of utilitarian concerns will take the Way to be wholly a matter of material profit. He who thinks only of desires will take the Way to be wholly a matter of physical satisfaction. He who thinks only of law will take the Way to be wholly a matter of policy. He who thinks only of cir- cumstance will take the Way to be wholly a matter of ex° Shao Kung Shih and T’ai-kung Lii Wang were virtuous ministers to the duke of Chou who are frequently mentioned in the Book of Documents. ‘hey became the founders of the ruling houses of Yen and Ch’i respectively.

* Sung Tzu preached a life of frugality and few desires; Shen Tzu was , a Taoist-Legalist thinker. See above, pp. 87-88, nn. 11 and 12. Shen Pu-hai was one of the founders of the Legalist school. _

126 Hstin Tzu __ pedience. He who thinks only of words will take the Way to be wholly a matter of logic. He who thinks only of Heaven will take the Way to be wholly a matter of harmonizing with | natural forces. These various doctrines comprehend only one small corner of the Way, but the true Way must embody constant principles and be capable of embracing all changes. A

single corner of it will not suffice. These men with their limited understanding saw one corner of the Way and, failing to understand that it was only a corner, they considered it sufficient and proceeded to expound it in engaging terms. Such men bring chaos to themselves and delusion to others; if they are in a superior position, they inflict their obsessions upon their inferiors; and if in an inferior position, they inflict them upon their superiors. Such are the disasters that come from obsession and a closed mind.

Confucius, on the other hand, was benevolent, wise, and free from obsession. Thus, although he studied the doctrines of the various other schools, he established his own school, taught the way of the Chou, and showed how it could be put , into practice, for he was not obsessed by old habits and prejudices. Hence his virtue is equal to that of the duke of Chou, and his fame matches that of the sage kings of the Three Dynasties. Such is the good fortune that comes from being free of obsession.

The sage understands the dangers involved in improper use of the mind, and sees the disasters that come from obsession -

and a closed mind. Therefore, he does not allow himself to be influenced by considerations of desire or hate, beginning or end, distance or nearness, breadth or shallowness, past or present, but searches and examines all things and weighs them

impartially in a balance. As a result, the distinctions which

exist in all things cannot inflict obsession upon him and

Dispelling Obsession 127 bring disorder to his reason. And what is the balance that he uses? It is the Way. The mind must understand the Way, for

if it does not, it will reject the Way and give approval to that | which is at variance with it. And what man, seeking to gratify his desires, will abide by what he has rejected and refuse to

follow what he has given his approval to? Thus, if a man whose mind has rejected the Way sets out to select helpers, he will invariably find himself drawn to men whose conduct is at variance with the Way, and will not appreciate men who abide by it. When a man whose mind has rejected the Way joins with similar men to criticize those who abide by the Way, this is the beginning of disorder. How can such conduct represent true understanding?

The mind must first understand the Way before it can approve it, and it must first approve it before it can abide by it and reject what is at variance with it. If a man whose mind has given approval to the Way sets out to select helpers, he will find himself drawn to men whose conduct is in accordance with the Way and will feel no afhinity for men whose con-

duct is at variance with it. And when a man whose mind has given approval to the Way joins with similar men to criticize those whose conduct is at variance with the Way, then this is the starting point of orderly government. Why should such

-a man need to worry about how true his understanding is? Therefore the beginning of good government lies in under-

standing the Way. |

How does a man understand the Way? Through the mind. And how can the mind understand it? Because it is empty, unified, and still. The mind is constantly storing up things, and yet it is said to be empty. ‘The mind is constantly marked

by diversity, and yet it is said to be unified. The mind is constantly moving, and yet it is said to be still. Man is born

128 Hsiin Tzu with an intellect, and where there is intellect there is memory.

Memory is what is stored up in the mind. Yet the mind is said to be empty because what has already been stored up in it does not hinder the reception of new impressions. Therefore it is said to be empty. Man is born with an intellect, and where |

there is intellect there is an awareness of differences. An awareness of differences means that one can have an understanding of a variety of facts at the same time, and where there is such understanding, there is diversity. And yet the mind is said to be unified because it does not allow the understanding of one fact to impinge upon that of another. Therefore it is

said to be unified. When the mind is asleep, it produces dreams; when it is unoccupied, it wanders off in idle fancy; and if allowed to do so, it will produce from these all manner of plots and schemes. Hence the mind is constantly moving. And yet it is said to be still, because it does not allow such dreams and noisy fancies to disorder its understanding. There-

fore it is said to be still. |

A man who has not yet attained the Way but is seeking it should be urged to take emptiness, unity, and stillness as his ouides. If he who seeks to abide by the Way has emptiness, then he may enter into it; if he who seeks to serve the Way has unity, then he may master it; if he who seeks to meditate on the Way has stillness, then he may perceive it.** He who understands the Way and perceives its nature, he who understands the Way and carries it out, may be said to embody the Way. Emptiness, unity, and stillness—these are the qualities

of great and pure enlightenment. |

When a man has such enlightenment, there are none of the “The text is hardly intelligible at this point and is probably garbled or

defective. I have followed Kanaya in the translation of the first two sentences of this paragraph, though the interpretation is highly tentative.

Dispelling Obsession —129 myriad beings of creation that have form and yet are not per- | ceived by it, none that are perceived and yet not comprehended, none that are comprehended and yet not assigned to their proper places. He who has such enlightenment may sit in his room and view the entire area within the four seas, may dwell in the present and yet discourse on distant ages. He has

a penetrating insight into all beings and understands their true nature, studies the ages of order and disorder and comprehends the principle behind them. He surveys all heaven and earth, governs all beings, and masters the great principle

and all that is in the universe. Broad and vast—who knows the limits of such a man? Brilliant and comprehensive—who knows his virtue? Shadowy and ever-changing—who knows

his form? His brightness matches the sun and moon; his greatness fills the eight directions. Such is the Great Man.

How could he become the victim of obsession? |

The mind is the ruler of the body and the master of its godlike intelligence. It gives commands, but it is not subject to them. Of its own volition it prohibits or permits, snatches or accepts, goes or stops. [hus the mouth can be forced to speak or to be silent; the body can be forced to crouch or to extend

itself; but the mind cannot be made to change its opinion. What it considers right it will accept; what it considers wrong

it will reject. Hence we may say that it is the nature of the mind that no prohibition may be placed upon its selections. Inevitably it will see things for itself. And although the objects

it perceives may be many and diverse, if its acuity is of the highest level, it cannot become divided within itself. ‘The Odes says: I pick and pick the burr-weed But it does not fill my slanting basket.

130 Hsiin Tzu I sigh for my loved one;

J would be in the ranks of Chou. | A slanting basket is easy enough to fill, and burr-weed is easy

enough to gather. And yet she never succeeds in filling the basket because her mind is divided between her work and her loved one in the ranks of Chou.

Therefore it is said that, if the mind is distracted, it will lack understanding; if it is unbalanced, it will lack acuity; and

if it is divided, it will fall into doubt and delusion. But if it avoids these three conditions and examines and compares correctly, then it can understand all things, while the body, having mastered all actions, will achieve beauty.

As a basis for action, diversity is impractical. Hence the wise man selects one thing and unifies his actions about it. The farmer is well versed in the work of the fields, but he cannot become a director of agriculture. The merchant is well

versed in the ways of the market, but he cannot become a director of commerce. The artisan is well versed in the process

of manufacture, but he cannot become a director of crafts. Yet there are men who, though they possess none of these three skills, are still able to fill the offices that direct them. ' This is not because they are well versed in the facts, but be-

cause they are well versed in the Way.* He who is well versed in the facts alone will treat each fact as a fact and no more. He who is well versed in the Way will unify his treat-

ment of the facts. Hence, the gentleman finds a basis for unity in the Way and on this basis examines and compares the facts. Since he has the unity of the Way as his basis, his ap® “Airs of Chou-nan,” Chiian-erh, Mao text no. 3. I have interpreted the

last line differently from Karlgren in order to make it fit Hstin Tzu’s re-

marks. |

8 Adding a fei before the ching of the second clause. :

Dispelling Obsession 131 proach will be correct; and since he examines and compares the facts, his perception will be clear. With thinking that is based upon a correct approach and action that is based upon clear perception, he is able to control all things.

In ancient times, when Shun governed the world, he did | not issue detailed commands concerning each matter and yet all things were brought to completion. He clung to a single attitude of fearful caution and his glory became replete. He nourished an attitude of subtle watchfulness and achieved glory, though few men understood why. Hence the Classic of the Way" says, “There should be a fearfulness in the mind of man; there should be subtlety of vision in the mind of the Tao.” One must have the enlightenment of a gentleman before he can comprehend the signs of such fearfulness and subtlety.

The mind may be compared to a pan of water. If you place the pan on a level and do not jar it, then the heavy sediment will settle to the bottom and the clear water will collect on

top, so that you can see your beard and eyebrows in it and | examine the lines of your face. But if a faint wind passes over

the top of the water, the heavy sediment will be stirred up from the bottom and the clear water will become mingled with

it, so that you can no longer get a clear reflection of even a large object. ‘The mind is the same way. If you guide it with |

reason, nourish it with clarity, and do not allow external objects to unbalance it, then it will be capable of determining

right and wrong and of resolving doubts. But if you allow petty external objects to pull it about, so that its proper form ** Nothing is known of this work. The same quotation, with only slight

textual variation, appears in the “Plan of Great Yi” of the Documents. But this chapter is a later forgery, so that this passage in Hsiin Tzu probebly represents the earliest source of the quotation.

132 Hsiin Tzu becomes altered and its inner balance is upset, then it will not be capable of making even gross distinctions.

Many men have loved the art of writing, but T’s’ang Chieh alone is honored by later ages as its master, because he con-

centrated upon it."° Many men have loved husbandry, but Lord Millet alone is honored by later ages as its master, because

he concentrated upon it. Many men have loved music, but K’uei alone is honored by later ages as its master, because he | concentrated upon it. Many men have loved righteousness, but Shun alone is honored by later ages as its master, because he concentrated upon it. Ch’ui invented bows and Fou-yu in-

vented arrows, but it remained for Yi to master the art of archery. Hsi-chung invented carriages and Ch’eng-tu discovered how to use horses to pull them, but it remained for T'sao-fu to perfect the art of carriage driving. Hence, from ancient times to the present there has never been a man who attained mastery by trying to attend to a diversity of things at one time. T’seng Tzu’® said, “Any man who, while he is trying to sing, is at the same time wondering if he can swat the mouse sitting on the corner of his mat is not going to join in a chorus of mine!”

| There was a man who lived in a cave, and his name was Chi.” He was good at thinking up riddles and liked to meditate. But if his eyes or ears were aroused by any stimulus, his thoughts became distracted, and if he heard the buzzing of mosquitoes or flies, it destroyed his concentration. ‘Therefore he withdrew himself from all stimulus and went where

he would be far away from the buzzing of mosquitoes and * "The men mentioned in this paragraph are all mythical or semimythical culture heroes of the distant past. *° A disciple of Confucius often mentioned in the Analects.

“The pronunciation of this character is unknown. I have romanized it according to the phonetic.

Dispelling Obsession 133 flies, and there, living in quietude and calm meditation, he perfected his art. If he had meditated as intensively on benevolence, would he not have achieved real subtlety? Mencius was shocked at his wife’s behavior and turned her out of the house.’* This shows remarkable strength of will, but not very

much thought.’® Confucius’ disciple Yu Tzu hated the thought of falling asleep and so he burned the palm of his hand to keep himself awake. This shows remarkable endur- | ance, but not very much concern for the body. ‘To withdraw _ oneself from all stimulus and go where one will be far away from the buzzing of mosquitoes and flies can be called cautious |

fearfulness, but not subtlety. True subtlety is the quality of the perfect man. What has he to do with strength of will, endurance, and fearfulness? A dull brightness shines about his exterior, and a clear brightness within him. The sage fol- lows his desires, satisfies all his emotions, and at the same time is restrained, because he possesses reason. What has he to

do with strength of will, endurance, or fearfulness? The benevolent man practices the Way through inaction; the sage _ practices the Way through non-striving. The thoughts of the

benevolent man are reverent; the thoughts of the sage are

joyous. This is the way to govern the mind. ; When you observe objects, doubts arise, and if your inner mind does not settle them, then your perception of external objects will become unclear. And if your thoughts themselves are unclear, then you cannot settle the doubts that arise. A ’® According to the version of the story in Han-shih wai-chuan 9, Mencius

came into his wife’s room unannounced and found her sprawled in an unladylike position. In that version, however, he did not succeed in turning her out, but on the contrary was severely reprimanded by his mother for

walking in on people unannounced.

* The order of the text is somewhat jumbled at this point, and I have followed Kanaya’s rearrangement and interpretation.

134 Hsiin Tzu man walking along a dark road will mistake a stone lying on its side for a crouching tiger, or a row of trees for a file of men

following him. This is because the darkness obscures his vision. A drunken man will try to leap a ditch a hundred paces ©

wide as though it were a narrow gutter, or will stoop to go through a city gate as though it were a low doorway. This is because the wine has disordered his spirit. If you press your eyeball when you look at something, you will see two objects instead of one; if you cup your hands over your ears, dull noises will sound like a sharp din. This is because the actions you take disorder the functioning of the faculties. If you look down on a herd of cows from the top of a hill, they will look no bigger than sheep, and yet no one hoping to find sheep is likely to run down the hill after them. It is simply that the distance obscures their actual size. If you look up at a forest from the foot of a hill, the biggest trees appear no taller than chopsticks, and yet no one hoping to find chopsticks is likely _ to go picking among them. It is simply that the height obscures

their actual dimensions. When water is moving and its reflections waver, men do not use it as a mirror to judge beauty by, for they know that it is the nature of such water to cast deceptive reflections. When a blind man looks up at the sky and declares that he sees no stars, men do not use his declaration to decide whether stars really exist or not, for they know that his faculties are impaired. Anyone who would actually base his judgments upon such evidence would be the biggest

| - fool in the world. Such a fool in his judgments uses what is already doubtful to try to settle further doubts, and hence his judgments are never accurate. And if his judgments are not accurate, how can he hope to escape error?

There was a man named Chiian Shu-liang who lived south _ of Hsia-shou. He was stupid and easily frightened. One night

Dispelling Obsession 135 he was walking in the moonlight when, glancing down and

seeing his shadow, he took it for a crouching ghost. Looking up, he caught sight of his own hair and took it for a devil

standing over him. He whirled around and started running, | and when he reached his home he fell unconscious and died. Is this not sad? Always when people see ghosts, it is at times when they are aroused and excited, and they make their judg-

ments in moments when their faculties are confused and blinded. At such times they affirm that what exists does not exist, or that what does not exist exists, and then they consider the matter settled. A man, having contracted a chill from the dampness, proceeds to beat a drum and make an offering of a pig in hopes of effecting a cure.?° He wears out the drum and loses a pig in the process, that is certain, but no blessing of recovery follows as a result. Thus, although he may not happen to live south of Hsia-shou, he is no different from the man

I have described above.

On the whole, by understanding the nature of man, you can understand the principles that govern all other beings. But if, having understood human nature, you seek thereby to understand the principles of other beings, but fail to set any limit

to your search, then you may spend all the rest of your life without reaching any fulfillment. You may try a million different ways of mastering these principles, but in the end you will still not be able to understand all the transformations

which the countless beings undergo, and you will be no different from an ignorant man. Anyone who studies until he himself is old and his sons are full grown, and yet neither advances beyond the stage of the ignorant man nor has the sense to give up—such a man may be called a real fool. Learning — ” The text is slightly garbled at this point. I have followed Kanaya’s rearrangement and interpretation. ,

136 Hsiin Tzu must always have a stopping place. Where should it stop? It should stop with the point of complete sufhiciency. What do I mean by complete sufficiency? I mean the understanding of the sage and the king.”! ‘The sage has complete mastery of all moral principles; the king has complete mastery of all regulations of society. Those who possess these two kinds of mastery are worthy to be called the pinnacles of the world. Hence the scholar should take the sage and the king as his teachers. He should take their regulations as his model and, on the basis of this model, seek to penetrate their reasoning and work to become like them. He who strives for this ideal is a man of breeding, he who comes close to realizing it is a gentleman, and he who truly understands it is a sage. He who has understanding but fails to make his plans on the basis of this ideal may be called rapacious.?* He who has bravery but fails to support this ideal may be called a brigand. He who has keen perception but fails to comprehend this ideal may be called

mechanical minded. He who has much talent but fails to practice this ideal may be called wily. He who is clever at talking but fails to speak of this ideal may be called a blabbermouth. The old text says, “There are two things it is impor-

tant to do in the world: to perceive the right in what men consider wrong, and to perceive the wrong in what men con-

sider right.” In other words, you must judge what things conform to the king’s regulations and what do not. Certainly there are those in the world who do not accept this ideal of the sage and the king as the highest norm, but

can they possibly claim still to be able to distinguish right from wrong, or to separate the crooked from the straight? And if they cannot distinguish right from wrong, or separate 1 Adding the word “king,” which has dropped out here. ” Reading chiieh instead of chii.

| Dispelling Obsession 137 crooked from straight, if they cannot tell the difference between order and disorder, or practice the way that is proper to

mankind, then, although they may have other abilities, it will | be no profit to anyone, and if they are without ability it will

be no one’s loss. Such men do nothing but propound strange | theories, toy with unusual language, and vex and confuse others. Offensively aggressive and glib, brazen-faced and impervious to shame, willful in conduct and indifferent to right, rash in judgment and with an eye out for profit alone, they

have no use for humility, no respect for propriety, but are concerned only in getting the better of their opponents. Such are the ways of evil men whose theories bring disorder to the age, and yet how many of the propounders of theories in the

world today are like this! This is what the old text means when it says, “The gentleman despises those who consider perception to consist merely in the analysis of words, or discrimination to consist merely in the description of objects. The gentleman despises men of broad learning and powerful

king.” |

memory who yet do not conform to the regulations of the Things which are of no help to you in fulfilling your undertakings, no help to you in obtaining what you seek, no help to you in escaping from what you dread—put such things far

away from yourself and reject them. Do not allow them to impede you; do not harbor them in your breast even for a moment. Do not long for the past, do not fret over the future, _ and do not allow your mind to be disturbed by anxiety or miserliness. Act when the time comes; respond to things as they appear; judge events as they occur; and the distinction between order and disorder, proper and improper will become abundantly clear. There has never been an enlightened ruler who succeeded

138 Hsiin Tzu by keeping secrets from his ministers but failed by being too

frank with them. There has never been an unenlightened ruler who succeeded by being open with his ministers but failed by hiding things from them.*? If the ruler of men is too secretive, then only slanderous reports will reach his ears and honest advisers will fall silent. Petty men will draw close

to him and gentlemen will depart. ‘The Odes says: |

He mistakes darkness for light a And foxes and badgers have their way.*4

This refers to a situation in which the ruler is sunk in delusion and his ministers are evil. But if the ruler is open with his ministers, then honest advice will reach his ears and slanderous reports will cease. Gentlemen will draw close to him

and petty men will depart. ‘The Odes says: Bright and enlightened are those below;

Bright and glorious is the one above.”® |

This refers to a situation in which the ruler is enlightened and his ministers are transformed to virtue. * Because an enlightened ruler by definition attracts good ministers and

, an unenlightened one by definition attracts bad ministers. * No such lines are found in the present text of the Odes.

* “Greater Odes,” Ta-ming, Mao text no. 236. I have interpreted the lines differently from Karlgren in order to make them fit Hsiin Tzu’s comment.

Qa

re RECTIFYING NAMES‘ | (SECTION 22) |

This is the way the true kings of later times fixed the names of things. In the case of legal terms, they followed the practices of the Yin dynasty; in the case of terms pertaining to

ranks and titles, they followed Chou practice; and for the - names of ceremonies and ceremonial objects, they followed ritual practice. For the common names applied to all the various things of creation, they followed the established customs of China, and made certain that such names could be used in distant regions whose customs are different, so that a common means of communication could be established

thereby. |

These are the common names that apply to man. That which is as it is from the time of birth is called the nature of |

man. That which is harmonious from birth, which is capable of perceiving through the senses and of responding to stimulus spontaneously and without effort, is also called the nature. The likes and dislikes, delights and angers, griefs and joys of the nature are called emotions. When the emotions are aroused and the mind makes a choice from among them, this is called thought. When the mind conceives a thought and the body? The title of the section is taken from Analects XIII, 3, where Confucius

discusses the need to rectify names. It is Hsiin Tzu’s answer to Hui Shih, , Kung-sun Lung, and the other philosophers of the School of Names. It presents many difficulties of interpretation, and the translation is therefore

tentative at many points. On the whole, I have followed Kanaya’s interpretation, though I do not always adopt his emendations. * Reading t’ai instead of neng here and in the next sentence.

140 Hsiin Tzu puts it into action, this is called conscious activity. When the thoughts have accumulated sufficiently, the body is well trained, and then the action is carried to completion, this is also called conscious activity. When one acts from considera-

tions of profit, it is called business. When one acts from considerations of duty, it is called [moral] conduct. ‘The faculty which allows man to have understanding is called knowledge. Understanding which has practical applicability is also called knowledge. The understanding which makes man capable of something is called ability. Capability which has practical

application is also called ability. Injuries to the nature are called sickness; unexpected occurrences which one meets with

are called fate. These are the common names that apply to man, the names that have been fixed by the kings of later times. —

When the king sets about regulating names, if the names and the realities to which they apply are made fixed and clear, so that he can carry out the Way and communicate his inten-

tions to others, then he may guide the people with circumspection and unify them. Hence to split words and recklessly make up new names, throwing the names that have already been established into confusion, leading the people into doubt

and delusion, and causing men to argue and contend with each other is a terrible evil and should be punished in the same way that one punishes those who tamper with tallies or weights and measures. If so, then the people will not dare to think up pretexts for using strange words and throwing the established names into disorder, but will become simple and honest. When the people are simple and honest, they are easy to employ, and when they are easy to employ, then much can be accomplished. Again, because the people do not dare to think up pretexts for using strange words and throwing the

Rectifying Names 141 established names into disorder, they will be of one mind in obeying the law, and will be careful to follow orders, and if they are like that, the ruler’s accomplishments will be long lasting. When the ruler’s accomplishments are long lasting and his undertakings are brought to completion, this is the height of good government. All of this is the result of being careful to see that men stick to the names which have been

agreed upon. |

Nowadays, however, the sages and true kings have all

passed away. Men are careless in abiding by established names, strange words come into use, names and realities become con-

fused, and the distinction between right and wrong has become unclear. Even the officials who guard the laws or the scholars who recite the Classics have all become confused. If a true king were to appear now, he would surely set about reviving the old names, and creating new ones as they were needed. To do so, he would have to examine carefully to see why names are needed, how to go about distinguishing between things that are the same and those that are different, and what essential standards should be used in regulating names.

[If there are no fixed names,] but men begin to discriminate the different forms of things on the basis of their own particular observations, each applying his own names and inter-

preting the different phenomena in his own fashion, then the relationships between names and realities will become obscured and entangled, the distinction between eminent and humble will become unclear, and men will no longer discrim-

inate properly between things that are the same and those that are different. In such a case there will be a real danger that the ruler’s intentions will not be properly communicated

and understood, and his undertakings will undoubtedly be

142 Hsiin Tzu plagued with difficulty and failure. For this reason the wise man is careful to set up the proper distinctions and to regulate names so that they will apply correctly to the realities they designate. In this way he makes clear the distinction between

eminent and humble and discriminates properly between things that are the same and those that are different. If this is done, there will be no danger that the ruler’s intentions will be improperly communicated and understood, and his undertakings will suffer no difficulties or failure. This is the reason why correct names are needed. And how does one go about distinguishing between things that are the same and those that are different? One relies upon the senses. Things which are of the same species and form will be apprehended by the senses as being all the same

thing. Therefore, after comparing such things with other things of a similar nature, one may settle upon a common designation. In this way one arrives at a common name for all the things of one class, which everyone agrees to use when the occasion demands. Differences in shape, color, or marking are distinguished by the eye. Differences of tone, timbre, pitch, or modulation are distinguished by the ear. Sweetness, bitterness, saltiness, blandness, sharpness, sourness, and other variations in flavor are distinguished by the mouth. The perfumes of incense and flowery fragrance, rankness, rancidness, putrid-

ness, and other variations of odor are distinguished by the nose. Pain, itchiness, cold, heat, smoothness, roughness, light-

ness, and heaviness are distinguished by the body. Speech, events, delight, anger, grief, joy, love, hate, and desire are dis-

tinguished by the mind. In addition the mind possesses an over-all understanding. Because of this over-all understanding,

, it may rely upon the data of the ear and understand sounds correctly or rely upon the data of the eye and understand

Rectifying Names 143 forms correctly. But this over-all understanding must always

wait until it has received new data from the senses and matched it with the data already recorded in the mind concerning a particular class of objects, before it can arrive at a correct understanding of the object. If a man simply allows his senses to record data but does not attempt to understand what they have recorded, or if he reaches an over-all understanding of the phenomenon but cannot put it into words, then everyone will call him an ignorant man. The above explains the way in which one goes about distinguishing between things that are the same and those that are different.

When this has been done, then one may begin assigning | names accordingly. Things that are the same should have the

same name; those that are different should have different names. Where a single name is sufficient to express the meaning, a single name should be used; where a single name is not sufficient to express the meaning, a compound name should be used. Where there is no conflict between the single name and the compound name, they may be used interchangeably to refer to the same thing as occasion demands. Although they

are used interchangeably, there is no harm done.* Because one understands that different realities must have different

names, one sees to it that they are given different names. | _ There must be no confusion about this, any more than about the necessity to see to it that all things which are the same in reality have the same name.

| The myriad beings of creation are countless, and yet at : times we wish to refer to all of them in general, and so we *Hsiin Tzu is replying to Kung-sun Lung’s famous conundrum, “A white horse is not a horse.” Horse is the single name, white horse the compound name, but the fact that one uses horse at one time and white horse at another does not mean that a white horse is not also a horse.

144 Hsiin Tzu call them “things.” “Things” is the broadest general term. One starts with a limited general term and keeps moving on _ to broader and broader general terms until one can go no

| farther, and there one stops. At other times we wish to refer to particular categories of things, and so we use words like “bird” or “beast.” ‘These are broad particular terms. One starts with the broadest possible term and moves on to terms whose meaning is more and more circumscribed until one can go no farther, and there one stops.

Names have no intrinsic appropriateness. One agrees to use a certain name and issues an order to that effect, and if the agreement is abided by and becomes a matter of custom, then the name may be said to be appropriate, but if people do not abide by the agreement, then the name ceases to be appro-

priate. Names have no intrinsic reality. One agrees to use a certain name and issues an order that it shall be applied to a certain reality, and if the agreement is abided by and becomes a matter of custom, then it may be said to be a real

name. There are, however, names which are intrinsically good. Names which are clear, simple, and not at odds with

the thing they designate may be said to be good names. | There are things which share the same form but occupy different places and things which have different forms but occupy the same place.* One must be careful to distinguish between them. Things which share the same form but occupy different places may be referred to by the same name, though

they are actually two different realities. There are things which change their form and, although they are still the same thing in reality, appear to become something different.° ‘These *E.g., two horses in different places, or a single man who has one form in youth and another in old age. ° Hsiin Tzu is probably referring to such transformations as those of a silkworm or a cicada.

Rectifying Names 145 are called transformed things. Although they change form, they are not distinguished anew because they are actually the same in reality. This is how one should go about examining realities and assigning designations. These are the essential standards to be used in regulating names. One must be careful

to examine the way in which the kings of later times fixed the names of things. “Tt is no shame to suffer insult.” “The sage has no love for himself.” “When you kill a thief, you do not kill a man.” ® ‘Men who make statements like these are deluded in their use of words and bring confusion to names. If one examines into

the reasons why names are needed and determines which names are appropriate, he can put a stop to such statements. “Mountains and chasms are on the same level.” “It is the emotional nature of man to have few desires.’ “A feast of orass-fed and grain-fed animals adds nothing to the delight of the palate; the music of the great bell adds nothing to one’s

joy.” * Men who make statements such as these are deluded in their understanding of realities and bring confusion to names. If one examines them in the light of what I have said __ about how to differentiate between same and different,® and determines which names fit the situation, then he can put a stop to such statements. “Deny and make a visit.” “The pillar 8 The first of these statements is attributed in sec. 18 of the Hsiin Tzu to Sung Chien (see above, p. 88, n. 12). The second is probably a reference to Mo Tzu’s doctrine of universal love. The third is found in Mo Tzu, Sec. 45.

“The first statement is one of the paradoxes of Hui Shih, recorded in Chuang Tzu, sec. 33 Cwhere it reads “Mountains and marshes are on the

same level”). The second is attributed in Hsiin Tzu, sec. 18, to Sung Chien. The third probably refers to Mo Tzu’s attacks on music and luxurious living.

®T.e., one should check statements such as “mountains and chasms are

on the same level” against the data of the senses. Following Kanaya, I read erh instead of wu in the first clause.

146 Hsiin Tzu has an ox.” “A white horse is not a horse.” ® Men who make statements like these are deluded in their use of words and bring confusion to realities. If one examines them in the light of the agreed usage of names, accepts those which fit in with agreed usage, and rejects those that depart from it, he can put

a stop to such statements. All the pernicious theories and inane sayings which men willfully concoct and which depart from the proper way can be classified under these three types. of delusion. The enlightened ruler understands these classifications and does not argue with men who make such statements. © It is easy to unify the people by means of the Way, though one cannot expect them to share in the process of direction.’° Therefore, the enlightened ruler controls them with power, guides them with the Way, encourages their advancements with commands, brings enlightenment to them through the

teaching of ethical relations, and prohibits evil through punishments. Hence his people are converted to the Way as though by supernatural power. What need has he of persuasive speaking?! But now the sages and true kings have passed away and the world is in confusion. Evil doctrines arise,

and the gentleman has no power to control the people with and no punishments to prohibit them from evil. Therefore, he must have recourse to persuasive speaking. Names are used when the reality itself is not clearly under- _ stood. Combinations of names are used when single names alone are not understood. Explanations are used when com°'The meaning and origin of the first two statements is unknown. In the third, the word “white” has dropped out of the text.

* Compare this with Analects VIII, 9: “The Master (Confucius) said, “The people may be made to follow a path of action, but they may not be made to understand it.’ ” * Reading shui instead of shih.

-Rectifying Names 147 binations of names alone are not understood. Discourses are used when simple explanations alone are not understood. Hence, names, combinations of names, explanations, and discourses are the major forms to be used in conducting practical affairs and are the basis of the king’s business. When one, on hearing the names, can immediately understand the realities they refer to, then names are fulfilling their practical function. When they are combined to create pleasing forms, then they are fulfilling their esthetic function. He who can use names in such a way that they are both practical and esthetically

pleasing may be said to have a real understanding of them. / Names are the means by which one attempts to distinguish different realities.1* Phrases consist of combinations of names for different realities, put together so as to express a single meaning. Discourses and explanations are the means by which, without allowing names to become separated from realities, one makes men understand the principles of correct action.

Names and combinations of names are the instruments of discourse and explanation. Discourse and explanation are the means by which the mind gives form to the Way. The mind is the supervisor of the Way, and the Way is the foundation of good government. The mind should be in accord with the Way, explanations in accord with the mind, and phrases in accord with explanations; the correct names should be formed

- into combinations; understanding should be based upon the true circumstances; differences should be carefully distinguished without error; and analogies should be drawn which are not forced or false. When one listens to the words of others, one should bring them into accord with the proper forms; when one discourses on one’s own ideas, one should ? Reading yi instead of lei.

148 Hsiin Tzu give a complete explanation of one’s reasons. If one employs the correct way in order to distinguish what is false, just as one stretches a line to distinguish between crooked and straight, then pernicious theories will be powerless to cause confusion and the doctrines of the hundred schools will have nowhere

to hide. |

| The sage has the understanding that comes from listening to many things, but does not let pride show in his face; he has the kind of generosity that embraces many men, but does not let it appear that he boasts of his virtue. When his doctrines are practiced, the world is upright; when they are not, he strives to make clear the Way but hides his person. These are the characteristics of the sage’s discourse. This is what the Odes means when it says: Gracious and splendid, Like a jade scepter, a jade baton, Of good fame, good aspect, The joyous gentleman Is regulator of the four quarters.!8

The gentleman and man of breeding observes the proper _ degree of courtesy and obeys the rules of seniority. No improper words leave his lips; no evil sayings come from his mouth. With a benevolent mind he explains his ideas to

| others, with the mind of learning he listens to their words, and with a fair mind he makes his judgments. He is not moved by the censure or praise of the mob; he does not try to bewitch*™ the ears and eyes of his observers; he does not cringe

before the power and authority of eminent men; he does not 18 “Greater Odes,” Ch’tian-o, Mao text no. 252.

“ Reading yeh instead of chih. ,

Rectifying Names 149 feign delight in the words of the ruler’s favorites. Therefore he can abide by the Way and not be of two minds, can endure hardship*® without betraying his ideals, and can enjoy good

fortune without overstepping the bounds of good conduct. He honors what is fair and upright and despises meanness and

wrangling. Such is the discourse of the gentleman and the man of breeding. This is what the Odes means when it says: The long night passes slowly; Long thoughts beset me.

If am not false to antiquity Nor to the principles of ritual, Why fear what men say? 1”

The words of the gentleman are far-ranging and detailed, apt and to the point, varied and yet unified. He employs the correct names and chooses suitable phrases in order to insure that his meaning is clear. His words and phrases act as the messengers of his meaning. He makes certain that they are sufficient to communicate his thoughts, and there he stops, for to try to force them to do more would be evil. If the names one uses are sufficient to indicate the realities one has in mind, and the phrases are sufficient to lay open the heart of the mat-

ter, then one need go no further. Anything beyond this becomes labored. ‘The gentleman rejects labored discourse, but the fool seizes upon it and makes it his treasure. Hence, the fool’s words are hastily chosen and sketchy, contentious and wide of the mark, voluble and full of ferment. He is led astray by names, confused in his use of phrases, and there is no depth Reading pien instead of ch’uan in accordance with the suggestion of Ogyiai Sorai. *® Reading ch’ii instead of t’u.

17 No such lines are found in the present text of the Odes.

150 Hsiin Tzu to his meaning. He struggles to advance but never reaches the

heart of the matter; he expends great labor but achieves no result; he is greedy for reputation but wins none. The words _ of a wise man are easy to understand and easy to practice. Abide by them and you can easily make a place for yourself; carry them out and you will surely be able to obtain what you desire and avoid what you hate. The words of a fool are just the opposite. This is what the Odes means when it says: Were you a ghost or demon No one could see you. But you have a face and eyes Wherein men spy your dishonesty. So I have made this good song To expose to the full your evilness.1®

All those who maintain that desires must be gotten rid of before there can be orderly government fail to consider whether desires can be guided, but merely deplore the fact that they exist at all. All those who maintain that desires must

be lessened before there can be orderly government fail to consider whether desires can be controlled, but merely deplore the fact that they are so numerous. Beings that possess desires and those that do not belong to two different categories—the

categories of the living and the dead. But the possession or nonpossession of desires has nothing to do with good government or bad. Beings which have many desires and those which

have few belong to two different categories. But this is a matter of the emotional nature of the being and has nothing to do with good government or bad. When one has a desire, he does not wait to make certain whether he can satisfy it, but immediately sets about trying

*#* “Lesser Odes,” Ho-jen-ssu, Mao text no. 199. ,

Rectifying Names 151 to do so as best he can. The desire itself, which arises before one knows whether or not it can be satisfied, comes from the nature received at birth, while the search to satisfy it as

best one can is directed by the mind. Thus a single desire which has sprung from the inborn nature may be directed and controlled in many different ways by the mind, until it becomes difficult to identify it with the original desire.” There is nothing a man desires more than life and nothing he hates

more than death. And yet he may turn his back on life and choose death, not because he desires death and does not desire life, but because he cannot see his way clear to live, but only to die. Therefore, although a man’s desires are excessive, his actions need not be so, because the mind will stop them short.

If the dictates of the mind are in accord with just principles, | then, although the desires are manifold, what harm will this be to good government? Conversely, even though there is a deficiency of desire, one’s actions can still come up to the

proper standard because the mind directs them. But if the _ dictates of the mind violate just principles, then, although the |

desires are few, the result will be far worse than merely bad | government. Therefore, good or bad government depends upon the dictates of the mind, not upon the desires of the

emotional nature. If you do not seek the cause of good or bad | government where it exists, but only where it does not exist, though you may proclaim that you have found it, you will be

wrong.

The basic nature of man is that which he receives from ~ Heaven. The emotions are the substance of the nature and the desires are the responses of the emotions. It is impossible for the emotions not to believe that their desires can be satis* The meaning of this sentence is doubtful.

152 Hsiin Tzu fied and to refrain from seeking to satisfy them. But when they have decided that their desires can be satisfied, it must then be the function of the intellect to guide the search for _ satisfaction. Even a lowly gatekeeper cannot keep from having

desires, for they are the inseparable attributes of the basic nature. On the other hand, even the Son of Heaven cannot completely satisfy all his desires. But although one cannot completely satisfy all his desires, he can come close to satisfying them, and although one cannot do away with all desires, he can control the search for satisfaction. (That is to say, one cannot completely satisfy all his desires, but by seeking to do so he can come close to satisfying them. Conversely, one cannot do away with all desires, and there will always be longings

left unsatisfied; but the intellect can make an attempt to control the search for satisfaction.)?° The Way in its positive aspect can lead one close to the satisfaction of all desires and in its negative aspect can serve to control the search for satisfaction. In this respect, there is nothing in the world to com-

pare to it.

All men will abide by what they think is good and reject what they think is bad. It is inconceivable, therefore, that any man could understand that there is nothing in the world to compare to the Way, and yet not abide by it. Let us suppose, for example, that here is a man who desires to go south, regardless of the difficulties, and hates the thought of going north,

no matter how easy it might be. Just because he may not be able to go as far south as he would like, is he likely to abandon the idea entirely and turn north instead? So men have certain things they desire, regardless of the difficulties involved, and certain things they hate, no matter how easily gotten. Simply ”°'The two sentences in parentheses simply repeat what has been said above, and are probably a gloss that has erroneously gotten into the text.

Rectifying Names 1153 _ because they cannot completely satisfy all their desires, is it likely that they will abandon the way which leads to the satis-

faction of their desires and instead accept what they hate? | Hence, if men approve the Way and abide by it, how is it possible to lead them astray and produce a state of disorder? And if they do not approve the Way and depart from it, how is it possible to improve them and produce a state of order? Therefore, the wise man discourses on the Way and nothing else, and the aims of petty men with their strange theories sink

into obscurity. | When men acquire something, they never get only what | they desire and nothing more; when men reject something, they never rid themselves only of what they hate and nothing more. [herefore, when men act, it must be on the basis of some scale and standard. If a balance is not properly adjusted, then heavy objects will go up in the air and men will suppose

they are light, and light objects will sink down so that men , suppose they are heavy. Hence men become deluded as to the true weight of the objects. Similarly, if men’s standards are not correct, then misfortune may come in the guise of what

they desire, and they will take it for good fortune, or good fortune may come in the guise of what they hate and they will mistake it for misfortune. In this way men become deluded as to the true nature of good and bad fortune. The Way is the proper standard for past and present. He who departs from the Way and makes arbitrary choices on the basis of his own judgment does not understand wherein fortune and misfortune lie.

If a man exchanges one object for another that is the same, then everyone will agree that he has neither gained nor lost anything. If he exchanges one object for two that are the same,

then everyone will say that he has lost nothing but in fact

154 Hsiin Tzu has made a gain. But if he exchanges two objects for one, then everyone will agree that he has not gained but lost. Anyone who calculates can see that the gain lies with the greater num-

ber of objects and anyone who stops to think about it will choose the way that leads to the best results. No man will exchange two objects for one, because he knows well enough

how to count. But to act in accordance with the Way is in | fact like exchanging one object for two. How could it be a loss? ‘To depart from the Way and make arbitrary choices on the basis of one’s own judgment, however, is like exchanging two objects for one. How could it possibly be a gain? Any

man who would actually exchange that which can gratify the desires of countless years for that which brings only a sing!e moment of gratification” simply does not know how to do arithmetic. But let us try delving deeper into the hidden aspects of the matter—those that are difficult to perceive. No man who derides true principles in his mind can fail to be led astray by undue attention to external objects. No one who pays undue

attention to external objects can fail to feel anxiety in his mind. No man whose behavior departs from true principles — can fail to be endangered by external forces. No man who is endangered by external forces can fail to feel terror in his mind. If the mind is full of anxiety and terror, then, though the mouth may be crammed with delicious food it will not recognize the flavor, though the ear listens to the music of bells and drums it will not recognize the sound, though the eye lights upon embroidered patterns it will not recognize

their form, and though the body is clothed in warm, light garments and rests upon fine-woven mats, it will feel no ease. * Reading ch’ieh instead of hsien.

Rectifying Names 155 In such a case, a man may be confronted by all the loveliest things in the world and yet be unable to feel any gratification. Even if he should feel a moment’s” gratification, he could never completely shake off his anxieties and fears. Hence, al-

though he confronts all the loveliest things in the world, he |

is overwhelmed with worry, and though he enjoys all the | benefits in the world, he knows only loss.

What can a man like this hope for? Can he hope to gain possessions? Can he hope to nourish his health? Can he hope to prolong his life? He says he wants to satisfy his desires, and yet he sets out to do so by giving free license to his emotions.

He says he wants to nourish his health, and yet he does things that endanger his body. He says he wants to increase his joy, and yet he afflicts his mind. He says he wants to win fame, and yet he allows his behavior to become reckless. Such a man might be enfeoffed as a lord and hailed as a ruler, but in fact he would be no different from an outlaw. He might ride in an elegant carriage and wear the cap of a high official, but he would still be no different from a needy peasant. This

is what is called allowing the self to become the slave of things.

But if the mind is calm and at ease, then even beauties that

are less than mediocre will gratify the eye, even sounds that | are less than mediocre will gratify the ear. A meal of vegetables, a soup of boiled greens will gratify the mouth; robes of coarse cloth, shoes of coarse hemp will give ease to the body; a narrow room with rush blinds, a straw carpet, and a table

| and mat will give comfort to the form. Hence, one may not be able to enjoy all the most beautiful things in the world, and yet he can still increase his joy; he may not find a place ” Reading chien instead of wen.

156 Hsiin Tzu among the famous and powerful, and yet he can still win fame. A man like this, if placed in the position of ruler, will do much for the world as a whole and give little thought to his private** pleasures. This is what it means to value the self

and make other things work for you. Words that have a shallow basis, conduct that does not bear examining, schemes

of ill repute—the gentleman is careful how he approaches these. * Reading ssu instead of ho.

re MAN’S NATURE IS EVIL

(SECTION 23) |

Man’s nature is evil; goodness is the result of conscious activity. The nature of man is such that he is born with a fondness

for profit. If he indulges this fondness, it will lead him into wrangling and strife, and all sense of courtesy and humility will disappear. He is born with feelings of envy and hate, and if he indulges these, they will lead him into violence and crime, and all sense of loyalty and good faith will disappear. Man is born with the desires of the eyes and ears, with a fond-

ness for beautiful sights and sounds. If he indulges these, they will lead him into license and wantonness, and all ritual

principles and correct forms will be lost. Hence, any man | who follows his nature and indulges his emotions will inevitably become involved in wrangling and strife, will violate _ the forms! and rules of society, and will end as a criminal. Therefore, man must first be transformed by the instructions

of a teacher and guided by ritual principles, and only then will he be able to observe the dictates of courtesy and humility, | obey the forms and rules of society, and achieve order. It is obvious from this, then, that man’s nature is evil, and that his goodness is the result of conscious activity.

A warped piece of wood must wait until it has been laid against the straightening board, steamed, and forced into shape before it can become straight; a piece of blunt metal must wait until it has been whetted on a grindstone before it * Reading wen instead of fen.

158 Hsiin Tzu can become sharp. Similarly, since man’s nature is evil, it must

wait for the instructions of a teacher before it can become upright, and for the guidance of ritual principles before it can become orderly. If men have no teachers to instruct them,

, they will be inclined towards evil and not upright; and if they have no ritual principles to guide them, they will be perverse and violent and lack order. In ancient times the sage kings realized that man’s nature is evil, and that therefore he inclines toward evil and violence and is not upright or orderly. Accordingly they created ritual principles and laid down certain regulations in order to reform man’s emotional nature and make it upright, in order to train and transform it and guide it in the proper channels. In this way they caused all men to become orderly and to conform to the Way. Hence, today any man who takes to heart the instructions of his teacher, applies

himself to his studies, and abides by ritual principles may

become a gentleman, but anyone who gives free rein to his emotional nature, is content to indulge his passions, and disregards ritual principles becomes a petty man. It is obvious from this, therefore, that man’s nature is evil, and that his

goodness is the result of conscious activity. Mencius states that man is capable of learning because his nature is good, but I say that this is wrong. It indicates that he has not really understood man’s nature nor distinguished properly between the basic nature and conscious activity. The __

nature is that which is given by Heaven; you cannot learn it, you cannot acquire it by effort. Ritual principles, on the other hand, are created by sages; you can learn to apply them, you can work to bring them to completion. ‘That part of man

which cannot be learned or acquired by effort is called the nature; that part of him which can be acquired by learning and brought to completion by effort is called conscious activity.

Man’s Nature Is Evil 159 | _ This is the difference between nature and conscious activity. :

It is a part of man’s nature that his eyes can see and his , ears can hear. But the faculty of clear sight can never exist separately from the eye, nor can the faculty of keen hearing exist separately from the ear. It is obvious, then, that you cannot acquire clear sight and keen hearing by study. Mencius states that man’s nature is good, and that all evil arises because he loses his original nature. Such a view, I believe, is erroneous. It is the way with man’s nature that as soon as — he is born he begins to depart from his original naiveté and simplicity, and therefore he must inevitably lose what Mencius regards as his original nature.” It is obvious from this,

then, that the nature of man is evil. |

_ Those who maintain that the nature is good praise and approve whatever has not departed from the original simplicity and naiveté of the child. That is, they consider that beauty belongs to the original simplicity and naiveté and good-

ness to the original mind in the same way that clear sight is

inseparable from the eye and keen hearing from the ear. Hence, they maintain that [the nature possesses goodness] — in the same way that the eye possesses clear vision or the ear keenness of hearing. Now it is the nature of man that when he is hungry he will desire satisfaction, when he is cold he will desire warmth, and when he is weary he will desire rest. This is his emotional nature. And yet a man, although he is

hungry, will not dare to be the first to eat if he is in the presence of his elders, because he knows that he should yield to them, and although he is weary, he will not dare to demand * Mencius, it will be recalled, stated: “The great man is he who does not lose his child’s-heart” (Mencius IVB, 12). If I understand Hsiin Tzu correctly, he is arguing that this “child’s-heart,” ie., the simplicity and naiveté

of the baby, will inevitably be lost by all men simply in the process of growing up, and therefore it cannot be regarded as the source of goodness.

160 Hsiin Tzu | rest because he knows that he should relieve others of the burden of labor. For a son to yield to his father or a younger brother to yield to his elder brother, for a son to relieve his

father of work or a younger brother to relieve his elder brother—acts such as these are all contrary to man’s nature and run counter to his emotions. And yet they represent the way of filial piety and the proper forms enjoined by ritual principles. Hence, if men follow their emotional nature, there will be no courtesy or humility; courtesy and humility in fact run counter to man’s emotional nature. From this it is obvious, then, that man’s nature is evil, and that his goodness is the result of conscious activity.

Someone may ask: if man’s nature is evil, then where do ritual principles come from? I would reply: all ritual prin-

ciples are produced by the conscious activity of the sages; essentially they are not products of man’s nature. A potter molds clay and makes a vessel, but the vessel is the product of the conscious activity of the potter, not essentially a product of his human nature. A carpenter carves a piece of wood and makes a utensil, but the utensil is the product of the conscious activity of the carpenter, not essentially a product of his hu- © man nature. The sage gathers together his thoughts and ideas, experiments with various forms of conscious activity, and so produces ritual principles and sets forth laws and regulations. Hence, these ritual principles and laws are the products of the conscious activity of the sage, not essentially products of his human nature. Phenomena such as the eye's fondness for beautiful forms, the ear’s fondness for beautiful sounds, the mouth’s fondness

for delicious flavors, the mind’s fondness for profit; or the body’s fondness for pleasure and ease—these are all products

of the emotional nature of man. They are instinctive and

~ Man’s Nature Is Evil 161 spontaneous; man does not have to do anything to produce them. But that which does not come into being instinctively but must wait for some activity to bring it into being is called

the product of conscious activity. These are the products of | the nature and of conscious activity respectively, and the proof

that they are not the same. Therefore, the sage transforms his nature and initiates conscious activity; from this conscious

activity he produces ritual principles, and when they have been produced he sets up rules and regulations. Hence, ritual principles and rules are produced by the sage. In respect to human nature the sage is the same as all other men and does not surpass* them; it is only in his conscious activity that he

differs from and surpasses other men. | It is man’s emotional nature to love profit and desire gain. Suppose now that a man has some wealth to be divided.* If he indulges his emotional nature, loving profit and desiring gain, then he will quarrel and wrangle even with his own brothers over the division. But if he has been transformed by the proper forms of ritual principle, then he will be capable of yielding

even to a complete stranger. Hence, to indulge the emotional | nature leads to the quarreling of brothers, but to be transformed by ritual principles makes a man capable of yielding to strangers. Every man who desires to do good does so precisely because

his nature is evil. A man whose accomplishments are meager | longs for greatness; an ugly man longs for beauty; a man in cramped quarters longs for spaciousness; a poor man longs for wealth; a humble man longs for eminence. Whatever a man lacks in himself he will seek outside. But if a man is already rich, he will not long for wealth, and if he is already * Reading kuo instead of yi. __ ‘ Omitting the words ti-hsiung, which do not seem to belong here.

162 Hsiin Tzu | | eminent, he will not long for greater power. What a man already possesses in himself he will not bother to look for outside. From this we can see that men desire to do good

| precisely because their nature is evil. Ritual principles are certainly not a part of man’s original nature. Therefore, he forces himself to study and to seek to possess them. An under-

standing of ritual principles is not a part of man’s original nature, and therefore he ponders and plans and thereby seeks to understand them. Hence, man in the state in which he is born neither possesses nor understands ritual principles. If he does not possess ritual principles, his behavior will be chaotic,

and if he does not understand them, he will be wild and irresponsible. In fact, therefore, man in the state in which he is born possesses this tendency towards chaos and irresponsibility. From this it is obvious, then, that man’s nature is evil, and that his goodness is the result of conscious activity. Mencius states that man’s nature is good, but I say that this view is wrong. All men in the world, past and present, agree in defining goodness as that which is upright, reasonable, and orderly, and evil as that which is prejudiced, irresponsible, and chaotic. This is the distinction between good and evil. _ Now suppose that man’s nature was in fact intrinsically upright, reasonable, and orderly—then what need would there be for sage kings and ritual principles? The existence of sage kings and ritual principles could certainly add nothing to the situation. But because man’s nature is in fact evil, this is not so. Therefore, in ancient times the sages, realizing that man’s nature is evil, that it is prejudiced and not upright, irrespon-

sible and lacking in order, for this reason established the authority of the ruler to control it, elucidated ritual principles to transform it, set up laws and standards to correct it, and

meted out strict punishments to restrain it. As a result, all

Man’s Nature Is Evil 163 the world achieved order and conformed to goodness. Such is the orderly government of the sage kings and the transforming

power of ritual principles. Now let someone try doing away | with the authority of the ruler, ignoring the transforming power of ritual principles, rejecting the order that comes from laws and standards, and dispensing with the restrictive power

of punishments, and then watch and see how the people of the world treat each other. He will find that the powerful impose upon the weak and rob them, the many terrorize the few and extort from them, and in no time the whole world will be given up to chaos and mutual destruction. It is obvious _ from this, then, that man’s nature is evil, and that his goodness

is the result of conscious activity. | Those who are good at discussing antiquity must demonstrate the validity of what they say in terms of modern times; those who are good at discussing Heaven must show proofs from the human world. In discussions of all kinds, men value what is in accord with the facts and what can be proved to be

valid. Hence if a man sits on his mat propounding some theory, he should be able to stand right up and put it into practice, and show that it can be extended over a wide area with equal validity. Now Mencius states that man’s nature is good, but this is neither in accord with the facts, nor can it be proved to be valid. One may sit down and propound such a theory, but he cannot stand up and put it into practice, nor can he extend it over a wide area with any success at all. How, then, could it be anything but erroneous?

If the nature of man were good, we could dispense with

sage kings and forget about ritual principles. But if it is evil, | then we must go along with the sage kings and honor ritual principles. The straightening board is made because of the warped wood; the plumb line is employed because things are

164 Hsiin Tzu crooked; rulers are set up and ritual principles elucidated because the nature of man is evil. From this it is obvious, then, that man’s nature is evil, and that his goodness is the result of conscious activity. A straight piece of wood does not have to wait for the straightening board to become straight; it is straight by nature. But a warped piece of wood must wait until it has been laid against the straightening board, steamed, and forced into shape before it can become straight, because by nature it is warped. Similarly, since man’s nature is evil, he must wait for the ordering power of the sage kings and the

, transforming power of ritual principles; only then can he achieve order and conform to goodness. From this it is obvious,

then, that man’s nature is evil, and that his goodness is the result of conscious activity. Someone may ask whether ritual principles and concerted conscious activity are not themselves a part of man’s nature, so that for that reason the sage is capable of producing them. But I would answer that this is not so. A potter may mold clay

and produce an earthen pot, but surely molding pots out of clay is not a part of the potters human nature. A carpenter may carve wood and produce a utensil, but surely carving

utensils out of wood is not a part of the carpenter’s human nature. The sage stands in the same relation to ritual principles as the potter to the things he molds and produces. How, then, could ritual principles and concerted conscious activity be a part of man’s basic human nature? As far as human nature goes, the sages Yao and Shun pos-

sessed the same nature as the tyrant Chieh or Robber Chih, | and the gentleman possesses the same nature as the petty man. Would you still maintain, then, that ritual principles and concerted conscious activity are a part of man’s nature? If you do so, then what reason is there to pay any particular

— Man’s Nature Is Evil 165 honor to Yao, Shun,® or the gentleman? The reason people honor Yao, Shun, and the gentleman is that they are able to transform their nature, apply themselves to conscious activity, and produce ritual principles. The sage, then, must stand in the same relation to ritual principles as the potter to the things he molds and produces. Looking at it this way, how could

ritual principles and concerted conscious activity be a part of | man’s nature? The reason people despise Chieh, Robber Chih,

or the petty man is that they give free rein to their nature, follow their emotions, and are content to indulge their passions, so that their conduct is marked by greed and contentiousness. Therefore, it is clear that man’s nature is evil, and that his goodness is the result of conscious activity. Heaven did not bestow any particular favor upon Tseng Tzu, Min Tzu-ch’ien, or Hsiao-i that it withheld from other men.® And yet these three men among all others proved most capable of carrying out their duties as sons and winning fame for their filial piety. Why? Because of their thorough atten-

tion to ritual principles. Heaven has not bestowed any particular favor upon the inhabitants of Ch’i and Lu which it has withheld from the people of Ch’in. And yet when it comes to observing the duties of father and son and the separation of

roles between husband and wife, the inhabitants of Ch’in | cannot match the filial reverence and respect for proper form which marks the people of Ch’i and Lu.? Why? Because the ° Reading Shun instead of Yii here and in the following sentence to conform to the sentence above. |

*Min Tzu-ch’ien and Tseng Tzu were disciples of Confucius famed for their filial conduct. Hsiao-i is identified by commentators as the heir apparent of Kao-tsung—i.e., King Wu-ting—of the Yin dynasty. , "Reading kung instead of chii, wen instead of fu, and adding the words -

Ch'in-jen at the beginning of the sentence. Ch’i and Lu were of course the main centers of Confucian learning.

166 Hstin Tzu people of Ch’in give free rein to their emotional nature, are content to indulge their passions, and are careless of ritual _ principles. It is certainly not due to any difference in human nature between the two groups. The man in the street can become a Yii.? What does this mean? What made the sage emperor Yii a Yii, I would reply, was the fact that he practiced benevolence and righteousness and abided by the proper rules and standards. If this is so, then benevolence, righteousness, and proper standards must be based upon principles which can be known and practiced. Any man in the street has the essential faculties needed to understand benevolence, righteousness, and proper standards, and the potential ability to put them into practice. ‘Therefore it is clear that he can become a Yii. Would you maintain that benevolence, righteousness, and proper standards are not based upon any principles that can be known and practiced? If so, then even a Yii could not have understood or practiced them. Or would you maintain that

_ the man in the street does not have the essential faculties needed to understand them or the potential ability to put them into practice? If so, then you are saying that the man in the street in his family life cannot understand the duties required of a father or a son and in public life cannot comprehend the

correct relationship between ruler and subject. But in fact this is not true. Any man in the street can understand the duties required of a father or a son and can comprehend the correct relationship between ruler and subject. ‘Therefore, it is obvious that the essential faculties needed to understand such ®' This was apparently an old saying. Cf. Mencius VIB, 2: “Chiao of

Mencius replied, ‘It is.’ ” |

Ts’ao asked, ‘It is said that all men may become Yaos or Shuns. Is this so?’

| Man’s Nature Is Evil 167 ethical principles and the potential ability to put them into practice must be a part of his make-up. Now if he takes these _ faculties and abilities and applies them to the principles of benevolence and righteousness, which we have already shown

to be knowable and practicable,® then it is obvious that he can become a Yii. If the man in the street applies himself to training and study, concentrates his mind and will, and considers and examines things carefully, continuing his efforts over a long period of time and accumulating good acts without

stop, then he can achieve a godlike understanding and form a triad with Heaven and earth. The sage is a man who has arrived where he has through the accumulation of good acts. _ You have said, someone may object, that the sage has arrived where he has through the accumulation of good acts. _ Why is it, then, that everyone is not able to accumulate good acts in the same way? I would reply: everyone is capable of doing so, but not everyone can be made to do so. The petty man is capable of becoming a gentleman, yet he is not willing to do so; the gentleman is capable of becoming a petty man but he is not willing to do so. The petty man and the gentleman are perfectly capable of changing places; the fact that they do not actually do so is what I mean when I say that they are capable of doing so but they cannot be made to do so. Hence, it is correct to say that the man in the street is capable of becoming a Yii but it is not necessarily correct to say that he will in fact find it possible to do so. But although he does. not find it possible to do so does not prove that he is incapable of doing so.

A person with two feet is theoretically capable of walking to * Following the rearrangement of the text suggested by T’ao Hung-ch’ing and Kanaya.

168 Hsiin Tzu every corner of the earth, although in fact no one has ever found it possible to do so. Similarly, the artisan, the carpenter,

the farmer, and the merchant are theoretically capable of exchanging professions, although in actual practice they find it impossible to do so. From this we can see that, although someone may be theoretically capable of becoming something, he may not in practice find it possible to do so. But although he does not find it possible to do so, this does not prove that he is not capable of doing so. To find it practically possible or impossible to do something and to be capable or incapable of doing something are two entirely different things. It is perfectly clear, then, that a man is theoretically capable of becom-

ing something else.*° :

Yao asked Shun, “What are man’s emotions like?” Shun replied, “Man’s emotions are very unlovely things indeed! What need is there to ask any further? Once a man acquires a wife and children, he no longer treats his parents as a filial son should. Once he succeeds in satisfying his cravings and desires, he neglects his duty to his friends. Once he has won a high position and a good stipend, he ceases to serve his sovereign with a loyal heart. Man’s emotions, man’s emotions —they are very unlovely things indeed! What need is there

this.” 7 ,

to ask any further? Only the worthy man is different from There is the understanding of the sage, the understanding

of the gentleman and man of breeding, the understanding of the petty man, and the understanding of the menial. He speaks many words but they are graceful and well ordered; 1 Adding wei-ch’ang before the negative in accordance with the suggestion of Kubo Ai. But the sentence is far from clear.

4 A similar passage is found in Kuan Tzu, sec. 12, though without the anecdotal setting of a conversation between Yao and Shun.

Man’s Nature Is Evil 169 all day he discourses on his reasons, employing a thousand different and varied modes of expression, and yet all that he says is united around a single principle: such is the understanding of the sage. He speaks little but what he says is briet and to the point, logical and clearly presented, as though laid out with a plumb line: such is the understanding of the gentleman and man of breeding. His words are all flattery, his actions irresponsible; whatever he does is shot through with error: such is the understanding of the petty man. His words

are rapid and shrill but never to the point; his talents are varied and many but of no practical use; he is full of subtle distinctions and elegant turns of phrase that serve no practical — purpose; he ignores right or wrong, disdains to discuss crooked or straight, but seeks only to overpower the arguments of his opponent: such is the understanding of the menial.”

There is superior valor, there is the middle type of valor, and there is inferior valor. When proper standards prevail in the world, to dare to bring your own conduct into accord with them; when the Way of the former kings prevails, to dare to follow its dictates; to refuse to bow before the ruler of a dis- __

ordered age, to refuse to follow the customs of the people of a disordered age; to accept poverty and hardship if they are in

the cause of benevolent action; to reject wealth and eminence | if they are not consonant with benevolent action; if the world recognizes you, to share’® in the world’s joys; if the world does

not recognize you, to stand alone and without fear: this is superior valor. T’o be reverent in bearing and modest in intention; to value honor and make light of material goods; to dare to promote and honor the worthy, and reject and cast off the * This last is of course aimed at the logicians. *® Reading kung instead of k’u.

170 Hsiin Tzu unworthy: such is the middle type of valor. To ignore your own safety in the quest for wealth; to make light of danger and try to talk your way out of every difficulty; to rely on lucky

escapes; to ignore right and wrong, just and unjust, and seek

| only to overpower the arguments of your opponents: such is inferior valor. Fan-jo and Chii-shu were famous bows of ancient times, but if they had not first been subjected to presses and straighteners,

they would never have become true of themselves. ‘l's'ung

of Duke Huan of Chi, Ch’iieh of T’ai-kung of Ch’i, Lu of King Wen of the Chou, Hu of Lord Chuang of Ch’u, and Kan-chiang, Mu-yeh, Chii-ch’iieh, and Pi-lii of King Ho-lii of Wu were all famous swords of antiquity, but if they had not been subjected to the grindstone, they would never have become sharp, and if men of strength had not wielded them, they would never have been able to cut anything. Hua-

liu, Ch’i-chi, Hsien-li, and Lu-erh were famous horses of. antiquity, but if they had not been subjected to the restraint of bit and bridle and the threat of the whip, and driven by a master driver like Tsao-fu, they would never have succeeded in traveling a thousand li in one day. In the same way a man, no matter how fine his nature or

how keen his mind, must seek a worthy teacher to study _ under and good companions to associate with. If he studies under a worthy teacher, he will be able to hear about the ways of Yao, Shun, Yi, and T’ang, and if he associates with good companions, he will be able to observe conduct that is loyal and respectful. ‘Then, although he is not aware of it, he will day by day progress in the practice of benevolence and

righteousness, for the environment he is subjected to will cause him to progress. But if a man associates with men who are not good, then he will hear only deceit and lies and will

, Man’s Nature Is Evil 171 see only conduct that is marked by wantonness, evil, and oreed. Then, although he is not aware of it, he himself will soon be in danger of severe punishment, for the environment he is subjected to will cause him to be in danger. An old text says, “If you do not know a man, look at his friends; if you do not know a ruler, look at his attendants.” Environment is the important thing! Environment is the important thing!

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INDEX | Accomplishment, heavenly, 80-81 Ch'in, First Emperor of, 2, 70on

Analects, quoted, 28n, 146n Ch’ing-hsiang, King, of Ch’u, 72”

Animals, domestic, 46 Ch’iu-sha, 72 :

Annexation, three ways of, 76-77 Chou (king), 63, 68n, 69, 71, 72;

Aristocracy, divisions of, 92” 122-23

Armor, 61 Chou (state), 3 Army, regulations of, 67—69 Chou, duke of, 53, 125 , Articles, of the dead, 104 Chii-ch’tieh Csword), 170

Artisans, director of, 49 Chii-shu Cbow), 170

, Ch’u (state), 2, 3, 71-72

Birth, ritual and, 96-97 Chuan (term), 27” | Book of Documents, 19-21; quoted, Chiian Shu-liang, 34-35 32, 36, 88 | Chuang, Duke, of Lu, 41

Book of Odes, 19-21; quoted, 15, Chuang, King, of Ch’u, 64-65, 170

18, 22, 24, 25, 30, 44, 59, 68, Chuang Ch’iao, 64, 72

70, 75, 82, 83, 96, 103, 108, Chuang Tzu, 9, 125 123, 129-30, 138, 148, 149, 150 Chuang Tzu, quoted, 145n

Book of Rites CLi chi), 8 Ch’iieh (sword), 170 Ch’ui, 132

122

Chao (state), 1, 3, 77 Ch’un-shen, lord of, 2

_ Chao, King, of Ch’in, 62n Chung T’ai, 14

Ch’en Hsiao, 69 Ch’ung Cruler), 69 | Cheng (state), 38; music of, 116 “Classic of the Way,” quoted, 131

Ch’eng, Marquis, 37 Communities, director of, 48-49

Ch’eng 'T’ang, see T’ang (sage king) Community drinking ceremony

Chi Tzu, 72 Chsiang), 118-20

Chi (state), 1-2, 3, 61, 72n, 77, Confucianism, 9-11, 91

165 , Confucius, 16n, 22m, 126; quoted,

Ch’i CK’ai), prince of Wei, 68~6o, 37, 146n

Ch’i-chi Chorse), 170 Death, ritual and, 96-111

Chia of Ts’ao, 166 Demons, 8

Chia-tzu, 71 Desires, 150-56

Chieh (king), 57, 63, 71, 122-23, _ Dictates, heavenly, 81

164, 165 Dictator Cpa), 6-7, 38n, 4c -41,

Chih (robber), 164, 165 50-51, 53-54, 64n

Ch'in (state), 2, 3, 7, 62, 70-71, Disorder, 79-88 passim .

72n, 77, 165 Distinctions, in society, 89-90

174 Index Dubs, Homer H., 14 Hierarchy, moral, 19” Duyvendak, J. J. L., 14 Ho-li, King, of Wu, 64-65, 70, 170

, Hsi-ch’i, 124 Eclipses, 85 Hsi-chung, 132

Education, 5, 15-23, 24-32, 135- Hsi P’eng, 124

36, 157-71 passim Hsiang (community drinking cereEmotions, heavenly, 80-81 mony), 118-20 Environment, 170—71 Hsiao, Duke, of Ch’in, 62” Evil, basic, in man’s nature, 4~5, Hsiao-ch’eng, King, of Chao, 2, 56—

33n, I57~71 65 passim

Expedients, five, of warfare, 65 Hsiao-hsiang (sacrifice), 107n Extremities, three, of warfare, 66 Hsiao-i, 165 Hsien, Duke, of Chin, 124n

Faculties, heavenly, 80-81 Hsien-li Chorse), 170

Fan-jo Chow), 170 Hsiian, King, of Ch’i, 1, 2 Fei Lien, 122 Hsiin Ch’ing (or Ch’ing-tzu), see Fields, administrator of, 48 Hsin Tzu Filial piety, 159-60 _ Hsiin Tzu: life, 1-3; eclecticism

Force, use of, 39-40; as means of of, 4; Confucianism of, 4-11

annexing territory, 76 passim; influence on Han dy, Form, proper, in music, 114-15 nasty, 11; style, 12-13

Fou-yu, 132 Hu (sword), 170

Funerals, 97-111 Hu Pa, 19

Hua-liu Chorse), 170

General, qualifications of, 65-67 Huai, King, of Ch’u, 72 ,

Gentleman, behavior of, 89-111 Huan, Duke, of Ch’i, 41, 62, 64—

passim, 142-56 passim 65, 170

Ghosts, 8, 135 Huan Tou, 69

Godliness, education as, 16 Hui Shih CHui Tzu), 9, 125, 139, Goodness, produced by evil, 161-62 145n Goods, use of, 43-44

Government, 72-75; as function of Impersonator of the dead, 92-93 the Sage, 5-6, 33-55 passim; and Improvement, human, through edu-

the rectification of names, 140- cation, 5, 15-23, 24-32, 157-71

51 passim Incapacitated groups, five, 34

Grand protector, 50” Interior, minister of, 48 Grand tutor, 507”

Han (state), 72n, 77 Ju, alle Han Fei Tzu, 2 Juan T’ing-cho, 14 -

Han-shih wai-chuan, 133n J udgments, of the king, 42 Handicapped, the physically, 34 Justice, minister of, 49 Hattori Unokichi, 14

Heart, 81 K’ai, prince of Wei, 68-69, 122 Heaven, 79-88 Kan-chiang (sword), 170

Index 175 | Kanaya Osamu, 14, 50nn, 94n, Man: characteristics of, 45-46; and

Ioan, 128n, 133, 135”, 139N, heaven, 79-88

145n Markets, director of, 49

K’ang, King, of Sung, 124” Mencius, 1-2, 5, 6-7, $3n, 133, Kao-tsung CKing Wu-ting), 165” 158, 162, 163; quoted, 38n,

Karlgren, Bernhard, 15”, 18n, 159n, 166n ,

130n, 138” Meng dove, 16 |

King, true, 33-55 passim; and war- Merit, as basis of social hierarchy, 6

fare, 56—78 passim Miao Chi, 64 Knowledge, deliberate limitation of, Miao tribes, 69 , 8-9, 81-82, 125-37 passim, Military affairs, see Warfare

168-69 Millet, Lord, 132 .

Kou-chien, King, of Yiieh, 64-65 Min, King, of Ch’i, 41

Kuan Chung, 38, 124 Min Tzu-ch’ien, 165 , Kuan Lung-feng, 122 Mind, 121-38 passim Kuan Tzu, 38n, 168n Ming-t’iao, 71

K’uang, see Hsiin Tzu Mo Hsi, 122 ,

Kubo Ai, 14, 50n, 61n, 168n Mo-ism, 9, 91

K’uei, 132 , Mo Tzu, 9, 28n, 87, 112-17 pas-

Kung Kung, 69 sim, 125, 145nn

_ Kung-sun Lung, 9, 139”, 143” Moderation, in ritual, 96, 100-1

- Mount Li, 123 , Mount Ch’i, 44n

Mount T’ai, 63

Lan-ling, 2 Mourning, 93, 97-111

Lao Tzu, 87 Mu-yeh (sword), 58, 170

Laws, of the king, 43 Music, 112-20; director of, 48, son

Learning, see Education

Legalists, 9 Names, rectification of, 139-56 ! Li, Lady, 124 Neglect, in warfare, 66-67 Li chi, see Book of Rites Nine Provinces, 123

Li Ssu, 2, 70 Ning Ch’i, 124

Liang Ch’i-hsiung, 14 Nourishment, heavenly, 81

Lin-wu, lord of, 56-69 passim

Liu Hsiang, 12 Obsession, dispelling, 121-38 Liu Shih-p’ei, 14, 17n, 28nn, 4on Officials, list of, 47-50 Lo (joy), 1120 | Ogyiai Sorai, 14, 1497

Logicians, 9, 95”, 139n, 169n Omens, 83-84 Lord, heavenly Cheart), 81 Order, 79-88 passim Lu (state), 165

Lu (sword), 170 Pa (dictator; overlord), 6~—7, 38n, Lu-erh Chorse), 170 40-41, 50-51, 53-54, 64n Lii Wang CT’ai-kung Lii Wang), Pan Ku, 11 :

123, 124-25, 170 Pao Shu, 124 3

Lung Yii-ch’un, 14 Peng Tsu, 25

176 Index People, importance of to the ruler, Soldiers, qualifications of, 61-64

7, 33-55 passim, 56-59 Spirit representative, 92-93

Pi Cobsession), 121” Spring and Autumn Annals, 19-20

Pi Kan, 72 Ssu, Lord, 37

Pi-kung, son Ssu Kuan, 122 , Pi-lii Csword), 170 Ssu-ma Ch’ien, 1, 11; quoted, 617;

Po Ch’, 72n “Treatise on Rites,” 71”

Po Ya, 19 Sun Wu, 57

Portents, 83—84 Sung (state), 77

Prime minister, 49-50 Sung Chien (Sung Tzu), 9, 97-

Punishments, five, 49 98, 125, 145nn

Supernatural, 7-8, 83-86 , |

Regulations, royal, 33-55 Superstition, 134-35 Resources, director of, 48 Symbolism: in ritual, 92-94, 96-

Rites, see Ritual III passim; in music, 117-18 Ritual, importance of, 19-21, 25-32 passim, 33-54 passim, 71-73, 86- Ta Chi, 122 , 88, 89-111, 157-71 passim Ta-hsiang (sacrifice), 107n

Ruler, ideal, 5—7, 33-55 Tai, Master (Tai Pu-sheng), 124 Tai-kung Lii Wang, 123, 124-25,

Sacrifices, 91-93, 107”, 109-11; 170

human, 105 T’ai Wang, 44

Sage: behavior of, 89-111 passim; Tan (sacrifice), 91, 107” understanding of, 126-38 passim T'ang Cor Ch’eng T’ang; sage king),

San-kung, 50n 6, 53n, 56, 62, 63, 69, 71, 123,

Sasakawa Rinpt, 14 1'70

Satisfaction, means of, 89 T’ang Mei, 72

| School of Names, see Logicians T’ang Yang, 124 Service, highest type of, in warfare, T’ao Hung-ch’ing, 14, 167”

66 Temple, mortuary, 332 |

Shaman, 49 Three Dynasties, 42

Shamaness; 49 T’ien, 81n

Shang, Lord, see Wei Yang (Lord ‘Tien family, 1

Shang ) Tien Tan, 64, 77

Shantung, 2 48

, Shang-tang (region), 77 Titles: hereditary, 6; master of, 47—Shao Kung (Shao Kung Shih), Trees, sacred, 83”

124-25 Triad, Heaven, earth, and man as,

Shen, Hsiin Tzu’s definition of, 8 80

Shen Pu-hai, 125 Ts’ang Chieh, 132 Shen-sheng, 124 Tsao-fu, 56, 132, 170

Shen Tao (Shen Tzu), 9, 28n, 87, Tseng Tzu, 165; quoted, 132 |

125 Ts’ung (sword), 170 :

Shun (sage king), 6, 9, 69, 131, Tung Chung-shu, 111

132, 164, 165, 168, 170 Tzu-ch’an, 37-38

Index 177 Valor, three types of, 169-70 Wen, Duke, of Chin, 62, 64-65 | Virtue, as means of annexing ter- Works, minister of, 48

ritory, 76 Wu (sage king), 6, 62, 63, 68n, 69, 71, 72

Wang (king), 38n Wu, King, of Ch'in, 62n Wang Ch’ung, 11 Wu Ch’, 57 ) Wang Hsien-ch’ien, 13 Wu-ting, King (Kao-tsung), 165” Wang Nien-sun, 84n

War, minister of, 48 Yang Hsiung, 11 Warfare, 39-40, 56-78; punitive, Yang Liang, 12

68-73 passim Yao (sage king), 6, 9, 25, 56, 69, Warring States, era of, 3-4 73, 164, 165, 170 Way, the, 121-38 passim Yeh-kan tree, 16 | Wealth, as means of annexing ter- Yen (city), 72

titory, 76-77 Yen (state), 10n, 77

Weddings, 93 Yi Caster archer), 56, 132

Wei (ancient state), 37”; music of, Yi Yin, 123

116 | Yin (country), 68

Wei (state; est. 403 B.c.), 61-62, Yu Tzu, 133

72n, 77 Yii (sage king), 6, 25, 69, 166-67,

Wei Yang (Lord Shang), 64 168, 170 Wen (sage king), 6, 44, 69, 123, Yt Hsing-wu, 14

170 | Yiieh Cmusic), 112”

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HAN FEI TZU

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CONTENTS Oo INTRODUCTION I

THE WAY OF THE RULER 16 ON HAVING STANDARDS 21

THE TWO HANDLES | 30 WIELDING POWER _ 35

THE EIGHT VILLAINIES | 43

THE TEN FAULTS 49

MR. HO | So

THE DIFFICULTIES OF PERSUASION 72 PRECAUTIONS WITHIN THE PALACE 84

FACING SOUTH | go

THE FIVE VERMIN 96 |

INDEX | 131

EMINENCE IN LEARNING | 119

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G@ |

re INTRODUCTION

As in the case of most early Chinese philosophers, little is known of the life of Han Fei Tzu, or Master Han Fei. We are fortunate, however, in the few facts we have, for they supply us with a motive and setting for his writings, and an account of his death which, whatever its reliability as history, _ adds a fine touch of dramatic irony. _ So far as we know, Han Fei was the only nobleman among _

the important early Chinese philosophers. Confucius, Mo

Tzu, Mencius, Chuang Tzu, Hsiin Tzu seem to have been men of the lower gentry, descendants perhaps of aristocratic families that had sunk into poverty and no longer occupied a position of any real power in the feudal hierarchy of the day. Hence, as we see from their lives, though they manifested the customary loyalty and respect toward the ruler of

their native state, they did not hesitate to travel about visit- | ing other rulers, settle in other states, or withdraw from the world entirely. ‘The very humbleness of their birth allowed them a freedom of thought and movement that was denied to the noblemen above them in the social scale, as it was to

the peasants beneath them. »

Han Fei, by contrast, was a prince of the royal family of the state of Han. This accident of birth saddled him with responsibilities that his fellow philosophers did not share and _ bound his fate inexorably to that of his native state; in the

end, it brought about his death. | The small state of Han was situated in central China in the region south and east of the Chou capital at Loyang. Its ruling family had formerly been high ministers in the state

2 Han Fei Tzu | of Chin, and had gradually usurped power until, with two other ministerial families, they divided up the territory of

Chin and created the three new states of Han, Wei, and Chao, a move which finally received ofhcial recognition from

the Chou ruler in 403 B.c. The rulers of Han, originally titled marquises, in time assumed the title of king. But their

domain was small and situated in a mountainous and unproductive region, and they were constantly threatened by predatory neighbors, particularly the powerful state of Ch’in directly to the west. The date of Han Fei’s birth is unknown, though scholars

place it tentatively around 280 3B.c. His biography in the Shih chi, or Records of the Historian (ch. 63), written some hundred years after his death by the historian Ssu-ma Ch’ien, states that he studied under the eminent Confucian philosopher Hsiin Tzu. This was probably during the period when Hsiin Tzu was serving as magistrate of Lan-ling, a region in

southern Shantung, that is, around 250 B.c. One of Han Fei’s fellow students was Li Ssu Cd. 208 s.c.), the man who was destined to become prime minister and chief aid to the First Emperor of the Ch’in dynasty and to play a sinister role in Han Fei’s life.

Fate not only inflicted on Han Fei the burden of noble birth in a state whose fortunes were dim and precarious, but added an extra fillip. He stuttered badly—in an age when eloquence was a potent political weapon and the glibbest statesmen were usually the most successful. His biography records that, distressed by the dangerous condition of his native state, he repeatedly submitted letters of remonstrance to its ruler, presumably King Huan-hui (1. 272-239 B.c.),

or his successor King An (1. 238-230 B.c.). But the king was unwilling to heed his advice and Han Fei, prevented by

| Introduction 3 his disability from expounding his ideas aloud, took the only course left open: he wrote a book. His biography mentions

by name several of the essays included in it, among them “The Five Vermin” and “The Difficulties of Persuasion,”

both translated here. | In time Han Fei’s writings came into the hands of the king of Ch’in, the youthful ruler who had ascended the throne of Ch'in in 246 B.c. and was soon to conquer and rule

all China under the title of First Emperor of the Ch'in dynasty. He expressed great admiration for them to his min- | ister Li Ssu, who revealed the identity of their author. The | king’s admiration, however, did not deter him from launch-

ing a fierce attack on Han Fei’s native state in 234 B.c. The | ruler of Han, King An, who had earlier refused to heed Han Fei’s advice, at the eleventh hour decided to dispatch the philosopher as his envoy to Ch’in in hopes of saving his state from destruction. Han Fei journeyed to the Ch’in court and was received with delight by the king. But before he could gain the king’s full confidence, his former fellow student, Li Ssu, intervened, warning the king that, since Han Fei was a member of the royal family of Han, his loyalties would always

be on the side of Han and against Ch’in. Whether Li Ssu acted out of sincere concern for the state or mere personal jealousy, we shall never know; in any event, he succeeded in persuading the Ch'in ruler to hand the philosopher over to the law officials for investigation. Before the king of Ch’in might have time to regret this decision (as he later did), Li

Ssu sent poison to the prison where Han Fei was confined, near the summer palace at Sweet Springs. Han Fei, unable to communicate with the ruler and defend himself against the charge of duplicity, drank the poison. The year was 233 _ g.c., and he was probably in his forties or early fifties.

4 Han Fei Tzu | Han Fei Tzu is a representative of the school of philosophy known as Fa-chia, the Legalist or Realist school. He is not the inventor of Legalism, but its perfecter, having left us the final and most readable exposition of its theories. Some of the ideas and policies of Legalism are said to date as early as the seventh century, when the statesman Kuan Chung (d. 645 B.c.) brought wealth and power to the state of Ch’i by applying them, though reliable evidence is scanty. ‘The Kuan

Tzu, a work supposed to embody the teachings of Kuan Chung, contains sections expounding Legalist ideas, but these almost certainly date from late Chou times. Another typically _ Legalist work, the Shang-chiin shu, or Book of Lord Shang, is attributed to the statesman Wei Yang or Kung-sun Yang

(d. 338 B.c.), who served as a high minister in the state of Ch'in. With its strong emphasis upon strict control of the people by harsh laws, and the encouragement of agriculture _ and agressive warfare, it very well may reflect the actual poli-

cies of Wei Yang, though it was probably not written until | some years after his death. ‘Two other Legalist or semi-Legalist books, both of them now lost, undoubtedly influenced Han

Fei Tzu. One was the work of Shen Tao, a Taoist-Legalist thinker about whom little is known; the other was the work of Shen Pu-hai, a Legalist philosopher who served at the court

of Han Fei’s native state and died there in 337 B.c. From these various works, particularly the Book of Lord Shang and

the writings of Shen Pu-hai, Han Fei Tzu culled his ideas, combining what seemed to him the best features of each and welding them into a clear and comprehensive whole. Comprehensive, that is, within the rather circumscribed interests of Legalist philosophy. All Chinese philosophical _ systems are concerned to some extent with questions of political science, but none so exclusively as Legalism. All the extant _

Introduction 5 writings of the Legalist school deal with a single problem: how to preserve and strengthen the state. Like Machiavelli’s famous treatise, to which it has often been compared, Han

Fei Tzu’s work is a handbook for the prince, with a few chapters thoughtfully added for the guidance of his ministers. The rulers of China in late Chou times had need for such a handbook. In the earlier days of Chou feudalism the rights 'and duties of the ruler and his vassals had presumably been

j fairly clearly defined. During Western Chou times (1027771 B.C.), the Chou king not only commanded universal allegiance and respect among his vassals, but apparently exercised considerable control over their affairs, intervening in matters of succession or even executing an offending vassal. But after the Chou ruler was forced by barbarian invasion in

771 B.C. to flee from his capital and establish his court at Loyang in the east, his power steadily waned, and the rulers of the feudal states were left increasingly free to ignore the customary duties to the sovereign and to each other if they

pleased. ,

In time, a succession of powerful feudal leaders, known as the Five Pa—dictators or hegemons—rose to prominence to fill the political vacuum, imposing their will upon the Chou king and the other feudal lords and restoring a semblance of over-all authority to China. The first of these, Duke Huan of Ch’i (1. 685-643 B.c.), according to later accounts,

carried out a series of administrative reforms suggested by | his minister Kuan Chung which enriched his state, increased the efficiency of its armies, and gave the ruler more direct control of the population. It is hard to say just how far the details of these accounts are to be trusted. But certainly in

a number of states in middle and late Chou times reforms were instituted, the purpose of which was to strengthen the

6 Han Fei Tzu central government, to gain more effective control of land and population, and to replace the old aristocracy with a bureaucracy appointed by the ruler. Though probably of limited scope and effectiveness at first, such reforms became more drastic as the old feudal order decayed, and states that failed to adopt them fell dangerously behind the times. The state of Chin, which was overthrown and dismembered by its ministerial families in 403 B.c., seems to have foundered

mainly for this reason. _ These administrative reforms, along with technological advances in agriculture and warfare, allowed the large states to annex their feebler neighbors or to push back the frontiers of China and open up new lands for cultivation. The new terri-

tories acquired in these ways were not, in most cases, parceled out as fiefs, but were incorporated into the state as prefectures and districts under the control of the central government, a practice that foreshadowed the final abolition of feudalism under the Ch’in dynasty. Changes were taking place in the system of land tenure; in the more advanced states, land could be bought and sold, and peasants could hire themselves out as day laborers. The old ceremonies and obligations -

that had held together the fabric of feudal society fell into °

neglect, and the rulers were left without a set of rules to guide them in the administration of their states or the conduct of their foreign affairs. Some of them drew up law codes

for the governance of internal affairs, but no one was in a position to draw up or enforce a code of international Jaw, and relations between states were marked by intrigue, deceit, and ruthless pursuit of self-interest. _ This was the situation when Legalism made its appearance as a recognizable school of thought. It addressed itself exclusively to the rulers, taking no interest in private individ-

Introduction 7 _ uals or their lives except to the extent that they affected the interests of the ruling class. Unlike Confucianism and Moism, it made no attempt to preserve or restore the customs and moral values of the past; indeed, it professed to have no use for morality whatsoever. Religious beliefs and ceremonies likewise, at least as far as the ruling class was concerned, it

regarded as fatuous and distracting, and looked upon the fondness for such ceremonies as the mark of a doomed state.

Its only goal was to teach the ruler, in what it regarded as _ hardheaded and practical terms, how to survive and prosper in the world of the present. Its techniques were those which we have already noted as actually being carried out in some states: the strengthening of the central government, the establishment of more effective

control over land and population through laws and strict penalties, and the replacement of the old aristocracy by a corps of bureaucrats. In particular it emphasized the encouragement of agriculture to provide a steady food supply and of warfare to expand the borders of the state and insure a tough, alert, and well-disciplined population. It called for the suppression of all ideas and ways of life that impeded the. realization of these aims. Vagabonds and draft-dodgers, merchants and artisans who deal in nonessential goods, scholars

who spread doctrines at variance with Legalist teaching, cavaliers who take the law into their own hands—all were to be unmercifully quashed, and the people to be kept in a state of ignorance and awe. The ideas outlined above are all to be found in the writings | of Han Fei Tzu. He adopted them from the Book of Lord Shang, along with that work’s concept of fa—the elaborate system of laws that are to be drawn up by the ruler, distributed to his officials, and taught and explained by them to the illiter-

§ Han Fei Tzu a ate populace. By such a system of laws, and the inescapable punishments that back it up, all life within the nation was to be ordered, so that nothing would be left to chance, private judgment, or the appeal to privilege. But the concept of law represents only one aspect of Han Fei Tzu’s system, the aspect that is concerned with the ruler’s - control and administration of the population as a whole. To this he added a second concept borrowed from the writings of Shen Pu-hai, the concept of shu—policies, methods, or arts of governing. The officials and the people at large may be

guided and kept in line by laws. But the ruler, who is the author of law and outside and above it, must be guided by a different set of principles. These principles constitute his shu, the policies and arts which he applies in wielding au-

thority and controlling the men under him. | | As the more powerful states of late Chou times grew in | size and their governments became more centralized, numerous problems of administration arose that had no precedent for solution in the practices of the earlier feudalism. To break the power of the old aristocracy, the rulers deliberately se-

lected men from the lower ranks of society who would be less encumbered by clan loyalties and more dependent upon the good will of the ruler, and promoted them to administrative posts. But if the ruler was to remain secure in his position, he had to find ways to control his newly created bureaucracy, which constantly expanded as the concerns of govern-

ment became more complex and far-reaching. Unable any longer to attend to all affairs in person, he had to make certain that the men to whom he delegated power were doing their work efficiently and without deceit. He needed, in other words, a set of rules for management and personnel control,

shu. | |

Introduction 9

and this was what Han Fei Tzu supplied under the name of From the logicians Han Fei ‘T'zu borrowed the term hsing-

ming—literally, “forms and names.” The members of the School of Names, and the other thinkers of the period who took an interest in problems of semantics, used the term to emphasize the need for an exact correspondence between the name of a thing and its actual form or reality. Han Fei Tzu, when he took over the term, ignored its more abstract philo-

_ sophical connotations and gave it a specifically political inter- | _ pretation. By “names” he meant the name of the ofhice a

man held, the list of duties he was expected to perform, or | the proposals he made; by “forms” he meant the actual performance of the man in office; and he insisted that only when these two coincided exactly could the man be regarded as doing his job properly. He therefore urged the ruler to keep

constant check upon the correspondence between names and | forms. If they tallied, the man was to be rewarded and pro-

moted; if they failed to tally—whether the man had done less than his office called for or more—he was to be summarily punished. From Taoism Han Fei Tzu borrowed a second set of ideas which goes to make up the concept of shu. ‘Taoist philosophy, with its doctrine of quietism and its transcendence of worldly concerns and values, may seem an odd place to go in search if ideas on how to run a government. But Taoist and Legalist thought seem to have been curiously interrelated from early

times, though the paucity of sources makes it impossible to

say exactly why or how. Nevertheless, one reason for the close connection can be clearly discerned. The Confucians and Mo-ists consistently

IO Han Fei Tzu | described the ideal ruler in moral and religious terms: father and mother of the people, the man of perfect virtue, the Son of Heaven. Legalism, because it rejected all appeals to religion and morality, had to find some other set of terms in which

to describe and glorify the ruler. Taoism, which likewise rejected the concepts of conventional religion and morality, provided such a set. The language used by ‘Taoism to describe the Taoist sage was therefore taken over by the Legalists and employed to describe the omnipotent ruler of the ideal Legal-

ist state. | |

The Taoist sage has absolute understanding; the Legalist ruler wields absolute power. In the quality of absoluteness, they are alike. The Taoist sage rises above all conventional distinctions of right and wrong, good and evil; so does the Legalist ruler, for he is a law unto himself. The Taoist sage adopts a course of quietude and deliberately refrains from all forced or unnatural activity. The Legalist ruler, head of a vast bureaucracy, does the same, issuing orders, quietly judging the efficiency of his ministers, but refraining from any personal intervention in the actual affairs of administration; he sets up the machinery of government and then allows it to run by itself. The Taoist sage withdraws from the world to a mysterious and transcendental realm. The Legalist ruler likewise withdraws, deliberately shunning contacts with his

subordinates that might breed familiarity, dwelling deep within his palace, concealing his true motives and desires, and surrounding himself with an aura of mystery and inscrutability. Like the head of a great modern corporation he sits, far removed from his countless employees, at his desk in the innermost office and quietly initials things. Legalist thought in general, and that of Han Fei Tzu in particular, is marked by a drastically low opinion of human

| Introduction II nature. Some scholars detect in the latter case the influence of

Han Fei Tzu’s teacher, Hstin Tzu, who taught that the nature of man is basically evil, though in the China of-the third century B.c. one would hardly have had to sit at the feet of a philosopher to arrive at this morose conclusion. The Confucians and Mo-ists claimed that there had been better days under the sage kings of antiquity, and cited history to support their argument. Han Fei Tzu, who customarily cited history only to enlarge his catalogue of human follies and idiocies, countered that, if there had actually been peace and order in ancient times, it was not because of any moral guidance of the sages, but only because there were more goods and wealth to go around then, and fewer men to scramble for them. According to him, all attempts to educate and uplift the common people are futile, and charity is a positive sin because it robs the industrious to pamper prodigals and idlers. The ruler, to succeed, must eschew all impulses toward mercy and affection and be guided solely by enlightened self-interest.

Even his own friends and relations, his own wife and children, Han Fei Tzu warned, are not to be trusted, since all for one reason or another stand to profit by his death. He must be constantly alert, constantly on his guard against deception from all quarters, trusting no one and never revealing his inner thoughts and desires. “The leper pities the king,” said Han Fei Tzu, quoting an old proverb (sec. 14), and the reader may do the same. Han Fei T’zu wrote his essays on political science for the king of Han. But it was Han’s enemy and eventual destroyer, the king of Ch’in, who appreciated them and put them into practice. For over a century the state of Ch’in had been pursuing typically Legalist policies, encouraging agriculture and warfare, disciplining its people with stern laws, and conduct-

12 Han Fei Tzu ing its foreign affairs with cold-blooded cynicism. In 221 B.c. the king of Ch’in completed his conquest of the other states

and united all of China under his rule. Assuming the title of First Emperor, he set about creating the vast bureaucratic empire that Han Fei Tzu had envisioned. He abolished the last remnants of feudalism, standardized weights, measures, : and the writing system, controlled the people with strict laws, suppressed the teachings of other schools of philosophy, undertook huge public works, and launched foreign wars to push back the borders of his domain—all measures either recommended by, or in keeping with the spirit of, Legalism. Finally, he built magnificent palaces and surrounded himself with the appropriate air of aloofness and mystery. But by the time of his death in 210 3.c. the dynasty was showing unmistakable

sions of strain, and three years later it fell. In part it fell because of forces beyond its control—the centrifugal pull of old local loyalties, the high cost of state undertakings, the natural resistance of men to violent change. But Chinese historians have customarily blamed its downfall upon its harsh and ruthless treatment of the people, and their view is undoubtedly in part correct. Lack of mercy is the charge most often brought against Han Fei Tzu and the other Legalist philosophers, and the First Emperor, following their doctrines, seems to have seriously overestimated the amount of bullying

and oppression his people would bear. As a philosophy of _ government, Legalism was tried and found wanting. No government in China thereafter ever attempted to apply its policies in undiluted form. But the penetrating analyses and — astute advice that fill the Han Fei Tzu have been profitably

drawn upon again and again by later rulers and political theorists, and remain of vital interest today.

The Han Fei Tzu is divided into 55 sections. In the

Introduction 13 “Treatise on Literature” of the History of the Former Han,

and other early bibliographies, it is listed under the title Han Tzu; the word Fei was added to the title much later to

distinguish it from the writings of the T’ang Confucian scholar Han Yii (786-824). Most of the sections are short, concise essays on some aspect of Legalist thought, fitted with titles, and closely resembling the essays of earlier works such

as the Mo Tzu, Hsiin Tzu, or Book of Lord Shang. Nearly all the twelve sections in my selection are of this type. Some _ of the sections consist of anecdotes drawn from the historical writings or legends of late Chou times and designed to demonstrate the validity of Legalist policies by illustrations from the past, or to cast aspersions on the teachings of other schools of thought. I have included one such chapter, section 10, in my selection; there is some doubt as to whether it is actually from the hand of Han Fei Tzu himself, but it illustrates the fondness of the Legalists for elucidating their pronouncements by concrete examples from history. ‘I'wo sections in my selection, sections 5 and 8, employ typical ‘Taoist terminology, and are couched in an extremely terse, balanced style, with fre-

quent use of rhymes, that is not typical of the work as a | whole. Two other sections, not translated here, are actually cast in the form of commentaries upon passages from Lao Tzu’s Tao-te-ching. They give the Taoist classic a purely political interpretation, Legalist with Confucian borrowings, and are probably the work of scholars of the Ch’in or early Han period. Other sections of the Han Fei Tzu are likewise

almost certainly the work of later writers of the Legalist school; and some passages may even be part of an essay written by a scholar named Liu T’ao Cd. a.v. 185) to refute Han Fei Tzu’s teachings, which have somehow found their

way into the text. Though there is disagreement among

14 Han Fei Tzu | scholars as to just which sections are the work of Han Fei Tzu himself, I see no reason, with the exception mentioned above, to doubt the authenticity of the sections I have translated. The fourth and third centuries B.c. saw the appearance of a body of technical literature in Chinese—treatises on divina-

tion, medicine, agriculture, logic, military science, and so forth. The Han Fei Tzu is actually more closely allied to this genre than to the broader philosophical works of the period.

Han Fei Tzu’s teacher, Hsiin Tzu, wrote on such widely varied subjects as politics, warfare, ethics, esthetics, logic, and epistemology. But Han Fei Tzu and the other authors of the book which bears his name confine themselves rigidly to one subject—politics. Within the limits they set themselves,

however, their treatment is exhaustive. There is hardly a - problem of administration that they have not analyzed and discussed, hardly a pitfall they have not warned against. The style of the work is, on the, whole, clear, concise, and polished, though metaphors are occasionally allowed to get out of hand. Its treatment is witty, trenchant, and marked by an air of sophistication and cynicism. Generations of Chinese scholars have professed to be shocked by its contents— the rejection of all moral values, the call to harshness and deceit in politics, the assertion that even one’s own wife and _

children are not to be trusted—and have taken up their brushes to denounce it. But there has never been an age when the book was unread, and the text appears to have come down to us complete. It is one of those books that will compel attention in any age, for it deals with a problem of unchanging importance—the nature and use of power.

My translation is based on the Han Fei Tzu chi-shih by Ch’en Ch’i-yu (2 vols., Shanghai, 1958). In his exhaustive

| Introduction 15 | notes, Ch’en has drawn upon all the important studies and commentaries of earlier Chinese and Japanese scholars Chis bibliography lists 89 titles), adding his own suggestions for emendation and interpretation. I have also consulted the Han

Tzu chien-chieh by Liang Chiihsiung (2 vols., Peking, 1960); the Japanese translation by Uno Tetsuto in the Kokuyaku kanbun taisei series (1921), and that by Takeuchi Teruo (vol. I only, Tokyo, 1960); the English translation by W. K. Liao, The Complete Works of Han Fei Tzu 2 vols., London,

Probsthain, 1939-59; and the partial translation of section 12 by Arthur Waley in Three Ways of Thought in Ancient

China (London, 1939), pp. 242-47. ,

yond THE WAY OF THE RULER (SECTION 5)

The Way is the beginning of all beings and the measure of right and wrong. Therefore the enlightened ruler holds fast to the beginning in order to understand the wellspring of all beings, and minds the measure in order to know the source of good and bad. He waits, empty and still,’ letting names define themselves and affairs reach their own settlement. Being empty, he can comprehend the true aspect of fullness; being

still, he can correct the mover.* Those whose duty it is to speak will come forward to name themselves; those whose duty

it is to act will produce results. When names and results® match, the ruler need do nothing more and the true aspect of all things will be revealed. _ Hence it is said: ‘The ruler must not reveal his desires; for if he reveals his desires his ministers will put on the mask that pleases him. He must not reveal his will; for if he does

so his ministers will show a different face. So it is said: Discard likes and dislikes and the ministers will show their true form; discard wisdom and wile and the ministers will watch their step. Hence, though the ruler is wise, he hatches no schemes from his wisdom, but causes all men to know * Omitting the first ling. This section, like sec. 8 below, is distinguished by the frequent use of end rhymes.

? Reading wei for the second chih. |

* Literally, “forms” or “realities.” But Han Fei Tzu is discussing concrete problems of political science, i.e., do the officials really do what they say

ney are going to do? Does their actual performance match the title they

The Way of the Ruler 17 their place. Though he has worth, he does not display it in his deeds, but observes the motives of his ministers. Though he is brave, he does not flaunt his bravery in shows of indignation, but allows his subordinates to display their valor to the full. Thus, though he discards wisdom, his rule is en_ lightened; though he discards worth, he achieves merit; and though he discards bravery, his state grows powerful. When the ministers stick to their posts, the hundred oflicials have their regular duties, and the ruler employs each according to his particular ability, this is known as the state of manifold constancy.

Hence it is said: “So still he seems to dwell nowhere at all;

so empty no one can seek him out.” The enlightened ruler reposes in nonaction above, and below his ministers tremble with fear.

This is the way of the enlightened ruler: he causes the wise to bring forth all their schemes, and he decides his affairs accordingly; hence his own wisdom is never exhausted. He causes the worthy to display their talents, and he employs them accordingly; hence his own worth never comes to an end. Where there are accomplishments, the ruler takes credit for their worth; where there are errors, the ministers are held responsible for the blame; hence the ruler’s name never suffers. Thus, though the ruler is not worthy himself, he is the leader of the worthy; though he is not wise himself, he is the corrector of the wise. The ministers have the labor; the ruler enjoys the success. This is called the maxim of the worthy

ruler. |

_ The Way lies in what cannot be seen, its function in what cannot be known. Be empty, still, and idle, and from your place of darkness observe the defects of others. See but do not appear to see; listen but do not seem to listen; know but do

18 Han Fei Tzu not let it be known that you know. When you perceive the trend of a man’s words, do not change them, do not correct them, but examine them and compare them with the results. Assign one man to each office and do not let men talk to each

other, and then all will do their utmost. Hide your tracks, conceal your sources, so that your subordinates cannot trace the springs of your action. Discard wisdom, forswear ability, so that your subordinates cannot guess what you are about. Stick to your objectives and examine the results to see how they match; take hold of the handles of government carefully and grip them tightly.* Destroy all hope, smash all intention of wresting them from you; allow no man to covet them. If you do not guard the door, if you do not make fast the

gate, then tigers will lurk there. If you are not cautious in your undertakings, if you do not hide their true aspect, then traitors will arise. They murder their sovereign and usurp his place, and all men in fear make common cause with them: hence they are called tigers. ‘They sit by the ruler’s side and, in the service of evil ministers, spy into his secrets: hence they are called traitors. Smash their cliques, arrest their backers, shut the gate, deprive them of all hope of support, and the nation will be free of tigers. Be immeasurably great, be unfathomably deep; make certain that names and results tally, examine laws and customs, punish those who act willfully, — and the state will be without traitors. The ruler of men stands in danger of being blocked in five

ways. When the ministers shut out their ruler, this is one kind of block. When they get control of the wealth and resources of the state, this is a second kind of block. When they

are free to issue orders as they please, this is a third kind. * On the two handles of government—punishment and favor—see below, sec. 7.

The Way of the Ruler 19 When they are able to do righteous deeds in their own name,

this is a fourth kind. When they are able to build up their own cliques, this is a fifth kind. If the ministers shut out the ruler, then he loses the effectiveness of his position. If they control wealth and resources, he loses the means of dispensing bounty to others. If they issue orders as they please, he loses the means of command. If they are able to carry out righteous deeds in their own name, he loses his claim to enlightenment.

And if they can build up cliques of their own, he loses his supporters. All these are rights that should be exercised by the ruler alone; they should never pass into the hands of his ministers.

The way of the ruler of men is to treasure stillness and reserve. Without handling affairs himself, he can recognize clumsiness or skill in others; without laying plans of his own,

he knows what will bring fortune or misfortune. Hence he need speak no word, but good answers will be given him; he need exact no promises, but good works will increase. When proposals have been brought before him, he takes careful note of their content; when undertakings are well on their way, he takes careful note of the result; and from the

| degree to which proposals and results tally, rewards and punishments are born. Thus the ruler assigns undertakings to his various ministers on the basis of the words they speak, and assesses their accomplishments according to the way they

have carried out the undertaking. When accomplishments match the undertaking, and the undertaking matches what was said about it, then he rewards the man; when these things

- do not match, he punishes the man. It is the way of the en- lightened ruler never to allow® his ministers to speak words

that cannot be matched by results. |

° Supplying te before ch’en. |

20 } ®©Han Fei Tzu The enlightened ruler in bestowing rewards is as benign as the seasonable rain; the dew of his bounty profits all men. But in doling out punishment he is as terrible as the thunder;

| even the holy sages cannot assuage him. The enlightened ruler is never overliberal in his rewards, never overlenient in his punishments. If his rewards are too liberal, then minis-_

ters who have won merit in the past will grow lax in their duties; and if his punishments are too lenient, then evil ministers will find it easy to do wrong. Thus if a man has truly

won merit, no matter how humble and far removed he may , be, he must be rewarded; and if he has truly committed error,

no matter how close and dear to the ruler he may be, he must be punished. If those who are humble and far removed can be sure of reward,® and those close and dear to the ruler can be sure of punishment, then the former will not stint in their efforts and the latter will not grow proud. * This first clause has dropped out of the text but can be restored from a quotation preserved elsewhere.

me ON HAVING STANDARDS | (SECTION 6)

No state is forever strong or forever weak. If those who up hold the law are strong, the state will be strong; if they are weak, the state will be weak. King Chuang (x. 613-591) of Ch’u annexed twenty-six states and extended his territory three thousand li, but death called him from his altars of the _ soil and grain, and Ch’u in time declined. Duke Huan (G. 685-643) of Ch’i annexed thirty states and opened up his

territory three thousand li, but death called him from his altars of the soil and grain, and Ch’i in time declined. King Chao (r. 311-279)? of Yen extended his domain to the Yellow River on the south, made his capital at Chi, and strengthened his defenses at Cho and Fang-ch’eng; he overran the state of Ch’i and conquered Chung-shan, until all who allied themselves with him were looked on as powerful and all who did not as insignificant; but death called him from his altars, _ and Yen in time declined. King An-hsi (1. 276-243) of Wei attacked Yen to save Chao,” seized the area east of the Yellow River, attacked and gained complete control of the regions of T’ao and Wei, dispatched troops against Ch’i, and seized the city of P’ing-lu for his private use; he attacked Han, took control of Kuan, and won victory at the Ch’i River; in the campaign at Sui-yang the Ch’u army ran from him in exhaustion, and in the campaign at ‘T’s’ai and Chao-ling the Ch’u army

was crushed; his troops marched to the four quarters of the * The text erroneously reads King Hsiang. ° The text erroneously reads “attacked Chao to save Yen.”

22 Han Fei Tzu world and his might overawed the cap-and-girdle states;* but after King An-hsi died, Wei in time declined. Thus, under Chuang and Huan the states of Ch’u and Chi

| became dictators; and under Chao and An-hsi the states of Yen and Wei were strong. But now all of them have become doomed countries, because their ministers and officials pursue only what brings chaos and never what brings order. Their states have already fallen into disorder and weakness, and yet the ministers and oflicials disregard the laws and seek private

| gain in dealings with foreign powers. One might as well carry bundles of kindling to put out a fire with—the chaos and weakness can only increase.

In our present age he who can put an end to private scheming and make men uphold the public law will see his people secure and his state well ordered; he who can block selfish pursuits and enforce the public law will see his armies growing stronger and his enemies weakening. Find men who have a clear understanding of what is beneficial to the nation and a feeling for the system of laws and regulations, and place them in charge of the lesser officials; then the ruler can never be

deceived by lies and falsehoods. Find men who have a clear understanding of what is beneficial to the nation and the judgment to weigh issues properly, and put them in charge of foreign affairs; then the ruler can never be deceived in his relations with the other powers of the world.

| Now if able men are selected for promotion on the basis of | reputation alone, then the officials will disregard the ruler and seek only the good will of their associates and subordinates. If appointments to office are controlled by cliques, then men will work only to establish profitable connections and will not 5]. e., the states in which Chinese dress was worn.

On Having Standards 23 try to achieve office by regular routes. In such cases, official posts will never be filled by able men, and the state will fall into disorder. If rewards are handed out on the basis of good report alone, and punishments on the basis of slander, then men who covet rewards and fear punishment will abandon the public interest and pursue only private schemes, banding together to further each other’s interests. If men forget who their sovereign is and enter into association with foreign powers in order to further the interests of their own group, then

subordinates will be of little aid to their superiors. If the

groups are large and their allies numerous, so that a single | clique embraces men both inside and outside the state, then, | though its members commit a glaring fault, they will find plentiful means to conceal it. As a result, truly loyal ministers

will face peril and death even though they are guilty of no fault; while evil ministers will enjoy safety and profit which they have done nothing to deserve. If loyal ministers, though

guiltless, still face peril and death, then good officials will go | into hiding; and if evil ministers, though without merit, enjoy

safety and profit, then corrupt officials will come to the fore. |

This is the beginning of downfall. oo

‘In such cases, the officials will turn their backs on law, seeking only to establish weighty personal connections and making light of public duty. Numbers of them will flock to the gates of powerful men, but none will appear in the ruler’s court. They will lay a hundred plans for the advancement of private family interests, but give not one thought to how the ruler should order his state. ‘Thus, although there are plenty

of men attached to the administration, they will not be the kind who will honor their ruler; though all the official posts are filled, none who fill them will be the kind who can be en-

24 Han Fei Tzu trusted with affairs of state. So, although the sovereign holds

the title of ruler of men, he will in fact be a pawn of the ministerial families.

Therefore I say:* There are no men in the court of a doomed state. When I say there are no men, I do not mean that the actual number of men at court is any less than usual. But the powerful families seek only to benefit each other and not to enrich the state; the high ministers seek only to honor

each other and not to honor their sovereign; and the petty officials cling to their stipends and work to make influential friends instead of attending to their duties. And the reason such a state of affairs has come about is that the ruler does not make important decisions on the basis of law, but puts

faith in whatever his subordinates do. ,

A truly enlightened ruler uses the law to select men for him; he does not choose them himself. He uses the law to weigh their merits; he does not attempt to judge. them for himself. Hence men of true worth will not be able to hide their talents, nor spoilers to gloss over their faults. Men cannot advance on the basis of praise alone, nor be driven from court by calumny. Then there will be a clear understanding of values between the ruler and his ministers, and the state can be easily governed. But only if the ruler makes use of law can he hope to achieve this. When a man of true worth becomes a minister, he faces north before the sovereign, presents tokens of his allegiance,® and banishes from his mind the thought of all other loyalties. If he serves at court, he does not venture to excuse himself ‘ Literally, “Your servant says,” suggesting that this was originally a memorial to some ruler, probably the king of Han. ° Ritually prescribed gifts presented upon entering the service of a ruler. Chinese rulers always sat facing south when holding audience.

| On Having Standards 25 because of the lowliness of the post assigned him; if he serves in the army, he does not dare to shirk danger. He follows the lead of his superiors and obeys the laws of his sovereign; with empty mind he awaits orders and does not question whether

they are right or wrong. Thus, though he has a mouth, he never uses it to speak for private advantage; though he has eyes, he never employs them to spy private gain; in all things

he is under the control of his superior. A minister may be compared to a hand, which reaches up to serve the head or reaches down to tend the foot; its duty is to relieve the body from heat or cold and, when swords threaten,® it dare not fail to strike out at them. For his part, the ruler must never make

selfish use of his wise ministers or able men. So the people | are never tempted to go beyond their communities to form friendships, nor need they worry about what happens a hun-

dred li away. Honorable and humble do not get in each other's way, and stupid and wise find their proper place. ‘This is the perfection of good government. Men who are contemptuous of ranks and stipends, quick to discard their posts and abandon the state in search of another

sovereign, I would not call upright. Those who propound false doctrines and controvert the law, who defy their sovereign or oppose him with strong censure, | would not call loyal. Those who practice charity and dole out benefits in order to

win over their subordinates and make a name for themselves, | I would not call benevolent. Those who withdraw from the _ world, live in retirement, and employ their wits to spread false slander against their superiors,” I would not call righteous.

that has dropped out. a

° Omitting the ju, which is either superfluous or the remnant of a clause

"Following Ch’en Ch’i-yu, who amends tso to cha and supplies chih

above it.:

26 Han Fei Tzu Those who devote all their time to establishing favorable relations with the princes of other states, impoverishing their own state in the process, and who, when they see the moment of crisis approaching, attempt to intimidate their sovereign by saying, “Only through me can friendly relations be established with So-and-so; only through me can So-and-so’s anger be appeased!”, until the ruler comes to believe in them and entrusts all state affairs to their decision; who lower the name of the ruler in order to enhance their own eminence, who raid the resources of the state in order to benefit their own families— such men I would not call wise. Deeds such as these prevail in a dangerous age, but were precluded by the laws of the former kings. ‘The law of the former kings says, “Ministers shall not wield the instruments of authority nor dispense benefits, but follow the commands of the king; none shall do evil, but uphold the king’s path.” In antiquity the people of a well-ordered age upheld the public law and renounced private schemes, concentrated their atten-

tion upon one goal and their actions upon one object, and

| together awaited the charge that was laid upon them. If the ruler of men tries to keep a personal check on all the © various offices of his government, he will find the day too short

| and his energies insufficient. Moreover if the ruler uses his eyes, his subordinates will try to prettify what he sees; if he uses his ears, they will try to embellish what he hears; and if © he uses his mind, they will be at him with endless speeches. The former kings, knowing that these three faculties would not suffice, accordingly set aside their own abilities; instead they relied upon law and policy, and took care to see that rewards and punishments were correctly apportioned. Since they held fast to the essential point, their legal codes were simple and yet inviolable, and alone they exercised control

On Having Standards 27 over all within the four seas. Even the cleverest men could | find no opening for their falsehoods, the glibbest talkers no audience for their sophistries, and evil and deceit were left without a foothold. Though a thousand miles from the ruler’s side, men did not dare say anything different from what they had said in his presence; though courtiers in the palace, they did not dare to conceal good or gloss over evil. Courtiers and officials flocked to the service of their sovereign, each diligently

attending to his own duties, and none dared overstep his position. Affairs of government were not pressing® and time was left to spare. The way in which the ruler relied upon his posi-

tion made it so.

The process by which ministers invade the rights of their sovereign is as gradual as the shifting of the contours of the landscape. Little by little they cause him to lose his sense of direction, until he is facing east where before he faced west, and yet he is unaware of the change. Hence the former kings | set up south-pointing markers to determine the direction of sunrise and sunset. In the same way, an enlightened ruler will make certain that the ambitions of his ministers do not roam

beyond the bounds of the law, and that they do not go about | dispensing favors even though such acts may be within the | law. ‘They are permitted to make no move that is not in accord with law. Laws are the means of prohibiting error and ruling out selfish motives;° strict penalties are the means of

enforcing orders and disciplining inferiors. Authority should | never reside in two places;’® the power of decree should never

be open to joint use. If authority and power are shared with ® Emending tsu to ts’u in accordance with the suggestion of Ch’en Ch’i-

yu; but the meaning is very doubtful. ,

° Amending ling to chin and omitting yu in accordance with the suggestion of Ch’en Ch’i-yu.

*° Reading erh instead of tai. |

28 = Han Fei Tzu others, then all manner of abuse will become rife. If law does not command respect, then all the ruler’s actions will be endangered. If penalties are not enforced, then evil will never

be surmounted. | | Though a skilled carpenter is capable of judging a straight line with his eye alone, he will always take his measurements

with a rule; though a man of superior wisdom is capable of handling affairs by native wit alone, he will always look

to the laws of the former kings for guidance. Stretch the plumb line, and crooked wood can be planed straight; apply the level, and bumps and hollows can be shaved away; balance the scales, and heavy and light can be adjusted; get out the measuring jars, and discrepancies of quantity can be corrected. In the same way one should use laws to govern the state, disposing of all matters on their basis alone.

The law no more makes exceptions for men of high station than the plumb line bends to accommodate a crooked place in

the wood. What the law has decreed the wise man cannot dispute nor the brave man venture to contest. When faults are to be punished, the highest minister cannot escape; when good is to be rewarded, the lowest peasant must not be passed over. Hence, for correcting the faults of superiors, chastising the misdeeds of subordinates, restoring order, exposing error, checking excess, remedying evil, and unifying the standards

of the people, nothing can compare to law. For putting fear , into the officials, awing the people, wiping out wantonness and sloth, and preventing lies and deception, nothing can compare to penalties. If penalties are heavy, men dare not use high position to abuse the humble; if laws are clearly defined, superiors will be honored and their rights will not be invaded. If they are honored and their rights are inviolable, then the ruler

On Having Standards 29 will be strong and will hold fast to what is essential. Hence the former kings held laws in high esteem and handed them down to posterity. Were the ruler of men to discard law and follow

his private whim, then all distinction between high and low would cease to exist.

Ni | me THE TWO HANDLES (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 rule 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.

The Two Handles 31 T’ien Ch’ang 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 com-

mon people. In this way the ruler, Duke Chien, lost the exclu- |

sinated.* |

sive right to dispense favors, and it passed into T’ien Ch’ang’s hands instead. That was how Duke Chien came to be assas-

Tzu-han said to the ruler of Sung, “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 Sung gave up the exclusive right to hand out penalties and it passed into the hands of Tzu-han. That was how the ruler of Sung came to be intimidated.” T’ien Ch’ang got to bestow favors as he pleased, and Duke

Chien was assassinated; T'zu-han got to hand out punishments as he pleased, and the ruler of Sung 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 Chien and the lord of Sung. 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 *In 481 B.c. T’ien Ch’ang, a high minister of Ch’i, assassinated the

known. |

ruler of Ch’i, Duke Chien. Earlier, T’ien Ch’ang 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 T’so chuan, Duke Chao, 3d yr.

*'The incident to which Han Fei Tzu is referring here is otherwise un-

32 Han Fei Tzu he must be careful to match up names and results, that is to say, words and deeds.* 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 accom- — plishment 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 Chao 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 * Reading yii instead of yi.

The Two Handles 33 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 facade 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 Yiieh admired valor, many of his subjects defied death; because King Ling of Ch’u liked slim waists, his state was full of half-starved people on diets. Because Duke Huan of Ch’i was jealous and loved his ladies in waiting, Shu-tiao castrated himself in order to be put in charge of the harem; because the duke was fond of unusual food, Yi-ya steamed his son’s head and offered it to the duke. Because T'zu-k’uai of Yen admired worthy men, Tzu-chih insisted that he would not accept the throne even if it were offered to him.* ‘In his later years Duke Huan (2. 685-643 B.c.) of Ch’i relied heavily

upon Shu-tiao and Yi-ya, two evil ministers who were said to have in- : gratiated 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. 68.) In 316 B.c. King K’uai of Yen, 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 Tzu-chih. Contrary to the king’s expectation, Tzu-chih accepted it, became ruler, and brought the state close to ruin.

34 Han Fei Tzu 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 ‘T'zu-chih, by playing the part of a worthy, was able to snatch power from his sovereign; Shu-tiao and Yi-ya, by catering to the ruler’s desires, were able to invade his authority. As a result, ‘T'zu-k’uai 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 Tzu-chih and T’ien Ch’ang

| 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.® * Reading jen instead of ta.

re WIELDING POWER? (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 *In this chapter, Han Fei Tzu borrows the laconic language of Taoist quietism to express his political philosophy, using short, neatly balanced phrases with frequent end rhymes. Because of the deliberately arcane

exactly what he is saying. | |

mode of expression he employs, commentators disagree at many points on

36 Han Fei Tzu 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 settle* 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 ? Reading ting instead of shih.

Wielding Power 37 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 Heaven* 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,* 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 _ * Reading #’ien instead of erh. In Taoist terminology, Heaven is synonymous with the Way, or ‘Tao. * A 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. ,

38 Han Fei Tzu 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 though 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.o _ 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 ques-

selves. —

tion it? When compass and rule have marked out one corner of truth, the other three corners will become evident of themIf the ruler is not godlike in his isolation, his subordinates

° Omitting ts’an and reading chih (to know) in place of the present chih.

Wielding Power 39 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 oflice 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 gov-

ernment 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;® 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

° Reading erh instead of tai. | |

40 Han Fei Tzu 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.!

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. [hus 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 families* 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. "There 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 ‘T’ao Hung-ch’ing. * Reading chiin instead of ch’en and fu instead of kuei.

Wielding Power qi 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

42 Han Fei Tzu do not let water collect in them.® 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. * Omitting hsiung and reading yen for ch’ing in accordance with the suggestion of Ch’en Ch’i-yu. The language of these last two paragraphs is so extravagantly metaphorical that it presents difficulties of interpretation at numerous points.

yond THE EIGHT VILLAINIES - (SECTION 9g)

There are eight strategies which ministers customarily employ to work their villainy. ‘The first is called “Making use of his bedfellows.” What do I mean by this? The ruler is easily beguiled by lovely women and charming boys, by all those who can fawn and play at love. They wait for the time when he is enjoying his ease, take advantage of the moment when he is sated with food and wine, and ask for anything they

desire, for they know that by this trick their requests are sure to be heeded. ‘The ministers therefore ply them in the palace with gold and jewels and employ them to delude the ruler. This is what I mean by making use of his bedfellows. The second is called “Making use of his attendants.” What do I mean by this? Jesters and entertainers, attendants and favorites of the ruler—men such as these cry “Yes, yes!” before he has given an order, “At once, at once!” before he has commanded them; they guess his desire before he knows it

himself, watch his face and observe his expression to divine what is in his mind. In unison they step forward, in unison they retire, all of them answering and responding in a single rote, in identical phrases, so that they may move the mind of the ruler. The ministers therefore ply them in the palace _ with gold, jewels, baubles, and precious things, and on the outside do forbidden favors for them, employing them to bend the ruler to their desires. This is what I mean by making use

of his attendants. The third is called “Making use of his elders and kin.”

44 Han Fei Tzu What does this mean? The ruler feels close affection for his kin of the cadet families and for the princes of the blood, and

| consults with the elder statesmen and courtiers when he lays his plans. Hence when such men combine to urge some proposal, the ruler is certain to listen. The ministers therefore _ _ ingratiate themselves with the princes and members of the cadet families by presenting them with musicians and waiting women, and win over the elder statesmen and courtiers with fine words; they then propose various undertakings which, _ they assure them, when brought to successful conclusion, will bring rewards and advancement for all. In this way they delight the hearts of these men and persuade them to act against their ruler. This is what I mean by making use of his elders

and kin. _

The fourth is called “Encouraging baleful pursuits.” What does this mean? Rulers love to beautify their palaces, terraces, and pools, to surround themselves with attractive attendants and fine dogs and horses for their amusement, though such pursuits are baleful to the ruler’s welfare. The ministers therefore exhaust the energies of the people in constructing beauti-

ful palaces, terraces, and pools, and demand heavy taxes from them to provide attractive attendants and fine dogs and horses, in order to delight the ruler and bring disorder to his mind, indulge his desires and exact some private gain in the process. [his is what I mean by encouraging baleful pursuits. The fifth is called “Making use of the people.” What do I

mean by this? Ministers often distribute funds in order to eratify the people, and hand out small favors in order to win the hearts of the commoners, until eventually everyone in both court and countryside is praising them alone. Thus they

come to overshadow their ruler and are able to do as they

please. This is what I mean by making use of the people. :

The Eight Villainies 45 The sixth is called “Making use of fluent speakers.” What does this mean? The ruler, because of the nature of his upbringing, has usually been cut off from ordinary conversation, and has seldom had an opportunity to listen to debates, and he is accordingly apt to be particularly susceptible to persuasive speaking. The ministers therefore search about for rhetoricians from other states or patronize the most able speakers in their own state, and employ them to plead their special cause. With clever and elegant phrases, fluent and compelling | words, such men draw the ruler on with prospects of gain, terrify him with predictions of hazard, and completely over-

whelm him with their empty preachments. This is what |

mean by making use of fluent speakers. an | The seventh is called “Making use of authority and might.” What do I mean by this? Rulers sometimes believe that the officials and common people are capable of wielding authority

and might, and hence whatever the officials and common people approve of, they approve of too; and whatever the ofh_ cials and common people condemn, they condemn also. Ministers therefore gather bands of armed men around them and support knights who are willing to die in their cause, in order to make a show of their might. ‘They make it plain that whoever works in their interest will profit, while whoever does

not will die, and in this way they manage to intimidate the lesser officials and common people and further their own in- _ terests. This is what I mean by making use of authority and

might. | : |

The eighth is called “Making use of the surrounding

states.” What do I mean by this? It is customary with a ruler

that, if his state is small, he will do the bidding of larger states, and if his army is weak, he will stand in fear of stronger armies. When the larger states come with demands, the small

46 Han Fei Tzu state must consent; when strong armies appear, the weak army must submit. The ministers therefore double the taxes, empty

the coffers, and exhaust the state in the service of the great powers, and then make use of their influence with foreign powers in their efforts to mislead the ruler. ‘The worst of them may even call out their private troops and gather them menacingly on the border’ in order to enforce their will within the state, while even the less evil ones will from time to time call

in envoys from abroad in order to disquiet the ruler and fill him with terror. This is what I mean by making use of the surrounding states.

All these eight strategies are the means by which ministers work their villainy, obstruct and terrorize the rulers of the day, © and deprive them of what they should possess. One must not

fail to examine them closely! a |

In dealing with those who share his bed, the enlightened ruler may enjoy their beauty but should not listen to their special pleas or let them come with personal requests. In dealing with his attendants, he should hold them personally responsible for their words and not allow them to speak out of turn. In dealing with his kin and elder statesmen, though he heeds their words, he should be careful to hand out the appropriate punishments or promotions afterwards, and should not let them advance to offices arbitrarily. As regards the buildings and possessions that delight and amuse the ruler, he should make certain that they are constructed and produced only on his order; the oflicials should never be permitted to present them as they please in an effort to ingratiate themselves with him.? As regards the dispensing of favors and _ charity, all orders to disburse emergency funds or to open up 1 As though waiting to be joined by troops from abroad.

* The text appears to be corrupt. I omit the shan-t'ui. |

| | The Eight Villainies 47 the granaries for the relief of the people must come from the ruler; he should never allow his ministers to dole out charity on their own. As regards speeches and debates, he should be careful to discover the true ability of those whom the flatterers praise, and find out the true faults of those whom the slanderers denounce, and not allow the officials to

plead on each other's behalf. In dealing with heroes and fighting men, the ruler should never hand out unduly large rewards to men who have won distinction in the army, and

never pardon the offense of men who have taken up arms in a private quarrel. He must not allow the officials to use their | _ funds to build up their own soldiery. As to the requests and demands of the feudal lords of other states, if they are lawful, he should grant them; if not, he should reject them. When people speak of a lost ruler, they do not mean that he no longer holds possession of the state; he still holds possession of it, but it is no longer in any sense his own. A ruler who allows his ministers to use their foreign connections to seize control of internal affairs is lost. If he heeds the demands of the great powers in an effort to save himself, then he will

face downfall even sooner than if he does not heed them. Therefore he refuses to heed them. His ministers, knowing that he will not heed them, no longer try to make bargains with the other feudal lords; and the other feudal lords, knowing that he will not heed them, no longer cooperate with the efforts of the ministers to dupe their own ruler.? _ The enlightened ruler assigns posts and hands out titles and stipends as a means of promoting men of worth and talent and encouraging men of achievement. Hence it is said that men of worth and talent should receive generous stipends and be as*'The text and interpretation of this last sentence are very doubtful. I have followed the emendation and interpretation of Wang Wei.

48 Han Fei Tzu signed to high offices, and men of great achievement should have honorable titles and obtain rich rewards. Appoint the worthy to ofhce by weighing their ability; hand out stipends

by judging the amount of merit won. If this is done, then worthy men will not pretend to greater ability than they have | in order to seek service with their ruler; men of merit will delight in carrying out their tasks; and all undertakings will reach a successful conclusion.

But rulers nowadays do not do this. They do not look to see who is worthy and unworthy or discuss who has achieved merit or worked hard; instead they employ those who have inHuence with the other feudal lords, or heed the private pleading of their attendants. The ruler’s kinsmen and elder statesmen beg titles and stipends from the ruler and then sell them

to their subordinates in order to gain wealth and profit and create a party of supporters for themselves. Hence men who have sufficient money and influence may buy posts for them-

selves and become honored, and those who have friends among the ruler’s attendants may make use of their special

pleading to win important positions. Ministers who have shown real merit and effort count for nothing, and the assignment of posts and duties proceeds on a wholly erroneous basis. Hence we find officials stealing posts to which they have no right and intriguing with foreign powers, neglecting their duties and cultivating men of wealth.* As a result, men of real worth become disgusted and cease to exert themselves, and men of merit grow lax and careless in their jobs. This is the

mark of a doomed state! | | ‘ Reversing the order of ts’ai ch’in. ,

ne THE TEN FAULTS

(SECTION I0) |

These are the ten faults: |

loyalty. |

1. To practice petty loyalty and thereby betray a larger

one. |

2. To fix your eye on a petty gain and thereby lose a larger

3. To behave in a base and willful manner and show no

courtesy to the other feudal lords, thereby bringing about your own downfall. _ 4. To give no ear to government affairs but long only for the sound of music, thereby plunging yourself into distress.

5. To be greedy, perverse, and too fond of profit, thereby | opening the way to the destruction of the state and your own demise.

6. To become infatuated with women musicians and disregard state affairs, thereby inviting the disaster of national

destruction. __ | | Oo

7. To leave the palace for distant travels, despising the

for yourself. | |

remonstrances of your ministers, which leads to grave peril

8. To fail to heed your loyal ministers when you are at

of others. |

fault, insisting upon having your own way, which will in time destroy your good reputation and make you a laughing stock

9. To take no account of internal strength but rely solely

upon your allies abroad, which places the state in grave danger of dismemberment.

50 Han Fei Tzu 10. 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. 1. What do I mean by petty loyalty? Long ago, when King Kung of Ch’u fought with Duke Li of Chin at Yen-ling, the Ch’u army was defeated and King Kung was wounded in the eye." When the battle was at its fiercest the Ch’u commander of the army, Tzu-fan, grew thirsty and called for a drink. His

page Ku-yang came forward with a flagon of wine and presented it to him. “Get away from me!” said Tzu-fan. “That’s wine you have!” But Ku-yang insisted it was not wine,

until Tzu-fan finally accepted it and drank it. Tzu-fan 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 Kung, hoping to resume it again the next day, sent an order summoning his commander Tzu-fan, but Tzu-fan excused himself, saying

that he had a pain in his heart. King Kung mounted his car- | riage and went in person to see Tzu-fan but, when he entered the curtains of Tzu-fan’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 Ch’u and has no pity upon my men. | will not fight again.” With this he withdrew his armies from

the field and left, beheading Tzu-fan in punishment for the terrible crime he had committed.

Thus, when the page Ku-yang presented the wine, he had no thought of enmity for Tzu-fan. His heart was filled only with loyalty and love for his commander, and yet he ended by * The battle took place in 575 B.c. See Tso chuan, Duke Ch’eng, 16th yr.

The Ten Faults 51 killing him. This is what it means to practice petty loyalty and

thereby betray a larger loyalty. |

2. What do I mean by fixing your eyes on petty gain? Long ago Duke Hsien of Chin wanted to secure passage through the state of Yii in order to launch an attack on the state of Kuo.? Hsiin Hsi said to the duke, “Your lordship _ should bribe the duke of Yi with the jade of Ch’ui-chi and the team of four horses from Ch’it. Then if we ask for pas-

sage, he will surely grant it to us.” But the duke said, “The jade of Ch’ui-chi was a treasure of my father, the late ruler, and the team from Ch’ii are my best horses! What will I do if the duke of Yi accepts the gifts but

refuses to grant us passage?” | |

_ “IF he does not intend to grant us passage, he will not ac—. cept them,” said Hsiin Hsi. “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 Hsiin Hsi with the jade of Ch’ui-chi and the team from Ch’ii to bribe the duke of | Yii for passage. The duke of Yii, greedy for the jade and | horses, was about to give his consent, when Kung Chih-ch’i admonished him, saying, “It will not do to. consent! Kuo is to Yii as the jowls to the jawbone. The jowls depend on the ©

jawbone and the jawbone depends on the jowls, and Yii and Kuo stand in the same relationship. If you grant him passage, then Kuo will be destroyed in the morning and Yi will

follow it at eventide. It will not do! I beg you not to consent!” | But the duke of Yii refused to listen to him and granted * The earlier events of the story took place in 658 B.c., the latter ones in 655 B.c. T'so chuan, Duke Hsi, 2d and 5th yrs.

52 Han Fei Tzu passage to Chin. Hsiin Hsi attacked and conquered * Kuo, and three years after the expedition he once more called up the troops and attacked and conquered Yii as well. He then

| brought the horses and the jade back to Duke Hsien. 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 Yii saw his troops over-

whelmed 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. oo 3. What do I mean by behaving in a base manner? Long

| ago King Ling of Ch’u summoned the other feudal lords to a conference at Shen.* But because the crown prince of Sung

arrived late, he seized him and held him prisoner, and he also insulted the ruler of Hsii and incarcerated Ch’ing Feng | of Ch’. One of his palace guards remonstrated with him, saying, ‘When you meet with the other feudal lords, it is un-. thinkable to behave with such discourtesy! ‘This is a matter of life or death to the state. In ancient times Chieh held a meet-

ing at Yu-jung, and the people of Yu-min revolted; Chou held a hunting conference at Li Hill and the Jung and Ti re- © belled. ‘This happened because they behaved without courtesy.

I beg you to consider this!” Oo

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

pleased. Before ten years had passed ® King Ling went ona : tour of the south, and his officials took advantage of his absence to steal the throne from him. He was reduced to starva> The words “and conquered” have dropped out of the text.

*In 538 B.c. Tso chuan, Duke Chao, 4th yr. , ° The text says “before a year had passed,” but it must be faulty, since King Ling died in 529 3.c. , |

The Ten Faults 53 tion 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.

4. What do I mean by longing for the sound of music? Long ago, Duke Ling [r. 534-493 3B.c.] of Wei was on his way

to the state of Chin, and when he reached the banks of the

| P’u 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 pieased 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 Chiian 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 Chiian, and he sat down quietly and began to strum the lute in imitation of the music. The next morning, Master Chiian 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 Chiian had mas-

tered the music and they proceeded on their way to Chin. , Duke P’ing [r. 557-532] of Chin entertained them with a banquet on the Shih-i 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 P’ing. Duke Ling then summoned Master Chiian, and instructed him to sit down beside Master K’uang, the music master of Chin, take up the lute, and play

54 Han Fei Tzu the new piece. But before he had finished Master K’uang 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 P’ing, and Master K’uang replied, “It was written by the music mas- _ ter Yen, one of the wild and licentious pieces he composed for

King Chou of the Yin dynasty. When King Wu attacked King Chou, Master Yen fled to the east, and when he reached

the P'u River, he threw himself into it. Hence anyone who heard this music must have done so on the banks of the P’u. 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 P’ing said, “Music is my greatest delight. Let

, him continue to the end!” Master Chiian accordingly continued playing to the end of the piece. Duke P’ing then turned to Master K’uang and asked, “What mode is this piece in?” “It is in the pure shang mode,” said Master K’uang. “Is this the saddest of all the modes?” asked the duke. “It cannot compare to the pure chih mode,” replied Master K’uang. “May I hear something in the pure chih mode?” asked the duke, but Master K’uang replied, “That is impossible! Those in ancient times who listened to the pure chih 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 P’ing. “T beg you to let me hear a sample of it!” Master K’uang, 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, beat-

| The Ten Faults 55 ing their wings and dancing; their voices matched the music of the kung and shang modes and the sound of their singing reached to the heavens. Duke P’ing 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 K’uang’s happiness and long life. Then he returned to his seat and asked, “Is there no mode that is sadder

than the pure chih?” “The pure chiich is even sadder,” replied Master K’uang. “May I hear something in the pure chiieh?” asked the duke, but Master K’uang answered, “That is impossible! In ancient times, the Yellow Emperor called the spirits together on the top of Mount T’ai. Riding in an | ivory carriage drawn by six dragons, the god Pi-fang keeping pace with the linchpin, the god Chrih-yu 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 as-

sembly and created the music of the pure chiieh 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 P’ing 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 K’uang, 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.

56 Han Fei Tzu The state of Chin was visited by a great drought that seared the land for three years, and sores broke out all over Duke P’ing’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. |

5. What do I mean by greed and perversity? Long ago Chih Po Yao [d. 453 38.c.] led the troops of Chao, Han, and Wei in an attack on the Fan and Chung-hang 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 K’ang of

| Han wished to refuse the request, but Tuan Kuei admonished him, saying, “It will not do to withold the territory! Chih Po 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 treops 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 K’ang, and ordered his

households. |

envoy to present Chih Po with a district of ten. thousand Chih Po, much pleased, proceeded to send his men to the state of Wei to demand territory. Viscount Hsiian of Wei wished to refuse, but Chao Chia 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 Chih Po abroad. For

The Ten Faults 57 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 Hsiian, and he ordered one of his men to turn over to Chih Po a district of ten thousand

households. |

Chih Po then sent a man to the state of Chao to demand

the territories of T's’ai and Kao-lang. Viscount Hsiang of Chao refused to give them to him, and Chih Po accordingly made a

secret alliance with Han and Wei to launch an attack on Chao. Viscount Hsiang summoned Chang Meng-t'an and ex-

_ plained the situation to him, saying, “Chih Po is by nature friendly* 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>” Chang Meng-t’an replied, “Tung Kuan-yii, who was one of the ablest ministers of your father, Lord Chien, governed the city of Chin-yang, and later Yin ‘To took over and followed his ways, so that the influence of their good work still remains there. [ would urge you to consider no other place

but Chin-yang.” “Very well,” said the viscount, and sum- | moned Yen-ling Sheng, ordering him to lead the army carriages and cavalry ahead to Chin-yang, and he himself fol-

lowed later. __ | |

When he reached Chin-yang 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 un_ stocked with weapons, and the city completely lacking in de-

fense preparations. Much alarmed, he summoned Chang

° Reading ch’in instead of kuei. ,

58 Han Fei Tzu Meng-t’an 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 Chang Meng-t’an, “that when a sage governs he stores wealth among the people,’ 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 Chang Meng-t’an again, “The walls of my city are now in good repair and provisions have

LOWS?”

been made for its defense. I have sufficient money and grain,

and more weapons than I need. But what will I do for arChang Meng-t’an replied, “I have heard that when Master Tung governed Chin-yang 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

7 Reading min instead of ch’en. ,

The Ten Faults 59 cut and tried out, and he found them of a hardness that could

not be surpassed even by the stoutest chiin-lu bamboo. “I have enough arrows now,” said the viscount, “but what will I do for metal?” Chang Meng-t’an replied, “I have heard

that when Master Tung governed Chin-yang 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 Chin-yang 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 Chin-yang to inundate it. Thus they besieged Chin-yang 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 Hsiang said to Chang Meng-t’an, “Our provisions

are gone, our strength and resources are exhausted, the off- | cials 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?” oO |

“They say,’ replied Chang Meng-t’an, “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.” |

60 Han Fei Tzu When Chang Meng-t’an 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 Chih Po has persuaded you two lords to join him in this attack on Chao, and Chao is about

to fall. But when Chao has perished, then it will be your turn!”

“We are quite aware of that,” they replied. “But Chih Po 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 Chang Meng-t’an. “No one else will know of it.” Accordingly, the two rulers promised to join with Chao so that all three armies could turn against Chih Po, and they fixed the day for carrying out the plot. The same night they sent Chang Meng-t'an back to Chin-yang to report the prom- _ ise of their defection to Viscount Hsiang. On his return, the viscount greeted Chang Meng-t'an with repeated bows, his expression a mixture of joy and apprehension. Meanwhile the rulers of Han and Wei, having dispatched

Chang Meng-t’an with their promise, went the following morning to pay their customary respects to Chih Po, and as they emerged from the gate formed by his lines of war chariots, they chanced to meet his minister, Chih Kuo. Chih Kuo, after

eying their faces suspiciously, went in to see Chih Po. “From the appearance of those two men, it looks as though they are

going to turn against you,” he said. “What was their appear- | ance like?” asked Chih Po. “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 Chih Po replied, “I have made a solemn promise with

The Ten Faults 61 them that, once we have defeated Chao, 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 Chin-yang 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 Chin Po and left, they once more met Chih Kuo at the gate of the war chariots. When Chih Kuo went in to see Chih Po, he asked, “Did you tell those two men what I said to you yesterday?” “How did you guess?” said Chih Po. “This morning I met the two of them as they were on their way from visiting you, said Chih Kuo. “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 Chih Po replied, “Leave the matter alone and say nothing more about it!” “That will not do!” insisted Chih Kuo. “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 Chih Po. _

Chih Kuo replied, “The lord of Wei has a minister named Chao Chia whom he consults in matters of policy, and the ~ Jord of Han has a similar minister named Tuan Kuei. 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 Chao 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 Chih Po replied, “I have already promised to divide

62 Han Fei Tzu the territory of Chao 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!”

Chih Kuo, 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 Chao killed

the guards who were patrolling the river dikes and broke open a passage so that the water would inundate Chih Po’s army. In their efforts to stop the water, Chih Po’s men were

thrown into confusion, and Han and Wei fell upon them from either side, while Viscount Hsiang of Chao led his soldiers in a frontal attack. Together they inflicted a severe defeat on Chih Po’s army and took Chih Po prisoner. Thus Chih Po 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.

6. What do I mean by becoming infatuated with women musicians? Long ago, the king of the Jung barbarians sent Yu Yii on a state visit to Ch’in. Duke Mu [r. 659-621 B.c.] of Ch’in questioned him, saying, “I have heard general dis-

cussions 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?” ) | “T have heard it said,” replied Yu Yii, “that they always won >

their states by thrift and lost them through extravagance.” “I have not considered it beneath my dignity to ask you

The Ten Faults 63 about the Way,” said Duke Mu. “Now why do you give me

an answer like ‘thrift’?” |

Yu Yii 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 Chiao-chih in the south,

Yu-tu 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 Yi, 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 Yii, 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 Hsia dynasty founded by Yii 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, whitewashed ® walls and plastered porches, cushions | and mats that were ornamented with designs. Having become

® Reading pai instead of ssu. a | | |

64 Han Fei Tzu 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 Yu Yii 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 Yu Yii is a sage, and I am worried about it. What should I dor”

The internal secretary Liao replied, “They say that the king of the Jung 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 Yu Yti's. return be postponed so that he will be deprived of Yu Yii's good advice. In that way Yu Yii and his sovereign will be-

come 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 Jung, and at the same time to request that Yu

Yii’s return be postponed. ,

The king of the Jung granted the request, and was so de-

lighted 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 Yu Yi returned, he remonstrated with the king, but the king refused to heed him, until Yu Yui finally left the state and

The Ten Faults 65 went back to Ch'in. Duke Mu of Ch’in greeted him, honored him with the post of prime minister, and questioned him on the military strength and topography of the land of the Jung. Having obtained the information he needed, he then called out his troops and attacked the Jung, annexing twelve states and extending his domain a thousand li.® Hence I say: To

become infatuated with women musicians and disregard affairs of state invites the disaster of national destruction. | 7. What do I mean by leaving the palace for distant travels? Long ago Viscount T’ien Ch’eng’® 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!” | |

- Yen Cho-chii 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 Yen

Cho-chii. Oo

“In ancient times, the tyrant Chieh killed his minister Kuan Lung-feng, and Chou killed Prince Pi Kan. So you have a perfect right to kill me and make me the third victim. ° According to Shih chi 5, this took place in 623 B.c. *” Ch’eng is his posthumous title; his name was T’ien Ch’ang. A member of an extremely powerful ministerial family of the state of Ch’i, he succeeded his father as viscount in 485 B.c. and assured himself a place in

history by murdering Duke Chien of Ch’i in 481 3.c. and placing the duke’s younger brother on the throne. (See above, p. 31, n. 1..) The T’ien

family eventually usurped the throne of Ch’i. In other versions of this anecdote the wandering ruler is not T’ien Ch’ang but Duke Ching @.

§47~-490 B.C.) of Chi. ,

66 Han Fei Tzu 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 Yen Cho-chii that Viscount ‘T’ien Ch’eng was finally |

able to seize control of the state of Ch’i. Hence I say: To leave the palace for distant travels leads to grave peril for yourself,

8. What do I mean by failing to heed your loyal ministers when you are at fault? Long ago Duke Huan of Chii 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 Kuan Chung [d. 645 3.c.] aided him. When Kuan Chung 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 Chung, 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?” |

“IT am an old man and cannot answer such a question,”

said Kuan Chung. “They say that no one knows the. ministers

better than their sovereign, and no one knows the sons

for yourself.” |

better than their father. You should try to make the decision

“How would Pao Shu-ya do?” asked the duke, but Kuan © Chung replied, “Impossible! Pao Shu-ya 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

The Ten Faults 67 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 Shu-tiao?” asked the duke, but Kuan | Chung replied, “Impossible! It is only human nature to look out for one’s own body. Yet Shu-tiao, 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 K’ai-fang of Wei?” asked the duke, but Kuan Chung replied, “He will never do. The states

of Wei and Chi are no more than ten days’ journey apart and yet, since K’ai-fang 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 Yi-ya?” asked the duke, but Kuan Chung 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. “Hsi P’eng,” said Kuan Chung. “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;

68 Han Fei Tzu 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 Kuan Chung died, the duke did not employ Hsi P’eng, but turned matters over to Shu-tiao instead. After Shu-tiao had

_ had charge of affairs of state for three years, Duke Huan journeyed south on a pleasure trip to T’ang-fu. Shu-tiao then led Yi-ya, Prince K’ai-fang of Wei, and the other high min-

isters 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 Kuan Chung.

| 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 laugh-

ing stock of others. |

9g. What do I mean by taking no account of internal strength [but relying solely upon your allies abroad]? In former times Ch’in launched an attack on the city of Yi-yang,

and the men of the Han clan, who held possession of Yiyang, were sorely pressed.'* Kung-chung P'eng said to the ruler of Han, “Our allies cannot be relied upon to help us. It would be best to ask Chang Yi to arrange peace terms for 4 According to Shih chi 15 and 45, the attack on Yi-yang took place in 307-306 B.c. But the Shih chi relates the rest of the anecdote to an earlier

attack made by Ch’in on Han in 316-314 B.c.

The Ten Faults 69 us with Ch'in. We could bribe Ch'in by presenting it with one of our larger cities, and then join Ch’in in an attack on Ch’u to the south. In this way we can solve our difficulties with Ch’in and shift the harm to Ch’u.” “Excellent!” said the , ruler of Han, and he ordered Kung-chung P’eng to make preparations to journey west and negotiate peace with Ch’in. When the king of Ch’u heard of this he was terrified and summoned Ch’en. Chen and informed him of the situation. “Kung-chung P’eng of Han is about to go west to negotiate

peace with Ch’in. What shall we do?” he asked. “Ch'in, | having gotten a city from Han, will call out its best troops and join with Han in facing south to march against Ch’u,” said Ch’en Chen. “The king of Ch’in has long prayed in the temple of his ancestors for an opportunity like this! Ch’u is bound to suffer. | 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 Ch’in. 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 Ch’u. The king of Ch’u 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 Kung-chung P’eng to cease preparations for the journey to Ch’in. But Kung-chung

P’eng said, “That will not do! Ch’in is actually afflicting’” us, |

Reading k’u instead of kao. | ,

70 Han Fei Tzu whereas Ch’u has only said that it will come to our rescue. If we heed the empty words of Ch’u and make light of the real danger that the powerful forces of Ch'in are posing, we

will place the state in grave peril!” |

| The ruler of Han, however, refused to listen to him and Kung-chung P’eng in great anger returned to his home and for ten days did not appear at court. Meanwhile the siege of Yi-yang became more and more critical. The ruler of Han | despatched envoys urging Ch’u 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. Yi-yang 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. , 10. What do I mean by ignoring the demands of courtesy, though your state is small? Long ago, when Prince Ch’ung-

erh of Chin fled from his home, he visited the state of T's'ao.** ‘The ruler of I’s'ao made him strip to the waist and stared at him,!* while Hsi Fu-chi and Shu Chan waited in attendance. Later Shu Chan said to the ruler of Ts’ao, “I can see that the prince of Chin 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 T’s’ao. It would be best for you to kill him *8 Prince Ch’ung-erh, the son of Duke Hsien of Chin, was forced to flee from Chin in 656 B.c. because of the machinations of his evil stepmother, Lady Li. The Tso chuan records his visit to T's’ao under the year 637 B.c. (Duke Hsi, 23d yr.). “* Ch’ung-erh was said to have had peculiar ribs that grew together, and

the ruler of T’s’ao was anxious to see them for himself. According to the __ version of the story in the Tso chuan, he peeked in while the prince was

taking a bath. : :

The Ten Faults 71 now.” But the ruler of Ts’ao did not. heed this advice. | Hsi Fu-chi returned home, deeply disturbed. His wife asked him, “Why do you come home with such an unhappy look on your face?” Hsi Fu-chi replied, “They say that good luck benefits one person alone, but bad luck spreads to others.

Today our lord summoned the prince of Chin and treated | him discourteously. [ was attending him at the time, and therefore I am disturbed.” “I have seen the prince of Chin,” 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 I's'a0, and yet T’s'ao has treated him discourteously. If he ever returns to his own state, he will surely punish these insults, and ‘T’s'ao 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 T’s’ao does?” | “You are right,” said Hsi Fu-chi. 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

of jade. 7

them to the prince. When the prince received the messenger,

he bowed twice, accepted the food, but returned the pieces | From Ts’ao the prince proceeded to Ch’u, and then to ~

Ch'in. Three years after he had gone to Ch’in, Duke Mu of Ch'in summoned his ministers to conference and announced,

“In the past, as all the feudal lords know, Duke Hsien of ~Chin 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 difilement to the temple of his ancestors and deprive the state’s altars of the soil and grain of

72 Han Fei Tzu | 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 Hsien. I would therefore like to assist Ch’ung- | erh and install him on the throne of Chin. 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 Ch’ung-erh in entering the capital of Chin. Thus he set up Ch’ung-erh as ruler of Chin.

Three years after he became ruler Ch’ung-erh called out his troops and attacked T's’ao.* At the same time he sent men to announce to the ruler of Ts’ao, “You must lower Shu Chan 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 Hsi Fu-chi, “My troops are be-_ sieging the city. I know that you will not desert your sovereign, but I want you to mark the gates of your compound. | will issue an order to my troops instructing them not to tres-

pass on it.” When the people of T’s’ao heard of this they brought their parents and relatives and over seven hundred families took refuge in the residential quarter of Hsi Fu-chi. Such is the reward of courtesy. Ts’ao was a small state pressed between Chin and Ch’u, 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. | 8 According to the Spring and Autumn Annals (Duke Hsi, 28th yr.), the attack took place in 632 B.c.

me THE DIFFICULTIES OF PERSUASION'*

(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

fully. | Oo Oe

you. [hese are facts that you must not fail to consider care- |

Undertakings succeed through secrecy but fail through |

1 This chapter, with frequent textual differences, is recorded in Shih chi

63, the biography of Han Fei Tzu. | |

| 74 Han Fei Tzu | | | being found out. Though the ruler himself has not yet di_ vulged 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 sup-

pose 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

| The Difficulties of Persuasion 75 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 reject? 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. a

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. * Reading ch’i instead of chiao.

| 76 Han Fei Tzu | | If you wish to warn the ruler against dangerous and injurious

policies, then make a show of the fact that they invite re- | proach 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 him-

self 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 Po-li Hsi a captive slave, so they _ could gain the ear of the ruler.* 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 *'Yi Yin became a cook in the kitchen of Ch’eng T’ang, the founder of the Shang dynasty; Po-li Hsi became a slave at the court of Duke Mu of

Ch’in Cr. 659—621 B.C. ). ,

The Difficulties of Persuasion 77 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 judgments 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 Cheng 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 Kuan Ch’i-ssu replied, “Hu could be attacked,” where-

upon Duke Wu flew into a rage and had him executed,* | 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 Cheng was friendly towards him and therefore took no

precautions to defend himself from Cheng. The men of Cheng then made a surprise attack on Hu and seized it. Once there was a rich man of Sung. 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. * According to the Bamboo Annals, this took place in 763 B.c.

78 Han Fei Tzu Both these men—the high official Kuan Ch’i-ssu 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. Jao Chao spoke the truth

_ but, though he was regarded as a sage by the men of Chin, he was executed by those of Ch’in.® This is something you

cannot afford not to examine. |

In ancient times Mi Tzu-hsia won favor with the ruler of Wei.® 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 Tzu-hsia’s mother fell ill, someone slipped into the palace at night to report this to

: Mi Tzu-hsia. Mi Tzu-hsia 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 Tzu-hsia 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 Tzu-hsia’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 Tzu-hsia was actually acting no differently from the > Jao Chao is mentioned brieffy in the Tso chuan, Duke Wen, 13th year | (614 B.c.), as a minister of Ch’in who saw through a plot of the men of Chin, but the exact anecdote which Han Fei Tzu is referring to here is not known. ® Duke Ling of Wei Cr. 534-493 B.c.).

The Difficulties of Persuasion 79 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 launch-

ing into their speeches. | The beast called the dragon can be tamed’ 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.

” Reading jao instead of jou. |

2S MR. HO (SECTION 13)

Once a man of Ch’u named Mr. Ho, having found a piece of jade matrix in the Ch’u Mountains, took it to court and presented it to King Li.t King Li instructed the jeweler to examine it, and the jeweler reported, “It is only a stone.” The king, supposing that Ho 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 Ho once more took his matrix and preserited 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 Ho was trying to deceive him as well, ordered that his right foot be cut off. Ho, clasping the matrix to his breast, went to the foot of the Ch’u 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. Ho.” * The famous anecdote of Mr. Ho’s jade is found in many early Chinese philosophical works. In some versions, Mr. Ho’s name is given as Pien Ho. The list of Ch’u kings to whom he presented his treasure varies. _

Mr. Ho 81 | Rulers are always anxious to lay their hands on pearls and precious stones. Though Ho 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 Ho’s jade, and they are concerned about putting a stop to the private evils and deceptions of the ofhcials 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 state-

craft. — |

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. Ho, until they face the death penalty itself, and yet the true value of their words

will never be acknowledged. | In former times Wu Chi advised King Tao [r. 401-381 p.c.] of Ch’u on the customs of the state. “The high ministers have too much power,” he said, “and the enfeoffed lords are

) 82 Han Fei Tzu | 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, reduce? 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 Tao acted on this advice, but a year later he passed away and Wu Chi was torn limb from limb by the men of Ch’u. Lord Shang’ taught Duke Hsiao [r. 361-338 B.c.] of Ch’in 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* and elucidate the laws and regulations, to reject the private requests of powerful families and concentrate upon furthering the in-

- terests 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 Hsiao 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 Hsiao passed

away, and Lord Shang was tied to two chariots and torn apart by the men of Ch’in. Ch’u, failing to continue the policies of Wu Chi, suffered

? Reading ts’ai-chien instead of chiieh-mieh. |

*Wei Yang or Kung-sun Yang, a Legalist statesman and the reputed author of the early Legalist work, the Book of Lord Shang. “If Han Fei Tzu’s statement is in fact correct, Duke Hsiao does not seem to have carried out his piece of advice; it remained for the First Emperor of the Ch’in dynasty to institute a systematic burning of the Odes

and Documents. |

| Mr. Ho §3

from foreign incursion and internal chaos; Ch'in, applying Lord Shang’s laws, became rich and powerful. Yet, though both men spoke what was apt and true, why was it that Wu Chi 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 that did the men of Ch’u and Ch'in in the times I have

described. If there is no King Tao or Duke Hsiao to heed advice, then how will the planners of law and policy ever be _ willing to risk the fate of Wu Ch’ii 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.

| re PRECAUTIONS WITHIN THE PALACE (SECTION 17)

It is hazardous for the ruler of men to trust others, for he who trusts others will be controlled by others. Ministers have no bonds of flesh and blood which tie them to their ruler; it is only the force of circumstance which compels them to serve him. Hence those who act as ministers never for a moment cease trying to spy into their sovereign’s mind, and yet the ruler of men sits above them in indolence and pride. That is why there are rulers in the world who face intimidation and

sovereigns who are murdered. If the ruler puts too much trust in his son, then evil ministers will find ways to utilize the son for the accomplishment of their private schemes. ‘Thus

Li Tui, acting as aid to the king of Chao, starved the Father of the Ruler to death.’ If the ruler puts too much trust in his consort, then evil ministers will find ways to utilize the consort for the accomplishment of their private schemes. Thus

the actor Shih aided Lady Li to bring about the death of Shen-sheng and to set Hsi-ch’i on the throne.? Now if some* “Father of the Ruler” was a title assumed by King Wu-ling of Chao when he abdicated in 291 B.c. in favor of his son, King Hui-wen. In 294 B.c. his palace was surrounded by soldiers headed by the high minister Li Tui, and after some three months of confinement he died of starvation. Shih chi 43.

*Lady Li, a later consort of Duke Hsien of Chin, succeeded, with the aid of a court actor named Shih, in casting suspicion on the heir apparent, Shen-sheng, and forcing him to commit suicide in 656 B.c. Her own son by the duke, Hsi-ch’i, was then made heir apparent and succeeded to the throne in 651 B.c. Kuo yii, Chin yii 2.

Precautions Within the Palace 85 one as close to the ruler as his own consort, and as dear to him as his own son, still cannot be trusted, then obviously no one else is to be trusted either. Moreover, whether one is ruler of a state of ten thousand chariots or of a thousand only, it is quite likely that his consort, his concubines, or the son he has designated as heir to his throne will wish for his early death. How do I know this

is so? A wife is not bound to her husband by any ties of blood. If he loves her, she remains close to him; if not, she becomes estranged. The saying goes, “If the mother is favored, the son will be embraced.” But if this is so, then the opposite must be, “If the mother is despised, the son will be cast away.” A man at fifty has not yet lost interest in sex, and yet at thirty a woman’s beauty has already faded. If a woman _ whose beauty has already faded waits upon a man still occupied by thoughts of sex, then she will be spurned and disfavored,*? and her son will stand little chance of succeeding to the throne. This is why consorts and concubines long for the early death of the ruler.

If the consort can become queen dowager and her son ascend the throne, then any law she issues will be carried out, any prohibition she decrees will be heeded. She may enjoy the delights of sex as often as she ever did while her late lord was alive and may rule a state of ten thousand chariots in any way she pleases without fear of suspicion. This is why we have secret poisonings, stranglings, and knifings. As the Spring and Autumn Annals of T’ao Tso‘ says, “Less than

half of all rulers die from illness.” If the ruler does not understand this, then he lays himself open to revolt on all sides.

* Omitting the ssu, which is superfluous.

* This work is otherwise unknown.

§6 Han Fei Tzu : Thus it is said: When those who stand to profit by the ruler’s

death are many, he is in peril. | |

The charioteer Wang Liang was good to his horses, and Kou-chien, the king of Yiieh, was good to his men, the one so that they would run for him, the other so that they would fight for him. A physician will often suck men’s wounds clean and hold the bad blood in his mouth, not because he is bound

to them by any tie of kinship but because he knows there is profit in it. The carriage maker making carriages hopes that men will grow rich and eminent; the carpenter fashioning cofhns hopes that men will die prematurely. It is not that the carriage maker is kindhearted and the carpenter a knave.

It is only that if men do not become rich and eminent, the | carriages will never sell, and if men do not die, there will be no market for coffins. The carpenter has no feeling of hatred toward others; he merely stands to profit by their death. In the same way, when consorts, concubines, and heirs apparent have organized their cliques, they long for the ruler’s death for, unless he dies, their position will never be really strong. They have no feeling of hatred toward the ruler; they merely stand to profit by his death. The ruler therefore must not fail to keep close watch on those who might profit by his death. Though the sun and moon are surrounded by halos, the real danger to them comes from within.’ Prepare as you may against those who hate you, calamity will come to you from

those you love. , |

® Han Fei Tzu is probably referring to the folk tale of the toad that lives in the moon and the three-legged crow that lives in the sun, which were said to cause the eclipses of these bodies. It is not certain how much the men

of Han Fei Tzu’s time understood about the true nature of eclipses, but here he finds it convenient for his argument to regard them as internally caused.

Precautions Within the Palace 87 Therefore the enlightened ruler does not rush into any undertaking that he has not properly studied beforehand nor does he eat any unusual foods. He listens to reports from afar and scrutinizes the men close to him in order to ascertain the faults of those within and without the palace. He examines the agreements and disagreements in debate in order to determine how the various factions in the government shape up. He compares proposals and results to make certain that words are backed up by facts. He demands that what comes after shall match what went before, governs the masses according to the law, and carefully checks on the various motives of all. If he can make certain that men do not receive any unearned rewards nor overstep their authority, that death penalties are justly handed out and no crime goes unpunished, then evil and malicious men will find no opening to carry out their private schemes. If too much compulsory labor service is demanded of the | people, they feel afflicted, and this will give rise to local power groups. When local power groups have arisen, they will begin exercising the right to exempt the people from labor service, and once they are able to do this, their leaders will grow rich on bribes. To afflict the people and thereby enrich men of influence, to create power groups and thereby relinguish your authority to your ministers are not the way to bring long last_ ing benefit to the world. Hence it is said, if labor services are

- few, the people will be content; if the people are content, there will be no opportunity for men to exercise undue authority on the lower levels and power groups will disappear. Once power groups have been wiped out, then all right to dispense favors will reside with the sovereign. It is obvious that, under normal conditions, water will over-

&8 Han Fei Tzu | come fire. But if a kettle comes between them, the water will bubble and boil itself completely dry on top, while the fire goes on burning merrily away underneath, the water having been deprived of the means by which it customarily overcomes fire. It is just as obvious that government should be able to put an end to evil in the same way as water overcomes

fire. But if the officials whose duty it is to uphold the law instead play the part of the kettle, then the laws will be clear only in the mind of the ruler alone, and he will have been deprived of the means by which to prohibit evil. Judging from the tales handed down from high antiquity

and the incidents recorded in the Spring and Autumn An- | __ nals,® those men who violated the laws, committed treason, and carried out major acts of evil always worked through some

eminent and highly placed minister. And yet the laws and regulations are customarily designed to prevent evil among the humble and lowly people, and it is upon them alone that penalties and punishments fall. Hence the common people lose hope and are left with no place to air their grievances. Meanwhile the high ministers band together and work as one man to cloud the vision of the ruler. In order to demonstrate that they have no private schemes, they pretend on the outside to be at odds with one another, though in secret they are friendly enough, acting as ears and eyes for each other to © spy out flaws in the ruler’s defense. The ruler, his vision thus clouded and obstructed, has no path by which to obtain true information; though he retains the name of sovereign, he has lost the reality, and his ministers are free to enforce the laws

as they please. This is what happened to the Son of Heaven ®It is not clear whether this refers to the chronicle of the state of Lu, supposed to have been compiled by Confucius, which bears this title, or is a generic term for the chronicles of the various feudal states.

Precautions Within the Palace 89 of the Chou dynasty. If the ruler lends even a little of his power to others, then superior and inferior will change places. | Hence it is said that no ministers should be allowed to borrow the power and authority of the ruler.’ "The text of the latter half of this paragraph is rather scrappy and disorganized, and it has been surmised that parts of it may actually be bits of commentary that have erroneously been copied into the text.

me FACING SOUTH’

: (SECTION 18) : This is where rulers go wrong: having assigned certain ministers to office, they then try to use unassigned men to check the power of the assigned. They justify this policy by claiming that the interests of the assigned and the unassigned will be mutually inimical, but in fact the rulers find themselves falling under the power of the unassigned, for the men they are trying to check today are the men whom they used in previous days to check others. If the rulers cannot make the

law clear and use it to restrain the authority of the high ministers, then they will have no means to win the confidence of the people at large. If the ruler of men discards the law, and instead attempts to use some of his ministers to control others, then those who

love each other will band together in groups for mutual praise, and those who hate each other will form cliques for

mutual slander. With praise and slander striving to shout each other down, the ruler will become bewildered and confused.

Those who act as ministers believe that, unless they can somehow establish a fine reputation or persuade someone to make a special plea for them, they will never advance in office; that unless they turn their backs on law and concentrate

power in their own hands, they can never wield authority; and that unless they rely upon a mask of loyalty and good

faith, they can never circumvent the prohibitions. Yet these * J.e., being a ruler; see above, p. 24, n. 5.

Facing South — tt three types of behavior in fact serve only to delude the sover-

eign and destroy the law. So the ruler of men must make certain that, no matter how wise and capable his ministers may be, they are never allowed to turn their backs on the law and concentrate power in their own hands; no matter how worthy their actions may be, they are never allowed to presume upon their achievements and snatch rewards that belong to others; no matter how loyal and trustworthy they may be, they are never allowed to discard the law and circumvent the prohibitions. ‘This is what it means to make the law clear.

The ruler of men is sometimes misled in undertakings and blinded by words. ‘These are two dangers which he must not

fail to consider carefully. |

Ministers come blithely forward with a proposal for an undertaking and, because the funds they ask for are small, the ruler is duped by the proposal; misled as to its true nature,

he fails to examine it thoroughly, but instead is filled with admiration for the men who made it. In this way ministers are able to use undertakings to gain power over the ruler. _ This is what it means to be misled in undertakings, and he who is so misled will be beset by hazard. If, when a minister comes forward with a proposal, he asks for meager funds but, after he has retired to put it into effect his expenditures are very large, then although the undertak-

ing may produce results, the proposal was not made in good faith. He who speaks in bad faith is guilty of a crime and, though his undertaking has achieved results, he should receive no reward.” If this rule is obeyed, then the ministers — will not dare to dress up their words in an effort to delude the

sovereign. ,

* Supplying a sui before yu and reading pu instead of pi.

92 Han Fei Tzu The way of the ruler is to make certain that, if what a minister says beforehand does not tally with what he says later,

or what he says later does not tally with what he has said previously, then although he may have fulfilled his task with distinction, he is condemned to certain punishment. This is what it means to hold your subordinates responsible. If a minister is planning to bring a proposal for some undertaking before the ruler but fears that it will meet with criticism, he will be certain to announce beforehand, “Anyone who questions this undertaking does so simply out of jealousy.” The ruler, with these words firmly fixed in his mind, will pay no further heed to the advice of other ministers, while they

for their part, fearful of the effect of such words, will not venture to question the undertaking. When these two circumstances prevail, then truly loyal ministers will go unheeded and only those who have managed to acquire a repu- _

tation will be put in charge. This is what it means to be _ blinded by words, and he who is so blinded will end up in the power of his ministers. ‘The way of the ruler is to make certain that ministers are called to account for the words they speak and are also called to account for the words they fail to speak. If the beginning

and end of their words fail to tally, if their arguments lack proof, then they are called to account for what they have spoken. If they attempt to evade responsibility by saying nothing, although they hold important positions, then they are called to account for not speaking. The ruler of men must make certain that, when his ministers speak, he understands the beginning and end of what they say and can hold them

responsible for matching it with facts; and when they fail to speak, he must inquire into the causes for their reticence and hold them responsible for that as well. If this is done,

Facing South 93 | then ministers will not dare to speak out recklessly, nor will

they dare to remain silent, for they will know that both speech and silence will be equally called to account. When the ruler of men wishes to carry out some undertak-

ing, if he does not acquire a clear understanding of all the factors involved, but simply makes obvious his desire to carry it out, then the work will bring no profit, but on the contrary

will invariably end in loss. He who comprehends this will know that he must proceed on the basis of principle and discard the factor of desire.

There is a proper way to initiate undertakings. If you estimate that the income from a particular undertaking will be large and the outlay small, then the project is practical. But a deluded ruler does not understand this. He estimates the income but not the outlay, and though the outlay may be twice the income, he fails to comprehend that this is a loss. Thus in name he appears to have profited but in fact he has not; the success is small but the loss great. An achieve-

ment can be called successful only if the income is large and | the outlay small. But if men are allowed to expend large sums

of money without incurring blame and still take credit for the meager successes they achieve, then the ministers will

think nothing of spending large sums to accomplish a small aim. Only small gains will be achieved, and in addition the

ruler will suffer loss. |

Those who have no understanding of government always tell you, “Never change old ways, never depart from established custom!” But the sage cares nothing about change or no change; his only concern is to rule properly. Whether or not he changes old ways, whether or not he departs from established customs depends solely upon whether such old ways and customs are effective or not.

94 Han Fei Tzu If Yi Yin had not changed the ways of Yin and T’ai-kung

had not changed the ways of Chou, then T’ang and Wu would never have become kings. If Kuan Chung had not reformed the ways of Ch’i and Kuo Yen had not altered those of Chin, then dukes Huan and Wen would never have become dictators.*

In general, those who disapprove of changing old ways are simply timid about altering what the people have grown used

to. But those who fail to change old ways are often in fact prolonging the course of disorder, while those who strive to gratify the people are after some selfish and evil end. If the people are too stupid to recognize the signs of disorder, and their superiors too fainthearted to adopt reforms, then govern-

ment has gone awry. | The ruler of men must be enlightened enough to comprehend the way of government and strict enough to put it into effect. Though it means going against the will of the people, he will enforce his rule. In proof of this, we may note that Lord Shang, when he came and went at court, was guarded by iron spears and heavy shields to prevent sudden attack.* Similarly, when Kuo Yen instituted his new policies in Chin,

Duke Wen provided himself with bodyguards, and when Kuan Chung first began his reforms in Ch’i, Duke Huan rode

in an armored carriage. All these were precautions against *Yi Yin and T’ai-kung were sage ministers who aided King f’ang, the founder of the Yin or Shang dynasty, and King Wu, the founder of the Chou, respectively. Kuan Chung (d. 645 B.c.) was adviser to Duke Huan of Ch’i (see above p. 33, n. 4.). Kuo Yen, whose surname is given in other works as Kao or Hsi, performed a similar service for Duke Wen (636-628 s.c.) of Chin. These last two rulers constitute the first and second of the so-called Five Pa—dictators or overlords.

“On Lord Shang, the Legalist minister of Duke Hsiao of Ch’in, whose severe measures made him extremely unpopular with the people, see pp. 82-83 above.

Facing South 95 danger from the people. For the people, in their stupid and slovenly way, will groan at even a small expenditure and for-

get the great profits to be reaped from it.® : *'The section closes with a passage of 34 characters, the meaning of which is almost impossible to make out. It deals with historical anecdotes that are otherwise unknown, and in addition the text appears to be corrupt. It has seemed best, therefore, to omit it altogether.

me THE FIVE VERMIN (SECTION 49) In the most ancient times, when men were few and creatures

numerous, human beings could not overcome the birds, beasts, insects, and reptiles. Then a sage appeared who fashioned nests of wood to protect men from harm. The people were delighted and made him ruler of the world, calling him the Nest Builder. The people lived on fruits, berries, mussels,

and clams—things rank and evil-smelling that hurt their bellies, so that many of them fell ill. Then a sage appeared who drilled with sticks and produced fire with which to transform the rank and putrid foods. The people were delighted and made him ruler of the world, calling him the Drill Man. In the age of middle antiquity there was a great flood in

| the world, but Kun and Yii of the Hsia dynasty opened up channels for the water. In the age of recent antiquity Chieh and Chou ruled in a violent and perverse way, but T'ang of

the Yin dynasty and Wu of the Chou dynasty overthrew them.

Now if anyone had built wooden nests or drilled for fire

in the time of the Hsia dynasty, Kun and Yii would have , laughed at him, and if anyone had tried to open channels for the water during the Yin or Chou dynasties, T’ang and Wu would have laughed at him. This being so, if people in the present age go about exalting the ways of Yao, Shun, Yi, T’ang, and Wu, the sages of today are bound to laugh at them. For the sage does not try to practice the ways of antiquity or —

| | The Five Vermin 97 to abide by a fixed standard, but examines the affairs of the

age and takes what precautions are necessary. There was a farmer of Sung who tilled the land, and in his field was a stump. One day a rabbit, racing across the field, bumped into the stump, broke its neck, and died. Thereupon the farmer laid aside his plow and took up watch beside the stump, hoping that he would get another rabbit in the same

way. But he got no more rabbits, and instead became the laughing stock of Sung. Those who think they can take the ways of the ancient kings and use them to govern the people _

of today all belong in the category of stump-watchers! | _ In ancient times husbands did not have to till the fields, for _ the seeds of grass and the fruit of the trees were enough for people to eat. Wives did not have to weave, for the skins of birds and beasts provided sufhicient clothing. No one had to struggle to keep himself supplied. The people were few, there

| was an abundance of goods, and so no one quarreled. ‘Therefore, no rich rewards were doled out, no harsh punishments

were administered, and yet the people of themselves were _ orderly. But nowadays no one regards five sons as a large num-

ber, and these five sons in turn have five sons each, so that before the grandfather has died, he has twenty-five grandchildren. Hence the number of people increases, goods grow scarce, and men have to struggle and slave for a meager living.

Therefore they fall to quarreling, and though rewards are

doubled and punishments are piled on, they cannot be pre- | vented from growing disorderly.

When Yao ruled the world, he left the thatch of his roof un- | trimmed, and his speckled beams were not planed. He ate coarse millet and a soup of greens, wore deerskin in winter days and rough fiber robes in summer. Even a lowly gatekeeper was no worse clothed and provided for than he. When

98 Han Fei Tzu Yii ruled the world, he took plow and spade in hand to lead his people, working until there was no more down on his thighs

or hair on his shins. Even the toil of a slave taken prisoner in the wars was no bitterer than his. Therefore those men in ancient times who abdicated and relinquished the rule of the world were, in.a manner of speaking, merely forsaking the life of a gatekeeper and escaping from the toil of a slave. Therefore they thought little of handing over the rule of the world to someone else. Nowadays, however, the magistrate of a dis-

trict dies and his sons and grandsons are able to go riding about in carriages for generations after. Therefore people prize such offices. In the matter of relinquishing things, people thought nothing of stepping down from the position of Son of Heaven in ancient times, yet they are very reluctant to give up the post of district magistrate today; this is because of the difference in the actual benefits received. Those who live in the mountains and must descend to the valley to fetch their water give each other gifts of water at festival time. Those who live in the swamps and are troubled by dampness actually hire laborers to dig ditches to drain off the water. In the spring following a famine year even the lit-

tle boys of the family get no food; in the fall of a year of plenty even casual visitors are feasted. It is not that men are | indifferent to their own flesh and blood and generous to passing visitors; it is because of the difference in the amount of food to be had. Hence, when men of ancient times made light of material goods, it was not because they were benevolent, but because

there was a surplus of goods; and when men quarrel and snatch today, it is not because they are vicious, but because eoods have grown scarce. When men lightly relinquish the position of Son of Heaven, it is not because they are high-

The Five Vermin 99 minded, but because the advantages of the post are slight; when men strive for sinecures in the government, it is not because they are base, but because the power they will acquire is great. When the sage rules, he takes into consideration the quantity of things and deliberates on scarcity and plenty. Though his punishments may be. light, this is not due to his compassion; though his penalties may be severe, this is not because he is cruel; he simply follows the custom appropriate to the time. Circumstances change according to the age, and ways of dealing with them change with the circumstances. In ancient times King Wen lived in the area between Feng

| and Hao, his domain no more than a hundred li square, but he practiced benevolence and righteousness, won over the Western Barbarians, and eventually became ruler of the world.

King Yen of Hsii lived east of the Han River in a territory five hundred li square. He practiced benevolence and righteousness, and thirty-six states came with gifts of territory to

| pay him tribute, until King Wen of Ching, fearing for his own | safety, called out his troops, attacked Hsii, and wiped it out.’ Thus King Wen practiced benevolence and righteousness and

became ruler of the world, but King Yen practiced benevolence __ and righteousness and destroyed his state. This is because benevolence and righteousness served for ancient times, but no longer serve today. So I say that circumstances differ with the age.

In the time of Shun the Miao tribes were unsubmissive, and Yii proposed to attack them. But Shun said, “That will not do! ‘To take up arms while the virtue of the ruler is not * The story of King Yen of Hsii appears in many different forms in early works. Because there is so much disagreement on the facts, it is impossille to assign the events to any particular date, or even to determine whether they have any basis in historical fact.

100 Han Fei Tzu yet perfected would be a violation of the Way.” Shun taught the ways of good government for the following three years,

and then took up shield and battle-ax and performed the war dance, and the Miao submitted. But in the war with the Kungkung,” men used iron lances with steel heads that reached to the enemy, so that unless one was protected by a stout helmet and armor he was likely to be wounded. Hence shields and battle-axes served for ancient times, but no longer serve today.

So I say that as circumstances change the ways of dealing with them alter too.

Men of high antiquity strove for moral virtue; men of mid-

dle times sought out wise schemes; men of today vie to be known for strength and spirit. Ch’i was once planning an attack on Lu. Lu dispatched Tzu-kung* to dissuade the men of Ch’i, but they replied, “Your words are eloquent enough. But what we want is territory, and that is the one thing you have not mentioned.” So in the end Ch’i called out its troops, attacked Lu, and fixed its boundary line only ten li away trom

the Lu capital gate. a

King Yen practiced benevolence and righteousness and the state of Hsii was wiped out; Tzu-kung employed eloquence

and wisdom and Lu lost territory. So it is obvious that benev- | olence, righteousness, eloquence, and wisdom are not the means by which to maintain the state. Discard the benevolence of King Yen and put an end to Tzu-kung’s wisdom; build up the might of Hsii and Lu until they can stand face to face with * Kung-kung is usually mentioned as a legendary figure of the time of

Yao or earlier, but Han Fei Tzu apparently has some other meaning of the name in mind. Perhaps Kung-kung here refers to a tribe that traced its ancestry back to the figure of that name.

*Tzu-kung was a disciple of Confucius noted for his eloquence. The Tso chuan, Duke Ai, 15th year, mentions his mission to Ch’i in 480 B.c., but the rest of the anecdote appears to be apocryphal.

The Five Vermin 101 a state of ten thousand war chariots—then Ch’i and Ching will no longer be able to do with them as they please!

| Past and present have different customs; new and old adopt different measures, ‘To try to use the ways of a generous and lenient government to rule the people of a critical age is like

| trying to drive a runaway horse without using reins or whip. This is the misfortune that ignorance invites.

Now the Confucians and Mo-ists all praise the ancient kings for their universal love of the world, saying that they looked after the people as parents look after a beloved child.* And how do they prove this contention? They say, “Whenever the minister of justice administered some punishment, the ruler would purposely cancel all musical performances; and whenever the ruler learned that the death sentence had been passed on someone, he would shed tears.” For this reason they praise the ancient kings.

Now if ruler and subject must become like father and son before there can be order, then we must suppose that there is no such thing as an unruly father or son. Among human affections none takes priority over the love of parents for their children. But though all parents may show love for their children, the children are not always well behaved. And though the parents may love them even more, will this prevent the children from becoming unruly? Now the love of the ancient kings for their people was no greater than the love of parents

for their children. And if such love cannot prevent children from becoming unruly, then how can it bring the people to

order?

As for the ruler’s shedding tears when punishments are carried out in accordance with the law—this is a fine display ‘Supplying the words chih ai tzu in accordance with the suggestion of Ch’en Ch’i-yu.

«102 Han Fei Tzu | of benevolence but contributes nothing to the achievement of order. Benevolence may make one shed tears and be reluctant to apply penalties; but law makes it clear that such penalties must be applied. The ancient kings allowed law to be supreme and did not give in to their tearful longings. Hence it is obvious that benevolence cannot be used to achieve order in the

state. |

| Moreover, the people will bow naturally to authority, but few of them can be moved by righteousness. Confucius was one of the greatest sages of the world. He perfected his conduct, made clear the Way, and traveled throughout the area within the four seas, but in all that area those who rejoiced in his benevolence, admired his righteousness, and were willing to become his disciples numbered only seventy. For to honor benevolence is a rare thing, and to adhere to righteousness is hard. ‘Therefore within the vast area of the world only seventy men became his disciples, and only one man—he himself— was truly benevolent and righteous. Duke Ai of Lu was a mediocre ruler, yet when he ascended the throne and faced south as sovereign of the state, there was

no one within its boundaries who did not acknowledge allegiance to him. The people will bow naturally to authority, and he who wields authority may easily command men to submit; therefore Confucius remained a subject and Duke Ai continued to be his ruler. It was not that Confucius was won by the duke’s righteousness; he simply bowed before his authority. On the basis of righteousness alone, Confucius would

never have bowed before Duke Ai; but because the duke wielded authority, he was able to make Confucius acknowledge his sovereignty.

Nowadays, when scholars counsel a ruler, they do not urge him to wield authority, which is the certain way to success,

The Five Vermin 103 but instead insist that he must practice benevolence and righteousness before he can become a true king. This is, in effect, to demand that the ruler rise to the level of Confucius, and that all the ordinary people of the time be like Confucius’ disciples. Such a policy is bound to fail. Now here is a young man of bad character. His parents rail at him but he does not reform; the neighbors scold but he is unmoved; his teachers instruct him but he refuses to change his ways. Thus, although three fine influences are brought to bear on him—the love of his parents, the efforts of the neighbors, the wisdom of his teachers—yet he remains unmoved and refuses to change so much as a hair on his shin. But let the local magistrate send out the government soldiers to enforce the law and search for evil-doers, and then he is filled with terror, reforms his conduct, and changes his ways.

Thus the love of parents is not enough to make children learn what is right, but must be backed up by the strict penalties of the local officials; for people by nature grow proud on love, but they listen to authority.

Even the nimble Lou-chi could not climb a city wall ten _ spans high, because it is too precipitous; but lame sheep may

easily graze up and down a mountain a hundred times as high, because the slope is gradual. Therefore the enlightened ruler makes his laws precipitous and his punishments severe. Ordinary people are unwilling to discard a few feet of cloth, but even Robber Chih would not pick up a hundred taels of molten gold. As long as there is no harm involved, people

will not discard a few feet of cloth, but because they are | certain to hurt their hands they refuse to pick up a hundred taels of molten gold. ‘Therefore the enlightened ruler makes

his punishments certain. |

| For this reason, the best rewards are those which are gen-

104 Han Fei Tzu erous and predictable, so that the people may profit by them. The best penalties are those which are severe and inescapable,

so that the people will fear them. The best laws are those which are uniform and inflexible, so that the people can un- , derstand them. Therefore the ruler should never delay in handing out rewards, nor be merciful in administering punishments. If praise accompanies the reward, and censure follows on the heels of punishment, then worthy and unworthy men alike will put forth their best efforts.

But this is not the way things are done at present. The rulers hand out official titles to men who have achieved merit

but assign them to insignificant posts. They give rewards to the farmers but in practice actually reduce their means of livelihood. ‘They dissociate themselves from those who spurn official position but at the same time praise their contempt for the world. They punish those who violate the prohibitions but at the same time admire their bravery. Thus

the things which they censure or praise are completely at odds with those which they reward or punish.

Nowadays, he who makes certain to avenge any wrong done to his brother is called an upright man, and he who joins his friend in attacking the perpetrator of an insult is called a man of honor. Such a man performs deeds that are regarded as upright and honorable, and in doing so violates the laws and prohibitions of the ruler. But the ruler, lost in ad-

miration for such upright and honorable deeds, forgets to punish the violation of his laws, and hence the people outdo

control them. | each other in shows of valor and the magistrates can no longer

Likewise, he who manages to get clothing and food without

working for them is called an able man, and he who wins esteem without having achieved any merit in battle is called

| The Five Vermin 105 a worthy man. But the deeds of such able and worthy men actually weaken the army and bring waste to the land. If the ruler rejoices in the deeds of such men, and forgets the harm they do by weakening the army and bringing waste to the land, then private interests will prevail and public profit will

| come to naught. | | The Confucians with their learning bring confusion to the

law; the knights with their military prowess violate the prohibi-

tions.® Yet the ruler treats both groups with respect, and so we have disorder. People who deviate fem the law should be treated as criminals, and yet the scholars actually attain posts in the government because of their literary accomplishments. People who violate the prohibitions ought to be punished, and

| yet the bands of knights are able to make a living by wielding their swords in a private cause. Hence, those whom the law condemns, the ruler accepts, and those whom the magistrates seek to punish, the higher officials patronize. Thus law and practice, high official and lowly magistrate, are all set at odds, and there is no fixed standard. Under such circumstances even ten Yellow Emperors could not bring the state to order. Those

who practice benevolence and righteousness should not be praised, for to praise them is to cast aspersion on military

achievements; men of literary accomplishment should not be | employed in the government, for to employ them is to bring confusion to the law.

In the state of Ch’u there was a man named Honest Kung.

_ When his father stole a sheep, he reported the theft to the _ “When the Confucians wished to oppose some political measure, they customarily declared that it was not in accord with ancient practice and cited some early text in proof. The knights or cavaliers, noted for their daring and strict code of honor, often acted as local “bosses” in defiance of the government authorities, guaranteeing protection to people who sought

their aid or hiring out their services in the conduct of private vendettas.

106 Han Fei Tzu ; authorities. But the local magistrate, considering that the man was honest in the service of his sovereign but a villain to his

own father, replied, “Put him to death!”, and the man was accordingly sentenced and executed. Thus we see that a man who is an honest subject of his sovereign may be an infamous son to his father.

There was a man of Lu who accompanied his sovereign to war. Three times he went into battle, and three times he ran away. When Confucius asked him the reason, he replied, “I have an aged father and, if I should die, there would be no one to take care of him.” Confucius, considering the man filial, recommended him and had him promoted to a post in the government. Thus we see that a man who is a filial son to his father may be a traitorous subject to his lord. The magistrate of Ch’u executed a man, and as a result the

felonies of the state were never reported to the authorities; Confucius rewarded a man, and as a result the people of Lu thought nothing of surrendering or running away in battle. Since the interests of superior and inferior are as disparate as all this, it is hopeless for the ruler to praise the actions of the private individual and at the same time try to insure blessing to the state’s altars of the soil and grain. In ancient times when T’s'ang Chieh created the system of writing, he used the character for “private” to express the idea of self-centeredness, and combined the elements for “private” and “opposed to” to form the character for “public.” ‘The fact

that public and private are mutually opposed was already well understood at the time of ‘Tsang Chieh. To regard the two as being identical in interest is a disaster which comes from lack of consideration.

If I were to give advice from the point of view of the private

individual, I would say the best thing is to practice benev-

The Five Vermin 107 olence® and righteousness and cultivate the literary arts. By practicing benevolence and righteousness, you become trusted, and when you have become trusted you may receive official appointment. Similarly, by cultivating the literary arts you may become an eminent teacher, and when you have become an eminent teacher you will win honor and renown. This is the highest goal of the private individual. But when this happens, then, from the point of view of the state, someone who has performed no meritorious service to the nation is recelving ofhcial appointment, and someone who holds no government title is enjoying honor and renown. If the government is conducted in this fashion, then the state will face certain disorder and the ruler will surely be in peril. Hence the interests of the state and the individual are mutually at odds, and both cannot prevail at the same time. To reward those who cut off the heads of the enemy and yet to admire acts of mercy and compassion; to hand out titles _ and stipends to those who capture the enemy’s cities and yet to give ear to doctrines of universal’ love; to strengthen one’s armor and sharpen one’s weapons in preparation for the time of trouble, and yet praise the elegant attire of the civil gentry; to hope to enrich the nation through agriculture and ward off

the enemy with trained soldiers, and yet to pay honor to men . = of literary accomplishment; to spurn those people who respect their rulers and fear the law, and instead to patronize the bands of wandering knights and private swordsmen—to indulge in contradictory acts like these is to insure that the state will never be well ordered. The nation at peace may patronize Confucian scholars and cavaliers; but the nation in danger must call upon its fighting men. Thus those who are * Reading jen instead of hsing here and in the clause following. * Reading chien instead of lien.

108 Han Fei Tzu of real profit to the state are not used and those who are used

are of no profit. As a result, those who attend to government business become careless in their jobs and wandering scholars increase in number day by day. Hence the disorder of our age.

The world calls worthy those whose conduct is marked by integrity and good faith, and wise those whose words are subtle and mysterious. But even the wisest man has difficulty — understanding words that are subtle and mysterious. Now if you want to set up laws for the masses and you try to base them on doctrines that even the wisest men have difficulty in

understanding, how can the common people comprehend them? A man who cannot even get his fill of the coarsest grain does not insist on meat and fine millet; a man with a short coat all in rags does not insist on waiting for embroidered robes.

It is the same in government affairs; if you cannot find the solution to critical problems, you have no business worrying about unimportant ones. Now in administering your rule and dealing with the people, if you do not speak in terms that any

man and woman can plainly understand, but long to apply the doctrines of the wise men, then you will defeat your own efforts at rule. Subtle and mysterious words are no business of

the people. | If people regard *® those who act with integrity and good faith as worthy, it must be because they value? men who have no deceit, and they value men of no deceit because they themselves have no means to protect themselves from deceit. ‘The common people in selecting their friends, for example, have

: no wealth by which to win others over, and no authority by which to intimidate others. For that reason they seek for men who are without deceit to be their friends. But the ruler oc-

* Omitting the liang, which is superfluous. |

° Following texts which read kuei at the beginning of this clause.

: The Five Vermin 10g cupies a position whereby he may impose his will upon others, and he has the whole wealth of the nation at his disposal; he

may dispense lavish rewards and severe penalties and, by wielding these two handles, may illuminate all things through his wise policies.?° In that case, even traitorous ministers like T’ien Ch’ang and Tzu-han would not dare to deceive him.” Why should he have to wait for men who are by nature not

deceitful? |

Hardly ten men of true integrity and good faith can be found today, and yet the offices of the state number in the hundreds. If they must be filled by men of integrity and good faith, then there will never be enough men to go around; and if the offices are left unfilled, then those whose business it is to

govern will dwindle in numbers while disorderly men increase. Therefore the way of the enlightened ruler is to unify the laws instead of seeking for wise men, to lay down firm policies instead of longing for men of good faith. Hence his laws never fail him, and there is no felony or deceit among his

officials. |

These days, when the ruler listens to men’s words, he de-

lights in their eloquence and does not bother to inquire if they are apt, and when he embarks upon some undertaking,

he is thrilled by the report of what is to be accomplished and does not demand to see actual results. For this reason the people of the world, when they come to make a speech, strive for eloquence and disregard the question of whether their words are practical. Hence the court is filled with men _ discoursing on the former kings and discussing benevolence and righteousness, and the government cannot escape disorder. Likewise, in the matter of personal conduct, men try to outdo *° The text of the last part of the sentence appears to be corrupt and the translation is tentative. “4 For T’ien Ch’ang and ‘Tzu-han, see above, p. 31.

110 Han Fei Tzu a each other in high-minded deeds, regardless of whether they

produce any useful results. Hence, men of wisdom retire from government service and go off to live in caves, refusing the stipends that are offered them, and as a result the armies

crow weaker and the government cannot escape disorder. What is the cause of all this? The fact that what the people praise and the ruler honors are actually policies that lead to the ruin of the state. Now the people of the state all discuss good government, and everyone has a copy of the works on law by Shang Yang and Kuan Chung in his house,’” and yet the state gets poorer and poorer, for though many people talk about farming, very

| few put their hands to a plow. The people of the state all discuss military affairs, and everyone has a copy of the works of Sun Wu and Wu Chii in his house,’* and yet the armies grow

| weaker and weaker, for though many people talk about war, very few buckle on armor. Therefore an enlightened ruler will make use of men’s strength but will not heed their words, will reward their accomplishments but will prohibit useless activities. [hen the people will be willing to exert themselves to the point of death in the service of their sovereign. Farming requires a lot of hard work but people will do it because they say, “This way we can get rich.” War is a dan-

gerous undertaking but people will take part in it because they say, “This way we can become eminent.” Now if men who devote themselves to literature or study the art of persuasive speaking are able to get the fruits of wealth without the

hard work of the farmer, and can gain the advantages of eminence without the danger of battle, then who will not take up such pursuits? So for every man who works with his hands "The Book of Lord Shang and the Kuan Tzu, Legalist works which stressed the importance of agriculture.

*'The Sun Tzu and Wu Tzu, works on military science.

The Five Vermin 111 there will be a hundred devoting themselves to the pursuit of wisdom. If those who pursue wisdom are numerous, the laws will be defeated, and if those who labor with their hands are few, the state will grow poor. Hence the age will become dis-

ordered. | Therefore, in the state of an enlightened ruler there are no books written on bamboo slips; law supplies the only instruction. There are no sermons on the former kings; the ofhcials serve as the only teachers. ‘There are no fierce feuds of private swordsmen; cutting off the heads of the enemy is the only deed

of valor. Hence, when the people of such a state make a speech, they say nothing that is in contradiction to the law; when they act, it is in some way that will bring useful results; and when they do brave deeds, they do them in the army. Therefore, in times of peace the state is rich, and in times of trouble its armies are strong. These are what are called the resources of the ruler. he ruler must store them up, and then wait for an opening to strike at his enemy. He who would surpass the Five Emperors of antiquity and rival the Three Kings must proceed by this method.

But this is not the way things are now. Within the state the people behave as they please, while the speechmakers work

to spread their influence abroad. With those at home and abroad both up to mischief and hoping for the intervention — of powerful enemy states, how can the state escape danger? When the ministers speak on foreign affairs, they are either _ acting as spokesmen for the Horizontal or Vertical alliances" or trying to enlist the aid of the state to avenge some personal “The Horizontal Alliance was an east-west alignment of states under the leadership of the powerful state of Ch’in in the west. The Vertical

moment. | Alliance, a north-south alignment, was designed to preserve the independence of the weaker states and block Ch’in’s expansion. Smaller states frequently changed their alliance according to the political expedience of the

112 Han Fei Tzu wrong. But neither the Vertical Alliance, in which one joins with a number of weak states in hopes of attacking a strong one, nor the Horizontal Alliance, in which one serves a strong state for the purpose of attacking a number of weak ones, can insure the survival of one’s own state.

Those ministers who urge the Horizontal Alliance all say, “If we do not enter the service of a powerful state, we will be attacked by enemies and will face disaster!” Now when you enter the service of a powerful state, you cannot yet be certain of the practical advantages, and yet you must hand over all the maps of your territory and present your official seals

when you request military aid. Once the maps have been presented, you will be stripped of territory, and once your offi-

_ cial seals have been put into the hands of another, your prestige will vanish. If your territory is stripped away, the state will be weakened, and if your prestige vanishes, the government will fall into disorder. So you gain no benefit by entering the Horizontal Alliance in the service of a powerful state, but merely lose territory and undermine the government. Those ministers who urge the Vertical Alliance all say, “TE we do not rescue the smaller states and attack the powerful

one, the whole world will be lost and, when the rest of the

world is lost, our own state will be in peril and our ruler will face contempt!” Now you are not yet certain that you can actually save the smaller states, and yet you must call out | your troops and face a powerful enemy. When you try to save the smaller states, you cannot always be sure of preserving them from destruction; and when you face a powerful enemy,’® you cannot always be sure that your allies will remain loyal. And if your allies break with you, you will be at the mercy of the powerful state. Then if you send out troops to battle, your * Reading ti instead of chiao.

The Five Vermin 112 armies will be defeated, and if you withdraw and try to protect your own realm, your cities will fall. So you gain no benefit by entering the Vertical Alliance in an attempt to save the smaller states, but lose your own lands and destroy your own army. Hence, if you enter the service of a powerful state, it will dispatch its own men of authority to take over the offices in your government; and if you work to rescue the smaller states, your own important ministers will take advantage of the situation to further their interests abroad. No benefit will come to

the state as a whole, but only fiefs and rich rewards for its ministers. They will enjoy all the honor, while the ruler is despised; their families will grow rich, while the state is stripped of its lands. If their schemes succeed, they will use their power to prolong their eminence; if their schemes fail, they will retire with all their wealth intact. | But if the ruler, when he heeds such urgings, honors his ministers and rewards them with titles and stipends before their advice has produced successful results, and fails to punish them when it has proved unsuccessful, then who among

the wandering theorists will not come forward with some hit-or-miss scheme in hopes of benefiting by a stroke of luck? Why do the rulers listen to the wild theories of the speechmakers, and bring destruction to the state and ruin to themselves? Because they do not distinguish clearly between pub-

lic and private interests, do not examine the aptness of the _ words they hear, and do not make certain that punishments

are meted out where they are deserved. Each ruler says, “By attending to foreign affairs I can perhaps become a king, and if not I will at least ensure security for myself.” A true king is one who is in a position to attack others, and a ruler whose state is secure cannot be attacked. But a powerful ruler can also attack others, and a ruler whose

114 Han Fei Tzu state is well ordered likewise cannot be attacked. Neither power nor order, however, can be sought abroad—they are wholly a matter of internal government. Now if the ruler does not apply the proper laws and procedures within his state, but stakes all on the wisdom of his foreign policy, his state will never become powerful and well ordered. The proverb says, “If you have long sleeves, you'll be good at dancing; if you have lots of money, you'll be good at business.” ‘This means that it is easy to become skillful when you have ample resources. Hence, it is easy to scheme for a state

that is powerful and orderly but difficult to make any plan for one that is weak and chaotic. Those who scheme for the state of Ch’in can make ten changes and still their plans will

seldom fail; but those who plan for the state of Yen can scarcely make one change and still hope for success. It is not that those who plan for Ch'in are necessarily wise and those who plan for Yen are stupid—it is simply that the resources they have to work with—order in one case, disorder in the other—are different.

Chou deserted the side of Ch'in and joined the Vertical Alliance, and within a year it had lost everything.1* Wey turned its back on Wei to join the Horizontal Alliance, and in half a year it was ruined.’* ‘Thus Chou was ruined by the Vertical Alliance and Wey was destroyed by the Horizontal Alliance. Instead of being so hasty in their plans to join an alliance, they should have worked to strengthen the order **In 256 B.c. King Nan of the Chou dynasty joined with the leaders of

the Vertical Alliance in an attack on Ch’in which failed miserably. To make amends, he was obliged the same year to turn over all his territory to Ch’in.

“The event to which Han Fei Tzu is probably referring occurred in 241 B.c., though the details are not known. The names of the two states are romanized the same way in modern Chinese, but I have spelled the name of the older state “Wey” to distinguish them.

The Five Vermin 115 within their domains, to make their laws clear and their rewards and punishments certain, to utilize the full resources

of the land in building up stores of provisions, and to train. | their people to defend the cities to the point of death, thus ensuring that any other ruler would gain little profit by trying

to seize their lands, but on the contrary would suffer great injury if he attempted to attack their states. In that case, even — the ruler of a state of ten thousand war chariots would have been unwilling to wear out his armies before their strong walls and, in his exhausted condition, invite the attack of powerful enemies. This would have been the way to escape destruction. | To abandon a way which assures escape from destruction, and

follow instead a path that leads to certain downfall, is the greatest error one can make in governing a state. Once the wisdom of its foreign’® policy is exhausted and its internal gov-

ruin. :

ernment has fallen into disorder, no state can be saved from

The people, in planning for their welfare, are most con-

cerned in finding security and profit and avoiding danger and poverty. But if they must go off to fight foreign wars for the state, they face death at the hands of the enemy should they _ advance and death from official punishment should they retreat—hence they are in danger. If they must abandon their domestic affairs and go off to endure the sweat and hardship _ of battle, their families will grow poor and the ruler is likely

never to reward them for their services—hence they face poverty. If such poverty and danger lie before them, how can

you expect the people not to try to escape them? So they flock to the gates of influential men seeking a guarantee of exemption from military service, for with such a guarantee _ they may stay far from the scene of battle and live in safety. _ * Reversing the position of the nei and wai.

116 Han Fei Tzu | Likewise they slip bribes to the men in office in order to get

, some appointment, for with such an appointment they may insure their private security. If they can obtain anything so profitable as private security, how can you expect them not to resort to such measures? Hence men who are concerned with public welfare grow fewer, and those who think only of private interests increase in number. An enlightened ruler will administer his state in such a way

as to decrease the number of merchants, artisans, and other men who make their living by wandering from place to place, and will see to it that such men are looked down upon. In this way he lessens the number of people who abandon’® primary pursuits [i.e., agriculture] to take up secondary occupations. Nowadays, however, if a man can enlist the private pleading of someone at court, he can buy offices and titles. When offices and titles can be bought, you may be sure that merchants and artisans will not remain despised for long; and when wealth and money, no matter how dishonestly gotten,

can buy what is in the market, you may be sure that the number of merchants will not remain small for long. When

| a man who sits back and collects taxes makes twice as much as the farmer and enjoys greater honor than the plowman or the soldier, then public-spirited men will grow few and merchants and tradesmen will increase in number. These are the customs of a disordered state: Its scholars praise the ways of the former kings and imitate their benevolence and righteousness, put on a fair appearance and speak in elegant phrases, thus casting doubt upon the laws of the time and causing the ruler to be of two minds. Its speech-

| makers*® propound false schemes and borrow influence from

** Reading she instead of ch’i. , ” Reading t’an instead of ku.

The Five Vermin 117 | abroad, furthering their private interests and forgetting the welfare of the state’s altars of the soil and grain. Its swordsmen gather bands of followers about them and perform deeds of honor, making a fine name for themselves and violating the

prohibitions of the five government bureaus. Those of its people who are worried about military service*’ flock to the gates of private individuals and pour out their wealth in bribes to influential men who will plead for them, in this way escaping the hardship of battle. Its merchants and artisans spend their time making articles of no practical use and gathering stores of luxury goods, accumulating riches, waiting for the best time to sell, and exploiting the farmers. These five groups are the vermin of the state. If the rulers

do not wipe out such vermin, and in their place encourage men of integrity and public spirit, then they should not be surprised, when they look about the area within the four seas, to see states perish and ruling houses wane and die.

™ Reading yi instead of yii. |

BA

“& EMINENCE IN LEARNING , (SECTION 50)

In the present age, the Confucians and Mo-ists are well known for their learning. The Conlucians pay the highest honor to Confucius, the Mo-ists to Mo Vi. Since the death of Confucius, the Tzu-chang School, the ‘T'zu-ssu School, the Yen Family School, the Meng Family School, the Ch’i-tiao Family

School, the Chung-liang Family School, the Sun Family School, and the Yiieh-cheng Family School have appeared. Since the death of Mo Tzu, the Hsiang-li Family School, the Hsiang-fu Family School, and the Teng-ling Family School have appeared. Thus, since the death of its founder, the Confucian school has split into eight factions, and the Mo-ist school

into three. Their doctrines and practices are different or even contradictory, and yet each claims to represent the true teaching of Confucius and Mo Tzu. But since we cannot call Confucius and Mo Tzu back to life, who is to decide which of the present versions of the doctrine is the right one? Confucius and Mo Tzu both followed the ways of Yao and Shun, and though their practices differed, each claimed to be following the real Yao and Shun.’ But since we cannot call Yao and Shun back to life, who is to decide whether it is the Confucians or the Mo-ists who are telling the truth?

: Now over seven hundred years have passed since Yin and early Chou times, and over two thousand years since Yui and + Judging from the Analects, Confucius himself had little to say about the ancient sage rulers Yao and Shun, and the few references to them may well be later insertions in the text. But Confucian scholars of late Chou

times paid great honor to Yao and Shun and compiled the “Canon of Yao,” the first section of the Book of Documents, as a record of their lives. ,

Eminence in Learning 119 early Hsia times. If we cannot even decide which of the present versions of Confucian and Mo-ist doctrine are the genuine ones, how can we hope to scrutinize the ways of Yao and Shun, who lived three thousands years ago? Obviously we can be sure of nothing! He who claims to be sure of some-

thing for which there is no evidence is a fool, and he who acts on the basis of what cannot be proved is an imposter. Hence it is clear that those who claim to follow the ancient kings and to be able to describe with certainty the ways of Yao and Shun must be either fools or imposters. ‘The learning of fools and impostors, doctrines that are motley and contradic-

tory—such things as these the enlightened ruler will never accept. —

For funerals, the Mo-ists prescribe that winter mourning garments be worn in winter and summer garments in summer, that the coflin be of paulownia wood three inches thick, and that mourning be observed for three months. The rulers of the time regard such ways as frugal and honor them. The Confucians, on the other hand, will bankrupt the family to carry out a funeral, wearing mourning garments for three years, reducing themselves to physical exhaustion and walk- ing about with canes. The rulers of the time regard such ways ° as filial and honor them. Now if you approve of the frugality

of Mo Tzu, you must condemn Confucius for his extravagance, and if you approve of the filial piety of Confucius, you must condemn Mo ‘Tzu for his impiety. Thus the teachings

of the Confucians and Mo-ists embrace both piety and impiety, extravagance and frugality, and yet the ruler honors

them both!

_ According to the teaching of Ch’i-tiao,? a man should never * Nothing is known of the identity of this man. He appears to be a differer.t person from the Ch’i-tiao mentioned above as the leader of one :

school of Confucianism.

120 Han Fei Tzu cringe before others or flinch in the face of danger; if his actions are base, he should not refuse to be treated as a slave, but if his actions are upright, he should not hesitate to defy the feudal lords. The rulers of the time regard such conduct as honorable and praise it. According to the teaching of Sung Jung-tzu,* a man should condemn warfare and contention and _

refuse to take part in acts of vengeance; he should not be embarrassed to go to jail and should consider it no shame to suffer insult. ‘The rulers of the time regard such an attitude as broad-minded and praise it. Now if you approve of the honorable conduct of Ch’i-tiao, you must condemn Sung Jung for being too forgiving, and if you approve of the broad-minded-

ness of Sung Jung, you must condemn Ch’i-tiao for being too violent. Thus these two codes of behavior embrace both broad-mindedness and a keen sense of honor, forgiveness and -

violence, and yet the ruler honors them both! | Because the ruler gives equal ear to the learning of fools and impostors and the wranglings of the motley and contradictory

schools, the gentlemen of the world follow no fixed policy in their words and no constant code of action in their behavior. As ice and live coals cannot share the same container for long,

or winter and summer both arrive at the same time, so, too, motley and contradictory doctrines cannot stand side by side and produce a state of order. If equal ear is given to motley doctrines, false codes of behavior, and contradictory assertions,

how can there be anything but chaos? If the ruler listens and acts in such a way, he will surely govern his people in the same absurd fashion.

When the scholars of today discuss good government, many of them say, “Give land to the poor and destitute so that those * Referred to in other texts as Sung Chien or Sung K’eng, he seems to have taught a doctrine of passivity, frugality, and few desires.

, Eminence in Learning 121 who have no means of livelihood may be provided for.” Now if men start out with equal opportunities and yet there are a few who, without the help of unusually good harvests or outside income, are able to keep themselves well supplied, it must —

be due either to hard work or to frugal living. If men start out with equal opportunities and yet there are a few who, without having suffered from some calamity like famine or sickness, still sink into poverty and destitution, it must be due either to laziness or to extravagant living. The lazy and extravagant grow poor; the diligent and frugal get rich. Now if

the ruler levies money from the rich in order to give alms to | the poor, he is robbing the diligent and frugal and indulging

the lazy and extravagant. If he expects by such means to in- , duce the people to work industriously and spend with caution,

he will be disappointed. |

| Now suppose there is a man who on principle refuses to enter a city that is in danger, to take part in a military cam-

paign, or in fact to change so much as a hair of his shin,

though it might bring the greatest benefit to the world.* The : rulers of the time are sure to honor him, admiring his wisdom, praising his conduct, and regarding him as a man who despises material things and values his life. Now the ruler hands out good fields and large houses and offers titles and stipends in order to encourage the people to risk their lives in his service.

But if he honors and praises a man who despises material things and values life above everything else, and at the same time expects the people to risk their lives and serve him to the

death, he will be disappointed.

Then there are other men who collect books, study rhetoric, ‘A reference to the followers of Yang Chu. Cf. Mencius VIIA, 26: “Mencius said, “The principle of Yang Tzu was “each one for himself.” Though he might have benefited the whole world by plucking out a sin-

gle hair, he would not have done it.’ ” |

122 Han Fei Tzu gather bands of disciples, and devote themselves to literature, learning, and debate. The rulers of the time are sure to treat them with respect, saying, “It is the way of the former kings to honor worthy men.” The farmers are the ones who must pay taxes to the officials, and yet the ruler patronizes scholars —thus the farmer’s taxes grow heavier and heavier, while the scholars enjoy increasing reward. If the ruler hopes, in spite

of this, that the people will work industriously and spend little time talking, he will be disappointed. There are others who establish a name for chivalrous action

and gather bands of followers, who guard their honor from all insult and avenge with ready swords the slightest sullen word that reaches their ears. The rulers of the time are sure to treat such men with courtesy, considering them gentlemen of self-respect. No reward is given to those who strive to cut off the heads of the enemy in battle, and yet the daring that men show in their family feuds brings them honor and renown. If the ruler hopes, in spite of this, that the people will fight fiercely to drive back the enemy and refrain from private

quarrels, he will be disappointed. ‘The nation at peace may patronize Confucian scholars and cavaliers, but the nation in danger must call upon its fighting men. Thus those who are patronized are not those who are of real use, and those who are of real use are not those who are patronized. Hence we

have disorder. ;

Moreover, when the ruler listens to a scholar, if he approves of his words, he should give them official dissemination and appoint the man to a post; but if he disapproves of his words,

he should dismiss the man and put a stop to his teaching. Now, though the ruler may approve of some doctrine, he does not give it official dissemination, and though he may disapprove of some doctrine, he does not put a stop to it. Not to use

Eminence in Learning 123 what you approve of and not to suppress what you disapprove of—this is the way to confusion and ruin. T’an-t’ai ['zu-yii had the appearance of a gentleman. Confucius, considering him promising, accepted him as a disciple but, after associating with him for some time, he found that his actions did not come up to his looks. ‘I's'ai Yii’s speech was

elegant and refined and Confucius, considering him promising, accepting him as a disciple. But after associating with him, he found that his wisdom did not match his eloquence. Therefore Confucius said, “Should I choose a man on the basis of looks? I made a mistake with T'zu-yii. Should I choose a man on the basis of his speech? I made a mistake with T’s’ai

Yu.” Thus even Confucius, for all his wisdom, had to admit that he judged the facts wrongly. Now our new orators today are far more voluble than T’s'ai Yii, and the rulers of the age far more susceptible to delusion than Confucius. If they appoint men to office simply because they are pleased with their words, how can they fail to make mistakes?

Wei trusted the eloquence of Meng Mao and met with calamity below Mount Hua.® Chao trusted the eloquence of Ma-fu and encountered disaster at Ch’ang-p’ing.* These two instances show what mistakes can be made by trusting men because of their eloquence.

If one were only to note the quantity of tin used in the alloy, examine the color of the metal, but apply no other test,

then even the famous Smithy Ou could not guarantee the sharpness of a sword. But if one sees it strike off the heads of

water birds and cut. down horses on land, then even the stupidest slave would not doubt that the sword is sharp. If >In 273 3.c. Ch’in attacked Wei and its allies, defeating and routing the army of the Wei general Meng Mao at Hua-yang. *'The Chao general Chao Ma-fu was defeated at Ch’ang-p’ing by the Ch’in army in 260 B.c.

124 Han Fei Tzu one were only to look at a horse’s teeth and examine’ its shape, then even the famous judge of horses, Po Lo, could not guaran-

tee the quality of the horse. But if one hitches it to a carriage _ and observes how it covers a certain distance of ground, then even the stupidest slave can tell whether the horse is good or not. Similarly, if one were only to observe a man’s features and dress and listen to his speech, then even Confucius could not be certain what kind of person he is. But if one tries him out in government office and examines his achievements, then even a man of mediocre judgment can tell whether he is

stupid or wise. |

In the bureaucracy of an enlightened ruler the prime minister has come up from the post of district magistrate and the renowned generals have risen from the ranks. Since achievements are invariably rewarded, the able man rises in title and stipend and works harder than ever; since he keeps moving to a higher office and a better rank, he will in time reach an important position and do his job better than ever. Thus to see to it that titles and stipends are generous® and jobs are well done is the way of a true king.

The ruler with a thousand li of rocky land cannot be called rich; the ruler with a million funerary dolls cannot be called powerful. It is not that the stony fields are not vast or the dolls not numerous. But such a ruler cannot be called rich or powerful because stony fields will grow no grain and dolls will not fend off an enemy. Now the artists and craftsmen, or the merchants who buy themselves government offices, manage to eat without tilling the land. Thus the land remains as unproductive as though it were in fact a stony * Supplying hsiang above hsing.

oy eading hou instead of ta in accordance with the suggestion of Ch’en i-yu.

Eminence in Learning 125 field. Likewise the Confucians and cavaliers gain fame and | glory without the hardships of service in the army; they are in fact useless citizens, no different from funerary dolls. Now if you recognize the curse® of having only stony lands and lifeless dolls, but not the curse of merchants who buy their way into office, or Confucians and cavaliers—men who till no

land and serve no purpose—then you have no head for analogies.

Although the ruler of a state whose power is equal to yours may admire your righteousness, you cannot force him to come with tribute and acknowledge your sovereignty; but although

one of the marquises within your borders may disapprove of your actions, you can make him bring the customary gifts and attend your court. ‘Thus he who has great power at his

disposal may force others to pay him court, but he whose power is weak must pay court to others. For this reason the _ enlightened ruler works to build up power. In a strict household there are no unruly slaves, but the children of a kindly mother often turn out bad. From this I know that power and authority can prevent violence, but kindness and generosity are insufficient to put an end to disorder.

_ When a sage rules the state, he does not depend on people’s doing good of themselves; he sees to it that they are not allowed to do what is bad. If he depends on people’s doing good of themselves, then within his borders he can count less than ten instances of success. But if he sees to it that they are

not allowed to do what is bad, then the whole state can be | brought to a uniform level of order. ‘Those who rule must employ measures that will be effective with the majority and dis-

card those that will be effective with only a few. Therefore

they devote themselves not to virtue but to law. * Reversing the order of huo and chih. |

126 Han Fei Tzu If you depend on arrow shafts’ becoming straight of themselves, you will never produce one arrow in a hundred generations. If you depend on pieces of wood’s becoming round of

themselves, you will never get a cartwheel in a thousand years. If in a hundred generations you never find such a thing as an arrow shaft that makes itself straight or a piece of wood that makes itself round, then how it is that people all manage to ride around in carriages and shoot down birds? Because the tools of straightening and bending are used. And even if, without the application of such tools, there were an arrow shaft that made itself straight or a piece of wood that made itself round, a good craftsman would not prize it. Why? Because it is not only one man who wants to ride, and not just one shot that the archer wants to make. And even if, without depend-

ing upon rewards and punishments, there were a man who became good of himself, the enlightened ruler would not prize him. Why? Because the laws of the state must not be ignored, and it is more than one man who must be governed. Therefore a ruler who understands policy does not pursue fortuitous goodness, but follows the way of certain success.

If someone were to go around telling people, “I can give you wisdom and long life!”, then the world would regard him as an impostor. Wisdom is a matter of man’s nature, and long life is a matter of fate, and neither human nature nor fate can be got from others. Because the man tells people he can do what is impossible, the world naturally considers him an impostor. To say you can do something which you cannot do is simply to make an empty assertion, and an empty assertion cannot affect human nature.*® Likewise, to try to teach people

to be benevolent and righteous is the same as saying you can * Adding a fei before hsing and translating in accordance with the interpretation of Ch’en Ch’i-yu. But the passage is far from clear.

Eminence in Learning 127 make them wise and long-lived. A ruler who has proper stand-

ards will not listen to such an idea. | |

| You may admire the beauty of a lovely woman like Maoch’iang or Hsi-shih all you like, but it will not improve your own looks. If you apply rouge, powder, and paint, however, you may make yourself twice as attractive as you were to begin

with. You may talk about the benevolence and righteousness

of the former kings all you like, but it will not make your own state any better ordered. But if you make your laws and _ regulations clear and your rewards and punishments certain, it is like applying rouge, powder, and paint to the state.** The _ enlightened ruler pays close attention to such aids to rule, and has little time for extolling the ancients. ‘Therefore he does not talk about benevolence and righteousness. When the shaman priests pray for someone, they say, “May you live a thousand autumns and ten thousands years!” But the “thousand autumns and ten thousand years’ are only a noise dinning on the ear—no one has ever proved that such prayers add so much as a day to anyone’s life. For this reason people despise the shaman priests. Similarly, when the Confucians of the present time counsel rulers, they do not praise those measures which will bring order today, but talk only of the achievements of the men who brought order in the past. They do not investigate matters of bureaucratic system or law,

or examine the realities of villainy and evil, but spend all their | time telling tales of the distant past and praising the achievements of the former kings. And then they try to make their words more attractive by saying, “If you listen to our advice, you may become a dictator or a king!” ‘They are the shaman | priests of the rhetoricians, and no ruler with proper standards “The rhythm of the sentence is awkward and the parallelism faulty; it is probable that something has dropped out of the text. .

128 Han Fei Tzu will tolerate them. Therefore the enlightened ruler works with facts and discards useless theories. He does not talk about deeds of benevolence and righteousness, and he does not listen to the words of scholars.

Nowadays, those who do not understand how to govern invariably say, “You must win the hearts of the people!” If you

could assure good government merely by winning the hearts of the people, then there would be no need for men like Yi Yin and Kuan Chung’*—you could simply listen to what the

people say. The reason you cannot rely upon the wisdom of the people is that they have the minds of little children. If the child’s head is not shaved, its sores will spread;?* and if its boil is not lanced, it will become sicker than ever. But when it is having its head shaved or its boil lanced, someone must hold it while the loving mother performs the operation, and it yells and screams incessantly, for it does not understand that the little pain it suffers now will bring great benefit later. Now the ruler presses the people to till the land and open up new pastures so as to increase their means of livelihood,

and yet they consider him harsh; he draws up a penal code | and makes the punishments more severe in order to put a stop to evil, and yet the people consider him stern. He levies taxes in cash and grain in order to fill the coffers and granaries so

that there will be food for the starving and funds for the army, and yet the people consider him avaricious. He makes certain that everyone within his borders understands warfare and sees to it that there are no private exemptions** from mili-

tary service; he unites the strength of the state and fights For Yi Yin, see above, p. 94, n. 3; for Kuan Chung, see above, p. 33, n. 4, and p. 94, n. 3. ** Emending the fu in the text to the fu which means “increasingly.” ** Adding she after chieh and translating in accordance with the interpretation of Ch’en Chii-yu.

Eminence in Learning 129 fiercely in order to take its enemies captive, and yet the people consider him violent. These four types of undertaking all insure order and safety to the state, and yet the people do not

have sense enough to rejoice in them. | |

The ruler seeks for men of superior understanding and ability precisely because he knows that the wisdom of the people is not sufficient to be of any use. In ancient times Yii opened up channels for the rivers and deepened the waterways, and yet the people gathered tiles and stones to throw at him; T'zu-ch’an opened up the fields and planted mulberry

trees, and yet the men of Cheng spoke ill of him Yi profited the whole world, Tzu-ch’an preserved the state of Cheng, and yet both men suffered slander—it is evident from this, then, that the wisdom of the people is not sufficient to be of use. In appointing men, to seek among the people for those

| who are worthy and wise; in governing, to try to please the people—methods such as these are the source of confusion. They are of no help in ensuring good government. * Yii, the founder of the Hsia dynasty, was supposed to have fixed the courses of the rivers and rescued China from a great flood. Tzu-ch’an Cd. 522 B.c.), chief minister of the state of Cheng, introduced various agricultural reforms which were at first much opposed by the people but which eventually brought benefit to the state.

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INDEX | : Administration, 5 ff.; see also Au- Chi River, 21 | , thority; Laws; Ministers; Power; Ch’i-tiao, 119-20 Punishments; Rewards; Rights; Ch’itiao Family School, 118

Ruler Chiao-chih (region), 63

Agriculture, 7, 95-116 passim Chieh, king of Hsia dynasty, 52,

Ai, duke of Lu, 102 , 65, 96

Allies, reliance on, as source of Chien, duke of Ch’i, 31, 65

peril, 49, 68-70 Chien, lord of Chao, 57

An, king of Han, 2, 3 Chih, Robber, 103

, Av-hsi, king of Wei, 21-22 Chih Kuo, 60-62 ,

Artisans, 116-17 Chih mode, 54 , Attendants, danger to ruler from, Chih Po Yao, 56-62 43, 46 Ch’ih-yu Cgod), 55

Authority, 102 ff. Children, danger to ruler from, 84-

Barbarians, Western, 97 86

Baseness of manner, 49, 52-53 Chin (state), 6, 53, 55, 94 Bedfellows, danger to ruler from, Chin-yang (city), 57-61

43, 46 Ch’in (state), 4, 68-70, 114, 123”

Benevolence, 99 ff. Ch’in, king of, see First Emperor of

Book of Documents, 82 the Ch’in

Book of Lord Shang, 4, 7-8, 110 n Ch’in dynasty, 11-12

| Book of Odes, 82 Ching (state), 101

Cap-and-girdle states, 22 Ching, duke of Ch’i, 65 Chang Meng-t’an, 57-60 Ch’ing Feng of Chi, 52

: Chang Yi, 68 Cho (city), 21 Ch’ang-p’ing Ccity), 123 Chou (state), 5,94, 114 )

passim 65, 96

Change, necessity of, 96-117 Chou, king of Yin dynasty, 52, 54, Chao (state), 2,21, 56-62 passim,123, Chou dynasty, rulers of, 88-89

‘Chao, king of Yen, 21 Ch’u (state), 21-22, 69-70 , , Chao, marquis of Han, 32 Ch’u Mountains, 80

Chao Chia, 56-57, 61 Ch’ii, horses of, 51-52 Chao-ling (city), 21 Chiian (music master), 53-54

Chao Ma-fu, 123 Chuang, king of Ch’u, 21-22

Ch’en Chen, 69 Chiieh mode, 55

Ch’en Ch’i-yu, 14-15, 25”, 27 nn, Ch’ui-chi, jade of, 51-52 42n, IoI nN, 124n, 126n, 128n Chung-hang family, 56

Ch’eng T’ang, 76 » Chung-liang Family School, 118

Chi Ccity), 21 Chung-shan (state), 21 Ch’i (state), 4, 21-22, 65, 66, Ch’ung-erh, prince of Chin, 70-72; 94, 100, IOI see also Wen, duke of Chin

132 Index Confucians, 105, 118-27 passim Han River, 99

Confucius, 192, 106, 123 Han Tzu, see Han Fei Tzu

Consorts, danger to ruler from, 84- Han Yii, 13

, 86 Handles, two, of government, 30Courtesy, failure in, as source of 34 disaster, 50, 52-53, 70-72 Hao Cregion), 99

Cranes, black, 54-55 Heaven (Tao), 37

Crow, in the sun, 86 History, use of, by philosophers, 11 Deeds Cresults), 32, 39, 91-93 Ho, Mr., 80-81 Dictators, Five, see Pa, Five Horizontal Alliance, 111-12, 114 Doctrines, contradictory, 118 ff. Houses, invention of, 96

Drill Man, 96 Hsi-ch'i, 84 Dry Valley, 53 Hsi Fu-chi, 70-72 Eclipses, 86 Hsi P’eng, 67-68 Elders, danger to ruler from, 43-44, | Hsi-shih, 12.7

46 Hsi Yen, see Kuo Yen

Eloquence, 100 Hsia dynasty, 63

Extravagance, 62-65 Hsiang, king of Yen, 21 ”

Fa Claws), 7-8 Hsiang, viscount of Chao, 57-62 Fan family, 56 Hsiang-li Family School, 118 Fa-chia school, see Legalist school Hsiang-fu Family School, 118

Fang-ch’eng (city), 21 Hsiao, duke of Ch’in, 82-83

Father of the Ruler, see Wu-ling, Hsien, duke of Chin, 51-52, 70 n,

king of Chao 71-72, 84 Faults, ten, 49-72 Hsing-ming (forms and names),9 Favor, see Rewards Hsii (state), 99 , Feng Cregion), 99 Hsii, ruler of, 52

Fire, discovery of, 96 Hsiian, viscount of Wei, 56-57, First Emperor of the Ch’in, 2, 3, 59-61

11-12, 69, 82” Hsiin Hsi, 51-52

Five Pa, see Pa, Five Hstin Tzu, 2, 11, 14

Flood, control of, 96 Hu (state), 77 : Forms, Han Fei Tzu’s concept, 9 Hua-yang (city), 123

Funerals, 119 Huai, king of Ch’u, 69

Gain, petty, 49, 51-52 Huan, duke of Ch’i, 5, 21-22, 33, Goods, abundance and scarcity of, 34,94, 128N

97-98 Huan-hui, king of Han, 2

68-70 II

Greed, 49, 56-62 Hui-wen, king of Chao, 84 Han (state), 1-2, 21, 56-62 passim, Human nature, Legalist view of, 10-

Han, ruler of, 68-70 Infatuation, with women musicians, Han Fei Tzu, life of, 1-3; phi- 49, 62-65

losophy of, 4 ff. Interest, public and private, conflict

Han Fei Tzu, 3, 4, 13-14; char- between, 104 ff.

acteristics of, 14 Jade, of Mr. Ho, 80-81

Index 133 Jao Chao, 78 Liao (secretary), 64 Jung Cland), 62-65 Liao, W. K,, 15

Jung Ctribe), 52 Ling, duke of Wei, 53-55, 78-79

_ Jung tribe, king of, 62-65 Ling, king of Ch’u, 33, 52-53 K’ai-fang, prince of Wei, 67, 68 Literature, technical, 14 K’ang, viscount of Han, 56, 59-61 Liu T’ao, 13

Kao-lang (territory), 57 Logic, school of, 9

Kao Yen, see Kuo Yen Lou-chi, 103

Kinfolk, danger to ruler from, 43- Love, of king for the people, 101-2

44, 46 Loyalty, petty, 49, 50-51

Knights, 105 : Loyang (city), 5 Kou-chien, king of Yiieh, 33, 86 Lu (state), 100

Ku-yang, 50-51 Mao-ch’iang, 127

Kuai, king of Yen, 33, 34 Mencius, quoted, 121 ”

Kuan (state), 21 Meng Family School, 118 Kuan Ch’i-ssu, 77-78 Meng Mao, 123

Kuan Chung, 4, 5, 66-68, 94, 110, | Merchants, 116-17 ,

128, Mi Tzu-hsia, 78-79

Kuan Lung-feng, 65 Miao tribes, 99-100

Kuan Tzu, 4, 110” , Military service, avoidance of, 117 K’uang Cmusic master), §3-55 Ministers: ruler’s relation to, 16-20, Kun, minister of Hsia dynasty, 96 22-29, 30-34, 38-42, 43-48, 87-

Kung, duke of 'T's’ao, 70-72 89, 90-95; disregard of, as source

Kung, Honest, 105-6 of disaster, 49, 66-68; advice to, Kung, king of Chiu, 59 on the art of persuasion, 73-79, Kung Chih-chi, 5% : on counseling rulers, 80-83 Kung-chung P'eng, 68-70 Mo-ists, 118-27 passim

Kung-kung Ctribe?), 100 Mo Tzu, 118-19

Kuo (state), 51-52T’ai, | re55 ; | Kuo Yen, 94. Mount Kung-sun Yang, see Wei Yang Mount Hua, 123

Lao Tzu, 13 Mu, duke of Ch'in, 62-65, 71-72,

EI passim | — _ 118-29 33734 _

Laws, ZA—2Q, 397-40, QO-9OI, TO4- 76 " er

rI passi ' Music: as source of disaster, 49,

Learning, Confucian and Moe-ist, 53-56, 62-65; of Master Yen, Legalist school, 4-5, 65 failure Musicians, women, 64-65

in practice, 12 Names, Han Fei Tzu’s concept, 9

Li, duke of Chin, 50 Names Cwords), 32, 36, 39, 91-93 Li, king of Ch’u, 80 Names, school of, see Logic, school

Li, Lady, 70 n, 84 of

Li Hill, 52 Nan, king of Chou, 114 2 Li Ssu, 2, 3 Nest Builder, 96 Li Tui, 84 Officials, see Ministers

134 Index Orators, 116-17; danger to ruler Sage, Taoist, 10

from, 45 Scholars, 116-29 passim

Oratory, art of, 73-79 Shang, Lord, see Wei Yang

Pa, Five, 5, 94n Shang Ou, Smithy, 123 Shang-chiin shu, see Book of Lord

Pao Shu-ya, 66-67 Shang (Yin) dynasty, 94 People, the, danger to ruler from, Shang mode, 54

44, 46-47, 87, 88 Shang Yang, see Wei Yang Persuasion, art of, 73-79 Shen (city), 52

Pi-fang (god), 55 Shen Pu-hai, 4 Pi Kan, prince, 65 Shen-sheng, 84 Pien Ho, see Ho, Mr. Shen Tao, 4

P’ing, duke of Chin, 53-56 Shih Cactor), 84

P’ing-lu (city), 21 Shu (principles of government), 8-9

Po-li Hsi, 76 Shu Chan, 70-72

Po Lo, 124 Shu-tiao, 33, 34, 67, 68

Political science, 4-5 Shun (emperor), 63, 96, 99-100, Power, 16-20, 22-29, 30-34, 35- 118-19

42, 87-88, 100 ff., 125; of min- Soldier-deserter of Lu, 106

, isters, danger to ruler from, 45, South Gate Palace, 68

47 Spring and Autumn Annals, 88

P’u River, 53, 54 Spring and Autumn Annals of T’ao Punishments, 23, 30-34, 38-41 Tso, quoted, 85

passim, 46-47, 104 Standards, of government, 21-29

Pursuits, baleful, danger to ruler States: disordered, customs of, 116-

from, 44, 46 17; neighboring, danger to ruler Rabbit, 97 from, 45-46, 47

Rain Master, 55 Ssu-ma Ch’ien, 2

Realist school, see Legalist school Sui-yang (city), 21

Results (deeds), 32, 39, 91-93 Sun Family School, 118 Rewards, 23, 30-34, 38-41 passim, Sun Tzu, 110

46-48, 103-4 Sun Wu, r10

Righteousness, 99 ff. Sung, farmer of, and the rabbit, 97 Rights, to be reserved by ruler, 18- Sung, rich man of, and his neighbor,

19, 22-28, 30-34, 39-42, 46- 77-78 48, 87-88 Sung, ruler of, 31 , , Ruler: ideal, of Confucianism and Sung Jung+tzu (Sung Chien; Sung Mo-ism, 9-10, of Legalism, 10; K’eng), 120 Way of, 16-20, 22-29, 30-34, Supernatural events, accompanying

35-42, 90-95, 97-I17 passim, music, 54-55 119-27 passim; dangers to, 18- Swordsmen, 117

19, 22-28, 30-34, 38-42, 43- Tvai-kung, 94 |

, 48, 84-89 Takeuchi Teruo, 15 Sage, as ruler, 16-20, 96-117 passim Tan-t’ai Tzu-yu, 123

T’ang kin . Index , king of Yin (Sh I 4 96, 1287 ang) dynasty, Wei (state), 2 °° rangi (region), 68 passim, 114 123 21%, 22, 56-62

ao, king of Ch’ _ Wei Ya

Taoism, 9-10, lanoua ° f . : Wen, dake “of Ch, 4

Fei Ton avn Han Ch’ung-ech, prince of Chin also T’ao (region ), 21 Wen kine of Ching, of Chin a0 Hung ch’ing 40on Wey (state) I anes 99

Ti Ctribe) , Word , eng-ling Fami | Wind E:

Thrift, 62-65. ly School, 118 Winlo toe

Tien family, 65 n Writing names), 32, 39, 91-93

,1’? pone in the moon, 867 Wu Che of i ¥o r ? . ? ; ~ ? .@) “Treatise , zu, terature”’ on110Mn Li. Ng YaChu,

T’ien Ch’ang, 31, 34, 6 Wu, duke nf Chen of, 106 T’ien Ch’eng vi » 34, 05 1, Tog Wu, king f C ? scount of Ch’i, 65- Wu ke § 0 hou, 54,94 96

ag to ruler from, 49 We ne king of Chao, 84 the Former Han), 1 (History of | Yao Cemperor), 6

Ts’ai (city), 21 » 3 Yellow Emper » 03, 96, 97, I 18-19 Ts’ai (territory), 5 Yellow Rives or, 55; quoted, 40

Ts’ ai Yi, 123 137 Yen (music ee aan 106pri YenYen, (state)ki master), 54 so,Chieh, Crown are 114

Tuan Kuci yor Sung, 52 Yen Cheech, 65 99, 100 Tung Kuan-yii, 57-59 Yen Family Shook , Tzu-ch’an (Tzu-ch’ang) Yen-ling (region) , 118

Tzu-chang School 18 8 Yen-ling Shen ee

Tzu-chih, 33, 34 ) Yi-ya, 33, 34, é "68

rn Vivine » 31, 1097694 , » 79,128" 94, 12

'Tzu-k’uai > «ae Yin (state , , T Br F0e School, Yin To,118 56 Yuj ynasty, zu-ssu »3 63-64, 94” Tk, ah ‘ee K’uai, king of Yen Yin Sheees 4 n

Uno Tetsuto, 15, | Vuoni 3 ,

Vermin, fi111— ‘min, 52 Vertical He 90-117 Yu-tuYu (region 6 al Alliance. Yi »),03 Villaini ITI-13, 114Yu u Cemperor Yii, 62-65) ainies,»eight, 43-48

Waley, Arthur, I5 Yi (st 96, 97-98, 99, 129

? ? e€ of ou

Wang Liang (chariot Vii state), 51-52

Wang Wei 47 0 eer), 86 Vian ac oh toon

Way, the, see Ruler: Way of ven of Sung ng, see Tso, crown tieh-cheng Family School, 118

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